Chief Compliance Officer

0001079935-20-000008.txt : 20201009 0001079935-20-000008.hdr.sgml : 20201009 20201009124953 ACCESSION NUMBER: 0001079935-20-000008 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20201009 DATE AS OF CHANGE: 20201009 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: 201232685 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 09-30-2019 09-30-2019 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 10-09-2020 1 290 1506247 false 1 0001811480 028-20237 SIGNATURE INVESTMENT ADVISORS LLC INFORMATION TABLE 2 seia13fq319.xml ABBOTT LABS COM 002824100 216 2576 SH DFND 1 0 0 2576 ABBOTT LABS COM 002824100 3 32 SH SOLE 0 0 32 ADOBE INC COM 00724F101 2 6 SH SOLE 0 0 6 ADOBE INC COM 00724F101 370 1339 SH DFND 1 0 0 1339 ALPHABET INC CAP STK CL A 02079K305 319 261 SH DFND 1 0 0 261 ALPHABET INC CAP STK CL A 02079K305 219 179 SH SOLE 0 0 179 AMAZON COM INC COM 023135106 6386 3679 SH SOLE 0 0 3679 AMAZON COM INC COM 023135106 17166 9889 SH DFND 1 0 0 9889 AMGEN INC COM 031162100 5 25 SH DFND 1 0 0 25 AMGEN INC COM 031162100 696 3595 SH SOLE 0 0 3595 ANTHEM INC COM 036752103 6 25 SH SOLE 0 0 25 ANTHEM INC COM 036752103 338 1406 SH DFND 1 0 0 1406 APPLE INC COM 037833100 21832 97478 SH DFND 1 0 0 97478 APPLE INC COM 037833100 8703 38857 SH SOLE 0 0 38857 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 974 58739 SH DFND 1 0 0 58739 BB&T CORP COM 054937107 397 7439 SH DFND 1 0 0 7439 BB&T CORP COM 054937107 1 10 SH SOLE 0 0 10 BAKER HUGHES A GE CO CL A 05722G100 411 17733 SH SOLE 0 0 17733 BAKER HUGHES A GE CO CL A 05722G100 831 35815 SH DFND 1 0 0 35815 BANK AMER CORP COM 060505104 125 4274 SH DFND 1 0 0 4274 BANK AMER CORP COM 060505104 89 3051 SH SOLE 0 0 3051 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 61 291 SH SOLE 0 0 291 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 356 1712 SH DFND 1 0 0 1712 BOEING CO COM 097023105 294 774 SH DFND 1 0 0 774 BOEING CO COM 097023105 45 117 SH SOLE 0 0 117 BROADCOM INC COM 11135F101 6871 24888 SH SOLE 0 0 24888 BROADCOM INC COM 11135F101 17654 63949 SH DFND 1 0 0 63949 CDW CORP COM 12514G108 1038 8426 SH DFND 1 0 0 8426 CDW CORP COM 12514G108 510 4139 SH SOLE 0 0 4139 CHEVRON CORP NEW COM 166764100 6839 57663 SH SOLE 0 0 57663 CHEVRON CORP NEW COM 166764100 18521 156162 SH DFND 1 0 0 156162 CISCO SYS INC COM 17275R102 272 5508 SH DFND 1 0 0 5508 CISCO SYS INC COM 17275R102 209 4234 SH SOLE 0 0 4234 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 4115 361609 SH SOLE 0 0 361609 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 13146 1155163 SH DFND 1 0 0 1155163 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 4836 555840 SH DFND 1 0 0 555840 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 1353 155549 SH SOLE 0 0 155549 COMCAST CORP NEW CL A 20030N101 7207 159869 SH SOLE 0 0 159869 COMCAST CORP NEW CL A 20030N101 19391 430143 SH DFND 1 0 0 430143 DISNEY WALT CO COM DISNEY 254687106 18187 139557 SH DFND 1 0 0 139557 DISNEY WALT CO COM DISNEY 254687106 6851 52568 SH SOLE 0 0 52568 DISCOVERY INC COM SER A 25470F104 430 16131 SH SOLE 0 0 16131 DISCOVERY INC COM SER A 25470F104 895 33622 SH DFND 1 0 0 33622 EAST WEST BANCORP INC COM 27579R104 872 19693 SH SOLE 0 0 19693 EPAM SYS INC COM 29414B104 444 2436 SH SOLE 0 0 2436 EPAM SYS INC COM 29414B104 911 4996 SH DFND 1 0 0 4996 EXPEDIA GROUP INC COM NEW 30212P303 3146 23406 SH DFND 1 0 0 23406 EXPEDIA GROUP INC