0001415889-23-014516.txt : 20231025 0001415889-23-014516.hdr.sgml : 20231025 20231025150840 ACCESSION NUMBER: 0001415889-23-014516 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231025 DATE AS OF CHANGE: 20231025 EFFECTIVENESS DATE: 20231025 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC. CENTRAL INDEX KEY: 0000702007 IRS NUMBER: 942799654 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-22901 FILM NUMBER: 231345395 BUSINESS ADDRESS: STREET 1: 30 LIBERTY SHIP WAY #3225 CITY: SAUSALITO STATE: CA ZIP: 94965-3324 BUSINESS PHONE: 415-367-4981 MAIL ADDRESS: STREET 1: PO BOX 190 CITY: SAUSALITO STATE: CA ZIP: 94966-0190 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INC DATE OF NAME CHANGE: 20100708 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INCORPORATED DATE OF NAME CHANGE: 20041201 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES INC /BD DATE OF NAME CHANGE: 19820422 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0000702007 XXXXXXXX 09-30-2023 09-30-2023 CALDWELL SUTTER CAPITAL, INC.

PO BOX 190 SAUSALITO CA 94966-0190

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3027 143 SH SOLE 0 0 143 ISHARES NEW 464285204 96397 2755 SH SOLE 0 0 2755 IBOXX HI YD ETF 464288513 50351 683 SH SOLE 0 0 683 IBOXX INV CP ETF 464287242 124464 1220 SH SOLE 0 0 1220 INTRM GOV CR ETF 464288612 17226 170 SH SOLE 0 0 170 JPMORGAN USD EMG 464288281 3878 47 SH SOLE 0 0 47 MBS ETF 464288588 114286 1287 SH SOLE 0 0 1287 MSCI ACWI ETF 464288257 25402 275 SH SOLE 0 0 275 MSCI AC ASIA ETF 464288182 349060 5497 SH SOLE 0 0 5497 MSCI AUST ETF 464286103 10712 498 SH SOLE 0 0 498 MSCI BELGIUM ETF 464286301 2424 140 SH SOLE 0 0 140 MSCI CDA ETF 464286509 18303 547 SH SOLE 0 0 547 MSCI EAFE ETF 464287465 17092 248 SH SOLE 0 0 248 MSCI EAFE MIN VL 46429B689 6718 103 SH SOLE 0 0 103 EAFE SML CP ETF 464288273 282 5 SH SOLE 0 0 5 EAFE VALUE ETF 464288877 245 5 SH SOLE 0 0 5 MSCI EM ASIA ETF 464286426 10894 173 SH SOLE 0 0 173 MSCI EMG MKT ETF 464287234 13434 354 SH SOLE 0 0 354 MSCI EMRG CHN 46434G764 6179 124 SH SOLE 0 0 124 MSCI EURZONE ETF 464286608 19768 468 SH SOLE 0 0 468 MSCI GERMANY ETF 464286806 42470 1621 SH SOLE 0 0 1621 MSCI GBL MIN VOL 464286525 15458 162 SH SOLE 0 0 162 MSCI JPN ETF NEW 46434G822 904 15 SH SOLE 0 0 15 MSCI SWITZERLAND 464286749 6100 140 SH SOLE 0 0 140 MSCI TAIWAN ETF 46434G772 10915 245 SH SOLE 0 0 245 MSCI UK ETF NEW 46435G334 24584 777 SH SOLE 0 0 777 MSCI USA ESG SLC 464288802 1979 22 SH SOLE 0 0 22 MSCI USA MIN VOL 46429B697 46757 646 SH SOLE 0 0 646 PFD AND INCM SEC 464288687 41758 1385 SH SOLE 0 0 1385 RESIDENTIAL MULT 464288562 594 9 SH SOLE 0 0 9 RUS 1000 GRW ETF 464287614 82457 310 SH SOLE 0 0 310 RUS 1000 VAL ETF 464287598 116901 770 SH SOLE 0 0 770 RUSSELL 2000 ETF 464287655 101272 573 SH SOLE 0 0 573 RUS 2000 GRW