HIGHLAND CAPITAL MANAGEMENT, LLC
Adviser information for HIGHLAND CAPITAL MANAGEMENT, 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 | Tennessee, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| 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 | 1,038 | $3.4B |
| Non-Discretionary | 0 | $0 |
| Total | 1,038 | $3.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 187 | $63.9M |
| HNW Individuals | 459 | $961.9M |
| 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 | 181 | $1.1B |
| Charitable organizations | 70 | $434.4M |
| State or municipal gov entities | 119 | $699.5M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 12 | $91.3M |
| Other | 10 | $88.3M |
| 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 clients401K INVESTMENT MANAGEMENT, PROVISION OF TRADING SIGNALS |
|---|---|
| Compensation | % of AUMPerformance-based feesSUBSCRIPTION FEES |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 13.3M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PRIVATE ADVISOR NETWORK | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| AMBASSADOR ACCOUNT | RAYMOND JAMES & ASSOCIATES, INC. |
| GRAYSTONE CONSULTING | MORGAN STANLEY |
Principal Office
850 RIDGE LAKE BLVDSUITE 205
MEMPHIS
TN
United States
Monday - Friday, 8-5
Tel: 901-761-9500, Fax: 901-761-5631
Chief Compliance Officer
LORI MONTGOMERY
CHIEF COMPLIANCE OFFICER
850 RIDGE LAKE BLVD
SUITE 205
MEMPHIS
TN
United States
Tel:
901-761-9500
Fax:
901-761-5631
L**********@**************M
(Full email address available in API data)
Regulatory Contact
STEVEN WISHNIA
PRESIDENT
850 RIDGE LAKE BLVD
SUITE 205
MEMPHIS
TN
United States
Tel:
901-761-9500
Fax:
901-761-5631
S*******@**************M
(Full email address available in API data)
Industry Affiliates
| AMERITRUST CORPORATION | Trust company |
| AMERITRUST INVESTMENT ADVISORS INC | Other investment adviser, including financial plannersPension consultant |
| ARGENT ADVISORS, INC. | Other investment adviser, including financial plannersRegistered municipal advisorPension consultant |
| ARGENT INSTITUTIONAL TRUST COMPANY | Trust company |
| ARGENT INSURANCE SERVICES, LLC | Insurance company or agency |
| ARGENT RETIREMENT PLAN ADVISORS, LLC | Other investment adviser, including financial plannersPension consultant |
| ARGENT TRUST COMPANY | Trust company |
| ARGENT TRUST OKLAHOMA | Trust company |
| ARGENT WEALTH, LLC | Other investment adviser, including financial planners |
| ORLEANS CAPITAL MANAGEMENT CORP | Other investment adviser, including financial planners |
| WYNDEN CAPITAL MANAGEMENT, 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 |
|---|---|---|---|---|---|
| WISHNIA, STEVEN | Individual | – | PRESIDENT & CEO | 12/2012 | < 5% |
