CHIEF COMPLIANCE OFFICER

0001666788-21-000003.txt : 20210811 0001666788-21-000003.hdr.sgml : 20210811 20210811132918 ACCESSION NUMBER: 0001666788-21-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210811 DATE AS OF CHANGE: 20210811 EFFECTIVENESS DATE: 20210811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Kalos Management, Inc. CENTRAL INDEX KEY: 0001666788 IRS NUMBER: 201642804 STATE OF INCORPORATION: GA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17377 FILM NUMBER: 211162849 BUSINESS ADDRESS: STREET 1: 11525 PARK WOODS CIRCLE STREET 2: SUITE 250 CITY: ALPHARETTA STATE: GA ZIP: 30005 BUSINESS PHONE: 678-356-1100 MAIL ADDRESS: STREET 1: 11525 PARK WOODS CIRCLE STREET 2: SUITE 250 CITY: ALPHARETTA STATE: GA ZIP: 30005 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001666788 XXXXXXXX 06-30-2021 06-30-2021 Kalos Management, Inc.

11525 PARK WOODS CIRCLE SUITE 250 ALPHARETTA GA 30005

13F HOLDINGS REPORT 028-17377 N JOHN DILLON CHIEF COMPLIANCE OFFICER 678-356-1100 JOHN DILLON ALPHARETTA GA 08-11-2021 0 270 246452 false INFORMATION TABLE 2 13FInformationTable2021Q2.xml AbbVie Inc COM 00287Y109 315 2772 SH DFND 0 2772 0 Aberdeen Std PHys SwissGold Shr ETF ETF 00326A104 1017 59881 SH DFND 0 59881 0 Acadia Pharmaceuticals Inc COM 004225108 433 18675 SH DFND 0 18675 0 Activision Blizzard Inc COM 00507V109 971 11937 SH DFND 0 11937 0 Advanced Micro Devices COM 007903107 3325 30930 SH DFND 0 30930 0 AFLAC Inc COM 001055102 393 7008 SH DFND 0 7008 0 Agile Therapeutics Inc COM 00847L100 24 19250 SH DFND 0 19250 0 Alibaba Group Holding Limited ADR COM 01609W102 1358 6951 SH DFND 0 6951 0 Allegion PLC COM G0176J109 1073 7873 SH DFND 0 7873 0 Alphabet Inc Class A COM 02079K305 2794 1020 SH DFND 0 1020 0 Alphabet Inc Class C COM 02079K107 910 344 SH DFND 0 344 0 ALPS Alerian MLP ETF ETF 00162Q452 424 13112 SH DFND 0 13112 0 AMARIN CORP PLC SPONS ADR NEW COM 023111206 68 15050 SH DFND 0 15050 0 Amazon.com Inc COM 023135106 2061 614 SH DFND 0 614 0 AMERICAN FIN TRUST INC COM 02607T109 284 33710 SH DFND 0 33710 0 Ameriprise Financial Inc COM 03076C106 1756 6612 SH DFND 0 6612 0 Annaly Capital Management Inc COM 035710409 103 12286 SH DFND 0 12286 0 Apple Inc COM 037833100 3990 27510 SH DFND 0 27510 0 ARES CAPITAL CORP COM COM 04010L103 276 13788 SH DFND 0 13788 0 ARK Autonomous Technology & Robotics ETF ETF 00214Q203 215 2559 SH DFND 0 2559 0 ARK Genomic Revolution ETF ETF 00214Q302 261 2960 SH DFND 0 2960 0 ARK Innovation ETF ETF 00214Q104 295 2361 SH DFND 0 2361 0 AT&T Inc COM 00206R102 2421 86901 SH DFND 0 86901 0 Atlas Crest Invt Corp Com COM 049284102 158 15938 SH DFND 0 15938 0 Ballard Power Systems COM 058586108 248 14357 SH DFND 0 14357 0 Bank of America Corp COM 060505104 430 10565 SH DFND 0 10565 0 BATH & BODY WKS INC COM 070830104 263 4288 SH DFND 0 4288 0 Berkshire Hathaway Inc Class B COM 