Vice President, Chief Compliance Officer

0001172661-20-002168.txt : 20201116 0001172661-20-002168.hdr.sgml : 20201116 20201116103658 ACCESSION NUMBER: 0001172661-20-002168 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 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: 201314434 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 09-30-2020 09-30-2020 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 11-16-2020 0 269 418655 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 251 1564 SH SOLE 1564 0 0 ABBVIE INC COM 00287Y109 750 8561 SH SOLE 8561 0 0 ABERDEEN STD PRECIOUS METALS PHYSCL PM BASKET 003263100 1954 20791 SH SOLE 20791 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 343 1519 SH SOLE 1519 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 511 1041 SH SOLE 1041 0 0 ADVANCED MICRO DEVICES INC COM 007903107 453 5519 SH SOLE 5519 0 0 AGF INVTS TR AGFIQ US MK ANTI 00110G408 2495 105765 SH SOLE 105765 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 275 937 SH SOLE 937 0 0 ALIGN TECHNOLOGY INC COM 016255101 349 1066 SH SOLE 1066 0 0 ALPHABET INC CAP STK CL A 02079K305 1586 1082 SH SOLE 1082 0 0 ALPHABET INC CAP STK CL C 02079K107 1199 816 SH SOLE 816 0 0 ALPS ETF TR MED BREAKTHGH 00162Q593 494 12001 SH SOLE 12001 0 0 AMAZON COM INC COM 023135106 7403 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EXCHNG TRADED FD VI LOW DUR STRTGC 33740F870 19729 968606 SH SOLE 968605 0 0 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 12511 227353 SH SOLE 227352 0 0 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1554 33291 SH SOLE 33290 0 0 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 1875 29667 SH SOLE 29666 0 0 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 209 3175 SH SOLE 3174 0 0 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 1431 16567 SH SOLE 16567 0 0 FIRST TR NASDAQ 100 TECH IND SHS 337345102 1252 10685 SH SOLE 10684 0 0 FIRST TR VALUE LINE DIVID IN SHS 33734H106 5715 181666 SH SOLE 181666 0 0 FIRST TRUST LRGCP GWT ALPHAD COM SHS 33735K108 1768 21058 SH SOLE 21057 0 0 FLYING EAGLE ACQUISITION COR COM 34407Y103 155 12750 SH SOLE 12750 0 0 FORTRESS BIOTECH INC COM 34960Q109 46 11440 SH SOLE 11440 0 0 FTAC OLYMPUS ACQUISITION COR UNIT 08/24/2025 G37288118 375 37500 SH SOLE 37500 0 0 GENERAL ELECTRIC CO COM 369604103 147 23641 SH SOLE 23640 0 0 GILEAD SCIENCES INC COM 375558103 329 5204 SH SOLE 5204 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 307 8157 SH SOLE 8156 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 2197 32284 SH SOLE 32284 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 337 1678 SH SOLE 1678 0 0 GRACO INC COM 384109104 1762 28722 SH SOLE 28722 0 0 GX ACQUISITION CORP COM CL A 36251A107 1027 97830 SH SOLE 97830 0 0 HANCOCK JAFFE LABORATORIES I COM 41015N106 17 40000 SH SOLE 40000 0 0 HARTFORD FDS EXCHANGE TRADED MUN OPORTUNITE 41653L503 295 7166 SH SOLE 7166 0 0 HOME DEPOT INC COM 437076102 1472 5301 SH SOLE 5301 0 0 HONEYWELL INTL INC COM 438516106 237 1440 SH SOLE 1439 0 0 IDEXX LABS INC COM 45168D104 352 895 SH SOLE 895 0 0 INTEL CORP COM 458140100 508 9811 SH SOLE 9810 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 313 2574 SH SOLE 2574 0 0 INVESCO EXCH TRADED FD TR II NATL AMT MUNI 46138E537 1058 39722 SH SOLE 39722 0 0 INVESCO EXCH TRADED FD TR II S&P ULTRA DIVIDE 46138G656 454 16900 SH SOLE 16900 0 0 INVESCO EXCH TRADED FD TR II S&P500 HDL VOL 46138E362 359 10892 SH SOLE 10891 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 215 9201 SH SOLE 9201 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 613 26722 SH SOLE 26721 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 997 8765 SH SOLE 8764 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 