Chief Compliance Officer

0001811480-20-000005.txt : 20201009 0001811480-20-000005.hdr.sgml : 20201009 20201009151130 ACCESSION NUMBER: 0001811480-20-000005 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 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: 201233064 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 06-30-2019 06-30-2019 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 3107122363 Eric Rosen Los Angeles CA 10-09-2020 1 289 1410050 false 1 0001811480 028-20237 SIGNATURE INVESTMENT ADVISORS LLC INFORMATION TABLE 2 seia13fq219.xml AES CORP COM 00130H105 807 48121 SH DFND 1 0 0 48121 AES CORP COM 00130H105 403 24072 SH SOLE 0 0 24072 ABBOTT LABS COM 002824100 1 12 SH SOLE 0 0 12 ABBOTT LABS COM 002824100 201 2389 SH DFND 1 0 0 2389 ADOBE INC COM 00724F101 395 1339 SH DFND 1 0 0 1339 ALEXION PHARMACEUTICALS INC COM 015351109 18915 144413 SH DFND 1 0 0 144413 ALEXION PHARMACEUTICALS INC COM 015351109 7138 54495 SH SOLE 0 0 54495 ALPHABET INC CAP STK CL A 02079K305 332 307 SH SOLE 0 0 307 ALPHABET INC CAP STK CL A 02079K305 631 583 SH DFND 1 0 0 583 AMARIN CORP PLC SPONS ADR NEW 023111206 202 10407 SH DFND 1 0 0 10407 AMAZON COM INC COM 023135106 18077 9546 SH DFND 1 0 0 9546 AMAZON COM INC COM 023135106 6679 3527 SH SOLE 0 0 3527 AMGEN INC COM 031162100 694 3769 SH SOLE 0 0 3769 AMGEN INC COM 031162100 5 25 SH DFND 1 0 0 25 ANTHEM INC COM 036752103 384 1361 SH DFND 1 0 0 1361 ANTHEM INC COM 036752103 7 25 SH SOLE 0 0 25 APPLE INC COM 037833100 7541 38101 SH SOLE 0 0 38101 APPLE INC COM 037833100 18494 93442 SH DFND 1 0 0 93442 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 932 58739 SH DFND 1 0 0 58739 BB&T CORP COM 054937107 365 7439 SH DFND 1 0 0 7439 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 342 1605 SH DFND 1 0 0 1605 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 59 275 SH SOLE 0 0 275 BLACKROCK ENH CAP & INC FD I COM 09256A109 612 38734 SH SOLE 0 0 38734 BLACKROCK ENH CAP & INC FD I COM 09256A109 3194 202150 SH DFND 1 0 0 202150 BOEING CO COM 097023105 281 773 SH DFND 1 0 0 773 BOEING CO COM 097023105 41 113 SH SOLE 0 0 113 CDW CORP COM 12514G108 460 4149 SH SOLE 0 0 4149 CDW CORP COM 12514G108 914 8233 SH DFND 1 0 0 8233 CATERPILLAR INC DEL COM 149123101 205 1501 SH DFND 1 0 0 1501 CATERPILLAR INC DEL COM 149123101 117 861 SH SOLE 0 0 861 CHEVRON CORP NEW COM 166764100 6820 54805 SH SOLE 0 0 54805 CHEVRON CORP NEW COM 166764100 18424 148056 SH DFND 1 0 0 148056 CISCO SYS INC COM 17275R102 17700 323401 SH DFND 1 0 0 323401 CISCO SYS INC COM 17275R102 6859 125319 SH SOLE 0 0 125319 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 4035 337667 SH SOLE 0 0 337667 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 12626 1056578 SH DFND 1 0 0 1056578 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 5352 581780 SH DFND 1 0 0 581780 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 1543 167724 SH SOLE 0 0 167724 COMCAST CORP NEW CL A 20030N101 6373 150722 SH SOLE 0 0 150722 COMCAST CORP NEW CL A 20030N101 16944 400752 SH DFND 1 0 0 400752 CONOCOPHILLIPS COM 20825C104 814 13352 SH DFND 1 0 0 13352 CONOCOPHILLIPS COM 20825C104 414 6792 SH SOLE 0 0 6792 DISNEY WALT CO COM DISNEY 254687106 7091 50780 SH SOLE 0 0 50780 DISNEY WALT CO COM DISNEY 254687106 18784 134516 SH DFND 1 0 0 134516 DISCOVERY INC COM SER A 25470F104 924 30107 SH DFND 1 0 0 30107 DISCOVERY INC COM SER A 25470F104 460 14995 SH SOLE 0 0 14995 EOG RES