Chief Compliance Officer

0001601742-19-000002.txt : 20190506 0001601742-19-000002.hdr.sgml : 20190506 20190506125849 ACCESSION NUMBER: 0001601742-19-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190506 DATE AS OF CHANGE: 20190506 EFFECTIVENESS DATE: 20190506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Private Ocean, LLC CENTRAL INDEX KEY: 0001601742 IRS NUMBER: 205742052 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16108 FILM NUMBER: 19798723 BUSINESS ADDRESS: STREET 1: 100 SMITH RANCH ROAD STREET 2: SUITE 300 CITY: SAN RAFAEL STATE: CA ZIP: 94903 BUSINESS PHONE: 415-526-2900 MAIL ADDRESS: STREET 1: 100 SMITH RANCH ROAD STREET 2: SUITE 300 CITY: SAN RAFAEL STATE: CA ZIP: 94903 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001601742 XXXXXXXX 03-31-2019 03-31-2019 Private Ocean, LLC

100 SMITH RANCH ROAD SUITE 300 SAN RAFAEL CA 94903

13F HOLDINGS REPORT 028-16108 N Justin Hult Chief Compliance Officer (415) 526-2900 Justin Hult San Rafael CA 05-03-2019 0 399 367736 false INFORMATION TABLE 2 private1q19.xml 3M Co COM 88579Y101 435 2093 SH SOLE 0 0 2093 Abbott Laboratories COM 002824100 232 2906 SH SOLE 0 0 2906 Abbvie Inc COM 00287Y109 242 3008 SH SOLE 0 0 3008 Aberdeen Asia Pac Incm ETF 003009107 39 9326 SH SOLE 0 0 9326 Accenture Ltd PLC COM G1151C101 73 415 SH SOLE 0 0 415 Adobe Systems Inc COM 00724F101 20 75 SH SOLE 0 0 75 Advanced Micro Devices COM 007903107 5 200 SH SOLE 0 0 200 AerCap Holdings NV COM N00985106 1 30 SH SOLE 0 0 30 Affluent Ptrns Hld Ord COM G57958103 1 3850 SH SOLE 0 0 3850 Agilent Technologies Inc COM 00846U101 8 96 SH SOLE 0 0 96 Air Products & Chemicals Inc COM 009158106 28 145 SH SOLE 0 0 145 Alibaba Group Hldg Adr COM 01609W102 23 126 SH SOLE 0 0 126 Altaba Incorporated COM 021346101 7 100 SH SOLE 0 0 100 Altria Group Inc COM 02209S103 69 1205 SH SOLE 0 0 1205 Amazon Com Inc COM 023135106 1428 802 SH SOLE 0 0 802 American Airlines Group Inc COM 02376R102 3 79 SH SOLE 0 0 79 American Eagle Outfitters COM 02553E106 27 1200 SH SOLE 0 0 1200 American Electric Power Company Inc COM 025537101 8 100 SH SOLE 0 0 100 American Express Co COM 025816109 156 1431 SH SOLE 0 0 1431 American Tower Corp A COM 03027X100 68 344 SH SOLE 0 0 344 American Water Works Co. COM 030420103 8 80 SH SOLE 0 0 80 Ameriprise Financial Inc COM 03076C106 13 100 SH SOLE 0 0 100 Ametek Inc COM 031100100 23 280 SH SOLE 0 0 280 Amgen Inc COM 031162100 225 1182 SH SOLE 0 0 1182 Anadarko Petroleum Corp COM 032511107 13 279 SH SOLE 0 0 279 Anthem Inc Com COM 036752103 41 142 SH SOLE 0 0 142 Apple Computer Inc COM 037833100 792 4169 SH SOLE 0 0 4169 Arthur J Gallagher & Co COM 363576109 39 500 SH SOLE 0 0 500 Ascena Retail Group Inc COM 04351G101 9 8036 SH SOLE 0 0 8036 Ascendis Pharma A/S Spon Adr Each Rep 1 COM 04351P101 113 961 SH SOLE 0 0 961 AT&T Corp COM 00206R102 457 14576 SH SOLE 0 0 14576 Aurora Cannabis Inc COM 