THOMPSON INVESTMENT MANAGEMENT, INC.
Adviser information for THOMPSON INVESTMENT MANAGEMENT, INC. last updated from Form ADV on March 20th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 18 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 800 | $2.1B |
| Non-Discretionary | 0 | $0 |
| Total | 800 | $2.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 264 | $72.8M |
| HNW Individuals | 132 | $498.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $1.4B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 30 | $69.2M |
| Charitable organizations | 8 | $46.0M |
| 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 | <5 | $7,000 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 33 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio 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 | 1.8M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| BNY MELLON ADVISORS, INC. | BNY MELLON ADVISORS, INC. |
Principal Office
1255 FOURIER DRIVESUITE 200
MADISON
WI
United States
Monday - Friday, 8:00 A.M. - 4:30 P.M.
Tel: 608-827-5700, Fax: 608-827-7300
Chief Compliance Officer
COLLEEN E. DONNELLY
CHIEF FINANCIAL OFFICER
1255 FOURIER DRIVE
SUITE 200
MADISON
WI
United States
Tel:
(608)827-5700
Fax:
(608) 827-7300
C********@*************M
(Full email address available in API data)
Regulatory Contact
PENNY HUBBARD
VICE PRESIDENT
1255 FOURIER DRIVE
SUITE 200
MADISON
WI
United States
Tel:
608-827-5700
Fax:
608-827-7300
P*******@*************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 |
|---|---|---|---|---|---|
| Donnelly, Colleen, E | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |
| EVANS, JAMES, THOMAS | Individual | – | CHIEF INVESTMENT OFFICER | 06/2009 | 25-50% |
| STEPHENS, JASON, LEE | Individual | – | CHIEF EXECUTIVE OFFICER | 03/2015 | 25-50% |
| Hubbard, Penny | Individual | – | VICE PRESIDENT | 02/2020 | 25-50% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 8th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABB LTD SPONSORED ADR | ADR | 18K | 325 | – |
| ACCELLERON INDS LTD UNSPONSORE | ADR | 6K | 142 | – |
| ALCON INC ORD SHS | ADR | 6K | 65 | – |
| AON PLC SHS CL A | ADR | 587K | 2K | – |
| ASML HOLDING N V N Y REGISTRY | ADR | 46K | 45 | – |
| ASTRAZENECA PLC SPONSORED ADR | ADR | 161K | 2K | – |
| B2GOLD CORP COM | ADR | 89K | 33K | – |
| BANCO BRADESCO S A SP ADR PFD | ADR | 7K | 3K | – |
| BANK OF MONTREAL | ADR | 249K | 3K | – |
| BARRICK GOLD CORP COM | ADR | 2K | 100 | – |
| BAUSCH HEALTH COS INC COM | ADR | 2M | 238K | – |
| BTC DIGITAL LTD | ADR | 2 | 1 | – |
| CAMECO CORP COM | ADR | 321K | 7K | – |
| CANADIAN NATL RY CO COM | ADR | 1K | 10 | – |
| COLLIERS INTL GROUP INC SUB VT | ADR | 2M | 16K | – |
| CRESCO LABS INC SUB VTG SHS | ADR | 1K | 725 | – |
| DIAGEO P L C SPON ADR NEW | ADR | 25K | 200 | – |
| DRONE GUARDER INC COM | ADR | 2 | 7K | – |
| EVEREST GROUP LTD COM | ADR | 40K | 104 | – |
| FIRSTSERVICE CORP NEW COM | ADR | 314K | 2K | – |
| GREEN THUMB INDS INC SUB VTG S | ADR | 585K | 49K | – |
| GSK PLC SPONSORED ADR | ADR | 110K | 3K | – |
| HALEON PLC SPON ADS | ADR | 2K | 300 | – |
| HDFC BANK LTD ADR REPS 3 SHS | ADR | 33K | 514 | – |
| ICICI BK LTD ADR | ADR | 171K | 6K | – |
| INFINEON TECHNOLOGIES AG SPONS | ADR | 4M | 96K | – |
| INMODE LTD SHS | ADR | 2K | 100 | – |
| JAZZ PHARMACEUTICALS PLC SHS U | ADR | 712K | 7K | – |
| JOHNSON CONTROLS INTL | ADR | 11K | 167 | – |
