Managing Principal & Chief Compliance Officer

0001744073-20-000004.txt : 20200515 0001744073-20-000004.hdr.sgml : 20200515 20200515154942 ACCESSION NUMBER: 0001744073-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 EFFECTIVENESS DATE: 20200515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AJ WEALTH STRATEGIES, LLC CENTRAL INDEX KEY: 0001744073 IRS NUMBER: 454981519 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18847 FILM NUMBER: 20884644 BUSINESS ADDRESS: STREET 1: 28 LIBERTY STREET STREET 2: SUITE 2850 CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: (212)729-7750 MAIL ADDRESS: STREET 1: 28 LIBERTY STREET STREET 2: SUITE 2850 CITY: NEW YORK STATE: NY ZIP: 10005 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001744073 XXXXXXXX 03-31-2020 03-31-2020 AJ WEALTH STRATEGIES, LLC

28 LIBERTY STREET SUITE 2850 NEW YORK NY 10005

13F HOLDINGS REPORT 028-18847 N Justyn Volesko Managing Principal & Chief Compliance Officer (212) 729-7750 Justyn Volesko New York NY 05-15-2020 0 176 737585 false INFORMATION TABLE 2 1q202013AJW.xml 3M CO COM 88579Y101 460 3373 SH SOLE 0 3373 0 0 ABERDEEN GLOBAL DYNAMIC DIVI COM 00302M106 669 91180 SH SOLE 0 91180 0 0 ADT INC COM 00090Q103 240 55585 SH SOLE 0 55585 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 293 1506 SH SOLE 0 1506 0 0 ALPHABET INC CAP STK CL A 02079K305 1369 1178 SH SOLE 0 1178 0 0 ALPHABET INC CAP STK CL C 02079K107 4170 3586 SH SOLE 0 3586 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 160 46512 SH SOLE 0 46512 0 0 AMAZON COM INC COM 023135106 4430 2272 SH SOLE 0 2272 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 546 44787 SH SOLE 0 44787 0 0 AMNEAL PHARMACEUTICALS INC COM STK CL A 03168L105 53 15242 SH SOLE 0 15242 0 0 APERGY CORP COM 03755L104 277 48254 SH SOLE 0 48254 0 0 APOLLO GLOBAL MGMT INC COM CL A 03768E105 224 6699 SH SOLE 0 6699 0 0 APPLE INC COM 037833100 3406 13396 SH SOLE 0 13396 0 0 ARDMORE SHIPPING CORP COM Y0207T100 93 17748 SH SOLE 0 17748 0 0 ARES CAPITAL CORP COM 04010L103 1636 151719 SH SOLE 0 151719 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1088 4 SH SOLE 0 4 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 759 4151 SH SOLE 0 4151 0 0 BEST INC SPONSORED ADS 08653C106 642 120000 SH SOLE 0 120000 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 712 56107 SH SOLE 0 56107 0 0 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 302 24000 SH SOLE 0 24000 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 454 9958 SH SOLE 0 9958 0 0 BLACKSTONE MTG TR INC COM CL A 09257W100 671 36036 SH SOLE 0 36036 0 0 BOEING CO COM 097023105 479 3214 SH SOLE 0 3214 0 0 CARDIOVASCULAR SYS INC DEL COM 141619106 307 8718 SH SOLE 0 8718 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 443 33631 SH SOLE 0 33631 0 0 CARROLS RESTAURANT GROUP INC COM 14574X104 92 50340 SH SOLE 0 50340 0 0 CATALYST PHARMACEUTICALS INC COM 14888U101 70 18270 SH SOLE 0 18270 0 0 CBOE GLOBAL MARKETS INC COM 12503M108 340 3807 SH SOLE 0 3807 0 0 CLOUDERA INC COM 18914U100 2316 294305 SH SOLE 0 294305 0 0 CONCHO RES INC COM 20605P101 269 6267 SH SOLE 0 6267 0 0 CONNS INC COM 208242107 84 20000 SH SOLE 0 20000 0 0 CORCEPT THERAPEUTICS INC COM 218352102 7943 668020 SH SOLE 0 668020 0 0 COSTCO WHSL CORP NEW COM 22160K105 664 2327 SH SOLE 0 2327 0 0 DBX ETF TR XTRACK MSCI ALL 233051820 251 10863 SH SOLE 0 10863 0 0 DEVON ENERGY CORP NEW COM 25179M103 