Compliance Officer

0001600151-20-000003.txt : 20200514 0001600151-20-000003.hdr.sgml : 20200514 20200514130200 ACCESSION NUMBER: 0001600151-20-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200514 DATE AS OF CHANGE: 20200514 EFFECTIVENESS DATE: 20200514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Arete Wealth Management, LLC CENTRAL INDEX KEY: 0001600151 IRS NUMBER: 261314502 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15999 FILM NUMBER: 20876633 BUSINESS ADDRESS: STREET 1: 1115 W FULTON MARKET STREET 2: 3RD FLOOR CITY: CHICAGO STATE: IL ZIP: 60607 BUSINESS PHONE: 312-940-3684 MAIL ADDRESS: STREET 1: 1115 W FULTON MARKET STREET 2: 3RD FLOOR CITY: CHICAGO STATE: IL ZIP: 60607 FORMER COMPANY: FORMER CONFORMED NAME: Arete Wealth Advisors, LLC DATE OF NAME CHANGE: 20140213 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001600151 XXXXXXXX 03-31-2020 03-31-2020 Arete Wealth Management, LLC

1115 W FULTON MARKET 3RD FLOOR CHICAGO IL 60607

13F HOLDINGS REPORT 028-15999 N Corrie Scoby Compliance Officer 901-493-4512 Corrie Scoby - Arete Chicago IL 05-14-2020 0 341 508198 false INFORMATION TABLE 2 13fTableAsDelivered.xml UNIT CORP COM 909218109 5 20000 SH SOLE 0 0 20000 CHESAPEAKE ENERGY CORP COM 165167107 5 31550 SH SOLE 0 0 31550 CLEAN ENERGY FUELS CORP COM 184499101 18 10000 SH SOLE 0 0 10000 MATINAS BIOPHARMA HLDGS INC COM 576810105 18 30000 SH SOLE 0 0 30000 LIGHTPATH TECHNOLOGIES INC COM CL A 532257805 21 20000 SH SOLE 0 0 20000 ONCOCYTE CORPORATION COM 68235C107 31 12500 SH SOLE 0 0 12500 DEL TACO RESTAURANTS INC COM 245496104 41 11994 SH SOLE 0 0 11994 UNITED STATES ANTIMONY CORP COM 911549103 44 132500 SH SOLE 0 0 132500 REDWOOD TR INC COM 758075402 53 10451 SH SOLE 0 0 10451 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 67 14482 SH SOLE 0 0 14482 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 68 11975 SH SOLE 0 0 11975 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 81 10616 SH SOLE 0 0 10616 NIO INC SPON ADS 62914V106 85 30500 SH SOLE 0 0 30500 ADVISORSHARES TR RANGER EQUITY BE 00768Y883 86 12455 SH SOLE 0 0 12455 AMERICAN FIN TR INC COM CLASS A 02607T109 89 14286 SH SOLE 0 0 14286 AMYRIS INC COM NEW 03236M200 105 37859 SH SOLE 0 0 37859 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 105 11630 SH SOLE 0 0 11630 FORD MTR CO DEL COM PAR $0.01 345370860 105 21828 SH SOLE 0 0 21828 HEWLETT PACKARD ENTERPRISE C COM 42824C109 108 11111 SH SOLE 0 0 11111 RETAIL PPTYS AMER INC CL A 76131V202 118 22848 SH SOLE 0 0 22848 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 128 22841 SH SOLE 0 0 22841 KEMPHARM INC COM 488445107 136 602800 SH SOLE 0 0 602800 OAKTREE SPECIALTY LENDING CO COM 67401P108 136 42073 SH SOLE 0 0 42073 OWL ROCK CAPITAL CORPORATION COM 69121K104 146 12630 SH SOLE 0 0 12630 GREEN BRICK PARTNERS INC COM 392709101 150 18651 SH SOLE 0 0 18651 ARES COML REAL ESTATE CORP COM 04013V108 161 22979 SH SOLE 0 0 22979 NUVEEN MUN VALUE FD INC COM 