SPECTRUM WEALTH MANAGEMENT
SPECTRUM WEALTH COUNSEL, LLC Legal Name
Adviser information for SPECTRUM WEALTH 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 | 13 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,242 | $922.1M |
| Non-Discretionary | 21 | $54.3M |
| Total | 1,263 | $976.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 70 | $23.4M |
| HNW Individuals | 146 | $898.8M |
| 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 | <5 | $42.8M |
| Charitable organizations | <5 | $11.5M |
| 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 |
| No. of Financial Planning Clients | 101-250 |
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)INSURANCE SOLUTIONS; CREDIT AND CASH MANAGEMENT SOLUTIONS |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesREVENUE SHARING WITH OUR AFFILIATE, SEE SCHEDULE D MISC |
| Other Business Activities | INSURANCE& CREDIT & CASH MGMT SOLUTIONS |
Principal Office
600 EAST 96TH STREET, SUITE 130INDIANAPOLIS
IN
United States
MON- THURS // FRIDAY CLOSE AT 4PM, 8:00 AM - 5:00 PM
Tel: 317-663-5600, Fax: 317-663-5610
Chief Compliance Officer
LESLIE D. THOMPSON
CIO
600 EAST 96TH STREET, SUITE 130
INDIANAPOLIS
IN
United States
Tel:
317-663-5600
Fax:
317-663-5610
L********@****************M
(Full email address available in API data)
Industry Affiliates
| FOCUS RISK SOLUTIONS, LLC | Insurance company or agency |
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) | 10/2022 | > 75% |
| PHILLIPS, ROBERT, CLETUS | Individual | – | CEO/PRESIDENT | 10/2022 | < 5% |
| THOMPSON, LESLIE, DIANE | Individual | – | CCO/CIO | 10/2022 | < 5% |
| 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% |
| FERDINAND FFP ACQUISITION, LLC | Domestic Entity | FOCUS FINANCIAL PARTNERS INC. | SHAREHOLDER - CLASS A COMMON STOCK | 08/2023 | > 75% |
| 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 HOLDINGS, L.P. | PARTNER | 08/2023 | 50-75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 8th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 374WATER INC | COM | 3K | 3K | – |
| ABBOTT LABS | COM | 408K | 4K | – |
| ABBVIE INC | COM | 6M | 34K | – |
| ABBVIE INC | COM | 264K | 2K | – |
| ABRDN PALLADIUM ETF TRUST | PHYSICAL PALLADM | 891 | 10 | – |
| ABRDN SILVER ETF TRUST | PHYSCL SILVR SHS | 13K | 454 | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 151K | 499 | – |
| ADOBE INC | COM | 67K | 121 | – |
| AFFIRM HLDGS INC | COM CL A | 177K | 6K | – |
| AGILENT TECHNOLOGIES INC | COM | 7K | 54 | – |
| AGNC INVT CORP | COM | 2K | 230 | – |
| AIRBNB INC | COM CL A | 15K | 100 | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 4K | 55 | – |
| ALPHABET INC | CAP STK CL A | 12M | 63K | – |
| ALPHABET INC | CAP STK CL A | 255K | 1K | – |
| ALPHABET INC | CAP STK CL C | 661K | 4K | – |
