Chief Compliance Officer

0001437749-20-022245.txt : 20201102 0001437749-20-022245.hdr.sgml : 20201102 20201102144438 ACCESSION NUMBER: 0001437749-20-022245 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201102 DATE AS OF CHANGE: 20201102 EFFECTIVENESS DATE: 20201102 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: 201280059 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 09-30-2020 09-30-2020 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 11-01-2020 47 331 300 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_pcfollcq320.xml ABB LTD SPONSORED ADR 000375204 0 8852 SH SOLE 0 0 8852 AT&T INC COM 00206R102 2 58838 SH SOLE 0 0 58838 ARK ETF TR INNOVATION ETF 00214Q104 1 15633 SH SOLE 0 0 15633 ARK ETF TR GENOMIC REV ETF 00214Q302 0 6386 SH SOLE 0 0 6386 ARK ETF TR NEXT GNRTN INTER 00214Q401 2 15065 SH SOLE 0 0 15065 ARK ETF TR FINTECH INNOVA 00214Q708 1 26500 SH SOLE 0 0 26500 AARONS INC COM PAR $0.50 002535300 0 4635 SH DFND 17 0 0 4635 ABBOTT LABS COM 002824100 2 20650 SH DFND 1, 9, 11, 18, 19, 29, 36, 38, 40 0 0 20650 ABBVIE INC COM 00287Y109 0 4573 SH DFND 9, 10, 31, 36, 45 0 0 4573 ACADIA PHARMACEUTICALS INC COM 004225108 1 21800 SH SOLE 0 0 21800 ACTIVISION BLIZZARD INC COM 00507V109 0 3343 SH DFND 11, 15, 34, 36, 45 0 0 3343 ADAPTIVE BIOTECHNOLOGIES COR COM 00650F109 4 73099 SH SOLE 0 0 73099 ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 00653A107 0 25797 SH DFND 20 0 0 25797 ADOBE SYSTEMS INCORPORATED COM 00724F101 3 5750 SH DFND 5, 7, 10, 31, 15, 19, 36, 37, 38 0 0 5750 ADVAXIS INC COM NEW 007624307 0 34888 SH SOLE 0 0 34888 ADVISORSHARES TR ADVISORSHS ETF 00768Y206 1 14409 SH SOLE 0 0 14409 AILERON THERAPEUTICS INC COM 00887A105 0 33500 SH SOLE 0 0 33500 AKAMAI TECHNOLOGIES INC COM 00971T101 0 2103 SH SOLE 0 0 2103 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1 2462 SH DFND 12, 31, 15, 19, 26, 27, 28, 36, 37, 38, 43 0 0 2462 ALIGN TECHNOLOGY INC COM 016255101 1 2150 SH DFND 15, 36, 38, 21 0 0 2150 ALLSTATE CORP COM 020002101 0 3926 SH DFND 10, 36, 42, 45 0 0 3926 ALPHABET INC CAP STK CL C 02079K107 5 3100 SH DFND 1, 7, 10, 18, 19, 30, 34, 36, 37, 38, 40, 41 0 0 3100 ALPHABET INC CAP STK CL A 02079K305 4 2661 SH DFND 1, 7, 10, 18, 19, 30, 34, 36, 37, 38, 40, 41 0 0 2661 ALTRIA GROUP INC COM 02209S103 1 13488 SH DFND 29, 36, 21, 41 0 0 13488 AMAZON COM INC COM 023135106 5 1652 SH DFND 10, 31, 15, 19, 34, 36, 37, 40 0 0 1652 AMBEV SA SPONSORED ADR 02319V103 0 10612 SH DFND 26 0 0 10612 AMERICAN EXPRESS CO COM 025816109 0 3436 SH DFND 31, 29, 30, 36, 0 0 3436 AMERICAN TOWER CORP NEW COM 03027X100 0 904 SH DFND 7, 10, 14, 28, 36, 0 0 904 AMERICOLD RLTY TR COM 03064D108 0 6260 SH DFND 3, 31, 14, 17, 28 0 0 6260 AMERISOURCEBERGEN CORP COM 03073E105 1 5894 SH DFND 31, 29, 34, 36, 21, 42 0 0 5894 AMGEN INC COM 031162100 0 1956 SH DFND 5, 9, 10, 11, 31, 29, 36, 21 0 0 1956 AMPLIFY ETF TR ONLIN RETL ETF 032108102 5 51072 SH SOLE 0 0 51072 AMPLIFY ETF TR BLACKSWAN GRWT 032108888 0 7000 SH SOLE 0 0 7000 ANGLOGOLD ASHANTI LIMITED SPONSORED ADR 