STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
Adviser information for STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC 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 | 524 |
|---|---|
| Investment Advisory/Research | 471 |
| Registered Broker-Dealer Representatives | 358 |
| Registered State Investment Advisers | 426 |
| Licensed Agents of an Insurance Company | 254 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,418 | $870.8M |
| Non-Discretionary | 294 | $120.0M |
| Total | 2,712 | $990.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 824 | $782.8M |
| HNW Individuals | 185 | $158.5M |
| 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 | $9.9M |
| 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 | 37 | $39.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 239.2M |
| Portfolio Manager | 0 |
| Both for Same | 609.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| STEWARD PARTNERS UMA PROGRAM | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC |
| PIM | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC |
| CUSTOM CHOICE | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC |
| STEWARD PARTNERS PERSONALIZED PORTFOLIOS | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC |
| ASSET ADVISOR | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC |
| STEWARD PARTNERS MANAGED ACCOUNT SOLUTIONS | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC |
| LOCKWOOD ADVISORFLEX PORTFOLIOS | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC |
Principal Office
15495 SW SEQUOIA PARKWAYSUITE 150
PORTLAND
OR
United States
Monday - Friday, 7:00 AM - 4:00 PM
Tel: 971-353-7800, Fax: 971-353-7801
Websites
valenciagroupsp.stewardpartners.com/
ensignwealth.stewardpartners.com/
www.mtompkins.stewardpartnersis.com
www.drodewald.stewardpartnersis.com
www.jkantor.stewardpartnersis.com
www.stewardpartnersis.com
www.linkedin.com/company/steward-partners-investment-solutions
www.lindseygroup.stewardpartnersis.com/
www.gergenwealth.stewardpartnersis.com/
www.dcarbiener.stewardpartnersis.com
www.mmcgarry.stewardpartnersis.com
Chief Compliance Officer
ROBERT GULDNER
CHIEF COMPLIANCE OFFICER
140 EAST 45TH STREET
FLOOR 36
NEW YORK
NY
United States
Tel:
212-364-0334
Fax:
212-867-5922
R**********@******************M
(Full email address available in API data)
Regulatory Contact
ABRAHAM GONZALEZ
HEAD OF REGULATORY AFFAIRS
15495 SW SEQUOIA PARKWAY
SUITE 150
PORTLAND
OR
United States
Tel:
828-393-5216
Fax:
828-393-5187
A***************@******************M
(Full email address available in API data)
Industry Affiliates
| ELAN WEALTH MANAGEMENT, L.L.C. | Other investment adviser, including financial planners |
| STEWARD PARTNERS GLOBAL ADVISORY, LLC | Insurance company or agency |