| ARGENT FINANCIAL GROUP, INC | Domestic Entity | – | MEMBER 100% | 12/2012 | > 75% |
| TINDAL, MICHAEL, HEFLIN | Individual | – | DIRECTOR OF TAFT-HARTLEY SERVICES | 04/2015 | < 5% |
| THOMPSON, DAVID, LEE | Individual | – | CHIEF INVESTMENT OFFICER/DIRECTOR OF PRIVATE WEALTH | 04/2015 | < 5% |
| MONTGOMERY, LORI, NELMS | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 25th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 370K | 4K | – |
| ABBOTT LABORATORIES | COM | 882K | 8K | – |
| ABBVIE INC | COM | 4M | 23K | – |
| ABERCROMBIE & FITCH COMPANY CL | COM | 397K | 2K | – |
| ADOBE INC | COM | 2M | 4K | – |
| ADT CORPORATION | COM | 191K | 25K | – |
| ADVANCED MICRO DEVICES INC | COM | 3M | 18K | – |
| AES CORPORATION | COM | 4M | 255K | – |
| AFLAC INC | COM | 1M | 15K | – |
| AIRBNB INC -CL A | COM | 4M | 30K | – |
| ALBEMARLE CORP | COM | 2M | 19K | – |
| ALLIANCEBERNSTEIN HOLDING L.P. | COM | 2M | 54K | – |
| ALPHABET INC | COM | 29M | 159K | – |
| ALPHABET INC | COM | 31M | 173K | – |
| ALTRIA GROUP INC | COM | 4M | 82K | – |
| AMAZON COM INCORPORATED | COM | 33M | 169K | – |
| AMERICAN AXLE & MANUFACTURING | COM | 185K | 27K | – |
| AMERICAN ELEC PWR INC | COM | 5M | 58K | – |
| AMERICAN EXPRESS CO | COM | 9M | 39K | – |
| AMERICAN INTERNATIONAL GROUP I | COM | 6M | 76K | – |
| AMGEN INC | COM | 2M | 6K | – |
| AMKOR TECHNOLOGY | COM | 265K | 7K | – |
| APA CORPORATION | COM | 4M | 130K | – |
| APPLE INC | COM | 84M | 401K | – |
| APPLIED MATERIALS INC | COM | 8M | 36K | – |
| APPLOVIN CORP CL A | COM | 2M | 24K | – |
| APTAR GROUP INC | COM | 375K | 3K | – |
| ARM HOLDINGS PLC SP ADR | COM | 491K | 3K | – |
| AT&T INC | COM | 5M | 278K | – |
| AUTOMATIC DATA PROCESSING INC | COM | 4M | 17K | – |
| AUTOZONE INC | COM | 3M | 970 | – |
| AXIS CAPITAL HOLDINGS SHS | COM | 208K | 3K | – |
| AXON ENTERPRISE INC | COM | 3M | 9K | – |
| BANK OF AMERICA CORP | COM | 12M | 309K | – |
| BERKSHIRE HATHAWAY INC | COM | 13M | 31K | – |
| BLACKSTONE INC | COM | 879K | 7K | – |
| BOEING CO | COM | 4M | 22K | – |
| BREAD FINANCIAL HOLDINGS INC | COM | 245K | 5K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 3M | 66K | – |
| BROADCOM INC | COM | 41M | 26K | – |
| BUILDERS FIRSTSOURCE INC | COM | 202K | 1K | – |
| CADENCE DESIGN SYSTEMS INC | COM | 3M | 9K | – |
| CARRIER GLOBAL CORP | COM | 15M | 233K | – |
| CASEYS GENERAL STORES INC | COM | 5M | 13K | – |
| CATERPILLAR INC DEL | COM | 8M | 23K | – |
| CBOE GLOBAL MARKETS INC | COM | 6M | 35K | – |
| CDW CORP | COM | 244K | 1K | – |
| CELSIUS HOLDINGS INC | COM | 878K | 15K | – |
| CHARLES SCHWAB CORPORATION | COM | 7M | 101K | – |
| CHENIERE ENERGY INC | COM | 999K | 6K | – |