| ALPS ETF TR | ALERIAN MLP | 9M | 186K | – |
| ALTRIA GROUP INC | COM | 73K | 2K | – |
| AMAZON COM INC | COM | 11M | 57K | – |
| AMAZON COM INC | COM | 186K | 963 | – |
| AMERICAN RES CORP | CL A | 1K | 2K | – |
| ANNALY CAPITAL MANAGEMENT IN | COM NEW | 3K | 150 | – |
| ANTERO MIDSTREAM CORP | COM | 7K | 500 | – |
| APPLE INC | COM | 22M | 104K | – |
| APPLE INC | COM | 1M | 6K | – |
| ARISTA NETWORKS INC | COM | 3M | 9K | – |
| ARK ETF TR | INNOVATION ETF | 132 | 3 | – |
| AT&T INC | COM | 230 | 12 | – |
| AURORA CANNABIS INC | COM | 10 | 2 | – |
| BANK AMERICA CORP | COM | 40K | 1K | – |
| BANK AMERICA CORP | COM | 94K | 2K | – |
| BANK NEW YORK MELLON CORP | COM | 17K | 277 | – |
| BATH & BODY WORKS INC | COM | 9K | 231 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 10M | 24K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 719K | 2K | – |
| BLACKROCK ENHANCED GLOBAL DI | COM | 5K | 500 | – |
| BLACKROCK ETF TRUST | US EQT FACTOR | 558K | 12K | – |
| BLACKROCK ETF TRUST II | FLEXIBLE INCOME | 2M | 37K | – |
| BLACKROCK INC | COM | 5M | 7K | – |
| BLUE OWL CAPITAL CORPORATION | COM | 5K | 340 | – |
| BOEING CO | COM | 911 | 5 | – |
| BOEING CO | COM | 92K | 503 | – |
| BOOKING HOLDINGS INC | COM | 59K | 15 | – |
| BOSTON SCIENTIFIC CORP | COM | 25K | 321 | – |
| BP PLC | SPONSORED ADR | 14K | 400 | – |
| BRIGHTSPIRE CAPITAL INC | COM CL A | 3K | 580 | – |
| BROADCOM INC | COM | 14M | 9K | – |
| BROADCOM INC | COM | 438K | 273 | – |
| BWX TECHNOLOGIES INC | COM | 52K | 546 | – |
| CADENCE DESIGN SYSTEM INC | COM | 6M | 18K | – |
| CAMECO CORP | COM | 74K | 2K | – |
| CANADIAN PACIFIC KANSAS CITY | COM | 20K | 250 | – |
| CAPITAL SOUTHWEST CORP | COM | 6K | 230 | – |
| CARRIER GLOBAL CORPORATION | COM | 2K | 33 | – |
| CATERPILLAR INC | COM | 49K | 148 | – |
| CHEMOURS CO | COM | 1K | 60 | – |
| CHEVRON CORP NEW | COM | 120K | 764 | – |
| CHEVRON CORP NEW | COM | 176K | 1K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 627 | 10 | – |
| CHURCHILL DOWNS INC | COM | 19K | 134 | – |
| CISCO SYS INC | COM | 17K | 362 | – |
| CITIGROUP INC | COM NEW | 318 | 5 | – |
| COCA COLA CO | COM | 355K | 6K | – |
| COCA COLA CO | COM | 22K | 348 | – |
| COMCAST CORP NEW | CL A | 2K | 60 | – |
| COMCAST CORP NEW | CL A | 64K | 2K | – |
| COPART INC | COM | 14K | 260 | – |
| CORE SCIENTIFIC INC NEW | COM | 2K | 250 | – |
| CORTEVA INC | COM | 8K | 143 | – |
| COSTCO WHSL CORP NEW | COM | 80K | 94 | – |
| COSTCO WHSL CORP NEW | COM | 401K | 472 | – |
| CRISPR THERAPEUTICS AG | NAMEN AKT | 217 | 4 | – |
| CROWDSTRIKE HLDGS INC | CL A | 2K | 4 | – |
| CURTISS WRIGHT CORP | COM | 165K | 608 | – |
| D R HORTON INC | COM | 22K | 156 | – |
| DEXCOM INC | COM | 567 | 5 | – |
| DIAMONDBACK ENERGY INC | COM | 20K | 100 | – |
