Chief Compliance Officer

0001725547-24-000526.txt : 20240214 0001725547-24-000526.hdr.sgml : 20240214 20240214112226 ACCESSION NUMBER: 0001725547-24-000526 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240214 DATE AS OF CHANGE: 20240214 EFFECTIVENESS DATE: 20240214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sonora Investment Management Group, LLC CENTRAL INDEX KEY: 0001907552 ORGANIZATION NAME: IRS NUMBER: 870974250 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-21792 FILM NUMBER: 24634340 BUSINESS ADDRESS: STREET 1: 2343 E. BROADWAY BLVD, SUITE 116 CITY: TUCSON STATE: AZ ZIP: 85719 BUSINESS PHONE: 520-624-4554 MAIL ADDRESS: STREET 1: 2343 E. BROADWAY BLVD, SUITE 116 CITY: TUCSON STATE: AZ ZIP: 85719 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001907552 XXXXXXXX 12-31-2023 12-31-2023 false Sonora Investment Management Group, LLC

2343 E. BROADWAY BLVD, SUITE 116 TUCSON AZ 85719

13F HOLDINGS REPORT 028-21792 000315312 801-121799 N Sara S. Alexander Chief Compliance Officer 520-624-4554 Sara S. Alexander Tucson AZ 02-14-2024 0 277 1229912799 false INFORMATION TABLE 2 Form13fInfoTable.xml VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 650325 3816 SH SOLE 0 0 3816 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 231423 2073 SH SOLE 0 0 2073 VANGUARD WORLD FDS INF TECH ETF 92204A702 225339 466 SH SOLE 0 0 466 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1751777 4010 SH SOLE 0 0 4010 VANGUARD INDEX FDS GROWTH ETF 922908736 885691 2849 SH SOLE 0 0 2849 VANGUARD INDEX FDS TOTAL STK MKT 922908769 588665 2482 SH SOLE 0 0 2482 VERIZON COMMUNICATIONS INC COM 92343V104 7431757 197129 SH SOLE 0 0 197129 VERINT SYSTEMS INC NOTE 0.250% 4/1 92343XAC4 4405408 5010000 SH SOLE 0 0 5010000 VICARIOUS SURGICAL INC COM CL A 92561V109 3667 10000 SH SOLE 0 0 10000 VICI PPTYS INC COM 925652109 12903280 404745 SH SOLE 0 0 404745 VICTORY PORTFOLIOS II CORE INTERMEDIAT 92647N527 767693 16365 SH SOLE 0 0 16365 VISA INC COM CL A 92826C839 12448424 47814 SH SOLE 0 0 47814 VISHAY INTERTECHNOLOGY INC NOTE 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COS INC COM 969457100 342136 9823 SH SOLE 0 0 9823 WORKIVA INC COM CL A 98139A105 370991 3654 SH SOLE 0 0 3654 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 11893393 33893 SH SOLE 0 0 33893 EATON CORP PLC SHS G29183103 487179 2023 SH SOLE 0 0 2023 MEDTRONIC PLC SHS G5960L103 9064931 110038 SH SOLE 0 0 110038 PAGSEGURO DIGITAL LTD COM CL A G68707101 496269 39797 SH SOLE 0 0 39797 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 12581062 132321 SH SOLE 0 0 132321 AGNC INVT CORP COM 00123Q104 154934 15793 SH SOLE 0 0 15793 AT&T INC COM 00206R102 3172165 189044 SH SOLE 0 0 189044 ABBOTT LABS COM 002824100 1018777 9256 SH SOLE 0 0 9256 ABBVIE INC COM 00287Y109 1270170 8196 SH SOLE 0 0 8196 ACCELERATE DIAGNOSTICS INC COM NEW 00430H201 70560 18000 SH SOLE 0 0 18000 ADOBE INC COM 00724F101 12797307 21450 SH SOLE 0 0 21450 AEMETIS