ROOSEVELT INVESTMENTS
THE ROOSEVELT INVESTMENT GROUP, LLC Legal Name
Adviser information for ROOSEVELT INVESTMENTS last updated from Form ADV on March 29th, 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 | 18 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,112 | $2.5B |
| Non-Discretionary | 13 | $199.3M |
| Total | 1,125 | $2.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 3,680 | $1.4B |
| HNW Individuals | 122 | $312.3M |
| 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 | 44 | $67.0M |
| Charitable organizations | 13 | $26.7M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 3 | $156.7M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 268 | $726.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 323 |
| No. of Non-U.S. Clients | 9 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 1.3B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGER SELECT | LPL FINANCIAL |
| MANAGER ACCESS SELECT | LPL FINANCIAL |
| BRINKER WEALTH ADVISORY - UMA | BRINKER CAPITAL SECURITIES, LLC |
| BRINKER WEALTH ADVISORY | BRINKER CAPITAL SECURITIES, LLC |
| SEPARATE ACCOUNT NETWORK | FIDELITY |
| ADVISER'S | JANNEY MONTGOMERY SCOTT |
| MASTERS | WELLS FARGO ADVISORS |
| MANAGED ACCOUNT COMMAND | LOCKWOOD |
| ENVESTNET SMA | ENVESTNET |
| MAP | RBC DAIN RAUSCHER |
| PRIVATE ADVISORS NETWORK | WELLS FARGO |
| DMA | WELLS FARGO |
| MAC | UBS FINANCIAL SERVICES, INC |
| SWP | UBS FINANCIAL SERVICES, INC |
| ACCESS | UBS FINANCIAL SERVICES, INC |
| OPPORTUNITY | STIFEL NICOLAUS |
| ADVISORY CHOICE | RW BAIRD |
| OSM | RAYMOND JAMES |
| IWS | MORGAN STANLEY SMITH BARNEY |
Principal Office
570 LEXINGTON AVESUITE 1800
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 646-452-6700, Fax: None
Chief Compliance Officer
LARRY T. NAKAMURA
VP COMPLIANCE
12265 EL CAMINO REAL
SUITE 300
SAN DIEGO
CA
United States
Tel:
305-781-3040
L*************@**********M
(Full email address available in API data)
Regulatory Contact
KIM HALKETT
DIRECTOR COMPLIANCE - CO-HEAD OF COMPLIANCE MANAGEMENT
22083 E GRAND DRIVE
CENTENNIAL
CO
United States
Tel:
(720) 643-2226
K**********@**********M
(Full email address available in API data)
Industry Affiliates
| CABANA ASSET MANAGEMENT | Other investment adviser, including financial planners |
| CORIENT | Other 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 |
|---|---|---|---|---|---|
| CHALFIN, DAVID, ALLAN | Individual | – | CHIEF FINANCIAL OFFICER | 01/2015 | < 5% |
| CORIENT PRIVATE WEALTH LLC | Domestic Entity | – | OWNER & MANAGING MEMBER | 12/2020 | > 75% |
| CI FINANCIAL CORP. | Foreign Entity | CORIENT HOLDINGS INC | OWNER | 12/2020 | > 75% |
| BAIROS, KAREN, MARIE | Individual | – | CHIEF OPERATING OFFICER | 04/2021 | < 5% |
| NAKAMURA, LARRY, TRISTON | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |
