Vice President, Chief Compliance Officer

0001172661-20-000437.txt : 20200212 0001172661-20-000437.hdr.sgml : 20200212 20200212170323 ACCESSION NUMBER: 0001172661-20-000437 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Gladstone Institutional Advisory LLC CENTRAL INDEX KEY: 0001766530 IRS NUMBER: 474043338 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19151 FILM NUMBER: 20605229 BUSINESS ADDRESS: STREET 1: 4 MILL RIDGE LANE CITY: CHESTER STATE: NJ ZIP: 07930 BUSINESS PHONE: 908-719-1313 MAIL ADDRESS: STREET 1: 4 MILL RIDGE LANE CITY: CHESTER STATE: NJ ZIP: 07930 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001766530 XXXXXXXX 12-31-2019 12-31-2019 false Gladstone Institutional Advisory LLC

4 Mill Ridge Lane Chester NJ 07930

13F HOLDINGS REPORT 028-19151 N Robert Slomin Vice President, Chief Compliance Officer 201-939-6644 /s/ Robert Slomin Paramus NJ 02-12-2020 1 397 407969 1 0000080386 LPL FINANCIAL LLC INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 276 1565 SH SOLE 0 0 1565 3M CO COM 88579Y101 83 470 SH DFND 1 0 0 470 ABBVIE INC COM 00287Y109 25 287 SH DFND 1 0 0 287 ABBVIE INC COM 00287Y109 743 8390 SH SOLE 0 0 8390 ABIOMED INC COM 003654100 209 1225 SH SOLE 0 0 1225 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 176 835 SH DFND 1 0 0 835 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 63 298 SH SOLE 0 0 298 ADOBE INC COM 00724F101 16 49 SH DFND 1 0 0 49 ADOBE INC COM 00724F101 204 619 SH SOLE 0 0 619 ADVANCED EMISSIONS SOLUTS IN COM 00770C101 112 10621 SH SOLE 0 0 10621 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 116 549 SH DFND 1 0 0 549 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 976 4601 SH SOLE 0 0 4601 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 361 11941 SH SOLE 0 0 11941 ALLIANZGI CONV INCOME FD COM 018828103 60 10500 SH SOLE 0 0 10500 ALPHABET INC CAP STK CL A 02079K305 202 151 SH DFND 1 0 0 151 ALPHABET INC CAP STK CL A 02079K305 903 674 SH SOLE 0 0 674 ALPHABET INC CAP STK CL C 02079K107 132 99 SH DFND 1 0 0 99 ALPHABET INC CAP STK CL C 02079K107 373 279 SH SOLE 0 0 279 ALPS ETF TR MED BREAKTHGH 00162Q593 216 5116 SH SOLE 0 0 5116 AMAZON COM INC COM 023135106 283 153 SH DFND 1 0 0 153 AMAZON COM INC COM 023135106 3322 1798 SH SOLE 0 0 1798 AMERICAN EXPRESS CO COM 025816109 71 569 SH SOLE 0 0 569 AMERICAN EXPRESS CO COM 025816109 140 1125 SH DFND 1 0 0 1125 AMGEN INC COM 031162100 337 1400 SH SOLE 0 0 1400 AMGEN INC COM 031162100 82 339 SH DFND 1 0 0 339 APPLE INC COM 037833100 540 1840 SH DFND 1 0 0 1840 APPLE INC COM 037833100 4583 15607 SH SOLE 0 0 15607 ARES MANAGEMENT CORPORATION CL A COM STK 03990B101 213 5975 SH SOLE 0 0 5975 ARK ETF TR GENOMIC REV ETF 00214Q302 261 7784 SH SOLE 0 0 7784 ARK ETF TR INNOVATION ETF 00214Q104 265 5294 SH SOLE 0 0 5294 AT&T INC COM 00206R102 150 3839 SH DFND 1 0 0 3839 AT&T INC COM 00206R102 944 24157 SH SOLE 0 0 24157 AUTODESK INC COM 052769106 16 88 SH SOLE 0 0 88 AUTODESK INC COM 052769106 236 1289 SH DFND 1 0 0 1289 BANK AMER CORP COM 060505104 47 1333 SH DFND 1 0 0 1333 BANK AMER CORP COM 060505104 831 23602 SH SOLE 0 0 23602 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 304 1340 SH DFND 1 0 0 1340 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 719 3173 SH SOLE 0 0 3173 BLACKROCK 2022 GBL INCM OPP COM 09258P104 173 17500 SH SOLE 0 0 17500 BLACKROCK CAPITAL INVESTMENT COM 092533108 126 25429 SH SOLE 0 0 25429 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 