0001085146-20-001256.txt : 20200429 0001085146-20-001256.hdr.sgml : 20200429 20200429161103 ACCESSION NUMBER: 0001085146-20-001256 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200429 DATE AS OF CHANGE: 20200429 EFFECTIVENESS DATE: 20200429 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Dakota Wealth Management CENTRAL INDEX KEY: 0001631353 IRS NUMBER: 204893886 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16362 FILM NUMBER: 20830390 BUSINESS ADDRESS: STREET 1: 11376 N. JOG RD. STREET 2: SUITE 101 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 BUSINESS PHONE: 561-774-8029 MAIL ADDRESS: STREET 1: 11376 N. JOG RD. STREET 2: SUITE 101 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 FORMER COMPANY: FORMER CONFORMED NAME: Oakmont Partners LLC DATE OF NAME CHANGE: 20150121 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001631353 XXXXXXXX 03-31-2020 03-31-2020 false Dakota Wealth Management

11376 N. JOG RD. SUITE 101 PALM BEACH GARDENS FL 33418

13F HOLDINGS REPORT 028-16362 N Brenda Hood 561-774-8029 /s/ Brenda Hood Palm Beach Gardens FL 04-29-2020 6 346 458056 1 0000837592 028-02354 CRAWFORD INVESTMENT COUNSEL INC 2 0001034524 028-03687 POLEN CAPITAL MANAGEMENT LLC 3 0001631353 028-16362 Dakota Wealth Management 4 0001076598 028-04139 EATON VANCE MANAGEMENT 5 0001072843 028-07360 First Fiduciary Investment Counsel, Inc. 6 0001048703 028-11445 Karpus Management, Inc. INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 252 3193 SH SOLE 2 3193 0 0 ABBOTT LABS COM 002824100 330 4177 SH OTR 6 0 0 4177 ABBVIE INC COM 00287Y109 7030 92269 SH SOLE 2 92269 0 0 ABERDEEN JAPAN EQUITY FD INC COM 00306J109 142 22755 SH OTR 5 0 0 22755 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 106 16135 SH OTR 5 0 0 16135 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 242 1484 SH OTR 6 0 0 1484 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 48 291 SH SOLE 2 291 0 0 ADOBE INC COM 00724F101 1579 4962 SH SOLE 2 4962 0 0 ADOBE INC COM 00724F101 379 1192 SH OTR 6 0 0 1192 ALCON INC ORD SHS H01301128 200 3930 SH OTR 4 3930 0 0 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 286 22400 SH OTR 5 0 0 22400 ALLIANZGI EQUITY & CONV INCO COM 018829101 327 17580 SH OTR 5 0 0 17580 ALLIANZGI EQUITY & CONV INCO COM 018829101 24 1309 SH SOLE 2 1309 0 0 ALPHABET INC CAP STK CL A 02079K305 141 121 SH OTR 4 6 17 0 104 ALPHABET INC CAP STK CL A 02079K305 1580 1360 SH SOLE 2 1360 0 0 ALPHABET INC CAP STK CL C 02079K107 399 343 SH OTR 4 6 9 0 334 ALPHABET INC CAP STK CL C 02079K107 928 798 SH SOLE 2 798 0 0 ALTRIA GROUP INC COM 02209S103 449 11622 SH SOLE 2 11622 0 0 AMAZON COM INC COM 023135106 27 14 SH OTR 4 14 0 0 AMAZON COM INC COM 023135106 10866 5573 SH SOLE 2 5573 0 0 AMERICAN TOWER CORP NEW COM 03027X100 19 86 SH OTR 4 86 0 0 AMERICAN TOWER CORP NEW COM 03027X100 336 1541 SH SOLE 2 1541 0 0 AMGEN INC COM 031162100 403 1989 SH SOLE 2 1989 0 0 APPLE INC COM 037833100 14781 58128 SH SOLE 2 58128 0 0 AT&T INC COM 00206R102 1862 63884 SH SOLE 2 63884 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 165 1207 SH OTR 6 0 0 1207 AUTOMATIC DATA PROCESSING IN COM 053015103 