| CHEVRON CORP | COM | 15M | 96K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 501K | 8K | – |
| CHUBB LIMITED | COM | 4M | 17K | – |
| CIGNA GROUP | COM | 5M | 15K | – |
| CISCO SYS INC | COM | 9M | 186K | – |
| CITIGROUP INC | COM | 12M | 196K | – |
| CLEARSIGN COMBUSTION CORP | COM | 27K | 32K | – |
| CLOUDFLARE INC | COM | 2M | 21K | – |
| CME GROUP INC | COM | 902K | 5K | – |
| COCA COLA CO | COM | 3M | 53K | – |
| COMCAST CORP | COM | 9M | 221K | – |
| CONFLUENT INC CLASS A | COM | 953K | 32K | – |
| CONOCOPHILLIPS | COM | 12M | 104K | – |
| CONSTELLIUM SE CL A | COM | 231K | 12K | – |
| CORNING INC | COM | 4M | 94K | – |
| COSTAR GROUP INC | COM | 2M | 24K | – |
| COSTCO WHOLESALE CORP | COM | 34M | 40K | – |
| COUPANG INC | COM | 1M | 52K | – |
| CROWDSTRIKE HOLDINGS INC | COM | 12M | 32K | – |
| CSX CORP | COM | 4M | 125K | – |
| CUMMINS INC | COM | 6M | 21K | – |
| CVS HEALTH CORPORATION | COM | 6M | 103K | – |
| DANAHER CORP | COM | 9M | 36K | – |
| DECKERS OUTDOOR CORP | COM | 1M | 2K | – |
| DEERE & CO | COM | 498K | 1K | – |
| DELL TECHNOLOGIES INC | COM | 614K | 4K | – |
| DELTA AIR LINES INC | COM | 9M | 180K | – |
| DENTSPLY SIRONA INC | COM | 2M | 99K | – |
| DIGITAL BRIDGE GROUP INC | COM | 190K | 14K | – |
| DNOW INC COM | COM | 202K | 15K | – |
| DOVER CORPORATION | COM | 543K | 3K | – |
| DUKE ENERGY CORP | COM | 5M | 48K | – |
| E.L.F BEAUTY INC | COM | 315K | 1K | – |
| EAGLE MATERIALS INC | COM | 7M | 32K | – |
| EATON CORP PLC | COM | 8M | 26K | – |
| ELASTIC NV EUR | COM | 1M | 13K | – |
| ELEVANCE HEALTH INC | COM | 650K | 1K | – |
| ELI LILLY & CO | COM | 11M | 12K | – |
| EMCOR GROUP INC | COM | 300K | 822 | – |
| ENERGY SELECT SECTOR SPDR FUND | COM | 649K | 7K | – |
| ENERGY TRANSFER EQUITY LP | COM | 629K | 39K | – |
| EQUIFAX INC | COM | 646K | 3K | – |
| ESTEE LAUDER COS INC | COM | 5M | 45K | – |
| EXXON MOBIL CORP | COM | 17M | 151K | – |
| F5 NETWORKS INC | COM | 2M | 13K | – |
| FEDEX CORPORATION | COM | 15M | 52K | – |
| FINANCIAL SELECT SECTOR SPDR | COM | 2M | 44K | – |
| FIRST HORIZON NATIONAL CORPORA | COM | 171K | 11K | – |
| FIRST SOLAR INC | COM | 5M | 21K | – |
| FORD MOTOR CO | COM | 281K | 22K | – |
| FRESHPET INC | COM | 1M | 10K | – |
| FTAI AVIATION LTD | COM | 248K | 2K | – |
| GAMING AND LEISURE PROPERTIES | COM | 4M | 82K | – |
| GE VERNOVA INC | COM | 6M | 34K | – |
| GENERAL ELEC CO | COM | 2M | 10K | – |
| GENERAL MILLS INC | COM | 420K | 7K | – |
| GOLDMAN SACHS GROUP INC | COM | 19M | 43K | – |
| HILTON WORLDWIDE HOLDINGS INC | COM | 6M | 29K | – |
| HOME DEPOT INC | COM | 5M | 15K | – |
| HONEYWELL INTL INC | COM | 309K | 1K | – |
| HOST HOTELS & RESORTS | COM | 193K | 11K | – |
| HUB GRP INC CL A | COM | 200K | 5K | – |
