Chief Compliance Officer

0001398344-21-021506.txt : 20211115 0001398344-21-021506.hdr.sgml : 20211115 20211115121631 ACCESSION NUMBER: 0001398344-21-021506 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211115 DATE AS OF CHANGE: 20211115 EFFECTIVENESS DATE: 20211115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baker Avenue Asset Management, LP CENTRAL INDEX KEY: 0001432529 IRS NUMBER: 201735413 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13834 FILM NUMBER: 211408086 BUSINESS ADDRESS: STREET 1: 301 BATTERY STREET STREET 2: 2ND FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-986-1110 MAIL ADDRESS: STREET 1: 301 BATTERY STREET STREET 2: 2ND FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001432529 XXXXXXXX 09-30-2021 09-30-2021 false Baker Avenue Asset Management, LP

301 BATTERY STREET 2ND FLOOR SAN FRANCISCO CA 94111

13F HOLDINGS REPORT 028-13834 N Jerry Luff Chief Compliance Officer 415-986-1110 /s/ Jerry Luff San Francisco CA 11-15-2021 0 254 1746053 INFORMATION TABLE 2 fp0069449_13fhr-table.xml 13F INFORMATION TABLE AMAZON.COM INC Stock 023135106 25605 7795 SH SOLE 2661 0 5133 UNDER ARMOUR INC CL A Stock 904311107 1401 69433 SH SOLE 5279 0 64154 INVESCO QQQ TR UNIT SER 1 46090E103 1177 3290 SH SOLE 542 0 2748 INVESCO QQQ TR Option 46090E953 12708 35500 SH Put SOLE 0 0 35500 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 2761 18493 SH SOLE 7443 0 11049 STARBUCKS CORP Stock 855244109 292 2649 SH SOLE 23 0 2626 SPDR PORTFOLIO AGGREGATE BOND ETF ETF 78464A649 54213 1816201 SH SOLE 816294 0 999907 XPO LOGISTICS INC COM Stock 983793100 895 11249 SH SOLE 1609 0 9640 ISHARES GOLD TRUST ETF ETF 464285204 376 11267 SH SOLE 200 0 11067 VULCAN MATLS CO COM Stock 929160109 1435 8485 SH SOLE 1208 0 7277 JOHNSON & JOHNSON COM Stock 478160104 929 5757 SH SOLE 751 0 5005 ABB LTD SPONSORED ADR ADR 000375204 14623 438343 SH SOLE 220946 0 217396 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 50219 226154 SH SOLE 82651 0 143502 COSTCO WHOLESALE CORP Stock 22160K105 2629 5852 SH SOLE 10 0 5842 HCA INC Stock 40412C101 3511 14467 SH SOLE 4749 0 9716 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 246 4902 SH SOLE 730 0 4172 GOLDMAN SACHS GROUP INC Stock 38141G104 4325 11441 SH SOLE 3479 0 7961 LAS VEGAS SANDS CORP Stock 517834107 7645 208880 SH SOLE 62825 0 146055 ISHARES TR KLD 400 SOCIAL INDEX FD ETF 464288570 1638 19689 SH SOLE 9298 0 10391 GAP INC Stock 364760108 533 23500 SH SOLE 0 0 23500 REAL ESTATE SELECT SECTOR SPDR FUND ETF 81369Y860 413 9299 SH SOLE 5126 0 4173 GENERAL MLS INC COM Stock 370334104 226 3792 SH SOLE 2130 0 1662 ISHARES NEW YORK MUNI BOND ETF ETF 464288323 257 4450 SH SOLE 1780 0 2670 UNITED PARCEL SERVICE INC Stock 911312106 27338 150131 SH SOLE 51559 0 98572 VANGUARD REIT INDEX ETF ETF 922908553 