Chief Compliance Officer

0001602020-20-000001.txt : 20200212 0001602020-20-000001.hdr.sgml : 20200212 20200212102144 ACCESSION NUMBER: 0001602020-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Anfield Capital Management, LLC CENTRAL INDEX KEY: 0001602020 IRS NUMBER: 274782738 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18040 FILM NUMBER: 20600879 BUSINESS ADDRESS: STREET 1: 4041 MACARTHUR BOULEVARD, SUITE 155 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-891-0600 MAIL ADDRESS: STREET 1: 4041 MACARTHUR BOULEVARD, SUITE 155 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001602020 XXXXXXXX 12-31-2019 12-31-2019 Anfield Capital Management, LLC

4041 MACARTHUR BOULEVARD, SUITE 155 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-18040 N Jon Wieman Chief Compliance Officer 949-891-0600 Jon Wieman Newport Beach CA 02-12-2020 0 415 247810 false INFORMATION TABLE 2 Q12020_13F.xml 13F_ANFIELDCAPITAL_Q12020 AFLAC INC COM 001055102 97 1816 SH DFND 0 0 1816 ABBOTT LABS COM 002824100 15 163 SH DFND 0 0 163 ABERDEEN STD INVTS ETFS BBRG ALL COMD K1 003261104 12 520 SH DFND 0 0 520 ADVANCED MICRO DEVICES INC COM 007903107 8 165 SH DFND 0 0 165 AEROVIRONMENT INC COM 008073108 7 98 SH DFND 0 0 98 AIR PRODS & CHEMS INC COM 009158106 12 47 SH DFND 0 0 47 ALLSTATE CORP COM 020002101 128 1030 SH SOLE 0 0 1030 AMAZON COM INC COM 023135106 537 266 SH DFND 0 0 266 AMERICAN WTR WKS CO INC NEW COM 030420103 6 47 SH DFND 0 0 47 AMGEN INC COM 031162100 502 2164 SH DFND 0 0 2164 AMPHENOL CORP NEW CL A 032095101 10 91 SH DFND 0 0 91 APPLE INC COM 037833100 1348 4247 SH DFND 0 0 4247 APPLIED MATLS INC COM 038222105 87 1367 SH DFND 0 0 1367 ARCHER DANIELS MIDLAND CO COM 039483102 19 415 SH DFND 0 0 415 AUTODESK INC COM 052769106 130 643 SH SOLE 0 0 643 AUTOMATIC DATA PROCESSING IN COM 053015103 60 338 SH DFND 0 0 338 AVALONBAY CMNTYS INC COM 053484101 11 51 SH DFND 0 0 51 AYTU BIOSCIENCE INC COM PAR 054754700 0 1 SH DFND 0 0 1 BAIDU INC SPON ADR REP A 056752108 18 140 SH DFND 0 0 140 BANK AMER CORP COM 060505104 14 412 SH DFND 0 0 412 BANK NEW YORK MELLON CORP COM 064058100 19 403 SH DFND 0 0 403 BAUSCH HEALTH COS INC COM 071734107 1 34 SH DFND 0 0 34 BAXTER INTL INC COM 071813109 12 126 SH DFND 0 0 126 BEST BUY INC COM 086516101 15 172 SH DFND 0 0 172 BOEING CO COM 097023105 11 33 SH DFND 0 0 33 BRINKER INTL INC COM 109641100 3 63 SH DFND 0 0 63 BRISTOL MYERS SQUIBB CO COM 110122108 7 100 SH DFND 0 0 100 CIGNA CORP NEW COM 125523100 26 126 SH DFND 0 0 126 CSX CORP COM 126408103 99 1266 SH DFND 0 0 1266 CVS HEALTH CORP COM 126650100 26 371 SH DFND 0 0 371 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 5 393 SH DFND 0 0 393 CARNIVAL CORP UNIT 99/99/9999 143658300 10 200 SH DFND 0 0 200 CATERPILLAR INC DEL COM 149123101 214 1560 SH DFND 0 0 1560 CENTURYLINK INC COM 156700106 0 24 SH DFND 0 0 24 CHEMOURS CO COM 163851108 7 442 SH DFND 0 0 442 CHEVRON CORP NEW COM 166764100 536 4846 SH DFND 0 0 4846 CHIPOTLE MEXICAN GRILL INC COM 169656105 110 129 SH SOLE 0 0 129 CINTAS CORP COM 172908105 107 367 SH SOLE 0 0 367 CITRIX SYS INC COM 177376100 2 20 SH DFND 0 0 20 COCA COLA CO COM 191216100 554 9414 SH DFND 0 0 9414 COGNEX CORP COM 192422103 92 1662 SH DFND 0 0 1662 COLGATE PALMOLIVE CO COM 194162103 579 7639 SH DFND 0 0 7639 CORNING INC COM 219350105 3 107 SH DFND 0 0 