0001437749-24-012696.txt : 20240422
0001437749-24-012696.hdr.sgml : 20240422
20240422143526
ACCESSION NUMBER: 0001437749-24-012696
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20240331
FILED AS OF DATE: 20240422
DATE AS OF CHANGE: 20240422
EFFECTIVENESS DATE: 20240422
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Bay Harbor Wealth Management, LLC
CENTRAL INDEX KEY: 0001767989
ORGANIZATION NAME:
IRS NUMBER: 451032121
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-19245
FILM NUMBER: 24860889
BUSINESS ADDRESS:
STREET 1: 201 INTERNATIONAL CIRCLE, STE 520
CITY: HUNT VALLEY
STATE: MD
ZIP: 21030
BUSINESS PHONE: 4104032060
MAIL ADDRESS:
STREET 1: 201 INTERNATIONAL CIRCLE, STE 520
CITY: HUNT VALLEY
STATE: MD
ZIP: 21030
13F-HR
1
primary_doc.xml
X0202
13F-HR
LIVE
0001767989
XXXXXXXX
028-19245
03-31-2024
03-31-2024
Bay Harbor Wealth Management, LLC
201 INTERNATIONAL CIRCLE, STE 520
Hunt Valley
MD
21030
13F HOLDINGS REPORT
028-19245
N
Lance Scott
President, Chief Compliance Officer
410-403-2060
/s/ Lance Scott
Hunt Valley
MD
04-22-2024
1
172
278493879
false
1
0001427514
028-13023
Dana Investment Advisors, Inc.
INFORMATION TABLE
2
F13InfoTable_67056.xml
ABBVIE INC COM
Common Stock
00287Y109
90503
497
SH
OTR
1
0
0
497
ACCENTURE PLC IRELAND SHS CLASS A
Common Stock
G1151C101
65509
189
SH
OTR
1
0
0
189
ADOBE INC COM
Common Stock
00724F101
82249
163
SH
OTR
1
0
0
163
ADVISORSHARES PURE US CANNABIS ETF
Exchange Traded Fund
00768Y453
500
50
SH
SOLE
0
0
0
50
ALIBABA GROUP HLDG LTD SPONSORED ADS
American Depository Receipt
01609W102
1736
24
SH
SOLE
0
0
0
24
ALPHABET INC CAP STK CL A
Common Stock
02079K305
214773
1423
SH
OTR
1
0
0
1423
AMAZON COM INC COM
Common Stock
023135106
178936
992
SH
OTR
1
0
0
992
AMERICAN EXPRESS CO COM
Common Stock
025816109
94719
416
SH
OTR
1
0
0
416
APPLE INC COM
Common Stock
037833100
215454
1256
SH
OTR
1
0
0
1256
ARK AUTONOMOUS TECHNOLOGY & ROBOTICS ETF
Exchange Traded Fund
00214Q203
2757
50
SH
SOLE
0
0
0
50
ARK FINTECH INNOVATION ETF
Exchange Traded Fund
00214Q708
3033
100
SH
SOLE
0
0
0
100
ARK INNOVATION ETF
Exchange Traded Fund
00214Q104
78100
1559
SH
SOLE
0
0
0
1560
ARK NEXT GENERATION INTERNET ETF
Exchange Traded Fund
00214Q401
2140
25
SH
SOLE
0
0
0
26
ATLANTIC PWR & INFRASTRU
Common Stock
04879A107
1
31
SH
SOLE
0
0
0
31
AUTOLIV INC COM
Common Stock
052800109
2529
21
SH
OTR
1
0
0
21
BANK NEW YORK MELLON CORP COM
Common Stock
064058100
91788
1593
SH
OTR
1
0
0
1593
BERKSHIRE HATHAWAY INC DEL CL B NEW
Common Stock
084670702
1261
3
SH
SOLE
0
0
0
3
BLACKROCK FLEXIBLE INCOME ETF
Exchange Traded Fund