603 4415 SH SOLE 2 4415 0 0 AUTOZONE INC COM 053332102 830 981 SH SOLE 2 981 0 0 AXON ENTERPRISE INC COM 05464C101 324 4580 SH SOLE 2 4580 0 0 BAXTER INTL INC COM 071813109 715 8804 SH SOLE 2 8804 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 953 5212 SH SOLE 2 5212 0 0 BIOGEN INC COM 09062X103 724 2288 SH SOLE 2 2288 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 942 74250 SH OTR 5 0 0 74250 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 44 3433 SH SOLE 2 3433 0 0 BLACKROCK CR ALLOCATION INCO COM 092508100 219 18750 SH OTR 5 0 0 18750 BLACKROCK CR ALLOCATION INCO COM 092508100 10 880 SH SOLE 2 880 0 0 BLACKROCK ENHANCED EQUITY DI COM 09251A104 3 400 SH OTR 5 0 0 400 BLACKROCK ENHANCED EQUITY DI COM 09251A104 140 21408 SH SOLE 2 21408 0 0 BLACKROCK ENHANCED GLOBAL DI COM 092501105 359 43340 SH OTR 5 0 0 43340 BLACKROCK ENHANCED INTL DIV COM BENE INTER 092524107 121 26875 SH OTR 5 0 0 26875 BLACKROCK FLA MUN 2020 TERM COM SHS 09250M109 204 14158 SH OTR 5 0 0 14158 BLACKROCK INCOME TR INC COM 09247F100 668 116038 SH OTR 5 0 0 116038 BLACKROCK MUNICIPL INC QLTY COM 092479104 1120 84561 SH OTR 5 0 0 84561 BLACKROCK MUNICIPL INC QLTY COM 092479104 25 1923 SH SOLE 2 1923 0 0 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 1558 123623 SH OTR 5 0 0 123623 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 15 1200 SH SOLE 2 1200 0 0 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 747 56049 SH OTR 5 0 0 56049 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 44 3276 SH SOLE 2 3276 0 0 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 792 60556 SH OTR 5 0 0 60556 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 37 2800 SH SOLE 2 2800 0 0 BLACKROCK MUNIHOLDINGS QUALI COM 09254C107 64 5300 SH SOLE 2 5300 0 0 BLACKROCK MUNIHOLDINGS QUALI COM 09254C107 224 18673 SH OTR 5 0 0 18673 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 1110 82050 SH OTR 5 0 0 82050 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 27 2000 SH SOLE 2 2000 0 0 BLACKROCK MUNIYIELD NY QLTY COM 09255E102 811 66300 SH OTR 5 0 0 66300 BLACKROCK MUNIYIELD NY QLTY COM 09255E102 34 2765 SH SOLE 2 2765 0 0 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 2672 209062 SH OTR 5 0 0 209062 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 202 15828 SH SOLE 2 15828 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254G108 665 53878 SH OTR 5 0 0 53878 BLACKROCK MUNIYIELD QUALITY COM 09254G108 36 2876 SH SOLE 2 2876 0 0 BLACKROCK MUNIYLD MICH QLTY COM 09254V105 464 35022 SH OTR 5 0 0 35022 BLACKROCK MUNIYLD MICH QLTY COM 09254V105 9 700 SH SOLE 2 700 0 0 BLACKROCK N Y MUN INCOME TR SH BEN INT 09248L106 152 11500 SH OTR 5 0 0 11500 BLACKROCK N Y MUN INCOME TR SH BEN INT 09248L106 24 1800 SH SOLE 2 1800 0 0 BLACKROCK NY MUN INCOME TR I COM 09249R102 291 22500 SH OTR 5 0 0 22500 BLACKROCK NY MUN INCOME TR I COM 09249R102 26 2000 SH SOLE 2 2000 0 0 BOEING CO COM 097023105 240 1610 SH SOLE 2 1610 0 0 BROADCOM INC COM 11135F101 709 2990 SH SOLE 2 2990 0 0 BROOKLINE BANCORP INC DEL COM 11373M107 202 17869 SH SOLE 2 17869 0 0 CAPITAL ONE FINL CORP COM 14040H105 190 3770 SH OTR 4 3770 0 0 