0001463217-21-000001.txt : 20210217 0001463217-21-000001.hdr.sgml : 20210217 20210216204417 ACCESSION NUMBER: 0001463217-21-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC CENTRAL INDEX KEY: 0001463217 IRS NUMBER: 270493248 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13508 FILM NUMBER: 21642179 BUSINESS ADDRESS: STREET 1: 620 NEWPORT CENTER DRIVE STREET 2: SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-999-8500 MAIL ADDRESS: STREET 1: 620 NEWPORT CENTER DRIVE STREET 2: SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPTIAL FINANCIAL ADVISERS, LLC DATE OF NAME CHANGE: 20130814 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC DATE OF NAME CHANGE: 20110509 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. DATE OF NAME CHANGE: 20090501 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001463217 XXXXXXXX 12-31-2020 12-31-2020 UNITED CAPITAL FINANCIAL ADVISERS, LLC

620 NEWPORT CENTER DRIVE SUITE 500 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-13508 N STEVEN SPENCER 949-999-8500 STEVEN SPENCER NEWPORT BEACH CA 02-16-2021 3 1188 16596670 false 1 028-04981 GOLDMAN SACHS GROUP INC 2 IMD HOLDINGS, LLC 3 028-13541 UNITED CAPIAL FINANCIAL PARTNERS, INC INFORMATION TABLE 2 ucfa13hrit1231202020.xml ABB Ltd. Sponsored ADR Common stock 000375204 1309 46804 SH DFND 1,2,3 664 0 46140 Aflac Incorporated Common stock 001055102 13123 295105 SH DFND 1,2,3 19542 0 275563 Alerian MLP ETF Exchange traded fund 00162Q452 587 22875 SH DFND 1,2,3 320 0 22555 ALPS Medical Breakthroughs ETF Exchange traded fund 00162Q593 251 4897 SH DFND 1,2,3 47 0 4850 ALPS Sector Dividend Dogs ETF Exchange traded fund 00162Q858 24597 551017 SH DFND 1,2,3 28622 0 522395 AT&T Inc. Common stock 00206R102 37280 1296261 SH DFND 1,2,3 51172 0 1245088 ARK Innovation ETF Exchange traded fund 00214Q104 2044 16418 SH DFND 1,2,3 439 0 15979 ARK Autonomous Technology & Robotics ETF Exchange traded fund 00214Q203 418 5485 SH DFND 1,2,3 0 0 5485 Abbott Laboratories Common stock 002824100 61749 563970 SH DFND 1,2,3 21723 0 542247 AbbVie, Inc. Common stock 00287Y109 56319 525609 SH DFND 1,2,3 40502 0 485107 Aberdeen Asia-Pacific Income Fund Inc Mutual fund 003009107 57 12831 SH DFND 1,2,3 6521 0 6310 WBI BullBear Global Income ETF Exchange traded fund 00400R874 281 11265 SH DFND 1,2,3 0 0 11265 ACADIA Pharmaceuticals Inc. Common stock 004225108 868 16238 SH DFND 1,2,3 0 0 16238 Activision Blizzard, Inc. Common stock 00507V109 2315 24934 SH DFND 1,2,3 1140 0 23794 Acuity Brands, Inc. Common stock 00508Y102 728 6010 SH DFND 1,2,3 0 0 6010 Adams Diversified Equity Fund Inc Shs Mutual fund 006212104 256 14784 SH DFND 1,2,3 0 0 14784 Adobe Inc. Common stock 00724F101 18870 37731 SH DFND 1,2,3 1704 0 36027 AECOM Common stock 00766T100 224 4499 SH DFND 1,2,3 0 0 4499 Advanced Micro Devices, Inc. Common stock 007903107 14326 156215 SH DFND 1,2,3 1013 0 155202 Agilent Technologies, Inc. Common stock 00846U101 2045 17256 SH DFND 1,2,3 2148 0 15108 Air Products and Chemicals, Inc. Common stock 009158106 14853 54363 SH DFND 1,2,3 2125 0 52238 Akamai Technologies, Inc. Common stock 00971T101 4060 38667 SH DFND 1,2,3 594 0 38073 Alamos Gold Inc. Common stock 011532108 263 30004 SH DFND 1,2,3 0 0 30004 Alarm.com Holdings, Inc. Common stock 011642105 792 7660 SH DFND 1,2,3 0 0 7660 Alaska Air Group, Inc. Common stock 011659109 296 5694 SH DFND 1,2,3 0 0 5694 Albemarle Corporation Common stock 012653101 537 3642 SH DFND 1,2,3 207 0 3435 Alexandria Real Estate Equities, Inc. Common stock 015271109 2281 12799 SH DFND 1,2,3 720 0 12079 Alexion Pharmaceuticals, Inc. Common stock 015351109 455 2914 SH DFND 1,2,3 281 0 2633 Alexco Resource Corp. Common stock 01535P106 238 75000 SH DFND 1,2,3 0 0 75000 Alibaba Group Holding Ltd. Sponsored ADR Common stock 01609W102 12246 52620 SH DFND 1,2,3 1942 0 50678 Align Technology, Inc. Common stock 016255101 9532 17837 SH DFND 1,2,3 68 0 17769 Alleghany Corporation Common stock 017175100 221 366 SH DFND 1,2,3 0 0 366 AllianceBernstein Global High Income Fund Inc Mutual fund 01879R106 167 14187 SH DFND 1,2,3 0 0 14187 AllianceBernstein Holding L.P. Common stock 01881G106 5032 149000 SH DFND 1,2,3 3000 0 146000 Allied Motion Technologies Inc. Common stock 019330109 409 8000 SH DFND 1,2,3 0 0 8000 Allstate Corporation Common stock 020002101 2946 26798 SH DFND 1,2,3 1893 0 24905 Alnylam Pharmaceuticals, Inc Common stock 02043Q107 410 3156 SH DFND 1,2,3 433 0 2723 Alphabet Inc. Class C Common stock 02079K107 98153 56027 SH DFND 1,2,3 8282 0 47745 Alphabet Inc. Class A Common stock 02079K305 126305 72066 SH DFND 1,2,3 6294 0 65772 Alteryx, Inc. Class A Common stock 02156B103 292 2397 SH DFND 1,2,3 0 0 2397 Altria Group Inc Common stock 02209S103 6576 160395 SH DFND 1,2,3 12990 0 147404 Amazon.com, Inc. Common stock 023135106 109376 33583 SH DFND 1,2,3 3871 0 29712 Ameren Corporation Common stock 023608102 581 7443 SH DFND 1,2,3 0 0 7443 America Movil SAB de CV Sponsored ADR Class L Common stock 02364W105 446 30657 SH DFND 1,2,3 827 0 29830 American Airlines Group, Inc. Common stock 02376R102 269 17034 SH DFND 1,2,3 4025 0 13009 American Electric Power Company, Inc. Common stock 025537101 13523 162402 SH DFND 1,2,3 9316 0 153086 American Express Company Common stock 025816109 21276 175969 SH DFND 1,2,3 46216 0 129753 American Finance Trust, Inc. Common stock 02607T109 154 20767 SH DFND 1,2,3 481 0 20286 American Homes 4 Rent Class A Common stock 02665T306 668 22274 SH DFND 1,2,3 2029 0 20245 American International Group, Inc. Warrants 2011-19.1.21 on Shs Warrant or right 026874156 18 153543 SH DFND 1,2,3 77199 0 76344 American International Group, Inc. Common stock 026874784 6508 171897 SH DFND 1,2,3 1950 0 169947 American Outdoor Brands, Inc. Common stock 02875D109 193 11314 SH DFND 1,2,3 75 0 11239 American Tower Corporation Common stock 03027X100 31366 139741 SH DFND 1,2,3 37305 0 102436 American Vanguard Corporation Common stock 030371108 930 59946 SH DFND 1,2,3 0 0 59946 American Water Works Company, Inc. Common stock 030420103 321 2095 SH DFND 1,2,3 74 0 2021 AmerisourceBergen Corporation Common stock 03073E105 2995 30634 SH DFND 1,2,3 344 0 30290 Ameriprise Financial, Inc. Common stock 03076C106 1324 6811 SH DFND 1,2,3 323 0 6488 Amgen Inc. Common stock 031162100 25557 111154 SH DFND 1,2,3 9776 0 101378 Amkor Technology, Inc. Common stock 031652100 381 25266 SH DFND 1,2,3 0 0 25266 Ampio Pharmaceuticals, Inc. Common stock 03209T109 87 55000 SH DFND 1,2,3 0 0 55000 Amplify High Income ETF Exchange traded fund 032108847 410 25762 SH DFND 1,2,3 0 0 25762 Analog Devices, Inc. Common stock 032654105 2587 17514 SH DFND 1,2,3 695 0 16820 Anheuser-Busch InBev SA/NV Sponsored ADR Common stock 03524A108 635 9076 SH DFND 1,2,3 368 0 8708 Annaly Capital Management, Inc. Common stock 035710409 629 74381 SH DFND 1,2,3 1096 0 73285 Anthem, Inc. Common stock 036752103 2823 8793 SH DFND 1,2,3 100 0 8693 Antero Midstream Corp. Common stock 03676B102 719 93312 SH DFND 1,2,3 20000 0 73312 Apollo Investment Corporation Mutual fund 03761U502 123 11598 SH DFND 1,2,3 0 0 11598 Apollo Global Management Inc. Class A Common stock 03768E105 2397 48939 SH DFND 1,2,3 13397 0 35542 Apple Inc. Common stock 037833100 583048 4394059 SH DFND 1,2,3 325976 0 4068083 AppFolio Inc Class A Common stock 03783C100 1384 7688 SH DFND 1,2,3 0 0 7688 Applied Materials, Inc. Common stock 038222105 2098 24313 SH DFND 1,2,3 3083 0 21230 Arbor Realty Trust, Inc. Common stock 038923108 373 26273 SH DFND 1,2,3 0 0 26273 Archer-Daniels-Midland Company Common stock 039483102 227 4505 SH DFND 1,2,3 292 0 4213 Arcturus Therapeutics Holdings, Inc. Common stock 03969T109 1139 26266 SH DFND 1,2,3 0 0 26266 Ares Management Corporation Common stock 03990B101 226 4794 SH DFND 1,2,3 100 0 4694 Ares Capital Corporation Mutual fund 04010L103 1053 62374 SH DFND 1,2,3 621 0 61753 Arrowhead Pharmaceuticals, Inc. Common stock 04280A100 507 6606 SH DFND 1,2,3 0 0 6606 Ascendis Pharma A/S Sponsored ADR Common stock 04351P101 1473 8830 SH DFND 1,2,3 34 0 8796 Astrazeneca PLC Sponsored ADR Common stock 046353108 1953 39060 SH DFND 1,2,3 1813 0 37247 Atlantic Union Bankshares Corporation Common stock 04911A107 326 9900 SH DFND 1,2,3 0 0 9900 Autodesk, Inc. Common stock 052769106 3989 13065 SH DFND 1,2,3 259 0 12806 Automatic Data Processing, Inc. Common stock 053015103 35327 200492 SH DFND 1,2,3 5999 0 194494 AutoZone, Inc. Common stock 053332102 2759 2327 SH DFND 1,2,3 7 0 2320 Avalara Inc Common stock 05338G106 19628 119037 SH DFND 1,2,3 0 0 119037 BCE Inc. Common stock 05534B760 304 7103 SH DFND 1,2,3 1343 0 5760 BP p.l.c. Sponsored ADR Common stock 055622104 2331 113587 SH DFND 1,2,3 1009 0 112578 Baidu, Inc. Sponsored ADR Class A Common stock 056752108 833 3854 SH DFND 1,2,3 0 0 3854 Balchem Corporation Common stock 057665200 269 2331 SH DFND 1,2,3 0 0 2331 Ball Corporation Common stock 058498106 32252 346129 SH DFND 1,2,3 87801 0 258328 Banco Bilbao Vizcaya Argentaria, S.A. Sponsored ADR Common stock 05946K101 642 130049 SH DFND 1,2,3 6448 0 123601 BancorpSouth Bank Common stock 05971J102 409 14911 SH DFND 1,2,3 0 0 14911 Bank of America Corp Common stock 060505104 18536 611551 SH DFND 1,2,3 42026 0 569524 Bank of New York Mellon Corporation Common stock 064058100 1424 33557 SH DFND 1,2,3 3266 0 30291 Barrick Gold Corporation Common stock 067901108 551 24182 SH DFND 1,2,3 633 0 23549 Baxter International Inc. Common stock 071813109 1239 15441 SH DFND 1,2,3 1534 0 13908 Becton, Dickinson and Company Common stock 075887109 54605 218230 SH DFND 1,2,3 3093 0 215137 BeiGene, Ltd. Sponsored ADR Common stock 07725L102 685 2651 SH DFND 1,2,3 56 0 2595 Berkshire Hathaway Inc. Class A Common stock 084670108 2435 7 SH DFND 1,2,3 0 0 7 Berkshire Hathaway Inc. Class B Common stock 084670702 107595 464031 SH DFND 1,2,3 44205 0 419826 Berry Global Group Inc Common stock 08579W103 477 8491 SH DFND 1,2,3 1000 0 7491 BHP Group Ltd Sponsored ADR Common stock 088606108 313 4786 SH DFND 1,2,3 20 0 4766 Beyond Meat, Inc. Common stock 08862E109 394 3155 SH DFND 1,2,3 260 0 2895 Big Lots, Inc. Common stock 089302103 694 16166 SH DFND 1,2,3 0 0 16166 BioMarin Pharmaceutical Inc. Common stock 09061G101 813 9267 SH DFND 1,2,3 19 0 9248 Biogen Inc. Common stock 09062X103 32025 130789 SH DFND 1,2,3 6689 0 124100 Black Hills Corporation Common