05156X108 3 306 SH SOLE 0 0 306 Automatic Data Processing COM 053015103 20 123 SH SOLE 0 0 123 AvalonBay Communities Inc COM 053484101 14 70 SH SOLE 0 0 70 Avery Dennison Corp COM 053611109 24 215 SH SOLE 0 0 215 Avista Corp COM 05379B107 11 263 SH SOLE 0 0 263 B C E Inc COM 05534B760 32 732 SH SOLE 0 0 732 Bank Marin Corte Madera Ca COM 063425102 97 2393 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Co COM 369604103 53 5288 SH SOLE 0 0 5288 General Mills Inc COM 370334104 73 1405 SH SOLE 0 0 1405 Genomic Health COM 37244C101 15 219 SH SOLE 0 0 219 Gilead Sciences Inc COM 375558103 46 700 SH SOLE 0 0 700 Global X Fds Rbtcs Artfl Inte ETF 37954Y715 24 1200 SH SOLE 0 0 1200 Goldman Sachs Group Inc COM 38141G104 16 83 SH SOLE 0 0 83 Google Inc Class A COM 02079K305 164 139 SH SOLE 0 0 139 Google Inc Class C COM 02079K107 171 146 SH SOLE 0 0 146 Hain Celestial Group COM 405217100 14 600 SH SOLE 0 0 600 Halliburton Co COM 406216101 59 2000 SH SOLE 0 0 2000 Harley Davidson Inc COM 412822108 8 228 SH SOLE 0 0 228 Harris Corp COM 413875105 8 50 SH SOLE 0 0 50 HCP Inc COM 40414L109 38 1224 SH SOLE 0 0 1224 Healthcare Services Group Inc COM 421906108 10 312 SH SOLE 0 0 312 Hercules Technology Growth Capital COM 427096508 59 4670 SH SOLE 0 0 4670 Hershey Foods Corp COM 427866108 3 30 SH SOLE 0 0 30 Hewlett Packard Ente COM 42824C109 40 2584 SH SOLE 0 0 2584 Hewlett-Packard Co COM 40434L105 41 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Growth ETF 464287614 391 2581 SH SOLE 0 0 2581 iShares Russell 2000 ETF 464287648 119 606 SH SOLE 0 0 606 iShares Russell 2000 Index ETF 464287655 952 6218 SH SOLE 0 0 6218 iShares Russell 2000 Value Index ETF 464287630 41 339 SH SOLE 0 0 339 iShares Russell 3000 Index ETF 464287689 246 1476 SH SOLE 0 0 1476 iShares Russell Midcap Blend ETF 464287499 353 6534 SH SOLE 0 0 6534 iShares Russell Midcap Growth ETF 464287481 119 880 SH SOLE 0 0 880 iShares Russell Midcap Value ETF 464287473 47 536 SH SOLE 0 0 536 iShares S&P 100 Index ETF 464287101 438 3499 SH SOLE 0 0 3499 iShares S&P 400 Growth ETF 464287606 44 200 SH SOLE 0 0 200 iShares S&P 500/BARRA Value Index ETF 464287408 11 100 SH SOLE 0 0 100 iShares S&P Midcap 400 Index ETF 464287507 308 1627 SH SOLE 0 0 1627 iShares S&P Midcap 400/BARRA Value ETF 464287705 877 5586 SH SOLE 0 0 5586 iShares S&P Smallcap 600/BARRA Value Index ETF 464287879 134 910 SH SOLE 0 0 910 iShares S&P US Preferred Stock Index ETF 464288687 69 1885 SH SOLE 0 0 1885 Ishares Short Maturity Bond ETF ETF 46431W507 1 10 SH SOLE 0 0 10 Ishares Tr Msci Kld400 Soc ETF 464288570 440 4173 SH SOLE 0 0 4173 Ishares TRUST Core Msci Eafe Etf ETF 46432F842 285 4686 SH SOLE 0 0 4686 JM Smuckers Co COM 832696405 2 16 SH SOLE 0 0 16 Johnson & Johnson COM 478160104 753 5385 SH SOLE 0 0 5385 JP Morgan Chase & Co COM 46625H100 109 1077 SH SOLE 0 0 1077 JPMorgan Managed Futures Strategy ETF 