1159 80789 SH SOLE 0 0 80789 BLACKSTONE GROUP INC COM CL A 09260D107 409 7304 SH SOLE 0 0 7304 BOEING CO COM 097023105 21 65 SH DFND 1 0 0 65 BOEING CO COM 097023105 491 1507 SH SOLE 0 0 1507 BP PLC SPONSORED ADR 055622104 230 6082 SH SOLE 0 0 6082 BP PLC SPONSORED ADR 055622104 195 5154 SH DFND 1 0 0 5154 BRISTOL MYERS SQUIBB CO COM 110122108 2625 40889 SH SOLE 0 0 40889 BRISTOL MYERS SQUIBB CO COM 110122108 10 159 SH DFND 1 0 0 159 BROADCOM INC COM 11135F101 138 437 SH DFND 1 0 0 437 BROADCOM INC COM 11135F101 274 868 SH SOLE 0 0 868 CAPITAL ONE FINL CORP COM 14040H105 14 133 SH DFND 1 0 0 133 CAPITAL ONE FINL CORP COM 14040H105 233 2264 SH SOLE 0 0 2264 CARNIVAL CORP UNIT 99/99/9999 143658300 96 1897 SH DFND 1 0 0 1897 CARNIVAL CORP UNIT 99/99/9999 143658300 106 2086 SH SOLE 0 0 2086 CHEVRON CORP NEW COM 166764100 140 1163 SH DFND 1 0 0 1163 CHEVRON CORP NEW COM 166764100 293 2427 SH SOLE 0 0 2427 CHUBB LIMITED COM H1467J104 202 1298 SH DFND 1 0 0 1298 CHUBB LIMITED COM H1467J104 25 163 SH SOLE 0 0 163 CISCO SYS INC COM 17275R102 470 9791 SH SOLE 0 0 9791 CISCO SYS INC COM 17275R102 256 5333 SH DFND 1 0 0 5333 COCA COLA CO COM 191216100 150 2708 SH DFND 1 0 0 2708 COCA COLA CO COM 191216100 251 4542 SH SOLE 0 0 4542 COLGATE PALMOLIVE CO COM 194162103 78 1129 SH DFND 1 0 0 1129 COLGATE PALMOLIVE CO COM 194162103 173 2514 SH SOLE 0 0 2514 COMCAST CORP NEW CL A 20030N101 307 6827 SH DFND 1 0 0 6827 COMCAST CORP NEW CL A 20030N101 227 5040 SH SOLE 0 0 5040 CONOCOPHILLIPS COM 20825C104 21 328 SH DFND 1 0 0 328 CONOCOPHILLIPS COM 20825C104 1662 25563 SH SOLE 0 0 25563 DISH NETWORK CORP CL A 25470M109 326 9198 SH SOLE 0 0 9198 DISNEY WALT CO COM DISNEY 254687106 1088 7525 SH SOLE 0 0 7525 DISNEY WALT CO COM DISNEY 254687106 136 941 SH DFND 1 0 0 941 EDWARDS LIFESCIENCES CORP COM 28176E108 218 936 SH SOLE 0 0 936 ELECTRONIC ARTS INC COM 285512109 7 67 SH DFND 1 0 0 67 ELECTRONIC ARTS INC COM 285512109 243 2256 SH SOLE 0 0 2256 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 274 6611 SH SOLE 0 0 6611 EXXON MOBIL CORP COM 30231G102 36 514 SH DFND 1 0 0 514 EXXON MOBIL CORP COM 30231G102 2915 41769 SH SOLE 0 0 41769 FACEBOOK INC CL A 30303M102 203 991 SH DFND 1 0 0 991 FACEBOOK INC CL A 30303M102 841 4099 SH SOLE 0 0 4099 FIDELITY TOTAL BD ETF 316188309 1420 27447 SH SOLE 0 0 27447 FIDELITY COVINGTON TR DIVID ETF RISI 316092832 673 19077 SH SOLE 0 0 19077 FIDELITY COVINGTON TR HIGH DIVID ETF 316092840 2278 70192 SH SOLE 0 0 70192 FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 33739P301 6071 113875 SH SOLE 0 0 113875 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH 33737J182 2851 107428 SH SOLE 0 0 107428 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 4508 81162 SH SOLE 0 0 81162 FIRST TR EXCHANGE TRADED FD CAP STRENGTH ETF 33733E104 385 6376 SH SOLE 0 0 6376 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 304 12201 SH SOLE 0 0 12201 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 1959 14084 SH SOLE 0 0 14084 FIRST TR EXCHANGE TRADED FD DORSEY WRIGHT 33738R878 478 17291 SH SOLE 0 0 17291 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 259 8199 SH SOLE 0 0 8199 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 30202 502614 SH SOLE 0 0 502614 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 134 2225 SH DFND 1 0 0 2225 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 708 14516 SH SOLE 0 0 14516 FIRST TR EXCHANGE TRADED FD MULTI ASSET DI 33738R100 