ETF 464287648 7397 33 SH SOLE 0 0 33 RUS 2000 VAL ETF 464287630 6506 48 SH SOLE 0 0 48 RUS MID CAP ETF 464287499 334616 4832 SH SOLE 0 0 4832 RUS MD CP GR ETF 464287481 9318 102 SH SOLE 0 0 102 RUS BDCP VAL ETF 464287473 6782 65 SH SOLE 0 0 65 SP SMCP600VL ETF 464287879 9100 102 SH SOLE 0 0 102 SELECT DIVID ETF 464287168 32292 300 SH SOLE 0 0 300 ISHARES 46428Q109 3254 160 SH SOLE 0 0 160 TIPS BD ETF 464287176 24063 232 SH SOLE 0 0 232 TRS FLT RT BD 46434V860 28922 570 SH SOLE 0 0 570 US AER DEF ETF 464288760 43554 411 SH SOLE 0 0 411 U.S. BAS MTL ETF 464287838 22738 180 SH SOLE 0 0 180 US CONSM STAPLES 464287812 50917 273 SH SOLE 0 0 273 U.S. ENERGY ETF 464287796 37944 800 SH SOLE 0 0 800 U.S. FINLS ETF 464287788 47921 641 SH SOLE 0 0 641 US HLTHCARE ETF 464287762 244143 904 SH SOLE 0 0 904 US INDUSTRIALS 464287754 20178 200 SH SOLE 0 0 200 US OIL GS EX ETF 464288851 19506 200 SH SOLE 0 0 200 U.S. REAL ES ETF 464287739 12971 166 SH SOLE 0 0 166 US TREAS BD ETF 46429B267 4783 217 SH SOLE 0 0 217 CLO ETF 47103U845 18924 376 SH SOLE 0 0 376 COM NEW 47733C207 19530 4200 SH SOLE 0 0 4200 COM 478160104 775202 4977 SH SOLE 0 0 4977 SHS G51502105 28999 545 SH SOLE 0 0 545 COM 48020Q107 1412 10 SH SOLE 0 0 10 BETABULDRS JAPAN 46641Q217 20247 403 SH SOLE 0 0 403 COM 46625H100 1340420 9243 SH SOLE 0 0 9243 EQUITY PREMIUM 46641Q332 45633 852 SH SOLE 0 0 852 COM 486606106 1546364 183872 SH SOLE 0 0 183872 COM 48242W106 58940 1000 SH SOLE 0 0 1000 COM 487836108 277852 4669 SH SOLE 0 0 4669 COM 49177J102 803 40 SH SOLE 0 0 40 COM 493267108 212230 19724 SH SOLE 0 0 19724 COM 49338L103 704022 5321 SH SOLE 0 0 5321 COM 494368103 427979 3541 SH SOLE 0 0 3541 COM 49446R109 2920 166 SH SOLE 0 0 166 COM 49456B101 203735 12288 SH SOLE 0 0 12288 NEW CL A 02215L209 2993263 88689 SH SOLE 0 0 88689 COMMON STOCK 498894104 30177 618 SH SOLE 0 0 618 SHS NEW 500472303 27495 1379 SH SOLE 0 0 1379 COM 500754106 11505 342 SH SOLE 0 0 342 COM NEW 50077B207 97630 6500 SH SOLE 0 0 6500 COMMON STOCK 50155Q100 15659 1037 SH SOLE 0 0 1037 COM 502431109 25073 144 SH SOLE 0 0 144 COM 512807108 147291 235 SH SOLE 0 0 235 COM 513272104 18492 200 SH SOLE 0 0 200 CL A 518439104 3036 21 SH SOLE 0 0 21 COM NEW 52187K200 6 4 SH SOLE 0 0 4 COM 526107107 3744 10 SH SOLE 0 0 10 COM 50186A108 424367 98920 SH SOLE 0 0 98920 COM SER C 530307305 16346 179 SH SOLE 0 0 179 COM LBTY LIV S C 531229722 225 7 SH SOLE 0 0 7 COM LBTY ONE S C 531229755 10653 171 SH SOLE 0 0 171 COM 532746104 827 54 SH SOLE 0 0 54 COM 534187109 889 36 SH SOLE 0 0 36 NEW COM NEW 53630X203 1404 471 SH SOLE 0 0 471 COM 538034109 3322 40 SH SOLE 0 0 40 COM 55003T107 16 5 SH SOLE 0 0 5 COM 539830109 653927 1599 SH SOLE 0 0 1599 COM 548661107 344807 1659 SH SOLE 0 0 1659 COM 549498103 5590 1000 SH SOLE 0 0 1000 COM 550021109 77122 200 SH SOLE 0 0 200 