107 CREDIT ACCEP CORP MICH COM 225310101 93 214 SH SOLE 0 0 214 CUMBERLAND PHARMACEUTICALS I COM 230770109 23 4530 SH DFND 0 0 4530 DBX ETF TR XTRACK MSCI EMRG 233051101 22 926 SH DFND 0 0 926 DBX ETF TR XTRACK MSCI EAFE 233051200 123 3591 SH DFND 0 0 3591 DANAHER CORPORATION COM 235851102 13 77 SH DFND 0 0 77 DELTA AIR LINES INC DEL COM NEW 247361702 53 903 SH DFND 0 0 903 DISNEY WALT CO COM DISNEY 254687106 217 1525 SH DFND 0 0 1525 DOLLAR GEN CORP NEW COM 256677105 43 280 SH DFND 0 0 280 DOLLAR TREE INC COM 256746108 30 320 SH DFND 0 0 320 DOW INC COM 260557103 39 790 SH DFND 0 0 790 ECOLAB INC COM 278865100 24 114 SH DFND 0 0 114 ELECTRONIC ARTS INC COM 285512109 173 1607 SH DFND 0 0 1607 EMERSON ELEC CO COM 291011104 20 266 SH DFND 0 0 266 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 16 382 SH DFND 0 0 382 FS KKR CAPITAL CORP COM 302635107 16 2600 SH DFND 0 0 2600 FISERV INC COM 337738108 137 1125 SH SOLE 0 0 1125 FLAHERTY & CRUMRIN PFD & INM COM 338478100 89 4082 SH DFND 0 0 4082 FLUOR CORP NEW COM 343412102 5 278 SH DFND 0 0 278 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 4 47 SH DFND 0 0 47 FRANKLIN ETF TR LIBERTY SHRT ETF 353506108 12 125 SH DFND 0 0 125 GALLAGHER ARTHUR J & CO COM 363576109 12 112 SH DFND 0 0 112 GENERAL DYNAMICS CORP COM 369550108 23 125 SH DFND 0 0 125 GENERAL ELECTRIC CO COM 369604103 5 392 SH DFND 0 0 392 GLOBAL NET LEASE INC COM NEW 379378201 28 1351 SH DFND 0 0 1351 HASBRO INC COM 418056107 28 267 SH DFND 0 0 267 HOME DEPOT INC COM 437076102 936 3932 SH DFND 0 0 3932 HONEYWELL INTL INC COM 438516106 535 3026 SH DFND 0 0 3026 HUNTINGTON BANCSHARES INC COM 446150104 9 618 SH DFND 0 0 618 ILLINOIS TOOL WKS INC COM 452308109 73 394 SH DFND 0 0 394 ILLUMINA INC COM 452327109 8 28 SH DFND 0 0 28 INDUSTRIAL LOGISTICS PPTYS T COM SHS BEN INT 456237106 75 3223 SH DFND 0 0 3223 INTEL CORP COM 458140100 850 12757 SH DFND 0 0 12757 INTERNATIONAL BUSINESS MACHS COM 459200101 65 416 SH DFND 0 0 416 ISHARES GOLD TRUST ISHARES 464285105 31 2087 SH DFND 0 0 2087 ISHARES TR MRNGSTR LG-CP GR 464287119 85 398 SH DFND 0 0 398 ISHARES TR CORE S&P500 ETF 464287200 108 323 SH DFND 0 0 323 ISHARES TR CORE US AGGBD ET 464287226 34 301 SH DFND 0 0 301 ISHARES TR IBOXX INV CP ETF 464287242 19 143 SH DFND 0 0 143 ISHARES TR 20 YR TR BD ETF 464287432 12 85 SH DFND 0 0 85 ISHARES TR BARCLAYS 7 10 YR 464287440 34 298 SH DFND 0 0 298 ISHARES TR 1 3 YR TREAS BD 464287457 14 165 SH DFND 0 0 165 ISHARES TR MSCI EAFE ETF 464287465 34 488 SH DFND 0 0 488 ISHARES TR RUS MDCP VAL ETF 464287473 106 1101 SH DFND 0 0 1101 ISHARES TR RUS MD CP GR ETF 464287481 12779 81520 SH DFND 0 0 81520 ISHARES TR CORE S&P MCP ETF 464287507 15 72 SH DFND 0 0 72 ISHARES TR RUS 1000 VAL ETF 464287598 169 1241 SH DFND 0 0 1241 ISHARES TR RUS 1000 GRW ETF 464287614 322 1807 SH DFND 0 0 1807 ISHARES TR RUS 1000 ETF 464287622 76 426 SH DFND 0 0 426 ISHARES TR CORE S&P SCP ETF 464287804 7334 87501 SH DFND 0 0 87501 ISHARES TR EUROPE ETF 464287861 15 330 SH DFND 0 0 330 ISHARES TR MRNGSTR LG-CP VL 464288109 61 523 SH DFND 0 0 523 ISHARES TR MRGSTR MD CP ETF 464288208 66 316 SH DFND 0 0 316 ISHARES TR MSCI ACWI ETF 464288257 42 516 SH DFND 0 0 516 ISHARES TR JPMORGAN USD EMG 464288281 45 388 SH DFND 0 0 388 ISHARES TR MRGSTR SM CP ETF 464288505 44 235 SH DFND 0 0 235 ISHARES TR IBOXX HI