953 3430 SH SOLE 3429 0 0 INVESCO SR INCOME TR COM 46131H107 59 16000 SH SOLE 16000 0 0 ISHARES GOLD TRUST ISHARES 464285105 3280 182337 SH SOLE 182337 0 0 ISHARES INC CORE MSCI EMKT 46434G103 3771 71427 SH SOLE 71426 0 0 ISHARES INC MSCI EMERG MRKT 464286533 476 8628 SH SOLE 8628 0 0 ISHARES SILVER TR ISHARES 46428Q109 234 10817 SH SOLE 10817 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 3101 23213 SH SOLE 23213 0 0 ISHARES TR CONV BD ETF 46435G102 784 9709 SH SOLE 9708 0 0 ISHARES TR CORE MSCI EAFE 46432F842 1876 31121 SH SOLE 31121 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 745 12776 SH SOLE 12775 0 0 ISHARES TR CORE S&P MCP ETF 464287507 7315 39473 SH SOLE 39473 0 0 ISHARES TR CORE S&P SCP ETF 464287804 1251 17820 SH SOLE 17819 0 0 ISHARES TR CORE S&P TTL STK 464287150 5577 73876 SH SOLE 73875 0 0 ISHARES TR CORE S&P US GWT 464287671 332 4147 SH SOLE 4147 0 0 ISHARES TR CORE S&P US VLU 464287663 229 4227 SH SOLE 4227 0 0 ISHARES TR CORE S&P500 ETF 464287200 10346 30786 SH SOLE 30786 0 0 ISHARES TR CORE US AGGBD ET 464287226 4788 40559 SH SOLE 40559 0 0 ISHARES TR EXPONENTIAL TECH 46434V381 1166 23997 SH SOLE 23996 0 0 ISHARES TR GLOBAL TECH ETF 464287291 354 1341 SH SOLE 1341 0 0 ISHARES TR HDG MSCI EAFE 46434V803 503 18279 SH SOLE 18278 0 0 ISHARES TR IBOXX INV CP ETF 464287242 1216 9025 SH SOLE 9025 0 0 ISHARES TR ISHS 5-10YR INVT 464288638 313 5143 SH SOLE 5143 0 0 ISHARES TR JPMORGAN USD EMG 464288281 255 2302 SH SOLE 2302 0 0 ISHARES TR MBS ETF 464288588 255 2309 SH SOLE 2309 0 0 ISHARES TR MSCI EAFE ETF 464287465 358 5628 SH SOLE 5628 0 0 ISHARES TR MSCI EAFE MIN VL 46429B689 4163 61097 SH SOLE 61097 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 363 8237 SH SOLE 8237 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 8729 136971 SH SOLE 136971 0 0 ISHARES TR MSCI USA MMENTM 46432F396 577 3917 SH SOLE 3917 0 0 ISHARES TR NASDAQ BIOTECH 464287556 780 5760 SH SOLE 5759 0 0 ISHARES TR NATIONAL MUN ETF 464288414 303 2615 SH SOLE 2614 0 0 ISHARES TR PFD AND INCM SEC 464288687 775 21263 SH SOLE 21262 0 0 ISHARES TR PHLX SEMICND ETF 464287523 213 700 SH SOLE 700 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 3596 16579 SH SOLE 16578 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 845 7155 SH SOLE 7154 0 0 ISHARES TR RUS MD CP GR ETF 464287481 323 1868 SH SOLE 1868 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1007 6726 SH SOLE 6725 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 10637 46032 SH SOLE 46032 0 0 ISHARES TR S&P 500 VAL ETF 464287408 5866 52170 SH SOLE 52169 0 0 ISHARES TR S&P MC 400GR ETF 464287606 467 1951 SH SOLE 1950 0 0 ISHARES TR U.S. TECH ETF 464287721 362 1204 SH SOLE 1203 0 0 ISHARES TR US TREAS BD ETF 46429B267 294 10504 SH SOLE 10503 0 0 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 1187 23690 SH SOLE 23690 0 0 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 1478 29089 SH SOLE 29088 0 0 J P MORGAN EXCHANGE-TRADED F US DIVIDEND 46641Q795 764 32883 SH SOLE 32883 0 0 JANUS DETROIT STR TR HENDERSN SML ETF 47103U209 963 18627 SH SOLE 18627 0 0 JANUS DETROIT STR TR HENDERSON MTG 47103U852 1982 36963 SH SOLE 36962 0 0 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 1103 21888 SH SOLE 21888 0 0 JD.COM INC SPON ADR CL A 47215P106 551 7102 SH SOLE 7102 0 0 JOHNSON & JOHNSON COM 478160104 1214 8155 SH SOLE 8154 0 0 JPMORGAN CHASE & CO COM 46625H100 456 4739 SH SOLE 4738 0 0 KANDI TECHNOLOGIES GROUP INC COM 483709101 84 13555 SH SOLE 13555 0 0 KENSINGTON CAP ACQUISITION C COM CL A 490073103 243 14500 SH SOLE 14500 0 0 L3HARRIS TECHNOLOGIES INC COM 502431109 414 2437 SH SOLE 2437 0 0 LATTICE STRATEGIES TR HARTFORD MLT ETF 518416102 1403 54220 SH SOLE 54220 0 0 LOCKHEED MARTIN CORP