Chief Compliance Officer

0001437749-20-008916.txt : 20200430 0001437749-20-008916.hdr.sgml : 20200430 20200430073756 ACCESSION NUMBER: 0001437749-20-008916 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200430 DATE AS OF CHANGE: 20200430 EFFECTIVENESS DATE: 20200430 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PERSONAL CFO SOLUTIONS, LLC CENTRAL INDEX KEY: 0001677501 IRS NUMBER: 452419231 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19618 FILM NUMBER: 20833169 BUSINESS ADDRESS: STREET 1: 384 MAIN STREET CITY: CHESTER STATE: NJ ZIP: 07930 BUSINESS PHONE: 9089557055 MAIL ADDRESS: STREET 1: 384 MAIN STREET CITY: CHESTER STATE: NJ ZIP: 07930 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001677501 XXXXXXXX 03-31-2020 03-31-2020 PERSONAL CFO SOLUTIONS, LLC

384 MAIN STREET CHESTER NJ 07930

13F HOLDINGS REPORT 028-19618 N Justin Dausch Chief Compliance Officer 484-840-3707 /s/ Justin Dausch Chadds Ford PA 04-29-2020 47 275 278438 false 1 028-10562 AllianceBernstein LP 2 028-05637 Advisory Research Inc 3 028-06538 AEW Capital Management LP 4 028-11962 AMI Asset Management Corp 5 028-02634 Aristotle Capital Management LLC 6 028-21720 AthenaInvest Advisors LLC 7 028-05936 Atlanta Capital 8 028-11748 Beaumont Financial Partners LLC 9 028-05034 Berkshire Asset Management LLC 10 028-16017 BMO Asset Management Corp 11 028-14438 Brookmont Capital Management LLC 12 028-01398 Cambiar Investors LLC 13 028-11680 Clark Capital Management Group LLC 14 028-02405 Cohen & Steers Capital Management Inc 15 028-10477 Columbia Management Investment Advisers LLC 16 028-03434 Congress Asset Management Company 17 028-14668 Copeland Capital Management LLC 18 028-10648 Diamond Hill Capital Management Inc 19 028-10309 DSM Capital Partners LLC 20 028-12076 Dorsey, Wright & Associates LLC 21 028-10981 Goldman Sachs Asset Management LP 22 028-14862 Granite Investment Partners LLC 23 028-04139 Eaton Vance Management 24 028-14862 Granite Investment Partners LLC 25 028-04145 GW&K Investment Management LLC 26 028-04434 Harding Loevner LP 27 028-18950 Henry James International Management Inc. 28 028-00255 Invesco Advisers Inc 29 028-00694 JP Morgan 30 028-10469 Lazard Asset Management LLC 31 028-12558 Legg Mason Private Portfolio Group, LLC 32 028-05267 Macquarie Invesment Management Business Trust 33 028-03692 Miller Howard Investments Inc 34 028-17085 Neuberger Berman Investment Advisers LLC 35 028-17093 Newfound Research LLC 36 028-04558 Parametric Portfolio Associates LLC 37 028-01523 Peregrine Capital Management LLC 38 028-03687 Polen Capital Management LLC 39 028-03489 SouthernSun Asset Management LLC 40 028-11076 