Vice President, Chief Compliance Officer

0001172661-20-001223.txt : 20200514 0001172661-20-001223.hdr.sgml : 20200514 20200514161147 ACCESSION NUMBER: 0001172661-20-001223 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200514 DATE AS OF CHANGE: 20200514 EFFECTIVENESS DATE: 20200514 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: 20877864 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 03-31-2020 03-31-2020 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 05-14-2020 1 385 387567 1 0000080386 LPL FINANCIAL LLC INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 280 2052 SH SOLE 0 0 2052 3M CO COM 88579Y101 60 437 SH DFND 1 0 0 437 ABBVIE INC COM 00287Y109 81 1058 SH DFND 1 0 0 1058 ABBVIE INC COM 00287Y109 817 10725 SH SOLE 0 0 10725 ADVANCED MICRO DEVICES INC COM 007903107 26 568 SH DFND 1 0 0 568 ADVANCED MICRO DEVICES INC COM 007903107 208 4575 SH SOLE 0 0 4575 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 105 540 SH DFND 1 0 0 540 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 468 2407 SH SOLE 0 0 2407 ALPHABET INC CAP STK CL A 02079K305 170 146 SH DFND 1 0 0 146 ALPHABET INC CAP STK CL A 02079K305 1225 1054 SH SOLE 0 0 1054 ALPHABET INC CAP STK CL C 02079K107 770 662 SH SOLE 0 0 662 ALPHABET INC CAP STK CL C 02079K107 91 78 SH DFND 1 0 0 78 AMAZON COM INC COM 023135106 4473 2294 SH SOLE 0 0 2294 AMAZON COM INC COM 023135106 367 188 SH DFND 1 0 0 188 AMEDISYS INC COM 023436108 286 1558 SH SOLE 0 0 1558 AMGEN INC COM 031162100 70 345 SH DFND 1 0 0 345 AMGEN INC COM 031162100 244 1202 SH SOLE 0 0 1202 APPLE INC COM 037833100 441 1736 SH DFND 1 0 0 1736 APPLE INC COM 037833100 5132 20183 SH SOLE 0 0 20183 ARK ETF TR GENOMIC REV ETF 00214Q302 274 8750 SH SOLE 0 0 8750 ARK ETF TR INNOVATION ETF 00214Q104 263 5969 SH SOLE 0 0 5969 AT&T INC COM 00206R102 845 28999 SH SOLE 0 0 28999 AT&T INC COM 00206R102 104 3568 SH DFND 1 0 0 3568 AURINIA PHARMACEUTICALS INC COM 05156V102 797 54902 SH SOLE 0 0 54902 AUTODESK INC COM 052769106 198 1267 SH DFND 1 0 0 1267 AUTODESK INC COM 052769106 14 88 SH SOLE 0 0 88 BECTON DICKINSON & CO COM 075887109 93 404 SH DFND 1 0 0 404 BECTON DICKINSON & CO COM 075887109 118 512 SH SOLE 0 0 512 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 218 1190 SH DFND 1 0 0 1190 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 508 2781 SH SOLE 0 0 2781 BK OF AMERICA CORP COM 060505104 25 1161 SH DFND 1 0 0 1161 BK OF AMERICA CORP COM 060505104 440 20705 SH SOLE 0 0 20705 BLACKROCK 2022 GBL INCM OPP COM 09258P104 117 15500 SH SOLE 0 0 15500 BLACKROCK CAP INVT CORP COM 092533108 36 16334 SH SOLE 0 0 16334 BLACKROCK ENERGY & RES TR COM 09250U101 65 10340 SH SOLE 0 0 10340 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 1068 81003 SH SOLE 0 0 81003 BLACKSTONE GROUP INC COM CL A 09260D107 242 5311 SH SOLE 0 0 5311 BOEING CO COM 097023105 4 28 SH DFND 1 0 0 28 BOEING CO COM 097023105 745 4993 SH SOLE 0 0 4993 BRISTOL-MYERS SQUIBB CO COM 110122108 43 778 SH DFND 1 0 0 778 BRISTOL-MYERS SQUIBB CO COM 110122108 2247 40317 SH SOLE 0 0 40317 BROADCOM INC COM 11135F101 81 343 SH DFND 1 0 0 343 BROADCOM INC COM 11135F101 186 785 SH SOLE 0 0 785 CAREDX INC COM 14167L103 236 10788 SH SOLE 0 0 10788 CENTENE CORP DEL COM 15135B101 192 3227 SH SOLE 0 0 3227 CENTENE