| STEWARD PARTNERS INVESTMENT ADVISORY, LLC | 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 |
|---|---|---|---|---|---|
| WINTERBOURNE, JEANI THERESA | Individual | – | PRESIDENT / CHIEF OPERATING OFFICER | 08/2010 | < 5% |
| STEWARD PARTNERS HOLDINGS, LLC | Domestic Entity | – | OWNER | 04/2021 | > 75% |
| GOLD, JAMES MATTHEW | Individual | STEWARD PARTNERS HOLDINGS, LL | ELECTED MANAGER | 04/2021 | |
| SAPORTA, HY JAMIE | Individual | STEWARD PARTNERS HOLDINGS, LL | ELECTED MANAGER | 04/2021 | |
| STEWARD PARTNERS MANAGEMENT HOLDINGS, LLC | Domestic Entity | STEWARD PARTNERS HOLDINGS, LLC | OWNER | 04/2021 | 50-75% |
| MARTINEZ, ROBERTO ANTONIO | Individual | – | AML OFFICER | 07/2022 | < 5% |
| FABER, JOSEPH S | Individual | – | CHIEF FINANCIAL OFFICER | 10/2022 | < 5% |
| RUHLIN, PETER ERIC | Individual | – | CHIEF LEGAL OFFICER | 10/2022 | < 5% |
| GULDNER, ROBERT JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed May 15th, 2024 for period ending March 31st, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| APPLE INC COM | COMSTOCK | 24M | 140K | – |
| AMGEN INC COM | COMSTOCK | 940K | 3K | – |
| BROADCOM INC COM | COMSTOCK | 5M | 4K | – |
| BLACKROCK INC COM | COMSTOCK | 1M | 1K | – |
| COMCAST CORP NEW CL | COMSTOCK | 830K | 19K | – |
| CHEVRON CORP NEW COM | COMSTOCK | 2M | 10K | – |
| DISNEY WALT CO | COMSTOCK | 452K | 4K | – |
| HOME DEPOT INC COM | COMSTOCK | 2M | 5K | – |
| JOHNSON & JOHNSON | COMSTOCK | 3M | 20K | – |
| JPMORGAN CHASE & CO | COMSTOCK | 10M | 51K | – |
| COCA COLA CO COM | COMSTOCK | 2M | 26K | – |
| LOWES COS INC COM | COMSTOCK | 1M | 5K | – |
| MONDELEZ INTL INC CL | COMSTOCK | 2M | 28K | – |
| NIKE INC CL B | COMSTOCK | 514K | 5K | – |
| PROCTER & GAMBLE CO | COMSTOCK | 2M | 14K | – |
| AT&T INC COM | COMSTOCK | 564K | 32K | – |
| VISA INC COM CL A | COMSTOCK | 8M | 30K | – |
| WARNER BROS | COMSTOCK | 75K | 9K | – |
| FIRST TR EXCHANGE TRADED FD II NASDAQ CLEAN EDGE SMART GRID INFRASTRUCTURE | MUTFDETF | 225K | 2K | – |
| AMERICAN TOWER CORP NEW COM | REIT | 380K | 2K | – |
| IRON MTN INC NEW COM | REIT | 885K | 11K | – |
| DUKE ENERGY CORP NEW | COMSTOCK | 1M | 13K | – |
| MICROSOFT CORP COM | COMSTOCK | 27M | 65K | – |
| PFIZER INC COM | COMSTOCK | 848K | 31K | – |
| ABBOTT LABS COM | COMMON STOCK | 2M | 15K | – |
| ABBVIE INC COM | COMMON STOCK | 4M | 20K | – |
| ADOBE SYS INC COM | COMMON STOCK | 491K | 973 | – |
| ADVANCED MICRO DEVICES INC COM | COMMON STOCK | 6M | 35K | – |
| AIRBNB INC CL A COM | COMMON STOCK | 225K | 1K | – |
| AIR PRODS & CHEMS INC COM | COMMON STOCK | 331K | 1K | – |
| ALPHABET INC CAP STK CL C | COMMON STOCK | 13M | 87K | – |
| ALPHABET INC CL A | COMMON STOCK | 4M | 24K | – |
| ALTRIA GROUP INC COM | COMMON STOCK | 325K | 7K | – |
