0001062993-16-011926.txt : 20161031
0001062993-16-011926.hdr.sgml : 20161031
20161031135631
ACCESSION NUMBER: 0001062993-16-011926
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161031
DATE AS OF CHANGE: 20161031
EFFECTIVENESS DATE: 20161031
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: 161961096
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
09-30-2016
09-30-2016
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
10-25-2016
0
130
450218
true
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
3M CO
COM
88579Y101
6606
37486
SH
SOLE
32266
0
5220
ABB LTD
SPONSORED ADR
000375204
2458
109181
SH
SOLE
99211
0
9970
ABBOTT LABS
COM
002824100
4546
107486
SH
SOLE
107486
0
0
ABBVIE INC
COM
00287Y109
6129
97170
SH
SOLE
97170
0
0
ALASKA AIR GROUP INC
COM
011659109
350
5317
SH
SOLE
5317
0
0
ALPHABET INC
CAP STK CL A
02079K305
6002
7465
SH
SOLE
6775
0
690
ALPHABET INC
CAP STK CL C
02079K107
2127
2736
SH
SOLE
2433
0
303
AMBEV SA
SPONSORED ADR
02319V103
1969
323335
SH
SOLE
290560
0
32775
AMDOCS LTD
SHS
G02602103
5708
98669
SH
SOLE
84044
0
14625
AMERCO
COM
023586100
375
1157
SH
SOLE
1157
0
0
AMGEN INC
COM
031162100
288
1725
SH
SOLE
1725
0
0
ANIKA THERAPEUTICS INC
COM
035255108
221
4610
SH
SOLE
4610
0
0
APPLE INC
COM
037833100
6752
59724
SH
SOLE
52724
0
7000
AT&T INC
COM
00206R102
645
15892
SH
SOLE
15892
0
0
ATRION CORP
COM
049904105
271
635
SH
SOLE
635
0
0
BANK AMER CORP
COM
060505104
5597
357637
SH
SOLE
357637
0
0
BANK NEW YORK MELLON CORP
COM
064058100
5278
132347
SH
SOLE
132347
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1730
8
SH
SOLE
3
0
5
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1206
8347
SH
SOLE
8347
0
0
BLACKROCK INC
COM
09247X101
6897
19028
SH
SOLE
19028
0
0
BOEING CO
COM
097023105
788
5983
SH
SOLE
5983
0
0
BORGWARNER INC
COM
099724106
7838
222786
SH
SOLE
222786
0
0
BROADCOM LTD
SHS
Y09827109
5479
31760
SH
SOLE
26630
0
5130
CANADIAN NAT RES LTD
COM
136385101
776
24220
SH
SOLE
23000
0
1220
CBS CORP NEW
CL B
124857202
7148
130590
SH
SOLE
130590
0
0
CELGENE CORP
COM
151020104
1790
17122
SH
SOLE
5385
0
11737
SCHWAB CHARLES CORP NEW
COM
808513105
6940
219844
SH
SOLE
219844
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
3233
41657
SH
SOLE
36542
0
5115
CHEVRON CORP NEW
COM
166764100
467
4533
SH
SOLE
3895
0
638
CISCO SYS INC
COM
17275R102
270
8500
SH
SOLE
8500
0
0
CME GROUP INC
COM
12572Q105
5568
53273
SH
SOLE
46613
0
6660
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
4881
102314
SH
SOLE
102314
0
0
COLGATE PALMOLIVE CO
COM
194162103
756
10200
SH
SOLE
600
0
9600
BARD C R INC
COM
067383109
5569
24829
SH
SOLE
24829
0
0
CVS HEALTH CORP
COM
126650100
10147
114028
SH
SOLE
114028
0
0
DIAGEO P L C
SPON ADR NEW
25243Q205
255
2200
SH
SOLE
2200
0
0
DOLBY LABORATORIES INC
COM
25659T107
5420
99838
SH
SOLE
85077
0
14761
DOVER CORP
COM
260003108
279
3795
SH
SOLE
3795
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
255
3186
SH
SOLE
2944
0
242
ECOLAB INC
COM
278865100
209
1716
SH
SOLE
1716
0
0
