0001062993-20-002013.txt : 20200429 0001062993-20-002013.hdr.sgml : 20200429 20200429154849 ACCESSION NUMBER: 0001062993-20-002013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200429 DATE AS OF CHANGE: 20200429 EFFECTIVENESS DATE: 20200429 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: 20829942 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 03-31-2020 03-31-2020 Eagle Ridge Investment Management

5 HIGH RIDGE PARK 2ND FLOOR STAMFORD CT 06905

13F HOLDINGS REPORT 028-13340 N John J. Knox III 203-227-4515 /s/ John J. Knox III Stamford CT 04-27-2020 0 125 575640 true INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3M CO COM 88579Y101 1573 11526 SH SOLE 11389 0 137 ABBOTT LABS COM 002824100 12549 159025 SH SOLE 159025 0 0 ABBVIE INC COM 00287Y109 7211 94639 SH SOLE 94639 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 543 3324 SH SOLE 3324 0 0 ADOBE INC COM 00724F101 316 994 SH SOLE 994 0 0 ALPHABET INC CAP STK CL A 02079K305 19981 17196 SH SOLE 16034 0 1162 ALPHABET INC CAP STK CL C 02079K107 1834 1577 SH SOLE 414 0 1163 AMAZON COM INC COM 023135106 501 257 SH SOLE 257 0 0 AMDOCS LTD SHS G02602103 7241 131732 SH SOLE 131677 0 55 AMERICAN EXPRESS CO COM 025816109 445 5199 SH SOLE 5113 0 86 AMGEN INC COM 031162100 365 1800 SH SOLE 1800 0 0 APPLE INC COM 037833100 3336 13119 SH SOLE 12865 0 254 AT&T INC COM 00206R102 646 22168 SH SOLE 22168 0 0 ATRION CORP COM 049904105 233 359 SH SOLE 359 0 0 AUTOLIV INC COM 052800109 3138 68213 SH SOLE 68167 0 46 AVERY DENNISON CORP COM 053611109 435 4275 SH SOLE 4275 0 0 BK OF AMERICA CORP COM 060505104 6859 323076 SH SOLE 323076 0 0 BECTON DICKINSON & CO COM 075887109 278 1208 SH SOLE 1208 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1904 7 SH SOLE 0 0 272000 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2012 11006 SH SOLE 11006 0 0 BLACKROCK INC COM 09247X101 9657 21950 SH SOLE 21950 0 0 BOOKING HLDGS INC COM 09857L108 5734 4262 SH SOLE 4262 0 0 BROADCOM INC COM 11135F101 6915 29165 SH SOLE 28928 0 237 BROWN FORMAN CORP CL B 115637209 208 3750 SH SOLE 3750 0 0 CATERPILLAR INC DEL COM 149123101 410 3533 SH SOLE 3533 0 0 SCHWAB CHARLES CORP COM 808513105 13564 403451 SH SOLE 403417 0 34 CISCO SYS INC COM 17275R102 458 11652 SH SOLE 11652 0 0 CME GROUP INC COM 12572Q105 9465 54740 SH SOLE 54567 0 173 COCA COLA CO COM 191216100 784 17722 SH SOLE 17678 0 44 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 4344 93485 SH SOLE 93485 0 0 COLGATE PALMOLIVE CO COM 194162103 1169 17620 SH SOLE 17554 0 66 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 240 2449 SH SOLE 2449 0 0 COSTCO WHSL CORP NEW COM 22160K105 247 868 SH SOLE 868 0 0 CVS HEALTH CORP COM 126650100 5691 95928 SH SOLE 95928 0 0 DATA I O CORP COM 237690102 98 35000 SH SOLE 35000 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 320 2515 SH SOLE 2515 0 0 DOLBY