Chief Compliance Officer

0001005441-21-000004.txt : 20210506 0001005441-21-000004.hdr.sgml : 20210506 20210505174111 ACCESSION NUMBER: 0001005441-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210506 DATE AS OF CHANGE: 20210505 EFFECTIVENESS DATE: 20210506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Avantax Planning Partners, Inc. CENTRAL INDEX KEY: 0001005441 IRS NUMBER: 421447865 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17669 FILM NUMBER: 21894793 BUSINESS ADDRESS: STREET 1: 3390 ASBURY ROAD CITY: DUBUQUE STATE: IA ZIP: 52002 BUSINESS PHONE: 5635822855 MAIL ADDRESS: STREET 1: 3390 ASBURY ROAD CITY: DUBUQUE STATE: IA ZIP: 52002 FORMER COMPANY: FORMER CONFORMED NAME: HONKAMP KRUEGER FINANCIAL SERVICES, INC. DATE OF NAME CHANGE: 20170412 FORMER COMPANY: FORMER CONFORMED NAME: HONKAMP KRUEGER FINANCIAL SERVICES INC /ADV DATE OF NAME CHANGE: 20130419 FORMER COMPANY: FORMER CONFORMED NAME: HONKAMP KRUEGER SECURITIES INC /ADV DATE OF NAME CHANGE: 19990420 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001005441 XXXXXXXX 03-31-2021 03-31-2021 Avantax Planning Partners, Inc.

3390 ASBURY ROAD DUBUQUE IA 52002

13F HOLDINGS REPORT 028-17669 N Chris Kobes Chief Compliance Officer 5635822855 Chris Kobes Dubuque IA 05-05-2021 0 314 1939623 false INFORMATION TABLE 2 CustomReport.xml ISHARES TR CORE S&P MCP ETF 464287507 808 3104 SH SOLE 0 0 3104 ISHARES TR S&P MC 400VL ETF 464287705 804 7889 SH SOLE 0 0 7889 ISHARES TR S&P MC 400GR ETF 464287606 1176 15001 SH SOLE 0 0 15001 ISHARES TR S&P 500 VAL ETF 464287408 1681 11903 SH SOLE 0 0 11903 ISHARES TR CORE S&P500 ETF 464287200 669 1682 SH SOLE 0 0 1682 ISHARES TR S&P 500 GRWT ETF 464287309 9525 146284 SH SOLE 0 0 146284 ISHARES TR RUS 1000 VAL ETF 464287598 10309 68024 SH SOLE 0 0 68024 ISHARES TR RUS 1000 GRW ETF 464287614 1001 4118 SH SOLE 0 0 4118 ISHARES TR RUSSELL 2000 ETF 464287655 1250 5659 SH SOLE 0 0 5659 ISHARES TR RUS 2000 VAL ETF 464287630 69123 433457 SH SOLE 0 0 433457 ISHARES TR RUSSELL 3000 ETF 464287689 239 1008 SH SOLE 0 0 1008 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 349 733 SH SOLE 0 0 733 SPDR S&P 500 ETF TR TR UNIT 78462F103 3087 7789 SH SOLE 0 0 7789 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 265 4142 SH SOLE 0 0 4142 ADOBE SYSTEMS INCORPORATED COM 00724F101 1598 3362 SH SOLE 0 0 3362 AMAZON COM INC COM 023135106 3865 1249 SH SOLE 0 0 1249 BLACK HILLS CORP COM 092113109 1925 28830 SH SOLE 0 0 28830 BRISTOL-MYERS SQUIBB CO COM 110122108 1996 31612 SH SOLE 0 0 31612 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3974 15555 SH SOLE 0 0 15555 EMERSON ELEC CO COM 291011104 2278 25253 SH SOLE 0 0 25253 BOEING CO COM 097023105 2781 10916 SH SOLE 