stock 092113109 924 15043 SH DFND 1,2,3 0 0 15043 BlackRock, Inc. Common stock 09247X101 43846 60767 SH DFND 1,2,3 2152 0 58615 BlackRock Enhanced Equity Dividend Trust Mutual fund 09251A104 510 60252 SH DFND 1,2,3 0 0 60252 BlackRock Enhanced International Dividend Trust of Benef Interest Mutual fund 092524107 72 12232 SH DFND 1,2,3 0 0 12232 BlackRock MuniHoldings Quality Fund II Inc Mutual fund 09254C107 279 20425 SH DFND 1,2,3 0 0 20425 BlackRock MuniAssets Fund Inc Mutual fund 09254J102 569 38753 SH DFND 1,2,3 0 0 38753 BlackRock MuniHoldings California Quality Fund Inc Mutual fund 09254L107 195 13000 SH DFND 1,2,3 0 0 13000 BlackRock MuniYield California Fund Inc Mutual fund 09254M105 207 14000 SH DFND 1,2,3 0 0 14000 Blackstone Mortgage Trust, Inc. Class A Common stock 09257W100 5571 202358 SH DFND 1,2,3 3175 0 199183 Blackstone Mortgage Trust, Inc. 4.375 05-MAY-2022 Convertible bond 09257WAB6 20 20000 SH DFND 1,2,3 0 0 20000 Blackstone Group Inc. Class A Common stock 09260D107 6785 104684 SH DFND 1,2,3 2000 0 102684 H&R Block, Inc. Common stock 093671105 1196 75410 SH DFND 1,2,3 389 0 75021 Boeing Company Common stock 097023105 9352 43689 SH DFND 1,2,3 3189 0 40500 Booking Holdings Inc. Common stock 09857L108 2127 955 SH DFND 1,2,3 54 0 901 Boston Properties, Inc. Common stock 101121101 672 7113 SH DFND 1,2,3 708 0 6405 Boston Scientific Corporation Common stock 101137107 482 13395 SH DFND 1,2,3 160 0 13235 Bristol-Myers Squibb Company Common stock 110122108 37685 607528 SH DFND 1,2,3 131109 0 476420 Bristol-Myers Squibb Company Contingent Value Rights 2019-31.12.2020 Warrant or right 110122157 75 108707 SH DFND 1,2,3 25472 0 83235 British American Tobacco PLC Sponsored ADR Common stock 110448107 1088 29013 SH DFND 1,2,3 1387 0 27626 Broadridge Financial Solutions, Inc. Common stock 11133T103 653 4266 SH DFND 1,2,3 38 0 4228 Broadmark Realty Capital Inc Common stock 11135B100 406 39792 SH DFND 1,2,3 0 0 39792 Broadstone Net Lease, Inc. Class A Common stock 11135E104 605 30908 SH DFND 1,2,3 1000 0 29908 Broadcom Inc. Common stock 11135F101 31940 72948 SH DFND 1,2,3 3877 0 69070 Brookfield Asset Management Inc. Class A Common stock 112585104 2756 66776 SH DFND 1,2,3 1425 0 65351 Brookfield Infrastructure Corporation Class A Common stock 11275Q107 267 3686 SH DFND 1,2,3 0 0 3686 Brown-Forman Corporation Class A Common stock 115637100 230 3126 SH DFND 1,2,3 0 0 3126 Brown-Forman Corporation Class B Common stock 115637209 1000 12590 SH DFND 1,2,3 0 0 12590 Cboe Global Markets Inc Common stock 12503M108 244 2619 SH DFND 1,2,3 82 0 2537 CDW Corp. Common stock 12514G108 567 4301 SH DFND 1,2,3 0 0 4301 CF Industries Holdings, Inc. Common stock 125269100 3055 78930 SH DFND 1,2,3 755 0 78175 CGI Inc. Class A Common stock 12532H104 8073 101792 SH DFND 1,2,3 2003 0 99789 C.H. Robinson Worldwide, Inc. Common stock 12541W209 43264 460893 SH DFND 1,2,3 22498 0 438395 Cigna Corporation Common stock 125523100 1567 7527 SH DFND 1,2,3 1140 0 6387 CME Group Inc. Class A Common stock 12572Q105 40680 223454 SH DFND 1,2,3 7326 0 216127 CMS Energy Corporation Common stock 125896100 323 5289 SH DFND 1,2,3 210 0 5079 CSX Corporation Common stock 126408103 3958 43620 SH DFND 1,2,3 1422 0 42197 CVS Health Corporation Common stock 126650100 47296 692478 SH DFND 1,2,3 61448 0 631030 CACI International Inc Class A Common stock 127190304 388 1558 SH DFND 1,2,3 0 0 1558 Cadence Design Systems, Inc. Common stock 127387108 386 2828 SH DFND 1,2,3 72 0 2756 Cadence Bancorporation Class A Common stock 12739A100 6185 376665 SH DFND 1,2,3 0 0 376665 Caesars Entertainment Inc Common stock 12769G100 457 6157 SH DFND 1,2,3 0 0 6157 Calamos Convertible Opportunities And Income Fund Mutual fund 128117108 327 24152 SH DFND 1,2,3 500 0 23652 Calamos Strategic Total Return Fund Mutual fund 128125101 211 13382 SH DFND 1,2,3 1700 0 11682 Cambria Foreign Shareholder Yield ETF Exchange traded fund 132061300 586 24250 SH DFND 1,2,3 0 0 24250 Camden Property Trust Common stock 133131102 813 8134 SH DFND 1,2,3 866 0 7268 Campbell Soup Company Common stock 134429109 308 6364 SH DFND 1,2,3 0 0 6364 Canadian National Railway Company Common stock 136375102 1198 10902 SH DFND 1,2,3 78 0 10824 Canopy Growth Corporation Common stock 138035100 331 13426 SH DFND 1,2,3 0 0 13426 Capital Bancorp, Inc. Common stock 139737100 988 70925 SH DFND 1,2,3 0 0 70925 Capital One Financial Corporation Common stock 14040H105 8339 84361 SH DFND 1,2,3 5954 0 78408 Cardinal Health, Inc. Common stock 14149Y108 1131 21117 SH DFND 1,2,3 205 0 20912 CarMax, Inc. Common stock 143130102 4925 52143 SH DFND 1,2,3 110 0 52033 Carlyle Group Inc Common stock 14316J108 2487 79115 SH DFND 1,2,3 5000 0 74115 Carnival Corporation Unit 143658300 309 14245 SH DFND 1,2,3 240 0 14005 Carrier Global Corp. Common stock 14448C104 2315 61380 SH DFND 1,2,3 3259 0 58122 Carvana Co. Class A Common stock 146869102 1140 4759 SH DFND 1,2,3 150 0 4609 Castle Biosciences, Inc. Common stock 14843C105 1953 29080 SH DFND 1,2,3 0 0 29080 Caterpillar Inc. Common stock 149123101 28694 157641 SH DFND 1,2,3 9346 0 148295 Centene Corporation Common stock 15135B101 5095 84867 SH DFND 1,2,3 11419 0 73448 CenterPoint Energy, Inc. Common stock 15189T107 1100 50830 SH DFND 1,2,3 680 0 50150 Lumen Technologies, Inc. Common stock 156700106 1168 119794 SH DFND 1,2,3 1121 0 118673 Cerner Corporation Common stock 156782104 32175 409975 SH DFND 1,2,3 71411 0 338564 Charter Communications, Inc. Class A Common stock 16119P108 1231 1861 SH DFND 1,2,3 66 0 1795 Chegg, Inc. Common stock 163092109 325 3594 SH DFND 1,2,3 62 0 3532 Chevron Corporation Common stock 166764100 60851 720551 SH DFND 1,2,3 69387 0 651164 Chimera Investment Corporation Common stock 16934Q208 141 13739 SH DFND 1,2,3 0 0 13739 Chipotle Mexican Grill, Inc. Common stock 169656105 4995 3602 SH DFND 1,2,3 135 0 3467 Church & Dwight Co., Inc. Common stock 171340102 501 5739 SH DFND 1,2,3 195 0 5544 Cincinnati Financial Corporation Common stock 172062101 737 8438 SH DFND 1,2,3 419 0 8019 Cisco Systems, Inc. Common stock 17275R102 109015 2436099 SH DFND 1,2,3 272609 0 2163490 Cintas Corporation Common stock 172908105 349 986 SH DFND 1,2,3 117 0 869 Citigroup Inc. Common stock 172967424 8764 142131 SH DFND 1,2,3 7107 0 135024 Citrix Systems, Inc. Common stock 177376100 847 6508 SH DFND 1,2,3 1373 0 5135 City Holding Company Common stock 177835105 278 4000 SH DFND 1,2,3 0 0 4000 Cleveland-Cliffs Inc Common stock 185899101 259 17801 SH DFND 1,2,3 0 0 17801 Clorox Company Common stock 189054109 2263 11205 SH DFND 1,2,3 94 0 11111 Coca-Cola Company Common stock 191216100 16747 305376 SH DFND 1,2,3 10275 0 295101 Cognizant Technology Solutions Corporation Class A Common stock 192446102 48497 591791 SH DFND 1,2,3 31172 0 560619 Colgate-Palmolive Company Common stock 194162103 16774 196163 SH DFND 1,2,3 2304 0 193859 Comcast Corporation Class A Common stock 20030N101 6259 119439 SH DFND 1,2,3 5275 0 114164 Comerica Incorporated Common stock 200340107 366 6553 SH DFND 1,2,3 1524 0 5029 Commerce Bancshares, Inc. Common stock 200525103 10700 162868 SH DFND 1,2,3 0 0 162868 Community Bank System, Inc. Common stock 203607106 312 5014 SH DFND 1,2,3 0 0 5014 Companhia Paranaense de Energia Sponsored ADR Pfd Class B Common stock 20441B407 1494 104509 SH DFND 1,2,3 438 0 104071 Comstock Resources, Inc. Common stock 205768302 47 10747 SH DFND 1,2,3 0 0 10747 ConocoPhillips Common stock 20825C104 4735 118395 SH DFND 1,2,3 2005 0 116390 Consolidated Edison, Inc. Common stock 209115104 2232 30885 SH DFND 1,2,3 3014 0 27871 Constellation Brands, Inc. Class A Common stock 21036P108 388 1772 SH DFND 1,2,3 130 0 1642 Cooper Companies, Inc. Common stock 216648402 363 998 SH DFND 1,2,3 0 0 998 Copart, Inc. Common stock 217204106 27930 219493 SH DFND 1,2,3 59025 0 160468 Corning Inc Common stock 219350105 1552 43109 SH DFND 1,2,3 120 0 42989 Corteva Inc Common stock 22052L104 2111 54519 SH DFND 1,2,3 1727 0 52792 Costco Wholesale Corporation Common stock 22160K105 86262 228947 SH DFND 1,2,3 29394 0 199552 CoStar Group, Inc. Common stock 22160N109 293 317 SH DFND 1,2,3 14 0 303 Coupa Software, Inc. Common stock 22266L106 2417 7132 SH DFND 1,2,3 421 0 6711 Credit Suisse FI Large Cap Growth Enhanced ETN Exchange traded fund 22542D423 229 418 SH DFND 1,2,3 0 0 418 Cree, Inc. Common stock 225447101 254 2403 SH DFND 1,2,3 51 0 2352 CrowdStrike Holdings, Inc. Class A Common stock 22788C105 4841 22852 SH DFND 1,2,3 7034 0 15818 Crown Castle International Corp Common stock 22822V101 19986 125550 SH DFND 1,2,3 10703 0 114848 CubeSmart Common stock 229663109 466 13851 SH DFND 1,2,3 1323 0 12528 Cumberland Pharmaceuticals Inc. Common stock 230770109 48 16246 SH DFND 1,2,3 0 0 16246 Cummins Inc. Common stock 231021106 2011 8855 SH DFND 1,2,3 112 0 8743 CyrusOne, Inc. Common stock 23283R100 1623 22185 SH DFND 1,2,3 848 0 21337 Xtrackers MSCI EAFE Hedged Equity ETF Exchange traded fund 233051200 243925 7257524 SH DFND 1,2,3 206099 0 7051425 Xtrackers USD High Yield Corporate Bond ETF Exchange traded fund 233051432 1465 29252 SH DFND 1,2,3 2074 0 27178 Xtrackers Harvest CSI 300 China A-Shares ETF Exchange traded fund 233051879 638 15915 SH DFND 1,2,3 0 0 15915 DNP Select Income Fund Inc Mutual fund 23325P104 186 18148 SH DFND 1,2,3 0 0 18148 D.R. Horton, Inc. Common stock 23331A109 577 8376 SH DFND 1,2,3 550 0 7826 DTE Energy Company Common stock 233331107 605 4983 SH DFND 1,2,3 3 0 4980 Danaher Corporation Common stock 235851102 55161 248318 SH DFND 1,2,3 34999 0 213320 Dare Bioscience, Inc. Common stock 23666P101 18 13150 SH DFND 1,2,3 0 0 13150 Darden Restaurants, Inc. Common stock 237194105 837 7023 SH DFND 1,2,3 0 0 7023 Data I/O Corporation Common stock 237690102 972 235867 SH DFND 1,2,3 0 0 235867 Datadog Inc Class A Common stock 23804L103 1195 12140 SH DFND 1,2,3 0 0 12140 DaVita Inc. Common stock 23918K108 287 2442 SH DFND 1,2,3 0 0 2442 Deere & Company Common stock 244199105 23156 86065 SH DFND 1,2,3 23245 0 62820 Dell Technologies Inc Class C Common stock 24703L202 291 3974 SH DFND 1,2,3 104 0 3870 Delta Air Lines, Inc. Common stock 247361702 1865 46381 SH DFND 1,2,3 968 0 45413 Devon Energy Corporation Common stock 25179M103 194 12250 SH DFND 1,2,3 280 0 11970 DexCom, Inc. Common stock 252131107 2719 7353 SH DFND 1,2,3 255 0 7098 Diageo plc Sponsored