Chief Compliance Manager

0001437749-21-002298.txt : 20210209 0001437749-21-002298.hdr.sgml : 20210209 20210209121421 ACCESSION NUMBER: 0001437749-21-002298 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210209 DATE AS OF CHANGE: 20210209 EFFECTIVENESS DATE: 20210209 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: 21604862 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 12-31-2020 12-31-2020 PERSONAL CFO SOLUTIONS, LLC

384 MAIN STREET CHESTER NJ 07930

13F HOLDINGS REPORT 028-19618 N Justin Dausch Chief Compliance Manager 484-840-3707 /s/ Justin Dausch Chester NJ 02-09-2021 49 373 404092 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 48 028-00869 Principal Global Investors 49 028-01549 Fred Alger Management LLC INFORMATION TABLE 2 infotable_pcfollcq420.xml ABB LTD SPONSORED ADR 000375204 258 9216 SH DFND 13, 20, 30, 43 0 0 9216 ALPS ETF TR DISRUPTIVE TECH 00162Q478 225 4860 SH SOLE 0 0 4860 AT&T INC COM 00206R102 2054 71430 SH DFND 9, 10, 36, 21, 0 0 71430 ARK ETF TR INNOVATION ETF 00214Q104 2347 18855 SH SOLE 0 0 18855 ARK ETF TR AUTNMUS TECHNLGY 00214Q203 491 6437 SH SOLE 0 0 6437 ARK ETF TR GENOMIC REV ETF 00214Q302 1353 14509 SH SOLE 0 0 14509 ARK ETF TR NEXT GNRTN INTER 00214Q401 2825 19304 SH SOLE 0 0 19304 ARK ETF TR FINTECH INNOVA 00214Q708 1964 39518 SH SOLE 0 0 39518 ABBOTT LABS COM 002824100 2426 22156 SH DFND 9, 11, 18, 29, 36, 38, 40 0 0 22156 ABBVIE INC COM 00287Y109 472 4407 SH DFND 5, 9, 10, 31, 36, 45 0 0 4407 ACADIA PHARMACEUTICALS INC COM 004225108 1165 21800 SH SOLE 0 0 21800 ACTIVISION BLIZZARD INC COM 00507V109 355 3828 SH DFND 5, 11, 15, 34, 36, 45 0 0 3828 ADAPTIVE BIOTECHNOLOGIES COR COM 00650F109 2538 42916 SH SOLE 0 0 42916 ADAPTIMMUNE THERAPEUTICS PLC SPONDS ADR 00653A107 64 11888 SH SOLE 0 0 11888 ADOBE SYSTEMS INCORPORATED COM 00724F101 3002 6002 SH DFND 5, 7, 10, 31, 15, 19, 36, 37, 38, 0 0 6002 ADVAXIS INC COM NEW 007624307 10 28888 SH SOLE 0 0 28888 ADVISORSHARES TR ADVISORSHS ETF 00768Y206 910 14953 SH SOLE 0 0 14953 AEGLEA BIOTHERAPEUTICS INC COM 00773J103 90 11388 SH SOLE 0 0 11388 AILERON THERAPEUTICS INC COM 00887A105 35 33500 SH SOLE 0 0 33500 AIR PRODS & CHEMS INC COM 009158106 201 735 SH DFND 7, 20, 29, 36, 41, 21 0 0 735 ALEXION PHARMACEUTICALS INC COM 015351109 224 1433 SH DFND 10, 31, 36, 42 0 0 1433 ALGONQUIN PWR UTILS CORP COM 015857105 238 14488 SH DFND 17 0 0 14488 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 630 2705 SH DFND 12, 31, 15, 19, 26, 27, 28, 36, 37, 38, 43 0 0 2705 ALIGN TECHNOLOGY INC COM 016255101 1103 2065 SH DFND 15, 36, 38 0 0 2065 ALLSTATE CORP COM 020002101 491 4469 SH DFND 5, 10, 36, 42, 45, 21 0 0 4469 ALPHABET INC CAP STK CL C 02079K107 5573 3181 SH DFND 7, 10, 36, 37, 38, 40, 41, 1 0 0 3181 ALPHABET INC CAP STK CL A 02079K305 4696 2679 SH DFND 10, 19, 30, 34, 36, 37, 38, 0 0 2679 ALTRIA GROUP INC COM 02209S103 830 20253 SH DFND 29, 36, 21, 41, 44 0 0 20253 AMAZON COM INC COM 023135106 5462 1677 SH DFND 10, 31, 15, 19, 20, 34, 36, 37, 40 0 0 1677 AMBEV SA SPONSORED ADR 02319V103 40 13020 SH DFND 26 0 0 13020 AMERICAN EXPRESS CO COM 025816109 569 4710 SH DFND 29, 30, 36, 40, 21 0 0 4710 AMERICAN TOWER CORP NEW COM 03027X100 243 1082 SH DFND 7, 10, 14, 28, 36, 1 0 0 1082 AMERICOLD RLTY TR COM 03064D108 240 6439 SH DFND 3, 31, 14, 17 0 0 6439 AMGEN INC COM 031162100 406 1767 SH DFND 5, 9, 10, 11, 31, 29, 36, 44, 21 0 0 1767 AMPLIFY ETF TR ONLIN RETL ETF 032108102 6244 54620 SH SOLE 0 0 54620 AMPLIFY ETF TR BLACKSWAN GRWT 032108888 230 7000 SH SOLE 0 0 7000 ANALOG