INC COM 26875P101 67 720 SH SOLE 0 0 720 EOG RES INC COM 26875P101 153 1645 SH DFND 1 0 0 1645 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 225 7100 SH DFND 1 0 0 7100 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 3 92 SH SOLE 0 0 92 EAST WEST BANCORP INC COM 27579R104 931 19913 SH SOLE 0 0 19913 EPAM SYS INC COM 29414B104 459 2651 SH SOLE 0 0 2651 EPAM SYS INC COM 29414B104 913 5277 SH DFND 1 0 0 5277 EXELON CORP COM 30161N101 16827 351010 SH DFND 1 0 0 351010 EXELON CORP COM 30161N101 6322 131880 SH SOLE 0 0 131880 EXXON MOBIL CORP COM 30231G102 65 847 SH SOLE 0 0 847 EXXON MOBIL CORP COM 30231G102 371 4835 SH DFND 1 0 0 4835 FACEBOOK INC CL A 30303M102 173 898 SH DFND 1 0 0 898 FACEBOOK INC CL A 30303M102 42 220 SH SOLE 0 0 220 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 159 3384 SH SOLE 0 0 3384 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1848 39215 SH DFND 1 0 0 39215 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 2104 108489 SH DFND 1 0 0 108489 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 937 48298 SH SOLE 0 0 48298 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 165 3011 SH SOLE 0 0 3011 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 3953 72176 SH DFND 1 0 0 72176 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 3284 169097 SH DFND 1 0 0 169097 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 1421 73194 SH SOLE 0 0 73194 FISERV INC COM 337738108 6837 74998 SH SOLE 0 0 74998 FISERV INC COM 337738108 18189 199524 SH DFND 1 0 0 199524 FORD MTR CO DEL COM 345370860 45 4423 SH DFND 1 0 0 4423 FORD MTR CO DEL COM 345370860 73 7100 SH SOLE 0 0 7100 GALLAGHER ARTHUR J & CO COM 363576109 244 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 34 98000 SH DFND 1 0 0 98000 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 182 5551 SH DFND 1 0 0 5551 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 255 7750 SH SOLE 0 0 7750 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 26111 444287 SH SOLE 0 0 444287 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 76213 1296807 SH DFND 1 0 0 1296807 HILL ROM HLDGS INC COM 431475102 855 8174 SH DFND 1 0 0 8174 HILL ROM HLDGS INC COM 431475102 433 4143 SH SOLE 0 0 4143 HONEYWELL INTL INC COM 438516106 6947 39793 SH SOLE 0 0 39793 HONEYWELL INTL INC COM 438516106 18573 106382 SH DFND 1 0 0 106382 INCYTE CORP COM 45337C102 920 10828 SH DFND 1 0 0 10828 INCYTE CORP COM 45337C102 479 5634 SH SOLE 0 0 5634 INTERCONTINENTAL EXCHANGE IN COM 45866F104 6994 81384 SH SOLE 0 0 81384 INTERCONTINENTAL EXCHANGE IN COM 45866F104 18235 212179 SH DFND 1 0 0 212179 INTERNATIONAL BUSINESS MACHS COM 459200101 270 1958 SH DFND 1 0 0 1958 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 600 5400 SH DFND 1 0 0 5400 INVESCO EXCHANGE TRADED FD T S&P SML600 GWT 46137V175 339 3045 SH SOLE 0 0 3045 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 27760 232399 SH SOLE 0 0 232399 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 86907 727558 SH DFND 1 0 0 727558 INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 46137V431 223 3976 SH DFND 1 0 0 3976 INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 46137V431 26 461 SH SOLE 0 0 461 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 163 9977 SH SOLE 0 0 9977 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 963 58929 SH DFND 1 0 0 58929 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 826 20327 SH DFND 