ADR Common stock 25243Q205 1896 11938 SH DFND 1,2,3 584 0 11354 Digital Realty Trust, Inc. Common stock 253868103 18717 134161 SH DFND 1,2,3 7190 0 126971 Direxion Daily S&P 500 Bear 3x Shares Exchange traded fund 25460E885 235 6000 SH DFND 1,2,3 0 0 6000 Walt Disney Company Common stock 254687106 125553 692973 SH DFND 1,2,3 49021 0 643952 Discover Financial Services Common stock 254709108 841 9285 SH DFND 1,2,3 857 0 8428 Dr. Reddy's Laboratories Ltd. Sponsored ADR Common stock 256135203 1397 19596 SH DFND 1,2,3 65 0 19531 DocuSign, Inc. Common stock 256163106 1294 5823 SH DFND 1,2,3 21 0 5802 Dollar General Corporation Common stock 256677105 30806 146486 SH DFND 1,2,3 4086 0 142400 Dollar Tree, Inc. Common stock 256746108 201 1858 SH DFND 1,2,3 45 0 1813 Dominion Energy Inc Common stock 25746U109 4276 56858 SH DFND 1,2,3 1224 0 55634 Domino's Pizza, Inc. Common stock 25754A201 5604 14614 SH DFND 1,2,3 1809 0 12804 Domo, Inc. Class B Common stock 257554105 216 3394 SH DFND 1,2,3 0 0 3394 R.R. Donnelley & Sons Company Common stock 257867200 70 31000 SH DFND 1,2,3 31000 0 0 Dover Corporation Common stock 260003108 2458 19466 SH DFND 1,2,3 200 0 19266 Dow, Inc. Common stock 260557103 11800 212616 SH DFND 1,2,3 4278 0 208338 DraftKings Inc Class A Common stock 26142R104 965 20731 SH DFND 1,2,3 1616 0 19115 Duke Realty Corporation Common stock 264411505 2369 59265 SH DFND 1,2,3 2351 0 56914 Duke Energy Corporation Common stock 26441C204 6055 66128 SH DFND 1,2,3 2536 0 63593 DuPont de Nemours, Inc. Common stock 26614N102 7841 110263 SH DFND 1,2,3 2740 0 107523 EOG Resources, Inc. Common stock 26875P101 1343 26929 SH DFND 1,2,3 376 0 26553 Eagle Bancorp, Inc. Common stock 268948106 1258 30451 SH DFND 1,2,3 25000 0 5451 U.S. Global Jets ETF Exchange traded fund 26922A842 298 13297 SH DFND 1,2,3 6385 0 6912 ETFMG Prime Mobile Payments ETF Exchange traded fund 26924G409 201 3021 SH DFND 1,2,3 0 0 3021 ETFMG Alternative Harvest ETF Exchange traded fund 26924G508 210 14621 SH DFND 1,2,3 12075 0 2546 First Eagle Alternative Capital BDC, Inc. Common stock 26943B100 724 198316 SH DFND 1,2,3 0 0 198316 EastGroup Properties, Inc. Common stock 277276101 1366 9892 SH DFND 1,2,3 346 0 9546 Eastman Chemical Company Common stock 277432100 306 3047 SH DFND 1,2,3 1330 0 1717 Eaton Vance Municipal Bond Fund Mutual fund 27827X101 175 12845 SH DFND 1,2,3 0 0 12845 Eaton Vance Tax-Managed Global Diversified Equity Income Fund Mutual fund 27829F108 94 10723 SH DFND 1,2,3 1250 0 9473 Eaton Vance National Municipal Opportunities Trust Mutual fund 27829L105 444 21680 SH DFND 1,2,3 0 0 21680 eBay Inc. Common stock 278642103 1124 22362 SH DFND 1,2,3 1598 0 20764 Ecolab Inc. Common stock 278865100 7519 34752 SH DFND 1,2,3 938 0 33814 Edison International Common stock 281020107 493 7854 SH DFND 1,2,3 89 0 7765 Edwards Lifesciences Corporation Common stock 28176E108 2984 32713 SH DFND 1,2,3 14389 0 18324 Electronic Arts Inc. Common stock 285512109 215 1498 SH DFND 1,2,3 66 0 1432 Emerson Electric Co. Common stock 291011104 24255 301795 SH DFND 1,2,3 24148 0 277647 Enbridge Inc. Common stock 29250N105 2590 80976 SH DFND 1,2,3 385 0 80591 Energy Transfer, L.P. Common stock 29273V100 1828 295757 SH DFND 1,2,3 5000 0 290757 Enochian Biosciences Inc. Common stock 29350E104 159 53901 SH DFND 1,2,3 0 0 53901 Entercom Communications Corp. Class A Common stock 293639100 25 10000 SH DFND 1,2,3 0 0 10000 Entergy Corporation Common stock 29364G103 314 3148 SH DFND 1,2,3 0 0 3148 Enterprise Products Partners L.P. Common stock 293792107 14623 746467 SH DFND 1,2,3 10125 0 736342 Equifax Inc. 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Class A Common stock 30303M102 58833 215381 SH DFND 1,2,3 37005 0 178376 Fastenal Company Common stock 311900104 739 15124 SH DFND 1,2,3 400 0 14724 Fauquier Bankshares, Inc. Common stock 312059108 197 11352 SH DFND 1,2,3 0 0 11352 FedEx Corporation Common stock 31428X106 4605 17739 SH DFND 1,2,3 244 0 17495 F5 Networks, Inc. Common stock 315616102 14994 85224 SH DFND 1,2,3 24223 0 61001 Fidelity High Yield Factor ETF Exchange traded fund 316092618 201 3619 SH DFND 1,2,3 0 0 3619 Fidelity MSCI Information Technology Index ETF Exchange traded fund 316092808 451 4316 SH DFND 1,2,3 686 0 3630 Fidelity Corporate Bond ETF Exchange traded fund 316188101 2249 39299 SH DFND 1,2,3 0 0 39299 Fidelity Limited Term Bond ETF Exchange traded fund 316188200 210 3980 SH DFND 1,2,3 0 0 3980 Fidelity National Information Services, Inc. Common stock 31620M106 26964 190609 SH DFND 1,2,3 6444 0 184165 Fifth Third Bancorp Common stock 316773100 243 8824 SH DFND 1,2,3 742 0 8082 First Horizon Corporation Common stock 320517105 689 53963 SH DFND 1,2,3 0 0 53963 First Interstate BancSystem, Inc. 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Common stock 337738108 6134 53873 SH DFND 1,2,3 3244 0 50629 Five Below, Inc. Common stock 33829M101 631 3607 SH DFND 1,2,3 0 0 3607 Five9, Inc. Common stock 338307101 370 2123 SH DFND 1,2,3 20 0 2103 FLEETCOR Technologies, Inc. Common stock 339041105 9213 33768 SH DFND 1,2,3 10004 0 23764 FlexShares Morningstar US Market Factor Tilt Index Fund Exchange traded fund 33939L100 586 4050 SH DFND 1,2,3 0 0 4050 FlexShares Quality Dividend Index Fund Exchange traded fund 33939L860 439 8872 SH DFND 1,2,3 0 0 8872 Floor & Decor Holdings, Inc. Class A Common stock 339750101 1061 11431 SH DFND 1,2,3 198 0 11233 Ford Motor Company Common stock 345370860 805 91582 SH DFND 1,2,3 7791 0 83791 Fortinet, Inc. Common stock 34959E109 3542 23848 SH DFND 1,2,3 259 0 23589 Fortive Corp. Common stock 34959J108 982 13864 SH DFND 1,2,3 254 0 13610 Fortune Brands Home & Security, Inc. 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ETF Exchange traded fund 464287168 4508 46866 SH DFND 1,2,3 6509 0 40358 iShares TIPS Bond ETF Exchange traded fund 464287176 9769 76529 SH DFND 1,2,3 741 0 75789 iShares China Large-Cap ETF Exchange traded fund 464287184 597 12868 SH DFND 1,2,3 0 0 12868 iShares Transportation Average ETF Exchange traded fund 464287192 424 1924 SH DFND 1,2,3 0 0 1924 iShares Core S&P 500 ETF Exchange traded fund 464287200 558772 1488512 SH DFND 1,2,3 76052 0 1412460 iShares Core U.S. Aggregate Bond ETF Exchange traded fund 464287226 567258 4799544 SH DFND 1,2,3 204282 0 4595263 iShares MSCI Emerging Markets ETF Exchange traded fund 464287234 9067 175484 SH DFND 1,2,3 20108 0 155376 iShares iBoxx $ Investment Grade Corporate Bond ETF Exchange traded fund 464287242 36115 261457 SH DFND 1,2,3 8577 0 252880 iShares Global Tech ETF Exchange traded fund 464287291 604 2012 SH DFND 1,2,3 87 0 1925 iShares S&P 500 Growth ETF Exchange traded fund 464287309 57249 897036 SH DFND 1,2,3 20326 0 876710 iShares Global Energy ETF Exchange traded fund 464287341 488 24018 SH DFND 1,2,3 0 0 24018 iShares S&P 500 Value ETF Exchange traded fund 464287408 46600 364003 SH DFND 1,2,3 10393 0 353610 iShares 20 Year Treasury Bond ETF Exchange traded fund 464287432 1810 11477 SH DFND 1,2,3 296 0 11181 iShares 7-10 Year Treasury Bond ETF Exchange traded fund 464287440 3114 25964 SH DFND 1,2,3 59 0 25905 iShares 1-3 Year Treasury Bond ETF Exchange traded fund 464287457 39402 456152 SH DFND 1,2,3 44223 0 411929 iShares MSCI EAFE ETF Exchange traded fund 464287465 13874 190155 SH DFND 1,2,3 6006 0 184148 iShares Russell Mid-Cap Value ETF Exchange traded fund 464287473 1937 19977 SH DFND 1,2,3 202 0 19775 iShares Russell Mid-Cap Growth ETF Exchange traded fund 464287481 6758 65837 SH DFND 1,2,3 4237 0 61599 iShares Russell Midcap ETF Exchange traded fund 464287499 4183 61026 SH DFND 1,2,3 563 0 60463 iShares Core S&P Mid-Cap ETF Exchange traded fund 464287507 85713 372943 SH DFND 1,2,3 31515 0 341428 iShares Expanded Tech-Software Sector ETF Exchange traded fund 464287515 1780 5026 SH DFND 1,2,3 0 0 5026 iShares PHLX Semiconductor ETF Exchange traded fund 464287523 24961 65830 SH DFND 1,2,3 3162 0 62668 iShares NASDAQ Biotechnology ETF Exchange traded fund 464287556 2388 15762 SH DFND 1,2,3 520 0 15242 iShares Global 100 ETF Exchange traded fund 464287572 264 4194 SH DFND 1,2,3 466 0 3728 iShares U.S. Consumer Services ETF Exchange traded fund 464287580 6033 85576 SH DFND 1,2,3 4382 0 81194 iShares Russell 1000 Value ETF Exchange traded fund 464287598 18899 138224 SH DFND 1,2,3 2274 0 135950 iShares S&P Mid-Cap 400 Growth ETF Exchange traded fund 464287606 4945 68474 SH DFND 1,2,3 216 0 68258 iShares Russell 1000 Growth ETF Exchange traded fund 464287614 33187 137626 SH DFND 1,2,3 5347 0 132279 iShares Russell 1000 ETF Exchange traded fund 464287622 13988 66029 SH DFND 1,2,3 2592 0 63437 iShares Russell 2000 Value ETF Exchange traded fund 464287630 1075 8158 SH DFND 1,2,3 75 0 8083 iShares Russell 2000 Growth ETF Exchange traded fund 464287648 12974 45252 SH DFND 1,2,3 304 0 44948 iShares Russell 2000 ETF Exchange traded fund 464287655 16266 82965 SH DFND 1,2,3 3105 0 79860 iShares Core S&P US Value ETF Exchange traded fund 464287663 25009 402139 SH DFND 1,2,3 14892 0 387248 iShares Core S&P U.S. Growth ETF Exchange traded fund 464287671 27653 311796 SH DFND 1,2,3 13727 0 298069 iShares Russell 3000 ETF Exchange traded fund 464287689 22362 100032 SH DFND 1,2,3 2128 0 97904 iShares U.S. Utilities ETF Exchange traded fund 464287697 1633 21048 SH DFND 1,2,3 32 0 21016 iShares S&P Mid-Cap 400 Value ETF Exchange traded fund 464287705 1102 12764 SH DFND 1,2,3 408 0 12356 iShares U.S. Technology ETF Exchange traded fund 464287721 26727 314139 SH DFND 1,2,3 8558 0 305580 iShares U.S. Real Estate ETF Exchange traded fund 464287739 999 11660 SH DFND 1,2,3 2251 0 9409 iShares U.S. Industrials ETF Exchange traded fund 464287754 3680 37904 SH DFND 1,2,3 984 0 36920 iShares U.S. Healthcare ETF Exchange traded fund 464287762 9879 40173 SH DFND 1,2,3 1000 0 39173 iShares US Financial Services ETF Exchange traded fund 464287770 2532 16873 SH DFND 1,2,3 400 0 16473 iShares U.S. Financials ETF Exchange traded fund 464287788 5103 76421 SH DFND 1,2,3 2632 0 73789 iShares U.S. Energy ETF Exchange traded fund 464287796 357 17644 SH DFND 1,2,3 2326 0 15318 iShares Core S&P Small Cap ETF Exchange traded fund 464287804 90988 990071 SH DFND 1,2,3 60788 0 929283 iShares U.S. Consumer Goods ETF Exchange traded fund 464287812 4861 28033 SH DFND 1,2,3 1453 0 26580 iShares U.S. Basic Materials ETF Exchange traded fund 