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0001085146-21-001555.txt : 20210510 0001085146-21-001555.hdr.sgml : 20210510 20210510171040 ACCESSION NUMBER: 0001085146-21-001555 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210510 DATE AS OF CHANGE: 20210510 EFFECTIVENESS DATE: 20210510 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: 21908354 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 03-31-2021 03-31-2021 false Dakota Wealth Management

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

13F HOLDINGS REPORT 028-16362 N Kayla Berg CCO 561-774-8029 /s/ Kayla Berg Palm Beach Gardens FL 05-09-2021 6 420 761959 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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ISHARES TR 0-5YR HI YL CP 46434V407 309 6750 SH SOLE 1 6750 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 835 9680 SH SOLE 1 9680 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 1103 8491 SH SOLE 1 8491 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 248 2198 SH SOLE 1 2198 0 0 ISHARES TR COHEN STEER REIT 464287564 3298 57045 SH SOLE 1 57045 0 0 ISHARES TR CORE MSCI EAFE 46432F842 273 3785 SH SOLE 1 3785 0 0 ISHARES TR CORE S&P SCP ETF 464287804 209 1930 SH SOLE 1 1930 0 0 ISHARES TR CORE S&P TTL STK 464287150 2325 25382 SH SOLE 1 25382 0 0 ISHARES TR CORE S&P500 ETF 464287200 1001 2516 SH SOLE 1,3 2486 0 30 ISHARES TR CORE S&P500 ETF 464287200 1939 4874 SH OTR 3 0 0 4874 ISHARES TR CORE US AGGBD ET 464287226 3765 33077 SH SOLE 1 33077 0 0 ISHARES TR CORE US AGGBD ET 464287226 390 3425 SH OTR 3 0 0 3425 ISHARES TR EAFE SML CP ETF 464288273 624 8691 SH SOLE 1 8691 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 314 6181 SH SOLE 1 6181 0 0 ISHARES TR GLOBAL TECH ETF 464287291 609 1978 SH SOLE 1 1978 0 0 ISHARES TR IBOXX HI YD ETF 464288513 1328 15229 SH SOLE 1 15229 0 0 ISHARES TR IBOXX INV CP ETF 464287242 3342 25699 SH SOLE 1 25699 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 3361 61460 SH SOLE 1 61460 0 0 ISHARES TR ISHS 5-10YR INVT 464288638 3534 59661 SH SOLE 1 59661 0 0 ISHARES TR MSCI ACWI EX US 464288240 173 3132 SH SOLE 1 3132 0 0 ISHARES TR MSCI ACWI EX US 464288240 620 11245 SH OTR 3 0 0 11245 ISHARES TR MSCI EAFE ETF 464287465 7193 94809 SH SOLE 1 94809 0 0 ISHARES TR MSCI EAFE MIN VL 46429B689 1053 14428 SH SOLE 1 14428 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 11252 210950 SH SOLE 1 210950 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 149 2801 SH OTR 3 0 0 2801 ISHARES TR MSCI USA MIN VOL 46429B697 5747 83055 SH SOLE 1 83055 0 0 ISHARES TR MSCI USA MMENTM 46432F396 1510 9389 SH SOLE 1 9389 0 0 ISHARES TR MSCI USA QLT FCT 46432F339 239 1965 SH OTR 3 0 0 1965 ISHARES TR MSCI USA QLT FCT 46432F339 7317 60086 SH SOLE 1 60086 0 0 ISHARES TR NATIONAL MUN ETF 464288414 1526 13150 SH SOLE 1 13150 0 0 ISHARES TR PFD AND INCM SEC 464288687 5785 150647 SH SOLE 1 150647 0 0 ISHARES TR RUS 1000 ETF 464287622 244 1090 SH OTR 3 0 0 1090 ISHARES TR RUS 1000 ETF 