0001567619-18-006166.txt : 20181114 0001567619-18-006166.hdr.sgml : 20181114 20181114142339 ACCESSION NUMBER: 0001567619-18-006166 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 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: 181182687 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 true false 0001425165 XXXXXXXX 09-30-2018 09-30-2018 Apriem Advisors

19200 VON KARMAN AVE #1050 IRVINE CA 92612

13F HOLDINGS REPORT 028-12756 N Benjamin Lau 949-253-8888 /s/ Benjamin Lau IRVINE CA 11-14-2018 0 164 456845 false INFORMATION TABLE 2 form13fInfoTable.xml CALL NORDIC AMERN TANK cl 004636832 0 40 SH Call SOLE 40 0 0 CALL SPDR CNSMR STAPLES cl 004596122 6 13 SH Call SOLE 13 0 0 1/100 BERKSHIRE HTWY CLA cs 084990175 320 1 SH SOLE 1 0 0 5BARZ INTL INC cs 33833F100 4 50000 SH SOLE 50000 0 0 A T & T INC cs 00206R102 8812 262433 SH SOLE 220680 0 41753 ABBOTT LABORATORIES cs 002824100 298 4056 SH SOLE 4056 0 0 ABBVIE INC cs 00287Y109 6703 70873 SH SOLE 65453 0 5420 ABERDEEN ASIA PACIFIC IN cs 003009107 215 52000 SH SOLE 52000 0 0 ADVANCED MICRO DEVIC cs 007903107 613 19842 SH SOLE 19442 0 400 ALIBABA GROUP HOLDING F cs 01609W102 658 3992 SH SOLE 3987 0 5 ALLERGAN PLC F cs G0177J108 604 3173 SH SOLE 3173 0 0 ALPHABET INC. cs 02079K107 228 191 SH SOLE 191 0 0 ALPHABET INC. cs 02079K305 6855 5679 SH SOLE 5410 0 269 ALPS ALERIAN MLP ETF cs 00162Q866 2898 271390 SH SOLE 212820 0 58570 ALTAIR ENGINEERING INC cs 021369103 1664 38300 SH SOLE 38300 0 0 AMAZON.COM INC cs 023135106 6444 3217 SH SOLE 3035 0 182 AMGEN INC. cs 031162100 436 2104 SH SOLE 2104 0 0 ANGEL ACQUISITION CORXXX cs 03462P109 0 10999983 SH SOLE 10999983 0 0 APPLE INC cs 037833100 12713 56316 SH SOLE 52503 0 3813 BAIDU COM INC F cs 056752108 229 1002 SH SOLE 1002 0 0 BANK OF AMERICA CORP cs 060505104 6222 211211 SH SOLE 195091 0 16120 BERKSHIRE HATHAWAY cs 084670702 2451 11447 SH SOLE 7797 0 3650 BLACKROCK CREDIT ALLOCAT cs 092508100 2526 206340 SH SOLE 194965 0 11375 BLACKROCK FLOAT RATE INC cs 09255X100 1194 86550 SH SOLE 83550 0 3000 BLACKROCK MULTI SECTOR I cs 09258A107 938 55450 SH SOLE 52200 0 3250 BLACKROCK MUNIYIELD CALI cs 09254N103 671 52404 SH SOLE 45237 0 7167 BOEING CO cs 097023105 903 2428 SH SOLE 2428 0 0 BRISTOL-MYERS SQUIBB cs 110122108 286 4603 SH SOLE 4003 0 600 C V B FINL CORP cs 126600105 720 32275 SH SOLE 32275 0 0 CAPRICOR THERAPEUTICS INC COM cs 14070B101 53 50000 SH SOLE 0 0 50000 CENTURYLINK INC cs 156700106 323 15237 SH SOLE 15237 0 0 CHANCELLOR GROUP INC cs 15883D101 0 70000 SH SOLE 70000 0 0 CHARLES SCHWAB US MC cs 808524508 20350 351835 SH SOLE 337771 0 14064 CHEVRON CORP cs 166764100 1019 8337 SH SOLE 5581 0 2756 CISCO