035128206 0 12194 SH DFND 20, 27 0 0 12194 APPLE INC COM 037833100 8 72249 SH DFND 9, 10, 11, 31, 20, 29, 30, 34, 36, 21, 41 0 0 72249 ARDELYX INC COM 039697107 0 60000 SH SOLE 0 0 60000 ARGENX SE SPONSORED ADR 04016X101 0 1654 SH DFND 20 0 0 1654 ASTRAZENECA PLC SPONSORED ADR 046353108 0 4460 SH DFND 20, 36 0 0 4460 AUTODESK INC COM 052769106 1 6029 SH DFND 31, 16, 34, 36, 38, 40 0 0 6029 AUTOMATIC DATA PROCESSING IN COM 053015103 0 1593 SH DFND 1, 19, 29, 36, 38, 21 0 0 1593 AUTOZONE INC COM 053332102 0 228 SH DFND 10, 36, 45 0 0 228 AVEO PHARMACEUTICALS INC COM NEW 053588307 0 13000 SH SOLE 0 0 13000 BWX TECHNOLOGIES INC COM 05605H100 0 4094 SH DFND 11, 17 0 0 4094 BANCO SANTANDER S.A. ADR 05964H105 0 12568 SH DFND 32, 30 0 0 12568 BK OF AMERICA CORP COM 060505104 0 11101 SH DFND 5, 9, 10, 11, 29, 30, 36 0 0 11101 BK OF AMERICA CORP 7.25%CNV PFD L 060505682 0 200 SH DFND 5, 9, 10, 11, 29, 30, 36 0 0 200 BERKLEY W R CORP COM 084423102 0 6983 SH DFND 36 0 0 6983 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2 7105 SH DFND 18, 36, 41 0 0 7105 BEST BUY INC COM 086516101 1 5355 SH DFND 10, 29, 36, 21 0 0 5355 BIOCRYST PHARMACEUTICALS INC COM 09058V103 0 91178 SH SOLE 0 0 91178 BIOGEN INC COM 09062X103 1 2266 SH DFND 31, 36, 21 0 0 2266 BLACK KNIGHT INC COM 09215C105 0 3034 SH DFND 2, 31, 45 0 0 3034 BLOCK H & R INC COM 093671105 1 38783 SH DFND 36, 21, 45 0 0 38783 BOEING CO COM 097023105 10 62430 SH DFND 36 0 0 62430 BOOKING HOLDINGS INC COM 09857L108 0 117 SH DFND 10, 15, 18, 34, 36, 21 0 0 117 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 0 3305 SH DFND 16, 25, 45 0 0 3305 BORGWARNER INC COM 099724106 1 12932 SH DFND 18, 36, 21 0 0 12932 BRISTOL-MYERS SQUIBB CO COM 110122108 1 15324 SH DFND 9, 10, 15, 29, 36, 41, 45 0 0 15324 BROADCOM INC COM 11135F101 0 1020 SH DFND 10, 11, 31, 16, 27, 36 0 0 1020 CNA FINL CORP COM 126117100 0 13797 SH SOLE 0 0 13797 CALAVO GROWERS INC COM 128246105 0 3146 SH DFND 17 0 0 3146 CARDINAL HEALTH INC COM 14149Y108 0 10233 SH DFND 36, 21 0 0 10233 CARRIER GLOBAL CORPORATION COM 14448C104 0 11893 SH DFND 18, 36 0 0 11893 CASEYS GEN STORES INC COM 147528103 0 1262 SH DFND 2, 10, 31, 17, 0 0 1262 CERUS CORP COM 157085101 0 26650 SH SOLE 0 0 26650 CHEMED CORP NEW COM 16359R103 0 589 SH DFND 17, 20, 25 0 0 589 CHEVRON CORP NEW COM 166764100 1 13776 SH DFND 9, 10, 11, 18, 29, 36, 21, 41 0 0 13776 CISCO SYS INC COM 17275R102 1 16221 SH DFND 9, 10, 30, 36, 21, 41, 42 0 0 16221 CITRIX SYS INC COM 177376100 0 1495 SH DFND 10, 31, 36, 21, 41 0 0 1495 CLOROX CO DEL COM 189054109 0 1388 SH DFND 36, 21, 45 0 0 1388 COCA COLA CO COM 191216100 1 14280 SH DFND 5, 9, 29, 30, 36, 41 0 0 14280 COHEN & STEERS INC COM 19247A100 0 3664 SH DFND 17, 25 0 0 3664 COMCAST CORP NEW CL A 20030N101 1 20486 SH DFND 10, 11, 31, 18, 29, 34, 36, 21 0 0 20486 COMERICA INC COM 200340107 0 5642 SH DFND 36, 45 0 0 5642 COMPASS MINERALS INTL INC COM 20451N101 0 3578 SH DFND 25 0 0 3578 CORE MARK HOLDING CO INC COM 218681104 0 7281 SH DFND 2, 17 0 0 7281 CUMMINS INC COM 