0001062993-17-004555.txt : 20171026
0001062993-17-004555.hdr.sgml : 20171026
20171026132846
ACCESSION NUMBER: 0001062993-17-004555
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171026
DATE AS OF CHANGE: 20171026
EFFECTIVENESS DATE: 20171026
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: 171155711
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
09-30-2017
09-30-2017
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
10-24-2017
0
167
603595
true
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
3M CO
COM
88579Y101
10264
48900
SH
SOLE
43625
0
5275
ABB LTD
SPONSORED ADR
000375204
3353
135494
SH
SOLE
124774
0
10720
ABBOTT LABS
COM
002824100
10531
197351
SH
SOLE
197351
0
0
ABBVIE INC
COM
00287Y109
9624
108309
SH
SOLE
108309
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
359
2657
SH
SOLE
2657
0
0
ALASKA AIR GROUP INC
COM
011659109
200
2627
SH
SOLE
2627
0
0
ALLETE INC
COM NEW
018522300
375
4855
SH
SOLE
4855
0
0
ALPHABET INC
CAP STK CL A
02079K305
17905
18388
SH
SOLE
17684
0
704
ALPHABET INC
CAP STK CL C
02079K107
2122
2212
SH
SOLE
1912
0
300
AMBEV SA
SPONSORED ADR
02319V103
2749
417094
SH
SOLE
381989
0
35105
AMDOCS LTD
SHS
G02602103
6894
107178
SH
SOLE
92388
0
14790
AMERCO
COM
023586100
223
594
SH
SOLE
594
0
0
AMERICAN EXPRESS CO
COM
025816109
461
5099
SH
SOLE
3099
0
2000
AMERICAN NATL BANKSHARES INC
COM
027745108
239
5799
SH
SOLE
5799
0
0
AMGEN INC
COM
031162100
627
3363
SH
SOLE
3363
0
0
ANIKA THERAPEUTICS INC
COM
035255108
252
4340
SH
SOLE
4340
0
0
APACHE CORP
COM
037411105
212
4634
SH
SOLE
4634
0
0
APPLE INC
COM
037833100
9759
63319
SH
SOLE
56319
0
7000
AQUA AMERICA INC
COM
03836W103
806
24296
SH
SOLE
24296
0
0
AT&T INC
COM
00206R102
1715
43778
SH
SOLE
43778
0
0
ATRION CORP
COM
049904105
398
592
SH
SOLE
592
0
0
AUTOLIV INC
COM
052800109
4835
39118
SH
SOLE
34133
0
4985
AVERY DENNISON CORP
COM
053611109
645
6560
SH
SOLE
6560
0
0
AVISTA CORP
COM
05379B107
286
5520
SH
SOLE
5520
0
0
BANK AMER CORP
COM
060505104
9179
362235
SH
SOLE
362235
0
0
BANK HAWAII CORP
COM
062540109
244
2930
SH
SOLE
2930
0
0
BANK NEW YORK MELLON CORP
COM
064058100
6983
131705
SH
SOLE
131705
0
0
BAXTER INTL INC
COM
071813109
256
4085
SH
SOLE
4085
0
0
BB&T CORP
COM
054937107
245
5227
SH
SOLE
5227
0
0
BECTON DICKINSON & CO
COM
075887109
556
2839
SH
SOLE
2839
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
3846
14
SH
SOLE
9
0
5
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1940
10585
SH
SOLE
10585
0
0
BLACKROCK INC
COM
09247X101
8322
18613
SH
SOLE
18613
0
0
BOEING CO
COM
097023105
1304
5128
SH
SOLE
5128
0
0
BORGWARNER INC
COM
099724106
11732
229008
SH
SOLE
229008
0
0
BROADCOM LTD
SHS
Y09827109
7912
32620
SH
SOLE
27360
0
5260
BROWN FORMAN CORP
CL B
115637209
211
3877
SH
SOLE
3877
0
0
CANADIAN NAT RES LTD
COM
136385101
1116
33309
SH
SOLE