670928100 162 1603 SH SOLE 0 0 1603 NUVEEN MARYLAND QLT MUN INC COM 67061Q107 165 13035 SH SOLE 0 0 13035 CANOPY GROWTH CORP COM 138035100 168 11664 SH SOLE 0 0 11664 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 180 12288 SH SOLE 0 0 12288 ETF MANAGERS TR PRIME JUNIR SLVR 26924G102 186 24506 SH SOLE 0 0 24506 COHEN & STEERS INFRASTRUCTUR COM 19248A109 191 10119 SH SOLE 0 0 10119 CENTURYLINK INC COM 156700106 199 21013 SH SOLE 0 0 21013 ISHARES TR USA QUALITY FCTR 46432F339 200 2471 SH SOLE 0 0 2471 NORFOLK SOUTHERN CORP COM 655844108 202 1385 SH SOLE 0 0 1385 BAXTER INTL INC COM 071813109 202 2494 SH SOLE 0 0 2494 CLOROX CO DEL COM 189054109 203 1172 SH SOLE 0 0 1172 ISHARES TR FLTG RATE BD ETF 46429B655 205 4203 SH SOLE 0 0 4203 CIGNA CORP NEW COM 125523100 206 1189 SH SOLE 0 0 1189 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 206 2174 SH SOLE 0 0 2174 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 208 4034 SH SOLE 0 0 4034 POOL CORPORATION COM 73278L105 209 2109 SH SOLE 0 0 2109 ISHARES TR EAFE SML CP ETF 464288273 213 4744 SH SOLE 0 0 4744 WELLS FARGO & CO NEW COM 949746101 213 7437 SH SOLE 0 0 7437 ISHARES SP SMCP600GR ETF 464287887 213 1544 SH SOLE 0 0 1544 DELTA AIR LINES INC DEL COM NEW 247361702 214 7516 SH SOLE 0 0 7516 CITIGROUP INC COM NEW 172967424 215 5117 SH SOLE 0 0 5117 LAM RESEARCH CORP COM 512807108 215 898 SH SOLE 0 0 898 ISHARES TR USA MOMENTUM FCT 46432F396 216 2028 SH SOLE 0 0 2028 KROGER CO COM 501044101 218 7238 SH SOLE 0 0 7238 SUNCOR ENERGY INC NEW COM 867224107 218 13800 SH SOLE 0 0 13800 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 218 16581 SH SOLE 0 0 16581 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 222 5879 SH SOLE 0 0 5879 ISHARES TIPS BD ETF 464287176 226 1914 SH SOLE 0 0 1914 BECTON DICKINSON & CO COM 075887109 226 990 SH SOLE 0 0 990 ISHARES TR CALIF MUN BD ETF 464288356 227 3755 SH SOLE 0 0 3755 T MOBILE US INC COM 872590104 233 2777 SH SOLE 0 0 2777 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 236 10371 SH SOLE 0 0 10371 ECOLAB INC COM 278865100 239 1531 SH SOLE 0 0 1531 ARES CAP CORP COM 04010L103 242 22421 SH SOLE 0 0 22421 SERVICE CORP INTL COM 817565104 242 6185 SH SOLE 0 0 6185 AMERICAN WTR WKS CO INC NEW COM 030420103 243 2029 SH SOLE 0 0 2029 SPDR SER TR BLOMBERG BRC INV 78468R200 25 8323 SH SOLE 0 0 8323 FISERV INC COM 337738108 247 2596 SH SOLE 0 0 2596 ASTRAZENECA PLC SPONSORED ADR 046353108 247 5530 SH SOLE 0 0 5530 BLACKROCK MUN 2030 TAR TERM COM SHS BEN IN 09257P105 247 10900 SH SOLE 0 0 10900 ENTERPRISE PRODS PARTNERS L COM 293792107 248 17368 SH SOLE 0 0 17368 ALLIANT ENERGY CORP COM 018802108 249 5163 SH SOLE 0 0 5163 V F CORP COM 918204108 249 4613 SH SOLE 0 0 4613 STRYKER CORP COM 863667101 251 1510 SH SOLE 0 0 1510 FIDELITY TOTAL BD ETF 316188309 252 4876 SH SOLE 0 0 4876 CRANE CO COM 224399105 255 5181 SH SOLE 0 0 5181 SPROUTS FMRS MKT INC COM 85208M102 256 13757 SH SOLE 0 0 13757 SPLUNK INC COM 848637104 