Sustainable Growth Advisers, LP 41 028-10665 London Co of Virginia 42 028-04041 Thompson, Siegel & Walmsley LLC 43 028-06605 Thornburg 44 028-18145 W.E. Donoghue & Co. LLC 45 028-18951 Wakefield Asset Management LLLP 46 028-07104 WCM Investment Management LLC 47 028-18341 Redwood Investments LLC INFORMATION TABLE 2 infotable_vcllcq120.xml 3M CO COM 88579Y101 264 1931 SH DFND 7, 30, 36, 21 0 0 1931 ABBOTT LABS COM 002824100 1586 20096 SH DFND 1, 9, 11, 18, 19, 36, 38, 40 0 0 20096 ABBVIE INC COM 00287Y109 442 5801 SH DFND 10, 36 0 0 5801 ACADIA PHARMACEUTICALS INC COM 004225108 748 17700 SH SOLE 0 0 17700 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1834 11232 SH DFND 7, 11, 29, 30, 36, 38, 21, 46 0 0 11232 ADAPTIVE BIOTECHNOLOGIES COR COM 00650F109 3137 112916 SH SOLE 0 0 112916 ADOBE INC COM 00724F101 1715 5389 SH DFND 5, 15, 19, 36, 37, 38 0 0 5389 ADVAXIS INC COM NEW 007624307 15 28888 SH SOLE 0 0 28888 ADVISORSHARES TR ADVISORSHS ETF 00768Y206 835 20711 SH SOLE 0 0 20711 AES CORP COM 00130H105 184 13556 SH DFND 10, 36, 45 0 0 13556 AILERON THERAPEUTICS INC COM 00887A105 8 23000 SH SOLE 0 0 23000 ALCON INC ORD SHS H01301128 463 9108 SH DFND 5, 30, 46 0 0 9108 ALGONQUIN PWR UTILS CORP COM 015857105 211 15735 SH DFND 17 0 0 15735 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 254 1306 SH DFND 15, 19, 27, 36, 37, 43 0 0 1306 ALIGN TECHNOLOGY INC COM 016255101 457 2629 SH DFND 15, 36, 38, 21 0 0 2629 ALLEGION PLC ORDSHS G0176J109 239 2597 SH DFND 1, 5, 20, 36, 45 0 0 2597 ALLSTATE CORP COM 020002101 316 3446 SH DFND 10, 36, 42, 45 0 0 3446 ALPHABET INC CAP STK CL C 02079K107 3354 2884 SH DFND 1, 36, 37, 38, 40, 41, 10, 18, 19, 30, 34 0 0 2884 ALPHABET INC CAP STK CL A 02079K305 3093 2662 SH DFND 1, 36, 37, 38, 40, 41, 10, 18, 19, 30, 34 0 0 2662 ALTRIA GROUP INC COM 02209S103 236 6102 SH DFND 29, 36, 41, 44 0 0 6102 AMAZON COM INC COM 023135106 2542 1304 SH DFND 10, 15, 34, 36, 37, 40 0 0 1304 AMBEV SA SPONSORED ADR 02319V103 36 15497 SH DFND 26, 27 0 0 15497 AMERICAN EXPRESS CO COM 025816109 226 2638 SH DFND 10, 36 0 0 2638 AMERICAN TOWER CORP NEW COM 03027X100 231 1062 SH DFND 7, 10, 14, 20, 28, 36 0 0 1062 AMERICOLD RLTY TR COM 03064D108 214 6290 SH DFND 3, 17, 28 0 0 6290 AMERISOURCEBERGEN CORP COM 03073E105 517 5845 SH DFND 31, 34, 36, 21, 42 0 0 5845 AMGEN INC COM 031162100 328 1616 SH DFND 5, 9, 10, 36, 21, 44 0 0 1616 AMPLIFY ETF TR ONLIN RETL ETF 032108102 542 13049 SH SOLE 0 0 13049 ANGLOGOLD ASHANTI LTD SPONSORED ADR 035128206 195 11708 SH DFND 20, 27 0 0 11708 APPLE INC COM 037833100 4781 18802 SH DFND 10, 11, 29, 30, 34, 36, 21, 41 0 0 18802 APPLIED MATLS INC COM 038222105 