| CORIENT MANAGEMENT LLC | Domestic Entity | CORIENT PARTNERS LLC | OWNER | 12/2023 | > 75% |
| CORIENT HOLDINGS INC | Domestic Entity | CORIENT MANAGEMENT LLC | OWNER | 02/2023 | > 75% |
| CORIENT PARTNERS LLC | Domestic Entity | CORIENT PRIVATE WEALTH LLC | OWNER | 12/2023 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed October 19th, 2022 for period ending September 30th, 2022
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 907 | 8K | – |
| ABBOTT LABS | COM | 552 | 6K | – |
| ABBVIE INC | COM | 5K | 40K | – |
| AG MTG INVT TR INC | COM NEW | 57 | 14K | – |
| AGREE RLTY CORP | COM | 372 | 6K | – |
| ALGONQUIN PWR UTILS CORP | COM | 139 | 13K | – |
| ALLEGHANY CORP MD | COM | 2K | 2K | – |
| ALLIANCEBERNSTEIN HLDG L P | UNIT LTD PARTN | 500 | 14K | – |
| ALPHABET INC | CAP STK CL A | 37K | 389K | – |
| ALPHABET INC | CAP STK CL C | 3K | 35K | – |
| ALTRIA GROUP INC | COM | 2K | 54K | – |
| AMAZON COM INC | COM | 6K | 55K | – |
| AMERICAN CENTY ETF TR | US EQT ETF | 557 | 9K | – |
| AMERICAN EXPRESS CO | COM | 356 | 3K | – |
| AMGEN INC | COM | 287 | 1K | – |
| APOLLO COML REAL EST FIN INC | COM | 96 | 12K | – |
| APPLE INC | COM | 73K | 530K | – |
| ARCHER DANIELS MIDLAND CO | COM | 1K | 13K | – |
| ARES CAPITAL CORP | COM | 683 | 40K | – |
| ARES COML REAL ESTATE CORP | COM | 230 | 22K | – |
| ARES DYNAMIC CR ALLOCATION F | COM | 377 | 32K | – |
| ASTRAZENECA PLC | SPONSORED ADR | 4K | 72K | – |
| AT&T INC | COM | 1K | 69K | – |
| ATLAS CORP | SHARES | 208 | 15K | – |
| ATMOS ENERGY CORP | COM | 662 | 7K | – |
| AUTOZONE INC | COM | 23K | 11K | – |
| BCB BANCORP INC | COM | 676 | 40K | – |
| BCE INC | COM NEW | 252 | 6K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 406 | 1 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 47K | 177K | – |
| BEYOND MEAT INC | NOTE 3/1 | 45 | 150K | – |
| BHP GROUP LTD | SPONSORED ADS | 224 | 4K | – |
| BK OF AMERICA CORP | COM | 1K | 44K | – |
| BLACKROCK DEBT STRATEGIES FD | COM NEW | 274 | 31K | – |
| BLACKROCK TCP CAPITAL CORP | COM | 362 | 33K | – |
| BLACKSTONE INC | COM | 1K | 16K | – |
| BLOCK H & R INC | COM | 4K | 95K | – |
| BLUE OWL CAPITAL INC | COM CL A | 379 | 41K | – |
| BOEING CO | COM | 245 | 2K | – |
| BOOKING HOLDINGS INC | COM | 472 | 288 | – |
| BP PLC | SPONSORED ADR | 308 | 11K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 1K | 15K | – |
| BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 631 | 15K | – |
| CAMECO CORP | COM | 230 | 9K | – |
| CANNAE HLDGS INC | COM | 324 | 16K | – |
| CAPITAL SOUTHWEST CORP | COM | 433 | 26K | – |
| CARDINAL HEALTH INC | COM | 733 | 11K | – |
| CARLYLE GROUP INC | COM | 388 | 15K | – |
| CARLYLE SECURED LENDING INC | COM | 142 | 12K | – |
| CARRIER GLOBAL CORPORATION | COM | 17K | 465K | – |
| CEDAR FAIR L P | DEPOSITRY UNIT | 679 | 17K | – |