SYSTEMS INC cs 17275R102 9243 189996 SH SOLE 178395 0 11601 CITIGROUP INC cs 172967424 481 6702 SH SOLE 6702 0 0 CLOROX CO cs 189054109 3570 23738 SH SOLE 22621 0 1117 COHEN AND STEERS INFRAST cs 19248A109 4046 182832 SH SOLE 165957 0 16875 COMMERCE BANCSHARES cs 200525103 347 5250 SH SOLE 5250 0 0 CONOCOPHILLIPS cs 20825C104 226 2925 SH SOLE 2925 0 0 CONSOLIDATED EDISON cs 209115104 6175 81044 SH SOLE 73604 0 7440 COSTCO WHOLESALE CO cs 22160K105 397 1692 SH SOLE 1692 0 0 CREATIVE EDGE NUTRIT cs 22528W205 0 150000 SH SOLE 150000 0 0 DNP SELECT INCOME CF cs 23325P104 241 21800 SH SOLE 21800 0 0 DOUBLELINE INCOME SOLUTI cs 258622109 894 44280 SH SOLE 43755 0 525 DOUBLELINE OPPORTUNISTIC cs 258623107 485 23600 SH SOLE 22900 0 700 DOWDUPONT INC cs 26078J100 872 13560 SH SOLE 13560 0 0 DUKE ENERGY CORP cs 26441C204 244 3050 SH SOLE 3050 0 0 EATON CORP PLC F cs G29183103 8216 94726 SH SOLE 85637 0 9089 EATON VANCE LIMITED DURA cs 27828H105 7613 600414 SH SOLE 565712 0 34702 EATON VANCE TAX ADVANTAG cs 27828G107 1786 72840 SH SOLE 70140 0 2700 EDISON INTERNTNL cs 281020107 206 3048 SH SOLE 2623 0 425 EMERSON ELECTRIC CO cs 291011104 207 2701 SH SOLE 2701 0 0 ENERGY SELECT SECTOR cs 81369Y506 1675 22120 SH SOLE 10470 0 11650 ETFS GOLD TRUST ETF cs 26922Y105 281 2440 SH SOLE 2140 0 300 EXXON MOBIL CORP cs 30231G102 14243 167527 SH SOLE 163927 0 3600 FACEBOOK INC cs 30303M102 6412 38991 SH SOLE 36337 0 2654 FIRST FOUNDATION INC cs 32026V104 312 20000 SH SOLE 20000 0 0 FIRST TRUST INTERNET cs 33733E302 435 3075 SH SOLE 3075 0 0 FIRST TRUST NYSE ARCA cs 33733E203 277 1750 SH SOLE 1750 0 0 FRESH PROMISE FOODS cs 302999271 0 150000 SH SOLE 150000 0 0 GARRISON CAPITAL INC cs 366554103 95 11441 SH SOLE 11441 0 0 GENERAL ELECTRIC CO cs 369604103 333 29521 SH SOLE 26976 0 2545 GENERAL MILLS INC cs 370334104 295 6875 SH SOLE 6875 0 0 GERON CORP cs 374163103 18 10000 SH SOLE 10000 0 0 GILEAD SCIENCES INC cs 375558103 327 4237 SH SOLE 4087 0 150 HEALTHMED SVCS LTD cs 422246306 2 489700 SH SOLE 489700 0 0 HEMP INC cs 423703206 0 10000 SH SOLE 10000 0 0 HOME DEPOT INC cs 437076102 675 3260 SH SOLE 3160 0 100 HONEYWELL INTL INC cs 438516106 489 2939 SH SOLE 2939 0 0 IBM CORP cs 459200101 234 1547 SH SOLE 1547 0 0 INTEL CORP cs 458140100 325 6864 SH SOLE 6864 0 0 INVESCO BULLETSHARES cs 46138J106 456 21550 SH SOLE 21550 0 0 INVESCO CALIFORNIA cs 46138E206 480 18806 SH SOLE 23556 0 1250 INVESCO OPTIMUM YIELD cs 46090F100 32087 1709486 SH SOLE 1622127 0 87359 INVESCO PREFERRED ETF cs 46138E511 6111 426714 SH SOLE 383179 0 43535 INVESCO S&P 500 EQUAL cs 46137V282 1195 7100 SH SOLE 100 0 7000 INVESCO S&P 500 EQUAL cs 46137V357 9973 93370 