0001161722-21-000003.txt : 20210429 0001161722-21-000003.hdr.sgml : 20210429 20210429153830 ACCESSION NUMBER: 0001161722-21-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210429 DATE AS OF CHANGE: 20210429 EFFECTIVENESS DATE: 20210429 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HOLLENCREST CAPITAL MANAGEMENT CENTRAL INDEX KEY: 0001161722 IRS NUMBER: 954121065 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 21870069 BUSINESS ADDRESS: STREET 1: 100 BAYVIEW CIRCLE, SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 9498237744 MAIL ADDRESS: STREET 1: 100 BAYVIEW CIRCLE, SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: HOLLENCREST SECURITIES LLC DATE OF NAME CHANGE: 20030729 FORMER COMPANY: FORMER CONFORMED NAME: RND RESOURCES INC DATE OF NAME CHANGE: 20011031 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001161722 XXXXXXXX 03-31-2021 03-31-2021 HOLLENCREST CAPITAL MANAGEMENT

100 BAYVIEW CIRCLE, SUITE 500 NEWPORT BEACH CA 92660

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TEXAS INSTRUMENTS COM 882508104 335 1771 SH SOLE 1627 0 144 TEXAS INSTRUMENTS COM 882508104 430 2276 SH OTR 0 0 2276 THE COCA-COLA CO COM 191216100 2375 45051 SH SOLE 44885 0 166 THE COCA-COLA CO COM 191216100 89 1691 SH OTR 0 0 1691 THERMO FISHER SCIENTIFIC COM 883556102 607 1329 SH SOLE 1294 0 35 THERMO FISHER SCIENTIFIC COM 883556102 505 1106 SH OTR 0 0 1106 TRUIST FINL CORP COM 89832q109 364 6245 SH SOLE 6245 0 0 TWILIO INC CLASS A COM 90138f102 1141 3349 SH SOLE 3349 0 0 TYSON FOODS INC CLASS A COM 902494103 743 10000 SH OTR 0 0 10000 U S BANCORP COM 902973304 41 737 SH SOLE 737 0 0 U S BANCORP COM 902973304 6914 125000 SH OTR 0 0 125000 UNITED PARCEL SRVC CLASS B COM 911312106 46251 272078 SH SOLE 271945 0 133 UNITED PARCEL SRVC CLASS B COM 911312106 18781 110483 SH OTR 0 0 110483 UNITED RENTALS INC COM 911363109 487 1480 SH SOLE 1480 0 0 UNITEDHEALTH GRP INC COM 91324p102 828 2226 SH SOLE 2226 0 0 UNIVERSAL HLTH SVCS CLASS B COM 913903100 311 2330 SH SOLE 2330 0 0 UNIVERSAL HLTH SVCS CLASS B COM 913903100 1 6 SH OTR 0 0 6 UNUM GROUP COM 91529y106 607 21827 SH SOLE 21827 0 0 UNUM GROUP COM 91529y106 6 208 SH OTR 0 0 208 VERISIGN INC COM 92343e102 229 1150 SH SOLE 1150 0 0 VERIZON COMMUNICATN COM 92343v104 168 2885 SH SOLE 2499 0 386 VERIZON COMMUNICATN COM 92343v104 344 5921 SH OTR 0 0 5921 VIACOMCBS INC CL B COM 92556H206 451 10000 SH SOLE 10000 0 0 VIDLER WATER RESOURCES I COM 92660e107 352 39557 SH SOLE 39557 0 0 VISA INC CLASS A COM 92826c839 1609 7598 SH SOLE 7499 0 99 VISA INC CLASS A COM 92826c839 379 1789 SH OTR 0 0 1789 WALMART INC COM 931142103 741 5457 SH SOLE 5289 0 168 WALMART INC COM 931142103 453 