Chief Compliance Officer

0001079935-20-000006.txt : 20201009 0001079935-20-000006.hdr.sgml : 20201009 20201008182925 ACCESSION NUMBER: 0001079935-20-000006 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20201009 DATE AS OF CHANGE: 20201008 EFFECTIVENESS DATE: 20201009 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS LLC CENTRAL INDEX KEY: 0001079935 IRS NUMBER: 954603559 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-15248 FILM NUMBER: 201231750 BUSINESS ADDRESS: STREET 1: 2121 AVENUE OF THE STARS STREET 2: SUITE 1600 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 8007235115 MAIL ADDRESS: STREET 1: 2121 AVENUE OF THE STARS STREET 2: SUITE 1600 CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS INC /ADV DATE OF NAME CHANGE: 20000717 FORMER COMPANY: FORMER CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS LLC /ADV DATE OF NAME CHANGE: 19990217 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001079935 XXXXXXXX 12-31-2019 12-31-2019 true 1 RESTATEMENT SIGNATURE ESTATE & INVESTMENT ADVISORS LLC

2121 AVENUE OF THE STARS SUITE 1600 LOS ANGELES CA 90067

13F HOLDINGS REPORT 028-15248 N Eric Rosen Chief Compliance Officer (310) 712-2363 Eric Rosen Los Angeles CA 10-08-2020 1 299 1636849 false 1 0001811480 028-20237 SIGNATURE INVESTMENT ADVISORS LLC INFORMATION TABLE 2 seia13fq419.xml ABBOTT LABS COM 002824100 235 2709 SH DFND 1 0 0 2709 ABBOTT LABS COM 002824100 1 12 SH SOLE 0 0 12 ADOBE INC COM 00724F101 442 1339 SH DFND 1 0 0 1339 ALPHABET INC CAP STK CL A 02079K305 315 235 SH DFND 1 0 0 235 ALPHABET INC CAP STK CL A 02079K305 178 133 SH SOLE 0 0 133 AMAZON COM INC COM 023135106 185 100 SH SOLE 0 0 100 AMAZON COM INC COM 023135106 1026 555 SH DFND 1 0 0 555 AMGEN INC COM 031162100 1139 4727 SH SOLE 0 0 4727 ANTHEM INC COM 036752103 8 25 SH SOLE 0 0 25 ANTHEM INC COM 036752103 524 1736 SH DFND 1 0 0 1736 APPLE INC COM 037833100 24939 84927 SH DFND 1 0 0 84927 APPLE INC COM 037833100 9630 32796 SH SOLE 0 0 32796 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 737 45365 SH DFND 1 0 0 45365 APPLIED MATLS INC COM 038222105 18778 307641 SH DFND 1 0 0 307641 APPLIED MATLS INC COM 038222105 6925 113450 SH SOLE 0 0 113450 AXSOME THERAPEUTICS INC COM 05464T104 272 2632 SH DFND 1 0 0 2632 BAKER HUGHES COMPANY CL A 05722G100 1024 39955 SH DFND 1 0 0 39955 BAKER HUGHES COMPANY CL A 05722G100 487 19018 SH SOLE 0 0 19018 BANK AMER CORP COM 060505104 135 3826 SH SOLE 0 0 3826 BANK AMER CORP COM 060505104 101 2872 SH DFND 1 0 0 2872 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 364 1605 SH DFND 1 0 0 1605 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 134 590 SH SOLE 0 0 590 BOEING CO COM 097023105 69 213 SH SOLE 0 0 213 BOEING CO COM 097023105 249 765 SH DFND 1 0 0 765 BOOKING HLDGS INC COM 09857L108 17387 8466 SH DFND 1 0 0 8466 BOOKING HLDGS INC COM 09857L108 6648 3237 SH SOLE 0 0 3237 BRISTOL MYERS SQUIBB CO COM 110122108 1688 26290 SH SOLE 0 0 26290 BRISTOL MYERS SQUIBB CO COM 110122108 3458 53864 SH DFND 1 0 0 53864 BROADCOM INC COM 11135F101 21044 66590 SH DFND 1 0 0 66590 BROADCOM INC COM 11135F101 7859 24868 SH SOLE 0 0 24868 