Chief Compliance Officer

0001563525-21-000002.txt : 20210428 0001563525-21-000002.hdr.sgml : 20210428 20210427183326 ACCESSION NUMBER: 0001563525-21-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210428 DATE AS OF CHANGE: 20210427 EFFECTIVENESS DATE: 20210428 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Chicago Partners Investment Group LLC CENTRAL INDEX KEY: 0001563525 IRS NUMBER: 262835793 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16932 FILM NUMBER: 21860708 BUSINESS ADDRESS: STREET 1: 1 NORTH WACKER DRIVE STREET 2: SUITE 4075 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3122846363 MAIL ADDRESS: STREET 1: 1 NORTH WACKER DRIVE STREET 2: SUITE 4075 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001563525 XXXXXXXX 03-31-2021 03-31-2021 Chicago Partners Investment Group LLC

1 NORTH WACKER DRIVE SUITE 4075 CHICAGO IL 60606

13F HOLDINGS REPORT 028-16932 N James Hagedorn Chief Compliance Officer 312-284-6363 James Hagedorn Chicago IL 04-27-2021 0 520 1212054 false INFORMATION TABLE 2 chicagopart1q21.xml 3M CO COM 88579Y101 959 4804 SH SOLE 0 0 4804 89BIO INC COM 282559103 225 8688 SH SOLE 0 0 8688 ABBOTT LABS COM 002824100 2331 19015 SH SOLE 0 0 19015 ABBVIE INC COM 00287Y109 1652 14831 SH SOLE 0 0 14831 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3002 10367 SH SOLE 0 0 10367 ADOBE SYSTEMS INCORPORATED COM 00724F101 2159 4186 SH SOLE 0 0 4186 ADVANCED MICRO DEVICES INC COM 007903107 1805 21138 SH SOLE 0 0 21138 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 237 23745 SH SOLE 0 0 23745 AIRBNB INC COM CL A 009066101 290 1656 SH SOLE 0 0 1656 AKERO THERAPEUTICS INC COM 00973Y108 912 30200 SH SOLE 0 0 30200 ALARM COM HLDGS INC COM 011642105 244 2580 SH SOLE 0 0 2580 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 574 2468 SH SOLE 0 0 2468 ALIGN TECHNOLOGY INC COM 016255101 281 456 SH SOLE 0 0 456 ALPHA ARCHITECT ETF 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NATIONWIDE RSK 26922A172 2546 91688 SH SOLE 0 0 91688 EVERGY INC COM 30034W106 425 6692 SH SOLE 0 0 6692 EXACT SCIENCES CORP COM 30063P105 1143 8210 SH SOLE 0 0 8210 EXCHANGE TRADED CONCEPTS TR VSPR US LC ETF 301505749 2063 62205 SH SOLE 0 0 62205 EXELON CORP COM 30161N101 200 4488 SH SOLE 0 0 4488 EXXON MOBIL CORP COM 30231G102 2923 52489 SH SOLE 0 0 52489 FACEBOOK INC CL A 30303M102 2941 9706 SH SOLE 0 0 9706 FASTLY INC CL A 31188V100 3696 51967 SH SOLE 0 0 51967 FEDEX CORP COM 31428X106 358 1298 SH SOLE 0 0 1298 FIDELITY NATL INFORMATION SV COM 31620M106 1054 6849 SH SOLE 0 0 6849 FIRST MERCHANTS CORP COM 320817109 840 17814 SH SOLE 0 0 17814 FIRST TR DOW JONES SELECT MI COM SHS ANNUAL 33718M105 5297 88585 SH SOLE 0 0 88585 FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 33739P301 640 11578 SH SOLE 0 0 11578 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 2111 103487 SH SOLE 0 0 103487 FIRST TR EXCH TRD ALPHDX FD DEV MRK EX US 33737J174 245 3890 SH SOLE 0 0 3890 FIRST TR EXCH 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COM 37045V100 287 4925 SH SOLE 0 0 4925 GENUINE PARTS CO COM 372460105 268 2189 SH SOLE 0 0 2189 GERON CORP COM 374163103 73 48516 SH SOLE 0 0 48516 GILEAD SCIENCES INC COM 375558103 240 3647 