SONORA INVESTMENT MANAGEMENT
SONORA INVESTMENT MANAGEMENT GROUP, LLC Legal Name
Adviser information for SONORA INVESTMENT MANAGEMENT last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,233 | $1.9B |
| Non-Discretionary | 97 | $34.1M |
| Total | 3,330 | $2.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,040 | $471.7M |
| HNW Individuals | 626 | $1.5B |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesCREDIT AND CASH MANAGEMENT SOLUTIONS. |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | CREDIT AND CASH MANAGEMENT SOLUTIONS. |
Principal Office
2343 E. BROADWAY BLVD, SUITE 116TUCSON
AZ
United States
Monday - Friday, 7:30 AM - 4:30 PM
Tel: 520-624-4554, Fax: 520-624-1401
Chief Compliance Officer
SARA S. ALEXANDER
2343 E. BROADWAY BLVD.
SUITE 116
TUSCON
AZ
United States
Tel:
520-624-4554
Fax:
520-624-1401
S*********@**********M
(Full email address available in API data)
Regulatory Contact
TANA MCKASSON
DIRECTOR OF TRADING
2343 E. BROADWAY BLVD.
SUITE 116
TUCSON
AZ
United States
Tel:
520-624-4554
T********@**********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 |
|---|---|---|---|---|---|
| FOCUS OPERATING, LLC | Domestic Entity | – | MEMBER (MANAGER) | 06/2021 | > 75% |
| FOCUS FINANCIAL PARTNERS, LLC | Domestic Entity | FOCUS OPERATING, LLC | MEMBER | 01/2007 | > 75% |
| FOCUS FINANCIAL PARTNERS, INC. | Domestic Entity | FOCUS FINANCIAL PARTNERS, LLC | MEMBER | 07/2018 | > 75% |
| WILCOX, TIMOTHY, DUANE | Individual | – | PRINCIPAL | 06/2021 | < 5% |
| FERDINAND FFP ACQUISITION, LLC | Domestic Entity | FOCUS FINANCIAL PARTNERS, INC. | SHAREHOLDER, CLASS A COMMON STOCK | 08/2023 | > 75% |
| ALEXANDER, SARA, SUZANN | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |
| ARKO, MICHAEL, H | Individual | – | PRINCIPAL | 06/2021 | < 5% |
| GAINES, LUDWELL, GRAHAM | Individual | – | PRINCIPAL | 06/2021 | < 5% |
| FERDINAND FFP ULTIMATE HOLDINGS, LP | Domestic Entity | FOCUS FINANCIAL PARTNERS, INC. | SHAREHOLDER CLASS B COMMON STOCK | 08/2023 | > 75% |
| FERDINAND FFP INTERMEDIATE HOLDINGS, LLC | Domestic Entity | FERDINAND FFP ACQUISITION, LLC | MEMBER | 08/2023 | > 75% |
| FERDINAND FFP PARENT, INC. | Domestic Entity | FERDINAND FFP INTERMEDIATE HOLDINGS, LLC | MEMBER | 08/2023 | > 75% |
| FERDINAND FFP ULTIMATE HOLDINGS, LP | Domestic Entity | FERDINAND FFP PARENT, INC. | SHAREHOLDER | 08/2023 | > 75% |
| CD&R FERDINAND HOLDINGS, L.P. | Domestic Entity | FERDINAND FFP ULTIMATE HOLDINGS, LP | PARTNER | 08/2023 | 50-75% |
| CD&R FERDINAND CO-INVESTOR, L.P. | Foreign Entity | CD&R FERDINAND HOLDINGS, L.P. | PARTNER | 08/2023 | 25-50% |
| CLAYTON, DUBILIER & RICE FUND XII, L.P. | Foreign Entity | CD&R FERDINAND CO-INVESTOR, L.P. | PARTNER | 08/2023 | 50-75% |
| CD&R ASSOCIATES XII, L.P. | Foreign Entity | CD&R FERDINAND CO-INVESTOR, L.P. | GENERAL PARTNER | 08/2023 | |