SH SOLE 89037 0 4333 INVESCO S&P 500 HIGH cs 46138E362 1617 39050 SH SOLE 37150 0 1900 INVESCO S&P 500 LOW cs 46138E354 22702 458446 SH SOLE 437537 0 20909 INVESCO SENIOR LOAN ETF cs 46138G508 264 11410 SH SOLE 11410 0 0 ISHARES CORE S&P 500 cs 464287200 272 930 SH SOLE 930 0 0 ISHARES INTERMEDT TERM cs 464288638 1149 21640 SH SOLE 17540 0 4100 ISHARES NASDAQ cs 464287556 719 5895 SH SOLE 2820 0 3075 ISHARES RUSSELL 1000 cs 464287614 1582 10142 SH SOLE 142 0 10000 ISHARES US AEROSPACE cs 464288760 1545 7140 SH SOLE 140 0 7000 ISHARES US HEALTHCARE cs 464287762 1203 5927 SH SOLE 1827 0 4100 J P MORGAN CHASE & CO cs 46625H100 7190 63721 SH SOLE 60146 0 3575 JOHNSON & JOHNSON cs 478160104 428 3095 SH SOLE 3059 0 36 JP MORGAN CHASE ALERIAN cs 46625H365 464 16900 SH SOLE 10250 0 6650 KIMBERLY-CLARK CORP cs 494368103 239 2100 SH SOLE 1775 0 325 KONINKLIJKE PHILIPS N F cs 500472303 4659 102382 SH SOLE 98275 0 4107 LEO MOTORS INC cs 526362108 50 610100 SH SOLE 610100 0 0 LIBERTY ALL STAR GROWTH cs 529900102 1020 160700 SH SOLE 152600 0 8100 LIBERTY STAR URANIUM cs 53123T206 0 616600 SH SOLE 616600 0 0 LOCKHEED MARTIN CORP cs 539830109 570 1647 SH SOLE 1640 0 7 LOWES COMPANIES INC cs 548661107 726 6320 SH SOLE 6170 0 150 MARSH & MC LENNAN CO cs 571748102 271 3279 SH SOLE 3279 0 0 MCIG INC cs 55279L101 6 25000 SH SOLE 25000 0 0 MERCK & CO. INC. cs 58933Y105 786 11076 SH SOLE 10876 0 200 MICROSOFT CORP cs 594918104 397 3474 SH SOLE 3474 0 0 NANOTECH ENTERTAINMENT I cs 63009Y203 0 19921 SH SOLE 19921 0 0 NAVIOS MARITIME F cs Y62196103 85 120000 SH SOLE 120000 0 0 NETFLIX INC cs 64110L106 968 2587 SH SOLE 2407 0 180 NFUSZ INC cs 65342D101 10 25000 SH SOLE 25000 0 0 NORTHROP GRUMMAN CO cs 666807102 223 703 SH SOLE 703 0 0 NUVEEN ALL CAP ENERGY ML cs 67075E108 442 55514 SH SOLE 5075 0 50439 NUVEEN CLIFORNIA QULTY M cs 67066Y105 2492 192597 SH SOLE 181047 0 11550 NUVEEN S&P500 BUY-WRITE cs 6706ER101 2720 189294 SH SOLE 164494 0 24800 NUVEN CALIFOR AMT FREE Q cs 670651108 2184 169672 SH SOLE 161172 0 8500 NVIDIA CORP cs 67066G104 594 2113 SH SOLE 2113 0 0 OXFORD SQUARE CAP cs 69181V107 97 13661 SH SOLE 13661 0 0 PALO ALTO NETWORKS cs 697435105 265 1175 SH SOLE 955 0 220 PANDORA MEDIA INC cs 698354107 95 10000 SH SOLE 10000 0 0 PAYPAL HOLDINGS INCORPOR cs 70450Y103 561 6385 SH SOLE 6385 0 0 PFIZER INC cs 717081103 8309 188552 SH SOLE 171577 0 16975 PHILLIPS 66 cs 718546104 268 2375 SH SOLE 2375 0 0 PPG INDUSTRIES INC cs 693506107 381 3491 SH SOLE 3491 0 0 PROCTER & GAMBLE cs 742718109 526 6319 SH SOLE 6169 0 150 QUALCOMM INC cs 747525103 433 6013 SH SOLE 6013 0 0 RAYTHEON CO cs 755111507 252 1220 SH SOLE 1220 0 0 ROYCE VALUE CF