280 6112 SH DFND 10, 15, 36 0 0 6112 ARDELYX INC COM 039697107 341 60000 SH SOLE 0 0 60000 ARK ETF TR INNOVATION ETF 00214Q104 386 8764 SH SOLE 0 0 8764 ASML HOLDING N V N Y REGISTRY SHS N07059210 1091 4169 SH DFND 12, 20, 34, 46 0 0 4169 AT&T INC COM 00206R102 1482 50854 SH DFND 9, 10, 36 0 0 50854 AUTODESK INC COM 052769106 664 4255 SH DFND 31, 16, 34, 36, 40 0 0 4255 AUTOMATIC DATA PROCESSING IN COM 053015103 731 5348 SH DFND 19, 29, 36, 38, 21, 40 0 0 5348 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 36 11916 SH DFND 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INTL CORP NEW COM 22822V101 289 2003 SH DFND 7, 14, 28, 36, 41, 45 0 0 2003 CUMMINS INC COM 231021106 340 2511 SH DFND 36, 21, 44 0 0 2511 DANAHER CORPORATION COM 235851102 201 1453 SH DFND 5, 7, 20, 30, 34, 36, 40 0 0 1453 DAVITA INC COM 23918K108 770 10130 SH DFND 36, 21 0 0 10130 DBV TECHNOLOGIES S A SPONSORED ADR 23306J101 108 27588 SH SOLE 0 0 27588 DBX ETF TR XTRACK MSCI EAFE 233051200 1976 73720 SH DFND 13 0 0 73720 DBX ETF TR XTRACK USD HIGH 233051432 856 19420 SH DFND 13 0 0 19420 DELTA AIR LINES INC DEL COM NEW 247361702 246 8630 SH DFND 10, 36, 21, 41 0 0 8630 DOLLAR GEN CORP NEW COM 256677105 739 4891 SH DFND 7, 10, 36, 38 0 0 4891 DUKE ENERGY CORP NEW COM NEW 26441C204 637 7873 SH DFND 10, 36, 21 0 0 7873 EASTMAN CHEM CO COM 277432100 264 5662 SH DFND 11, 18, 36, 21, 44 0 0 5662 EBAY INC COM 278642103 466 15494 SH DFND 10, 36, 21 0 0 15494 EDAP TMS S A SPONSORED ADR 268311107 103 45500 SH SOLE 0 0 45500 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 128 27722 SH DFND 33 0 0 27722 ENTERPRISE PRODS PARTNERS L COM 293792107 169 11799 SH DFND 33 0 0 11799 ENVIVA PARTNERS LP COM UNIT 29414J107 214 8000 SH SOLE 0 0 8000 EQUINIX INC COM 29444U700 273 438 SH DFND 3, 14, 16, 28, 36, 40 0 0 438 EXPEDIA GROUP INC COM NEW 30212P303 232 4124 SH DFND 10, 31, 36, 21, 42 0 0 4124 EXPONENT INC COM 30214U102 241 3346 SH DFND 17, 25 0 0 3346 EXTRA SPACE STORAGE INC COM 30225T102 207 2162 SH DFND 10, 14, 28, 36 0 0 2162 EXXON MOBIL CORP COM 30231G102 854 22494 SH DFND 9, 10, 29, 36, 21, 34 0 0 22494 F M C CORP COM NEW 302491303 202 2474 SH DFND 36 0 0 2474 FACEBOOK INC CL A 30303M102 2300 13791 SH DFND 1, 10, 15, 18, 19, 34, 36, 37, 38, 40 0 0 13791 FERRARI N V COM N3167Y103 479 3142 SH DFND 46 0 0 3142 FIDELITY TOTAL BD ETF 316188309 266 5132 SH SOLE 0 0 5132 FIDELITY COVINGTON TR MSCI FINLS IDX 316092501 2394 81471 SH DFND 8 0 0 81471 FIDELITY COVINGTON TR MSCI HLTH CARE I 316092600 3463 80571 SH DFND 8 0 0 80571 FIDELITY COVINGTON TR MSCI INFO TECH I 316092808 2643 42153 SH DFND 8 0 0 42153 FIDELITY COVINGTON TR HIGH DIVID ETF 