| CELANESE CORP DEL | COM | 18K | 204K | – |
| CENOVUS ENERGY INC | COM | 328 | 21K | – |
| CENTERPOINT ENERGY INC | COM | 1K | 45K | – |
| CHART INDS INC | COM | 17K | 91K | – |
| CHEMOURS CO | COM | 338 | 14K | – |
| CHENIERE ENERGY INC | COM NEW | 1K | 7K | – |
| CHESAPEAKE ENERGY CORP | COM | 794 | 8K | – |
| CHEVRON CORP NEW | COM | 10K | 72K | – |
| CISCO SYS INC | COM | 1K | 28K | – |
| CITIGROUP INC | COM NEW | 214 | 5K | – |
| CLEARWAY ENERGY INC | CL C | 395 | 12K | – |
| CME GROUP INC | COM | 1K | 7K | – |
| COCA COLA CO | COM | 2K | 40K | – |
| COMCAST CORP NEW | CL A | 1K | 39K | – |
| CONAGRA BRANDS INC | COM | 1K | 35K | – |
| CONSTELLATION BRANDS INC | CL A | 27K | 119K | – |
| CONSTELLATION ENERGY CORP | COM | 28K | 338K | – |
| CORECIVIC INC | COM | 133 | 15K | – |
| CORTEVA INC | COM | 1K | 22K | – |
| COSTCO WHSL CORP NEW | COM | 916 | 2K | – |
| CRANE HLDGS CO | COM | 770 | 9K | – |
| CROWN CASTLE INC | COM | 21K | 142K | – |
| CVS HEALTH CORP | COM | 4K | 47K | – |
| DEVON ENERGY CORP NEW | COM | 690 | 11K | – |
| DIREXION SHS ETF TR | DAILY S&P BEAR | 198 | 17K | – |
| DIREXION SHS ETF TR | 20YR TRES BEAR | 595 | 4K | – |
| DISCOVER FINL SVCS | COM | 18K | 197K | – |
| DISNEY WALT CO | COM | 969 | 10K | – |
| DOMINION ENERGY INC | COM | 532 | 8K | – |
| DOW INC | COM | 1K | 29K | – |
| DUKE ENERGY CORP NEW | COM NEW | 2K | 24K | – |
| DUPONT DE NEMOURS INC | COM | 207 | 4K | – |
| DYNEX CAP INC | COM | 707 | 61K | – |
| EASTMAN CHEM CO | COM | 355 | 5K | – |
| EATON CORP PLC | SHS | 3K | 22K | – |
| EMERSON ELEC CO | COM | 623 | 9K | – |
| ENBRIDGE INC | COM | 1K | 28K | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 2K | 167K | – |
| ENPHASE ENERGY INC | COM | 20K | 71K | – |
| ENTERGY CORP NEW | COM | 2K | 23K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 3K | 117K | – |
| ENVIVA INC | COM | 1K | 18K | – |
| EQUINOR ASA | SPONSORED ADR | 476 | 14K | – |
| ERICSSON | ADR B SEK 10 | 473 | 82K | – |
| EXXON MOBIL CORP | COM | 1K | 12K | – |
| FARMLAND PARTNERS INC | COM | 780 | 62K | – |
| FASTENAL CO | COM | 552 | 12K | – |
| FEDEX CORP | COM | 731 | 5K | – |
| FIDELITY COVINGTON TRUST | LOW VOLITY ETF | 22K | 513K | – |
| FIFTH THIRD BANCORP | COM | 201 | 6K | – |
| FIRST REP BK SAN FRANCISCO C | COM | 20K | 153K | – |
| FIRSTENERGY CORP | COM | 326 | 9K | – |
| FORD MTR CO DEL | COM | 128 | 11K | – |
| GALLAGHER ARTHUR J & CO | COM | 5K | 29K | – |
| GAMING & LEISURE PPTYS INC | COM | 745 | 17K | – |
| GASLOG PARTNERS LP | UNIT LTD PTNRP | 88 | 17K | – |
| GENERAL ELECTRIC CO | COM NEW | 738 | 12K | – |
| GENERAL MLS INC | COM | 4K | 51K | – |
| GENERAL MTRS CO | COM | 619 | 19K | – |
| GEO GROUP INC NEW | COM | 116 | 15K | – |
| GETTY RLTY CORP NEW | COM | 1K | 52K | – |
| GILEAD SCIENCES INC | COM | 329 | 5K | – |