092528603
2498879
47634
SH
SOLE
0
0
0
47634
BLACKROCK U.S. EQUITY FACTOR ROTATION ETF
Exchange Traded Fund
09290C103
8759976
197296
SH
SOLE
0
0
0
197297
BOEING CO COM
Common Stock
097023105
5789
30
SH
SOLE
0
0
0
30
BOSTON SCIENTIFIC CORP COM
Common Stock
101137107
61230
894
SH
OTR
1
0
0
894
BRISTOL-MYERS SQUIBB CO COM
Common Stock
110122108
51355
947
SH
OTR
1
0
0
947
BROADCOM INC COM
Common Stock
11135F101
138388
104
SH
OTR
1
0
0
104
CADENCE DESIGN SYSTEM INC COM
Common Stock
127387108
3112
10
SH
OTR
1
0
0
10
CATERPILLAR INC COM
Common Stock
149123101
96004
262
SH
OTR
1
0
0
262
CENTERPOINT ENERGY INC COM
Common Stock
15189T107
49002
1720
SH
OTR
1
0
0
1720
CISCO SYS INC COM
Common Stock
17275R102
2345
47
SH
OTR
1
0
0
47
COMCAST CORP NEW CL A
Common Stock
20030N101
66152
1526
SH
OTR
1
0
0
1526
CROWDSTRIKE HLDGS INC CL A
Common Stock
22788C105
99382
310
SH
OTR
1
0
0
310
CSX CORP COM
Common Stock
126408103
2335
63
SH
OTR
1
0
0
63
CVS HEALTH CORP COM
Common Stock
126650100
2552
32
SH
OTR
1
0
0
32
DELL TECHNOLOGIES INC CL C
Common Stock
24703L202
175044
1534
SH
OTR
1
0
0
1534
DIAMONDBACK ENERGY INC COM
Common Stock
25278X109
54893
277
SH
OTR
1
0
0
277
DIMENSIONAL CORE FIXED INCOME ETF
Exchange Traded Fund
25434V872
3055239
72830
SH
SOLE
0
0
0
72831
DIMENSIONAL EMERGING CORE EQUITY MARKET ETF
Exchange Traded Fund
25434V302
1403106
56759
SH
SOLE
0
0
0
56760
DIMENSIONAL GLOBAL REAL ESTATE ETF
Exchange Traded Fund
25434V658
344961
13512
SH
SOLE
0
0
0
13512
DIMENSIONAL INTERNATIONAL CORE EQUITY MARKET ETF
Exchange Traded Fund
25434V203
3510948
116179
SH
SOLE
0
0
0
116180
DIMENSIONAL SHORT-DURATION FIXED INCOME ETF
Exchange Traded Fund
25434V864
4641309
98667
SH
SOLE
0
0
0
98667
DIMENSIONAL US CORE EQUITY MARKET ETF
Exchange Traded Fund
25434V104
12484831
341675
SH
SOLE
0
0
0
341676
DROPBOX INC CL A
Common Stock
26210C104
1190
49
SH
SOLE
0
0
0
49
ELEVANCE HEALTH INC COM
Common Stock
036752103
2592
5
SH
OTR
1
0
0
5
ELI LILLY & CO COM
Common Stock
532457108
74684
96
SH
OTR
1
0
0
96
FIRST REP BK SAN FRANCISCO CAL COM
Common Stock
33616C100
2
65
SH
SOLE
0
0
0
65
FISERV INC COM
Common Stock
337738108
68402
428
SH
OTR
1
0
0
428
FORTREA HLDGS INC COMMON STOCK
Common Stock
34965K107
160
4
SH
SOLE
0
0
0
4
GAMING & LEISURE PPTYS INC COM
Real Estate Investment Trust
36467J108
39571
845
SH
OTR
1
0
0
845
GENERAL MLS INC COM
Common Stock
370334104
2588
37
SH
OTR
1
0
0
37
GOLDMAN SACHS GROUP INC COM
Common Stock
38141G104
11759
28
SH
SOLE
0
0
0
28
GRAPHIC PACKAGING HLDG CO COM
Common Stock
388689101
68368
2335
SH
OTR
1
0
0
2335
HANNON ARMSTRONG SUST INFR CAP COM