SH SOLE 0 0 3647 GOLDMAN SACHS GROUP INC COM 38141G104 271 788 SH SOLE 0 0 788 HAWAIIAN ELEC INDUSTRIES COM 419870100 273 6399 SH SOLE 0 0 6399 HOME DEPOT INC COM 437076102 851 2660 SH SOLE 0 0 2660 HONEYWELL INTL INC COM 438516106 601 2714 SH SOLE 0 0 2714 HOWARD HUGHES CORP COM 44267D107 270 2542 SH SOLE 0 0 2542 IDEXX LABS INC COM 45168D104 354 634 SH SOLE 0 0 634 IHS MARKIT LTD SHS G47567105 445 4208 SH SOLE 0 0 4208 ILLUMINA INC COM 452327109 395 938 SH SOLE 0 0 938 IMMUNOGEN INC COM 45253H101 199 24477 SH SOLE 0 0 24477 INNOVATOR ETFS TR S&P 500 POWER 45782C508 734 22917 SH SOLE 0 0 22917 INNOVATOR ETFS TR S&P 500 PWR BU 45782C870 212 7549 SH SOLE 0 0 7549 INNOVATOR ETFS TR S&P 500 BUFFER 45782C433 224 7510 SH SOLE 0 0 7510 INNOVATOR ETFS TR IBD 50 ETF 45782C102 11926 249419 SH SOLE 0 0 249419 INNOVATOR ETFS TR S&P 500 POWER 45782C417 728 26020 SH SOLE 0 0 26020 INNOVATOR ETFS TR S&P 500 PWR BUFR 45782C383 233 7746 SH SOLE 0 0 7746 INNOVATOR ETFS TR II S&P INVSTMNT GRD 45783G201 548 22420 SH SOLE 0 0 22420 INTEL CORP COM 458140100 1286 21883 SH SOLE 0 0 21883 INTERCONTINENTAL EXCHANGE IN COM 45866F104 253 2094 SH SOLE 0 0 2094 INTERNATIONAL BUSINESS MACHS COM 459200101 456 3218 SH SOLE 0 0 3218 INTUIT COM 461202103 1509 3609 SH SOLE 0 0 3609 INTUITIVE SURGICAL INC COM NEW 46120E602 869 1004 SH SOLE 0 0 1004 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 234 4641 SH SOLE 0 0 4641 INVESCO EXCH TRADED FD TR II S&P 500 HB ETF 46138E370 371 5172 SH SOLE 0 0 5172 INVESCO EXCH TRADED FD TR II CHINA TECHNLGY 46138E800 426 5050 SH SOLE 0 0 5050 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 247 11414 SH SOLE 0 0 11414 INVESCO EXCH TRD SLF IDX FD BULSHS 2027 CB 46138J783 240 11036 SH SOLE 0 0 11036 INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 46138J791 239 11160 SH SOLE 0 0 11160 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 230 10900 SH SOLE 0 0 10900 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 253 11642 SH SOLE 0 0 11642 INVESCO EXCH TRD SLF IDX FD BULLSHS 24 USD 46138J650 229 8758 SH SOLE 0 0 8758 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 232 10423 SH SOLE 0 0 10423 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 235 10557 SH SOLE 0 0 10557 INVESCO EXCHANGE TRADED FD T S&P SPIN OFF 46137V159 5503 84676 SH SOLE 0 0 84676 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 300 1911 SH SOLE 0 0 1911 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 629 4241 SH SOLE 0 0 4241 INVESCO EXCHANGE TRADED FD T WATER RES ETF 46137V142 1662 31634 SH SOLE 0 0 31634 INVESCO EXCHANGE TRADED FD T DYNMC LRG GWTH 46137V746 322 4425 SH SOLE 0 0 4425 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 2558 14404 SH SOLE 0 0 14404 INVESCO HIGH INCOME 2023 TAR COM 46135X108 96 10290 SH SOLE 0 0 10290 INVESCO HIGH INCOME 2024 TAR COM 46136K105 1230 128025 SH SOLE 0 0 128025 INVESCO QQQ TR UNIT SER 1 46090E103 2315 6775 SH SOLE 0 0 6775 ISHARES INC CORE MSCI EMKT 46434G103 2074 31301 SH SOLE 0 0 31301 ISHARES INC EM MKT SM-CP ETF 464286475 261 4324 SH SOLE 0 0 4324 ISHARES INC MSCI EMRG CHN 46434G764 325 5306 SH SOLE 0 0 5306 ISHARES TR NATIONAL MUN ETF 464288414 545 4653 SH SOLE 0 0 4653 ISHARES TR MSCI INTL