CDW CORP COM 12514G108 516 3613 SH SOLE 0 0 3613 CDW CORP COM 12514G108 1097 7679 SH DFND 1 0 0 7679 CIGNA CORP NEW COM 125523100 3402 16638 SH DFND 1 0 0 16638 CIGNA CORP NEW COM 125523100 1596 7804 SH SOLE 0 0 7804 CHEVRON CORP NEW COM 166764100 7169 59486 SH SOLE 0 0 59486 CHEVRON CORP NEW COM 166764100 19742 163817 SH DFND 1 0 0 163817 CISCO SYS INC COM 17275R102 232 4830 SH DFND 1 0 0 4830 CISCO SYS INC COM 17275R102 134 2802 SH SOLE 0 0 2802 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 3571 317160 SH SOLE 0 0 317160 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 13337 1184446 SH DFND 1 0 0 1184446 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 5316 632111 SH DFND 1 0 0 632111 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 2297 273173 SH SOLE 0 0 273173 COMCAST CORP NEW CL A 20030N101 7300 162321 SH SOLE 0 0 162321 COMCAST CORP NEW CL A 20030N101 19891 442312 SH DFND 1 0 0 442312 DISNEY WALT CO COM DISNEY 254687106 20514 141835 SH DFND 1 0 0 141835 DISNEY WALT CO COM DISNEY 254687106 7528 52050 SH SOLE 0 0 52050 DISCOVERY INC COM SER A 25470F104 483 14743 SH SOLE 0 0 14743 DISCOVERY INC COM SER A 25470F104 1014 30966 SH DFND 1 0 0 30966 EAST WEST BANCORP INC COM 27579R104 959 19693 SH SOLE 0 0 19693 EPAM SYS INC COM 29414B104 528 2487 SH SOLE 0 0 2487 EPAM SYS INC COM 29414B104 1116 5260 SH DFND 1 0 0 5260 EXXON MOBIL CORP COM 30231G102 474 6796 SH DFND 1 0 0 6796 EXXON MOBIL CORP COM 30231G102 57 813 SH SOLE 0 0 813 FACEBOOK INC CL A 30303M102 50 246 SH SOLE 0 0 246 FACEBOOK INC CL A 30303M102 234 1140 SH DFND 1 0 0 1140 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 2498 124477 SH DFND 1 0 0 124477 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 1085 54039 SH SOLE 0 0 54039 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 260 4680 SH SOLE 0 0 4680 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 4975 89566 SH DFND 1 0 0 89566 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 19762 985147 SH DFND 1 0 0 985147 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 7863 391993 SH SOLE 0 0 391993 FISERV INC COM 337738108 7682 66438 SH SOLE 0 0 66438 FISERV INC COM 337738108 21435 185378 SH DFND 1 0 0 185378 FORD MTR CO DEL COM 345370860 36 3902 SH DFND 1 0 0 3902 FORD MTR CO DEL COM 345370860 66 7100 SH SOLE 0 0 7100 FORTUNE BRANDS HOME & SEC IN COM 34964C106 428 6545 SH SOLE 0 0 6545 FORTUNE BRANDS HOME & SEC IN COM 34964C106 903 13814 SH DFND 1 0 0 13814 GALLAGHER ARTHUR J & CO COM 363576109 14 150 SH DFND 1 0 0 150 GALLAGHER ARTHUR J & CO COM 363576109 265 2787 SH SOLE 0 0 2787 GENERAL MOLY INC COM 370373102 22 98000 SH DFND 1 0 0 98000 GENTEX CORP COM 371901109 980 33825 SH DFND 1 0 0 33825 GENTEX CORP COM 371901109 461 15922 SH SOLE 0 0 15922 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 197 5744 SH SOLE 0 0 5744 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 92 2693 SH DFND 1 0 0 2693 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 141337 2185506 SH DFND 1 0 0 2185506 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 47838 739719 SH SOLE 0 0 739719 HILL ROM HLDGS INC COM 431475102 490 4315 