INC COM NEW 00770K202 214840 41000 SH SOLE 0 0 41000 ADVANCED MICRO DEVICES INC COM 007903107 523601 3552 SH SOLE 0 0 3552 AKAMAI TECHNOLOGIES INC NOTE 0.375% 9/0 00971TAL5 6592649 5903000 SH SOLE 0 0 5903000 AKEBIA THERAPEUTICS INC COM 00972D105 12400 10000 SH SOLE 0 0 10000 ALLIANCEBERNSTEIN HLDG L P UNIT LTD PARTN 01881G106 353494 11392 SH SOLE 0 0 11392 ALPHABET INC CAP STK CL C 02079K107 29418434 208745 SH SOLE 0 0 208745 ALPHABET INC CAP STK CL A 02079K305 7558207 54107 SH SOLE 0 0 54107 ALTERYX INC NOTE 1.000% 8/0 02156BAF0 26334984 27000000 SH SOLE 0 0 27000000 ALTRIA GROUP INC COM 02209S103 1174045 29104 SH SOLE 0 0 29104 AMAZON COM INC COM 023135106 15800090 103989 SH SOLE 0 0 103989 AMERICAN AIRLINES GROUP INC NOTE 6.500% 7/0 02376RAF9 57145 50000 SH SOLE 0 0 50000 AMERICAN EXPRESS CO COM 025816109 274045 1463 SH SOLE 0 0 1463 AMERICAN TOWER CORP NEW COM 03027X100 1282574 5941 SH SOLE 0 0 5941 AMGEN INC COM 031162100 7855729 27275 SH SOLE 0 0 27275 ANALOG DEVICES INC COM 032654105 438760 2210 SH SOLE 0 0 2210 ANTERO MIDSTREAM CORP COM 03676B102 125300 10000 SH SOLE 0 0 10000 APPLE INC COM 037833100 55656124 289078 SH SOLE 0 0 289078 APPLIED MATLS INC COM 038222105 1341205 8275 SH SOLE 0 0 8275 ARM HOLDINGS PLC SPONSORED ADR 042068205 328008 4365 SH SOLE 0 0 4365 AUTOZONE INC COM 053332102 377500 146 SH SOLE 0 0 146 BANK AMERICA CORP COM 060505104 267800 7954 SH SOLE 0 0 7954 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2908919 8156 SH SOLE 0 0 8156 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 6106300 6195000 SH SOLE 0 0 6195000 BIOMARIN PHARMACEUTICAL INC NOTE 1.250% 5/1 09061GAK7 10734212 10450000 SH SOLE 0 0 10450000 BLACKSTONE INC COM 09260D107 21104395 161201 SH SOLE 0 0 161201 BLACKSTONE SECD LENDING FD COMMON STOCK 09261X102 977213 35355 SH SOLE 0 0 35355 BOEING CO COM 097023105 1931378 7410 SH SOLE 0 0 7410 BRIGHTVIEW HLDGS INC COM 10948C107 295972 35151 SH SOLE 0 0 35151 BRISTOL-MYERS SQUIBB CO COM 110122108 451972 8809 SH SOLE 0 0 8809 BROADCOM INC COM 11135F101 13044461 11686 SH SOLE 0 0 11686 CSX CORP COM 126408103 897676 25892 SH SOLE 0 0 25892 CVS HEALTH CORP COM 126650100 4064437 51475 SH SOLE 0 0 51475 CALAMOS CONV OPPORTUNITIES & SH BEN INT 128117108 270914 26150 SH SOLE 0 0 26150 CARDINAL HEALTH INC COM 14149Y108 219744 2180 SH SOLE 0 0 2180 CATERPILLAR INC COM 149123101 1504133 5087 SH SOLE 0 0 5087 CENTURY ALUM CO NOTE 2.750% 5/0 156431AQ1 1336968 1528000 SH SOLE 0 0 1528000 CHEESECAKE FACTORY INC NOTE 0.375% 6/1 163072AA9 23368301 27200000 SH SOLE 0 0 27200000 CHEFS WHSE INC NOTE 1.875%12/0 163086AB7 12426316 12835000 SH SOLE 0 0 12835000 CHENIERE ENERGY INC COM NEW 16411R208 291915 1710 SH SOLE 0 0 1710 CHEVRON CORP NEW COM 166764100 8786378 58906 SH SOLE 0 0 58906 CINCINNATI FINL CORP COM 172062101 744188 7193 SH SOLE 0 0 7193 CISCO SYS INC COM 17275R102 15734204 311445 SH SOLE 0 0 311445 CINTAS CORP COM 172908105 297347 493 SH SOLE 0 0 493 CLEVELAND-CLIFFS