SML CP 46434V266 902 24437 SH SOLE 0 0 24437 ISHARES TR SELECT DIVID ETF 464287168 1338 11419 SH SOLE 0 0 11419 ISHARES TR INTL SEL DIV ETF 464288448 960 29457 SH SOLE 0 0 29457 ISHARES TR U.S. MED DVC ETF 464288810 207 573 SH SOLE 0 0 573 ISHARES TR MSCI ACWI EX US 464288240 396 6910 SH SOLE 0 0 6910 ISHARES TR EAFE SML CP ETF 464288273 305 4030 SH SOLE 0 0 4030 ISHARES TR U.S. TECH ETF 464287721 373 3931 SH SOLE 0 0 3931 ISHARES TR SP SMCP600VL ETF 464287879 7715 75052 SH SOLE 0 0 75052 ISHARES TR US TREAS BD ETF 46429B267 6039 228720 SH SOLE 0 0 228720 ISHARES TR CORE MSCI TOTAL 46432F834 3532 48301 SH SOLE 0 0 48301 ISHARES TR U.S. FINLS ETF 464287788 402 5088 SH SOLE 0 0 5088 ISHARES TR RUSSELL 3000 ETF 464287689 6931 27675 SH SOLE 0 0 27675 ISHARES TR PFD AND INCM SEC 464288687 2251 57716 SH SOLE 0 0 57716 ISHARES TR S&P 100 ETF 464287101 347 1826 SH SOLE 0 0 1826 ISHARES TR CORE DIV GRWTH 46434V621 1241 24897 SH SOLE 0 0 24897 ISHARES TR CORE S&P TTL STK 464287150 1959 20274 SH SOLE 0 0 20274 ISHARES TR BLACKROCK ULTRA 46434V878 2080 41182 SH SOLE 0 0 41182 ISHARES TR AGGRES ALLOC ETF 464289859 212 3045 SH SOLE 0 0 3045 ISHARES TR IBOXX HI YD ETF 464288513 1634 18713 SH SOLE 0 0 18713 ISHARES TR S&P MC 400GR ETF 464287606 620 7433 SH SOLE 0 0 7433 ISHARES TR S&P 500 GRWT ETF 464287309 891 12712 SH SOLE 0 0 12712 ISHARES TR RUS MID CAP ETF 464287499 1881 23981 SH SOLE 0 0 23981 ISHARES TR RUS 1000 ETF 464287622 2177 9207 SH SOLE 0 0 9207 ISHARES TR CORE S&P MCP ETF 464287507 36842 133981 SH SOLE 0 0 133981 ISHARES TR S&P 500 VAL ETF 464287408 1136 7808 SH SOLE 0 0 7808 ISHARES TR MORNINGSTAR VALU 464288109 250 3943 SH SOLE 0 0 3943 ISHARES TR GLOBAL REIT ETF 46434V647 638 23630 SH SOLE 0 0 23630 ISHARES TR ISHS 1-5YR INVS 464288646 6083 111079 SH SOLE 0 0 111079 ISHARES TR MSCI EAFE ETF 464287465 8897 112436 SH SOLE 0 0 112436 ISHARES TR EAFE GRWTH ETF 464288885 759 7128 SH SOLE 0 0 7128 ISHARES TR MSCI USA ESG SLC 464288802 1245 13431 SH SOLE 0 0 13431 ISHARES TR MORNINGSTR US EQ 464287127 282 4761 SH SOLE 0 0 4761 ISHARES TR MSCI CHINA ETF 46429B671 415 5004 SH SOLE 0 0 5004 ISHARES TR MRNING SM CP ETF 464288703 3208 55047 SH SOLE 0 0 55047 ISHARES TR RUS 2000 VAL ETF 464287630 362 2215 SH SOLE 0 0 2215 ISHARES TR MSCI KLD400 SOC 464288570 947 11727 SH SOLE 0 0 11727 ISHARES TR US HLTHCARE ETF 464287762 220 822 SH SOLE 0 0 822 ISHARES TR MSCI USA VALUE 46432F388 393 3755 SH SOLE 0 0 3755 ISHARES TR US REGNL BKS ETF 464288778 282 4796 SH SOLE 0 0 4796 ISHARES TR JPMORGAN USD EMG 464288281 213 1923 SH SOLE 0 0 1923 ISHARES TR CORE S&P SCP ETF 464287804 8759 78591 SH SOLE 0 0 78591 ISHARES TR 1 3 YR TREAS BD 464287457 511 5929 SH SOLE 0 0 5929 ISHARES TR CONSER ALLOC ETF 464289883 564 14316 SH SOLE 0 0 14316 ISHARES TR RUS 1000 VAL ETF 464287598 8044 51267 SH SOLE 0 0 51267 ISHARES TR RUS MDCP VAL ETF 464287473 31684 276616 SH SOLE 0 0 276616 ISHARES TR CORE US AGGBD ET 464287226 5357 46724 SH SOLE 0 0 46724 ISHARES TR ESG AWR MSCI USA 46435G425 354 3688 SH SOLE 0 0 3688 ISHARES TR CORE MSCI INTL 46435G326 1044 15467 SH SOLE 0 0 15467 ISHARES TR MICRO-CAP ETF 464288869 7459 50196 SH SOLE 0 0 50196 ISHARES TR MSCI ACWI ETF 464288257 305 3054 SH