YD ETF 464288513 208 2361 SH DFND 0 0 2361 ISHARES TR MSCI KLD400 SOC 464288570 728 5813 SH DFND 0 0 5813 ISHARES TR MBS ETF 464288588 198 1824 SH DFND 0 0 1824 ISHARES TR INTRM GOV CR ETF 464288612 12277 108076 SH DFND 0 0 108076 ISHARES TR INTRM TR CRP ETF 464288638 67 1145 SH DFND 0 0 1145 ISHARES TR SH TR CRPORT ETF 464288646 21 390 SH DFND 0 0 390 ISHARES TR 3 7 YR TREAS BD 464288661 81 639 SH DFND 0 0 639 ISHARES TR PFD AND INCM SEC 464288687 26 669 SH DFND 0 0 669 ISHARES TR MSCI USA ESG SLC 464288802 107 772 SH DFND 0 0 772 ISHARES TR AGGRES ALLOC ETF 464289859 83 1406 SH DFND 0 0 1406 ISHARES TR GRWT ALLOCAT ETF 464289867 5 110 SH DFND 0 0 110 ISHARES TR MODERT ALLOC ETF 464289875 158 3885 SH DFND 0 0 3885 JOHNSON & JOHNSON COM 478160104 1853 12144 SH DFND 0 0 12144 KAMAN CORP COM 483548103 6 100 SH DFND 0 0 100 KELLOGG CO COM 487836108 7 100 SH DFND 0 0 100 KIMBERLY CLARK CORP COM 494368103 22 150 SH DFND 0 0 150 LAM RESEARCH CORP COM 512807108 369 1132 SH DFND 0 0 1132 LEIDOS HLDGS INC COM 525327102 156 1477 SH DFND 0 0 1477 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 5 108 SH DFND 0 0 108 LIBERTY MEDIA CORP DELAWARE COM A BRAVES GRP 531229706 0 10 SH DFND 0 0 10 LIBERTY MEDIA CORP DELAWARE COM SER A FRMLA 531229870 1 27 SH DFND 0 0 27 LIBERTY MEDIA CORP DELAWARE COM C BRAVES GRP 531229888 0 5 SH DFND 0 0 5 LILLY ELI & CO COM 532457108 80 544 SH DFND 0 0 544 LOCKHEED MARTIN CORP COM 539830109 650 1495 SH DFND 0 0 1495 LOEWS CORP COM 540424108 8 152 SH DFND 0 0 152 LOOP INDS INC COM 543518104 42 3949 SH DFND 0 0 3949 LULULEMON ATHLETICA INC COM 550021109 130 533 SH SOLE 0 0 533 MSA SAFETY INC COM 553498106 17 120 SH DFND 0 0 120 MARSH & MCLENNAN COS INC COM 571748102 13 114 SH DFND 0 0 114 MCDONALDS CORP COM 580135101 759 3539 SH DFND 0 0 3539 MERCER INTL INC COM 588056101 18 1500 SH DFND 0 0 1500 MICROSOFT CORP COM 594918104 1931 10878 SH DFND 0 0 10878 MONDELEZ INTL INC CL A 609207105 533 9200 SH DFND 0 0 9200 NATIONAL FUEL GAS CO N J COM 636180101 2 44 SH DFND 0 0 44 NEW MTN FIN CORP COM 647551100 82 5901 SH DFND 0 0 5901 NIKE INC CL B 654106103 130 1293 SH DFND 0 0 1293 NORTHROP GRUMMAN CORP COM 666807102 8 21 SH DFND 0 0 21 NUCOR CORP COM 670346105 74 1487 SH DFND 0 0 1487 NUVEEN MUN VALUE FD INC COM 670928100 10 952 SH DFND 0 0 952 OCCIDENTAL PETE CORP COM 674599105 1 16 SH DFND 0 0 16 PARKER HANNIFIN CORP COM 701094104 71 337 SH DFND 0 0 337 PEPSICO INC COM 713448108 1383 9585 SH DFND 0 0 9585 PFIZER INC COM 717081103 201 5272 SH DFND 0 0 5272 PHILLIPS 66 COM 718546104 38 407 SH DFND 0 0 407 PROCTER & GAMBLE CO COM 742718109 836 6596 SH SOLE 0 0 6596 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 95 1595 SH DFND 0 0 1595 QUALCOMM INC COM 747525103 755 8445 SH DFND 0 0 8445 RAYTHEON CO COM NEW 755111507 230 1014 SH DFND 0 0 1014 REPUBLIC SVCS INC COM 760759100 23 239 SH DFND 0 0 239 RITE AID CORP COM 767754872 1 51 SH DFND 0 0 51 S & T BANCORP INC COM 783859101 4 105 SH DFND 0 0 105 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 43 558 SH DFND 0 0 558 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 4 131 SH DFND 0 0 131 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 11 314 SH DFND 0 0 314 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 8 137 SH DFND 0 0 137 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 10 