084670702 360 1255 SH DFND 0 1255 0 BIOCRYST PHARMACEUTICALS INC COM COM 09058V103 395 24050 SH DFND 0 24050 0 Bionano Genomics Inc COM 09075F107 112 16400 SH DFND 0 16400 0 BlueRock Residential Growth REIT COM 09627J102 479 39765 SH DFND 0 39765 0 Boeing Co COM 097023105 1022 4383 SH DFND 0 4383 0 Brightspire Cap Inc A COM 10949T109 1614 160054 SH DFND 0 160054 0 Broadcom Inc COM 11135F101 4437 9155 SH DFND 0 9155 0 Bunge Ltd COM G16962105 1781 23031 SH DFND 0 23031 0 Burgundy Tech Acquisition Corp Com Cl A COM G1702T116 171 17361 SH DFND 0 17361 0 BUSINESS DEVELOPMENT COM 12325J101 452 62992 SH DFND 0 62992 0 CAMBRIA GLOBAL VALUE ETF ETF 132061409 246 10762 SH DFND 0 10762 0 Canoo Inc Class A COM 13803R102 621 69110 SH DFND 0 69110 0 CATALYST BIOSCIENCES INC COM NEW COM 14888D208 74 17410 SH DFND 0 17410 0 Caterpillar Inc COM 149123101 264 1240 SH DFND 0 1240 0 CERAGON NETWORKS LTD ORD COM M22013102 42 10550 SH DFND 0 10550 0 Ciena Corp COM 171779309 2336 41096 SH DFND 0 41096 0 Cigna Corp COM 125523100 2051 9716 SH DFND 0 9716 0 CION INVT CORP COM 17259U105 186 23120 SH DFND 0 23120 0 Cisco Systems Inc COM 17275R102 540 9858 SH DFND 0 9858 0 CLOVIS ONCOLOGY INC COM COM 189464100 130 23750 SH DFND 0 23750 0 Coca Cola Company COM 191216100 695 12359 SH DFND 0 12359 0 COSTAR GROUP INC COM 22160N109 382 4470 SH DFND 0 4470 0 Costco Wholesale Corp COM 22160K105 612 1392 SH DFND 0 1392 0 Delta Air Lines COM 247361702 1362 34680 SH DFND 0 34680 0 DEVON ENERGY CORP NEW COM COM 25179M103 312 11659 SH DFND 0 11659 0 DIAMONDBACK ENERGY COM 25278X109 284 3688 SH DFND 0 3688 0 Dominion Energy Inc COM 25746U109 813 10707 SH DFND 0 10707 0 DXC Technology Co COM 23355L106 292 7244 SH DFND 0 7244 0 Elanco Animal Health Inc COM 28414H103 1167 39342 SH DFND 0 39342 0 Emerging Markets Internet & eCommerce COM 301505889 588 10959 SH DFND 0 10959 0 Enbridge Inc COM 29250N105 1929 49169 SH DFND 0 49169 0 Encompass Health Corp COM 29261A100 3172 39245 SH DFND 0 39245 0 EQUITY DISTR ACQUISITION CORP COM CL A COM 29465E106 98 10050 SH DFND 0 10050 0 Evolve Transition Infrastructure Lp COM 30053M104 33 21024 SH DFND 0 21024 0 Exxon Mobil Corporation COM 30231G102 757 13054 SH DFND 0 13054 0 Facebook Inc COM 30303M102 3254 9003 SH DFND 0 9003 0 FEDEX CORP COM COM 31428X106 342 1251 SH DFND 0 1251 0 FIDELITY LOW VOLATILITY FACTR ETF ETF 316092824 521 10653 SH DFND 0 10653 0 Fidelity National Financial Inc COM 31620R303 1551 32816 SH DFND 0 32816 0 FIRST AMERICAN GLOBAL INFRASTRUCTURE A COM 670690494 134 11653 SH DFND 0 11653 0 First Trust NASDAQ Tech Div ETF ETF 33738R118 596 10254 SH DFND 0 10254 0 Fleetcor Technologies Inc COM 339041105 1884 7186 SH DFND 0 7186 0 FORTINET INC COM 34959E109 298 991 SH DFND 0 991 0 FRANKLIN LIBERTYQ U.S. EQUITY ETF ETF 35473P801 207 4856 SH DFND 0 4856 0 FS ENERGY & POWER FUND COM 30264D109 439 124517 SH