BERGER FINANCIAL GROUP
BERGER FINANCIAL GROUP, INC. Legal Name
Adviser information for BERGER FINANCIAL GROUP last updated from Form ADV on March 22nd, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 64 |
|---|---|
| Investment Advisory/Research | 52 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 35 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7,117 | $1.7B |
| Non-Discretionary | 0 | $0 |
| Total | 7,117 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,742 | $1.1B |
| HNW Individuals | 243 | $568.6M |
| 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 | 0 | $0 |
| Charitable organizations | <5 | $2.0M |
| State or municipal gov entities | <5 | $1.4M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $3.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Insurance broker or agentAccountant or accounting firm |
Principal Office
1695 STATE HWY 169PLYMOUTH
MN
United States
Monday - Friday, 8:00A.M. - 4:00P.M.
Tel: 763-746-2666, Fax: 763-746-2669
Chief Compliance Officer
MARK BERGER
PRINCIPAL
1695 STATE HIGHWAY 169
PLYMOUTH
MN
United States
Tel:
763-999-5600
Fax:
763-746-2669
M***@***********************M
(Full email address available in API data)
Regulatory Contact
NICK ASMUS
CEO
1695 STATE HIGHWAY 169
PLYMOUTH
MN
United States
Tel:
763-999-5585
Fax:
763-746-2669
N***@***********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BERGER, LARRY, ALLEN | Individual | – | FINANCIAL ADVISOR, CHAIRMAN | 05/2020 | < 5% |
| BERGER, MARK, ALLEN | Individual | – | CHIEF COMPLIANCE OFFICER, PRINCIPAL, BOARD MEMBER | 05/2020 | 10-25% |
| ASMUS, NICHOLAS, ROBERT | Individual | – | CEO, BOARD MEMBER | 05/2020 | 10-25% |
| BORTSCHELLER, APRIL, THEREASE | Individual | – | VICE PRESIDENT, BOARD MEMBER | 05/2020 | < 5% |
| ERICKSON, ANGELA, MARIE | Individual | – | ADVISOR, BOARD MEMBER | 05/2020 | < 5% |
| NOLL, PATRICK, JOHN | Individual | – | CHIEF FINANCIAL OFFICER | 05/2020 | < 5% |
| BERGER FINANCIAL GROUP EMPLOYEE STOCK OWNERSHIP PLAN | Domestic Entity | – | TRUST | 05/2020 | 50-75% |
| BROZEN, NEIL, MATTHEW | Individual | – | TRUSTEE | 05/2020 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 992K | 10K | – |
| ABBOTT LABS | COM | 627K | 6K | – |
| ABBVIE INC | COM | 1M | 6K | – |
| ABRDN NATL MUN INCOME FD | SH BEN INT | 314K | 30K | – |
| ADOBE INC | COM | 730K | 1K | – |
| ADVANCED MICRO DEVICES INC | COM | 526K | 3K | – |
| ALLSTATE CORP | COM | 290K | 2K | – |
| ALPHABET INC | CAP STK CL C | 3M | 15K | – |
| ALPHABET INC | CAP STK CL A | 10M | 53K | – |
| ALTRIA GROUP INC | COM | 277K | 6K | – |
| AMAZON COM INC | COM | 17M | 87K | – |
| AMEREN CORP | COM | 355K | 5K | – |
| AMERICAN CENTY ETF TR | AVANTIS EMGMKT | 13M | 207K | – |
| AMERICAN EXPRESS CO | COM | 381K | 2K | – |
| AMGEN INC | COM | 1M | 4K | – |
| AMPHENOL CORP NEW | CL A | 6M | 95K | – |
| AMPLIFY ETF TR | AMPLIFY ETHO CLI | 692K | 12K | – |
| AMPLIFY ETF TR | CWP ENHANCED DIV | 563K | 15K | – |
| APPLE INC | COM | 35M | 167K | – |
