Chief Compliance Officer

0001601742-20-000001.txt : 20200205 0001601742-20-000001.hdr.sgml : 20200205 20200205170820 ACCESSION NUMBER: 0001601742-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200205 DATE AS OF CHANGE: 20200205 EFFECTIVENESS DATE: 20200205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Private Ocean, LLC CENTRAL INDEX KEY: 0001601742 IRS NUMBER: 205742052 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16108 FILM NUMBER: 20579690 BUSINESS ADDRESS: STREET 1: 100 SMITH RANCH ROAD STREET 2: SUITE 300 CITY: SAN RAFAEL STATE: CA ZIP: 94903 BUSINESS PHONE: 415-526-2900 MAIL ADDRESS: STREET 1: 100 SMITH RANCH ROAD STREET 2: SUITE 300 CITY: SAN RAFAEL STATE: CA ZIP: 94903 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001601742 XXXXXXXX 12-31-2019 12-31-2019 Private Ocean, LLC

100 SMITH RANCH ROAD SUITE 300 SAN RAFAEL CA 94903

13F HOLDINGS REPORT 028-16108 N Justin Hult Chief Compliance Officer (415) 526-2900 Justin Hult San Rafael CA 02-05-2020 0 491 412027 false INFORMATION TABLE 2 private4q19.xml 3M Co COM 88579Y101 331 1875 SH SOLE 0 0 1875 Abbott Laboratories COM 002824100 251 2888 SH SOLE 0 0 2888 Abbvie Inc COM 00287Y109 262 2958 SH SOLE 0 0 2958 Aberdeen Asia Pac Incm ETF 003009107 40 9326 SH SOLE 0 0 9326 Accenture Ltd PLC COM G1151C101 119 565 SH SOLE 0 0 565 Adobe Systems Inc COM 00724F101 49 148 SH SOLE 0 0 148 Affluent Partners Hld Ltd COM G0130B101 1 3850 SH SOLE 0 0 3850 Agilent Technologies Inc COM 00846U101 9 96 SH SOLE 0 0 96 Air Products & Chemicals Inc COM 009158106 35 145 SH SOLE 0 0 145 Albany International COM 012348108 1 5 SH SOLE 0 0 5 Alcon Inc COM H01301128 14 240 SH SOLE 0 0 240 Allstate Corp COM 020002101 84 746 SH SOLE 0 0 746 Altria Group Inc COM 02209S103 33 660 SH SOLE 0 0 660 Amazon Com Inc COM 023135106 1721 931 SH SOLE 0 0 931 American Airlines Group Inc COM 02376R102 48 1659 SH SOLE 0 0 1659 American Eagle Outfitters COM 02553E106 18 1200 SH SOLE 0 0 1200 American Electric Power Company Inc COM 025537101 11 112 SH SOLE 0 0 112 American Express Co COM 025816109 194 1557 SH SOLE 0 0 1557 American International Group Inc COM 026874784 1 7 SH SOLE 0 0 7 American Tower Corp A COM 03027X100 226 980 SH SOLE 0 0 980 American Water Works Co. COM 030420103 10 80 SH SOLE 0 0 80 AmerisourceBergen Corp COM 03073E105 32 375 SH SOLE 0 0 375 Amgen Inc COM 031162100 295 1223 SH SOLE 0 0 1223 Annaly Capital Management COM 035710409 9 928 SH SOLE 0 0 928 Anthem Inc Com COM 036752103 54 178 SH SOLE 0 0 178 Apple Computer Inc COM 037833100 1589 5411 SH SOLE 0 0 5411 Applied Materials Inc COM 038222105 4 63 SH SOLE 0 0 63 Arthur J Gallagher & Co COM 363576109 11 111 SH SOLE 0 0 111 Ascena Retail Group Inc COM 04351G200 4 401 SH SOLE 0 0 401 Assurant Inc COM 04621X108 43 325 SH SOLE 0 0 325 AT&T Corp COM 00206R102 555 14191 SH SOLE 0 0 14191 Aurora Cannabis Inc COM 05156X108 1 306 SH SOLE 0 0 306 Automatic Data Processing COM 053015103 25 142 SH SOLE 0 0 142 