INC NEW COM 185899101 11340962 555385 SH SOLE 0 0 555385 CLOROX CO DEL COM 189054109 371590 2606 SH SOLE 0 0 2606 COCA COLA CO COM 191216100 6032386 102365 SH SOLE 0 0 102365 COGNEX CORP COM 192422103 1949968 46717 SH SOLE 0 0 46717 COLGATE PALMOLIVE CO COM 194162103 299204 3754 SH SOLE 0 0 3754 COMCAST CORP NEW CL A 20030N101 349345 7967 SH SOLE 0 0 7967 CONOCOPHILLIPS COM 20825C104 830997 7159 SH SOLE 0 0 7159 CORNING INC COM 219350105 2609585 85701 SH SOLE 0 0 85701 COSTCO WHSL CORP NEW COM 22160K105 21206780 32128 SH SOLE 0 0 32128 CRACKER BARREL OLD CTRY STOR NOTE 0.625% 6/1 22410JAB2 2018179 2333000 SH SOLE 0 0 2333000 CREDIT SUISSE HIGH YIELD BD SH BEN INT 22544F103 178551 90177 SH SOLE 0 0 90177 CROWDSTRIKE HLDGS INC CL A 22788C105 302555 1185 SH SOLE 0 0 1185 CROWN CASTLE INC COM 22822V101 253894 2204 SH SOLE 0 0 2204 CUMMINS INC COM 231021106 404589 1689 SH SOLE 0 0 1689 D R HORTON INC COM 23331A109 1160824 7638 SH SOLE 0 0 7638 DISNEY WALT CO COM 254687106 6274927 69497 SH SOLE 0 0 69497 DOVER CORP COM 260003108 394985 2568 SH SOLE 0 0 2568 DUKE ENERGY CORP NEW COM NEW 26441C204 358350 3693 SH SOLE 0 0 3693 ENI S P A SPONSORED ADR 26874R108 439988 12937 SH SOLE 0 0 12937 EASTERLY GOVT PPTYS INC COM 27616P103 512064 38100 SH SOLE 0 0 38100 EATON VANCE NATL MUN OPPORT COM SHS 27829L105 228420 13500 SH SOLE 0 0 13500 EFFECTOR THERAPEUTICS INC COM 28202V108 58425 125000 SH SOLE 0 0 125000 EMERSON ELEC CO COM 291011104 7507356 77133 SH SOLE 0 0 77133 ENBRIDGE INC COM 29250N105 582948 16184 SH SOLE 0 0 16184 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 1189913 86226 SH SOLE 0 0 86226 ENTERPRISE PRODS PARTNERS L COM 293792107 1355805 51454 SH SOLE 0 0 51454 ETSY INC NOTE 0.125% 9/0 29786AAL0 4878770 5747000 SH SOLE 0 0 5747000 ETSY INC NOTE 0.250% 6/1 29786AAN6 2778409 3480000 SH SOLE 0 0 3480000 EVERGY INC COM 30034W106 8970402 171847 SH SOLE 0 0 171847 EVOLENT HEALTH INC NOTE 1.500%10/1 30050BAD3 6193160 5407000 SH SOLE 0 0 5407000 EXACT SCIENCES CORP NOTE 1.000% 1/1 30063PAA3 2767394 2420000 SH SOLE 0 0 2420000 EXACT SCIENCES CORP NOTE 0.375% 3/1 30063PAB1 4406267 4535000 SH SOLE 0 0 4535000 EXELIXIS INC COM 30161Q104 605652 25246 SH SOLE 0 0 25246 EXP WORLD HLDGS INC COM 30212W100 1173945 75641 SH SOLE 0 0 75641 EXXON MOBIL CORP COM 30231G102 5421135 54222 SH SOLE 0 0 54222 META PLATFORMS INC CL A 30303M102 13360929 37747 SH SOLE 0 0 37747 FIDELITY NATL INFORMATION SV COM 31620M106 211988 3529 SH SOLE 0 0 3529 FIFTH THIRD BANCORP COM 316773100 2087568 60527 SH SOLE 0 0 60527 FORD MTR CO DEL COM 345370860 316099 25931 SH SOLE 0 0 25931 FREEPORT-MCMORAN INC CL B 35671D857 284964 6694 SH SOLE 0 0 6694 GABELLI UTIL TR COM 36240A101 65122 12015 SH SOLE 0 0 12015 GALLAGHER ARTHUR J & CO COM 363576109 20198371 89818 SH SOLE 0 0 89818 GENERAL ELECTRIC CO COM NEW 369604301 279402 2189 SH SOLE 0 0 2189 GENERAL MLS INC COM 370334104 5701084 87520 SH SOLE 0 0 87520 GENTEX CORP COM 371901109 