MOLONEY SECURITIES ASSET MANAGEMENT LLC
Adviser information for MOLONEY SECURITIES ASSET MANAGEMENT LLC last updated from Form ADV on March 13th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Missouri, United States |
Employees
| Total Number of Employees | 82 |
|---|---|
| Investment Advisory/Research | 78 |
| Registered Broker-Dealer Representatives | 82 |
| Registered State Investment Advisers | 82 |
| Licensed Agents of an Insurance Company | 48 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,046 | $1.1B |
| Non-Discretionary | 190 | $90.8M |
| Total | 4,236 | $1.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,979 | $578.6M |
| HNW Individuals | 332 | $583.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 23 | $8.5M |
| Charitable organizations | 5 | $4.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 32 | $26.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 480 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 37.5M |
| Both for Same | 1.2B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MSAM INVESTMENT MANAGEMENT PROGRAM | MOLONEY SECURITIES ASSET MANAGEMENT LLC |
| RBC CAPITAL MARKETS, LLC WRAP FEE PROGRAM | RBC CAPITAL MARKETS, LLC |
Principal Office
13537 BARRETT PARKWAY DRIVE, SUITE 300MANCHESTER
MO
United States
Monday - Friday, 8 AM - 5 PM
Tel: (314) 909-0600, Fax: 314-909-0606
Chief Compliance Officer
JEFFREY ROSEMAN
CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER & VICE PRESIDENT
13537 BARRETT PARKWAY DRIVE
SUITE 300
MANCHESTER
MO
United States
Tel:
314-909-0600
Fax:
314-909-0606
J*******@*******T
(Full email address available in API data)
Regulatory Contact
DONALD RALPH HANCOCK
CHIEF EXECUTIVE OFFICER
13537 BARRETT PARKWAY DRIVE
SUITE 300
MANCHESTER
MO
United States
Tel:
314-909-0600
D*******@*********M
(Full email address available in API data)
Industry Affiliates
| MOLONEY SECURITIES CO., INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MOLONEY, SUSAN, ROTH | Individual | E.J. MOLONEY MARITAL TRUST, U/A/D 9/21/11 | TRUSTEE | 07/2014 | |
| E.J. MOLONEY MARITAL TRUST, U/A/D 9/21/11 | Domestic Entity | BRIAR GREEN HOLDINGS, INC. | SHAREHOLDER | 07/2015 | 50-75% |
| BRIAR GREEN HOLDINGS, INC. | Domestic Entity | – | MANAGING MEMBER | 12/2015 | > 75% |
| ROSEMAN, JEFFREY, PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER & VICE PRESIDENT | 05/2016 | < 5% |
| HANCOCK, DONALD, RALPH | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2019 | < 5% |
| MEDLEY, JOSEPH, RONALD | Individual | – | PRESIDENT OF MSAM | 01/2016 | < 5% |
| HOLOWATUK, WILLIAM, JAMES | Individual | – | DIRECTOR OF COMPLIANCE | 08/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABB LTD SPONSORED ADR | COM | 216K | 4K | – |
| ACCENTURE PLC IRELAND SHS C | COM | 567K | 2K | – |
| AIR LIQUIDE-ADR | COM | 1M | 36K | – |
| ARCH CAPITAL GROUP LTD | COM | 2M | 24K | – |
| ASML HOLDING N V N Y REGIST | COM | 680K | 665 | – |
| ASTRAZENECA PLC AMERICAN DE | COM | 824K | 11K | – |
| ATAI LIFE SCIENCES N V COMM | COM | 40K | 30K | – |
| BANCO BILBAO VIZCAYA ARGENT | COM | 133K | 13K | – |
| BAYER AKTIENGESELLSCHAFT AD | COM | 451K | 64K | – |
| BP P L C SPONSORED ADR (FRM | COM | 342K | 9K | – |
| CANADIAN CRITICAL MINERALS | COM | 362 | 10K | – |
| CANADIAN NATURAL RESOURCES | COM | 247K | 7K | – |
| CHECK POINT SOFTWARE TECHNO | COM | 863K | 5K | – |