COM 550241103 273 192 SH SOLE 0 0 192 COM 55024U109 136 3 SH SOLE 0 0 3 COM 550550107 2100 250 SH SOLE 0 0 250 SHS - A - N53745100 2273 24 SH SOLE 0 0 24 COM CL A 558256103 165 5 SH SOLE 0 0 5 CL A 55825T103 882 5 SH SOLE 0 0 5 COM 56064Y100 181122 8818 SH SOLE 0 0 8818 COM 563420108 801956 171725 SH SOLE 0 0 171725 COM 56501R106 2523 138 SH SOLE 0 0 138 COM 565849106 9015 337 SH SOLE 0 0 337 COM 56585A102 51304 339 SH SOLE 0 0 339 NEW CL A 571903202 39312 200 SH SOLE 0 0 200 COM 57164Y107 1711 17 SH SOLE 0 0 17 COM 571748102 53855 283 SH SOLE 0 0 283 COM 573874104 158547 2929 SH SOLE 0 0 2929 COM 575385109 2331 25 SH SOLE 0 0 25 CL A 57636Q104 361070 912 SH SOLE 0 0 912 COM 577081102 37231 1690 SH SOLE 0 0 1690 COM 580135101 992378 3767 SH SOLE 0 0 3767 COM 58155Q103 6523 15 SH SOLE 0 0 15 COM 552690109 28881 1475 SH SOLE 0 0 1475 COM 58463J304 5450 1000 SH SOLE 0 0 1000 SHS G5960L103 295025 3765 SH SOLE 0 0 3765 COM 58733R102 1268 1 SH SOLE 0 0 1 COM 58933Y105 919755 8934 SH SOLE 0 0 8934 CL A 30303M102 1000600 3333 SH SOLE 0 0 3333 COM 59151K108 1126 25 SH SOLE 0 0 25 COM 59156R108 104745 1665 SH SOLE 0 0 1665 COM 592770101 12988 1000 SH SOLE 0 0 1000 COM 552953101 33452 910 SH SOLE 0 0 910 COM 595017104 2966 38 SH SOLE 0 0 38 COM 595112103 37757 555 SH SOLE 0 0 555 COM 594918104 3391777 10742 SH SOLE 0 0 10742 SPONSORED ADS 606822104 5170 609 SH SOLE 0 0 609 COM 607828100 1105869 24172 SH SOLE 0 0 24172 CL B 60871R209 17360 273 SH SOLE 0 0 273 CL A 609207105 85778 1236 SH SOLE 0 0 1236 COM NEW 617446448 75871 929 SH SOLE 0 0 929 COM CL A 553368101 1910 100 SH SOLE 0 0 100 COM 553498106 5659477 35899 SH SOLE 0 0 35899 COM 55380K109 116716 6596 SH SOLE 0 0 6596 COM 631103108 145770 3000 SH SOLE 0 0 3000 CL A 638517102 1049976 2400 SH SOLE 0 0 2400 COM NEW 638842302 2898369 446590 SH SOLE 0 0 446590 NEW COM 62886E108 539 20 SH SOLE 0 0 20 COM 64110D104 33994 448 SH SOLE 0 0 448 COM 64110L106 27187 72 SH SOLE 0 0 72 DEPOSITORY RCPT 644206104 2236994 33639 SH SOLE 0 0 33639 COM 651639106 25200 682 SH SOLE 0 0 682 COM NEW 65340G205 274443 31509 SH SOLE 0 0 31509 COM 65341D102 2124 66 SH SOLE 0 0 66 COM 65339F101 260383 4545 SH SOLE 0 0 4545 COM NEW 65373J209 813260 170071 SH SOLE 0 0 170071 COM 65406E102 78782 1129 SH SOLE 0 0 1129 CL B 654106103 204914 2143 SH SOLE 0 0 2143 COM 65473P105 24680 1000 SH SOLE 0 0 1000 SHS G6564A105 18599 1222 SH SOLE 0 0 1222 COM 655844108 354474 1800 SH SOLE 0 0 1800 COM 664121100 147600 10000 SH SOLE 0 0 10000 COM 666762109 489981 12367 SH SOLE 0 0 12367 COM 666807102 22890 52 SH SOLE 0 0 52 COM NEW 670002401 181 25 SH SOLE 0 0 25 ADR 670100205 20189 222 SH SOLE 0 0 222 COM 670346105 374927 2398 SH SOLE 0 0 2398 COM 67058H102 10534 604 SH SOLE 0 0 604 COM 67077M108 42553 689 SH SOLE 0 0 689 COM STK 67062C107 9031 1100 SH SOLE 0 0 1100 