316092840 1473 64300 SH DFND 8 0 0 64300 FIDELITY COVINGTON TR MSCI RL EST ETF 316092857 1656 79618 SH DFND 8 0 0 79618 FORD MTR CO DEL COM 345370860 245 50672 SH DFND 36, 21 0 0 50672 GALAPAGOS NV SPON ADR 36315X101 354 1808 SH DFND 20, 27 0 0 1808 GARTNER INC COM 366651107 478 4804 SH DFND 25, 36, 37, 38 0 0 4804 GENERAL DYNAMICS CORP COM 369550108 1235 9333 SH DFND 5, 29, 36, 41 0 0 9333 GENERAL ELECTRIC CO COM 369604103 100 12645 SH DFND 36 0 0 12645 GENERAL MLS INC COM 370334104 242 4581 SH DFND 9, 36, 42, 44 0 0 4581 GILEAD SCIENCES INC COM 375558103 999 13369 SH DFND 10, 11, 18, 29, 36, 21, 44 0 0 13369 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 191 10554 SH SOLE 0 0 10554 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 184 38709 SH DFND 20 0 0 38709 GOLDMAN SACHS GROUP INC COM 38141G104 334 2159 SH DFND 34, 36 0 0 2159 HANESBRANDS INC COM 410345102 80 10177 SH DFND 18, 36, 39, 21, 44 0 0 10177 HARLEY DAVIDSON INC COM 412822108 236 12484 SH DFND 36, 21 0 0 12484 HARSCO CORP COM 415864107 139 20000 SH SOLE 0 0 20000 HDFC BANK LTD SPONSORED ADS 40415F101 575 14940 SH DFND 27, 46 0 0 14940 HESS CORP COM 42809H107 377 11312 SH DFND 36 0 0 11312 HOME DEPOT INC COM 437076102 368 1971 SH DFND 5, 11, 29, 34, 36, 41 0 0 1971 HONEYWELL INTL INC COM 438516106 284 2126 SH DFND 11, 18, 29, 30, 36 0 0 2126 HOST HOTELS & RESORTS INC COM 44107P104 294 26591 SH DFND 3, 10, 14, 36, 21 0 0 26591 HP INC COM 40434L105 463 26698 SH DFND 36, 21, 44 0 0 26698 ICICI BANK LIMITED ADR 45104G104 141 16626 SH DFND 20, 26, 27 0 0 16626 ICON PLC SHS G4705A100 500 3677 SH DFND 31, 20, 27, 46 0 0 3677 ILLUMINA INC COM 452327109 320 1172 SH DFND 15, 36, 37, 40 0 0 1172 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 4273 141759 SH SOLE 0 0 141759 INNOVATOR ETFS TR S&P 500 PWR BUFR 45782C383 978 40670 SH SOLE 0 0 40670 INNOVATOR ETFS TR S&P 500 BUFFER 45782C391 821 34809 SH SOLE 0 0 34809 INNOVATOR ETFS TR S&P 500 BUFFER 45782C409 500 20255 SH SOLE 0 0 20255 INNOVATOR ETFS TR S&P 500 BUFFER 45782C433 1901 90975 SH SOLE 0 0 90975 INNOVATOR ETFS TR NASDAQ 100 PWR 45782C466 2058 62401 SH SOLE 0 0 62401 INNOVATOR ETFS TR RUSSELL 2000 P 45782C474 2648 122471 SH SOLE 0 0 122471 INNOVATOR ETFS TR S&P 500 POWER 45782C508 16739 667974 SH SOLE 0 0 667974 INNOVATOR ETFS TR MSCI EMGR MKT 45782C516 674 29515 SH SOLE 0 0 29515 INNOVATOR ETFS TR MSCI EAFE PWR 45782C524 2818 132664 SH SOLE 0 0 132664 INNOVATOR ETFS TR S&P 500 PWR BU 45782C540 202 8493 SH SOLE 0 0 8493 INNOVATOR ETFS TR S&P 500 POWER 45782C573 609 26002 SH SOLE 0 0 26002 INNOVATOR ETFS TR S&P 500 PWR BU 45782C680 507 22012 SH SOLE 0 0 22012 INNOVATOR ETFS TR