0 0 10916 INVESCO QQQ TR UNIT SER 1 46090E103 2891 9060 SH SOLE 0 0 9060 AMGEN INC COM 031162100 1280 5145 SH SOLE 0 0 5145 ABBOTT LABS COM 002824100 3028 25266 SH SOLE 0 0 25266 BP PLC SPONSORED ADR 055622104 248 10188 SH SOLE 0 0 10188 ALTRIA GROUP INC COM 02209S103 2730 53360 SH SOLE 0 0 53360 FEDEX CORP COM 31428X106 313 1104 SH SOLE 0 0 1104 HORMEL FOODS CORP COM 440452100 383 8009 SH SOLE 0 0 8009 GENUINE PARTS CO COM 372460105 222 1924 SH SOLE 0 0 1924 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 277 7771 SH SOLE 0 0 7771 INTEL CORP COM 458140100 3977 62139 SH SOLE 0 0 62139 ILLINOIS TOOL WKS INC COM 452308109 1444 6519 SH SOLE 0 0 6519 ISHARES TR RUS 2000 GRW ETF 464287648 12730 42330 SH SOLE 0 0 42330 ORACLE CORP COM 68389X105 1037 14781 SH SOLE 0 0 14781 QUALCOMM INC COM 747525103 2191 16527 SH SOLE 0 0 16527 DISNEY WALT CO COM 254687106 3026 16400 SH SOLE 0 0 16400 HONEYWELL INTL INC COM 438516106 797 3673 SH SOLE 0 0 3673 SHERWIN WILLIAMS CO COM 824348106 358 485 SH SOLE 0 0 485 SYSCO CORP COM 871829107 312 3966 SH SOLE 0 0 3966 US BANCORP DEL COM NEW 902973304 2307 41703 SH SOLE 0 0 41703 JOHNSON & JOHNSON COM 478160104 4252 25873 SH SOLE 0 0 25873 MEDTRONIC PLC SHS G5960L103 843 7133 SH SOLE 0 0 7133 PFIZER INC COM 717081103 4279 118108 SH SOLE 0 0 118108 EXELON CORP COM 30161N101 219 5008 SH SOLE 0 0 5008 LOWES COS INC COM 548661107 1447 7608 SH SOLE 0 0 7608 ISHARES TR MSCI EAFE ETF 464287465 1515 19964 SH SOLE 0 0 19964 CHEVRON CORP NEW COM 166764100 2267 21633 SH SOLE 0 0 21633 MICROSOFT CORP COM 594918104 10018 42491 SH SOLE 0 0 42491 UNITED PARCEL SERVICE INC CL B 911312106 2448 14401 SH SOLE 0 0 14401 AT&T INC COM 00206R102 3338 110270 SH SOLE 0 0 110270 PRUDENTIAL FINL INC COM 744320102 209 2294 SH SOLE 0 0 2294 CITIGROUP INC COM NEW 172967424 3646 50112 SH SOLE 0 0 50112 CISCO SYS INC COM 17275R102 1457 28175 SH SOLE 0 0 28175 DNP SELECT INCOME FD INC COM 23325P104 173 17479 SH SOLE 0 0 17479 INTERNATIONAL BUSINESS MACHS COM 459200101 2777 20839 SH SOLE 0 0 20839 COCA COLA CO COM 191216100 4231 80263 SH SOLE 0 0 80263 LOCKHEED MARTIN CORP COM 539830109 2152 5825 SH SOLE 0 0 5825 PEPSICO INC COM 713448108 4801 33944 SH SOLE 0 0 33944 PPG INDS INC COM 693506107 296 1970 SH SOLE 0 0 1970 STRYKER CORPORATION COM 863667101 490 2013 SH SOLE 0 0 2013 VERIZON COMMUNICATIONS INC COM 92343V104 4153 71424 SH SOLE 0 0 71424 SPDR SER TR S&P 600 SMCP GRW 78464A201 9922 115575 SH SOLE 0 0 115575 ISHARES TR RUS MD CP GR ETF 464287481 8276 81090 SH SOLE 0 0 81090 ISHARES TR RUS MDCP VAL ETF 464287473 8431 77140 SH SOLE 0 0 77140 ISHARES TR GLOBAL TECH ETF 464287291 309 1004 SH SOLE 0 0 1004 ISHARES TR U.S. TECH ETF 464287721 458 5220 SH SOLE 0 0 