Compliance Associate

0001570296-21-000007.txt : 20210805 0001570296-21-000007.hdr.sgml : 20210805 20210805134653 ACCESSION NUMBER: 0001570296-21-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210805 DATE AS OF CHANGE: 20210805 EFFECTIVENESS DATE: 20210805 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Fernwood Investment Management, LLC CENTRAL INDEX KEY: 0001570296 IRS NUMBER: 300156397 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15739 FILM NUMBER: 211147432 BUSINESS ADDRESS: STREET 1: 400 CROWN COLONY STREET 2: SUITE 101 CITY: QUINCY STATE: MA ZIP: 02169 BUSINESS PHONE: 617-376-4750 MAIL ADDRESS: STREET 1: 400 CROWN COLONY STREET 2: SUITE 101 CITY: QUINCY STATE: MA ZIP: 02169 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001570296 XXXXXXXX 06-30-2021 06-30-2021 Fernwood Investment Management, LLC

400 CROWN COLONY SUITE 101 QUINCY MA 02169

13F HOLDINGS REPORT 028-15739 N Collette B Rajotte Compliance Associate 617-376-4750 Collette B Rajotte Quincy MA 08-05-2021 0 199 302362 false INFORMATION TABLE 2 13F20210630.XML.xml 13F 2021.06.30 AMAZON.COM INC Stock 023135106 7508 2182 SH SOLE 0 2182 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 811 5495 SH SOLE 0 5495 0 0 STARBUCKS CORP Stock 855244109 406 3634 SH SOLE 0 3634 0 0 GOLDMAN SACHS ACTIVEBETA INTERNATIONAL EQUITY ETF ETF 381430107 1222 34991 SH SOLE 0 34991 0 0 JOHN HANCOCK MULTIFACTOR LARGE CAP ETF ETF 47804J107 500 9181 SH SOLE 0 9181 0 0 JOHNSON & JOHNSON COM Stock 478160104 3343 20294 SH SOLE 0 20294 0 0 ASPIRA WOMENS HEALTH INC COM Stock 04537Y109 56 10000 SH SOLE 0 10000 0 0 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 370 6715 SH SOLE 0 6715 0 0 GOLDMAN SACHS GROUP INC Stock 38141G104 442 1166 SH SOLE 0 1165 0 0 VERINT SYS INC COM Stock 92343X100 1334 29600 SH SOLE 0 29600 0 0 YUM BRANDS INC COM Stock 988498101 1288 11200 SH SOLE 0 11200 0 0 BOSTON SCIENTIFIC CORP Stock 101137107 1168 27324 SH SOLE 0 27324 0 0 DREYFUS HI YIELD STRATEGIC FD CEF 09660L105 95 25900 SH SOLE 0 25900 0 0 COCA COLA CO COM Stock 191216100 318 5877 SH SOLE 0 5877 0 0 UNITED PARCEL SERVICE INC CL B Stock 911312106 1199 5763 SH SOLE 0 5763 0 0 VANGUARD REAL ESTATE ETF ETF 922908553 582 5721 SH SOLE 0 5721 0 0 ISHARES MSCI USA ESG SELECT ETF ETF 464288802 918 9609 SH SOLE 0 9609 0 0 BIOGEN IDEC INC Stock 09062X103 1821 5260 SH SOLE 0 5260 0 0 INTEL CORP COM Stock 458140100 221 3938 SH SOLE 0 3938 0 0 MEDTRONIC PLC SHS Stock G5960L103 2666 21475 SH SOLE 0 21475 0 0 NETFLIX COM INC Stock 64110L106 396 750 SH SOLE 0 749 0 0 QURATE