256 2028 SH SOLE 0 0 2028 ARK ETF TR INNOVATION ETF 00214Q104 256 5820 SH SOLE 0 0 5820 EDWARDS LIFESCIENCES CORP COM 28176E108 257 1360 SH SOLE 0 0 1360 TOMPKINS FINANCIAL CORPORATI COM 890110109 259 3697 SH SOLE 0 0 3697 KKR & CO INC CL A 48251W104 260 11082 SH SOLE 0 0 11082 WISDOMTREE TR ITL HDG QTLY DIV 97717X594 260 8599 SH SOLE 0 0 8599 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 261 3111 SH SOLE 0 0 3111 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 263 9255 SH SOLE 0 0 9255 ISHARES TR MRGSTR MD CP GRW 464288307 264 1212 SH SOLE 0 0 1212 APPLIED MATLS INC COM 038222105 265 5787 SH SOLE 0 0 5787 SPDR SERIES TRUST PRTFLO S&P500 HI 78468R788 266 10794 SH SOLE 0 0 10794 ISHARES TR CORE S&P TTL STK 464287150 266 4652 SH SOLE 0 0 4652 AMERICOLD RLTY TR COM 03064D108 267 7832 SH SOLE 0 0 7832 ETF SER SOLUTIONS LONCAR CANCER 26922A826 268 13736 SH SOLE 0 0 13736 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 277 2992 SH SOLE 0 0 2992 CME GROUP INC COM 12572Q105 277 1603 SH SOLE 0 0 1603 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 282 4107 SH SOLE 0 0 4107 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 282 9335 SH SOLE 0 0 9335 EATON VANCE TX MGD DIV EQ IN COM 27828N102 284 90495 SH SOLE 0 0 90495 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 285 13667 SH SOLE 0 0 13667 PARKER HANNIFIN CORP COM 701094104 287 2212 SH SOLE 0 0 2212 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 287 5102 SH SOLE 0 0 5102 UNITED PARCEL SERVICE INC CL B 911312106 288 3118 SH SOLE 0 0 3118 CONOCOPHILLIPS COM 20825C104 290 9559 SH SOLE 0 0 9559 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 298 20170 SH SOLE 0 0 20170 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 298 3236 SH SOLE 0 0 3236 OPUS BK IRVINE CALIF COM 684000102 303 17500 SH SOLE 0 0 17500 INVESCO ACTIVELY MANAGD ETF ULTRA SHRT DUR 46090A887 305 6184 SH SOLE 0 0 6184 PHILLIPS 66 COM 718546104 306 5735 SH SOLE 0 0 5735 SPDR SERIES TRUST S&P BIOTECH 78464A870 310 3997 SH SOLE 0 0 3997 AALS ETF TR ALERIAN MLP 00162Q866 310 91694 SH SOLE 0 0 91694 SHOPIFY INC CL A 82509L107 312 749 SH SOLE 0 0 749 KINDER MORGAN INC DEL COM 49456B101 326 23399 SH SOLE 0 0 23399 LAUDER ESTEE COS INC CL A 518439104 333 2088 SH SOLE 0 0 2088 COLGATE PALMOLIVE CO COM 194162103 340 5116 SH SOLE 0 0 5116 SPDR SERIES TRUST BLOMBERG INTL TR 78464A516 340 12219 SH SOLE 0 0 12219 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 346 5859 SH SOLE 0 0 5859 TRUIST FINL CORP COM 89832Q109 352 11402 SH SOLE 0 0 11402 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 355 3546 SH SOLE 0 0 3546 AUTOMATIC DATA PROCESSING IN COM 053015103 360 2636 SH SOLE 0 0 2636 ISHARES U.S. PFD STK ETF 464288687 363 11552 SH SOLE 0 0 11552 STANLEY BLACK & DECKER INC COM 854502101 365 3646 SH SOLE 0 0 3646 BLACKROCK HEALTH SCIENCES TR COM 09250W107 367 10183 SH SOLE 0 0 10183 SPDR SER TR BLOOMBERG SRT TR 78468R408 368 15621 SH SOLE 0 0 15621 AMERIPRISE