DEVICES INC COM 032654105 257 1740 SH DFND 11, 29, 30, 36 0 0 1740 ANSYS INC COM 03662Q105 244 672 SH DFND 5, 34, 36, 46, 49 0 0 672 APPLE INC COM 037833100 9783 73726 SH DFND 9, 10, 11, 31, 20, 29, 30, 34, 36, 41, 22 0 0 73726 APPLIED MATLS INC COM 038222105 227 2634 SH DFND 10, 15, 30, 36 0 0 2634 ARCHER DANIELS MIDLAND CO COM 039483102 269 5344 SH DFND 5, 18, 36, 45 0 0 5344 ARDELYX INC COM 039697107 388 60000 SH SOLE 0 0 60000 ARGENX SE SPONSORED ADR 04016X101 516 1753 SH DFND 20 0 0 1753 ASTRAZENECA PLC SPONSORED ADR 046353108 230 4602 SH DFND 20 0 0 4602 AUTODESK INC COM 052769106 1942 6359 SH DFND 31, 16, 34, 36, 38, 40 0 0 6359 AUTOMATIC DATA PROCESSING IN COM 053015103 345 1956 SH DFND 19, 29, 36, 38, 1 0 0 1956 AVEO PHARMACEUTICALS INC COM NEW 053588307 75 13000 SH SOLE 0 0 13000 BWX TECHNOLOGIES INC COM 05605H100 253 4193 SH DFND 11, 17 0 0 4193 BADGER METER INC COM 056525108 244 2594 SH DFND 17 0 0 2594 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 58 11686 SH DFND 26 0 0 11686 BANCO SANTANDER S.A. ADR 05964H105 50 16450 SH DFND 32, 30 0 0 16450 BK OF AMERICA CORP COM 060505104 370 12212 SH DFND 9, 11, 18, 29, 30, 36 0 0 12212 BANK OZK COM 06417N103 245 7848 SH DFND 17, 48 0 0 7848 BERKLEY W R CORP COM 084423102 474 7135 SH DFND 36 0 0 7135 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 609 2625 SH DFND 18, 36, 41 0 0 2625 BEST BUY INC COM 086516101 579 5799 SH DFND 10, 29, 36, 21 0 0 5799 BIOCRYST PHARMACEUTICALS INC COM 09058V103 784 105178 SH SOLE 0 0 105178 BIOGEN INC COM 09062X103 556 2272 SH DFND 31, 36, 21 0 0 2272 BLACK KNIGHT INC COM 09215C105 259 2932 SH DFND 5, 31, 45, 48 0 0 2932 BLACKROCK INC COM 09247X101 223 309 SH DFND 29,36, 41 0 0 309 BLUEBIRD BIO INC COM 09609G100 372 8600 SH SOLE 0 0 8600 BOEING CO COM 097023105 13391 62556 SH DFND 36 0 0 62556 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 293 3364 SH DFND 5, 16, 25, 45 0 0 3364 BRISTOL-MYERS SQUIBB CO COM 110122108 1024 16510 SH DFND 5, 9, 10, 15, 29, 36, 41, 45 0 0 16510 BROADCOM INC COM 11135F101 471 1077 SH DFND 10, 11, 31, 16, 27, 36, 44 0 0 1077 BRUNSWICK CORP COM 117043109 250 3281 SH DFND 17, 48 0 0 3281 CIGNA CORP NEW COM 125523100 524 2518 SH DFND 10, 34, 36, 21 0 0 2518 CMC MATERIALS INC COM 12571T100 258 1705 SH DFND 2, 17 0 0 1705 CNA FINL CORP COM 126117100 538 13797 SH SOLE 0 0 13797 CRH PLC ADR 12626K203 204 4788 SH DFND 20 0 0 4788 CALAVO GROWERS INC COM 128246105 205 2952 SH DFND 17 0 0 2952 CARRIER GLOBAL CORPORATION COM 14448C104 454 12032 SH DFND 18, 36 0 0 12032 CEMEX SAB DE CV SPON ADR NEW 151290889 201 38888 SH DFND 20 0 0 38888 CERUS CORP COM 157085101 290 41838 SH SOLE 0 0 41838 CHEMED CORP NEW COM 16359R103 314 590 SH DFND 17, 25 0 0 590 CHEVRON CORP NEW COM 166764100 647 7662 SH DFND 9, 10, 11, 18, 29, 36, 41, 44 0 0 7662 CISCO SYS INC COM 17275R102 472 10549 SH DFND 9, 10, 30, 36, 41, 44, 21 0 0 10549 CITIGROUP INC COM NEW 172967424 322 5227 SH DFND 10, 29, 36, 43 0 0 5227 COCA COLA CO COM 191216100 881 16070 SH DFND 5, 9, 29, 30, 36, 41, 21 0 0 16070 COHEN & STEERS INC COM 19247A100 246 3312 SH DFND 17, 25 0 0 3312 COMCAST CORP NEW CL A 20030N101 1016 19394 SH DFND 10, 11, 31, 18, 29, 34, 36, 41, 21 0 0 19394 COMERICA INC COM 200340107 310 5558 SH DFND 5, 36, 45, 21 0 0 5558 COMPASS MINERALS INTL INC COM 20451N101 283 4578 SH DFND 25 0 0 4578 CONOCOPHILLIPS COM 20825C104 228 5699 SH DFND 10, 11, 29, 30, 36, 44 0 0 5699 CORE MARK HOLDING CO INC COM 218681104 201 6831 SH DFND 2, 17 0 0 6831 CORTEVA INC COM 22052L104 216 5583 SH DFND 