| CHUBB LTD COM | COM | 496K | 2K | – |
| DRONE DELIVERY CDA CORP COM | COM | 2K | 16K | – |
| ERICSSON ADR CL B SEK 10 | COM | 352K | 57K | – |
| FABRINET | COM | 269K | 1K | – |
| GENPACT LIMITED | COM | 882K | 27K | – |
| GRAYSCALE DIGITAL LARGE CAP | COM | 411K | 18K | – |
| GRUPO TELEVISA SA DE CV SPO | COM | 82K | 29K | – |
| INFOSYS LIMITED SPONS ADR R | COM | 2M | 92K | – |
| ING GROEP NV-SPONSORED ADR | COM | 201K | 12K | – |
| JOHNSON CONTROLS INTERNATIO | COM | 202K | 3K | – |
| LINDE PLC ORDINARY SHARES | COM | 352K | 802 | – |
| MEDTRONIC PLC COM | COM | 3M | 33K | – |
| MIND MEDICINE MINDMED INC C | COM | 976K | 135K | – |
| NEW GOLD INC | COM | 49K | 25K | – |
| NEW PACIFIC METALS CORP COM | COM | 15K | 10K | – |
| NICE LTD AMERICAN DEPOSITAR | COM | 485K | 3K | – |
| NOVARTIS AG AMERICAN DEPOSI | COM | 371K | 3K | – |
| NOVO NORDISK A/S-ADR EACH C | COM | 2M | 15K | – |
| OPEN TEXT CORP | COM | 2M | 77K | – |
| RESTAURANT BRANDS INTERNATI | COM | 1M | 19K | – |
| RIO2 LIMITED NEW COM | COM | 7K | 20K | – |
| ROCHE HOLDING LTD SPONSORED | COM | 1M | 29K | – |
| ROYAL BANK OF CANADA | COM | 445K | 4K | – |
| ROYAL CARIBBEAN GROUP COMMO | COM | 305K | 2K | – |
| SHELL PLC AMERICAN DEPOSITA | COM | 231K | 3K | – |
| SHOPIFY INC CL A | COM | 3M | 43K | – |
| SIEMENS AG AMERICAN DEPOSIT | COM | 395K | 4K | – |
| SOPHIA GENETICS SA ORDINARY | COM | 756K | 165K | – |
| STATEHOUSE HOLDINGS INC COM | COM | 877 | 15K | – |
| STILLWATER CRITICAL MINERAL | COM | 1K | 10K | – |
| TAIWAN SEMICONDUCTOR MFG CO | COM | 1M | 8K | – |
| UNILEVER PLC SPONSORED ADR | COM | 519K | 9K | – |
| VOXTUR ANALYTICS CORP COM | COM | 699 | 10K | – |
| 3M COMPANY | COM | 3M | 34K | – |
| A T & T INC | COM | 2M | 107K | – |
| AAON INC NEW | COM | 654K | 8K | – |
| ABBOTT LABORATORIES | COM | 2M | 21K | – |
| ABBVIE INC | COM | 4M | 22K | – |
| ABRDN HEALTHCARE INVESTORS SHA | COM | 180K | 10K | – |
| ADAPTIVE BIOTECHNOLOGIES CORPO | COM | 91K | 25K | – |
| ADOBE INC COMMON STOCK | COM | 3M | 6K | – |
| ADTALEM GLOBAL EDUCATION | COM | 995K | 15K | – |
| ADVANCED MICRO DEVICE IN | COM | 1M | 8K | – |
| AECOM | COM | 971K | 11K | – |
| AFLAC INC | COM | 619K | 7K | – |
| AGILENT TECHNOLOGIES INC | COM | 714K | 6K | – |
| AIRBNB INC CLASS A COMMON STOC | COM | 359K | 2K | – |
| AKAMAI TECHNOLOGIES INC | COM | 959K | 11K | – |
| ALASKA AIR GROUP INC | COM | 250K | 6K | – |
| ALNYLAM PHARMACEUTICALS INC | COM | 220K | 907 | – |
| ALPHABET INC. CLASS A | COM | 9M | 50K | – |
| ALPHABET INC. CLASS C | COM | 6M | 31K | – |
| ALPS ETF TRUST ALERIAN MLP ETF | COM | 727K | 15K | – |
| ALTABA INC COMMON STOCK ESCROW | COM | 0 | 26K | – |
| ALTRIA GROUP INC | COM | 2M | 39K | – |
| AMAZON.COM INC | COM | 13M | 66K | – |
| AMEREN CORP | COM | 228K | 3K | – |
| AMERICAN ELECTRIC POWER COMPAN | COM | 265K | 3K | – |
| AMERICAN EXPRESS COMPANY | COM | 1M | 5K | – |
| AMGEN INC | COM | 5M | 15K | – |
| ANNALY CAPITAL MGMT REIT | COM | 269K | 14K | – |
| APPLE INC | COM | 21M | 101K | – |
| APPLIED MATERIALS | COM | 1M | 6K | – |
| APPLIED VISUAL SCIENCES INC | COM | 0 | 114K | – |
| ARES CAP CORP | COM | 205K | 10K | – |
| ARK ETF TR ISRAEL INNOVATIVE T | COM | 208K | 10K | – |
| ARK ETF TR NEXT GENERATION INT | COM | 268K | 3K | – |
| ATLANTIS GAMING CORPORATION CO | COM | 62 | 69K | – |
| AUTODESK INC | COM | 833K | 3K | – |
| AUTOZONE INC | COM | 697K | 235 | – |