FINL INC COM 03076C106 370 3611 SH SOLE 0 0 3611 BLACKROCK SCIENCE & TECH TR SHS 09258G104 371 12939 SH SOLE 0 0 12939 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 372 22095 SH SOLE 0 0 22095 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 372 6888 SH SOLE 0 0 6888 GENERAL ELECTRIC CO COM 369604103 374 47857 SH SOLE 0 0 47857 TORTOISE ENERGY INDEPENDENC COM 89148K101 382 331805 SH SOLE 0 0 331805 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 383 39225 SH SOLE 0 0 39225 ORACLE CORP COM 68389X105 384 7948 SH SOLE 0 0 7948 ISHARES EAFE VALUE ETF 464288877 387 10845 SH SOLE 0 0 10845 ALTRIA GROUP INC COM 02209S103 389 10219 SH SOLE 0 0 10219 O REILLY AUTOMOTIVE INC NEW COM 67103H107 393 1307 SH SOLE 0 0 1307 ISHARES TR 10-20 YR TRS ETF 464288653 397 2369 SH SOLE 0 0 2369 NORTHROP GRUMMAN CORP COM 666807102 405 339 SH SOLE 0 0 339 ISHARES TR CORE MSCI EAFE 46432F842 480 8176 SH SOLE 0 0 8176 SQUARE INC CL A 852234103 416 7935 SH SOLE 0 0 7935 GENERAL MLS INC COM 370334104 417 7931 SH SOLE 0 0 7931 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 418 9995 SH SOLE 0 0 9995 EMERSON ELEC CO COM 291011104 421 8836 SH SOLE 0 0 8836 GLOBAL X FDS GLBL X MLP ETF 37950E473 442 140918 SH SOLE 0 0 140918 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 444 3591 SH SOLE 0 0 3591 AMERICAN ELEC PWR INC COM 025537101 447 5593 SH SOLE 0 0 5593 ISHARES TR RUSSELL 2000 ETF 464287655 448 3914 SH SOLE 0 0 3914 ISHARES TR US AER DEF ETF 464288760 451 3138 SH SOLE 0 0 3138 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 453 8448 SH SOLE 0 0 8448 LINDE PLC COM G5494J103 453 2621 SH SOLE 0 0 2621 INTERCONTINENTAL EXCHANGE IN COM 45866F104 468 5798 SH SOLE 0 0 5798 SALESFORCE COM INC COM 79466L302 478 3319 SH SOLE 0 0 3319 CALAMOS DYNAMIC CONV & INCOM COM 12811V105 486 29154 SH SOLE 0 0 29154 WESTERN ASSET INTER MUNI FD COM 958435109 492 58344 SH SOLE 0 0 58344 PHILIP MORRIS INTL INC COM 718172109 499 6861 SH SOLE 0 0 6861 NETFLIX INC COM 64110L106 506 1347 SH SOLE 0 0 1347 BRIGHT HORIZONS FAM SOL IN D COM 109194100 506 4965 SH SOLE 0 0 4965 FIDELITY NATL INFORMATION SV COM 31620M106 512 4205 SH SOLE 0 0 4205 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 519 10841 SH SOLE 0 0 10841 PAYPAL HLDGS INC COM 70450Y103 529 5522 SH SOLE 0 0 5522 ISHARES TR RUS 1000 VAL ETF 464287598 537 5414 SH SOLE 0 0 5414 SPDR SER TR PORTFOLIO SM ETF 78468R853 547 25068 SH SOLE 0 0 25068 GLOBAL X FDS GLOBX SUPDV US 37950E291 553 42965 SH SOLE 0 0 42965 AVALONBAY CMNTYS INC COM 053484101 556 3775 SH SOLE 0 0 3775 PAYCOM SOFTWARE INC COM 70432V102 556 2753 SH SOLE 0 0 2753 ISHARES TR JPMORGAN USD EMG 464288281 557 5801 SH SOLE 0 0 5801 CROWDSTRIKE HLDGS INC CL A 22788C105 561 10084 SH SOLE 0 0 10084 VEREIT INC COM 92339V100 564 127372 SH SOLE 0 0 127372 SPDR SERIES TRUST S&P DIVID ETF 78464A763 570 7148 SH SOLE 0 0 7148 UNION PAC CORP COM 907818108 570 4044 SH SOLE 0 0 4044 TESLA MTRS INC COM 88160R101 573 1100 SH SOLE 