582 30949 SH SOLE 0 0 30949 FIRST TR EXCHANGE TRADED FD NASD TECH DIV 33738R118 964 22346 SH SOLE 0 0 22346 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 228 1531 SH SOLE 0 0 1531 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1253 26138 SH SOLE 0 0 26138 FIRST TR EXCHANGE TRADED FD SSI STRG ETF 33739Q507 10787 325991 SH SOLE 0 0 325991 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 1019 14039 SH SOLE 0 0 14039 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 609 7582 SH SOLE 0 0 7582 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 857 42676 SH SOLE 0 0 42676 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 251 4840 SH SOLE 0 0 4840 FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 33740F888 366 14137 SH SOLE 0 0 14137 FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 2140 59419 SH SOLE 0 0 59419 FIRST TR EXCNGE TRD ALPHADEX MID CP GR ALPH 33737M102 3295 68835 SH SOLE 0 0 68835 FIRST TR EXCNGE TRD ALPHADEX SML CAP VAL AL 33737M409 2117 55235 SH SOLE 0 0 55235 FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 1676 35916 SH SOLE 0 0 35916 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 7581 103962 SH SOLE 0 0 103962 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 6633 117377 SH SOLE 0 0 117377 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 2658 40744 SH SOLE 0 0 40744 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 4370 60284 SH SOLE 0 0 60284 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 946 12814 SH SOLE 0 0 12814 FIRST TR NASDAQ100 TECH INDE SHS 337345102 1482 14803 SH SOLE 0 0 14803 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 3019 46499 SH SOLE 0 0 46499 FIRST TR VALUE LINE DIVID IN SHS 33734H106 2083 57819 SH SOLE 0 0 57819 GENERAL ELECTRIC CO COM 369604103 34 3067 SH DFND 1 0 0 3067 GENERAL ELECTRIC CO COM 369604103 291 26033 SH SOLE 0 0 26033 GILEAD SCIENCES INC COM 375558103 227 3501 SH SOLE 0 0 3501 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 92 1950 SH DFND 1 0 0 1950 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 169 3602 SH SOLE 0 0 3602 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 213 9743 SH SOLE 0 0 9743 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 366 5662 SH DFND 1 0 0 5662 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 2354 36400 SH SOLE 0 0 36400 GRACO INC COM 384109104 1504 28922 SH SOLE 0 0 28922 HANCOCK JAFFE LABORATORIES I COM 41015N106 17 30000 SH SOLE 0 0 30000 HARTFORD FDS EXCHANGE TRADE MUN OPORTUNITE 41653L503 231 5535 SH SOLE 0 0 5535 HOME DEPOT INC COM 437076102 94 429 SH DFND 1 0 0 429 HOME DEPOT INC COM 437076102 288 1317 SH SOLE 0 0 1317 HONEYWELL INTL INC COM 438516106 294 1662 SH SOLE 0 0 1662 HONEYWELL INTL INC COM 438516106 164 924 SH DFND 1 0 0 924 ILLUMINA INC COM 452327109 21 64 SH DFND 1 0 0 64 ILLUMINA INC COM 452327109 196 592 SH SOLE 0 0 592 INTEL CORP COM 458140100 213 3559 SH DFND 1 0 0 3559 INTEL CORP COM 458140100 469 7842 SH SOLE 0 0 7842 INTERNATIONAL BUSINESS MACHS COM 459200101 81 605 SH DFND 1 0 0 605 INTERNATIONAL BUSINESS MACHS COM 459200101 328 2447 SH SOLE 0 0 2447 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 599 25030 SH SOLE 0 0 25030 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 496 20093 SH SOLE 0 0 20093 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 184 1453 SH DFND 1 0 0 1453 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 1638 12926 SH SOLE 0 0 12926 