0001062993-16-009137.txt : 20160421
0001062993-16-009137.hdr.sgml : 20160421
20160421133852
ACCESSION NUMBER: 0001062993-16-009137
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160421
DATE AS OF CHANGE: 20160421
EFFECTIVENESS DATE: 20160421
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Eagle Ridge Investment Management
CENTRAL INDEX KEY: 0001445891
IRS NUMBER: 232730112
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13340
FILM NUMBER: 161583662
BUSINESS ADDRESS:
STREET 1: 5 HIGH RIDGE PARK
STREET 2: 2ND FLOOR
CITY: STAMFORD
STATE: CT
ZIP: 06905
BUSINESS PHONE: 2032274515
MAIL ADDRESS:
STREET 1: 5 HIGH RIDGE PARK
STREET 2: 2ND FLOOR
CITY: STAMFORD
STATE: CT
ZIP: 06905
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001445891
XXXXXXXX
03-31-2016
03-31-2016
Eagle Ridge Investment Management
5 HIGH RIDGE PARK
2ND FLOOR
STAMFORD
CT
06905
13F HOLDINGS REPORT
028-13340
N
John J. Knox III
Chief Compliance Officer
203-227-4515
John J. Knox III
Stamford
CT
04-21-2016
0
123
427217
true
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
3M CO
COM
88579Y101
6290
37746
SH
SOLE
32196
0
5550
ABB LTD
SPONSORED ADR
000375204
2129
109646
SH
SOLE
97446
0
12200
ABBOTT LABS
COM
002824100
4946
118238
SH
SOLE
118238
0
0
ABBVIE INC
COM
00287Y109
4533
79359
SH
SOLE
79359
0
0
ALASKA AIR GROUP INC
COM
011659109
429
5227
SH
SOLE
5227
0
0
ALPHABET INC
CAP STK CL A
02079K305
5715
7491
SH
SOLE
6721
0
770
ALPHABET INC
CAP STK CL C
02079K107
2061
2766
SH
SOLE
2463
0
303
AMBEV SA
SPONSORED ADR
02319V103
1660
320400
SH
SOLE
283500
0
36900
AMDOCS LTD
SHS
G02602103
5899
97639
SH
SOLE
81574
0
16065
AMERIPRISE FINL INC
COM
03076C106
200
2130
SH
SOLE
1530
0
600
AMGEN INC
COM
031162100
259
1725
SH
SOLE
1725
0
0
ANIKA THERAPEUTICS INC
COM
035255108
217
4850
SH
SOLE
4800
0
50
APPLE INC
COM
037833100
6916
63452
SH
SOLE
56452
0
7000
AT&T INC
COM
00206R102
707
18041
SH
SOLE
18041
0
0
ATRION CORP
COM
049904105
251
635
SH
SOLE
635
0
0
BANK AMER CORP
COM
060505104
5077
375546
SH
SOLE
375546
0
0
BANK NEW YORK MELLON CORP
COM
064058100
4994
135608
SH
SOLE
135608
0
0
BARD C R INC
COM
067383109
5197
25645
SH
SOLE
25645
0
0
BELLICUM PHARMACEUTICALS INC
COM
079481107
127
13550
SH
SOLE
13550
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1708
8
SH
SOLE
3
0
5
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1035
7297
SH
SOLE
7297
0
0
BLACKROCK INC
COM
09247X101
6671
19588
SH
SOLE
19588
0
0
BOEING CO
COM
097023105
798
6286
SH
SOLE
6286
0
0
BORGWARNER INC
COM
099724106
5164
134487
SH
SOLE
134487
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
216
3375
SH
SOLE
2515
0
860
BROADCOM LTD
SHS
Y09827109
5191
33600
SH
SOLE
28270
0
5330
CANADIAN NAT RES LTD
COM
136385101
1168
43242
SH
SOLE
41297
0
1945
CBS CORP NEW
CL B
124857202
7404
134397
SH
SOLE
134397
0
0
CELGENE CORP
COM
151020104
1794
17922
SH
SOLE
5542
0
12380
SCHWAB CHARLES CORP NEW
COM
808513105
6308
225132
SH
SOLE
225132
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
3536
40427
SH
SOLE
35082
0
5345
CHEVRON CORP NEW
COM