COM 67072T108 21001 2558 SH SOLE 0 0 2558 COM 67072C105 211347 34254 SH SOLE 0 0 34254 COM 67066G104 218147 502 SH SOLE 0 0 502 COM 62944T105 5963 1 SH SOLE 0 0 1 COM N6596X109 1999 10 SH SOLE 0 0 10 COM 671807105 25 1 SH SOLE 0 0 1 COM 674599105 51163 789 SH SOLE 0 0 789 *W EXP 08/03/202 674599162 1341 31 SH SOLE 0 0 31 COM 675234108 115239 7964 SH SOLE 0 0 7964 SHS BEN INT 67623C109 21677 5287 SH SOLE 0 0 5287 COM 679580100 4910 12 SH SOLE 0 0 12 COM 680033107 675994 46492 SH SOLE 0 0 46492 COM 680223104 175110 6500 SH SOLE 0 0 6500 COM 681919106 5512 74 SH SOLE 0 0 74 COM 682189105 11247 121 SH SOLE 0 0 121 NEW COM 682680103 558691 8808 SH SOLE 0 0 8808 COM 68389X105 71178 672 SH SOLE 0 0 672 COMMON STOCK 68622V106 7031 405 SH SOLE 0 0 405 COM 68629Y103 2714 521 SH SOLE 0 0 521 COM 688239201 2386 25 SH SOLE 0 0 25 COM 68902V107 110025 1370 SH SOLE 0 0 1370 COM 69047Q102 68977 1450 SH SOLE 0 0 1450 NEW COM 690732102 6464 400 SH SOLE 0 0 400 COM 693718108 19130 225 SH SOLE 0 0 225 PAC ASSET FLTG 69374H428 1867 40 SH SOLE 0 0 40 US CASH COWS 100 69374H881 12605 255 SH SOLE 0 0 255 COM 697435105 87681 374 SH SOLE 0 0 374 COM 698813102 6140 90 SH SOLE 0 0 90 COM 92556H206 12178 944 SH SOLE 0 0 944 COM 700885106 1636673 100471 SH SOLE 0 0 100471 COM 70319R109 204871 15373 SH SOLE 0 0 15373 COM NEW 70336F203 1117407 151001 SH SOLE 0 0 151001 COM 70450Y103 17246 295 SH SOLE 0 0 295 COM 70805E109 557 50 SH SOLE 0 0 50 COM 713448108 1705530 10066 SH SOLE 0 0 10066 COM 714167103 1940841 237557 SH SOLE 0 0 237557 COM 717081103 2315051 69794 SH SOLE 0 0 69794 COM 69331C108 193657 12006 SH SOLE 0 0 12006 COM NEW 71715X104 4 2 SH SOLE 0 0 2 COM 718172109 277092 2993 SH SOLE 0 0 2993 COM 718546104 186277 1550 SH SOLE 0 0 1550 ACTIVE BD ETF 72201R775 1074396 12223 SH SOLE 0 0 12223 COM 72200M108 15060 3000 SH SOLE 0 0 3000 SHS 72201Y101 22274 1289 SH SOLE 0 0 1289 ENHNCD LW DUR AC 72201R718 685427 7312 SH SOLE 0 0 7312 CL A 72352L106 270 10 SH SOLE 0 0 10 COM 724479100 2265 750 SH SOLE 0 0 750 UNIT LTD PARTN 726503105 160815 10497 SH SOLE 0 0 10497 COM 729273102 27312 800 SH SOLE 0 0 800 COM 693475105 174088 1418 SH SOLE 0 0 1418 COM 73278L105 712 2 SH SOLE 0 0 2 COM 73933H101 638 550 SH SOLE 0 0 550 COM 69351T106 872 37 SH SOLE 0 0 37 CL A 74051N102 774 36 SH SOLE 0 0 36 COM 74144T108 25379 242 SH SOLE 0 0 242 COM 742718109 750771 5147 SH SOLE 0 0 5147 COM 74316X101 556 200 SH SOLE 0 0 200 COM NPV 74319R101 266 8 SH SOLE 0 0 8 COM 743315103 12955 93 SH SOLE 0 0 93 COM 74340W103 2244 20 SH SOLE 0 0 20 LARGE CAP CRE 74347R248 172299 3530 SH SOLE 0 0 3530 MSCI EMRG MKTS 74347B847 1298 30 SH SOLE 0 0 30 MSCI EUR DIV 74347B540 39653 943 SH SOLE 0 0 943 RUSS 2000 DIVD 74347B698 102070 1804 SH SOLE 0 0 1804 S&P 500 DV ARIST 74348A467 110688 1250 SH SOLE 0 0 1250 S&P MDCP 400 DIV 