COM NEW 30212P303 1519 11304 SH SOLE 0 0 11304 EXXON MOBIL CORP COM 30231G102 62 885 SH SOLE 0 0 885 EXXON MOBIL CORP COM 30231G102 635 8986 SH DFND 1 0 0 8986 FACEBOOK INC CL A 30303M102 202 1134 SH DFND 1 0 0 1134 FACEBOOK INC CL A 30303M102 43 242 SH SOLE 0 0 242 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 107 2251 SH SOLE 0 0 2251 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1239 26125 SH DFND 1 0 0 26125 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 2469 125124 SH DFND 1 0 0 125124 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 1122 56862 SH SOLE 0 0 56862 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 172 3092 SH SOLE 0 0 3092 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 4425 79648 SH DFND 1 0 0 79648 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 8009 408198 SH DFND 1 0 0 408198 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 3667 186919 SH SOLE 0 0 186919 FISERV INC COM 337738108 7002 67596 SH SOLE 0 0 67596 FISERV INC COM 337738108 18865 182109 SH DFND 1 0 0 182109 FORD MTR CO DEL COM 345370860 36 3902 SH DFND 1 0 0 3902 FORD MTR CO DEL COM 345370860 65 7124 SH SOLE 0 0 7124 GALLAGHER ARTHUR J & CO COM 363576109 250 2787 SH SOLE 0 0 2787 GALLAGHER ARTHUR J & CO COM 363576109 13 150 SH DFND 1 0 0 150 GENERAL MOLY INC COM 370373102 25 98000 SH DFND 1 0 0 98000 GENTEX CORP COM 371901109 857 31140 SH DFND 1 0 0 31140 GENTEX CORP COM 371901109 420 15247 SH SOLE 0 0 15247 GLOBAL PMTS INC COM 37940X102 238 1497 SH SOLE 0 0 1497 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 175 5594 SH SOLE 0 0 5594 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 127 4063 SH DFND 1 0 0 4063 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 126275 2108451 SH DFND 1 0 0 2108451 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 44001 734689 SH SOLE 0 0 734689 HILL ROM HLDGS INC COM 431475102 436 4142 SH SOLE 0 0 4142 HILL ROM HLDGS INC COM 431475102 907 8616 SH DFND 1 0 0 8616 HONEYWELL INTL INC COM 438516106 18827 111269 SH DFND 1 0 0 111269 HONEYWELL INTL INC COM 438516106 7010 41430 SH SOLE 0 0 41430 INCYTE CORP COM 45337C102 427 5749 SH SOLE 0 0 5749 INCYTE CORP COM 45337C102 869 11708 SH DFND 1 0 0 11708 INTERCONTINENTAL EXCHANGE IN COM 45866F104 19872 215371 SH DFND 1 0 0 215371 INTERCONTINENTAL EXCHANGE IN COM 45866F104 7521 81510 SH SOLE 0 0 81510 INTERNATIONAL BUSINESS MACHS COM 459200101 0 2 SH SOLE 0 0 2 INTERNATIONAL BUSINESS MACHS COM 459200101 317 2178 SH DFND 1 0 0 2178 INVESCO QQQ TR UNIT SER 1 46090E103 625 3308 SH DFND 1 0 0 3308 INVESCO QQQ TR UNIT SER 1 46090E103 45 239 SH SOLE 0 0 239 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 321 3006 SH SOLE 0 0 3006 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 565 5300 SH DFND 1 0 0 5300 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 88866 750365 SH DFND 1 0 0 750365 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 28000 236428 SH SOLE 0 0 236428 INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 46137V431 28 498 SH SOLE 0 0 498 INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 46137V431 229 4053 SH DFND 1 0 0 4053 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 902 56232 SH DFND 1 0 0 56232 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 159 9941 SH SOLE 0 0 9941 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 602 15175 SH SOLE 0 0 15175 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 