0 0 1100 DUKE ENERGY CORP NEW COM NEW 26441C204 576 7143 SH SOLE 0 0 7143 TJX COS INC NEW COM 872540109 577 12113 SH SOLE 0 0 12113 CHUBB LIMITED COM H1467J104 581 5205 SH SOLE 0 0 5205 BLACKSTONE GROUP INC COM CL A 09260D107 589 12929 SH SOLE 0 0 12929 SPDR SER TR NUVEEN BLMBRG SR 78468R739 590 12070 SH SOLE 0 0 12070 ISHARES TR 0-5YR HI YL CP 46434V407 611 14956 SH SOLE 0 0 14956 TRANSUNION COM 89400J107 611 9237 SH SOLE 0 0 9237 AMERICAN EXPRESS CO COM 025816109 616 7199 SH SOLE 0 0 7199 ISHARES INC CORE MSCI EMKT 46434G103 662 15733 SH SOLE 0 0 15733 GLOBAL PMTS INC COM 37940X102 630 4368 SH SOLE 0 0 4368 REPUBLIC SVCS INC COM 760759100 642 8547 SH SOLE 0 0 8547 QUALCOMM INC COM 747525103 648 9575 SH SOLE 0 0 9575 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 667 3429 SH SOLE 0 0 3429 ROSS STORES INC COM 778296103 670 7706 SH SOLE 0 0 7706 DIAGEO P L C SPON ADR NEW 25243Q205 670 5273 SH SOLE 0 0 5273 ROCKWELL AUTOMATION INC COM 773903109 676 4478 SH SOLE 0 0 4478 NOVARTIS A G SPONSORED ADR 66987V109 683 8289 SH SOLE 0 0 8289 ISHARES CORE TOTUSBD ETF 464287226 702 6082 SH SOLE 0 0 6082 PGIM ETF TR ULTRA SHORT 69344A107 707 14523 SH SOLE 0 0 14523 NIKE INC CL B 654106103 714 8635 SH SOLE 0 0 8635 BRISTOL MYERS SQUIBB CO COM 110122108 715 12823 SH SOLE 0 0 12823 SYNOPSYS INC COM 871607107 715 5555 SH SOLE 0 0 5555 BLACKROCK MUNI INTER DR FD I COM 09253X102 728 55751 SH SOLE 0 0 55751 NVIDIA CORP COM 67066G104 734 2785 SH SOLE 0 0 2785 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 749 28978 SH SOLE 0 0 28978 COPART INC COM 217204106 760 11085 SH SOLE 0 0 11085 LULULEMON ATHLETICA INC COM 550021109 762 4019 SH SOLE 0 0 4019 VANGUARD INDEX FDS MID CAP ETF 922908629 773 5870 SH SOLE 0 0 5870 ISHARES GOLD TRUST ISHARES 464285105 775 51430 SH SOLE 0 0 51430 NUVEEN ENHANCED MUN CREDIT O COM SH BEN INT 67070X101 777 55206 SH SOLE 0 0 55206 VANGUARD INDEX FDS REIT ETF 922908553 777 11561 SH SOLE 0 0 11561 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 778 60289 SH SOLE 0 0 60289 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 779 92168 SH SOLE 0 0 92168 ISHARES TR INTRM GOV CR ETF 464288612 790 6882 SH SOLE 0 0 6882 BOEING CO COM 097023105 794 5356 SH SOLE 0 0 5356 LOWES COS INC COM 548661107 798 9287 SH SOLE 0 0 9287 STARBUCKS CORP COM 855244109 800 12186 SH SOLE 0 0 12186 WAL-MART STORES INC COM 931142103 824 7257 SH SOLE 0 0 7257 MARSH & MCLENNAN COS INC COM 571748102 825 9536 SH SOLE 0 0 9536 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 829 11745 SH SOLE 0 0 11745 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 832 8409 SH SOLE 0 0 8409 MONDELEZ INTL INC CL A 609207105 835 16685 SH SOLE 0 0 16685 ENBRIDGE INC COM 29250N105 841 28911 SH SOLE 0 0 28911 EPAM SYS INC COM 29414B104 845 4552 SH SOLE 0 0 4552 HONEYWELL INTL INC COM 438516106 867 6482 SH SOLE 0 0 6482 TORTOISE MLP FD INC COM 89148B101 872 1020422 SH SOLE 0 0 1020422 VERISK ANALYTICS INC COM 92345Y106 879 6304 SH