| KEYWORDS STUDIOS PLC SHS | ADR | 34K | 1K | – |
| KORNIT DIGITAL LTD SHS | ADR | 9M | 585K | – |
| KORNIT DIGITAL LTD SHS | ADR | 4K | 303 | – |
| LITHIUM AMERS ARGENTINA CORP | ADR | 2K | 500 | – |
| LITHIUM AMERS CORP NEW COM NEW | ADR | 1K | 500 | – |
| LULULEMON ATHLETICA IN COM | ADR | 3K | 10 | – |
| MEDTRONIC PLC SHS | ADR | 33K | 425 | – |
| NANO DIMENSION LTD SPONSORD AD | ADR | 2K | 1K | – |
| NIO INC SPON ADS | ADR | 208 | 50 | – |
| NOVARTIS A G SPONSORED ADR | ADR | 3K | 31 | – |
| NXP SEMICONDUCTORS N V COM | ADR | 11M | 42K | – |
| ROYAL CARIBBEAN CRUISE COM | ADR | 159 | 1 | – |
| SCHLUMBERGER | ADR | 99K | 2K | – |
| SHELL PLC SPON ADS | ADR | 229K | 3K | – |
| SHOPIFY INC CL A | ADR | 3K | 40 | – |
| SMITH & NEPHEW PLC SPDN ADR NE | ADR | 20K | 787 | – |
| STMICROELECTRONICS N V NY REGI | ADR | 802 | 20 | – |
| TAIWAN SEMICONDUCTOR SPONSORED | ADR | 174K | 1K | – |
| TENCENT HLDGS LTD ADR | ADR | 18K | 390 | – |
| UNILEVER PLC AD | ADR | 107K | 2K | – |
| VSBLTY GROUPE TECHNOLOGIES COR | ADR | 1 | 20 | – |
| WESTPORT FUEL SYSTEMS INC COM | ADR | 696 | 125 | – |
| WNS HLDGS LTD COM SHS | ADR | 5K | 100 | – |
| 1ST BUS FINL SVCS INC COM | COM | 223K | 6K | – |
| 3M CO COM | COM | 27K | 266 | – |
| ABBOTT LABS | COM | 186K | 2K | – |
| ABBVIE INC. COM | COM | 7M | 39K | – |
| ACADIA HEALTHCARE COMPANY INC | COM | 424K | 6K | – |
| ACCELERATE DIAGNOSTICS INC COM | COM | 12K | 10K | – |
| ACCESS POWER & CO INC | COM | 0 | 200 | – |
| ADICET BIO INC COM | COM | 97 | 80 | – |
| ADOBE INC | COM | 6M | 10K | – |
| ADVANCED MICRO DEVICES COM | COM | 45K | 280 | – |
| ADVANSIX INC COM | COM | 917 | 40 | – |
| ALLIANT ENERGY CORP | COM | 93K | 2K | – |
| ALLSTATE CORP | COM | 136K | 850 | – |
| ALLY FINL INC COM | COM | 4K | 97 | – |
| ALPHABET INC CAP STK CL A | COM | 31M | 172K | – |
| ALPHABET INC CAP STK CL C | COM | 437K | 2K | – |
| ALTRIA GROUP INC COM | COM | 80K | 2K | – |
| AMAZON COM INC CO | COM | 704K | 4K | – |
| AMAZON COM INC CO | COM | 684 | 4 | – |
| AMERICAN ELECTRIC POWER | COM | 6K | 68 | – |
| AMERICAN EXPRESS CO | COM | 430K | 2K | – |
| AMGEN INC | COM | 6M | 19K | – |
| AMN HEALTHCARE SVCS INC COM | COM | 3M | 52K | – |
| AMPHENOL CORP NEW CL A | COM | 101K | 1K | – |
| ANALOG DEVICES INC COM | COM | 4M | 16K | – |
| ANAVEX LIFE SCIENCES CORP COM | COM | 8K | 2K | – |
| APPLE INC COM | COM | 10M | 46K | – |
| APPLIED MATLS INC CO | COM | 8K | 36 | – |
| ARDELYX INC COM | COM | 1K | 158 | – |
| ASSOCIATED BANCORP | COM | 919K | 43K | – |
| AT&T INC COM | COM | 127K | 7K | – |
| AUTOMATIC DATA PROCESSING | COM | 295K | 1K | – |
| AZEK CO INC CL A | COM | 369K | 9K | – |
| BADGER METER INC COM | COM | 1K | 6 | – |
| BANK FIRST CORPORATION | COM | 586K | 7K | – |
| BANK OF AMERICA | COM | 10M | 263K | – |
| BARINGS BDC INC COM | COM | 3K | 278 | – |
| BAXTER INTERNATIONAL INC | COM | 32K | 964 | – |
| BECTON DICKINSON & CO | COM | 14K | 59 | – |
| BERKSHIRE HATHAWAY INC CL B NE | COM | 90K | 221 | – |
| BERRY GLOBAL GROUP INC COM | COM | 7M | 111K | – |
| BEST BUY INC COM | COM | 4K | 52 | – |
| BLACKSTONE INC | COM | 87K | 700 | – |
| BLOCK INC. | COM | 516 | 8 | – |
| BOEING CO | COM | 5M | 28K | – |
| BOOZ ALLEN HAMILTON HLDG CORP | COM | 963 | 6 | – |
| BREAD FINANCIAL HOLDINGS | COM | 11M | 255K | – |
| BRISTOL MYERS SQUIBB CO | COM | 4M | 92K | – |
| CALIX INC COM | COM | 3M | 94K | – |
