Compliance Associate

0001570296-21-000009.txt : 20211028 0001570296-21-000009.hdr.sgml : 20211028 20211028160552 ACCESSION NUMBER: 0001570296-21-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211028 DATE AS OF CHANGE: 20211028 EFFECTIVENESS DATE: 20211028 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: 211358242 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 false false 0001570296 XXXXXXXX 09-30-2021 09-30-2021 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 10-28-2021 0 198 291050 false INFORMATION TABLE 2 13FAssetData20210930.xml 13F AMAZON.COM INC Stock 023135106 7262 2210 SH SOLE 0 2210 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 821 5495 SH SOLE 0 5495 0 0 STARBUCKS CORP Stock 855244109 410 3715 SH SOLE 0 3715 0 0 GOLDMAN SACHS ACTIVEBETA INTERNATIONAL EQUITY ETF ETF 381430107 1248 36516 SH SOLE 0 36516 0 0 JOHN HANCOCK MULTIFACTOR LARGE CAP ETF ETF 47804J107 500 9181 SH SOLE 0 9181 0 0 JOHNSON & JOHNSON COM Stock 478160104 3282 20325 SH SOLE 0 20325 0 0 ASPIRA WOMENS HEALTH INC COM Stock 04537Y109 32 10000 SH SOLE 0 10000 0 0 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 338 6715 SH SOLE 0 6715 0 0 GOLDMAN SACHS GROUP INC Stock 38141G104 461 1220 SH SOLE 0 1220 0 0 VERINT SYS INC COM Stock 92343X100 1326 29600 SH SOLE 0 29600 0 0 YUM BRANDS INC COM Stock 988498101 1370 11200 SH SOLE 0 11200 0 0 BOSTON SCIENTIFIC CORP Stock 101137107 1186 27324 SH SOLE 0 27324 0 0 DREYFUS HI YIELD STRATEGIC FD CEF 09660L105 84 25900 SH SOLE 0 25900 0 0 COCA COLA CO COM Stock 191216100 335 6388 SH SOLE 0 6388 0 0 UNITED PARCEL SERVICE INC CL B Stock 911312106 1049 5763 SH SOLE 0 5763 0 0 VANGUARD REAL ESTATE ETF ETF 922908553 886 8707 SH SOLE 0 8707 0 0 ISHARES MSCI USA ESG SELECT ETF ETF 464288802 934 9739 SH SOLE 0 9739 0 0 BIOGEN IDEC INC Stock 09062X103 1484 5245 SH SOLE 0 5245 0 0 INTEL CORP COM Stock 458140100 213 3998 SH SOLE 0 3998 0 0 MEDTRONIC PLC SHS Stock G5960L103 2681 21390 SH SOLE 0 21390 0 0 NETFLIX COM INC Stock 64110L106 457 750 SH SOLE 0 749 0 0 QURATE RETAIL INC COM SER A Stock 74915M100 204 20000 SH SOLE 0 20000 0 0 WATERS CP Stock 941848103 849 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 711 1656 SH SOLE 0 1656 0 0 MASTERCARD INC Stock 57636Q104 375 1079 SH SOLE 0 1079 0 0 SBA COMMUNICATIONS CP REIT 78410G104 1884 5700 SH SOLE 0 5700 0 0 YUM CHINA HLDGS INC COM Stock 98850P109 2287 39350 SH SOLE 0 39350 0 0 SAFETY INSURANCE GROUP IN Stock 78648T100 1103 13918 SH SOLE 0 13917 0 0 ISHARES MSCI JAPAN ETF ETF 46434G822 252 3582 SH SOLE 0 3582 0 0 ISHARES TIPS BOND ETF ETF 464287176 572 4477 SH SOLE 0 4477 0 0 JOUNCE THERAPEUTICS INC COM Stock 481116101 198 26684 SH SOLE 0 26684 0 0 MARVELL TECHNOLOGY INC COM Stock 573874104 3263 54111 SH SOLE 0 54110 0 0 HONEYWELL INTL INC COM Stock 438516106 494 2326 SH SOLE 0 2326 0 0 TRANE TECHNOLOGIES PLC SHS Stock G8994E103 397 2300 SH SOLE 0 2300 0 0 SPDR BLOOMBERG CONVERTIBLE SECURITIES