CAPITAL ONE FINL CORP COM 14040H105 19 386 SH SOLE 2 386 0 0 CISCO SYS INC COM 17275R102 408 10390 SH OTR 4 10390 0 0 CISCO SYS INC COM 17275R102 786 19985 SH SOLE 2 19985 0 0 COCA COLA CO COM 191216100 384 8688 SH SOLE 2 8688 0 0 COHEN & STEERS QUALITY INCOM COM 19247L106 305 33780 SH OTR 5 0 0 33780 COHEN & STEERS QUALITY INCOM COM 19247L106 2 270 SH SOLE 2 270 0 0 COMCAST CORP NEW CL A 20030N101 341 9910 SH OTR 4 9910 0 0 COMCAST CORP NEW CL A 20030N101 1911 55596 SH SOLE 2 55596 0 0 COSTCO WHSL CORP NEW COM 22160K105 366 1284 SH SOLE 2 1284 0 0 CSP INC COM 126389105 170 24250 SH SOLE 2 24250 0 0 DEERE & CO COM 244199105 740 5357 SH SOLE 2 5357 0 0 DISNEY WALT CO COM DISNEY 254687106 256 2646 SH OTR 4 2646 0 0 DISNEY WALT CO COM DISNEY 254687106 7051 72992 SH SOLE 2 72992 0 0 DOCUSIGN INC COM 256163106 509 5504 SH SOLE 2 5504 0 0 DRIVE SHACK INC COM 262077100 30 20000 SH SOLE 2 20000 0 0 DTF TAX-FREE INCOME INC COM 23334J107 593 42536 SH OTR 5 0 0 42536 DTF TAX-FREE INCOME INC COM 23334J107 48 3445 SH SOLE 2 3445 0 0 DUFF & PHELPS UTIL CORP BD T COM 26432K108 915 109331 SH OTR 5 0 0 109331 DUFF & PHELPS UTIL CORP BD T COM 26432K108 10 1239 SH SOLE 2 1239 0 0 DWS MUN INCOME TR COM 233368109 40 3689 SH SOLE 2 3689 0 0 DWS MUN INCOME TR COM 233368109 289 26791 SH OTR 5 0 0 26791 EATON VANCE CALIF MUN BD FD COM 27828A100 1967 186427 SH OTR 5 0 0 186427 EATON VANCE CALIF MUN BD FD COM 27828A100 73 6950 SH SOLE 2 6950 0 0 EATON VANCE ENH EQTY INC FD COM 278277108 247 17795 SH OTR 5 0 0 17795 EATON VANCE ENH EQTY INC FD COM 278277108 6 400 SH SOLE 2 400 0 0 EATON VANCE MUN BD FD COM 27827X101 3244 259958 SH OTR 5 0 0 259958 EATON VANCE MUN BD FD COM 27827X101 1439 115294 SH SOLE 2 115294 0 0 EATON VANCE NEW YORK MUN BD COM 27827Y109 337 29100 SH OTR 5 0 0 29100 EATON VANCE TAX-MANAGED GLOB COM 27829F108 8 1270 SH SOLE 2 1270 0 0 EATON VANCE TAX-MANAGED GLOB COM 27829F108 903 141544 SH OTR 5 0 0 141544 EATON VANCE TX MGD DIV EQ IN COM 27828N102 216 23205 SH OTR 5 0 0 23205 EATON VANCE TX MGD DIV EQ IN COM 27828N102 3 350 SH SOLE 2 350 0 0 EATON VNCE CALFRN MUN INC TR SH BEN INT 27826F101 156 11732 SH OTR 5 0 0 11732 EDWARDS LIFESCIENCES CORP COM 28176E108 554 2937 SH SOLE 2 2937 0 0 ESSEX PPTY TR INC COM 297178105 12113 55000 SH SOLE 2 55000 0 0 EXXON MOBIL CORP COM 30231G102 511 13452 SH SOLE 2 13452 0 0 F N B CORP COM 302520101 111 15047 SH SOLE 2 15047 0 0 FACEBOOK INC CL A 30303M102 442 2651 SH OTR 4 6 80 0 2571 FACEBOOK INC CL A 30303M102 1844 11058 SH SOLE 2 11058 0 0 FIRST REP BK SAN FRANCISCO C COM 33616C100 504 6122 SH SOLE 2 6122 0 0 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 346 39371 SH OTR 5 0 0 39371 GABELLI DIVID & INCOME TR COM 36242H104 150 10150 SH OTR 5 0 0 10150 GALLAGHER ARTHUR J & CO COM 363576109 786 9638 SH SOLE 2 9638 0 0 GENUINE PARTS CO COM 372460105 244 3630 SH SOLE 2 3630 0 0 GOLDMAN SACHS ETF TR ACCES TREASURY 381430529 207 2050 SH SOLE 2 2050 0 0 HANCOCK JOHN INVT TR TAX ADV GLB SH 41013P749 103 20553 SH OTR 5 0 0 20553 HENRY JACK & ASSOC INC COM 426281101 631 4066 SH SOLE 2 4066 0 0 HOME DEPOT INC COM 437076102 20 107 SH OTR 4 107 0 0 HOME DEPOT INC COM 437076102 