EDWARDS LIFESCIENCES CORP
COM
28176E108
1543
12795
SH
SOLE
12795
0
0
EMERSON ELEC CO
COM
291011104
386
7080
SH
SOLE
7080
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
1165
42180
SH
SOLE
40544
0
1636
EXXON MOBIL CORP
COM
30231G102
9273
106239
SH
SOLE
92355
0
13884
GENERAL ELECTRIC CO
COM
369604103
896
30247
SH
SOLE
27247
0
3000
CLAYMORE EXCHANGE TRD FD TR
GUGG BULSH 2021
18383M266
309
14328
SH
SOLE
14328
0
0
HALLIBURTON CO
COM
406216101
4861
108306
SH
SOLE
108306
0
0
HARLEY DAVIDSON INC
COM
412822108
4746
90248
SH
SOLE
90248
0
0
HOME DEPOT INC
COM
437076102
12409
96433
SH
SOLE
96433
0
0
HONEYWELL INTL INC
COM
438516106
328
2810
SH
SOLE
2810
0
0
INTEL CORP
COM
458140100
12921
342291
SH
SOLE
329329
0
12962
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
7269
50842
SH
SOLE
46652
0
4190
IPG PHOTONICS CORP
COM
44980X109
3703
44970
SH
SOLE
38315
0
6655
ISHARES TR
1-3 YR CR BD ETF
464288646
13771
130209
SH
SOLE
115459
0
14750
ISHARES TR
CALIF MUN BD ETF
464288356
220
1820
SH
SOLE
1420
0
400
ISHARES
MODERT ALLOC ETF
464289875
260
7200
SH
SOLE
7200
0
0
ISHARES TR
CORE S&P500 ETF
464287200
224
1028
SH
SOLE
1028
0
0
ISHARES TR
MIN VOL USA ETF
46429B697
427
9405
SH
SOLE
9195
0
210
ISHARES TR
FLTG RATE BD ETF
46429B655
5777
113839
SH
SOLE
104989
0
8850
ISHARES TR
INTERM CR BD ETF
464288638
423
3800
SH
SOLE
3800
0
0
ISHARES TR
MBS ETF
464288588
10227
92901
SH
SOLE
81674
0
11227
ISHARES TR
NEW YORK MUN ETF
464288323
1243
10900
SH
SOLE
6490
0
4410
ISHARES TR
RUS 1000 ETF
464287622
259
2148
SH
SOLE
2118
0
30
ISHARES TR
TIPS BD ETF
464287176
4939
42399
SH
SOLE
39179
0
3220
JOHNSON & JOHNSON
COM
478160104
1450
12271
SH
SOLE
8517
0
3754
JPMORGAN CHASE & CO
COM
46625H100
6781
101825
SH
SOLE
101825
0
0
KULICKE & SOFFA INDS INC
COM
501242101
344
26580
SH
SOLE
26580
0
0
LINEAR TECHNOLOGY CORP
COM
535678106
326
5500
SH
SOLE
0
0
5500
LOCKHEED MARTIN CORP
COM
539830109
251
1048
SH
SOLE
1048
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
637
7895
SH
SOLE
7895
0
0
M & T BK CORP
COM
55261F104
4702
40500
SH
SOLE
34910
0
5590
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1334
18857
SH
SOLE
12347
0
6510
MASTERCARD INCORPORATED
CL A
57636Q104
8957
88014
SH
SOLE
88014
0
0
MERCK & CO INC
COM
58933Y105
209
3347
SH
SOLE
1501
0
1846
MICROSOFT CORP
COM
594918104
7844
136175
SH
SOLE
120284
0
15891
MOCON INC
COM
607494101
255
16270
SH
SOLE
16270
0
0
NATIONAL RETAIL PPTYS INC
COM
637417106
351
6898
SH
SOLE
6898
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
345
25000
SH
SOLE
25000
0
0
NEW SR INVT GROUP INC
COM
648691103
271
23500
SH
SOLE
23500
0
0
NIKE INC
CL B
654106103
6087
115618
SH
SOLE
100290
0
15328
NORFOLK SOUTHERN CORP
COM
655844108
6918
71279
SH
SOLE
71279
0
0
NOVADAQ TECHNOLOGIES INC
COM
66987G102
479
41411
SH
SOLE
41411
0
0
ORACLE CORP
COM
68389X105
270
6875
SH
SOLE
6875
0
0
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
6187
22086
SH
SOLE
20093
0
1993
PEPSICO INC
COM
713448108
253
2325
SH
SOLE
2125
0
200
PFIZER INC
COM