5220 SELECT SECTOR SPDR TR ENERGY 81369Y506 344 7020 SH SOLE 0 0 7020 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 471 13818 SH SOLE 0 0 13818 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 939 7069 SH SOLE 0 0 7069 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 619 9061 SH SOLE 0 0 9061 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 463 2752 SH SOLE 0 0 2752 ISHARES TR NASDAQ BIOTECH 464287556 237 1571 SH SOLE 0 0 1571 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 6230 42360 SH SOLE 0 0 42360 WALGREENS BOOTS ALLIANCE INC COM 931427108 615 11198 SH SOLE 0 0 11198 DEERE & CO COM 244199105 4209 11250 SH SOLE 0 0 11250 BK OF AMERICA CORP COM 060505104 927 23960 SH SOLE 0 0 23960 STARBUCKS CORP COM 855244109 2009 18382 SH SOLE 0 0 18382 AUTOMATIC DATA PROCESSING IN COM 053015103 1136 6030 SH SOLE 0 0 6030 EXXON MOBIL CORP COM 30231G102 4871 87249 SH SOLE 0 0 87249 AFLAC INC COM 001055102 358 6991 SH SOLE 0 0 6991 WALMART INC COM 931142103 2827 20816 SH SOLE 0 0 20816 APPLIED MATLS INC COM 038222105 1265 9469 SH SOLE 0 0 9469 ANTHEM INC COM 036752103 241 671 SH SOLE 0 0 671 UNION PAC CORP COM 907818108 2546 11553 SH SOLE 0 0 11553 TEXAS INSTRS INC COM 882508104 2935 15529 SH SOLE 0 0 15529 BAXTER INTL INC COM 071813109 264 3128 SH SOLE 0 0 3128 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 490 4140 SH SOLE 0 0 4140 TARGET CORP COM 87612E106 2674 13500 SH SOLE 0 0 13500 COLGATE PALMOLIVE CO COM 194162103 780 9892 SH SOLE 0 0 9892 COSTCO WHSL CORP NEW COM 22160K105 1786 5068 SH SOLE 0 0 5068 LILLY ELI & CO COM 532457108 407 2178 SH SOLE 0 0 2178 CVS HEALTH CORP COM 126650100 1547 20567 SH SOLE 0 0 20567 MCKESSON CORP COM 58155Q103 877 4499 SH SOLE 0 0 4499 MERCK & CO. INC COM 58933Y105 3547 46008 SH SOLE 0 0 46008 MICRON TECHNOLOGY INC COM 595112103 201 2284 SH SOLE 0 0 2284 MORGAN STANLEY COM NEW 617446448 255 3282 SH SOLE 0 0 3282 PROCTER AND GAMBLE CO COM 742718109 6109 45105 SH SOLE 0 0 45105 GENERAL ELECTRIC CO COM 369604103 308 23435 SH SOLE 0 0 23435 KIMBERLY-CLARK CORP COM 494368103 383 2754 SH SOLE 0 0 2754 GILEAD SCIENCES INC COM 375558103 253 3921 SH SOLE 0 0 3921 HOME DEPOT INC COM 437076102 4202 13765 SH SOLE 0 0 13765 TRANE TECHNOLOGIES PLC SHS G8994E103 527 3185 SH SOLE 0 0 3185 MCDONALDS CORP COM 580135101 3215 14345 SH SOLE 0 0 14345 NIKE INC CL B 654106103 1623 12214 SH SOLE 0 0 12214 JPMORGAN CHASE & CO COM 46625H100 5170 33960 SH SOLE 0 0 33960 TJX COS INC NEW COM 872540109 1287 19462 SH SOLE 0 0 19462 MONDELEZ INTL INC CL A 609207105 598 10217 SH SOLE 0 0 10217 WILLIAMS COS INC COM 969457100 227 9565 SH SOLE 0 0 9565 WELLS FARGO CO NEW COM 949746101 1621 41480 SH SOLE 0 0 41480 ISHARES TR IBOXX INV CP