S&P 500 PWR BU 45782C870 419 17353 SH SOLE 0 0 17353 INTEL CORP COM 458140100 502 9269 SH DFND 9, 10, 36, 41 0 0 9269 INTERNATIONAL BUSINESS MACHS COM 459200101 901 8125 SH DFND 36, 21 0 0 8125 INTL PAPER CO COM 460146103 311 9990 SH DFND 36, 21 0 0 9990 INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 46137V563 181 14000 SH DFND 35 0 0 14000 INVESCO EXCHANGE TRADED FD T DYNMC SOFTWARE 46137V639 318 3705 SH SOLE 0 0 3705 INVESCO EXCHANGE-TRADED FD T S&P SMLCP LOW 46138G102 1119 33761 SH SOLE 0 0 33761 INVESCO QQQ TR UNIT SER 1 46090E103 1781 9353 SH SOLE 0 0 9353 ISHARES INC MSCI EURZONE ETF 464286608 354 11654 SH SOLE 0 0 11654 ISHARES INC CORE MSCI EMKT 46434G103 357 8823 SH SOLE 0 0 8823 ISHARES SILVER TRUST ISHARES 46428Q109 300 23000 SH SOLE 0 0 23000 ISHARES TR S&P 100 ETF 464287101 250 2107 SH SOLE 0 0 2107 ISHARES TR MRNGSTR LG-CP GR 464287119 402 2164 SH SOLE 0 0 2164 ISHARES TR CORE S&P500 ETF 464287200 2953 11427 SH SOLE 0 0 11427 ISHARES TR S&P 500 GRWT ETF 464287309 1382 8371 SH SOLE 0 0 8371 ISHARES TR S&P 500 VAL ETF 464287408 1037 10772 SH SOLE 0 0 10772 ISHARES TR 1 3 YR TREAS BD 464287457 6347 73229 SH SOLE 0 0 73229 ISHARES TR MSCI EAFE ETF 464287465 891 16666 SH DFND 12, 30 0 0 16666 ISHARES TR RUS MDCP VAL ETF 464287473 455 7103 SH SOLE 0 0 7103 ISHARES TR RUS MID CAP ETF 464287499 224 5183 SH DFND 36 0 0 5183 ISHARES TR CORE S&P MCP ETF 464287507 760 5285 SH DFND 31 0 0 5285 ISHARES TR EXPANDED TECH 464287515 458 2180 SH SOLE 0 0 2180 ISHARES TR COHEN STEER REIT 464287564 1193 13028 SH SOLE 0 0 13028 ISHARES TR RUS 1000 VAL ETF 464287598 2067 20843 SH DFND 21 0 0 20843 ISHARES TR RUS 1000 GRW ETF 464287614 547 3629 SH DFND 19, 38 0 0 3629 ISHARES TR RUS 1000 ETF 464287622 1075 7598 SH DFND 44 0 0 7598 ISHARES TR RUS 2000 GRW ETF 464287648 713 4509 SH DFND 17 0 0 4509 ISHARES TR RUSSELL 2000 ETF 464287655 398 3479 SH DFND 17, 25 0 0 3479 ISHARES TR CORE S&P SCP ETF 464287804 656 11698 SH SOLE 0 0 11698 ISHARES TR IBOXX HI YD ETF 464288513 1255 16283 SH DFND 13, 35 0 0 16283 ISHARES TR INTRM TR CRP ETF 464288638 3511 63929 SH SOLE 0 0 63929 ISHARES TR EAFE GRWTH ETF 464288885 1166 16393 SH DFND 26, 46 0 0 16393 ISHARES TR CORE MSCI EAFE 46432F842 338 6776 SH SOLE 0 0 6776 ISHARES TR MSCI UK ETF NEW 46435G334 223 9325 SH SOLE 0 0 9325 ISHARES TR MSCI EAFE SMCP 46435G839 512 22387 SH SOLE 0 0 22387 ISHARES TR BROAD USD HIGH 46435U853 918 25873 SH SOLE 0 0 25873 ITT INC COM 45073V108 14811 326511 SH DFND 36 0 0 326511 JOHNSON & JOHNSON COM 478160104 1012 7718 SH DFND 9, 10, 11, 29, 30, 36, 21, 41, 44 0 0 7718 JPMORGAN CHASE & CO COM 46625H100 630 7001 SH DFND 5, 9, 11, 18, 30, 34, 