790 19912 SH DFND 1 0 0 19912 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 28339 1183512 SH DFND 1 0 0 1183512 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 10456 436664 SH SOLE 0 0 436664 ISHARES GOLD TRUST ISHARES 464285105 219 15513 SH SOLE 0 0 15513 ISHARES INC EM MKTS DIV ETF 464286319 1603 42850 SH SOLE 0 0 42850 ISHARES INC EM MKTS DIV ETF 464286319 6077 162402 SH DFND 1 0 0 162402 ISHARES TR MSCI EMG MKT ETF 464287234 377 9215 SH DFND 1 0 0 9215 ISHARES TR MSCI EMG MKT ETF 464287234 73 1787 SH SOLE 0 0 1787 ISHARES TR S&P 500 GRWT ETF 464287309 2396 13307 SH SOLE 0 0 13307 ISHARES TR S&P 500 GRWT ETF 464287309 2554 14184 SH DFND 1 0 0 14184 ISHARES TR S&P 500 VAL ETF 464287408 1574 13211 SH DFND 1 0 0 13211 ISHARES TR S&P 500 VAL ETF 464287408 2043 17149 SH SOLE 0 0 17149 ISHARES TR MSCI EAFE ETF 464287465 85 1302 SH SOLE 0 0 1302 ISHARES TR MSCI EAFE ETF 464287465 185 2838 SH DFND 1 0 0 2838 ISHARES TR EXPND TEC SC ETF 464287549 40242 185429 SH DFND 1 0 0 185429 ISHARES TR EXPND TEC SC ETF 464287549 16015 73796 SH SOLE 0 0 73796 ISHARES TR S&P MC 400GR ETF 464287606 1075 4801 SH SOLE 0 0 4801 ISHARES TR S&P MC 400GR ETF 464287606 749 3345 SH DFND 1 0 0 3345 ISHARES TR S&P MC 400VL ETF 464287705 735 4595 SH DFND 1 0 0 4595 ISHARES TR S&P MC 400VL ETF 464287705 1040 6507 SH SOLE 0 0 6507 ISHARES TR CORE S&P SCP ETF 464287804 183 2353 SH SOLE 0 0 2353 ISHARES TR CORE S&P SCP ETF 464287804 2046 26288 SH DFND 1 0 0 26288 ISHARES TR SP SMCP600VL ETF 464287879 524 3491 SH DFND 1 0 0 3491 ISHARES TR SP SMCP600VL ETF 464287879 675 4496 SH SOLE 0 0 4496 ISHARES TR S&P SML 600 GWT 464287887 1282 7189 SH SOLE 0 0 7189 ISHARES TR S&P SML 600 GWT 464287887 3924 22001 SH DFND 1 0 0 22001 ISHARES TR INTL SEL DIV ETF 464288448 11585 376881 SH DFND 1 0 0 376881 ISHARES TR INTL SEL DIV ETF 464288448 3022 98316 SH SOLE 0 0 98316 ISHARES TR MSCI MIN VOL ETF 46429B697 17321 270220 SH SOLE 0 0 270220 ISHARES TR MSCI MIN VOL ETF 46429B697 45449 709033 SH DFND 1 0 0 709033 ISHARES TR CORE MSCI EAFE 46432F842 2126 34815 SH DFND 1 0 0 34815 ISHARES TR CORE MSCI EAFE 46432F842 1245 20381 SH SOLE 0 0 20381 ISHARES TR IBONDS SEP2020 46434V571 55 2170 SH SOLE 0 0 2170 ISHARES TR IBONDS SEP2020 46434V571 166 6510 SH DFND 1 0 0 6510 ISHARES TR IBONDS DEC2023 46435G318 4584 177954 SH DFND 1 0 0 177954 ISHARES TR IBONDS DEC2023 46435G318 1111 43134 SH SOLE 0 0 43134 ISHARES TR CORE MSCI INTL 46435G326 3408 62387 SH SOLE 0 0 62387 ISHARES TR CORE MSCI INTL 46435G326 3781 69232 SH DFND 1 0 0 69232 ISHARES TR ESG MSCI USA ETF 46435G425 137 2100 SH DFND 1 0 0 2100 ISHARES TR ESG MSCI USA ETF 46435G425 160 2444 SH SOLE 0 0 2444 ISHARES TR IBONDS DEC 46435U697 914 34737 SH SOLE 0 0 34737 ISHARES TR IBONDS DEC 46435U697 2295 87223 SH DFND 1 0 0 87223 JPMORGAN CHASE & CO COM 46625H100 3764 31984 SH DFND 1 0 0 31984 JPMORGAN CHASE & CO COM 46625H100 1676 14238 SH SOLE 0 0 14238 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1149 49381 SH SOLE 0 0 49381 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 4489 192896 SH DFND 1 0 0 192896 JACOBS ENGR GROUP INC COM 469814107 979 10701 SH DFND 1 0 0 10701 JACOBS ENGR GROUP INC COM 469814107 485 5300 SH SOLE 0 0 5300 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 500 13571 SH SOLE 0 0 13571 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 1028 27932 SH DFND 1 0 0 27932 JOHN HANCOCK ETF TRUST MULTI