| CD&R ASSOCIATES XII, L.P. | Foreign Entity | CLAYTON, DUBILIER & RICE FUND XII, L.P. | GENERAL PARTNER | 08/2023 | |
| CD&R INVESTMENT ASSOCIATES XII, LTD. | Foreign Entity | CD&R FERDINAND HOLDINGS, L.P. | GENERAL PARTNER | 08/2023 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AGNC INVT CORP | COM | 158K | 16K | – |
| AT&T INC | COM | 3M | 186K | – |
| ABBOTT LABS | COM | 1M | 9K | – |
| ABBVIE INC | COM | 2M | 8K | – |
| ADOBE INC | COM | 11M | 21K | – |
| ADVANCED MICRO DEVICES INC | COM | 672K | 4K | – |
| AKAMAI TECHNOLOGIES INC | NOTE 0.375% 9/0 | 6M | 6M | – |
| AKEBIA THERAPEUTICS INC | COM | 18K | 10K | – |
| ALLIANCEBERNSTEIN HLDG L P | UNIT LTD PARTN | 396K | 11K | – |
| ALPHABET INC | CAP STK CL C | 32M | 213K | – |
| ALPHABET INC | CAP STK CL A | 8M | 54K | – |
| ALTRIA GROUP INC | COM | 1M | 27K | – |
| AMAZON COM INC | COM | 19M | 107K | – |
| AMERICAN AIRLINES GROUP INC | NOTE 6.500% 7/0 | 59K | 50K | – |
| AMERICAN EXPRESS CO | COM | 325K | 1K | – |
| AMERICAN TOWER CORP NEW | COM | 1M | 6K | – |
| CENCORA INC | COM | 772K | 3K | – |
| AMGEN INC | COM | 8M | 27K | – |
| ANALOG DEVICES INC | COM | 448K | 2K | – |
| ANTERO MIDSTREAM CORP | COM | 141K | 10K | – |
| APPLE INC | COM | 49M | 285K | – |
| APPLIED MATLS INC | COM | 2M | 8K | – |
| ARM HOLDINGS PLC | SPONSORED ADS | 546K | 4K | – |
| AUTOZONE INC | COM | 460K | 146 | – |
| AVISTA CORP | COM | 350K | 10K | – |
| BANK AMERICA CORP | COM | 290K | 8K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 4M | 9K | – |
| BIOMARIN PHARMACEUTICAL INC | NOTE 0.599% 8/0 | 6M | 6M | – |
| BIOMARIN PHARMACEUTICAL INC | NOTE 1.250% 5/1 | 10M | 10M | – |
| BLACKROCK MUNIYIELD QUALITY | COM | 115K | 10K | – |
| BLACKSTONE INC | COM | 17M | 130K | – |
| BLACKSTONE SECD LENDING FD | COMMON STOCK | 1M | 39K | – |
| BOEING CO | COM | 1M | 8K | – |
| BRIGHTVIEW HLDGS INC | COM | 426K | 36K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 506K | 9K | – |
| BROADCOM INC | COM | 16M | 12K | – |
| CSX CORP | COM | 954K | 26K | – |
| CVS HEALTH CORP | COM | 4M | 52K | – |
| CALAMOS CONV OPPORTUNITIES & | SH BEN INT | 299K | 26K | – |
| CARDINAL HEALTH INC | COM | 244K | 2K | – |
| CATERPILLAR INC | COM | 2M | 5K | – |
| CENTURY ALUM CO | NOTE 2.750% 5/0 | 2M | 2M | – |
| CHEESECAKE FACTORY INC | NOTE 0.375% 6/1 | 23M | 25M | – |
| CHEFS WHSE INC | NOTE 1.875%12/0 | 12M | 12M | – |
| CHENIERE ENERGY INC | COM NEW | 276K | 2K | – |
| CHEVRON CORP NEW | COM | 10M | 66K | – |
| CINCINNATI FINL CORP | COM | 841K | 7K | – |
| CISCO SYS INC | COM | 16M | 319K | – |
| CINTAS CORP | COM | 336K | 488 | – |
| CLEVELAND-CLIFFS INC NEW | COM | 14M | 598K | – |
| CLOROX CO DEL | COM | 400K | 3K | – |
| COCA COLA CO | COM | 6M | 100K | – |
| COGNEX CORP | COM | 2M | 46K | – |
| COLGATE PALMOLIVE CO | COM | 332K | 4K | – |