Real Estate Investment Trust
41068X100
2044
72
SH
OTR
1
0
0
72
HOME DEPOT INC COM
Common Stock
437076102
3068
8
SH
OTR
1
0
0
8
HOWMET AEROSPACE INC COM
Common Stock
443201108
2668
39
SH
OTR
1
0
0
39
HUNTINGTON INGALLS INDS INC COM
Common Stock
446413106
58585
201
SH
OTR
1
0
0
201
INTERACTIVE BROKERS GROUP INC COM CL A
Common Stock
45841N107
100315
898
SH
OTR
1
0
0
898
INVESCO S&P 500 EQUAL WEIGHT ETF
Exchange Traded Fund
46137V357
6436
38
SH
SOLE
0
0
0
38
IQVIA HLDGS INC COM
Common Stock
46266C105
84465
334
SH
OTR
1
0
0
334
IRON MTN INC DEL COM
Real Estate Investment Trust
46284V101
82558
1021
SH
OTR
1
0
0
1021
ISHARES 20 YEAR TREASURY BOND ETF
Exchange Traded Fund
464287432
3239326
34235
SH
SOLE
0
0
0
34235
ISHARES CONVERTIBLE BOND ETF
Exchange Traded Fund
46435G102
447526
5606
SH
SOLE
0
0
0
5606
ISHARES CORE AGGRESSIVE ALLOCATION ETF
Exchange Traded Fund
464289859
203998
2777
SH
SOLE
0
0
0
2777
ISHARES CORE CONSERVATIVE ALLOCATION ETF
Exchange Traded Fund
464289883
122148
3317
SH
SOLE
0
0
0
3317
ISHARES CORE GROWTH ALLOCATION ETF
Exchange Traded Fund
464289867
58843
1057
SH
SOLE
0
0
0
1057
ISHARES CORE MODERATE ALLOCATION ETF
Exchange Traded Fund
464289875
336293
7861
SH
SOLE
0
0
0
7861
ISHARES CORE MSCI EMERGING MARKETS ETF
Exchange Traded Fund
46434G103
1184502
22955
SH
SOLE
0
0
0
22955
ISHARES CORE S&P 500 ETF
Exchange Traded Fund
464287200
29821778
56724
SH
SOLE
0
0
0
56725
ISHARES CORE TOTAL USD BOND MARKET ETF
Exchange Traded Fund
46434V613
23773949
521472
SH
SOLE
0
0
0
521473
ISHARES CURRENCY HEDGED MSCI EAFE ETF
Exchange Traded Fund
46434V803
2583352
74064
SH
SOLE
0
0
0
74064
ISHARES GLOBAL ENERGY ETF
Exchange Traded Fund
464287341
1039108
24193
SH
SOLE
0
0
0
24193
ISHARES GLOBAL TECH ETF
Exchange Traded Fund
464287291
37255
498
SH
SOLE
0
0
0
498
ISHARES IBOXX INVESTMENT GRADE CORPORATE BOND ETF
Exchange Traded Fund
464287242
1097369
10075
SH
SOLE
0
0
0
10075
ISHARES JP MORGAN USD EMERGING MARKETS BOND ETF
Exchange Traded Fund
464288281
1276721
14238
SH
SOLE
0
0
0
14238
ISHARES MBS ETF
Exchange Traded Fund
464288588
6091991
65916
SH
SOLE
0
0
0
65916
ISHARES MSCI EAFE GROWTH ETF
Exchange Traded Fund
464288885
5013126
48300
SH
SOLE
0
0
0
48301
ISHARES MSCI EAFE VALUE ETF
Exchange Traded Fund
464288877
4901923
90108
SH
SOLE
0
0
0
90109
ISHARES MSCI EMERGING MARKETS EX CHINA ETF
Exchange Traded Fund
46434G764
2785056
48376
SH
SOLE
0
0
0
48377
ISHARES MSCI USA MIN VOL FACTOR ETF
Exchange Traded Fund
46429B697
5349
64
SH
SOLE
0
0
0
64
ISHARES MSCI USA QUALITY FACTOR ETF
Exchange Traded Fund
46432F339
8775192