36 0 0 7001 KEYSIGHT TECHNOLOGIES INC COM 49338L103 226 2706 SH DFND 31, 16, 20, 36, 45 0 0 2706 KIMBERLY CLARK CORP COM 494368103 304 2376 SH DFND 9, 18, 30, 36, 21, 44 0 0 2376 KINDER MORGAN INC DEL COM 49456B101 216 15546 SH DFND 9, 10, 33, 36, 41 0 0 15546 KINIKSA PHARMACEUTICALS LTD COM CL A G5269C101 305 19700 SH SOLE 0 0 19700 KOHLS CORP COM 500255104 160 10959 SH DFND 10, 36, 21, 44 0 0 10959 L3HARRIS TECHNOLOGIES INC COM 502431109 1313 7291 SH DFND 11, 31, 36 0 0 7291 LEAP THERAPEUTICS INC COM 52187K101 101 64165 SH SOLE 0 0 64165 LINDE PLC SHS G5494J103 358 2071 SH DFND 7, 18, 26, 36, 21, 40 0 0 2071 LKQ CORP COM 501889208 246 11996 SH DFND 36, 21, 42 0 0 11996 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 27 18070 SH DFND 12, 32 0 0 18070 LULULEMON ATHLETICA INC COM 550021109 555 2927 SH DFND 46 0 0 2927 MASTERCARD INC CL A 57636Q104 1238 5126 SH DFND 1, 7, 34, 36, 37, 38 0 0 5126 MCDONALDS CORP COM 580135101 255 1545 SH DFND 8, 11 29, 30, 36, 21 0 0 1545 MCKESSON CORP COM 58155Q103 1571 11612 SH DFND 36 0 0 11612 MEDTRONIC PLC SHS G5960L103 303 3355 SH DFND 5, 10, 31, 29, 30, 34, 36 0 0 3355 MERCADOLIBRE INC COM 58733R102 699 1432 SH DFND 20, 27, 28 0 0 1432 MERCK & CO. INC COM 58933Y105 3324 43201 SH DFND 8, 10, 29, 36, 21, 41, 44 0 0 43201 METTLER TOLEDO INTERNATIONAL COM 592688105 617 894 SH DFND 16, 27, 21, 46 0 0 894 MICROSOFT CORP COM 594918104 4764 30207 SH DFND 1, 5, 7, 8, 10, 11, 18, 19, 29, 30, 34, 36, 38, 40, 41 0 0 30207 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 108 14259 SH DFND 27 0 0 14259 MONDELEZ INTL INC CL A 609207105 211 4206 SH DFND 7, 29, 30, 36, 40 0 0 4206 MSCI INC COM 55354G100 566 1958 SH DFND 15, 17, 20, 27 0 0 1958 NABRIVA THERAPEUTICS PLC SHS G63637105 23 39400 SH SOLE 0 0 39400 NETFLIX INC COM 64110L106 449 1196 SH DFND 36 0 0 1196 NICE LTD SPONSORED ADR 653656108 279 1945 SH DFND 20 0 0 1945 NIKE INC CL B 654106103 902 10901 SH DFND 1, 7, 11, 15, 36, 37, 38, 21, 40 0 0 10901 NORFOLK SOUTHERN CORP COM 655844108 497 3403 SH DFND 9, 29, 30, 36, 41 0 0 3403 NORTHROP GRUMMAN CORP COM 666807102 306 1011 SH DFND 10, 36, 45 0 0 1011 NORTONLIFELOCK INC COM 668771108 214 11433 SH DFND 36 0 0 11433 NOVARTIS A G SPONSORED ADR 66987V109 346 4200 SH DFND 5, 11, 32, 20, 28, 30 0 0 4200 NOVO-NORDISK A S ADR 670100205 225 3736 SH DFND 11, 20, 28, 38, 40 0 0 3736 NRG ENERGY INC COM NEW 629377508 329 12068 SH DFND 36, 21, 44 0 0 12068 NVIDIA CORP COM 67066G104 319 1208 SH DFND 15, 34, 36 0 0 1208 OMNICOM GROUP INC COM 681919106 508 9247 SH DFND 10, 36, 21, 44 0 0 9247 OSI ETF TR OSHARS FTSE US 67110P407 376 12953 SH DFND 8 0 0 12953 PAYPAL HLDGS INC COM 70450Y103 