1 0 0 20327 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 630 15505 SH SOLE 0 0 15505 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 9504 394537 SH SOLE 0 0 394537 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 25784 1070332 SH DFND 1 0 0 1070332 ISHARES GOLD TRUST ISHARES 464285105 209 15513 SH SOLE 0 0 15513 ISHARES INC EM MKTS DIV ETF 464286319 2192 53750 SH SOLE 0 0 53750 ISHARES INC EM MKTS DIV ETF 464286319 8746 214417 SH DFND 1 0 0 214417 ISHARES TR MSCI EMG MKT ETF 464287234 405 9438 SH DFND 1 0 0 9438 ISHARES TR MSCI EMG MKT ETF 464287234 98 2287 SH SOLE 0 0 2287 ISHARES TR S&P 500 GRWT ETF 464287309 2511 14008 SH SOLE 0 0 14008 ISHARES TR S&P 500 GRWT ETF 464287309 2993 16700 SH DFND 1 0 0 16700 ISHARES TR S&P 500 VAL ETF 464287408 1551 13306 SH DFND 1 0 0 13306 ISHARES TR S&P 500 VAL ETF 464287408 2049 17576 SH SOLE 0 0 17576 ISHARES TR MSCI EAFE ETF 464287465 140 2133 SH SOLE 0 0 2133 ISHARES TR MSCI EAFE ETF 464287465 188 2864 SH DFND 1 0 0 2864 ISHARES TR EXPND TEC SC ETF 464287549 30290 140460 SH DFND 1 0 0 140460 ISHARES TR EXPND TEC SC ETF 464287549 12062 55932 SH SOLE 0 0 55932 ISHARES TR S&P MC 400GR ETF 464287606 1014 4481 SH SOLE 0 0 4481 ISHARES TR S&P MC 400GR ETF 464287606 769 3400 SH DFND 1 0 0 3400 ISHARES TR S&P MC 400VL ETF 464287705 742 4655 SH DFND 1 0 0 4655 ISHARES TR S&P MC 400VL ETF 464287705 971 6091 SH SOLE 0 0 6091 ISHARES TR CORE S&P SCP ETF 464287804 178 2275 SH SOLE 0 0 2275 ISHARES TR CORE S&P SCP ETF 464287804 1947 24868 SH DFND 1 0 0 24868 ISHARES TR SP SMCP600VL ETF 464287879 522 3515 SH DFND 1 0 0 3515 ISHARES TR SP SMCP600VL ETF 464287879 608 4092 SH SOLE 0 0 4092 ISHARES TR S&P SML 600 GWT 464287887 1190 6523 SH SOLE 0 0 6523 ISHARES TR S&P SML 600 GWT 464287887 3601 19735 SH DFND 1 0 0 19735 ISHARES TR INTL SEL DIV ETF 464288448 11330 368805 SH DFND 1 0 0 368805 ISHARES TR INTL SEL DIV ETF 464288448 2871 93454 SH SOLE 0 0 93454 ISHARES TR MIN VOL USA ETF 46429B697 12738 206343 SH SOLE 0 0 206343 ISHARES TR MIN VOL USA ETF 46429B697 33292 539311 SH DFND 1 0 0 539311 ISHARES TR CORE MSCI EAFE 46432F842 2174 35413 SH DFND 1 0 0 35413 ISHARES TR CORE MSCI EAFE 46432F842 1280 20846 SH SOLE 0 0 20846 ISHARES TR IBONDS SEP2020 46434V571 48 1869 SH SOLE 0 0 1869 ISHARES TR IBONDS SEP2020 46434V571 153 5991 SH DFND 1 0 0 5991 ISHARES TR IBONDS DEC2023 46435G318 4605 179021 SH DFND 1 0 0 179021 ISHARES TR IBONDS DEC2023 46435G318 1136 44162 SH SOLE 0 0 44162 ISHARES TR CORE MSCI INTL 46435G326 3620 66039 SH SOLE 0 0 66039 ISHARES TR CORE MSCI INTL 46435G326 4168 76037 SH DFND 1 0 0 76037 ISHARES TR ESG MSCI USA ETF 46435G425 136 2100 SH DFND 1 0 0 2100 ISHARES TR ESG MSCI USA ETF 46435G425 158 2444 SH SOLE 0 0 2444 ISHARES TR IBONDS DEC 46435U697 442 16820 SH SOLE 0 0 16820 ISHARES TR IBONDS DEC 46435U697 1556 59238 SH DFND 1 0 0 59238 JPMORGAN CHASE & CO COM 46625H100 3466 31001 SH DFND 1 0 0 31001 JPMORGAN CHASE & CO COM 46625H100 1505 13458 SH SOLE 0 0 13458 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1438 57275 SH SOLE 0 0 57275 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 5616 223663 SH DFND 1 0 0 223663 JACOBS ENGR GROUP INC COM 469814107 913 10823 SH DFND 1 0 0 10823 JACOBS ENGR GROUP INC COM 469814107 458 5430 SH SOLE 0 0 5430 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 503 13790 SH SOLE 0 0 13790 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 1077 29500 SH DFND 1 0 0 29500 JOHN