ETF ETF 78464A359 673 7880 SH SOLE 0 7880 0 0 HOME DEPOT Stock 437076102 906 2760 SH SOLE 0 2760 0 0 DUPONT DE NEMOURS INC COM Stock 26614N102 456 6711 SH SOLE 0 6711 0 0 SPDR ICE PREFERRED SECURITIES ETF ETF 78464A292 962 22124 SH SOLE 0 22124 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 1597 12544 SH SOLE 0 12544 0 0 SPDR GOLD ETF ETF 78463V107 226 1375 SH SOLE 0 1375 0 0 AMERISOURCEBERGEN CORP COM Stock 03073E105 1553 13000 SH SOLE 0 13000 0 0 MONGODB INC CL A Stock 60937P106 10949 23222 SH SOLE 0 23221 0 0 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 724 2642 SH SOLE 0 2642 0 0 IRIDIUM COMMUNICATIONS INC COM Stock 46269C102 2446 61375 SH SOLE 0 61375 0 0 SPDR PORTFOLIO S&P 400 MID CAP ETF ETF 78464A847 614 13307 SH SOLE 0 13307 0 0 AVAYA HLDGS CORP COM Stock 05351X101 220 11100 SH SOLE 0 11100 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 876 3210 SH SOLE 0 3210 0 0 WEYERHAEUSER CO MTN BE COM NEW REIT 962166104 891 25040 SH SOLE 0 25040 0 0 ALPHABET INC CLASS A Stock 02079K305 5510 2061 SH SOLE 0 2061 0 0 O REILLY AUTOMOTIVE INC Stock 67103H107 1219 1995 SH SOLE 0 1995 0 0 CONSTELLATION BRANDS INC CL A Stock 21036P108 1763 8366 SH SOLE 0 8365 0 0 MICROSOFT Stock 594918104 2099 7446 SH SOLE 0 7445 0 0 CERIDIAN HCM HLDG INC COM Stock 15677J108 3355 29790 SH SOLE 0 29790 0 0 HEALTH CARE PPTY INVS INC REIT 42250P103 393 11726 SH SOLE 0 11726 0 0 CVS HEALTH CORP COM Stock 126650100 4717 55582 SH SOLE 0 55582 0 0 ARES CAPITAL CORP COM CEF 04010L103 5282 259795 SH SOLE 0 259795 0 0 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 1234 3 SH SOLE 0 3 0 0 CBOE GLOBAL MKTS INC COM Stock 12503M108 1109 8950 SH SOLE 0 8950 0 0 BOEING CO COM Stock 097023105 319 1452 SH SOLE 0 1452 0 0 VANGUARD SMALL CAP ETF ETF 922908751 220 1005 SH SOLE 0 1004 0 0 ALIGN TECHNOLOGY INC Stock 016255101 682 1025 SH SOLE 0 1025 0 0 TESLA MOTORS INC Stock 88160R101 201 259 SH SOLE 0 259 0 0 MSCI INC COM Stock 55354G100 4224 6944 SH SOLE 0 6944 0 0 LINDE PLC SHS Stock G5494J103 205 700 SH SOLE 0 700 0 0 NORFOLK SOUTHERN CRP Stock 655844108 239 1000 SH SOLE 0 1000 0 0 HARLEY DAVIDSON INC COM Stock 412822108 637 17400 SH SOLE 0 17400 0 0 DOLLAR TREE STORES INC Stock 256746108 268 2800 SH SOLE 0 2800 0 0 DOW INC COM Stock 260557103 400 6943 SH SOLE 0 6943 0 0 CONAGRA BRANDS INC COM Stock 205887102 685 20216 SH SOLE 0 20216 0 0 LYONDELLBASELL Stock N53745100 486 5175 SH SOLE 0 5175 0 0 GLOBAL X CLOUD COMPUTING ETF ETF 37954Y442 1816 62008 SH SOLE 0 62007 0 0 ILLUMINA INC Stock 452327109 1369 3375 SH SOLE 0 3375 0 0 CORTEVA INC COM Stock 22052L104 529 12577 SH SOLE 0 12577 0 0 CROWDSTRIKE HLDGS INC CL A Stock 22788C105 1671 6800 SH SOLE 0 6800 0 0 BRIDGEBIO PHARMA INC COM Stock 10806X102 7401 157898 SH SOLE 0 157897 0 0 SPDR S&P 400 MID CAP GROWTH ETF ETF 78464A821 227 3006 SH SOLE 0 3006 0 0 LILLY ELI & CO COM Stock 532457108 3291 14243 SH SOLE 0 14243 0 0 PELOTON INTERACTIVE INC CL