AvalonBay Communities Inc COM 053484101 15 70 SH SOLE 0 0 70 Avery Dennison Corp COM 053611109 29 215 SH SOLE 0 0 215 Avista Corp COM 05379B107 13 263 SH SOLE 0 0 263 B C E Inc COM 05534B760 34 732 SH SOLE 0 0 732 B W X Technologies I COM 05605H100 47 750 SH SOLE 0 0 750 Bank Marin 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Inc COM 595017104 166 1580 SH SOLE 0 0 1580 Micron Technology Inc COM 595112103 70 1300 SH SOLE 0 0 1300 Microsoft Corp COM 594918104 3941 24985 SH SOLE 0 0 24985 Mid Cap SPDR Trust ETF 78467Y107 81 215 SH SOLE 0 0 215 Mnb Holdings Corp COM 55311E107 2 33 SH SOLE 0 0 33 Mohawk Industries Inc COM 608190104 21 150 SH SOLE 0 0 150 Molina Healthcare COM 60855R100 1 4 SH SOLE 0 0 4 Monster Worldwide Inc COM 61174X109 18 275 SH SOLE 0 0 275 Morgan Stanley COM 617446448 40 775 SH SOLE 0 0 775 Nasdaq 100 Shares ETF 46090E103 585 2748 SH SOLE 0 0 2748 National Beverage Corp COM 635017106 2 25 SH SOLE 0 0 25 Nestle SA COM 641069406 71 650 SH SOLE 0 0 650 Netflix Inc COM 64110L106 137 423 SH SOLE 0 0 423 Newmont Mining Corp COM 651639106 12 271 SH SOLE 0 0 271 NextEra Energy Inc COM 65339F101 199 819 SH SOLE 0 0 819 Nike Inc COM 654106103 184 1813 SH SOLE 0 0 1813 Nordstrom Inc COM 655664100 34 825 SH SOLE 0 0 825 Norfolk Southern Corp COM 655844108 198 1017 SH SOLE 0 0 1017 Northrop Grumman Corp COM 666807102 122 354 SH SOLE 0 0 354 Northwest Natural Gas Co COM 66765N105 6 75 SH SOLE 0 0 75 Novartis AG ADR COM 66987V109 114 1200 SH SOLE 0 0 1200 Novo Nordisk A/S ADR COM 670100205 25 420 SH SOLE 0 0 420 Nucor Corp COM 670346105 96 1696 SH SOLE 0 0 1696 Nvidia Corp COM 67066G104 205 870 SH SOLE 0 0 870 NXP Semiconductors NV COM N6596X109 4 25 SH SOLE 0 0 25 Old Republic International Corp COM 680223104 27 1187 SH SOLE 0 0 1187 Omnicom Group Inc COM 681919106 54 659 SH SOLE 0 0 659 One Gas Inc COM 68235P108 3 24 SH SOLE 0 0 24 Oracle Corp COM 68389X105 449 8468 SH SOLE 0 0 8468 Osi Etf Tr Oshs Gbl Inter COM 67110P704 25 925 SH SOLE 0 0 925 Paccar Inc COM 693718108 92 1162 SH SOLE 0 0 1162 Palo Alto Networks Inc COM 697435105 3 10 SH SOLE 0 0 10 Pan Amern Silver Corp COM 697900108 24 1000 SH SOLE 0 0 1000 Paychex Inc. COM 704326107 4 37 SH SOLE 0 0 37 Paypal Hldgs Inc Com COM 70450Y103 18 163 SH SOLE 0 0 163 PepsiCo Inc COM 713448108 209 1527 SH SOLE 0 0 1527 Pfizer Inc COM 717081103 101 2571 SH SOLE 0 0 2571 Philip Morris International COM 718172109 26 300 SH SOLE 0 0 300 Phillips Inc COM 718546104 123 1103 SH SOLE 0 0 1103 PNC Financial Services Group Inc COM 693475105 104 647 SH SOLE 0 0 647 PNM Resources Inc COM 69349H107 2 35 SH SOLE 0 0 35 Potlatch Corp COM 737630103 8 164 SH SOLE 0 0 164 Powershares Emerging Markets Debt ETF 46138E784 36421 1231261 SH SOLE 0 0 1231261 Powershares FTSE RAFI 1500 ETF 46137V597 3568 26098 SH SOLE 0 0 26098 Powershares FTSE RAFI Dev Markets ex-US ETF 46138E743 7921 186324 SH SOLE 0 0 186324 Powershares FTSE RAFI US 1000 ETF 46137V613 8740 68972 SH SOLE 0 0 