5, 36, 42 0 0 5583 CROWN HLDGS INC COM 228368106 222 2219 SH DFND 5, 45 0 0 2219 DBX ETF TR XTRACK MSCI EAFE 233051200 269 8002 SH SOLE 0 0 8002 DBX ETF TR XTRACK USD HIGH 233051432 327 6524 SH DFND 13 0 0 6524 DBV TECHNOLOGIES S A SPONSORED ADR 23306J101 50 19088 SH SOLE 0 0 19088 DTE ENERGY CO COM 233331107 412 3395 SH DFND 5, 31, 36, 45 0 0 3395 DANAHER CORPORATION COM 235851102 425 1913 SH DFND 5, 20, 30, 34, 36, 40 0 0 1913 DAVITA INC COM 23918K108 803 6840 SH DFND 5, 36, 21, 45 0 0 6840 DEVON ENERGY CORP NEW COM 25179M103 240 15157 SH DFND 5, 36, 45 0 0 15157 DISNEY WALT CO COM 254687106 461 2544 SH DFND 11, 31, 18, 30, 36, 40, 43 0 0 2544 DISCOVERY INC COM SER A 25470F104 615 20449 SH DFND 10, 31, 34, 36 0 0 20449 DR REDDYS LABS LTD ADR 256135203 311 4361 SH DFND 20, 27 0 0 4361 DOLLAR GEN CORP NEW COM 256677105 1186 5641 SH DFND 5, 7, 10, 30, 36, 38, 45 0 0 5641 DUKE ENERGY CORP NEW COM NEW 26441C204 512 5594 SH DFND 36, 21 0 0 5594 DUPONT DE NEMOURS INC COM 26614N102 208 2924 SH DFND 11, 36 0 0 2924 DYNATRACE INC COM NEW 268150109 248 5728 SH DFND 5, 45 0 0 5728 EDAP TMS S A SPONSORED ADR 268311107 233 45000 SH DFND 36 0 0 45000 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 466 8094 SH SOLE 0 0 8094 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 684 10288 SH SOLE 0 0 10288 EASTMAN CHEM CO COM 277432100 492 4907 SH DFND 11, 36, 21 0 0 4907 EMERSON ELEC CO COM 291011104 340 4237 SH DFND 9, 36, 44 0 0 4237 ENCOMPASS HEALTH CORP COM 29261A100 315 3811 SH DFND 17, 27 0 0 3811 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 199 32141 SH DFND 33 0 0 32141 ENSIGN GROUP INC COM 29358P101 363 4972 SH DFND 17 0 0 4972 ENTERPRISE PRODS PARTNERS L COM 293792107 288 14677 SH DFND 33 0 0 14677 ENVIVA PARTNERS LP COM UNIT 29414J107 363 8000 SH SOLE 0 0 8000 EQUINIX INC COM 29444U700 262 367 SH DFND 3, 10, 31, 14, 16, 28, 36, 40 0 0 367 EVERCORE INC CLASS A 29977A105 280 2556 SH DFND 17, 22 0 0 2556 EXPONENT INC COM 30214U102 227 2518 SH DFND 17, 25 0 0 2518 EXTRA SPACE STORAGE INC COM 30225T102 271 2338 SH DFND 3, 5, 10, 14, 28, 36, 45 0 0 2338 EXXON MOBIL CORP COM 30231G102 439 10640 SH SOLE 0 0 10640 FMC CORP COM NEW 302491303 292 2541 SH DFND 5, 36, 45, 48 0 0 2541 FACEBOOK INC CL A 30303M102 3830 14020 SH DFND 10, 31, 15, 18, 19, 20, 34, 36, 37, 38, 40, 1 0 0 14020 FIDELITY COVINGTON TRUST CONSMR STAPLES 316092303 331 8133 SH SOLE 0 0 8133 FIDELITY COVINGTON TRUST MSCI FINLS IDX 316092501 222 5257 SH SOLE 0 0 5257 FIDELITY COVINGTON TRUST MSCI HLTH CARE I 316092600 5276 91359 SH SOLE 0 0 91359 FIDELITY COVINGTON TRUST MSCI INDL INDX 316092709 4274 90909 SH SOLE 0 0 90909 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 5342 51110 SH SOLE 0 0 51110 FIDELITY COVINGTON TRUST HIGH DIVID ETF 316092840 2195 68378 SH SOLE 0 0 68378 FIDELITY COVINGTON TRUST MSCI RL EST ETF 316092857 1295 51027 SH DFND 8 0 0 51027 FIDELITY COVINGTON TRUST MSCI UTILS INDEX 316092865 1183 29159 SH DFND 8 0 0 29159 FIDELITY MERRIMACK STR TR TOTAL BD ETF 316188309 2199 40539 SH SOLE 0 0 40539 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 225 1061 SH DFND 8 0 0 1061 FORTINET INC COM 34959E109 446 3000 SH DFND 5, 10, 16, 19, 36, 45, 21 0 0 3000 GARTNER INC COM 366651107 761 4751 SH DFND 7, 25, 36, 38 0 0 4751 GENERAL DYNAMICS CORP COM 369550108 1527 10264 SH DFND 5, 29, 36, 21 0 0 10264 GENERAL ELECTRIC CO COM 369604103 204 18887 SH DFND 36 0 0 18887 GENUINE PARTS CO COM 372460105 462 4601 SH DFND 36, 21, 44 0 0 4601 GILEAD SCIENCES INC COM 375558103 510 8752 SH DFND 