464287838 674 5947 SH DFND 1,2,3 78 0 5869 iShares Dow Jones U.S. ETF Exchange traded fund 464287846 2061 21846 SH DFND 1,2,3 4540 0 17307 iShares S&P Small-Cap 600 Value ETF Exchange traded fund 464287879 87202 1072461 SH DFND 1,2,3 49897 0 1022564 iShares S&P Small-Cap 600 Growth ETF Exchange traded fund 464287887 87831 769230 SH DFND 1,2,3 32967 0 736263 iShares Short-Term National Muni Bond ETF Exchange traded fund 464288158 2646 24472 SH DFND 1,2,3 9 0 24464 iShares MSCI All Country Asia ex Japan ETF Exchange traded fund 464288182 510 5690 SH DFND 1,2,3 0 0 5690 iShares Global Clean Energy ETF Exchange traded fund 464288224 260 9222 SH DFND 1,2,3 2282 0 6940 iShares MSCI ACWI ex U.S. ETF Exchange traded fund 464288240 438 8266 SH DFND 1,2,3 201 0 8065 iShares MSCI ACWI ETF Exchange traded fund 464288257 31832 350883 SH DFND 1,2,3 12053 0 338830 iShares MSCI EAFE Small-Cap ETF Exchange traded fund 464288273 1823 26665 SH DFND 1,2,3 419 0 26245 iShares JP Morgan USD Emerging Markets Bond ETF Exchange traded fund 464288281 9629 83069 SH DFND 1,2,3 926 0 82143 iShares California Muni Bond ETF Exchange traded fund 464288356 2862 45546 SH DFND 1,2,3 5000 0 40546 iShares Global Infrastructure ETF Exchange traded fund 464288372 368 8419 SH DFND 1,2,3 1750 0 6669 iShares National Muni Bond ETF Exchange traded fund 464288414 62992 537475 SH DFND 1,2,3 28970 0 508504 iShares Morningstar Small-Cap ETF Exchange traded fund 464288505 236 1197 SH DFND 1,2,3 0 0 1197 iShares iBoxx $ High Yield Corporate Bond ETF Exchange traded fund 464288513 52463 600945 SH DFND 1,2,3 16667 0 584278 iShares Core U.S. REIT ETF Exchange traded fund 464288521 242 4991 SH DFND 1,2,3 2810 0 2181 iShares MSCI KLD 400 Social ETF Exchange traded fund 464288570 1006 14067 SH DFND 1,2,3 225 0 13842 iShares MBS ETF Exchange traded fund 464288588 252950 2296831 SH DFND 1,2,3 90951 0 2205879 iShares Intermediate Government/Credit Bond ETF Exchange traded fund 464288612 13470 114504 SH DFND 1,2,3 1051 0 113454 iShares 5-10 Year Investment Grade Corporate Bond ETF Exchange traded fund 464288638 365564 5916233 SH DFND 1,2,3 182690 0 5733543 iShares 1-5 Year Investment Grade Corporate Bond ETF Exchange traded fund 464288646 29846 540987 SH DFND 1,2,3 15975 0 525012 iShares 10-20 Year Treasury Bond ETF Exchange traded fund 464288653 927 5819 SH DFND 1,2,3 0 0 5819 iShares 3-7 Year Treasury Bond ETF Exchange traded fund 464288661 1396 10497 SH DFND 1,2,3 4903 0 5594 iShares Short Treasury Bond ETF Exchange traded fund 464288679 2471 22358 SH DFND 1,2,3 2292 0 20066 iShares Preferred & Income Securities ETF Exchange traded fund 464288687 4073 105753 SH DFND 1,2,3 32096 0 73657 iShares Global Utilities ETF Exchange traded fund 464288711 975 16232 SH DFND 1,2,3 8117 0 8115 iShares U.S. Home Construction ETF Exchange traded fund 464288752 21366 382895 SH DFND 1,2,3 25221 0 357674 iShares U.S. Aerospace & Defense ETF Exchange traded fund 464288760 502 5300 SH DFND 1,2,3 0 0 5300 iShares MSCI USA ESG Select ETF Exchange traded fund 464288802 1679 20395 SH DFND 1,2,3 102 0 20293 iShares U.S. Medical Devices ETF Exchange traded fund 464288810 264 806 SH DFND 1,2,3 28 0 778 iShares U.S. Healthcare Providers ETF Exchange traded fund 464288828 874 3725 SH DFND 1,2,3 0 0 3725 iShares Micro-Cap ETF Exchange traded fund 464288869 871 7338 SH DFND 1,2,3 605 0 6733 iShares MSCI EAFE Value ETF Exchange traded fund 464288877 907 19226 SH DFND 1,2,3 252 0 18974 iShares MSCI EAFE Growth ETF Exchange traded fund 464288885 7297 72312 SH DFND 1,2,3 14996 0 57316 iShares Core 10 Year USD Bond ETF Exchange traded fund 464289479 401 5243 SH DFND 1,2,3 139 0 5104 iShares Core Aggressive Allocation ETF Exchange traded fund 464289859 574 8949 SH DFND 1,2,3 0 0 8949 iShares Core Growth Allocation ETF Exchange traded fund 464289867 847 16234 SH DFND 1,2,3 706 0 15528 iShares Core Moderate Allocation ETF Exchange traded fund 464289875 1672 38707 SH DFND 1,2,3 739 0 37968 iShares Silver Trust Exchange traded fund 46428Q109 2948 119974 SH DFND 1,2,3 0 0 119974 iShares U.S. Treasury Bond ETF Exchange traded fund 46429B267 633216 23245813 SH DFND 1,2,3 791173 0 22454639 iShares Floating Rate Bond ETF Exchange traded fund 46429B655 5728 112932 SH DFND 1,2,3 3200 0 109732 iShares Core High Dividend ETF Exchange traded fund 46429B663 844 9630 SH DFND 1,2,3 78 0 9552 iShares MSCI China ETF Exchange traded fund 46429B671 409 5046 SH DFND 1,2,3 0 0 5046 iShares MSCI EAFE Min Vol Factor ETF Exchange traded fund 46429B689 24197 329609 SH DFND 1,2,3 2698 0 326911 iShares MSCI USA Min Vol Factor ETF Exchange traded fund 46429B697 46453 684339 SH DFND 1,2,3 5852 0 678487 iShares 0-5 Year TIPS Bond ETF Exchange traded fund 46429B747 267 2558 SH DFND 1,2,3 6 0 2551 BlackRock Short Maturity Bond ETF Exchange traded fund 46431W507 8865 176698 SH DFND 1,2,3 13886 0 162812 BlackRock Short Maturity Municipal Bond ETF Exchange traded fund 46431W838 378 7517 SH DFND 1,2,3 0 0 7517 iShares MSCI USA Quality Factor ETF Exchange traded fund 46432F339 4701 40451 SH DFND 1,2,3 2212 0 38239 iShares MSCI USA Value Factor ETF Exchange traded fund 46432F388 312 3589 SH DFND 1,2,3 142 0 3447 iShares MSCI USA Momentum Factor ETF Exchange traded fund 46432F396 15330 95047 SH DFND 1,2,3 4352 0 90695 iShares Core MSCI Total International Stock ETF Exchange traded fund 46432F834 25462 378957 SH DFND 1,2,3 13503 0 365454 iShares Core MSCI EAFE ETF Exchange traded fund 46432F842 526043 7613886 SH DFND 1,2,3 341025 0 7272861 iShares Core 1-5 Year USD Bond ETF Exchange traded fund 46432F859 6361 123178 SH DFND 1,2,3 87 0 123091 iShares Core MSCI Emerging Markets ETF Exchange traded fund 46434G103 237932 3835145 SH DFND 1,2,3 142647 0 3692498 iShares MSCI Japan ETF Exchange traded fund 46434G822 426 6303 SH DFND 1,2,3 3 0 6300 iShares ESG Aware MSCI EM ETF Exchange traded fund 46434G863 498 11870 SH DFND 1,2,3 1594 0 10276 iShares 0-5 Year Investment Grade Corporate Bond ETF Exchange traded fund 46434V100 788 15094 SH DFND 1,2,3 3424 0 11670 iShares MSCI USA Multifactor ETF Exchange traded fund 46434V282 228 6056 SH DFND 1,2,3 0 0 6056 iShares MSCI USA Small-Cap Multifactor ETF Exchange traded fund 46434V290 3086 67445 SH DFND 1,2,3 12696 0 54749 iShares 0-5 Year High Yield Corporate Bond ETF Exchange traded fund 46434V407 1974 43438 SH DFND 1,2,3 2699 0 40738 iShares Core Total USD Bond Market ETF Exchange traded fund 46434V613 659 12081 SH DFND 1,2,3 0 0 12081 iShares Core Dividend Growth ETF Exchange traded fund 46434V621 753 16801 SH DFND 1,2,3 663 0 16138 iShares Global REIT ETF Exchange traded fund 46434V647 7162 299271 SH DFND 1,2,3 19833 0 279438 iShares Core MSCI Pacific ETF Exchange traded fund 46434V696 15371 238608 SH DFND 1,2,3 6573 0 232035 iShares Core MSCI Europe ETF Exchange traded fund 46434V738 31266 609711 SH DFND 1,2,3 71992 0 537720 iShares Currency Hedged MSCI EAFE ETF Exchange traded fund 46434V803 118385 3885297 SH DFND 1,2,3 250632 0 3634666 BlackRock Ultra Short-Term Bond ETF Exchange traded fund 46434V878 3774 74709 SH DFND 1,2,3 0 0 74709 iShares iBonds Dec 2023 Term Corporate ETF Exchange traded fund 46434VAX8 6129 233305 SH DFND 1,2,3 5278 0 228027 iShares iBonds Dec 2022 Term Corporate ETF Exchange traded fund 46434VBA7 5850 228773 SH DFND 1,2,3 5308 0 223465 iShares iBonds Dec 2025 Term Corporate ETF Exchange traded fund 46434VBD1 4904 179168 SH DFND 1,2,3 5020 0 174148 iShares iBonds Dec 2024 Term Corporate ETF Exchange traded fund 46434VBG4 6149 231357 SH DFND 1,2,3 5263 0 226094 iShares iBonds Dec 2021 Term Corporate ETF Exchange traded fund 46434VBK5 5698 228754 SH DFND 1,2,3 4149 0 224604 iShares iBonds Dec 2023 Term Muni Bond ETF Exchange traded fund 46435G318 4505 172004 SH DFND 1,2,3 1036 0 170968 iShares Core MSCI International Developed Markets ETF Exchange traded fund 46435G326 4147 67291 SH DFND 1,2,3 9798 0 57493 ishares Core 5-10 Year USD Bond ETF Exchange traded fund 46435G417 215 4110 SH DFND 1,2,3 0 0 4110 iShares ESG Aware MSCI USA ETF Exchange traded fund 46435G425 1823 21187 SH DFND 1,2,3 1298 0 19889 iShares ESG Aware MSCI EAFE ETF Exchange traded fund 46435G516 292 3992 SH DFND 1,2,3 894 0 3098 iShares Core International Aggregate Bond ETF Exchange traded fund 46435G672 25787 458763 SH DFND 1,2,3 15584 0 443179 iShares iBonds Dec 2022 Term Muni Bond ETF Exchange traded fund 46435G755 4425 167851 SH DFND 1,2,3 1027 0 166824 iShares iBonds Dec 2021 Term Muni Bond ETF Exchange traded fund 46435G789 4423 171582 SH DFND 1,2,3 1050 0 170532 iShares iBonds Dec 2026 Term Corporate ETF Exchange traded fund 46435GAA0 3181 117381 SH DFND 1,2,3 4535 0 112846 iShares iBonds Dec 2025 Term Muni Bond ETF Exchange traded fund 46435U432 4180 148384 SH DFND 1,2,3 966 0 147418 iShares iBonds Dec 2028 Term Corporate ETF Exchange traded fund 46435U515 2779 94042 SH DFND 1,2,3 3054 0 90988 iShares iBonds Dec 2024 Term Muni Bond ETF Exchange traded fund 46435U697 4194 154810 SH DFND 1,2,3 1002 0 153808 iShares iBonds Dec 2027 Term Corporate ETF Exchange traded fund 46435UAA9 2863 103851 SH DFND 1,2,3 3311 0 100540 JBG SMITH Properties Common stock 46590V100 1211 38712 SH DFND 1,2,3 12416 0 26296 JPMorgan Chase & Co. Common stock 46625H100 92325 726565 SH DFND 1,2,3 111229 0 615335 J.P. Morgan Alerian MLP Index ETN Exchange traded fund 46625H365 1333 95990 SH DFND 1,2,3 0 0 95990 Jack in the Box Inc. Common stock 466367109 5782 62307 SH DFND 1,2,3 7595 0 54712 JPMorgan Diversified Return U.S. Equity ETF Exchange traded fund 46641Q407 1557 18613 SH DFND 1,2,3 2315 0 16298 JPMorgan Ultra-Short Municipal Income ETF Exchange traded fund 46641Q654 510 9999 SH DFND 1,2,3 0 0 9999 JPMorgan Ultra-Short Income ETF Exchange traded fund 46641Q837 32743 644676 SH DFND 1,2,3 2938 0 641738 Jacobs Engineering Group Inc. Common stock 469814107 20656 189572 SH DFND 1,2,3 58048 0 131524 JD.com, Inc. Sponsored ADR Class A Common stock 47215P106 224 2550 SH DFND 1,2,3 0 0 2550 Johnson & Johnson Common stock 478160104 96560 613545 SH DFND 1,2,3 33472 0 580072 KKR & Co. Inc. Common stock 48251W104 16052 396449 SH DFND 1,2,3 104203 0 292246 Kansas City Southern Common stock 485170302 941 4612 SH DFND 1,2,3 121 0 4491 Kayne Anderson Energy Infrastructure Fund, Inc. Mutual fund 486606106 292 50745 SH DFND 1,2,3 17 0 50728 Kellogg Company Common stock 487836108 242 3885 SH DFND 