7494 40139 SH SOLE 2 40139 0 0 HONEYWELL INTL INC COM 438516106 316 2360 SH OTR 4 2360 0 0 HONEYWELL INTL INC COM 438516106 16 120 SH SOLE 2 120 0 0 ILLINOIS TOOL WKS INC COM 452308109 1126 7925 SH SOLE 2 7925 0 0 INTEL CORP COM 458140100 402 7430 SH OTR 4 7430 0 0 INTEL CORP COM 458140100 91 1677 SH SOLE 2 1677 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 1858 23005 SH SOLE 2 23005 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2736 24662 SH SOLE 2 24662 0 0 INTERPRIVATE ACQUISITION COR COM 46064A103 138 14550 SH OTR 5 0 0 14550 INTUIT COM 461202103 331 1440 SH SOLE 2 1440 0 0 INVESCO ADVANTAGE MUN INCOME SH BEN INT 46132E103 253 24647 SH OTR 5 0 0 24647 INVESCO CALIF VALUE MUN INCO COM 46132H106 216 19100 SH OTR 5 0 0 19100 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 2018 12657 SH SOLE 2 12657 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 375 4465 SH SOLE 2 4465 0 0 INVESCO EXCHANGE-TRADED FD T NATL AMT MUNI 46138E537 214 8277 SH SOLE 2 8277 0 0 INVESCO EXCHANGE-TRADED FD T SR LN ETF 46138G508 8252 403318 SH SOLE 2 403318 0 0 INVESCO EXCHANGE-TRADED FD T VAR RATE PFD 46138G870 2462 114728 SH SOLE 2 114728 0 0 INVESCO EXCHANGE-TRADED FD T VRDO TAX FREE 46138G862 228 9113 SH OTR 5 0 0 9113 INVESCO MUN OPPORTUNITY TR COM 46132C107 19 1620 SH SOLE 2 1620 0 0 INVESCO MUN OPPORTUNITY TR COM 46132C107 444 38800 SH OTR 5 0 0 38800 INVESCO QQQ TR UNIT SER 1 46090E103 1448 7606 SH SOLE 2 7606 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 0 300 SH Call SOLE 2 0 0 300 INVESCO QUALITY MUNI INC TRS COM 46133G107 259 22100 SH OTR 5 0 0 22100 INVESCO TR INVT GRADE MUNS COM 46131M106 384 31800 SH OTR 5 0 0 31800 INVESCO VALUE MUN INCOME TR COM 46132P108 484 34204 SH OTR 5 0 0 34204 ISHARES INC MIN VOL EMRG MKT 464286533 615 13112 SH SOLE 2 13112 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 1198 29303 SH SOLE 2 29303 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 1395 16101 SH SOLE 2 16101 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 1067 8003 SH SOLE 2 8003 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 293 2408 SH SOLE 2 2408 0 0 ISHARES TR COHEN STEER REIT 464287564 5179 56552 SH SOLE 2 56552 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 265 3709 SH SOLE 2 3709 0 0 ISHARES TR CORE MSCI EAFE 46432F842 330 6608 SH SOLE 2 6608 0 0 ISHARES TR CORE S&P TTL STK 464287150 923 16134 SH SOLE 2 16134 0 0 ISHARES TR CORE S&P500 ETF 464287200 1439 5569 SH OTR 5 0 0 5569 ISHARES TR CORE S&P500 ETF 464287200 306 1183 SH SOLE 2 1183 0 0 ISHARES TR CORE US AGGBD ET 464287226 4308 37343 SH SOLE 2 37343 0 0 ISHARES TR EAFE SML CP ETF 464288273 476 10624 SH SOLE 2 10624 0 0 ISHARES TR GLOBAL TECH ETF 464287291 370 2029 SH SOLE 2 2029 0 0 ISHARES TR IBOXX HI YD ETF 464288513 1415 18355 SH SOLE 2 18355 0 0 ISHARES TR IBOXX INV CP ETF 464287242 3506 28389 SH SOLE 2 28389 0 0 ISHARES TR INTRM TR CRP ETF 464288638 3621 65924 SH SOLE 2 65924 0 0 ISHARES TR MIN VOL EAFE ETF 46429B689 3971 63997 SH SOLE 2 63997 0 0 ISHARES TR MSCI ACWI EX US 464288240 440 11675 SH OTR 5 0 0 11675 ISHARES TR MSCI ACWI EX US 464288240 295 7827 SH SOLE 2 7827 0 0 ISHARES