Chief Compliance Officer

0000927628-21-000058.txt : 20210211 0000927628-21-000058.hdr.sgml : 20210211 20210211125834 ACCESSION NUMBER: 0000927628-21-000058 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210211 DATE AS OF CHANGE: 20210211 EFFECTIVENESS DATE: 20210211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 541719854 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12320 FILM NUMBER: 21618231 BUSINESS ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037201000 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 FORMER COMPANY: FORMER CONFORMED NAME: OAKSTONE FINANCIAL CORP DATE OF NAME CHANGE: 19940728 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000927628 XXXXXXXX 12-31-2020 12-31-2020 CAPITAL ONE FINANCIAL CORP

1680 CAPITAL ONE DRIVE MCLEAN VA 22102

13F HOLDINGS REPORT 028-12320 N Mark Douce Chief Compliance Officer 202-539-1039 Mark Douce McLean VA 02-11-2021 1 193 750902 false 1 0001679524 028-19007 United Income, Inc. INFORMATION TABLE 2 information_table.xml INFORMATION TABLE 3M CO COM 88579Y101 262 1498 SH DFND 1 0 0 1498 ABBOTT LABS COM 002824100 730 6664 SH DFND 1 0 0 6664 ABBVIE INC COM 00287Y109 963 8992 SH DFND 1 0 0 8992 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 269 1028 SH DFND 1 0 0 1028 AIR PRODS & CHEMS INC COM 009158106 466 1707 SH DFND 1 0 0 1707 ALLIANCE RESOURCE PARTNERS L UT LTD PART 01877R108 1788 399107 SH DFND 1 0 0 399107 ALLIANCEBERNSTEIN HLDG L P UNIT LTD PARTN 01881G106 573 16963 SH DFND 1 0 0 16963 ALPHABET INC CAP STK CL A 02079K305 387 221 SH DFND 1 0 0 221 ALPHABET INC CAP STK CL C 02079K107 405 231 SH DFND 1 0 0 231 AMAZON COM INC COM 023135106 2674 821 SH DFND 1 0 0 821 AMERICAN EXPRESS CO COM 025816109 741 6130 SH DFND 1 0 0 6130 AMGEN INC COM 031162100 985 4283 SH DFND 1 0 0 4283 ANALOG DEVICES INC COM 032654105 529 3583 SH DFND 1 0 0 3583 ANNALY CAPITAL MANAGEMENT IN COM 035710409 233 27569 SH DFND 1 0 0 27569 APPLE INC COM 037833100 6273 47276 SH DFND 1 0 0 47276 AT&T INC COM 00206R102 342 11883 SH DFND 1 0 0 11883 BANK NEW YORK MELLON CORP COM 064058100 371 8742 SH DFND 1 0 0 8742 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 237 1021 SH DFND 1 0 0 1021 BLACKSTONE GROUP INC COM CL A 09260D107 352 5426 SH DFND 1 0 0 5426 BRISTOL-MYERS SQUIBB CO COM 110122108 900 14510 SH DFND 1 0 0 14510 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 662 16035 SH DFND 1 0 0 16035 CATERPILLAR INC COM 149123101 639 3513 SH DFND 1 0 0 3513 CHEVRON CORP NEW COM 166764100 262 3101 SH DFND 1 0 0 3101 CISCO SYS INC COM 17275R102 1386 30963 SH DFND 1 0 0 30963 CONOCOPHILLIPS COM 20825C104 431 10770 SH DFND 1 0 0 10770 COSTCO WHSL CORP NEW COM 22160K105 674 1788 SH DFND 1 0 0 1788 CROWN CASTLE INTL CORP NEW COM 22822V101 253 1590 SH DFND 1 0 0 1590 CSX CORP COM 126408103 227 2504 SH DFND 1 0 0 2504 CVS HEALTH CORP COM 126650100 546 7991 SH DFND 1 0 0 