1,2,3 80 0 3805 KeyCorp Common stock 493267108 430 26226 SH DFND 1,2,3 10949 0 15277 Keysight Technologies Inc Common stock 49338L103 404 3062 SH DFND 1,2,3 151 0 2911 Kilroy Realty Corporation Common stock 49427F108 509 8870 SH DFND 1,2,3 991 0 7879 Kimberly-Clark Corporation Common stock 494368103 5966 44246 SH DFND 1,2,3 13812 0 30433 Kimco Realty Corporation Common stock 49446R109 388 25856 SH DFND 1,2,3 955 0 24901 Kinder Morgan Inc Class P Common stock 49456B101 10113 739801 SH DFND 1,2,3 15865 0 723936 Kinross Gold Corporation Common stock 496902404 74 10108 SH DFND 1,2,3 0 0 10108 Kirkland Lake Gold Ltd. Common stock 49741E100 4951 119970 SH DFND 1,2,3 3176 0 116794 Koninklijke Philips N.V. Sponsored ADR Common stock 500472303 6420 118521 SH DFND 1,2,3 2761 0 115760 Kraft Heinz Company Common stock 500754106 4073 117504 SH DFND 1,2,3 3352 0 114151 KraneShares Bosera MSCI China A Share ETF Exchange traded fund 500767405 483 10531 SH DFND 1,2,3 0 0 10531 LHC Group, Inc. Common stock 50187A107 683 3203 SH DFND 1,2,3 0 0 3203 L3Harris Technologies Inc Common stock 502431109 7990 42268 SH DFND 1,2,3 3336 0 38932 Laboratory Corporation of America Holdings Common stock 50540R409 5283 25954 SH DFND 1,2,3 1474 0 24480 Lakeland Financial Corporation Common stock 511656100 349 6510 SH DFND 1,2,3 0 0 6510 Lam Research Corporation Common stock 512807108 9733 20610 SH DFND 1,2,3 3681 0 16928 Lamar Advertising Company Class A Common stock 512816109 18189 218567 SH DFND 1,2,3 15383 0 203183 Las Vegas Sands Corp. Common stock 517834107 7892 132424 SH DFND 1,2,3 17135 0 115289 Estee Lauder Companies Inc. Class A Common stock 518439104 5216 19596 SH DFND 1,2,3 593 0 19003 Lazard Global Total Return & Income Fund Inc Mutual fund 52106W103 436 24508 SH DFND 1,2,3 0 0 24508 Lee Enterprises, Incorporated Common stock 523768109 32 25000 SH DFND 1,2,3 0 0 25000 Leggett & Platt, Incorporated Common stock 524660107 1013 22867 SH DFND 1,2,3 422 0 22445 Leidos Holdings, Inc. Common stock 525327102 320 3043 SH DFND 1,2,3 0 0 3043 Lennar Corporation Class A Common stock 526057104 607 7958 SH DFND 1,2,3 1143 0 6815 Liberty Broadband Corp. Class C Common stock 530307305 261 1650 SH DFND 1,2,3 14 0 1636 Liberty Media Corp. Series C Liberty SiriusXM Common stock 531229607 248 5707 SH DFND 1,2,3 52 0 5655 Eli Lilly and Company Common stock 532457108 8501 50349 SH DFND 1,2,3 8352 0 41997 Lincoln National Corporation Common stock 534187109 264 5242 SH DFND 1,2,3 30 0 5212 LivePerson, Inc. Common stock 538146101 212 3408 SH DFND 1,2,3 0 0 3408 Lockheed Martin Corporation Common stock 539830109 15721 44288 SH DFND 1,2,3 2869 0 41419 Loews Corporation Common stock 540424108 299 6631 SH DFND 1,2,3 5 0 6626 Lowe's Companies, Inc. Common stock 548661107 36248 225832 SH DFND 1,2,3 48152 0 177679 Lululemon Athletica Inc Common stock 550021109 5445 15644 SH DFND 1,2,3 849 0 14795 Lumentum Holdings, Inc. Common stock 55024U109 3720 39237 SH DFND 1,2,3 9583 0 29654 Lyft Inc Class A Common stock 55087P104 346 7042 SH DFND 1,2,3 0 0 7042 M&T Bank Corporation Common stock 55261F104 1553 12203 SH DFND 1,2,3 9 0 12194 MGM Resorts International Common stock 552953101 403 12790 SH DFND 1,2,3 175 0 12615 MSCI Inc. Class A Common stock 55354G100 6868 15380 SH DFND 1,2,3 1 0 15379 Macquarie Infrastructure Corporation Common stock 55608B105 8278 220462 SH DFND 1,2,3 3980 0 216482 Magellan Midstream Partners, L.P. Common stock 559080106 7506 176868 SH DFND 1,2,3 5316 0 171552 Tortoise North American Pipeline Fund Exchange traded fund 56167N720 4469 258002 SH DFND 1,2,3 25947 0 232055 ManTech International Corporation Class A Common stock 564563104 289 3252 SH DFND 1,2,3 0 0 3252 Marathon Petroleum Corporation Common stock 56585A102 1697 41035 SH DFND 1,2,3 894 0 40141 Markel Corporation Common stock 570535104 408 395 SH DFND 1,2,3 4 0 391 Marriott Vacations Worldwide Corporation Common stock 57164Y107 387 2820 SH DFND 1,2,3 0 0 2820 Marsh & McLennan Companies, Inc. Common stock 571748102 594 5073 SH DFND 1,2,3 931 0 4142 Marriott International, Inc. Class A Common stock 571903202 9032 68467 SH DFND 1,2,3 409 0 68058 Masco Corporation Common stock 574599106 759 13810 SH DFND 1,2,3 232 0 13578 Masimo Corporation Common stock 574795100 249 926 SH DFND 1,2,3 0 0 926 MasTec, Inc. Common stock 576323109 2357 34563 SH DFND 1,2,3 7828 0 26735 Mastercard Incorporated Class A Common stock 57636Q104 64652 181129 SH DFND 1,2,3 7583 0 173546 Match Group, Inc. Common stock 57667L107 5958 39408 SH DFND 1,2,3 1784 0 37624 Maxim Integrated Products, Inc. Common stock 57772K101 325 3670 SH DFND 1,2,3 0 0 3670 McCormick & Company, Incorporated Common stock 579780107 207 2168 SH DFND 1,2,3 0 0 2168 McCormick & Company, Incorporated Common stock 579780206 590 6173 SH DFND 1,2,3 630 0 5543 McDonald's Corporation Common stock 580135101 13305 62006 SH DFND 1,2,3 3602 0 58404 McKesson Corporation Common stock 58155Q103 1161 6673 SH DFND 1,2,3 913 0 5760 Medalist Diversified REIT, Inc. Common stock 58403P105 22 10000 SH DFND 1,2,3 0 0 10000 Medical Properties Trust, Inc. Common stock 58463J304 7948 364747 SH DFND 1,2,3 42177 0 322571 MercadoLibre, Inc. Common stock 58733R102 1420 847 SH DFND 1,2,3 244 0 603 Merck & Co., Inc. Common stock 58933Y105 27527 336522 SH DFND 1,2,3 32514 0 304008 MetLife, Inc. Common stock 59156R108 800 17042 SH DFND 1,2,3 1070 0 15972 Microsoft Corporation Common stock 594918104 265387 1193181 SH DFND 1,2,3 135032 0 1058149 MicroStrategy Incorporated Class A Common stock 594972408 2071 5330 SH DFND 1,2,3 0 0 5330 Microchip Technology Incorporated Common stock 595017104 3162 22892 SH DFND 1,2,3 311 0 22581 Micron Technology, Inc. Common stock 595112103 783 10411 SH DFND 1,2,3 1084 0 9327 Mid-America Apartment Communities, Inc. Common stock 59522J103 851 6721 SH DFND 1,2,3 0 0 6721 Middlefield Banc Corp. Common stock 596304204 689 30636 SH DFND 1,2,3 0 0 30636 Moderna, Inc. Common stock 60770K107 1242 11886 SH DFND 1,2,3 400 0 11486 Molson Coors Beverage Company Class B Common stock 60871R209 13314 294629 SH DFND 1,2,3 0 0 294629 Mondelez International, Inc. Class A Common stock 609207105 18930 323748 SH DFND 1,2,3 8804 0 314944 MongoDB, Inc. Class A Common stock 60937P106 359 1001 SH DFND 1,2,3 0 0 1001 Monster Beverage Corporation Common stock 61174X109 821 8882 SH DFND 1,2,3 774 0 8108 Moody's Corporation Common stock 615369105 231 796 SH DFND 1,2,3 3 0 793 Morgan Stanley Common stock 617446448 915 13348 SH DFND 1,2,3 759 0 12589 Murphy Oil Corporation Common stock 626717102 129 10627 SH DFND 1,2,3 340 0 10287 Murphy USA, Inc. Common stock 626755102 349 2663 SH DFND 1,2,3 35 0 2628 NBT Bancorp Inc. Common stock 628778102 996 31024 SH DFND 1,2,3 0 0 31024 NIO Inc. Sponsored ADR Class A Common stock 62914V106 1183 24279 SH DFND 1,2,3 1890 0 22389 NVR, Inc. Common stock 62944T105 265 65 SH DFND 1,2,3 0 0 65 Nasdaq, Inc. Common stock 631103108 29766 224246 SH DFND 1,2,3 6344 0 217902 NOV Inc. Common stock 637071101 170 12390 SH DFND 1,2,3 35 0 12355 NetApp, Inc. Common stock 64110D104 922 13914 SH DFND 1,2,3 45 0 13869 Netflix, Inc. Common stock 64110L106 14435 26696 SH DFND 1,2,3 1823 0 24873 NetScout Systems, Inc. Common stock 64115T104 305 11120 SH DFND 1,2,3 0 0 11120 Nevro Corp. Common stock 64157F103 1646 9508 SH DFND 1,2,3 9508 0 0 New Residential Investment Corp. Common stock 64828T201 133 13426 SH DFND 1,2,3 0 0 13426 New York Community Capital Trust V 6 Bifurcated Option Note Unit Secs Cons of 1 6 Trust Pfd Sec Unit 64944P307 248 5400 SH DFND 1,2,3 0 0 5400 Newell Brands Inc Common stock 651229106 1352 63699 SH DFND 1,2,3 478 0 63221 Newmont Corporation Common stock 651639106 1016 16961 SH DFND 1,2,3 750 0 16211 Newpark Resources, Inc. Common stock 651718504 70 36300 SH DFND 1,2,3 0 0 36300 NextEra Energy, Inc. Common stock 65339F101 38112 494002 SH DFND 1,2,3 17677 0 476325 NICE Ltd Sponsored ADR Common stock 653656108 3608 12724 SH DFND 1,2,3 0 0 12724 NIKE, Inc. Class B Common stock 654106103 207001 1463215 SH DFND 1,2,3 29374 0 1433841 Norfolk Southern Corporation Common stock 655844108 2578 10849 SH DFND 1,2,3 2580 0 8269 Northern Trust Corporation Common stock 665859104 4975 53418 SH DFND 1,2,3 307 0 53111 Northrop Grumman Corporation Common stock 666807102 16380 53753 SH DFND 1,2,3 2566 0 51187 NortonLifeLock Inc. Common stock 668771108 277 13348 SH DFND 1,2,3 5 0 13343 Novartis AG Sponsored ADR Common stock 66987V109 4921 52108 SH DFND 1,2,3 10590 0 41518 Novo Nordisk A/S Sponsored ADR Class B Common stock 670100205 58841 842393 SH DFND 1,2,3 37288 0 805106 Nucor Corporation Common stock 670346105 989 18598 SH DFND 1,2,3 692 0 17906 Nuveen Select Tax-Free Income Portfolio Mutual fund 67062F100 2061 115807 SH DFND 1,2,3 0 0 115807 Nuveen Select Tax Free Income Portfolio 2 Mutual fund 67063C106 2028 127376 SH DFND 1,2,3 0 0 127376 Nuveen Select Tax-Free Income Portfolio 3 Mutual fund 67063X100 566 32400 SH DFND 1,2,3 0 0 32400 Nuveen AMT-Free Quality Municipal Income Fund of Benef Interest Mutual fund 670657105 2375 157254 SH DFND 1,2,3 0 0 157254 NVIDIA Corporation Common stock 67066G104 31979 61240 SH DFND 1,2,3 2062 0 59178 Nuveen Quality Municipal Income Fund of Benef.Interest Mutual fund 67066V101 1977 128597 SH DFND 1,2,3 0 0 128597 Nuveen California Quality Municipal Income Fund Mutual fund 67066Y105 282 18575 SH DFND 1,2,3 0 0 18575 Nuveen AMT-Free Municipal Credit Income Fund of Benef Interest Mutual fund 67071L106 192 11453 SH DFND 1,2,3 0 0 11453 Nuveen Preferred & Income Securities Fund of Benef.Interest Mutual fund 67072C105 313 32150 SH DFND 1,2,3 1222 0 30928 Nuveen Preferred & Income Opportunities Fund of Benef Interest Mutual fund 67073B106 198 20842 SH DFND 1,2,3 0 0 20842 Nuveen Credit Strategies Income Fund Mutual fund 67073D102 139 21894 SH DFND 1,2,3 0 0 21894 Nuveen Enhanced Municipal Value Fund Mutual fund 67074M101 2427 148824 SH DFND 1,2,3 0 0 148824 Nutrien Ltd. Common stock 67077M108 988 20518 SH DFND 1,2,3 8353 0 12165 OGE Energy Corp. Common stock 670837103 270 8481 SH DFND 1,2,3 0 0 8481 Nuveen Municipal Value Fund Inc Mutual fund 670928100 9633 867874 SH DFND 1,2,3 13870 0 854004 O'Reilly Automotive, Inc. Common stock 67103H107 878 1939 SH DFND 1,2,3 51 0 1888 Occidental Petroleum Corporation Common stock 674599105 1667 96322 SH DFND 1,2,3 2574 0 93749 Occidental