TR MSCI EAFE ETF 464287465 10439 195258 SH SOLE 2 195258 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 96 2801 SH OTR 5 0 0 2801 ISHARES TR MSCI EMG MKT ETF 464287234 5897 172772 SH SOLE 2 172772 0 0 ISHARES TR MSCI MIN VOL ETF 46429B697 4556 84362 SH SOLE 2 84362 0 0 ISHARES TR NATIONAL MUN ETF 464288414 871 7705 SH SOLE 2 7705 0 0 ISHARES TR PFD AND INCM SEC 464288687 4179 131249 SH SOLE 2 131249 0 0 ISHARES TR RUS 1000 ETF 464287622 4860 34339 SH SOLE 2 34339 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 16503 109546 SH SOLE 2 109546 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 1060 10688 SH SOLE 2 10688 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 2562 16198 SH SOLE 2 16198 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 447 5449 SH SOLE 2 5449 0 0 ISHARES TR RUS MD CP GR ETF 464287481 366 3008 SH SOLE 2 3008 0 0 ISHARES TR RUS MID CAP ETF 464287499 1553 35971 SH SOLE 2 35971 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 7525 65740 SH SOLE 2 65740 0 0 ISHARES TR S&P 100 ETF 464287101 2422 20421 SH SOLE 2 20421 0 0 ISHARES TR SH TR CRPORT ETF 464288646 3100 59205 SH SOLE 2 59205 0 0 ISHARES TR SHORT TREAS BD 464288679 483 4350 SH SOLE 2 4350 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 531 4993 SH SOLE 2 4993 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 2493 23450 SH OTR 5 0 0 23450 ISHARES TR TIPS BD ETF 464287176 3761 31892 SH SOLE 2 31892 0 0 ISHARES TR U.S. CNSM SV ETF 464287580 463 2614 SH SOLE 2 2614 0 0 ISHARES TR US HLTHCR PR ETF 464288828 264 1586 SH SOLE 2 1586 0 0 ISHARES TR USA MOMENTUM FCT 46432F396 2170 20379 SH SOLE 2 20379 0 0 ISHARES TR USA QUALITY FCTR 46432F339 4368 53895 SH SOLE 2 53895 0 0 ISHARES TR USA QUALITY FCTR 46432F339 301 3715 SH OTR 5 0 0 3715 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 2122 43771 SH SOLE 2 43771 0 0 JAPAN SMALLER CAPITALIZATION COM 47109U104 205 29027 SH OTR 5 0 0 29027 JAPAN SMALLER CAPITALIZATION COM 47109U104 5 750 SH SOLE 2 750 0 0 JOHNSON & JOHNSON COM 478160104 863 6580 SH SOLE 2 6580 0 0 JOHNSON & JOHNSON COM 478160104 350 2670 SH OTR 4 2670 0 0 JOHNSON CTLS INTL PLC SHS G51502105 138 5106 SH SOLE 2 5106 0 0 JOHNSON CTLS INTL PLC SHS G51502105 189 7002 SH OTR 4 7002 0 0 JPMORGAN CHASE & CO COM 46625H100 3783 42016 SH SOLE 2 42016 0 0 JPMORGAN CHASE & CO COM 46625H100 481 5344 SH OTR 4 5344 0 0 KAYNE ANDERSON MDSTM ENERGY COM 48661E108 34 10215 SH OTR 5 0 0 10215 KIMBERLY CLARK CORP COM 494368103 271 2122 SH SOLE 2 2122 0 0 KKR & CO INC CL A 48251W104 330 14067 SH SOLE 2 14067 0 0 LAUDER ESTEE COS INC CL A 518439104 794 4983 SH SOLE 2 4983 0 0 LOCKHEED MARTIN CORP COM 539830109 93 275 SH OTR 4 275 0 0 LOCKHEED MARTIN CORP COM 539830109 122 360 SH SOLE 2 360 0 0 LOWES COS INC COM 548661107 60 692 SH SOLE 2 692 0 0 LOWES COS INC COM 548661107 441 5130 SH OTR 4 5130 0 0 LULULEMON ATHLETICA INC COM 550021109 2001 10558 SH SOLE 2 10558 0 0 MARTIN MARIETTA MATLS INC COM 573284106 1122 5929 SH SOLE 2 5929 0 0 MASTERCARD INC CL A 57636Q104 278 1150 SH OTR 6 0 0 1150 MASTERCARD INC CL A 57636Q104 3057 12654 SH SOLE 2 12654 0 0 MCDONALDS CORP COM 580135101 1206 7291 SH