DFND 0 124517 0 FS KKR Capital Corp COM 302635206 8168 380776 SH DFND 0 380776 0 FS KKR Capital Corp II COM 35952V303 334 13566 SH DFND 0 13566 0 Gilead Sciences Inc COM 375558103 287 4188 SH DFND 0 4188 0 Global Net Lease Inc COM 379378201 2309 127926 SH DFND 0 127926 0 Global Payments Inc COM 37940X102 1079 6207 SH DFND 0 6207 0 GOLDMAN SACHS REAL COM 38149R805 518 50287 SH DFND 0 50287 0 Greengro Technologies Inc COM 39526G107 0 10026 SH DFND 0 10026 0 GRIFFIN INSTL ACCESS REAL ESTA TE I COM 39822J300 239 8878 SH DFND 0 8878 0 Healthcare Trust of America Class A COM 42225P501 267 9319 SH DFND 0 9319 0 HENDERSON GLOBAL FDS GLOBAL EQ INCM I COM 47103X492 109 15972 SH DFND 0 15972 0 Hilltop Holdings Inc COM 432748101 1561 47263 SH DFND 0 47263 0 Home Depot Inc COM 437076102 479 1468 SH DFND 0 1468 0 HP Inc COM 40434L105 1678 57250 SH DFND 0 57250 0 Innoviva Inc COM 45781M101 2332 153827 SH DFND 0 153827 0 Intel Corp COM 458140100 2251 41638 SH DFND 0 41638 0 International Business Machines COM 459200101 247 1749 SH DFND 0 1749 0 Intuitive Surgical Inc COM 46120E602 396 394 SH DFND 0 394 0 Invesco DWA Consumer Staples Momentum ETF 46137V886 351 3816 SH DFND 0 3816 0 Invesco Exch Trd Slf Idx Fd Tr Rusl 2000 Dynm ETF 46138J593 510 12712 SH DFND 0 12712 0 Invesco Exchange Traded Fd Tr S&P Mdcp Quality ETF 46137V472 719 9253 SH DFND 0 9253 0 Invesco International Corporate Bond ETF 46138E636 1100 37613 SH DFND 0 37613 0 INVESCO MUNICIPAL TRUST ETF 46131J103 180 13100 SH DFND 0 13100 0 INVESCO OPTIMUM YIELD DIVERSIFIED COMMODITY STRATEGY NOA K-1A ETF ETF 46090F100 704 35068 SH DFND 0 35068 0 Invesco QQQ Trust Series 1 ETF 46090E103 863 2353 SH DFND 0 2353 0 IOVANCE BIOTHERAPEUTICS INC COM COM 462260100 212 8450 SH DFND 0 8450 0 iShares Barclays 7-10 Yr Treasury Bond ETF 464287440 1388 11892 SH DFND 0 11892 0 iShares Core MSCI Total International Stock ETF ETF 46432F834 310 4250 SH DFND 0 4250 0 iShares Core S&P 500 ETF 464287200 1938 4367 SH DFND 0 4367 0 iShares Core S&P Small-Cap ETF ETF 464287804 571 5173 SH DFND 0 5173 0 iShares Core S&P U.S. Value ETF ETF 464287663 2148 29416 SH DFND 0 29416 0 iShares Core Total USD Bond Market ETF 46434V613 480 8962 SH DFND 0 8962 0 iShares Core US Aggregate Bond ETF ETF 464287226 1793 15519 SH DFND 0 15519 0 ISHARES DOW JONES US ETF IV ETF 464287846 1056 9498 SH DFND 0 9498 0 iShares Dow Jones US Healthcare Sector Index ETF 464287762 1078 3740 SH DFND 0 3740 0 iShares Edge MSCI EAFE Minimum Vol ETF 46429B689 1083 13954 SH DFND 0 13954 0 iShares ESG Aware MSCI USA ETF ETF 46435G425 972 9578 SH DFND 0 9578 0 iShares ESG MSCI EM ETF ETF 46434G863 229 5364 SH DFND 0 5364 0 ISHARES ESG MSCI USA LEADERS ETF ETF 46435U218 639 8210 SH DFND 0 8210 0 ISHARES EXPONENTIAL TECHNOLOGIES ETF ETF 46434V381 309 4901 SH DFND 0 4901 0 iShares Global Tech ETF ETF 464287291 1000 17065 SH DFND 0 