Petroleum Corporation Warrant 2020-03.08.27 on Occidental Pete Warrant or right 674599162 69 10126 SH DFND 1,2,3 261 0 9865 Okta, Inc. Class A Common stock 679295105 996 3917 SH DFND 1,2,3 232 0 3685 Old Dominion Freight Line, Inc. Common stock 679580100 232 1191 SH DFND 1,2,3 0 0 1191 Omnicom Group Inc Common stock 681919106 1237 19838 SH DFND 1,2,3 614 0 19224 Omega Healthcare Investors, Inc. Common stock 681936100 529 14559 SH DFND 1,2,3 1442 0 13117 Omeros Corporation Common stock 682143102 1376 96303 SH DFND 1,2,3 87772 0 8531 Oncolytics Biotech Inc. Common stock 682310875 25 10500 SH DFND 1,2,3 0 0 10500 Oncternal Therapeutics, Inc. Common stock 68236P107 415 84605 SH DFND 1,2,3 0 0 84605 ONEOK, Inc. Common stock 682680103 26093 679872 SH DFND 1,2,3 22475 0 657398 1Life Healthcare, Inc. Common stock 68269G107 563 12900 SH DFND 1,2,3 0 0 12900 OneSpan Inc. Common stock 68287N100 2571 124329 SH DFND 1,2,3 0 0 124329 OPKO Health, Inc. Common stock 68375N103 49 12335 SH DFND 1,2,3 0 0 12335 Oracle Corporation Common stock 68389X105 56108 867340 SH DFND 1,2,3 38081 0 829259 OrthoPediatrics Corp. Common stock 68752L100 3254 78880 SH DFND 1,2,3 0 0 78880 Oshkosh Corp Common stock 688239201 876 10175 SH DFND 1,2,3 3 0 10172 Otis Worldwide Corporation Common stock 68902V107 2986 44206 SH DFND 1,2,3 1613 0 42594 Owens Corning Common stock 690742101 367 4840 SH DFND 1,2,3 0 0 4840 Owl Rock Capital Corporation Mutual fund 69121K104 18991 1500042 SH DFND 1,2,3 117642 0 1382400 PNC Financial Services Group, Inc. Common stock 693475105 5839 39190 SH DFND 1,2,3 2943 0 36247 PPG Industries, Inc. Common stock 693506107 1179 8178 SH DFND 1,2,3 727 0 7451 PPL Corporation Common stock 69351T106 1206 42780 SH DFND 1,2,3 1738 0 41042 PTC Inc. Common stock 69370C100 314 2627 SH DFND 1,2,3 0 0 2627 PACCAR Inc Common stock 693718108 62752 727303 SH DFND 1,2,3 800 0 726503 Pacer Trendpilot US Large Cap ETF Exchange traded fund 69374H105 203 6210 SH DFND 1,2,3 0 0 6210 Palantir Technologies Inc. Class A Common stock 69608A108 513 21784 SH DFND 1,2,3 0 0 21784 Palo Alto Networks, Inc. Common stock 697435105 1788 5031 SH DFND 1,2,3 446 0 4585 Pan American Silver Corp. Common stock 697900108 437 12653 SH DFND 1,2,3 2495 0 10158 Parker-Hannifin Corporation Common stock 701094104 14187 52079 SH DFND 1,2,3 13898 0 38180 Party City Holdco, Inc. Common stock 702149105 84 13689 SH DFND 1,2,3 0 0 13689 Paychex, Inc. Common stock 704326107 15265 163823 SH DFND 1,2,3 30022 0 133801 PayPal Holdings Inc Common stock 70450Y103 11690 49913 SH DFND 1,2,3 2549 0 47364 Peloton Interactive, Inc. Class A Common stock 70614W100 2913 19200 SH DFND 1,2,3 1007 0 18193 People's United Financial, Inc. Common stock 712704105 948 73287 SH DFND 1,2,3 538 0 72749 PepsiCo, Inc. Common stock 713448108 126063 850052 SH DFND 1,2,3 88427 0 761625 PerkinElmer, Inc. Common stock 714046109 372 2594 SH DFND 1,2,3 577 0 2017 Pfizer Inc. Common stock 717081103 17093 464363 SH DFND 1,2,3 38481 0 425882 Philip Morris International Inc. Common stock 718172109 9610 116077 SH DFND 1,2,3 2756 0 113321 Phillips 66 Common stock 718546104 3468 49587 SH DFND 1,2,3 4161 0 45426 Pimco Municipal Income Fund II Mutual fund 72200W106 314 21987 SH DFND 1,2,3 0 0 21987 Pimco High Income Fund Mutual fund 722014107 147 24332 SH DFND 1,2,3 0 0 24332 PIMCO Active Bond ETF Exchange traded fund 72201R775 1666 14730 SH DFND 1,2,3 445 0 14285 PIMCO Enhanced Short Maturity Active ETF Exchange traded fund 72201R833 51322 502957 SH DFND 1,2,3 19859 0 483098 Pioneer Natural Resources Company Common stock 723787107 1751 15379 SH DFND 1,2,3 618 0 14761 Plains All American Pipeline, L.P. Common stock 726503105 1541 187010 SH DFND 1,2,3 8000 0 179010 Plains GP Holdings LP Class A Common stock 72651A207 1069 126561 SH DFND 1,2,3 1500 0 125061 Polaris Inc. Common stock 731068102 1971 20685 SH DFND 1,2,3 0 0 20685 PolarityTE, Inc. Common stock 731094108 34 50150 SH DFND 1,2,3 0 0 50150 Pool Corporation Common stock 73278L105 29851 80136 SH DFND 1,2,3 2449 0 77687 PotlatchDeltic Corporation Common stock 737630103 1432 28631 SH DFND 1,2,3 17039 0 11592 T. Rowe Price Group Common stock 74144T108 3738 24694 SH DFND 1,2,3 799 0 23895 Principal Financial Group, Inc. Common stock 74251V102 1255 25305 SH DFND 1,2,3 267 0 25038 Procter & Gamble Company Common stock 742718109 90311 649066 SH DFND 1,2,3 40594 0 608472 Progressive Corporation Common stock 743315103 5507 55695 SH DFND 1,2,3 10796 0 44899 Prologis, Inc. Common stock 74340W103 6266 62873 SH DFND 1,2,3 2827 0 60046 Prospect Capital Corporation Mutual fund 74348T102 307 56783 SH DFND 1,2,3 0 0 56783 Prudential Financial, Inc. Common stock 744320102 12858 164694 SH DFND 1,2,3 7809 0 156884 Public Service Enterprise Group Inc Common stock 744573106 964 16541 SH DFND 1,2,3 260 0 16281 Public Storage Common stock 74460D109 693 3002 SH DFND 1,2,3 6 0 2996 PulteGroup, Inc. Common stock 745867101 882 20454 SH DFND 1,2,3 2449 0 18005 Putnam Managed Municipal Income Trust Mutual fund 746823103 475 58861 SH DFND 1,2,3 0 0 58861 QCR Holdings, Inc. Common stock 74727A104 1897 47924 SH DFND 1,2,3 1950 0 45974 Qualcomm Inc Common stock 747525103 81983 538159 SH DFND 1,2,3 59854 0 478306 Quanta Services, Inc. Common stock 74762E102 458 6364 SH DFND 1,2,3 1422 0 4942 Quest Diagnostics Incorporated Common stock 74834L100 1159 9722 SH DFND 1,2,3 9270 0 452 RPM International Inc. Common stock 749685103 2381 26232 SH DFND 1,2,3 18030 0 8202 Raymond James Financial, Inc. Common stock 754730109 854 8926 SH DFND 1,2,3 215 0 8711 Raytheon Technologies Corporation Common stock 75513E101 55137 771043 SH DFND 1,2,3 38699 0 732343 Realty Income Corporation Common stock 756109104 3436 55273 SH DFND 1,2,3 343 0 54930 Recro Pharma, Inc. Common stock 75629F109 51 18000 SH DFND 1,2,3 0 0 18000 Regeneron Pharmaceuticals, Inc. Common stock 75886F107 1146 2372 SH DFND 1,2,3 39 0 2333 Regions Financial Corporation Common stock 7591EP100 3289 204005 SH DFND 1,2,3 610 0 203395 RELX PLC Sponsored ADR Common stock 759530108 8243 334276 SH DFND 1,2,3 8011 0 326265 Republic Services, Inc. Common stock 760759100 25381 263566 SH DFND 1,2,3 8351 0 255215 ResMed Inc. Common stock 761152107 979 4606 SH DFND 1,2,3 85 0 4521 Retail Opportunity Investments Corp. Common stock 76131N101 349 26070 SH DFND 1,2,3 2636 0 23434 Retail Properties of America, Inc. Class A Common stock 76131V202 282 32897 SH DFND 1,2,3 0 0 32897 Rexford Industrial Realty, Inc. Common stock 76169C100 263 5348 SH DFND 1,2,3 243 0 5105 RingCentral, Inc. Class A Common stock 76680R206 3869 10208 SH DFND 1,2,3 460 0 9748 Rio Tinto plc Sponsored ADR Common stock 767204100 427 5682 SH DFND 1,2,3 166 0 5516 Rockwell Automation, Inc. Common stock 773903109 405 1613 SH DFND 1,2,3 43 0 1570 Rogers Communications Inc. Class B Common stock 775109200 1716 36834 SH DFND 1,2,3 24799 0 12035 Roku, Inc. Class A Common stock 77543R102 403 1215 SH DFND 1,2,3 137 0 1078 Rollins, Inc. Common stock 775711104 750 19188 SH DFND 1,2,3 198 0 18990 Roper Technologies, Inc. Common stock 776696106 13886 32210 SH DFND 1,2,3 2853 0 29357 Ross Stores, Inc. Common stock 778296103 825 6715 SH DFND 1,2,3 75 0 6640 Royal Bank of Canada Common stock 780087102 6757 82344 SH DFND 1,2,3 1761 0 80583 Royal Dutch Shell Plc Sponsored ADR Class B Common stock 780259107 1452 43203 SH DFND 1,2,3 826 0 42377 Royal Dutch Shell Plc Sponsored ADR Class A Common stock 780259206 1813 51592 SH DFND 1,2,3 713 0 50879 Royal Gold, Inc. Common stock 780287108 1606 15096 SH DFND 1,2,3 1 0 15095 Royce Value Trust Inc Mutual fund 780910105 161 10000 SH DFND 1,2,3 10000 0 0 Ryman Hospitality Properties, Inc. Common stock 78377T107 597 8804 SH DFND 1,2,3 798 0 8006 S&P Global, Inc. Common stock 78409V104 47860 145590 SH DFND 1,2,3 12361 0 133229 SBA Communications Corp. Class A Common stock 78410G104 727 2578 SH DFND 1,2,3 5 0 2573 SL Green Realty Corp. Common stock 78440X101 247 4034 SH DFND 1,2,3 274 0 3760 SPDR S&P 500 ETF Trust Exchange traded fund 78462F103 108035 288957 SH DFND 1,2,3 12957 0 276001 SPDR Gold Shares Exchange traded fund 78463V107 23952 134288 SH DFND 1,2,3 1179 0 133109 SPDR MSCI ACWI Low Carbon Target ETF Exchange traded fund 78463X194 424 3720 SH DFND 1,2,3 0 0 3720 SPDR EURO STOXX 50 ETF Exchange traded fund 78463X202 223 5344 SH DFND 1,2,3 0 0 5344 SPDR S&P Global Dividend ETF Exchange traded fund 78463X459 528 8749 SH DFND 1,2,3 825 0 7924 SPDR Portfolio Emerging Markets ETF Exchange traded fund 78463X509 27593 654491 SH DFND 1,2,3 37497 0 616993 SPDR Dow Jones Global Real Estate ETF Exchange traded fund 78463X749 225 5054 SH DFND 1,2,3 172 0 4882 SPDR MSCI ACWI ex-US ETF Exchange traded fund 78463X848 7600 274872 SH DFND 1,2,3 10731 0 264141 SPDR Dow Jones International Real Estate ETF Exchange traded fund 78463X863 986 28921 SH DFND 1,2,3 18384 0 10537 SPDR S&P International Small Cap ETF Exchange traded fund 78463X871 637 17987 SH DFND 1,2,3 134 0 17853 SPDR Portfolio Developed World ex-US ETF Exchange traded fund 78463X889 15904 471223 SH DFND 1,2,3 15614 0 455609 SPDR S&P 600 Small Cap Growth ETF Exchange traded fund 78464A201 3170 41508 SH DFND 1,2,3 487 0 41021 SPDR Nuveen Bloomberg Barclays High Yield Municipal Bond ETF Exchange traded fund 78464A284 15110 256149 SH DFND 1,2,3 15269 0 240880 SPDR S&P 600 Small Cap Value ETF Exchange traded fund 78464A300 2154 32539 SH DFND 1,2,3 278 0 32261 SPDR Bloomberg Barclays Convertible Securities ETF Exchange traded fund 78464A359 217 2616 SH DFND 1,2,3 238 0 2379 SPDR Portfolio Intermediate Term Corporate Bond ETF Exchange traded fund 78464A375 830 22331 SH DFND 1,2,3 5405 0 16926 SPDR Portfolio Mortgage Backed Bond ETF Exchange traded fund 78464A383 20846 789019 SH DFND 1,2,3 112956 0 676062 SPDR Bloomberg Barclays Emerging Markets Local Bond ETF Exchange traded fund 78464A391 592 21116 SH DFND 1,2,3 2468 0 18648 SPDR Portfolio S&P 500 Growth ETF Exchange traded fund 78464A409 13294 240445 SH DFND 1,2,3 3303 0 237142 SPDR Portfolio Short Term Corporate Bond ETF Exchange traded fund 78464A474 1336 42549 SH DFND 1,2,3 1936 0 40613 SPDR Portfolio S&P 500 Value ETF Exchange traded fund 78464A508 12134 352841 SH DFND 1,2,3 6903 0 345938 SPDR Dow Jones REIT ETF Exchange traded fund 78464A607 772 8907 SH DFND 1,2,3 1034 0 7873 SPDR Portfolio Aggregate Bond ETF Exchange traded