Chief Compliance Officer

0001764049-20-000004.txt : 20201027 0001764049-20-000004.hdr.sgml : 20201027 20201027093001 ACCESSION NUMBER: 0001764049-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201027 DATE AS OF CHANGE: 20201027 EFFECTIVENESS DATE: 20201027 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SlateStone Wealth, LLC CENTRAL INDEX KEY: 0001764049 IRS NUMBER: 611815919 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19177 FILM NUMBER: 201262365 BUSINESS ADDRESS: STREET 1: 4495 MILITARY TRAIL STREET 2: SUITE 207 CITY: JUPITER STATE: FL ZIP: 33458 BUSINESS PHONE: 561.244.2504 MAIL ADDRESS: STREET 1: 4495 MILITARY TRAIL STREET 2: SUITE 207 CITY: JUPITER STATE: FL ZIP: 33458 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001764049 XXXXXXXX 09-30-2020 09-30-2020 SlateStone Wealth, LLC

4495 MILITARY TRAIL SUITE 207 JUPITER FL 33458

13F HOLDINGS REPORT 028-19177 N Milagros Kleiner Chief Compliance Officer 5612442504 Milagros Kleiner Jupiter FL 10-27-2020 1 196 463301 false 2 0001407543 028-13411 ENVESTNET ASSET MANAGEMENT INC INFORMATION TABLE 2 13F_09302020.xml 3M Co COM 88579y101 220 1372 SH SOLE 0 0 1372 3M Co COM 88579y101 224 1400 SH DFND 02 0 0 1400 Abbott Laboratories COM 002824100 918 8433 SH SOLE 0 0 8433 AbbVie Inc COM 00287y109 1799 20539 SH SOLE 6344 0 14195 AbbVie Inc COM 00287y109 166 1900 SH DFND 02 0 0 1900 Adobe Inc COM 00724f101 3542 7222 SH SOLE 1372 0 5850 Air Prods & Chems Inc COM 009158106 1352 4539 SH SOLE 0 0 4539 Aldeyra Therapeutics Inc COM 01438t106 89 11964 SH SOLE 0 0 11964 Alibaba Group Holding Ltd Sp A COM 01609w102 5024 17089 SH SOLE 1190 0 15899 Alphabet Inc Cap Stock Cl A COM 02079k305 7759 5294 SH SOLE 449 0 4845 Alphabet Inc Cap Stock Cl C COM 02079k107 5834 3970 SH SOLE 168 0 3802 Alteryx Inc Cl A COM 02156b103 1232 10850 SH SOLE 0 0 10850 Altria Group Inc COM 02209s103 45 1162 SH SOLE 400 0 762 Altria Group Inc COM 02209s103 162 4200 SH DFND 02 0 0 4200 Amazon.com Inc COM 023135106 11669 3706 SH SOLE 319 0 3387 American Express Co COM 025816109 415 4144 SH SOLE 2670 0 1474 Amgen Inc COM 031162100 766 3012 SH SOLE 0 0 3012 Amphenol Corp Cl A COM 032095101 5045 46597 SH SOLE 0 0 46597 Apple Inc COM 037833100 25534 220480 SH SOLE 14352 0 206128 Apple Inc COM 037833100 46 400 SH DFND 02 0 0 400 Ares Capital Corp COM 04010l103 3053 218858 SH SOLE 0 0 218858 AT&T Inc COM 00206r102 551 19310 SH SOLE 3740 0 15570 Automatic Data Processing Inc COM 053015103 1254 8990 SH SOLE 0 0 8990 Bank America Corp COM 060505104 1465 60831 SH SOLE 11802 0 49029 Bank America Corp COM 060505104 106 4400 SH DFND 02 0 0 4400 Berkshire Hathaway Inc Cl B COM 084670702 1514 7109 SH SOLE 0 0 7109 BlackRock Inc COM 09247x101 3555 