A COM Stock 70614W100 2475 28437 SH SOLE 0 28437 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 3373 15419 SH SOLE 0 15419 0 0 TWILIO INC CL A Stock 90138F102 1075 3370 SH SOLE 0 3370 0 0 INVESCO SENIOR LOAN ETF ETF 46138G508 482 21800 SH SOLE 0 21800 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 255 2701 SH SOLE 0 2701 0 0 CARRIER GLOBAL CORPORATION COM Stock 14448C104 236 4552 SH SOLE 0 4551 0 0 CHIPOTLE MEXICAN GRILL INC COM Stock 169656105 2372 1305 SH SOLE 0 1305 0 0 MADISON SQUARE GRDN ENTERTNMNT CL A Stock 55826T102 1298 17865 SH SOLE 0 17865 0 0 PLIANT THERAPEUTICS INC Stock 729139105 2810 166447 SH SOLE 0 166447 0 0 RELAY THERAPEUTICS INC COM Stock 75943R102 5835 185063 SH SOLE 0 185063 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 2187 19063 SH SOLE 0 19063 0 0 ISHARES RUSSELL MIDCAP GROWTH ETF ETF 464287481 341 3040 SH SOLE 0 3040 0 0 FIRST TR EXCHANGE TRADED FD II CLOUD COMPUTING ETF 33734X192 444 4217 SH SOLE 0 4217 0 0 PALANTIR TECHNOLOGIES INC CL A Stock 69608A108 298 12390 SH SOLE 0 12390 0 0 VONTIER CORPORATION COM Stock 928881101 268 7967 SH SOLE 0 7967 0 0 COGNYTE SOFTWARE LTD ORD SHS Stock M25133105 545 26500 SH SOLE 0 26500 0 0 CTRIP.COM INTL LTD AMERICAN DEP SHS ADR 89677Q107 376 12220 SH SOLE 0 12220 0 0 TRACTOR SUPPLY CO Stock 892356106 304 1500 SH SOLE 0 1500 0 0 IMMUNOGEN INC COM Stock 45253H101 858 151340 SH SOLE 0 151340 0 0 VISA INC Stock 92826C839 3181 14282 SH SOLE 0 14281 0 0 BONANZA CREEK ENERGY INC COM NEW Stock 097793400 418 8728 SH SOLE 0 8728 0 0 HERSHEY CO COM Stock 427866108 698 4125 SH SOLE 0 4125 0 0 N-ABLE INC COMMON STOCK Stock 62878D100 187 15100 SH SOLE 0 15100 0 0 LEXINFINTECH HLDGS LTD ADR ADR 528877103 201 34100 SH SOLE 0 34100 0 0 ISHARES MSCI INDIA INDEX FUND ETF 46429B598 282 5791 SH SOLE 0 5791 0 0 PHILLIPS 66 Stock 718546104 1338 19109 SH SOLE 0 19109 0 0 ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF ETF 464287150 262 2668 SH SOLE 0 2668 0 0 FACEBOOK INC CL A Stock 30303M102 7523 22167 SH SOLE 0 22167 0 0 AMERICAN AIRLS GROUP INC COM Stock 02376R102 1018 49597 SH SOLE 0 49597 0 0 FIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUND ETF 33738D101 1811 76520 SH SOLE 0 76520 0 0 KAR AUCTION SVCS INC COM Stock 48238T109 705 43000 SH SOLE 0 43000 0 0 GENTHERM INC COM Stock 37253A103 946 11685 SH SOLE 0 11685 0 0 WORKDAY INC COM Stock 98138H101 608 2435 SH SOLE 0 2435 0 0 SL GREEN RLTY CORP COM REIT 78440X804 1255 17719 SH SOLE 0 17718 0 0 ACCENTURE PLC IRELAND SHS CLASS A Stock G1151C101 1571 4910 SH SOLE 0 4910 0 0 NEOGENOMICS INC COM NEW Stock 64049M209 1463 30330 SH SOLE 0 30330 0 0 SPDR BLOOMBERG INVESTMENT GRADE FLOATING RATE ETF ETF 78468R200 1226 40000 SH SOLE 0 40000 0 0 NVIDIA CORPORATION COM Stock 67066G104 1375 6635 SH SOLE 0 6635 0 0 ISHARES SHORT TREASURY BOND ETF ETF 464288679 917 8299 SH SOLE 0 8299 0 0 ABBVIE INC COM Stock 00287Y109 1636 15166 SH SOLE 0 15166 0 0 PROG HOLDINGS INC COM