7991 DANAHER CORPORATION COM 235851102 1035 4659 SH DFND 1 0 0 4659 DARDEN RESTAURANTS INC COM 237194105 203 1700 SH DFND 1 0 0 1700 DEERE & CO COM 244199105 224 831 SH DFND 1 0 0 831 DIAGEO PLC SPON ADR NEW 25243Q205 204 1286 SH DFND 1 0 0 1286 DISNEY WALT CO COM 254687106 1915 10572 SH DFND 1 0 0 10572 DUKE ENERGY CORP NEW COM NEW 26441C204 231 2527 SH DFND 1 0 0 2527 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 124 20058 SH DFND 1 0 0 20058 ENTERPRISE PRODS PARTNERS L COM 293792107 983 50202 SH DFND 1 0 0 50202 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 678 11775 SH DFND 1 0 0 11775 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 761 11440 SH DFND 1 0 0 11440 EXCHANGE TRADED CONCEPTS TR EMQQ EM INTERN 301505889 223 3500 SH DFND 1 0 0 3500 EXXON MOBIL CORP COM 30231G102 585 14183 SH DFND 1 0 0 14183 FACEBOOK INC CL A 30303M102 1147 4199 SH DFND 1 0 0 4199 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 604 8947 SH DFND 1 0 0 8947 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 269 4484 SH DFND 1 0 0 4484 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 373 7250 SH DFND 1 0 0 7250 FRANCO NEV CORP COM 351858105 257 2050 SH DFND 1 0 0 2050 GENERAL ELECTRIC CO COM 369604103 168 15580 SH DFND 1 0 0 15580 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 25178 659626 SH DFND 1 0 0 659626 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 57246 1794558 SH DFND 1 0 0 1794558 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 5720 75568 SH DFND 1 0 0 75568 HOME DEPOT INC COM 437076102 1785 6721 SH DFND 1 0 0 6721 HONEYWELL INTL INC COM 438516106 613 2883 SH DFND 1 0 0 2883 INTEL CORP COM 458140100 781 15680 SH DFND 1 0 0 15680 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 1249 24687 SH DFND 1 0 0 24687 INVESCO EXCH TRADED FD TR II S&P SMLCP LOW 46138G102 3069 75342 SH DFND 1 0 0 75342 INVESCO EXCH TRADED FD TR II S&P500 HDL VOL 46138E362 648 17236 SH DFND 1 0 0 17236 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 3989 70938 SH DFND 1 0 0 70938 INVESCO EXCHANGE TRADED FD T DYNMC BIOTECH 46137V787 463 6609 SH DFND 1 0 0 6609 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 1334 5845 SH DFND 1 0 0 5845 INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 46137V241 4795 113859 SH DFND 1 0 0 113859 INVESCO QQQ TR UNIT SER 1 46090E103 376 1200 SH DFND 1 0 0 1200 ISHARES INC CORE MSCI EMKT 46434G103 3159 50922 SH DFND 1 0 0 50922 ISHARES INC MSCI EMERG MKT 46434G889 2748 55937 SH DFND 1 0 0 55937 ISHARES INC MSCI EMERG MRKT 464286533 14846 243058 SH DFND 1 0 0 243058 ISHARES TR 1 3 YR TREAS BD 464287457 18093 209460 SH DFND 1 0 0 209460 ISHARES TR BARCLAYS 7 10 YR 464287440 213 1779 SH DFND 1 0 0 1779 ISHARES TR CORE DIV GRWTH 46434V621 368 8206 SH DFND 1 0 0 8206 ISHARES TR CORE INTL AGGR 46435G672 1688 30030 SH DFND 1 0 0 30030 ISHARES TR CORE MSCI EAFE 46432F842 1690 