3336 SH OTR 0 0 3336 WALT DISNEY CO COM 254687106 3395 18398 SH SOLE 18398 0 0 WALT DISNEY CO COM 254687106 158 859 SH OTR 0 0 859 WD-40 CO COM 929236107 359 1171 SH SOLE 1171 0 0 WELLS FARGO & CO COM 949746101 100 2564 SH SOLE 2564 0 0 WELLS FARGO & CO COM 949746101 285 7299 SH OTR 0 0 7299 WILLIAMS COMPANIES COM 969457100 290 12254 SH SOLE 12254 0 0 WILLIAMS COMPANIES COM 969457100 255 10774 SH OTR 0 0 10774 WORKDAY INC CL A COM 98138H101 571 2300 SH SOLE 2300 0 0 WYNN RESORTS COM 983134107 1511 12054 SH SOLE 11948 0 106 WYNN RESORTS COM 983134107 143 1142 SH OTR 0 0 1142 XILINX INC COM 983919101 33 267 SH SOLE 82 0 185 XILINX INC COM 983919101 245 1978 SH OTR 0 0 1978 EATON VANCE TAX ADVANTAG CEFS 27828g107 1094 41635 SH SOLE 41635 0 0 EATON VANCE TAX ADVANTAG CEFS 27828g107 97 3705 SH OTR 0 0 3705 EATON VANCE TAX MAN GL D CEFS 27829f108 99 10600 SH SOLE 10600 0 0 EATON VANCE TX ADVNT GLB CEFS 27828u106 552 21005 SH SOLE 21005 0 0 EATON VANCE TX ADVNT GLB CEFS 27828u106 142 5400 SH OTR 0 0 5400 GABELLI EQUITY CF CEFS 362397101 477 69913 SH SOLE 69913 0 0 GABELLI EQUITY CF CEFS 362397101 401 58820 SH OTR 0 0 58820 NUVEEN TAX ADVNTGD DIVDN CEFS 67073g105 159 10525 SH SOLE 10525 0 0 BLACKROCK ENHCD CAPITL A CEFS 09256a109 301 15600 SH SOLE 15600 0 0 Blackrock Health Sciences Trus CEFS 000000000 2077 78986 SH SOLE 78986 0 0 CLOUGH GLOBAL OPPORTUNIT CEFS 18914e106 129 10500 SH SOLE 10500 0 0 CLOUGH GLOBAL OPPORTUNIT CEFS 18914e106 91 7400 SH OTR 0 0 7400 EATON VANCE RISK MAN DIV CEFS 27829g106 122 11350 SH SOLE 11350 0 0 EATON VANCE RISK MAN DIV CEFS 27829g106 75 7000 SH OTR 0 0 7000 JOHN HANCOCK PREMIUM DIV CEFS 41013t105 219 14697 SH SOLE 14697 0 0 KAYNE ANDERSON ENERGY IN CEFS 486606106 143 20000 SH OTR 0 0 20000 PIMCO ENRG TCTCL CRT OPP CEFS 69346n107 4713 455386 SH SOLE 455386 0 0 PIMCO ENRG TCTCL CRT OPP CEFS 69346n107 3 250 SH OTR 0 0 250 VOYA EMERGING MKTS HI IN CEFS 92912p108 107 13420 SH SOLE 13420 0 0 WELLS FARGO GLOBAL DIVID CEFS 94987c103 110 20965 SH SOLE 20965 0 0 INNOVATOR IBD 50 ETF ETFS 45782c102 256 5832 SH SOLE 5832 0 0 INNOVATOR IBD 50 ETF ETFS 45782c102 60 1365 SH OTR 0 0 1365 VANECK VECTORS RUSSIA ETF ETFS 92189f403 3040 117785 SH OTR 0 0 117785 CALAMOS CONVERTIBLE OPPO TAXABLE CEF 128117108 311 21880 SH SOLE 21880 0 0 CALAMOS CONVERTIBLE OPPO TAXABLE CEF 128117108 112 7900 SH OTR 0 0 7900 DOUBLELINE INCOME SOLUTI TAXABLE CEF 258622109 140 7735 SH SOLE 7735 0 0 DOUBLELINE INCOME SOLUTI TAXABLE CEF 258622109 616 33942 SH OTR 0 0 33942 EATON VANCE LIMITED DURA TAXABLE CEF 27828h105 77 6089 SH SOLE 3855 0 2234 EATON VANCE LIMITED DURA TAXABLE CEF 27828h105 90 7120 SH OTR 0 0 7120 FLAHERTY & CRMRN PRF INC TAXABLE CEF 