10, 11, 18, 36, 21, 44 0 0 8752 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 285 8615 SH SOLE 0 0 8615 GLOBAL X FDS MILL THEMC ETF 37954Y764 1417 37883 SH SOLE 0 0 37883 GOLD FIELDS LTD SPONSORED ADR 38059T106 377 40658 SH DFND 20 0 0 40658 GOLDMAN SACHS GROUP INC COM 38141G104 661 2507 SH DFND 10, 36 0 0 2507 HCA HEALTHCARE INC COM 40412C101 512 3113 SH DFND 36, 21 0 0 3113 HDFC BANK LTD SPONSORED ADS 40415F101 1731 23956 SH DFND 20, 26, 27, 46 0 0 23956 HP INC COM 40434L105 648 26356 SH DFND 36, 21, 44 0 0 26356 HARSCO CORP COM 415864107 360 20000 SH SOLE 0 0 20000 HESS CORP COM 42809H107 551 10434 SH DFND 36 0 0 10434 HOME BANCSHARES INC COM 436893200 221 11337 SH DFND 17 0 0 11337 HOME DEPOT INC COM 437076102 651 2451 SH DFND 11, 31, 20, 29, 30, 36, 41, 21 0 0 2451 HONEYWELL INTL INC COM 438516106 533 2507 SH DFND 11, 18, 29, 30, 36 0 0 2507 HUAZHU GROUP LTD SPONSORED ADS 44332N106 200 4452 SH DFND 20 0 0 4452 HUMANA INC COM 444859102 520 1267 SH DFND 18, 30, 36, 21 0 0 1267 HUNTINGTON BANCSHARES INC COM 446150104 300 23785 SH DFND 5, 36, 45, 21 0 0 23785 HUNTINGTON INGALLS INDS INC COM 446413106 554 3251 SH DFND 16, 17, 36, 21, 42 0 0 3251 ITT INC COM 45073V108 17700 229812 SH DFND 36 0 0 229812 ILLUMINA INC COM 452327109 1085 2932 SH DFND 15, 36, 38, 40 0 0 2932 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 4678 140353 SH SOLE 0 0 140353 INNOVATIVE INDL PPTYS INC COM 45781V101 297 1624 SH DFND 17 0 0 1624 INNOVATOR ETFS TR NASDAQ 100 PWER 45782C276 212 4745 SH SOLE 0 0 4745 INNOVATOR ETFS TR RUSSELL 2000 P 45782C474 4387 151292 SH SOLE 0 0 151292 INNOVATOR ETFS TR MSCI EMGR MKT 45782C516 1055 35106 SH SOLE 0 0 35106 INNOVATOR ETFS TR MSCI EAFE PWR 45782C524 5521 216162 SH SOLE 0 0 216162 INNOVATOR ETFS TR S&P 500 PWR BU 45782C540 17720 611045 SH SOLE 0 0 611045 INNOVATOR ETFS TR S&P 500 BUFFER E 45782C557 5452 178657 SH SOLE 0 0 178657 INNOVATOR ETFS TR NASDAQ 100 PWR 45782C615 3206 88787 SH SOLE 0 0 88787 INNOVATOR ETFS TR S&P 500 PWR 45782C656 7819 280047 SH SOLE 0 0 280047 INNOVATOR ETFS TR S&P 500 BUFFER 45782C664 3099 106336 SH SOLE 0 0 106336 INNOVATOR ETFS TR S&P 500 PWR BU 45782C680 254 8985 SH SOLE 0 0 8985 INTEL CORP COM 458140100 1051 21091 SH DFND 9, 10, 36, 21, 41 0 0 21091 INTERNATIONAL BUSINESS MACHS COM 459200101 664 5272 SH DFND 29, 36, 21 0 0 5272 INVESCO QQQ TR UNIT SER 1 46090E103 1182 3769 SH SOLE 0 0 3769 INTUIT COM 461202103 259 683 SH DFND 7, 15, 19, 34, 36, 40, 21 0 0 683 INTUITIVE SURGICAL INC COM NEW 46120E602 866 1059 SH DFND 7, 36, 37, 38, 40 0 0 1059 INVESCO EXCHANGE TRADED FD T DYNMC SOFTWARE 46137V639 625 4060 SH SOLE 0 0 4060 ISHARES TR S&P 100 ETF 464287101 306 1784 SH SOLE 0 0 1784 ISHARES TR CORE S&P500 ETF 464287200 4086 10883 SH SOLE 0 0 10883 ISHARES TR S&P 500 GRWT ETF 464287309 1405 22019 SH SOLE 0 0 22019 ISHARES TR S&P 500 VAL ETF 464287408 1125 8787 SH SOLE 0 0 8787 ISHARES TR 1 3 YR TREAS BD 464287457 1594 18451 SH DFND 20 0 0 18451 ISHARES TR MSCI EAFE ETF 464287465 470 6446 SH DFND 12 0 0 6446 ISHARES TR RUS MID CAP ETF 464287499 248 3617 SH DFND 36 0 0 3617 ISHARES TR CORE S&P MCP ETF 464287507 497 2163 SH SOLE 0 0 2163 ISHARES TR EXPANDED TECH 464287515 556 1569 SH SOLE 0 0 1569 ISHARES TR RUS 1000 VAL ETF 464287598 1105 8082 SH DFND 10, 11, 29, 21 0 0 8082 ISHARES TR RUS 1000 GRW ETF 464287614 497 2062 SH DFND 38 0 0 2062 ISHARES TR RUSSELL 2000 ETF 464287655 514 2620 SH SOLE 0 0 2620 ISHARES TR CORE S&P SCP ETF 464287804 643 6995 SH SOLE 0 0 6995 ISHARES TR IBOXX HI YD ETF 464288513 1859 21299 