cs 780910105 1786 109221 SH SOLE 106996 0 2225 S B A COMMUNICATIONS cs 78410G104 626 3900 SH SOLE 3900 0 0 SCHWAB EMERGING MARKETS cs 808524706 260 10108 SH SOLE 9669 0 439 SCHWAB INTERNATIONAL cs 808524805 1138 33926 SH SOLE 32426 0 1500 SCHWAB US BROAD MARKET cs 808524102 2081 29559 SH SOLE 26460 0 3099 SCHWAB US DIVIDEND cs 808524797 1838 34670 SH SOLE 8125 0 26545 SCHWAB US LARGE CAP cs 808524409 1695 30222 SH SOLE 10222 0 20000 SCHWAB US LARGE CAP cs 808524300 19878 242361 SH SOLE 235255 0 7106 SCHWAB US LARGE CAP ETF cs 808524201 85876 1234560 SH SOLE 1165412 0 69148 SCHWAB US SMALL CAP ETF cs 808524607 23224 304894 SH SOLE 269473 0 35421 SELECT SECTOR INDUSTRIAL cs 81369Y704 384 4900 SH SOLE 4750 0 150 SELECT SECTOR UTI SELECT cs 81369Y886 2411 45800 SH SOLE 1000 0 44800 SELECT STR FINANCIAL cs 81369Y605 2202 79839 SH SOLE 19414 0 60425 SIRIUS XM HLDGS INC cs 82968B103 261 41240 SH SOLE 41240 0 0 SOLARIS PWR CELLS cs 83416X101 0 20000 SH SOLE 20000 0 0 SPDR DOW JONES cs 78467X109 1097 4150 SH SOLE 150 0 4000 SPDR GOLD SHARES ETF cs 78463V107 251 2225 SH SOLE 2225 0 0 SPDR S&P 500 ETF cs 78462F103 9198 31638 SH SOLE 5863 0 25775 SPDR S&P OIL & GAS EXPL cs 78464A730 318 7350 SH SOLE 7350 0 0 SQUARE INC cs 852234103 223 2250 SH SOLE 2250 0 0 STARBUCKS CORP cs 855244109 1140 20062 SH SOLE 19112 0 950 TESLA INC cs 88160R101 213 803 SH SOLE 556 0 247 UNION PACIFIC CORP cs 907818108 569 3496 SH SOLE 3496 0 0 UNITED TECHNOLOGIES cs 913017109 4551 32550 SH SOLE 31510 0 1040 USA URANIUM CORP XXX cs 91154T109 0 400000 SH SOLE 0 0 400000 VANECK VECTORS GOLD cs 92189F106 585 31600 SH SOLE 2600 0 29000 VANECK VECTORS PFD SEC cs 92189F429 657 33825 SH SOLE 33025 0 800 VANGUARD FINANCIALS ETF cs 92204A405 6630 95579 SH SOLE 90324 0 5255 VANGUARD INTERNATNL HGH cs 921946794 999 15900 SH SOLE 650 0 15250 VANGUARD S&P 500 ETF cs 922908363 445 1665 SH SOLE 1665 0 0 VERIZON COMMUNICATN cs 92343V104 4031 75497 SH SOLE 64111 0 11386 WAL-MART STORES cs 931142103 236 2516 SH SOLE 2516 0 0 WALT DISNEY CO cs 254687106 403 3444 SH SOLE 3439 0 5 WELLS FARGO BK N A cs 949746101 292 5550 SH SOLE 5550 0 0 WESTERN DIGITAL CORP cs 958102105 280 4775 SH SOLE 4775 0 0 XENONICS HOLDINGS cs 984117101 0 16553 SH SOLE 16553 0 0 YUM BRANDS INC cs 988498101 210 2306 SH SOLE 2306 0 0 ANNALY CAPITAL MGMT oa 035710409 2077 203055 SH SOLE 170555 0 32500 ENTERPRISE PRODS PART LP oa 293792107 345 12024 SH SOLE 12024 0 0 GENERAL MOTORS 7.70XXX oa 370ESCAU9 0 25000 SH SOLE 25000 0 0 NEW YORK MTG TR oa 649604501 95 15698 SH SOLE 15698 0 0 VENTAS INC oa 92276F100 241 4425 SH SOLE 3975 0 450 LIBERTY ALL STAR 18RTS wt 529900888 0 147612 SH SOLE 140409 0 7203