6308 SH SOLE 498 0 5810 Blackstone REIT Inc Cl D COM 09259k302 498 46083 SH SOLE 0 0 46083 Boeing Co COM 097023105 251 1519 SH SOLE 0 0 1519 Booking Holdings Inc COM 09857l108 650 380 SH SOLE 0 0 380 Bristol-Myers Squibb Co COM 110122108 968 16052 SH SOLE 835 0 15217 Broadcom Inc COM 11135f101 2156 5917 SH SOLE 1254 0 4663 Century Bancorp Inc MA Cl A No COM 156432106 742 11284 SH SOLE 0 0 11284 Chevron Corp COM 166764100 945 13123 SH SOLE 400 0 12723 Cisco Systems Inc COM 17275r102 261 6638 SH SOLE 0 0 6638 Cisco Systems Inc COM 17275r102 106 2700 SH DFND 02 0 0 2700 Comcast Corp Cl A COM 20030n101 452 9776 SH SOLE 725 0 9051 Consolidated Water Co Inc COM g23773107 221 21240 SH SOLE 0 0 21240 Copart Inc COM 217204106 2091 19881 SH SOLE 5718 0 14163 Costco Wholesale Corp COM 22160k105 6278 17685 SH SOLE 1774 0 15911 Crowdstrike Holdings Inc Cl A COM 22788c105 4000 29128 SH SOLE 3337 0 25791 CSX Corp COM 126408103 513 6609 SH SOLE 0 0 6609 Danaher Corp COM 235851102 1479 6866 SH SOLE 0 0 6866 Datadog Inc Cl A COM 23804l103 2746 26880 SH SOLE 0 0 26880 Disney Walt Co Disney COM 254687106 3764 30334 SH SOLE 0 0 30334 Dominion Energy Inc COM 25746u109 21 267 SH SOLE 0 0 267 Dominion Energy Inc COM 25746u109 260 3300 SH DFND 02 0 0 3300 Ecolab Inc COM 278865100 843 4221 SH SOLE 1621 0 2600 Elastic NV Ord COM n14506104 1165 10800 SH SOLE 0 0 10800 Electronic Arts Inc COM 285512109 299 2294 SH SOLE 0 0 2294 Expeditors Intl Wash Inc COM 302130109 606 6695 SH SOLE 0 0 6695 Exxon Mobil Corp COM 30231g102 472 13743 SH SOLE 4375 0 9368 Exxon Mobil Corp COM 30231g102 106 3100 SH DFND 02 0 0 3100 Facebook Inc Cl A COM 30303m102 3571 13635 SH SOLE 1530 0 12105 FedEx Corp COM 31428x106 2911 11575 SH SOLE 300 0 11275 Flexshopper Inc COM 33939j303 96 54000 SH SOLE 0 0 54000 General Electric Co COM 369604103 69 11076 SH SOLE 150 0 10926 Goldman Sachs Group Inc COM 38141g104 527 2622 SH SOLE 0 0 2622 Hershey Co COM 427866108 1674 11677 SH SOLE 125 0 11552 Home Depot Inc COM 437076102 4169 15013 SH SOLE 2865 0 12148 Honeywell Intl Inc COM 438516106 3873 23531 SH SOLE 3521 0 20010 IIVI Inc COM 902104108 1906 46995 SH SOLE 500 0 46495 Intel Corp COM 458140100 451 8717 SH SOLE 0 0 8717 Johnson & Johnson COM 478160104 3269 21957 SH SOLE 2431 0 19526 Johnson & Johnson COM 478160104 268 1800 SH DFND 02 0 0 1800 Jones Lang LaSalle Inc Propert COM 48021r401 294 25349 SH SOLE 0 0 25349 JPMorgan Chase & Co COM 46625h100 3857 40062 SH SOLE 5764 0 34298 Kansas City Southern COM 485170302 1250 6915 SH SOLE 0 0 6915 Kimberly Clark Corp COM 494368103 126 856 SH SOLE 0 0 856 Kimberly Clark Corp COM 494368103 162 1100 SH DFND 02 0 0 1100 Lilly Eli & Co COM 532457108 1382 9339 SH SOLE 1580 0 7759 Livongo