VP, CIO, Director

0001085146-19-000986.txt : 20190219 0001085146-19-000986.hdr.sgml : 20190219 20190219093558 ACCESSION NUMBER: 0001085146-19-000986 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190219 DATE AS OF CHANGE: 20190219 EFFECTIVENESS DATE: 20190219 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Apriem Advisors CENTRAL INDEX KEY: 0001425165 IRS NUMBER: 330188030 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12756 FILM NUMBER: 19613697 BUSINESS ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1050 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 949-253-8888 MAIL ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1050 CITY: IRVINE STATE: CA ZIP: 92612 FORMER COMPANY: FORMER CONFORMED NAME: Iwamoto, Kong & Co., Inc. DATE OF NAME CHANGE: 20080125 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001425165 XXXXXXXX 12-31-2018 12-31-2018 false Apriem Advisors

19200 VON KARMAN AVE #1050 IRVINE CA 92612

13F HOLDINGS REPORT 028-12756 N Benjamin C. Lau VP, CIO, Director 949-253-8888 /s/Benjamin C. Lau IRVINE CA 02-14-2019 0 126 284363 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 305 4217 SH SOLE 4217 0 0 ABBVIE INC COM 00287Y109 7165 77724 SH SOLE 67839 0 9885 ABERDEEN ASIA PACIFIC INCOM COM 003009107 141 36500 SH SOLE 36500 0 0 ABERDEEN STD GOLD ETF TR PHYSCL SWISS GLD 00326A104 252 2040 SH SOLE 1740 0 300 ADVANCED MICRO DEVICES INC COM 007903107 313 16932 SH SOLE 16532 0 400 ALLERGAN PLC SHS G0177J108 384 2873 SH SOLE 2873 0 0 ALPHABET INC CAP STK CL A 02079K305 6941 6642 SH SOLE 5973 0 669 ALPS ETF TR ALERIAN MLP 00162Q866 2085 238875 SH SOLE 172305 0 66570 ALTAIR ENGR INC COM CL A 021369103 1056 38300 SH SOLE 38300 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 194 14250 SH SOLE 14250 0 0 AMAZON COM INC COM 023135106 5847 3893 SH SOLE 3508 0 385 AMGEN INC COM 031162100 484 2484 SH SOLE 2484 0 0 ANNALY CAP MGMT INC COM 035710409 1563 159155 SH SOLE 120655 0 38500 APPLE INC COM 037833100 10396 65908 SH SOLE 60595 0 5313 AT&T INC COM 00206R102 7496 262661 SH SOLE 216648 0 46013 BANK AMER CORP COM 060505104 6035 244924 SH SOLE 221129 0 23795 BERKSHIRE HATHAWAY INC DEL CL A 084670108 306 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2359 11552 SH SOLE 7902 0 3650 BLACKROCK CR ALLCTN INC TR COM 092508100 3051 272860 SH SOLE 255510 0 17350 BLACKROCK FLOAT RATE OME STR COM 09255X100 832 69950 SH SOLE 67450 0 2500 BLACKROCK MULTI-SECTOR INC T COM 09258A107 926 60300 SH SOLE 53075 0 7225 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 727 57550 SH SOLE 49683 0 7867 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 192 14900 SH SOLE 14900 0 0 BOEING CO COM 097023105 793 2459 SH SOLE 2459 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 208 4003 SH SOLE 3403 0 600 CAPRICOR THERAPEUTICS INC COM 14070B101 21 50000 SH SOLE 50000 0 0 CENTURYLINK INC COM 156700106 198 13039 SH SOLE 13039 0 0 CHEVRON CORP NEW COM 166764100 692 6361 SH SOLE 5605 0 756 CISCO SYS INC COM 17275R102 8699 200760 SH SOLE 183259 0 17501 CITIGROUP INC COM NEW 172967424 318 6104 SH SOLE 6104 0 0 CLOROX CO DEL COM 189054109 5100 33085 SH SOLE 29293 0 3792 COHEN & STEERS INFRASTRUCTUR COM 19248A109 3742 189397 SH SOLE 166272 0 23125 COMMERCE BANCSHARES INC COM 