| GLOBAL BLOOD THERAPEUTICS IN | COM | 10K | 147K | – |
| GLOBAL PARTNERS LP | COM UNITS | 426 | 17K | – |
| GLOBAL X FDS | RATE PREFERRED | 769 | 33K | – |
| GLOBAL X FDS | US PFD ETF | 1K | 62K | – |
| GOLDMAN SACHS BDC INC | SHS | 508 | 35K | – |
| GOLDMAN SACHS ETF TR | ACTIVEBETA US | 18K | 355K | – |
| GOLUB CAP BDC INC | COM | 133 | 11K | – |
| GSK PLC | SPONSORED ADR | 313 | 11K | – |
| HALEON PLC | SPON ADS | 78 | 13K | – |
| HARMONY BIOSCIENCES HLDGS IN | COM | 9K | 194K | – |
| HESS CORP | COM | 1K | 14K | – |
| HILLENBRAND INC | COM | 261 | 7K | – |
| HOLLY ENERGY PARTNERS L P | COM UT LTD PTN | 619 | 38K | – |
| HOME DEPOT INC | COM | 22K | 81K | – |
| HONEYWELL INTL INC | COM | 225 | 1K | – |
| INSIGHT ENTERPRISES INC | COM | 557 | 7K | – |
| INTEL CORP | COM | 2K | 85K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 3K | 28K | – |
| INTERNATIONAL FLAVORS&FRAGRA | COM | 1K | 12K | – |
| INTERNATIONAL PAPER CO | COM | 653 | 21K | – |
| INVESCO ACTIVELY MANAGED ETF | VAR RATE INVT | 606 | 25K | – |
| INVESCO EXCH TRADED FD TR II | VAR RATE PFD | 1K | 57K | – |
| INVESCO EXCHANGE TRADED FD T | BUYBACK ACHIEV | 242 | 3K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 362 | 2K | – |
| INVESCO HIGH INCOME 2024 TAR | COM | 113 | 15K | – |
| INVESCO QQQ TR | UNIT SER 1 | 328 | 1K | – |
| IRON MTN INC DEL | COM | 650 | 15K | – |
| ISHARES GOLD TR | ISHARES NEW | 202 | 6K | – |
| ISHARES TR | CORE MSCI EAFE | 77K | 1M | – |
| ISHARES TR | MSCI EAFE ETF | 353 | 6K | – |
| ISHARES TR | ISHS 1-5YR INVS | 404 | 8K | – |
| ISHARES TR | RUS MDCP VAL ETF | 1K | 11K | – |
| ISHARES TR | RUSSELL 2000 ETF | 522 | 3K | – |
| ISHARES TR | FALN ANGLS USD | 502 | 21K | – |
| ISHARES TR | US DIVID BYBCK | 26K | 769K | – |
| ISHARES TR | CORE S&P TTL STK | 431 | 5K | – |
| ISHARES TR | 0-5YR INVT GR CP | 204 | 4K | – |
| ISHARES TR | MSCI EAFE MIN VL | 284 | 5K | – |
| J P MORGAN EXCHANGE TRADED F | BETABUILDERS CDA | 19K | 348K | – |
| J P MORGAN EXCHANGE TRADED F | US VALUE FACTR | 364 | 12K | – |
| JETBLUE AWYS CORP | COM | 75 | 11K | – |
| JOHNSON & JOHNSON | COM | 5K | 31K | – |
| JPMORGAN CHASE & CO | COM | 2K | 22K | – |
| KAR AUCTION SVCS INC | COM | 536 | 48K | – |
| KELLOGG CO | COM | 209 | 3K | – |
| KEYSIGHT TECHNOLOGIES INC | COM | 28K | 177K | – |
| KINDER MORGAN INC DEL | COM | 2K | 103K | – |
| KKR & CO INC | COM | 3K | 60K | – |
| KKR REAL ESTATE FIN TR INC | COM | 1K | 64K | – |
| KRAFT HEINZ CO | COM | 1K | 43K | – |
| KROGER CO | COM | 797 | 18K | – |
| KRONOS WORLDWIDE INC | COM | 122 | 13K | – |
| LAZARD LTD | SHS A | 707 | 22K | – |
| LIBERTY BROADBAND CORP | COM SER A | 546 | 7K | – |
| LILLY ELI & CO | COM | 14K | 42K | – |
| LINDE PLC | SHS | 15K | 55K | – |
| LKQ CORP | COM | 442 | 9K | – |
| LOCKHEED MARTIN CORP | COM | 6K | 15K | – |