RETAIL INC COM SER A Stock 74915M100 262 20000 SH SOLE 0 20000 0 0 WATERS CP Stock 941848103 821 2375 SH SOLE 0 2375 0 0 VAN KAMPEN SENIOR INCOME TRUST CEF 46131H107 80 18035 SH SOLE 0 18035 0 0 SPDR S&P 500 ETF ETF 78462F103 696 1625 SH SOLE 0 1625 0 0 MASTERCARD INC Stock 57636Q104 394 1079 SH SOLE 0 1079 0 0 SBA COMMUNICATIONS CP REIT 78410G104 1817 5700 SH SOLE 0 5700 0 0 YUM CHINA HLDGS INC COM Stock 98850P109 2647 39950 SH SOLE 0 39950 0 0 SAFETY INSURANCE GROUP IN Stock 78648T100 1081 13816 SH SOLE 0 13815 0 0 ISHARES MSCI JAPAN ETF ETF 46434G822 228 3382 SH SOLE 0 3382 0 0 ISHARES TIPS BOND ETF ETF 464287176 1240 9690 SH SOLE 0 9690 0 0 JOUNCE THERAPEUTICS INC COM Stock 481116101 131 19221 SH SOLE 0 19221 0 0 MARVELL TECHNOLOGY INC COM Stock 573874104 3157 54127 SH SOLE 0 54127 0 0 HONEYWELL INTL INC COM Stock 438516106 538 2451 SH SOLE 0 2451 0 0 TRANE TECHNOLOGIES PLC SHS Stock G8994E103 424 2300 SH SOLE 0 2300 0 0 HOME DEPOT Stock 437076102 880 2760 SH SOLE 0 2760 0 0 DUPONT DE NEMOURS INC COM Stock 26614N102 545 7042 SH SOLE 0 7042 0 0 SPDR ICE PREFERRED SECURITIES ETF ETF 78464A292 586 13246 SH SOLE 0 13246 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 1591 12629 SH SOLE 0 12629 0 0 SPDR GOLD ETF ETF 78463V107 228 1375 SH SOLE 0 1375 0 0 AMERISOURCEBERGEN CORP COM Stock 03073E105 1488 13000 SH SOLE 0 13000 0 0 MONGODB INC CL A Stock 60937P106 8594 23770 SH SOLE 0 23770 0 0 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 744 2742 SH SOLE 0 2742 0 0 IRIDIUM COMMUNICATIONS INC COM Stock 46269C102 2454 61375 SH SOLE 0 61375 0 0 SPDR PORTFOLIO S&P 400 MID CAP ETF ETF 78464A847 628 13307 SH SOLE 0 13307 0 0 DENALI THERAPEUTICS INC COM Stock 24823R105 235 3000 SH SOLE 0 3000 0 0 AVAYA HLDGS CORP COM Stock 05351X101 299 11100 SH SOLE 0 11100 0 0 LEMAITRE VASCULAR INC COM Stock 525558201 244 4000 SH SOLE 0 4000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 887 3190 SH SOLE 0 3190 0 0 WEYERHAEUSER CO MTN BE COM NEW REIT 962166104 867 25180 SH SOLE 0 25180 0 0 ALPHABET INC CLASS A Stock 02079K305 4866 1993 SH SOLE 0 1993 0 0 O REILLY AUTOMOTIVE INC Stock 67103H107 1130 1995 SH SOLE 0 1995 0 0 CONSTELLATION BRANDS INC CL A Stock 21036P108 1957 8366 SH SOLE 0 8365 0 0 MICROSOFT Stock 594918104 2006 7407 SH SOLE 0 7406 0 0 CERIDIAN HCM HLDG INC COM Stock 15677J108 2857 29790 SH SOLE 0 29790 0 0 HEALTH CARE PPTY INVS INC REIT 42250P103 390 11726 SH SOLE 0 11726 0 0 CVS HEALTH CORP COM Stock 126650100 4516 54128 SH SOLE 0 54128 0 0 ARES CAPITAL CORP COM CEF 04010L103 5499 280719 SH SOLE 