CORP DEL COM 15135B101 18 295 SH DFND 1 0 0 295 CENTURYLINK INC COM 156700106 166 17518 SH SOLE 0 0 17518 CHEVRON CORP NEW COM 166764100 102 1405 SH DFND 1 0 0 1405 CHEVRON CORP NEW COM 166764100 649 8952 SH SOLE 0 0 8952 CISCO SYS INC COM 17275R102 220 5608 SH DFND 1 0 0 5608 CISCO SYS INC COM 17275R102 420 10681 SH SOLE 0 0 10681 COCA COLA CO COM 191216100 65 1471 SH DFND 1 0 0 1471 COCA COLA CO COM 191216100 661 14940 SH SOLE 0 0 14940 COLGATE PALMOLIVE CO COM 194162103 75 1129 SH DFND 1 0 0 1129 COLGATE PALMOLIVE CO COM 194162103 171 2570 SH SOLE 0 0 2570 COMCAST CORP NEW CL A 20030N101 180 5243 SH SOLE 0 0 5243 COMCAST CORP NEW CL A 20030N101 230 6690 SH DFND 1 0 0 6690 CONOCOPHILLIPS COM 20825C104 10 321 SH DFND 1 0 0 321 CONOCOPHILLIPS COM 20825C104 744 24145 SH SOLE 0 0 24145 CONSOLIDATED EDISON INC COM 209115104 5 63 SH DFND 1 0 0 63 CONSOLIDATED EDISON INC COM 209115104 206 2646 SH SOLE 0 0 2646 COSTCO WHSL CORP NEW COM 22160K105 28 98 SH DFND 1 0 0 98 COSTCO WHSL CORP NEW COM 22160K105 182 640 SH SOLE 0 0 640 DBX ETF TR XTRACK MSCI EAFE 233051200 3 120 SH DFND 1 0 0 120 DBX ETF TR XTRACK MSCI EAFE 233051200 283 10555 SH SOLE 0 0 10555 DEXCOM INC COM 252131107 270 1003 SH SOLE 0 0 1003 DISNEY WALT CO COM DISNEY 254687106 99 1028 SH DFND 1 0 0 1028 DISNEY WALT CO COM DISNEY 254687106 1101 11397 SH SOLE 0 0 11397 DOMINION ENERGY INC COM 25746U109 83 1150 SH DFND 1 0 0 1150 DOMINION ENERGY INC COM 25746U109 433 6003 SH SOLE 0 0 6003 DOW INC COM 260557103 2 81 SH DFND 1 0 0 81 DOW INC COM 260557103 256 8762 SH SOLE 0 0 8762 DUKE ENERGY CORP NEW COM NEW 26441C204 12 150 SH DFND 1 0 0 150 DUKE ENERGY CORP NEW COM NEW 26441C204 208 2574 SH SOLE 0 0 2574 EDWARDS LIFESCIENCES CORP COM 28176E108 0 2 SH DFND 1 0 0 2 EDWARDS LIFESCIENCES CORP COM 28176E108 259 1374 SH SOLE 0 0 1374 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 235 6600 SH SOLE 0 0 6600 EXXON MOBIL CORP COM 30231G102 8 218 SH DFND 1 0 0 218 EXXON MOBIL CORP COM 30231G102 1481 39016 SH SOLE 0 0 39016 FACEBOOK INC CL A 30303M102 1156 6931 SH SOLE 0 0 6931 FACEBOOK INC CL A 30303M102 172 1029 SH DFND 1 0 0 1029 FATE THERAPEUTICS INC COM 31189P102 220 9887 SH SOLE 0 0 9887 FIDELITY TOTAL BD ETF 316188309 1532 29611 SH SOLE 0 0 29611 FIDELITY COVINGTON TR DIVID ETF RISI 316092832 502 19031 SH SOLE 0 0 19031 FIDELITY COVINGTON TR HIGH DIVID ETF 316092840 1508 65831 SH SOLE 0 0 65831 FIDELITY NATL INFORMATION SV COM 31620M106 198 1630 SH DFND 1 0 0 1630 FIDELITY NATL INFORMATION SV COM 31620M106 28 233 SH SOLE 0 0 233 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 4434 81998 SH SOLE 0 0 81998 FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 33739P301 2742 55864 SH SOLE 0 0 55864 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 799 48738 SH SOLE 0 0 48738 FIRST TR EXCHANGE TRADED ALP EMERG MKT ALPH 33737J182 1790 101742 SH SOLE 0 0 101742 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1080 19829 SH SOLE 0 0 19829 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 855 11565 SH SOLE 0 0 11565 FIRST TR EXCHANGE TRADED FD INDXX NEXTG ETF 33737K205 209 4469 SH SOLE 0 0 4469 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 234 9081 SH SOLE 0 0 9081 FIRST TR EXCHANGE TRADED FD WTR ETF 33733B100 210 4401 SH SOLE 0 0 4401 FIRST TR