HANCOCK ETF TRUST MULTI INTL ETF 47804J859 231 8180 SH DFND 1 0 0 8180 JOHN HANCOCK ETF TRUST MULTI INTL ETF 47804J859 246 8706 SH SOLE 0 0 8706 JOHNSON & JOHNSON COM 478160104 1 10 SH SOLE 0 0 10 JOHNSON & JOHNSON COM 478160104 362 2599 SH DFND 1 0 0 2599 KAYNE ANDERSN MLP MIDS INVT COM 486606106 7486 488981 SH DFND 1 0 0 488981 KAYNE ANDERSN MLP MIDS INVT COM 486606106 4927 321826 SH SOLE 0 0 321826 LPL FINL HLDGS INC COM 50212V100 456 5588 SH SOLE 0 0 5588 LPL FINL HLDGS INC COM 50212V100 908 11128 SH DFND 1 0 0 11128 MASTERCARD INC CL A 57636Q104 19720 74548 SH DFND 1 0 0 74548 MASTERCARD INC CL A 57636Q104 7342 27754 SH SOLE 0 0 27754 MCDONALDS CORP COM 580135101 7017 33789 SH SOLE 0 0 33789 MCDONALDS CORP COM 580135101 18487 89026 SH DFND 1 0 0 89026 MICROSOFT CORP COM 594918104 3731 27851 SH DFND 1 0 0 27851 MICROSOFT CORP COM 594918104 1973 14730 SH SOLE 0 0 14730 NEXTERA ENERGY INC COM 65339F101 1524 7440 SH SOLE 0 0 7440 NEXTERA ENERGY INC COM 65339F101 3174 15493 SH DFND 1 0 0 15493 NIKE INC CL B 654106103 2919 34767 SH DFND 1 0 0 34767 NIKE INC CL B 654106103 1428 17015 SH SOLE 0 0 17015 NVIDIA CORP COM 67066G104 206 1255 SH DFND 1 0 0 1255 PFIZER INC COM 717081103 209 4817 SH DFND 1 0 0 4817 PFIZER INC COM 717081103 7 173 SH SOLE 0 0 173 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 118 1182 SH SOLE 0 0 1182 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 1460 14568 SH DFND 1 0 0 14568 PIMCO ETF TR INTER MUN BD ACT 72201R866 236 4295 SH DFND 1 0 0 4295 POST HLDGS INC COM 737446104 870 8367 SH DFND 1 0 0 8367 POST HLDGS INC COM 737446104 442 4254 SH SOLE 0 0 4254 PROLOGIS INC COM 74340W103 7258 90610 SH SOLE 0 0 90610 PROLOGIS INC COM 74340W103 19254 240376 SH DFND 1 0 0 240376 PROOFPOINT INC COM 743424103 851 7076 SH DFND 1 0 0 7076 PROOFPOINT INC COM 743424103 433 3600 SH SOLE 0 0 3600 SPDR S&P 500 ETF TR TR UNIT 78462F103 35 121 SH SOLE 0 0 121 SPDR S&P 500 ETF TR TR UNIT 78462F103 963 3285 SH DFND 1 0 0 3285 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 11940 333608 SH DFND 1 0 0 333608 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 8551 238917 SH SOLE 0 0 238917 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 526 16140 SH SOLE 0 0 16140 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1521 46618 SH DFND 1 0 0 46618 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 733 18614 SH DFND 1 0 0 18614 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 565 14359 SH SOLE 0 0 14359 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 7025 237426 SH SOLE 0 0 237426 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 22722 767898 SH DFND 1 0 0 767898 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 11217 184153 SH DFND 1 0 0 184153 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 4190 68796 SH SOLE 0 0 68796 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 1722 28374 SH SOLE 0 0 28374 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 2009 33108 SH DFND 1 0 0 33108 SPDR SERIES TRUST AEROSPACE DEF 78464A631 725 6981 SH DFND 1 0 0 6981 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1690 57935 SH DFND 1 0 0 57935 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 135 4639 SH SOLE 0 0 4639 SPDR SERIES TRUST S&P DIVID ETF 78464A763 504 5000 SH SOLE 0 0 5000 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1067 10581 SH DFND 1 0 0 10581 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 1717 31629 SH