0001062993-17-002143.txt : 20170502
0001062993-17-002143.hdr.sgml : 20170502
20170502111433
ACCESSION NUMBER: 0001062993-17-002143
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170502
DATE AS OF CHANGE: 20170502
EFFECTIVENESS DATE: 20170502
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: 17803517
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
03-31-2017
03-31-2017
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
04-21-2017
0
136
510508
true
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
3M CO
COM
88579Y101
7200
37633
SH
SOLE
32423
0
5210
ABB LTD
SPONSORED ADR
000375204
2972
127021
SH
SOLE
117051
0
9970
ABBOTT LABS
COM
002824100
8337
187728
SH
SOLE
187728
0
0
ABBVIE INC
COM
00287Y109
6314
96894
SH
SOLE
96894
0
0
ALASKA AIR GROUP INC
COM
011659109
345
3737
SH
SOLE
3737
0
0
ALPHABET INC
CAP STK CL A
02079K305
15488
18268
SH
SOLE
17581
0
687
ALPHABET INC
CAP STK CL C
02079K107
1978
2384
SH
SOLE
2084
0
300
AMBEV SA
SPONSORED ADR
02319V103
2131
369995
SH
SOLE
337220
0
32775
AMDOCS LTD
SHS
G02602103
6253
102529
SH
SOLE
87144
0
15385
AMERCO
COM
023586100
314
823
SH
SOLE
823
0
0
AMERICAN NATL BANKSHARES INC
COM
027745108
216
5799
SH
SOLE
5799
0
0
APACHE CORP
COM
037411105
218
4234
SH
SOLE
4234
0
0
APPLE INC
COM
037833100
8766
61016
SH
SOLE
54016
0
7000
AT&T INC
COM
00206R102
780
18772
SH
SOLE
18772
0
0
ATRION CORP
COM
049904105
297
635
SH
SOLE
635
0
0
AUTOLIV INC
COM
052800109
3716
36341
SH
SOLE
31221
0
5120
AVISTA CORP
COM
05379B107
219
5620
SH
SOLE
5620
0
0
BANK AMER CORP
COM
060505104
8715
369452
SH
SOLE
369452
0
0
BANK NEW YORK MELLON CORP
COM
064058100
6592
139573
SH
SOLE
139573
0
0
BECTON DICKINSON & CO
COM
075887109
639
3482
SH
SOLE
3482
0
0
BELLICUM PHARMACEUTICALS INC
COM
079481107
144
11666
SH
SOLE
11666
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1999
8
SH
SOLE
3
0
5
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1696
10174
SH
SOLE
10174
0
0
BLACKROCK INC
COM
09247X101
7174
18707
SH
SOLE
18707
0
0
BOEING CO
COM
097023105
980
5539
SH
SOLE
5539
0
0
BORGWARNER INC
COM
099724106
9735
232948
SH
SOLE
232948
0
0
BROADCOM LTD
SHS
Y09827109
6943
31711
SH
SOLE
26436
0
5275
CANADIAN NAT RES LTD
COM
136385101
886
27023
SH
SOLE
25803
0
1220
CBS CORP NEW
CL B
124857202
9265
133575
SH
SOLE
133575
0
0
CELGENE CORP
COM
151020104
2074
16669
SH
SOLE
5352
0
11317
SCHWAB CHARLES CORP NEW
COM
808513105
9841
241133
SH
SOLE
241133
0
0
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
4689
45671
SH
SOLE
39341
0
6330
CHEVRON CORP NEW
COM
166764100
471
4391
SH
SOLE
3783
0
608
CIMAREX ENERGY CO
COM
171798101
206
1720
SH
SOLE
1720
0
0
CISCO SYS INC
COM
17275R102
286
8462
SH
SOLE
8462
0
0
CME GROUP INC
COM
12572Q105
6164
51888
SH
SOLE
45263
0
6625
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
6172
103690
SH
SOLE
103690
0
0
COLGATE PALMOLIVE CO
COM
194162103
703
9600
SH
SOLE
0
0
9600
BARD C R INC
COM
067383109
6303
25360
SH
SOLE
25360
0
0
CVS HEALTH CORP
COM
126650100
13923
177368
SH
SOLE
168213
0
9155
DIAGEO P L C
SPON ADR NEW
25243Q205
535
4633
SH
SOLE
4633
0
0
DOLBY LABORATORIES INC
COM
25659T107
5326
101623
SH
SOLE