24454 SH DFND 1 0 0 24454 ISHARES TR CORE MSCI TOTAL 46432F834 1539 22902 SH DFND 1 0 0 22902 ISHARES TR CORE S&P MCP ETF 464287507 329 1431 SH DFND 1 0 0 1431 ISHARES TR CORE S&P500 ETF 464287200 4959 13211 SH DFND 1 0 0 13211 ISHARES TR CORE US AGGBD ET 464287226 2814 23808 SH DFND 1 0 0 23808 ISHARES TR ESG AW MSCI EAFE 46435G516 234 3197 SH DFND 1 0 0 3197 ISHARES TR EXPND TEC SC ETF 464287549 1658 4740 SH DFND 1 0 0 4740 ISHARES TR FLTG RATE NT ETF 46429B655 1475 29079 SH DFND 1 0 0 29079 ISHARES TR IBONDS DEC 46435U697 213 7866 SH DFND 1 0 0 7866 ISHARES TR IBONDS DEC2021 46435G789 206 7999 SH DFND 1 0 0 7999 ISHARES TR IBONDS DEC2022 46435G755 208 7902 SH DFND 1 0 0 7902 ISHARES TR IBONDS DEC2023 46435G318 210 8028 SH DFND 1 0 0 8028 ISHARES TR IBONDS DEC25 ETF 46434VBD1 357 13051 SH DFND 1 0 0 13051 ISHARES TR IBOXX HI YD ETF 464288513 231 2645 SH DFND 1 0 0 2645 ISHARES TR IBOXX INV CP ETF 464287242 1396 10106 SH DFND 1 0 0 10106 ISHARES TR ISHS 1-5YR INVS 464288646 506 9179 SH DFND 1 0 0 9179 ISHARES TR ISHS 5-10YR INVT 464288638 265 4285 SH DFND 1 0 0 4285 ISHARES TR JPMORGAN USD EMG 464288281 13645 117722 SH DFND 1 0 0 117722 ISHARES TR MSCI ACWI EX US 464288240 299 5637 SH DFND 1 0 0 5637 ISHARES TR MSCI EAFE ETF 464287465 576 7898 SH DFND 1 0 0 7898 ISHARES TR MSCI EAFE MIN VL 46429B689 35548 484233 SH DFND 1 0 0 484233 ISHARES TR MSCI INTL MULTFT 46434V274 6612 243249 SH DFND 1 0 0 243249 ISHARES TR MSCI USA ESG SLC 464288802 397 4816 SH DFND 1 0 0 4816 ISHARES TR MSCI USA MIN VOL 46429B697 36445 536908 SH DFND 1 0 0 536908 ISHARES TR MSCI USA MMENTM 46432F396 62425 387037 SH DFND 1 0 0 387037 ISHARES TR MSCI USA QLT FCT 46432F339 41322 355578 SH DFND 1 0 0 355578 ISHARES TR MSCI USA SMCP MN 46435G433 750 22145 SH DFND 1 0 0 22145 ISHARES TR MSCI USA VALUE 46432F388 35848 412467 SH DFND 1 0 0 412467 ISHARES TR NASDAQ BIOTECH 464287556 509 3357 SH DFND 1 0 0 3357 ISHARES TR NATIONAL MUN ETF 464288414 2599 22177 SH DFND 1 0 0 22177 ISHARES TR PFD AND INCM SEC 464288687 1031 26781 SH DFND 1 0 0 26781 ISHARES TR PHLX SEMICND ETF 464287523 220 580 SH DFND 1 0 0 580 ISHARES TR RUS 1000 ETF 464287622 227 1072 SH DFND 1 0 0 1072 ISHARES TR RUS 1000 GRW ETF 464287614 237 984 SH DFND 1 0 0 984 ISHARES TR RUS TP200 GR ETF 464289438 1362 10234 SH DFND 1 0 0 10234 ISHARES TR RUSSELL 2000 ETF 464287655 719 3667 SH DFND 1 0 0 3667 ISHARES TR S&P 500 VAL ETF 464287408 624 4875 SH DFND 1 0 0 4875 ISHARES TR SP SMCP600VL ETF 464287879 799 9825 SH DFND 1 0 0 9825 ISHARES TR TIPS BD ETF 464287176 12968 101590 SH DFND 1 0 0 101590 ISHARES TR U.S. MED DVC ETF 464288810 334 1020 SH DFND 1 0 0 1020 ISHARES TR US AER DEF ETF 464288760 410 4330 SH DFND 1 0 0 4330 ISHARES TR US TREAS BD ETF 46429B267 7518 275999 SH DFND 1 0 0 275999 ISHARES TR USD INV GRDE ETF 464288620 20634 332973 SH DFND 1 0 0 332973 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 