0001085146-20-002839.txt : 20201110 0001085146-20-002839.hdr.sgml : 20201110 20201109204325 ACCESSION NUMBER: 0001085146-20-002839 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201110 DATE AS OF CHANGE: 20201109 EFFECTIVENESS DATE: 20201110 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: 201299366 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 09-30-2020 09-30-2020 false Apriem Advisors

19200 VON KARMAN AVE #1050 IRVINE CA 92612

13F HOLDINGS REPORT 028-12756 N Benjamin C. Lau 949-253-8888 /s/ Benjamin C. Lau IRVINE CA 11-06-2020 0 123 544794 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 11492 71747 SH SOLE 63013 0 9284 ABBOTT LABS COM 002824100 394 3620 SH SOLE 3620 0 0 ABBVIE INC COM 00287Y109 1253 14306 SH SOLE 13424 0 1325 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 145 36300 SH SOLE 36300 0 0 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 232 12800 SH SOLE 7150 0 6000 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 282 1249 SH SOLE 1249 0 0 ADVANCED MICRO DEVICES INC COM 007903107 1282 15642 SH SOLE 15512 0 330 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 428 1457 SH SOLE 1692 0 5 ALPHABET INC CAP STK CL A 02079K305 11561 7888 SH SOLE 7264 0 684 ALPHABET INC CAP STK CL C 02079K107 532 362 SH SOLE 397 0 0 ALTAIR ENGR INC COM CL A 021369103 628 14965 SH SOLE 14965 0 0 AMAZON COM INC COM 023135106 16786 5331 SH SOLE 4595 0 742 AMGEN INC COM 031162100 635 2497 SH SOLE 2557 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 143 20100 SH SOLE 19475 0 625 APPLE INC COM 037833100 32476 280424 SH SOLE 268999 0 17761 AT&T INC COM 00206R102 7095 248870 SH SOLE 207132 0 43938 AUTOMATIC DATA PROCESSING IN COM 053015103 12620 90470 SH SOLE 83215 0 7763 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2454 11524 SH SOLE 8370 0 3169 BERKSHIRE HATHAWAY INC DEL CL A 084670108 320 1 SH SOLE 1 0 0 BIOGEN INC COM 09062X103 15967 56287 SH SOLE 50983 0 5592 BK OF AMERICA CORP COM 060505104 2748 114067 SH SOLE 109382 0 6755 BLACKROCK FLOATING RATE INCO COM 09255X100 557 48421 SH SOLE 46521 0 2700 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 208 15000 SH SOLE 15000 0 0 BLACKROCK MUNIYIELD CALIF QU COM 09254N103 352 24536 SH SOLE 24786 0 200 BOEING CO COM 097023105 2239 13547 SH SOLE 13602 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 338 5612 SH SOLE 5512 0 200 BROADCOM INC COM 11135F101 473 1298 SH SOLE 1298 0 0 BROWN FORMAN CORP CL B 115637209 259 3444 SH SOLE 3444 0 0 CHEVRON CORP NEW COM 166764100 582 8079 SH SOLE 7378 0 701 CINTAS CORP COM 172908105 19574 58812 SH SOLE 56958 0 1858 CISCO SYS INC COM 17275R102 3840 97480 SH SOLE 85829 0 12908 CITIGROUP INC COM NEW 172967424 331 7675 SH SOLE 8115 0 0 CLOROX CO DEL COM 189054109 357 1700 SH SOLE 1700 0 0 CONSOLIDATED EDISON INC COM 209115104 1589 20418 SH SOLE 9768 0 10750 COSTCO WHSL CORP NEW COM 22160K105 681 1917 SH SOLE 2217 0 0 CVB FINL CORP COM 126600105 520 31249 SH SOLE 31249 0 0 DISNEY WALT CO COM DISNEY 254687106 886 7142 SH SOLE 7009 0 150 DNP SELECT INCOME FD INC COM 23325P104 150 14900 SH SOLE 11900 0 3000 DOMINION ENERGY INC COM 25746U109 235 2977 SH SOLE 3077 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 318 19820 SH SOLE 18820 0 3500 DOUBLELINE OPPORTUNISTIC CR COM 258623107 509 26700 SH SOLE 26400 0 700 DUKE ENERGY CORP NEW COM NEW 26441C204 281 3175 SH SOLE 3175 0 0 EATON CORP PLC SHS G29183103 1124 11020 SH SOLE 10120 0 1200 EATON VANCE LTD DURATION INC COM 27828H105 746 65933 SH SOLE 63833 0 2900 EMERSON ELEC CO COM 291011104 310 4733 SH SOLE 5008 0 0 EXXON MOBIL CORP COM 30231G102 3493 101736 SH SOLE 101736 0 150 FACEBOOK INC CL A 30303M102 18355 70085 SH SOLE 64336 0 7274 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 295 3200 SH SOLE 3200 0 0 FIRST FNDTN INC COM 32026V104 261 20000 SH SOLE 20000 0 0 FIRST TR SR FLG RTE INCM FD COM 33733U108 236 21500 SH SOLE 21500 0 0 GENERAL ELECTRIC CO COM 369604103 74 11798 SH SOLE 12908 0 246 GENERAL MLS INC COM 370334104 1280 20754 SH SOLE 20779 0 125 HOME DEPOT INC COM 437076102 719 2589 SH SOLE 2654 0 0 HONEYWELL INTL INC COM 438516106 503 3053 SH SOLE 3153 0 0 INTEL CORP COM 458140100 14032 270990 SH SOLE 243604 0 28671 INTERNATIONAL BUSINESS MACHS COM 459200101 282 2318 SH SOLE 2223 0 175 INVESCO EXCH TRADED FD TR II CALIF AMT MUN 46138E206 563 20400 SH SOLE 15150 0 5250 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 1496 7101 SH SOLE 101 0 7000 INVESCO QQQ TR UNIT SER 1 46090E103 3407 12264 SH