ETF 464287242 1279 9835 SH SOLE 0 0 9835 XCEL ENERGY INC COM 98389B100 224 3375 SH SOLE 0 0 3375 GLOBAL PMTS INC COM 37940X102 201 995 SH SOLE 0 0 995 FORD MTR CO DEL COM 345370860 331 27052 SH SOLE 0 0 27052 UNITEDHEALTH GROUP INC COM 91324P102 1694 4553 SH SOLE 0 0 4553 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1106 4003 SH SOLE 0 0 4003 AMERICAN TOWER CORP NEW COM 03027X100 836 3497 SH SOLE 0 0 3497 CROWN CASTLE INTL CORP NEW COM 22822V101 348 2019 SH SOLE 0 0 2019 RAYTHEON TECHNOLOGIES CORP COM 75513E101 755 9777 SH SOLE 0 0 9777 INTUIT COM 461202103 295 771 SH SOLE 0 0 771 3M CO COM 88579Y101 3009 15617 SH SOLE 0 0 15617 COMCAST CORP NEW CL A 20030N101 830 15345 SH SOLE 0 0 15345 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2090 10112 SH SOLE 0 0 10112 WASTE MGMT INC DEL COM 94106L109 557 4315 SH SOLE 0 0 4315 NORFOLK SOUTHN CORP COM 655844108 738 2747 SH SOLE 0 0 2747 NEXTERA ENERGY INC COM 65339F101 2052 27145 SH SOLE 0 0 27145 DUKE ENERGY CORP NEW COM NEW 26441C204 1999 20704 SH SOLE 0 0 20704 CONSTELLATION BRANDS INC CL A 21036P108 312 1370 SH SOLE 0 0 1370 CONOCOPHILLIPS COM 20825C104 397 7487 SH SOLE 0 0 7487 CSX CORP COM 126408103 443 4598 SH SOLE 0 0 4598 APPLE INC COM 037833100 18951 155147 SH SOLE 0 0 155147 ALLSTATE CORP COM 020002101 330 2870 SH SOLE 0 0 2870 ALLIANT ENERGY CORP COM 018802108 751 13874 SH SOLE 0 0 13874 RPM INTL INC COM 749685103 335 3650 SH SOLE 0 0 3650 AMERICAN WTR WKS CO INC NEW COM 030420103 266 1776 SH SOLE 0 0 1776 BLACKROCK MUNIYIELD FD INC COM 09253W104 260 18102 SH SOLE 0 0 18102 SPDR SER TR PRTFLO S&P500 VL 78464A508 2609 68848 SH SOLE 0 0 68848 CATERPILLAR INC COM 149123101 4282 18467 SH SOLE 0 0 18467 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 664 3728 SH SOLE 0 0 3728 ISHARES TR MSCI EMG MKT ETF 464287234 11876 222647 SH SOLE 0 0 222647 CANADIAN PAC RY LTD COM 13645T100 517 1364 SH SOLE 0 0 1364 GENERAL MLS INC COM 370334104 1156 18854 SH SOLE 0 0 18854 ARCHER DANIELS MIDLAND CO COM 039483102 1187 20816 SH SOLE 0 0 20816 EDWARDS LIFESCIENCES CORP COM 28176E101 214 2557 SH SOLE 0 0 2557 GENERAL DYNAMICS CORP COM 369550108 260 1430 SH SOLE 0 0 1430 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 2213 36914 SH SOLE 0 0 36914 PIMCO MUN INCOME FD II COM 72200W106 525 35250 SH SOLE 0 0 35250 SOUTHERN CO COM 842587107 685 11022 SH SOLE 0 0 11022 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 835 16043 SH SOLE 0 0 16043 PAYCHEX INC COM 704326107 359 3663 SH SOLE 0 0 3663 ANNALY CAPITAL MANAGEMENT IN COM 035710409 147 17075 SH SOLE 0 0 17075 ROCKWELL AUTOMATION INC COM 773903109 982 3701 SH SOLE 0 0 3701 PNC FINL SVCS GROUP INC COM 693475105 220 1253 SH SOLE 0 0 1253 NETFLIX INC