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 206 1783 SH SOLE 0 0 1783 INVESCO EXCHNG TRADED FD TR FNDMNTL HY CRP 46138E719 480 24928 SH SOLE 0 0 24928 INVESCO EXCHNG TRADED FD TR NATL AMT MUNI 46138E537 762 28804 SH SOLE 0 0 28804 INVESCO EXCHNG TRADED FD TR S&P MIDCP LOW 46138E198 433 8045 SH SOLE 0 0 8045 INVESCO EXCHNG TRADED FD TR S&P ULTRA DIVIDE 46138G656 1075 27253 SH SOLE 0 0 27253 INVESCO EXCHNG TRADED FD TR S&P500 HDL VOL 46138E362 476 10803 SH SOLE 0 0 10803 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 640 28038 SH SOLE 0 0 28038 INVESCO HIGH INCOME 2023 TAR COM 46135X108 132 12500 SH SOLE 0 0 12500 INVESCO QQQ TR UNIT SER 1 46090E103 461 2170 SH SOLE 0 0 2170 INVESCO QQQ TR UNIT SER 1 46090E103 115 542 SH DFND 1 0 0 542 INVESCO SR INCOME TR COM 46131H107 69 16000 SH SOLE 0 0 16000 ISHARES INC CORE MSCI EMKT 46434G103 1340 24923 SH DFND 1 0 0 24923 ISHARES INC CORE MSCI EMKT 46434G103 4492 83559 SH SOLE 0 0 83559 ISHARES INC MIN VOL EMRG MKT 464286533 542 9246 SH SOLE 0 0 9246 ISHARES TR BROAD USD HIGH 46435U853 561 13654 SH DFND 1 0 0 13654 ISHARES TR BROAD USD HIGH 46435U853 24 591 SH SOLE 0 0 591 ISHARES TR CONV BD ETF 46435G102 227 3616 SH SOLE 0 0 3616 ISHARES TR CORE MSCI EAFE 46432F842 733 11240 SH DFND 1 0 0 11240 ISHARES TR CORE MSCI EAFE 46432F842 4261 65313 SH SOLE 0 0 65313 ISHARES TR CORE MSCI TOTAL 46432F834 839 13556 SH SOLE 0 0 13556 ISHARES TR CORE S&P MCP ETF 464287507 1225 5950 SH DFND 1 0 0 5950 ISHARES TR CORE S&P MCP ETF 464287507 8438 40995 SH SOLE 0 0 40995 ISHARES TR CORE S&P SCP ETF 464287804 59 699 SH DFND 1 0 0 699 ISHARES TR CORE S&P SCP ETF 464287804 1357 16179 SH SOLE 0 0 16179 ISHARES TR CORE S&P TTL STK 464287150 564 7763 SH DFND 1 0 0 7763 ISHARES TR CORE S&P TTL STK 464287150 6952 95640 SH SOLE 0 0 95640 ISHARES TR CORE S&P US GWT 464287671 1562 23088 SH DFND 1 0 0 23088 ISHARES TR CORE S&P US GWT 464287671 423 6254 SH SOLE 0 0 6254 ISHARES TR CORE S&P US VLU 464287663 1209 19187 SH DFND 1 0 0 19187 ISHARES TR CORE S&P US VLU 464287663 358 5677 SH SOLE 0 0 5677 ISHARES TR CORE S&P500 ETF 464287200 10440 32298 SH SOLE 0 0 32298 ISHARES TR CORE S&P500 ETF 464287200 22 67 SH DFND 1 0 0 67 ISHARES TR CORE US AGGBD ET 464287226 501 4455 SH DFND 1 0 0 4455 ISHARES TR CORE US AGGBD ET 464287226 5091 45309 SH SOLE 0 0 45309 ISHARES TR EAFE SML CP ETF 464288273 264 4237 SH SOLE 0 0 4237 ISHARES TR EXPANDED TECH 464287515 261 1118 SH SOLE 0 0 1118 ISHARES TR EXPND TEC SC ETF 464287549 271 1120 SH SOLE 0 0 1120 ISHARES TR EXPONENTIAL TECH 46434V381 1021 23873 SH SOLE 0 0 23873 ISHARES TR FLTG RATE NT ETF 46429B655 2560 50276 SH SOLE 0 0 50276 ISHARES TR FLTG RATE NT ETF 46429B655 237 4649 SH DFND 1 0 0 4649 ISHARES TR HDG MSCI EAFE 46434V803 639 20935 SH SOLE 0 0 20935 ISHARES TR IBONDS DEC2023 46435G318 275 10647 SH SOLE 0 0 10647 ISHARES TR IBOXX INV CP ETF 464287242 399 3117 SH DFND 1 0 0 3117 ISHARES TR IBOXX INV CP ETF 464287242 242 1892 SH SOLE 0 0 1892 ISHARES TR INTRM TR CRP ETF 464288638 241 4165 SH SOLE 0 0 4165 ISHARES TR JPMORGAN USD EMG 464288281 366 3194 SH SOLE 0 0 3194 ISHARES TR JPMORGAN USD EMG 464288281 275 2401 SH DFND 1 0 0 2401 ISHARES TR MBS ETF 464288588 150 1387 SH DFND 1 0 0 1387 ISHARES TR MBS ETF 464288588 148 1374 SH SOLE 0 0 1374 ISHARES TR MRGSTR MD CP GRW 464288307 257 978 SH SOLE 0 0 978 ISHARES TR MSCI EAFE ETF 464287465 473 6816 SH SOLE 0 0 6816 ISHARES TR MSCI EMG MKT ETF 464287234 580 12925 SH SOLE 0 0 12925 ISHARES TR MSCI MIN