0 280719 0 0 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 1256 3 SH SOLE 0 3 0 0 ELANCO ANIMAL HEALTH INC COM Stock 28414H103 208 6000 SH SOLE 0 6000 0 0 CBOE GLOBAL MKTS INC COM Stock 12503M108 1054 8850 SH SOLE 0 8850 0 0 BOEING CO COM Stock 097023105 354 1477 SH SOLE 0 1477 0 0 VANGUARD SMALL CAP ETF ETF 922908751 234 1040 SH SOLE 0 1039 0 0 ALIGN TECHNOLOGY INC Stock 016255101 626 1025 SH SOLE 0 1025 0 0 MSCI INC COM Stock 55354G100 3662 6869 SH SOLE 0 6869 0 0 LINDE PLC SHS Stock G5494J103 202 700 SH SOLE 0 700 0 0 NORFOLK SOUTHERN CRP Stock 655844108 265 1000 SH SOLE 0 1000 0 0 HARLEY DAVIDSON INC COM Stock 412822108 532 11600 SH SOLE 0 11600 0 0 DOLLAR TREE STORES INC Stock 256746108 279 2800 SH SOLE 0 2800 0 0 DOW INC COM Stock 260557103 439 6943 SH SOLE 0 6943 0 0 CONAGRA BRANDS INC COM Stock 205887102 814 22366 SH SOLE 0 22366 0 0 LYONDELLBASELL Stock N53745100 532 5175 SH SOLE 0 5175 0 0 GLOBAL X CLOUD COMPUTING ETF ETF 37954Y442 1773 62112 SH SOLE 0 62112 0 0 ILLUMINA INC Stock 452327109 1597 3375 SH SOLE 0 3375 0 0 FASTLY INC CL A Stock 31188V100 215 3600 SH SOLE 0 3600 0 0 CORTEVA INC COM Stock 22052L104 558 12577 SH SOLE 0 12577 0 0 CROWDSTRIKE HLDGS INC CL A Stock 22788C105 1709 6800 SH SOLE 0 6800 0 0 BRIDGEBIO PHARMA INC COM Stock 10806X102 9368 153672 SH SOLE 0 153672 0 0 SPDR S&P 400 MID CAP GROWTH ETF ETF 78464A821 233 3006 SH SOLE 0 3006 0 0 LILLY ELI & CO COM Stock 532457108 3240 14118 SH SOLE 0 14118 0 0 PELOTON INTERACTIVE INC CL A COM Stock 70614W100 3527 28440 SH SOLE 0 28440 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 3485 15192 SH SOLE 0 15192 0 0 TWILIO INC CL A Stock 90138F102 1368 3470 SH SOLE 0 3470 0 0 INVESCO SENIOR LOAN ETF ETF 46138G508 483 21800 SH SOLE 0 21800 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 261 2701 SH SOLE 0 2701 0 0 REVOLUTION MEDICINES INC COM Stock 76155X100 213 6725 SH SOLE 0 6725 0 0 DR REDDYS LABS LTD ADR ADR 256135203 221 3000 SH SOLE 0 3000 0 0 CARRIER GLOBAL CORPORATION COM Stock 14448C104 221 4552 SH SOLE 0 4551 0 0 CHIPOTLE MEXICAN GRILL INC COM Stock 169656105 2031 1310 SH SOLE 0 1310 0 0 MADISON SQUARE GRDN ENTERTNMNT CL A Stock 55826T102 1388 16535 SH SOLE 0 16535 0 0 PLIANT THERAPEUTICS INC Stock 729139105 4410 151111 SH SOLE 0 151111 0 0 RELAY THERAPEUTICS INC COM Stock 75943R102 6771 185063 SH SOLE 0 185063 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 2517 21587 SH SOLE 0 21587 0 0 ISHARES RUSSELL MIDCAP GROWTH ETF ETF 464287481 349 3086 SH SOLE 0 3086 0 0 FIRST TR EXCHANGE TRADED FD II CLOUD COMPUTING