| COMCAST CORP NEW | CL A | 320K | 7K | – |
| CONOCOPHILLIPS | COM | 796K | 6K | – |
| CORNING INC | COM | 3M | 81K | – |
| COSTCO WHSL CORP NEW | COM | 25M | 35K | – |
| CRACKER BARREL OLD CTRY STOR | NOTE 0.625% 6/1 | 2M | 2M | – |
| CREDIT SUISSE HIGH YIELD BD | SH BEN INT | 182K | 90K | – |
| CROWDSTRIKE HLDGS INC | CL A | 370K | 1K | – |
| CUMMINS INC | COM | 498K | 2K | – |
| D R HORTON INC | COM | 1M | 8K | – |
| DEVON ENERGY CORP NEW | COM | 269K | 5K | – |
| DISNEY WALT CO | COM | 9M | 76K | – |
| DOVER CORP | COM | 441K | 2K | – |
| DUKE ENERGY CORP NEW | COM NEW | 357K | 4K | – |
| ENI S P A | SPONSORED ADR | 410K | 13K | – |
| EASTERLY GOVT PPTYS INC | COM | 448K | 39K | – |
| EATON VANCE NATL MUN OPPORT | COM SHS | 224K | 14K | – |
| EMERSON ELEC CO | COM | 9M | 77K | – |
| ENBRIDGE INC | COM | 578K | 16K | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 1M | 85K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 2M | 55K | – |
| ETSY INC | NOTE 0.125% 9/0 | 5M | 6M | – |
| ETSY INC | NOTE 0.250% 6/1 | 3M | 3M | – |
| EVERGY INC | COM | 10M | 179K | – |
| EVOLENT HEALTH INC | NOTE 1.500%10/1 | 6M | 5M | – |
| EXACT SCIENCES CORP | NOTE 1.000% 1/1 | 3M | 2M | – |
| EXACT SCIENCES CORP | NOTE 0.375% 3/1 | 4M | 4M | – |
| EXELIXIS INC | COM | 597K | 25K | – |
| EXP WORLD HLDGS INC | COM | 746K | 72K | – |
| EXXON MOBIL CORP | COM | 6M | 53K | – |
| META PLATFORMS INC | CL A | 19M | 39K | – |
| FIDELITY NATL INFORMATION SV | COM | 208K | 3K | – |
| FIFTH THIRD BANCORP | COM | 2M | 59K | – |
| FORD MTR CO DEL | COM | 318K | 24K | – |
| NVIDIA CORPORATION | COM | 10M | 11K | – |
| NUVEEN AMT FREE MUN CR INC F | COM | 526K | 43K | – |
| NUVEEN MUN VALUE FD INC | COM | 132K | 15K | – |
| OCCIDENTAL PETE CORP | COM | 285K | 4K | – |
| OKTA INC | NOTE 0.125% 9/0 | 19K | 20K | – |
| OMEROS CORP | COM | 40K | 12K | – |
| OMEROS CORP | NOTE 5.250% 2/1 | 3M | 4M | – |
| ONEOK INC NEW | COM | 831K | 10K | – |
| ONTO INNOVATION INC | COM | 584K | 3K | – |
| ORACLE CORP | COM | 22M | 178K | – |
| PNC FINL SVCS GROUP INC | COM | 11M | 70K | – |
| PAYCHEX INC | COM | 10M | 83K | – |
| PEPSICO INC | COM | 16M | 91K | – |
| PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR | 244K | 16K | – |
| PFIZER INC | COM | 10M | 358K | – |
| PHILIP MORRIS INTL INC | COM | 944K | 10K | – |
| PHILLIPS 66 | COM | 3M | 21K | – |
| PIMCO INCOME STRATEGY FD | COM | 213K | 25K | – |
| PIMCO INCOME STRATEGY FD II | COM | 214K | 29K | – |
| PINNACLE WEST CAP CORP | COM | 2M | 21K | – |
| PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 186K | 11K | – |
| PRICE T ROWE GROUP INC | COM | 208K | 2K | – |
| PRINCIPAL FINANCIAL GROUP IN | COM | 311K | 4K | – |
| PROCTER AND GAMBLE CO | COM | 13M | 83K | – |
| PROLOGIS INC. | COM | 484K | 4K | – |
| PROSHARES TR | S&P 500 DV ARIST | 299K | 3K | – |