334 48363 SH SOLE 0 48363 0 0 DIAMONDBACK ENERGY INC COM 25278X109 359 13710 SH SOLE 0 13710 0 0 DIREXION SHS ETF TR NAS100 EQL WGT 25459Y207 211 4548 SH SOLE 0 4548 0 0 DISNEY WALT CO COM DISNEY 254687106 798 8257 SH SOLE 0 8257 0 0 EATON VANCE MUN BD FD COM COM 27827X101 286 22915 SH SOLE 0 22915 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 59 12843 SH SOLE 0 12843 0 0 ENSTAR GROUP LIMITED SHS G3075P101 398 2500 SH SOLE 0 2500 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 298 20842 SH SOLE 0 20842 0 0 ETFIS SER TR I INFRACP REIT PFD 26923G400 343 19300 SH SOLE 0 19300 0 0 FACEBOOK INC CL A 30303M102 4635 27788 SH SOLE 0 27788 0 0 GENCO SHIPPING & TRADING LTD SHS Y2685T131 112 17508 SH SOLE 0 17508 0 0 GOLDEN OCEAN GROUP LTD SHS NEW G39637205 204 65215 SH SOLE 0 65215 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 420 2717 SH SOLE 0 2717 0 0 GRIFFON CORP CORP COM 398433102 2115 167210 SH SOLE 0 167210 0 0 HALLIBURTON CO CO COM 406216101 296 43184 SH SOLE 0 43184 0 0 HDFC BANK LTD SPONSORED ADS 40415F101 433 11250 SH SOLE 0 11250 0 0 INGEVITY CORP COM 45688C107 272 7718 SH SOLE 0 7718 0 0 INTEL CORP COM 458140100 208 3839 SH SOLE 0 3839 0 0 INVESCO ACTIVELY MANAGED ETF VAR RATE INVT 46090A879 924 40655 SH SOLE 0 40655 0 0 INVESCO EXCHANGE TRADED FD T FINL PFD ETF 46137V621 1892 112042 SH SOLE 0 112042 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 270 3213 SH SOLE 0 3213 0 0 INVESCO EXCHANGE-TRADED FD T PFD ETF 46138E511 2250 171000 SH SOLE 0 171000 0 0 INVESCO EXCHANGE-TRADED FD T S&P500 LOW VOL 46138E354 1487 31682 SH SOLE 0 31682 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 111184 583950 SH SOLE 0 583950 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1115 27560 SH SOLE 0 27560 0 0 ISHARES INC MSCI EMRG CHN 46434G764 206 5807 SH SOLE 0 5807 0 0 ISHARES INC MSCI RUSSIA ETF 46434G798 333 12000 SH SOLE 0 12000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 222 6497 SH SOLE 0 6497 0 0 ISHARES TR MSCI KLD400 SOC 464288570 818 8397 SH SOLE 0 8397 0 0 ISHARES TR CALIF MUN BD ETF 464288356 990 16351 SH SOLE 0 16351 0 0 ISHARES TR CORE 1 5 YR USD 46432F859 3257 64500 SH SOLE 0 64500 0 0 ISHARES TR CORE S&P MCP ETF 464287507 511 3551 SH SOLE 0 3551 0 0 ISHARES TR CORE S&P SCP ETF 464287804 359 6398 SH SOLE 0 6398 0 0 ISHARES TR CORE S&P500 ETF 464287200 3522 13630 SH SOLE 0 13630 0 0 ISHARES TR CORE US AGGBD ET 464287226 100351 869816 SH SOLE 0 869816 0 0 ISHARES TR EDGE MSCI USA VL 46432F388 605 9600 SH SOLE 0 9600 0 0 ISHARES TR ESG MSCI EAFE 46435G516 241 4536 SH SOLE 0 4536 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 409 8391 SH SOLE 0 8391 0 0 ISHARES TR HDG MSCI EAFE 46434V803 953 39347 SH SOLE 0 39347 0 0 ISHARES TR MBS ETF 464288588 814 7368 SH SOLE 0 7368 0 0 ISHARES TR MIN VOL EAFE ETF 46429B689 451 7267 SH SOLE 0 7267 0 0 ISHARES TR MSCI MIN VOL ETF 46429B697 81664 1512024 SH SOLE 0 1512024 0 0 ISHARES TR MSCI USA ESG SLC 464288802 1008 9180 SH SOLE 0 9180 0 0 ISHARES TR NATIONAL MUN ETF 464288414 740 6550 SH SOLE 0 6550 0 0 ISHARES TR PFD AND INCM SEC 464288687 2716 85305 SH SOLE 0 85305 0 0 ISHARES TR RUS 1000 ETF 464287622 495 3494 SH SOLE 0 3494 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1064 7063 SH SOLE 0 7063 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 700 7056 SH SOLE 0 7056 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 533 6502 SH