1773 17421 SH SOLE 2143 0 15278 ISHARES KLD SEL SOC FD ETF 464288802 1815 18926 SH SOLE 9888 0 9038 CARNIVAL CORP Stock 143658300 1687 67463 SH SOLE 6203 0 61259 ISHARES MSCI ACWI EX US INDEX FUND ETF 464288240 358 6471 SH SOLE 2924 0 3547 INTEL CORP COM Stock 458140100 912 17131 SH SOLE 665 0 16466 NETFLIX COM INC Stock 64110L106 393 644 SH SOLE 33 0 611 ISHARES MSCI EAFE ESG SELECT ETF ETF 46435G516 290 3701 SH SOLE 823 0 2878 ISHARES ESG ADVANCED HIGH YIELD CORPORATE BOND ETF ETF 46435G441 552 10554 SH SOLE 4692 0 5862 MERCK & CO INC Stock 58933Y105 392 5223 SH SOLE 1773 0 3450 SPDR S&P 500 ETF ETF 78462F103 3241 7553 SH SOLE 343 0 7210 FIRST REPUBLIC BANK Stock 33616C100 22309 115663 SH SOLE 53120 0 62542 ILLINOIS TOOL WKS INC COM Stock 452308109 3762 18207 SH SOLE 5583 0 12623 MARKET VECTORS ETF TRUST S NETWORK GLOBAL GAMING ETF 92189F882 466 9620 SH SOLE 0 0 9620 CORNING INC COM Stock 219350105 9717 266315 SH SOLE 80382 0 185931 ISHARES FALLEN ANGELS USD BOND ETF ETF 46435G474 811 26967 SH SOLE 14807 0 12160 VERIZON COMMUNICATIONS Stock 92343V104 389 7212 SH SOLE 2556 0 4655 MARVELL TECHNOLOGY GROUP LTD Stock 573874104 6349 105283 SH SOLE 26817 0 78465 KIMBERLY-CLARK CORP COM Stock 494368103 214 1621 SH SOLE 701 0 920 OKTA INC CL A Stock 679295105 921 3881 SH SOLE 568 0 3313 FORD MOTOR COMPANY Stock 345370860 1184 83643 SH SOLE 10663 0 72979 HOME DEPOT Stock 437076102 24330 74120 SH SOLE 32392 0 41727 CALIFORNIA BANCORP INC COM Stock 13005U101 784 44750 SH SOLE 44750 0 0 ISHARES ESG AWARE USD CORPORATE BOND ETF ETF 46435G193 599 21804 SH SOLE 16358 0 5446 DUPONT DE NEMOURS INC COM Stock 26614N102 497 7319 SH SOLE 88 0 7231 ISHARES ESG AWARE 1-5 YEAR USD CORPORATE BOND ETF ETF 46435G243 659 25378 SH SOLE 0 0 25378 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 1038 8161 SH SOLE 2104 0 6057 SPDR GOLD ETF ETF 78463V107 304 1855 SH SOLE 515 0 1340 SPDR S&P 500 ETF TR Option 78462F953 15234 35500 SH Put SOLE 0 0 35500 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 22087 80599 SH SOLE 39124 0 41473 SCHWAB U.S. BROAD MARKET ETF ETF 808524102 244 2355 SH SOLE 0 0 2355 SCHWAB STRATEGIC TR US LRG CAP ETF ETF 808524201 12260 117855 SH SOLE 24992 0 92863 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 394 5729 SH SOLE 2385 0 3344 BLOCK H & R INC COM Stock 093671105 205 8209 SH SOLE 3726 0 4483 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 4321 85204 SH SOLE 10842 0 74362 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 3203 29335 SH SOLE 10761 0 18574 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 938 3437 SH SOLE 56 0 3381 ADOBE SYS INC Stock 00724F101 262 456 SH SOLE 43 0 413 SOUTHERN PERU COPPER CORP Stock 84265V105 230 4099 SH SOLE 2283 0 1816 VANGUARD SHORT TERM CORP BOND FD ETF ETF 92206C409 15470 187724 SH