86902
0
14721
DOVER CORP
COM
260003108
361
4495
SH
SOLE
4495
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
229
2789
SH
SOLE
2547
0
242
ECOLAB INC
COM
278865100
409
3262
SH
SOLE
3262
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
1198
43389
SH
SOLE
41753
0
1636
EXXON MOBIL CORP
COM
30231G102
8848
107883
SH
SOLE
94249
0
13634
FACEBOOK INC
CL A
30303M102
397
2795
SH
SOLE
2795
0
0
GENERAL ELECTRIC CO
COM
369604103
783
26265
SH
SOLE
24365
0
1900
HALLIBURTON CO
COM
406216101
5479
111345
SH
SOLE
111345
0
0
HARLEY DAVIDSON INC
COM
412822108
5519
91219
SH
SOLE
91219
0
0
HOME DEPOT INC
COM
437076102
10035
68346
SH
SOLE
68346
0
0
HONEYWELL INTL INC
COM
438516106
270
2160
SH
SOLE
2160
0
0
INTEL CORP
COM
458140100
12631
350192
SH
SOLE
337290
0
12902
INTERNATIONAL BUSINESS MACHS
COM
459200101
323
1852
SH
SOLE
1852
0
0
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
6900
52062
SH
SOLE
47872
0
4190
IPG PHOTONICS CORP
COM
44980X109
6204
51400
SH
SOLE
43985
0
7415
ISHARES TR
10-20 YR TRS ETF
464288653
318
2368
SH
SOLE
2368
0
0
ISHARES TR
1-3 YR CR BD ETF
464288646
8350
79354
SH
SOLE
70099
0
9255
ISHARES TR
CALIF MUN BD ETF
464288356
211
1810
SH
SOLE
1410
0
400
ISHARES
MODERT ALLOC ETF
464289875
249
6850
SH
SOLE
6850
0
0
ISHARES TR
CORE S&P500 ETF
464287200
244
1028
SH
SOLE
1028
0
0
ISHARES TR
MIN VOL USA ETF
46429B697
395
8280
SH
SOLE
8070
0
210
ISHARES TR
FLTG RATE BD ETF
46429B655
5172
101664
SH
SOLE
95824
0
5840
ISHARES TR
INTERM CR BD ETF
464288638
414
3800
SH
SOLE
3800
0
0
ISHARES TR
MBS ETF
464288588
7646
71758
SH
SOLE
61721
0
10037
ISHARES TR
NEW YORK MUN ETF
464288323
1227
11135
SH
SOLE
6725
0
4410
ISHARES TR
RUS 1000 ETF
464287622
277
2113
SH
SOLE
2083
0
30
ISHARES TR
RUSSELL 2000 ETF
464287655
326
2369
SH
SOLE
2369
0
0
ISHARES TR
TIPS BD ETF
464287176
5395
47054
SH
SOLE
43834
0
3220
JOHNSON & JOHNSON
COM
478160104
1649
13237
SH
SOLE
9483
0
3754
JPMORGAN CHASE & CO
COM
46625H100
9150
104165
SH
SOLE
104165
0
0
KULICKE & SOFFA INDS INC
COM
501242101
453
22290
SH
SOLE
22290
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
258
7350
SH
SOLE
7350
0
0
LOCKHEED MARTIN CORP
COM
539830109
281
1050
SH
SOLE
1050
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
646
7081
SH
SOLE
7081
0
0
M & T BK CORP
COM
55261F104
6479
41872
SH
SOLE
36057
0
5815
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1501
19517
SH
SOLE
13007
0
6510
MASTERCARD INCORPORATED
CL A
57636Q104
10185
90556
SH
SOLE
90556
0
0
MICROSOFT CORP
COM
594918104
9006
136738
SH
SOLE
120897
0
15841
MOCON INC
COM
607494101
348
15870
SH
SOLE
15870
0
0
NEOVASC INC
COM
64065J106
15
10000
SH
SOLE
10000
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
316
18613
SH
SOLE
18613
0
0
NIKE INC
CL B
654106103
7076
126975
SH
SOLE
110342
0
16633
NORFOLK SOUTHERN CORP
COM
655844108
8133
72634
SH
SOLE
72634
0
0
NOVADAQ TECHNOLOGIES INC
COM
66987G102
106
13633
SH
SOLE
13633
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
363
4890
SH
SOLE
4890
0
0
ORACLE CORP
COM
68389X105
509
11400
SH
SOLE
11400
0
0
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
6372
23613
SH
SOLE
21640
0
1973