464287622 5586 24957 SH SOLE 1 24957 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 25406 104535 SH SOLE 1 104535 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 1335 8811 SH SOLE 1 8811 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 4117 13688 SH SOLE 1 13688 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 783 4913 SH SOLE 1 4913 0 0 ISHARES TR RUS MD CP GR ETF 464287481 219 2144 SH SOLE 1 2144 0 0 ISHARES TR RUS MID CAP ETF 464287499 2239 30283 SH SOLE 1 30283 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 13 60 SH OTR 3 0 0 60 ISHARES TR RUSSELL 2000 ETF 464287655 9487 42941 SH SOLE 1 42941 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 133 600 SH Put SOLE 1 0 0 600 ISHARES TR S&P 100 ETF 464287101 5956 33120 SH SOLE 1 33120 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 631 5857 SH SOLE 1 5857 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 952 8825 SH OTR 3 0 0 8825 ISHARES TR TIPS BD ETF 464287176 2641 21043 SH SOLE 1 21043 0 0 ISHARES TR U.S. CNSM SV ETF 464287580 763 10202 SH SOLE 1 10202 0 0 ISHARES TR US HLTHCR PR ETF 464288828 399 1586 SH SOLE 1 1586 0 0 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 2120 42230 SH SOLE 1 42230 0 0 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 5082 100130 SH SOLE 1 100130 0 0 JAPAN SMALLER CAPITALIZATION COM 47109U104 256 27537 SH OTR 3 0 0 27537 JAPAN SMALLER CAPITALIZATION COM 47109U104 7 750 SH SOLE 3 0 0 750 JOHNSON & JOHNSON COM 478160104 2226 13541 SH SOLE 1 13541 0 0 JOHNSON & JOHNSON COM 478160104 416 2530 SH OTR 2 2530 0 0 JOHNSON CTLS INTL PLC SHS G51502105 57 962 SH SOLE 1 962 0 0 JOHNSON CTLS INTL PLC SHS G51502105 348 5840 SH OTR 2 5840 0 0 JPMORGAN CHASE & CO COM 46625H100 16355 107434 SH SOLE 1 107434 0 0 JPMORGAN CHASE & CO COM 46625H100 681 4474 SH OTR 2 4474 0 0 KIMBERLY-CLARK CORP COM 494368103 1175 8449 SH SOLE 1 8449 0 0 KINS TECHNOLOGY GROUP INC COM CL A 49714K109 570 58125 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MEDICAL PPTYS TRUST INC COM 58463J304 739 34708 SH SOLE 1 34708 0 0 MERCK & CO. INC COM 58933Y105 273 3543 SH SOLE 1 3543 0 0 MERCURY GENL CORP NEW COM 589400100 5505 90528 SH SOLE 1 90528 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 271 72975 SH OTR 3 0 0 72975 MFS INTER INCOME TR SH BEN INT 55273C107 5 1425 SH SOLE 1 1425 0 0 MFS INVT GRADE MUN TR SH BEN INT 59318B108 280 28522 SH OTR 3 0 0 28522 MFS INVT GRADE MUN TR SH BEN INT 59318B108 18 1825 SH SOLE 1 1825 0 0 MICROSOFT CORP COM 594918104 1483 6290 SH OTR 2,4 3347 0 2943 MICROSOFT CORP COM 594918104 27028 114637 SH SOLE 1 114637 0 0 MICROSOFT CORP COM 594918104 589 2500 SH Put SOLE 1 0 0 2500 MORGAN STANLEY COM NEW 617446448 856 11025 SH SOLE 1 11025 0 0 MSCI INC COM 55354G100 110 263 SH OTR 4 0 0 263 MSCI INC COM 55354G100 4898 11683 SH SOLE 1 11683 0 0 NETFLIX INC COM 64110L106 322 617 SH SOLE 1 617 0 0 NETFLIX INC COM 64110L106 251 482 SH OTR 4 0 0 482 NEUBERGER BRMAN NY MUNI FD I COM 64124K102 20 1618 SH SOLE 1 1618 0 0 NEUBERGER BRMAN