| DIAMONDBACK ENERGY INC | COM | 77K | 387 | – |
| DICKS SPORTING GOODS INC | COM | 7M | 31K | – |
| DISCOVER FINL SVCS | COM | 20K | 150 | – |
| DISNEY WALT CO | COM | 44K | 443 | – |
| DISNEY WALT CO | COM | 131K | 1K | – |
| DOW INC | COM | 7K | 128 | – |
| DRAFTKINGS INC NEW | COM CL A | 420 | 11 | – |
| DUPONT DE NEMOURS INC | COM | 10K | 128 | – |
| EAGLE POINT CREDIT COMPANY I | COM | 2K | 215 | – |
| EDWARDS LIFESCIENCES CORP | COM | 298K | 3K | – |
| ELEVANCE HEALTH INC | COM | 510K | 942 | – |
| ELI LILLY & CO | CALL | 91K | – | – |
| ELI LILLY & CO | COM | 17M | 19K | – |
| ELI LILLY & CO | COM | 211K | 233 | – |
| EMCOR GROUP INC | COM | 2M | 4K | – |
| EMERSON ELEC CO | COM | 4K | 40 | – |
| ENTERPRISE PRODS PARTNERS L | COM | 6K | 200 | – |
| EOG RES INC | COM | 100K | 798 | – |
| EVOLV TECHNOLOGIES HLDNGS IN | COM CL A | 102K | 40K | – |
| EXXON MOBIL CORP | COM | 7M | 65K | – |
| EXXON MOBIL CORP | COM | 30K | 259 | – |
| FERRARI N V | COM | 57K | 140 | – |
| FIDELITY COVINGTON TRUST | DIVID ETF RISI | 6K | 127 | – |
| FIDELITY COVINGTON TRUST | HIGH DIVID ETF | 6K | 135 | – |
| FIDELITY COVINGTON TRUST | INT HG DIV ETF | 6K | 288 | – |
| FIDELITY COVINGTON TRUST | MSCI HLTH CARE I | 262K | 4K | – |
| FIDELITY COVINGTON TRUST | STOCK FOR INFL | 14K | 331 | – |
| FIDELITY WISE ORIGIN BITCOIN | SHS | 4K | 85 | – |
| FIFTH THIRD BANCORP | COM | 91K | 3K | – |
| FIRST TR EXCHANGE TRADED FD | ENERGY ALPHADX | 47K | 3K | – |
| FIRST TR EXCHANGE-TRADED FD | FT VEST RIS | 20M | 864K | – |
| FLUTTER ENTMT PLC | SHS | 3K | 15 | – |
| FREEPORT-MCMORAN INC | CL B | 25K | 519 | – |
| GARTNER INC | COM | 14K | 31 | – |
| GE AEROSPACE | COM NEW | 102K | 639 | – |
| GE HEALTHCARE TECHNOLOGIES I | COMMON STOCK | 17K | 213 | – |
| GE VERNOVA INC | COM | 27K | 159 | – |
| GENERAL DYNAMICS CORP | COM | 55K | 188 | – |
| GENERAL MTRS CO | COM | 949 | 20 | – |
| GERMAN AMERN BANCORP INC | COM | 134K | 4K | – |
| GLOBAL X FDS | GLOBAL X URANIUM | 3K | 99 | – |
| GOLDMAN SACHS GROUP INC | COM | 8M | 18K | – |
| GOLDMAN SACHS GROUP INC | COM | 85K | 187 | – |
| GOLDMAN SACHS PHYSICAL GOLD | UNIT | 14K | 597 | – |
| GRAINGER W W INC | COM | 5M | 5K | – |
| GRANITESHARES PLATINUM TR | SHS BEN INT | 1K | 119 | – |
| GRAYSCALE BITCOIN TR BTC | SHS REP COM UT | 162K | 3K | – |
| HOME DEPOT INC | COM | 9M | 26K | – |
| HOME DEPOT INC | COM | 164K | 475 | – |
| HONEYWELL INTL INC | COM | 16K | 75 | – |
| HOWMET AEROSPACE INC | COM | 11K | 141 | – |
| HP INC | COM | 10K | 288 | – |
| HUMACYTE INC | COM | 960 | 200 | – |
| HUNT J B TRANS SVCS INC | COM | 9K | 57 | – |
| ILLINOIS TOOL WKS INC | COM | 6M | 27K | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 194K | 1K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 232K | 1K | – |