| AMAZON COM INC COM | COMMON STOCK | 14M | 80K | – |
| AMERICAN ELEC PWR CO INC COM | COMMON STOCK | 201K | 2K | – |
| AMERICAN EXPRESS CO COM | COMMON STOCK | 5M | 20K | – |
| AMERIPRISE FINL INC COM | COMMON STOCK | 349K | 795 | – |
| AMGEN INC COM | COMMON STOCK | 940K | 3K | – |
| AMPHENOL CORP NEW CL A | COMMON STOCK | 255K | 2K | – |
| ANALOG DEVICES INC COM | COMMON STOCK | 573K | 3K | – |
| ELEVANCE HEALTH INC COM | COMMON STOCK | 423K | 815 | – |
| APPLE INC COM | COMMON STOCK | 24M | 140K | – |
| APPLIED MATLS INC COM | COMMON STOCK | 310K | 2K | – |
| ARES MGMT CORP COM CL A | COMMON STOCK | 5M | 35K | – |
| ARES CAP CORP COM | COMMON STOCK | 1M | 56K | – |
| AUTOMATIC DATA PROCESSING INC COM | COMMON STOCK | 395K | 2K | – |
| BANK AMER CORP COM | COMMON STOCK | 538K | 14K | – |
| BERKSHIRE HATHAWAY INC DEL CL B NEW | COMMON STOCK | 10M | 24K | – |
| BIGCOMMERCE HLDGS INC COM SER 1 | COMMON STOCK | 2M | 317K | – |
| BLACKSTONE INC COM | COMMON STOCK | 670K | 5K | – |
| BOEING CO COM | COMMON STOCK | 213K | 1K | – |
| BOOKING HLDGS INC COM | COMMON STOCK | 3M | 962 | – |
| BRISTOL MYERS SQUIBB CO COM | COMMON STOCK | 548K | 10K | – |
| CSI COMPRESSCO LP C/A EFF 04/02/24 1 OLD/.086 NEW CU 50012A108 KODIAK GAS SVCS INC | COMMON STOCK | 25K | 11K | – |
| CVS HEALTH CORP COM | COMMON STOCK | 211K | 3K | – |
| CATERPILLAR INS COM | COMMON STOCK | 590K | 2K | – |
| CHENIERE ENERGY INC COM NEW | COMMON STOCK | 1M | 7K | – |
| CHEVRON CORP NEW COM | COMMON STOCK | 2M | 10K | – |
| CHIPOTLE MEXICAN GRILL INC COM | COMMON STOCK | 262K | 90 | – |
| CINCINNATI FINL CORP COM | COMMON STOCK | 251K | 2K | – |
| CISCO SYS INC COM | COMMON STOCK | 3M | 59K | – |
| COCA COLA CO COM | COMMON STOCK | 2M | 26K | – |
| COSTCO WHOLESALE CORP NEW COM | COMMON STOCK | 3M | 4K | – |
| CROWN CASTLE INC COM | COMMON STOCK | 285K | 3K | – |
| D R HORTON INC COM | COMMON STOCK | 3M | 18K | – |
| DANAHER CORP COM | COMMON STOCK | 405K | 2K | – |
| DARLING INGREDIENTS INC COM | COMMON STOCK | 1M | 22K | – |
| DIAMONDBACK ENERGY INC COM | COMMON STOCK | 226K | 1K | – |
| DICKS SPORTING GOODS INC OC-COM | COMMON STOCK | 1M | 5K | – |
| DIGITAL RLTY TR INC COM | COMMON STOCK | 237K | 2K | – |
| DISNEY WALT CO DISNEY COM | COMMON STOCK | 452K | 4K | – |
| DISCOVER FINL SVCS COM | COMMON STOCK | 228K | 2K | – |
| DOW INC COM | COMMON STOCK | 364K | 6K | – |
| EOG RES INC COM | COMMON STOCK | 248K | 2K | – |
| EMERSON ELEC CO COM | COMMON STOCK | 2M | 16K | – |
| ENERGY TRANSFER L P COM UNIT LTD PARTNERSHIP | COMMON STOCK | 271K | 17K | – |
| ENTERPRISE PRODS PARTNERS L P COM UNIT | COMMON STOCK | 422K | 14K | – |
| EXXON MOBIL CORP COM | COMMON STOCK | 2M | 16K | – |
| META PLATFORMS INC CL A | COMMON STOCK | 2M | 4K | – |