SOLE 0 0 3054 ISHARES TR RUS 1000 GRW ETF 464287614 1235 4707 SH SOLE 0 0 4707 ISHARES TR MSCI EMG MKT ETF 464287234 13893 253982 SH SOLE 0 0 253982 ISHARES TR RUSSELL 2000 ETF 464287655 5987 26244 SH SOLE 0 0 26244 ISHARES TR S&P MC 400VL ETF 464287705 1277 11925 SH SOLE 0 0 11925 ISHARES TR EXPANDED TECH 464287515 1844 4949 SH SOLE 0 0 4949 ISHARES TR BROAD USD HIGH 46435U853 328 7945 SH SOLE 0 0 7945 ISHARES TR EAFE VALUE ETF 464288877 737 14082 SH SOLE 0 0 14082 ISHARES TR RUS MD CP GR ETF 464287481 595 5383 SH SOLE 0 0 5383 ISHARES TR CORE S&P500 ETF 464287200 13113 31278 SH SOLE 0 0 31278 ISHARES TR MSCI INTL QUALTY 46434V456 3262 84752 SH SOLE 0 0 84752 ISHARES TR CORE HIGH DV ETF 46429B663 650 6833 SH SOLE 0 0 6833 ISHARES TR MSCI USA MMENTM 46432F396 11782 67093 SH SOLE 0 0 67093 ISHARES TR S&P SML 600 GWT 464287887 7138 53855 SH SOLE 0 0 53855 ISHARES TR MSCI INTL VLU FT 46435G409 403 15640 SH SOLE 0 0 15640 ISHARES TR GLOBAL 100 ETF 464287572 1597 22942 SH SOLE 0 0 22942 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 824 16414 SH SOLE 0 0 16414 ISORAY INC COM 46489V104 33 34500 SH SOLE 0 0 34500 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 11309 222845 SH SOLE 0 0 222845 JOHNSON & JOHNSON COM 478160104 1945 11853 SH SOLE 0 0 11853 JPMORGAN CHASE & CO COM 46625H100 11444 76007 SH SOLE 0 0 76007 KALA PHARMACEUTICALS INC COM 483119103 124 15320 SH SOLE 0 0 15320 KELSO TECHNOLOGIES INC COM NEW 48826D201 26 31000 SH SOLE 0 0 31000 KIMBERLY-CLARK CORP COM 494368103 353 2708 SH SOLE 0 0 2708 KINDER MORGAN INC DEL COM 49456B101 15174 897366 SH SOLE 0 0 897366 KINNATE BIOPHARMA INC COM 49705R105 204 7620 SH SOLE 0 0 7620 KKR & CO INC COM 48251W104 929 16720 SH SOLE 0 0 16720 KRANESHARES TR QUADRTC INT RT 500767736 6004 210757 SH SOLE 0 0 210757 LAM RESEARCH CORP COM 512807108 581 904 SH SOLE 0 0 904 LAUDER ESTEE COS INC CL A 518439104 329 1041 SH SOLE 0 0 1041 LILLY ELI & CO COM 532457108 1072 5726 SH SOLE 0 0 5726 LINDE PLC SHS G5494J103 851 2938 SH SOLE 0 0 2938 LIVE NATION ENTERTAINMENT IN COM 538034109 508 6145 SH SOLE 0 0 6145 LOCKHEED MARTIN CORP COM 539830109 735 1976 SH SOLE 0 0 1976 LOWES COS INC COM 548661107 482 2420 SH SOLE 0 0 2420 LUMEN TECHNOLOGIES INC COM 550241103 315 24088 SH SOLE 0 0 24088 MACQUARIE INFRASTRUCTURE COR COM 55608B105 1237 37320 SH SOLE 0 0 37320 MACROGENICS INC COM 556099109 284 8128 SH SOLE 0 0 8128 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 13236 285146 SH SOLE 0 0 285146 MARATHON PETE CORP COM 56585A102 814 15288 SH SOLE 0 0 15288 MARKEL CORP COM 570535104 391 331 SH SOLE 0 0 331 MARTIN MARIETTA MATLS INC COM 573284106 201 562 SH SOLE 0 0 562 MASTERCARD INCORPORATED CL A 57636Q104 3874 9999 SH SOLE 0 0 9999 MCDONALDS CORP COM 580135101 2676 11520 SH SOLE 0 0 11520 MEDTRONIC PLC SHS G5960L103 460 3538 SH SOLE 0 0 3538 MERCK & CO. INC COM 58933Y105 1052 13564 SH SOLE 0 0 13564 MICRON TECHNOLOGY INC COM 595112103 681 7755 SH SOLE 0 0 7755 MICROSOFT CORP COM 594918104 16405 62722 SH SOLE 0 0 62722 MILLER HOWARD HIGH INC EQTY COM SHS BEN IN 600379101 1078 110554 SH SOLE 0 0 110554 MONDELEZ INTL INC CL A 609207105 228 3887 SH SOLE 0 0 3887 MONROE CAP CORP COM 610335101 171 16202 SH SOLE 0 0 