166764100
468
4903
SH
SOLE
4035
0
868
CISCO SYS INC
COM
17275R102
301
10567
SH
SOLE
10567
0
0
CME GROUP INC
COM
12572Q105
5074
52823
SH
SOLE
45358
0
7465
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
6620
105588
SH
SOLE
105588
0
0
COLGATE PALMOLIVE CO
COM
194162103
696
9850
SH
SOLE
250
0
9600
CVS HEALTH CORP
COM
126650100
12199
117601
SH
SOLE
117601
0
0
DOLBY LABORATORIES INC
COM
25659T107
4322
99448
SH
SOLE
83927
0
15521
DUKE ENERGY CORP NEW
COM NEW
26441C204
288
3572
SH
SOLE
3330
0
242
EDWARDS LIFESCIENCES CORP
COM
28176E108
8519
96578
SH
SOLE
79224
0
17354
E M C CORP MASS
COM
268648102
3731
139998
SH
SOLE
139998
0
0
EMERSON ELEC CO
COM
291011104
3432
63107
SH
SOLE
63107
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
1291
52425
SH
SOLE
39531
0
12894
EXXON MOBIL CORP
COM
30231G102
8760
104801
SH
SOLE
90022
0
14779
FEDEX CORP
COM
31428X106
5651
34730
SH
SOLE
28317
0
6413
FOOT LOCKER INC
COM
344849104
677
10491
SH
SOLE
10491
0
0
GENERAL ELECTRIC CO
COM
369604103
1113
35016
SH
SOLE
31016
0
4000
GILEAD SCIENCES INC
COM
375558103
683
7435
SH
SOLE
7435
0
0
HALLIBURTON CO
COM
406216101
3915
109598
SH
SOLE
109598
0
0
HARLEY DAVIDSON INC
COM
412822108
5069
98750
SH
SOLE
98750
0
0
HARMAN INTL INDS INC
COM
413086109
552
6203
SH
SOLE
6203
0
0
HOME DEPOT INC
COM
437076102
13061
97887
SH
SOLE
97887
0
0
HONEYWELL INTL INC
COM
438516106
377
3365
SH
SOLE
3365
0
0
INTEL CORP
COM
458140100
11286
348858
SH
SOLE
334696
0
14162
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
5881
51692
SH
SOLE
47072
0
4620
IPG PHOTONICS CORP
COM
44980X109
4538
47235
SH
SOLE
39240
0
7995
ISHARES TR
1-3 YR CR BD ETF
464288646
14146
134189
SH
SOLE
118584
0
15605
ISHARES TR
CORE S&P500 ETF
464287200
212
1028
SH
SOLE
1028
0
0
ISHARES TR
FLTG RATE BD ETF
46429B655
5406
107210
SH
SOLE
95285
0
11925
ISHARES TR
INTERM CR BD ETF
464288638
417
3800
SH
SOLE
3800
0
0
ISHARES TR
MBS ETF
464288588
10398
94976
SH
SOLE
82834
0
12142
ISHARES TR
USA MIN VOL ETF
46429B697
393
8935
SH
SOLE
8785
0
150
ISHARES TR
NEW YORK MUN ETF
464288323
502
4450
SH
SOLE
2700
0
1750
ISHARES TR
RUS 1000 ETF
464287622
231
2023
SH
SOLE
1993
0
30
ISHARES TR
TIPS BD ETF
464287176
4690
40909
SH
SOLE
37189
0
3720
JOHNSON & JOHNSON
COM
478160104
1177
10882
SH
SOLE
7128
0
3754
JPMORGAN CHASE & CO
COM
46625H100
6197
104637
SH
SOLE
104637
0
0
KULICKE & SOFFA INDS INC
COM
501242101
323
28550
SH
SOLE
27450
0
1100
LINEAR TECHNOLOGY CORP
COM
535678106
245
5500
SH
SOLE
0
0
5500
LOCKHEED MARTIN CORP
COM
539830109
232
1048
SH
SOLE
1048
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
733
8562
SH
SOLE
8562
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1391
20213
SH
SOLE
13103
0
7110
MASTERCARD INC
CL A
57636Q104
8151
86259
SH
SOLE
86259
0
0
MICROSOFT CORP
COM
594918104
7484
135515
SH
SOLE
118424
0
17091
MOCON INC
COM
607494101
227
16370
SH
SOLE
16370
0
0
MORNINGSTAR INC
COM
617700109
219
2480
SH
SOLE
2480
0
0
NIKE INC
CL B
654106103
6622
107733
SH
SOLE
97005
0
10728
NORFOLK SOUTHERN CORP
COM
655844108
6059
72785
SH
SOLE
72785
0
0