SOLE 6846 0 7143 ISHARES TR NASDAQ BIOTECH 464287556 718 5305 SH SOLE 2105 0 3200 ISHARES TR RUS 1000 GRW ETF 464287614 2181 10056 SH SOLE 56 0 10000 ISHARES TR ISHS 5-10YR INVT 464288638 976 16049 SH SOLE 14449 0 1600 ISHARES TR US HLTHCARE ETF 464287762 909 4000 SH SOLE 0 0 4150 JOHNSON & JOHNSON COM 478160104 12925 86813 SH SOLE 76631 0 10582 JPMORGAN CHASE & CO COM 46625H100 6591 68464 SH SOLE 58703 0 10161 KIMBERLY CLARK CORP COM 494368103 329 2225 SH SOLE 1825 0 400 KINROSS GOLD CORP COM 496902404 882 100000 SH SOLE 0 0 100000 KLA CORP COM NEW 482480100 8091 41763 SH SOLE 35419 0 6710 LAM RESEARCH CORP COM 512807108 750 2260 SH SOLE 2210 0 160 LOWES COS INC COM 548661107 17267 104104 SH SOLE 91038 0 13451 LULULEMON ATHLETICA INC COM 550021109 379 1150 SH SOLE 1150 0 0 MEDTRONIC PLC SHS G5960L103 14439 138939 SH SOLE 127119 0 11831 MERCK & CO. INC COM 58933Y105 993 11969 SH SOLE 11779 0 490 MICRON TECHNOLOGY INC COM 595112103 209 4460 SH SOLE 5197 0 300 MICROSOFT CORP COM 594918104 2801 13316 SH SOLE 7410 0 6383 NANOSTRING TECHNOLOGIES INC COM 63009R109 268 6000 SH SOLE 6000 0 0 NAVIOS MARITIME HLDGS INC COM Y62197119 32 18000 SH SOLE 18000 0 0 NETFLIX INC COM 64110L106 805 1609 SH SOLE 1619 0 0 NORTHROP GRUMMAN CORP COM 666807102 223 706 SH SOLE 934 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 1148 78820 SH SOLE 75070 0 4200 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 1130 74009 SH SOLE 68809 0 5200 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 594 52675 SH SOLE 33675 0 19000 NVIDIA CORPORATION COM 67066G104 692 1278 SH SOLE 1286 0 40 PALO ALTO NETWORKS INC COM 697435105 247 1010 SH SOLE 885 0 200 PARKER-HANNIFIN CORP COM 701094104 242 1196 SH SOLE 1196 0 0 PAYPAL HLDGS INC COM 70450Y103 877 4450 SH SOLE 4300 0 150 PBF ENERGY INC CL A 69318G106 172 30237 SH SOLE 30237 0 0 PEPSICO INC COM 713448108 401 2896 SH SOLE 3076 0 0 PFIZER INC COM 717081103 4289 116863 SH SOLE 103117 0 14553 PRICE T ROWE GROUP INC COM 74144T108 14631 114108 SH SOLE 103152 0 11325 PROCTER AND GAMBLE CO COM 742718109 1119 8049 SH SOLE 7749 0 300 QUALCOMM INC COM 747525103 1346 11437 SH SOLE 11712 0 350 RAYTHEON TECHNOLOGIES CORP COM 75513E101 338 5870 SH SOLE 5889 0 0 SCHWAB CHARLES CORP COM 808513105 483 13332 SH SOLE 13332 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 214 3128 SH SOLE 3128 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 13377 499890 SH SOLE 423311 0 79529 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 40739 1297416 SH SOLE 1213316 0 93394 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 1752 33579 SH SOLE 12929 0 23250 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 5890 73963 SH SOLE 84375 0 3850 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 2242 40540 SH SOLE 4340 0 40965 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 505 4383 SH SOLE 4258 0 275 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 60069 1071131 SH SOLE 1014785 0 58271 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 59229 734578 SH SOLE 695644 0 42987 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 368 3150 SH SOLE 3150 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2703 45525 SH SOLE 1225 0 47030 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 1152 4150 SH SOLE 150 0 4000 SPDR GOLD TR GOLD SHS 78463V107 332 1877 SH SOLE 1877 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 9811 29297 SH SOLE 29297 0 0 STARBUCKS CORP COM 855244109 1349 15699 SH SOLE 15524 0 800 STRYKER CORPORATION COM 863667101 13422 64416 SH SOLE 62390 0 2032 TESLA INC COM 88160R101 13132 30611 SH SOLE 21577 0 9038 UNION PAC CORP COM 907818108 504 2561 SH SOLE 2661 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2369 60500 SH SOLE 900 0 60000 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 460 24000 SH SOLE 23200 0 800 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 7949 145616 SH SOLE 123045 0 24346 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 471 1531 SH SOLE 2666 0 90 VANGUARD INDEX FDS TOTAL STK MKT 922908769 365 2145 SH SOLE 2145 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3464 41805 SH SOLE 38755 0 3050 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 302 1850 SH SOLE 1850 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1304 21912 SH SOLE 20012 0 2200 XILINX INC COM 983919101 304 2915 SH SOLE 2965 0 250 YAMANA GOLD INC COM 98462Y100 372 65500 SH SOLE 500 0 65000 YUM BRANDS INC COM 988498101 239 2613 SH SOLE 2613 0 0