| PRUDENTIAL FINL INC | COM | 242K | 2K | – |
| PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 102K | 10K | – |
| QUALCOMM INC | COM | 26M | 154K | – |
| QUIPT HOME MEDICAL CORP | COM | 66K | 15K | – |
| RPM INTL INC | COM | 7M | 56K | – |
| RTX CORPORATION | COM | 10M | 103K | – |
| REGENERON PHARMACEUTICALS | COM | 481K | 500 | – |
| REPUBLIC SVCS INC | COM | 24M | 125K | – |
| REVANCE THERAPEUTICS INC | COM | 102K | 21K | – |
| REVANCE THERAPEUTICS INC | NOTE 1.750% 2/1 | 2M | 3M | – |
| ROCKWELL AUTOMATION INC | COM | 286K | 980 | – |
| SHELL PLC | SPON ADS | 448K | 7K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 3M | 6K | – |
| SPDR GOLD TR | GOLD SHS | 678K | 3K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 287K | 721 | – |
| SALESFORCE INC | COM | 2M | 5K | – |
| SCHLUMBERGER LTD | COM STK | 360K | 7K | – |
| SCHWAB CHARLES CORP | COM | 389K | 5K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 928K | 15K | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 237K | 5K | – |
| SCHWAB STRATEGIC TR | FUNDAMENTAL US L | 486K | 7K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 587K | 7K | – |
| SELECT SECTOR SPDR TR | ENERGY | 230K | 2K | – |
| SELECT SECTOR SPDR TR | FINANCIAL | 402K | 10K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 943K | 5K | – |
| SERVICENOW INC | COM | 213K | 279 | – |
| SHOE CARNIVAL INC | COM | 1M | 41K | – |
| SMUCKER J M CO | COM NEW | 378K | 3K | – |
| SONOCO PRODS CO | COM | 4M | 64K | – |
| SOUTHERN CO | COM | 460K | 6K | – |
| STAG INDL INC | COM | 243K | 6K | – |
| STANDARD LITHIUM LTD | COM | 38K | 32K | – |
| STARBUCKS CORP | COM | 8M | 83K | – |
| STARWOOD PPTY TR INC | COM | 686K | 34K | – |
| STRYKER CORPORATION | COM | 2M | 6K | – |
| SUMMIT HOTEL PPTYS | NOTE 1.500% 2/1 | 16M | 17M | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 1M | 9K | – |
| TARGET CORP | COM | 686K | 4K | – |
| TECK RESOURCES LTD | CL B | 5M | 112K | – |
| TESLA INC | COM | 2M | 10K | – |
| TEXAS INSTRS INC | COM | 15M | 87K | – |
| TEXAS ROADHOUSE INC | COM | 3M | 20K | – |
| TRUIST FINL CORP | COM | 12M | 314K | – |
| US BANCORP DEL | COM NEW | 11M | 241K | – |
| UBER TECHNOLOGIES INC | NOTE 12/1 | 1M | 1M | – |
| UNION PAC CORP | COM | 16M | 66K | – |
| UNITED PARCEL SERVICE INC | CL B | 267K | 2K | – |
| UNITED RENTALS INC | COM | 716K | 993 | – |
| UNITEDHEALTH GROUP INC | COM | 11M | 22K | – |
| UNITI GROUP INC | COM | 2M | 325K | – |
| VALERO ENERGY CORP | COM | 27M | 156K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 674K | 4K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 413K | 7K | – |
| VANGUARD BD INDEX FDS | LONG TERM BOND | 750K | 10K | – |
| VANGUARD BD INDEX FDS | INTERMED TERM | 2M | 23K | – |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 3M | 40K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 294K | 2K | – |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 262K | 5K | – |