207 SH DFND 0 0 207 SCIENCE APPLICATNS INTL CP N COM 808625107 120 1312 SH DFND 0 0 1312 SIMON PPTY GROUP INC NEW COM 828806109 455 3239 SH DFND 0 0 3239 SOUTHERN CO COM 842587107 653 9457 SH DFND 0 0 9457 SOUTHWEST AIRLS CO COM 844741108 17 300 SH DFND 0 0 300 STARBUCKS CORP COM 855244109 145 1656 SH SOLE 0 0 1656 STRYKER CORP COM 863667101 22 100 SH DFND 0 0 100 SYSCO CORP COM 871829107 10 130 SH DFND 0 0 130 TJX COS INC NEW COM 872540109 196 3158 SH DFND 0 0 3158 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 74 614 SH SOLE 0 0 614 TANDEM DIABETES CARE INC COM NEW 875372203 17 286 SH DFND 0 0 286 TEXAS INSTRS INC COM 882508104 526 3974 SH DFND 0 0 3974 TREMONT MTG TR COM 894789106 3 437 SH DFND 0 0 437 TRINET GROUP INC COM 896288107 141 2477 SH DFND 0 0 2477 US BANCORP DEL COM NEW 902973304 72 1309 SH DFND 0 0 1309 UNION PACIFIC CORP COM 907818108 229 1239 SH DFND 0 0 1239 UNITED BANKSHARES INC WEST V COM 909907107 313 8838 SH DFND 0 0 8838 UNITED PARCEL SERVICE INC CL B 911312106 443 4182 SH DFND 0 0 4182 UNITED STATES NATL GAS FUND UNIT PAR 912318300 1 55 SH DFND 0 0 55 UNITED TECHNOLOGIES CORP COM 913017109 10 65 SH DFND 0 0 65 V F CORP COM 918204108 101 1189 SH DFND 0 0 1189 VANGUARD GROUP DIV APP ETF 921908844 26 200 SH DFND 0 0 200 VANGUARD WORLD FD ESG INTL STK ETF 921910725 3 55 SH DFND 0 0 55 VANGUARD WORLD FD MEGA CAP INDEX 921910873 78 672 SH DFND 0 0 672 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 22 253 SH DFND 0 0 253 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 24 549 SH DFND 0 0 549 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 69 740 SH DFND 0 0 740 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 36 439 SH DFND 0 0 439 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 29 539 SH DFND 0 0 539 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 7 152 SH DFND 0 0 152 VEEVA SYS INC CL A COM 922475108 102 674 SH SOLE 0 0 674 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 124 409 SH DFND 0 0 409 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 35 288 SH DFND 0 0 288 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 114 1230 SH DFND 0 0 1230 VANGUARD INDEX FDS SM CP VAL ETF 922908611 80 585 SH DFND 0 0 585 VANGUARD INDEX FDS MID CAP ETF 922908629 842 4593 SH DFND 0 0 4593 VANGUARD INDEX FDS LARGE CAP ETF 922908637 372 2425 SH DFND 0 0 2425 VANGUARD INDEX FDS GROWTH ETF 922908736 312 1628 SH DFND 0 0 1628 VANGUARD INDEX FDS SMALL CP ETF 922908751 671 3988 SH DFND 0 0 3988 VANGUARD INDEX FDS TOTAL STK MKT 922908769 71 422 SH DFND 0 0 422 WABTEC CORP COM 929740108 0 1 SH DFND 0 0 1 WALMART INC COM 931142103 46 393 SH DFND 0 0 393 WALGREENS BOOTS ALLIANCE INC COM 931427108 19 366 SH DFND 0 0 366 WESBANCO INC COM 950810101 24 687 SH DFND 0 0 687 WEYERHAEUSER CO COM 962166104 9 320 SH DFND 0 0 320 WILLIAMS COS INC DEL COM 969457100 1 66 SH DFND 0 0 66 YUM BRANDS INC COM 988498101 26 240 SH DFND 0 0 240 CDK GLOBAL INC COM 12508E101 5 87 SH DFND 0 0 87 GLOBE LIFE INC COM 37959E102 10 91 SH DFND 0 0 91 VERISIGN INC COM 92343E102 14 64 SH DFND 0 0 64 EDISON NATION INC COM 28103E106 150 71639 SH DFND 0 0 71639 TARGET CORP COM 87612E106 487 4213 SH DFND 0 0 4213 EDWARDS LIFESCIENCES CORP COM 28176E108 247 1068 SH DFND 0 0 1068 NUVEEN ALL CAP ENE MLP OPPO COM 67075E108 1158 178966 SH DFND 0 0 178966 