SH SOLE 0 0 4315 HILL ROM HLDGS INC COM 431475102 1059 9329 SH DFND 1 0 0 9329 HONEYWELL INTL INC COM 438516106 20448 115526 SH DFND 1 0 0 115526 HONEYWELL INTL INC COM 438516106 7395 41782 SH SOLE 0 0 41782 INCYTE CORP COM 45337C102 434 4967 SH SOLE 0 0 4967 INCYTE CORP COM 45337C102 941 10780 SH DFND 1 0 0 10780 INTEL CORP COM 458140100 266 4452 SH DFND 1 0 0 4452 INTEL CORP COM 458140100 88 1468 SH SOLE 0 0 1468 INTERCONTINENTAL EXCHANGE IN COM 45866F104 7491 80937 SH SOLE 0 0 80937 INTERCONTINENTAL EXCHANGE IN COM 45866F104 20416 220594 SH DFND 1 0 0 220594 INTERNATIONAL BUSINESS MACHS COM 459200101 283 2108 SH DFND 1 0 0 2108 INVESCO QQQ TR UNIT SER 1 46090E103 703 3308 SH DFND 1 0 0 3308 INVESCO QQQ TR UNIT SER 1 46090E103 75 352 SH SOLE 0 0 352 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 351 2971 SH SOLE 0 0 2971 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 629 5327 SH DFND 1 0 0 5327 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 97800 771417 SH DFND 1 0 0 771417 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 29261 230804 SH SOLE 0 0 230804 INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 46137V431 27 433 SH SOLE 0 0 433 INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 46137V431 258 4091 SH DFND 1 0 0 4091 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 931 54545 SH DFND 1 0 0 54545 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 169 9925 SH SOLE 0 0 9925 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 455 10713 SH SOLE 0 0 10713 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 828 19467 SH DFND 1 0 0 19467 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 30660 1281248 SH DFND 1 0 0 1281248 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 10963 458147 SH SOLE 0 0 458147 ISHARES GOLD TRUST ISHARES 464285105 225 15513 SH SOLE 0 0 15513 ISHARES INC EM MKTS DIV ETF 464286319 1745 42953 SH SOLE 0 0 42953 ISHARES INC EM MKTS DIV ETF 464286319 7027 172986 SH DFND 1 0 0 172986 ISHARES TR MSCI EMG MKT ETF 464287234 413 9215 SH DFND 1 0 0 9215 ISHARES TR MSCI EMG MKT ETF 464287234 80 1787 SH SOLE 0 0 1787 ISHARES TR S&P 500 GRWT ETF 464287309 2497 12896 SH SOLE 0 0 12896 ISHARES TR S&P 500 GRWT ETF 464287309 2635 13610 SH DFND 1 0 0 13610 ISHARES TR S&P 500 VAL ETF 464287408 1618 12438 SH DFND 1 0 0 12438 ISHARES TR S&P 500 VAL ETF 464287408 2119 16288 SH SOLE 0 0 16288 ISHARES TR BARCLAYS 7 10 YR 464287440 331 2999 SH SOLE 0 0 2999 ISHARES TR BARCLAYS 7 10 YR 464287440 7 59 SH DFND 1 0 0 59 ISHARES TR MSCI EAFE ETF 464287465 189 2724 SH DFND 1 0 0 2724 ISHARES TR MSCI EAFE ETF 464287465 85 1222 SH SOLE 0 0 1222 ISHARES TR EXPND TEC SC ETF 464287549 12943 53449 SH SOLE 0 0 53449 ISHARES TR EXPND TEC SC ETF 464287549 33234 137245 SH DFND 1 0 0 137245 ISHARES TR S&P MC 400GR ETF 464287606 788 3308 SH DFND 1 0 0 3308 ISHARES TR S&P MC 400GR ETF 464287606 1283 5388 SH SOLE 0 0 5388 ISHARES TR S&P MC 400VL ETF 464287705 1245 7292 SH SOLE 0 0 7292 ISHARES TR S&P MC 400VL ETF 464287705 791 4631 SH DFND 1 0 0 4631 ISHARES TR CORE S&P SCP ETF 464287804 2362 28171 SH DFND 1 0 0 28171 ISHARES TR CORE S&P SCP