| BAKER HUGHES CO. CLASS A | COM | 1M | 29K | – |
| BANK OF AMERICA CORP | COM | 770K | 19K | – |
| BECTON DICKINSON & CO | COM | 215K | 921 | – |
| BENSON HILL INC COMMON STOCK | COM | 64K | 421K | – |
| BERKSHIRE HATHAWAY CLASS B | COM | 12M | 29K | – |
| BIOGEN INC | COM | 356K | 2K | – |
| BLACKROCK DEBT STRATEGIES FUND | COM | 866K | 80K | – |
| BLACKROCK ETF TRUST II BLACKRO | COM | 1M | 20K | – |
| BLACKROCK INC | COM | 2M | 2K | – |
| BLACKROCK INVESTMENT QUALITY M | COM | 151K | 13K | – |
| BLACKROCK MUNIHOLDINGS FD INC | COM | 618K | 51K | – |
| BLACKSTONE INC | COM | 505K | 4K | – |
| BLOCK INC CLASS A COMMON STOCK | COM | 4M | 65K | – |
| BOEING CO | COM | 1M | 6K | – |
| BOOKING HOLDINGS INC COMMON ST | COM | 820K | 207 | – |
| BRISTOL MYERS SQUIBB CO | COM | 901K | 22K | – |
| BROADCOM INC COMMON STOCK | COM | 2M | 1K | – |
| BROWN & BROWN INC | COM | 214K | 2K | – |
| CAPITAL GROUP CORE BALANCED ET | COM | 668K | 22K | – |
| CAPITAL GROUP CORE EQUITY ETF | COM | 610K | 19K | – |
| CAPITAL GROUP DIVIDEND VALUE E | COM | 678K | 21K | – |
| CAPITAL GROUP FIXED INCOME ETF | COM | 2M | 68K | – |
| CAPITAL GROUP GLOBAL GROWTH EQ | COM | 667K | 23K | – |
| CAPITAL GROUP GROWTH ETF CAPIT | COM | 857K | 26K | – |
| CAPITAL GROUP INTL FOCUS EQUIT | COM | 286K | 11K | – |
| CAPITAL SOUTHWEST CORP | COM | 248K | 10K | – |
| CATERPILLAR INC | COM | 315K | 945 | – |
| CDW CORPORATION COM | COM | 221K | 988 | – |
| CENCORA INC | COM | 923K | 4K | – |
| CENTERPOINT ENERGY INC | COM | 950K | 31K | – |
| CHARLES SCHWAB CORP NEW | COM | 221K | 3K | – |
| CHEMED CORPORATION | COM | 414K | 764 | – |
| CHEVRON CORPORATION | COM | 3M | 22K | – |
| CHIMERA INVESTMENT CORPORATION | COM | 156K | 12K | – |
| CHIPOTLE MEXICAN GRILL INC COM | COM | 539K | 9K | – |
| CISCO SYSTEMS INC | COM | 3M | 65K | – |
| CLOROX CO | COM | 1M | 10K | – |
| CLOUDFLARE INC CLASS A COMMON | COM | 444K | 5K | – |
| COCA COLA COMPANY (THE) | COM | 3M | 51K | – |
| COHEN & STEERS REAL ESTATE OPP | COM | 655K | 46K | – |
| COHEN & STEERS TOTAL RETURN RE | COM | 237K | 21K | – |
| COLGATE PALMOLIVE COMPANY | COM | 299K | 3K | – |
| COMCAST CORP CL A | COM | 244K | 6K | – |
| COMPASS INC CLASS A COMMON STO | COM | 90K | 25K | – |
| CONOCOPHILLIPS COMMON STOCK | COM | 466K | 4K | – |
| COPART INC | COM | 219K | 4K | – |
| CORCEPT THERAPEUTICS | COM | 889K | 27K | – |
| CORNING INC | COM | 3M | 67K | – |
| COSTCO WHOLESALE CO | COM | 2M | 2K | – |
| CROWDSTRIKE HOLDINGS INC CLASS | COM | 354K | 924 | – |
| CROWN CASTLE INC COMMON STOCK | COM | 1M | 15K | – |
| CSX CORPORATION COM | COM | 453K | 14K | – |
| CUMMINS INC | COM | 432K | 2K | – |
| CVS HEALTH CORPORATION | COM | 2M | 26K | – |
| CYTODYN INC | COM | 4K | 28K | – |
| DANAHER CORPORATION | COM | 446K | 2K | – |
| DAYFORCE INC | COM | 883K | 18K | – |
| DEERE & CO | COM | 940K | 3K | – |
| DIGITAL REALTY TRUST INC | COM | 2M | 10K | – |
| DISCOVER FINANCIAL SERVICES | COM | 400K | 3K | – |
| DOMINION ENERGY INC COMMON STO | COM | 1M | 28K | – |
| DOMINOS PIZZA INC | COM | 1M | 3K | – |
| DOW INC | COM | 326K | 6K | – |
| DUCKHORN PORTFOLIO INC (THE) C | COM | 498K | 70K | – |
| DUKE ENERGY CORPORATION HOLDIN | COM | 2M | 20K | – |
| EATON VANCE NATIONAL MUNICIPAL | COM | 1M | 110K | – |
| EATON VANCE TAX MANAGD GLBL DI | COM | 180K | 21K | – |
| ECOLAB INC | COM | 3M | 14K | – |