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 57 399 SH DFND 0 0 399 ALPS ETF TR DISRUPTIVE TECH 00162Q478 3 91 SH DFND 0 0 91 ALPS ETF TR ALERIAN MLP 00162Q866 21 2385 SH DFND 0 0 2385 AT&T INC COM 00206R102 446 11800 SH DFND 0 0 11800 ARK ETF TR GENOMIC REV ETF 00214Q302 20 600 SH DFND 0 0 600 ABBVIE INC COM 00287Y109 162 1871 SH DFND 0 0 1871 ADOBE INC COM 00724F101 221 604 SH DFND 0 0 604 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 5 23 SH DFND 0 0 23 ALPHABET INC CAP STK CL C 02079K107 193 134 SH DFND 0 0 134 ALPHABET INC CAP STK CL A 02079K305 314 217 SH SOLE 0 0 217 ALTRIA GROUP INC COM 02209S103 157 3390 SH DFND 0 0 3390 AMERIPRISE FINL INC COM 03076C106 40 225 SH DFND 0 0 225 AMPIO PHARMACEUTICALS INC COM 03209T109 2 3450 SH DFND 0 0 3450 ARCUS BIOSCIENCES INC COM 03969F109 76 8041 SH DFND 0 0 8041 ARES CAP CORP COM 04010L103 3966 235362 SH DFND 0 0 235362 ARROW ETF TR ARROW DJ GLB YLD 04273H104 1086 63641 SH DFND 0 0 63641 BIOGEN INC COM 09062X103 162 486 SH DFND 0 0 486 BLACKROCK INC COM 09247X101 213 392 SH DFND 0 0 392 BLACKROCK FLOAT RATE OME STR COM 09255X100 219 15147 PRN SOLE 0 0 15147 BLACKSTONE GROUP INC COM CL A 09260D107 3427 75634 SH DFND 0 0 75634 BOOKING HLDGS INC COM 09857L108 178 92 SH DFND 0 0 92 BROADCOM INC COM 11135F101 452 1423 SH DFND 0 0 1423 CBOE GLOBAL MARKETS INC COM 12503M108 9 69 SH DFND 0 0 69 CNX RESOURCES CORPORATION COM 12653C108 6 762 SH DFND 0 0 762 CAPITAL ONE FINL CORP COM 14040H105 14 130 SH DFND 0 0 130 CENTERPOINT ENERGY INC COM 15189T107 8 281 SH DFND 0 0 281 CHEMED CORP NEW COM 16359R103 110 226 SH SOLE 0 0 226 CISCO SYS INC COM 17275R102 609 12565 SH DFND 0 0 12565 COMCAST CORP NEW CL A 20030N101 482 10816 SH DFND 0 0 10816 CONATUS PHARMACEUTICALS INC COM 20600T108 0 100 SH DFND 0 0 100 CONSOL ENERGY INC NEW COM 20854L108 1 94 SH DFND 0 0 94 CORTEVA INC COM 22052L104 25 790 SH DFND 0 0 790 COSTCO WHSL CORP NEW COM 22160K105 413 1340 SH SOLE 0 0 1340 CREDIT SUISSE NASSAU BRH INVRS VIX MDTERM 22542D829 663 9967 SH DFND 0 0 9967 CROWN CASTLE INTL CORP NEW COM 22822V101 14 92 SH DFND 0 0 92 CYRUSONE INC COM 23283R100 2120 35305 SH DFND 0 0 35305 DELL TECHNOLOGIES INC CL C 24703L202 0 1 SH DFND 0 0 1 DOMINION ENERGY INC COM 25746U109 26 308 SH DFND 0 0 308 DUKE ENERGY CORP NEW COM NEW 26441C204 522 5371 SH DFND 0 0 5371 DUPONT DE NEMOURS INC COM 26614N102 43 790 SH DFND 0 0 790 EOG RES INC COM 26875P101 57 734 SH DFND 0 0 734 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 6 144 SH DFND 0 0 144 EATON VANCE TX MNG BY WRT OP COM 27828Y108 4152 273948 SH DFND 0 0 273948 ENBRIDGE INC COM 29250N105 8 184 SH DFND 0 0 184 ENTERGY CORP NEW COM 29364G103 13 96 SH DFND 0 0 96 EQUITY LIFESTYLE PPTYS INC COM 29472R108 4 57 SH DFND 0 0 57 EQUITY RESIDENTIAL SH BEN INT 29476L107 12 142 SH DFND 0 0 142 EVERSOURCE ENERGY COM 30040W108 11 127 SH DFND 0 0 127 EXACT SCIENCES CORP COM 30063P105 78 812 SH SOLE 0 0 812 EXELON CORP COM 30161N101 521 10775 SH DFND 0 0 10775 EXXON MOBIL CORP COM 30231G102 592 9427 SH DFND 0 0 9427 FACEBOOK INC CL A 30303M102 379 1805 SH SOLE 0 0 1805 FATE THERAPEUTICS INC COM 31189P102 29 1470 SH DFND 0 0 1470 FEDEX CORP COM 31428X106 5 30 SH DFND 0 0 30 FIDELITY NATL INFORMATION SV COM 31620M106 13 89 SH DFND 0 0 89 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 839 17694 SH DFND 0 0 17694 