16202 MOODYS CORP COM 615369105 2548 7834 SH SOLE 0 0 7834 MPLX LP COM UNIT REP LTD 55336V100 10035 375720 SH SOLE 0 0 375720 MSCI INC COM 55354G100 605 1242 SH SOLE 0 0 1242 NETFLIX INC COM 64110L106 1386 2715 SH SOLE 0 0 2715 NEXTERA ENERGY INC COM 65339F101 899 11542 SH SOLE 0 0 11542 NIKE INC CL B 654106103 1305 9916 SH SOLE 0 0 9916 NIO INC SPON ADS 62914V106 214 5024 SH SOLE 0 0 5024 NKARTA INC COM 65487U108 409 12231 SH SOLE 0 0 12231 NOKIA CORP SPONSORED ADR 654902204 42 10087 SH SOLE 0 0 10087 NORFOLK SOUTHN CORP COM 655844108 757 2692 SH SOLE 0 0 2692 NOVAVAX INC COM NEW 670002401 690 3113 SH SOLE 0 0 3113 NOVO-NORDISK A S ADR 670100205 779 10508 SH SOLE 0 0 10508 NOW INC COM 67011P100 167 17230 SH SOLE 0 0 17230 NUVEEN CORPORATE INCM NOVEME COM 67077N106 637 67841 SH SOLE 0 0 67841 NUVEEN DIVERSIFIED DIVID & I COM 6706EP105 131 13012 SH SOLE 0 0 13012 NUVEEN EMERGING MKTS DEBT 20 COM 67077P101 601 74326 SH SOLE 0 0 74326 NUVEEN MUN VALUE FD INC COM 670928100 5942 530568 SH SOLE 0 0 530568 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 283 17042 SH SOLE 0 0 17042 NUVEEN PFD & INCOME 2022 TER COM 67075T105 324 13157 SH SOLE 0 0 13157 NUVEEN PFD & INCOME TERM FD COM 67075A106 2179 85904 SH SOLE 0 0 85904 NVIDIA CORPORATION COM 67066G104 4380 7075 SH SOLE 0 0 7075 OKTA INC CL A 679295105 270 947 SH SOLE 0 0 947 ONEOK INC NEW COM 682680103 5832 115583 SH SOLE 0 0 115583 ORACLE CORP COM 68389X105 674 9048 SH SOLE 0 0 9048 OREILLY AUTOMOTIVE INC COM 67103H107 1351 2567 SH SOLE 0 0 2567 OWL ROCK CAPITAL CORPORATION COM 69121K104 1548 106907 SH SOLE 0 0 106907 PAYCHEX INC COM 704326107 782 7914 SH SOLE 0 0 7914 PAYPAL HLDGS INC COM 70450Y103 1616 5947 SH SOLE 0 0 5947 PENSKE AUTOMOTIVE GRP INC COM 70959W103 391 4408 SH SOLE 0 0 4408 PEPSICO INC COM 713448108 1230 8576 SH SOLE 0 0 8576 PFIZER INC COM 717081103 2077 53693 SH SOLE 0 0 53693 PHATHOM PHARMACEUTICALS INC COM 71722W107 206 5266 SH SOLE 0 0 5266 PHILIP MORRIS INTL INC COM 718172109 731 7739 SH SOLE 0 0 7739 PHILLIPS 66 COM 718546104 222 2906 SH SOLE 0 0 2906 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 445 19643 SH SOLE 0 0 19643 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 7931 77769 SH SOLE 0 0 77769 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1884 204119 SH SOLE 0 0 204119 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 621 65256 SH SOLE 0 0 65256 PNM RES INC COM 69349H107 273 5484 SH SOLE 0 0 5484 PQ GROUP HLDGS INC COM 73943T103 595 35604 SH SOLE 0 0 35604 PROCTER AND GAMBLE CO COM 742718109 2541 19357 SH SOLE 0 0 19357 PROSHARES TR PSHS ULT S&P 500 74347R107 273 2407 SH SOLE 0 0 2407 PROSHARES TR ULTRA FNCLS NEW 74347X633 338 5749 SH SOLE 0 0 5749 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 358 5756 SH SOLE 0 0 5756 QUALCOMM INC COM 747525103 898 6460 SH SOLE 0 0 6460 QUANTA SVCS INC COM 74762E102 1391 14237 SH SOLE 0 0 14237 RAYTHEON TECHNOLOGIES CORP COM 75513E101 559 6897 SH SOLE 0 0 6897 REALTY INCOME CORP COM 756109104 708 10210 SH SOLE 0 0 10210 RIVERNORTH SPECIALTY FIN COR COM 76882B108 196 10569 SH SOLE 0 0 10569 ROPER TECHNOLOGIES INC COM 776696106 1298 3001 SH SOLE 0 0 3001 RPM INTL INC COM 749685103 482 5125 SH SOLE 0 0 5125 