EXCHANGE-TRADED ALP MID CP GR ALPH 33737M102 2636 71335 SH SOLE 0 0 71335 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 211 6467 SH SOLE 0 0 6467 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 321 6451 SH SOLE 0 0 6451 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 2539 20519 SH SOLE 0 0 20519 FIRST TR EXCHANGE-TRADED FD DORSEY WRIGHT 33738R878 360 16033 SH SOLE 0 0 16033 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 30870 522950 SH SOLE 0 0 522950 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 2076 49445 SH SOLE 0 0 49445 FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 33738R118 772 21821 SH SOLE 0 0 21821 FIRST TR EXCHANGE-TRADED FD NASDQ ARTFCIAL 33738R720 211 7745 SH SOLE 0 0 7745 FIRST TR EXCHANGE-TRADED FD NASDQ SEMCNDTR 33738R811 217 6578 SH SOLE 0 0 6578 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 267 2040 SH SOLE 0 0 2040 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 2247 53772 SH SOLE 0 0 53772 FIRST TR EXCHANGE-TRADED FD SSI STRG ETF 33739Q507 9106 318519 SH SOLE 0 0 318519 FIRST TR EXCHNG TRADED FD VI LOW DUR STRTGC 33740F870 8551 435838 SH SOLE 0 0 435838 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 441 8359 SH SOLE 0 0 8359 FIRST TR LARGE CAP GROWTH A COM SHS 33735K108 3282 54780 SH SOLE 0 0 54780 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 6062 164731 SH SOLE 0 0 164731 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 1880 39466 SH SOLE 0 0 39466 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 462 9588 SH SOLE 0 0 9588 FIRST TR MORNINGSTAR DIVID L SHS 336917109 1720 77016 SH SOLE 0 0 77016 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 1098 17624 SH SOLE 0 0 17624 FIRST TR NASDAQ-100 TECH IND SHS 337345102 970 11481 SH SOLE 0 0 11481 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 327 7941 SH SOLE 0 0 7941 FIRST TR VALUE LINE DIVID IN SHS 33734H106 3065 110747 SH SOLE 0 0 110747 FIRSTENERGY CORP COM 337932107 0 12 SH DFND 1 0 0 12 FIRSTENERGY CORP COM 337932107 203 5074 SH SOLE 0 0 5074 FORTRESS BIOTECH INC COM 34960Q109 20 10440 SH SOLE 0 0 10440 GENERAL ELECTRIC CO COM 369604103 29 3604 SH DFND 1 0 0 3604 GENERAL ELECTRIC CO COM 369604103 199 25091 SH SOLE 0 0 25091 GILEAD SCIENCES INC COM 375558103 9 127 SH DFND 1 0 0 127 GILEAD SCIENCES INC COM 375558103 614 8211 SH SOLE 0 0 8211 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 510 9780 SH DFND 1 0 0 9780 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 1936 37090 SH SOLE 0 0 37090 GRACO INC COM 384109104 1409 28922 SH SOLE 0 0 28922 HANCOCK JAFFE LABORATORIES I COM 41015N106 12 40000 SH SOLE 0 0 40000 HARTFORD FDS EXCHANGE TRADED MUN OPORTUNITE 41653L503 301 7326 SH SOLE 0 0 7326 HOME DEPOT INC COM 437076102 107 575 SH DFND 1 0 0 575 HOME DEPOT INC COM 437076102 911 4881 SH SOLE 0 0 4881 HONEYWELL INTL INC COM 438516106 120 899 SH DFND 1 0 0 899 HONEYWELL INTL INC COM 438516106 316 2363 SH SOLE 0 0 2363 INTEL CORP COM 458140100 183 3377 SH DFND 1 0 0 3377 INTEL CORP COM 458140100 769 14200 SH SOLE 0 0 14200 INTERNATIONAL BUSINESS MACHS COM 459200101 381 3436 SH SOLE 0 0 3436 INTERNATIONAL BUSINESS MACHS COM 459200101 79 709 SH DFND 1 0 0 709 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 557 25145 SH SOLE 0 0 25145 