17065 0 iShares iBoxx $ High Yield Corporate Bond ETF ETF 464288513 1578 18104 SH DFND 0 18104 0 iShares JP Morgan USD Emerging Mrkts Bond ETF ETF 464288281 2580 23128 SH DFND 0 23128 0 iShares MSCI Brazil ETF 464286400 693 18527 SH DFND 0 18527 0 iShares MSCI BRIC Index ETF 464286657 549 11027 SH DFND 0 11027 0 iShares MSCI Denmark Capped Inv Mkt ETF 46429B523 224 1960 SH DFND 0 1960 0 iShares MSCI EAFE Growth ETF ETF 464288885 1109 10068 SH DFND 0 10068 0 iShares MSCI EAFE Value ETF 464288877 626 12038 SH DFND 0 12038 0 ISHARES MSCI EMERGING MARKETS ETF IV ETF 464287234 499 9579 SH DFND 0 9579 0 iShares MSCI Emerging Mkts Asia Index ETF 464286426 571 6558 SH DFND 0 6558 0 iShares MSCI Germany Index ETF 464286806 355 10272 SH DFND 0 10272 0 iShares MSCI India Index ETF 46429B598 564 12428 SH DFND 0 12428 0 iShares MSCI Indonesia Invst Mkt ETF 46429B309 286 14250 SH DFND 0 14250 0 iShares MSCI Japan Index ETF 46434G822 608 8978 SH DFND 0 8978 0 iShares MSCI Malaysia Index ETF 46434G814 384 15636 SH DFND 0 15636 0 iShares MSCI South Korea Index ETF 464286772 331 3668 SH DFND 0 3668 0 iShares MSCI Spain Index ETF 464286764 217 7757 SH DFND 0 7757 0 iShares MSCI Sweden Index ETF 464286756 226 4709 SH DFND 0 4709 0 iShares MSCI Switzerland Index ETF 464286749 438 8741 SH DFND 0 8741 0 iShares MSCI Taiwan Capped ETF ETF 46434G772 576 8959 SH DFND 0 8959 0 iShares MSCI USA Value Factor ETF 46432F388 239 2279 SH DFND 0 2279 0 iShares PHLX SOX Semiconductor ETF 464287523 742 1601 SH DFND 0 1601 0 iShares Preferred & Income Securities ETF ETF 464288687 411 10500 SH DFND 0 10500 0 iShares Russell 2000 ETF ETF 464287655 1060 4773 SH DFND 0 4773 0 iShares Russell Mid-Cap ETF ETF 464287499 824 10261 SH DFND 0 10261 0 ISHARES S&P 500 GROWTH ETF ETF 464287309 1292 17119 SH DFND 0 17119 0 ISHARES S&P 500 VALUE ETF ETF 464287408 692 4634 SH DFND 0 4634 0 ISHARES S&P MID CAP 400 VALUE ETF IV ETF 464287705 1235 11683 SH DFND 0 11683 0 ISHARES S&P MID-CAP 400 GROWTH ETF ETF 464287606 1052 12902 SH DFND 0 12902 0 ISHARES S&P SMALL CAP 600 ETF IV ETF 464287879 1316 13061 SH DFND 0 13061 0 iShares S&P Small-Cap 600 Growth ETF ETF 464287887 1544 11601 SH DFND 0 11601 0 ISHARES TIPS BOND ETF IV ETF 464287176 552 4287 SH DFND 0 4287 0 ISHARES TOTAL US STOCK MARKET ETF IV ETF 464287150 390 3854 SH DFND 0 3854 0 iShares Tr USD Inv Grde ETF ETF 464288620 680 11236 SH DFND 0 11236 0 ISHARES U.S. FINANCIALS ETF ETF 464287788 387 4732 SH DFND 0 4732 0 iShares U.S. Industrials ETF ETF 464287754 1464 13053 SH DFND 0 13053 0 iShares U.S. Medical Devices ETF ETF 464288810 665 10179 SH DFND 0 10179 0 ISHARES U.S. REAL ESTATE ETF ETF 464287739 2361 22177 SH DFND 0 22177 0 iShares U.S. Technology ETF ETF 464287721 937 8990 SH DFND 0 8990 0 ISHARES US BASIC MATERIALS ETF IV ETF 464287838 2943 22319 SH DFND 0 22319 0 iShares US Treasury Bond ETF ETF 