RPT REALTY SH BEN INT 74971D101 133 10554 SH SOLE 0 0 10554 S&P GLOBAL INC COM 78409V104 282 734 SH SOLE 0 0 734 SALESFORCE COM INC COM 79466L302 1453 6172 SH SOLE 0 0 6172 SARATOGA INVT CORP COM NEW 80349A208 203 8039 SH SOLE 0 0 8039 SBA COMMUNICATIONS CORP NEW CL A 78410G104 1097 3695 SH SOLE 0 0 3695 SCHWAB CHARLES CORP COM 808513105 849 12525 SH SOLE 0 0 12525 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 246 5888 SH SOLE 0 0 5888 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 435 11076 SH SOLE 0 0 11076 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1131 11138 SH SOLE 0 0 11138 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 2503 48814 SH SOLE 0 0 48814 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 553 17015 SH SOLE 0 0 17015 SCHWAB STRATEGIC TR US REIT ETF 808524847 1686 38351 SH SOLE 0 0 38351 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 209 3993 SH SOLE 0 0 3993 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 881 8493 SH SOLE 0 0 8493 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3729 36549 SH SOLE 0 0 36549 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 950 6733 SH SOLE 0 0 6733 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 248 4652 SH SOLE 0 0 4652 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 642 8583 SH SOLE 0 0 8583 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 868 11010 SH SOLE 0 0 11010 SELECT SECTOR SPDR TR ENERGY 81369Y506 403 8423 SH SOLE 0 0 8423 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 402 6065 SH SOLE 0 0 6065 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 366 2970 SH SOLE 0 0 2970 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1383 9642 SH SOLE 0 0 9642 SEMPRA ENERGY COM 816851109 382 2802 SH SOLE 0 0 2802 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 790 51371 SH SOLE 0 0 51371 SHERWIN WILLIAMS CO COM 824348106 671 2491 SH SOLE 0 0 2491 SHOPIFY INC CL A 82509L107 1684 1444 SH SOLE 0 0 1444 SIRIUS XM HOLDINGS INC COM 82968B103 239 37574 SH SOLE 0 0 37574 SLR INVESTMENT CORP COM 83413U100 706 38394 SH SOLE 0 0 38394 SMARTSHEET INC COM CL A 83200N103 941 14824 SH SOLE 0 0 14824 SNAP INC CL A 83304A106 471 7841 SH SOLE 0 0 7841 SOLID BIOSCIENCES INC COM 83422E105 107 20461 SH SOLE 0 0 20461 SOUTH ST CORP COM 840441109 215 2580 SH SOLE 0 0 2580 SPDR GOLD TR GOLD SHS 78463V107 292 1751 SH SOLE 0 0 1751 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 220 5958 SH SOLE 0 0 5958 SPDR S&P 500 ETF TR TR UNIT 78462F103 26505 63469 SH SOLE 0 0 63469 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 20411 40605 SH SOLE 0 0 40605 SPDR SER TR PRTFLO S&P500 HI 78468R788 387 9742 SH SOLE 0 0 9742 SPDR SER TR S&P 600 SMCP VAL 78464A300 1602 19145 SH SOLE 0 0 19145 SPDR SER TR S&P 400 MDCP VAL 78464A839 389 5657 SH SOLE 0 0 5657 SPDR SER TR PORTFOLIO S&P500 78464A854 461 9384 SH SOLE 0 0 9384 SPDR SER TR DJ REIT ETF 78464A607 302 2990 SH SOLE 0 0 2990 SPDR SER TR S&P 600 SML CAP 78464A813 219 2269 SH SOLE 0 0 2269 SPDR SER TR BLMBRG BRC CNVRT 78464A359 6281 71989 SH SOLE 0 0 71989 SPDR SER TR PORTFOLIO S&P400 78464A847 205 4234 SH SOLE 0 0 4234 SPDR SER TR S&P 400 MDCP GRW 78464A821 292 3653 SH SOLE 0 0 3653 SPDR SER