Chief Compliance Officer

0001398344-20-002486.txt : 20200210 0001398344-20-002486.hdr.sgml : 20200210 20200210094510 ACCESSION NUMBER: 0001398344-20-002486 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20200210 DATE AS OF CHANGE: 20200210 EFFECTIVENESS DATE: 20200210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROWLAND CARMICHAEL ADVISORS INC /ADV CENTRAL INDEX KEY: 0000825052 IRS NUMBER: 860568468 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19805 FILM NUMBER: 20589983 BUSINESS ADDRESS: STREET 1: 6720 NORTH SCOTTSDALE ROAD, SUITE 212 CITY: Scottsdale STATE: AZ ZIP: 85253-4426 BUSINESS PHONE: 480-421-2660 MAIL ADDRESS: STREET 1: 6720 NORTH SCOTTSDALE ROAD, SUITE 212 CITY: SCOTTSDALE STATE: AZ ZIP: 85253-4426 FORMER COMPANY: FORMER CONFORMED NAME: ROWLAND CARMICHAEL & LEMON ADVISORS INC /ADV DATE OF NAME CHANGE: 19990218 FORMER COMPANY: FORMER CONFORMED NAME: ROWLAND CARMICHAEL & OCONNELL ADVISORS INC /ADV DATE OF NAME CHANGE: 19960613 FORMER COMPANY: FORMER CONFORMED NAME: INVESTMENT MANAGEMENT CONSULTANTS INC /ADV DATE OF NAME CHANGE: 19950725 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000825052 XXXXXXXX 06-30-2016 06-30-2016 false ROWLAND CARMICHAEL ADVISORS INC /ADV

6720 NORTH SCOTTSDALE ROAD, SUITE 212 SCOTTSDALE AZ 85253-4426

13F HOLDINGS REPORT 028-19805 N Janice Lee Orick Chief Compliance Officer 480-421-2660 /s/ Janice Lee Orick Scottsdale AZ 02-10-2020 0 295 158807 INFORMATION TABLE 2 fp0046446_13fhr-table.xml 13F INFORMATION TABLE 3M CO COM 88579Y101 907 5179 SH SOLE 5179 0 0 ABBOTT LABS COM 002824100 952 24212 SH SOLE 24212 0 0 ABBVIE INC COM 00287Y109 1042 16833 SH SOLE 16833 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 529 105500 SH SOLE 105500 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 591 3654 SH SOLE 3654 0 0 AEGON N V NY REGISTRY SH 007924103 100 24986 SH SOLE 24986 0 0 ALEXANDER & BALDWIN INC NEW COM 014491104 420 11632 SH SOLE 11632 0 0 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 207 2000 SH SOLE 2000 0 0 ALLERGAN PLC SHS G0177J108 995 4304 SH SOLE 4304 0 0 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 314 25547 SH SOLE 25547 0 0 ALLIANZGI CONV & INCOME FD I COM 018825109 436 82100 SH SOLE 82100 0 0 ALPHABET INC CAP STK CL A 02079K305 1351 1921 SH SOLE 1921 0 0 ALPHABET INC CAP STK CL C 02079K107 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464287556 48 185 SH SOLE 185 0 0 ISHARES TR RUS 1000 ETF 464287622 6 55 SH SOLE 55 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 2 13 SH SOLE 13 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 2 19 SH SOLE 19 0 0 ISHARES TR RUS MD CP GR ETF 464287481 6 59 SH SOLE 59 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 341 2968 SH SOLE 2968 0 0 ISHARES TR RUSSELL 3000 ETF 464287689 15 120 SH SOLE 120 0 0 ISHARES TR SP SMCP600VL ETF 464287879 34 289 SH SOLE 289 0 0 ISHARES TR TIPS BD ETF 464287176 228 1956 SH SOLE 1956 0 0 ISHARES TR U.S. CNSM SV ETF 464287580 76 530 SH SOLE 530 0 0 ISHARES TR U.S. PFD STK ETF 464288687 438 10976 SH SOLE 10976 0 0 ISHARES TR U.S. REAL ES ETF 464287739 140 1696 SH SOLE 1696 0 0 ISHARES TR U.S. TECH ETF 464287721 128 1212 SH SOLE 1212 0 0 JOHNSON & JOHNSON COM 478160104 1768 14577 SH SOLE 14577 0 0 KAMAN CORP COM 483548103 322 7568 SH SOLE 7568 0 0 KITE RLTY GROUP TR COM NEW 49803T300 308 11000 SH SOLE 11000 0 0 LANDSTAR SYS INC COM 515098101 305 4443 SH SOLE 4443 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 238 3974 SH SOLE 3974 0 0 LIBERTY MEDIA CORP DELAWARE COM C SIRIUSXM 531229607 308 9990 SH SOLE 9990 0 0 LILLY ELI & CO COM 532457108 200 2537 SH SOLE 2537 0 0 M & T BK CORP COM 55261F104 437 3699 SH SOLE 3699 0 0 MACERICH CO COM 554382101 213 2500 SH SOLE 2500 0 0 MATSON INC COM 57686G105 233 7224 SH SOLE 7224 0 0 MATTEL INC COM 577081102 268 8570 SH SOLE 8570 0 0 MBIA INC COM 55262C100 146 21361 SH