NY MUNI FD I COM 64124K102 440 35752 SH OTR 3 0 0 35752 NEW GERMANY FD INC COM 644465106 352 17818 SH OTR 3 0 0 17818 NEW GERMANY FD INC COM 644465106 12 600 SH SOLE 3 0 0 600 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 281 25000 SH SOLE 1 25000 0 0 NEXTERA ENERGY INC COM 65339F101 11991 158591 SH SOLE 1 158591 0 0 NIKE INC CL B 654106103 180 1357 SH OTR 4 0 0 1357 NIKE INC CL B 654106103 3223 24250 SH SOLE 1 24250 0 0 NORTHROP GRUMMAN CORP COM 666807102 1753 5415 SH SOLE 1 5415 0 0 NOVARTIS AG SPONSORED ADR 66987V109 51 601 SH SOLE 1 601 0 0 NOVARTIS AG SPONSORED ADR 66987V109 343 4010 SH OTR 2 4010 0 0 NUCOR CORP COM 670346105 1225 15265 SH SOLE 1 15265 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1537 103744 SH OTR 3 0 0 103744 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1132 76408 SH SOLE 1,3 75308 0 1100 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 344 25199 SH SOLE 1,3 20799 0 4400 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 4369 320058 SH OTR 3 0 0 320058 NUVEEN NEW YORK QLT MUN INC COM 67066X107 623 43750 SH OTR 3 0 0 43750 NUVEEN QUALITY MUNCP INCOME COM 67066V101 2241 147999 SH OTR 3 0 0 147999 NUVEEN QUALITY MUNCP INCOME COM 67066V101 1154 76230 SH SOLE 1,3 74616 0 1614 NVIDIA CORPORATION COM 67066G104 709 1328 SH SOLE 1 1328 0 0 OLYMPIC STEEL INC COM 68162K106 295 10000 SH SOLE 1 10000 0 0 ORACLE CORP COM 68389X105 8242 117457 SH SOLE 1 117457 0 0 ORACLE CORP COM 68389X105 124 1765 SH OTR 2 1765 0 0 PAYCHEX INC COM 704326107 1918 19572 SH SOLE 1 19572 0 0 PAYPAL HLDGS INC COM 70450Y103 2774 11425 SH SOLE 1 11425 0 0 PAYPAL HLDGS INC COM 70450Y103 299 1233 SH OTR 4 0 0 1233 PEPSICO INC COM 713448108 1140 8057 SH SOLE 1 8057 0 0 PEPSICO INC COM 713448108 323 2280 SH OTR 2 2280 0 0 PFIZER INC COM 717081103 284 7851 SH SOLE 1 7851 0 0 PFIZER INC COM 717081103 385 10630 SH OTR 2 10630 0 0 PHILIP MORRIS INTL INC COM 718172109 1418 15982 SH SOLE 1 15982 0 0 PHILIP MORRIS INTL INC COM 718172109 149 1680 SH OTR 2 1680 0 0 PHILLIPS 66 COM 718546104 115 1410 SH OTR 2 1410 0 0 PHILLIPS 66 COM 718546104 147 1800 SH SOLE 1 1800 0 0 PIONEER DIVERSIFIED HIGH INC COM 723653101 201 13725 SH OTR 3 0 0 13725 PIONEER NAT RES CO COM 723787107 3830 24115 SH SOLE 1 24115 0 0 PPG INDS INC COM 693506107 307 2040 SH OTR 2 2040 0 0 PPG INDS INC COM 693506107 51 336 SH SOLE 1 336 0 0 PROCTER AND GAMBLE CO COM 742718109 3187 23531 SH SOLE 1 23531 0 0 PROCTER AND GAMBLE CO COM 742718109 358 2640 SH OTR 2 2640 0 0 PROGRESSIVE CORP COM 743315103 3621 37870 SH SOLE 1 37870 0 0 PROLOGIS INC. COM 74340W103 3104 29279 SH SOLE 1 29279 0 0 PROPERTY SOLUTIONS ACQUISITI UNIT 03/01/2026 74350A207 1137 115645 SH OTR 3 0 0 115645 PROVIDENT BANCORP INC COM NEW 74383L105 252 17495 SH SOLE 1 17495 0 0 PTK ACQUISITION CORP COM 69375F108 436 44300 SH OTR 3 0 0 44300 PUBLIC STORAGE COM 74460D109 740 3000 SH SOLE 1 3000 0 0 QUALCOMM INC COM 747525103 1801 13582 SH SOLE 1 13582 0 0 QUANTUM FINTECH ACQUISTIN CO *W EXP 01/30/202 74767A113 4 12850 SH