| ELEVANCE HEALTH INC | COM | 1M | 2K | – |
| ELI LILLY AND CO | COM | 5M | 5K | – |
| EMCOR GROUP INC | COM | 961K | 3K | – |
| EMERSON ELECTRIC CO | COM | 1M | 13K | – |
| ENBRIDGE INC F | COM | 373K | 10K | – |
| ENERGY TRANSFER LP COMMON UNIT | COM | 583K | 36K | – |
| ENTERPRISE PRODUCTS PARTNERS L | COM | 1M | 48K | – |
| EXXON MOBIL CORP | COM | 6M | 48K | – |
| FASTENAL CO | COM | 471K | 8K | – |
| FEDERAL NATIONAL MORTGAGE ASSO | COM | 14K | 10K | – |
| FEDEX CORP | COM | 542K | 2K | – |
| FIRST TR EXCHANGE TRADED FD II | COM | 2M | 26K | – |
| FIRST TR EXCHANGE TRADED FD IV | COM | 5M | 76K | – |
| FIRST TR EXCHANGE TRADED FD IV | COM | 863K | 37K | – |
| FIRST TR EXCHANGE TRADED FD IV | COM | 340K | 7K | – |
| FIRST TR EXCHANGE TRADED FD VI | COM | 1M | 59K | – |
| FIRST TR EXCHANGE TRADED FD VI | COM | 324K | 8K | – |
| FIRST TR LARGE CAP GROWTH OPPO | COM | 280K | 2K | – |
| FIRST TR VALUE LINE DIVID INDE | COM | 685K | 17K | – |
| FIRST TRUST CAPITAL STRENGTH E | COM | 2M | 27K | – |
| FIRST TRUST ENHANCED EQUITY IN | COM | 200K | 10K | – |
| FIRST TRUST ETF DOW JONES INTE | COM | 315K | 2K | – |
| FIRST TRUST EXCHANGE TRADED FD | COM | 693K | 12K | – |
| FIRST TRUST EXCHANGE TRADED FU | COM | 756K | 19K | – |
| FIRST TRUST EXCHANGE TRADED FU | COM | 230K | 5K | – |
| FIRST TRUST LARGE CAP VALUE AL | COM | 285K | 4K | – |
| FIRST TRUST LONG SHORT EQUITY | COM | 612K | 10K | – |
| FIRST TRUST MORNINGSTAR DIVIDE | COM | 1M | 31K | – |
| FIRST TRUST RISING DIVIDEND AC | COM | 810K | 15K | – |
| FIRST TRUST SENIOR LOAN FUND E | COM | 2M | 45K | – |
| FIRSTENERGY CORP | COM | 330K | 9K | – |
| FISERV INC COMMON STOCK | COM | 2M | 11K | – |
| FORD MOTOR CO | COM | 244K | 19K | – |
| FORTINET INC | COM | 277K | 5K | – |
| FORTITUDE GOLD CORP COM | COM | 96K | 22K | – |
| FRANKLIN LIMITED DURATION INCO | COM | 65K | 10K | – |
| FRANKLIN RESOURCES | COM | 263K | 12K | – |
| FRANKLIN UNIVERSAL TRUST-SBI | COM | 4M | 654K | – |
| GE AEROSPACE COMMON STOCK | COM | 344K | 2K | – |
| GENASYS INC COMMON STOCK | COM | 37K | 18K | – |
| GENERAL DYNAMICS CORP | COM | 3M | 9K | – |
| GENERAL MILLS INC | COM | 844K | 13K | – |
| GILEAD SCIENCES INC | COM | 2M | 25K | – |
| GINKGO BIOWORKS HOLDINGS INC C | COM | 7K | 20K | – |
| GITLAB INC CLASS A COMMON STOC | COM | 318K | 6K | – |
| GOLDMAN SACHS GROUP INC | COM | 1M | 3K | – |
| GRAYSCALE BITCOIN TRUST COMMON | COM | 311K | 6K | – |
| GWG SERIES A1 WDT ESCROW CUSIP | COM | 0 | 3M | – |
| GWG SERIES C WDT ESCROW CUSIP | COM | 0 | 239K | – |
| GWG SERIES D WDT ESCROW CUSIP | COM | 0 | 1M | – |
| GWG SERIES E WDT COMMON STOCK | COM | 0 | 64K | – |
| HERSHEY COMPANY (THE) | COM | 531K | 3K | – |
| HOLOGIC INC | COM | 918K | 12K | – |
| HOME DEPOT INC | COM | 4M | 12K | – |
| HONEYWELL INTL INC | COM | 3M | 14K | – |
| HOULIHAN LOKEY INC CLASS A COM | COM | 258K | 2K | – |
| HPIL HOLDING | COM | 0 | 400K | – |
| IBM CORP | COM | 6M | 32K | – |
| ILLUMINA INC | COM | 212K | 2K | – |
| INGREDION INC | COM | 935K | 8K | – |
| INTEGER HLDGS CORP | COM | 914K | 8K | – |
| INTEGRATED BIOPHARMA INC | COM | 4K | 20K | – |
| INTEGRIS SECD CR FD II LLC LTD | COM | 850K | 850 | – |
| INTEL CORP | COM | 733K | 24K | – |
| INTUIT INC | COM | 2M | 2K | – |
| INVESCO DB COMMODITY INDEX TRA | COM | 464K | 20K | – |
| INVESCO EXCHANGE TRADED FD TR | COM | 1M | 25K | – |