| HUBSPOT INC | COM | 1M | 2K | – |
| IDEXX LABORATORIES INC | COM | 451K | 925 | – |
| INTEL CORP | COM | 408K | 13K | – |
| INTERNATIONAL BUSINESS MACHINE | COM | 327K | 2K | – |
| INTUIT INC | COM | 3M | 5K | – |
| INVESCO QQQ TRUST SER 1 | COM | 534K | 1K | – |
| JAZZ PHARMACEUTICALS PLC | COM | 3M | 30K | – |
| JOHNSON & JOHNSON | COM | 13M | 87K | – |
| JONES LANG LASALLE INC | COM | 4M | 21K | – |
| JP MORGAN CHASE & CO | COM | 38M | 190K | – |
| KIMBERLY CLARK CORP | COM | 5M | 35K | – |
| KKR & CO INC | COM | 1M | 12K | – |
| KLA-TENCOR CORP | COM | 2M | 2K | – |
| KNIGHT-SWIFT TRANSPORTATION | COM | 2M | 37K | – |
| KRAFT HEINZ COMPANY | COM | 3M | 99K | – |
| LABCORP HOLDINGS INC | COM | 3M | 17K | – |
| LAM RESH CORP | COM | 237K | 223 | – |
| LOCKHEED MARTIN CORP | COM | 3M | 7K | – |
| LOWES COS INC | COM | 19M | 85K | – |
| LULULEMON ATHLETICA INC | COM | 257K | 862 | – |
| LYONDELLBASELL INDUSTRIES N V | COM | 4M | 39K | – |
| MACYS INC | COM | 212K | 11K | – |
| MARATHON OIL CORP | COM | 3M | 114K | – |
| MARRIOTT INTL IN CLASS A | COM | 201K | 833 | – |
| MARVELL TECHNOLOGY INC | COM | 6M | 81K | – |
| MASTERCARD INC | COM | 3M | 8K | – |
| MATSON INC | COM | 261K | 2K | – |
| MCDONALDS CORP | COM | 244K | 957 | – |
| MCKESSON HBOC INC | COM | 5M | 8K | – |
| MERCK & CO INC | COM | 35M | 285K | – |
| META PLATFORMS INC | COM | 26M | 51K | – |
| METLIFE INC | COM | 4M | 56K | – |
| METTLER-TOLEDO INTL | COM | 664K | 475 | – |
| MGM RESORTS INT'L | COM | 4M | 99K | – |
| MICRON TECHNOLOGY INC | COM | 27M | 205K | – |
| MICROSOFT CORP | COM | 128M | 286K | – |
| MID-AMERICA APARTMENT COMMUNIT | COM | 279K | 2K | – |
| MOLSON COORS BREWING CO | COM | 4M | 77K | – |
| MONDELEZ INTERNATIONAL INC | COM | 7M | 113K | – |
| MOODYS CORP | COM | 351K | 833 | – |
| MORGAN STANLEY | COM | 4M | 40K | – |
| NATIONAL STORAGE AFFILIATES TR | COM | 212K | 5K | – |
| NETAPP INC | COM | 386K | 3K | – |
| NETFLIX.COM INC | COM | 5M | 7K | – |
| NEXTERA ENERGY INC | COM | 5M | 67K | – |
| NIKE INC | COM | 7M | 99K | – |
| NORFOLK SOUTHERN CORP | COM | 4M | 20K | – |
| NRG ENERGY INC | COM | 4M | 55K | – |
| NUCOR CORP | COM | 470K | 3K | – |
| NVIDIA CORP | COM | 33M | 269K | – |
| OKTA INC | COM | 882K | 9K | – |
| OLIN CORP | COM | 4M | 80K | – |
| ORACLE CORP | COM | 6M | 46K | – |
| ORGANON & COMPANY | COM | 341K | 16K | – |
| OVINTIV INC | COM | 1M | 30K | – |
| PAYPAL HOLDINGS INC | COM | 5M | 83K | – |
| PBF ENERGY INC | COM | 202K | 4K | – |
| PENUMBRA INC | COM | 717K | 4K | – |
| PEPSICO INC | COM | 15M | 91K | – |
| PFIZER INC | COM | 2M | 54K | – |
| PILGRIMS PRIDE CORP | COM | 229K | 6K | – |
| PROCTER & GAMBLE CO | COM | 19M | 114K | – |