| CARRIER GLOBAL CORPORATION COM | COM | 8K | 134 | – |
| CATERPILLAR INC | COM | 25K | 75 | – |
| CDW CORP COM | COM | 88K | 395 | – |
| CHEMOURS CO COM | COM | 12K | 540 | – |
| CHENIERE ENERGY INC COM NEW | COM | 3M | 15K | – |
| CHEVRON CORP NEW COM | COM | 6M | 39K | – |
| CHEWY INC CL A | COM | 8M | 284K | – |
| CHURCH & DWIGHT INC COM | COM | 4K | 39 | – |
| CINCINNATI FINANCIAL CORP | COM | 196K | 2K | – |
| CIRRUS LOGIC INC COM | COM | 1K | 9 | – |
| CISCO SYSTEMS INC | COM | 8M | 166K | – |
| CITIGROUP INC COM NEW | COM | 12M | 185K | – |
| CITIGROUP INC COM NEW | COM | 10K | 151 | – |
| CITIZENS FINANCIAL GROUP INC C | COM | 5M | 139K | – |
| CNA FINL CORP | COM | 51K | 1K | – |
| COCA COLA CO | COM | 2M | 34K | – |
| COGNEX CORP COM | COM | 360K | 8K | – |
| COHBAR INC COM | COM | 12 | 25 | – |
| COHERENT INC COM | COM | 12M | 169K | – |
| COLGATE PALMOLIVE CO | COM | 295K | 3K | – |
| CONAGRA BRANDS INC | COM | 28K | 1K | – |
| CONCENTRIX CORP COM | COM | 596K | 9K | – |
| CONOCOPHILLIPS COM | COM | 46K | 400 | – |
| CONSOLIDATED EDISON COM | COM | 14K | 157 | – |
| CONSTELLATION ENERGY CORP COM | COM | 7K | 36 | – |
| CORNING INC | COM | 3M | 83K | – |
| CORTEVA INC COM | COM | 76K | 1K | – |
| COSTCO WHOLESALE CORP | COM | 555K | 653 | – |
| CROWN HOLDINGS INC COM | COM | 229K | 3K | – |
| CSX CORP COM | COM | 28K | 825 | – |
| CUMMINS INC COM | COM | 44K | 158 | – |
| CVS HEALTH CORP COM | COM | 7M | 124K | – |
| DANAHER CORP | COM | 35K | 139 | – |
| DARDEN RESTAURANTS INC. | COM | 49K | 325 | – |
| DEERE & CO. | COM | 37K | 100 | – |
| DELL TECHNOLOGIES INC CL C | COM | 13K | 92 | – |
| DEVON ENERGY CORP NEW | COM | 53K | 1K | – |
| DISCOVER FINL SVCS COM | COM | 8M | 59K | – |
| DISNEY WALT PRODTNS | COM | 2M | 23K | – |
| DOLLAR TREE INC COM | COM | 8K | 74 | – |
| DOMINION RES INC/VA | COM | 3K | 56 | – |
| DOW INC | COM | 86K | 2K | – |
| DULUTH HLDGS INC COM CL B | COM | 227K | 62K | – |
| DUPONT DE NEMOURS INC COM | COM | 41K | 506 | – |
| EBAY INC COM | COM | 8M | 147K | – |
| ELECTRONIC ARTS INC COM | COM | 2M | 13K | – |
| EMERSON ELEC CO | COM | 42K | 385 | – |
| ENERGIZER HLDGS INC NEW COM | COM | 15K | 500 | – |
| EQUIFAX INC CO | COM | 4M | 15K | – |
| ERIE INDTY CO CL A | COM | 23K | 64 | – |
| EXACT SCIENCES CORP COM | COM | 8M | 194K | – |
| EXACT SCIENCES CORP COM | COM | 4K | 98 | – |
| EXELON CORP CO | COM | 4K | 108 | – |
| EXXON MOBIL CORP COM | COM | 18M | 159K | – |
| FACTSET RESH SYS INC COM | COM | 20K | 48 | – |
| FARMERS & MERCHANTS BK COM | COM | 522K | 111 | – |
| FASTENAL CO | COM | 139K | 2K | – |
| FEDEX CORP COM | COM | 6M | 19K | – |
| FIDELITY NATIONAL FINANCIAL IN | COM | 18K | 356 | – |
| FIDELITY NATL INFO SVC COM | COM | 108K | 1K | – |
| FIRST HORIZON CORP | COM | 7K | 442 | – |
| FIRSTENERGY CORP COM | COM | 2K | 50 | – |
| FISERV INC | COM | 7M | 45K | – |
| FORD MOTOR COMPANY | COM | 12K | 989 | – |
| FREEPORT-MCMORAN INC | COM | 6M | 128K | – |
| GE HEALTHCARE TECHNOLOGIES INC | COM | 4M | 49K | – |
| GE VERNOVA INC COM | COM | 1M | 6K | – |
| GENERAC HLDGS INC COM | COM | 6M | 49K | – |
| GENERAL DYNAMICS CORP COM | COM | 279K | 963 | – |
| GENERAL ELECTRIC CO COM NEW | COM | 4M | 26K | – |
| GENERAL MILLS INC | COM | 68K | 1K | – |
| GENERAL MTRS CO COM | COM | 929 | 20 | – |
| GENUINE PARTS CO CO | COM | 31K | 225 | – |
| GILEAD SCIENCES INC COM | COM | 30K | 444 | – |