SOLE 72579 0 115144 GOOGLE INC Stock 02079K305 25518 9545 SH SOLE 3805 0 5739 FISERV INC Stock 337738108 1744 16082 SH SOLE 20 0 16061 NEWMONT CORP COM Stock 651639106 207 3818 SH SOLE 1384 0 2434 MICROSOFT Stock 594918104 35357 125418 SH SOLE 47578 0 77840 DOCUSIGN INC COM Stock 256163106 4516 17544 SH SOLE 5998 0 11546 CANADIAN NATURAL RESOURCES LTD Stock 136385101 246 6749 SH SOLE 3732 0 3017 SCHLUMBERGER LTD COM STK Stock 806857108 4941 166721 SH SOLE 38333 0 128388 SPROTT PHYSICAL GOLD TRUST CEF 85207H104 1023 74174 SH SOLE 6835 0 67339 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 1107 13824 SH SOLE 7922 0 5902 JPMORGAN USD EMERGING MARKETS SOVEREIGN BOND ETF ETF 46641Q746 1240 25364 SH SOLE 3295 0 22069 Ares Capital Corp CEF 04010L103 678 33390 SH SOLE 12839 0 20551 PROSHARES ULTRA S&P 500 ETF 74347R107 436 3642 SH SOLE 0 0 3642 BOEING CO COM Stock 097023105 7326 33311 SH SOLE 8939 0 24372 VANGUARD SMALL CAP ETF ETF 922908751 68448 313022 SH SOLE 163935 0 149086 VANGUARD LARGE CAP ETF 922908637 13703 68206 SH SOLE 18456 0 49750 JPMORGAN U.S. QUALITY FACTOR ETF ETF 46641Q761 22030 538238 SH SOLE 291573 0 246664 TESLA MOTORS INC Stock 88160R101 2082 2686 SH SOLE 367 0 2319 ISHARES ESG AWARE U.S. AGGREGATE BOND ETF ETF 46435U549 2351 42653 SH SOLE 23648 0 19005 LINDE PLC SHS Stock G5494J103 2823 9624 SH SOLE 3177 0 6445 JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF ETF 46641Q654 544 10669 SH SOLE 0 0 10669 HILTON WORLDWIDE HLDGS INC COM Stock 43300A203 17371 131495 SH SOLE 66142 0 65353 ITAU UNIBANCO HLDG S A SPON ADR REP PFD ADR 465562106 1184 224828 SH SOLE 0 0 224828 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 2440 65025 SH SOLE 11530 0 53495 AMPHENOL CORP CL A Stock 032095101 5178 70709 SH SOLE 23683 0 47025 HUNTSMAN CORP Stock 447011107 7265 245544 SH SOLE 69393 0 176150 STANLEY BLACK & DECKER INC COM Stock 854502101 4003 22837 SH SOLE 8056 0 14780 DOW INC COM Stock 260557103 229 3987 SH SOLE 2148 0 1839 ZOOM VIDEO COMMUNICATIONS INC CL A Stock 98980L101 390 1494 SH SOLE 30 0 1464 CONAGRA BRANDS INC COM Stock 205887102 218 6445 SH SOLE 3202 0 3243 LYONDELLBASELL Stock N53745100 240 2563 SH SOLE 1370 0 1193 VANGUARD S&P 500 ETF ETF 922908363 366 930 SH SOLE 745 0 185 VANGUARD TELECOMMUNICATIONS SERVICES ETF ETF 92204A884 283 2013 SH SOLE 773 0 1240 S & P MID CAP 400 DEP RCPTS MID CAP ETF 78467Y107 1216 2529 SH SOLE 226 0 2302 GUGGENHEIM ETF TRUST S&P 500 EQUAL WEIGHT ETF 46137V357 37270 248768 SH SOLE 129289 0 119477 ISHARES 0-5 YR TIPS BOND ETF ETF 46429B747 8646 81855 SH SOLE 29504 0 52350 INVESCO ULTRA SHORT DURATION ETF ETF 46090A887 725 14380 SH SOLE 9910 0 4470 THE REALREAL INC COM Stock 88339P101 4389 333065 SH SOLE 89891 0 243174 Owl Rock Capital Corporation CEF 69121K104 224 15900 SH SOLE 0 0 15900 ISHARES MSCI