ETF 33734X192 447 4217 SH SOLE 0 4217 0 0 VYNE THERAPEUTICS INC COM Stock 92941V209 38 10802 SH SOLE 0 10802 0 0 VONTIER CORPORATION COM Stock 928881101 260 7967 SH SOLE 0 7967 0 0 COGNYTE SOFTWARE LTD ORD SHS Stock M25133105 649 26500 SH SOLE 0 26500 0 0 CTRIP.COM INTL LTD AMERICAN DEP SHS ADR 89677Q107 451 12720 SH SOLE 0 12720 0 0 TRACTOR SUPPLY CO Stock 892356106 279 1500 SH SOLE 0 1500 0 0 IMMUNOGEN INC COM Stock 45253H101 997 151340 SH SOLE 0 151340 0 0 VISA INC Stock 92826C839 3240 13859 SH SOLE 0 13858 0 0 BONANZA CREEK ENERGY INC COM NEW Stock 097793400 456 9697 SH SOLE 0 9697 0 0 HERSHEY CO COM Stock 427866108 718 4125 SH SOLE 0 4125 0 0 LEXINFINTECH HLDGS LTD ADR ADR 528877103 454 37100 SH SOLE 0 37100 0 0 ISHARES MSCI INDIA INDEX FUND ETF 46429B598 256 5791 SH SOLE 0 5791 0 0 PROOFPOINT INC COM Stock 743424103 1077 6200 SH SOLE 0 6200 0 0 PHILLIPS 66 Stock 718546104 1606 18709 SH SOLE 0 18709 0 0 ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF ETF 464287150 263 2668 SH SOLE 0 2668 0 0 FACEBOOK INC CL A Stock 30303M102 7727 22223 SH SOLE 0 22223 0 0 AMERICAN AIRLS GROUP INC COM Stock 02376R102 1052 49597 SH SOLE 0 49597 0 0 FIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUND ETF 33738D101 1877 76720 SH SOLE 0 76720 0 0 KAR AUCTION SVCS INC COM Stock 48238T109 755 43000 SH SOLE 0 43000 0 0 GENTHERM INC COM Stock 37253A103 830 11685 SH SOLE 0 11685 0 0 WORKDAY INC COM Stock 98138H101 534 2235 SH SOLE 0 2235 0 0 SL GREEN RLTY CORP COM REIT 78440X804 1357 16964 SH SOLE 0 16963 0 0 ACCENTURE PLC IRELAND SHS CLASS A Stock G1151C101 1536 5210 SH SOLE 0 5210 0 0 NEOGENOMICS INC COM NEW Stock 64049M209 1189 26330 SH SOLE 0 26330 0 0 SPDR BLOOMBERG BARCLAYS INVESTMENT GRADE FLOATING RATE ETF ETF 78468R200 1226 40000 SH SOLE 0 40000 0 0 NVIDIA CORPORATION COM Stock 67066G104 1316 1645 SH SOLE 0 1645 0 0 ISHARES SHORT TREASURY BOND ETF ETF 464288679 917 8299 SH SOLE 0 8299 0 0 ABBVIE INC COM Stock 00287Y109 1686 14965 SH SOLE 0 14965 0 0 PROG HOLDINGS INC COM NPV Stock 74319R101 260 5400 SH SOLE 0 5400 0 0 ZOETIS INC COM CL A Stock 98978V103 258 1387 SH SOLE 0 1387 0 0 MCDONALDS CORP COM Stock 580135101 1295 5606 SH SOLE 0 5605 0 0 CISCO SYS INC Stock 17275R102 263 4960 SH SOLE 0 4960 0 0 ISHARES RUSSELL MID-CAP ETF ETF 464287499 229 2884 SH SOLE 0 2884 0 0 AT&T INC COM Stock 00206R102 205 7117 SH SOLE 0 7117 0 0 WISDOMTREE U.S. MIDCAP DIVIDEND FUND ETF 97717W505 249 5935 SH SOLE 0 5935 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 639 11853 SH SOLE 0 11853 0 0 ISHARES DOW JONES US