| GLOBAL PMTS INC COM | COM | 2M | 23K | – |
| GOLDMAN SACHS GROUP INC | COM | 1K | 3 | – |
| HASBRO INC COM | COM | 543K | 9K | – |
| HCA HEALTHCARE INC COM | COM | 2M | 7K | – |
| HENRY JACK & ASSOC INC COM | COM | 13K | 80 | – |
| HERSHEY FOODS CORP | COM | 51K | 275 | – |
| HESS CORP COM | COM | 7K | 50 | – |
| HILLENBRAND INC COM | COM | 444K | 11K | – |
| HOME DEPOT INC | COM | 81K | 234 | – |
| HONEYWELL INTERNATIONAL INC. | COM | 248K | 1K | – |
| ILLINOIS TOOL WORKS INC | COM | 46K | 195 | – |
| INOVIO PHARMACEUTICALS INC COM | COM | 105 | 13 | – |
| INTEL CORP | COM | 372K | 12K | – |
| INTERCONTINENTALEXCHANGE COM | COM | 5M | 40K | – |
| INTERNATIONAL FLAV&FRA COM | COM | 44K | 463 | – |
| ITT INC COM | COM | 13K | 100 | – |
| JOHNSON & JOHNSON | COM | 7M | 47K | – |
| JPMORGAN CHASE & CO COM | COM | 11M | 55K | – |
| KELLANOVA | COM | 11K | 186 | – |
| KEYSIGHT TECHNOLOGIES INC COM | COM | 7M | 49K | – |
| KIMBERLY CLARK CORP | COM | 5M | 34K | – |
| KINDER MORGAN INC DEL COM | COM | 88K | 4K | – |
| KINSALE CAP GROUP INC COM | COM | 14K | 36 | – |
| KIRKLANDS INC COM | COM | 163 | 100 | – |
| KNIFE RIVER CORP COMMON STOCK | COM | 655 | 9 | – |
| KONTOOR BRANDS INC COM | COM | 2K | 30 | – |
| KRAFT HEINZ CO COM | COM | 243K | 8K | – |
| L3HARRIS TECHNOLOGIES INC COM | COM | 162K | 721 | – |
| LAMB WESTON HLDGS INC COM | COM | 34K | 400 | – |
| LAS VEGAS SANDS CORP COM | COM | 170K | 4K | – |
| LEVI STRAUSS & CO NEW CL A COM | COM | 308K | 16K | – |
| LILLY ELI AND COMPANY | COM | 23K | 25 | – |
| LKQ CORP COM | COM | 7M | 179K | – |
| LOCKHEED MARTIN CORP COM | COM | 39K | 83 | – |
| LOWES COS INC CO | COM | 246K | 1K | – |
| LUCID DIAGNOSTICS INC COM | COM | 1 | 1 | – |
| LUMENTUM HLDGS INC COM | COM | 6M | 116K | – |
| MANITOWOC CO INC COM NEW | COM | 3K | 250 | – |
| MANNKIND CORP COM NEW | COM | 8K | 2K | – |
| MANNKIND CORP COM NEW | COM | 5K | 900 | – |
| MARATHON PETE CORP COM | COM | 13K | 77 | – |
| MARVELL TECHNOLOGY GROUP LTD C | COM | 3M | 41K | – |
| MASCO CORP COM | COM | 265K | 4K | – |
| MASTEC INC COM | COM | 434K | 4K | – |
| MATTEL INC | COM | 240K | 15K | – |
| MCDONALDS CORP | COM | 209K | 821 | – |
| MCKESSON CORP | COM | 6M | 11K | – |
| MDU RESOURCES GROUP INC | COM | 341 | 14 | – |
| MERCK & CO INC NEW COM | COM | 2M | 19K | – |
| META PLATFORMS | COM | 12M | 24K | – |
| METTLER TOLEDO INTL COM | COM | 314K | 225 | – |
| MGE ENERGY INC COM | COM | 507K | 7K | – |
| MGP INGREDIENTS INC NEW COM | COM | 93K | 1K | – |
| MICROCHIP TECHNOLOGY INC | COM | 53K | 575 | – |
| MICROSOFT CORP | COM | 31M | 68K | – |
| MIMEDX GROUP INC COM | COM | 113K | 16K | – |
| MODERNA INC COM | COM | 237 | 2 | – |
| MOLSON COORS BEVERAGE CO | COM | 2K | 36 | – |
| MONDELEZ INTL INC CL A | COM | 20K | 300 | – |
| MORGAN STANLEY COM NEW | COM | 148K | 2K | – |
| MUELLER WTR PRODS INC COM SER | COM | 506K | 28K | – |
| NEUROCRINE BIOSCIENCES INC COM | COM | 1M | 8K | – |
| NEW YORK CMNTY BANCORP COM | COM | 521K | 162K | – |
| NEWELL BRANDS INC. | COM | 51K | 8K | – |
| NEXTERA ENERGY INC COM | COM | 100K | 1K | – |
| NIKE INC-CL B | COM | 63K | 833 | – |
| NMI HLDGS INC | COM | 136K | 4K | – |
| NOODLES & CO COM CL A | COM | 246K | 155K | – |
| NORFOLK SOUTHERN CORP COM | COM | 64K | 300 | – |
| NORTHERN TRUST CORP | COM | 5M | 65K | – |
| NORTHROP GRUMMAN CORP COM | COM | 13K | 30 | – |