SOLE 2 7291 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 1424 82366 SH SOLE 2 82366 0 0 MERCK & CO. INC COM 58933Y105 3904 50735 SH SOLE 2 50735 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 268 74400 SH OTR 5 0 0 74400 MFS INVT GRADE MUN TR SH BEN INT 59318B108 382 41659 SH OTR 5 0 0 41659 MICROSOFT CORP COM 594918104 13835 87724 SH SOLE 2 87724 0 0 MICROSOFT CORP COM 594918104 489 3100 SH Put SOLE 2 0 0 3100 MICROSOFT CORP COM 594918104 1172 7431 SH OTR 4 6 3617 0 3814 MSCI INC COM 55354G100 1491 5159 SH SOLE 2 5159 0 0 MSCI INC COM 55354G100 151 524 SH OTR 6 0 0 524 NEW GERMANY FD INC COM 644465106 233 20077 SH OTR 5 0 0 20077 NEW GERMANY FD INC COM 644465106 10 850 SH SOLE 2 850 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 125 25000 SH SOLE 2 25000 0 0 NEXTERA ENERGY INC COM 65339F101 1780 7397 SH SOLE 2 7397 0 0 NIKE INC CL B 654106103 164 1984 SH OTR 6 0 0 1984 NIKE INC CL B 654106103 581 7019 SH SOLE 2 7019 0 0 NOVARTIS A G SPONSORED ADR 66987V109 352 4270 SH OTR 4 4270 0 0 NOVARTIS A G SPONSORED ADR 66987V109 31 381 SH SOLE 2 381 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 173 11800 SH OTR 5 0 0 11800 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1143 84422 SH SOLE 2 84422 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 3857 284852 SH OTR 5 0 0 284852 NUVEEN MUN 2021 TARGET TERM COM 670687102 289 30581 SH OTR 5 0 0 30581 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 3581 286511 SH OTR 5 0 0 286511 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 197 15798 SH SOLE 2 15798 0 0 NUVEEN NEW YORK QLT MUN INC COM 67066X107 607 46250 SH OTR 5 0 0 46250 NUVEEN QUALITY MUNCP INCOME COM 67066V101 4085 297317 SH OTR 5 0 0 297317 NUVEEN QUALITY MUNCP INCOME COM 67066V101 1043 75929 SH SOLE 2 75929 0 0 OLYMPIC STEEL INC COM 68162K106 104 10000 SH SOLE 2 10000 0 0 PAYCHEX INC COM 704326107 361 5744 SH SOLE 2 5744 0 0 PAYPAL HLDGS INC COM 70450Y103 580 6062 SH SOLE 2 6062 0 0 PAYPAL HLDGS INC COM 70450Y103 180 1882 SH OTR 6 0 0 1882 PEARSON PLC SPONSORED ADR 705015105 389 56392 SH SOLE 2 56392 0 0 PENNEY J C CORP INC COM 708160106 8 22500 SH SOLE 2 22500 0 0 PEPSICO INC COM 713448108 282 2350 SH OTR 4 2350 0 0 PEPSICO INC COM 713448108 1709 14230 SH SOLE 2 14230 0 0 PFIZER INC COM 717081103 383 11720 SH OTR 4 11720 0 0 PFIZER INC COM 717081103 1026 31432 SH SOLE 2 31432 0 0 PHILIP MORRIS INTL INC COM 718172109 123 1690 SH OTR 4 1690 0 0 PHILIP MORRIS INTL INC COM 718172109 505 6918 SH SOLE 2 6918 0 0 PHILLIPS 66 COM 718546104 179 3330 SH OTR 4 3330 0 0 PHILLIPS 66 COM 718546104 62 1162 SH SOLE 2 1162 0 0 PIONEER DIVERSIFIED HIGH INC COM 723653101 136 13000 SH OTR 5 0 0 13000 PROCTER & GAMBLE CO COM 742718109 319 2900 SH OTR 4 2900 0 0 PROCTER & GAMBLE CO COM 742718109 1296 11786 SH SOLE 2 11786 0 0 PROGRESSIVE CORP OHIO COM 743315103 2935 39748 SH SOLE 2 39748 0 0 PROVIDENT BANCORP INC COM NEW 74383L105 231 26742 SH SOLE 2 26742 0 0 QUALCOMM INC COM 747525103 314 4640 SH SOLE 2 4640 0 0 REGENERON PHARMACEUTICALS COM 75886F107 204 417 SH OTR 6 0 0 417 REGENERON PHARMACEUTICALS COM 75886F107 64 132 SH SOLE 2 132 0 0 SALESFORCE COM INC COM 79466L302 