TR S&P DIVID ETF 78464A763 316 2582 SH SOLE 0 0 2582 SPIRE INC COM 84857L101 211 2800 SH SOLE 0 0 2800 SPROUT SOCIAL INC COM CL A 85209W109 203 3002 SH SOLE 0 0 3002 SPROUTS FMRS MKT INC COM 85208M102 311 12178 SH SOLE 0 0 12178 SQUARE INC CL A 852234103 380 1486 SH SOLE 0 0 1486 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 1595 32934 SH SOLE 0 0 32934 ST JOE CO COM 790148100 287 6248 SH SOLE 0 0 6248 STARBUCKS CORP COM 855244109 1292 11142 SH SOLE 0 0 11142 STORE CAP CORP COM 862121100 201 5585 SH SOLE 0 0 5585 STRYKER CORPORATION COM 863667101 362 1365 SH SOLE 0 0 1365 SUNRUN INC COM 86771W105 319 5607 SH SOLE 0 0 5607 SURGALIGN HOLDINGS INC COM 86882C105 20 10600 SH SOLE 0 0 10600 SYSCO CORP COM 871829107 623 7577 SH SOLE 0 0 7577 TARGA RES CORP COM 87612G101 1778 51993 SH SOLE 0 0 51993 TARGET CORP COM 87612E106 861 4230 SH SOLE 0 0 4230 TESLA INC COM 88160R101 1030 1395 SH SOLE 0 0 1395 TEXAS INSTRS INC COM 882508104 233 1219 SH SOLE 0 0 1219 TEXAS PACIFIC LAND CORPORATI COM 88262P102 202 128 SH SOLE 0 0 128 TG THERAPEUTICS INC COM 88322Q108 554 12459 SH SOLE 0 0 12459 T-MOBILE US INC COM 872590104 219 1653 SH SOLE 0 0 1653 TOLL BROTHERS INC COM 889478103 287 4632 SH SOLE 0 0 4632 TORONTO DOMINION BK ONT COM NEW 891160509 294 4331 SH SOLE 0 0 4331 TORTOISE ESSENTIAL ASSETS IN COM SH BEN INT 89148A103 266 17975 SH SOLE 0 0 17975 TPI COMPOSITES INC COM 87266J104 445 7483 SH SOLE 0 0 7483 TRANE TECHNOLOGIES PLC SHS G8994E103 368 2127 SH SOLE 0 0 2127 TRANSDIGM GROUP INC COM 893641100 384 636 SH SOLE 0 0 636 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 104 10948 SH SOLE 0 0 10948 TWILIO INC CL A 90138F102 218 543 SH SOLE 0 0 543 U S SILICA HLDGS INC COM 90345E103 138 12142 SH SOLE 0 0 12142 UBER TECHNOLOGIES INC COM 90353T100 213 3692 SH SOLE 0 0 3692 UBS AG LONDON BRANCH ETRACS ALER MLP 90274D382 174 11849 SH SOLE 0 0 11849 UNION PAC CORP COM 907818108 3816 16990 SH SOLE 0 0 16990 UNITED PARCEL SERVICE INC CL B 911312106 479 2724 SH SOLE 0 0 2724 UNITEDHEALTH GROUP INC COM 91324P102 541 1368 SH SOLE 0 0 1368 US BANCORP DEL COM NEW 902973304 694 12009 SH SOLE 0 0 12009 USA COMPRESSION PARTNERS LP COMUNIT LTDPAR 90290N109 916 60071 SH SOLE 0 0 60071 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 1018 47993 SH SOLE 0 0 47993 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 5848 68484 SH SOLE 0 0 68484 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 3072 37337 SH SOLE 0 0 37337 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 321 5624 SH SOLE 0 0 5624 VANGUARD INDEX FDS LARGE CAP ETF 922908637 765 3909 SH SOLE 0 0 3909 VANGUARD INDEX FDS GROWTH ETF 922908736 29601 106689 SH SOLE 0 0 106689 VANGUARD INDEX FDS VALUE ETF 922908744 6537 48381 SH SOLE 0 0 48381 VANGUARD INDEX FDS MID CAP ETF 922908629 38559 164939 SH SOLE 0 0 164939 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 8205 58543 SH SOLE 0 0 58543 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3312 19194 SH SOLE 0 0 19194 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 9876 100700 SH SOLE 0 0 100700 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2476 8477 SH SOLE 0 0 8477 VANGUARD INDEX FDS SMALL CP ETF 922908751 12953 57508 SH SOLE 