ETF 464287804 211 2520 SH SOLE 0 0 2520 ISHARES TR SP SMCP600VL ETF 464287879 780 4850 SH SOLE 0 0 4850 ISHARES TR SP SMCP600VL ETF 464287879 538 3345 SH DFND 1 0 0 3345 ISHARES TR S&P SML 600 GWT 464287887 4557 23573 SH DFND 1 0 0 23573 ISHARES TR S&P SML 600 GWT 464287887 1667 8622 SH SOLE 0 0 8622 ISHARES TR GL CLEAN ENE ETF 464288224 619 52705 SH DFND 1 0 0 52705 ISHARES TR INTL SEL DIV ETF 464288448 12551 373879 SH DFND 1 0 0 373879 ISHARES TR INTL SEL DIV ETF 464288448 3259 97082 SH SOLE 0 0 97082 ISHARES TR U.S. MED DVC ETF 464288810 209 789 SH DFND 1 0 0 789 ISHARES TR MSCI MIN VOL ETF 46429B697 36190 551683 SH DFND 1 0 0 551683 ISHARES TR MSCI MIN VOL ETF 46429B697 13396 204214 SH SOLE 0 0 204214 ISHARES TR CORE MSCI EAFE 46432F842 1299 19904 SH SOLE 0 0 19904 ISHARES TR CORE MSCI EAFE 46432F842 2253 34532 SH DFND 1 0 0 34532 ISHARES TR CORE DIV GRWTH 46434V621 35249 837856 SH DFND 1 0 0 837856 ISHARES TR CORE DIV GRWTH 46434V621 13012 309289 SH SOLE 0 0 309289 ISHARES TR CORE MSCI INTL 46435G326 3552 61066 SH SOLE 0 0 61066 ISHARES TR CORE MSCI INTL 46435G326 3932 67591 SH DFND 1 0 0 67591 ISHARES TR ESG MSCI USA ETF 46435G425 153 2147 SH DFND 1 0 0 2147 ISHARES TR ESG MSCI USA ETF 46435G425 179 2510 SH SOLE 0 0 2510 ISHARES TR IBONDS DEC 25 46435U432 1161 42705 SH SOLE 0 0 42705 ISHARES TR IBONDS DEC 25 46435U432 4650 171109 SH DFND 1 0 0 171109 ISHARES TR IBONDS DEC 46435U697 3189 120620 SH DFND 1 0 0 120620 ISHARES TR IBONDS DEC 46435U697 1220 46142 SH SOLE 0 0 46142 JPMORGAN CHASE & CO COM 46625H100 1823 13077 SH SOLE 0 0 13077 JPMORGAN CHASE & CO COM 46625H100 4586 32897 SH DFND 1 0 0 32897 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 4212 193141 SH DFND 1 0 0 193141 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 953 43710 SH SOLE 0 0 43710 JACOBS ENGR GROUP INC COM 469814107 460 5122 SH SOLE 0 0 5122 JACOBS ENGR GROUP INC COM 469814107 981 10924 SH DFND 1 0 0 10924 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 1035 26431 SH DFND 1 0 0 26431 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 490 12508 SH SOLE 0 0 12508 JOHN HANCOCK ETF TRUST MULTI INTL ETF 47804J859 255 8619 SH SOLE 0 0 8619 JOHN HANCOCK ETF TRUST MULTI INTL ETF 47804J859 203 6855 SH DFND 1 0 0 6855 JOHNSON & JOHNSON COM 478160104 369 2532 SH DFND 1 0 0 2532 JOHNSON & JOHNSON COM 478160104 5 34 SH SOLE 0 0 34 KAYNE ANDERSN MLP MIDS INVT COM 486606106 4148 297798 SH SOLE 0 0 297798 KAYNE ANDERSN MLP MIDS INVT COM 486606106 6315 453357 SH DFND 1 0 0 453357 LPL FINL HLDGS INC COM 50212V100 1106 11985 SH DFND 1 0 0 11985 LPL FINL HLDGS INC COM 50212V100 514 5573 SH SOLE 0 0 5573 LOWES COS INC COM 548661107 7198 60102 SH SOLE 0 0 60102 LOWES COS INC COM 548661107 19422 162175 SH DFND 1 0 0 162175 MASTERCARD INC CL A 57636Q104 21789 72973 SH DFND 1 0 0 72973 MASTERCARD INC CL A 57636Q104 7857 26315 SH SOLE 0 0 26315 MCDONALDS CORP COM 580135101 116 588 SH SOLE 0 0 588 MCDONALDS CORP COM 580135101 296 1497 SH DFND 1 0 0 1497 MCKESSON CORP COM 58155Q103 19024 137538 SH DFND 1 0 0 137538 MCKESSON CORP COM 58155Q103 6973 50414 SH SOLE 0 0 50414 MICROSOFT CORP COM 594918104 2235 