SH DFND 13, 20, 35 0 0 21299 ISHARES TR CORE MSCI EAFE 46432F842 230 3334 SH SOLE 0 0 3334 ISHARES INC CORE MSCI EMKT 46434G103 399 6433 SH SOLE 0 0 6433 ISHARES INC MSCI JPN ETF NEW 46434G822 225 3334 SH SOLE 0 0 3334 ISHARES TR MSCI UK ETF NEW 46435G334 262 8956 SH SOLE 0 0 8956 ISHARES TR BROAD USD HIGH 46435U853 329 7970 SH DFND 13 0 0 7970 IVERIC BIO INC COM 46583P102 83 12000 SH SOLE 0 0 12000 J & J SNACK FOODS CORP COM 466032109 210 1350 SH DFND 17 0 0 1350 JPMORGAN CHASE & CO COM 46625H100 887 6981 SH DFND 5, 9, 11, 18, 30, 34, 36, 43 0 0 6981 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 305 6000 SH SOLE 0 0 6000 JOHNSON & JOHNSON COM 478160104 1879 11936 SH DFND 9, 10, 11, 29, 30, 36, 41, 44 0 0 11936 KB FINL GROUP INC SPONSORED ADR 48241A105 213 5374 SH DFND 20, 27 0 0 5374 KIMBERLY-CLARK CORP COM 494368103 306 2272 SH DFND 9, 18, 36, 21 0 0 2272 KINDER MORGAN INC DEL COM 49456B101 156 11408 SH DFND 9, 33, 36, 44, 21 0 0 11408 KODIAK SCIENCES INC COM 50015M109 250 1700 SH SOLE 0 0 1700 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 207 3817 SH DFND 12, 20 0 0 3817 KROGER CO COM 501044101 392 12330 SH DFND 10, 36, 21 0 0 12330 L BRANDS INC COM 501797104 270 7248 SH DFND 5, 20, 36, 45 0 0 7248 LKQ CORP COM 501889208 521 14787 SH DFND 36, 21, 42 0 0 14787 L3HARRIS TECHNOLOGIES INC COM 502431109 1317 6966 SH DFND 11, 31, 18, 36, 43 0 0 6966 LEAP THERAPEUTICS INC COM 52187K101 165 73165 SH SOLE 0 0 73165 LEMAITRE VASCULAR INC COM 525558201 248 6117 SH DFND 17 0 0 6117 LENNAR CORP CL A 526057104 585 7679 SH DFND 5, 36, 21 0 0 7679 LILLY ELI & CO COM 532457108 359 2125 SH DFND 10, 29, 36, 44, 21 0 0 2125 LITTELFUSE INC COM 537008104 260 1020 SH DFND 17, 22, 48 0 0 1020 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 40 20181 SH DFND 32 0 0 20181 LOCKHEED MARTIN CORP COM 539830109 246 693 SH DFND 5, 9, 10, 36, 44, 45, 21 0 0 693 LOWES COS INC COM 548661107 525 3270 SH DFND 7, 10, 11, 30, 36, 41, 21 0 0 3270 LULULEMON ATHLETICA INC COM 550021109 1326 3809 SH DFND 5, 45, 46 0 0 3809 MSC INDL DIRECT INC CL A 553530106 292 3461 SH DFND 17, 44 0 0 3461 MSCI INC COM 55354G100 643 1439 SH DFND 15, 20, 36, 38, 40, 46 0 0 1439 MANTECH INTL CORP CL A 564563104 238 2674 SH DFND 17 0 0 2674 MARKETAXESS HLDGS INC COM 57060D108 501 879 SH DFND 5, 17, 25, 36, 37, 45, 21 0 0 879 MASTERCARD INCORPORATED CL A 57636Q104 2167 6070 SH DFND 7, 10, 19, 34, 36, 37, 38, 43, 1 0 0 6070 MCDONALDS CORP COM 580135101 426 1986 SH DFND 9, 11, 29, 30, 36 0 0 1986 MCKESSON CORP COM 58155Q103 1509 8676 SH DFND 36, 21 0 0 8676 MEDICAL PPTYS TRUST INC COM 58463J304 241 11067 SH DFND 5, 14, 45 0 0 11067 MERCADOLIBRE INC COM 58733R102 2663 1590 SH DFND 20, 27, 28, 46 0 0 1590 MERCK & CO. INC COM 58933Y105 3605 44074 SH DFND 9, 10, 29, 36, 41, 21 0 0 44074 METAURUS EQUITY COMPONENT TR US EQT CUM 2027 59140L100 539 53472 SH DFND 23 0 0 53472 METTLER TOLEDO INTERNATIONAL COM 592688105 1011 887 SH DFND 16, 27, 36, 46 0 0 887 MICROSOFT CORP COM 594918104 6488 29171 SH DFND 5, 7, 9, 10, 11, 31, 19, 29, 30, 34, 36, 38, 40, 41, 1, 21 0 0 29171 MODERNA INC COM 60770K107 246 2359 SH SOLE 0 0 2359 MOHAWK INDS INC COM 608190104 510 3621 SH DFND 36, 21 0 0 3621 MONDELEZ INTL INC CL A 609207105 354 6055 SH DFND 7, 18, 29, 30, 36 0 0 6055 MONRO INC COM 610236101 222 4157 SH DFND 17 0 0 4157 MORGAN STANLEY COM NEW 617446448 427 6230 SH DFND 10, 18, 29, 36 0 0 6230 MORNINGSTAR INC COM 617700109 233 1008 SH DFND 10, 17, 27, 48 0 0 1008 NRG ENERGY INC COM NEW 629377508 592 15766 SH DFND 10, 36, 