EAFE GROWTH ETF ETF 464288885 24790 232838 SH SOLE 126812 0 106025 LILLY ELI & CO COM Stock 532457108 279 1209 SH SOLE 49 0 1160 AIR PRODS & CHEMS INC COM Stock 009158106 18061 70521 SH SOLE 33810 0 36710 YOUDAO INC SPONSORED ADS ADR 98741T104 368 30500 SH SOLE 0 0 30500 HOLOGIC INC Stock 436440101 2914 39489 SH SOLE 12558 0 26931 IPATH DJ-UBS COMMODITY TOTAL RETURN ETN ETF 06738C778 550 18804 SH SOLE 2072 0 16732 ISHARES RUSSELL 2000 ETF ETF 464287655 317 1451 SH SOLE 210 0 1241 VIVINT SMART HOME INC COM CL A Stock 928542109 349 37000 SH SOLE 0 0 37000 TRAVEL PLUS LEISURE CO COM Stock 894164102 4412 80919 SH SOLE 25256 0 55662 FREEPORT MCMORAN COPPER Stock 35671D857 6018 185016 SH SOLE 40190 0 144826 SYSCO CORP COM Stock 871829107 7002 89205 SH SOLE 27215 0 61990 ISHARES MSCI FLOATING RATE NOT E FUNDING ETF ETF 46429B655 13778 271008 SH SOLE 114323 0 156684 SONY GROUP CORPORATION SPONSORED ADR ADR 835699307 232 2105 SH SOLE 0 0 2105 QUANTA SERVICES INC Stock 74762E102 488 4292 SH SOLE 1086 0 3206 ISHARES DJ SELECT DIVIDEND ETF 464287168 298 2600 SH SOLE 0 0 2600 LI AUTO INC SPONSORED ADS ADR 50202M102 6203 235959 SH SOLE 56441 0 179518 ERICSSON ADR B SEK 10 ADR 294821608 21780 1944666 SH SOLE 769398 0 1175267 ISHARES ESG ADVANCED TOTAL USD BOND MARKET ETF ETF 46436E619 1502 30302 SH SOLE 25877 0 4425 PALANTIR TECHNOLOGIES INC CL A Stock 69608A108 2866 119247 SH SOLE 23 0 119224 SPIRIT AEROSYSTEMS HOLDINGS INC CL A Stock 848574109 397 9000 SH SOLE 0 0 9000 ISHARES MSCI EAFE VALUE INDEX ETF ETF 464288877 12256 241029 SH SOLE 114707 0 126321 AIRBNB INC COM CL A Stock 009066101 3899 23243 SH SOLE 2000 0 21243 SCHWAB US DIVIDEND EQUITY ETF ETF 808524797 1031 13900 SH SOLE 0 0 13900 APTIV PLC Stock G6095L109 3071 20615 SH SOLE 7120 0 13495 COUPANG INC CL A Stock 22266T109 1141 41000 SH SOLE 0 0 41000 COURSERA INC COM Stock 22266M104 628 19857 SH SOLE 0 0 19857 VANGUARD ULTRA-SHORT BOND ETF ETF 92203C303 500 9980 SH SOLE 9980 0 0 VISA INC Stock 92826C839 444 1995 SH SOLE 54 0 1941 SVB FINL GROUP Stock 78486Q101 18814 29085 SH SOLE 9186 0 19899 SPDR BARCLAYS CAPITAL SHORT TERM HIGH YIELD BOND ETF ETF 78468R408 484 17698 SH SOLE 5901 0 11797 ENPHASE ENERGY INC COM Stock 29355A107 2710 18076 SH SOLE 5798 0 12277 L3HARRIS TECHNOLOGIES INC COM Stock 502431109 492 2237 SH SOLE 1910 0 326 ARES COML REAL ESTATE CORP COM REIT 04013V108 366 24291 SH SOLE 12413 0 11878 VANECK FALLEN ANGEL HIGH YIELD BOND ETF ETF 92189F437 797 24144 SH SOLE 13273 0 10871 FACEBOOK INC CL A Stock 30303M102 826 2436 SH SOLE 614 0 1822 SERVICE NOW INC Stock 81762P102 801 1289 SH SOLE 5 0 1283 PALO ALTO NETWORKS INC COM Stock 697435105 722 1509 SH SOLE 2 0 1507 RYDEX RUSSELL TOP 50 ETF ETF 46137V233 1473 4464 SH SOLE 1490 0 2974 TENET HEALTHCARE CORP COM NEW Stock 88033G407 4998 75236 SH