200525103 311 5512 SH SOLE 5512 0 0 CONSOLIDATED EDISON INC COM 209115104 7478 97798 SH SOLE 85883 0 11915 COSTCO WHSL CORP NEW COM 22160K105 344 1688 SH SOLE 1688 0 0 CVB FINL CORP COM 126600105 1186 58638 SH SOLE 58638 0 0 DISNEY WALT CO COM DISNEY 254687106 420 3834 SH SOLE 3829 0 5 DNP SELECT INCOME FD COM 23325P104 268 25800 SH SOLE 25800 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 800 46168 SH SOLE 45643 0 525 DOUBLELINE OPPORTUNISTIC CR COM 258623107 317 16750 SH SOLE 16050 0 700 DOWDUPONT INC COM 26078J100 741 13862 SH SOLE 13862 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 272 3150 SH SOLE 3150 0 0 EATON CORP PLC SHS G29183103 6763 98501 SH SOLE 85712 0 12789 EATON VANCE LTD DUR INCOME F COM 27828H105 8131 682153 SH SOLE 635699 0 46454 EATON VANCE TAX ADVT DIV INC COM 27828G107 1180 62115 SH SOLE 57415 0 4700 ENTERPRISE PRODS PARTNERS L COM 293792107 300 12211 SH SOLE 12211 0 0 EXXON MOBIL CORP COM 30231G102 12233 179392 SH SOLE 168542 0 10850 FACEBOOK INC CL A 30303M102 809 6168 SH SOLE 5593 0 575 FIRST FNDTN INC COM 32026V104 257 20000 SH SOLE 20000 0 0 GENERAL ELECTRIC CO COM 369604103 189 24956 SH SOLE 23397 0 1559 GENERAL MLS INC COM 370334104 254 6535 SH SOLE 6535 0 0 GERON CORP COM 374163103 10 10000 SH SOLE 10000 0 0 GILEAD SCIENCES INC COM 375558103 215 3437 SH SOLE 3287 0 150 HOME DEPOT INC COM 437076102 591 3439 SH SOLE 3339 0 100 HONEYWELL INTL INC COM 438516106 389 2946 SH SOLE 2946 0 0 INTEL CORP COM 458140100 332 7074 SH SOLE 7074 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 CB 46138J304 1185 56275 SH SOLE 56275 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 1000 7100 SH SOLE 100 0 7000 INVESCO EXCHNG TRADED FD TR CALIF AMT MUN 46138E206 418 16210 SH SOLE 14960 0 1250 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 5314 394535 SH SOLE 343250 0 51285 INVESCO EXCHNG TRADED FD TR S&P500 HDL VOL 46138E362 1401 36675 SH SOLE 33775 0 2900 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 22596 484365 SH SOLE 463126 0 21239 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 249 11410 SH SOLE 11410 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1799 11664 SH SOLE 4864 0 6800 ISHARES TR CORE S&P500 ETF 464287200 272 1080 SH SOLE 1080 0 0 ISHARES TR INTRM TR CRP ETF 464288638 1082 20640 SH SOLE 16540 0 4100 ISHARES TR MSCI EAFE ETF 464287465 211 3586 SH SOLE 3586 0 0 ISHARES TR NASDAQ BIOTECH 464287556 577 5980 SH SOLE 2580 0 3400 ISHARES TR RUS 1000 GRW ETF 464287614 1309 10000 SH SOLE 0 0 10000 ISHARES TR US AER DEF ETF 464288760 1234 7140 SH SOLE 140 0 7000 ISHARES TR US HLTHCARE ETF 464287762 1045 5777 SH SOLE 1527 0 4250 JOHNSON & JOHNSON COM 478160104 425 3291 SH SOLE 3255 0 36 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 232 10400 SH SOLE 9750 0 650 JPMORGAN CHASE & CO COM 46625H100 7288 74662 SH SOLE 66162 0 8500 KIMBERLY CLARK CORP COM 494368103 228 2000 SH SOLE 1675 0 325 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 4261 121352 SH SOLE 107295 0 14057 LIBERTY ALL-STAR GROWTH FD I COM 529900102 744 169534 SH SOLE 155434 0 14100 LOCKHEED MARTIN CORP COM 539830109 443 1693 SH SOLE 1686 0 7 LOWES COS INC COM 548661107 606 6557 SH SOLE 6407 0 150 MARSH & MCLENNAN COS INC COM 571748102 263 3294 SH SOLE 3294 0 