| APPLIED MATLS INC | COM | 455K | 2K | – |
| ARISTA NETWORKS INC | COM | 294K | 839 | – |
| AT&T INC | COM | 635K | 33K | – |
| AUTOZONE INC | COM | 323K | 109 | – |
| BANK AMERICA CORP | COM | 495K | 12K | – |
| BANK AMERICA CORP | 7.25%CNV PFD L | 231K | 193 | – |
| BANK MONTREAL QUE | COM | 845K | 10K | – |
| BARRICK GOLD CORP | COM | 177K | 11K | – |
| BECTON DICKINSON & CO | COM | 470K | 2K | – |
| BEST BUY INC | COM | 6M | 70K | – |
| BIO-TECHNE CORP | COM | 2M | 27K | – |
| BLACKSTONE INC | COM | 253K | 2K | – |
| BLOCK INC | CL A | 288K | 4K | – |
| BOEING CO | COM | 3M | 18K | – |
| BOOKING HOLDINGS INC | COM | 297K | 75 | – |
| BOSTON SCIENTIFIC CORP | COM | 630K | 8K | – |
| BP PLC | SPONSORED ADR | 372K | 10K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 4M | 102K | – |
| BROADCOM INC | COM | 2M | 971 | – |
| C H ROBINSON WORLDWIDE INC | COM NEW | 20M | 222K | – |
| CALAMOS ETF TR | NASDAQ 100 STRUC | 783K | 33K | – |
| CANADIAN IMPERIAL BK COMM TO | COM | 496K | 10K | – |
| CASEYS GEN STORES INC | COM | 255K | 669 | – |
| CATERPILLAR INC | COM | 1M | 4K | – |
| CDW CORP | COM | 5M | 22K | – |
| CENTENE CORP DEL | COM | 4M | 65K | – |
| CHEMED CORP NEW | COM | 260K | 480 | – |
| CHENIERE ENERGY INC | COM NEW | 238K | 1K | – |
| CHEVRON CORP NEW | COM | 603K | 4K | – |
| CHUBB LIMITED | COM | 5M | 20K | – |
| CHURCH & DWIGHT CO INC | COM | 4M | 37K | – |
| CINTAS CORP | COM | 246K | 352 | – |
| CION INVT CORP | COM | 4M | 335K | – |
| CISCO SYS INC | COM | 886K | 19K | – |
| COCA COLA CO | COM | 1M | 16K | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 4M | 66K | – |
| COINBASE GLOBAL INC | COM CL A | 380K | 2K | – |
| COLGATE PALMOLIVE CO | COM | 500K | 5K | – |
| COMCAST CORP NEW | CL A | 314K | 8K | – |
| CONSOLIDATED EDISON INC | COM | 5M | 55K | – |
| CONSTELLATION BRANDS INC | CL A | 266K | 1K | – |
| COSTCO WHSL CORP NEW | COM | 11M | 13K | – |
| CROWDSTRIKE HLDGS INC | CL A | 552K | 1K | – |
| CSX CORP | COM | 204K | 6K | – |
| DANAHER CORPORATION | COM | 569K | 2K | – |
| DEERE & CO | COM | 307K | 821 | – |
| DELTA AIR LINES INC DEL | COM NEW | 418K | 9K | – |
| DIMENSIONAL ETF TRUST | US SMALL CAP ETF | 362K | 6K | – |
| DIMENSIONAL ETF TRUST | US EQUITY ETF | 1M | 22K | – |
| DISCOVER FINL SVCS | COM | 215K | 2K | – |
| DISNEY WALT CO | COM | 1M | 10K | – |
| DOMINION ENERGY INC | COM | 249K | 5K | – |
| DONALDSON INC | COM | 2M | 33K | – |
| EATON CORP PLC | SHS | 302K | 963 | – |
| ECOLAB INC | COM | 395K | 2K | – |
| EDWARDS LIFESCIENCES CORP | COM | 297K | 3K | – |
| ELECTRONIC ARTS INC | COM | 5M | 36K | – |
| ELEVANCE HEALTH INC | COM | 341K | 629 | – |
| ELI LILLY & CO | COM | 3M | 3K | – |
| EVEREST GROUP LTD | COM | 5M | 13K | – |
| EXPEDITORS INTL WASH INC | COM | 5M | 40K | – |
| EXXON MOBIL CORP | COM | 2M | 15K | – |
| F5 INC | COM | 5M | 28K | – |
| FAIR ISAAC CORP | COM | 5M | 3K | – |
| FASTENAL CO | COM | 5M | 76K | – |
| FIDELITY COVINGTON TRUST | MSCI INFO TECH I | 485K | 3K | – |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 2M | 36K | – |