SOLE 24966 0 50269 JOHNSON CTLS INC Stock G51502105 11038 162138 SH SOLE 56963 0 105173 MARTIN MARIETTA MATLS INC COM Stock 573284106 752 2202 SH SOLE 0 0 2202 PIONEER NATURAL RESOURCES CO Stock 723787107 512 3079 SH SOLE 726 0 2353 ISHARES CORE MSCI TOTAL INTERNATIONAL STOCK ETF ETF 46432F834 291 4106 SH SOLE 1737 0 2369 NOVARTIS AG ADR ADR 66987V109 257 3154 SH SOLE 1596 0 1558 ISHARES TR DOW JONES US MEDICAL DEVICES INDEX ETF 464288810 7732 123168 SH SOLE 34317 0 88850 NVIDIA CORP Stock 67066G104 7911 38189 SH SOLE 8357 0 29831 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 661 12115 SH SOLE 800 0 11314 ABBVIE INC COM Stock 00287Y109 25021 231961 SH SOLE 91226 0 140734 SPDR BIOTECH ETF ETF 78464A870 201 1606 SH SOLE 1606 0 0 VANGUARD TOTAL BOND MARKET ETF ETF 921937835 94888 1110457 SH SOLE 443240 0 667216 VANGUARD FTSE ALL-WORLD EX-US ETF 922042775 1231 20207 SH SOLE 9769 0 10437 ISHARES CORE 1-5 YEAR USD BOND ETF ETF 46432F859 10392 203504 SH SOLE 3566 0 199938 POWERSHARES FINANCIAL PREFERRED ETF ETF 46137V621 491 25920 SH SOLE 680 0 25240 FIRST TRUST PREFERRED SECURITIES AND INCOME ETF ETF 33739E108 526 25640 SH SOLE 0 0 25640 QUALCOMM INC Stock 747525103 276 2145 SH SOLE 1198 0 947 SPDR BLACKSTONE SENIOR LOAN ETF ETF 78467V608 491 10678 SH SOLE 5864 0 4814 BLACKSTONE MTG TR INC COM CL A REIT 09257W100 345 11382 SH SOLE 5432 0 5950 MCDONALDS CORP COM Stock 580135101 440 1828 SH SOLE 766 0 1062 COACH INC Stock 876030107 556 15045 SH SOLE 3451 0 11594 APA CORPORATION COM Stock 03743Q108 1779 83059 SH SOLE 7470 0 75589 ENERGY SELECT SECTOR SPDR ETF 81369Y506 218 4202 SH SOLE 1757 0 2445 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 7754 47964 SH SOLE 17264 0 30699 GENERAL ELECTRIC CO COM NEW Stock 369604301 11974 116222 SH SOLE 29125 0 87097 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 22851 173472 SH SOLE 94983 0 78488 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 14983 171259 SH SOLE 74718 0 96540 ISHARES GLBL INDSTRLS INDX FD ETF 464288729 1018 8664 SH SOLE 2830 0 5834 ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 304 1736 SH SOLE 476 0 1260 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 15683 87398 SH SOLE 41644 0 45753 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 1119 11443 SH SOLE 2143 0 9300 RINGCENTRAL INC Stock 76680R206 210 970 SH SOLE 2 0 968 ISHARES DJ US BASIC MATERIALS ETF 464287838 723 5807 SH SOLE 1914 0 3892 ISHARES S&P 500 VALUE ETF ETF 464287408 40260 276854 SH SOLE 146383 0 130470 ISHARES S&P 500 INDEX ETF 464287200 21020 48791 SH SOLE 14471 0 34319 ONEOK INC NEW COM Stock 682680103 219 3791 SH SOLE 2114 0 1677 ROSS STORES INC Stock 778296103 906 8331 SH SOLE 13 0 8318 BUNGE LIMITED F Stock G16962105 25650 315424 SH SOLE 136918 0 178505 CHART INDUSTRIES INC Stock 16115Q308 2258 