COM 64110L106 935 1792 SH SOLE 0 0 1792 ISHARES TR CORE US AGGBD ET 464287226 2746 24123 SH SOLE 0 0 24123 ISHARES TR SELECT DIVID ETF 464287168 914 8010 SH SOLE 0 0 8010 LKQ CORP COM 501889208 690 16310 SH SOLE 0 0 16310 CLOROX CO DEL COM 189054109 606 3140 SH SOLE 0 0 3140 CONSOLIDATED EDISON INC COM 209115104 228 3050 SH SOLE 0 0 3050 TIMKEN CO COM 887389104 275 3390 SH SOLE 0 0 3390 NVIDIA CORPORATION COM 67066G104 2039 3818 SH SOLE 0 0 3818 V F CORP COM 918204108 226 2832 SH SOLE 0 0 2832 TRAVELERS COMPANIES INC COM 89417E109 241 1604 SH SOLE 0 0 1604 NUCOR CORP COM 670346105 255 3178 SH SOLE 0 0 3178 AMERICAN ELEC PWR CO INC COM 025537101 411 4849 SH SOLE 0 0 4849 BAKER HUGHES COMPANY CL A 05722G100 206 9520 SH SOLE 0 0 9520 PENN NATL GAMING INC COM 707569109 201 1920 SH SOLE 0 0 1920 STANLEY BLACK & DECKER INC COM 854502101 249 1249 SH SOLE 0 0 1249 KRONOS WORLDWIDE INC COM 50105F105 162 10619 SH SOLE 0 0 10619 OWENS & MINOR INC NEW COM 690732102 317 8427 SH SOLE 0 0 8427 CUMMINS INC COM 231021106 291 1124 SH SOLE 0 0 1124 BECTON DICKINSON & CO COM 075887109 304 1250 SH SOLE 0 0 1250 MDU RES GROUP INC COM 552690109 970 30702 SH SOLE 0 0 30702 MICROCHIP TECHNOLOGY INC. COM 595017104 813 5239 SH SOLE 0 0 5239 BALL CORP COM 058498106 277 3273 SH SOLE 0 0 3273 ALPHABET INC CAP STK CL A 02079K305 3263 1582 SH SOLE 0 0 1582 SPDR GOLD TR GOLD SHS 78463V107 446 2788 SH SOLE 0 0 2788 WEC ENERGY GROUP INC COM 92939U106 561 5997 SH SOLE 0 0 5997 VANGUARD INDEX FDS VALUE ETF 922908744 8630 65645 SH SOLE 0 0 65645 CELANESE CORP DEL COM 150870103 547 3653 SH SOLE 0 0 3653 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 2447 10698 SH SOLE 0 0 10698 VANGUARD INDEX FDS SM CP VAL ETF 922908611 372 2245 SH SOLE 0 0 2245 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 484 5269 SH SOLE 0 0 5269 VANGUARD WORLD FDS MATERIALS ETF 92204A801 317 1832 SH SOLE 0 0 1832 BLACKROCK INC COM 09247X101 2508 3327 SH SOLE 0 0 3327 FASTENAL CO COM 311900104 1046 20799 SH SOLE 0 0 20799 VANGUARD INDEX FDS GROWTH ETF 922908736 1412 5495 SH SOLE 0 0 5495 GARMIN LTD SHS H2906T109 331 2509 SH SOLE 0 0 2509 MOSAIC CO NEW COM 61945C103 289 9158 SH SOLE 0 0 9158 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 27 11551 SH SOLE 0 0 11551 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 1586 18765 SH SOLE 0 0 18765 ALASKA AIR GROUP INC COM 011659109 242 3501 SH SOLE 0 0 3501 PARKER-HANNIFIN CORP COM 701094104 602 1909 SH SOLE 0 0 1909 CENTENE CORP DEL COM 15135B101 239 3742 SH SOLE 0 0 3742 VANGUARD WORLD FDS UTILITIES ETF 92204A876 773 5500 SH SOLE 0 0 5500 CRANE CO COM 224399105 414 4406 SH SOLE 0 0 4406 CASEYS GEN STORES INC COM 147528103 377 1744 SH SOLE 0 0 1744 INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 46137V241 353 7960 SH SOLE 0 0 7960 SPDR SER TR S&P DIVID ETF 78464A763 1879 15920 SH SOLE 0 0 15920 UNITED AIRLS HLDGS INC COM 910047109 431 7489 SH SOLE 0 0 7489 THERMO FISHER SCIENTIFIC INC COM 883556102 9039 19805 SH SOLE 0 0 19805 ISHARES TR EAFE GRWTH ETF 464288885 940 9353 SH SOLE 0 0 9353 SALESFORCE COM INC COM 79466L302 1371 6469 SH SOLE 0 0 6469 ENBRIDGE INC COM 29250N105 339 9300 SH SOLE 0 0 9300 VANGUARD WORLD FDS INF TECH ETF 92204A702 4619 12886 SH SOLE 0 0 12886 ISHARES SILVER TR ISHARES 46428Q109 383 16867 SH SOLE 0 0 16867 SPDR SER TR S&P 400 MDCP VAL 78464A839 7940 121347 SH SOLE 0 0 121347 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 603 3185 SH SOLE 0 0 3185 MASTERCARD INCORPORATED CL A 57636Q104 808 2268 SH SOLE 0 0 2268 PEMBINA PIPELINE CORP COM 706327103 202 6991 SH SOLE 0 0 6991 HEARTLAND FINL USA INC COM 42234Q102 8358 166303 SH SOLE 0 0 166303 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 669 10770 SH SOLE 0 0 10770 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 125 16262 SH SOLE 0 0 16262 WISDOMTREE TR US HIGH DIVIDEND 97717W208 4985 65340 SH SOLE 0 0 65340 WISDOMTREE TR US MIDCAP DIVID 97717W505 6000 148449 SH SOLE 0 0 148449 WISDOMTREE TR US SMALLCAP DIVD 97717W604 263 8435 SH SOLE 0 0 8435 ISHARES TR MSCI USA ESG SLC 464288802 1159 13200 SH SOLE 0 0 13200 BLACKROCK MUNIYIELD INVT FD COM 09254R104 249 17895 SH SOLE 0 0 17895 BLACKROCK MUNIHOLDINGS QUALI COM 09254C107 277 20644 SH SOLE 0 0 20644 HANESBRANDS INC COM 410345102 258 13113 SH SOLE 0 0 13113 CF INDS HLDGS INC COM 125269100 386 8510 SH SOLE 0 0 8510 LEIDOS HOLDINGS INC COM 525327102 217 2253 SH SOLE 0 0 2253 SPDR SER TR S&P BK ETF 78464A797 257 4955 SH SOLE 0 0 4955 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 3589 26611 SH SOLE 0 0 26611 SPDR SER TR S&P 400 MDCP GRW 78464A821 10775 143450 SH SOLE 0 0 143450 DELTA AIR LINES INC DEL COM NEW 247361702 689 14273 SH SOLE 0 0 14273 SPDR SER TR PORTFOLIO S&P400 78464A847 683 14923 SH SOLE 0 0 14923 BLACKSTONE GROUP INC COM 09260D107 289 3872 SH SOLE 0 0 3872 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 5675 196305 SH SOLE 0 0 196305 ISHARES TR GLOB INDSTRL ETF 464288729 580 5000 SH SOLE 0 0 5000 ISHARES TR PFD AND INCM SEC 464288687 3103 80808 SH SOLE 0 0 80808 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 534 5282 SH SOLE 0 0 5282 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 213 4347 SH SOLE 0 0 4347 ISHARES TR NATIONAL MUN ETF 464288414 35065 302157 SH SOLE 0 0 302157 VISA INC COM CL A 92826C839 1792 8462 SH SOLE 0 0 8462 PHILIP MORRIS INTL INC COM 718172109 900 10146 SH SOLE 0 0 10146 ISHARES TR MSCI ACWI EX US 464288240 