Chief Compliance Officer

0001563525-20-000006.txt : 20201106 0001563525-20-000006.hdr.sgml : 20201106 20201106164919 ACCESSION NUMBER: 0001563525-20-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201106 DATE AS OF CHANGE: 20201106 EFFECTIVENESS DATE: 20201106 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Chicago Partners Investment Group LLC CENTRAL INDEX KEY: 0001563525 IRS NUMBER: 262835793 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16932 FILM NUMBER: 201295080 BUSINESS ADDRESS: STREET 1: 1 NORTH WACKER DRIVE STREET 2: SUITE 4075 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3122846363 MAIL ADDRESS: STREET 1: 1 NORTH WACKER DRIVE STREET 2: SUITE 4075 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001563525 XXXXXXXX 09-30-2020 09-30-2020 Chicago Partners Investment Group LLC

1 NORTH WACKER DRIVE SUITE 4075 CHICAGO IL 60606

13F HOLDINGS REPORT 028-16932 N James Hagedorn Chief Compliance Officer 312-284-6363 James Hagedorn Chicago IL 11-05-2020 0 414 844370 false INFORMATION TABLE 2 chicago3q20.xml 3M CO COM 88579Y101 801 4840 SH SOLE 0 0 4840 ABBOTT LABS COM 002824100 1922 17543 SH SOLE 0 0 17543 ABBVIE INC COM 00287Y109 1158 13164 SH SOLE 0 0 13164 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2307 10219 SH SOLE 0 0 10219 ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 00653A107 56 10692 SH SOLE 0 0 10692 ADOBE SYSTEMS INCORPORATED COM 00724F101 1370 3018 SH SOLE 0 0 3018 ADVANCED MICRO DEVICES INC COM 007903107 1742 22750 SH SOLE 0 0 22750 AKERO THERAPEUTICS INC COM 00973Y108 833 30200 SH SOLE 0 0 30200 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 453 1587 SH SOLE 0 0 1587 ALLIANZGI CONV & INCM 2024 T COM 01883H102 1693 186298 SH SOLE 0 0 186298 ALLIANZGI CONV INCOME FD COM 018828103 74 15724 SH SOLE 0 0 15724 ALPHABET INC CAP STK CL A 02079K305 1623 986 SH SOLE 0 0 986 ALPHABET INC CAP STK CL C 02079K107 1982 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INC COM 58933Y105 889 11552 SH SOLE 0 0 11552 MFA FINL INC COM 55272X102 36 12007 SH SOLE 0 0 12007 MICROSOFT CORP COM 594918104 11045 53504 SH SOLE 0 0 53504 MILLER HOWARD HIGH INC EQTY COM SHS BEN IN 600379101 711 113931 SH SOLE 0 0 113931 MONDELEZ INTL INC CL A 609207105 224 4117 SH SOLE 0 0 4117 MONROE CAP CORP COM 610335101 133 19402 SH SOLE 0 0 19402 MONTAGE RES CORP COM 61179L100 105 21450 SH SOLE 0 0 21450 MOODYS CORP COM 615369105 1234 4584 SH SOLE 0 0 4584 MPLX LP COM UNIT REP LTD 55336V100 7318 396444 SH SOLE 0 0 396444 NETFLIX INC COM 64110L106 991 2034 SH SOLE 0 0 2034 NEXTERA ENERGY INC COM 65339F101 805 10588 SH SOLE 0 0 10588 NIKE INC CL B 654106103 1189 9541 SH SOLE 0 0 9541 NOKIA CORP SPONSORED ADR 654902204 34 10087 SH SOLE 0 0 10087 NORFOLK SOUTHN CORP COM 655844108 591 2643 SH SOLE 0 0 2643 NOVO-NORDISK A S ADR 670100205 634 9709 SH SOLE 0 0 9709 NUVEEN CORPORATE INCM NOVEME COM 67077N106 518 57186 SH SOLE 0 0 57186 NUVEEN DIVERSIFIED DIVID & I COM 6706EP105 97 12702 SH SOLE 0 0 12702 NUVEEN EMERGING MKTS DEBT 20 COM 67077P101 434 