| PROGRESSIVE CORP OHIO | COM | 2M | 8K | – |
| PROLOGIS INC | COM | 3M | 31K | – |
| PURE STORAGE INC | COM | 1M | 20K | – |
| QORVO INC | COM | 5M | 39K | – |
| QUALCOMM INC | COM | 15M | 74K | – |
| REALTY INCOME TRUST | COM | 3M | 61K | – |
| REGIONS FINANCIAL CORP | COM | 814K | 41K | – |
| RITHM CAPITAL CORP | COM | 536K | 49K | – |
| ROPER TECHNOLOGIES INC | COM | 693K | 1K | – |
| RTX CORPORATION COM | COM | 12M | 116K | – |
| S&P GLOBAL INC | COM | 11M | 25K | – |
| SALESFORCE INC | COM | 7M | 29K | – |
| SCHLUMBERGER LTD | COM | 8M | 179K | – |
| SENSTAR TECHNOLOGIES LTD | COM | 35K | 19K | – |
| SENTINELONE INC CL A | COM | 835K | 40K | – |
| SERVICENOW INC | COM | 2M | 3K | – |
| SIMMONS FIRST NATIONAL CORP CL | COM | 647K | 37K | – |
| SKYWORKS SOLUTIONS INC | COM | 4M | 39K | – |
| SOUTHERN COPPER CORP | COM | 1M | 10K | – |
| STANDARD LITHIUM LTD | COM | 27K | 21K | – |
| STARBUCKS CORP | COM | 5M | 67K | – |
| STARWOOD PROPERTY TRUST INC | COM | 648K | 34K | – |
| STATE STREET CORPORATION | COM | 259K | 4K | – |
| SYLVAMO CORP | COM | 247K | 4K | – |
| SYNCHRONY FINANCIAL | COM | 6M | 129K | – |
| SYSCO CORP | COM | 307K | 4K | – |
| TAKE-TWO INTERACTIVE SOFTWARE | COM | 7M | 47K | – |
| TAYLOR MORRISON HOME CORP | COM | 212K | 4K | – |
| TESLA INCORPORATED | COM | 4M | 19K | – |
| TEXAS INSTRUMENTS INC | COM | 576K | 3K | – |
| THE TRADE DESK INC | COM | 2M | 21K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 17M | 31K | – |
| TIMKEN CO | COM | 4M | 46K | – |
| TOLL BROTHERS INC | COM | 4M | 35K | – |
| TPG INC CL A | COM | 6M | 134K | – |
| TRANSDIGM GROUP INC | COM | 3M | 2K | – |
| TRUIST FINANCIAL CORP | COM | 7M | 190K | – |
| UBER TECHNOLOGIES INC | COM | 13M | 185K | – |
| UFP INDUSTRIES INC | COM | 210K | 2K | – |
| ULTA BEAUTY INC | COM | 8M | 21K | – |
| UNION PACIFIC CORP | COM | 522K | 2K | – |
| UNITED PARCEL SERVICE INC | COM | 3M | 22K | – |
| UNITEDHEALTH GROUP INC | COM | 7M | 15K | – |
| UNIVERSAL INSURANCE HOLDINGS I | COM | 1M | 76K | – |
| US BANCORP | COM | 3M | 66K | – |
| US FOODS HOLDING CORP | COM | 232K | 4K | – |
| VALERO ENERGY CORPORATION | COM | 4M | 29K | – |
| VERIZON COMMUNICATIONS INC | COM | 1M | 34K | – |
| VERTEX PHARMACEUTICALS INC | COM | 3M | 6K | – |
| VERTIV HOLDINGS CO | COM | 6M | 71K | – |
| VISA INC | COM | 16M | 62K | – |
| VISTA OUTDOOR INC | COM | 214K | 6K | – |
| VISTRA CORP | COM | 1M | 17K | – |
| WALMART INC | COM | 2M | 27K | – |
| WALT DISNEY CO | COM | 4M | 41K | – |
| WELLS FARGO CO | COM | 8M | 137K | – |
| WESTERN MIDSTREAM PARTNERS LP | COM | 516K | 13K | – |
| WINGSTOP INC | COM | 2M | 4K | – |
| ZOETIS INC | COM | 7M | 43K | – |
| ZSCALER INC | COM | 1M | 5K | – |