COM 539830109 279 728 SH SOLE 728 0 0 LOWES COS INC COM 548661107 640 3861 SH SOLE 3861 0 0 LULULEMON ATHLETICA INC COM 550021109 388 1179 SH SOLE 1179 0 0 MASTERCARD INCORPORATED CL A 57636Q104 1020 3016 SH SOLE 3015 0 0 MCDONALDS CORP COM 580135101 444 2024 SH SOLE 2024 0 0 MERCADOLIBRE INC COM 58733R102 473 437 SH SOLE 437 0 0 MERCK & CO. INC COM 58933Y105 1421 17126 SH SOLE 17126 0 0 MICROSOFT CORP COM 594918104 4016 19095 SH SOLE 19095 0 0 MODERNA INC COM 60770K107 631 8914 SH SOLE 8914 0 0 MORGAN STANLEY COM NEW 617446448 273 5650 SH SOLE 5650 0 0 MUSCLE MAKER INC COM 627333107 16 11000 SH SOLE 11000 0 0 NETFLIX INC COM 64110L106 1269 2538 SH SOLE 2538 0 0 NEXTERA ENERGY INC COM 65339F101 231 833 SH SOLE 833 0 0 NIKE INC CL B 654106103 445 3541 SH SOLE 3541 0 0 NIO INC SPON ADS 62914V106 575 27082 SH SOLE 27082 0 0 NOVARTIS AG SPONSORED ADR 66987V109 374 4295 SH SOLE 4295 0 0 NOVAVAX INC COM NEW 670002401 351 3236 SH SOLE 3236 0 0 NVIDIA CORPORATION COM 67066G104 1786 3300 SH SOLE 3300 0 0 OKTA INC CL A 679295105 918 4292 SH SOLE 4292 0 0 OPKO HEALTH INC COM 68375N103 41 11122 SH SOLE 11122 0 0 PAYPAL HLDGS INC COM 70450Y103 1185 6015 SH SOLE 6015 0 0 PEPSICO INC COM 713448108 320 2309 SH SOLE 2308 0 0 PFIZER INC COM 717081103 479 13043 SH SOLE 13043 0 0 PHILLIPS 66 COM 718546104 1138 21946 SH SOLE 21946 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 956 9377 SH SOLE 9376 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 219 3902 SH SOLE 3902 0 0 PIMCO HIGH INCOME FD COM SHS 722014107 107 19590 SH SOLE 19590 0 0 PROCTER AND GAMBLE CO COM 742718109 526 3782 SH SOLE 3782 0 0 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 218 3977 SH SOLE 3977 0 0 QUALCOMM INC COM 747525103 508 4315 SH SOLE 4314 0 0 REGENERON PHARMACEUTICALS COM 75886F107 297 530 SH SOLE 530 0 0 RUMBLEON INC COM CL B 781386305 261 9800 SH SOLE 9800 0 0 SALESFORCE COM INC COM 79466L302 1070 4257 SH SOLE 4257 0 0 SANOFI SPONSORED ADR 80105N105 377 7507 SH SOLE 7507 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 474 15105 SH SOLE 15105 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 251 4540 SH SOLE 4540 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 5044 43795 SH SOLE 43795 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 6172 118257 SH SOLE 118257 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 3573 52303 SH SOLE 52303 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 344 3264 SH SOLE 3263 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1184 19942 SH SOLE 19941 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 414 3548 SH SOLE 3548 0 0 SHOPIFY INC CL A 82509L107 1394 1363 SH SOLE 1363 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 368 2530 SH SOLE 2530 0 0 SOCIAL CAP HDOSPHIA HLDG CO SHS CL A G8250T109 267 14050 SH SOLE 14050 0 0 SPARTAN ENERGY ACQUISITION C CL A COM STK 846784106 191 13250 SH SOLE 13250 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 1036 3734 SH SOLE 3733 0 0 SPDR GOLD TR GOLD SHS 78463V107 2915 16460 SH SOLE 16460 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2886 98642 SH SOLE 98641 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 13429 40100 SH SOLE 40100 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 315 12180 SH SOLE 12179 0 0 SPDR SER TR S&P 400 MDCP GRW 78464A821 2369 41270 SH SOLE 41270 0 0 SPDR SER TR S&P 400 MDCP VAL 78464A839 3736 86093 SH SOLE 86092 0 0 SPDR SER TR S&P 600 SMCP GRW 78464A201 1100 18642 SH SOLE 18641 0 0 SPDR SER TR S&P 600 SMCP VAL 78464A300 2128 42484 SH SOLE 42483 0 0 SPDR SER TR S&P DIVID ETF 78464A763 305 3304 SH SOLE 3303 0 0 SPHERE 3D CORP NEW COM 84841L308 143 57945 SH SOLE 57945 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 651 2684 SH SOLE 2684 