| LUMEN TECHNOLOGIES INC | COM | 115 | 16K | – |
| LYONDELLBASELL INDUSTRIES N | SHS - A - | 606 | 8K | – |
| M D C HLDGS INC | COM | 948 | 35K | – |
| MACERICH CO | COM | 90 | 11K | – |
| MAIN STR CAP CORP | COM | 258 | 8K | – |
| MARATHON PETE CORP | COM | 799 | 8K | – |
| MARSH & MCLENNAN COS INC | COM | 1K | 9K | – |
| MARVELL TECHNOLOGY INC | COM | 18K | 420K | – |
| MASTERCARD INCORPORATED | CL A | 17K | 59K | – |
| MATTEL INC | COM | 189 | 10K | – |
| MCDONALDS CORP | COM | 874 | 4K | – |
| MCKESSON CORP | COM | 20K | 58K | – |
| MERCK & CO INC | COM | 2K | 20K | – |
| META PLATFORMS INC | CL A | 770 | 6K | – |
| METLIFE INC | COM | 552 | 9K | – |
| MGM RESORTS INTERNATIONAL | COM | 218 | 7K | – |
| MICROCHIP TECHNOLOGY INC. | COM | 25K | 404K | – |
| MICRON TECHNOLOGY INC | COM | 301 | 6K | – |
| MICROSOFT CORP | COM | 60K | 256K | – |
| MONDELEZ INTL INC | CL A | 15K | 271K | – |
| MORGAN STANLEY | COM NEW | 365 | 5K | – |
| NATIONAL RETAIL PROPERTIES I | COM | 478 | 12K | – |
| NETFLIX INC | COM | 313 | 1K | – |
| NEW MTN FIN CORP | COM | 282 | 24K | – |
| NEW YORK CMNTY BANCORP INC | COM | 314 | 37K | – |
| NEXTERA ENERGY INC | COM | 28K | 355K | – |
| NEXTERA ENERGY PARTNERS LP | COM UNIT PART IN | 6K | 86K | – |
| NOVO-NORDISK A S | ADR | 355 | 4K | – |
| NRG ENERGY INC | COM NEW | 683 | 18K | – |
| NUSTAR ENERGY LP | UNIT COM | 174 | 13K | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 227 | 21K | – |
| NUVEEN REAL ASSET INCOME & G | COM | 270 | 24K | – |
| NVIDIA CORPORATION | COM | 13K | 111K | – |
| OCCIDENTAL PETE CORP | COM | 7K | 121K | – |
| OLD DOMINION FREIGHT LINE IN | COM | 29K | 117K | – |
| OLIN CORP | COM PAR $1 | 815 | 19K | – |
| ONE LIBERTY PPTYS INC | COM | 651 | 31K | – |
| ONEOK INC NEW | COM | 246 | 5K | – |
| OUTFRONT MEDIA INC | COM | 2K | 125K | – |
| OWENS CORNING NEW | COM | 585 | 7K | – |
| PAYPAL HLDGS INC | COM | 17K | 195K | – |
| PENNANTPARK FLOATING RATE CA | COM | 432 | 45K | – |
| PEPSICO INC | COM | 1K | 6K | – |
| PFIZER INC | COM | 5K | 107K | – |
| PHILIP MORRIS INTL INC | COM | 3K | 34K | – |
| PHILLIPS 66 | COM | 281 | 3K | – |
| PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 213 | 20K | – |
| PNC FINL SVCS GROUP INC | COM | 295 | 2K | – |
| POTLATCHDELTIC CORPORATION | COM | 2K | 48K | – |
| PPL CORP | COM | 393 | 16K | – |
| PROCTER AND GAMBLE CO | COM | 4K | 33K | – |
| PROLOGIS INC. | COM | 22K | 214K | – |
| PROSHARES TR | ULTRA FNCLS NEW | 293 | 8K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 2K | 31K | – |
| QUALCOMM INC | COM | 1K | 13K | – |
| QURATE RETAIL INC | COM SER A | 80 | 40K | – |
| RAYONIER INC | COM | 1K | 49K | – |
| RAYTHEON TECHNOLOGIES CORP | COM | 2K | 29K | – |
| REALTY INCOME CORP | COM | 1K | 21K | – |
| ROSS STORES INC | COM | 20K | 233K | – |
| S&P GLOBAL INC | COM | 15K | 49K | – |