| INTUIT | COM | 43K | 65 | – |
| INTUITIVE SURGICAL INC | COM NEW | 205K | 460 | – |
| INTUITIVE SURGICAL INC | COM NEW | 86K | 194 | – |
| INVESCO DB COMMDY INDX TRCK | UNIT | 6K | 269 | – |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 88K | 1K | – |
| INVESCO EXCHANGE TRADED FD T | FTSE RAFI 1000 | 2M | 62K | – |
| INVESCO EXCHANGE TRADED FD T | FTSE RAFI 1500 | 388 | 10 | – |
| INVESCO EXCHANGE TRADED FD T | S&P 500 TOP 50 | 98K | 2K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 PUR VAL | 14K | 167 | – |
| INVESCO QQQ TR | UNIT SER 1 | 48K | 100 | – |
| IRIS ENERGY LTD | ORDINARY SHARES | 1K | 120 | – |
| ISHARES BITCOIN TR | SHS | 43K | 1K | – |
| ISHARES BITCOIN TR | SHS | 23K | 678 | – |
| ISHARES GOLD TR | ISHARES NEW | 95K | 2K | – |
| ISHARES INC | CORE MSCI EMKT | 8M | 143K | – |
| ISHARES INC | ESG AWR MSCI EM | 46K | 1K | – |
| ISHARES INC | MSCI EMRG CHN | 7M | 111K | – |
| ISHARES SILVER TR | CALL | 13K | – | – |
| ISHARES SILVER TR | ISHARES | 47K | 2K | – |
| ISHARES TR | 0-5 YR TIPS ETF | 47K | 471 | – |
| ISHARES TR | 0-5YR HI YL CP | 43K | 1K | – |
| ISHARES TR | 10-20 YR TRS ETF | 295K | 3K | – |
| ISHARES TR | 20 YR TR BD ETF | 3M | 31K | – |
| ISHARES TR | AGENCY BOND ETF | 32K | 300 | – |
| ISHARES TR | BROAD USD HIGH | 722K | 20K | – |
| ISHARES TR | CONV BD ETF | 187K | 2K | – |
| ISHARES TR | CORE 1 5 YR USD | 206K | 4K | – |
| ISHARES TR | CORE INTL AGGR | 285K | 6K | – |
| ISHARES TR | CORE MSCI EAFE | 5M | 65K | – |
| ISHARES TR | CORE MSCI TOTAL | 740K | 11K | – |
| ISHARES TR | CORE S&P MCP ETF | 43K | 735 | – |
| ISHARES TR | CORE S&P SCP ETF | 1M | 14K | – |
| ISHARES TR | CORE S&P TTL STK | 86K | 723 | – |
| ISHARES TR | CORE S&P TTL STK | 1M | 12K | – |
| ISHARES TR | CORE S&P US VLU | 2M | 19K | – |
| ISHARES TR | CORE S&P500 ETF | 82M | 150K | – |
| ISHARES TR | CORE TOTAL USD | 20M | 433K | – |
| ISHARES TR | CORE US AGGBD ET | 75K | 774 | – |
| ISHARES TR | CR 5 10 YR ETF | 432K | 10K | – |
| ISHARES TR | CRE U S REIT ETF | 357K | 7K | – |
| ISHARES TR | EAFE GRWTH ETF | 16M | 155K | – |
| ISHARES TR | EAFE SML CP ETF | 314K | 5K | – |
| ISHARES TR | EAFE VALUE ETF | 9M | 164K | – |
| ISHARES TR | ESG AWR MSCI USA | 10M | 87K | – |
| ISHARES TR | EUROPE ETF | 5K | 100 | – |
| ISHARES TR | EXPANDED TECH | 5M | 61K | – |
| ISHARES TR | FLTG RATE NT ETF | 30K | 595 | – |
| ISHARES TR | GENOMICS IMMUN | 2K | 82 | – |
| ISHARES TR | GLOBAL ENERG ETF | 93K | 2K | – |
| ISHARES TR | HDG MSCI EAFE | 4M | 99K | – |
| ISHARES TR | IBDS DEC28 ETF | 562K | 23K | – |
| ISHARES TR | IBOND DEC 2030 | 49K | 3K | – |
| ISHARES TR | IBONDS 24 TRM TS | 66K | 3K | – |
| ISHARES TR | IBONDS 25 TRM TS | 114K | 5K | – |
| ISHARES TR | IBONDS 26 TRM TS | 115K | 5K | – |