SOLE 21361 0 0 MCCORMICK & CO INC COM NON VTG 579780206 952 8924 SH SOLE 8924 0 0 MCDONALDS CORP COM 580135101 973 8082 SH SOLE 8082 0 0 MCKESSON CORP COM 58155Q103 469 2515 SH SOLE 2515 0 0 MEDTRONIC PLC SHS G5960L103 935 10774 SH SOLE 10774 0 0 MERCK & CO INC COM 58933Y105 964 16726 SH SOLE 16726 0 0 MFS INTERMEDIATE HIGH INC FD SH BEN INT 59318T109 141 57158 SH SOLE 57158 0 0 MICROSOFT CORP COM 594918104 1008 19708 SH SOLE 19708 0 0 MORGAN STANLEY EM MKTS DM DE COM 617477104 561 73123 SH SOLE 73123 0 0 NATIONAL FUEL GAS CO N J COM 636180101 773 13593 SH SOLE 13593 0 0 NATIONAL GRID PLC SPON ADR NEW 636274300 305 4110 SH SOLE 4110 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 310 20690 SH SOLE 20690 0 0 NEWELL BRANDS INC COM 651229106 1029 21194 SH SOLE 21194 0 0 NEWMARKET CORP COM 651587107 624 1507 SH SOLE 1507 0 0 NEXTERA ENERGY INC COM 65339F101 659 5051 SH SOLE 5051 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 1152 22165 SH SOLE 22165 0 0 NIKE INC CL B 654106103 921 16684 SH SOLE 16684 0 0 NISOURCE INC COM 65473P105 286 10775 SH SOLE 10775 0 0 NORTHERN TR CORP COM 665859104 768 11590 SH SOLE 11590 0 0 NOVARTIS A G SPONSORED ADR 66987V109 212 2574 SH SOLE 2574 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 230 3039 SH SOLE 3039 0 0 OLIN CORP COM PAR $1 680665205 402 16201 SH SOLE 16201 0 0 OMEGA HEALTHCARE INVS INC COM 681936100 220 6466 SH SOLE 6466 0 0 OMNICOM GROUP INC COM 681919106 352 4316 SH SOLE 4316 0 0 ORANGE SPONSORED ADR 684060106 184 11185 SH SOLE 11185 0 0 PATTERSON COMPANIES INC COM 703395103 273 5709 SH SOLE 5709 0 0 PEPSICO INC COM 713448108 1067 10068 SH SOLE 10068 0 0 PFIZER INC COM 717081103 296 8398 SH SOLE 8398 0 0 PHILIP MORRIS INTL INC COM 718172109 669 6575 SH SOLE 6575 0 0 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 289 2982 SH SOLE 2982 0 0 PIMCO ETF TR 15+ YR US TIPS 72201R304 83 1200 SH SOLE 1200 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 423 4184 SH SOLE 4184 0 0 PIMCO ETF TR TTL RTN ACTV ETF 72201R775 4 40 SH SOLE 40 0 0 PRICESMART INC COM 741511109 414 4421 SH SOLE 4421 0 0 PROCTER & GAMBLE CO COM 742718109 1320 15585 SH SOLE 15585 0 0 PROLOGIS INC COM 74340W103 276 5637 SH SOLE 5637 0 0 PROSHARES TR HGH YLD INT RATE 74348A541 71 1105 SH SOLE 1105 0 0 PROSHARES TR S&P 500 DV ARIST 74348A467 124 2272 SH SOLE 2272 0 0 PROSHARES TR SHRT RUSSELL2000 74348A210 6 100 SH SOLE 100 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 178 22710 SH SOLE 22710 0 0 PUBLIC STORAGE COM 74460D109 974 3812 SH SOLE 3812 0 0 QUALCOMM INC COM 747525103 803 14996 SH SOLE 14996 0 0 QUEST DIAGNOSTICS INC COM 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STRATEGIC TR US REIT ETF 808524847 201 4621 SH SOLE 4621 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 534 9876 SH SOLE 9876 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 270 3463 SH SOLE 3463 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 45 825 SH SOLE 825 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 45 621 SH SOLE 621 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 16 285 SH SOLE 285 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 22 512 SH SOLE 512 0 0 SEMPRA ENERGY COM 816851109 262 2300 SH SOLE 2300 0 0 SERVICE CORP INTL COM 817565104 448 16570 SH SOLE 16570 0 0 SIMON PPTY GROUP INC NEW COM 828806109 868 4000 SH SOLE 4000 0 0 SONOCO PRODS CO COM 835495102 230 4640 SH SOLE 4640 0 0 SOUTHERN CO COM 842587107 905 16879 SH SOLE 16879 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1380 6590 SH SOLE 6590 0 0 SPDR SER TR NUVN BR SHT MUNI 78468R739 20 400 SH SOLE 400 0 0 SPDR SER TR SHT TRM HGH YLD 78468R408 828 30668 SH SOLE 30668 0 0 SPDR SERIES TRUST BARC SHT TR CP 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871829107 446 8791 SH SOLE 8791 0 0 TANGER FACTORY OUTLET CTRS I COM 875465106 202 5030 SH SOLE 5030 