31414
0
1895
CATERPILLAR INC DEL
COM
149123101
441
3533
SH
SOLE
3533
0
0
CBS CORP NEW
CL B
124857202
7958
137200
SH
SOLE
137200
0
0
CELGENE CORP
COM
151020104
2225
15259
SH
SOLE
4142
0
11117
CENTERPOINT ENERGY INC
COM
15189T107
201
6878
SH
SOLE
6878
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
18869
431392
SH
SOLE
410227
0
21165
CHECK POINT SOFTWARE TECH LT
ORD
M22465104
5335
46793
SH
SOLE
40513
0
6280
CHEVRON CORP NEW
COM
166764100
646
5500
SH
SOLE
5325
0
175
CISCO SYS INC
COM
17275R102
534
15868
SH
SOLE
15868
0
0
CME GROUP INC
COM CL A
12572Q105
7326
53995
SH
SOLE
47020
0
6975
COCA COLA CO
COM
191216100
904
20076
SH
SOLE
19576
0
500
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
7417
102248
SH
SOLE
102248
0
0
COLGATE PALMOLIVE CO
COM
194162103
1815
24920
SH
SOLE
15320
0
9600
CVS HEALTH CORP
COM
126650100
15753
193712
SH
SOLE
184807
0
8905
DIAGEO P L C
SPON ADR NEW
25243Q205
856
6480
SH
SOLE
6480
0
0
DOLBY LABORATORIES INC
COM
25659T107
6308
109666
SH
SOLE
94535
0
15131
DOMINION ENERGY INC
COM
25746U109
284
3695
SH
SOLE
3695
0
0
DOVER CORP
COM
260003108
472
5161
SH
SOLE
5161
0
0
DOWDUPONT INC
COM
26078J100
1683
24307
SH
SOLE
23384
0
923
DUKE ENERGY CORP NEW
COM NEW
26441C204
233
2773
SH
SOLE
2531
0
242
ECOLAB INC
COM
278865100
426
3311
SH
SOLE
3311
0
0
EMERSON ELEC CO
COM
291011104
704
11203
SH
SOLE
11203
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
1057
40561
SH
SOLE
38925
0
1636
EQUIFAX INC
COM
294429105
621
5856
SH
SOLE
5856
0
0
EXXON MOBIL CORP
COM
30231G102
12705
154980
SH
SOLE
141831
0
13149
FACEBOOK INC
CL A
30303M102
432
2530
SH
SOLE
2530
0
0
GENERAL ELECTRIC CO
COM
369604103
753
31162
SH
SOLE
30362
0
800
GOLDMAN SACHS ETF TR
EQUITY ETF
381430503
819
16409
SH
SOLE
16359
0
50
HALLIBURTON CO
COM
406216101
4977
108124
SH
SOLE
108124
0
0
HARLEY DAVIDSON INC
COM
412822108
4290
88989
SH
SOLE
88989
0
0
HCP INC
COM
40414L109
246
8845
SH
SOLE
8845
0
0
HOME DEPOT INC
COM
437076102
11077
67726
SH
SOLE
67726
0
0
HONEYWELL INTL INC
COM
438516106
380
2678
SH
SOLE
2678
0
0
ILLINOIS TOOL WKS INC
COM
452308109
742
5014
SH
SOLE
5014
0
0
INTEL CORP
COM
458140100
13854
363814
SH
SOLE
349852
0
13962
INTERNATIONAL BUSINESS MACHS
COM
459200101
462
3183
SH
SOLE
3183
0
0
INTERNATIONAL FLAVORS&FRAGRA
COM
459506101
7745
54198
SH
SOLE
49843
0
4355
IPG PHOTONICS CORP
COM
44980X109
10043
54271
SH
SOLE
46889
0
7382
ISHARES TR
10-20 YR TRS ETF
464288653
352
2583
SH
SOLE
2583
0
0
ISHARES TR
1 3 YR CR BD ETF
464288646
8184
77684
SH
SOLE
68569
0
9115
ISHARES TR
CALIF MUN BD ETF
464288356
276
2325
SH
SOLE
1925
0
400
ISHARES INC
MIN VOL EMRG MKT
464286533
242
4164
SH
SOLE
4164
0
0
ISHARES TR
FLTG RATE NT ETF
46429B655
5607
110063
SH
SOLE
102058
0
8005
ISHARES TR
INTRMD CR BD ETF
464288638
419
3800
SH
SOLE
3800
0
0
ISHARES TR
MBS ETF
464288588