| NVIDIA CORP COM | COM | 199K | 2K | – |
| NVIDIA CORP COM | COM | 1K | 9 | – |
| O-I GLASS INC COM | COM | 7M | 615K | – |
| OKTA INC CL A | COM | 8K | 82 | – |
| ON SEMICONDUCTOR CORP COM | COM | 5K | 79 | – |
| ONEOK INC NEW COM | COM | 359K | 4K | – |
| ORACLE CORP | COM | 9M | 61K | – |
| ORGANON & CO COMMON STOCK | COM | 2K | 82 | – |
| OSHKOSH CORPORATION | COM | 12K | 114 | – |
| OSHKOSH CORPORATION | COM | 1K | 13 | – |
| OTIS WORLDWIDE CORP COM | COM | 6K | 67 | – |
| PARAMOUNT GLOBLAL | COM | 7M | 663K | – |
| PAVMED INC COM | COM | 3 | 4 | – |
| PAYCHEX INC | COM | 18K | 150 | – |
| PAYPAL HLDGS INC COM | COM | 10M | 177K | – |
| PEPSICO INC | COM | 5M | 31K | – |
| PERFORMANCE FOOD GROUP CO COM | COM | 8M | 119K | – |
| PFIZER INC | COM | 11M | 376K | – |
| PHILIP MORRIS INTL INC COM | COM | 181K | 2K | – |
| PHILLIPS 66 COM | COM | 4K | 30 | – |
| PJT PARTNERS INC COM CL A | COM | 1K | 11 | – |
| PNC FINL SVCS GROUP COM | COM | 5M | 35K | – |
| POOL CORP COM | COM | 238K | 775 | – |
| PREMIER INC CL A | COM | 486K | 26K | – |
| PROCTER & GAMBLE COMPANY | COM | 4M | 23K | – |
| PRUDENTIAL FINL INC COM | COM | 23K | 200 | – |
| PURE STORAGE INC CL A | COM | 727K | 11K | – |
| Q32 BIO INC COM | COM | 72 | 4 | – |
| QUALCOMM INC | COM | 13M | 68K | – |
| QUANTA SERVICES INC CO | COM | 10K | 41 | – |
| REGAL REXNORD CORP | COM | 3M | 24K | – |
| REGEN BIOPHARMA INC COM NEW | COM | 3 | 4 | – |
| RESIDEO TECHNOLOGIES INC COM | COM | 3K | 166 | – |
| RESMED INC COM | COM | 383K | 2K | – |
| RING ENERGY INC COM | COM | 1K | 734 | – |
| ROCKWELL INTL CORP | COM | 110K | 400 | – |
| ROPER INDS INC NEW COM | COM | 23K | 40 | – |
| RTX CORP | COM | 22K | 220 | – |
| RXO INC COMMON STOCK | COM | 268 | 10 | – |
| RYAN SPECIALTY HOLDINGS INC CL | COM | 14K | 244 | – |
| SALESFORCE INC COM | COM | 262K | 1K | – |
| SCHEIN HENRY INC CO | COM | 559K | 9K | – |
| SCHWAB (CHARLES) CORP | COM | 9M | 118K | – |
| SEALED AIR CORP | COM | 2M | 66K | – |
| SKECHERS U S A INC CL A | COM | 5M | 66K | – |
| SKYWORKS SOLUTIONS INC COM | COM | 86K | 805 | – |
| SMITH A O COM | COM | 4M | 48K | – |
| SOLVENTUM CORP COM SHS | COM | 3K | 50 | – |
| SOUTHERN CO COM | COM | 343K | 4K | – |
| SOUTHWEST AIRLINES | COM | 57K | 2K | – |
| SS&C TECHNOLOGIES HLDGS INC CO | COM | 3M | 53K | – |
| ST JOE CO COM | COM | 656 | 12 | – |
| STARBUCKS CORP CO | COM | 4M | 56K | – |
| STATE STREET CORP | COM | 6M | 78K | – |
| STEELCASE INC CL A | COM | 4M | 270K | – |
| SYSCO CORPORATION | COM | 410K | 6K | – |
| T ROWE PRICE GROUP INC | COM | 115K | 1K | – |
| TAKE-TWO INTERACTIVE COM | COM | 4M | 28K | – |
| TARGET CORP | COM | 5M | 32K | – |
| TELEFLEX INC | COM | 534K | 3K | – |
| TESLA INC | COM | 524K | 3K | – |
| TEXTRON INC | COM | 43K | 500 | – |
| THE CIGNA GROUP | COM | 7M | 22K | – |
| THE TRADE DESK INC COM CL A | COM | 167K | 2K | – |
| THE TRADE DESK INC COM CL A | COM | 470 | 5 | – |
| TOPBUILD CORP COM | COM | 2M | 6K | – |
| TOPGOLF CALLAWAY BRANDS | COM | 5M | 304K | – |
| TRAVELERS COMPANIES COM | COM | 2K | 8 | – |
| TREES CORP | COM | 635 | 10K | – |
| TRIMBLE NAVIGATION LTD COM | COM | 3K | 60 | – |
| TRUIST FINANCIAL CORP | COM | 600K | 15K | – |
| TYSON FOODS INC CL A | COM | 5M | 96K | – |
| U S BANCORP | COM | 20K | 505 | – |
| UBER TECHNOLOGIES INC COM | COM | 11K | 150 | – |
| UFP INDUSTRIES INC COM | COM | 672 | 6 | – |
| UNITED PARCEL SERVICE - CL B | COM | 15K | 109 | – |