53393
SH
SOLE
0
0
0
53393
ISHARES RUSSELL 2000 ETF
Exchange Traded Fund
464287655
10515
50
SH
SOLE
0
0
0
50
ISHARES S&P 500 GROWTH ETF
Exchange Traded Fund
464287309
6421239
76045
SH
SOLE
0
0
0
76045
ISHARES S&P 500 VALUE ETF
Exchange Traded Fund
464287408
5262153
28168
SH
SOLE
0
0
0
28168
ISHARES SELF-DRIVING EV & TECH ETF
Exchange Traded Fund
46435U366
1571
50
SH
SOLE
0
0
0
50
ISHARES SEMICONDUCTOR ETF
Exchange Traded Fund
464287523
470365
2082
SH
SOLE
0
0
0
2082
ISHARES TIPS BOND ETF
Exchange Traded Fund
464287176
777111
7235
SH
SOLE
0
0
0
7235
ISHARES TREASURY FLOATING RATE BOND ETF
Exchange Traded Fund
46434V860
2889
57
SH
SOLE
0
0
0
57
ISHARES U.S. INFRASTRUCTURE ETF
Exchange Traded Fund
46435U713
1075086
24794
SH
SOLE
0
0
0
24794
ISHARES U.S. TECH INDEPENDENCE FOCUSED ETF
Exchange Traded Fund
46431W648
414036
5847
SH
SOLE
0
0
0
5848
ISHARES U.S. TECHNOLOGY ETF
Exchange Traded Fund
464287721
3738669
27681
SH
SOLE
0
0
0
27682
ISHARES U.S. TREASURY BOND ETF
Exchange Traded Fund
46429B267
892743
39207
SH
SOLE
0
0
0
39207
JOHNSON CTLS INTL PLC SHS
Common Stock
G51502105
2678
41
SH
OTR
1
0
0
41
JPMORGAN CHASE & CO COM
Common Stock
46625H100
85596
427
SH
OTR
1
0
0
427
KALEIDO BIOSCIENCES INC COM
Common Stock
483347100
0
2300
SH
SOLE
0
0
0
2300
KIMBERLY-CLARK CORP COM
Common Stock
494368103
72824
563
SH
OTR
1
0
0
563
KRAFT HEINZ CO COM
Common Stock
500754106
2391
64
SH
SOLE
0
0
0
64
KRATOS DEFENSE & SEC SOLUTIONS COM NEW
Common Stock
50077B207
5973
325
SH
SOLE
0
0
0
325
KROGER CO COM
Common Stock
501044101
78496
1374
SH
OTR
1
0
0
1374
LABORATORY CORP AMER HLDGS COM NEW
Common Stock
50540R409
873
4
SH
SOLE
0
0
0
4
LINCOLN ELEC HLDGS INC COM
Common Stock
533900106
103228
403
SH
OTR
1
0
0
403
LINDE PLC SHS
Common Stock
G54950103
61290
132
SH
OTR
1
0
0
132
LULULEMON ATHLETICA INC COM
Common Stock
550021109
67191
172
SH
OTR
1
0
0
172
MARATHON PETE CORP COM
Common Stock
56585A102
77980
387
SH
OTR
1
0
0
387
MARRIOTT INTL INC NEW CL A
Common Stock
571903202
89754
355
SH
OTR
1
0
0
355
MCKESSON CORP COM
Common Stock
58155Q103
105362
196
SH
OTR
1
0
0
196
MERCK & CO INC COM
Common Stock
58933Y105
96487
727
SH
OTR
1
0
0
727
META PLATFORMS INC CL A
Common Stock
30303M102
134520
277
SH
OTR
1
0
0
277
MICROSOFT CORP COM
Common Stock
594918104
210780
501
SH
OTR
1
0
0
501
MONDELEZ INTL INC CL A
Common Stock
609207105
66199
940
SH
OTR
1
0
0
940
NEXTERA ENERGY INC COM
Common Stock
65339F101
59052
924
SH
OTR
1
0
0
924
NORFOLK SOUTHN CORP COM
Common Stock
655844108
68305
268
SH
OTR
1
0
0
268
NVENT ELECTRIC PLC SHS
Common Stock
G6700G107
2563
34