| SCHLUMBERGER LTD | COM STK | 2K | 53K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 620 | 5K | – |
| SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 159 | 10K | – |
| SHELL PLC | SPON ADS | 1K | 27K | – |
| SIX FLAGS ENTMT CORP NEW | COM | 283 | 16K | – |
| SIXTH STREET SPECIALTY LENDI | COM | 409 | 25K | – |
| SMUCKER J M CO | COM NEW | 300 | 2K | – |
| SOUTHERN CO | COM | 4K | 52K | – |
| SPDR INDEX SHS FDS | PORTFOLIO EMG MK | 295 | 10K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 4K | 10K | – |
| SPDR SER TR | PORTFOLIO INTRMD | 4K | 138K | – |
| SPDR SER TR | BLOOMBERG INVT | 949 | 31K | – |
| SPDR SER TR | PORTFOLIO S&P500 | 4K | 86K | – |
| SPDR SER TR | PORT MTG BK ETF | 220 | 10K | – |
| SPDR SER TR | PORTFOLIO SHORT | 603 | 21K | – |
| STARWOOD PPTY TR INC | COM | 282 | 15K | – |
| STRYKER CORPORATION | COM | 12K | 60K | – |
| TARGA RES CORP | COM | 362 | 6K | – |
| TARGET CORP | COM | 1K | 10K | – |
| TC ENERGY CORP | COM | 220 | 5K | – |
| TELEFONICA S A | SPONSORED ADR | 33 | 10K | – |
| TESLA INC | COM | 9K | 35K | – |
| THE TRADE DESK INC | COM CL A | 440 | 7K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 20K | 39K | – |
| TILRAY BRANDS INC | NOTE 5.000%10/0 | 195 | 200K | – |
| TJX COS INC NEW | COM | 266 | 4K | – |
| TRANSALTA CORP | COM | 634 | 72K | – |
| UMPQUA HLDGS CORP | COM | 222 | 13K | – |
| UNILEVER PLC | SPON ADR NEW | 1K | 31K | – |
| UNION PAC CORP | COM | 16K | 84K | – |
| UNITED PARCEL SERVICE INC | CL B | 406 | 3K | – |
| UNITEDHEALTH GROUP INC | COM | 34K | 66K | – |
| VANECK ETF TRUST | MRNGSTR WDE MOAT | 210 | 4K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 2K | 9K | – |
| VANGUARD INDEX FDS | VALUE ETF | 43K | 350K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 11K | 34K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 6K | 33K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 749 | 6K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 2K | 56K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 593 | 6K | – |
| VERITEX HLDGS INC | COM | 214 | 8K | – |
| VERIZON COMMUNICATIONS INC | COM | 3K | 77K | – |
| VERTEX PHARMACEUTICALS INC | COM | 29K | 101K | – |
| VERTIV HOLDINGS CO | COM CL A | 418 | 43K | – |
| VIATRIS INC | COM | 255 | 30K | – |
| VISA INC | COM CL A | 9K | 52K | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 292 | 9K | – |
| WARNER BROS DISCOVERY INC | COM SER A | 206 | 18K | – |
| WELLS FARGO CO NEW | COM | 352 | 9K | – |
| WESTLAKE CORPORATION | COM | 336 | 4K | – |
| WEYERHAEUSER CO MTN BE | COM NEW | 3K | 105K | – |
| WILLIAMS COS INC | COM | 2K | 62K | – |
| WISDOMTREE TR | EM EX ST-OWNED | 17K | 688K | – |
| WISDOMTREE TR | YIELD ENHANCD US | 3K | 77K | – |
| XCEL ENERGY INC | COM | 902 | 14K | – |
| ZIFF DAVIS INC | COM | 267 | 4K | – |