| INVESCO EXCHANGE TRADED FD TR | COM | 729K | 11K | – |
| INVESCO EXCHANGE TRADED FD TR | COM | 11M | 521K | – |
| INVESCO EXCHANGE TRADED FD TR | COM | 280K | 6K | – |
| INVESCO EXCHANGE TRADED FUND T | COM | 303K | 5K | – |
| INVESCO EXCHANGE TRADED FUND T | COM | 255K | 7K | – |
| INVESCO EXCHANGE TRADED FUND T | COM | 4M | 23K | – |
| INVESCO RUSSELL 1000 DYMC MLTF | COM | 937K | 18K | – |
| INVESCO SENIOR INCOME TRUST CO | COM | 527K | 122K | – |
| INVSC QQQ TRUST SRS 1 ETF | COM | 21M | 44K | – |
| IRON MTN INC NEW REIT | COM | 202K | 2K | – |
| ISHARES 10 TO 20 YEAR TREASURY | COM | 2M | 20K | – |
| ISHARES CORE HIGH DIVIDEND ETF | COM | 2M | 17K | – |
| ISHARES CORE S&P 500 ETF | COM | 6M | 11K | – |
| ISHARES CORE S&P MID CAP ETF | COM | 3M | 56K | – |
| ISHARES CORE S&P SMALL CAP ETF | COM | 2M | 16K | – |
| ISHARES CORE S&P US VALUE ETF | COM | 2M | 24K | – |
| ISHARES CORE U S AGGREGATE BD | COM | 419K | 4K | – |
| ISHARES IBOXX $ INVESTMENT GRA | COM | 209K | 2K | – |
| ISHARES MSCI EAFE ETF | COM | 622K | 8K | – |
| ISHARES MSCI EAFE SMALL CAP ET | COM | 354K | 6K | – |
| ISHARES MSCI EMERGING MARKETS | COM | 254K | 6K | – |
| ISHARES MSCI USA SMALL-CAP MIN | COM | 955K | 26K | – |
| ISHARES RUSSELL 1000 GROWTH ET | COM | 2M | 5K | – |
| ISHARES RUSSELL 1000 VALUE ETF | COM | 636K | 4K | – |
| ISHARES RUSSELL 2000 ETF | COM | 2M | 11K | – |
| ISHARES RUSSELL 3000 ETF | COM | 451K | 1K | – |
| ISHARES RUSSELL MID CAP VALUE | COM | 203K | 2K | – |
| ISHARES S&P 100 ETF | COM | 224K | 846 | – |
| ISHARES S&P 500 GROWTH ETF | COM | 8M | 82K | – |
| ISHARES S&P 500 VALUE ETF | COM | 539K | 3K | – |
| ISHARES S&P MID CAP 400 GROWTH | COM | 6M | 69K | – |
| ISHARES S&P MID CAP 400 VALUE | COM | 234K | 2K | – |
| ISHARES S&P SMALL CAP 600 VALU | COM | 689K | 7K | – |
| ISHARES SELECT DIVIDEND ETF | COM | 249K | 2K | – |
| ISHARES SILVER SHARES | COM | 285K | 11K | – |
| ISHARES TR CORE MSCI EAFE ETF | COM | 219K | 3K | – |
| ISHARES TR ISHARES BIOTECHNOLO | COM | 329K | 2K | – |
| ISHARES TR ISHARES CORE DIVIDE | COM | 586K | 10K | – |
| ISHARES TR ISHARES SEMICONDUCT | COM | 487K | 2K | – |
| ISHARES TREASURY FLOATING RATE | COM | 408K | 8K | – |
| ISHARES TRUST ISHARES INTERNAT | COM | 314K | 11K | – |
| ISHARES TRUST ISHARES MSCI USA | COM | 6M | 73K | – |
| ISHARES TRUST ISHARES U S AERO | COM | 314K | 2K | – |
| ISHARES TRUST ISHARES U S INDU | COM | 8M | 65K | – |
| ISHARES U S ETF TR ISHARES U S | COM | 463K | 6K | – |
| ISHARES U S FINANCIALS ETF | COM | 8M | 80K | – |
| ISHARES U S MEDICAL DEVICES ET | COM | 373K | 7K | – |
| ISHARES U S TECHNOLOGY ETF | COM | 11M | 71K | – |
| ISHARES U S UTILITIES ETF | COM | 7M | 80K | – |
| J P MORGAN CHASE & CO | COM | 5M | 25K | – |
| J P MORGAN EXCHANGE TRADED FUN | COM | 756K | 15K | – |
| JOHN HANCOCK EXCHANGE TRADED F | COM | 304K | 9K | – |
| JOHN HANCOCK EXCHANGE TRADED F | COM | 2M | 24K | – |
| JOHN HANCOCK EXCHANGE TRADED F | COM | 2M | 28K | – |
| JOHNSON & JOHNSON | COM | 5M | 36K | – |
| JOUNCE THERAPEU CVR CONTRA CUS | COM | 0 | 176K | – |
| JPMORGAN EQUITY PREMIUM INCOME | COM | 786K | 14K | – |
| KAYNE ANDERSON ENERGY INFRASTR | COM | 858K | 83K | – |
| KBS REAL ESTATE INVT TR III IN | COM | 57K | 10K | – |
| KELLANOVA COMMON STOCK | COM | 220K | 4K | – |
| KEURIG DR PEPPER INC COMMON ST | COM | 203K | 6K | – |