| UNITEDHEALTH GROUP INC | COM | 8M | 15K | – |
| URBAN OUTFITTERS INC COM | COM | 18K | 438 | – |
| VERALTO CORP COM SHS | COM | 4K | 46 | – |
| VERIZON COMMUNICATIONS | COM | 65K | 2K | – |
| VIATRIS | COM | 7M | 679K | – |
| VIAVI SOLUTIONS INC COM | COM | 3M | 474K | – |
| VIRGIN GALACTIC HOLDINGS INC C | COM | 67 | 8 | – |
| VISA INC COM CL A | COM | 8M | 29K | – |
| VIVA ENTMT GROUP INC COM NEW | COM | 0 | 900 | – |
| WABTEC CORP COM | COM | 305K | 2K | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 7M | 576K | – |
| WALMART INC | COM | 50K | 744 | – |
| WARNER BROTHERS DISCOVERY | COM | 9M | 1M | – |
| WEC ENERGY GROUP INC COM | COM | 5M | 63K | – |
| WELLS FARGO NEW | COM | 573K | 10K | – |
| WILLSCOT MOBIL MINI HLDNG CORP | COM | 662K | 18K | – |
| WK KELLOGG CO COM SHS | COM | 757 | 46 | – |
| XCEL ENERGY INC | COM | 582K | 11K | – |
| XYLEM INC COM | COM | 610K | 4K | – |
| YUM BRANDS INC COM | COM | 3K | 20 | – |
| ZEVRA THERAPEUTICS INC COM NEW | COM | 5 | 1 | – |
| ZIMMER BIOMET HLDGS INC | COM | 4K | 35 | – |
| ZIONS BANCORPORATION NA | COM | 994K | 23K | – |
| ZOETIS INC CL A | COM | 12K | 71 | – |
| ENTERPRISE PRODS PARTN COM | COM | 334K | 12K | – |
| ALEXANDRIA REAL ESTATE EQ INC | COM | 4M | 30K | – |
| ANNALY CAPITAL MANAGEMENT INC | COM | 985K | 52K | – |
| DIGITAL RLTY TR INC COM | COM | 64K | 422 | – |
| ELME COMMUNITIES SH BEN INT | COM | 319 | 20 | – |
| EXTRA SPACE STORAGE INC COM | COM | 9K | 59 | – |
| FARMLAND PARTNERS INC COM | COM | 1K | 100 | – |
| GLOBAL NET LEASE INC COM NEW | COM | 634K | 86K | – |
| HEALTHPEAK PROPERTIES INC COM | COM | 53K | 3K | – |
| HIGHLANDS REIT INC COM | COM | 340 | 7K | – |
| HOST HOTELS&RESORTS COM | COM | 566K | 31K | – |
| IRON MTN INC NEW COM | COM | 95K | 1K | – |
| KIMCO RLTY CORP COM | COM | 21K | 1K | – |
| MEDICAL PPTYS TRUST INC COM | COM | 17K | 4K | – |
| NET LEASE OFFICE PROPERTIES CO | COM | 566 | 23 | – |
| OMEGA HEALTHCARE INVS COM | COM | 766K | 22K | – |
| PARK HOTELS & RESORTS INC COM | COM | 659K | 44K | – |
| SIMON PPTY GROUP INC NEW COM | COM | 170K | 1K | – |
| W P CAREY INC COM | COM | 19K | 349 | – |
| ALLSTATE CORP 5.1 DP SH PFD H | PFD | 22K | 1K | – |
| APOLLO GLOBAL MGMT INC NT 7.6 | PFD | 79K | 3K | – |
| ASHFORD HOSPITALITY TR INC 7.5 | PFD | 10K | 700 | – |
| ASPEN INSURANCE HOLDINGS LTD D | PFD | 19K | 1K | – |
| ASSOCIATED BANC CORP 5.625 DP | PFD | 38K | 2K | – |
| ASSOCIATED BANC CORP NT 33 | PFD | 68K | 3K | – |
| ATHENE HOLDING LTD 4.875 DEP P | PFD | 56K | 3K | – |
| ATLANTIC UN BANKSHARES CORP 6. | PFD | 35K | 2K | – |
| B. RILEY FINANCIAL INC SR NT 2 | PFD | 64K | 3K | – |
| BANK AMER CORP 5.375 DP PFD KK | PFD | 29K | 1K | – |
| BANK AMERICA CORP 4.125 DP PFD | PFD | 52K | 3K | – |
| BANK AMERICA CORP DP SH NCUM N | PFD | 59K | 3K | – |
| BANK HAWAII HONOLULU 4.375 DEP | PFD | 50K | 3K | – |
| BRIGHTHOUSE FINL INC 5.375 DEP | PFD | 60K | 3K | – |
| BRIGHTHOUSE FINL INC 6.25 NT 5 | PFD | 44K | 2K | – |
| CAPITAL ONE FINL CORP 4.375 DE | PFD | 35K | 2K | – |
| CAPITAL ONE FINL CORP 4.8 DP | PFD | 38K | 2K | – |
| CHS INC PFD 8 | PFD | 6K | 190 | – |
| CHS INC RED PFD SER3 CLB | PFD | 50K | 2K | – |
| CULLEN FROST BANKERS INC 4.450 | PFD | 35K | 2K | – |
| DTE ENERGY CO CAL DEB 80 | PFD | 19K | 1K | – |
| FEDERAL AGRIC MTG CORP 4.875 P | PFD | 39K | 2K | – |
| FEDERAL AGRIC MTG CORP 5.25 NC | PFD | 63K | 3K | – |