SOLE 0 0 6304 NUVEEN AMT FREE QLTY MUN INC COM 670657105 884 65308 SH SOLE 0 0 65308 UBER TECHNOLOGIES INC COM 90353T100 909 32547 SH SOLE 0 0 32547 VANGUARD INDEX FDS LARGE CAP ETF 922908637 991 7692 SH SOLE 0 0 7692 BLACKROCK INC COM 09247X101 915 2080 SH SOLE 0 0 2080 INVESCO ACTIVELY MANAGED ETF TOTAL RETURN 46090A804 928 17476 SH SOLE 0 0 17476 AMGEN INC COM 031162100 931 4593 SH SOLE 0 0 4593 CHEVRON CORP NEW COM 166764100 940 13010 SH SOLE 0 0 13010 EVERSOURCE ENERGY COM 30040W108 945 1283 SH SOLE 0 0 1283 ISHARES TR GLOBAL REIT ETF 46434V647 945 49355 SH SOLE 0 0 49355 VEEVA SYS INC CL A COM 922475108 953 6096 SH SOLE 0 0 6096 ABBVIE INC COM 00287Y109 961 12865 SH SOLE 0 0 12865 SPDR SERIES TRUST BLOMBRG BRC INTR 78464A375 976 28699 SH SOLE 0 0 28699 EATON VANCE LTD DUR INCOME F COM 27828H105 980 92710 SH SOLE 0 0 92710 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 982 12412 SH SOLE 0 0 12412 ISHARES TR RUS 1000 GRW ETF 464287614 1001 6674 SH SOLE 0 0 6674 CISCO SYS INC COM 17275R102 1010 25724 SH SOLE 0 0 25724 THERMO FISHER SCIENTIFIC INC COM 883556102 1014 3576 SH SOLE 0 0 3576 MCDONALDS CORP COM 580135101 1023 6189 SH SOLE 0 0 6189 ZOETIS INC CL A 98978V103 1050 8920 SH SOLE 0 0 8920 BNY MELLON STRATEGIC MUN BD COM 09662E109 1065 147676 SH SOLE 0 0 147676 ISHARES TR SHRT TRS BD ETF 464288679 1074 9675 SH SOLE 0 0 9675 NEW YORK CMNTY CAP TR V UNIT 11/01/2051 64944P307 1080 26133 SH SOLE 0 0 26133 INTERNATIONAL BUSINESS MACHS COM 459200101 1110 10010 SH SOLE 0 0 10010 DANAHER CORP DEL COM 235851102 1113 8042 SH SOLE 0 0 8042 SPDR SERIES TRUST BLMBRG BRC INTRM 78464A672 1146 34588 SH SOLE 0 0 34588 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 1150 22541 SH SOLE 0 0 22541 ISHARES GLOBAL FINLS ETF 464287333 1161 34600 SH SOLE 0 0 34600 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1175 28638 SH SOLE 0 0 28638 MASTERCARD INCORPORATED CL A 57636Q104 1178 4877 SH SOLE 0 0 4877 TEXAS INSTRS INC COM 882508104 1182 11827 SH SOLE 0 0 11827 ALPHABET INC CAP STK CL C 02079K107 1190 1023 SH SOLE 0 0 1023 ISHARES TR IBOXX INV CP ETF 464287242 1205 9873 SH SOLE 0 0 9873 ISHARES TR EAFE MIN VOL ETF 46429B689 1208 19469 SH SOLE 0 0 19469 LOCKHEED MARTIN CORP COM 539830109 1222 3606 SH SOLE 0 0 3606 CVS HEALTH CORP COM 126650100 1241 20929 SH SOLE 0 0 20929 ISHARES TR 20+ YR TR BD ETF 464287432 1258 7603 SH SOLE 0 0 7603 CROWN CASTLE INTL CORP NEW COM 22822V101 1262 8743 SH SOLE 0 0 8743 ISHARES TR MSCI MIN VOL ETF 46429B697 1283 23778 SH SOLE 0 0 23778 PROSHARES TR SHORT QQQ NEW 74347B714 1306 51387 SH SOLE 0 0 51387 UNITED TECHNOLOGIES CORP COM 913017109 1347 14280 SH SOLE 0 0 14280 LEGG MASON ETF INVESTMENT TR WESTN ASET TTL 52468L810 1360 54079 SH SOLE 0 0 54079 COSTCO WHSL CORP NEW COM 22160K105 1368 4799 SH SOLE 0 0 4799 CASEYS GEN STORES INC COM 147528103 1374 10376 SH SOLE 0 0 10376 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1392 19718 SH SOLE 0 0 19718 ABBOTT LABS COM 002824100 