SH
OTR
1
0
0
34
NVIDIA CORPORATION COM
Common Stock
67066G104
199715
221
SH
OTR
1
0
0
221
ORACLE CORP COM
Common Stock
68389X105
95966
764
SH
OTR
1
0
0
764
PALANTIR TECHNOLOGIES INC CL A
Common Stock
69608A108
15853
689
SH
SOLE
0
0
0
689
PALO ALTO NETWORKS INC COM
Common Stock
697435105
5114
18
SH
SOLE
0
0
0
18
PARKER-HANNIFIN CORP COM
Common Stock
701094104
118383
213
SH
OTR
1
0
0
213
PENN ENTERTAINMENT INC COM
Common Stock
707569109
4825
265
SH
SOLE
0
0
0
265
PIONEER NAT RES CO COM
Common Stock
723787107
75862
289
SH
OTR
1
0
0
289
PORTLAND GEN ELEC CO COM NEW
Common Stock
736508847
1401
33
SH
OTR
1
0
0
33
PROCTER AND GAMBLE CO COM
Common Stock
742718109
6976
43
SH
SOLE
0
0
0
43
PROSHARES BITCOIN STRATEGY ETF
Exchange Traded Fund
74347G440
19186
594
SH
SOLE
0
0
0
594
PRUDENTIAL FINL INC COM
Common Stock
744320102
7631
65
SH
SOLE
0
0
0
65
PULTE GROUP INC COM
Common Stock
745867101
113624
942
SH
OTR
1
0
0
942
REINSURANCE GRP OF AMERICA INC COM NEW
Common Stock
759351604
51306
266
SH
OTR
1
0
0
266
RESTAURANT BRANDS INTL INC COM
Common Stock
76131D103
79869
998
SH
OTR
1
0
0
998
RIVIAN AUTOMOTIVE INC COM CL A
Common Stock
76954A103
438
40
SH
SOLE
0
0
0
40
ROBLOX CORP CL A
Common Stock
771049103
954
25
SH
SOLE
0
0
0
25
SALESFORCE INC COM
Common Stock
79466L302
98013
325
SH
OTR
1
0
0
325
SCHWAB CHARLES CORP COM
Common Stock
808513105
3679
50
SH
SOLE
0
0
0
51
SERVICENOW INC COM
Common Stock
81762P102
75477
99
SH
OTR
1
0
0
99
SHORE BANCSHARES INC COM
Common Stock
825107105
11500
1000
SH
SOLE
0
0
0
1000
SNOWFLAKE INC CL A
Common Stock
833445109
2908
18
SH
SOLE
0
0
0
18
SPDR PORTFOLIO AGGREGATE BOND ETF
Exchange Traded Fund
78464A649
173875
6878
SH
SOLE
0
0
0
6878
SPDR PORTFOLIO S&P 500 ETF
Exchange Traded Fund
78464A854
7691
125
SH
SOLE
0
0
0
125
SPDR S&P 500 ETF TRUST
Exchange Traded Fund
78462F103
224861
429
SH
SOLE
0
0
0
430
STAG INDL INC COM
Real Estate Investment Trust
85254J102
1234
32
SH
OTR
1
0
0
32
SYNOPSYS INC COM
Common Stock
871607107
26289
46
SH
OTR
1
0
0
46
SYSCO CORP COM
Common Stock
871829107
79312
977
SH
OTR
1
0
0
977
TAPESTRY INC COM
Common Stock
876030107
3181
67
SH
OTR
1
0
0
67
TE CONNECTIVITY LTD SHS
Common Stock
H84989104
2614
18
SH
OTR
1
0
0
18
TESLA INC COM
Common Stock
88160R101
171395
975
SH
SOLE
0
0
0
975
THE CIGNA GROUP COM
Common Stock
125523100
2905
8
SH
OTR
1
0
0
8
T-MOBILE US INC COM
Common Stock
872590104
65614
402
SH
OTR
1
0
0
402
UNITEDHEALTH GROUP INC COM
Common Stock
91324P102
79646
161
SH
OTR
1
0
0
161
VANECK RARE EARTH/STRATEGIC METALS ETF
Exchange Traded Fund
92189H805
4416
86
SH
SOLE
0
0
0
86
