CCO

0001085146-21-000729.txt : 20210212 0001085146-21-000729.hdr.sgml : 20210212 20210212165845 ACCESSION NUMBER: 0001085146-21-000729 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Dakota Wealth Management CENTRAL INDEX KEY: 0001631353 IRS NUMBER: 204893886 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16362 FILM NUMBER: 21629019 BUSINESS ADDRESS: STREET 1: 11376 N. JOG RD. STREET 2: SUITE 101 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 BUSINESS PHONE: 561-774-8029 MAIL ADDRESS: STREET 1: 11376 N. JOG RD. STREET 2: SUITE 101 CITY: PALM BEACH GARDENS STATE: FL ZIP: 33418 FORMER COMPANY: FORMER CONFORMED NAME: Oakmont Partners LLC DATE OF NAME CHANGE: 20150121 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001631353 XXXXXXXX 12-31-2020 12-31-2020 false Dakota Wealth Management

11376 N. JOG RD. SUITE 101 PALM BEACH GARDENS FL 33418

13F HOLDINGS REPORT 028-16362 N Michael Reed CCO 561-774-8029 /s/ Michael Reed Palm Beach Gardens FL 02-10-2021 6 422 768680 false 1 0000837592 028-02354 CRAWFORD INVESTMENT COUNSEL INC 6 0001034524 028-03687 POLEN CAPITAL MANAGEMENT LLC 2 0001631353 028-16362 Dakota Wealth Management 3 0001076598 028-04139 EATON VANCE MANAGEMENT 4 0001072843 028-07360 First Fiduciary Investment Counsel, Inc. 5 0001048703 028-11445 Karpus Management, Inc. 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MSCI USA QLT FCT 46432F339 231 1985 SH OTR 5 0 0 1985 ISHARES TR MSCI USA QLT FCT 46432F339 8404 72317 SH SOLE 2 72317 0 0 ISHARES TR NATIONAL MUN ETF 464288414 952 8127 SH SOLE 2 8127 0 0 ISHARES TR PFD AND INCM SEC 464288687 4593 119276 SH SOLE 2 119276 0 0 ISHARES TR RUS 1000 ETF 464287622 73 345 SH OTR 5 0 0 345 ISHARES TR RUS 1000 ETF 464287622 7069 33371 SH SOLE 2 33371 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 28959 120092 SH SOLE 2 120092 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 619 4525 SH SOLE 2 4525 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 4039 14088 SH SOLE 2 14088 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 666 5058 SH SOLE 2 5058 0 0 ISHARES TR RUS MD CP GR ETF 464287481 220 2144 SH SOLE 2 2144 0 0 ISHARES TR RUS MID CAP ETF 464287499 2227 32485 SH SOLE 2 32485 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 12732 64940 SH SOLE 2 64940 0 0 ISHARES TR S&P 100 ETF 464287101 5783 33691 SH SOLE 2 33691 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 1451 13425 SH OTR 5 0 0 13425 ISHARES 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MERCADOLIBRE INC COM 58733R102 219 131 SH SOLE 2 131 0 0 MERCK & CO. INC COM 58933Y105 1020 12468 SH SOLE 2 12468 0 0 MERCURY GENL CORP NEW COM 589400100 2680 51340 SH SOLE 2 51340 0 0 MERIDA MERGER CORP I COM 58953M106 217 21250 SH OTR 5 0 0 21250 MFS INTER INCOME TR SH BEN INT 55273C107 283 74400 SH OTR 5 0 0 74400 MFS INVT GRADE MUN TR SH BEN INT 59318B108 348 35522 SH OTR 5 0 0 35522 MFS INVT GRADE MUN TR SH BEN INT 59318B108 18 1825 SH SOLE 2 1825 0 0 MICROSOFT CORP COM 594918104 1438 6465 SH OTR 46 3517 0 2948 MICROSOFT CORP COM 594918104 24517 110227 SH SOLE 2 110227 0 0 MICROSOFT CORP COM 594918104 556 2500 SH Put SOLE 2 0 0 2500 MORGAN STANLEY COM NEW 617446448 728 10625 SH SOLE 2 10625 0 0 MSCI INC COM 55354G100 167 374 SH OTR 6 0 0 374 MSCI INC COM 55354G100 5140 11512 SH SOLE 2 11512 0 0 NEW BEGINNINGS ACQUISITION C COM 64222H100 176 17500 SH OTR 5 0 0 17500 NEW GERMANY FD INC COM 644465106 347 18243 SH OTR 5 0 0 18243 NEW GERMANY FD INC COM 644465106 11 600 SH SOLE 2 600 0 0 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 249 25000 SH SOLE 2 25000 0 0 NEXTERA ENERGY INC COM 65339F101 14914 193317 SH SOLE 2 193317 0 0 NIKE INC CL B 654106103 3532 24965 SH SOLE 2 24965 0 0 NIKE INC CL B 654106103 193 1361 SH OTR 6 0 0 1361 NOVARTIS