| ISHARES TR | IBONDS 27 ETF | 564K | 24K | – |
| ISHARES TR | IBONDS 27 TRM TS | 115K | 5K | – |
| ISHARES TR | IBONDS 28 TRM TS | 115K | 5K | – |
| ISHARES TR | IBONDS 29 TRM TS | 49K | 2K | – |
| ISHARES TR | IBONDS DEC 2030 | 559K | 26K | – |
| ISHARES TR | IBONDS DEC 2031 | 49K | 2K | – |
| ISHARES TR | IBONDS DEC 2031 | 552K | 27K | – |
| ISHARES TR | IBONDS DEC 2032 | 33K | 1K | – |
| ISHARES TR | IBONDS DEC 2032 | 49K | 2K | – |
| ISHARES TR | IBONDS DEC 2033 | 49K | 2K | – |
| ISHARES TR | IBONDS DEC 2033 | 33K | 1K | – |
| ISHARES TR | IBONDS DEC 29 | 556K | 25K | – |
| ISHARES TR | IBONDS DEC2026 | 570K | 24K | – |
| ISHARES TR | IBONDS DEC25 ETF | 573K | 23K | – |
| ISHARES TR | IBOXX INV CP ETF | 21K | 200 | – |
| ISHARES TR | INVESTMENT GRADE | 738K | 17K | – |
| ISHARES TR | ISHARES BIOTECH | 24K | 173 | – |
| ISHARES TR | ISHARES SEMICDTR | 88K | 357 | – |
| ISHARES TR | ISHS 1-5YR INVS | 113K | 2K | – |
| ISHARES TR | JPMORGAN USD EMG | 1M | 16K | – |
| ISHARES TR | MBS ETF | 6M | 61K | – |
| ISHARES TR | MSCI EAFE ETF | 86K | 1K | – |
| ISHARES TR | MSCI INDIA ETF | 56K | 1K | – |
| ISHARES TR | MSCI INTL QUALTY | 10K | 246 | – |
| ISHARES TR | MSCI USA MIN VOL | 174K | 2K | – |
| ISHARES TR | MSCI USA QLT FCT | 20M | 118K | – |
| ISHARES TR | NATIONAL MUN ETF | 1M | 13K | – |
| ISHARES TR | NORTH AMERN NAT | 440K | 10K | – |
| ISHARES TR | RUS 2000 VAL ETF | 2K | 13 | – |
| ISHARES TR | RUS MID CAP ETF | 12K | 145 | – |
| ISHARES TR | RUS TP200 GR ETF | 39K | 181 | – |
| ISHARES TR | RUS TP200 VL ETF | 63K | 848 | – |
| ISHARES TR | RUSSELL 2000 ETF | 19K | 92 | – |
| ISHARES TR | S&P 100 ETF | 6M | 25K | – |
| ISHARES TR | S&P 500 GRWT ETF | 8M | 83K | – |
| ISHARES TR | S&P 500 VAL ETF | 12M | 66K | – |
| ISHARES TR | S&P MC 400GR ETF | 389K | 4K | – |
| ISHARES TR | S&P SML 600 GWT | 347K | 3K | – |
| ISHARES TR | SHORT TREAS BD | 16K | 143 | – |
| ISHARES TR | SHRT NAT MUN ETF | 21K | 197 | – |
| ISHARES TR | SP SMCP600VL ETF | 537K | 6K | – |
| ISHARES TR | TIPS BD ETF | 543K | 5K | – |
| ISHARES TR | TRS FLT RT BD | 108K | 2K | – |
| ISHARES TR | U.S. INSRNCE ETF | 6M | 54K | – |
| ISHARES TR | U.S. TECH ETF | 8M | 51K | – |
| ISHARES TR | US AER DEF ETF | 59K | 446 | – |
| ISHARES TR | US HLTHCARE ETF | 20K | 325 | – |
| ISHARES TR | US HOME CONS ETF | 8M | 80K | – |
| ISHARES TR | US INFRASTRUC | 2M | 42K | – |
| ISHARES TR | US OIL GS EX ETF | 1M | 14K | – |
| ISHARES TR | US TREAS BD ETF | 819K | 36K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 726K | 14K | – |
| JABIL INC | COM | 1M | 10K | – |
| JOHNSON & JOHNSON | COM | 41K | 283 | – |
| JPMORGAN CHASE & CO. | COM | 12M | 57K | – |
| JPMORGAN CHASE & CO. | COM | 311K | 2K | – |
| KEMPER CORP | COM | 147K | 2K | – |