482 9489 SH DFND 1 0 0 9489 JOHNSON & JOHNSON COM 478160104 1093 6947 SH DFND 1 0 0 6947 JPMORGAN CHASE & CO COM 46625H100 1438 11319 SH DFND 1 0 0 11319 KKR & CO INC COM 48251W104 388 9590 SH DFND 1 0 0 9590 L3HARRIS TECHNOLOGIES INC COM 502431109 814 4304 SH DFND 1 0 0 4304 LILLY ELI & CO COM 532457108 1265 7493 SH DFND 1 0 0 7493 LOCKHEED MARTIN CORP COM 539830109 844 2379 SH DFND 1 0 0 2379 LOWES COS INC COM 548661107 516 3212 SH DFND 1 0 0 3212 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 377 8890 SH DFND 1 0 0 8890 MCCORMICK & CO INC COM NON VTG 579780206 231 2414 SH DFND 1 0 0 2414 MCDONALDS CORP COM 580135101 2072 9655 SH DFND 1 0 0 9655 MICROSOFT CORP COM 594918104 4688 21076 SH DFND 1 0 0 21076 NIKE INC CL B 654106103 521 3682 SH DFND 1 0 0 3682 NVIDIA CORPORATION COM 67066G104 257 492 SH DFND 1 0 0 492 ONE GAS INC COM 68235P108 731 9524 SH DFND 1 0 0 9524 ONEOK INC NEW COM 682680103 1524 39700 SH DFND 1 0 0 39700 PACER FDS TR TRENDP US LAR CP 69374H105 239 7307 SH DFND 1 0 0 7307 PAYCHEX INC COM 704326107 368 3946 SH DFND 1 0 0 3946 PAYPAL HLDGS INC COM 70450Y103 329 1403 SH DFND 1 0 0 1403 PEPSICO INC COM 713448108 1013 6833 SH DFND 1 0 0 6833 PFIZER INC COM 717081103 200 5430 SH DFND 1 0 0 5430 PHILLIPS 66 COM 718546104 430 6141 SH DFND 1 0 0 6141 PIMCO ETF TR ACTIVE BD ETF 72201R775 1162 10269 SH DFND 1 0 0 10269 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 529 5181 SH DFND 1 0 0 5181 PIMCO ETF TR INTER MUN BD ACT 72201R866 267 4711 SH DFND 1 0 0 4711 PIMCO ETF TR SHTRM MUN BD ACT 72201R874 515 10013 SH DFND 1 0 0 10013 PINNACLE FINL PARTNERS INC COM 72346Q104 210 3268 SH DFND 1 0 0 3268 PROCTER AND GAMBLE CO COM 742718109 1147 8240 SH DFND 1 0 0 8240 QUALCOMM INC COM 747525103 1425 9355 SH DFND 1 0 0 9355 RAYTHEON TECHNOLOGIES CORP COM 75513E101 308 4307 SH DFND 1 0 0 4307 S&P GLOBAL INC COM 78409V104 285 867 SH DFND 1 0 0 867 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 548 9405 SH DFND 1 0 0 9405 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 7426 173013 SH DFND 1 0 0 173013 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 655 23182 SH DFND 1 0 0 23182 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 1197 40892 SH DFND 1 0 0 40892 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 988 28407 SH DFND 1 0 0 28407 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 1370 24443 SH DFND 1 0 0 24443 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 219 2410 SH DFND 1 0 0 2410 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 1637 12749 SH DFND 1 0 0 12749 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 436 6402 SH DFND 1 0 0 6402 SEAGEN INC COM 81181C104 215 1225 SH DFND 1 0 0 1225 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 396 5865 SH DFND 1 0 0 5865 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1020 6345 SH DFND 1 0 0 