74347B680 172256 2581 SH SOLE 0 0 2581 COM 744320102 233809 2464 SH SOLE 0 0 2464 COM NEW 744375205 119 30 SH SOLE 0 0 30 COM 74460D109 27143 103 SH SOLE 0 0 103 COM 745867101 5109 69 SH SOLE 0 0 69 COM 74736K101 2960 31 SH SOLE 0 0 31 QUADRTC INT RT 500767736 1028 50 SH SOLE 0 0 50 COM 747525103 545971 4916 SH SOLE 0 0 4916 COM 74762E102 1871 10 SH SOLE 0 0 10 COM CL A 74767V109 7526 1125 SH SOLE 0 0 1125 COM 75508B104 15930 4500 SH SOLE 0 0 4500 COM 754907103 12807 450 SH SOLE 0 0 450 CL A 755408101 2120 1000 SH SOLE 0 0 1000 COM 756109104 657760 13171 SH SOLE 0 0 13171 COM 758075402 12335 1730 SH SOLE 0 0 1730 SPONSORED ADR 759530108 3842 114 SH SOLE 0 0 114 COM 76118Y104 13161 833 SH SOLE 0 0 833 COM 76131D103 176610 2651 SH SOLE 0 0 2651 SPONSORED ADR 767204100 2546 40 SH SOLE 0 0 40 COM 767754872 3 7 SH SOLE 0 0 7 COM 769397100 102860 18500 SH SOLE 0 0 18500 COM CL A 76954A103 6119 252 SH SOLE 0 0 252 CUM CONV PFD A 74965L200 86580 3600 SH SOLE 0 0 3600 CL A 74967R106 112571 4591 SH SOLE 0 0 4591 COM CL A 770700102 49 5 SH SOLE 0 0 5 CL A 771049103 203 7 SH SOLE 0 0 7 COM 773903109 2573 9 SH SOLE 0 0 9 COM CL A 77543R102 8471 120 SH SOLE 0 0 120 COM 775711104 373 10 SH SOLE 0 0 10 COM 776696106 4843 10 SH SOLE 0 0 10 COM 778296103 2711 24 SH SOLE 0 0 24 ROUNDHILL BALL 53656F417 23605 2490 SH SOLE 0 0 2490 COM 780087102 34539 395 SH SOLE 0 0 395 COM 780287108 2127 20 SH SOLE 0 0 20 COM 75513E101 254486 3536 SH SOLE 0 0 3536 COM 79466L302 37109 183 SH SOLE 0 0 183 SPONSORED ADR 80105N105 3755 70 SH SOLE 0 0 70 COM STK 806857108 358545 6150 SH SOLE 0 0 6150 COM 808513105 25693 468 SH SOLE 0 0 468 US REIT ETF 808524847 2130 120 SH SOLE 0 0 120 US TIPS ETF 808524870 1161 23 SH SOLE 0 0 23 COM 808625107 633 6 SH SOLE 0 0 6 CL A 810186106 620 12 SH SOLE 0 0 12 NEW COM 81211K100 11370 346 SH SOLE 0 0 346 COM 816851109 4490 66 SH SOLE 0 0 66 NEW CL A 817070501 558271 10371 SH SOLE 0 0 10371 COM 817565104 2914 51 SH SOLE 0 0 51 COM 81762P102 3354 6 SH SOLE 0 0 6 SPON ADS 780259305 47577 739 SH SOLE 0 0 739 COM 82489T104 1991 10 SH SOLE 0 0 10 COM 82657M105 6740 2000 SH SOLE 0 0 2000 SPONSORED ADR 82706C108 1640 32 SH SOLE 0 0 32 NEW COM 828806109 53043 491 SH SOLE 0 0 491 COM 82968B103 5 1 SH SOLE 0 0 1 COM CL A 83067L208 51 10 SH SOLE 0 0 10 COM NEW 83190L208 607570 28431 SH SOLE 0 0 28431 COM 832156103 190802 10037 SH SOLE 0 0 10037 CL A 83304A106 891 100 SH SOLE 0 0 100 COM 833034101 2040 8 SH SOLE 0 0 8 CL A 833445109 4278 28 SH SOLE 0 0 28 CLASS A COM 83422N105 3030 1500 SH SOLE 0 0 1500 COM 83600C103 2222 1315 SH SOLE 0 0 1315 COM 842587107 76628 1184 SH SOLE 0 0 1184 COM 843878307 553319 24494 SH SOLE 0 0 24494 COM 844741108 37763 1395 SH SOLE 0 0 1395 BLOOMBERG 1-3 MO 78468R663 23139 252 SH SOLE 0 0 252 BBG CONV SEC ETF 78464A359 10170 150 SH SOLE 0 0 150 BLOOMBERG