| KEYSIGHT TECHNOLOGIES INC | COM | 4K | 27 | – |
| KIMBERLY-CLARK CORP | COM | 21K | 150 | – |
| KKR & CO INC | COM | 64K | 604 | – |
| KLA CORP | COM NEW | 29K | 35 | – |
| KYNDRYL HLDGS INC | COMMON STOCK | 1K | 44 | – |
| LAM RESEARCH CORP | COM | 85K | 80 | – |
| LAUDER ESTEE COS INC | CL A | 47K | 438 | – |
| LENNAR CORP | CL A | 161K | 1K | – |
| LIBERTY MEDIA CORP DEL | COM LBTY ONE S C | 26K | 368 | – |
| LINCOLN ELEC HLDGS INC | COM | 42K | 225 | – |
| LISTED FD TR | HORIZON KINETICS | 126K | 4K | – |
| LITHIUM AMERICAS ARGENTINA C | COM SHS | 4K | 1K | – |
| LITHIUM AMERS CORP NEW | COM SHS | 4K | 1K | – |
| LOCKHEED MARTIN CORP | COM | 159K | 340 | – |
| LOWES COS INC | COM | 18K | 81 | – |
| MARATHON OIL CORP | COM | 2K | 83 | – |
| MARRIOTT INTL INC NEW | CL A | 116K | 478 | – |
| MARTIN MARIETTA MATLS INC | COM | 31K | 58 | – |
| MASTERCARD INCORPORATED | CL A | 176K | 400 | – |
| MASTERCARD INCORPORATED | CL A | 192K | 435 | – |
| MCDONALDS CORP | COM | 351K | 1K | – |
| MCKESSON CORP | COM | 35K | 60 | – |
| MERCADOLIBRE INC | COM | 62K | 38 | – |
| MERCHANTS BANCORP IND | COM | 4K | 103 | – |
| MERCK & CO INC | COM | 68K | 550 | – |
| MERCK & CO INC | COM | 247K | 2K | – |
| META PLATFORMS INC | CALL | 202K | – | – |
| META PLATFORMS INC | CL A | 15M | 29K | – |
| META PLATFORMS INC | CL A | 127K | 251 | – |
| MICRON TECHNOLOGY INC | COM | 1K | 10 | – |
| MICROSOFT CORP | COM | 23M | 51K | – |
| MICROSOFT CORP | COM | 979K | 2K | – |
| MONOLITHIC PWR SYS INC | COM | 81K | 99 | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 5K | 14 | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 18K | 46 | – |
| MUELLER INDS INC | COM | 4M | 63K | – |
| NETFLIX INC | COM | 204K | 302 | – |
| NETFLIX INC | COM | 125K | 185 | – |
| NEWMONT CORP | COM | 2K | 46 | – |
| NEWMONT CORP | COM | 57K | 1K | – |
| NEXTERA ENERGY INC | COM | 113K | 2K | – |
| NIKE INC | CL B | 62K | 822 | – |
| NIO INC | SPON ADS | 2K | 553 | – |
| NORFOLK SOUTHN CORP | COM | 3K | 16 | – |
| NOVO-NORDISK A S | ADR | 30K | 208 | – |
| NOVO-NORDISK A S | ADR | 333K | 2K | – |
| NUCOR CORP | COM | 72K | 458 | – |
| NVIDIA CORPORATION | COM | 11M | 89K | – |
| NVIDIA CORPORATION | COM | 18K | 146 | – |
| OLD DOMINION FREIGHT LINE IN | COM | 883 | 5 | – |
| OREILLY AUTOMOTIVE INC | COM | 60K | 57 | – |
| ORGANON & CO | COMMON STOCK | 621 | 30 | – |
| OTIS WORLDWIDE CORP | COM | 2K | 16 | – |
| OXFORD LANE CAP CORP | COM | 4K | 750 | – |
| PACIRA BIOSCIENCES INC | COM | 17K | 600 | – |
| PALO ALTO NETWORKS INC | COM | 39K | 116 | – |
| PAYCHEX INC | COM | 3M | 24K | – |
| PAYPAL HLDGS INC | COM | 233 | 4 | – |
| PENSKE AUTOMOTIVE GRP INC | COM | 1K | 7 | – |
| PEPSICO INC | COM | 3M | 20K | – |
| PEPSICO INC | COM | 25K | 150 | – |
| PFIZER INC | COM | 91K | 3K | – |