1414 18013 SH SOLE 0 0 18013 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 1443 18444 SH SOLE 0 0 18444 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 1447 47834 SH SOLE 0 0 47834 ISHARES GLOB HLTHCRE ETF 464287325 1451 23817 SH SOLE 0 0 23817 ISHARES TR 3 7 YR TREAS BD 464288661 1454 10908 SH SOLE 0 0 10908 DOMINION ENERGY INC COM 25746U109 1473 20405 SH SOLE 0 0 20405 NEXTERA ENERGY INC COM 65339F101 1508 6268 SH SOLE 0 0 6268 VANGUARD STAR FD VG TL INTL STK F 921909768 1547 36957 SH SOLE 0 0 36957 FACEBOOK INC CL A 30303M102 1570 9411 SH SOLE 0 0 9411 PROCTOR & GAMBLE CO COM 742718109 1577 14341 SH SOLE 0 0 14341 UNITEDHEALTH GROUP INC COM 91324P102 1592 6384 SH SOLE 0 0 6384 EXXON MOBIL CORP COM 30231G102 1598 42387 SH SOLE 0 0 42387 ISHARES GLOBAL TECH ETF 464287291 1606 8807 SH SOLE 0 0 8807 PFIZER INC COM 717081103 1662 49931 SH SOLE 0 0 49931 ISHARES TR INTL SEL DIV ETF 464288448 1640 72583 SH SOLE 0 0 72583 PEPSICO INC COM 713448108 1676 13961 SH SOLE 0 0 13961 COCA COLA CO COM 191216100 1680 37966 SH SOLE 0 0 37966 GLOBAL NET LEASE INC COM NEW 379378201 1739 139611 SH SOLE 0 0 139611 MEDTRONIC PLC SHS G5960L103 1745 19354 SH SOLE 0 0 19354 BLACKROCK 2022 GBL INCM OPP COM 09258P104 1758 231880 SH SOLE 0 0 231880 AMERICAN TOWER CORP NEW COM 03027X100 1758 8075 SH SOLE 0 0 8075 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 1761 391372 SH SOLE 0 0 391372 VERIZON COMMUNICATIONS INC COM 92343V104 1763 32870 SH SOLE 0 0 32870 ISHARES TR CORE DIV GRWTH 46434V621 1799 55212 SH SOLE 0 0 55212 COMCAST CORP NEW CL A 20030N101 1808 52595 SH SOLE 0 0 52595 ISHARES CORE S&P SCP ETF 464287804 1821 32446 SH SOLE 0 0 32446 BANK OF AMERICA CORPORATION COM 060505104 1853 87481 SH SOLE 0 0 87481 ADOBE SYS INC COM 00724F101 1889 5936 SH SOLE 0 0 5936 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 1908 36877 SH SOLE 0 0 36877 ISHARES TR US TREAS BD ETF 46429B267 1908 68124 SH SOLE 0 0 68124 ISHARES TR MSCI EAFE ETF 464287465 2004 38265 SH SOLE 0 0 38265 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2008 12297 SH SOLE 0 0 12297 ISHARES CORE S&P MCP ETF 464287507 2077 14439 SH SOLE 0 0 14439 BUSINESS FIRST BANCSHARES IN COM 12326C105 2087 154594 SH SOLE 0 0 154594 FIDELITY LOW DURTIN ETF 316188408 2125 43487 SH SOLE 0 0 43487 FS INVT CORP COM 302635107 2133 710931 SH SOLE 0 0 710931 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 2160 60571 SH SOLE 0 0 60571 JPMORGAN CHASE & CO COM 46625H100 2266 25172 SH SOLE 0 0 25172 DISNEY WALT CO COM DISNEY 254687106 2285 23650 SH SOLE 0 0 23650 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2322 100731 SH SOLE 0 0 100731 AT&T INC COM 00206R102 2341 80494 SH SOLE 0 0 80494 HOME DEPOT INC COM 437076102 2370 12692 SH SOLE 0 0 12692 ADVENT CLAYMORE CV SECS & IN COM 00764C109 2381 223815 SH SOLE 0 0 223815 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 2507 76252 SH SOLE 0 0 76252 SPDR GOLD TRUST GOLD SHS 78463V107 2553 17242 SH SOLE 