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 491 8724 SH DFND 0 0 8724 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH 33737J182 10 384 SH DFND 0 0 384 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 46 938 SH DFND 0 0 938 FIRST TR EXCHANGE TRADED FD NASD TECH DIV 33738R118 73 1681 SH DFND 0 0 1681 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 34 608 SH DFND 0 0 608 FIRST TR EXCH TRADED FD III LNG/SHT EQUITY 33739P103 1086 28346 SH DFND 0 0 28346 FIVE STAR SENIOR LIVING INC COM NEW 33832D205 6 1334 SH DFND 0 0 1334 FORTIVE CORP COM 34959J108 150 1936 SH DFND 0 0 1936 FOX CORP CL B COM 35137L204 2 41 SH DFND 0 0 41 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 0 9 SH DFND 0 0 9 GENERAL MTRS CO COM 37045V100 455 12991 SH DFND 0 0 12991 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 18 400 SH DFND 0 0 400 GLOBAL X FDS GLBX SUPRINC ETF 37950E333 6 530 SH DFND 0 0 530 GOLDMAN SACHS BDC INC SHS 38147U107 69 3300 SH DFND 0 0 3300 GOLUB CAP BDC INC COM 38173M102 4074 216233 SH DFND 0 0 216233 HANCOCK JOHN PFD INCOME FD I COM 41021P103 4112 205872 SH DFND 0 0 205872 INDEXIQ ETF TR HEDGE MLTI ETF 45409B107 1018 33365 SH DFND 0 0 33365 INDEXIQ ETF TR US RL EST SMCP 45409B628 970 39617 SH DFND 0 0 39617 INNOVATIVE INDL PPTYS INC COM 45781V101 253 3264 SH DFND 0 0 3264 INTERCONTINENTAL EXCHANGE IN COM 45866F104 12 124 SH DFND 0 0 124 INVESCO CALIF VALUE MUN INC COM 46132H106 20 1579 SH DFND 0 0 1579 INVESCO EXCHANGE TRADED FD T S&P500 BUY WRT 46137V399 990 46719 SH DFND 0 0 46719 INVESCO EXCHANGE TRADED FD T DYNMC PHRMCTLS 46137V662 19 286 SH DFND 0 0 286 INVESCO EXCHANGE TRADED FD T DYNMC LRG VALU 46137V738 76 1829 SH DFND 0 0 1829 INVESCO EXCHANGE TRADED FD T DYNMC BIOTECH 46137V787 1013 20167 SH DFND 0 0 20167 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 837 13777 SH DFND 0 0 13777 INVESCO EXCHNG TRADED FD TR FNDMNTL HY CRP 46138E719 8675 450327 SH DFND 0 0 450327 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 421 16900 PRN SOLE 0 0 16900 INVESCO EXCHNG TRADED FD TR S&P ULTRA DIVIDE 46138G656 95 2434 SH DFND 0 0 2434 IQVIA HLDGS INC COM 46266C105 100 627 SH SOLE 0 0 627 ISHARES SILVER TRUST ISHARES 46428Q109 1 86 SH DFND 0 0 86 ISHARES TR US TREAS BD ETF 46429B267 44 1671 SH DFND 0 0 1671 ISHARES TR FLTG RATE NT ETF 46429B655 205 4013 SH DFND 0 0 4013 ISHARES US ETF TR SHT MAT BD ETF 46431W507 8 157 SH DFND 0 0 157 ISHARES TR USA QUALITY FCTR 46432F339 157 1543 SH DFND 0 0 1543 ISHARES TR USA SIZE FACTOR 46432F370 919 11144 SH DFND 0 0 11144 ISHARES INC ESG MSCI EM ETF 46434G863 317 8941 SH DFND 0 0 8941 ISHARES TR 0-5YR HI YL CP 46434V407 22 479 SH DFND 0 0 479 ISHARES TR MSCI SAUDI ARBIA 46434V423 1074 34775 SH DFND 0 0 34775 ISHARES TR CORE MSCI EURO 46434V738 4 83 SH DFND 0 0 83 ISHARES TR ESG USD CORPT 46435G193 17 645 SH DFND 0 0 645 ISHARES TR ESG 1 5 YR USD 46435G243 1176 45956 SH DFND 0 0 45956 ISHARES TR MORTGE REL ETF 46435G342 2687 62959 SH DFND 0 0 62959 ISHARES TR ESG MSCI USA ETF 46435G425 1167 15707 SH DFND 0 0 15707 ISHARES TR ESG MSCI EAFE 46435G516 447 6493 SH DFND 0 0 6493 ISHARES TR ESG US AGR BD 46435U549 22 409 SH DFND 0 0 409 ISHARES TR ESG MSCI USA SML 46435U663 298 10215 SH DFND 0 0 10215 JPMORGAN CHASE & CO COM 46625H100 153 1113 SH DFND 0 0 1113 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 