| FEDERAL AGRIC MTG CORP 5.7 NCU | PFD | 46K | 2K | – |
| FEDERAL AGRIC MTG CORP 5.750 N | PFD | 47K | 2K | – |
| FEDERAL NATL MTG ASSN PFD SER | PFD | 2K | 250 | – |
| FIRST CTZNS BANCSHARES INC DEL | PFD | 22K | 1K | – |
| FIRST HORIZON CORPORATION 6.50 | PFD | 46K | 2K | – |
| GREEN BRICK PARTNERS INC 5.75 | PFD | 33K | 2K | – |
| HEARTLAND FINL USA INC 7 DP SH | PFD | 50K | 2K | – |
| HENNESSY ADVISORS INC CAL NT 2 | PFD | 19K | 800 | – |
| HUNTINGTON BANCSHARES INC 4.50 | PFD | 18K | 1K | – |
| HUNTINGTON BANCSHARES INC 6.87 | PFD | 34K | 1K | – |
| JPMORGAN CHASE & CO 4.20 DP PF | PFD | 57K | 3K | – |
| JPMORGAN CHASE & CO 4.55 DEP P | PFD | 62K | 3K | – |
| JPMORGAN CHASE & CO 5.75 SHS P | PFD | 30K | 1K | – |
| KEYCORP 6.2 DP SH PFD H | PFD | 44K | 2K | – |
| KEYCORP DEP SHS PFD F | PFD | 25K | 1K | – |
| KEYCORP DP SHS PFD G | PFD | 40K | 2K | – |
| MERCHANTS BANCORP IND 6 DP SH | PFD | 44K | 2K | – |
| MORGAN STANLEY 4.250 DP PFD O | PFD | 19K | 1K | – |
| OLD NATL BANCORP IND 7 DP SH P | PFD | 50K | 2K | – |
| OLD NATL BANCORP IND DP NC PPF | PFD | 25K | 1K | – |
| PINNACLE FINL PARTNERS INC 6.7 | PFD | 47K | 2K | – |
| PUBLIC STORAGE 4.125 DP SH PF | PFD | 37K | 2K | – |
| RAYMOND JAMES FINL INC 6.375 D | PFD | 25K | 1K | – |
| REGIONS FINANCIAL CORP NEW DEP | PFD | 36K | 2K | – |
| SIGNATURE BK NEW YORK N Y 5 DE | PFD | 6K | 1K | – |
| SOUTHERN CO 4.20 NT S20C 60 | PFD | 20K | 1K | – |
| SOUTHERN CO NT 4.95 80 | PFD | 41K | 2K | – |
| SPIRE INC 5.9 DEP RP PFD A | PFD | 48K | 2K | – |
| STIFEL FINL CORP 4.50 DEP PFD | PFD | 34K | 2K | – |
| STIFEL FINL CORP DEP RP SHS PF | PFD | 23K | 1K | – |
| TRUIST FINL CORP 5.25 DP SH PF | PFD | 44K | 2K | – |
| UNUM GROUP 6.250 JR NT58 | PFD | 72K | 3K | – |
| US BANCORP DEL DEP PERP PFD K | PFD | 28K | 1K | – |
| WAFD INC 4.875 DEP PFD A | PFD | 29K | 2K | – |
| WEBSTER FINL CORP 6.50 CUM PFD | PFD | 23K | 1K | – |
| WEBSTER FINL CORP DEP SHS RP P | PFD | 20K | 1K | – |
| WELLS FARGO & CO DEP CL A PFD | PFD | 38K | 2K | – |
| WELLS FARGO CO NEW DEP SH PFD | PFD | 41K | 2K | – |
| WISCONSIN ELEC PWR CO PFD 3.60 | PFD | 19K | 300 | – |
| CHORD ENERGY CORPORATION WT A | WT | 64 | 2 | – |
| CHORD ENERGY CORPORATION WT B | WT | 24 | 1 | – |
| CONTRA ACER THERAPEUTICS | WT | 0 | 10 | – |
| OCCIDENTAL PETE CORP WT EXP 08 | WT | 370 | 9 | – |
| FEDNAT HLDG CO | CONV | 100K | – | – |
| REDWOOD TRUST INC | CONV | 48K | – | – |
| DIMENSIONAL ETF TRUST INTERNAT | COM | 71K | 2K | – |
| DIMENSIONAL ETF TRUST WORLD EX | COM | 14K | 557 | – |
| FIRST TRUST GLOBAL WIND ENERGY | COM | 8K | 500 | – |
| INDIA FD INC COM | COM | 19K | 1K | – |
| INVESCO EXCH TRADED FD TR II S | COM | 8K | 200 | – |
| ISHARES GLOBAL TIMBER & FOREST | COM | 16K | 200 | – |
| ISHARES INC MSCI JAPAN ETF | COM | 3K | 37 | – |
| ISHARES INDIA 50 ETF | COM | 146K | 3K | – |
| ISHARES MSCI EAFE ETF | COM | 5K | 62 | – |
| ISHARES MSCI EMERGING MKT ETF | COM | 120K | 3K | – |
| ISHARES TR CORE MSCI EAFE | COM | 64K | 879 | – |
| ISHARES TR CORE MSCI EURO | COM | 2K | 43 | – |
| ISHARES TR GL CLEAN ENE ETF | COM | 26K | 2K | – |
| ISHARES TR MSCI INDIA ETF | COM | 162K | 3K | – |
| ISHARES TR MSCI INDIA ETF | COM | 162K | 2K | – |
| SCHWAB STRATEGIC TR EMRG MKTEQ | COM | 1M | 55K | – |
| SCHWAB STRATEGIC TR INTL EQTY | COM | 1M | 30K | – |
| VANGUARD INTL EQTY IDX MSCI EU | COM | 71K | 1K | – |