21, 44 0 0 15766 NEOLEUKIN THERAPEUTICS INC COM 64049K104 264 18710 SH SOLE 0 0 18710 NETAPP INC COM 64110D104 278 4191 SH DFND 5, 36, 44, 45 0 0 4191 NETFLIX INC COM 64110L106 668 1236 SH DFND 34, 36 0 0 1236 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 306 1645 SH DFND 15, 20, 38 0 0 1645 NEXSTAR MEDIA GROUP INC CL A 65336K103 266 2436 SH DFND 10, 17 0 0 2436 NICE LTD SPONSORED ADR 653656108 620 2186 SH DFND 20 0 0 2186 NIKE INC CL B 654106103 1300 9187 SH DFND 7, 11, 15, 36, 38, 40, 46, 1 0 0 9187 NORFOLK SOUTHN CORP COM 655844108 858 3609 SH DFND 9, 29, 30, 36, 41 0 0 3609 NORTHROP GRUMMAN CORP COM 666807102 245 804 SH DFND 10, 29, 36 0 0 804 NORTONLIFELOCK INC COM 668771108 208 10031 SH DFND 5, 36, 45 0 0 10031 NOVARTIS AG SPONSORED ADR 66987V109 273 2895 SH DFND 5, 11, 31, 32, 28, 30 0 0 2895 NOVO-NORDISK A S ADR 670100205 308 4407 SH DFND 11, 31, 20 0 0 4407 NVIDIA CORPORATION COM 67066G104 618 1183 SH DFND 5, 10, 11, 31, 15, 20, 34, 36, 45 0 0 1183 NUVEEN AMT FREE MUN CR INC F COM 67071L106 328 19552 SH SOLE 0 0 19552 OSI ETF TR OSHARES US QUALT 67110P407 459 11999 SH DFND 8 0 0 11999 OMNICOM GROUP INC COM 681919106 549 8807 SH DFND 36, 21, 44 0 0 8807 ONEOK INC NEW COM 682680103 328 8535 SH DFND 5, 36, 45, 21 0 0 8535 ORACLE CORP COM 68389X105 261 4039 SH DFND 10,36 0 0 4039 PNC FINL SVCS GROUP INC COM 693475105 322 2164 SH DFND 5, 9, 10, 11, 29, 30, 36 0 0 2164 PALANTIR TECHNOLOGIES INC CL A 69608A108 203 8623 SH SOLE 0 0 8623 PARKER-HANNIFIN CORP COM 701094104 320 1175 SH DFND 5, 10, 18, 29, 36 0 0 1175 PAYPAL HLDGS INC COM 70450Y103 2190 9352 SH DFND 5, 10, 15, 19, 36, 38, 40 0 0 9352 PEPSICO INC COM 713448108 441 2976 SH DFND 7, 10, 11, 18, 29, 30, 34, 36 0 0 2976 PERKINELMER INC COM 714046109 254 1768 SH DFND 5, 36, 45 0 0 1768 PFIZER INC COM 717081103 994 26994 SH DFND 9, 10, 18, 29, 36, 41, 21 0 0 26994 PHILIP MORRIS INTL INC COM 718172109 352 4253 SH DFND 10, 18, 29, 36, 41, 44, 21 0 0 4253 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 331 3369 SH DFND 13 0 0 3369 POWER INTEGRATIONS INC COM 739276103 310 3790 SH DFND 17, 25 0 0 3790 PRELUDE THERAPEUTICS INC COM 74065P101 322 4500 SH SOLE 0 0 4500 PROCTER AND GAMBLE CO COM 742718109 1047 7522 SH DFND 5, 9, 10, 11, 18, 29, 30, 36, 45 0 0 7522 PROG HOLDINGS INC COM NPV 74319R101 228 4237 SH DFND 17 0 0 4237 PROSHARES TR S&P MDCP 400 DIV 74347B680 724 11507 SH SOLE 0 0 11507 PROSHARES TR PSHS ULTRUSS2000 74347R842 18373 205036 SH DFND 6 0 0 205036 PROSHARES TR HD REPLICATION 74347X294 4103 81896 SH SOLE 0 0 81896 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 453 7769 SH DFND 29, 36 0 0 7769 PULTE GROUP INC COM 745867101 465 10794 SH DFND 36, 21, 0 0 10794 QUAKER CHEM CORP COM 747316107 291 1149 SH DFND 17, 25 0 0 1149 QTS RLTY TR INC COM CL A 74736A103 230 3716 SH DFND 3, 14, 17, 25, 28 0 0 3716 QUALCOMM INC COM 747525103 358 2353 SH DFND 5, 9, 10, 31, 36 0 0 2353 QUANTA SVCS INC COM 74762E102 488 6780 SH DFND 36, 21 0 0 6780 QUEST DIAGNOSTICS INC COM 74834L100 516 4326 SH DFND 5, 17, 36, 45 0 0 4326 RAYTHEON TECHNOLOGIES CORP COM 75513E101 572 7997 SH DFND 10, 11, 31, 29, 36, 21 0 0 7997 REDFIN CORP COM 75737F108 343 5000 SH SOLE 0 0 5000 REGENERON PHARMACEUTICALS COM 75886F107 822 1701 SH DFND 34, 36, 38, 40 0 0 1701 RENAISSANCE CAP GREENWICH FD IPO ETF 759937204 1014 15716 SH SOLE 0 0 15716 RESMED INC COM 761152107 1177 5538 SH DFND 16, 36, 46 0 0 5538 RIO TINTO PLC SPONSORED ADR 767204100 318 4231 SH DFND 20, 26, 28, 0 0 4231 RYANAIR HOLDINGS PLC SPONSORED ADS 783513203 206 