| FASTENAL CO COM | COMMON STOCK | 412K | 5K | – |
| FEDERAL RLTY INVT TR NEW COM | COMMON STOCK | 308K | 3K | – |
| FIDELITY NATL INFORMATION SVCS INC COM | COMMON STOCK | 279K | 4K | – |
| FISKER INC COM CL A | COMMON STOCK | 1K | 58K | – |
| GENERAL DYNAMICS CORP COM | COMMON STOCK | 333K | 1K | – |
| GENERAL ELEC CO COM NEW | COMMON STOCK | 364K | 2K | – |
| GINKGO BIOWORKS HLDGS INC CL A | COMMON STOCK | 58K | 50K | – |
| GOLDMAN SACHS GROUP INC COM | COMMON STOCK | 2M | 5K | – |
| HARTFORD FINL SVCS GROUP INC COM | COMMON STOCK | 349K | 3K | – |
| HESS CORP COM | COMMON STOCK | 214K | 1K | – |
| HOME DEPOT INC COM | COMMON STOCK | 2M | 5K | – |
| HONEYWELL INTL INC COM | COMMON STOCK | 2M | 11K | – |
| INTEL CORP COM | COMMON STOCK | 784K | 18K | – |
| INTERNATIONAL BUSINESS MACHS CORP COM | COMMON STOCK | 358K | 2K | – |
| INTUIT COM | COMMON STOCK | 5M | 8K | – |
| INTUITIVE SURGICAL INC COM NEW | COMMON STOCK | 330K | 827 | – |
| JOHNSON & JOHNSON COM | COMMON STOCK | 3M | 20K | – |
| KLA CORP COM | COMMON STOCK | 434K | 621 | – |
| KKR & CO INC COM | COMMON STOCK | 699K | 7K | – |
| KEYSIGHT TECHNOLOGIES INC COM | COMMON STOCK | 2M | 15K | – |
| KIMBELL RTY PARTNERS LP COM UNIT LTD PARTNERSHIP INT | COMMON STOCK | 206K | 13K | – |
| KINDER MORGAN INC DEL COM | COMMON STOCK | 420K | 23K | – |
| LENNAR CORP CL A | COMMON STOCK | 680K | 4K | – |
| LIBERTY MEDIA CORP DEL COM LIBERTY FORMULA ONE SER C | COMMON STOCK | 271K | 4K | – |
| LILLY ELI & CO COM | COMMON STOCK | 3M | 4K | – |
| LOCKHEED MARTIN CORP COM | COMMON STOCK | 2M | 5K | – |
| LOWES COS INC COM | COMMON STOCK | 1M | 5K | – |
| M & T BK CORP COM | COMMON STOCK | 590K | 4K | – |
| MARSH & MCLENNAN COS INC COM | COMMON STOCK | 625K | 3K | – |
| MASTERCARD INC CL A | COMMON STOCK | 2M | 4K | – |
| MCDONALDS CORP COM | COMMON STOCK | 3M | 10K | – |
| MERCK & CO INC NEW COM | COMMON STOCK | 3M | 21K | – |
| MICROSOFT CORP COM | COMMON STOCK | 27M | 65K | – |
| MICROCHIP TECHNOLOGY INC COM | COMMON STOCK | 1M | 13K | – |
| MOLINA HEALTHCARE INC COM | COMMON STOCK | 4M | 10K | – |
| MONDELEZ INTL INC CL A | COMMON STOCK | 2M | 28K | – |
| MORGAN STANLEY COM NEW | COMMON STOCK | 633K | 7K | – |
| MOTOROLA SOLUTIONS INC COM NEW | COMMON STOCK | 507K | 1K | – |
| NETFLIX INC COM | COMMON STOCK | 531K | 874 | – |
| NEXTERA ENERGY INC COM | COMMON STOCK | 647K | 10K | – |
| NIKE INC CL B | COMMON STOCK | 514K | 5K | – |
| NORFOLK SOUTHN CORP COM | COMMON STOCK | 502K | 2K | – |
| NORTHROP GRUMMAN CORP COM | COMMON STOCK | 233K | 486 | – |
| NUCOR CORP COM | COMMON STOCK | 2M | 9K | – |
| NVIDIA CORP COM | COMMON STOCK | 15M | 16K | – |
| O REILLY AUTOMOTIVE INC NEW COM | COMMON STOCK | 3M | 2K | – |