NPV Stock 74319R101 227 5400 SH SOLE 0 5400 0 0 ZOETIS INC COM CL A Stock 98978V103 321 1652 SH SOLE 0 1652 0 0 SPDR BLACKSTONE SENIOR LOAN ETF ETF 78467V608 262 5697 SH SOLE 0 5697 0 0 MCDONALDS CORP COM Stock 580135101 1352 5606 SH SOLE 0 5606 0 0 CISCO SYS INC Stock 17275R102 270 4960 SH SOLE 0 4960 0 0 ISHARES RUSSELL MID-CAP ETF ETF 464287499 228 2920 SH SOLE 0 2920 0 0 CYTOKINETICS INC COM NEW Stock 23282W605 357 10000 SH SOLE 0 10000 0 0 WISDOMTREE U.S. MIDCAP DIVIDEND FUND ETF 97717W505 246 5937 SH SOLE 0 5937 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 629 12071 SH SOLE 0 12070 0 0 ISHARES DOW JONES US CONSUMER GOODS ETF 464287812 5159 28724 SH SOLE 0 28724 0 0 ISHARES BIOTECHNOLOGY FUND ETF 464287556 821 5076 SH SOLE 0 5076 0 0 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 886 6728 SH SOLE 0 6728 0 0 UNIVERSAL DISPLAY CORP Stock 91347P105 1729 10115 SH SOLE 0 10115 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 587 3273 SH SOLE 0 3273 0 0 ACCELERON PHARMA INC COM Stock 00434H108 1618 9400 SH SOLE 0 9400 0 0 EXPEDIA INC DEL COM Stock 30212P303 282 1722 SH SOLE 0 1722 0 0 SKYWORKS SOLUTIONS INC COM Stock 83088M102 1903 11550 SH SOLE 0 11550 0 0 FIDELITY MSCI CONSUMER DISCRETIONARY INDEX ET ETF 316092204 214 2671 SH SOLE 0 2671 0 0 SPDR PORTFOLIO S&P 600 SMALL CAP ETF ETF 78468R853 350 8212 SH SOLE 0 8212 0 0 ISHARES S&P 500 GROWTH ETF ETF 464287309 714 9666 SH SOLE 0 9666 0 0 ISHARES S&P 500 INDEX ETF 464287200 9370 21750 SH SOLE 0 21749 0 0 TEXAS PACIFIC LAND CORPORATION COM Stock 88262P102 9469 7830 SH SOLE 0 7830 0 0 METTLER TOLEDO INTL INCF Stock 592688105 450 327 SH SOLE 0 327 0 0 UNION PAC CORP COM Stock 907818108 2910 14846 SH SOLE 0 14846 0 0 MCCORMICK & CO INC COM NON VTG Stock 579780206 849 10480 SH SOLE 0 10480 0 0 GOLAR LNG LTD SHS ISIN BMG9456A1009 Stock G9456A100 1239 95500 SH SOLE 0 95500 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 234 1429 SH SOLE 0 1429 0 0 SPDR PORTFOLIO EMERGING MARKETS ETF ETF 78463X509 255 5992 SH SOLE 0 5992 0 0 CONOCOPHILLIPS COM Stock 20825C104 1044 15411 SH SOLE 0 15411 0 0 BRUNSWICK CORP COM Stock 117043109 248 2600 SH SOLE 0 2600 0 0 DANAHER CORP Stock 235851102 1019 3347 SH SOLE 0 3347 0 0 PIMCO ENHANCED LOW DURATION ACTIVE EXCHANGE-TRADED FUND ETF 72201R718 1018 10000 SH SOLE 0 10000 0 0 SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF ETF 78464A805 1619 30552 SH SOLE 0 30551 0 0 WALMART INC COM Stock 931142103 341 2443 SH SOLE 0 2443 0 0 FIRST TRUST US EQUITY OPPORTUNITIES ETF ETF 336920103 1809 14661 SH SOLE 0 14661 0 0 RAYTHEON TECHNOLOGIES CORP COM Stock 75513E101 649 7551 SH SOLE 0 7550 0 0 VANGUARD HIGH DIVIDEND YIELD ETF 921946406 238 2303 SH SOLE 0 2302 0 0 PFIZER INC COM Stock 717081103 1336 31058 SH SOLE 0 31058 0 0 COUPA SOFTWARE INC COM Stock 22266L106 1325 6045 SH SOLE 0 6045 0 0 GILEAD SCIENCES INC Stock 375558103 2273 32537 SH SOLE 0 32537 0 0 CATERPILLAR INC COM Stock 