DFND 1 0 0 31629 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 2115 38959 SH SOLE 0 0 38959 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2202 42864 SH SOLE 0 0 42864 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2453 47754 SH DFND 1 0 0 47754 SPDR SERIES TRUST S&P BIOTECH 78464A870 454 5171 SH DFND 1 0 0 5171 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 4163 84845 SH DFND 1 0 0 84845 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 501 10214 SH SOLE 0 0 10214 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 351 11412 SH SOLE 0 0 11412 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 68 2199 SH DFND 1 0 0 2199 SPDR SERIES TRUST MSCI USA STRTGIC 78468R812 2269 26346 SH DFND 1 0 0 26346 SPDR SERIES TRUST MSCI USA STRTGIC 78468R812 957 11108 SH SOLE 0 0 11108 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 112 1598 SH SOLE 0 0 1598 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 115 1645 SH DFND 1 0 0 1645 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 0 5 SH DFND 1 0 0 5 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 225 7006 SH SOLE 0 0 7006 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 12265 132390 SH SOLE 0 0 132390 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 32844 354535 SH DFND 1 0 0 354535 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 29206 377237 SH DFND 1 0 0 377237 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 11063 142893 SH SOLE 0 0 142893 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 10 134 SH SOLE 0 0 134 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 944 12097 SH DFND 1 0 0 12097 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 540 14694 SH DFND 1 0 0 14694 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 745 12491 SH DFND 1 0 0 12491 STORE CAP CORP COM 862121100 875 26358 SH DFND 1 0 0 26358 STORE CAP CORP COM 862121100 444 13378 SH SOLE 0 0 13378 STRYKER CORP COM 863667101 1565 7613 SH SOLE 0 0 7613 STRYKER CORP COM 863667101 3259 15852 SH DFND 1 0 0 15852 THERMO FISHER SCIENTIFIC INC COM 883556102 19301 65722 SH DFND 1 0 0 65722 THERMO FISHER SCIENTIFIC INC COM 883556102 7340 24993 SH SOLE 0 0 24993 TOTAL SYS SVCS INC COM 891906109 236 1843 SH SOLE 0 0 1843 TOWNEBANK PORTSMOUTH VA COM 89214P109 221 8097 SH DFND 1 0 0 8097 UBS AG JERSEY BRH ALERIAN INFRST 902641646 12318 551620 SH DFND 1 0 0 551620 UBS AG JERSEY BRH ALERIAN INFRST 902641646 4545 203552 SH SOLE 0 0 203552 ULTA BEAUTY INC COM 90384S303 432 1245 SH SOLE 0 0 1245 ULTA BEAUTY INC COM 90384S303 834 2404 SH DFND 1 0 0 2404 UNITEDHEALTH GROUP INC COM 91324P102 404 1655 SH DFND 1 0 0 1655 UNITEDHEALTH GROUP INC COM 91324P102 190 780 SH SOLE 0 0 780 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 277 11057 SH SOLE 0 0 11057 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 33 213 SH SOLE 0 0 213 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 309 1973 SH DFND 1 0 0 1973 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 106 1317 SH DFND 1 0 0 1317 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 171 2120 SH SOLE 0 0 2120 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 13948 334413 SH SOLE 0 0 334413 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 43675 1047114 SH DFND 1 0 0 1047114 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3209 36720 SH DFND 1 0 0 36720 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 646 7398 SH SOLE 0 0 7398 