293583 8989 SH SOLE 0 0 8989 GILEAD SCIENCES INC COM 375558103 547480 6758 SH SOLE 0 0 6758 GLOBAL NET LEASE INC COM NEW 379378201 2797950 281201 SH SOLE 0 0 281201 GLOBAL X FDS GLBL X MLP ETF 37954Y343 2113819 47716 SH SOLE 0 0 47716 GOLDMAN SACHS GROUP INC COM 38141G104 207931 539 SH SOLE 0 0 539 GRAFTECH INTL LTD COM 384313508 955447 436277 SH SOLE 0 0 436277 GRAINGER W W INC COM 384802104 718327 867 SH SOLE 0 0 867 GRANITE CONSTR INC COM 387328107 202169 3975 SH SOLE 0 0 3975 GRANITE CONSTR INC NOTE 2.750%11/0 387328AB3 6862546 4130000 SH SOLE 0 0 4130000 GRAY TELEVISION INC COM 389375106 94080 10500 SH SOLE 0 0 10500 GREEN PLAINS INC NOTE 2.250% 3/1 393222AK0 2735864 2600000 SH SOLE 0 0 2600000 GREENBRIER COS INC NOTE 2.875% 2/0 393657AK7 18487607 18461000 SH SOLE 0 0 18461000 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 177295 160000 SH SOLE 0 0 160000 HALOZYME THERAPEUTICS INC NOTE 0.250% 3/0 40637HAD1 3657557 4242000 SH SOLE 0 0 4242000 HEALTHCARE RLTY TR CL A COM 42226K105 275732 16003 SH SOLE 0 0 16003 HOME DEPOT INC COM 437076102 17282337 49870 SH SOLE 0 0 49870 HONEYWELL INTL INC COM 438516106 7608963 36283 SH SOLE 0 0 36283 HUNTSMAN CORP COM 447011107 974158 38765 SH SOLE 0 0 38765 IPG PHOTONICS CORP COM 44980X109 232059 2138 SH SOLE 0 0 2138 ILLINOIS TOOL WKS INC COM 452308109 8294374 31665 SH SOLE 0 0 31665 INSMED INC NOTE 1.750% 1/1 457669AA7 6456234 6074000 SH SOLE 0 0 6074000 INSMED INC NOTE 0.750% 6/0 457669AB5 619157 540000 SH SOLE 0 0 540000 INTEL CORP COM 458140100 754266 15010 SH SOLE 0 0 15010 INTERNATIONAL BUSINESS MACHS COM 459200101 16320484 99789 SH SOLE 0 0 99789 INTRA-CELLULAR THERAPIES INC COM 46116X101 6267825 87515 SH SOLE 0 0 87515 INTUIT COM 461202103 393769 630 SH SOLE 0 0 630 INTUITIVE SURGICAL INC COM NEW 46120E602 306998 910 SH SOLE 0 0 910 INVESCO EXCHANGE TRADED FD T S&P500 EQL TEC 46137V282 219001 6710 SH SOLE 0 0 6710 IONIS PHARMACEUTICALS INC COM 462222100 7555010 149338 SH SOLE 0 0 149338 IONIS PHARMACEUTICALS INC NOTE 0.125%12/1 462222AB6 16202356 16978000 SH SOLE 0 0 16978000 IONIS PHARMACEUTICALS INC NOTE 4/0 462222AD2 13318516 12643000 SH SOLE 0 0 12643000 IRON MTN INC DEL COM 46284V101 5978322 85429 SH SOLE 0 0 85429 ISHARES GOLD TR ISHARES NEW 464285204 295692 7576 SH SOLE 0 0 7576 ISHARES TR SELECT DIVID ETF 464287168 329389 2810 SH SOLE 0 0 2810 ISHARES TR CORE S&P500 ETF 464287200 1549765 3245 SH SOLE 0 0 3245 ISHARES TR CORE US AGGBD ET 464287226 290307 2925 SH SOLE 0 0 2925 ISHARES TR CORE S&P MCP ETF 464287507 201910 729 SH SOLE 0 0 729 ISHARES TR RUS 1000 VAL ETF 464287598 291997 1767 SH SOLE 0 0 1767 ISHARES TR RUSSELL 2000 ETF 464287655 426023 2123 SH SOLE 0 0 2123 ISHARES SILVER TR ISHARES 46428Q109 233831 10736 SH SOLE 0 0 10736 ISHARES TR CORE MSCI EAFE 46432F842 200665 2852 SH SOLE 0 0 2852 JPMORGAN CHASE & CO COM 46625H100 18864435 110902 SH SOLE 0 0 110902 JOHNSON & JOHNSON COM 478160104 15567801 99322 SH SOLE 0 0 99322 KLA CORP COM