149123101 671 3497 SH SOLE 0 3497 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 2873 1078 SH SOLE 0 1078 0 0 OTIS WORLDWIDE CORP COM Stock 68902V107 200 2436 SH SOLE 0 2435 0 0 WISDOMTREE EMERGING MARKETS EQUITY INCOME ETF ETF 97717W315 508 11648 SH SOLE 0 11648 0 0 ARES MGMT L P Stock 03990B101 207 2800 SH SOLE 0 2800 0 0 WILLIAMS COS INC COM Stock 969457100 648 24977 SH SOLE 0 24977 0 0 ISHARES 7-10 YEAR TREASURY BOND ETF ETF 464287440 272 2360 SH SOLE 0 2360 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 505 4397 SH SOLE 0 4397 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 3343 66531 SH SOLE 0 66531 0 0 TRUPANION INC COM Stock 898202106 788 10150 SH SOLE 0 10150 0 0 AXON ENTERPRISE INC COM Stock 05464C101 2494 14250 SH SOLE 0 14250 0 0 IPG PHOTONICS CORP COM Stock 44980X109 544 3435 SH SOLE 0 3435 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 1137 7680 SH SOLE 0 7680 0 0 SPDR PORTFOLIO S&P 500 GROWTH ETF ETF 78464A409 1507 23547 SH SOLE 0 23547 0 0 SPDR PORTFOLIO S&P 500 VALUE ETF ETF 78464A508 964 24706 SH SOLE 0 24706 0 0 PHILIP MORRIS INTL INC Stock 718172109 3048 32154 SH SOLE 0 32154 0 0 NUCOR CORP COM Stock 670346105 352 3571 SH SOLE 0 3571 0 0 VANGUARD MEGA CAP GROWTH ETF ETF 921910816 7695 32771 SH SOLE 0 32770 0 0 SPDR BLOOMBERG HIGH YIELD BOND ETF ETF 78468R622 426 3891 SH SOLE 0 3891 0 0 EMQQ THE EMERGING MARKETS INTERNET AND ECOMMERCE ETF ETF 301505889 2785 56151 SH SOLE 0 56151 0 0 WISDOMTREE EMERGING MARKETS EX-STATE-OWNED ENTERPRISES FUND ETF 97717X578 512 13724 SH SOLE 0 13724 0 0 ALTRIA GROUP INC COM Stock 02209S103 3332 73198 SH SOLE 0 73198 0 0 ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF ETF 464288281 304 2761 SH SOLE 0 2761 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 768 15894 SH SOLE 0 15893 0 0 EXXON MOBIL CORP COM Stock 30231G102 1208 20529 SH SOLE 0 20529 0 0 UNITEDHEALTH GROUP Stock 91324P102 508 1301 SH SOLE 0 1301 0 0 SOUTHWEST AIRLS CO COM Stock 844741108 288 5600 SH SOLE 0 5600 0 0 COLGATE PALMOLIVE CO COM Stock 194162103 242 3200 SH SOLE 0 3200 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 2051 7883 SH SOLE 0 7883 0 0 SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF ETF 78463X889 610 16843 SH SOLE 0 16843 0 0 ISHARES S&P MIDCAP FUND ETF 464287507 3077 11698 SH SOLE 0 11698 0 0 GLOBAL BLOOD THERAPEUTICS INC COM Stock 37890U108 5430 213125 SH SOLE 0 213125 0 0 ISHARES MSCI EAFE ETF ETF 464287465 556 7128 SH SOLE 0 7128 0 0 APPLE INC Stock 037833100 9259 65432 SH SOLE 0 65432 0 0 ABBOTT LABS COM Stock 002824100 716 6061 SH SOLE 0 6061 0 0 DISNEY WALT CO COM Stock 254687106 2250 13300 SH SOLE 0 13300 0 0 MADISON SQUARE GRDN SPRT CORP CL A Stock 55825T103 1274 6850 SH SOLE 0 6850 0 0 ISHARES RUSSELL 1000 ETF ETF 464287622 3036 12560 SH SOLE 0 12560 0 0 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 485 3098 SH SOLE 0 3098 0 0 LIVANOVA PLC SHS Stock G5509L101 206 2600 SH SOLE 0 2600 0 0