| KIMBERLY CLARK CORP | COM | 302K | 2K | – |
| KINDER MORGAN INC | COM | 280K | 14K | – |
| KKR & CO INC COMMON STOCK | COM | 705K | 7K | – |
| KLA CORPORATION COMMON STOCK | COM | 379K | 459 | – |
| KNIFE RIVER CORPORATION COMMON | COM | 822K | 12K | – |
| KOSMOS ENERGY LTD COMMON SHARE | COM | 111K | 20K | – |
| L3HARRIS TECHNOLOGIES INC COMM | COM | 641K | 3K | – |
| LIBERTY ALL STAR EQUITY FUND S | COM | 81K | 12K | – |
| LOCKHEED MARTIN CORP | COM | 3M | 6K | – |
| LOWES COMPANIES INC | COM | 944K | 4K | – |
| MARATHON PETE CORP | COM | 1M | 6K | – |
| MASTERCARD INC CLASS A | COM | 2M | 4K | – |
| MCDONALDS CORP | COM | 3M | 12K | – |
| MEDICAL PROPERTIES TRUST INC | COM | 61K | 14K | – |
| MERCADOLIBRE INC | COM | 787K | 479 | – |
| MERCK & CO INC | COM | 2M | 14K | – |
| META PLATFORMS INC CLASS A | COM | 6M | 13K | – |
| METLIFE INC | COM | 2M | 35K | – |
| MICRON TECHNOLOGY INC | COM | 792K | 6K | – |
| MICROSOFT CORP | COM | 24M | 53K | – |
| MODERNA INC COMMON STOCK | COM | 694K | 6K | – |
| MONDELEZ INTERNATIONAL INC COM | COM | 575K | 9K | – |
| MONOLITHIC POWER SYS | COM | 1M | 1K | – |
| MOODYS CORP | COM | 1M | 3K | – |
| MORGAN STANLEY | COM | 433K | 4K | – |
| MOTOROLA SOLUTIONS | COM | 1M | 3K | – |
| MYR GROUP INC | COM | 286K | 2K | – |
| NEKTAR THERAPEUTICS | COM | 106K | 85K | – |
| NEOS ETF TRUST NEOS ENHANCED I | COM | 408K | 8K | – |
| NEOS ETF TRUST NEOS ENHANCED I | COM | 290K | 6K | – |
| NEW MOUNTAIN FINANCE CORPORATI | COM | 376K | 31K | – |
| NEW YORK TIMES CLASS A | COM | 935K | 18K | – |
| NEWMONT CORPORATION COMMON STO | COM | 379K | 9K | – |
| NEXTERA ENERGY INC | COM | 3M | 45K | – |
| NIKE INC CLASS B COM | COM | 625K | 8K | – |
| NORTHROP GRUMMAN CO | COM | 975K | 2K | – |
| NORTHWEST BIOTHERAPEUTICS INC | COM | 181K | 424K | – |
| NUVEEN AMT FREE QUALITY MUNICI | COM | 252K | 22K | – |
| NUVEEN MUNICIPAL VALUE FUND IN | COM | 173K | 20K | – |
| NVIDIA CORP | COM | 14M | 115K | – |
| NVR INC | COM | 675K | 89 | – |
| O REILLY AUTOMOTIVE | COM | 619K | 586 | – |
| OLD REPUBLIC INTL CORP | COM | 443K | 14K | – |
| ORACLE CORP | COM | 815K | 6K | – |
| OWENS &MINOR INC HLD | COM | 713K | 53K | – |
| OXFORD SQUARE CAPITAL CORP COM | COM | 428K | 146K | – |
| PACER FDS TR PACER US SMALL CA | COM | 322K | 7K | – |
| PACER FDS TR US CASH COWS 100 | COM | 298K | 5K | – |
| PACER FUNDS TRUST PACER TRENDP | COM | 288K | 9K | – |
| PACIFIC BIOSCIENCES OF CALIFOR | COM | 209K | 153K | – |
| PALANTIR TECHNOLOGIES IN CLASS | COM | 406K | 16K | – |
| PALO ALTO NETWORKS INC COMMON | COM | 2M | 6K | – |
| PAYCHEX INC | COM | 232K | 2K | – |
| PAYPAL HOLDINGS INC COM | COM | 886K | 15K | – |
| PEPSICO INC COMMON STOCK | COM | 3M | 17K | – |
| PFIZER INC | COM | 428K | 15K | – |
| PHILIP MORRIS INTERNATIONAL IN | COM | 987K | 10K | – |
| PHILLIPS 66 | COM | 1M | 9K | – |
| PIMCO ACTIVE BOND EXCHANGE TRA | COM | 556K | 6K | – |
| PIMCO ENHANCED SHORT MATURITY | COM | 341K | 3K | – |
| PIMCO EQUITY SERIES PIMCO RAFI | COM | 535K | 26K | – |
| PIMCO EQUITY SERIES PIMCO RAFI | COM | 2M | 47K | – |
| PIMCO EQUITY SERIES PIMCO RAFI | COM | 477K | 16K | – |
| PNC FINANCIAL SVCS GROUP INC | COM | 2M | 10K | – |
| PRECISION BIOSCIENCES INC COMM | COM | 479K | 49K | – |
| PROCTER & GAMBLE | COM | 4M | 27K | – |
| PROGRESSIVE CORP-OHIO | COM | 2M | 8K | – |
| PROLOGIS INC | COM | 237K | 2K | – |