7503
70054
SH
SOLE
60147
0
9907
ISHARES TR
NEW YORK MUN ETF
464288323
1386
12374
SH
SOLE
7964
0
4410
ISHARES TR
RUS 1000 ETF
464287622
352
2519
SH
SOLE
2509
0
10
ISHARES TR
TIPS BD ETF
464287176
5644
49688
SH
SOLE
46378
0
3310
JOHNSON & JOHNSON
COM
478160104
3578
27522
SH
SOLE
23768
0
3754
JOHNSON CTLS INTL PLC
SHS
G51502105
438
10867
SH
SOLE
10867
0
0
JPMORGAN CHASE & CO
COM
46625H100
9940
104070
SH
SOLE
104070
0
0
KIMBERLY CLARK CORP
COM
494368103
255
2163
SH
SOLE
2163
0
0
KULICKE & SOFFA INDS INC
COM
501242101
408
18929
SH
SOLE
18929
0
0
LIBERTY GLOBAL PLC
SHS CL C
G5480U120
235
7200
SH
SOLE
7200
0
0
LOCKHEED MARTIN CORP
COM
539830109
1570
5060
SH
SOLE
5060
0
0
LOWES COS INC
COM
548661107
481
6016
SH
SOLE
6016
0
0
M & T BK CORP
COM
55261F104
6996
43440
SH
SOLE
37805
0
5635
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1322
18597
SH
SOLE
12237
0
6360
MARATHON OIL CORP
COM
565849106
271
19974
SH
SOLE
19974
0
0
MARATHON PETE CORP
COM
56585A102
896
15974
SH
SOLE
15974
0
0
MASTERCARD INCORPORATED
CL A
57636Q104
12513
88616
SH
SOLE
88616
0
0
MCDONALDS CORP
COM
580135101
1492
9524
SH
SOLE
9524
0
0
MERCK & CO INC
COM
58933Y105
388
6056
SH
SOLE
4710
0
1346
MICROSOFT CORP
COM
594918104
21117
283486
SH
SOLE
267805
0
15681
NEOVASC INC
COM
64065J106
17
10000
SH
SOLE
10000
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
311
18613
SH
SOLE
18613
0
0
NIKE INC
CL B
654106103
6812
131377
SH
SOLE
115389
0
15988
NORFOLK SOUTHERN CORP
COM
655844108
9350
70703
SH
SOLE
70703
0
0
NORTHERN TR CORP
COM
665859104
235
2560
SH
SOLE
2560
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
489
5696
SH
SOLE
5696
0
0
OMNICOM GROUP INC
COM
681919106
201
2710
SH
SOLE
2710
0
0
ORACLE CORP
COM
68389X105
678
14015
SH
SOLE
14015
0
0
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
15800
73364
SH
SOLE
71141
0
2223
PEPSICO INC
COM
713448108
996
8937
SH
SOLE
8937
0
0
PFIZER INC
COM
717081103
715
20031
SH
SOLE
20031
0
0
PROCTER AND GAMBLE CO
COM
742718109
1421
15623
SH
SOLE
14771
0
852
QUALCOMM INC
COM
747525103
4044
78000
SH
SOLE
69670
0
8330
RAYTHEON CO
COM NEW
755111507
10946
58665
SH
SOLE
58665
0
0
RELX PLC
SPONSORED ADR
759530108
4127
184655
SH
SOLE
165930
0
18725
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
275
4535
SH
SOLE
4535
0
0
SANOFI
SPONSORED ADR
80105N105
536
10770
SH
SOLE
10770
0
0
SEMPRA ENERGY
COM
816851109
8319
72890
SH
SOLE
72890
0
0
SIMON PPTY GROUP INC NEW
COM
828806109
353
2195
SH
SOLE
2195
0
0
SMUCKER J M CO
COM NEW
832696405
206
1963
SH
SOLE
1963
0
0
SOUTHERN CO
COM
842587107
5299
107843
SH
SOLE
98038
0
9805
SPDR SERIES TRUST
BLOMBRG BRC EMRG
78464A391
2037
68166
SH
SOLE
66036
0
2130
SPDR SERIES TRUST
BLOMBRG BRC INTR
78464A375
16123
467195
SH
SOLE
434960
0
32235
SPDR SERIES TRUST
BLOMBERG BRC COR
78464A367
519
12323
SH
SOLE
12323