| FIDELITY WISE ORIGIN BITCOIN | SHS | 382K | 7K | – |
| FIRST FINL BANKSHARES INC | COM | 513K | 17K | – |
| FIRST TR EXCH TRADED FD III | PFD SECS INC ETF | 987K | 57K | – |
| FIRST TR EXCHANGE-TRADED FD | NY ARCA BIOTECH | 23M | 152K | – |
| FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 41M | 850K | – |
| FIRST TR EXCHNG TRADED FD VI | TCW OPPORTUNIS | 208K | 5K | – |
| FIRST TR EXCHNG TRADED FD VI | TCW UNCONSTRAI | 421K | 17K | – |
| FIRST TR STOXX EUROPEAN SELE | COMMON SHS | 278K | 24K | – |
| FISERV INC | COM | 3M | 18K | – |
| FORD MTR CO DEL | COM | 299K | 24K | – |
| FRANKLIN ETF TR | SHRT DUR US GOVT | 341K | 4K | – |
| FRANKLIN TEMPLETON ETF TR | US MID CP MLTFCT | 2M | 48K | – |
| GARTNER INC | COM | 231K | 515 | – |
| GE AEROSPACE | COM NEW | 466K | 3K | – |
| GENERAL DYNAMICS CORP | COM | 986K | 3K | – |
| GENERAL MLS INC | COM | 457K | 7K | – |
| GENUINE PARTS CO | COM | 274K | 2K | – |
| GLOBAL X FDS | US INFR DEV ETF | 372K | 10K | – |
| GLOBAL X FDS | S&P 500 COVERED | 1M | 27K | – |
| GOLDMAN SACHS ETF TR | INNOVAT EQ ETF | 23M | 413K | – |
| GOLDMAN SACHS GROUP INC | COM | 455K | 1K | – |
| GRAINGER W W INC | COM | 293K | 325 | – |
| GRAYSCALE BITCOIN TR BTC | SHS REP COM UT | 1M | 22K | – |
| HARTFORD FDS EXCHANGE TRADED | CORE BD ETF | 1M | 30K | – |
| HARTFORD FDS EXCHANGE TRADED | TOTAL RTRN ETF | 18M | 544K | – |
| HARTFORD FINL SVCS GROUP INC | COM | 6M | 57K | – |
| HAWKINS INC | COM | 6M | 70K | – |
| HENRY SCHEIN INC | COM | 4M | 66K | – |
| HEWLETT PACKARD ENTERPRISE C | COM | 240K | 11K | – |
| HOME DEPOT INC | COM | 4M | 10K | – |
| HONEYWELL INTL INC | COM | 1M | 5K | – |
| HUNT J B TRANS SVCS INC | COM | 265K | 2K | – |
| INDEPENDENCE RLTY TR INC | COM | 6M | 299K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 2M | 51K | – |
| INNOVATOR ETFS TRUST | US SML CP PWR ET | 319K | 10K | – |
| INNOVATOR ETFS TRUST | EMRGNG MKT APRIL | 670K | 26K | – |
| INNOVATOR ETFS TRUST | US SML CP PWR B | 268K | 9K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 222K | 7K | – |
| INNOVATOR ETFS TRUST | INTRNL DEV JAN | 998K | 32K | – |
| INNOVATOR ETFS TRUST | US SML CP PWR B | 2M | 83K | – |
| INNOVATOR ETFS TRUST | US EQTY ULTRA B | 324K | 10K | – |
| INNOVATOR ETFS TRUST | US SML CP PWR B | 251K | 7K | – |
| INNOVATOR ETFS TRUST | INTERNATIONAL DV | 851K | 29K | – |
| INNOVATOR ETFS TRUST | EMRGNG MKT JULY | 3M | 117K | – |
| INNOVATOR ETFS TRUST | US EQTY ULTRA B | 639K | 19K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 319K | 8K | – |
| INNOVATOR ETFS TRUST | INTRNL DEV JULY | 7M | 232K | – |
| INNOVATOR ETFS TRUST | US EQTY ULTRA B | 393K | 11K | – |
| INNOVATOR ETFS TRUST | INTRNL DEV APRL | 2M | 57K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 3M | 114K | – |
| INNOVATOR ETFS TRUST | INTERNATIONAL DE | 2M | 60K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 5M | 153K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BFR | 301K | 10K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 2M | 64K | – |