INTL ETF 47804J859 192 6891 SH DFND 1 0 0 6891 JOHN HANCOCK ETF TRUST MULTI INTL ETF 47804J859 253 9104 SH SOLE 0 0 9104 JOHNSON & JOHNSON COM 478160104 4 32 SH SOLE 0 0 32 JOHNSON & JOHNSON COM 478160104 320 2473 SH DFND 1 0 0 2473 KAYNE ANDERSN MLP MIDS INVT COM 486606106 6523 451108 SH DFND 1 0 0 451108 KAYNE ANDERSN MLP MIDS INVT COM 486606106 4510 311884 SH SOLE 0 0 311884 LPL FINL HLDGS INC COM 50212V100 451 5511 SH SOLE 0 0 5511 LPL FINL HLDGS INC COM 50212V100 947 11564 SH DFND 1 0 0 11564 MASTERCARD INC CL A 57636Q104 19634 72298 SH DFND 1 0 0 72298 MASTERCARD INC CL A 57636Q104 7366 27122 SH SOLE 0 0 27122 MCDONALDS CORP COM 580135101 7310 34045 SH SOLE 0 0 34045 MCDONALDS CORP COM 580135101 19396 90334 SH DFND 1 0 0 90334 MCKESSON CORP COM 58155Q103 18007 131766 SH DFND 1 0 0 131766 MCKESSON CORP COM 58155Q103 6770 49541 SH SOLE 0 0 49541 MICROSOFT CORP COM 594918104 1958 14084 SH SOLE 0 0 14084 MICROSOFT CORP COM 594918104 4267 30693 SH DFND 1 0 0 30693 NEXTERA ENERGY INC COM 65339F101 3798 16302 SH DFND 1 0 0 16302 NEXTERA ENERGY INC COM 65339F101 1737 7456 SH SOLE 0 0 7456 NIKE INC CL B 654106103 40 421 SH SOLE 0 0 421 NIKE INC CL B 654106103 226 2401 SH DFND 1 0 0 2401 NORFOLK SOUTHERN CORP COM 655844108 323 1800 SH DFND 1 0 0 1800 NVIDIA CORP COM 67066G104 218 1255 SH DFND 1 0 0 1255 NVIDIA CORP COM 67066G104 1 5 SH SOLE 0 0 5 ORACLE CORP COM 68389X105 6955 126392 SH SOLE 0 0 126392 ORACLE CORP COM 68389X105 18336 333204 SH DFND 1 0 0 333204 PEPSICO INC COM 713448108 335 2447 SH DFND 1 0 0 2447 PEPSICO INC COM 713448108 4 26 SH SOLE 0 0 26 PFIZER INC COM 717081103 8 219 SH SOLE 0 0 219 PFIZER INC COM 717081103 296 8243 SH DFND 1 0 0 8243 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 1571 15651 SH DFND 1 0 0 15651 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 130 1300 SH SOLE 0 0 1300 PIMCO ETF TR INTER MUN BD ACT 72201R866 280 5060 SH DFND 1 0 0 5060 PROLOGIS INC COM 74340W103 20544 241066 SH DFND 1 0 0 241066 PROLOGIS INC COM 74340W103 7703 90385 SH SOLE 0 0 90385 PROOFPOINT INC COM 743424103 477 3694 SH SOLE 0 0 3694 PROOFPOINT INC COM 743424103 983 7620 SH DFND 1 0 0 7620 RAYTHEON CO COM NEW 755111507 98 501 SH DFND 1 0 0 501 RAYTHEON CO COM NEW 755111507 134 683 SH SOLE 0 0 683 SPDR S&P 500 ETF TR TR UNIT 78462F103 36 121 SH SOLE 0 0 121 SPDR S&P 500 ETF TR TR UNIT 78462F103 1045 3522 SH DFND 1 0 0 3522 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 8201 239227 SH DFND 1 0 0 239227 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 6089 177630 SH SOLE 0 0 177630 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 372 12470 SH SOLE 0 0 12470 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1070 35870 SH DFND 1 0 0 35870 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 671 17234 SH DFND 1 0 0 17234 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 514 13207 SH SOLE 0 0 13207 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 7732 263351 SH SOLE 0 0 263351 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 26175 891534 SH DFND 1 0 0 891534 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 11850 198854 SH DFND 1 0 0 198854 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 4326 72590 SH SOLE 0 0 72590 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 1744 28467 SH SOLE 0 0 28467 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 2050 33470 SH DFND 1 0 0 33470 SPDR SERIES TRUST AEROSPACE