11819 SH SOLE 906 0 10913 ISHARES 0-5 YEAR HIGH YIELD CORPORATE BOND ETF ETF 46434V407 963 21079 SH SOLE 6154 0 14925 SALESFORCE COM Stock 79466L302 253 933 SH SOLE 37 0 896 POWERSHARES DWA TECHNICAL LEADERS PORTFOLIO ETF 46137V837 488 5457 SH SOLE 0 0 5457 DARDEN RESTAURANTS INC Stock 237194105 8050 53151 SH SOLE 18958 0 34192 IDEXX LABS INC Stock 45168D104 320 516 SH SOLE 506 0 10 THERMO FISHER SCIENTIFIC INC COM Stock 883556102 7170 12550 SH SOLE 4485 0 8065 JPMORGAN CHASE & CO COM Stock 46625H100 28167 172077 SH SOLE 66641 0 105435 CHEVRON CORP NEW COM Stock 166764100 1451 14304 SH SOLE 53 0 14251 ALBEMARLE CORP Stock 012653101 1638 7484 SH SOLE 569 0 6915 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 22888 453324 SH SOLE 243989 0 209334 CAMPBELL SOUP CO COM Stock 134429109 218 5225 SH SOLE 2935 0 2290 DANAHER CORP Stock 235851102 1215 3991 SH SOLE 24 0 3967 BK OF AMERICA CORP COM Stock 060505104 6777 159663 SH SOLE 38055 0 121607 SPDR SER TR S&P DIVID ETF ETF 78464A763 365 3111 SH SOLE 1016 0 2094 ORACLE CORPORATION Stock 68389X105 3321 38118 SH SOLE 28374 0 9744 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 34758 695023 SH SOLE 329742 0 365280 TEXAS INSTRS INC COM Stock 882508104 6944 36129 SH SOLE 32 0 36097 TARGET CORP COM Stock 87612E106 19919 87073 SH SOLE 40304 0 46768 SPDR MUNICIPAL BOND ETF ETF 78468R721 1285 24927 SH SOLE 2545 0 22382 PFIZER INC COM Stock 717081103 540 12562 SH SOLE 2981 0 9581 ISHARES IBOXX CORPORATE BOND ETF ETF 464287242 1657 12458 SH SOLE 5226 0 7231 3M CO COM Stock 88579Y101 265 1512 SH SOLE 757 0 755 GILEAD SCIENCES INC Stock 375558103 244 3500 SH SOLE 1703 0 1797 ALPHABET INC CAP STK CL C Stock 02079K107 3102 1164 SH SOLE 202 0 962 AMERICAN EXPRESS CO COM Stock 025816109 801 4785 SH SOLE 23 0 4762 AMGEN INC Stock 031162100 383 1805 SH SOLE 346 0 1459 STIFEL FINANCIAL CP Stock 860630102 576 8485 SH SOLE 1875 0 6610 APPLIED MATLS INC COM Stock 038222105 13176 102355 SH SOLE 26032 0 76322 MAIN STR CAP CORP COM CEF 56035L104 436 10628 SH SOLE 5265 0 5363 ISHARES CORE S&P U.S. GROWTH ETF ETF 464287671 572 5587 SH SOLE 5266 0 320 ISHARES DJ US CONSUMER SERVICES ETF 464287580 819 10605 SH SOLE 3410 0 7194 SPDR SERIES TRUST S&P OIL GAS EXPL & PRODTN ETF ETF 78468R556 887 9175 SH SOLE 0 0 9175 MERCADOLIBRE INC Stock 58733R102 293 175 SH SOLE 0 0 175 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 395 2575 SH SOLE 0 0 2575 ISHARES MSCI EAFE SMALL CAP ETF ETF 464288273 26534 356599 SH SOLE 162965 0 193632 HERCULES CAPITAL INC COM CEF 427096508 764 45999 SH SOLE 15740 0 30259 ARROWHEAD PHARMACEUTICALS INC COM Stock 04280A100 229 3680 SH SOLE 0 0 3680 ISHARES AGGREGATE BOND ETF ETF 464287226 92517 805691 SH SOLE 363024 0 442666 GLOBANT S A COM Stock L44385109 7497 26679 SH SOLE 0 0 26679 BLACKROCK ULTRA