68972 Powershares Info Tech ETF ETF 46138E115 15 150 SH SOLE 0 0 150 Powershares Nasdaq Internet ETF 46137V530 218 1536 SH SOLE 0 0 1536 PowerShares S&P Low Volatility ETF 46138E354 94 1600 SH SOLE 0 0 1600 Principal Financial Group COM 74251V102 9 159 SH SOLE 0 0 159 Procter & Gamble Co COM 742718109 1073 8590 SH SOLE 0 0 8590 Progressive Corp COM 743315103 48 650 SH SOLE 0 0 650 Prosperity Bancshares COM 715347100 4 136 SH SOLE 0 0 136 Public Service Enterprise Group COM 744573106 62 1034 SH SOLE 0 0 1034 Qualcomm Inc COM 747525103 19 208 SH SOLE 0 0 208 Raytheon Co COM 755111507 217 987 SH SOLE 0 0 987 Realty Income Corp COM 756109104 2172 29489 SH SOLE 0 0 29489 Regions Financial Corp COM 7591EP100 52 3030 SH SOLE 0 0 3030 Reinsurance Group Of America COM 759351604 37 225 SH SOLE 0 0 225 Resideo Technologies Inc Com COM 76118Y104 1 37 SH SOLE 0 0 37 Revolve Group Inc COM 76156B107 3 140 SH SOLE 0 0 140 Rockwell Automation Inc COM 773903109 13 60 SH SOLE 0 0 60 Ross Stores Inc COM 778296103 53 450 SH SOLE 0 0 450 Salesforce.com COM 79466L302 33 201 SH SOLE 0 0 201 SAP Aktiengesell ADR COM 803054204 7 50 SH SOLE 0 0 50 Schlumberger NV COM 806857108 51 1250 SH SOLE 0 0 1250 Schw Intl Scap Etf ETF 808524888 43 1239 SH SOLE 0 0 1239 Schwab 1000 Index Etf ETF 808524722 4 99 SH SOLE 0 0 99 Schwab Emerging Market Equities ETF ETF 808524706 61 2202 SH SOLE 0 0 2202 Schwab Funda Emg Mkts ETF 808524730 13 411 SH SOLE 0 0 411 Schwab Fundamental Intl ETF 808524748 81 2425 SH SOLE 0 0 2425 Schwab Fundamental Int'l Lg Co ETF ETF 808524755 9 283 SH SOLE 0 0 283 Schwab Fundamental US Large Company ETF ETF 808524771 64 1483 SH SOLE 0 0 1483 Schwab International Equity ETF ETF 808524805 610 18123 SH SOLE 0 0 18123 Schwab Short Term US Treas ETF ETF 808524862 208 4120 SH SOLE 0 0 4120 Schwab U.S. TIPS ETF 808524870 119 2096 SH SOLE 0 0 2096 Schwab US Aggregate Bond ETF ETF 808524839 39 719 SH SOLE 0 0 719 Schwab US Broad Market ETF ETF 808524102 38 483 SH SOLE 0 0 483 Schwab US Large Cap ETF 808524300 1 4 SH SOLE 0 0 4 Schwab US Large Cap Value ETF 808524409 39 637 SH SOLE 0 0 637 Schwab US Large-Cap ETF ETF 808524201 349 4540 SH SOLE 0 0 4540 Schwab US Mid Cap Etf ETF 808524508 18 297 SH SOLE 0 0 297 Schwab US REIT ETF ETF 808524847 49 1061 SH SOLE 0 0 1061 Schwab US Small Cap ETF ETF 808524607 76 993 SH SOLE 0 0 993 Sempra Energy COM 816851109 124 818 SH SOLE 0 0 818 Senior Housing Property Trust COM 81721M109 6 640 SH SOLE 0 0 640 Servicenow Inc Com COM 81762P102 38 132 SH SOLE 0 0 132 Shopify Inc COM 82509L107 233 584 SH SOLE 0 0 584 Si-Bone Inc COM 825704109 112 5206 SH SOLE 0 0 5206 Sienna Biopharma Inc COM 82622H108 1 520 SH SOLE 0 0 520 SIGA Technologies Inc COM 826917106 10 2000 SH SOLE 0 0 2000 Snap On Inc COM 833034101 3 17 SH SOLE 0 0 17 Solar Alliance Inc COM 83418C105 1 200 SH SOLE 0 0 200 SonoSite Inc COM 83570H108 2 100 SH SOLE 0 0 100 Southwest Airlines Co. 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