DEF 78464A631 331 3094 SH DFND 1 0 0 3094 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 2066 69687 SH DFND 1 0 0 69687 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 165 5555 SH SOLE 0 0 5555 SPDR SERIES TRUST S&P DIVID ETF 78464A763 532 5189 SH SOLE 0 0 5189 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1204 11732 SH DFND 1 0 0 11732 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 1718 31972 SH DFND 1 0 0 31972 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 2080 38723 SH SOLE 0 0 38723 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2197 42816 SH SOLE 0 0 42816 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2438 47510 SH DFND 1 0 0 47510 SPDR SERIES TRUST S&P BIOTECH 78464A870 302 3965 SH DFND 1 0 0 3965 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 4675 94964 SH DFND 1 0 0 94964 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 387 7870 SH SOLE 0 0 7870 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 349 11362 SH SOLE 0 0 11362 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 53 1712 SH DFND 1 0 0 1712 SPDR SERIES TRUST MSCI USA STRTGIC 78468R812 2653 29890 SH DFND 1 0 0 29890 SPDR SERIES TRUST MSCI USA STRTGIC 78468R812 1318 14845 SH SOLE 0 0 14845 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 93 1306 SH SOLE 0 0 1306 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 117 1645 SH DFND 1 0 0 1645 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 20 617 SH DFND 1 0 0 617 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 213 6673 SH SOLE 0 0 6673 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 16833 186761 SH SOLE 0 0 186761 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 45221 501729 SH DFND 1 0 0 501729 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1078 13888 SH DFND 1 0 0 13888 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 246 3163 SH SOLE 0 0 3163 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 11 134 SH SOLE 0 0 134 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1071 13303 SH DFND 1 0 0 13303 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 682 17334 SH DFND 1 0 0 17334 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 705 10889 SH DFND 1 0 0 10889 STORE CAP CORP COM 862121100 985 26333 SH DFND 1 0 0 26333 STORE CAP CORP COM 862121100 477 12758 SH SOLE 0 0 12758 STRYKER CORP COM 863667101 1620 7491 SH SOLE 0 0 7491 STRYKER CORP COM 863667101 3505 16203 SH DFND 1 0 0 16203 THERMO FISHER SCIENTIFIC INC COM 883556102 19582 67228 SH DFND 1 0 0 67228 THERMO FISHER SCIENTIFIC INC COM 883556102 7452 25585 SH SOLE 0 0 25585 TOWNEBANK PORTSMOUTH VA COM 89214P109 225 8097 SH DFND 1 0 0 8097 TRACTOR SUPPLY CO COM 892356106 807 8924 SH DFND 1 0 0 8924 TRACTOR SUPPLY CO COM 892356106 399 4412 SH SOLE 0 0 4412 UBS AG JERSEY BRH ALERIAN INFRST 902641646 4009 192295 SH SOLE 0 0 192295 UBS AG JERSEY BRH ALERIAN INFRST 902641646 10592 508028 SH DFND 1 0 0 508028 US FOODS HLDG CORP COM 912008109 908 22088 SH DFND 1 0 0 22088 US FOODS HLDG CORP COM 912008109 449 10933 SH SOLE 0 0 10933 UNITEDHEALTH GROUP INC COM 91324P102 116 535 SH SOLE 0 0 535 UNITEDHEALTH GROUP INC COM 91324P102 242 1115 SH DFND 1 0 0 1115 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 271 1764 SH DFND 1 0 0 1764 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 36 233 SH SOLE 0 0 233 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 223 2755 SH SOLE 