14171 SH SOLE 0 0 14171 MICROSOFT CORP COM 594918104 5130 32531 SH DFND 1 0 0 32531 NEXTERA ENERGY INC COM 65339F101 3958 16344 SH DFND 1 0 0 16344 NEXTERA ENERGY INC COM 65339F101 1720 7104 SH SOLE 0 0 7104 NIKE INC CL B 654106103 42 410 SH SOLE 0 0 410 NIKE INC CL B 654106103 236 2327 SH DFND 1 0 0 2327 NORFOLK SOUTHERN CORP COM 655844108 252 1300 SH DFND 1 0 0 1300 ORACLE CORP COM 68389X105 227 4280 SH DFND 1 0 0 4280 ORACLE CORP COM 68389X105 148 2797 SH SOLE 0 0 2797 PNC FINL SVCS GROUP INC COM 693475105 212 1331 SH DFND 1 0 0 1331 PEPSICO INC COM 713448108 217 1589 SH DFND 1 0 0 1589 PEPSICO INC COM 713448108 6 47 SH SOLE 0 0 47 PFIZER INC COM 717081103 16 406 SH SOLE 0 0 406 PFIZER INC COM 717081103 264 6748 SH DFND 1 0 0 6748 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 197 1935 SH DFND 1 0 0 1935 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 120 1181 SH SOLE 0 0 1181 PIMCO ETF TR INTER MUN BD ACT 72201R866 340 6166 SH DFND 1 0 0 6166 PROLOGIS INC COM 74340W103 20410 228967 SH DFND 1 0 0 228967 PROLOGIS INC COM 74340W103 7456 83642 SH SOLE 0 0 83642 PROOFPOINT INC COM 743424103 437 3803 SH SOLE 0 0 3803 PROOFPOINT INC COM 743424103 938 8171 SH DFND 1 0 0 8171 RAYTHEON CO COM NEW 755111507 97 441 SH DFND 1 0 0 441 RAYTHEON CO COM NEW 755111507 149 680 SH SOLE 0 0 680 SPDR S&P 500 ETF TR TR UNIT 78462F103 196 609 SH SOLE 0 0 609 SPDR S&P 500 ETF TR TR UNIT 78462F103 1135 3527 SH DFND 1 0 0 3527 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 8716 231871 SH DFND 1 0 0 231871 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 6684 177808 SH SOLE 0 0 177808 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 393 12238 SH SOLE 0 0 12238 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1094 34087 SH DFND 1 0 0 34087 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 653 16240 SH DFND 1 0 0 16240 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 520 12935 SH SOLE 0 0 12935 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 9391 299544 SH SOLE 0 0 299544 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 31638 1009177 SH DFND 1 0 0 1009177 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 13659 211700 SH DFND 1 0 0 211700 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 4674 72449 SH SOLE 0 0 72449 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 185 4206 SH SOLE 0 0 4206 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 2112 47995 SH DFND 1 0 0 47995 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 2270 34546 SH DFND 1 0 0 34546 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 1890 28757 SH SOLE 0 0 28757 SPDR SERIES TRUST AEROSPACE DEF 78464A631 338 3094 SH DFND 1 0 0 3094 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 3868 131645 SH DFND 1 0 0 131645 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 327 11146 SH SOLE 0 0 11146 SPDR SERIES TRUST S&P DIVID ETF 78464A763 588 5467 SH SOLE 0 0 5467 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1150 10690 SH DFND 1 0 0 10690 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 1874 32824 SH DFND 1 0 0 32824 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 