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 559 10968 SH SOLE 0 0 10968 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 764 14986 SH DFND 1 0 0 14986 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3567 83868 SH DFND 1 0 0 83868 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3954 92960 SH SOLE 0 0 92960 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 32 461 SH SOLE 0 0 461 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 171 2472 SH DFND 1 0 0 2472 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 573 3928 SH DFND 1 0 0 3928 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 597 4094 SH SOLE 0 0 4094 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 304 3141 SH SOLE 0 0 3141 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1130 11667 SH DFND 1 0 0 11667 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1099 9872 SH DFND 1 0 0 9872 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1025 9203 SH SOLE 0 0 9203 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1184 7933 SH SOLE 0 0 7933 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1745 11685 SH DFND 1 0 0 11685 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1605 8620 SH DFND 1 0 0 8620 VANGUARD INDEX FDS SML CP GRW ETF 922908595 756 4062 SH SOLE 0 0 4062 VANGUARD INDEX FDS SM CP VAL ETF 922908611 505 3871 SH SOLE 0 0 3871 VANGUARD INDEX FDS SM CP VAL ETF 922908611 513 3929 SH DFND 1 0 0 3929 VANGUARD INDEX FDS MID CAP ETF 922908629 501 3000 SH DFND 1 0 0 3000 VANGUARD INDEX FDS MID CAP ETF 922908629 31 188 SH SOLE 0 0 188 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 7 59 SH SOLE 0 0 59 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 359 3031 SH DFND 1 0 0 3031 VANGUARD INDEX FDS GROWTH ETF 922908736 7443 45556 SH DFND 1 0 0 45556 VANGUARD INDEX FDS GROWTH ETF 922908736 7973 48796 SH SOLE 0 0 48796 VANGUARD INDEX FDS VALUE ETF 922908744 8407 75793 SH SOLE 0 0 75793 VANGUARD INDEX FDS VALUE ETF 922908744 8227 74169 SH DFND 1 0 0 74169 VANGUARD INDEX FDS SMALL CP ETF 922908751 1184 7559 SH DFND 1 0 0 7559 VANGUARD INDEX FDS SMALL CP ETF 922908751 112 715 SH SOLE 0 0 715 VISA INC COM CL A 92826C839 21 120 SH SOLE 0 0 120 VISA INC COM CL A 92826C839 459 2646 SH DFND 1 0 0 2646 WALMART INC COM 931142103 19026 172199 SH DFND 1 0 0 172199 WALMART INC COM 931142103 7235 65479 SH SOLE 0 0 65479 WASTE CONNECTIONS INC COM 94106B101 451 4722 SH SOLE 0 0 4722 WASTE CONNECTIONS INC COM 94106B101 910 9516 SH DFND 1 0 0 9516 WELLS FARGO CO NEW COM 949746101 207 4371 SH DFND 1 0 0 4371 WELLS FARGO CO NEW COM 949746101 14 287 SH SOLE 0 0 287 WISDOMTREE TR US MIDCAP DIVID 97717W505 1469 40587 SH SOLE 0 0 40587 WISDOMTREE TR US MIDCAP DIVID 97717W505 6817 188317 SH DFND 1 0 0 188317 WISDOMTREE TR US SMALLCAP DIVD 97717W604 3454 127406 SH DFND 1 0 0 127406 WISDOMTREE TR US SMALLCAP DIVD 97717W604 939 34630 SH SOLE 0 0 34630 WISDOMTREE TR INTL EQUITY FD 97717W703 12512 245284 SH SOLE 0 0 245284 WISDOMTREE TR INTL EQUITY FD 97717W703 21185 415314 SH DFND 1 0 0 415314 WISDOMTREE TR INTL LRGCAP DV 97717W794 1914 40620 SH DFND 1 0 0 40620 WISDOMTREE TR INTL LRGCAP DV 97717W794 799 16956 SH SOLE 0 0 16956 WISDOMTREE TR FLOATNG RAT TREA 97717X628 31556 1258717 SH SOLE 0 0 1258717 WISDOMTREE TR FLOATNG RAT TREA 97717X628 71905 2868165 SH DFND 1 0 0 2868165 INGERSOLL-RAND PLC SHS G47791101 3193 25205 SH DFND 1 0 0 25205 INGERSOLL-RAND PLC SHS G47791101 1585 12511 SH SOLE 0 0 12511