fund 78464A649 23555 765017 SH DFND 1,2,3 15134 0 749883 SPDR S&P Regional Banking ETF Exchange traded fund 78464A698 1893 36432 SH DFND 1,2,3 179 0 36253 SPDR S&P Dividend ETF Exchange traded fund 78464A763 40514 382461 SH DFND 1,2,3 117220 0 265241 SPDR Portfolio S&P 1500 Composite Stock Market ETF Exchange traded fund 78464A805 20198 438220 SH DFND 1,2,3 5751 0 432469 SPDR S&P 600 Small Cap ETF Exchange traded fund 78464A813 306 3852 SH DFND 1,2,3 2130 0 1722 SPDR S&P 400 Mid Cap Growth ETF Exchange traded fund 78464A821 407 5875 SH DFND 1,2,3 200 0 5675 SPDR Portfolio S&P 400 Mid Cap ETF Exchange traded fund 78464A847 4223 104539 SH DFND 1,2,3 1211 0 103328 SPDR S&P BIOTECH ETF Exchange traded fund 78464A870 1493 10606 SH DFND 1,2,3 805 0 9801 SPDR S&P Homebuilders ETF Exchange traded fund 78464A888 345 5985 SH DFND 1,2,3 0 0 5985 SPDR SSgA Income Allocation ETF Exchange traded fund 78467V202 316 9323 SH DFND 1,2,3 1499 0 7824 SPDR Blackstone / GSO Senior Loan ETF Exchange traded fund 78467V608 270 5922 SH DFND 1,2,3 126 0 5796 SPDR Dow Jones Industrial Average ETF Trust Exchange traded fund 78467X109 3116 10189 SH DFND 1,2,3 316 0 9873 SPDR S&P Midcap 400 ETF Trust Exchange traded fund 78467Y107 4950 11788 SH DFND 1,2,3 1436 0 10352 SPDR Portfolio Short Term Treasury ETF Exchange traded fund 78468R101 210 6837 SH DFND 1,2,3 3337 0 3500 SPDR Bloomberg Barclays Investment Grade Floating Rate ETF Exchange traded fund 78468R200 274 8956 SH DFND 1,2,3 1319 0 7637 SPDR Bloomberg Barclays Short Term High Yield Bond ETF Exchange traded fund 78468R408 233 8629 SH DFND 1,2,3 3971 0 4658 SPDR Bloomberg Barclays High Yield Bond ETF Exchange traded fund 78468R622 84012 771175 SH DFND 1,2,3 34461 0 736714 SPDR Bloomberg Barclays 1-3 Month T-Bill ETF Exchange traded fund 78468R663 3139 34296 SH DFND 1,2,3 4962 0 29334 SPDR Nuveen Bloomberg Barclays Municipal Bond ETF Exchange traded fund 78468R721 1742 33183 SH DFND 1,2,3 2 0 33181 SPDR Nuveen Bloomberg Barclays Short Term Municipal Bond ETF Exchange traded fund 78468R739 60839 1221916 SH DFND 1,2,3 90621 0 1131295 SPDR S&P 500 Fossil Fuel Reserves Free ETF Exchange traded fund 78468R796 632 6795 SH DFND 1,2,3 608 0 6187 SPDR SSGA US Large Cap Low Volatility Index ETF Exchange traded fund 78468R804 791 6592 SH DFND 1,2,3 0 0 6592 SPDR Portfolio S&P 600 Small Cap ETF Exchange traded fund 78468R853 1449 40482 SH DFND 1,2,3 813 0 39668 SPDR SSGA US Small Cap Low Volatility Index ETF Exchange traded fund 78468R887 6849 71569 SH DFND 1,2,3 1021 0 70548 Sabine Royalty Trust Common stock 785688102 568 20120 SH DFND 1,2,3 0 0 20120 salesforce.com, inc. Common stock 79466L302 18429 82815 SH DFND 1,2,3 15625 0 67190 Sandy Spring Bancorp, Inc. Common stock 800363103 510 15852 SH DFND 1,2,3 353 0 15499 Sangamo Therapeutics, Inc. Common stock 800677106 289 18516 SH DFND 1,2,3 0 0 18516 Sanofi SA Sponsored ADR Common stock 80105N105 1834 37740 SH DFND 1,2,3 18468 0 19272 SAP SE Sponsored ADR Common stock 803054204 20606 158031 SH DFND 1,2,3 5669 0 152362 Sarepta Therapeutics, Inc. Common stock 803607100 2220 13020 SH DFND 1,2,3 117 0 12903 Savara, Inc. Common stock 805111101 30 25782 SH DFND 1,2,3 0 0 25782 Henry Schein, Inc. Common stock 806407102 330 4943 SH DFND 1,2,3 0 0 4943 Schlumberger NV Common stock 806857108 5584 255805 SH DFND 1,2,3 6948 0 248857 Charles Schwab Corporation Common stock 808513105 1565 29505 SH DFND 1,2,3 2210 0 27295 Schwab U.S. Broad Market ETF Exchange traded fund 808524102 48037 527935 SH DFND 1,2,3 12214 0 515721 Schwab U.S. Large-Cap ETF Exchange traded fund 808524201 73025 802909 SH DFND 1,2,3 15214 0 787695 Schwab U.S. Large-Cap Growth ETF Exchange traded fund 808524300 87670 682736 SH DFND 1,2,3 26705 0 656031 Schwab U.S. Large-Cap Value ETF Exchange traded fund 808524409 78518 1318958 SH DFND 1,2,3 54049 0 1264909 Schwab U.S. Mid-Cap ETF Exchange traded fund 808524508 19589 287319 SH DFND 1,2,3 8306 0 279013 Schwab U.S. Small-Cap ETF Exchange traded fund 808524607 41811 469792 SH DFND 1,2,3 29897 0 439895 Schwab 5-10 Year Corporate Bond ETF Exchange traded fund 808524698 1041 19411 SH DFND 1,2,3 0 0 19411 Schwab Emerging Markets Equity ETF Exchange traded fund 808524706 39409 1285763 SH DFND 1,2,3 62206 0 1223557 Schwab Fundamental Emerging Markets Large Co. Index ETF Exchange traded fund 808524730 250 8863 SH DFND 1,2,3 281 0 8582 Schwab Fundamental International Small Co. Index ETF Exchange traded fund 808524748 24377 700892 SH DFND 1,2,3 59026 0 641866 Schwab Fundamental US Small Co. Index ETF Exchange traded fund 808524763 280 6518 SH DFND 1,2,3 340 0 6178 Schwab Fundamental US Large Co. Index ETF Exchange traded fund 808524771 630 13917 SH DFND 1,2,3 462 0 13455 Schwab US Dividend Equity ETF Exchange traded fund 808524797 16077 250649 SH DFND 1,2,3 24611 0 226038 Schwab International Equity ETF Exchange traded fund 808524805 95359 2648119 SH DFND 1,2,3 91651 0 2556468 Schwab US Aggregate Bond ETF Exchange traded fund 808524839 61068 1089916 SH DFND 1,2,3 29136 0 1060780 Schwab U.S. REIT ETF Exchange traded fund 808524847 1041 27404 SH DFND 1,2,3 1577 0 25827 Schwab Intermediate-Term US Treasury ETF Exchange traded fund 808524854 334 5735 SH DFND 1,2,3 1925 0 3810 Schwab Short-Term US Treasury ETF Exchange traded fund 808524862 25873 503458 SH DFND 1,2,3 8106 0 495352 Schwab US TIPS ETF Exchange traded fund 808524870 6932 111658 SH DFND 1,2,3 910 0 110748 Schwab International Small-Cap Equity ETF Exchange traded fund 808524888 2873 76295 SH DFND 1,2,3 2577 0 73718 Science Applications International Corp. Common stock 808625107 351 3711 SH DFND 1,2,3 0 0 3711 Seagen, Inc. Common stock 81181C104 3657 20879 SH DFND 1,2,3 376 0 20503 Seabridge Gold Inc Common stock 811916105 1054 50000 SH DFND 1,2,3 0 0 50000 Materials Select Sector SPDR Fund Exchange traded fund 81369Y100 264 3648 SH DFND 1,2,3 364 0 3284 Health Care Select Sector SPDR Fund Exchange traded fund 81369Y209 38386 338383 SH DFND 1,2,3 95381 0 243001 Consumer Staples Select Sector SPDR Fund Exchange traded fund 81369Y308 1112 16482 SH DFND 1,2,3 2014 0 14468 Consumer Discretionary Select Sector SPDR Fund Exchange traded fund 81369Y407 5485 34112 SH DFND 1,2,3 3068 0 31044 Energy Select Sector SPDR Fund Exchange traded fund 81369Y506 7033 185568 SH DFND 1,2,3 4305 0 181262 Financial Select Sector SPDR Fund Exchange traded fund 81369Y605 11409 387008 SH DFND 1,2,3 32986 0 354022 Industrial Select Sector SPDR Fund Exchange traded fund 81369Y704 3457 39044 SH DFND 1,2,3 1264 0 37780 Technology Select Sector SPDR Fund Exchange traded fund 81369Y803 8658 66593 SH DFND 1,2,3 6041 0 60552 Communication Services Select Sector SPDR Fund Exchange traded fund 81369Y852 11415 169168 SH DFND 1,2,3 8310 0 160858 Utilities Select Sector SPDR Fund Exchange traded fund 81369Y886 1939 30919 SH DFND 1,2,3 401 0 30518 Sempra Energy Common stock 816851109 1753 13757 SH DFND 1,2,3 150 0 13607 Service Corporation International Common stock 817565104 511 10403 SH DFND 1,2,3 0 0 10403 ServiceNow, Inc. Common stock 81762P102 10135 18413 SH DFND 1,2,3 922 0 17491 Shake Shack, Inc. Class A Common stock 819047101 359 4236 SH DFND 1,2,3 0 0 4236 Sherwin-Williams Company Common stock 824348106 8783 11951 SH DFND 1,2,3 69 0 11882 Shopify, Inc. Class A Common stock 82509L107 7861 6945 SH DFND 1,2,3 350 0 6595 Simon Property Group, Inc. Common stock 828806109 2157 25290 SH DFND 1,2,3 1433 0 23857 Simulations Plus, Inc. Common stock 829214105 207 2880 SH DFND 1,2,3 0 0 2880 Sirius XM Holdings, Inc. Common stock 82968B103 589 92469 SH DFND 1,2,3 1276 0 91194 Skyworks Solutions, Inc. Common stock 83088M102 1319 8628 SH DFND 1,2,3 93 0 8535 Smith & Wesson Brands, Inc. Common stock 831754106 913 51440 SH DFND 1,2,3 600 0 50840 Smartsheet, Inc. Class A Common stock 83200N103 659 9505 SH DFND 1,2,3 8500 0 1005 J.M. Smucker Company Common stock 832696405 431 3726 SH DFND 1,2,3 94 0 3632 Snap-on Incorporated Common stock 833034101 540 3158 SH DFND 1,2,3 76 0 3082 Snap, Inc. Class A Common stock 83304A106 1338 26730 SH DFND 1,2,3 0 0 26730 Snowflake, Inc. Class A Common stock 833445109 1461 5193 SH DFND 1,2,3 225 0 4968 Solar Capital Ltd. Mutual fund 83413U100 2957 168900 SH DFND 1,2,3 3300 0 165600 SolarEdge Technologies, Inc. Common stock 83417M104 694 2176 SH DFND 1,2,3 0 0 2176 Sonoco Products Company Common stock 835495102 1101 18574 SH DFND 1,2,3 2300 0 16274 Sony Corporation Sponsored ADR Common stock 835699307 3295 32593 SH DFND 1,2,3 1321 0 31272 Southern Company Common stock 842587107 22465 365703 SH DFND 1,2,3 18139 0 347564 Southwest Airlines Co. Common stock 844741108 4001 85850 SH DFND 1,2,3 736 0 85114 Southwestern Energy Company Common stock 845467109 46 15502 SH DFND 1,2,3 9659 0 5843 Spirit Realty Capital, Inc. 3.75 15-MAY-2021 Convertible bond 84860WAB8 15 15000 SH DFND 1,2,3 0 0 15000 Spirit of Texas Bancshares, Inc. Common stock 84861D103 600 35731 SH DFND 1,2,3 0 0 35731 Splunk Inc. Common stock 848637104 2388 14056 SH DFND 1,2,3 1301 0 12755 Sprott Physical Gold Trust Units Mutual fund 85207H104 821 54437 SH DFND 1,2,3 100 0 54337 Sprott Physical Gold and Silver Trust Units Mutual fund 85208R101 547 28291 SH DFND 1,2,3 0 0 28291 Sprott Gold Miners ETF Exchange traded fund 85210B102 1151 37679 SH DFND 1,2,3 4525 0 33154 Square, Inc. Class A Common stock 852234103 6659 30595 SH DFND 1,2,3 753 0 29842 Stanley Black & Decker, Inc. Common stock 854502101 472 2644 SH DFND 1,2,3 322 0 2322 Starbucks Corporation Common stock 855244109 180971 1691638 SH DFND 1,2,3 328292 0 1363346 State Street Corporation Common stock 857477103 508 6974 SH DFND 1,2,3 525 0 6449 Stericycle, Inc. Common stock 858912108 3943 56869 SH DFND 1,2,3 0 0 56869 STMicroelectronics NV ADR RegS Common stock 861012102 306 8235 SH DFND 1,2,3 170 0 8065 StoneCastle Financial Corp. Mutual fund 861780104 1795 93250 SH DFND 1,2,3 0 0 93250 Stryker Corporation Common stock 863667101 32450 132427 SH DFND 1,2,3 4602 0 127825 Sun Communities, Inc. Common stock 866674104 442 2908 SH DFND 1,2,3 0 0 2908 Synopsys, Inc. Common stock 871607107 239 923 SH DFND 1,2,3 188 0 735 Sysco Corporation Common stock 871829107 1397 18815 SH DFND 1,2,3 582 0 18233 TFI International Inc. Common stock 87241L109 460 8918 SH DFND 1,2,3 189 0 8729 TJX Companies Inc Common stock 872540109 4377 64087 SH DFND 1,2,3 2423 0 61664 