VOL ETF 46429B697 513 7814 SH DFND 1 0 0 7814 ISHARES TR MSCI MIN VOL ETF 46429B697 7451 113577 SH SOLE 0 0 113577 ISHARES TR NA TEC MULTM ETF 464287531 240 4348 SH SOLE 0 0 4348 ISHARES TR NASDAQ BIOTECH 464287556 362 3003 SH SOLE 0 0 3003 ISHARES TR NATIONAL MUN ETF 464288414 303 2658 SH SOLE 0 0 2658 ISHARES TR PFD AND INCM SEC 464288687 622 16548 SH SOLE 0 0 16548 ISHARES TR PHLX SEMICND ETF 464287523 297 1181 SH SOLE 0 0 1181 ISHARES TR RUS 1000 GRW ETF 464287614 1846 10494 SH SOLE 0 0 10494 ISHARES TR RUS 1000 GRW ETF 464287614 110 623 SH DFND 1 0 0 623 ISHARES TR RUS 1000 VAL ETF 464287598 1036 7590 SH SOLE 0 0 7590 ISHARES TR RUS 2000 GRW ETF 464287648 466 2175 SH SOLE 0 0 2175 ISHARES TR RUS MD CP GR ETF 464287481 264 1732 SH SOLE 0 0 1732 ISHARES TR RUSSELL 2000 ETF 464287655 784 4734 SH DFND 1 0 0 4734 ISHARES TR RUSSELL 2000 ETF 464287655 739 4459 SH SOLE 0 0 4459 ISHARES TR S&P 500 GRWT ETF 464287309 78 401 SH DFND 1 0 0 401 ISHARES TR S&P 500 GRWT ETF 464287309 7727 39903 SH SOLE 0 0 39903 ISHARES TR S&P 500 VAL ETF 464287408 7985 61383 SH SOLE 0 0 61383 ISHARES TR S&P 500 VAL ETF 464287408 74 570 SH DFND 1 0 0 570 ISHARES TR S&P MC 400GR ETF 464287606 599 2516 SH SOLE 0 0 2516 ISHARES TR SELECT DIVID ETF 464287168 224 2121 SH SOLE 0 0 2121 ISHARES TR SHORT TREAS BD 464288679 654 5919 SH DFND 1 0 0 5919 ISHARES TR TIPS BD ETF 464287176 45 383 SH SOLE 0 0 383 ISHARES TR TIPS BD ETF 464287176 235 2013 SH DFND 1 0 0 2013 ISHARES TR U.S. CNSM SV ETF 464287580 259 1134 SH SOLE 0 0 1134 ISHARES TR U.S. FIN SVC ETF 464287770 275 1809 SH SOLE 0 0 1809 ISHARES TR U.S. TECH ETF 464287721 361 1550 SH SOLE 0 0 1550 ISHARES TR U.S. UTILITS ETF 464287697 268 1656 SH SOLE 0 0 1656 ISHARES TR US AER DEF ETF 464288760 34 152 SH DFND 1 0 0 152 ISHARES TR US AER DEF ETF 464288760 395 1778 SH SOLE 0 0 1778 ISHARES TR US INDUSTRIALS 464287754 261 1558 SH SOLE 0 0 1558 ISHARES TR USA MOMENTUM FCT 46432F396 2105 16767 SH SOLE 0 0 16767 ISHARES TR USA QUALITY FCTR 46432F339 1511 14960 SH DFND 1 0 0 14960 ISHARES TR USA QUALITY FCTR 46432F339 94 935 SH SOLE 0 0 935 ISHARES US ETF TR SHT MAT BD ETF 46431W507 12 236 SH DFND 1 0 0 236 ISHARES US ETF TR SHT MAT BD ETF 46431W507 1134 22571 SH SOLE 0 0 22571 JANUS DETROIT STR TR HENDERSN SML ETF 47103U209 1082 22505 SH SOLE 0 0 22505 JANUS DETROIT STR TR HENDERSON MTG 47103U852 1143 21967 SH SOLE 0 0 21967 JD COM INC SPON ADR CL A 47215P106 201 5719 SH SOLE 0 0 5719 JOHNSON & JOHNSON COM 478160104 812 5567 SH SOLE 0 0 5567 JOHNSON & JOHNSON COM 478160104 348 2387 SH DFND 1 0 0 2387 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 1524 30230 SH SOLE 0 0 30230 JPMORGAN CHASE & CO COM 46625H100 606 4349 SH SOLE 0 0 4349 JPMORGAN CHASE & CO COM 46625H100 189 1355 SH DFND 1 0 0 1355 L3HARRIS TECHNOLOGIES INC COM 502431109 79 398 SH DFND 1 0 0 398 L3HARRIS TECHNOLOGIES INC COM 502431109 237 1198 SH SOLE 0 0 1198 LATTICE STRATEGIES TR HARTFORD MLT ETF 518416102 1571 53491 SH SOLE 0 0 53491 LILLY ELI & CO COM 532457108 80 607 SH SOLE 0 0 607 LILLY ELI & CO COM 532457108 151 1146 SH DFND 1 0 0 1146 LOCKHEED MARTIN CORP COM 539830109 133 341 SH SOLE 0 0 341 LOCKHEED MARTIN CORP COM 539830109 104 268 SH DFND 1 0 0 268 LOWES COS INC COM 548661107 289 2416 SH DFND 1 0 0 2416 LOWES COS INC COM 548661107 202 1686 SH SOLE 0 0 1686 MASTERCARD INC CL A 57636Q104 36 119 SH DFND 1 0 0 119 MASTERCARD INC CL A 57636Q104 865 2897 SH SOLE 0 0 2897 MCDONALDS CORP COM 580135101 356 1802 