231021106 1 3146 SH DFND 7, 14, 28, 36, 41, 45 0 0 3146 DBX ETF TR XTRACK MSCI EAFE 233051200 0 10053 SH SOLE 0 0 10053 DBX ETF TR XTRACK USD HIGH 233051432 0 6167 SH SOLE 0 0 6167 DBV TECHNOLOGIES S A SPONSORED ADR 23306J101 0 25588 SH SOLE 0 0 25588 D R HORTON INC COM 23331A109 0 3808 SH SOLE 0 0 3808 DTE ENERGY CO COM 233331107 0 3355 SH DFND 31, 29, 36, 45 0 0 3355 DANAHER CORPORATION COM 235851102 0 1815 SH DFND 5, 7, 20, 30, 34, 36, 40 0 0 1815 DAVITA INC COM 23918K108 1 9901 SH DFND 36, 21, 45 0 0 9901 DEVON ENERGY CORP NEW COM 25179M103 0 14523 SH DFND 36, 45 0 0 14523 DIREXION SHS ETF TR DLY S&P500 BR 3X 25460E885 0 15000 SH SOLE 0 0 15000 DISNEY WALT CO COM DISNEY 254687106 0 2453 SH DFND 11, 31, 18, 30, 36, 21 0 0 2453 DISCOVERY INC COM SER A 25470F104 0 16114 SH DFND 10, 31, 34, 36, 21, 42 0 0 16114 DR REDDYS LABS LTD ADR 256135203 0 4190 SH DFND 20, 27 0 0 4190 DOLLAR GEN CORP NEW COM 256677105 1 5474 SH DFND 7, 10, 30, 36, 38, 45 0 0 5474 DUKE ENERGY CORP NEW COM NEW 26441C204 0 5649 SH DFND 10, 36, 21, 45 0 0 5649 DYNATRACE INC COM NEW 268150109 0 5447 SH DFND 45 0 0 5447 EDAP TMS S A SPONSORED ADR 268311107 0 40500 SH SOLE 0 0 40500 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 0 6594 SH SOLE 0 0 6594 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 1 9510 SH SOLE 0 0 9510 EASTMAN CHEM CO COM 277432100 1 7221 SH DFND 11, 36, 21, 0 0 7221 EBAY INC. COM 278642103 1 20746 SH DFND 10, 36, 21, 36, 42, 45 0 0 20746 EMERSON ELEC CO COM 291011104 0 3721 SH DFND 9, 36 0 0 3721 ENCOMPASS HEALTH CORP COM 29261A100 0 3684 SH DFND 17, 27 0 0 3684 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 0 34267 SH DFND 33 0 0 34267 ENSIGN GROUP INC COM 29358P101 0 5460 SH DFND 17 0 0 5460 ENTERPRISE PRODS PARTNERS L COM 293792107 0 13587 SH DFND 33 0 0 13587 ENVIVA PARTNERS LP COM UNIT 29414J107 0 8000 SH SOLE 0 0 8000 EQUINIX INC COM 29444U700 0 406 SH SOLE 0 0 406 EVOFEM BIOSCIENCES INC COM 30048L104 0 12888 SH SOLE 0 0 12888 EXPEDIA GROUP INC COM NEW 30212P303 0 4696 SH DFND 36, 21, 42 0 0 4696 EXPONENT INC COM 30214U102 0 3494 SH DFND 17, 25 0 0 3494 EXTRA SPACE STORAGE INC COM 30225T102 0 2259 SH DFND 3, 10, 14, 28, 36, 45 0 0 2259 EXXON MOBIL CORP COM 30231G102 1 17540 SH DFND 10, 36, 21 0 0 17540 F M C CORP COM NEW 302491303 0 2419 SH DFND 36, 45 0 0 2419 F N B CORP COM 302520101 0 13157 SH DFND 44 0 0 13157 FACEBOOK INC CL A 30303M102 4 14047 SH DFND 1, 10, 31, 15, 18, 19, 34, 36, 37, 38, 40 0 0 14047 FIDELITY COVINGTON TRUST CONSMR STAPLES 316092303 0 6466 SH SOLE 0 0 6466 FIDELITY COVINGTON TRUST MSCI HLTH CARE I 316092600 5 87283 SH SOLE 0 0 87283 FIDELITY COVINGTON TRUST MSCI INDL INDX 316092709 3 84847 SH SOLE 0 0 84847 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 4 48836 SH SOLE 0 0 48836 FIDELITY COVINGTON TRUST HIGH DIVID ETF 316092840 2 67780 SH SOLE 0 0 67780 FIDELITY COVINGTON TRUST MSCI RL EST ETF 316092857 1 51597 SH SOLE 0 0 51597 FIDELITY COVINGTON TRUST MSCI UTILS INDEX 316092865 1 29527 SH SOLE 0 0 29527 FIDELITY MERRIMACK STR TR TOTAL