| INSPIRE MED SYS INC | COM | 80K | 600 | – |
| INSPIRE MED SYS INC | COM | 215K | 2K | – |
| INTEL CORP | COM | 501K | 16K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 6M | 35K | – |
| INTERPUBLIC GROUP COS INC | COM | 4M | 153K | – |
| INTUIT | COM | 3M | 4K | – |
| INTUITIVE SURGICAL INC | COM NEW | 3M | 6K | – |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 562K | 9K | – |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 334K | 2K | – |
| INVESCO EXCH TRADED FD TR II | S&P MIDCP LOW | 213K | 4K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2027 CB | 4M | 193K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2024 CB | 5M | 217K | – |
| INVESCO EXCH TRD SLF IDX FD | BULETSHS 2029 | 1M | 57K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2026 CB | 3M | 176K | – |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 CB | 4M | 193K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL STP | 236K | 8K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 PUR VAL | 426K | 5K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 PUR GWT | 1M | 34K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL HLT | 4M | 117K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL UTL | 738K | 13K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL REL | 249K | 8K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL FIN | 470K | 8K | – |
| INVESCO EXCHANGE TRADED FD T | S&P MDCP QUALITY | 796K | 8K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 671K | 18K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 568K | 3K | – |
| INVESCO EXCHANGE TRADED FD T | S&P SML600 GWT | 868K | 18K | – |
| INVESCO EXCHANGE TRADED FD T | DORSEY WRGT TECH | 208K | 3K | – |
| INVESCO QQQ TR | UNIT SER 1 | 9M | 18K | – |
| ISHARES TR | CORE S&P SCP ETF | 207K | 2K | – |
| ISHARES TR | CORE 1 5 YR USD | 899K | 19K | – |
| ISHARES TR | CORE MSCI EAFE | 385K | 5K | – |
| ISHARES TR | CORE DIV GRWTH | 208K | 4K | – |
| ISHARES TR | 7-10 YR TRSY BD | 306K | 3K | – |
| ISHARES TR | 1 3 YR TREAS BD | 518K | 6K | – |
| ISHARES TR | MSCI INTL QUALTY | 1M | 28K | – |
| ISHARES TR | RUS TP200 GR ETF | 5M | 21K | – |
| ISHARES TR | EAFE GRWTH ETF | 3M | 25K | – |
| ISHARES TR | MBS ETF | 290K | 3K | – |
| ISHARES TR | IBOXX INV CP ETF | 676K | 6K | – |
| ISHARES TR | RUSSELL 2000 ETF | 332K | 2K | – |
| ISHARES TR | EAFE SML CP ETF | 249K | 4K | – |
| ISHARES TR | MSCI ACWI EX US | 212K | 4K | – |
| ISHARES TR | MSCI EAFE ETF | 278K | 4K | – |
| ISHARES TR | MSCI EAFE MIN VL | 2M | 25K | – |
| ISHARES TR | SHRT NAT MUN ETF | 619K | 6K | – |
| ISHARES TR | GL CLEAN ENE ETF | 181K | 14K | – |
| ISHARES TR | JPMORGAN USD EMG | 5M | 59K | – |
| ISHARES TR | MSCI USA MIN VOL | 1M | 17K | – |
| ISHARES TR | S&P 500 GRWT ETF | 501K | 5K | – |
| ISHARES TR | TIPS BD ETF | 283K | 3K | – |
| ISHARES TR | CORE S&P500 ETF | 1M | 3K | – |
| ISHARES TR | USD GRN BOND ETF | 561K | 12K | – |