NOVADAQ TECHNOLOGIES INC
COM
66987G102
644
58051
SH
SOLE
58051
0
0
ORACLE CORP
COM
68389X105
245
6000
SH
SOLE
6000
0
0
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
5921
21636
SH
SOLE
19463
0
2173
PFIZER INC
COM
717081103
300
10116
SH
SOLE
10116
0
0
POLARIS INDS INC
COM
731068102
3759
38175
SH
SOLE
31840
0
6335
PROCTER & GAMBLE CO
COM
742718109
4989
60610
SH
SOLE
59758
0
852
QUALCOMM INC
COM
747525103
3485
68153
SH
SOLE
59583
0
8570
RAYTHEON CO
COM NEW
755111507
7172
58486
SH
SOLE
58486
0
0
REALTY INCOME CORP
COM
756109104
316
5057
SH
SOLE
5057
0
0
RELX PLC
SPONSORED ADR
759530108
3129
166542
SH
SOLE
145602
0
20940
ROYAL CARIBBEAN CRUISES LTD
COM
V7780T103
927
11287
SH
SOLE
11287
0
0
SCHLUMBERGER LTD
COM
806857108
2972
40303
SH
SOLE
40303
0
0
SOUTHERN CO
COM
842587107
4509
87173
SH
SOLE
76848
0
10325
SPDR SERIES TRUST
BRCLY EM LOCL
78464A391
837
31033
SH
SOLE
29298
0
1735
SPDR SERIES TRUST
BARC SHT TR CP
78464A474
3857
125915
SH
SOLE
121585
0
4330
SPDR SERIES TRUST
NUVN CALI MUNI
78464A441
262
10620
SH
SOLE
10620
0
0
SPDR SER TR
NUVN BRCLY MUNI
78468R721
5917
119932
SH
SOLE
111247
0
8685
SPDR SERIES TRUST
NUVN BR NY MUNI
78464A433
849
35540
SH
SOLE
24940
0
10600
SPDR SER TR
NUVN BR SHT MUNI
78468R739
4469
91547
SH
SOLE
81397
0
10150
ST JUDE MED INC
COM
790849103
4194
76261
SH
SOLE
76261
0
0
STRYKER CORP
COM
863667101
4451
41483
SH
SOLE
37398
0
4085
SYNGENTA AG
SPONSORED ADR
87160A100
3552
42888
SH
SOLE
39234
0
3654
SYNOPSYS INC
COM
871607107
204
4205
SH
SOLE
4205
0
0
SYSCO CORP
COM
871829107
5236
112039
SH
SOLE
100889
0
11150
PRICE T ROWE GROUP INC
COM
74144T108
4278
58240
SH
SOLE
58240
0
0
TESSERA TECHNOLOGIES INC
COM
88164L100
222
7165
SH
SOLE
7165
0
0
TORONTO DOMINION BK ONT
COM NEW
891160509
3315
76860
SH
SOLE
70220
0
6640
TRIMBLE NAVIGATION LTD
COM
896239100
5874
236875
SH
SOLE
236875
0
0
UFP TECHNOLOGIES INC
COM
902673102
259
11639
SH
SOLE
11639
0
0
UNION PAC CORP
COM
907818108
331
4156
SH
SOLE
956
0
3200
UNITED PARCEL SERVICE INC
CL B
911312106
6021
57086
SH
SOLE
57086
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
5134
51285
SH
SOLE
51285
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
9906
76849
SH
SOLE
71049
0
5800
URSTADT BIDDLE PPTYS INC
CL A
917286205
606
28940
SH
SOLE
20940
0
8000
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
221
3200
SH
SOLE
3200
0
0
VANGUARD SCOTTSDALE FDS
MORTG-BACK SEC
92206C771
7495
140165
SH
SOLE
136225
0
3940
VANGUARD SCOTTSDALE FDS
VNG RUS1000IDX
92206C730
331
3515
SH
SOLE
3430
0
85
VANGUARD MUN BD FD INC
TAX-EXEMPT BD
922907746
314
6110
SH
SOLE
5610
0
500
VARIAN MED SYS INC
COM
92220P105
4518
56455
SH
SOLE
49981
0
6474
VENTAS INC
COM
92276F100
363
5771
SH
SOLE
5771
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
5748
106292
SH
SOLE
106292
0
0
VISA INC
COM CL A
92826C839
7269
95038
SH
SOLE
86246
0
8792
GRAINGER W W INC
COM
384802104
4790
20522
SH
SOLE
17272
0
3250
WEYERHAEUSER CO
COM
962166104
4661
150468
SH
SOLE
128857
0
21611
WISDOMTREE TR
EMG MKTS SMCAP
97717W281
804
21287
SH
SOLE
17457
0
3830