2206 38649 SH SOLE 0 0 38649 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2324 42430 SH SOLE 0 0 42430 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2615 47742 SH DFND 1 0 0 47742 SPDR SERIES TRUST S&P BIOTECH 78464A870 377 3965 SH DFND 1 0 0 3965 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 4875 99516 SH DFND 1 0 0 99516 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 419 8555 SH SOLE 0 0 8555 SPDR SERIES TRUST NUVEEN BRC MUNIC 78468R721 202 3993 SH DFND 1 0 0 3993 SPDR SERIES TRUST MSCI USA STRTGIC 78468R812 3117 32918 SH DFND 1 0 0 32918 SPDR SERIES TRUST MSCI USA STRTGIC 78468R812 1388 14664 SH SOLE 0 0 14664 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 99 1293 SH SOLE 0 0 1293 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 115 1495 SH DFND 1 0 0 1495 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 52 1550 SH DFND 1 0 0 1550 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 226 6722 SH SOLE 0 0 6722 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 13729 134778 SH SOLE 0 0 134778 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 37836 371452 SH DFND 1 0 0 371452 SELECT SECTOR SPDR TR ENERGY 81369Y506 200 3334 SH DFND 1 0 0 3334 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 931 11427 SH DFND 1 0 0 11427 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 155 1908 SH SOLE 0 0 1908 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 12 134 SH SOLE 0 0 134 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1219 13303 SH DFND 1 0 0 13303 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 594 15354 SH DFND 1 0 0 15354 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 391 6046 SH DFND 1 0 0 6046 STORE CAP CORP COM 862121100 964 25884 SH DFND 1 0 0 25884 STORE CAP CORP COM 862121100 458 12308 SH SOLE 0 0 12308 STRYKER CORP COM 863667101 51 243 SH SOLE 0 0 243 STRYKER CORP COM 863667101 225 1074 SH DFND 1 0 0 1074 THERMO FISHER SCIENTIFIC INC COM 883556102 21650 66644 SH DFND 1 0 0 66644 THERMO FISHER SCIENTIFIC INC COM 883556102 7910 24348 SH SOLE 0 0 24348 TOWNEBANK PORTSMOUTH VA COM 89214P109 225 8097 SH DFND 1 0 0 8097 TRUIST FINL CORP COM 89832Q109 419 7439 SH DFND 1 0 0 7439 UBS AG JERSEY BRH ALERIAN INFRST 902641646 10195 524950 SH DFND 1 0 0 524950 UBS AG JERSEY BRH ALERIAN INFRST 902641646 3659 188393 SH SOLE 0 0 188393 US FOODS HLDG CORP COM 912008109 474 11320 SH SOLE 0 0 11320 US FOODS HLDG CORP COM 912008109 1000 23879 SH DFND 1 0 0 23879 UNITEDHEALTH GROUP INC COM 91324P102 315 1070 SH DFND 1 0 0 1070 UNITEDHEALTH GROUP INC COM 91324P102 143 488 SH SOLE 0 0 488 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 28 172 SH SOLE 0 0 172 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 296 1784 SH DFND 1 0 0 1784 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 68 846 SH DFND 1 0 0 846 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 209 2587 SH SOLE 0 0 2587 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 13060 296421 SH SOLE 0 0 296421 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 42216 958141 SH DFND 1 0 0 958141 