46429B267 413 15487 SH DFND 0 15487 0 ISHS MSCI GLOBAL MIN VOLFCT ETF IV ETF 464286525 355 3385 SH DFND 0 3385 0 J2 Global Inc COM 48123V102 1977 14686 SH DFND 0 14686 0 Jazz Pharmaceuticals PLC COM G50871105 1132 7501 SH DFND 0 7501 0 Johnson & Johnson COM 478160104 2988 17235 SH DFND 0 17235 0 Leidos Holdings Inc COM 525327102 750 8007 SH DFND 0 8007 0 Lockheed Martin Corp COM 539830109 258 715 SH DFND 0 715 0 LPL Finl Hldgs Inc COM 50212V100 1898 13065 SH DFND 0 13065 0 MAIN STREET CAPITAL COM 56035L104 311 7435 SH DFND 0 7435 0 Marathon Oil Corp COM 565849106 285 24164 SH DFND 0 24164 0 Marriott Intl Inc Cl A COM 571903202 237 1734 SH DFND 0 1734 0 Marsh & McLennan Co Inc COM 571748102 674 4477 SH DFND 0 4477 0 Mastercard Inc COM 57636Q104 320 865 SH DFND 0 865 0 McDonald's Corporation COM 580135101 433 1871 SH DFND 0 1871 0 MDC Holdings Inc COM 552676108 1421 27796 SH DFND 0 27796 0 Mettler-Toledo International Inc COM 592688105 304 200 SH DFND 0 200 0 Microsoft Corp COM 594918104 2286 7948 SH DFND 0 7948 0 Molson Coors Beverage Company Class B COM 60871R209 1874 37994 SH DFND 0 37994 0 MULTIPLAN CORPORATION COM COM 62548M100 119 13050 SH DFND 0 13050 0 Nano Dimension Ltd Adr COM 63008G203 131 18212 SH DFND 0 18212 0 National Cinemedia Inc COM 635309107 2574 835920 SH DFND 0 835920 0 National Health Investors Inc COM 63633D104 315 4823 SH DFND 0 4823 0 Navient Corp COM 63938C108 2717 126377 SH DFND 0 126377 0 Netflix Inc COM 64110L106 271 521 SH DFND 0 521 0 Nike Inc Class B COM 654106103 405 2393 SH DFND 0 2393 0 NIO Inc ADS COM 62914V106 384 7771 SH DFND 0 7771 0 Norwegian Cruise Line Holdings COM G66721104 1261 51170 SH DFND 0 51170 0 Nucor Corp COM 670346105 312 2894 SH DFND 0 2894 0 NVIDIA Corp COM 67066G104 622 3007 SH DFND 0 3007 0 O Reilly Automotive Inc COM 67103H107 1428 2386 SH DFND 0 2386 0 Origin Material Inc COM 68622D106 130 20838 SH DFND 0 20838 0 OWL ROCK CAPITAL CORPORATION COM COM 69121K104 390 27117 SH DFND 0 27117 0 OXFORD LANE CAPITAL CORP COM 691543102 109 14448 SH DFND 0 14448 0 PACIFIC OAK STRATEGIC COM 694701103 212 21988 SH DFND 0 21988 0 PARATEK PHARMACEUTICALS INC COM COM 699374302 127 19550 SH DFND 0 19550 0 PayPal Holdings Inc COM 70450Y103 247 889 SH DFND 0 889 0 Penske Automotive Group Inc COM 70959W103 1760 20283 SH DFND 0 20283 0 Pepsico Incorporated COM 713448108 257 1701 SH DFND 0 1701 0 Pfizer Inc COM 717081103 397 9013 SH DFND 0 9013 0 PHILLIPS EDISON &AMP CO INC COM 71844V300 416 13849 SH DFND 0 13849 0 Pinnacle Financial Partners Inc COM 72346Q104 316 3339 SH DFND 0 3339 0 PIONEER MUNICIPAL HIGH INCOME COM 723762100 198 16400 SH DFND 0 16400 0 Plug Power Inc COM 72919P202 629 20410 SH DFND 0 20410 0 Potnetwork Holdings Inc COM 737636209 0 45300 SH DFND 0 45300 0 PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF ETF 74348A467 866 9352 SH DFND 0 9352 0 Q Biomed