AG SPONSORED ADR 66987V109 398 4220 SH OTR 4 4220 0 0 NOVARTIS AG SPONSORED ADR 66987V109 36 381 SH SOLE 2 381 0 0 NUCOR CORP COM 670346105 808 15190 SH SOLE 2 15190 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1687 111731 SH OTR 5 0 0 111731 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1143 75681 SH SOLE 2 75681 0 0 NUVEEN MUN 2021 TARGET TERM COM 670687102 297 30081 SH OTR 5 0 0 30081 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 269 19877 SH SOLE 2 19877 0 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 4173 308433 SH OTR 5 0 0 308433 NUVEEN NEW YORK QLT MUN INC COM 67066X107 619 43750 SH OTR 5 0 0 43750 NUVEEN QUALITY MUNCP INCOME COM 67066V101 1182 76914 SH SOLE 2 76914 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 2969 193199 SH OTR 5 0 0 193199 NVIDIA CORPORATION COM 67066G104 1348 2581 SH SOLE 2 2581 0 0 OKTA INC CL A 679295105 565 2223 SH SOLE 2 2223 0 0 OLYMPIC STEEL INC COM 68162K106 133 10000 SH SOLE 2 10000 0 0 PAYPAL HLDGS INC COM 70450Y103 360 1537 SH OTR 6 0 0 1537 PAYPAL HLDGS INC COM 70450Y103 960 4098 SH SOLE 2 4098 0 0 PEPSICO INC COM 713448108 357 2410 SH OTR 4 2410 0 0 PEPSICO INC COM 713448108 1943 13100 SH SOLE 2 13100 0 0 PFIZER INC COM 717081103 2096 56942 SH SOLE 2 56942 0 0 PFIZER INC COM 717081103 412 11190 SH OTR 4 11190 0 0 PHILIP MORRIS INTL INC COM 718172109 1370 16550 SH SOLE 2 16550 0 0 PHILIP MORRIS INTL INC COM 718172109 151 1820 SH OTR 4 1820 0 0 PHILLIPS 66 COM 718546104 147 2100 SH SOLE 2 2100 0 0 PHILLIPS 66 COM 718546104 126 1800 SH OTR 4 1800 0 0 PIONEER DIVERSIFIED HIGH INC COM 723653101 200 13725 SH OTR 5 0 0 13725 PPG INDS INC COM 693506107 33 226 SH SOLE 2 226 0 0 PPG INDS INC COM 693506107 307 2130 SH OTR 4 2130 0 0 PROCTER AND GAMBLE CO COM 742718109 3302 23732 SH SOLE 2 23732 0 0 PROCTER AND GAMBLE CO COM 742718109 387 2780 SH OTR 4 2780 0 0 PROGRESSIVE CORP COM 743315103 3743 37850 SH SOLE 2 37850 0 0 PROLOGIS INC. COM 74340W103 2851 28610 SH SOLE 2 28610 0 0 PROPERTY SOLUTIONS ACQUISITI COM 74348Q108 571 57091 SH OTR 5 0 0 57091 PROSHARES TR ULTSHRT QQQ 74347B243 136 19165 SH SOLE 2 19165 0 0 PROVIDENT BANCORP INC COM NEW 74383L105 309 25721 SH SOLE 2 25721 0 0 PTK ACQUISITION CORP COM 69375F108 552 54450 SH OTR 5 0 0 54450 PUBLIC STORAGE COM 74460D109 859 3718 SH SOLE 2 3718 0 0 QUALCOMM INC COM 747525103 3136 20588 SH SOLE 2 20588 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1797 25135 SH SOLE 2 25135 0 0 REGENERON PHARMACEUTICALS COM 75886F107 198 409 SH OTR 6 0 0 409 REGENERON PHARMACEUTICALS COM 75886F107 5 11 SH SOLE 2 11 0 0 REPUBLIC SVCS INC COM 760759100 4492 46647 SH SOLE 2 46647 0 0 ROCKWELL AUTOMATION INC COM 773903109 1287 5133 SH SOLE 2 5133 0 0 ROMAN DBDR TECH ACQUISITION COM CL A 77584N101 20 2000 SH SOLE 2 2000 0 0 ROMAN DBDR TECH ACQUISITION COM CL A 77584N101 2222 219750 SH OTR 5 0 0 219750 ROYCE MICRO-CAP TR INC COM 780915104 323 31870 SH OTR 5 0 0 31870 S&P GLOBAL INC COM 78409V104 1057 3215 SH SOLE 2 3215 0 0 S&P GLOBAL INC COM 78409V104 329 1000 SH Call SOLE 2 0 0 1000 SALESFORCE COM INC COM 79466L302 1371 6160 SH SOLE 2 6160 0 0 SALESFORCE COM INC COM 79466L302 324 1456 SH OTR 6 0 0 1456 SEAPORT GLOBAL ACQUISITN COR COM CL A 812227106 1054 105200 SH OTR 5 0 0 105200 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 491 7285 SH SOLE 2 7285 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4007 35327 SH SOLE 2 35327 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1826 20620 SH SOLE 2 20620 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 5333 41018 SH SOLE 2 41018 0 0 SERVICENOW INC COM 81762P102 372 676 SH OTR 6 0 0 676 SERVICENOW INC COM 81762P102 1175 2135 SH SOLE 2 2135 0 0 SHERWIN WILLIAMS CO COM 824348106 4373 5950 SH SOLE 2 5950 0 0 SHOPIFY INC