| ORACLE CORP COM | COMMON STOCK | 1M | 11K | – |
| BLUE OWL CAP CORP COM | COMMON STOCK | 188K | 12K | – |
| PNC FINL SVCS GROUP INC COM | COMMON STOCK | 718K | 4K | – |
| PPL CORP COM | COMMON STOCK | 406K | 15K | – |
| PALO ALTO NETWORKS INC COM | COMMON STOCK | 673K | 2K | – |
| PAYCHEX INC COM | COMMON STOCK | 491K | 4K | – |
| PEMBINA PIPELINE CORP COM ISIN#CA7063271034 | COMMON STOCK | 461K | 13K | – |
| PEPSICO INC COM | COMMON STOCK | 835K | 5K | – |
| PFIZER INC COM | COMMON STOCK | 848K | 31K | – |
| PHILIP MORRIS INTL INC COM | COMMON STOCK | 481K | 5K | – |
| PHILLIPS 66 COM | COMMON STOCK | 2M | 10K | – |
| PIONEER NAT RES CO COM | COMMON STOCK | 224K | 852 | – |
| PITNEY BOWES INC COM | COMMON STOCK | 2M | 425K | – |
| PROCTER & GAMBLE CO COM | COMMON STOCK | 2M | 14K | – |
| PROGRESSIVE CORP OH COM | COMMON STOCK | 541K | 3K | – |
| PROLOGIS INC COM | COMMON STOCK | 971K | 7K | – |
| QUALCOMM INC COM | COMMON STOCK | 526K | 3K | – |
| RTX CORP COM | COMMON STOCK | 409K | 4K | – |
| REPUBLIC SVCS INC COM | COMMON STOCK | 556K | 3K | – |
| S&P GLOBAL INC COM | COMMON STOCK | 503K | 1K | – |
| SALESFORCE INC COM | COMMON STOCK | 1M | 4K | – |
| SCHLUMBERGER LTD COM ISIN# AN8068571086 | COMMON STOCK | 592K | 11K | – |
| SCHWAB CHARLES CORP NEW COM | COMMON STOCK | 666K | 9K | – |
| SERVICENOW INC COM | COMMON STOCK | 226K | 296 | – |
| SHERWIN-WILLIAMS CO COM | COMMON STOCK | 286K | 822 | – |
| SIGA TECHNOLOGIES INC COM | COMMON STOCK | 89K | 10K | – |
| SITIO ROYALTIES CORP NEW COM CL A | COMMON STOCK | 476K | 19K | – |
| SIXTH STR SPECIALTY LENDING INC COM | COMMON STOCK | 372K | 17K | – |
| SOUTHERN CO COM | COMMON STOCK | 4M | 51K | – |
| STARBUCKS CORP COM | COMMON STOCK | 598K | 7K | – |
| STRYKER CORP COMMON | COMMON STOCK | 683K | 2K | – |
| SUPER MICRO COMPUTER INC COM | COMMON STOCK | 246K | 244 | – |
| TJX COS INC NEW COM | COMMON STOCK | 719K | 7K | – |
| T-MOBILE US INC COM | COMMON STOCK | 6M | 35K | – |
| TARGET CORP COM | COMMON STOCK | 363K | 2K | – |
| TESLA INC COM | COMMON STOCK | 2M | 10K | – |
| TEXAS INSTRS INC COM | COMMON STOCK | 1M | 6K | – |
| THERMO FISHER SCIENTIFIC INC COM | COMMON STOCK | 764K | 1K | – |
| UBER TECHNOLOGIES INC COM | COMMON STOCK | 9M | 121K | – |
| UNION PAC CORP COM | COMMON STOCK | 1M | 6K | – |
| UNITED PARCEL SVC INC CL B | COMMON STOCK | 518K | 3K | – |
| UNITED RENTALS INC COM | COMMON STOCK | 331K | 459 | – |
| UNITEDHEALTH GROUP INC COM | COMMON STOCK | 8M | 16K | – |
| VALERO ENERGY CORP NEW COM | COMMON STOCK | 2M | 13K | – |
| VERISIGN INC COM | COMMON STOCK | 4M | 22K | – |
| VERIZON COMMUNICATIONS INC COM | COMMON STOCK | 455K | 11K | – |
| VERTEX PHARMACEUTICALS INC COM | COMMON STOCK | 205K | 491 | – |
| WALMART INC COM | COMMON STOCK | 3M | 46K | – |