SHORT-TERM BOND ETF ETF 46434V878 638 12652 SH SOLE 9900 0 2752 TRIMBLE NAV LTD Stock 896239100 3688 44839 SH SOLE 15339 0 29500 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 6398 43222 SH SOLE 13188 0 30033 ISHARES CORE TOTAL USD BOND MARKET ETF ETF 46434V613 404 7605 SH SOLE 290 0 7315 FIRST TRUST NASDAQ CLEAN EDGE GREEN ENERGY ETF ETF 33733E500 205 3290 SH SOLE 3290 0 0 FIRST TRUST INTERNATIONAL EQUITY OPPORTUNITIES ETF ETF 33734X853 15462 241339 SH SOLE 127931 0 113408 VANGUARD SHORT TERM BOND ETF 921937827 10806 131879 SH SOLE 2673 0 129206 LAM RESEARCH CORP Stock 512807108 6936 12188 SH SOLE 3944 0 8244 PARKER-HANNIFIN CORP COM Stock 701094104 20756 74233 SH SOLE 36014 0 38217 RYDEX ETF TR S&P EQUAL WEIGHT TECHNOLOGY ETF ETF 46137V282 8255 28644 SH SOLE 10241 0 18402 SOHU.COM INC ADR 83410S108 1939 93080 SH SOLE 10769 0 82311 SPDR HIGH YIELD BOND ETF ETF 78468R622 380 3476 SH SOLE 1608 0 1868 SPDR DJ WILSHIRE REIT (ETF) ETF 78464A607 240 2280 SH SOLE 0 0 2280 ALTRIA GROUP INC COM Stock 02209S103 251 5528 SH SOLE 2780 0 2748 ISHARES JP MORGAN USD EMERGING MARKETS BOND ETF ETF 464288281 12848 116738 SH SOLE 42116 0 74621 AGILENT TECH INC Stock 00846U101 3957 25123 SH SOLE 8085 0 17037 EXXON MOBIL CORP COM Stock 30231G102 8639 146879 SH SOLE 39989 0 106889 UNITEDHEALTH GROUP Stock 91324P102 2888 7392 SH SOLE 2095 0 5296 LOWES COS INC COM Stock 548661107 3529 17401 SH SOLE 17024 0 377 U.S. GLOBAL JETS ETF ETF 26922A842 1012 42828 SH SOLE 15051 0 27777 AMERICAN INTL GROUP INC COM NEW Stock 026874784 1983 36138 SH SOLE 3203 0 32935 DEVON ENERGY CORP Stock 25179M103 6122 172423 SH SOLE 43352 0 129070 PAYPAL HLDGS INC COM Stock 70450Y103 2835 10898 SH SOLE 3033 0 7865 CHARLES SCHWAB CORP Stock 808513105 12631 173415 SH SOLE 45471 0 127943 ETFMG PRIME MOBILE PAYMENTS ETF ETF 26924G409 22879 338099 SH SOLE 168860 0 169238 SUNRUN INC COM Stock 86771W105 5885 133771 SH SOLE 32673 0 101098 ISHARES S&P GLOBAL CLEAN ENERGY INDEX FUND ETF 464288224 609 28165 SH SOLE 4460 0 23705 INVESCO OPTIMUM YIELD DIVERSIFIED COMMODITY STRATEGY NOA K-1A ETF ETF 46090F100 544 25848 SH SOLE 10898 0 14950 ISHARES MSCI EAFE ETF ETF 464287465 31652 405754 SH SOLE 188419 0 217334 APPLE INC Stock 037833100 48754 344552 SH SOLE 108781 0 235770 GLAXOSMITHKLINE PLC SPONSORED ADR ADR 37733W105 201 5270 SH SOLE 2359 0 2911 ISHARES CONVERTIBLE BOND ETF ETF 46435G102 8762 87855 SH SOLE 37845 0 50009 DISNEY WALT CO COM Stock 254687106 6538 38652 SH SOLE 10232 0 28419 POWERSHARES GLOBAL PREFERRED ETF ETF 46138E511 2220 147738 SH SOLE 58741 0 88997 VANGUARD TOTAL WORLD STOCK ETF ETF 922042742 1716 16858 SH SOLE 5028 0 11829 MARSH & MCLENNAN COS INC COM Stock 571748102 14672 96892 SH SOLE 47790 0 49101 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 5998 38327 SH SOLE 14314 0 24013