BD ETF 316188309 2 28207 SH SOLE 0 0 28207 FORTINET INC COM 34959E109 0 2051 SH DFND 16, 36, 45 0 0 2051 GARTNER INC COM 366651107 1 4695 SH DFND 7, 25, 36, 38, 0 0 4695 GENERAL DYNAMICS CORP COM 369550108 1 9670 SH DFND 5, 29, 36 0 0 9670 GENERAL ELECTRIC CO COM 369604103 0 14214 SH DFND 36 0 0 14214 GILEAD SCIENCES INC COM 375558103 1 12902 SH DFND 10, 11, 18, 36, 21 0 0 12902 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 0 8615 SH SOLE 0 0 8615 GLOBAL X FDS MILL THEMC ETF 37954Y764 0 11583 SH SOLE 0 0 11583 GOLD FIELDS LTD SPONSORED ADR 38059T106 0 37959 SH DFND 20 0 0 37959 GOLDMAN SACHS GROUP INC COM 38141G104 0 2269 SH DFND 10, 34, 36 0 0 2269 HDFC BANK LTD SPONSORED ADS 40415F101 1 15064 SH DFND 26, 27, 46 0 0 15064 HP INC COM 40434L105 1 32730 SH DFND 36, 21 0 0 32730 HANESBRANDS INC COM 410345102 0 11416 SH DFND 18, 36, 39, 21, 44 0 0 11416 HARSCO CORP COM 415864107 0 20000 SH SOLE 0 0 20000 HESS CORP COM 42809H107 0 11191 SH DFND 36 0 0 11191 HOME DEPOT INC COM 437076102 1 2428 SH DFND 10, 11, 31, 20, 29, 30, 36, 21, 41 0 0 2428 HONEYWELL INTL INC COM 438516106 0 2449 SH DFND 11, 18, 29, 30, 36 0 0 2449 HOST HOTELS & RESORTS INC COM 44107P104 0 28496 SH DFND 3, 14, 36, 21 0 0 28496 HUNTINGTON BANCSHARES INC COM 446150104 0 11789 SH DFND 36, 44 0 0 11789 ITT INC COM 45073V108 17 284812 SH DFND 36 0 0 284812 ILLUMINA INC COM 452327109 0 1416 SH DFND 15, 36, 37, 40 0 0 1416 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 5 136284 SH SOLE 0 0 136284 INNOVATOR ETFS TR NASDAQ 100 PWER 45782C276 3 64296 SH SOLE 0 0 64296 INNOVATOR ETFS TR RUSSELL 2000 P 45782C474 3 123847 SH SOLE 0 0 123847 INNOVATOR ETFS TR MSCI EMGR MKT 45782C516 1 29697 SH SOLE 0 0 29697 INNOVATOR ETFS TR MSCI EAFE PWR 45782C524 3 133650 SH SOLE 0 0 133650 INNOVATOR ETFS TR RUSSELL 2000 P 45782C599 0 11269 SH SOLE 0 0 11269 INNOVATOR ETFS TR S&P 500 PWR 45782C656 23 872097 SH SOLE 0 0 872097 INNOVATOR ETFS TR S&P 500 BUFFER 45782C664 8 300169 SH SOLE 0 0 300169 INNOVATOR ETFS TR S&P 500 PWR BU 45782C680 0 13098 SH SOLE 0 0 13098 INTEL CORP COM 458140100 1 12366 SH DFND 9, 10, 36, 41 0 0 12366 INTERNATIONAL BUSINESS MACHS COM 459200101 1 10693 SH DFND 29, 36, 21 0 0 10693 INTERNATIONAL PAPER CO COM 460146103 0 11674 SH DFND 36, 21 0 0 11674 INVESCO QQQ TR UNIT SER 1 46090E103 1 3799 SH SOLE 0 0 3799 INTUIT COM 461202103 0 810 SH DFND 7, 15, 19, 34, 36, 21 0 0 810 INTUITIVE SURGICAL INC COM NEW 46120E602 1 1057 SH DFND 7, 36, 37, 38, 40 0 0 1057 INVESCO EXCHANGE TRADED FD T DYNMC SOFTWARE 46137V639 0 3927 SH DFND 35 0 0 3927 ISHARES TR S&P 100 ETF 464287101 0 1702 SH SOLE 0 0 1702 ISHARES TR MRNGSTR LG-CP GR 464287119 0 883 SH SOLE 0 0 883 ISHARES TR CORE S&P500 ETF 464287200 4 10535 SH SOLE 0 0 10535 ISHARES TR S&P 500 GRWT ETF 464287309 1 5271 SH SOLE 0 0 5271 ISHARES TR S&P 500 VAL ETF 464287408 1 8079 SH SOLE 0 0 8079 ISHARES TR 1 3 YR TREAS BD 464287457 2 18335 SH DFND 35 0 0 18335 ISHARES TR MSCI EAFE ETF 464287465 0 6267 SH SOLE 0 0 6267 ISHARES TR RUS MID CAP ETF 464287499 0 3617 SH DFND 