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 1191 12888 SH SOLE 0 0 12888 INVESCO EXCHANGE-TRADED FD T FNDMNTL HY CRP 46138E719 184 11127 SH SOLE 0 0 11127 INVESCO EXCHANGE-TRADED FD T NATL AMT MUNI 46138E537 728 28204 SH SOLE 0 0 28204 INVESCO EXCHANGE-TRADED FD T S&P ULTRA DIVIDE 46138G656 491 21155 SH SOLE 0 0 21155 INVESCO EXCHANGE-TRADED FD T S&P500 HDL VOL 46138E362 339 11285 SH SOLE 0 0 11285 INVESCO EXCHANGE-TRADED FD T SR LN ETF 46138G508 424 20736 SH SOLE 0 0 20736 INVESCO QQQ TR UNIT SER 1 46090E103 1354 7114 SH SOLE 0 0 7114 INVESCO SR INCOME TR COM 46131H107 52 16000 SH SOLE 0 0 16000 ISHARES GOLD TRUST ISHARES 464285105 170 11312 SH SOLE 0 0 11312 ISHARES INC CORE MSCI EMKT 46434G103 1065 26325 SH DFND 1 0 0 26325 ISHARES INC CORE MSCI EMKT 46434G103 3292 81355 SH SOLE 0 0 81355 ISHARES INC MIN VOL EMRG MKT 464286533 492 10488 SH SOLE 0 0 10488 ISHARES TR 3 7 YR TREAS BD 464288661 2671 20030 SH SOLE 0 0 20030 ISHARES TR 3 7 YR TREAS BD 464288661 97 725 SH DFND 1 0 0 725 ISHARES TR BARCLAYS 7 10 YR 464287440 255 2101 SH DFND 1 0 0 2101 ISHARES TR BARCLAYS 7 10 YR 464287440 54 442 SH SOLE 0 0 442 ISHARES TR BROAD USD HIGH 46435U853 2 48 SH SOLE 0 0 48 ISHARES TR BROAD USD HIGH 46435U853 489 13766 SH DFND 1 0 0 13766 ISHARES TR CORE MSCI EAFE 46432F842 593 11890 SH DFND 1 0 0 11890 ISHARES TR CORE MSCI EAFE 46432F842 3593 72013 SH SOLE 0 0 72013 ISHARES TR CORE MSCI TOTAL 46432F834 712 15136 SH SOLE 0 0 15136 ISHARES TR CORE S&P MCP ETF 464287507 860 5977 SH DFND 1 0 0 5977 ISHARES TR CORE S&P MCP ETF 464287507 6216 43205 SH SOLE 0 0 43205 ISHARES TR CORE S&P SCP ETF 464287804 1037 18485 SH SOLE 0 0 18485 ISHARES TR CORE S&P SCP ETF 464287804 39 694 SH DFND 1 0 0 694 ISHARES TR CORE S&P TTL STK 464287150 437 7647 SH DFND 1 0 0 7647 ISHARES TR CORE S&P TTL STK 464287150 7753 135522 SH SOLE 0 0 135522 ISHARES TR CORE S&P US GWT 464287671 1365 23917 SH DFND 1 0 0 23917 ISHARES TR CORE S&P US GWT 464287671 266 4659 SH SOLE 0 0 4659 ISHARES TR CORE S&P US VLU 464287663 929 20112 SH DFND 1 0 0 20112 ISHARES TR CORE S&P US VLU 464287663 202 4369 SH SOLE 0 0 4369 ISHARES TR CORE S&P500 ETF 464287200 8293 32094 SH SOLE 0 0 32094 ISHARES TR CORE S&P500 ETF 464287200 21 82 SH DFND 1 0 0 82 ISHARES TR CORE TOTAL USD 46434V613 1417 26987 SH SOLE 0 0 26987 ISHARES TR CORE US AGGBD ET 464287226 508 4407 SH DFND 1 0 0 4407 ISHARES TR CORE US AGGBD ET 464287226 6189 53643 SH SOLE 0 0 53643 ISHARES TR EXPONENTIAL TECH 46434V381 892 25063 SH SOLE 0 0 25063 ISHARES TR FLTG RATE NT ETF 46429B655 302 6195 SH SOLE 0 0 6195 ISHARES TR GLOBAL TECH ETF 464287291 232 1272 SH SOLE 0 0 1272 ISHARES TR HDG MSCI EAFE 46434V803 512 21159 SH SOLE 0 0 21159 ISHARES TR IBOXX INV CP ETF 464287242 197 1598 SH DFND 1 0 0 1598 ISHARES TR IBOXX INV CP ETF 464287242 399 3228 SH SOLE 0 0 3228 ISHARES TR INTRM TR CRP ETF 464288638 1681 30605 SH SOLE 0 0 30605 ISHARES TR JPMORGAN USD EMG 464288281 219 2263 SH DFND 1 0 0 2263 ISHARES TR JPMORGAN USD EMG 464288281 299 3094 SH SOLE 0 0 3094 ISHARES TR MBS ETF 464288588 509 4612 SH SOLE 0 0 4612 ISHARES TR MBS ETF 464288588 160 1446 SH DFND 1 0 0 1446 ISHARES TR MRNGSTR LG-CP GR 464287119 643 3461 SH SOLE 0 0 3461 ISHARES TR MSCI EAFE ETF 464287465 365 6822 SH SOLE 0 0 6822 ISHARES TR MSCI EMG MKT ETF 464287234 