0
0
SPDR SERIES TRUST
BLOMBERG BRC SRT
78464A474
6540
213225
SH
SOLE
206425
0
6800
SPDR SER TR
NUVEEN BRC MUNIC
78468R721
5550
113477
SH
SOLE
108342
0
5135
SPDR SER TR
NUVEEN BLMBRG SR
78468R739
5847
120309
SH
SOLE
107264
0
13045
STANLEY BLACK & DECKER INC
COM
854502101
370
2450
SH
SOLE
2450
0
0
STRYKER CORP
COM
863667101
6762
47610
SH
SOLE
43970
0
3640
SUN HYDRAULICS CORP
COM
866942105
300
5550
SH
SOLE
5550
0
0
SUNCOR ENERGY INC NEW
COM
867224107
334
9528
SH
SOLE
9528
0
0
SYNOPSYS INC
COM
871607107
308
3820
SH
SOLE
3820
0
0
SYSCO CORP
COM
871829107
6612
122549
SH
SOLE
111824
0
10725
PRICE T ROWE GROUP INC
COM
74144T108
1622
17898
SH
SOLE
17898
0
0
TARGET CORP
COM
87612E106
487
8253
SH
SOLE
8253
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
334
5653
SH
SOLE
5653
0
0
TELEFONICA S A
SPONSORED ADR
879382208
116
10738
SH
SOLE
10738
0
0
TEXAS INSTRS INC
COM
882508104
716
7988
SH
SOLE
7988
0
0
HOWARD HUGHES CORP
COM
44267D107
212
1800
SH
SOLE
1800
0
0
TRAVELERS COMPANIES INC
COM
89417E109
663
5410
SH
SOLE
5410
0
0
THOR INDS INC
COM
885160101
9571
76018
SH
SOLE
65688
0
10330
TORONTO DOMINION BK ONT
COM NEW
891160509
4725
83966
SH
SOLE
77731
0
6235
TRIMBLE INC
COM
896239100
7104
180993
SH
SOLE
180993
0
0
UFP TECHNOLOGIES INC
COM
902673102
300
10679
SH
SOLE
10679
0
0
UNILEVER PLC
SPON ADR NEW
904767704
652
11255
SH
SOLE
11255
0
0
UNION PAC CORP
COM
907818108
695
5991
SH
SOLE
2791
0
3200
UNITED GUARDIAN INC
COM
910571108
288
14761
SH
SOLE
14761
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
8653
72054
SH
SOLE
72054
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
6003
51712
SH
SOLE
51712
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
14919
76178
SH
SOLE
70378
0
5800
URSTADT BIDDLE PPTYS INC
CL A
917286205
628
28940
SH
SOLE
20940
0
8000
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
314
5965
SH
SOLE
5965
0
0
VANGUARD SCOTTSDALE FDS
MORTG-BACK SEC
92206C771
11155
211349
SH
SOLE
206404
0
4945
VANGUARD SCOTTSDALE FDS
VNG RUS1000IDX
92206C730
290
2515
SH
SOLE
2515
0
0
VANGUARD MUN BD FD INC
TAX EXEMPT BD
922907746
3823
73994
SH
SOLE
68124
0
5870
VARIAN MED SYS INC
COM
92220P105
6338
63345
SH
SOLE
57431
0
5914
VERIZON COMMUNICATIONS INC
COM
92343V104
794
16046
SH
SOLE
16046
0
0
VIRTU FINL INC
CL A
928254101
238
14680
SH
SOLE
14680
0
0
VISA INC
COM CL A
92826C839
10285
97731
SH
SOLE
89614
0
8117
WALGREENS BOOTS ALLIANCE INC
COM
931427108
449
5818
SH
SOLE
5818
0
0
WAL-MART STORES INC
COM
931142103
305
3905
SH
SOLE
3905
0
0
DISNEY WALT CO
COM DISNEY
254687106
738
7483
SH
SOLE
7483
0
0
WELLS FARGO CO NEW
COM
949746101
827
15000
SH
SOLE
15000
0
0
WESTERN DIGITAL CORP
COM
958102105
219
2539
SH
SOLE
2539
0
0
WEYERHAEUSER CO
COM
962166104
6258
183909
SH
SOLE
164224
0
19685
BERKLEY W R CORP
COM
084423102
307
4600
SH
SOLE
4600
0
0