36 0 0 3617 ISHARES TR CORE S&P MCP ETF 464287507 0 2020 SH SOLE 0 0 2020 ISHARES TR EXPANDED TECH 464287515 0 1565 SH SOLE 0 0 1565 ISHARES TR RUS 1000 VAL ETF 464287598 0 4200 SH SOLE 0 0 4200 ISHARES TR RUS 1000 GRW ETF 464287614 0 1990 SH SOLE 0 0 1990 ISHARES TR RUSSELL 2000 ETF 464287655 13 88915 SH SOLE 0 0 88915 ISHARES TR CORE S&P SCP ETF 464287804 1 8934 SH SOLE 0 0 8934 ISHARES TR SHRT NAT MUN ETF 464288158 0 3080 SH SOLE 0 0 3080 ISHARES TR IBOXX HI YD ETF 464288513 2 20752 SH DFND 13 0 0 20752 ISHARES SILVER TR ISHARES 46428Q109 0 23000 SH SOLE 0 0 23000 ISHARES TR CORE MSCI EAFE 46432F842 0 3334 SH SOLE 0 0 3334 ISHARES INC CORE MSCI EMKT 46434G103 0 6449 SH SOLE 0 0 6449 ISHARES TR MSCI UK ETF NEW 46435G334 0 7980 SH SOLE 0 0 7980 ISHARES TR BROAD USD HIGH 46435U853 0 7537 SH SOLE 0 0 7537 IVERIC BIO INC COM 46583P102 0 12000 SH SOLE 0 0 12000 JPMORGAN CHASE & CO COM 46625H100 1 6945 SH DFND 5, 9, 11, 18, 30, 34, 36, 43 0 0 6945 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 0 8000 SH DFND 35 0 0 8000 JOHNSON & JOHNSON COM 478160104 2 12306 SH DFND 9, 10, 11, 29, 30, 36, 21, 41 0 0 12306 KIMBERLY CLARK CORP COM 494368103 0 2430 SH DFND 9, 18, 30, 36, 21 0 0 2430 LKQ CORP COM 501889208 0 14643 SH DFND 36, 21, 42 0 0 14643 L3HARRIS TECHNOLOGIES INC COM 502431109 1 7388 SH DFND 11, 31, 36, 43 0 0 7388 LEAP THERAPEUTICS INC COM 52187K101 0 88165 SH SOLE 0 0 88165 LENNAR CORP CL A 526057104 1 7259 SH DFND 5, 36, 21 0 0 7259 LILLY ELI & CO COM 532457108 0 1619 SH DFND 10, 29, 36, 21 0 0 1619 LITTELFUSE INC COM 537008104 0 1147 SH DFND 17, 24 0 0 1147 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 0 15469 SH DFND 32 0 0 15469 LOCKHEED MARTIN CORP COM 539830109 0 969 SH DFND 9, 10, 36, 21, 45 0 0 969 LOWES COS INC COM 548661107 0 2453 SH DFND 7, 10, 11, 30, 36, 42 0 0 2453 LULULEMON ATHLETICA INC COM 550021109 1 3212 SH DFND 46 0 0 3212 MSC INDL DIRECT INC CL A 553530106 0 4322 SH DFND 17 0 0 4322 MSCI INC COM 55354G100 0 1222 SH DFND 15, 20, 36, 38 0 0 1222 MARKETAXESS HLDGS INC COM 57060D108 0 885 SH DFND 17, 25, 36, 37, 21, 45 0 0 885 MASTERCARD INCORPORATED CL A 57636Q104 2 5647 SH DFND 1, 7, 34, 36, 37, 38, 43 0 0 5647 MCDONALDS CORP COM 580135101 0 1916 SH DFND 9, 11, 29, 30, 36 0 0 1916 MCKESSON CORP COM 58155Q103 2 11553 SH DFND 36, 21 0 0 11553 MERCADOLIBRE INC COM 58733R102 2 1740 SH DFND 20, 27, 30, 46 0 0 1740 MERCK & CO. INC COM 58933Y105 4 45953 SH DFND 9, 10, 29, 36, 21, 41 0 0 45953 METTLER TOLEDO INTERNATIONAL COM 592688105 1 957 SH DFND 16, 27, 36, 21, 46 0 0 957 MICROSOFT CORP COM 594918104 6 27734 SH DFND 1, 5, 7, 9, 10, 11, 31, 18, 19, 29, 30, 34, 36, 38, 40, 41 0 0 27734 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 0 15654 SH DFND 20, 27 0 0 15654 MOHAWK INDS INC COM 608190104 0 2960 SH DFND 36, 21 0 0 2960 MONDELEZ INTL INC CL A 609207105 0 5445 SH DFND 7, 18, 29, 30, 36 0 0 5445 MORGAN STANLEY COM NEW 617446448 0 6662 SH DFND 10, 18, 29, 36, 21 0 0 6662 MORNINGSTAR INC COM 617700109 0 1348 SH DFND 10, 17, 27 0 0 1348 NRG