Health Inc COM 539183103 966 6900 SH SOLE 0 0 6900 Lockheed Martin Corp COM 539830109 1841 4803 SH SOLE 1164 0 3639 Lululemon Athletica Inc COM 550021109 2046 6211 SH SOLE 812 0 5399 Marvell Technology Group Ltd COM g5876h105 382 9630 SH SOLE 0 0 9630 MasterCard Incorporated Cl A COM 57636q104 3492 10326 SH SOLE 2078 0 8248 McDonalds Corp COM 580135101 2153 9808 SH SOLE 335 0 9473 Medtronic PLC COM g5960l103 42 400 SH SOLE 0 0 400 Medtronic PLC COM g5960l103 177 1700 SH DFND 02 0 0 1700 Merck & Co Inc COM 58933y105 498 6006 SH SOLE 2495 0 3511 Micron Technology Inc COM 595112103 367 7823 SH SOLE 4996 0 2827 Microsoft Corp COM 594918104 6815 32401 SH SOLE 5134 0 27268 Microsoft Corp COM 594918104 42 200 SH DFND 02 0 0 200 Morgan Stanley COM 617446448 652 13490 SH SOLE 0 0 13490 Morgan Stanley COM 617446448 313 6470 SH DFND 02 0 0 6470 Neos Therapeutics Inc COM 64052l106 33 62000 SH SOLE 0 0 62000 Nestle S A COM 641069406 523 4398 SH SOLE 0 0 4398 Nextera Energy Inc COM 65339f101 1894 6822 SH SOLE 1354 0 5468 Nike Inc Cl B COM 654106103 3691 29401 SH SOLE 5233 0 24168 Novartis A G COM 66987v109 614 7055 SH SOLE 0 0 7055 NVIDIA Corp COM 67066g104 1750 3234 SH SOLE 606 0 2628 Oracle Corp COM 68389x105 128 2139 SH SOLE 0 0 2139 Oracle Corp COM 68389x105 149 2500 SH DFND 02 0 0 2500 Palo Alto Networks Inc COM 697435105 1059 4325 SH SOLE 200 0 4125 Paypal Holdings Inc COM 70450y103 3434 17427 SH SOLE 600 0 16827 Paypal Holdings Inc COM 70450y103 138 700 SH DFND 02 0 0 700 PepsiCo Inc COM 713448108 8992 64876 SH SOLE 0 0 64876 PepsiCo Inc COM 713448108 28 200 SH DFND 02 0 0 200 Pfizer Inc COM 717081103 1214 33088 SH SOLE 4735 0 28353 Pfizer Inc COM 717081103 136 3700 SH DFND 02 0 0 3700 Plug Power Inc COM 72919p202 456 34000 SH SOLE 0 0 34000 PPL Corp COM 69351t106 205 7519 SH SOLE 7519 0 0 Procter And Gamble Co COM 742718109 3733 26856 SH SOLE 3200 0 23656 Procter And Gamble Co COM 742718109 28 200 SH DFND 02 0 0 200 Qualcomm Inc COM 747525103 3987 33884 SH SOLE 6546 0 27338 Raytheon Technologies Corp COM 75513e101 1048 18213 SH SOLE 7937 0 10276 Republic Services Inc COM 760759100 1596 17099 SH SOLE 0 0 17099 Rightscorp Inc COM 76658a102 4 200000 SH SOLE 0 0 200000 Roku Inc Cl A COM 77543r102 1825 9666 SH SOLE 0 0 9666 Royal Mines & Minerals Corp COM 78033p101 0 50000 SH SOLE 50000 0 0 Salesforce.com Inc COM 79466l302 1729 6878 SH SOLE 0 0 6878 Sap SE Sp ADR COM 803054204 1398 8975 SH SOLE 0 0 8975 ServiceNow Inc COM 81762p102 1228 2532 SH SOLE 499 0 2033 Snowflake Inc COM 833445109 866 3450 SH SOLE 0 0 3450 Sorrento Therapeutics Inc COM 83587f202 134 12000 SH SOLE 0 0 12000 Splunk Inc COM 848637104 593 3152 SH SOLE 2112 0 1040 Square Inc Cl A COM 852234103 4364 26849 