214 1487 SH OTR 6 0 0 1487 SALESFORCE COM INC COM 79466L302 82 570 SH SOLE 2 570 0 0 SCHLUMBERGER LTD COM 806857108 129 9540 SH OTR 4 9540 0 0 SCHLUMBERGER LTD COM 806857108 22 1636 SH SOLE 2 1636 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 393 7209 SH SOLE 2 7209 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1539 17370 SH SOLE 2 17370 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3342 41585 SH SOLE 2 41585 0 0 SERVICENOW INC COM 81762P102 152 529 SH SOLE 2 529 0 0 SERVICENOW INC COM 81762P102 219 764 SH OTR 6 0 0 764 SHERWIN WILLIAMS CO COM 824348106 2089 4546 SH SOLE 2 4546 0 0 SHOPIFY INC CL A 82509L107 204 489 SH SOLE 2 489 0 0 SOUTHERN CO COM 842587107 81 1490 SH OTR 4 1490 0 0 SOUTHERN CO COM 842587107 236 4351 SH SOLE 2 4351 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 994 6716 SH SOLE 2 6716 0 0 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 3682 102286 SH SOLE 2 102286 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 273 11411 SH SOLE 2 11411 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 34 130 SH OTR 5 0 0 130 SPDR S&P 500 ETF TR TR UNIT 78462F103 5540 21500 SH Put SOLE 2 0 0 21500 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 400 SH Call SOLE 2 0 0 400 SPDR S&P 500 ETF TR TR UNIT 78462F103 5355 20774 SH SOLE 2 20774 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 14031 53374 SH SOLE 2 53374 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 5745 243848 SH SOLE 2 243848 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 642 13125 SH SOLE 2 13125 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 149 3050 SH OTR 5 0 0 3050 SPDR SER TR NUVEEN BRC MUNIC 78468R721 546 10927 SH SOLE 2 10927 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 296 8707 SH SOLE 2 8707 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 1407 46497 SH SOLE 2 46497 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 294 13465 SH SOLE 2 13465 0 0 SPDR SER TR PORTFOLIO SH TSR 78468R101 384 12500 SH SOLE 2 12500 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 413 13642 SH SOLE 2 13642 0 0 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 2004 50084 SH SOLE 2 50084 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 626 13057 SH SOLE 2 13057 0 0 SSGA ACTIVE TR SPDR DBLELN SHRT 78470P200 594 12309 SH SOLE 2 12309 0 0 STARBUCKS CORP COM 855244109 117 1783 SH OTR 6 0 0 1783 STARBUCKS CORP COM 855244109 1346 20476 SH SOLE 2 20476 0 0 STRYKER CORP COM 863667101 672 4036 SH SOLE 2 4036 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 822 6932 SH SOLE 2 6932 0 0 TARGET CORP COM 87612E106 1195 12858 SH SOLE 2 12858 0 0 TEXAS INSTRS INC COM 882508104 827 8276 SH SOLE 2 8276 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 7464 26319 SH SOLE 2 26319 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 278 3367 SH SOLE 2 3367 0 0 TWITTER INC COM 90184L102 363 14763 SH SOLE 2 14763 0 0 UNION ACQUISITION CORP II SHS G9402Q100 272 27850 SH OTR 5 0 0 27850 UNITED PARCEL SERVICE INC CL B 911312106 302 3230 SH OTR 4 3230 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1119 11974 SH SOLE 2 11974 0 0 UNITEDHEALTH GROUP INC