LABORATORIES INC COM CL A 25659T107 6906 127386 SH SOLE 127332 0 54 DOVER CORP COM 260003108 573 6824 SH SOLE 6824 0 0 ECOLAB INC COM 278865100 7238 46449 SH SOLE 46449 0 0 EMERSON ELEC CO COM 291011104 608 12753 SH SOLE 12753 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 319 22305 SH SOLE 22305 0 0 EQUIFAX INC COM 294429105 350 2928 SH SOLE 2928 0 0 ESSENTIAL UTILS INC COM 29670G102 903 22182 SH SOLE 22182 0 0 FEDERATED HERMES INC CL B 314211103 6631 348087 SH SOLE 348068 0 19 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 697 13346 SH SOLE 13294 0 52 GPO AEROPORTUARIO DEL PAC SA SPON ADR B 400506101 3781 70099 SH SOLE 70045 0 54 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 291 3285 SH SOLE 3285 0 0 HOLOGIC INC COM 436440101 7118 202790 SH SOLE 202755 0 35 HOME DEPOT INC COM 437076102 10797 57826 SH SOLE 57826 0 0 ILLINOIS TOOL WKS INC COM 452308109 558 3924 SH SOLE 3924 0 0 INTEL CORP COM 458140100 20286 374838 SH SOLE 374784 0 54 IPG PHOTONICS CORP COM 44980X109 5561 50424 SH SOLE 50314 0 110 ISHARES TR CALIF MUN BD ETF 464288356 320 5284 SH SOLE 5223 0 61 ISHARES TR FLTG RATE NT ETF 46429B655 12327 252909 SH SOLE 252860 0 49 ISHARES TR MBS ETF 464288588 4152 37596 SH SOLE 37486 0 110 ISHARES TR NEW YORK MUN ETF 464288323 1345 23797 SH SOLE 23740 0 57 ISHARES TR RUS 1000 ETF 464287622 226 1596 SH SOLE 1454 0 142 ISHARES TR SH TR CRPORT ETF 464288646 4870 93019 SH SOLE 92967 0 52 ISHARES TR TIPS BD ETF 464287176 8538 72403 SH SOLE 72285 0 118 JOHNSON & JOHNSON COM 478160104 3017 23005 SH SOLE 22874 0 131 JPMORGAN CHASE & CO COM 46625H100 8204 91130 SH SOLE 91130 0 0 KAMADA LTD SHS M6240T109 203 34753 SH SOLE 34753 0 0 KULICKE & SOFFA INDS INC COM 501242101 298 14283 SH SOLE 14283 0 0 LOCKHEED MARTIN CORP COM 539830109 1608 4745 SH SOLE 4745 0 0 LOWES COS INC COM 548661107 495 5753 SH SOLE 5753 0 0 M & T BK CORP COM 55261F104 4962 47970 SH SOLE 47867 0 103 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 217 5955 SH SOLE 5919 0 36 MARATHON PETE CORP COM 56585A102 225 9534 SH SOLE 9534 0 0 MASTERCARD INC CL A 57636Q104 13035 53963 SH SOLE 53963 0 0 MCDONALDS CORP COM 580135101 760 4594 SH SOLE 4594 0 0 MERCK & CO. INC COM 58933Y105 417 5417 SH SOLE 5340 0 77 MICROSOFT CORP COM 594918104 38060 241329 SH SOLE 241171 0 158 MVC CAPITAL INC COM 553829102 261 59670 SH SOLE 59670 0 0 NATIONAL BANKSHARES INC VA COM 634865109 241 7555 SH SOLE 7555 0 0 NEW YORK TIMES CO CL A 650111107 203 6624 SH SOLE 6624 0 0 NIKE INC CL B 654106103 10420 125933 SH SOLE 125850 0 83 NORFOLK SOUTHERN CORP COM 655844108 9961 68227 SH SOLE 68227 0 0 NOVA MEASURING INSTRUMENTS L COM M7516K103 347 10622 SH SOLE 10622 0 0 ORACLE CORP COM 68389X105 427 8831 SH SOLE 8831 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 18190 60422 SH SOLE 60121 0 301 PEPSICO INC COM 713448108 692 5764 SH SOLE 5764 0 0 PFIZER