0 0 57508 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4226 19384 SH SOLE 0 0 19384 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 43978 114567 SH SOLE 0 0 114567 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2235 35479 SH SOLE 0 0 35479 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 466 3432 SH SOLE 0 0 3432 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2297 43027 SH SOLE 0 0 43027 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 858 8407 SH SOLE 0 0 8407 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 823 15903 SH SOLE 0 0 15903 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 715 10611 SH SOLE 0 0 10611 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 30334 493152 SH SOLE 0 0 493152 VANGUARD SCOTTSDALE FDS TOTAL WLD BD ETF 92206C565 619 7741 SH SOLE 0 0 7741 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 943 11407 SH SOLE 0 0 11407 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 722 7688 SH SOLE 0 0 7688 VANGUARD STAR FDS VG TL INTL STK F 921909768 2071 31761 SH SOLE 0 0 31761 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1446 28205 SH SOLE 0 0 28205 VANGUARD WELLINGTON FD US MOMENTUM 921935508 525 4052 SH SOLE 0 0 4052 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 308 2994 SH SOLE 0 0 2994 VANGUARD WORLD FDS INF TECH ETF 92204A702 1444 3721 SH SOLE 0 0 3721 VERISK ANALYTICS INC COM 92345Y106 670 3592 SH SOLE 0 0 3592 VERIZON COMMUNICATIONS INC COM 92343V104 1174 20617 SH SOLE 0 0 20617 VIRTUS ALLIANZGI CONVERTIBLE COM 92838R105 2158 207319 SH SOLE 0 0 207319 VIRTUS ALLIANZGI CONVERTIBLE COM 92838X102 95 16202 SH SOLE 0 0 16202 VISA INC COM CL A 92826C839 4407 19131 SH SOLE 0 0 19131 WALMART INC COM 931142103 873 6331 SH SOLE 0 0 6331 WASTE MGMT INC DEL COM 94106L109 1077 8039 SH SOLE 0 0 8039 WAVE LIFE SCIENCES LTD SHS Y95308105 68 10830 SH SOLE 0 0 10830 WELLS FARGO CO NEW COM 949746101 1252 28356 SH SOLE 0 0 28356 WESTERN ASSET HIGH INCOME OP COM 95766K109 2182 424590 SH SOLE 0 0 424590 WESTERN ASSET MANAGED MUNS F COM 95766M105 277 20885 SH SOLE 0 0 20885 WESTERN MIDSTREAM PARTNERS L COM UNIT LP INT 958669103 647 32529 SH SOLE 0 0 32529 WHITE MTNS INS GROUP LTD COM G9618E107 544 450 SH SOLE 0 0 450 WILLIAMS COS INC COM 969457100 8139 339542 SH SOLE 0 0 339542 WISDOMTREE TR EMER MKT HIGH FD 97717W315 218 4781 SH SOLE 0 0 4781 WISDOMTREE TR INTL LRGCAP DV 97717W794 422 8579 SH SOLE 0 0 8579 WISDOMTREE TR US LARGECAP FUND 97717W588 563 12463 SH SOLE 0 0 12463 WISDOMTREE TR US MIDCAP DIVID 97717W505 1972 46767 SH SOLE 0 0 46767 WISDOMTREE TR EMG MKTS SMCAP 97717W281 694 12898 SH SOLE 0 0 12898 WISDOMTREE TR US LARGECAP DIVD 97717W307 1467 12404 SH SOLE 0 0 12404 WISDOMTREE TR US QTLY DIV GRT 97717X669 636 10818 SH SOLE 0 0 10818 WISDOMTREE TR US SMALLCAP DIVD 97717W604 624 19439 SH SOLE 0 0 19439 WISDOMTREE TR US S CAP QTY DIV 97717X651 241 5137 SH SOLE 0 0 5137 WORKDAY INC CL A 98138H101 304 1171 SH SOLE 0 0 1171 XCEL ENERGY INC COM 98389B100 412 5829 SH SOLE 0 0 5829 ZIONS BANCORPORATION N A COM 989701107 258 4720 SH SOLE 0 0 4720 ZOETIS INC CL A 98978V103 272 1600 SH SOLE 0 0 1600 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 1131 3361 SH SOLE 0 0 3361