CL A 82509L107 972 859 SH SOLE 2 859 0 0 SNOWFLAKE INC CL A 833445109 737 2620 SH SOLE 2 2620 0 0 SOFTWARE ACQUISITN GRUP INC COM CL A 83407F101 309 31100 SH OTR 5 0 0 31100 SOUTHERN CO COM 842587107 41 670 SH OTR 4 670 0 0 SOUTHERN CO COM 842587107 267 4351 SH SOLE 2 4351 0 0 SOUTHWEST AIRLS CO COM 844741108 4951 106212 SH SOLE 2 106212 0 0 SPARTACUS ACQUISITION CORP CL A 84677L109 718 71395 SH OTR 5 0 0 71395 SPDR GOLD TR GOLD SHS 78463V107 5222 29278 SH SOLE 2 29278 0 0 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 1645 36990 SH SOLE 2 36990 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 271 6419 SH SOLE 2 6419 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7927 21201 SH SOLE 2 21201 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3963 10600 SH Put SOLE 2 0 0 10600 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 21572 51372 SH SOLE 2 51372 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 6119 227065 SH SOLE 2 227065 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 1266 25425 SH OTR 5 0 0 25425 SPDR SER TR NUVEEN BLMBRG SR 78468R739 994 19970 SH SOLE 2 19970 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 907 17277 SH SOLE 2 17277 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 530 14250 SH SOLE 2 14250 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 1307 29726 SH SOLE 2 29726 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 332 9280 SH SOLE 2 9280 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 330 10512 SH SOLE 2 10512 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 428 7741 SH SOLE 2 7741 0 0 SQUARE INC CL A 852234103 1840 8455 SH SOLE 2 8455 0 0 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 2018 44204 SH SOLE 2 44204 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 622 12612 SH SOLE 2 12612 0 0 SSGA ACTIVE TR SPDR DBLELN SHRT 78470P200 515 10333 SH SOLE 2 10333 0 0 STARBUCKS CORP COM 855244109 7472 69848 SH SOLE 2 69848 0 0 STARBUCKS CORP COM 855244109 441 4125 SH OTR 46 1475 0 2650 STRYKER CORPORATION COM 863667101 1006 4105 SH SOLE 2 4105 0 0 SVB FINANCIAL GROUP COM 78486Q101 271 700 SH SOLE 2 700 0 0 TAILWIND ACQUISITION CORP COM CL A 87403Q102 154 14800 SH OTR 5 0 0 14800 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 3007 14473 SH SOLE 2 14473 0 0 TARGET CORP COM 87612E106 1624 9197 SH SOLE 2 9197 0 0 TE CONNECTIVITY LTD REG SHS H84989104 410 3385 SH SOLE 2 3385 0 0 TESLA INC COM 88160R101 1994 2826 SH SOLE 2 2826 0 0 TEXAS INSTRS INC COM 882508104 383 2332 SH SOLE 2 2332 0 0 THE TRADE DESK INC COM CL A 88339J105 276 345 SH SOLE 2 345 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 12139 26062 SH SOLE 2 26062 0 0 TJX COS INC NEW COM 872540109 18 264 SH SOLE 2 264 0 0 TJX COS INC NEW COM 872540109 269 3945 SH OTR 4 3945 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 451 3110 SH SOLE 2 3110 0 0 TRANSDIGM GROUP INC COM 893641100 217 350 SH SOLE 2 350 0 0 TWILIO INC CL A 90138F102 347 1025 SH SOLE 2 1025 0 0 TWITTER INC COM 90184L102 1507 27836 SH SOLE 2 27836 0 0 UBER TECHNOLOGIES INC COM 90353T100 1151 22578 SH SOLE 2 22578 0 0 ULTA BEAUTY INC COM 90384S303 6056 21088 SH SOLE 2 21088 0 0 UNITED PARCEL SERVICE INC CL B 911312106 309 1832 SH SOLE 2 1832 0 0 UNITED PARCEL SERVICE INC CL B 911312106 478 2840 SH OTR 4 2840 0 0 UNITED RENTALS INC COM 911363109 1981 8541 SH SOLE 2 8541 0 0 UNITEDHEALTH GROUP INC COM 91324P102 2077 5923 SH SOLE 2 5923 0 0 UNITEDHEALTH GROUP INC COM 91324P102 267 760 SH OTR 46 50 0 710 US BANCORP DEL COM NEW 902973304 327 7010 SH OTR 4 7010 0 0 US BANCORP DEL COM NEW 902973304 72 1541 SH SOLE 2 1541 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 396 11000 SH SOLE 2 11000 0 0 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 2799 45483 SH