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3431 36610 SH DFND 1 0 0 36610 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 788 8411 SH SOLE 0 0 8411 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 586 10910 SH SOLE 0 0 10910 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 549 10211 SH DFND 1 0 0 10211 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2723 61236 SH DFND 1 0 0 61236 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2706 60856 SH SOLE 0 0 60856 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 338 3332 SH SOLE 0 0 3332 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1184 11685 SH DFND 1 0 0 11685 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1084 9098 SH DFND 1 0 0 9098 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1054 8845 SH SOLE 0 0 8845 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1160 7307 SH SOLE 0 0 7307 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1681 10590 SH DFND 1 0 0 10590 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1710 8605 SH DFND 1 0 0 8605 VANGUARD INDEX FDS SML CP GRW ETF 922908595 754 3793 SH SOLE 0 0 3793 VANGUARD INDEX FDS SM CP VAL ETF 922908611 508 3707 SH SOLE 0 0 3707 VANGUARD INDEX FDS SM CP VAL ETF 922908611 549 4004 SH DFND 1 0 0 4004 VANGUARD INDEX FDS MID CAP ETF 922908629 535 3000 SH DFND 1 0 0 3000 VANGUARD INDEX FDS MID CAP ETF 922908629 19 108 SH SOLE 0 0 108 VANGUARD INDEX FDS GROWTH ETF 922908736 9104 49973 SH SOLE 0 0 49973 VANGUARD INDEX FDS GROWTH ETF 922908736 7475 41035 SH DFND 1 0 0 41035 VANGUARD INDEX FDS VALUE ETF 922908744 8592 71688 SH DFND 1 0 0 71688 VANGUARD INDEX FDS VALUE ETF 922908744 9642 80448 SH SOLE 0 0 80448 VANGUARD INDEX FDS SMALL CP ETF 922908751 105 636 SH SOLE 0 0 636 VANGUARD INDEX FDS SMALL CP ETF 922908751 1164 7030 SH DFND 1 0 0 7030 VERIZON COMMUNICATIONS INC COM 92343V104 147 2394 SH DFND 1 0 0 2394 VERIZON COMMUNICATIONS INC COM 92343V104 71 1153 SH SOLE 0 0 1153 VISA INC COM CL A 92826C839 28 148 SH SOLE 0 0 148 VISA INC COM CL A 92826C839 216 1152 SH DFND 1 0 0 1152 WALMART INC COM 931142103 20764 174720 SH DFND 1 0 0 174720 WALMART INC COM 931142103 7576 63751 SH SOLE 0 0 63751 WASTE CONNECTIONS INC COM 94106B101 462 5088 SH SOLE 0 0 5088 WASTE CONNECTIONS INC COM 94106B101 983 10822 SH DFND 1 0 0 10822 WISDOMTREE TR US MIDCAP DIVID 97717W505 7129 187398 SH DFND 1 0 0 187398 WISDOMTREE TR US MIDCAP DIVID 97717W505 1673 43984 SH SOLE 0 0 43984 WISDOMTREE TR US SMALLCAP DIVD 97717W604 1058 36875 SH SOLE 0 0 36875 WISDOMTREE TR US SMALLCAP DIVD 97717W604 3791 132189 SH DFND 1 0 0 132189 WISDOMTREE TR INTL EQUITY FD 97717W703 21664 405080 SH DFND 1 0 0 405080 WISDOMTREE TR INTL EQUITY FD 97717W703 13436 251242 SH SOLE 0 0 251242 WISDOMTREE TR INTL LRGCAP DV 97717W794 790 16119 SH SOLE 0 0 16119 WISDOMTREE TR INTL LRGCAP DV 97717W794 1820 37154 SH DFND 1 0 0 37154 WISDOMTREE TR FLOATNG RAT TREA 97717X628 81901 3268181 SH DFND 1 0 0 3268181 WISDOMTREE TR FLOATNG RAT TREA 97717X628 34797 1388542 SH SOLE 0 0 1388542 INGERSOLL-RAND PLC SHS G47791101 1730 13019 SH SOLE 0 0 13019 INGERSOLL-RAND PLC SHS G47791101 3832 28830 SH DFND 1 0 0 28830