6345 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4619 40720 SH DFND 1 0 0 40720 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3866 29733 SH DFND 1 0 0 29733 SERVICENOW INC COM 81762P102 479 870 SH DFND 1 0 0 870 SPDR GOLD TR GOLD SHS 78463V107 886 4965 SH DFND 1 0 0 4965 SPDR S&P 500 ETF TR TR UNIT 78462F103 8094 21648 SH DFND 1 0 0 21648 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 286 680 SH DFND 1 0 0 680 SPDR SER TR BLMBRG BRC CNVRT 78464A359 475 5734 SH DFND 1 0 0 5734 SPDR SER TR BLOMBERG BRC INV 78468R200 19896 650394 SH DFND 1 0 0 650394 SPDR SER TR NUVEEN BLMBRG SR 78468R739 8341 167521 SH DFND 1 0 0 167521 SPDR SER TR SSGA US SMAL ETF 78468R887 846 8839 SH DFND 1 0 0 8839 STARBUCKS CORP COM 855244109 486 4546 SH DFND 1 0 0 4546 THERMO FISHER SCIENTIFIC INC COM 883556102 646 1387 SH DFND 1 0 0 1387 TITAN MED INC COM NEW 88830X819 171 100000 SH DFND 1 0 0 100000 UNION PAC CORP COM 907818108 642 3082 SH DFND 1 0 0 3082 UNITED PARCEL SERVICE INC CL B 911312106 704 4182 SH DFND 1 0 0 4182 UNITEDHEALTH GROUP INC COM 91324P102 598 1706 SH DFND 1 0 0 1706 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 271 3271 SH DFND 1 0 0 3271 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 34568 391977 SH DFND 1 0 0 391977 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 43395 741157 SH DFND 1 0 0 741157 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 999 4710 SH DFND 1 0 0 4710 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 429 3608 SH DFND 1 0 0 3608 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1562 10983 SH DFND 1 0 0 10983 VANGUARD INDEX FDS TOTAL STK MKT 922908769 284 1460 SH DFND 1 0 0 1460 VANGUARD INDEX FDS VALUE ETF 922908744 4052 34060 SH DFND 1 0 0 34060 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 24769 484715 SH DFND 1 0 0 484715 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 12497 226427 SH DFND 1 0 0 226427 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 14449 208144 SH DFND 1 0 0 208144 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 24825 255561 SH DFND 1 0 0 255561 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1057 12700 SH DFND 1 0 0 12700 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 3936 27882 SH DFND 1 0 0 27882 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 1661 20188 SH DFND 1 0 0 20188 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 668 7302 SH DFND 1 0 0 7302 VERIZON COMMUNICATIONS INC COM 92343V104 1118 19023 SH DFND 1 0 0 19023 VISA INC COM CL A 92826C839 515 2354 SH DFND 1 0 0 2354 WALMART INC COM 931142103 417 2894 SH DFND 1 0 0 2894 WELLS FARGO CO NEW COM 949746101 334 11063 SH DFND 1 0 0 11063 WISDOMTREE TR EMG MKTS SMCAP 97717W281 293 6144 SH DFND 1 0 0 6144 WISDOMTREE TR GLB US QTLY DIV 97717W844 510 6699 SH DFND 1 0 0 6699 WISDOMTREE TR US QTLY DIV GRT 97717X669 230 4264 SH DFND 1 0 0 4264