INVT 78468R200 17234 561 SH SOLE 0 0 561 SPDR TR TACTIC 78467V848 15924 412 SH SOLE 0 0 412 GOLD SHS 78463V107 25889 151 SH SOLE 0 0 151 ICE PFD SEC ETF 78464A292 4479 138 SH SOLE 0 0 138 SPDR MSCI USA GE 78468R747 1530 18 SH SOLE 0 0 18 NUVEEN BLOOMBERG 78464A284 3335 140 SH SOLE 0 0 140 PORTFOLIO DEVLPD 78463X889 18234 588 SH SOLE 0 0 588 COMPOSITE STOCK MARKET ETF 78464A805 15957 304 SH SOLE 0 0 304 PORTFOLIO S&P400 78464A847 1051 24 SH SOLE 0 0 24 PORTFOLIO S&P500 78464A854 37544 747 SH SOLE 0 0 747 PORTFLO S&P500 GW 78464A409 59280 1000 SH SOLE 0 0 1000 PRTFLO S&P500 HI 78468R788 22971 655 SH SOLE 0 0 655 PORTFOLIO S&P500 78468R853 25350 687 SH SOLE 0 0 687 PORTFOLIO SHORT 78464A474 16918 577 SH SOLE 0 0 577 TR UNIT 78462F103 111572 261 SH SOLE 0 0 261 S&P BK ETF 78464A797 17680 480 SH SOLE 0 0 480 S&P BIOTECH 78464A870 3870 53 SH SOLE 0 0 53 S&P DIVID ETF 78464A763 123636 1075 SH SOLE 0 0 1075 S&P METALS MNG 78464A755 45990 876 SH SOLE 0 0 876 UTSER1 S&PDCRP 78467Y107 3196 7 SH SOLE 0 0 7 CL A 55826T102 186 5 SH SOLE 0 0 5 COM 848637104 2779 19 SH SOLE 0 0 19 SHS L8681T102 2320 15 SH SOLE 0 0 15 COM NEW 852066208 10665 350 SH SOLE 0 0 350 TR UNIT 85208R101 88332 5100 SH SOLE 0 0 5100 TR UNIT 85207K107 78074 10300 SH SOLE 0 0 10300 COM 85209E109 2260 1000 SH SOLE 0 0 1000 COM 101507101 182291 14044 SH SOLE 0 0 14044 COM CL A 85256A109 332521 70900 SH SOLE 0 0 70900 COM 854502101 69873 836 SH SOLE 0 0 836 COM 855244109 753221 8253 SH SOLE 0 0 8253 CL A 855668109 2150 200 SH SOLE 0 0 200 COM 85569C107 4063 1250 SH SOLE 0 0 1250 COM 85571B105 2361 122 SH SOLE 0 0 122 COM 857477103 354888 5300 SH SOLE 0 0 5300 LTD PRTRSHIP U 85814R107 370393 8711 SH SOLE 0 0 8711 COM 858912108 894 20 SH SOLE 0 0 20 COM 863667101 4646 17 SH SOLE 0 0 17 COM 864159108 419879 8056 SH SOLE 0 0 8056 COM 866264203 3179449 197956 SH SOLE 0 0 197956 COM 866674104 710 6 SH SOLE 0 0 6 COM 867652406 3702 600 SH SOLE 0 0 600 NEW COM 867892101 140250 15000 SH SOLE 0 0 15000 COMMON STOCK 871332102 11251 256 SH SOLE 0 0 256 CL A 87166B102 0 0 SH SOLE 0 0 0 COM 871829107 6605 100 SH SOLE 0 0 100 SPONSORED ADS 874039100 8516 98 SH SOLE 0 0 98 COM 87538X105 8 2 SH SOLE 0 0 2 COM 876030107 2300 80 SH SOLE 0 0 80 COM 87612E106 99734 902 SH SOLE 0 0 902 COM 87807B107 3716 108 SH SOLE 0 0 108 SHS H84989104 3335 27 SH SOLE 0 0 27 COM G87110105 1668 82 SH SOLE 0 0 82 TECHNOLOGY 81369Y803 236059 1440 SH SOLE 0 0 1440 COM NEW 878739200 5445 750 SH SOLE 0 0 750 CL B 878742204 27836 646 SH SOLE 0 0 646 COM 879360105 2860 7 SH SOLE 0 0 7 ADR 87936R205 1727 202 SH SOLE 0 0 202 COM 88076W103 6303 140 SH SOLE 0 0 140 COM 88160R101 45290 181 SH SOLE 0 0 181 COM 882508104 143268 901 SH SOLE 0 0 901 COMPANY INC COM 00258W108 42 4 SH SOLE 0 0 4 COM 125523100 92973 325 SH SOLE 0 0 325 COM CL A 88339J105 1954 25 SH