T-Mobile US, Inc. Common stock 872590104 19208 142442 SH DFND 1,2,3 41700 0 100742 Taiwan Semiconductor Manufacturing Co., Ltd. Sponsored ADR Common stock 874039100 29791 273216 SH DFND 1,2,3 9532 0 263684 Tapestry, Inc. Common stock 876030107 2297 73890 SH DFND 1,2,3 0 0 73890 Target Corporation Common stock 87612E106 4091 23175 SH DFND 1,2,3 2038 0 21137 Taseko Mines Limited Common stock 876511106 132 100080 SH DFND 1,2,3 0 0 100080 TC Energy Corporation Common stock 87807B107 204 5012 SH DFND 1,2,3 0 0 5012 TEGNA, Inc. Common stock 87901J105 311 22318 SH DFND 1,2,3 0 0 22318 Teladoc Health, Inc. Common stock 87918A105 3863 19318 SH DFND 1,2,3 494 0 18824 Tesla Inc Common stock 88160R101 38062 53938 SH DFND 1,2,3 7263 0 46675 Texas Instruments Incorporated Common stock 882508104 30186 183917 SH DFND 1,2,3 12142 0 171775 Texas Pacific Land Corporation Common stock 882610108 7493 10307 SH DFND 1,2,3 17 0 10290 TG Therapeutics, Inc. Common stock 88322Q108 3590 69005 SH DFND 1,2,3 0 0 69005 Trade Desk, Inc. Class A Common stock 88339J105 2172 2711 SH DFND 1,2,3 103 0 2608 Thermo Fisher Scientific Inc. Common stock 883556102 32837 70500 SH DFND 1,2,3 1227 0 69273 Thomson Reuters Corporation Common stock 884903709 21883 267223 SH DFND 1,2,3 13790 0 253433 3M Company Common stock 88579Y101 60375 345413 SH DFND 1,2,3 22723 0 322690 Titan International, Inc. Common stock 88830M102 393 80927 SH DFND 1,2,3 0 0 80927 Tompkins Financial Corporation Common stock 890110109 483 6837 SH DFND 1,2,3 0 0 6837 Total SE Sponsored ADR Class B Common stock 89151E109 915 21844 SH DFND 1,2,3 743 0 21101 Toyota Motor Corp. Sponsored ADR Common stock 892331307 5908 38220 SH DFND 1,2,3 967 0 37253 Tractor Supply Company Common stock 892356106 30432 216472 SH DFND 1,2,3 6969 0 209503 Travelers Companies, Inc. Common stock 89417E109 1840 13110 SH DFND 1,2,3 476 0 12634 Trimble Inc. Common stock 896239100 4600 68889 SH DFND 1,2,3 0 0 68889 TriState Capital Holdings, Inc. Common stock 89678F100 246 14125 SH DFND 1,2,3 0 0 14125 Triumph Bancorp, Inc. Common stock 89679E300 438 9018 SH DFND 1,2,3 0 0 9018 Truist Financial Corporation Common stock 89832Q109 14243 297161 SH DFND 1,2,3 9978 0 287183 22nd Century Group, Inc. Common stock 90137F103 22 10075 SH DFND 1,2,3 1100 0 8975 Twilio, Inc. Class A Common stock 90138F102 5620 16603 SH DFND 1,2,3 817 0 15786 Twitter, Inc. Common stock 90184L102 239 4409 SH DFND 1,2,3 458 0 3951 II-VI Incorporated Common stock 902104108 251 3302 SH DFND 1,2,3 0 0 3302 Tyler Technologies, Inc. Common stock 902252105 5510 12623 SH DFND 1,2,3 700 0 11923 UDR, Inc. Common stock 902653104 305 7939 SH DFND 1,2,3 25 0 7914 U.S. Bancorp Common stock 902973304 3222 69154 SH DFND 1,2,3 444 0 68710 Uber Technologies, Inc. Common stock 90353T100 7635 149710 SH DFND 1,2,3 5149 0 144561 Ulta Beauty Inc Common stock 90384S303 298 1039 SH DFND 1,2,3 0 0 1039 Unilever PLC Sponsored ADR Common stock 904767704 63462 1051390 SH DFND 1,2,3 63835 0 987554 Union Pacific Corporation Common stock 907818108 64155 308110 SH DFND 1,2,3 16445 0 291665 United Bankshares, Inc. Common stock 909907107 1249 38538 SH DFND 1,2,3 953 0 37585 United Airlines Holdings, Inc. Common stock 910047109 672 15527 SH DFND 1,2,3 400 0 15127 United-Guardian, Inc. Common stock 910571108 432 30070 SH DFND 1,2,3 0 0 30070 United Parcel Service, Inc. Class B Common stock 911312106 26940 159974 SH DFND 1,2,3 3275 0 156699 United Therapeutics Corporation Common stock 91307C102 704 4641 SH DFND 1,2,3 0 0 4641 UnitedHealth Group Incorporated Common stock 91324P102 33933 96763 SH DFND 1,2,3 16528 0 80235 Urban Edge Properties Common stock 91704F104 151 11641 SH DFND 1,2,3 0 0 11641 V.F. 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Common stock 92220P105 1392 7953 SH DFND 1,2,3 294 0 7659 Veeva Systems Inc Class A Common stock 922475108 233 856 SH DFND 1,2,3 45 0 811 Vanguard Tax-Exempt Bond ETF Exchange traded fund 922907746 1322 23957 SH DFND 1,2,3 5550 0 18407 Vanguard S&P 500 ETF Exchange traded fund 922908363 396925 1154892 SH DFND 1,2,3 60256 0 1094635 Vanguard Mid-Cap Value ETF Exchange traded fund 922908512 2270 19086 SH DFND 1,2,3 404 0 18682 Vanguard Mid-Cap Growth ETF Exchange traded fund 922908538 2389 11267 SH DFND 1,2,3 245 0 11022 Vanguard Real Estate ETF Exchange traded fund 922908553 152325 1793535 SH DFND 1,2,3 84260 0 1709275 Vanguard Small-Cap Growth ETF Exchange traded fund 922908595 84095 314184 SH DFND 1,2,3 12044 0 302140 Vanguard Small Cap Value ETF Exchange traded fund 922908611 119544 840616 SH DFND 1,2,3 35695 0 804921 Vanguard Mid-Cap ETF Exchange traded fund 922908629 12432 60125 SH DFND 1,2,3 1353 0 58772 Vanguard Large-Cap ETF Exchange traded fund 922908637 19104 108706 SH DFND 1,2,3 15106 0 93601 Vanguard Extended Market ETF Exchange traded fund 922908652 6063 36820 SH DFND 1,2,3 2647 0 34173 Vanguard Growth ETF Exchange traded fund 922908736 449205 1773131 SH DFND 1,2,3 77695 0 1695436 Vanguard Value ETF Exchange traded fund 922908744 433129 3640965 SH DFND 1,2,3 167409 0 3473555 Vanguard Small-Cap ETF Exchange traded fund 922908751 28717 147508 SH DFND 1,2,3 3412 0 144096 Vanguard Total Stock Market ETF Exchange traded fund 922908769 62535 321288 SH DFND 1,2,3 23067 0 298221 VeriSign, Inc. Common stock 92343E102 2324 10740 SH DFND 1,2,3 21 0 10719 Verizon Communications Inc. Common stock 92343V104 65486 1114660 SH DFND 1,2,3 129626 0 985034 Verisk Analytics Inc Common stock 92345Y106 26714 128685 SH DFND 1,2,3 4045 0 124640 Vertex Pharmaceuticals Incorporated Common stock 92532F100 717 3035 SH DFND 1,2,3 605 0 2430 ViacomCBS Inc. Class B Common stock 92556H206 749 20110 SH DFND 1,2,3 214 0 19896 Viatris, Inc. Common stock 92556V106 991 52877 SH DFND 1,2,3 4376 0 48501 Visa Inc. Class A Common stock 92826C839 82985 379393 SH DFND 1,2,3 71450 0 307943 VMware, Inc. Class A Common stock 928563402 602 4289 SH DFND 1,2,3 358 0 3931 Vornado Realty Trust Common stock 929042109 396 10616 SH DFND 1,2,3 61 0 10556 WNS (Holdings) Limited Sponsored ADR Common stock 92932M101 1502 20853 SH DFND 1,2,3 57 0 20796 W. P. Carey Inc. 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Common stock 950810101 330 11013 SH DFND 1,2,3 277 0 10736 Western Asset Municipal High Income Fund Mutual fund 95766N103 410 54577 SH DFND 1,2,3 0 0 54577 Western Digital Corporation Common stock 958102105 4930 89004 SH DFND 1,2,3 2056 0 86948 WestRock Company Common stock 96145D105 1211 27811 SH DFND 1,2,3 145 0 27666 Weyerhaeuser Company Common stock 962166104 1432 42720 SH DFND 1,2,3 2053 0 40667 Wheaton Precious Metals Corp Common stock 962879102 1367 32741 SH DFND 1,2,3 0 0 32741 Whirlpool Corporation Common stock 963320106 231 1282 SH DFND 1,2,3 6 0 1276 Willdan Group, Inc. Common stock 96924N100 2268 54400 SH DFND 1,2,3 0 0 54400 Williams Companies, Inc. Common stock 969457100 5491 273866 SH DFND 1,2,3 6376 0 267490 Wintrust Financial Corporation Common stock 97650W108 216 3543 SH DFND 1,2,3 0 0 3543 Wipro Limited Sponsored ADR Common stock 97651M109 1504 266177 SH DFND 1,2,3 894 0 265283 WisdomTree U.S. Total Dividend Fund Exchange traded fund 97717W109 508 4841 SH DFND 1,2,3 3327 0 1514 WisdomTree U.S. High Dividend Fund Exchange traded fund 97717W208 381 5496 SH DFND 1,2,3 0 0 5496 WisdomTree Emerging Markets SmallCap Dividend Fund Exchange traded fund 97717W281 681 14275 SH DFND 1,2,3 824 0 13451 WisdomTree U.S. LargeCap Dividend Fund Exchange traded fund 97717W307 697 6479 SH DFND 1,2,3 719 0 5761 WisdomTree Emerging Markets High Dividend Fund Exchange traded fund 97717W315 3682 89511 SH DFND 1,2,3 0 0 89511 WisdomTree U.S. MidCap Dividend Fund Exchange traded fund 97717W505 15109 434042 SH DFND 1,2,3 24295 0 409746 WisdomTree U.S. SmallCap Dividend Fund Exchange traded fund 97717W604 26562 998583 SH DFND 1,2,3 61737 0 936846 WisdomTree International SmallCap Dividend Fund Exchange traded fund 97717W760 245 3595 SH DFND 1,2,3 1395 0 2200 WisdomTree International LargeCap Dividend Fund Exchange traded fund 97717W794 399 8682 SH DFND 1,2,3 3173 0 5508 WisdomTree International High Dividend Fund Exchange traded fund 97717W802 329 8796 SH DFND 1,2,3 0 0 8796 WisdomTree Japan SmallCap Dividend Fund Exchange traded fund 97717W836 212 2919 SH DFND 1,2,3 0 0 2919 WisdomTree Yield Enhanced U.S. Aggregate Bond Fund Exchange traded fund 97717X511 1602 29835 SH DFND 1,2,3 0 0 29835 WisdomTree CBOE S&P 500 PutWrite Strategy Fund Exchange traded fund 97717X560 283 9908 SH DFND 1,2,3 0 0 9908 WisdomTree International Hedged Quality Dividend Growth Fund Exchange traded fund 97717X594 13145 334318 SH DFND 1,2,3 13238 0 321080 WisdomTree US Quality Dividend Growth Fund Exchange traded fund 97717X669 4699 87085 SH DFND 1,2,3 178 0 86907 Workday, Inc. Class A Common stock 98138H101 503 2100 SH DFND 1,2,3 406 0 1694 World Acceptance Corporation Common stock 981419104 736 7200 SH DFND 1,2,3 7200 0 0 Wynn Resorts, Limited Common stock 983134107 333 2952 SH DFND 1,2,3 0 0 2952 XPO Logistics, Inc. Common stock 983793100 19548 163990 SH DFND 1,2,3 10573 0 153417 Xcel Energy Inc. Common stock 98389B100 2491 37356 SH DFND 1,2,3 932 0 36424 Xilinx, Inc. Common stock 983919101 3795 26765 SH DFND 1,2,3 297 0 26469 Xylem Inc. Common stock 98419M100 8064 79221 SH DFND 1,2,3 859 0 78362 Yamana Gold Inc. Common stock 98462Y100 85 14950 SH DFND 1,2,3 4500 0 10450 Yum! Brands, Inc. Common stock 988498101 11601 106862 SH DFND 1,2,3 2961 0 103902 Yum China Holdings, Inc. Common stock 98850P109 3689 64615 SH DFND 1,2,3 1924 0 62690 Zillow Group, Inc. Class C Common stock 98954M200 215 1659 SH DFND 1,2,3 0 0 1659 Zimmer Biomet Holdings, Inc. Common stock 98956P102 2066 13405 SH DFND 1,2,3 985 0 12420 Zions Bancorporation, N.A. 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Common stock 04280A100 307 4000 SH Call DFND 1,2,3 0 0 4000 Chevron Corporation Common stock 166764100 388 4600 SH Put DFND 1,2,3 4600 0 0 Coca-Cola Company Common stock 191216100 1996 36400 SH Put DFND 1,2,3 0 0 36400 Arrowhead Pharmaceuticals, Inc. Common stock 04280A100 307 4000 SH Put DFND 1,2,3 0 0 4000 Becton, Dickinson and Company Common stock 075887109 26774 107000 SH Put DFND 1,2,3 0 0 107000 NetApp, Inc. Common stock 64110D104 894 13500 SH Put DFND 1,2,3 0 0 13500 SPDR S&P 500 ETF Trust Exchange traded fund 78462F103 1496 4000 SH Put DFND 1,2,3 0 0 4000