| PROSHARES S&P 500 DIVIDEND ARI | COM | 920K | 10K | – |
| PROSPECT CAPITAL CORPORATION | COM | 353K | 64K | – |
| PRUDENTIAL FINL | COM | 2M | 13K | – |
| PULTEGROUP INC | COM | 730K | 7K | – |
| QUALCOMM INC | COM | 469K | 2K | – |
| REDWOOD FINANCIAL INC-MINN | COM | 202K | 1K | – |
| REKOR SYSTEMS INC COMMON STOCK | COM | 226K | 146K | – |
| ROCKWELL AUTOMATION INC | COM | 400K | 1K | – |
| ROSS STORES INC | COM | 2M | 15K | – |
| RTX CORP | COM | 1M | 13K | – |
| S&P GLOBAL INC COM | COM | 213K | 477 | – |
| SALESFORCE INC COMMON STOCK | COM | 1M | 5K | – |
| SCHWAB STRATEGIC TR US DIVIDEN | COM | 884K | 11K | – |
| SECTOR SPDR TRUST SBI CONSUMER | COM | 1M | 17K | – |
| SEER INC CLASS A COMMON STOCK | COM | 210K | 125K | – |
| SELECT SECTOR SPDR FUND SHS BE | COM | 489K | 3K | – |
| SELECT SECTOR SPDR FUND SHS BE | COM | 298K | 3K | – |
| SELECT SECTOR SPDR TRUST SHS B | COM | 529K | 6K | – |
| SELECT SECTOR SPDR TRUST THE F | COM | 374K | 9K | – |
| SELECT SECTOR SPDR TRUST THE H | COM | 3M | 21K | – |
| SELECT SECTOR SPDR TRUST THE U | COM | 759K | 11K | – |
| SENSEONICS HOLDINGS INC COMMON | COM | 5K | 13K | – |
| SERVICE CORP INTL | COM | 953K | 13K | – |
| SERVICENOW INC COM | COM | 2M | 2K | – |
| SHP ETF TR NEOS S&P 500 HIGH I | COM | 591K | 12K | – |
| SILA REALTY TRUST INC COMMON S | COM | 605K | 29K | – |
| SOLVENTUM CORPORATION COMMON S | COM | 390K | 7K | – |
| SOUTHERN CO | COM | 512K | 7K | – |
| SPARTANNASH COMPANY COM | COM | 492K | 26K | – |
| SPDR DOW JONES INDUSTRIAL AVRG | COM | 413K | 1K | – |
| SPDR DOW JONES MID CAP GROWTH | COM | 1M | 15K | – |
| SPDR GOLD TR GOLD SHS | COM | 2M | 8K | – |
| SPDR PORTFOLIO S P 1500 CMPST | COM | 1M | 19K | – |
| SPDR PORTFOLIO S&P 500 ETF | COM | 6M | 88K | – |
| SPDR S&P 500 ETF TRUST | COM | 16M | 29K | – |
| SPDR S&P 500 GROWTH ETF | COM | 5M | 61K | – |
| SPDR S&P AEROSPACE DEFENSE ETF | COM | 335K | 2K | – |
| SPDR S&P DIVIDEND ETF | COM | 4M | 30K | – |
| SPDR S&P MIDCAP 400 ETF | COM | 8M | 15K | – |
| SPDR SER TR S&P 600 SMALL CAP | COM | 759K | 9K | – |
| SPDR SER TR S&P BIOTECH ETF | COM | 242K | 3K | – |
| SPDR SERIES TRUST FACTSET INNO | COM | 361K | 2K | – |
| SPDR SERIES TRUST SPDR BLOOMBE | COM | 216K | 2K | – |
| SPDR SERIES TRUST SPDR PORTFOL | COM | 213K | 4K | – |
| SPDR SERIES TRUST SPDR PORTFOL | COM | 302K | 8K | – |
| SPDR SERIES TRUST SPDR PORTFOL | COM | 482K | 12K | – |
| SPDR SERIES TRUST SPDR S&P 400 | COM | 268K | 4K | – |
| SPDR SSGA US LG CP LW VLT INX | COM | 253K | 2K | – |
| SRH TOTAL RETURN FUND INC COMM | COM | 155K | 11K | – |
| SSGA ACTIVE TRUST SPDR SSGA UL | COM | 4M | 90K | – |
| STARBUCKS CORP | COM | 3M | 41K | – |
| SWEETGREEN INC CLASS A COMMON | COM | 256K | 9K | – |
| SYSCO CORP | COM | 994K | 14K | – |
| TARGET CORP | COM | 448K | 3K | – |
| TECHNOLOGY SELECT SECTOR SPDR | COM | 2M | 7K | – |
| TELLURIAN INC COMMON STOCK | COM | 104K | 150K | – |
| TEMPLETON EMERGING MARKETS FUN | COM | 363K | 29K | – |
| TESLA INC | COM | 1M | 6K | – |
| TETRA TECH INC | COM | 917K | 4K | – |
| TEXAS INSTRUMENTS INCORPORATED | COM | 3M | 15K | – |
| TEXAS PACIFIC LAND CORPORATION | COM | 394K | 536 | – |
| THERMO FISHER SCNTFC | COM | 1M | 2K | – |
| TJX COMPANIES INC NEW | COM | 597K | 5K | – |
| TRACTOR SUPPLY CO | COM | 209K | 773 | – |
| TRI POINTE HOMES INC | COM | 945K | 25K | – |
| TRUIST FINANCIAL CORPORATION C | COM | 3M | 72K | – |