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 497 47500 SH SOLE 47500 0 0 TEMPLETON GLOBAL INCOME FD COM 880198106 407 64000 SH SOLE 64000 0 0 TEMPUR SEALY INTL INC COM 88023U101 459 8294 SH SOLE 8294 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 253 9163 SH SOLE 9163 0 0 TOTAL S A SPONSORED ADR 89151E109 213 4432 SH SOLE 4432 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1187 11015 SH SOLE 11015 0 0 UNITED TECHNOLOGIES CORP COM 913017109 787 7673 SH SOLE 7673 0 0 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 46 522 SH SOLE 522 0 0 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 4 41 SH SOLE 41 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 34 425 SH SOLE 425 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 404 4792 SH SOLE 4792 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 46 425 SH SOLE 425 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 98 1027 SH SOLE 1027 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 45 445 SH SOLE 445 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 7 84 SH SOLE 84 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 89 723 SH SOLE 723 0 0 VANGUARD INDEX FDS REIT ETF 922908553 816 9204 SH SOLE 9204 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2314 12037 SH SOLE 12037 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 126 1086 SH SOLE 1086 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3762 35102 SH SOLE 35102 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 23 272 SH SOLE 272 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 267 6234 SH SOLE 6234 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1076 30556 SH SOLE 30556 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 108 2305 SH SOLE 2305 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 153 2750 SH SOLE 2750 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2 18 SH SOLE 18 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 262 4844 SH SOLE 4844 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 3 44 SH SOLE 44 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1533 17148 SH SOLE 17148 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1544 18544 SH SOLE 18544 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 2293 64851 SH SOLE 64851 0 0 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 189 2360 SH SOLE 2360 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 15 215 SH SOLE 215 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 508 3599 SH SOLE 3599 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 636 4874 SH SOLE 4874 0 0 VEREIT INC COM 92339V100 1568 154606 SH SOLE 154606 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1329 23795 SH SOLE 23795 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 363 32508 SH SOLE 32508 0 0 VISTA OUTDOOR INC COM 928377100 387 8106 SH SOLE 8106 0 0 VODAFONE GROUP PLC NEW SPNSR ADR 92857W308 951 30796 SH SOLE 30796 0 0 VORNADO RLTY TR SH BEN INT 929042109 350 3500 SH SOLE 3500 0 0 W P CAREY INC COM 92936U109 2510 36151 SH SOLE 36151 0 0 WAL-MART STORES INC COM 931142103 1090 14929 SH SOLE 14929 0 0 WEINGARTEN RLTY INVS SH BEN INT 948741103 286 7000 SH SOLE 7000 0 0 WELLS FARGO & CO NEW COM 949746101 5232 110535 SH SOLE 110534 0 0 WELLTOWER INC COM 95040Q104 669 8788 SH SOLE 8788 0 0 WESTERN ASSET GLB HI INCOME COM 95766B109 305 31425 SH SOLE 31425 0 0 WESTERN ASSET HIGH INCM OPP COM 95766K109 380 77500 SH SOLE 77500 0 0 WESTERN UN CO COM 959802109 234 12183 SH SOLE 12183 0 0 WHITE MTNS INS GROUP LTD COM G9618E107 363 431 SH SOLE 431 0 0 WILLIS TOWERS WATSON PUB LTD SHS G96629103 1008 8106 SH SOLE 8106 0 0 WYNN RESORTS LTD COM 983134107 978 10795 SH SOLE 10795 0 0 XCEL ENERGY INC COM 98389B100 1161 25922 SH SOLE 25922 0 0 XILINX INC COM 983919101 789 17099 SH SOLE 17099 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 266 2210 SH SOLE 2210 0 0