61444 SH SOLE 0 0 61444 NUVEEN MUN VALUE FD INC COM 670928100 5192 477646 SH SOLE 0 0 477646 NUVEEN PFD & INCM SECURTIES COM 67072C105 126 14302 SH SOLE 0 0 14302 NUVEEN PFD & INCOME 2022 TER COM 67075T105 329 14251 SH SOLE 0 0 14251 NUVEEN PFD & INCOME TERM FD COM 67075A106 1866 84613 SH SOLE 0 0 84613 NVIDIA CORPORATION COM 67066G104 2916 5600 SH SOLE 0 0 5600 OKTA INC CL A 679295105 201 962 SH SOLE 0 0 962 ONEOK INC NEW COM 682680103 3356 116039 SH SOLE 0 0 116039 ORACLE CORP COM 68389X105 492 8659 SH SOLE 0 0 8659 OREILLY AUTOMOTIVE INC COM 67103H107 698 1555 SH SOLE 0 0 1555 OWL ROCK CAPITAL CORPORATION COM 69121K104 1038 87779 SH SOLE 0 0 87779 PAYCHEX INC COM 704326107 679 7844 SH SOLE 0 0 7844 PAYPAL HLDGS INC COM 70450Y103 723 4022 SH SOLE 0 0 4022 PEPSICO INC COM 713448108 1109 8091 SH SOLE 0 0 8091 PFIZER INC COM 717081103 1699 46936 SH SOLE 0 0 46936 PHILIP MORRIS INTL INC COM 718172109 456 6347 SH SOLE 0 0 6347 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 361 18875 SH SOLE 0 0 18875 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 9280 91067 SH SOLE 0 0 91067 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1500 228292 SH SOLE 0 0 228292 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 398 59290 SH SOLE 0 0 59290 PNM RES INC COM 69349H107 271 5484 SH SOLE 0 0 5484 PQ GROUP HLDGS INC COM 73943T103 388 31833 SH SOLE 0 0 31833 PROCTER AND GAMBLE CO COM 742718109 2408 17051 SH SOLE 0 0 17051 PROSHARES TR ULTRA FNCLS NEW 74347X633 262 8235 SH SOLE 0 0 8235 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 327 5510 SH SOLE 0 0 5510 QUALCOMM INC COM 747525103 677 5394 SH SOLE 0 0 5394 QUANTA SVCS INC COM 74762E102 957 14211 SH SOLE 0 0 14211 RAYTHEON TECHNOLOGIES CORP COM 75513E101 363 6370 SH SOLE 0 0 6370 REALTY INCOME CORP COM 756109104 547 9229 SH SOLE 0 0 9229 RIVERNORTH SPECIALTY FIN COR COM 76882B108 200 13542 SH SOLE 0 0 13542 ROPER TECHNOLOGIES INC COM 776696106 580 1513 SH SOLE 0 0 1513 RPM INTL INC COM 749685103 450 5100 SH SOLE 0 0 5100 SALESFORCE COM INC COM 79466L302 659 2778 SH SOLE 0 0 2778 SATSUMA PHARMACEUTICALS INC COM 80405P107 52 14081 SH SOLE 0 0 14081 SBA COMMUNICATIONS CORP NEW CL A 78410G104 609 2091 SH SOLE 0 0 2091 SCHWAB CHARLES CORP COM 808513105 331 7781 SH SOLE 0 0 7781 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 260 8269 SH SOLE 0 0 8269 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 474 5848 SH SOLE 0 0 5848 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 1539 29932 SH SOLE 0 0 29932 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 398 14426 SH SOLE 0 0 14426 SCHWAB STRATEGIC TR US REIT ETF 808524847 1406 39336 SH SOLE 0 0 39336 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 488 6686 SH SOLE 0 0 6686 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 781 9717 SH SOLE 0 0 9717 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 898 7851 SH SOLE 0 0 7851 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 544 9306 SH SOLE 0 0 9306 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 