SOLE 0 0 25 COM 883556102 42012 83 SH SOLE 0 0 83 COM 88677Q109 82350 15000 SH SOLE 0 0 15000 COM 88688T100 2873 1202 SH SOLE 0 0 1202 COM 887389104 36745 500 SH SOLE 0 0 500 COM NEW 888314606 1 2 SH SOLE 0 0 2 NEW COM 872540109 5155 58 SH SOLE 0 0 58 CL A 87256C101 2102 25 SH SOLE 0 0 25 COM 872590104 29411 210 SH SOLE 0 0 210 COM NEW 891160509 52245 867 SH SOLE 0 0 867 SPONSORED ADS 89151E109 7299 111 SH SOLE 0 0 111 ADS 892331307 21930 122 SH SOLE 0 0 122 COM 892356106 20305 100 SH SOLE 0 0 100 SHS G8994E103 5073 25 SH SOLE 0 0 25 COM NEW 893617209 153100 5000 SH SOLE 0 0 5000 SHS H8817H100 920 112 SH SOLE 0 0 112 COMPANIES INC COM 89417E109 208057 1274 SH SOLE 0 0 1274 COM 896095106 87090 2719 SH SOLE 0 0 2719 COM 89832Q109 77504 2709 SH SOLE 0 0 2709 COM 90353T100 31043 675 SH SOLE 0 0 675 COM 90278Q108 102400 1000 SH SOLE 0 0 1000 CL A 90364P105 143690 8398 SH SOLE 0 0 8398 COM 90400D108 4385 123 SH SOLE 0 0 123 COM 903002103 1304154 93021 SH SOLE 0 0 93021 CL C 904311206 96 15 SH SOLE 0 0 15 ADR NEW 904767704 26824 543 SH SOLE 0 0 543 COM 907818108 1253954 6158 SH SOLE 0 0 6158 COM 90984P303 1016 40 SH SOLE 0 0 40 CL B 911312106 490145 3145 SH SOLE 0 0 3145 COM 911363109 9781 22 SH SOLE 0 0 22 COM 911460103 74884 10065 SH SOLE 0 0 10065 NEW COM 912909108 126672 3900 SH SOLE 0 0 3900 COM 91324P102 956448 1897 SH SOLE 0 0 1897 COM 91332U101 67802 2160 SH SOLE 0 0 2160 COM 91347P105 157 1 SH SOLE 0 0 1 COM 91680M107 714 25 SH SOLE 0 0 25 COM NEW 902973304 377513 11419 SH SOLE 0 0 11419 COM 912008109 4208 106 SH SOLE 0 0 106 COM 918204108 1096 62 SH SOLE 0 0 62 COM 91879Q109 3106 14 SH SOLE 0 0 14 *W EXP 04/29/202 G9460G119 29140 2000 SH SOLE 0 0 2000 COM 91913Y100 5952 42 SH SOLE 0 0 42 COM 92047W101 2386 74 SH SOLE 0 0 74 GOLD MINERS ETF 92189F106 9203 342 SH SOLE 0 0 342 DIV APP ETF 921908844 1850731 11911 SH SOLE 0 0 11911 ENERGY ETF 92204A306 621279 4902 SH SOLE 0 0 4902 ESG US STK ETF 921910733 10756 143 SH SOLE 0 0 143 ALLWRLD EX US 922042775 2075 40 SH SOLE 0 0 40 FTSE SMCAP ETF 922042718 4248 40 SH SOLE 0 0 40 VAN FTSE DEV MKT 921943858 175265 4009 SH SOLE 0 0 4009 FTSE EMR MKT ETF 922042858 97687 2491 SH SOLE 0 0 2491 GLB EX US ETF 922042676 4204 108 SH SOLE 0 0 108 GROWTH ETF 922908736 938645 3447 SH SOLE 0 0 3447 HIGH DIV YLD 921946406 158183 1531 SH SOLE 0 0 1531 INF TECH ETF 92204A702 23649 57 SH SOLE 0 0 57 INTERMED TERM 921937819 4845 67 SH SOLE 0 0 67 INT-TERM CORP 92206C870 14816 195 SH SOLE 0 0 195 LARGE CAP ETF 922908637 45009 230 SH SOLE 0 0 230 LONG TERM TREAS 92206C847 1721 31 SH SOLE 0 0 31 MID CAP ETF 922908629 253518 1217 SH SOLE 0 0 1217 MCAP VL IDXVIP 922908512 6417 49 SH SOLE 0 0 49 MTG-BKD SECS ETF 92206C771 8712 199 SH SOLE 0 0 199 REAL ESTATE ETF 922908553 36317 480 SH SOLE 0 0 480 VNG RUS1000GRW 92206C680 4106 60 SH SOLE 0 0 60 VNG