299 8756 SH SOLE 0 0 8756 ISHARES TR MSCI MIN VOL ETF 46429B697 446 8249 SH DFND 1 0 0 8249 ISHARES TR MSCI MIN VOL ETF 46429B697 7525 139325 SH SOLE 0 0 139325 ISHARES TR NASDAQ BIOTECH 464287556 512 4752 SH SOLE 0 0 4752 ISHARES TR NATIONAL MUN ETF 464288414 402 3553 SH SOLE 0 0 3553 ISHARES TR PFD AND INCM SEC 464288687 607 19060 SH SOLE 0 0 19060 ISHARES TR RUS 1000 GRW ETF 464287614 1859 12342 SH SOLE 0 0 12342 ISHARES TR RUS 1000 GRW ETF 464287614 90 599 SH DFND 1 0 0 599 ISHARES TR RUS 1000 VAL ETF 464287598 746 7520 SH SOLE 0 0 7520 ISHARES TR RUS 2000 GRW ETF 464287648 307 1942 SH SOLE 0 0 1942 ISHARES TR RUSSELL 2000 ETF 464287655 548 4790 SH DFND 1 0 0 4790 ISHARES TR RUSSELL 2000 ETF 464287655 646 5642 SH SOLE 0 0 5642 ISHARES TR S&P 500 GRWT ETF 464287309 7509 45494 SH SOLE 0 0 45494 ISHARES TR S&P 500 VAL ETF 464287408 5104 53032 SH SOLE 0 0 53032 ISHARES TR S&P MC 400GR ETF 464287606 437 2451 SH SOLE 0 0 2451 ISHARES TR SHORT TREAS BD 464288679 501 4512 SH DFND 1 0 0 4512 ISHARES TR TIPS BD ETF 464287176 39 333 SH SOLE 0 0 333 ISHARES TR TIPS BD ETF 464287176 229 1938 SH DFND 1 0 0 1938 ISHARES TR U.S. TECH ETF 464287721 224 1097 SH SOLE 0 0 1097 ISHARES TR US AER DEF ETF 464288760 358 2488 SH SOLE 0 0 2488 ISHARES TR US TREAS BD ETF 46429B267 302 10771 SH SOLE 0 0 10771 ISHARES TR USA MOMENTUM FCT 46432F396 2268 21297 SH SOLE 0 0 21297 ISHARES TR USA QUALITY FCTR 46432F339 436 5385 SH SOLE 0 0 5385 ISHARES TR USA QUALITY FCTR 46432F339 1241 15313 SH DFND 1 0 0 15313 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 11 236 SH DFND 1 0 0 236 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 1177 24281 SH SOLE 0 0 24281 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 1356 27305 SH SOLE 0 0 27305 J P MORGAN EXCHANGE-TRADED F US DIVIDEND 46641Q795 599 31580 SH SOLE 0 0 31580 JANUS DETROIT STR TR HENDERSN SML ETF 47103U209 642 17979 SH SOLE 0 0 17979 JANUS DETROIT STR TR HENDERSON MTG 47103U852 1548 29744 SH SOLE 0 0 29744 JOHNSON & JOHNSON COM 478160104 319 2436 SH DFND 1 0 0 2436 JOHNSON & JOHNSON COM 478160104 1068 8143 SH SOLE 0 0 8143 JPMORGAN CHASE & CO COM 46625H100 133 1472 SH DFND 1 0 0 1472 JPMORGAN CHASE & CO COM 46625H100 527 5857 SH SOLE 0 0 5857 L3HARRIS TECHNOLOGIES INC COM 502431109 88 487 SH DFND 1 0 0 487 L3HARRIS TECHNOLOGIES INC COM 502431109 222 1233 SH SOLE 0 0 1233 LATTICE STRATEGIES TR HARTFORD MLT ETF 518416102 1144 51921 SH SOLE 0 0 51921 LOCKHEED MARTIN CORP COM 539830109 81 239 SH DFND 1 0 0 239 LOCKHEED MARTIN CORP COM 539830109 252 745 SH SOLE 0 0 745 LOWES COS INC COM 548661107 137 1595 SH SOLE 0 0 1595 LOWES COS INC COM 548661107 202 2350 SH DFND 1 0 0 2350 MASTERCARD INC CL A 57636Q104 774 3205 SH SOLE 0 0 3205 MASTERCARD INC CL A 57636Q104 27 110 SH DFND 1 0 0 110 MCDONALDS CORP COM 580135101 29 178 SH DFND 1 0 0 178 MCDONALDS CORP COM 580135101 325 1968 SH SOLE 0 0 1968 MEDTRONIC PLC SHS G5960L103 147 1626 SH DFND 1 0 0 1626 MEDTRONIC PLC SHS G5960L103 236 2619 SH SOLE 0 0 2619 MERCK & CO. INC COM 58933Y105 1003 13031 SH SOLE 0 0 13031 MERCK & CO. INC COM 58933Y105 170 2205 SH DFND 1 0 0 2205 MERIT MED SYS INC COM 589889104 223 7144 SH SOLE 0 0 7144 MICROSOFT CORP COM 594918104 639 4051 SH DFND 1 0 0 4051 MICROSOFT CORP COM 594918104 3139 19905 SH SOLE 0 0 19905 