338478100 345 14710 SH SOLE 14710 0 0 NUVEEN PREF AND INCM SEC TAXABLE CEF 67072c105 147 15089 SH SOLE 15089 0 0 NUVEEN PREFERRED INCOME TAXABLE CEF 67073b106 192 20188 SH SOLE 20188 0 0 PIMCO CORPORATE OPPORTUN TAXABLE CEF 72201b101 605 33093 SH SOLE 33093 0 0 PIMCO CORPORATE OPPORTUN TAXABLE CEF 72201b101 482 26375 SH OTR 0 0 26375 PIMCO DYNMC CRDT AND MRT TAXABLE CEF 72202d106 255 11447 SH SOLE 11447 0 0 PIMCO DYNMC CRDT AND MRT TAXABLE CEF 72202d106 125 5600 SH OTR 0 0 5600 PIMCO INCOME STRATEGY II TAXABLE CEF 72201j104 195 18977 SH SOLE 18977 0 0 VIRTUS ALLIANZGI CONV & TAXABLE CEF 92838x102 98 17350 SH SOLE 17350 0 0 VIRTUS TOTAL RETURN FD TAXABLE CEF 92835w107 105 11465 SH SOLE 11465 0 0 VIRTUS TOTAL RETURN FD TAXABLE CEF 92835w107 11 1144 SH OTR 0 0 1144 WELLS FARGO MULTI SECTOR TAXABLE CEF 94987d101 35 2795 SH SOLE 1098 0 1697 WELLS FARGO MULTI SECTOR TAXABLE CEF 94987d101 98 7844 SH OTR 0 0 7844 WESTERN ASST HIGH INCM I TAXABLE CEF 95766j102 84 12160 SH SOLE 12160 0 0 WESTERN AST INFLTN LINK TAXABLE CEF 95766r104 874 71843 SH OTR 0 0 71843 ENERGY SELECT SECTOR SPDR ETF INDEX CEF 81369y506 264 5379 SH SOLE 5379 0 0 ENERGY SELECT SECTOR SPDR ETF INDEX CEF 81369y506 545 11104 SH OTR 0 0 11104 ETFMG PRIME JUNIOR SILVER MINE INDEX CEF 26924g102 329 22770 SH SOLE 22770 0 0 FIDELITY NASDAQ COMPOSITE INDX INDEX CEF 315912808 6171 12016 SH SOLE 12016 0 0 FIDELITY NASDAQ COMPOSITE INDX INDEX CEF 315912808 33 65 SH OTR 0 0 65 GLOBAL X MSCI GREECE ETF INDEX CEF 37954y319 538 20332 SH OTR 0 0 20332 INVESCO NASDAQ 100 ETF INDEX CEF 46138g649 3267 24898 SH SOLE 24863 0 35 INVESCO NASDAQ 100 ETF INDEX CEF 46138g649 375 2857 SH OTR 0 0 2857 INVESCO QQQ TRUST INDEX CEF 46090e103 107546 336999 SH SOLE 330092 0 6907 INVESCO QQQ TRUST INDEX CEF 46090e103 3999 12532 SH OTR 90 0 12532 IPATH SER S&P 500 VIX SHORT TE INDEX CEF 06747r477 1630 143000 SH SOLE 143000 0 0 IPATH SER S&P 500 VIX SHORT TE INDEX CEF 06747r477 127 11172 SH OTR 119 0 11053 IQ HEDGE MULTI-STRATEGY TRACK INDEX CEF 45409b107 252 7915 SH SOLE 7915 0 0 ISHARES CHINA LARGE CAP ETF IV INDEX CEF 464287184 373 8000 SH SOLE 0 0 8000 ISHARES CHINA LARGE CAP ETF IV INDEX CEF 464287184 821 17600 SH OTR 0 0 17600 ISHARES CORE MSCI EAFE ETF IV INDEX CEF 46432f842 17326 240478 SH SOLE 238131 0 2347 ISHARES CORE MSCI EAFE ETF IV INDEX CEF 46432f842 359 4984 SH OTR 0 0 4984 ISHARES CORE MSCI EMERGING ETF INDEX CEF 46434g103 19170 297854 SH SOLE 296058 0 1796 ISHARES CORE MSCI EMERGING ETF INDEX CEF 46434g103 535 8311 SH OTR 0 0 8311 ISHARES CORE S&P MID CAP ETF I INDEX CEF 464287507 380 1461 SH SOLE 1461 0 0 ISHARES CORE S&P MID CAP ETF I INDEX CEF 464287507 9 35 SH OTR 0 0 35 ISHARES CORE