NEW 482480100 18334786 31541 SH SOLE 0 0 31541 KAYNE ANDERSON ENERGY INFRST COM 486606106 412573 46990 SH SOLE 0 0 46990 KIMBERLY-CLARK CORP COM 494368103 8449685 69539 SH SOLE 0 0 69539 KINDER MORGAN INC DEL COM 49456B101 4429178 251087 SH SOLE 0 0 251087 LAM RESEARCH CORP COM 512807108 703485 898 SH SOLE 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59156R108 315832 4776 SH SOLE 0 0 4776 MICROSOFT CORP COM 594918104 50728656 134902 SH SOLE 0 0 134902 MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 595017AF1 6458278 2510000 SH SOLE 0 0 2510000 MONDELEZ INTL INC CL A 609207105 347424 4797 SH SOLE 0 0 4797 MURPHY OIL CORP COM 626717102 295844 6935 SH SOLE 0 0 6935 NATIONAL FUEL GAS CO COM 636180101 328614 6550 SH SOLE 0 0 6550 NETFLIX INC COM 64110L106 278009 571 SH SOLE 0 0 571 RITHM CAPITAL CORP COM NEW 64828T201 169678 15887 SH SOLE 0 0 15887 NEXSTAR MEDIA GROUP INC COMMON STOCK 65336K103 203775 1300 SH SOLE 0 0 1300 NEXTERA ENERGY INC COM 65339F101 591164 9733 SH SOLE 0 0 9733 NEXTERA ENERGY INC UNIT 09/01/2025 65339F713 8182077 214640 SH SOLE 0 0 214640 NIKE INC CL B 654106103 7300374 67241 SH SOLE 0 0 67241 NORFOLK SOUTHN CORP COM 655844108 228568 967 SH SOLE 0 0 967 NORTHROP GRUMMAN CORP COM 666807102 1604580 3428 SH SOLE 0 0 3428 NVIDIA CORPORATION COM 67066G104 5425585 10956 SH SOLE 0 0 10956 NUVEEN AMT FREE MUN CR INC F COM 67071L106 511558 43279 SH SOLE 0 0 43279 NUVEEN MUN VALUE FD INC COM 670928100 130032 15120 SH SOLE 0 0 15120 OCCIDENTAL PETE CORP COM 674599105 253636 4248 SH SOLE 0 0 4248 OMEROS CORP COM 682143102 37753 11545 SH SOLE 0 0 11545 OMEROS CORP NOTE 5.250% 2/1 682143AG7 3196798 5159000 SH SOLE 0 0 5159000 ONEOK INC NEW COM 682680103 790403 11256 SH SOLE 0 0 11256 ONTO INNOVATION INC COM 683344105 546465 3574 SH SOLE 0 0 3574 ORACLE CORP COM 68389X105 18368322 174223 SH SOLE 0 0 174223 PNC FINL SVCS GROUP INC COM 693475105 10448803 67477 SH SOLE 0 0 67477 PAYCHEX INC COM 704326107 9433980 79204 SH SOLE 0 0 79204 PEPSICO INC COM 713448108 15191814 89448 SH SOLE 0 0 89448 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 237474 14870 SH SOLE 0 0 14870 PFIZER INC COM 717081103 10110091 351167 SH SOLE 0 0 351167 PHILIP MORRIS INTL INC COM 718172109 1040046 11055 SH SOLE 0 0 11055 PHILLIPS 66 COM 718546104 2812550 21125 SH SOLE 0 0 21125 PHYSICIANS RLTY TR COM 71943U104 250428 18815 SH SOLE 0 0 18815 PIMCO INCOME STRATEGY FD COM 72201H108 211549 25065 SH SOLE 0 0 25065 PIMCO INCOME STRATEGY FD II COM 72201J104 207212 28660 SH SOLE 0 0 28660 PINNACLE WEST CAP CORP COM 723484101 1570926 21867 SH SOLE 0 0 21867 PIONEER NAT RES CO COM 723787107 309660 1377 SH SOLE 0 0 1377 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 160348 10584 SH SOLE 0 0 10584 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 283212 3600 SH SOLE 0 0 3600 PROCTER AND GAMBLE CO COM 742718109 12377306 84464 SH SOLE 0 0 84464 PROLOGIS INC. 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