ENERGY INC COM NEW 629377508 0 15772 SH DFND 10, 36, 21 0 0 15772 NETFLIX INC COM 64110L106 1 1236 SH DFND 34, 36 0 0 1236 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 0 1561 SH DFND 15, 20, 38 0 0 1561 NICE LTD SPONSORED ADR 653656108 0 2112 SH DFND 20 0 0 2112 NIKE INC CL B 654106103 1 9347 SH DFND 1, 7, 11, 15, 36, 38, 21, 40 0 0 9347 NORFOLK SOUTHN CORP COM 655844108 1 3479 SH DFND 9, 29, 30, 36, 41 0 0 3479 NORTHROP GRUMMAN CORP COM 666807102 0 933 SH DFND 10, 36 0 0 933 NORTONLIFELOCK INC COM 668771108 0 9611 SH DFND 36, 45 0 0 9611 NOVARTIS AG SPONSORED ADR 66987V109 0 4556 SH DFND 5, 11, 32, 20, 28, 30 0 0 4556 NOVO-NORDISK A S ADR 670100205 0 4209 SH DFND 11, 31, 20 0 0 4209 NVIDIA CORPORATION COM 67066G104 1 1083 SH DFND 31, 15, 34, 36, 45 0 0 1083 NUVEEN AMT FREE MUN CR INC F COM 67071L106 0 17120 SH SOLE 0 0 17120 OSI ETF TR OSHARES US QUALT 67110P407 0 11999 SH DFND 8 0 0 11999 OMNICOM GROUP INC COM 681919106 0 8451 SH DFND 10, 36, 21 0 0 8451 ORACLE CORP COM 68389X105 0 5946 SH DFND 10, 36, 38, 21 0 0 5946 PNC FINL SVCS GROUP INC COM 693475105 0 2881 SH DFND 5, 9, 10, 11, 29, 36 0 0 2881 PAYPAL HLDGS INC COM 70450Y103 2 8991 SH DFND 5, 15, 19, 36, 38, 40 0 0 8991 PEOPLES UNITED FINANCIAL INC COM 712704105 0 11824 SH DFND 21, 44 0 0 11824 PEPSICO INC COM 713448108 0 2796 SH DFND 7, 10, 11, 18, 29, 34, 36 0 0 2796 PFIZER INC COM 717081103 1 30405 SH DFND 9, 10, 18, 29, 30, 34, 36, 41 0 0 30405 PHILIP MORRIS INTL INC COM 718172109 0 4250 SH DFND 10, 18, 29, 36, 21, 41 0 0 4250 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 0 3192 SH DFND 13 0 0 3192 POOL CORP COM 73278L105 0 603 SH DFND 16, 17, 25 0 0 603 POWER INTEGRATIONS INC COM 739276103 0 4109 SH DFND 17, 25 0 0 4109 PROCTER AND GAMBLE CO COM 742718109 1 7067 SH DFND 9, 10, 11, 18, 29, 30, 36, 45 0 0 7067 PROGRESSIVE CORP COM 743315103 0 4244 SH DFND 31, 20, 29, 34, 36, 41, 45 0 0 4244 PROLOGIS INC. COM 74340W103 0 3622 SH DFND 3, 14, 28, 29, 30, 36, 45 0 0 3622 PROSHARES TR ULTRAPRO SHORT S 74347B268 0 13100 SH SOLE 0 0 13100 PROSHARES TR S&P MDCP 400 DIV 74347B680 1 11500 SH SOLE 0 0 11500 PROSHARES TR HD REPLICATION 74347X294 4 79304 SH SOLE 0 0 79304 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 0 7556 SH DFND 10, 29, 36 0 0 7556 PULTE GROUP INC COM 745867101 1 11996 SH DFND 36, 21 0 0 11996 QUAKER CHEM CORP COM 747316107 0 1116 SH DFND 17, 25 0 0 1116 QTS RLTY TR INC COM CL A 74736A103 0 3427 SH DFND 14, 17, 25, 28 0 0 3427 QUALCOMM INC COM 747525103 0 2177 SH DFND 5, 9, 10, 31, 36 0 0 2177 QUEST DIAGNOSTICS INC COM 74834L100 0 1904 SH DFND 17, 36, 45 0 0 1904 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1 8744 SH DFND 10, 11, 31, 29, 36 0 0 8744 REDFIN CORP COM 75737F108 0 5000 SH SOLE 0 0 5000 REGENERON PHARMACEUTICALS COM 75886F107 1 1616 SH DFND 20, 34, 36, 38, 40 0 0 1616 RESMED INC COM 761152107 1 5628 SH DFND 16, 17, 36, 46 0 0 5628 RIO TINTO PLC SPONSORED ADR 767204100 0 3994 SH DFND 20, 26, 28 0 0 3994 SPDR S&P 500 ETF TR TR UNIT 78462F103 3 7914 SH DFND 36 0 0 7914 SPDR