S&P SMALL CAP ETF INDEX CEF 464287804 1074 9893 SH SOLE 9893 0 0 ISHARES CORE S&P SMALL CAP ETF INDEX CEF 464287804 211 1942 SH OTR 0 0 1942 ISHARES CORE S&P US GROWTH ETF INDEX CEF 464287671 2147 23646 SH SOLE 21646 0 2000 ISHARES CORE S&P US GROWTH ETF INDEX CEF 464287671 779 8583 SH OTR 0 0 8583 ISHARES MSCI ACWI EX US ETF INDEX CEF 464288240 3200 58000 SH SOLE 58000 0 0 ISHARES MSCI BRAZIL ETF IV INDEX CEF 464286400 669 20000 SH OTR 0 0 20000 ISHARES MSCI EAFE ETF IV INDEX CEF 464287465 4084 53823 SH OTR 0 0 53823 ISHARES MSCI EMERGING MARKETS INDEX CEF 464287234 1284 24080 SH OTR 0 0 24080 ISHARES MSCI GERMANY ETF IV INDEX CEF 464286806 8036 240300 SH OTR 0 0 240300 ISHARES MSCI ITALY ETF INDEX CEF 46434g830 54 1711 SH SOLE 1711 0 0 ISHARES MSCI ITALY ETF INDEX CEF 46434g830 315 10000 SH OTR 0 0 10000 ISHARES MSCI MEXICO ETF IV INDEX CEF 464286822 599 13660 SH OTR 0 0 13660 ISHARES MSCI SOUTH AFRICA ETF INDEX CEF 464286780 346 7000 SH OTR 0 0 7000 ISHARES MSCI TURKEY ETF INDEX CEF 464286715 931 40500 SH OTR 0 0 40500 ISHARES RUSSELL 1000 ETF IV INDEX CEF 464287622 6501 29045 SH OTR 0 0 29045 ISHARES RUSSELL 1000 VALUE ETF INDEX CEF 464287598 268 1771 SH SOLE 1771 0 0 ISHARES RUSSELL 2000 ETF IV INDEX CEF 464287655 1590 7197 SH SOLE 7197 0 0 ISHARES RUSSELL 2000 ETF IV INDEX CEF 464287655 2247 10169 SH OTR 0 0 10169 ISHARES RUSSELL 2000 GROWTH ET INDEX CEF 464287648 970 3224 SH OTR 0 0 3224 ISHARES RUSSELL 2000 VALUE ETF INDEX CEF 464287630 447 2805 SH OTR 0 0 2805 ISHARES RUSSELL 3000 ETF IV INDEX CEF 464287689 961 4051 SH SOLE 4051 0 0 ISHARES RUSSELL 3000 ETF IV INDEX CEF 464287689 360 1518 SH OTR 0 0 1518 ISHARES RUSSELL MID CAP ETF IV INDEX CEF 464287499 5 66 SH SOLE 66 0 0 ISHARES RUSSELL MID CAP ETF IV INDEX CEF 464287499 2289 30959 SH OTR 0 0 30959 ISHARES RUSSELL MID CAP GRW ET INDEX CEF 464287481 334 3273 SH SOLE 3273 0 0 ISHARES RUSSELL MID CAP GRW ET INDEX CEF 464287481 35 343 SH OTR 20 0 323 ISHARES S&P 100 INDEXFUND INDEX CEF 464287101 4526 25169 SH OTR 0 0 25169 ISHARES S&P 500 GROWTH ETF IV INDEX CEF 464287309 582 8940 SH SOLE 8940 0 0 ISHARES S&P SMALL CAP 600 ETF INDEX CEF 464287879 56 556 SH SOLE 556 0 0 ISHARES S&P SMALL CAP 600 ETF INDEX CEF 464287879 189 1875 SH OTR 0 0 1875 ISHARES US MEDICAL DEVICES ETF INDEX CEF 464288810 9242 27977 SH SOLE 27867 0 110 ISHARES US MEDICAL DEVICES ETF INDEX CEF 464288810 208 631 SH OTR 0 0 631 KRANESHARES CSI CHINA INTERNET INDEX CEF 500767306 2680 35100 SH SOLE 35100 0 0 ProShares S&P MidCap 400 Div A INDEX CEF 000000000 1092 15678 SH SOLE 15678 0 0 REAL ESTATE SELECT SCTR SPDR E INDEX CEF 81369y860 254 6430 SH SOLE 6430 0 0 SCHWAB US LARGE CAP ETF INDEX CEF 808524201 