RUS1000VAL 92206C714 2800 42 SH SOLE 0 0 42 S&P 500 ETF SHS 922908363 302772 771 SH SOLE 0 0 771 SHORT TRM BOND 921937827 7291 97 SH SOLE 0 0 97 SHRT TRM CORP BD 92206C409 50877 677 SH SOLE 0 0 677 STRM INFPROIDX 922020805 10922 231 SH SOLE 0 0 231 SM CP VAL ETF 922908611 22807 143 SH SOLE 0 0 143 SMALL CP ETF 922908751 137848 729 SH SOLE 0 0 729 SML CP GRW ETF 922908595 43693 204 SH SOLE 0 0 204 TOTAL BND MRKT 921937835 23376 335 SH SOLE 0 0 335 VG TL INTL STK F 921909768 39872 745 SH SOLE 0 0 745 TOTAL STK MKT 922908769 1173140 5523 SH SOLE 0 0 5523 VALUE ETF 922908744 495565 3593 SH SOLE 0 0 3593 COM 92243G108 18302 359 SH SOLE 0 0 359 COM 92276F100 5224 124 SH SOLE 0 0 124 COM 92345Y106 2835 12 SH SOLE 0 0 12 COM 923454102 4224 25 SH SOLE 0 0 25 COMMUNICATIONS INC COM 92343V104 799387 24665 SH SOLE 0 0 24665 COM 92532F100 7650 22 SH SOLE 0 0 22 COM 92556V106 18578 1884 SH SOLE 0 0 1884 COM 925550105 165 18 SH SOLE 0 0 18 COM CL A 92645B103 202641 6078 SH SOLE 0 0 6078 SHORT TRM BD ETF 92647N535 8121 166 SH SOLE 0 0 166 COM CL A 92826C839 4020615 17480 SH SOLE 0 0 17480 CL A COM 928563402 2997 18 SH SOLE 0 0 18 SPONSORED ADR 92857W308 12096 1276 SH SOLE 0 0 1276 COM 928881101 40041 1295 SH SOLE 0 0 1295 SH BEN INT 929042109 363 16 SH SOLE 0 0 16 COM 929089100 1528 23 SH SOLE 0 0 23 COM 929160109 20000 99 SH SOLE 0 0 99 COM 929740108 1807 17 SH SOLE 0 0 17 COM 931427108 43946 1976 SH SOLE 0 0 1976 COM 931142103 470674 2943 SH SOLE 0 0 2943 COM SER A 934423104 48381 4455 SH SOLE 0 0 4455 COM 94106B101 2955 22 SH SOLE 0 0 22 COM 94106L109 66311 435 SH SOLE 0 0 435 COM 92939U106 8055 100 SH SOLE 0 0 100 NEW COM 949746101 209437 5126 SH SOLE 0 0 5126 COM 95040Q104 197018 2405 SH SOLE 0 0 2405 COM 95058W100 2041 100 SH SOLE 0 0 100 COM 957638109 2207 48 SH SOLE 0 0 48 COM 958102105 1095 24 SH SOLE 0 0 24 COM 959802109 2307 175 SH SOLE 0 0 175 COM 96145D105 51659 1443 SH SOLE 0 0 1443 COM NEW 962166104 4568 149 SH SOLE 0 0 149 COM 962879102 4055 100 SH SOLE 0 0 100 CL A 968223206 1467779 39488 SH SOLE 0 0 39488 CL B 968223305 639348 17104 SH SOLE 0 0 17104 COM 969457100 506765 15042 SH SOLE 0 0 15042 ARTIFICIAL INTEL 97717Y543 1742 100 SH SOLE 0 0 100 EM EX ST-OWNED 97717X578 1173 44 SH SOLE 0 0 44 EUROPE HEDGED EQ 97717X701 254538 6444 SH SOLE 0 0 6444 FLOATING RAT TREA 97717Y527 205765 4089 SH SOLE 0 0 4089 SPONSORED ADR 980228308 699 30 SH SOLE 0 0 30 CL A 98138H101 208834 972 SH SOLE 0 0 972 COM NEW 98138J206 9 22 SH SOLE 0 0 22 COM 98389B100 78163 1366 SH SOLE 0 0 1366 COM 98419M100 2094 23 SH SOLE 0 0 23 COM 988498101 17367 139 SH SOLE 0 0 139 COM 98850P109 11980 215 SH SOLE 0 0 215 COM 98942X102 251 200 SH SOLE 0 0 200 COM 98956P102 2020 18 SH SOLE 0 0 18 COM 98888T107 9 1 SH SOLE 0 0 1 COM 989701107 1361 39 SH SOLE 0 0 39 CL A 98978V103 16006 92 SH SOLE 0 0 92