CHIEF COMPLIANCE OFFICER

0001763608-20-000001.txt : 20200131 0001763608-20-000001.hdr.sgml : 20200131 20200131162753 ACCESSION NUMBER: 0001763608-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200131 DATE AS OF CHANGE: 20200131 EFFECTIVENESS DATE: 20200131 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Capital Financial Planning, LLC CENTRAL INDEX KEY: 0001763608 IRS NUMBER: 050558883 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19406 FILM NUMBER: 20565441 BUSINESS ADDRESS: STREET 1: 6 TOWER PLACE CITY: ALBANY STATE: NY ZIP: 12203 BUSINESS PHONE: 5188674000 MAIL ADDRESS: STREET 1: 6 TOWER PLACE CITY: ALBANY STATE: NY ZIP: 12203 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001763608 XXXXXXXX 12-31-2019 12-31-2019 Capital Financial Planning, LLC

6 TOWER PLACE ALBANY NY 12203

13F HOLDINGS REPORT 028-19406 N Todd Slingerland CHIEF COMPLIANCE OFFICER (518) 867-4000 Todd Slingerland Albany NY 01-31-2020 2 87 160615 false 1 Assetmark 2 City National Rochdale INFORMATION TABLE 2 13F_CFP_2019Q4.xml SIRIUS XM COMMON STOCK 82968B103 77 10823 SH SOLE 0 0 10823 Bank of America Corp COMMON STOCK 060505104 205 5817 SH DFND 1,2 0 0 5817 Ultra S&P500 ProShares ETF 74347R107 218 1443 SH DFND 1 0 0 1443 iShares S&P Global Telecommunications ETF 464287275 222 3610 SH DFND 1 0 0 3610 Home Depot, Inc. COMMON STOCK 437076102 224 1028 SH DFND 1,2 0 0 1028 SPDR Bloomberg Barclays Shrt Trm Bd ETF 78464A474 225 7280 SH DFND 1 0 0 7280 Vanguard Small Cap Growth ETF ETF 922908595 233 1174 SH DFND 2 0 0 1174 SPDR Bloomberg TIPS ETF 78464A656 240 8398 SH DFND 1 0 0 8398 iShares New York Muni ETF 464288323 246 4312 SH DFND 2 0 0 4312 Vanguard Mortgage Backed Sec Idx ETF ETF 92206C771 253 4767 SH DFND 1 0 0 4767 Coca-Cola Company COMMON STOCK 191216100 258 4662 SH DFND 1,2 0 0 4662 Pepsico, Inc. COMMON STOCK 713448108 261 1911 SH DFND 2 233 0 1677 Vanguard High Dividend Yield Indx ETF 921946406 266 2836 SH DFND 1 0 0 2836 VANGUARD LARGE ETF 922908637 267 1807 SH SOLE 0 0 1807 iShares Core MSCI Emerging Mkts ETF 46434G103 284 5287 SH DFND 1 0 0 5287 Public Service Enter Group, Inc. COMMON STOCK 744573106 296 5005 SH DFND 1,2 0 0 5005 Automatic Data Processing, Inc. COMMON STOCK 053015103 314 1843 SH DFND 1 224 0 1619 SPDR S&P ETF 78464A698 317 5443 SH SOLE 0 0 5443 Johnson & Johnson COMMON STOCK 478160104 320 2192 SH DFND 1,2 734 0 1458 INTL BUSINESS COMMON STOCK 459200101 320 2388 SH SOLE 0 0 2388 JPMorgan Chase & Co COMMON STOCK 46625H100 321 2302 SH DFND 1,2 2 0 2300 SPDR SERIES ETF 78464A763 324 3008 SH SOLE 444 0 2564 McDonalds Corp COMMON STOCK 580135101 329 1664 SH DFND 2 132 0 1532 VANGUARD SHORT ETF 921937827 329 4083 SH SOLE 0 0 4083 VANGUARD MEGA ETF 921910873 335 2996 SH SOLE 0 0 2996 iShares Core S&P 500 ETF ETF 464287200 349 1081 SH DFND 1,2 0 0 1081 iShares S&P Global Financials ETF 464287333 370 5386 SH DFND 1 0 0 5386 Vanguard Total World Stock Index ETF ETF 922042742 371 4577 SH DFND 1 0 0 4577 iShares MSCI Brazil Capped Index ETF 464286400 385 8109 SH DFND 1 0 0 8109 iShares S&P Global Materials ETF 464288695 392 5812 SH DFND 1 0 0 5812 iShares GS Semiconductor Index ETF 464287523 397 1581 SH DFND 1 0 0 1581 GENERAL ELECTRIC COMMON STOCK 369604103 398 35701 SH SOLE 0 0 35701 ISHARES IBONDS ETF 46434VAX8 420 16446 SH SOLE 8282 0 8165 Procter & Gamble Company COMMON STOCK 742718109 423 3386 SH DFND 1,2 250 0 3136 ISHARES IBONDS ETF 46434VBG4 425 16526 SH SOLE 8319 0 8207 Alphabet, Inc. A COMMON STOCK 02079K305 427 319 SH DFND 1,2 0 0 319 iShares Barclays 1-3 Yr Trs Bond ETF 464287457 437 5165 