SOLE 2 45483 0 0 VANECK VECTORS ETF TR SHRT HGH YLD MUN 92189F387 361 14571 SH SOLE 2 14571 0 0 VANGUARD BD INDEX FDS INTERMED TERM 921937819 326 3512 SH SOLE 2 3512 0 0 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 497 4535 SH OTR 5 0 0 4535 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 270 3263 SH SOLE 2 3263 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 259 3125 SH OTR 5 0 0 3125 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 14 157 SH SOLE 2 157 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 364 4130 SH OTR 5 0 0 4130 VANGUARD INDEX FDS GROWTH ETF 922908736 1457 5750 SH OTR 5 0 0 5750 VANGUARD INDEX FDS GROWTH ETF 922908736 4120 16261 SH SOLE 2 16261 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 764 8993 SH SOLE 2 8993 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 419 1220 SH SOLE 2 1220 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1949 5670 SH OTR 5 0 0 5670 VANGUARD INDEX FDS SMALL CP ETF 922908751 1723 8852 SH SOLE 2 8852 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1231 6323 SH OTR 5 0 0 6323 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1489 7648 SH OTR 5 0 0 7648 VANGUARD INDEX FDS TOTAL STK MKT 922908769 723 3717 SH SOLE 2 3717 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 968 8141 SH SOLE 2 8141 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1942 33268 SH SOLE 2 33268 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2255 38644 SH OTR 5 0 0 38644 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1372 27377 SH SOLE 2 27377 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1476 29456 SH OTR 5 0 0 29456 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 780 12945 SH OTR 5 0 0 12945 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 831 10443 SH OTR 5 0 0 10443 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1067 10987 SH SOLE 2 10987 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 732 11890 SH SOLE 2 11890 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 9351 112325 SH SOLE 2 112325 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 425 9005 SH OTR 5 0 0 9005 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 405 8573 SH SOLE 2 8573 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 4349 47527 SH SOLE 2 47527 0 0 VANGUARD WORLD FD ESG INTL STK ETF 921910725 6 100 SH SOLE 2 100 0 0 VANGUARD WORLD FD ESG INTL STK ETF 921910725 313 5280 SH OTR 5 0 0 5280 VANGUARD WORLD FD ESG US STK ETF 921910733 222 3170 SH OTR 5 0 0 3170 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 241 1386 SH SOLE 2 1386 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 339 1515 SH SOLE 2 1515 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 455 7750 SH OTR 4 7750 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 8469 144154 SH SOLE 2 144154 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 478 2023 SH SOLE 2 2023 0 0 VISA INC COM CL A 92826C839 14824 67774 SH SOLE 2 67774 0 0 VISA INC COM CL A 92826C839 397 1813 SH OTR 6 0 0 1813 VISTAS MEDIA ACQUISITION CO COM CL A 92840T107 30 3000 SH SOLE 2 3000 0 0 VISTAS MEDIA ACQUISITION CO COM CL A 92840T107 984 97525 SH OTR 5 0 0 97525 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 478 91620 SH OTR 5 0 0 91620 WALMART INC COM 931142103 10963 76054 SH SOLE 2 76054 0 0 WATSCO INC COM 942622200 1677 7401 SH SOLE 2 7401 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 921 67529 SH OTR 5 0 0 67529 WISDOMTREE TR US SMALLCAP DIVD 97717W604 813 30573 SH SOLE 2 30573 0 0 WYNN RESORTS LTD COM 983134107 1153 10218 SH SOLE 2 10218 0 0 ZOETIS INC CL A 98978V103 10136 61242 SH SOLE 2 61242 0 0 ZOETIS INC CL A 98978V103 364 2197 SH OTR 6 0 0 2197 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 296 877 SH SOLE 2 877 0 0