8402 166382 SH DFND 0 0 166382 KINDER MORGAN INC DEL COM 49456B101 542 25458 SH DFND 0 0 25458 KONTOOR BRANDS INC COM 50050N103 5 133 SH DFND 0 0 133 LUMBER LIQUIDATORS HLDGS INC COM 55003T107 0 20 SH DFND 0 0 20 M & T BK CORP COM 55261F104 6 37 SH DFND 0 0 37 MFS INTER INCOME TR SH BEN INT 55273C107 0 127 SH DFND 0 0 127 MAIN STREET CAPITAL CORP COM 56035L104 3748 94381 SH DFND 0 0 94381 MANAGED PORTFOLIO SER TORTOISE NRAM PI 56167N720 8 335 SH DFND 0 0 335 MARATHON PETE CORP COM 56585A102 47 841 SH DFND 0 0 841 MARKETAXESS HLDGS INC COM 57060D108 94 276 SH SOLE 0 0 276 MASTERCARD INC CL A 57636Q104 309 941 SH DFND 0 0 941 MATCH GROUP INC COM 57665R106 81 1069 SH SOLE 0 0 1069 MCKESSON CORP COM 58155Q103 4 32 SH DFND 0 0 32 MERCK & CO INC COM 58933Y105 624 7265 SH SOLE 0 0 7265 NVR INC COM 62944T105 2936 762 SH DFND 0 0 762 NETFLIX INC COM 64110L106 181 490 SH DFND 0 0 490 NEUBERGER BERMAN RE ES SEC F COM 64190A103 4167 753171 SH DFND 0 0 753171 NEWS CORP NEW CL B 65249B208 0 31 SH DFND 0 0 31 NEXTERA ENERGY INC COM 65339F101 662 2481 SH DFND 0 0 2481 NISOURCE INC COM 65473P105 11 379 SH DFND 0 0 379 NOVARTIS A G SPONSORED ADR 66987V109 80 829 SH DFND 0 0 829 NUVEEN QUALITY MUNCP INCOME COM 67066V101 25 1690 SH DFND 0 0 1690 NUSHARES ETF TR NUVEEN ESG MIDCP 67092P409 157 4263 SH DFND 0 0 4263 OFFICE PPTYS INCOME TR COM SHS BEN INT 67623C109 81 2368 SH DFND 0 0 2368 ONCTERNAL THERAPEUTICS INC COM 68236P107 8 1834 SH DFND 0 0 1834 ONE STOP SYS INC COM 68247W109 1185 553749 SH DFND 0 0 553749 ORACLE CORP COM 68389X105 55 998 SH DFND 0 0 998 PG&E CORP COM 69331C108 1 78 SH DFND 0 0 78 PAYPAL HLDGS INC COM 70450Y103 10 86 SH DFND 0 0 86 PIMCO CORPORATE INCOME STRAT COM 72200U100 1091 59697 SH DFND 0 0 59697 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 239 2389 SH DFND 0 0 2389 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 24 237 SH DFND 0 0 237 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 9492 93354 SH DFND 0 0 93354 PIMCO INCOME OPPORTUNITY FD COM 72202B100 1087 40623 SH DFND 0 0 40623 PRICE T ROWE GROUP INC COM 74144T108 233 1692 SH DFND 0 0 1692 PROSHARES TR LONG ONLINE SHRT 74347B375 950 19929 SH DFND 0 0 19929 PUBLIC STORAGE COM 74460D109 65 291 SH DFND 0 0 291 RMR GROUP INC CL A 74967R106 171 3715 SH DFND 0 0 3715 RANGE RES CORP COM 75281A109 0 18 SH DFND 0 0 18 ROKU INC COM CL A 77543R102 147 1118 SH DFND 0 0 1118 S&P GLOBAL INC COM 78409V104 310 1052 SH DFND 0 0 1052 SPDR S&P 500 ETF TR TR UNIT 78462F103 17111 52398 SH DFND 0 0 52398 SPDR GOLD TRUST GOLD SHS 78463V107 45 305 SH DFND 0 0 305 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 4 115 SH DFND 0 0 115 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 983 19217 SH DFND 0 0 19217 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 36 1026 SH DFND 0 0 1026 SPDR SERIES TRUST PORTFOLIO LN TSR 78464A664 4 99 SH DFND 0 0 99 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 2 114 SH DFND 0 0 114 SPDR SERIES TRUST S&P DIVID ETF 78464A763 7 63 SH DFND 0 0 63 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 385 9362 SH DFND 0 0 9362 SPDR SERIES TRUST S&P 600 SML CAP 78464A813 2 23 SH DFND 0 0 23 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 139 3811 SH DFND 0 0 3811 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 28 709 SH DFND 0 0 709 SPDR SERIES TRUST