COM 91324P102 18 71 SH OTR 4 71 0 0 UNITEDHEALTH GROUP INC COM 91324P102 5529 22172 SH SOLE 2 22172 0 0 US BANCORP DEL COM NEW 902973304 151 4380 SH OTR 4 4380 0 0 US BANCORP DEL COM NEW 902973304 60 1741 SH SOLE 2 1741 0 0 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 2557 48919 SH SOLE 2 48919 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 484 21523 SH SOLE 2 21523 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 78 950 SH OTR 5 0 0 950 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 278 3378 SH SOLE 2 3378 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 908 5795 SH OTR 5 0 0 5795 VANGUARD INDEX FDS GROWTH ETF 922908736 2982 19030 SH SOLE 2 19030 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 560 8019 SH SOLE 2 8019 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 386 1629 SH SOLE 2 1629 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2035 8595 SH OTR 5 0 0 8595 VANGUARD INDEX FDS SMALL CP ETF 922908751 697 6038 SH OTR 5 0 0 6038 VANGUARD INDEX FDS SMALL CP ETF 922908751 1324 11472 SH SOLE 2 11472 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1750 13578 SH OTR 5 0 0 13578 VANGUARD INDEX FDS TOTAL STK MKT 922908769 542 4201 SH SOLE 2 4201 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 919 10317 SH SOLE 2 10317 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2019 49229 SH OTR 5 0 0 49229 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2188 53329 SH SOLE 2 53329 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 891 26544 SH OTR 5 0 0 26544 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1112 33151 SH SOLE 2 33151 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 602 13905 SH OTR 5 0 0 13905 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 596 10798 SH OTR 5 0 0 10798 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 915 10505 SH SOLE 2 10505 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 877 14069 SH SOLE 2 14069 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 8792 111154 SH SOLE 2 111154 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 22 650 SH OTR 5 0 0 650 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1026 30761 SH SOLE 2 30761 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 3785 53493 SH SOLE 2 53493 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 282 1700 SH SOLE 2 1700 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 424 7890 SH OTR 4 7890 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3689 68655 SH SOLE 2 68655 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 476 2000 SH SOLE 2 2000 0 0 VISA INC COM CL A 92826C839 298 1851 SH OTR 6 0 0 1851 VISA INC COM CL A 92826C839 8777 54473 SH SOLE 2 54473 0 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 411 90220 SH OTR 5 0 0 90220 WALMART INC COM 931142103 7012 61716 SH SOLE 2 61716 0 0 WATSCO INC COM 942622200 1350 8541 SH SOLE 2 8541 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 1006 95750 SH OTR 5 0 0 95750 WISDOMTREE TR US SMALLCAP DIVD 97717W604 587 32549 SH SOLE 2 32549 0 0 ZOETIS INC CL A 98978V103 3373 28663 SH SOLE 2 28663 0 0 ZOETIS INC CL A 98978V103 264 2243 SH OTR 6 0 0 2243