| GRAYSCALE BITCOIN TR BTC SHS | COM | 3K | 60 | – |
| FIDELITY MSCI RL EST ETF | COM | 212K | 8K | – |
| IMPACT SHS TR I NAACP MINO ETF | COM | 16K | 394 | – |
| SCHWAB STRATEGIC TR US REIT ET | COM | 251K | 13K | – |
| SPDR GOLD TRUST | COM | 9K | 44 | – |
| ALPS ETF TR ALERIAN MLP | COM | 9K | 193 | – |
| ALPS ETF TR SECTR DIV DOGS | COM | 53K | 1K | – |
| DIMENSIONAL ETF TRUST US CORE | COM | 180K | 6K | – |
| DIMENSIONAL ETF TRUST US MKTWI | COM | 55K | 1K | – |
| EA SERIES TRUST EA BRIDGEWAY O | COM | 147K | 7K | – |
| FIRST TR EXCHANGE-TRADED FD VI | COM | 8K | 100 | – |
| FIRST TR VALUE LINE DIVID INDX | COM | 41K | 1K | – |
| HANCOCK JOHN FINL OPPTYS FD SH | COM | 18K | 649 | – |
| INVESCO DYNAMIC LEISURE AND EN | COM | 182 | 4 | – |
| INVESCO EXCHANGE TRADED FD TR | COM | 4K | 36 | – |
| INVESCO EXCHANGE TRADED FD TR | COM | 24K | 147 | – |
| ISHARES BIOTECHNOLOGY ETF | COM | 40K | 291 | – |
| ISHARES S&P MIDCAP 400 VALUE E | COM | 1M | 9K | – |
| ISHARES S&P SMLCP 600 VALUE ET | COM | 734K | 8K | – |
| ISHARES TR CORE S&P SCP ETF | COM | 659K | 6K | – |
| ISHARES TR DJ US TECH SEC | COM | 15K | 97 | – |
| ISHARES TR MSCI USA QLT FCT | COM | 48K | 283 | – |
| ISHARES TR S&P 100 ETF | COM | 3K | 13 | – |
| ISHARES TR S&P 500 INDEX | COM | 39K | 71 | – |
| ISHARES TR S&P MC 400GR ETF | COM | 58K | 656 | – |
| ISHARES TR S&P MIDCAP 400 | COM | 784K | 13K | – |
| ISHARES TR S&P500 GRW | COM | 4K | 39 | – |
| ISHARES TR S&P500/BAR VAL | COM | 2M | 13K | – |
| ISHARES TR US HLTHCR PR ETF | COM | 8K | 150 | – |
| ISHARES US HOME CONS ETF | COM | 35K | 350 | – |
| SCHWAB STRATEGIC TR US LCAP GR | COM | 13K | 126 | – |
| SCHWAB STRATEGIC TR US LCAP VA | COM | 12K | 165 | – |
| SCHWAB STRATEGIC TR US SML CAP | COM | 100K | 2K | – |
| SELECT SECTOR SPDR TR SBI CONS | COM | 2K | 13 | – |
| SELECT SECTOR SPDR TR SBI HEAL | COM | 3K | 18 | – |
| SELECT SECTOR SPDR TR SBI INT- | COM | 82 | 2 | – |
| SELECT SECTOR SPDR TR SBI INT- | COM | 1K | 10 | – |
| SELECT SECTOR SPDR TR SBI MATE | COM | 26K | 300 | – |
| SPDR S&P Aerospace & Defense E | COM | 3K | 18 | – |
| SPDR SERIES TRUST PRTFLO S&P50 | COM | 112K | 2K | – |
| SPDR SERIES TRUST S&P 400 MDCP | COM | 9K | 125 | – |
| STANDARD & POORS DEP REC TR UN | COM | 219K | 402 | – |
| VANGUARD ADMIRAL FDS INC 500 G | COM | 13K | 38 | – |
| VANGUARD GROUP DIV APP ETF | COM | 32K | 175 | – |
| VANGUARD INDEX FDS GROWTH ETF | COM | 19K | 50 | – |
| VANGUARD INDEX FDS S&P 500 ETF | COM | 19K | 38 | – |
| VANGUARD INDEX FDS SM CP VAL E | COM | 53K | 288 | – |
| VANGUARD INDEX FDS VALUE ETF | COM | 1K | 7 | – |
| VANGUARD INDEX TR STK MRK VIPE | COM | 24K | 90 | – |
| VANGUARD WORLD FDS INF TECH ET | COM | 6K | 10 | – |
| ISHARES 1-5 YEAR INVESTMENT GR | COM | 23K | 441 | – |
| ISHARES IBOXX INVESTMENT GRADE | COM | 12K | 110 | – |
| ISHARES JPMORGAN USD EMERGING | COM | 11K | 119 | – |
| ISHARES TR 0-5YR INVT GR CP | COM | 17K | 354 | – |
| ISHARES TR BARCLYS MBS BD | COM | 36K | 395 | – |
| ISHARES TR CORE TOTAL USD | COM | 89K | 2K | – |
| ISHARES TR CORE TOTUSBD ETF | COM | 2M | 20K | – |
| ISHARES TR U.S. PFD STK ETF | COM | 8K | 250 | – |
| SCHWAB STRATEGIC TR INT-TRM U. | COM | 1K | 23 | – |
| SCHWAB STRATEGIC TR US AGGREGA | COM | 3K | 57 | – |
| VANGUARD BD INDEX FD SHORT TRM | COM | 1M | 15K | – |
| NUVEEN SELECT TAX-FREE INCOME | COM | 5K | 375 | – |
| VANECK ETF TRUST HIGH YLD MUNI | COM | 10K | 201 | – |