717081103
373
11024
SH
SOLE
11024
0
0
POLARIS INDS INC
COM
731068102
4941
63810
SH
SOLE
54605
0
9205
PROCTER AND GAMBLE CO
COM
742718109
5351
59623
SH
SOLE
58771
0
852
QUALCOMM INC
COM
747525103
14010
204531
SH
SOLE
196821
0
7710
RAYTHEON CO
COM NEW
755111507
7811
57377
SH
SOLE
57377
0
0
RELX PLC
SPONSORED ADR
759530108
3183
166112
SH
SOLE
147472
0
18640
ROYAL CARIBBEAN CRUISES LTD
COM
V7780T103
541
7223
SH
SOLE
7223
0
0
S&P GLOBAL INC
COM
78409V104
202
1600
SH
SOLE
1600
0
0
SCHLUMBERGER LTD
COM
806857108
3231
41085
SH
SOLE
41085
0
0
SCORPIO TANKERS INC
SHS
Y7542C106
234
50500
SH
SOLE
50500
0
0
SHIRE PLC
SPONSORED ADR
82481R106
580
2993
SH
SOLE
2993
0
0
SOUTHERN CO
COM
842587107
4724
92085
SH
SOLE
82840
0
9245
SPDR SERIES TRUST
BRCLY EM LOCL
78464A391
1214
42838
SH
SOLE
41103
0
1735
SPDR SERIES TRUST
INTR TRM CORP BD
78464A375
1125
32221
SH
SOLE
32221
0
0
SPDR SERIES TRUST
LNG TRM CORP BD
78464A367
281
6550
SH
SOLE
6550
0
0
SPDR SERIES TRUST
BARC SHT TR CP
78464A474
5727
186119
SH
SOLE
179884
0
6235
SPDR SER TR
NUVN BRCLY MUNI
78468R721
5928
118377
SH
SOLE
113242
0
5135
SPDR SER TR
NUVN BR SHT MUNI
78468R739
4990
102152
SH
SOLE
91157
0
10995
ST JUDE MED INC
COM
790849103
5709
71581
SH
SOLE
71581
0
0
STRYKER CORP
COM
863667101
4906
42144
SH
SOLE
38564
0
3580
SYNGENTA AG
SPONSORED ADR
87160A100
1273
14535
SH
SOLE
12795
0
1740
SYNOPSYS INC
COM
871607107
250
4205
SH
SOLE
4205
0
0
SYSCO CORP
COM
871829107
5423
110654
SH
SOLE
100464
0
10190
TESSERA TECHNOLOGIES INC
COM
88164L100
275
7165
SH
SOLE
7165
0
0
THOR INDS INC
COM
885160101
5959
70350
SH
SOLE
60145
0
10205
TORONTO DOMINION BK ONT
COM NEW
891160509
3464
78025
SH
SOLE
72100
0
5925
TRIMBLE NAVIGATION LTD
COM
896239100
6674
233685
SH
SOLE
233685
0
0
UFP TECHNOLOGIES INC
COM
902673102
306
11539
SH
SOLE
11539
0
0
UNILEVER PLC
SPON ADR NEW
904767704
230
4843
SH
SOLE
4843
0
0
UNION PAC CORP
COM
907818108
388
3982
SH
SOLE
782
0
3200
UNITED PARCEL SERVICE INC
CL B
911312106
7982
72985
SH
SOLE
72985
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
5141
50603
SH
SOLE
50603
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
10478
74846
SH
SOLE
69046
0
5800
URSTADT BIDDLE PPTYS INC
CL A
917286205
643
28940
SH
SOLE
20940
0
8000
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
332
4600
SH
SOLE
4600
0
0
VANGUARD SCOTTSDALE FDS
MORTG-BACK SEC
92206C771
9879
183084
SH
SOLE
178009
0
5075
VANGUARD SCOTTSDALE FDS
VNG RUS1000IDX
92206C730
339
3400
SH
SOLE
3315
0
85
VANGUARD MUN BD FD INC
TAX EXEMPT BD
922907746
1749
33515
SH
SOLE
30445
0
3070
VARIAN MED SYS INC
COM
92220P105
5655
56820
SH
SOLE
51221
0
5599
VENTAS INC
COM
92276F100
239
3388
SH
SOLE
3388
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
5418
104228
SH
SOLE
104228
0
0
VISA INC
COM CL A
92826C839
7721
93363
SH
SOLE
85351
0
8012
GRAINGER W W INC
COM
384802104
4598
20452
SH
SOLE
17422
0
3030
WEYERHAEUSER CO
COM
962166104
4822
150961
SH
SOLE
132546
0
18415
WISDOMTREE TR
EMG MKTS SMCAP
97717W281
864
20702
SH
SOLE
17247
0
3455