| PHILIP MORRIS INTL INC | COM | 41K | 400 | – |
| PHILLIPS 66 | COM | 11K | 75 | – |
| PIMCO DYNAMIC INCOME FD | SHS | 6K | 300 | – |
| PNC FINL SVCS GROUP INC | COM | 156 | 1 | – |
| PORTILLOS INC | COM CL A | 10K | 1K | – |
| POWERSHARES ACTIVELY MANAGED | ULTRA SHRT DUR | 16K | 315 | – |
| PROCTER AND GAMBLE CO | COM | 276K | 2K | – |
| PROSHARES TR | S&P 500 DV ARIST | 962 | 10 | – |
| PRUDENTIAL FINL INC | COM | 23K | 200 | – |
| PULTE GROUP INC | COM | 6M | 51K | – |
| PURE CYCLE CORP | COM NEW | 115K | 12K | – |
| QUALCOMM INC | COM | 196K | 982 | – |
| QUANTUMSCAPE CORP | COM CL A | 896 | 182 | – |
| REALTY INCOME CORP | COM | 5K | 100 | – |
| RTX CORPORATION | COM | 3K | 33 | – |
| RTX CORPORATION | COM | 114K | 1K | – |
| SCHLUMBERGER LTD | COM STK | 14K | 300 | – |
| SCHWAB STRATEGIC TR | 5 10YR CORP BD | 20K | 457 | – |
| SCHWAB STRATEGIC TR | LONG TERM US | 42K | 1K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 4M | 47K | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 9K | 188 | – |
| SCORPIO TANKERS INC | SHS | 22K | 275 | – |
| SELECT SECTOR SPDR TR | COMMUNICATION | 16M | 184K | – |
| SELECT SECTOR SPDR TR | ENERGY | 9K | 103 | – |
| SELECT SECTOR SPDR TR | INDL | 18M | 151K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 37K | 205 | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 17K | 221 | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 159K | 1K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 75K | 1K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 44M | 193K | – |
| SERVICENOW INC | COM | 87K | 110 | – |
| SERVICENOW INC | COM | 18K | 23 | – |
| SHELL PLC | SPON ADS | 15K | 202 | – |
| SHELL PLC | SPON ADS | 16K | 225 | – |
| SIMON PPTY GROUP INC NEW | COM | 5M | 34K | – |
| SLR INVESTMENT CORP | COM | 22K | 1K | – |
| SMITH A O CORP | COM | 3M | 32K | – |
| SOUTHERN CO | COM | 31K | 403 | – |
| SPDR GOLD TR | CALL | 22K | – | – |
| SPDR GOLD TR | GOLD SHS | 132K | 615 | – |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 46K | 1K | – |
| SPDR S&P 500 ETF TR | PUT | 54K | – | – |
| SPDR S&P 500 ETF TR | TR UNIT | 110M | 203K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 171K | 315 | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 945K | 2K | – |
| SPDR SER TR | PORTFOLIO SH TSR | 19K | 673 | – |
| SPDR SER TR | PRTFLO S&P500 GW | 183K | 2K | – |
| SPDR SER TR | PRTFLO S&P500 VL | 4K | 80 | – |
| SPDR SER TR | S&P BIOTECH | 32K | 340 | – |
| SPDR SER TR | S&P DIVID ETF | 18K | 145 | – |
| SPDR SER TR | S&P REGL BKG | 25K | 500 | – |
| STARBUCKS CORP | COM | 34K | 431 | – |
| SYNOPSYS INC | COM | 4M | 6K | – |
| TARGET CORP | COM | 2K | 16 | – |
| TELEDYNE TECHNOLOGIES INC | COM | 93K | 240 | – |
| TERAWULF INC | COM | 2K | 500 | – |