Inc Com COM 74736N105 7 10615 SH DFND 0 10615 0 QELL ACQUISITION CORP CL A COM G7307X105 184 18550 SH DFND 0 18550 0 Qorvo Inc COM 74736K101 1999 10328 SH DFND 0 10328 0 Qualcomm Incorporated COM 747525103 603 4118 SH DFND 0 4118 0 Raytheon Technologies Corp COM 75513E101 203 2347 SH DFND 0 2347 0 Restaurant Brands International Inc COM 76131D103 1144 18078 SH DFND 0 18078 0 S&P Global Inc COM 78409V104 1901 4359 SH DFND 0 4359 0 Sabra Health Care REIT Inc COM 78573L106 2112 123318 SH DFND 0 123318 0 Schwab Emerging Markets Equity ETF ETF 808524706 761 24493 SH DFND 0 24493 0 Schwab US Broad Market ETF ETF 808524102 8989 83995 SH DFND 0 83995 0 SCHWAB US DIVIDEND EQUITY ETF ETF 808524797 1654 21629 SH DFND 0 21629 0 SCHWAB US LARGE CAP VALUE ETF ETF 808524300 878 12566 SH DFND 0 12566 0 Schwab US Large Cap ETF ETF 808524201 6657 62026 SH DFND 0 62026 0 Schwab US Large Cap Growth ETF 808524300 1195 7858 SH DFND 0 7858 0 Schwab US Small Cap ETF ETF 808524607 1311 12881 SH DFND 0 12881 0 SILA REALTY TRUST INC COM 146280102 214 24666 SH DFND 0 24666 0 Southern Company COM 842587107 275 4252 SH DFND 0 4252 0 Southwest Airlines Co COM 844741108 668 13441 SH DFND 0 13441 0 SPDR Barclay Convertible Securites ETF 78464A359 1047 12147 SH DFND 0 12147 0 SPDR Blackstone / GSO Senior Loan ETF ETF 78467V608 785 17190 SH DFND 0 17190 0 SPDR Financial Select Sector ETF 81369Y605 371 9943 SH DFND 0 9943 0 SPDR Gold Shares ETF 78463V107 511 3149 SH DFND 0 3149 0 SPDR Index Shs S&P China ETF 78463X400 596 5099 SH DFND 0 5099 0 SPDR MSCI USA STRATEGICFACTORS ETF ETF 78468R812 304 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DFND 0 748 0 Vanguard Small-Cap Value ETF 922908611 552 3209 SH DFND 0 3209 0 Vanguard Total Bond Market ETF 921937835 250 2909 SH DFND 0 2909 0 Vanguard Total Stock Market ETF 922908769 533 2356 SH DFND 0 2356 0 VANGUARD TOTAL STOCK MARKET INDEX ADMIRAL ETF 922908728 365 3370 SH DFND 0 3370 0 Vanguard Value ETF 922908744 368 2646 SH DFND 0 2646 0 Ventas Inc COM 92276F100 507 8833 SH DFND 0 8833 0 VERASTEM INC COM COM 92337C104 88 25250 SH DFND 0 25250 0 Vereit Inc Com COM 92339V308 911 18557 SH DFND 0 18557 0 Verizon Communications COM 92343V104 433 7840 SH DFND 0 7840 0 ViacomCBS Inc B COM 92556H206 337 8378 SH DFND 0 8378 0 Visa Inc COM 92826C839 438 1843 SH DFND 0 1843 0 W.P. Carey Inc. COM 92936U109 465 5812 SH DFND 0 5812 0 Walmart Inc COM 931142103 222 1549 SH DFND 0 1549 0 Walt Disney Co COM 254687106 381 2161 SH DFND 0 2161 0 Waste Management Inc COM 94106L109 277 1953 SH DFND 0 1953 0 WILDERMUTH ENDOWMENTSTRATEGY FD CL A COM 96812D107 3054 218507 SH DFND 0 218507 0 Wisdomtree China Ex State Owned Enterprises ETF 97717X719 848 14603 SH DFND 0 14603 0 WisdomTree EmMkts ex-Stt-Ownd Entrprs ETF 97717X578 867 22068 SH DFND 0 22068 0 Zoom Video Communications Inc COM 98980L101 351 918 SH DFND 0 918 0