0 0 SQUARE INC CL A 852234103 356 2189 SH SOLE 2189 0 0 TANDEM DIABETES CARE INC COM NEW 875372203 506 4462 SH SOLE 4462 0 0 TARGET CORP COM 87612E106 336 2134 SH SOLE 2134 0 0 TELADOC HEALTH INC COM 87918A105 855 3901 SH SOLE 3901 0 0 TESLA INC COM 88160R101 1523 3551 SH SOLE 3551 0 0 THE TRADE DESK INC COM CL A 88339J105 465 897 SH SOLE 897 0 0 TRACTOR SUPPLY CO COM 892356106 338 2360 SH SOLE 2360 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 144 10150 SH SOLE 10150 0 0 TRINE ACQUISITION CORP COM CL A 89628U108 701 64950 SH SOLE 64950 0 0 UBER TECHNOLOGIES INC COM 90353T100 224 6138 SH SOLE 6138 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1097 6586 SH SOLE 6586 0 0 UNITEDHEALTH GROUP INC COM 91324P102 627 2012 SH SOLE 2011 0 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 293 9844 SH SOLE 9844 0 0 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 280 4688 SH SOLE 4688 0 0 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 1569 28741 SH SOLE 28741 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 294 1687 SH SOLE 1687 0 0 VANECK VECTORS ETF TR SHORT MUNI ETF 92189F528 183 10126 SH SOLE 10126 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 219 1050 SH SOLE 1050 0 0 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 307 2816 SH SOLE 2816 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 596 7175 SH SOLE 7175 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 2163 24524 SH SOLE 24523 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 200 3443 SH SOLE 3442 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 3536 15536 SH SOLE 15536 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 381 2114 SH SOLE 2113 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 326 3216 SH SOLE 3215 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 346 1964 SH SOLE 1964 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 233 2949 SH SOLE 2949 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4012 13042 SH SOLE 13041 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 209 1889 SH SOLE 1889 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 290 1887 SH SOLE 1886 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 240 1117 SH SOLE 1116 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4453 26146 SH SOLE 26146 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 551 5275 SH SOLE 5275 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 254 5873 SH SOLE 5872 0 0 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 740 10496 SH SOLE 10495 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1215 12683 SH SOLE 12682 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 1775 32705 SH SOLE 32705 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 840 6525 SH SOLE 6525 0 0 VANGUARD STAR FDS VG TL INTL STK F 921909768 576 11034 SH SOLE 11033 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 445 10872 SH SOLE 10871 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 478 5908 SH SOLE 5908 0 0 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 227 2953 SH SOLE 2953 0 0 VANGUARD WORLD FD MEGA GRWTH IND 921910816 695 3750 SH SOLE 3750 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 632 2030 SH SOLE 2030 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 962 16164 SH SOLE 16163 0 0 VISA INC COM CL A 92826C839 1766 8829 SH SOLE 8829 0 0 WALMART INC COM 931142103 916 6548 SH SOLE 6548 0 0 WISDOMTREE TR CLOUD COMPUTNG 97717Y691 1090 25515 SH SOLE 25515 0 0 WISDOMTREE TR US MIDCAP DIVID 97717W505 264 9145 SH SOLE 9144 0 0 WORKDAY INC CL A 98138H101 389 1807 SH SOLE 1807 0 0 WORKHORSE GROUP INC COM NEW 98138J206 445 17590 SH SOLE 17590 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 593 1262 SH SOLE 1262 0 0