0 MERCK & CO INC COM 58933Y105 865 11321 SH SOLE 11121 0 200 MICROSOFT CORP COM 594918104 457 4498 SH SOLE 4498 0 0 NAVIOS MARITIME HOLDINGS INC COM Y62196103 33 120000 SH SOLE 120000 0 0 NETFLIX INC COM 64110L106 584 2181 SH SOLE 2001 0 180 NUVEEN ALL CAP ENE MLP OPPO COM 67075E108 304 55339 SH SOLE 5075 0 50264 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 2333 182997 SH SOLE 167247 0 15750 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 1939 152928 SH SOLE 141228 0 11700 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 2160 178944 SH SOLE 146044 0 32900 PALO ALTO NETWORKS INC COM 697435105 221 1175 SH SOLE 955 0 220 PANDORA MEDIA INC COM 698354107 81 10000 SH SOLE 10000 0 0 PAYPAL HLDGS INC COM 70450Y103 537 6385 SH SOLE 6385 0 0 PFIZER INC COM 717081103 8825 202167 SH SOLE 181167 0 21000 PHILLIPS 66 COM 718546104 207 2406 SH SOLE 2406 0 0 PPG INDS INC COM 693506107 327 3200 SH SOLE 3200 0 0 PROCTER AND GAMBLE CO COM 742718109 571 6214 SH SOLE 6064 0 150 QUALCOMM INC COM 747525103 453 7954 SH SOLE 7954 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 615 3800 SH SOLE 3800 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 219 9320 SH SOLE 8869 0 451 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 895 31571 SH SOLE 30071 0 1500 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 4215 70331 SH SOLE 64732 0 5599 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1711 36425 SH SOLE 7425 0 29000 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 802 11637 SH SOLE 11616 0 21 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 1516 30759 SH SOLE 9259 0 21500 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 51393 860847 SH SOLE 800442 0 60405 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 258 4256 SH SOLE 4234 0 22 SELECT SECTOR SPDR TR ENERGY 81369Y506 1000 17430 SH SOLE 5780 0 11650 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1830 76844 SH SOLE 16419 0 60425 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 283 4395 SH SOLE 4245 0 150 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2424 45800 SH SOLE 1000 0 3580 SIRIUS XM HLDGS INC COM 82968B103 235 41240 SH SOLE 41240 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 968 4150 SH SOLE 150 0 4000 SPDR GOLD TRUST GOLD SHS 78463V107 256 2112 SH SOLE 2112 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1197 4791 SH SOLE 4791 0 0 STARBUCKS CORP COM 855244109 1228 19070 SH SOLE 18120 0 950 TESLA INC COM 88160R101 1208 3631 SH SOLE 1344 0 2287 UNION PAC CORP COM 907818108 469 3396 SH SOLE 3396 0 0 UNITED TECHNOLOGIES CORP COM 913017109 4786 44950 SH SOLE 41020 0 3930 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1109 52600 SH SOLE 2600 0 50000 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 430 24275 SH SOLE 21475 0 2800 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 383 1665 SH SOLE 1665 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 5616 94604 SH SOLE 89174 0 5430 VENTAS INC COM 92276F100 350 5975 SH SOLE 5525 0 450 VERIZON COMMUNICATIONS INC COM 92343V104 1562 27778 SH SOLE 27778 0 0 WALMART INC COM 931142103 247 2652 SH SOLE 2652 0 0 WELLS FARGO CO NEW COM 949746101 256 5550 SH SOLE 5550 0 0 YUM BRANDS INC COM 988498101 212 2306 SH SOLE 2306 0 0