SOLE 0 6502 0 0 ISHARES TR RUS MD CP GR ETF 464287481 244 2004 SH SOLE 0 2004 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 421 3676 SH SOLE 0 3676 0 0 ISHARES TR TIPS BD ETF 464287176 821 6964 SH SOLE 0 6964 0 0 ISHARES TR U.S. TECH ETF 464287721 456 2233 SH SOLE 0 2233 0 0 ISHARES TR USA QUALITY FCTR 46432F339 31471 388345 SH SOLE 0 388345 0 0 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 4590 92417 SH SOLE 0 92417 0 0 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 1995 40500 SH SOLE 0 40500 0 0 JPMORGAN CHASE & CO COM 46625H100 1989 22091 SH SOLE 0 22091 0 0 KKR REAL ESTATE FIN TR INC COM 48251K100 640 42610 SH SOLE 0 42610 0 0 LANDMARK INFRASTRUCTURE LP COM UNIT LTD 51508J108 258 24447 SH SOLE 0 24447 0 0 MARATHON OIL CORP COM 565849106 317 96323 SH SOLE 0 96323 0 0 MARTIN MARIETTA MATLS INC COM 573284106 609 3220 SH SOLE 0 3220 0 0 MGM RESORTS INTERNATIONAL COM 552953101 478 40518 SH SOLE 0 40518 0 0 MICROSOFT CORP COM 594918104 5489 34805 SH SOLE 0 34805 0 0 NETFLIX INC COM 64110L106 1567 4174 SH SOLE 0 4174 0 0 NEW MTN FIN CORP COM 647551100 302 44413 SH SOLE 0 44413 0 0 NEWTEK BUSINESS SVCS CORP COM NEW 652526203 369 27951 SH SOLE 0 27951 0 0 NUVEEN MASSACHUSETS QLT MUN COM 67061E104 573 42438 SH SOLE 0 42438 0 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 1430 114435 SH SOLE 0 114435 0 0 NUVEEN NEW YORK QLT MUN INC COM 67066X107 609 46377 SH SOLE 0 46377 0 0 PERKINELMER INC COM 714046109 263 3493 SH SOLE 0 3493 0 0 PHILLIPS 66 COM 718546104 264 4922 SH SOLE 0 4922 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 700 7072 SH SOLE 0 7072 0 0 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 1989 20092 SH SOLE 0 20092 0 0 PIONEER NAT RES CO COM 723787107 278 3960 SH SOLE 0 3960 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 459 87019 SH SOLE 0 87019 0 0 POST HLDGS INC COM 737446104 448 5400 SH SOLE 0 5400 0 0 PROSHARES TR LARGE CAP CRE 74347R248 785 13258 SH SOLE 0 13258 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 237 19900 SH SOLE 0 19900 0 0 RED ROCK RESORTS INC CL A 75700L108 473 55311 SH SOLE 0 55311 0 0 RINGCENTRAL INC CL A 76680R206 516 2437 SH SOLE 0 2437 0 0 SALESFORCE COM INC COM 79466L302 7716 53592 SH SOLE 0 53592 0 0 SCHWAB CHARLES CORP COM 808513105 834 24803 SH SOLE 0 24803 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 266 12858 SH SOLE 0 12858 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 4971 192358 SH SOLE 0 192358 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 740 14296 SH SOLE 0 14296 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 11431 210629 SH SOLE 0 210629 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 5173 85601 SH SOLE 0 85601 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 3458 76873 SH SOLE 0 76873 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 4872 61169 SH SOLE 0 61169 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 1142 25802 SH SOLE 0 25802 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 94468 1542330 SH SOLE 0 1542330 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1147 27197 SH SOLE 0 27197 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 3800 73749 SH SOLE 0 73749 0 0 SCORPIO BULKERS INC COM Y7546A122 86 33958 SH SOLE 0 33958 0 0 SM ENERGY CO COM 78454L100 40 32593 SH SOLE 0 32593 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 2641 12048 SH SOLE 0 12048 