| TRUST FOR PROFESSIONAL MANAGER | COM | 428K | 20K | – |
| UBER TECHNOLOGIES INC COMMON S | COM | 2M | 25K | – |
| UIPATH INC CLASS A COMMON STOC | COM | 555K | 44K | – |
| ULTA BEAUTY INC COMMON STOCK | COM | 718K | 2K | – |
| UNION PACIFIC CORP | COM | 2M | 8K | – |
| UNITED PARCEL SVC INC CL B | COM | 1M | 8K | – |
| UNITEDHEALTH GRP INC | COM | 6M | 11K | – |
| US BANCORP DEL COM | COM | 2M | 39K | – |
| US TREASURY 3 MONTH BILL ETF | COM | 12M | 234K | – |
| VALMONT INDUSTRIES | COM | 993K | 4K | – |
| VANECK ETF TRUST VANECK GOLD M | COM | 204K | 6K | – |
| VANECK SEMICONDUCTOR ETF | COM | 2M | 8K | – |
| VANGUARD ADMIRAL FDS INC S&P 5 | COM | 283K | 849 | – |
| VANGUARD FTSE DEVELOPED MARKET | COM | 1M | 27K | – |
| VANGUARD FTSE EMERGING MARKETS | COM | 264K | 6K | – |
| VANGUARD INDEX FUNDS VANGUARD | COM | 583K | 5K | – |
| VANGUARD INDEX FUNDS VANGUARD | COM | 450K | 2K | – |
| VANGUARD INDEX FUNDS VANGUARD | COM | 473K | 2K | – |
| VANGUARD INDEX FUNDS VANGUARD | COM | 262K | 2K | – |
| VANGUARD INDEX FUNDS VANGUARD | COM | 10M | 38K | – |
| VANGUARD MEGA CAP ETF MSCI US | COM | 307K | 2K | – |
| VANGUARD REAL ESTATE ETF | COM | 333K | 4K | – |
| VANGUARD RUSSELL 1000 VALUE ET | COM | 255K | 3K | – |
| VANGUARD S&P 500 ETF | COM | 1M | 3K | – |
| VANGUARD SECTOR INDEX FDS VANG | COM | 777K | 4K | – |
| VANGUARD SECTOR INDEX FDS VANG | COM | 487K | 845 | – |
| VANGUARD SHORT INFLATION PROT | COM | 1M | 22K | – |
| VANGUARD SHORT TERM COR BD ETF | COM | 718K | 9K | – |
| VANGUARD SHORT-TERM BOND ETF | COM | 1M | 17K | – |
| VANGUARD SMALL CAP GROWTH ETF | COM | 540K | 2K | – |
| VANGUARD SPECIALIZED FUNDS VAN | COM | 3M | 16K | – |
| VANGUARD STAR FD VANGUARD TOTA | COM | 221K | 4K | – |
| VANGUARD TOTAL BOND MARKET ETF | COM | 256K | 4K | – |
| VANGUARD VALUE ETF | COM | 1M | 8K | – |
| VEECO INSTRUMENTS | COM | 1M | 23K | – |
| VERIZON COMMUNICATN | COM | 3M | 67K | – |
| VERTEX PHARMACEUTICALS INC | COM | 916K | 2K | – |
| VISA INC CLASS A | COM | 6M | 21K | – |
| VULCAN MATERIALS COM | COM | 895K | 4K | – |
| WABTEC | COM | 952K | 6K | – |
| WALGREENS BOOTS ALLI | COM | 172K | 14K | – |
| WALMART INC | COM | 4M | 55K | – |
| WALT DISNEY CO | COM | 1M | 15K | – |
| WASTE MANAGEMENT INC DEL | COM | 643K | 3K | – |
| WELLS FARGO & CO | COM | 233K | 4K | – |
| WELLTOWER INC COMMON STOCK | COM | 244K | 2K | – |
| WESTERN ASSET EMERGING MKTS DE | COM | 396K | 42K | – |
| WILLIAMS COMPANIES INC | COM | 2M | 40K | – |
| WISDOMTREE CLOUD COMPUTING FUN | COM | 299K | 9K | – |
| WISDOMTREE TRUST U S QUALITY D | COM | 6M | 75K | – |
| WISDOMTREE TRUST WISDOMTREE FL | COM | 3M | 66K | – |
| WISDOMTREE TRUST WISDOMTREE IN | COM | 297K | 14K | – |
| WISDOMTREE TRUST WISDOMTREE U | COM | 572K | 8K | – |
| WISDOMTREE TRUST WISDOMTREE U | COM | 4M | 67K | – |
| WORLD MOTO INC | COM | 0 | 700K | – |
| XCEL ENERGY INC | COM | 3M | 62K | – |
| AFFILIATED MANAGERS GROUP INC | PFD | 179K | 11K | – |
| CHS INC 8 CUM REDEEMABLE PFD | PFD | 551K | 18K | – |
| CHS INC PFD CL B SER 4 | PFD | 3M | 98K | – |
| GLADSTONE LAND CORPORATION 6.0 | PFD | 284K | 13K | – |
| GLADSTONE LAND CORPORATION 6.0 | PFD | 278K | 13K | – |
| HIGHLAND OPPORTUNITIES AND INC | PFD | 231K | 12K | – |
| PROSPECT CAP CORP 5.5PFD CONV | PFD | 483K | 19K | – |
| RIVERNORTH DOUBLELINE STRATEGI | PFD | 202K | 11K | – |