PEPSICO INC
COM
713448108
403
3603
SH
SOLE
3403
0
200
PFIZER INC
COM
717081103
218
6365
SH
SOLE
6365
0
0
POLARIS INDS INC
COM
731068102
5524
65920
SH
SOLE
56105
0
9815
PROCTER AND GAMBLE CO
COM
742718109
5341
59446
SH
SOLE
58594
0
852
QUALCOMM INC
COM
747525103
12161
212092
SH
SOLE
203592
0
8500
RAYTHEON CO
COM NEW
755111507
9111
59743
SH
SOLE
59743
0
0
RELX PLC
SPONSORED ADR
759530108
3506
177089
SH
SOLE
158599
0
18490
SCHLUMBERGER LTD
COM
806857108
3318
42488
SH
SOLE
42488
0
0
SHIRE PLC
SPONSORED ADR
82481R106
638
3660
SH
SOLE
3660
0
0
SOUTHERN CO
COM
842587107
4628
92975
SH
SOLE
83730
0
9245
SPDR SERIES TRUST
BLOMBRG BRC EMRG
78464A391
1291
45783
SH
SOLE
44048
0
1735
SPDR SERIES TRUST
BLOMBRG BRC INTR
78464A375
15083
441932
SH
SOLE
409712
0
32220
SPDR SERIES TRUST
BLOMBERG BRC COR
78464A367
461
11485
SH
SOLE
11485
0
0
SPDR SERIES TRUST
BLOMBERG BRC SRT
78464A474
5497
179574
SH
SOLE
173339
0
6235
SPDR SER TR
NUVEEN BRC MUNIC
78468R721
5637
117637
SH
SOLE
112502
0
5135
SPDR SER TR
NUVEEN BLMBRG SR
78468R739
5526
114082
SH
SOLE
100667
0
13415
STRYKER CORP
COM
863667101
5684
43174
SH
SOLE
39629
0
3545
SUN HYDRAULICS CORP
COM
866942105
214
5920
SH
SOLE
5920
0
0
SYNGENTA AG
SPONSORED ADR
87160A100
1221
13795
SH
SOLE
13355
0
440
SYNOPSYS INC
COM
871607107
291
4035
SH
SOLE
4035
0
0
SYSCO CORP
COM
871829107
5762
110984
SH
SOLE
100824
0
10160
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
315
5910
SH
SOLE
5910
0
0
HOWARD HUGHES CORP
COM
44267D107
234
2000
SH
SOLE
2000
0
0
TRAVELERS COMPANIES INC
COM
89417E109
426
3536
SH
SOLE
3536
0
0
THOR INDS INC
COM
885160101
7208
74980
SH
SOLE
64320
0
10660
TORONTO DOMINION BK ONT
COM NEW
891160509
4233
84513
SH
SOLE
77953
0
6560
TRIMBLE INC
COM
896239100
7762
242483
SH
SOLE
242483
0
0
UFP TECHNOLOGIES INC
COM
902673102
292
11279
SH
SOLE
11279
0
0
UNILEVER PLC
SPON ADR NEW
904767704
404
8180
SH
SOLE
8180
0
0
UNION PAC CORP
COM
907818108
422
3982
SH
SOLE
782
0
3200
UNITED GUARDIAN INC
COM
910571108
225
15183
SH
SOLE
15183
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
8089
75384
SH
SOLE
75384
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
5813
51808
SH
SOLE
51808
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
12516
76315
SH
SOLE
70515
0
5800
URSTADT BIDDLE PPTYS INC
CL A
917286205
595
28940
SH
SOLE
20940
0
8000
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
272
3500
SH
SOLE
3500
0
0
VANGUARD SCOTTSDALE FDS
MORTG-BACK SEC
92206C771
10297
196060
SH
SOLE
191135
0
4925
VANGUARD SCOTTSDALE FDS
VNG RUS1000IDX
92206C730
356
3285
SH
SOLE
3200
0
85
VANGUARD MUN BD FD INC
TAX EXEMPT BD
922907746
2712
53551
SH
SOLE
50481
0
3070
VARIAN MED SYS INC
COM
92220P105
5508
60442
SH
SOLE
54303
0
6139
VIRTU FINL INC
CL A
928254101
250
14680
SH
SOLE
14680
0
0
VISA INC
COM CL A
92826C839
8787
98879
SH
SOLE
90867
0
8012
GRAINGER W W INC
COM
384802104
5470
23501
SH
SOLE
20321
0
3180
WELLS FARGO & CO NEW
COM
949746101
843
15150
SH
SOLE
15150
0
0
WEYERHAEUSER CO
COM
962166104
5734
168756
SH
SOLE
150403
0
18353
BERKLEY W R CORP
COM
084423102
328
4650
SH
SOLE
4650
0
0
XPERI CORP
COM
98421B100
243
7165
SH
SOLE
7165
0
0