PORTFOLIO SH TSR 78468R101 212 7074 SH DFND 0 0 7074 SPDR SERIES TRUST BLOOMBERG SRT TR 78468R408 12 451 SH DFND 0 0 451 SPDR SERIES TRUST SSGA US LRG ETF 78468R804 6 53 SH DFND 0 0 53 SPDR SERIES TRUST SSGA US SMAL ETF 78468R887 152 1526 SH DFND 0 0 1526 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 5102 49704 SH DFND 0 0 49704 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 4940 78180 SH DFND 0 0 78180 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1254 9936 SH DFND 0 0 9936 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 4492 145163 SH DFND 0 0 145163 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 374 4455 SH DFND 0 0 4455 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 5718 59875 SH DFND 0 0 59875 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 7 133 SH DFND 0 0 133 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 210 5297 SH DFND 0 0 5297 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 224 3257 SH DFND 0 0 3257 SENECA BIOPHARMA INC COM 81689B103 0 13 SH DFND 0 0 13 SERVICE PPTYS TR COM SH BEN INT 81761L102 419 18515 SH DFND 0 0 18515 SERVICENOW INC COM 81762P102 124 365 SH SOLE 0 0 365 SIRIUS XM HLDGS INC COM 82968B103 20 2764 SH DFND 0 0 2764 SKYWORKS SOLUTIONS INC COM 83088M102 17 140 SH DFND 0 0 140 SNAP INC CL A 83304A106 8 466 SH DFND 0 0 466 SUNOPTA INC COM 8676EP108 1 352 SH DFND 0 0 352 TERADATA CORP DEL COM 88076W103 7 262 SH DFND 0 0 262 TESLA INC COM 88160R101 66 94 SH DFND 0 0 94 3M CO COM 88579Y101 27 169 SH DFND 0 0 169 TRAVELCENTERS OF AMERICA INC COM NEW 89421B109 925 52826 SH DFND 0 0 52826 TRUIST FINL CORP COM 89832Q109 11 208 SH DFND 0 0 208 TWITTER INC COM 90184L102 65 1953 SH SOLE 0 0 1953 TWO RDS SHARED TR ANFIELD CAP DI 90213U115 29879 2849209 SH DFND 0 0 2849209 TWO RDS SHARED TR AFFINITY WORLD 90214Q105 1535 64053 SH DFND 0 0 64053 TWO RDS SHARED TR ANFIELD US EQU 90214Q733 1146 113500 SH DFND 0 0 113500 TWO RDS SHARED TR ANFIELD UNVL ETF 90214Q766 5855 602023 SH DFND 0 0 602023 UNITEDHEALTH GROUP INC COM 91324P102 435 1472 SH DFND 0 0 1472 VALERO ENERGY CORP NEW COM 91913Y100 147 1759 SH DFND 0 0 1759 VANECK VECTORS ETF TRUST SEMICONDUCTOR ET 92189F676 14 96 SH DFND 0 0 96 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 13 389 SH DFND 0 0 389 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 0 7 SH DFND 0 0 7 VANGUARD WORLD FDS INF TECH ETF 92204A702 27 109 SH DFND 0 0 109 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 281 3446 SH DFND 0 0 3446 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 31 338 SH DFND 0 0 338 VERIZON COMMUNICATIONS INC COM 92343V104 568 9593 SH DFND 0 0 9593 VERISK ANALYTICS INC COM 92345Y106 13 79 SH DFND 0 0 79 VIACOMCBS INC CL B 92556H206 46 1216 SH DFND 0 0 1216 VISA INC COM CL A 92826C839 172 849 SH SOLE 0 0 849 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 0 14 SH DFND 0 0 14 W P CAREY INC COM 92936U109 392 4651 SH DFND 0 0 4651 WEC ENERGY GROUP INC COM 92939U106 12 120 SH DFND 0 0 120 WASTE MGMT INC DEL COM 94106L109 23 190 SH DFND 0 0 190 WISDOMTREE TR JAPN HEDGE EQT 97717W851 5541 102659 SH DFND 0 0 102659 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 5 74 SH DFND 0 0 74 WPX ENERGY INC COM 98212B103 0 22 SH DFND 0 0 22 XCEL ENERGY INC COM 98389B100 31 450 SH DFND 0 0 450 ZOETIS INC CL A 98978V103 171 1239 SH SOLE 0 0 1239