SH SOLE 3556 0 23293 Starbucks Corp COM 855244109 1213 14119 SH SOLE 0 0 14119 Starwood Property Trust Inc COM 85571b105 567 37607 SH SOLE 0 0 37607 Target Corp COM 87612e106 205 1303 SH SOLE 345 0 958 TG Therapeutics Inc COM 88322q108 423 15797 SH SOLE 0 0 15797 UnitedHealth Group Inc COM 91324p102 4616 14807 SH SOLE 1021 0 13786 Verizon Communications Inc COM 92343v104 644 10831 SH SOLE 0 0 10831 Verizon Communications Inc COM 92343v104 309 5200 SH DFND 02 0 0 5200 Visa Inc Cl A COM 92826c839 7957 39792 SH SOLE 4597 0 35195 Wal-Mart Inc COM 931142103 4772 34110 SH SOLE 0 0 34110 Zillow Group COM 98954m200 249 2450 SH SOLE 0 0 2450 Zoetis Inc Cl A COM 98978v103 3359 20311 SH SOLE 3701 0 16610 Zoom Video Communications Inc COM 98980l101 1030 2190 SH SOLE 0 0 2190 Aberdeen Std Gold ETF Tr Physc ETF 00326a104 463 25500 SH SOLE 0 0 25500 Ark ETF Tr Innovation ETF ETF 00214q104 5627 61166 SH SOLE 2191 0 58975 Grayscale Bitcoin Tr Btc ETF 389637109 581 53000 SH SOLE 0 0 53000 Innovator S&P Power Buffer ETF ETF 45782c417 18098 716470 SH SOLE 0 0 716470 Innovator S&P Power Buffer ETF ETF 45782c508 1434 48900 SH SOLE 0 0 48900 Innovator S&P Power Buffer ETF ETF 45782c383 950 34402 SH SOLE 0 0 34402 Invesco Exchange-Traded Fund T ETF 46138g870 658 26713 SH SOLE 0 0 26713 Invesco Exchange Traded Fund T ETF 46137v266 1198 8461 SH SOLE 0 0 8461 Invesco Exchange Traded Fund T ETF 46137v241 1643 42499 SH SOLE 0 0 42499 Invesco Exchng Traded Fund Tr ETF 46138e230 1206 42363 SH SOLE 0 0 42363 Invesco Exchng Traded Fund Tr ETF 46138g102 2999 90325 SH SOLE 52807 0 37518 Invesco QQQ Ser 1 ETF 46090e103 24543 88334 SH SOLE 0 0 88334 IShares Core S&P 500 ETF ETF 464287200 689 2050 SH SOLE 1130 0 920 iShares Core S&P Mcp ETF ETF 464287507 209 1130 SH SOLE 0 0 1130 IShares Global 100 ETF ETF 464287572 405 7190 SH SOLE 0 0 7190 iShares Gold Trust ETF 464285105 2446 135964 SH SOLE 0 0 135964 iShares Growth Allocat ETF ETF 464289867 416 8590 SH SOLE 0 0 8590 iShares Min Vol EAFE ETF ETF 46429b689 373 5478 SH SOLE 0 0 5478 iShares Min Vol USA ETF ETF 46429b697 370 5811 SH SOLE 0 0 5811 iShares Moderate Alloc ETF ETF 464289875 480 11703 SH SOLE 0 0 11703 iShares MSCI Emerg Mkt ETF ETF 464287234 3494 79245 SH SOLE 18160 0 61085 iShares NASDAQ Biotech ETF 464287556 3464 25580 SH SOLE 0 0 25580 iShares Russell 1000 Growth ET ETF 464287614 4983 22977 SH SOLE 20632 0 2345 iShares Russell 1000 Val ETF ETF 464287598 2320 19642 SH SOLE 17770 0 1872 iShares US Real Estate ETF ETF 464287739 748 9363 SH SOLE 6385 0 2978 iShares USA Quality Fctr ETF 46432f339 3767 36314 SH SOLE 16951 0 19363 Lattice Strategies Tr Hartford ETF 518416102 10202 394201 SH SOLE 40785 0 353416 ProShares S&P 500 Dv Arist