2757 28707 SH SOLE 28707 0 0 SCHWAB US LARGE CAP ETF INDEX CEF 808524201 2 25 SH OTR 25 0 0 SELECT SECTOR HEALTH CARE SPD INDEX CEF 81369y209 21728 186121 SH SOLE 183780 0 2341 SELECT SECTOR HEALTH CARE SPD INDEX CEF 81369y209 591 5065 SH OTR 0 0 5065 SELECT SECTOR INDUSTRIAL SPDR INDEX CEF 81369y704 20303 206223 SH SOLE 204703 0 1520 SELECT SECTOR INDUSTRIAL SPDR INDEX CEF 81369y704 672 6827 SH OTR 0 0 6827 SELECT SECTOR UTI SELECT SPDR INDEX CEF 81369y886 1369 21371 SH SOLE 21371 0 0 SELECT STR FINANCIAL SELECT S INDEX CEF 81369y605 16090 472538 SH SOLE 468538 0 4000 SELECT STR FINANCIAL SELECT S INDEX CEF 81369y605 1231 36145 SH OTR 0 0 36145 SPDR DOW JONES INDUSTRIAL AVR INDEX CEF 78467x109 575 1741 SH SOLE 1715 0 26 SPDR DOW JONES INDUSTRIAL AVR INDEX CEF 78467x109 9 28 SH OTR 0 0 28 SPDR EURO STOXX 50 ETF IV INDEX CEF 78463x202 1157 26000 SH OTR 0 0 26000 SPDR FUND MATERIALS SELECT SE INDEX CEF 81369y100 19782 251044 SH SOLE 249191 0 1853 SPDR FUND MATERIALS SELECT SE INDEX CEF 81369y100 432 5482 SH OTR 0 0 5482 SPDR S&P 500 ETF IV INDEX CEF 78462f103 126295 318661 SH SOLE 317360 0 1301 SPDR S&P 500 ETF IV INDEX CEF 78462f103 9941 25083 SH OTR 0 0 25083 SPDR S&P DIVIDEND ETF IV INDEX CEF 78464a763 4020 34060 SH SOLE 34060 0 0 SPDR S&P DIVIDEND ETF IV INDEX CEF 78464a763 15 125 SH OTR 0 0 125 SPDR S&P TRANSPORTATION ETF IV INDEX CEF 78464a532 1400 16000 SH SOLE 16000 0 0 SPDR S&P TRANSPORTATION ETF IV INDEX CEF 78464a532 47 533 SH OTR 0 0 533 SPDR SP HEALTH CARE EQUIPMENT INDEX CEF 78464a581 1437 12013 SH SOLE 12013 0 0 TECHNOLOGY SELECT SECTOR SPDR INDEX CEF 81369y803 29215 219977 SH SOLE 217443 0 2534 TECHNOLOGY SELECT SECTOR SPDR INDEX CEF 81369y803 418 3146 SH OTR 0 0 3146 VANECK VECTORS GOLD MINERS ETF INDEX CEF 92189f106 494 15192 SH SOLE 14700 0 492 VANECK VECTORS GOLD MINERS ETF INDEX CEF 92189f106 328 10093 SH OTR 25 0 10068 VANECK VECTORS JUNIOR GOLD MIN INDEX CEF 92189f791 2223 49395 SH SOLE 49395 0 0 VANECK VECTORS OIL SERVICES ET INDEX CEF 92189f718 956 5000 SH SOLE 5000 0 0 VANGUARD DIVIDEND APPRECIATIO INDEX CEF 921908844 5055 34368 SH SOLE 34368 0 0 VANGUARD ENERGY ETF IV INDEX CEF 92204a306 896 13173 SH SOLE 13173 0 0 VANGUARD ENERGY ETF IV INDEX CEF 92204a306 1081 15900 SH OTR 0 0 15900 VANGUARD FINANCIALS ETF IV INDEX CEF 92204a405 204 2411 SH OTR 0 0 2411 VANGUARD HIGH DIVIDEND YIELD E INDEX CEF 921946406 289 2860 SH SOLE 2860 0 0 VANGUARD HIGH DIVIDEND YIELD E INDEX CEF 921946406 20 200 SH OTR 0 0 200 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908736 5226 20330 SH SOLE 20330 0 0 VANGUARD INFORMATION TECHNOLO INDEX CEF 92204a702 289 807 SH SOLE 807 0 0 VANGUARD INFORMATION TECHNOLO INDEX CEF 