SH SOLE 0 0 1802 MCDONALDS CORP COM 580135101 35 177 SH DFND 1 0 0 177 MEDICAL PPTYS TRUST INC COM 58463J304 256 12104 SH SOLE 0 0 12104 MEDTRONIC PLC SHS G5960L103 225 1987 SH DFND 1 0 0 1987 MEDTRONIC PLC SHS G5960L103 138 1212 SH SOLE 0 0 1212 MERCK & CO INC COM 58933Y105 917 10080 SH SOLE 0 0 10080 MERCK & CO INC COM 58933Y105 186 2050 SH DFND 1 0 0 2050 MICROSOFT CORP COM 594918104 1651 10469 SH SOLE 0 0 10469 MICROSOFT CORP COM 594918104 552 3499 SH DFND 1 0 0 3499 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 70 12974 SH DFND 1 0 0 12974 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 1 133 SH SOLE 0 0 133 MONDELEZ INTL INC CL A 609207105 181 3288 SH DFND 1 0 0 3288 MONDELEZ INTL INC CL A 609207105 115 2090 SH SOLE 0 0 2090 NEXTERA ENERGY INC COM 65339F101 112 463 SH DFND 1 0 0 463 NEXTERA ENERGY INC COM 65339F101 171 708 SH SOLE 0 0 708 NORFOLK SOUTHERN CORP COM 655844108 152 785 SH DFND 1 0 0 785 NORFOLK SOUTHERN CORP COM 655844108 77 397 SH SOLE 0 0 397 NOVARTIS A G SPONSORED ADR 66987V109 442 4672 SH SOLE 0 0 4672 NOVARTIS A G SPONSORED ADR 66987V109 34 355 SH DFND 1 0 0 355 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 207 20663 SH SOLE 0 0 20663 NVIDIA CORP COM 67066G104 54 230 SH DFND 1 0 0 230 NVIDIA CORP COM 67066G104 412 1751 SH SOLE 0 0 1751 OPKO HEALTH INC COM 68375N103 16 11122 SH SOLE 0 0 11122 ORACLE CORP COM 68389X105 198 3737 SH DFND 1 0 0 3737 ORACLE CORP COM 68389X105 95 1797 SH SOLE 0 0 1797 PAYPAL HLDGS INC COM 70450Y103 121 1123 SH DFND 1 0 0 1123 PAYPAL HLDGS INC COM 70450Y103 206 1902 SH SOLE 0 0 1902 PEPSICO INC COM 713448108 202 1481 SH DFND 1 0 0 1481 PEPSICO INC COM 713448108 287 2102 SH SOLE 0 0 2102 PFIZER INC COM 717081103 188 4801 SH DFND 1 0 0 4801 PFIZER INC COM 717081103 396 10117 SH SOLE 0 0 10117 PHILIP MORRIS INTL INC COM 718172109 132 1554 SH DFND 1 0 0 1554 PHILIP MORRIS INTL INC COM 718172109 131 1537 SH SOLE 0 0 1537 PHILLIPS 66 COM 718546104 2649 23775 SH SOLE 0 0 23775 PHILLIPS 66 COM 718546104 107 957 SH DFND 1 0 0 957 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 206 2026 SH SOLE 0 0 2026 PNC FINL SVCS GROUP INC COM 693475105 121 759 SH SOLE 0 0 759 PNC FINL SVCS GROUP INC COM 693475105 100 629 SH DFND 1 0 0 629 PROCTER & GAMBLE CO COM 742718109 314 2518 SH DFND 1 0 0 2518 PROCTER & GAMBLE CO COM 742718109 642 5137 SH SOLE 0 0 5137 PROSHARES TR S&P 500 DV ARIST 74348A467 330 4371 SH SOLE 0 0 4371 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 9 153 SH DFND 1 0 0 153 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 228 3857 SH SOLE 0 0 3857 QUALCOMM INC COM 747525103 246 2784 SH SOLE 0 0 2784 QUALCOMM INC COM 747525103 112 1268 SH DFND 1 0 0 1268 SALESFORCE COM INC COM 79466L302 678 4170 SH SOLE 0 0 4170 SALESFORCE COM INC COM 79466L302 61 378 SH DFND 1 0 0 378 SANDRIDGE PERMIAN TR COM UNIT BEN INT 80007A102 14 16080 SH SOLE 0 0 16080 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 436 13816 SH SOLE 0 0 13816 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3949 144296 SH SOLE 0 0 144296 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 17598 523296 SH SOLE 0 0 523296 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 1172 33832 SH SOLE 0 0 33832 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 4077 80760 SH SOLE 0 0 80760 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 977 18293 SH SOLE 0 0 18293 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 12734 137055 SH SOLE 0 0 