0 0 17242 MERCK & CO INC COM 58933Y105 2663 35279 SH SOLE 0 0 35279 ALPHABET INC CAP STK CL A 02079K305 2677 2304 SH SOLE 0 0 2304 3M CO COM 88579Y101 2699 19800 SH SOLE 0 0 19800 HALOZYME THERAPEUTICS INC COM 40637H109 2702 150220 SH SOLE 0 0 150220 SPDR SER TR SSGA US LRG ETF 78468R804 2730 30129 SH SOLE 0 0 30129 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 2839 53681 SH SOLE 0 0 53681 ISHARES MBS ETF 464288588 2921 26451 SH SOLE 0 0 26451 JOHNSON & JOHNSON COM 478160104 2966 22620 SH SOLE 0 0 22620 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 3073 128355 SH SOLE 0 0 128355 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3077 92543 SH SOLE 0 0 92543 INTEL CORP COM 458140100 3217 59467 SH SOLE 0 0 59467 BARRICK GOLD CORP COM 067901108 3233 176495 SH SOLE 0 0 176495 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 3382 111921 SH SOLE 0 0 111921 ALLIANZGI NFJ DIVID INT & PR COM 01883A107 3458 359819 SH SOLE 0 0 359819 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 3584 41792 SH SOLE 0 0 41792 ISHARES NAT AMT FREE BD 464288414 3605 32284 SH SOLE 0 0 32284 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 3640 16601 SH SOLE 0 0 16601 VISA INC COM CL A 92826C839 3707 23007 SH SOLE 0 0 23007 VANGUARD INDEX FDS GROWTH ETF 922908736 3909 25109 SH SOLE 0 0 25109 BERKSHIRE HATHAWAY INC DEL CL A 084670108 4080 15 SH SOLE 0 0 15 VANGUARD INDEX FDS SMALL CP ETF 922908751 4123 35730 SH SOLE 0 0 35730 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 4436 141040 SH SOLE 0 0 141040 PROSHARES TR SHORT S&P 500 NE 74347B425 4753 171838 SH SOLE 0 0 171838 SPDR SERIES TRUST PORTFOLIO LN TSR 78464A664 5102 107744 SH SOLE 0 0 107744 TRICO BANCSHARES COM 896095106 5145 172530 SH SOLE 0 0 172530 HIGHLAND FLOATNG RATE OPPRT SHS BEN INT 43010E404 5705 668837 SH SOLE 0 0 668837 AMAZON COM INC COM 023135106 5813 2982 SH SOLE 0 0 2982 VANGUARD INDEX FDS VALUE ETF 922908744 6204 69903 SH SOLE 0 0 69903 INVESCO QQQ TR UNIT SER 1 46090E103 6209 32616 SH SOLE 0 0 32616 ISHARES TR CORE S&P500 ETF 464287200 6223 24083 SH SOLE 0 0 24083 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 7818 89817 SH SOLE 0 0 89817 PIMCO ETF TR ENHANCD SHORT 72201R643 8025 81099 SH SOLE 0 0 81099 MICROSOFT CORP COM 594918104 8092 51320 SH SOLE 0 0 51320 APPLE INC COM 037833100 8728 34360 SH SOLE 0 0 34360 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 9410 51498 SH SOLE 0 0 51498 VANGUARD INDEX FDS SM CP VAL ETF 922908611 9957 112358 SH SOLE 0 0 112358 VANGUARD INDEX FDS TOTAL STK MKT 922908769 10661 83145 SH SOLE 0 0 83145 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 11043 107207 SH SOLE 0 0 107207 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 13003 55228 SH SOLE 0 0 55228 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 14526 233007 SH SOLE 0 0 233007 SPDR S&P 500 ETF TR TR UNIT 78462F103 22895 88837 SH SOLE 0 0 88837 SPDR SER TR SPDR BLOOMBERG 78468R663 52846 576737 SH SOLE 0 0 576737