| WARNER BROS DISCOVERY INC COM SER A | COMMON STOCK | 75K | 9K | – |
| WELLS FARGO & CO NEW COM | COMMON STOCK | 245K | 4K | – |
| WORKDAY INC CL A | COMMON STOCK | 384K | 1K | – |
| ZOETIS INC COM | COMMON STOCK | 225K | 1K | – |
| ACCENTURE PLC IRELAND SHS CL A ISIN#IE00B4BNMY34 | COMMON STOCK | 1M | 3K | – |
| EATON CORPORATION PLC SHS ISIN#IE00B8KQN827 | COMMON STOCK | 523K | 2K | – |
| LINDE PLC NEW SHS ISIN#IE000S9YS762 | COMMON STOCK | 1M | 3K | – |
| MEDTRONIC PLC SHS ISIN#IE00BTN1Y115 | COMMON STOCK | 495K | 6K | – |
| TRANE TECHNOLOGIES PLC SHS ISIN#IE00BK9ZQ967 | COMMON STOCK | 551K | 2K | – |
| CHUBB LTD COM ISIN#CH0044328745 | COMMON STOCK | 1M | 5K | – |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR ISIN#US03524A1088 | COMMON STOCK ADR | 357K | 6K | – |
| ASTRAZENECA PLC SPONSORED ADR ISIN#US0463531089 | COMMON STOCK ADR | 220K | 3K | – |
| BP PLC SPONS ADR | COMMON STOCK ADR | 1M | 38K | – |
| DIAGEO PLC SPONSORED ADR NEW ISIN#US25243Q2057 | COMMON STOCK ADR | 438K | 3K | – |
| NOVO NORDISK A.S. ADR FORMERLY NOVO INDUSTRIE A.S. ADR SAME CUSIP | COMMON STOCK ADR | 318K | 2K | – |
| SHELL PLC SPONSORED ADR REPSTG ORD SH ISIN#US7802593050 | COMMON STOCK ADR | 381K | 6K | – |
| TAIWAN SEMICONDUCTOR MFG CO SPONSORED ADR ISIN#US8740391003 | COMMON STOCK ADR | 686K | 5K | – |
| ASML HLDG N V N Y REGISTRY SHS NEW 2012 | COMMON STOCK ADR | 317K | 327 | – |
| FIDELITY COMWLTH TR NASDAQ COMPOSITE INDEX ETF | EXCHANGE TRADED FUND | 19M | 294K | – |
| FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF | EXCHANGE TRADED FUND | 330K | 4K | – |
| FIRST TR EXCHANGE-TRADED FD DOW JONES INTERNET INDEX FD | EXCHANGE TRADED FUND | 539K | 3K | – |
| FIRST TR EXCHANGE-TRADED FD VI RISING DIVID ACHIEVERS ETF | EXCHANGE TRADED FUND | 2M | 38K | – |
| FIRST TR EXCHANGE-TRADED FD VI DORSEY WRIGHT FOCUS 5 ETF | EXCHANGE TRADED FUND | 1M | 21K | – |
| FIRST TR EXCHANGE-TRADED FD III FIRST TR LONG/SHORT EQUITY | EXCHANGE TRADED FUND | 208K | 3K | – |
| FIRST TR EXCHANGE TRADED FD IV LOW DURATION OPPORTUNITIES ETF | EXCHANGE TRADED FUND | 417K | 9K | – |
| FIRST TR EXCHANGE-TRADED FD VIII TCW OPPORTUNISTIC FXD | EXCHANGE TRADED FUND | 543K | 12K | – |
| GLOBAL X FDS SUPERDIVIDEND U S ETF | EXCHANGE TRADED FUND | 376K | 22K | – |
| GOLDMAN SACHS ETF TR TR ACTIVEBETA U S LARGE CAP EQUITY ETF | EXCHANGE TRADED FUND | 354K | 3K | – |
| GOLDMAN SACHS ETF TR TR ACCESS TREASURY 0-1 YR ETF | EXCHANGE TRADED FUND | 275K | 3K | – |
| INVESCO QQQ TR UNIT SER 1 | EXCHANGE TRADED FUND | 11M | 25K | – |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | EXCHANGE TRADED FUND | 2M | 10K | – |
| INVESCO EXCHANGE-TRADED FD TR DIVID ACHIEVERS ETF | EXCHANGE TRADED FUND | 316K | 7K | – |