CONSUMER GOODS ETF 464287812 5308 28863 SH SOLE 0 28863 0 0 ISHARES BIOTECHNOLOGY FUND ETF 464287556 832 5081 SH SOLE 0 5081 0 0 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 881 6628 SH SOLE 0 6628 0 0 UNIVERSAL DISPLAY CORP Stock 91347P105 2249 10115 SH SOLE 0 10115 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 584 3273 SH SOLE 0 3273 0 0 ACCELERON PHARMA INC COM Stock 00434H108 1054 8400 SH SOLE 0 8400 0 0 EXPEDIA INC DEL COM Stock 30212P303 282 1722 SH SOLE 0 1722 0 0 SKYWORKS SOLUTIONS INC COM Stock 83088M102 2226 11610 SH SOLE 0 11610 0 0 FIDELITY MSCI CONSUMER DISCRETIONARY INDEX ET ETF 316092204 217 2671 SH SOLE 0 2671 0 0 SPDR PORTFOLIO S&P 600 SMALL CAP ETF ETF 78468R853 361 8212 SH SOLE 0 8212 0 0 ISHARES S&P 500 GROWTH ETF ETF 464287309 688 9456 SH SOLE 0 9456 0 0 ISHARES S&P 500 INDEX ETF 464287200 8977 20881 SH SOLE 0 20881 0 0 TEXAS PACIFIC LAND CORPORATION COM Stock 88262P102 12504 7816 SH SOLE 0 7816 0 0 METTLER TOLEDO INTL INCF Stock 592688105 457 330 SH SOLE 0 330 0 0 UNION PAC CORP COM Stock 907818108 3265 14846 SH SOLE 0 14846 0 0 MCCORMICK & CO INC COM NON VTG Stock 579780206 926 10480 SH SOLE 0 10480 0 0 GOLAR LNG LTD SHS ISIN BMG9456A1009 Stock G9456A100 1320 99600 SH SOLE 0 99600 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 231 1483 SH SOLE 0 1483 0 0 SPDR PORTFOLIO EMERGING MARKETS ETF ETF 78463X509 268 5892 SH SOLE 0 5892 0 0 CONOCOPHILLIPS COM Stock 20825C104 939 15411 SH SOLE 0 15411 0 0 BRUNSWICK CORP COM Stock 117043109 259 2600 SH SOLE 0 2600 0 0 DANAHER CORP Stock 235851102 898 3347 SH SOLE 0 3347 0 0 PIMCO ENHANCED LOW DURATION ACTIVE EXCHANGE-TRADED FUND ETF 72201R718 1017 10000 SH SOLE 0 10000 0 0 SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF ETF 78464A805 1548 29219 SH SOLE 0 29219 0 0 WALMART INC COM Stock 931142103 280 1982 SH SOLE 0 1982 0 0 FIRST TRUST US EQUITY OPPORTUNITIES ETF ETF 336920103 1866 14635 SH SOLE 0 14635 0 0 RAYTHEON TECHNOLOGIES CORP COM Stock 75513E101 644 7550 SH SOLE 0 7550 0 0 VANGUARD HIGH DIVIDEND YIELD ETF 921946406 237 2262 SH SOLE 0 2261 0 0 PFIZER INC COM Stock 717081103 1216 31058 SH SOLE 0 31058 0 0 COUPA SOFTWARE INC COM Stock 22266L106 1577 6015 SH SOLE 0 6015 0 0 GILEAD SCIENCES INC Stock 375558103 2429 35277 SH SOLE 0 35277 0 0 CATERPILLAR INC COM Stock 149123101 727 3340 SH SOLE 0 3340 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 2702 1078 SH SOLE 0 1078 0 0 WISDOMTREE EMERGING MARKETS EQUITY INCOME ETF ETF 97717W315 329 7198 SH SOLE 0 7198 0 0 WILLIAMS COS INC COM Stock 969457100 663 24977 