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1879 12694 SH SOLE 0 12694 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 10970 42563 SH SOLE 0 42563 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 877 3400 SH Put SOLE 0 1500 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 20215 413393 SH SOLE 0 413393 0 0 SPDR SER TR S&P DIVID ETF 78464A763 753 9430 SH SOLE 0 9430 0 0 SQUARE INC CL A 852234103 226 4317 SH SOLE 0 4317 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 4526 94363 SH SOLE 0 94363 0 0 TALLGRASS ENERGY LP CLASS A SHS 874696107 606 36808 SH SOLE 0 36808 0 0 TAYLOR MORRISON HOME CORP COM 87724P106 303 27548 SH SOLE 0 27548 0 0 TEXAS INSTRS INC COM 882508104 242 2420 SH SOLE 0 2420 0 0 TILLYS INC CL A 886885102 185 44793 SH SOLE 0 44793 0 0 TPG RE FIN TR INC COM 87266M107 206 37547 SH SOLE 0 37547 0 0 TPG SPECIALTY LENDING INC COM 87265K102 3516 252592 SH SOLE 0 252592 0 0 UBS AG LONDON BRANCH 2X LVRG LNG EXCH 90267B765 55 22500 SH SOLE 0 22500 0 0 UNDER ARMOUR INC CL A 904311107 396 42966 SH SOLE 0 42966 0 0 UNITED AIRLS HLDGS INC COM 910047109 487 15448 SH SOLE 0 15448 0 0 UNITED STS 12 MONTH OIL FD L UNIT BEN INT 91288V103 123 10000 SH SOLE 0 10000 0 0 VANECK VECTORS ETF TR AMT FREE INT ETF 92189H201 13123 267131 SH SOLE 0 267131 0 0 VANGUARD BD INDEX FDS INTERMED TERM 921937819 5491 61472 SH SOLE 0 61472 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 8041 97850 SH SOLE 0 97850 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6047 46911 SH SOLE 0 46911 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 387 2469 SH SOLE 0 2469 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1396 11785 SH SOLE 0 11785 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 203 2497 SH SOLE 0 2497 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 233 1770 SH SOLE 0 1770 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 564 8079 SH SOLE 0 8079 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 45851 193610 SH SOLE 0 193610 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 312 2706 SH SOLE 0 2706 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 246 2767 SH SOLE 0 2767 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 342 10187 SH SOLE 0 10187 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 409 9461 SH SOLE 0 9461 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 826 13157 SH SOLE 0 13157 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 3024 34726 SH SOLE 0 34726 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 517 6540 SH SOLE 0 6540 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 897 8675 SH SOLE 0 8675 0 0 VANGUARD STAR FDS VG TL INTL STK F 921909768 768 18308 SH SOLE 0 18308 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 301 9018 SH SOLE 0 9018 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 26171 684753 SH SOLE 0 684753 0 0 VERASTEM INC COM 92337C104 90 34166 SH SOLE 0 34166 0 0 VISA INC COM CL A 92826C839 1120 6954 SH SOLE 0 6954 0 0 VULCAN MATLS CO COM 929160109 486 4500 SH SOLE 0 4500 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 211 5000 SH SOLE 0 5000 0 0 WISDOMTREE TR INDIA ERNGS FD 97717W422 292 18000 SH SOLE 0 18000 0 0 WISDOMTREE TR YIELD ENHANCD US 97717X511 223 4327 SH SOLE 0 4327 0 0 ZIMMER BIOMET HOLDINGS INC INC COM 98956P102 243 2400 SH SOLE 0 2400 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 604 4137 SH SOLE 0 4137 0 0