| INVESCO EXCHANGE-TRADED FD TR II NATL AMT-FREE MUN BD ETF | EXCHANGE TRADED FUND | 398K | 17K | – |
| INVESCO EXCHANGE-TRADED FD TR II INVESCO PHLX SEMICONDUCTOR ETF | EXCHANGE TRADED FUND | 380K | 10K | – |
| ISHARES GOLD TR ISHARES NEW | EXCHANGE TRADED FUND | 539K | 13K | – |
| ISHARES TR SELECT DIVID ETF FD | EXCHANGE TRADED FUND | 360K | 3K | – |
| ISHARES TR CORE S&P 500 ETF | EXCHANGE TRADED FUND | 210K | 400 | – |
| ISHARES TR 20 YR TREAS BD ETF | EXCHANGE TRADED FUND | 273K | 3K | – |
| ISHARES TR 7-10 YR TREAS BD ETF | EXCHANGE TRADED FUND | 2M | 18K | – |
| ISHARES TR 1-3 YR TREAS BD ETF | EXCHANGE TRADED FUND | 281K | 3K | – |
| ISHARES TR MSCI EAFE ETF | EXCHANGE TRADED FUND | 251K | 3K | – |
| ISHARES TR CORE S&P MID-CAP ETF | EXCHANGE TRADED FUND | 3M | 45K | – |
| ISHARES TR BIOTECHNOLOGY ETF | EXCHANGE TRADED FUND | 310K | 2K | – |
| ISHARES TR RUSSELL 1000 ETF | EXCHANGE TRADED FUND | 762K | 3K | – |
| ISHARES TR RUSSELL 2000 ETF | EXCHANGE TRADED FUND | 221K | 1K | – |
| ISHARES TR RUSSELL 3000 ETF | EXCHANGE TRADED FUND | 759K | 3K | – |
| ISHARES TR CORE S&P SMALL-CAP ETF | EXCHANGE TRADED FUND | 976K | 9K | – |
| ISHARES TR GLOBAL INFRASTRUCTURE ETF INDEX FD | EXCHANGE TRADED FUND | 253K | 5K | – |
| ISHARES TR NATL MUN BD ETF FD | EXCHANGE TRADED FUND | 2M | 22K | – |
| ISHARES TR INTL SELECT DIVID ETF INDEX FD | EXCHANGE TRADED FUND | 446K | 16K | – |
| ISHARES SILVER TR ISHARES | EXCHANGE TRADED FUND | 1M | 58K | – |
| ISHARES TR MSCI USA MINIMUM VOLATILITY FACTOR ETF | EXCHANGE TRADED FUND | 7M | 83K | – |
| ISHARES TR CORE MSCI EAFE ETF | EXCHANGE TRADED FUND | 2M | 20K | – |
| ISHARES INC CORE MSCI EMERGING MKTS ETF | EXCHANGE TRADED FUND | 392K | 8K | – |
| ISHARES TR ISHARES 0-3 MNTH TREAS BD ETF | EXCHANGE TRADED FUND | 3M | 33K | – |
| J P MORGAN EXCHANGE-TRADED FD TR EQUITY PREMIUM INCOME ETF | EXCHANGE TRADED FUND | 681K | 12K | – |
| LITMAN GREGORY FDS TR IMGP DBI MANAGED FUTURE STRATEGY ETF | EXCHANGE TRADED FUND | 215K | 8K | – |
| SPDR S&P 500 ETF TR TR UNIT | EXCHANGE TRADED FUND | 12M | 23K | – |
| SPDR GOLD TR GOLD SHS | EXCHANGE TRADED FUND | 4M | 18K | – |
| SPDR INDEX SHS FDS S&P NORTH AMERICAN NATURAL RESOURCES ETF | EXCHANGE TRADED FUND | 493K | 9K | – |
| SPDR SER TR BLOOMBERG U S CONV LIQUID BD INDEX | EXCHANGE TRADED FUND | 483K | 7K | – |
| SPDR SER TR S&P DIVID ETF | EXCHANGE TRADED FUND | 1M | 8K | – |
| SPDR DOW JONES INDL AVERAGE ETF TR UNIT SER 1 | EXCHANGE TRADED FUND | 676K | 2K | – |
| SCHWAB STRATEGIC TR US BROAD MKT ETF | EXCHANGE TRADED FUND | 212K | 3K | – |
| SCHWAB STRATEGIC TR US LARGE-CAP ETF | EXCHANGE TRADED FUND | 789K | 13K | – |
| SELECT SECTOR SPDR TR HEALTH CARE | EXCHANGE TRADED FUND | 3M | 20K | – |
| SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY | EXCHANGE TRADED FUND | 1M | 7K | – |
| SELECT SECTOR SPDR TR ENERGY | EXCHANGE TRADED FUND | 7M | 71K | – |
| SELECT SECTOR SPDR TR FINANCIAL | EXCHANGE TRADED FUND | 9M | 207K | – |
| SELECT SECTOR SPDR TR INDL | EXCHANGE TRADED FUND | 6M | 47K | – |
| SELECT SECTOR SPDR TR TECHNOLOGY | EXCHANGE TRADED FUND | 1M | 6K | – |
| SELECT SECTOR SPDR TR COMMUNICATION SVCS SELECT SECTOR SPDR FD | EXCHANGE TRADED FUND | 8M | 101K | – |
| VANECK ETF TR SEMICONDUCTOR ETF | EXCHANGE TRADED FUND | 859K | 4K | – |
| VANECK ETF TR AMT FREE INTER MUN INDEX ETF NEW | EXCHANGE TRADED FUND | 448K | 10K | – |
| VANECK ETF TR HIGH YIELD MUN INDEX ETF NEW | EXCHANGE TRADED FUND | 221K | 4K | – |
| VANGUARD SPECIALIZED FUNDS DIVID APPRECIATION ETF SHS | EXCHANGE TRADED FUND | 10M | 53K | – |
| VANGUARD STAR FDS VANGUARD TOTAL INTL STOCK INDEX FD ETF SHS | EXCHANGE TRADED FUND | 844K | 14K | – |
| VANGUARD INTL FD FTSE DEVELOPED MKTS ETF | EXCHANGE TRADED FUND | 523K | 10K | – |
| VANGUARD WHITEHALL FDS HIGH DIVIDEND YIELD ETF SHS | EXCHANGE TRADED FUND | 4M | 34K | – |
| VANGUARD INTL EQUITY INDEX FDS FTSE EMERGING MKTS ETF | EXCHANGE TRADED FUND | 464K | 11K | – |
| VANGUARD WORLD FDS VANGUARD CONSUMER STAPLES ETF | EXCHANGE TRADED FUND | 688K | 3K | – |
| VANGUARD WORLD FDS VANGUARD FINLS ETF | EXCHANGE TRADED FUND | 226K | 2K | – |
| VANGUARD WORLD FDS VANGUARD INDLS ETF | EXCHANGE TRADED FUND | 800K | 3K | – |
| VANGUARD WORLD FDS VANGUARD INFORMATION TECHNOLOGY ETF | EXCHANGE TRADED FUND | 4M | 7K | – |
| VANGUARD WORLD FDS VANGUARD MATLS ETF | EXCHANGE TRADED FUND | 202K | 989 | – |
| VANGUARD SCOTTSDALE FDS VANGUARD INTER-TERM TREAS INDEX FD | EXCHANGE TRADED FUND | 1M | 25K | – |
| VANGUARD SCOTTSDALE FDS VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX ETF SHS | EXCHANGE TRADED FUND | 3M | 38K | – |
| VANGUARD MUN BD FDS TAX-EXEMPT BD INDEX FD ETF | EXCHANGE TRADED FUND | 2M | 40K | – |
| VANGUARD INDEX FDS S&P 500 ETF SHS NEW | EXCHANGE TRADED FUND | 26M | 54K | – |
| VANGUARD INDEX FDS VANGUARD MID-CAP ETF | EXCHANGE TRADED FUND | 4M | 15K | – |
| VANGUARD INDEX FDS VANGUARD VALUE ETF | EXCHANGE TRADED FUND | 2M | 12K | – |
| VANGUARD INDEX FDS VANGUARD SMALL-CAP ETF | EXCHANGE TRADED FUND | 2M | 7K | – |
| VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETF | EXCHANGE TRADED FUND | 3M | 10K | – |
| WISDOMTREE TR INDIA EARNINGS FD | EXCHANGE TRADED FUND | 600K | 14K | – |
| WISDOMTREE TR JAPAN HEDGED EQUITY FD | EXCHANGE TRADED FUND | 14M | 132K | – |
| BLACKROCK CAP ALLOCATION TERM TR COM | MUTUAL FUND CLOSED END | 205K | 12K | – |
| BLACKSTONE SECD LENDING FD COM | MUTUAL FUND CLOSED END | 231K | 7K | – |
| PERMIANVILLE RTY TR TR UNIT | MUTUAL FUND CLOSED END | 17K | 12K | – |