SH SOLE 0 24977 0 0 ZENDESK INC COM Stock 98936J101 505 3500 SH SOLE 0 3500 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 267 2311 SH SOLE 0 2311 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 3236 64251 SH SOLE 0 64251 0 0 TRUPANION INC COM Stock 898202106 1151 10000 SH SOLE 0 10000 0 0 AXON ENTERPRISE INC COM Stock 05464C101 2519 14250 SH SOLE 0 14250 0 0 IPG PHOTONICS CORP COM Stock 44980X109 745 3535 SH SOLE 0 3535 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 1768 7796 SH SOLE 0 7795 0 0 SPDR PORTFOLIO S&P 500 GROWTH ETF ETF 78464A409 1400 22237 SH SOLE 0 22237 0 0 SPDR PORTFOLIO S&P 500 VALUE ETF ETF 78464A508 920 23275 SH SOLE 0 23275 0 0 PHILIP MORRIS INTL INC Stock 718172109 3161 31898 SH SOLE 0 31898 0 0 NUCOR CORP COM Stock 670346105 343 3571 SH SOLE 0 3571 0 0 VANGUARD MEGA CAP GROWTH ETF ETF 921910816 7592 32814 SH SOLE 0 32813 0 0 SPDR BLOOMBERG BARCLAYS HIGH YIELD BOND ETF ETF 78468R622 411 3737 SH SOLE 0 3737 0 0 EMQQ THE EMERGING MARKETS INTERNET AND ECOMMERCE ETF ETF 301505889 3575 56438 SH SOLE 0 56438 0 0 WISDOMTREE EMERGING MARKETS EX-STATE-OWNED ENTERPRISES FUND ETF 97717X578 584 13872 SH SOLE 0 13872 0 0 ALTRIA GROUP INC COM Stock 02209S103 3486 73120 SH SOLE 0 73119 0 0 ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF ETF 464288281 272 2419 SH SOLE 0 2419 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 768 15869 SH SOLE 0 15869 0 0 EXXON MOBIL CORP COM Stock 30231G102 1291 20469 SH SOLE 0 20469 0 0 UNITEDHEALTH GROUP Stock 91324P102 518 1293 SH SOLE 0 1293 0 0 SOUTHWEST AIRLS CO COM Stock 844741108 297 5600 SH SOLE 0 5600 0 0 COLGATE PALMOLIVE CO COM Stock 194162103 260 3200 SH SOLE 0 3200 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 2205 7565 SH SOLE 0 7565 0 0 SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF ETF 78463X889 604 16409 SH SOLE 0 16409 0 0 ISHARES S&P MIDCAP FUND ETF 464287507 3159 11754 SH SOLE 0 11754 0 0 GLOBAL BLOOD THERAPEUTICS INC COM Stock 37890U108 7289 208125 SH SOLE 0 208125 0 0 ISHARES MSCI EAFE ETF ETF 464287465 562 7128 SH SOLE 0 7128 0 0 APPLE INC Stock 037833100 8962 65432 SH SOLE 0 65431 0 0 ABBOTT LABS COM Stock 002824100 714 6161 SH SOLE 0 6160 0 0 DISNEY WALT CO COM Stock 254687106 2249 12793 SH SOLE 0 12793 0 0 MADISON SQUARE GRDN SPRT CORP CL A Stock 55825T103 1180 6835 SH SOLE 0 6835 0 0 ISHARES RUSSELL 1000 ETF ETF 464287622 3041 12560 SH SOLE 0 12560 0 0 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 491 3098 SH SOLE 0 3098 0 0 LIVANOVA PLC SHS Stock G5509L101 219 2600 SH SOLE 0 2600 0 0