92204a702 34 95 SH OTR 0 0 95 VANGUARD MEGA CAP GROWTH ETF I INDEX CEF 921910816 1674 8085 SH SOLE 8085 0 0 VANGUARD S&P 500 ETF IV INDEX CEF 922908363 27143 74507 SH SOLE 71431 0 3076 VANGUARD S&P 500 ETF IV INDEX CEF 922908363 9125 25048 SH OTR 0 0 25048 VANGUARD TOTAL INTERNATIONAL S INDEX CEF 921909768 1429 22787 SH SOLE 22787 0 0 VANGUARD TOTAL INTERNATIONAL S INDEX CEF 921909768 20 315 SH OTR 0 0 315 VANGUARD TOTAL STOCK MARKET E INDEX CEF 922908769 0 0 SH SOLE 0 0 0 VANGUARD TOTAL STOCK MARKET E INDEX CEF 922908769 761 3681 SH OTR 0 0 3681 XTRCKR HRVT CSI 300 CHN A SHR INDEX CEF 233051879 834 21600 SH OTR 0 0 21600 INVESCO FINANCIAL PREFERRED ET ETF 46137v621 478 25325 SH SOLE 25325 0 0 INVESCO INTERNATIONAL CORPORAT ETF 46138e636 232 8105 SH SOLE 8105 0 0 INVESCO INTERNATIONAL CORPORAT ETF 46138e636 15 520 SH OTR 0 0 520 ISHARES CORE US AGGRGT BOND ET ETF 464287226 285 2500 SH SOLE 2500 0 0 ISHARES CORE US AGGRGT BOND ET ETF 464287226 4089 35920 SH OTR 0 0 35920 ISHARES FLOATING RATE BOND ETF ETF 46429b655 635 12499 SH SOLE 12499 0 0 ISHARES FLOATING RATE BOND ETF ETF 46429b655 24 468 SH OTR 0 0 468 ISHARES IBOXX INVT GRADE BOND ETF 464287242 167 1282 SH SOLE 1282 0 0 ISHARES IBOXX INVT GRADE BOND ETF 464287242 49 379 SH OTR 0 0 379 ISHARES S&P U S PFD FUND S&P U ETF 464288687 402 10471 SH SOLE 10471 0 0 ISHARES S&P U S PFD FUND S&P U ETF 464288687 124 3218 SH OTR 0 0 3218 ISHARES TIPS BOND ETF IV ETF 464287176 18 140 SH SOLE 140 0 0 ISHARES TIPS BOND ETF IV ETF 464287176 1200 9564 SH OTR 0 0 9564 ISHARES TR IS 1 5 YR IN GR CR ETF 464288646 4093 74853 SH SOLE 73495 0 1358 ISHARES TR IS 1 5 YR IN GR CR ETF 464288646 4202 76845 SH OTR 0 0 76845 PIMCO 0-5 YEAR HIGH YLD BND ET ETF 72201r783 226 2280 SH SOLE 2280 0 0 PIMCO 0-5 YEAR HIGH YLD BND ET ETF 72201r783 2 17 SH OTR 17 0 17 PIMCO ACTIVE BOND ETF IV ETF 72201r775 5353 48905 SH SOLE 48905 0 0 PIMCO ACTIVE BOND ETF IV ETF 72201r775 227 2071 SH OTR 0 0 2071 PIMCO ENHNCD SHRT MATRTY ACTV ETF 72201r833 6736 66096 SH SOLE 66096 0 0 PIMCO ENHNCD SHRT MATRTY ACTV ETF 72201r833 964 9456 SH OTR 29 0 9427 SPDR BLMBRG BRCLY INV GR FLTN ETF 78468r200 2481 80963 SH SOLE 80963 0 0 SPDR BLMBRG BRCLY INV GR FLTN ETF 78468r200 105 3425 SH OTR 0 0 3425 SPDR BLOOMBERG BARCLAYS HIGH Y ETF 78468r622 333 3064 SH SOLE 3064 0 0 SPDR BLOOMBERG BARCLAYS HIGH Y ETF 78468r622 11 101 SH OTR 0 0 101 SPDR DOUBLELINE TTL RTRN TTCL ETF 78467v848 4871 101032 SH SOLE 100575 0 457 SPDR DOUBLELINE TTL RTRN TTCL ETF 78467v848 256 5312 SH OTR 0 0 5312 SPDR INTRMDT TRM CRPRATE BND E ETF 78464a375 576 15890 SH SOLE 15890 0 0 SPDR SHORT TERM CORPORATE BND ETF 000000000 534 17071 SH SOLE 17071 0 0 VANGUARD EMERGING MARKT