| ISHARES TR | EXPONENTIAL TECH | 3M | 54K | – |
| ISHARES TR | RUSEL 2500 ETF | 9M | 151K | – |
| ISHARES TR | CORE US AGGBD ET | 22M | 231K | – |
| ISHARES TR | 20 YR TR BD ETF | 12M | 132K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 308K | 6K | – |
| J P MORGAN EXCHANGE TRADED F | CORE PLUS BD ETF | 13M | 277K | – |
| J P MORGAN EXCHANGE TRADED F | BETABUILDERS US | 19M | 420K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 440K | 8K | – |
| J P MORGAN EXCHANGE TRADED F | NASDAQ EQT PREM | 210K | 4K | – |
| J P MORGAN EXCHANGE TRADED F | INTRNL RES EQT | 300K | 5K | – |
| J P MORGAN EXCHANGE TRADED F | ACTIVE BOND ETF | 59M | 1M | – |
| J P MORGAN EXCHANGE TRADED F | DIV RTN EM EQT | 3M | 60K | – |
| JACOBS SOLUTIONS INC | COM | 5M | 35K | – |
| JOHNSON & JOHNSON | COM | 6M | 41K | – |
| JPMORGAN CHASE & CO. | COM | 1M | 6K | – |
| KELLANOVA | COM | 5M | 90K | – |
| KIMBERLY-CLARK CORP | COM | 432K | 3K | – |
| KLA CORP | COM NEW | 339K | 411 | – |
| KROGER CO | COM | 5M | 104K | – |
| LAM RESEARCH CORP | COM | 258K | 243 | – |
| LEGG MASON ETF INVT | FRANKLIN INTL LW | 377K | 13K | – |
| LEIDOS HOLDINGS INC | COM | 242K | 2K | – |
| LEXICON PHARMACEUTICALS INC | COM NEW | 18K | 11K | – |
| LOCKHEED MARTIN CORP | COM | 7M | 15K | – |
| LOEWS CORP | COM | 5M | 66K | – |
| LOWES COS INC | COM | 221K | 1K | – |
| LPL FINL HLDGS INC | COM | 230K | 823 | – |
| MASTERCARD INCORPORATED | CL A | 8M | 17K | – |
| MCDONALDS CORP | COM | 596K | 2K | – |
| MCKESSON CORP | COM | 257K | 440 | – |
| MEDTRONIC PLC | SHS | 2M | 23K | – |
| MERCK & CO INC | COM | 2M | 13K | – |
| META PLATFORMS INC | CL A | 2M | 4K | – |
| METLIFE INC | COM | 215K | 3K | – |
| MICROSOFT CORP | COM | 24M | 53K | – |
| MORGAN STANLEY | COM NEW | 561K | 6K | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 261K | 675 | – |
| NETAPP INC | COM | 7M | 56K | – |
| NETFLIX INC | COM | 1M | 2K | – |
| NEWS CORP NEW | CL A | 5M | 199K | – |
| NEXTERA ENERGY INC | COM | 1M | 15K | – |
| NUVEEN PFD & INCOME OPPORTUN | COM | 177K | 24K | – |
| NVIDIA CORPORATION | COM | 15M | 125K | – |
| OCCIDENTAL PETE CORP | COM | 235K | 4K | – |
| OPORTUN FINL CORP | COM | 509K | 176K | – |
| ORACLE CORP | COM | 982K | 7K | – |
| PACER FDS TR | US CASH COWS 100 | 803K | 15K | – |
| PALO ALTO NETWORKS INC | COM | 503K | 1K | – |
| PARKER-HANNIFIN CORP | COM | 256K | 506 | – |
| PEPSICO INC | COM | 1M | 7K | – |
| PFIZER INC | COM | 866K | 31K | – |
| PGIM ETF TR | JENNISON FOC GWT | 58M | 646K | – |
| PHILIP MORRIS INTL INC | COM | 327K | 3K | – |
| PHILLIPS 66 | COM | 6M | 39K | – |
| PIMCO ETF TR | MULTISECTOR BD | 24M | 917K | – |
| PRINCIPAL EXCHANGE TRADED FD | SPECTRUM PFD | 6M | 310K | – |
| PROCTER AND GAMBLE CO | COM | 2M | 10K | – |
| PROSHARES TR | SP500 EX ENRGY | 338K | 6K | – |
| PROSHARES TR | SP500 EX FINLS | 284K | 5K | – |
| PRUDENTIAL FINL INC | COM | 6M | 47K | – |
| PUBLIC STORAGE OPER CO | COM | 481K | 2K | – |
| QUALCOMM INC | COM | 7M | 34K | – |