| VANGUARD WORLD FD | FINANCIALS ETF | 304K | 3K | – |
| VANGUARD WORLD FD | INF TECH ETF | 244K | 466 | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 2M | 4K | – |
| FREEPORT-MCMORAN INC | CL B | 314K | 7K | – |
| GABELLI UTIL TR | COM | 67K | 12K | – |
| GALLAGHER ARTHUR J & CO | COM | 23M | 91K | – |
| GE AEROSPACE | COM NEW | 358K | 2K | – |
| GENERAL MLS INC | COM | 6M | 85K | – |
| GENTEX CORP | COM | 325K | 9K | – |
| GILEAD SCIENCES INC | COM | 495K | 7K | – |
| GLOBAL NET LEASE INC | COM NEW | 2M | 271K | – |
| GLOBAL X FDS | GLBL X MLP ETF | 3M | 53K | – |
| GOLDMAN SACHS GROUP INC | COM | 236K | 565 | – |
| GRAFTECH INTL LTD | COM | 572K | 414K | – |
| GRAINGER W W INC | COM | 876K | 861 | – |
| GRANITE CONSTR INC | COM | 227K | 4K | – |
| GRANITE CONSTR INC | NOTE 2.750%11/0 | 6M | 3M | – |
| GRAY TELEVISION INC | COM | 66K | 11K | – |
| GREEN PLAINS INC | NOTE 2.250% 3/1 | 3M | 3M | – |
| GUIDEWIRE SOFTWARE INC | NOTE 1.250% 3/1 | 178K | 155K | – |
| HALOZYME THERAPEUTICS INC | NOTE 0.250% 3/0 | 4M | 4M | – |
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 2M | 2M | – |
| HEALTHCARE RLTY TR | CL A COM | 218K | 15K | – |
| HEALTHPEAK PROPERTIES INC | COM | 266K | 14K | – |
| HOME DEPOT INC | COM | 20M | 51K | – |
| HONEYWELL INTL INC | COM | 7M | 36K | – |
| HUNTSMAN CORP | COM | 930K | 36K | – |
| ILLINOIS TOOL WKS INC | COM | 8M | 31K | – |
| INSMED INC | NOTE 1.750% 1/1 | 6M | 6M | – |
| INSMED INC | NOTE 0.750% 6/0 | 580K | 540K | – |
| INTEL CORP | COM | 667K | 15K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 20M | 102K | – |
| POWERSHARES ACTIVELY MANAGED | ULTRA SHRT DUR | 399K | 8K | – |
| INVESCO QQQ TR | UNIT SER 1 | 2M | 5K | – |
| INTRA-CELLULAR THERAPIES INC | COM | 6M | 87K | – |
| INTUIT | COM | 410K | 630 | – |
| INTUITIVE SURGICAL INC | COM NEW | 349K | 875 | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 250K | 7K | – |
| IONIS PHARMACEUTICALS INC | COM | 7M | 151K | – |
| IONIS PHARMACEUTICALS INC | NOTE 0.125%12/1 | 15M | 16M | – |
| IONIS PHARMACEUTICALS INC | NOTE 4/0 | 12M | 13M | – |
| IRON MTN INC DEL | COM | 7M | 85K | – |
| ISHARES GOLD TR | ISHARES NEW | 316K | 8K | – |
| ISHARES TR | SELECT DIVID ETF | 346K | 3K | – |
| ISHARES TR | CORE S&P500 ETF | 2M | 5K | – |
| ISHARES TR | CORE S&P MCP ETF | 206K | 3K | – |
| ISHARES TR | RUSSELL 2000 ETF | 572K | 3K | – |
| ISHARES TR | IBOXX HI YD ETF | 532K | 7K | – |
| ISHARES SILVER TR | ISHARES | 237K | 10K | – |
| JPMORGAN CHASE & CO. | COM | 22M | 111K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 250K | 5K | – |
| JOHNSON & JOHNSON | COM | 16M | 101K | – |
| KLA CORP | COM NEW | 22M | 32K | – |
| KAYNE ANDERSON ENERGY INFRST | COM | 470K | 47K | – |
| KIMBERLY-CLARK CORP | COM | 9M | 71K | – |