0 0 2755 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 97 1195 SH DFND 1 0 0 1195 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 40583 987912 SH DFND 1 0 0 987912 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 13065 318039 SH SOLE 0 0 318039 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 995 11216 SH SOLE 0 0 11216 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 4448 50133 SH DFND 1 0 0 50133 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 522 10458 SH DFND 1 0 0 10458 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 537 10770 SH SOLE 0 0 10770 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2614 64916 SH SOLE 0 0 64916 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2508 62296 SH DFND 1 0 0 62296 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1132 11197 SH DFND 1 0 0 11197 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 312 3086 SH SOLE 0 0 3086 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1034 9149 SH SOLE 0 0 9149 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1119 9903 SH DFND 1 0 0 9903 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1706 11520 SH DFND 1 0 0 11520 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1129 7626 SH SOLE 0 0 7626 VANGUARD INDEX FDS SML CP GRW ETF 922908595 740 4065 SH SOLE 0 0 4065 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1583 8696 SH DFND 1 0 0 8696 VANGUARD INDEX FDS SM CP VAL ETF 922908611 511 3966 SH DFND 1 0 0 3966 VANGUARD INDEX FDS SM CP VAL ETF 922908611 493 3825 SH SOLE 0 0 3825 VANGUARD INDEX FDS MID CAP ETF 922908629 20 117 SH SOLE 0 0 117 VANGUARD INDEX FDS MID CAP ETF 922908629 503 3000 SH DFND 1 0 0 3000 VANGUARD INDEX FDS GROWTH ETF 922908736 7314 43984 SH DFND 1 0 0 43984 VANGUARD INDEX FDS GROWTH ETF 922908736 8197 49294 SH SOLE 0 0 49294 VANGUARD INDEX FDS VALUE ETF 922908744 8665 77626 SH SOLE 0 0 77626 VANGUARD INDEX FDS VALUE ETF 922908744 8117 72720 SH DFND 1 0 0 72720 VANGUARD INDEX FDS SMALL CP ETF 922908751 1114 7240 SH DFND 1 0 0 7240 VANGUARD INDEX FDS SMALL CP ETF 922908751 102 664 SH SOLE 0 0 664 VERIZON COMMUNICATIONS INC COM 92343V104 68 1128 SH SOLE 0 0 1128 VERIZON COMMUNICATIONS INC COM 92343V104 149 2476 SH DFND 1 0 0 2476 VISA INC COM CL A 92826C839 391 2274 SH DFND 1 0 0 2274 VISA INC COM CL A 92826C839 28 165 SH SOLE 0 0 165 WALMART INC COM 931142103 7832 65992 SH SOLE 0 0 65992 WALMART INC COM 931142103 20749 174830 SH DFND 1 0 0 174830 WASTE CONNECTIONS INC COM 94106B101 929 10100 SH DFND 1 0 0 10100 WASTE CONNECTIONS INC COM 94106B101 450 4890 SH SOLE 0 0 4890 WISDOMTREE TR US MIDCAP DIVID 97717W505 1561 42989 SH SOLE 0 0 42989 WISDOMTREE TR US MIDCAP DIVID 97717W505 6827 188016 SH DFND 1 0 0 188016 WISDOMTREE TR US SMALLCAP DIVD 97717W604 3566 130297 SH DFND 1 0 0 130297 WISDOMTREE TR US SMALLCAP DIVD 97717W604 999 36505 SH SOLE 0 0 36505 WISDOMTREE TR INTL EQUITY FD 97717W703 12391 249225 SH SOLE 0 0 249225 WISDOMTREE TR INTL EQUITY FD 97717W703 20273 407752 SH DFND 1 0 0 407752 WISDOMTREE TR INTL LRGCAP DV 97717W794 1782 38778 SH DFND 1 0 0 38778 WISDOMTREE TR INTL LRGCAP DV 97717W794 761 16553 SH SOLE 0 0 16553 WISDOMTREE TR FLOATNG RAT TREA 97717X628 33175 1324337 SH SOLE 0 0 1324337 WISDOMTREE TR FLOATNG RAT TREA 97717X628 76802 3065950 SH DFND 1 0 0 3065950 INGERSOLL-RAND PLC SHS G47791101 3328 27010 SH DFND 1 0 0 27010 INGERSOLL-RAND PLC SHS G47791101 1609 13060 SH SOLE 0 0 13060