GOLD TR GOLD SHS 78463V107 3 17724 SH SOLE 0 0 17724 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 0 12399 SH SOLE 0 0 12399 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 0 9900 SH DFND 8 0 0 9900 SPDR SER TR BLOOMBERG SRT TR 78468R408 0 12879 SH DFND 13 0 0 12879 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1 11411 SH DFND 13 0 0 11411 SALESFORCE COM INC COM 79466L302 2 6437 SH DFND 10, 31, 15, 30, 36, 38, 40 0 0 6437 SAP SE SPON ADR 803054204 1 3607 SH DFND 12, 31, 20, 26, 28, 30, 38, 43 0 0 3607 SCHLUMBERGER LTD COM 806857108 0 11934 SH DFND 36, 45 0 0 11934 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1 17492 SH DFND 8 0 0 17492 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1 10497 SH DFND 8 0 0 10497 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1 17580 SH DFND 8 0 0 17580 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1 7312 SH DFND 8 0 0 7312 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1 44249 SH DFND 8 0 0 44249 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1 9672 SH DFND 8 0 0 9672 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1 17320 SH DFND 8 0 0 17320 SERVICENOW INC COM 81762P102 1 2830 SH DFND 15, 36, 37, 38 0 0 2830 SHOPIFY INC CL A 82509L107 1 1008 SH DFND 31, 27, 46 0 0 1008 SIBANYE STILLWATER LTD SPONSORED ADR 82575P107 0 20076 SH DFND 20 0 0 20076 SIMON PPTY GROUP INC NEW COM 828806109 0 4254 SH DFND 3, 14, 28, 29, 36, 21 0 0 4254 SMITH & NEPHEW GROUP PLC SPDN ADR NEW 83175M205 1 21344 SH DFND 12, 20, 27, 46 0 0 21344 SOUTHERN CO COM 842587107 1 16358 SH DFND 11, 36, 21 0 0 16358 SQUARE INC CL A 852234103 1 5192 SH DFND 15 0 0 5192 STARBUCKS CORP COM 855244109 1 12308 SH DFND 7, 29, 30, 34, 36, 38 0 0 12308 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 2 22247 SH DFND 12, 31, 32, 26, 27, 43, 46 0 0 22247 TAL EDUCATION GROUP SPONSORED ADS 874080104 0 4766 SH DFND 20, 27 0 0 4766 TARGET CORP COM 87612E106 0 1554 SH DFND 10, 36, 21, 41 0 0 1554 TELADOC HEALTH INC COM 87918A105 0 1236 SH DFND 37 0 0 1236 TESLA INC COM 88160R101 1 2709 SH SOLE 0 0 2709 TETRA TECH INC NEW COM 88162G103 0 2856 SH DFND 17 0 0 2856 TEXAS INSTRS INC COM 882508104 0 2367 SH DFND 7, 10, 31, 18, 29, 30, 34, 36, 21, 41 0 0 2367 THERMO FISHER SCIENTIFIC INC COM 883556102 0 473 SH DFND 7, 31, 30, 36, 40 0 0 473 3M CO COM 88579Y101 0 2044 SH DFND 7, 36, 21 0 0 2044 UNION PAC CORP COM 907818108 0 1412 SH DFND 10, 34, 36, 40 0 0 1412 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 0 13242 SH DFND 27 0 0 13242 UNITED PARCEL SERVICE INC CL B 911312106 0 2310 SH DFND 11, 31, 36, 21, 41, 45 0 0 2310 UNITED RENTALS INC COM 911363109 1 3411 SH DFND 16, 34, 36, 21 0 0 3411 UNITEDHEALTH GROUP INC COM 91324P102 1 4391 SH DFND 10, 11, 31, 15, 19, 29, 36, 40 0 0 4391 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 1 44775 SH DFND 13 0 0 44775 VANGUARD BD INDEX FDS INTERMED TERM 921937819 0 3097 SH SOLE 0 0 3097 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 2 24339 SH DFND 35 0 0 24339 