| RBB FD INC | MOTLEY FOL ETF | 1M | 21K | – |
| REALTY INCOME CORP | COM | 225K | 4K | – |
| REGENERON PHARMACEUTICALS | COM | 405K | 385 | – |
| ROYAL CARIBBEAN GROUP | COM | 592K | 4K | – |
| SALESFORCE INC | COM | 553K | 2K | – |
| SCHWAB CHARLES CORP | COM | 290K | 4K | – |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 2M | 30K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US L | 1M | 19K | – |
| SCHWAB STRATEGIC TR | US TIPS ETF | 209K | 4K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL INTL | 219K | 6K | – |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 330K | 5K | – |
| SCHWAB STRATEGIC TR | MUN BD ETF | 631K | 12K | – |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 47M | 466K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 56M | 868K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 62M | 793K | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 13M | 268K | – |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 10M | 127K | – |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 16M | 423K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 4M | 53K | – |
| SELECT SECTOR SPDR TR | ENERGY | 724K | 8K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 3M | 39K | – |
| SELECT SECTOR SPDR TR | COMMUNICATION | 346K | 4K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 3M | 18K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 1M | 26K | – |
| SELECT SECTOR SPDR TR | INDL | 429K | 4K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 2M | 8K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 348K | 2K | – |
| SILA REALTY TRUST INC | COMMON STOCK | 663K | 31K | – |
| SOUTHERN CO | COM | 500K | 6K | – |
| SOUTHERN COPPER CORP | COM | 273K | 3K | – |
| SPDR GOLD TR | GOLD SHS | 560K | 3K | – |
| SPDR INDEX SHS FDS | S&P INTL SMLCP | 208K | 7K | – |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 12M | 341K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 15M | 28K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 597K | 1K | – |
| SPDR SER TR | S&P REGL BKG | 2M | 43K | – |
| SPDR SER TR | S&P 600 SMCP VAL | 250K | 3K | – |
| SPDR SER TR | PORTFOLIO S&P500 | 378K | 6K | – |
| SPDR SER TR | BBG CONV SEC ETF | 270K | 4K | – |
| SPDR SER TR | S&P DIVID ETF | 387K | 3K | – |
| SPDR SER TR | PORTFOLI S&P1500 | 704K | 11K | – |
| SPDR SER TR | S&P KENSHO NEW | 336K | 7K | – |
| SPDR SER TR | PORTFOLIO INTRMD | 227K | 7K | – |
| STARBUCKS CORP | COM | 514K | 7K | – |
| STRATEGY SHS | NS 7HANDL IDX | 5M | 256K | – |
| T ROWE PRICE ETF INC | US EQUITY RESEAR | 1M | 40K | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 602K | 3K | – |
| TARGA RES CORP | COM | 7M | 55K | – |
| TARGET CORP | COM | 790K | 5K | – |
| TE CONNECTIVITY LTD | SHS | 5M | 37K | – |
| TESLA INC | COM | 2M | 12K | – |
| TEXAS INSTRS INC | COM | 327K | 2K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 3M | 5K | – |
| TJX COS INC NEW | COM | 6M | 51K | – |
| T-MOBILE US INC | COM | 5M | 29K | – |