137055 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 12440 206915 SH SOLE 0 0 206915 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1478 24571 SH SOLE 0 0 24571 SCHWAB STRATEGIC TR US REIT ETF 808524847 3969 86363 SH SOLE 0 0 86363 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 365 4831 SH SOLE 0 0 4831 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 161 1584 SH DFND 1 0 0 1584 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 122 1193 SH SOLE 0 0 1193 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 223 7249 SH DFND 1 0 0 7249 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 358 11640 SH SOLE 0 0 11640 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 142 1745 SH DFND 1 0 0 1745 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 234 2877 SH SOLE 0 0 2877 SHOPIFY INC CL A 82509L107 280 705 SH SOLE 0 0 705 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 702 2463 SH SOLE 0 0 2463 SPDR GOLD TRUST GOLD SHS 78463V107 1656 11591 SH SOLE 0 0 11591 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 848 32905 SH SOLE 0 0 32905 SPDR S&P 500 ETF TR TR UNIT 78462F103 6961 21627 SH SOLE 0 0 21627 SPDR SERIES TRUST DJ REIT ETF 78464A607 301 2950 SH SOLE 0 0 2950 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 200 6500 SH SOLE 0 0 6500 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 5526 96788 SH SOLE 0 0 96788 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 5112 93325 SH SOLE 0 0 93325 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 2620 40612 SH SOLE 0 0 40612 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3340 50829 SH SOLE 0 0 50829 SPDR SERIES TRUST S&P DIVID ETF 78464A763 309 2872 SH SOLE 0 0 2872 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 351 14806 SH SOLE 0 0 14806 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 356 7271 SH DFND 1 0 0 7271 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 7 150 SH SOLE 0 0 150 STARBUCKS CORP COM 855244109 71 810 SH DFND 1 0 0 810 STARBUCKS CORP COM 855244109 145 1644 SH SOLE 0 0 1644 TARGET CORP COM 87612E106 148 1158 SH DFND 1 0 0 1158 TARGET CORP COM 87612E106 340 2653 SH SOLE 0 0 2653 TE CONNECTIVITY LTD REG SHS H84989104 5 50 SH SOLE 0 0 50 TE CONNECTIVITY LTD REG SHS H84989104 223 2325 SH DFND 1 0 0 2325 TEXAS INSTRS INC COM 882508104 178 1389 SH DFND 1 0 0 1389 TEXAS INSTRS INC COM 882508104 74 578 SH SOLE 0 0 578 TRUIST FINL CORP COM 89832Q109 155 2748 SH DFND 1 0 0 2748 TRUIST FINL CORP COM 89832Q109 78 1391 SH SOLE 0 0 1391 UNITED PARCEL SERVICE INC CL B 911312106 128 1090 SH DFND 1 0 0 1090 UNITED PARCEL SERVICE INC CL B 911312106 742 6334 SH SOLE 0 0 6334 UNITED TECHNOLOGIES CORP COM 913017109 12 81 SH DFND 1 0 0 81 UNITED TECHNOLOGIES CORP COM 913017109 194 1293 SH SOLE 0 0 1293 UNITEDHEALTH GROUP INC COM 91324P102 285 970 SH DFND 1 0 0 970 UNITEDHEALTH GROUP INC COM 91324P102 193 655 SH SOLE 0 0 655 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 326 5091 SH SOLE 0 0 5091 VANECK VECTORS ETF TRUST AMT FREE SHORT M 92189F528 293 16441 SH SOLE 0 0 16441 VANECK VECTORS ETF TRUST INVT GRADE FLTG 92189F486 208 8210 SH SOLE 0 0 8210 VANECK VECTORS ETF TRUST MORNINGSTAR WIDE 92189F643 1 27 SH DFND 1 0 0 27 VANECK VECTORS ETF TRUST MORNINGSTAR WIDE 92189F643 1305 23830 SH SOLE 0 0 23830 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 499 3973 SH SOLE 0 0 3973 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 169 2094 SH DFND 1 0 0 2094 