VANGUARD CONSUMER DISCRETIONARY ETF
Exchange Traded Fund
92204A108
230354
725
SH
SOLE
0
0
0
725
VANGUARD DIVIDEND APPRECIATION ETF
Exchange Traded Fund
921908844
283410
1552
SH
SOLE
0
0
0
1552
VANGUARD FTSE DEVELOPED MARKETS ETF
Exchange Traded Fund
921943858
21527203
429085
SH
SOLE
0
0
0
429085
VANGUARD FTSE EMERGING MARKETS ETF
Exchange Traded Fund
922042858
7103272
170056
SH
SOLE
0
0
0
170057
VANGUARD GROWTH ETF
Exchange Traded Fund
922908736
20948990
60862
SH
SOLE
0
0
0
60863
VANGUARD HEALTH CARE ETF
Exchange Traded Fund
92204A504
10550
39
SH
SOLE
0
0
0
39
VANGUARD HIGH DIVIDEND YIELD INDEX ETF
Exchange Traded Fund
921946406
66060
546
SH
SOLE
0
0
0
546
VANGUARD INFORMATION TECHNOLOGY ETF
Exchange Traded Fund
92204A702
1308228
2495
SH
SOLE
0
0
0
2495
VANGUARD INTERMEDIATE-TERM BOND ETF
Exchange Traded Fund
921937819
6556763
86959
SH
SOLE
0
0
0
86960
VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD ETF
Exchange Traded Fund
921946794
42862
623
SH
SOLE
0
0
0
623
VANGUARD LONG-TERM BOND ETF
Exchange Traded Fund
921937793
6895237
95330
SH
SOLE
0
0
0
95330
VANGUARD MORTGAGE-BACKED SECURITIES ETF
Exchange Traded Fund
92206C771
7029329
154118
SH
SOLE
0
0
0
154118
VANGUARD RUSSELL 3000 ETF
Exchange Traded Fund
92206C599
3727
16
SH
SOLE
0
0
0
16
VANGUARD S&P 500 ETF
Exchange Traded Fund
922908363
3845
8
SH
SOLE
0
0
0
8
VANGUARD SHORT-TERM BOND ETF
Exchange Traded Fund
921937827
13611766
177537
SH
SOLE
0
0
0
177537
VANGUARD SMALL-CAP ETF
Exchange Traded Fund
922908751
5339122
23356
SH
SOLE
0
0
0
23357
VANGUARD TOTAL BOND MARKET ETF
Exchange Traded Fund
921937835
10313
142
SH
SOLE
0
0
0
142
VANGUARD TOTAL CORPORATE BOND ETF
Exchange Traded Fund
92206C573
30724
401
SH
SOLE
0
0
0
401
VANGUARD TOTAL INTERNATIONAL BOND ETF
Exchange Traded Fund
92203J407
14751913
299896
SH
SOLE
0
0
0
299897
VANGUARD TOTAL INTERNATIONAL STOCK ETF
Exchange Traded Fund
921909768
14291
237
SH
SOLE
0
0
0
237
VANGUARD TOTAL STOCK MARKET ETF
Exchange Traded Fund
922908769
90718
349
SH
SOLE
0
0
0
349
VANGUARD VALUE ETF
Exchange Traded Fund
922908744
18032677
110725
SH
SOLE
0
0
0
110725
VISA INC COM CL A
Common Stock
92826C839
98794
354
SH
OTR
1
0
0
354
WATERS CORP COM
Common Stock
941848103
2065
6
SH
OTR
1
0
0
6
WEATHERFORD INTL PLC ORD SHS
Common Stock
G48833118
1846
16
SH
OTR
1
0
0
16
WEBSTER FINL CORP COM
Common Stock
947890109
2792
55
SH
OTR
1
0
0
55
WELLS FARGO CO NEW COM
Common Stock
949746101
89838
1550
SH
OTR
1
0
0
1550
WORKDAY INC CL A
Common Stock
98138H101
78279
287
SH
OTR
1
0
0
287
ZOETIS INC CL A
Common Stock
98978V103
2199
13
SH
OTR
1
0
0
13