| TORONTO DOMINION BK ONT | COM NEW | 246K | 4K | – |
| TOYOTA MOTOR CORP | ADS | 371K | 2K | – |
| TRACTOR SUPPLY CO | COM | 438K | 2K | – |
| TRAVELERS COMPANIES INC | COM | 585K | 3K | – |
| UNION PAC CORP | COM | 214K | 947 | – |
| UNITEDHEALTH GROUP INC | COM | 11M | 22K | – |
| US BANCORP DEL | COM NEW | 513K | 13K | – |
| VANECK ETF TRUST | MRNGSTR WDE MOAT | 2M | 23K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 322K | 1K | – |
| VANECK ETF TRUST | VANECK SHRT MUNI | 188K | 11K | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 1M | 14K | – |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 365K | 5K | – |
| VANGUARD CHARLOTTE FDS | TOTAL INT BD ETF | 513K | 11K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 233K | 1K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 315K | 1K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 10M | 19K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 1M | 4K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 2M | 10K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 12M | 31K | – |
| VANGUARD INDEX FDS | LARGE CAP ETF | 1M | 6K | – |
| VANGUARD INDEX FDS | VALUE ETF | 12M | 75K | – |
| VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 225K | 2K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 271K | 4K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 14M | 321K | – |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 288K | 4K | – |
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 262K | 5K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 747K | 10K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 631K | 3K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 647K | 11K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 4M | 89K | – |
| VANGUARD WORLD FD | INF TECH ETF | 1M | 2K | – |
| VANGUARD WORLD FD | FINANCIALS ETF | 398K | 4K | – |
| VANGUARD WORLD FD | MEGA CAP VAL ETF | 381K | 3K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 355K | 1K | – |
| VECTOR GROUP LTD | COM | 222K | 21K | – |
| VERIZON COMMUNICATIONS INC | COM | 477K | 12K | – |
| VICI PPTYS INC | COM | 4M | 156K | – |
| VISA INC | COM CL A | 7M | 28K | – |
| WALMART INC | COM | 8M | 112K | – |
| WASTE MGMT INC DEL | COM | 332K | 2K | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 263K | 221 | – |
| WELLS FARGO CO NEW | COM | 483K | 8K | – |
| WISDOMTREE TR | FLOATNG RAT TREA | 668K | 13K | – |
| WISDOMTREE TR | US LARGECAP DIVD | 3M | 35K | – |
| WISDOMTREE TR | INTL SMCAP DIV | 264K | 4K | – |
| WISDOMTREE TR | US SMALLCAP DIVD | 245K | 8K | – |
| WISDOMTREE TR | EMER MKT HIGH FD | 300K | 7K | – |
| WISDOMTREE TR | US SMALLCAP FUND | 328K | 7K | – |
| WISDOMTREE TR | EMG MKTS SMCAP | 262K | 5K | – |
| WISDOMTREE TR | US MIDCAP DIVID | 239K | 5K | – |
| WISDOMTREE TR | US LARGECAP FUND | 464K | 8K | – |
| WOLVERINE WORLD WIDE INC | COM | 311K | 23K | – |
| WP CAREY INC | COM | 240K | 4K | – |
| XCEL ENERGY INC | COM | 1M | 26K | – |