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 615 7627 SH SOLE 0 0 7627 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1359 16206 SH DFND 1 0 0 16206 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 733 8742 SH SOLE 0 0 8742 VANGUARD GROUP DIV APP ETF 921908844 487 3907 SH SOLE 0 0 3907 VANGUARD INDEX FDS GROWTH ETF 922908736 3337 18315 SH SOLE 0 0 18315 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 907 5711 SH SOLE 0 0 5711 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 715 5997 SH SOLE 0 0 5997 VANGUARD INDEX FDS MID CAP ETF 922908629 4 24 SH DFND 1 0 0 24 VANGUARD INDEX FDS MID CAP ETF 922908629 219 1227 SH SOLE 0 0 1227 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3926 13271 SH SOLE 0 0 13271 VANGUARD INDEX FDS SM CP VAL ETF 922908611 475 3462 SH SOLE 0 0 3462 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3 21 SH DFND 1 0 0 21 VANGUARD INDEX FDS SMALL CP ETF 922908751 326 1968 SH SOLE 0 0 1968 VANGUARD INDEX FDS SML CP GRW ETF 922908595 382 1921 SH SOLE 0 0 1921 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1630 9963 SH DFND 1 0 0 9963 VANGUARD INDEX FDS TOTAL STK MKT 922908769 5002 30572 SH SOLE 0 0 30572 VANGUARD INDEX FDS VALUE ETF 922908744 248 2070 SH SOLE 0 0 2070 VANGUARD INDEX FDS VALUE ETF 922908744 4 36 SH DFND 1 0 0 36 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 222 4984 SH SOLE 0 0 4984 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 6 124 SH DFND 1 0 0 124 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 4 58 SH DFND 1 0 0 58 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 944 14321 SH SOLE 0 0 14321 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1584 17342 SH DFND 1 0 0 17342 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 588 6437 SH SOLE 0 0 6437 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 301 5664 SH SOLE 0 0 5664 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 4 79 SH DFND 1 0 0 79 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 816 10076 SH DFND 1 0 0 10076 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 37 461 SH SOLE 0 0 461 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 252 1395 SH SOLE 0 0 1395 VANGUARD STAR FD VG TL INTL STK F 921909768 463 8307 SH SOLE 0 0 8307 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 5 124 SH DFND 1 0 0 124 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 432 9806 SH SOLE 0 0 9806 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 328 3496 SH SOLE 0 0 3496 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 302 3461 SH SOLE 0 0 3461 VANGUARD WORLD FD MEGA GRWTH IND 921910816 595 4082 SH SOLE 0 0 4082 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 216 1125 SH SOLE 0 0 1125 VANGUARD WORLD FDS INF TECH ETF 92204A702 269 1100 SH DFND 1 0 0 1100 VANGUARD WORLD FDS INF TECH ETF 92204A702 409 1671 SH SOLE 0 0 1671 VERIZON COMMUNICATIONS INC COM 92343V104 1109 18061 SH SOLE 0 0 18061 VERIZON COMMUNICATIONS INC COM 92343V104 278 4525 SH DFND 1 0 0 4525 VISA INC COM CL A 92826C839 194 1035 SH DFND 1 0 0 1035 VISA INC COM CL A 92826C839 1126 5990 SH SOLE 0 0 5990 WALMART INC COM 931142103 110 926 SH DFND 1 0 0 926 WALMART INC COM 931142103 176 1482 SH SOLE 0 0 1482 WESTERN DIGITAL CORP COM 958102105 83 1311 SH DFND 1 0 0 1311 WESTERN DIGITAL CORP COM 958102105 149 2343 SH SOLE 0 0 2343 WISDOMTREE TR US MIDCAP DIVID 97717W505 464 12191 SH SOLE 0 0 12191 WISDOMTREE TR US QTLY DIV GRT 97717X669 338 6973 SH SOLE 0 0 6973