46641Q829 166 6866 SH SOLE 0 0 6866 Keysight Technologies Inc Com COM 49338L103 2 19 SH SOLE 0 0 19 Kimberly-Clark Corp COM 494368103 37 300 SH SOLE 0 0 300 Kraft Heinz Co Com Stk COM 500754106 4 133 SH SOLE 0 0 133 Kroger Co COM 501044101 19 788 SH SOLE 0 0 788 L Brands Inc COM 501797104 6 225 SH SOLE 0 0 225 Laboratory Corp Of America Holdings COM 50540R409 21 138 SH SOLE 0 0 138 Lamb Weston Holdings COM 513272104 75 1000 SH SOLE 0 0 1000 Lincoln National Corp COM 534187109 91 1548 SH SOLE 0 0 1548 Linde plc COM G5494J103 40 230 SH SOLE 0 0 230 Lockheed Martin Corp COM 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& Co. Inc COM 58933Y105 337 4051 SH SOLE 0 0 4051 Micro Focus International COM 594837403 8 312 SH SOLE 0 0 312 Microchip Technology Inc COM 595017104 41 500 SH SOLE 0 0 500 Micron Technology Inc COM 595112103 54 1300 SH SOLE 0 0 1300 Microsoft Corp COM 594918104 2722 23083 SH SOLE 0 0 23083 Mid Cap SPDR Trust ETF 78467Y107 67 193 SH SOLE 0 0 193 Mondelez International Inc COM 609207105 20 400 SH SOLE 0 0 400 Morgan Stanley COM 617446448 23 540 SH SOLE 0 0 540 Nasdaq 100 Shares ETF 46090E103 468 2603 SH SOLE 0 0 2603 Netflix Inc COM 64110L106 30 85 SH SOLE 0 0 85 NextEra Energy Inc COM 65339F101 150 778 SH SOLE 0 0 778 Nike Inc COM 654106103 178 2112 SH SOLE 0 0 2112 Nordstrom Inc COM 655664100 37 838 SH SOLE 0 0 838 Norfolk Southern Corp COM 655844108 203 1087 SH SOLE 0 0 1087 Northern Trust Corp COM 665859104 13 145 SH SOLE 0 0 145 Novartis AG ADR COM 66987V109 115 1200 SH SOLE 0 0 1200 Novo Nordisk A/S ADR COM 670100205 22 420 SH SOLE 0 0 420 Nucor Corp COM 670346105 96 1648 SH SOLE 0 0 1648 Nuveen Arizona Qlty Mun Inc Fd Com ETF 67061W104 15 1175 SH SOLE 0 0 1175 Nvidia Corp COM 67066G104 145 809 SH SOLE 0 0 809 Okta Inc Cl A COM 679295105 5 61 SH SOLE 0 0 61 Old Republic International Corp COM 680223104 25 1187 SH SOLE 0 0 1187 Oracle Corp COM 68389X105 355 6602 SH SOLE 0 0 6602 Paccar Inc COM 693718108 84 1232 SH SOLE 0 0 1232 Palo Alto Networks Inc COM 697435105 2 10 SH SOLE 0 0 10 Paypal Hldgs Inc Com COM 70450Y103 38 365 SH SOLE 0 0 365 PepsiCo Inc COM 713448108 169 1377 SH SOLE 0 0 1377 Pfizer Inc COM 717081103 8 200 SH SOLE 0 0 200 Philip Morris International COM 718172109 57 650 SH SOLE 0 0 650 Phillips Inc COM 718546104 53 562 SH SOLE 0 0 562 PNC Financial Services Group Inc COM 693475105 39 322 SH SOLE 0 0 322 PotlatchDeltic Corp COM 737630103 136 3587 SH SOLE 0 0 3587 Powershares Info Tech ETF ETF 46138E115 12 150 SH SOLE 0 0 150 Powershares Nasdaq Internet ETF 46137V530 207 1536 SH SOLE 0 0 1536 PowerShares S&P Low Volatility ETF 46138E354 84 1600 SH SOLE 0 0 1600 Principal Financial Group COM 74251V102 8 159 SH SOLE 0 0 159 Procter & Gamble Co COM 742718109 1308 12569 SH SOLE 0 0 12569 Prosperity Bancshares COM 715347100 2 97 SH SOLE 0 0 97 Prudential Financial Inc COM 744320102 12 135 SH SOLE 0 0 135 Public