1876 SH DFND 20, 30 0 0 1876 SPDR S&P 500 ETF TR TR UNIT 78462F103 3205 8571 SH DFND 23, 36 0 0 8571 SPDR GOLD TR GOLD SHS 78463V107 2673 14985 SH DFND 23 0 0 14985 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 434 10399 SH SOLE 0 0 10399 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 334 9900 SH DFND 8 0 0 9900 SPDR SER TR BLOOMBERG SRT TR 78468R408 365 13544 SH DFND 13 0 0 13544 SPDR SER TR BLOOMBERG BRCLYS 78468R622 1307 12001 SH DFND 13 0 0 12001 SPDR SER TR SSGA US SMAL ETF 78468R887 239 2500 SH SOLE 0 0 2500 SALESFORCE COM INC COM 79466L302 1422 6392 SH DFND 31,15, 30, 36, 38, 40 0 0 6392 SAP SE SPON ADR 803054204 352 2698 SH DFND 12, 26, 38 0 0 2698 SCHLUMBERGER LTD COM 806857108 261 11944 SH DFND 5, 36, 45, 0 0 11944 SCHWAB CHARLES CORP COM 808513105 273 5143 SH DFND 1, 7, 18, 29 0 0 5143 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1250 17274 SH DFND 8 0 0 17274 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1164 10263 SH DFND 8 0 0 10263 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1201 17810 SH DFND 8 0 0 17810 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1162 7228 SH DFND 8 0 0 7228 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1288 43698 SH DFND 8 0 0 43698 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1205 9270 SH DFND 8 0 0 9270 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1140 16896 SH DFND 8 0 0 16896 SERVICENOW INC COM 81762P102 1617 2938 SH DFND 15, 36, 37, 38, 46 0 0 2938 SIBANYE STILLWATER LTD SPONSORED ADR 82575P107 321 20176 SH DFND 20 0 0 20176 SIRIUS XM HOLDINGS INC COM 82968B103 95 14952 SH DFND 19, 44 0 0 14952 SMITH & NEPHEW PLC SPDN ADR NEW 83175M205 854 20245 SH DFND 12, 27, 46 0 0 20245 SOCIEDAD QUIMICA Y MINERA DE SPON ADR SER B 833635105 273 5571 SH DFND 31, 20, 27 0 0 5571 SONY CORP SPONSORED ADR 835699307 376 3720 SH DFND 5, 32, 20, 27, 43 0 0 3720 SOUTHERN CO COM 842587107 1025 16692 SH DFND 11, 36, 21 0 0 16692 SQUARE INC CL A 852234103 1130 5190 SH DFND 15 0 0 5190 STANDEX INTL CORP COM 854231107 234 3016 SH DFND 17 0 0 3016 STARBUCKS CORP COM 855244109 1456 13608 SH DFND 7, 29, 30, 34, 36, 38 0 0 13608 TJX COS INC NEW COM 872540109 234 3421 SH DFND 7, 18, 29, 36, 1 0 0 3421 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 2452 22486 SH DFND 12, 31, 32, 26, 27, 43, 46 0 0 22486 TAL EDUCATION GROUP SPONSORED ADS 874080104 359 5018 SH DFND 20, 27 0 0 5018 TARGET CORP COM 87612E106 276 1563 SH DFND 10, 36, 41, 21 0 0 1563 TELADOC HEALTH INC COM 87918A105 262 1312 SH DFND 10, 36 0 0 1312 TESLA INC COM 88160R101 2167 3071 SH DFND 36 0 0 3071 TEXAS INSTRS INC COM 882508104 446 2715 SH DFND 7, 10, 31, 18, 29, 30, 34, 36, 41, 21 0 0 2715 TEXTRON INC COM 883203101 219 4530 SH DFND 5, 36, 45 0 0 4530 THERMO FISHER SCIENTIFIC INC COM 883556102 245 525 SH DFND 7, 31, 30, 36, 40, 46 0 0 525 3M CO COM 88579Y101 349 1996 SH DFND 36, 21 0 0 1996 21VIANET GROUP INC SPONSORED ADS A 90138A103 300 8651 SH DFND 20 0 0 8651 TWITTER INC COM 90184L102 279 5151 SH DFND 5, 31, 36 0 0 5151 TYSON FOODS INC CL A 902494103 515 7989 SH DFND 5, 10, 11, 36, 21 0 0 7989 UNIFIRST CORP MASS COM 904708104 232 1096 SH DFND 17, 22, 41 0 0 1096 UNION PAC CORP COM 907818108 293 1408 SH DFND 10, 34, 36, 40 0 0 1408 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 112 13242 SH DFND 27 0 0 13242 UNITED PARCEL SERVICE INC CL B 911312106 394 2340 SH DFND 5, 11, 31, 36, 41, 45, 21 0 0 2340 UNITED RENTALS INC COM 911363109 547 2359 SH DFND 16, 34, 36, 21 0 0 2359 UNITEDHEALTH GROUP INC COM 91324P102 