954 9963 SH DFND 5, 15, 19, 36, 38, 40 0 0 9963 PFIZER INC COM 717081103 420 12868 SH DFND 9, 10, 18, 29, 30, 34, 36, 41, 44 0 0 12868 PHILIP MORRIS INTL INC COM 718172109 204 2794 SH DFND 18, 29, 36, 21, 41, 44 0 0 2794 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 426 4965 SH DFND 13 0 0 4965 POOL CORPORATION COM 73278L105 265 1349 SH DFND 16, 17, 25 0 0 1349 POWER INTEGRATIONS INC COM 739276103 205 2321 SH DFND 17, 25 0 0 2321 PROCTER & GAMBLE CO COM 742718109 589 5355 SH DFND 10, 11, 18, 29, 30, 36, 45 0 0 5355 PROSHARES TR S&P MDCP 400 DIV 74347B680 720 16000 SH SOLE 0 0 16000 PROSHARES TR HD REPLICATION 74347X294 3526 82899 SH SOLE 0 0 82899 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 465 10357 SH DFND 10, 29, 36 0 0 10357 PULTE GROUP INC COM 745867101 252 11292 SH DFND 36, 21 0 0 11292 QTS RLTY TR INC COM CL A 74736A103 232 4002 SH DFND 17, 25, 28 0 0 4002 RALPH LAUREN CORP CL A 751212101 319 4773 SH DFND 10, 36, 21 0 0 4773 REGENERON PHARMACEUTICALS COM 75886F107 833 1705 SH DFND 36, 38, 40 0 0 1705 RESMED INC COM 761152107 820 5569 SH DFND 16, 17, 36, 46 0 0 5569 S&P GLOBAL INC COM 78409V104 215 878 SH DFND 36 0 0 878 SALESFORCE COM INC COM 79466L302 961 6672 SH DFND 10, 15, 36, 38, 40 0 0 6672 SAP SE SPON ADR 803054204 310 2802 SH DFND 12, 20, 26, 28, 30, 38, 43 0 0 2802 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 3178 61428 SH DFND 44 0 0 61428 SERVICENOW INC COM 81762P102 840 2931 SH DFND 12, 36, 37, 38 0 0 2931 SHOPIFY INC CL A 82509L107 713 1711 SH DFND 27, 46 0 0 1711 SIBANYE STILLWATER LTD SPONSORED ADR 82575P107 105 22272 SH DFND 20 0 0 22272 SIMON PPTY GROUP INC NEW COM 828806109 212 3863 SH DFND 3, 10, 14, 28, 29, 36, 21 0 0 3863 SMITH & NEPHEW GROUP PLC SPDN ADR NEW 83175M205 709 19771 SH DFND 12, 20, 27, 46 0 0 19771 SOUTHERN CO COM 842587107 941 17373 SH DFND 11, 36, 21, 45 0 0 17373 SOUTHWEST AIRLS CO COM 844741108 260 7295 SH DFND 36, 21 0 0 7295 SPDR GOLD TRUST GOLD SHS 78463V107 2039 13775 SH SOLE 0 0 13775 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 563 19087 SH SOLE 0 0 19087 SPDR S&P 500 ETF TR TR UNIT 78462F103 14228 55202 SH DFND 6 0 0 55202 SPDR SER TR S&P 400 MDCP GRW 78464A821 218 5093 SH SOLE 0 0 5093 SPDR SER TR PORTFOLIO SH TSR 78468R101 2815 91627 SH SOLE 0 0 91627 SPDR SER TR BLOMBERG BRC INV 78468R200 1096 37285 SH SOLE 0 0 37285 SPDR SER TR BLOOMBERG SRT TR 78468R408 459 19480 SH DFND 13 0 0 19480 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1563 16501 SH DFND 13 0 0 16501 SPDR SER TR SSGA US SMAL ETF 78468R887 350 5300 SH SOLE 0 0 5300 STARBUCKS CORP COM 855244109 546 8308 SH DFND 1, 7, 29, 36, 38, 21 0 0 8308 