GOVT B ETF 921946885 241 3105 SH SOLE 3105 0 0 VANGUARD INTERMEDIATE TERM COR ETF 92206c870 475 5109 SH SOLE 5109 0 0 VANGUARD INTERMEDIATE TERM COR ETF 92206c870 9 100 SH OTR 0 0 100 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 1281 15533 SH SOLE 15533 0 0 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 25 300 SH OTR 0 0 300 VANGUARD SHORT-TERM BOND ETF I ETF 921937827 648 7881 SH SOLE 7881 0 0 VANGUARD TOTAL INTERNATIONAL B ETF 92203j407 1753 30690 SH SOLE 30614 0 76 VANGUARD TOTAL INTERNATIONAL B ETF 92203j407 69 1212 SH OTR 0 0 1212 APOLLO GLOBAL MGMT CLASS A LP 03768e105 86 1837 SH SOLE 1837 0 0 APOLLO GLOBAL MGMT CLASS A LP 03768e105 118 2500 SH OTR 0 0 2500 BLACKSTONE GROUP INC LP 09260d107 46 621 SH SOLE 621 0 0 BLACKSTONE GROUP INC LP 09260d107 185 2479 SH OTR 0 0 2479 CLEARBRIDGE ENRGY MDSTRA LP 18469p209 747 40000 SH SOLE 40000 0 0 Riverside Foxmoor Associates LP 000000000 0 85953 SH OTR 0 0 85953 BLACKOCK MUNIHOLDINGS IN NON-TAX CEF 09254p108 289 20194 SH SOLE 20194 0 0 BLACKROCK CALIFORNIA MUN NON-TAX CEF 09248e102 1106 77035 SH SOLE 77035 0 0 BLACKROCK CALIFORNIA MUN NON-TAX CEF 09248e102 769 53573 SH OTR 0 0 53573 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09248f109 5219 347949 SH SOLE 347949 0 0 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09248f109 386 25746 SH OTR 0 0 25746 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09249n101 63 4120 SH SOLE 4120 0 0 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09249n101 113 7436 SH OTR 0 0 7436 BLACKROCK MUNIENHANCEXXX MANDA NON-TAX CEF 09253y100 198 16765 SH SOLE 16765 0 0 BLACKROCK MUNIENHANCEXXX MANDA NON-TAX CEF 09253y100 37 3113 SH OTR 0 0 3113 BLACKROCK MUNIHLDG CALIF NON-TAX CEF 09254l107 325 21584 SH SOLE 21584 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254n103 11775 799379 SH SOLE 799379 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254n103 673 45698 SH OTR 0 0 45698 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254m105 6945 471195 SH SOLE 471195 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254m105 51 3448 SH OTR 0 0 3448 BLACKROCK MUNIYIELD CF NON-TAX CEF 09253w104 272 18970 SH SOLE 18970 0 0 BLACKROCK MUNIYIELD QUAL NON-TAX CEF 09254e103 275 19308 SH SOLE 19308 0 0 BLACKROCK MUNIYLD QUALIT NON-TAX CEF 09254g108 147 10590 SH SOLE 10590 0 0 BLACKROCK MUNIYLD QUALIT NON-TAX CEF 09254f100 176 11100 SH SOLE 11100 0 0 BNY MELLON STRATEGIC MUN NON-TAX CEF 09662e109 237 30210 SH SOLE 30210 0 0 BNY MELLON STRATEGIC MUN NON-TAX CEF 05588w108 126 14714 SH SOLE 14714 0 0 DWS MUNICIPAL INCOME CF NON-TAX CEF 233368109 237 20365 SH SOLE 20365 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 1087 