1668 4755 SH DFND 10,11, 31, 15, 19, 29, 36, 38, 40 0 0 4755 UNIVERSAL DISPLAY CORP COM 91347P105 206 895 SH DFND 17, 34 0 0 895 UNIVERSAL HLTH SVCS INC CL B 913903100 489 3555 SH DFND 36, 21, 48 0 0 3555 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 1510 47038 SH DFND 13 0 0 47038 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 479 3394 SH SOLE 0 0 3394 VANGUARD BD INDEX FDS INTERMED TERM 921937819 245 2639 SH SOLE 0 0 2639 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 2240 24474 SH DFND 35 0 0 24474 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 327 6526 SH SOLE 0 0 6526 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 438 7276 SH SOLE 0 0 7276 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 248 2549 SH SOLE 0 0 2549 VENTAS INC COM 92276F100 228 4640 SH DFND 3, 14, 28, 29, 36 0 0 4640 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 1545 28000 SH SOLE 0 0 28000 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 501 1459 SH SOLE 0 0 1459 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 610 7180 SH DFND 35 0 0 7180 VANGUARD INDEX FDS LARGE CAP ETF 922908637 564 3209 SH SOLE 0 0 3209 VANGUARD INDEX FDS TOTAL STK MKT 922908769 252 1295 SH SOLE 0 0 1295 VERASTEM INC COM 92337C104 85 40000 SH SOLE 0 0 40000 VERIZON COMMUNICATIONS INC COM 92343V104 4390 74721 SH DFND 10, 29, 36, 41, 44 0 0 74721 VERTEX PHARMACEUTICALS INC COM 92532F100 210 889 SH DFND 31, 36, 37 0 0 889 VIACOMCBS INC CL B 92556H206 1287 34548 SH DFND 11, 36, 42 0 0 34548 VIPSHOP HOLDINGS LIMITED SPONSORED ADS A 92763W103 237 8437 SH DFND 20 0 0 8437 VISA INC COM CL A 92826C839 2487 11371 SH DFND 7, 10, 31, 15, 18, 19, 30, 34, 36, 37, 38, 40, 41, 46 0 0 11371 WALMART INC COM 931142103 623 4319 SH DFND 9, 10, 29, 36 0 0 4319 WALGREENS BOOTS ALLIANCE INC COM 931427108 568 14254 SH DFND 5, 36, 21, 44 0 0 14254 WELLTOWER INC COM 95040Q104 296 4586 SH DFND 3, 14, 28, 36 0 0 4586 WHIRLPOOL CORP COM 963320106 422 2336 SH DFND 36, 21, 44 0 0 2336 WISDOMTREE TR US MIDCAP DIVID 97717W505 240 6904 SH SOLE 0 0 6904 WISDOMTREE TR US SMALLCAP DIVD 97717W604 371 13959 SH SOLE 0 0 13959 WISDOMTREE TR CHINADIV EX FI 97717X719 303 4604 SH DFND 8 0 0 4604 WORKDAY INC CL A 98138H101 277 1158 SH DFND 31, 37, 40 0 0 1158 XYLEM INC COM 98419M100 474 4657 SH DFND 5, 7, 36 0 0 4657 XEROX HOLDINGS CORP COM NEW 98421M106 528 22767 SH DFND 21 0 0 22767 ZOETIS INC CL A 98978V103 1762 10647 SH DFND 7, 31, 16, 19, 20, 30, 36, 38, 1 0 0 10647 AON PLC SHS CL A G0403H108 735 3480 SH DFND 7, 19, 30, 34, 36, 38, 46 0 0 3480 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3105 11888 SH DFND 7, 11, 29, 30, 34, 36, 38, 46, 21 0 0 11888 ICON PLC SHS G4705A100 731 3748 SH DFND 31, 20, 27, 38, 46 0 0 3748 KINIKSA PHARMACEUTICALS LTD COM CL A G5269C101 464 26238 SH SOLE 0 0 26238 LINDE PLC SHS G5494J103 373 1416 SH DFND 7, 10, 31, 18, 26, 36, 40, 43, 21 0 0 1416 MEDTRONIC PLC SHS G5960L103 566 4832 SH DFND 5, 10, 31, 18, 29, 30, 34, 36, 38 0 0 4832 ALCON AG ORD SHS H01301128 1003 15203 SH DFND 5, 31, 26, 46 0 0 15203 CHUBB LIMITED COM H1467J104 13833 89873 SH DFND 5, 9, 23, 29, 36, 46 0 0 89873 LOGITECH INTL S A SHS H50430232 282 2901 SH DFND 20, 27 0 0 2901 ASML HOLDING N V N Y REGISTRY SHS N07059210 2029 4159 SH DFND 12, 31, 20, 34, 36, 43, 46 0 0 4159 CNH INDL N V SHS N20944109 235 18285 SH DFND 5, 45 0 0 18285 FERRARI N V COM N3167Y103 741 3229 SH DFND 43, 46 0 0 3229 INFLARX NV COM N44821101 80 15888 SH SOLE 0 0 15888 NXP SEMICONDUCTORS N V COM N6596X109 224 1408 SH DFND 31, 20 0 0 1408