388 6000 SH SOLE 0 0 6000 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 251 2392 SH SOLE 0 0 2392 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 913 8069 SH SOLE 0 0 8069 SEMPRA ENERGY COM 816851109 288 2234 SH SOLE 0 0 2234 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 426 50061 SH SOLE 0 0 50061 SHERWIN WILLIAMS CO COM 824348106 493 694 SH SOLE 0 0 694 SHOPIFY INC CL A 82509L107 1199 1273 SH SOLE 0 0 1273 SIRIUS XM HOLDINGS INC COM 82968B103 218 37500 SH SOLE 0 0 37500 SMARTSHEET INC COM CL A 83200N103 436 8609 SH SOLE 0 0 8609 SNAP INC CL A 83304A106 266 6450 SH SOLE 0 0 6450 SOLAR CAP LTD COM 83413U100 605 37343 SH SOLE 0 0 37343 SOUTH ST CORP COM 840441109 333 5160 SH SOLE 0 0 5160 SPDR GOLD TR GOLD SHS 78463V107 1193 6669 SH SOLE 0 0 6669 SPDR S&P 500 ETF TR TR UNIT 78462F103 71 6000 SH Put SOLE 0 0 6000 SPDR S&P 500 ETF TR TR UNIT 78462F103 18186 54119 SH SOLE 0 0 54119 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 13985 38743 SH SOLE 0 0 38743 SPDR SER TR S&P 600 SMCP VAL 78464A300 727 13337 SH SOLE 0 0 13337 SPDR SER TR PORTFOLIO S&P500 78464A854 344 8715 SH SOLE 0 0 8715 SPDR SER TR BLMBRG BRC CNVRT 78464A359 5917 84699 SH SOLE 0 0 84699 SPROUTS FMRS MKT INC COM 85208M102 238 12002 SH SOLE 0 0 12002 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 1612 32842 SH SOLE 0 0 32842 STARBUCKS CORP COM 855244109 815 9225 SH SOLE 0 0 9225 STEREOTAXIS INC COM NEW 85916J409 47 13869 SH SOLE 0 0 13869 STRYKER CORPORATION COM 863667101 241 1156 SH SOLE 0 0 1156 SUNRUN INC COM 86771W105 398 7374 SH SOLE 0 0 7374 SURGALIGN HOLDINGS INC COM 86882C105 20 10600 SH SOLE 0 0 10600 SYSCO CORP COM 871829107 444 7377 SH SOLE 0 0 7377 TARGA RES CORP COM 87612G101 977 58884 SH SOLE 0 0 58884 TARGET CORP COM 87612E106 640 4082 SH SOLE 0 0 4082 TCW STRATEGIC INCOME FD INC COM 872340104 68 12014 SH SOLE 0 0 12014 TORTOISE ESSENTIAL ASSETS IN COM SH BEN INT 89148A103 205 17902 SH SOLE 0 0 17902 TPI COMPOSITES INC COM 87266J104 286 8214 SH SOLE 0 0 8214 TRANE TECHNOLOGIES PLC SHS G8994E103 290 2053 SH SOLE 0 0 2053 TRANSDIGM GROUP INC COM 893641100 215 423 SH SOLE 0 0 423 U S SILICA HLDGS INC COM 90345E103 35 12192 SH SOLE 0 0 12192 UBS AG LONDON BRANCH ETRACS ALER MLP 90274D382 156 16268 SH SOLE 0 0 16268 UNION PAC CORP COM 907818108 2973 16040 SH SOLE 0 0 16040 UNITED PARCEL SERVICE INC CL B 911312106 337 2063 SH SOLE 0 0 2063 UNITEDHEALTH GROUP INC COM 91324P102 346 1077 SH SOLE 0 0 1077 US BANCORP DEL COM NEW 902973304 449 11009 SH SOLE 0 0 11009 USA COMPRESSION PARTNERS LP COMUNIT LTDPAR 90290N109 709 68878 SH SOLE 0 0 68878 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 718 37002 SH SOLE 0 0 37002 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1665 19020 SH SOLE 0 0 19020 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 1173 14178 SH SOLE 0 0 14178 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 300 5143 SH SOLE 0 0 5143 VANGUARD INDEX FDS LARGE CAP ETF 922908637 593 3782 SH SOLE 0 0 3782 VANGUARD INDEX FDS