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 47 12774 SH DFND 1 0 0 12774 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 2 633 SH SOLE 0 0 633 MODERNA INC COM 60770K107 270 9028 SH SOLE 0 0 9028 MONDELEZ INTL INC CL A 609207105 166 3315 SH DFND 1 0 0 3315 MONDELEZ INTL INC CL A 609207105 98 1957 SH SOLE 0 0 1957 MUSCLE MAKER INC COM 627333107 59 35370 SH SOLE 0 0 35370 NETFLIX INC COM 64110L106 54 143 SH DFND 1 0 0 143 NETFLIX INC COM 64110L106 699 1862 SH SOLE 0 0 1862 NEXTERA ENERGY INC COM 65339F101 141 585 SH SOLE 0 0 585 NEXTERA ENERGY INC COM 65339F101 122 509 SH DFND 1 0 0 509 NIO INC SPON ADS 62914V106 28 10015 SH SOLE 0 0 10015 NOVARTIS A G SPONSORED ADR 66987V109 338 4094 SH SOLE 0 0 4094 NOVARTIS A G SPONSORED ADR 66987V109 36 435 SH DFND 1 0 0 435 NVIDIA CORP COM 67066G104 77 291 SH DFND 1 0 0 291 NVIDIA CORP COM 67066G104 866 3284 SH SOLE 0 0 3284 OPKO HEALTH INC COM 68375N103 15 11122 SH SOLE 0 0 11122 ORACLE CORP COM 68389X105 175 3621 SH DFND 1 0 0 3621 ORACLE CORP COM 68389X105 82 1702 SH SOLE 0 0 1702 ORGANOVO HLDGS INC COM 68620A104 6 13750 SH SOLE 0 0 13750 PAYPAL HLDGS INC COM 70450Y103 109 1137 SH DFND 1 0 0 1137 PAYPAL HLDGS INC COM 70450Y103 259 2704 SH SOLE 0 0 2704 PEPSICO INC COM 713448108 209 1742 SH SOLE 0 0 1742 PEPSICO INC COM 713448108 181 1503 SH DFND 1 0 0 1503 PFIZER INC COM 717081103 626 19184 SH SOLE 0 0 19184 PFIZER INC COM 717081103 159 4877 SH DFND 1 0 0 4877 PHILIP MORRIS INTL INC COM 718172109 125 1711 SH DFND 1 0 0 1711 PHILIP MORRIS INTL INC COM 718172109 107 1465 SH SOLE 0 0 1465 PHILLIPS 66 COM 718546104 39 719 SH DFND 1 0 0 719 PHILLIPS 66 COM 718546104 1249 23289 SH SOLE 0 0 23289 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 866 10101 SH SOLE 0 0 10101 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 817 8251 SH SOLE 0 0 8251 PIMCO ETF TR INTER MUN BD ACT 72201R866 213 3909 SH SOLE 0 0 3909 PROCTER & GAMBLE CO COM 742718109 273 2481 SH DFND 1 0 0 2481 PROCTER & GAMBLE CO COM 742718109 359 3268 SH SOLE 0 0 3268 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 270 6014 SH SOLE 0 0 6014 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3 68 SH DFND 1 0 0 68 QUALCOMM INC COM 747525103 68 1005 SH DFND 1 0 0 1005 QUALCOMM INC COM 747525103 214 3167 SH SOLE 0 0 3167 SALESFORCE COM INC COM 79466L302 107 746 SH DFND 1 0 0 746 SALESFORCE COM INC COM 79466L302 459 3186 SH SOLE 0 0 3186 SANDRIDGE PERMIAN TR COM UNIT BEN INT 80007A102 7 16080 SH SOLE 0 0 16080 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 847 33794 SH SOLE 0 0 33794 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3997 193164 SH SOLE 0 0 193164 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 17959 695000 SH SOLE 0 0 695000 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 819 33553 SH SOLE 0 0 33553 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 2326 44962 SH SOLE 0 0 44962 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 523 9644 SH SOLE 0 0 9644 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 14033 176179 SH SOLE 0 0 176179 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 12083 272944 SH SOLE 0 0 272944 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1086 25750 SH SOLE 0 0 25750 SCHWAB STRATEGIC TR US REIT ETF 808524847 3764 114955 