| ACCENTURE PLC | ADR | 1M | 4K | – |
| AEGON N.V. | ADR | 405K | 66K | – |
| ALIBABA GROUP HOLDING LTD | ADR | 406K | 6K | – |
| ANHEUSER BUSCH INBEV N V | ADR | 1M | 25K | – |
| ARCELORMITTAL S A | ADR | 542K | 24K | – |
| ASML HOLDING N.V. | ADR | 2M | 2K | – |
| AUTOLIV INC | ADR | 498K | 5K | – |
| BAIDU INC | ADR | 522K | 6K | – |
| BARRICK GOLD CORP | ADR | 709K | 42K | – |
| BHP GROUP LIMITED | ADR | 1M | 25K | – |
| BK NOVA SCOTIA HALIFAX | ADR | 1M | 29K | – |
| BP PLC | ADR | 1M | 29K | – |
| CAPRI HOLDINGS LTD | ADR | 341K | 10K | – |
| CMB.TECH NV | ADR | 800K | 48K | – |
| DEUTSCHE BANK AG | ADR | 548K | 34K | – |
| DIAGEO PLC | ADR | 2M | 14K | – |
| FERGUSON PLC | ADR | 2M | 9K | – |
| FERRARI NV NEW | ADR | 2M | 6K | – |
| FRESENIUS MEDICAL CARE AG SPON | ADR | 849K | 44K | – |
| GSK PLC | ADR | 797K | 21K | – |
| HALEON PLC | ADR | 243K | 29K | – |
| HONDA MOTOR CO LTD ADR | ADR | 3M | 92K | – |
| ICICI BANK LIMITED | ADR | 1M | 46K | – |
| ICON PLC | ADR | 3M | 8K | – |
| ING GROEP N V | ADR | 2M | 107K | – |
| INTERCONTINENTAL HOTELS GROUP | ADR | 2M | 19K | – |
| INVESCO LTD | ADR | 1M | 94K | – |
| IQIYI INC | ADR | 46K | 13K | – |
| JD.COM INC | ADR | 512K | 20K | – |
| KONINKLIJKE PHILIPS N V | ADR | 2M | 83K | – |
| LINDE PLC | ADR | 2M | 5K | – |
| MEDTRONIC PLC | ADR | 4M | 54K | – |
| MITSUBISHI UFJ FINANCIAL GROUP | ADR | 1M | 99K | – |
| NATIONAL GRID PLC | ADR | 863K | 15K | – |
| NEWS CORP | ADR | 844K | 30K | – |
| NICE LTD | ADR | 593K | 3K | – |
| NOVARTIS AG ADR | ADR | 2M | 17K | – |
| NXP SEMICONDUCTOR NV | ADR | 2M | 6K | – |
| PRUDENTIAL PLC SPON ADR | ADR | 438K | 24K | – |
| ROYAL CARIBBEAN CRUISES LTD | ADR | 5M | 28K | – |
| SAP SE | ADR | 4M | 20K | – |
| SEA LTD | ADR | 326K | 5K | – |
| SENSATA TECHNOLOGIES HOLDING P | ADR | 532K | 14K | – |
| SHELL PLC | ADR | 2M | 25K | – |
| SHOPIFY INC CL A | ADR | 1M | 20K | – |
| SMITH & NEPHEW PLC | ADR | 574K | 23K | – |
| SONY GROUP CORPORATION - ADR | ADR | 4M | 45K | – |
| ST MICROELECTRONICS N V | ADR | 3M | 65K | – |
| TAIWAN SEMICONDUCTOR MFG | ADR | 4M | 25K | – |
| TAKEDA PHARMACEUTIC COMPANY | ADR | 800K | 62K | – |
| TENARIS SA | ADR | 2M | 55K | – |
| TORONTO DOMINION BK NEW | ADR | 1M | 25K | – |
| UBS GROUP AG | ADR | 3M | 98K | – |
| UNILEVER PLC | ADR | 2M | 32K | – |
| YUM CHINA HOLDINGS INC | ADR | 606K | 20K | – |
| ALERIAN MLP ETF | COM | 902K | 19K | – |
| APLS O'SHARES US QUALITY DIVID | COM | 295K | 6K | – |
| CORE S&P 500 | COM | 51M | 94K | – |
| CORE S&P MIDCAP | COM | 857K | 15K | – |
| CORE S&P SMALLCAP 600 INDEX | COM | 332K | 3K | – |
| HEALTH CARE SELECT SPDR | COM | 2M | 13K | – |
| INVESCO S&P 500 EQUAL WEIGHT | COM | 4M | 22K | – |