SH DFND 1 0 0 5165 Vanguard FTSE All-World ex-US ETF ETF 922042775 443 8239 SH DFND 1 0 0 8239 AT&T, Inc. COMMON STOCK 00206R102 456 11675 SH DFND 1,2 516 0 11158 Deutsche X Trackers USD Corp COMMON STOCK 233051432 466 9254 SH DFND 1 0 0 9254 Consumer Staples Select Sector SPDR ETF 81369Y308 469 7449 SH DFND 1 132 0 7317 SPDR Barclays 1-3 Month T Bill ETF 78468R663 477 5222 SH DFND 1 0 0 5222 Utilities Select Sector SPDR ETF 81369Y886 493 7628 SH DFND 1 371 0 7257 INVESCO S&P ETF 46137V373 510 3492 SH SOLE 539 0 2953 Microsoft Corporation COMMON STOCK 594918104 571 3623 SH DFND 1,2 580 0 3043 Berkshire Hathaway, Inc. Cl B COMMON STOCK 084670702 572 2526 SH DFND 2 0 0 2526 iShares Dow Jones Select Dividend ETF 464287168 576 5453 SH DFND 1 4674 0 779 ISHARES IBONDS ETF 46434VAQ3 598 23641 SH SOLE 8882 0 14759 iShares Floating Rate Note Fund ETF 46429B655 600 11787 SH DFND 1 675 0 11112 iShares Russell Mid Cap Growth ETF 464287481 613 4020 SH DFND 1 0 0 4020 SPDR BLM Barclays High Yld Bond ETF 78468R622 615 5613 SH DFND 1 0 0 5613 ISHARES IBONDS ETF 46434VBA7 641 25362 SH SOLE 9449 0 15913 Health Care Select Sector SPDR ETF 81369Y209 648 6360 SH DFND 1 93 0 6268 ISHARES IBONDS ETF 46434VBK5 658 26382 SH SOLE 9494 0 16888 Verizon Communications, Inc. COMMON STOCK 92343V104 686 11174 SH DFND 1,2 1531 0 9643 iShares Barclays Short Treasury Bond ETF 464288679 718 6498 SH DFND 1,2 0 0 6498 iShares Barclays MBS Fixed-Rate Bond ETF 464288588 726 6722 SH DFND 1 0 0 6722 iShares S&P National AMT-Free Mun ETF 464288414 757 6644 SH DFND 1 0 0 6644 SPDR S&P 500 ETF 78462F103 779 2422 SH DFND 1,2 148 0 2274 VERISK ANALYTICS COMMON STOCK 92345Y106 794 5316 SH SOLE 0 0 5316 iShares Barclays 7-10 Year Treasury ETF 464287440 856 7766 SH DFND 1 21 0 7745 ISHARES CORE ETF 464287804 925 11032 SH SOLE 189 0 10843 INVESCO S&P ETF 46137V274 937 8812 SH SOLE 1473 0 7339 Walt Disney Co COMMON STOCK 254687106 1017 7029 SH DFND 1,2 5720 0 1309 iShares JPMorgan USD Emerg Markets Bond ETF 464288281 1097 9576 SH DFND 1 733 0 8843 Vanguard S&P 500 ETF 922908363 1130 3820 SH DFND 1 0 0 3820 FIRST TRUST ETF 33740F805 1263 24366 SH SOLE 82 0 24284 Technology Select Sector SPDR ETF 81369Y803 1265 13800 SH DFND 1 231 0 13569 SECTOR ENERGY ETF 81369Y506 1400 23322 SH SOLE 4168 0 19154 ISHARES MSCI ETF 464287465 1582 22787 SH SOLE 175 0 22611 Amazon.com, Inc. COMMON STOCK 023135106 1593 862 SH DFND 1 0 0 862 iShares iBoxx High Yield Corporate Bd ETF 464288513 1608 18290 SH DFND 1 0 0 18290 iShares MSCI Emerging Markets ETF 464287234 1745 38897 SH DFND 1 5531 0 33365 VANGUARD TOTAL ETF 922908769 1894 11576 SH SOLE 166 0 11410 PIMCO INVESTMENT ETF 72201R817 3216 29250 SH SOLE 0 0 29250 iShares Core MSCI EAFE ETF 46432F842 3585 54955 SH DFND 1 7506 0 47449 Apple, Inc. COMMON STOCK 037833100 3945 13435 SH DFND 1,2 413 0 13023 iShares Core Div Growth ETF 46434V621 4255 101141 SH DFND 1 1160 0 99981 Consumer Discretionary SPDR ETF 81369Y407 5747 45820 SH DFND 1 3476 0 42344 Financial Select Sector SPDR ETF 81369Y605 6890 223836 SH DFND 1 18484 0 205352 Vanguard Small Cap ETF ETF 922908751 8864 53515 SH DFND 2 3901 0 49614 iShares iBoxx $ Invest Grade Corp Bd ETF 464287242 9150 71509 SH DFND 1 5317 0 66193 iShares High Dividend Equity ETF 46429B663 9351 95353 SH DFND 1 6645 0 88707 FIRST TRUST ETF 33739Q200 9656 186419 SH SOLE 10169 0 176250 Vanguard Mid Cap ETF ETF 922908629 11572 64948 SH DFND 1,2 4382 0 60566 Vanguard Growth ETF ETF 922908736 18608 102147 SH DFND 1 5572 0 96575 Vanguard Value ETF ETF 922908744 22120 184565 SH DFND 1 10287 0 174278