SH SOLE 0 0 114955 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 357 6924 SH SOLE 0 0 6924 SEAGATE TECHNOLOGY PLC SHS G7945M107 55 1133 SH DFND 1 0 0 1133 SEAGATE TECHNOLOGY PLC SHS G7945M107 174 3561 SH SOLE 0 0 3561 SELECT MED HLDGS CORP COM 81619Q105 206 13714 SH SOLE 0 0 13714 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 140 1576 SH DFND 1 0 0 1576 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 220 2483 SH SOLE 0 0 2483 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 153 7336 SH DFND 1 0 0 7336 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 247 11850 SH SOLE 0 0 11850 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 103 1738 SH DFND 1 0 0 1738 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 205 3466 SH SOLE 0 0 3466 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 375 4667 SH SOLE 0 0 4667 SHOPIFY INC CL A 82509L107 465 1115 SH SOLE 0 0 1115 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 675 3079 SH SOLE 0 0 3079 SPDR GOLD TRUST GOLD SHS 78463V107 1958 13224 SH SOLE 0 0 13224 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 907 45997 SH SOLE 0 0 45997 SPDR S&P 500 ETF TR TR UNIT 78462F103 6126 23766 SH SOLE 0 0 23766 SPDR SER TR PORTFLI MORTGAGE 78464A383 1594 59722 SH SOLE 0 0 59722 SPDR SER TR PORTFOLIO LN TSR 78464A664 716 15165 SH SOLE 0 0 15165 SPDR SER TR S&P 400 MDCP GRW 78464A821 5390 125864 SH SOLE 0 0 125864 SPDR SER TR S&P 400 MDCP VAL 78464A839 4450 126218 SH SOLE 0 0 126218 SPDR SER TR S&P 600 SMCP GRW 78464A201 2694 58334 SH SOLE 0 0 58334 SPDR SER TR S&P 600 SMCP VAL 78464A300 2740 67050 SH SOLE 0 0 67050 SPDR SER TR S&P DIVID ETF 78464A763 236 2949 SH SOLE 0 0 2949 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 299 6234 SH DFND 1 0 0 6234 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 6 120 SH SOLE 0 0 120 STARBUCKS CORP COM 855244109 55 830 SH DFND 1 0 0 830 STARBUCKS CORP COM 855244109 251 3823 SH SOLE 0 0 3823 TANDEM DIABETES CARE INC COM NEW 875372203 243 3769 SH SOLE 0 0 3769 TARGET CORP COM 87612E106 75 806 SH DFND 1 0 0 806 TARGET CORP COM 87612E106 315 3388 SH SOLE 0 0 3388 TELADOC HEALTH INC COM 87918A105 430 2772 SH SOLE 0 0 2772 TESLA INC COM 88160R101 399 762 SH SOLE 0 0 762 TEXAS INSTRS INC COM 882508104 152 1521 SH DFND 1 0 0 1521 TEXAS INSTRS INC COM 882508104 54 536 SH SOLE 0 0 536 UNITED PARCEL SERVICE INC CL B 911312106 93 996 SH DFND 1 0 0 996 UNITED PARCEL SERVICE INC CL B 911312106 744 7967 SH SOLE 0 0 7967 UNITED TECHNOLOGIES CORP COM 913017109 7 75 SH DFND 1 0 0 75 UNITED TECHNOLOGIES CORP COM 913017109 321 3403 SH SOLE 0 0 3403 UNITEDHEALTH GROUP INC COM 91324P102 243 974 SH DFND 1 0 0 974 UNITEDHEALTH GROUP INC COM 91324P102 261 1048 SH SOLE 0 0 1048 VANECK VECTORS ETF TR AMT FREE SHORT M 92189F528 219 12626 SH SOLE 0 0 12626 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 266 5081 SH SOLE 0 0 5081 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 1 27 SH DFND 1 0 0 27 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 1098 25095 SH SOLE 0 0 25095 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 282 3025 SH SOLE 0 0 3025 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 781 9509 SH SOLE 0 0 9509 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 291 3539 SH DFND 1 0 0 3539 