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 1077 22531 SH DFND 32, 26, 27, 46 0 0 22531 TAL EDUCATION GROUP SPONSORED ADS 874080104 225 4233 SH DFND 20, 27 0 0 4233 TREVENA INC COM 89532E109 14 25000 SH SOLE 0 0 25000 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 28 12750 SH DFND 27 0 0 12750 UNITED RENTALS INC COM 911363109 300 2919 SH DFND 16, 34, 36, 21 0 0 2919 UNITED STATES OIL FUND LP UNITS 91232N108 51 12114 SH SOLE 0 0 12114 UNITEDHEALTH GROUP INC COM 91324P102 330 1325 SH DFND 11, 31, 15, 29, 36, 40 0 0 1325 VANGUARD BD INDEX FDS INTERMED TERM 921937819 231 2591 SH SOLE 0 0 2591 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 488 5933 SH SOLE 0 0 5933 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 343 1449 SH SOLE 0 0 1449 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 824 11794 SH DFND 35 0 0 11794 VANGUARD INDEX FDS MID CAP ETF 922908629 218 1658 SH SOLE 0 0 1658 VANGUARD INDEX FDS LARGE CAP ETF 922908637 706 5961 SH SOLE 0 0 5961 VANGUARD INDEX FDS SMALL CP ETF 922908751 254 2204 SH SOLE 0 0 2204 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 408 12173 SH SOLE 0 0 12173 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 458 10573 SH SOLE 0 0 10573 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 1481 28000 SH SOLE 0 0 28000 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 3697 59299 SH DFND 44 0 0 59299 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 222 2549 SH SOLE 0 0 2549 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 228 6846 SH SOLE 0 0 6846 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 2633 37220 SH SOLE 0 0 37220 VERASTEM INC COM 92337C104 79 30000 SH SOLE 0 0 30000 VEREIT INC COM 92339V100 51 10356 SH DFND 3, 14, 28, 42 0 0 10356 VERIZON COMMUNICATIONS INC COM 92343V104 3634 67642 SH DFND 10, 29, 36, 41 0 0 67642 VIACOMCBS INC CL B 92556H206 520 37089 SH DFND 11, 36, 42, 44 0 0 37089 VISA INC COM CL A 92826C839 1593 9886 SH DFND 7, 10, 15, 19, 30, 34, 36, 37, 38, 40, 41 0 0 9886 WALMART INC COM 931142103 236 2074 SH DFND 9, 10, 29, 36 0 0 2074 WELLS FARGO CO NEW COM 949746101 364 12691 SH DFND 9, 10, 11, 29, 36, 41 0 0 12691 WELLTOWER INC COM 95040Q104 240 5250 SH DFND 3, 14, 28, 36 0 0 5250 WISDOMTREE TR US MIDCAP DIVID 97717W505 937 38765 SH SOLE 0 0 38765 WISDOMTREE TR US SMALLCAP DIVD 97717W604 266 14752 SH SOLE 0 0 14752 XEROX HOLDINGS CORP COM NEW 98421M106 245 12910 SH DFND 36, 21 0 0 12910 XYLEM INC COM 98419M100 302 4632 SH DFND 7, 16 0 0 4632 ZOETIS INC CL A 98978V103 1122 9533 SH DFND 1, 7, 10, 16, 19, 30, 36, 38 0 0 9533 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 212 7988 SH DFND 20 0 0 7988