| TESLA INC | COM | 138K | 697 | – |
| TEXAS INSTRS INC | COM | 156K | 802 | – |
| TEXAS PACIFIC LAND CORPORATI | COM | 68K | 93 | – |
| THE CIGNA GROUP | COM | 3K | 9 | – |
| THERMO FISHER SCIENTIFIC INC | COM | 480K | 868 | – |
| THOMSON REUTERS CORP. | COM | 45K | 268 | – |
| TJX COS INC NEW | COM | 13M | 119K | – |
| TJX COS INC NEW | COM | 28K | 257 | – |
| TRANSOCEAN LTD | REGISTERED SHS | 557 | 104 | – |
| TRUIST FINL CORP | COM | 2K | 60 | – |
| UNION PAC CORP | COM | 120K | 532 | – |
| UNION PAC CORP | COM | 169K | 748 | – |
| UNITED PARCEL SERVICE INC | CL B | 16K | 113 | – |
| UNITED STS OIL FD LP | UNITS | 3K | 40 | – |
| UNITEDHEALTH GROUP INC | COM | 14K | 27 | – |
| UNITEDHEALTH GROUP INC | COM | 390K | 766 | – |
| US BANCORP DEL | COM NEW | 35K | 885 | – |
| USA COMPRESSION PARTNERS LP | COMUNIT LTDPAR | 6K | 240 | – |
| VANECK ETF TRUST | CALL | 7K | – | – |
| VANECK ETF TRUST | GOLD MINERS ETF | 129K | 4K | – |
| VANECK ETF TRUST | JUNIOR GOLD MINE | 28K | 669 | – |
| VANGUARD INDEX FDS | GROWTH ETF | 4M | 10K | – |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 32K | 138 | – |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 19K | 124 | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 123K | 245 | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 3K | 13 | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 1M | 4K | – |
| VANGUARD INDEX FDS | VALUE ETF | 34K | 209 | – |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 159K | 3K | – |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 425K | 5K | – |
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 345K | 6K | – |
| VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | 157K | 2K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 52K | 288 | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 34K | 566 | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 33K | 669 | – |
| VANGUARD WORLD FD | CONSUM STP ETF | 15K | 72 | – |
| VANGUARD WORLD FD | FINANCIALS ETF | 5K | 49 | – |
| VERIZON COMMUNICATIONS INC | COM | 30K | 724 | – |
| VERTEX PHARMACEUTICALS INC | COM | 116K | 247 | – |
| VERTEX PHARMACEUTICALS INC | COM | 34K | 73 | – |
| VISA INC | COM CL A | 10M | 38K | – |
| VISA INC | COM CL A | 55K | 211 | – |
| VISTRA CORP | COM | 178K | 2K | – |
| WALMART INC | COM | 98K | 1K | – |
| WALMART INC | COM | 70K | 1K | – |
| WARNER BROS DISCOVERY INC | COM SER A | 15 | 2 | – |
| WASTE MGMT INC DEL | COM | 120K | 562 | – |
| WATSCO INC | COM | 5M | 12K | – |
| WELLS FARGO CO NEW | COM | 528K | 9K | – |
| WELLS FARGO CO NEW | COM | 40K | 681 | – |
| WILLIAMS SONOMA INC | COM | 4M | 13K | – |
| WORKDAY INC | CL A | 30K | 134 | – |
| YUM BRANDS INC | COM | 7K | 50 | – |
| ZOOM VIDEO COMMUNICATIONS IN | CL A | 6K | 100 | – |