| iSHARES CORE MSCI EAFE ETF | COM | 17M | 236K | – |
| iSHARES CORE MSCI EMERGING MAR | COM | 6M | 120K | – |
| ISHARES CURRENCY HEDGED MSCI E | COM | 325K | 9K | – |
| iSHARES DJ SELECT DIVIDEND IND | COM | 6M | 49K | – |
| iSHARES MSCI ACWI INDEX FUND | COM | 679K | 6K | – |
| iSHARES MSCI ACWI INDEX FUND | COM | 1M | 23K | – |
| iSHARES MSCI EAFE GROWTH INDEX | COM | 422K | 4K | – |
| ISHARES MSCI EMERGING MKTS IND | COM | 1M | 32K | – |
| iSHARES MSCI PACIFIC EX JAPAN | COM | 495K | 12K | – |
| iSHARES RUSSELL 1000 ETF | COM | 3M | 11K | – |
| iSHARES RUSSELL 2000 INDEX FUN | COM | 1M | 6K | – |
| iSHARES RUSSELL 2000 INDEX FUN | COM | 70K | 346 | – |
| iSHARES S&P 100 INDEX FUND | COM | 1M | 4K | – |
| iSHARES S&P 500 GROWTH INDEX | COM | 962K | 10K | – |
| iSHARES S&P MIDCAP GROWTH INDE | COM | 454K | 5K | – |
| MSCI EAFE INDEX | COM | 858K | 11K | – |
| POWERSHARES S&P 500 LOW VOLATI | COM | 619K | 10K | – |
| RUSSELL 1000 GROWTH INDEX | COM | 28M | 77K | – |
| RUSSELL 1000 VALUE INDEX | COM | 4M | 23K | – |
| RUSSELL 2000 GROWTH INDEX | COM | 2M | 6K | – |
| RUSSELL 2000 VALUE INDEX | COM | 921K | 6K | – |
| RUSSELL MIDCAP GROWTH INDEX | COM | 1M | 13K | – |
| RUSSELL MIDCAP INDEX | COM | 3M | 35K | – |
| RUSSELL MIDCAP INDEX | COM | 82K | 1K | – |
| RUSSELL MIDCAP VALUE INDEX | COM | 593K | 5K | – |
| S&P 500 DEPOSITARY RECEIPTS | COM | 3M | 6K | – |
| SCHWAB US BROAD MARKET ETF | COM | 4M | 58K | – |
| SCHWAB US LARGE CAP ETF | COM | 359K | 6K | – |
| SCHWAB US MID CAP ETF | COM | 228K | 3K | – |
| SPDR PORTOFOLIO DEVELOPED WORL | COM | 448K | 13K | – |
| SPROTT PHYSICAL GOLD & SILVER | COM | 622K | 28K | – |
| TECHNOLOGY SELECT SECTOR SPDR | COM | 657K | 3K | – |
| THE iSHARES CORE MSCI EUROPE E | COM | 302K | 5K | – |
| VANGUARD DIVIDEND APP INDEX FU | COM | 750K | 4K | – |
| VANGUARD EMERGING MARKETS ETF | COM | 1M | 24K | – |
| VANGUARD FTSE DEVELOPED MARKET | COM | 3M | 67K | – |
| VANGUARD HEALTH CARE | COM | 399K | 1K | – |
| VANGUARD HIGH DIVIDEND YIELD E | COM | 218K | 2K | – |
| VANGUARD INTL HIGH DIV YIELD F | COM | 271K | 4K | – |
| VANGUARD LARGE CAP ETF | COM | 389K | 2K | – |
| VANGUARD MID CAP ETF | COM | 2M | 7K | – |
| VANGUARD MID CAP GROWTH INDEX | COM | 10M | 45K | – |
| VANGUARD MID CAP VALUE INDEX F | COM | 8M | 54K | – |
| VANGUARD MSCI EUROPEAN ETF | COM | 272K | 4K | – |
| VANGUARD REAL ESTATE ETF | COM | 2M | 21K | – |
| VANGUARD RUSSELL 1000 VALUE | COM | 9M | 112K | – |
| VANGUARD S&P 500 INDEX FUND | COM | 578K | 1K | – |
| VANGUARD SMALL CAP ETF | COM | 3M | 14K | – |
| VANGUARD SMALL CAP GROWTH ETF | COM | 8M | 32K | – |
| VANGUARD SMALL CAP VALUE | COM | 10M | 56K | – |
| VANGUARD US TOTAL EQUITY MARKE | COM | 9M | 34K | – |