ETF 74348a467 675 9358 SH SOLE 0 0 9358 ProShares Short Dow30 ETF 74347b235 245 5600 SH SOLE 0 0 5600 ProShares Short S&P 500 Ne ETF 74347b425 561 27610 SH SOLE 0 0 27610 Schwab US Large Cap Value ETF ETF 808524409 463 8879 SH SOLE 0 0 8879 SPDR Gold Trust Gold ETF 78463v107 1113 6286 SH SOLE 300 0 5986 SPDR Portfolio Devlpd ETF 78463x889 1765 60335 SH SOLE 25476 0 34859 SPDR Portfolio Emg MK ETF 78463x509 1145 31315 SH SOLE 16292 0 15023 SPDR Portfolio Tl Stock ETF 78464a805 2065 50492 SH SOLE 8675 0 41817 SPDR S&P 500 ETF Tr ETF 78462f103 28330 84595 SH SOLE 0 0 84595 SPDR S&P Biotech ETF ETF 78464a870 2439 21886 SH SOLE 500 0 21386 SPDR S&P Mid Cap 400 ETF ETF 78467y107 7191 21223 SH SOLE 0 0 21223 SSGA SPDR ETFS Europe I PLC UC ETF g8t03h146 337 1000 SH SOLE 0 0 1000 Technology Select Sector SPDR ETF 81369y803 244 2093 SH SOLE 0 0 2093 Vaneck Vectors ETF Tr BDC Inco ETF 92189f411 1264 104000 SH SOLE 0 0 104000 Vaneck Vectors ETF Tr Gold Min ETF 92189f106 5930 151421 SH SOLE 28066 0 123355 Vaneck Vectors ETF Tr Jr Gold ETF 92189f791 461 8325 SH SOLE 0 0 8325 Vanguard FTSE Emerg Mkt ETF ETF 922042858 1955 45208 SH SOLE 0 0 45208 Vanguard Health Care ETF ETF 92204a504 2060 10098 SH SOLE 0 0 10098 Vanguard High Div Yield ETF 921946406 15656 193450 SH SOLE 23560 0 169890 Vanguard S&P 500 ETF ETF 922908363 12938 42055 SH SOLE 0 0 42055 Vanguard Total Stock Mkt ETF 922908769 1465 8600 SH SOLE 0 0 8600 Vanguard Value ETF ETF 922908744 2674 25587 SH SOLE 0 0 25587 Fidelity Total Bond ETF ETF 316188309 1872 34252 SH SOLE 18436 0 15816 Invesco Exch Trd Slf Index Fun ETF 46138j502 259 12213 SH SOLE 0 0 12213 Invesco Exchng Traded Fund Tr ETF 46138e537 559 20982 SH SOLE 0 0 20982 iShares Core Intl Aggr ETF 46435g672 409 7342 SH SOLE 1462 0 5880 iShares GNMA Bond ETF ETF 46429b333 2892 56587 SH SOLE 3258 0 53329 iShares Ibonds Dec2021 ETF 46435g789 568 21914 SH SOLE 0 0 21914 iShares Ibonds Dec2022 ETF 46435g755 570 21510 SH SOLE 0 0 21510 iShares National Muni ETF ETF 464288414 294 2534 SH SOLE 0 0 2534 iShares Short Treas Bond ETF 464288679 4002 36149 SH SOLE 0 0 36149 iShares TIPS Bond ETF ETF 464287176 918 7255 SH SOLE 0 0 7255 JPMorgan Exchange Traded Fund ETF 46641q837 5700 112216 SH SOLE 0 0 112216 Nuveen AMT Free Quality Muni I ETF 670657105 6001 418469 SH SOLE 0 0 418469 Quadratic Int Rate Vol & Infl ETF 500767736 7831 285597 SH SOLE 2564 0 283033 SPDR Bloomberg ETF 78468r663 2147 23458 SH SOLE 0 0 23458 SPDR Bloomberg ETF 78468r663 111 1208 SH DFND 02 0 0 1208 SPDR Portfolio Agrgte ETF 78464a649 5073 164651 SH SOLE 26965 0 137686 SPDR Portfolio Interm ETF 78464a375 342 9305 SH SOLE 9305 0 0 WisdomTree Yield Enhanced US A ETF 97717x511 1815 33717 SH SOLE 945 0 32772