85002 SH SOLE 85002 0 0 INVESCO MUNI OPPORTUNITY TRUST NON-TAX CEF 46132c107 240 18240 SH SOLE 18240 0 0 INVESCO MUNICIPAL TRUST NON-TAX CEF 46131j103 157 11920 SH SOLE 11920 0 0 INVESCO VALUE MUNI INCM TRUST NON-TAX CEF 46132p108 217 13875 SH SOLE 13875 0 0 NUVEEN AMT FREE MNCPL CR NON-TAX CEF 67071l106 373 22088 SH SOLE 22088 0 0 NUVEEN AMT FREE QUALITY NON-TAX CEF 670657105 603 40689 SH SOLE 40689 0 0 NUVEEN AMT FREE QUALITY NON-TAX CEF 670657105 39 2598 SH OTR 0 0 2598 NUVEEN CLIFORNIA QULTY M NON-TAX CEF 67066y105 668 44962 SH SOLE 44962 0 0 NUVEEN DIVID ADVANTAGE MUN FD NON-TAX CEF 67070X101 323 20000 SH SOLE 20000 0 0 NUVEEN ENHANCED MUNICIPA NON-TAX CEF 67074m101 317 18920 SH SOLE 18920 0 0 NUVEEN MUNI HIGH INC OPP NON-TAX CEF 670682103 257 17795 SH SOLE 17795 0 0 NUVEEN QUALITY MUNICIPAL NON-TAX CEF 67066v101 548 36209 SH SOLE 36209 0 0 NUVEEN QUALITY MUNICIPAL NON-TAX CEF 67066v101 39 2567 SH OTR 0 0 2567 PIMCO CALIFOR MUNI INCM NON-TAX CEF 72201c109 123 11623 SH SOLE 11623 0 0 PIMCO MUNICIPAL INCOME C NON-TAX CEF 72200r107 265 18413 SH OTR 0 0 18413 PIMCO MUNICIPAL INCOME I NON-TAX CEF 72200w106 336 22580 SH SOLE 22580 0 0 WESTERN ASST MNGD MUNCPL NON-TAX CEF 95766m105 370 28465 SH SOLE 28465 0 0 ISHARES NATIONAL MUNI BOND ETF ETF 464288414 2514 21661 SH SOLE 21661 0 0 ISHARES NATIONAL MUNI BOND ETF ETF 464288414 26 227 SH OTR 0 0 227 PIMCO SHORT TERM MUNI BOND ACT ETF 72201r874 1751 34105 SH SOLE 34105 0 0 PIMCO SHORT TERM MUNI BOND ACT ETF 72201r874 428 8343 SH OTR 0 0 8343 HILLMAN GROUP C 11.6 PFD DUE 0 PFD 43162l206 292 11402 SH OTR 0 0 11402 Security Etch Intl Sr-B Red/Cv PFD 000000000 0 20000 SH OTR 0 0 20000 TABERNA PREFERRED .018 07/05/2 PFD 87330l200 0 500000 SH SOLE 500000 0 0 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 60 49968 SH OTR 0 0 49968 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 86 73329 SH OTR 0 0 73329 AMERICAN TOWER CORP ETF 03027x100 233 974 SH SOLE 974 0 0 ANNALY CAPITAL MGMT REIT ETF 035710409 705 81953 SH SOLE 81953 0 0 ANNALY CAPITAL MGMT REIT ETF 035710409 246 28658 SH OTR 0 0 28658 APT INVT MGMT CO ETF 03748r747 154 25032 SH SOLE 25032 0 0 APT INVT MGMT CO ETF 03748r747 28 4500 SH OTR 50 0 4450 CROWN CASTLE INTL CO REIT ETF 22822v101 826 4800 SH SOLE 4800 0 0 PROLOGIS INC. REIT ETF 74340w103 32 300 SH SOLE 300 0 0 PROLOGIS INC. REIT ETF 74340w103 223 2100 SH OTR 0 0 2100 RAYONIER INC. REIT ETF 754907103 645 20000 SH SOLE 20000 0 0 SIMON PPTY GROUP REIT ETF 828806109 582 5116 SH SOLE 5116 0 0 SIMON PPTY GROUP REIT ETF 828806109 57 500 SH OTR 0 0 500 VEREIT INC ETF 92339v308 535 13852 SH SOLE 13852 0 0 HYCROFT MNG HLDG 25 WTS WARRAN WT 44862p117 5 10000 SH SOLE 10000 0 0