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 0 8324 SH SOLE 0 0 8324 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 0 8689 SH SOLE 0 0 8689 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 0 2549 SH SOLE 0 0 2549 VENTAS INC COM 92276F100 0 4955 SH DFND 14, 28, 29, 36, 21 0 0 4955 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 2 28000 SH SOLE 0 0 28000 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 0 1481 SH SOLE 0 0 1481 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1 8374 SH DFND 35 0 0 8374 VANGUARD INDEX FDS MID CAP ETF 922908629 0 1573 SH SOLE 0 0 1573 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1 4384 SH SOLE 0 0 4384 VANGUARD INDEX FDS TOTAL STK MKT 922908769 0 1295 SH SOLE 0 0 1295 VERASTEM INC COM 92337C104 0 30000 SH SOLE 0 0 30000 VERIZON COMMUNICATIONS INC COM 92343V104 4 71827 SH DFND 10, 29, 36, 41 0 0 71827 VERTEX PHARMACEUTICALS INC COM 92532F100 0 882 SH DFND 31, 34, 36, 37 0 0 882 VIACOMCBS INC CL B 92556H206 1 34835 SH DFND 11, 36, 42 0 0 34835 VISA INC COM CL A 92826C839 2 11005 SH DFND 7, 10, 31, 15, 18, 19, 34, 36, 37, 38, 40, 41 0 0 11005 WALMART INC COM 931142103 1 4080 SH DFND 9, 10, 29, 36 0 0 4080 WALGREENS BOOTS ALLIANCE INC COM 931427108 0 8040 SH DFND 5, 36, 21 0 0 8040 WELLTOWER INC COM 95040Q104 0 4795 SH DFND 3, 14, 36 0 0 4795 WISDOMTREE TR US MIDCAP DIVID 97717W505 0 8921 SH SOLE 0 0 8921 WISDOMTREE TR US SMALLCAP DIVD 97717W604 0 13952 SH SOLE 0 0 13952 WISDOMTREE TR CHINADIV EX FI 97717X719 0 2302 SH DFND 8 0 0 2302 WORKDAY INC CL A 98138H101 0 2211 SH DFND 37, 40 0 0 2211 XYLEM INC COM 98419M100 0 4617 SH DFND 5, 7, 16, 36 0 0 4617 XEROX HOLDINGS CORP COM NEW 98421M106 0 13598 SH DFND 36, 21 0 0 13598 ZOETIS INC CL A 98978V103 2 10099 SH DFND 1, 7, 31, 16, 19, 20, 30, 36, 38 0 0 10099 ZTO EXPRESS CAYMAN INC SPONSORED ADS A 98980A105 0 8769 SH DFND 20 0 0 8769 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 0 663 SH SOLE 0 0 663 AON PLC SHS CL A G0403H108 1 3502 SH DFND 7, 19, 30, 34, 36, 38, 46 0 0 3502 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3 11639 SH DFND 7, 11, 29, 30, 34, 36, 38, 21, 46 0 0 11639 EATON CORP PLC SHS G29183103 0 2084 SH DFND 10, 29, 36, 44 0 0 2084 ICON PLC SHS G4705A100 1 3713 SH DFND 31, 20, 27, 38, 46 0 0 3713 KINIKSA PHARMACEUTICALS LTD COM CL A G5269C101 0 21700 SH SOLE 0 0 21700 LINDE PLC SHS G5494J103 0 1170 SH DFND 7, 31, 18, 26, 30, 36, 21 0 0 1170 MEDTRONIC PLC SHS G5960L103 1 5037 SH DFND 5, 10, 31, 18, 29, 30, 34, 36 0 0 5037 NABRIVA THERAPEUTICS PLC SHS G63637105 0 36400 SH SOLE 0 0 36400 SEAGATE TECHNOLOGY PLC SHS G7945M107 0 4936 SH DFND 10, 31, 36, 21, 44 0 0 4936 UROVANT SCIENCES LTD SHS G9381B108 0 34388 SH SOLE 0 0 34388 ALCON AG ORD SHS H01301128 1 15155 SH DFND 5, 31, 26, 42, 43, 46 0 0 15155 CHUBB LIMITED COM H1467J104 9 80457 SH DFND 5, 9, 28, 29, 36 0 0 80457 ASML HOLDING N V N Y REGISTRY SHS N07059210 2 4207 SH DFND 12, 20, 34, 36, 43, 46 0 0 4207 FERRARI N V COM N3167Y103 1 3206 SH DFND 46 0 0 3206 INFLARX NV COM N44821101 0 16888 SH SOLE 0 0 16888