336 6089 SH SOLE 0 0 6089 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 510 33968 SH SOLE 0 0 33968 ASENSUS SURGICAL INC COM 04367G103 616 189523 SH SOLE 0 0 189523 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 525 5400 SH SOLE 0 0 5400 ISHARES TR SHRT NAT MUN ETF 464288158 2548 23632 SH SOLE 0 0 23632 BROADCOM INC COM 11135F101 1595 3441 SH SOLE 0 0 3441 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 432 4472 SH SOLE 0 0 4472 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 35603 946390 SH SOLE 0 0 946390 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1631 16982 SH SOLE 0 0 16982 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 499 5007 SH SOLE 0 0 5007 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 411846 3173415 SH SOLE 0 0 3173415 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 344486 5277060 SH SOLE 0 0 5277060 TESLA INC COM 88160R101 1234 1848 SH SOLE 0 0 1848 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 486 1334 SH SOLE 0 0 1334 HORIZON TECHNOLOGY FIN CORP COM 44045A102 145 10100 SH SOLE 0 0 10100 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 201 3610 SH SOLE 0 0 3610 COHEN & STEERS SELECT PFD & COM 19248Y107 260 9400 SH SOLE 0 0 9400 VANGUARD STAR FDS VG TL INTL STK F 921909768 308 4914 SH SOLE 0 0 4914 SPDR SER TR NUVEEN BBG BRCLY 78464A284 15989 269491 SH SOLE 0 0 269491 ISHARES TR FLTG RATE NT ETF 46429B655 699 13759 SH SOLE 0 0 13759 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 185479 3437987 SH SOLE 0 0 3437987 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 199071 2729993 SH SOLE 0 0 2729993 PHILLIPS 66 COM 718546104 508 6235 SH SOLE 0 0 6235 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 1829 46401 SH SOLE 0 0 46401 SPDR SER TR BLOMBERG BRC INV 78468R200 136682 4460888 SH SOLE 0 0 4460888 RETAIL PPTYS AMER INC CL A 76131V202 118 11232 SH SOLE 0 0 11232 FACEBOOK INC CL A 30303M102 1985 6739 SH SOLE 0 0 6739 SERVICENOW INC COM 81762P102 269 538 SH SOLE 0 0 538 ISHARES INC CORE MSCI EMKT 46434G103 7721 119969 SH SOLE 0 0 119969 ISHARES TR CORE MSCI EAFE 46432F842 200 2780 SH SOLE 0 0 2780 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 293 9200 SH SOLE 0 0 9200 ABBVIE INC COM 00287Y109 2875 26567 SH SOLE 0 0 26567 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 460 16688 SH SOLE 0 0 16688 ZOETIS INC CL A 98978V103 203 1292 SH SOLE 0 0 1292 SPDR INDEX SHS FDS S&P GLBDIV ETF 78463X459 215 3253 SH SOLE 0 0 3253 ALPS ETF TR INTL SEC DV DOG 00162Q718 8781 320406 SH SOLE 0 0 320406 EASTMAN KODAK CO COM NEW 277461406 93 11759 SH SOLE 0 0 11759 SINTX TECHNOLOGIES INC COM NEW 829392307 24 13000 SH SOLE 0 0 13000 ISHARES TR HDG MSCI EAFE 46434V803 479 14520 