GROWTH ETF 922908736 23749 105292 SH SOLE 0 0 105292 VANGUARD INDEX FDS VALUE ETF 922908744 6399 60206 SH SOLE 0 0 60206 VANGUARD INDEX FDS MID CAP ETF 922908629 27127 148176 SH SOLE 0 0 148176 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 6147 57667 SH SOLE 0 0 57667 VANGUARD INDEX FDS SM CP VAL ETF 922908611 2310 19325 SH SOLE 0 0 19325 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 7250 90701 SH SOLE 0 0 90701 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2091 9326 SH SOLE 0 0 9326 VANGUARD INDEX FDS SMALL CP ETF 922908751 8902 54452 SH SOLE 0 0 54452 VANGUARD INDEX FDS TOTAL STK MKT 922908769 996 5791 SH SOLE 0 0 5791 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 31733 102810 SH SOLE 0 0 102810 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1797 35266 SH SOLE 0 0 35266 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 385 3652 SH SOLE 0 0 3652 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1648 37041 SH SOLE 0 0 37041 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 484 9548 SH SOLE 0 0 9548 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 379 1718 SH SOLE 0 0 1718 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 38405 619634 SH SOLE 0 0 619634 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 812 9820 SH SOLE 0 0 9820 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 730 7653 SH SOLE 0 0 7653 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1029 25134 SH SOLE 0 0 25134 VANGUARD WELLINGTON FD US MOMENTUM 921935508 418 4344 SH SOLE 0 0 4344 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 212 2571 SH SOLE 0 0 2571 VANGUARD WORLD FDS INF TECH ETF 92204A702 1029 3385 SH SOLE 0 0 3385 VERISK ANALYTICS INC COM 92345Y106 376 2002 SH SOLE 0 0 2002 VERIZON COMMUNICATIONS INC COM 92343V104 1008 17450 SH SOLE 0 0 17450 VISA INC COM CL A 92826C839 2881 15296 SH SOLE 0 0 15296 WALMART INC COM 931142103 706 4943 SH SOLE 0 0 4943 WASTE MGMT INC DEL COM 94106L109 908 7919 SH SOLE 0 0 7919 WELLS FARGO CO NEW COM 949746101 449 20348 SH SOLE 0 0 20348 WELLS FARGO CO NEW PERP PFD CNV A 949746804 1106 811 SH SOLE 0 0 811 WESTERN ASSET HIGH INCOME OP COM 95766K109 806 164426 SH SOLE 0 0 164426 WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 958669103 248 32447 SH SOLE 0 0 32447 WHITE MTNS INS GROUP LTD COM G9618E107 425 450 SH SOLE 0 0 450 WILLIAMS COS INC COM 969457100 6547 344953 SH SOLE 0 0 344953 WISDOMTREE TR INTL LRGCAP DV 97717W794 334 8144 SH SOLE 0 0 8144 WISDOMTREE TR US LARGECAP FUND 97717W588 685 19151 SH SOLE 0 0 19151 WISDOMTREE TR US MIDCAP DIVID 97717W505 1446 46916 SH SOLE 0 0 46916 WISDOMTREE TR EMG MKTS SMCAP 97717W281 491 11732 SH SOLE 0 0 11732 WISDOMTREE TR US LARGECAP DIVD 97717W307 1404 14463 SH SOLE 0 0 14463 WISDOMTREE TR US QTLY DIV GRT 97717X669 589 11921 SH SOLE 0 0 11921 WISDOMTREE TR US SMALLCAP DIVD 97717W604 442 19523 SH SOLE 0 0 19523 XCEL ENERGY INC COM 98389B100 372 5103 SH SOLE 0 0 5103 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 1077 2386 SH SOLE 0 0 2386