INC COM 717081103 643 19693 SH SOLE 19693 0 0 PROCTER & GAMBLE CO COM 742718109 1479 13447 SH SOLE 13447 0 0 RAYTHEON CO COM NEW 755111507 5697 43438 SH SOLE 43438 0 0 RELX PLC SPONSORED ADR 759530108 5245 245083 SH SOLE 245062 0 21 ROPER TECHNOLOGIES INC COM 776696106 240 770 SH SOLE 770 0 0 SEMPRA ENERGY COM 816851109 6527 57768 SH SOLE 57768 0 0 SOUTHERN CO COM 842587107 6875 126993 SH SOLE 126939 0 54 SPDR SER TR SPDR BLOOMBERG 78468R663 618 6745 SH SOLE 6745 0 0 SPDR SER TR BLOMBRG BRC EMRG 78464A391 2739 111855 SH SOLE 111831 0 24 SPDR SER TR NUVEEN BLMBRG SR 78468R739 7797 159445 SH SOLE 159396 0 49 SPDR SER TR NUVEEN BRC MUNIC 78468R721 3825 76494 SH SOLE 76494 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 16737 553293 SH SOLE 553263 0 30 SPDR SER TR PORTFOLIO SH TSR 78468R101 2645 86100 SH SOLE 86100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 778 3020 SH SOLE 3020 0 0 STERLING BANCORP DEL COM 85917A100 151 14484 SH SOLE 14484 0 0 STRYKER CORP COM 863667101 16507 99149 SH SOLE 98983 0 166 SYSCO CORP COM 871829107 264 5775 SH SOLE 5775 0 0 PRICE T ROWE GROUP INC COM 74144T108 1146 11736 SH SOLE 11736 0 0 TARGET CORP COM 87612E106 577 6201 SH SOLE 6201 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 362 4508 SH SOLE 4508 0 0 TEXAS INSTRS INC COM 882508104 563 5632 SH SOLE 5632 0 0 TRAVELERS COMPANIES INC COM 89417E109 233 2350 SH SOLE 2350 0 0 THOR INDS INC COM 885160101 3906 92607 SH SOLE 92565 0 42 TJX COS INC NEW COM 872540109 262 5490 SH SOLE 5490 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 3954 93267 SH SOLE 93225 0 42 TRACTOR SUPPLY CO COM 892356106 12039 142384 SH SOLE 142384 0 0 TRIMBLE INC COM 896239100 5212 163738 SH SOLE 163738 0 0 UFP TECHNOLOGIES INC COM 902673102 300 7864 SH SOLE 7864 0 0 UNILEVER PLC SPON ADR NEW 904767704 248 4910 SH SOLE 4910 0 0 UNION PAC CORP COM 907818108 856 6070 SH SOLE 5929 0 141 UNITED GUARDIAN INC COM 910571108 191 13187 SH SOLE 13187 0 0 UNITED PARCEL SERVICE INC CL B 911312106 6040 64659 SH SOLE 64659 0 0 UNITED TECHNOLOGIES CORP COM 913017109 4470 47390 SH SOLE 47390 0 0 UNITEDHEALTH GROUP INC COM 91324P102 25658 102888 SH SOLE 102639 0 249 URSTADT BIDDLE PPTYS INC CL A 917286205 304 21540 SH SOLE 21540 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 18280 335407 SH SOLE 335352 0 55 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 211 1803 SH SOLE 1803 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 30886 495451 SH SOLE 495389 0 62 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 4992 94363 SH SOLE 94310 0 53 VARIAN MED SYS INC COM 92220P105 6860 66823 SH SOLE 66720 0 103 VIRTU FINL INC CL A 928254101 256 12280 SH SOLE 12280 0 0 VISA INC COM CL A 92826C839 13614 84494 SH SOLE 84333 0 161 WALMART INC COM 931142103 415 3650 SH SOLE 3650 0 0 DISNEY WALT CO COM DISNEY 254687106 7696 79672 SH SOLE 79575 0 97