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1269 14867 SH DFND 1 0 0 14867 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1358 15916 SH SOLE 0 0 15916 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1106 19657 SH SOLE 0 0 19657 VANGUARD INDEX FDS GROWTH ETF 922908736 2328 14856 SH SOLE 0 0 14856 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 315 2489 SH SOLE 0 0 2489 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 276 3398 SH SOLE 0 0 3398 VANGUARD INDEX FDS MID CAP ETF 922908629 239 1817 SH SOLE 0 0 1817 VANGUARD INDEX FDS MID CAP ETF 922908629 4 29 SH DFND 1 0 0 29 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 232 3328 SH SOLE 0 0 3328 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4223 17834 SH SOLE 0 0 17834 VANGUARD INDEX FDS SMALL CP ETF 922908751 225 1952 SH SOLE 0 0 1952 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1420 11014 SH DFND 1 0 0 11014 VANGUARD INDEX FDS TOTAL STK MKT 922908769 5998 46530 SH SOLE 0 0 46530 VANGUARD INDEX FDS VALUE ETF 922908744 378 4245 SH SOLE 0 0 4245 VANGUARD INDEX FDS VALUE ETF 922908744 5 54 SH DFND 1 0 0 54 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 5 69 SH DFND 1 0 0 69 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 764 10833 SH SOLE 0 0 10833 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1371 15739 SH DFND 1 0 0 15739 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 668 7668 SH SOLE 0 0 7668 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 5 98 SH DFND 1 0 0 98 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 314 5770 SH SOLE 0 0 5770 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 92 1161 SH SOLE 0 0 1161 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 573 7244 SH DFND 1 0 0 7244 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 1768 20320 SH SOLE 0 0 20320 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 659 6371 SH SOLE 0 0 6371 VANGUARD STAR FDS VG TL INTL STK F 921909768 2248 53577 SH SOLE 0 0 53577 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 5 143 SH DFND 1 0 0 143 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 322 9653 SH SOLE 0 0 9653 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 393 5548 SH SOLE 0 0 5548 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 228 3461 SH SOLE 0 0 3461 VANGUARD WORLD FD MEGA GRWTH IND 921910816 540 4249 SH SOLE 0 0 4249 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 287 1725 SH SOLE 0 0 1725 VANGUARD WORLD FDS INF TECH ETF 92204A702 218 1031 SH DFND 1 0 0 1031 VANGUARD WORLD FDS INF TECH ETF 92204A702 419 1975 SH SOLE 0 0 1975 VERIZON COMMUNICATIONS INC COM 92343V104 234 4346 SH DFND 1 0 0 4346 VERIZON COMMUNICATIONS INC COM 92343V104 1113 20709 SH SOLE 0 0 20709 VIRNETX HLDG CORP COM 92823T108 109 20000 SH SOLE 0 0 20000 VISA INC COM CL A 92826C839 169 1049 SH DFND 1 0 0 1049 VISA INC COM CL A 92826C839 1510 9373 SH SOLE 0 0 9373 WALGREENS BOOTS ALLIANCE INC COM 931427108 296 6460 SH SOLE 0 0 6460 WALMART INC COM 931142103 165 1451 SH DFND 1 0 0 1451 WALMART INC COM 931142103 282 2479 SH SOLE 0 0 2479 WESTERN DIGITAL CORP. COM 958102105 48 1157 SH DFND 1 0 0 1157 WESTERN DIGITAL CORP. COM 958102105 192 4621 SH SOLE 0 0 4621 WISDOMTREE TR US MIDCAP DIVID 97717W505 279 11546 SH SOLE 0 0 11546