SH SOLE 0 0 14520 ALPHABET INC CAP STK CL C 02079K107 1094 529 SH SOLE 0 0 529 HERITAGE INS HLDGS INC COM 42727J102 972 87726 SH SOLE 0 0 87726 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 2178 38601 SH SOLE 0 0 38601 T2 BIOSYSTEMS INC COM 89853L104 65 40273 SH SOLE 0 0 40273 CONTRAFECT CORP COM NEW 212326300 72 15000 SH SOLE 0 0 15000 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 205 906 SH SOLE 0 0 906 CAESARS ENTERTAINMENT INC NE COM 12769G100 1468 16785 SH SOLE 0 0 16785 SOLENO THERAPEUTICS INC COM NEW 834203200 13 10700 SH SOLE 0 0 10700 ISHARES TR IBONDS DEC21 ETF 46434VBK5 495 19928 SH SOLE 0 0 19928 ISHARES TR IBONDS DEC23 ETF 46434VAX8 457 17479 SH SOLE 0 0 17479 ISHARES TR IBONDS DEC25 ETF 46434VBD1 472 17604 SH SOLE 0 0 17604 ETF SER SOLUTIONS US GLB JETS 26922A842 332 12340 SH SOLE 0 0 12340 ISHARES TR IBONDS DEC22 ETF 46434VBA7 469 18417 SH SOLE 0 0 18417 ISHARES TR IBONDS DEC24 ETF 46434VBG4 469 17773 SH SOLE 0 0 17773 KRAFT HEINZ CO COM 500754106 234 5860 SH SOLE 0 0 5860 PAYPAL HLDGS INC COM 70450Y103 1437 5919 SH SOLE 0 0 5919 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 350 6401 SH SOLE 0 0 6401 ISHARES TR IBONDS DEC2022 46435G755 1622 61600 SH SOLE 0 0 61600 HEWLETT PACKARD ENTERPRISE C COM 42824C109 168 10688 SH SOLE 0 0 10688 ISHARES TR IBONDS DEC2021 46435G789 1562 60753 SH SOLE 0 0 60753 SPDR SER TR PRTFLO S&P500 HI 78468R788 219 5701 SH SOLE 0 0 5701 ISHARES TR U.S. FIXED INCME 46435U796 712 7128 SH SOLE 0 0 7128 FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 154 16385 SH SOLE 0 0 16385 NUSHARES ETF TR NUVEEN ESG MIDVL 67092P508 801 23263 SH SOLE 0 0 23263 NUSHARES ETF TR NUVEEN ESG SMLCP 67092P607 1675 38928 SH SOLE 0 0 38928 ISHARES TR IBONDS DEC2023 46435G318 1625 62107 SH SOLE 0 0 62107 J P MORGAN EXCHANGE-TRADED F INTL BD OPP ETF 46641Q852 512 9973 SH SOLE 0 0 9973 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 842 16587 SH SOLE 0 0 16587 NUSHARES ETF TR NUVEEN ESG LRGCP 67092P201 936 16147 SH SOLE 0 0 16147 NUSHARES ETF TR NUVEEN ESG INTL 67092P805 3184 105269 SH SOLE 0 0 105269 NUSHARES ETF TR NUVEEN ESG US 67092P870 1947 75389 SH SOLE 0 0 75389 NUSHARES ETF TR NUVEEN ESG LRGVL 67092P300 4339 119870 SH SOLE 0 0 119870 NUSHARES ETF TR NUVEEN ESG EMRGN 67092P888 1422 40497 SH SOLE 0 0 40497 INSPIRE MED SYS INC COM 457730109 650 3138 SH SOLE 0 0 3138 DOW INC COM 260557103 348 5448 SH SOLE 0 0 5448 CAMBIUM NETWORKS CORP SHS G17766109 388 8296 SH SOLE 0 0 8296 SUNDIAL GROWERS INC COM 86730L109 68 60418 SH SOLE 0 0 60418 CARRIER GLOBAL CORPORATION COM 14448C104 240 5696 SH SOLE 0 0 5696 OTIS WORLDWIDE CORP COM 68902V107 205 2990 SH SOLE 0 0 2990 LEMONADE INC COM 52567D107 348 3740 SH SOLE 0 0 3740