| KINDER MORGAN INC DEL | COM | 5M | 247K | – |
| LAM RESEARCH CORP | COM | 839K | 863 | – |
| ELI LILLY & CO | COM | 2M | 2K | – |
| LOCKHEED MARTIN CORP | COM | 17M | 37K | – |
| LOWES COS INC | COM | 577K | 2K | – |
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 3M | 4M | – |
| MGM RESORTS INTERNATIONAL | COM | 5M | 112K | – |
| MPLX LP | COM UNIT REP LTD | 444K | 11K | – |
| MACERICH CO | COM | 4M | 246K | – |
| MARATHON OIL CORP | COM | 586K | 21K | – |
| MASTERCARD INCORPORATED | CL A | 787K | 2K | – |
| MCDONALDS CORP | COM | 12M | 43K | – |
| MCKESSON CORP | COM | 276K | 513 | – |
| MERCADOLIBRE INC | COM | 318K | 210 | – |
| MERCK & CO INC | COM | 22M | 168K | – |
| METLIFE INC | COM | 351K | 5K | – |
| MICROSOFT CORP | COM | 56M | 134K | – |
| MICROCHIP TECHNOLOGY INC. | NOTE 1.625% 2/1 | 6M | 3M | – |
| MONDELEZ INTL INC | CL A | 334K | 5K | – |
| MURPHY OIL CORP | COM | 318K | 7K | – |
| NATIONAL FUEL GAS CO | COM | 352K | 7K | – |
| NETFLIX INC | COM | 347K | 571 | – |
| RITHM CAPITAL CORP | COM NEW | 177K | 16K | – |
| NEXSTAR MEDIA GROUP INC | COMMON STOCK | 224K | 1K | – |
| NEXTERA ENERGY INC | COM | 616K | 10K | – |
| NEXTERA ENERGY INC | UNIT 09/01/2025 | 11M | 271K | – |
| NIKE INC | CL B | 7M | 70K | – |
| NORFOLK SOUTHN CORP | COM | 249K | 976 | – |
| NORTHROP GRUMMAN CORP | COM | 2M | 3K | – |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 211K | 1K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 224K | 3K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 946K | 3K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 2M | 10K | – |
| VERIZON COMMUNICATIONS INC | COM | 9M | 208K | – |
| VERINT SYSTEMS INC | NOTE 0.250% 4/1 | 5M | 5M | – |
| VICI PPTYS INC | COM | 12M | 387K | – |
| VISA INC | COM CL A | 14M | 50K | – |
| VISHAY INTERTECHNOLOGY INC | NOTE 2.250% 6/1 | 13M | 13M | – |
| VIRTUS CONVERTIBLE & INC FD | COM | 108K | 36K | – |
| VIRTUS CONVERTIBLE & INCOME | COM | 109K | 33K | – |
| VIRTUS DIVIDEND INTEREST & P | COM | 249K | 20K | – |
| WP CAREY INC | COM | 8M | 143K | – |
| WALMART INC | COM | 19M | 310K | – |
| WASTE MGMT INC DEL | COM | 2M | 11K | – |
| ALLSPRING INCOME OPPORTUNIT | INC OPPTY FD | 203K | 31K | – |
| WEST PHARMACEUTICAL SVSC INC | COM | 414K | 1K | – |
| WESTERN ASSET HIGH INCOM FD | COM | 82K | 18K | – |
| WESTERN ASSET HIGH YIELD DEF | COM | 220K | 18K | – |
| WEYERHAEUSER CO MTN BE | COM NEW | 1M | 35K | – |
| WHEATON PRECIOUS METALS CORP | COM | 3M | 54K | – |
| WILLIAMS COS INC | COM | 392K | 10K | – |
| WORKIVA INC | COM CL A | 310K | 4K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 12M | 34K | – |
| EATON CORP PLC | SHS | 635K | 2K | – |
| MEDTRONIC PLC | SHS | 10M | 117K | – |
| PAGSEGURO DIGITAL LTD | COM CL A | 530K | 37K | – |
| LYONDELLBASELL INDUSTRIES N | SHS - A - | 14M | 135K | – |