Service Enterprise Group COM 744573106 10 176 SH SOLE 0 0 176 Qualcomm Inc COM 747525103 12 208 SH SOLE 0 0 208 Rayonier Inc COM 754907103 150 4764 SH SOLE 0 0 4764 Raytheon Co COM 755111507 140 768 SH SOLE 0 0 768 Realty Income Corp COM 756109104 2419 32885 SH SOLE 0 0 32885 Republic Services Inc COM 760759100 16 196 SH SOLE 0 0 196 Resideo Technologies Inc Com COM 76118Y104 1 29 SH SOLE 0 0 29 Roper Industries Inc COM 776696106 26 75 SH SOLE 0 0 75 Royal Bank of Canada COM 780087102 22 285 SH SOLE 0 0 285 Royal Dutch Shell A ADR COM 780259206 88 1400 SH SOLE 0 0 1400 Royal Dutch Shell B ADR COM 780259107 2 24 SH SOLE 0 0 24 Salesforce.com COM 79466L302 12 76 SH SOLE 0 0 76 SAP Aktiengesell ADR COM 803054204 6 50 SH SOLE 0 0 50 Schlumberger NV COM 806857108 49 1120 SH SOLE 0 0 1120 Schw Intl Scap Etf ETF 808524888 59 1835 SH SOLE 0 0 1835 Schwab Emerging Market Equities ETF ETF 808524706 143 5487 SH SOLE 0 0 5487 Schwab Fndmntl Intl Large ETF ETF 808524755 99 3584 SH SOLE 0 0 3584 Schwab Fndmntl Intl Small ETF ETF 808524748 329 10586 SH SOLE 0 0 10586 Schwab Fndmntl US Large ETF ETF 808524771 147 3875 SH SOLE 0 0 3875 Schwab Fndmntl US Small ETF ETF 808524763 155 4151 SH SOLE 0 0 4151 Schwab Funda Emg Mkts ETF 808524730 11 411 SH SOLE 0 0 411 Schwab International Equity ET ETF 808524805 608 19431 SH SOLE 0 0 19431 Schwab U.S. TIPS ETF 808524870 461 8380 SH SOLE 0 0 8380 Schwab US Aggregate Bond ETF ETF 808524839 73 1414 SH SOLE 0 0 1414 Schwab US Broad Market ETF ETF 808524102 32 475 SH SOLE 0 0 475 Schwab US Large-Cap ETF ETF 808524201 265 3922 SH SOLE 0 0 3922 Schwab US REIT ETF ETF 808524847 54 1215 SH SOLE 0 0 1215 Schwab US Small Cap ETF ETF 808524607 74 1057 SH SOLE 0 0 1057 Sempra Energy COM 816851109 166 1321 SH SOLE 0 0 1321 Senior Housing Property Trust COM 81721M109 8 640 SH SOLE 0 0 640 SLM Corp COM 78442P106 3 300 SH SOLE 0 0 300 Southern Co COM 842587107 26 500 SH SOLE 0 0 500 Southwest Airlines Co. 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0 3369 Washington Fed Inc Com COM 938824109 6 200 SH SOLE 0 0 200 Waste Management Inc COM 94106L109 10 100 SH SOLE 0 0 100 Wells Fargo & Co COM 949746101 245 5073 SH SOLE 0 0 5073 West Pharmaceutical Services COM 955306105 14 128 SH SOLE 0 0 128 Weyerhaeuser Co COM 962166104 630 23931 SH SOLE 0 0 23931 Wisconsin Energy Corp COM 92939U106 33 420 SH SOLE 0 0 420 Wisdomtree Emerg Local Bonds ETF 97717X867 244 7153 SH SOLE 0 0 7153 Wisdomtree Emrg Mrkt Hg ETF 97717W315 132 3003 SH SOLE 0 0 3003 Wisdomtree Large Cap Div ETF 97717W307 292 3099 SH SOLE 0 0 3099 WisdomTree Managed Futures Strategy ETF 97717W125 1 20 SH SOLE 0 0 20 Wisdomtree Tr Intl Divid Ex Financials ETF 97717W786 79 1925 SH SOLE 0 0 1925 Wisdomtree Tr US Smallcap Divd ETF 97717W604 125 4526 SH SOLE 0 0 4526 Zimmer Holdings Inc COM 98956P102 29 230 SH SOLE 0 0 230 Zoetis Inc COM 98978V103 27 264 SH SOLE 0 0 264