OTR 3 0 0 12850 QUANTUM FINTECH ACQUISTIN CO COMMON STOCK 74767A105 248 25700 SH OTR 3 0 0 25700 RAYTHEON TECHNOLOGIES CORP COM 75513E101 430 5565 SH SOLE 1 5565 0 0 REPUBLIC SVCS INC COM 760759100 416 4191 SH SOLE 1 4191 0 0 ROMAN DBDR TECH ACQUISITION COM CL A 77584N101 28 2800 SH SOLE 1,3 800 0 2000 ROMAN DBDR TECH ACQUISITION COM CL A 77584N101 1980 198950 SH OTR 3 0 0 198950 ROYCE MICRO-CAP TR INC COM 780915104 367 32470 SH OTR 3 0 0 32470 S&P GLOBAL INC COM 78409V104 1042 2954 SH SOLE 1 2954 0 0 SALESFORCE COM INC COM 79466L302 1169 5516 SH SOLE 1 5516 0 0 SALESFORCE COM INC COM 79466L302 403 1903 SH OTR 4 0 0 1903 SEAPORT GLOBAL ACQUISITN COR COM CL A 812227106 913 93050 SH OTR 3 0 0 93050 SEAPORT GLOBAL ACQUISITN COR COM CL A 812227106 9 950 SH SOLE 1 950 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 494 7230 SH SOLE 1 7230 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 443 3797 SH SOLE 1 3797 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 4203 123448 SH SOLE 1 123448 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1413 14354 SH SOLE 1 14354 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 5346 40251 SH SOLE 1 40251 0 0 SERVICENOW INC COM 81762P102 368 736 SH SOLE 1 736 0 0 SERVICENOW INC COM 81762P102 338 675 SH OTR 4 0 0 675 SHERWIN WILLIAMS CO COM 824348106 3962 5369 SH SOLE 1 5369 0 0 SHOPIFY INC CL A 82509L107 841 760 SH SOLE 1 760 0 0 SHOPIFY INC CL A 82509L107 221 200 SH Put SOLE 1 0 0 200 SOUTHERN CO COM 842587107 270 4351 SH SOLE 1 4351 0 0 SOUTHERN CO COM 842587107 37 600 SH OTR 2 600 0 0 SOUTHWEST AIRLS CO COM 844741108 224 3664 SH SOLE 1 3664 0 0 SPARTACUS ACQUISITION CORP CL A 84677L109 703 71395 SH OTR 3 0 0 71395 SPDR GOLD TR GOLD SHS 78463V107 4393 27464 SH SOLE 1 27464 0 0 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 1584 33552 SH SOLE 1 33552 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 282 6436 SH SOLE 1 6436 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4359 10999 SH SOLE 1 10999 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4241 10700 SH Put SOLE 1 0 0 10700 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 17513 36789 SH SOLE 1 36789 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 4718 172641 SH SOLE 1 172641 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 412 8316 SH SOLE 1,3 6516 0 1800 SPDR SER TR NUVEEN BLMBRG SR 78468R739 2659 53650 SH OTR 3 0 0 53650 SPDR SER TR NUVEEN BRC MUNIC 78468R721 280 5419 SH SOLE 1 5419 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 642 17724 SH SOLE 1 17724 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 1254 26906 SH SOLE 1 26906 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 330 7816 SH SOLE 1 7816 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 391 12500 SH SOLE 1 12500 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 448 7944 SH SOLE 1 7944 0 0 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 1408 30773 SH SOLE 1 30773 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 553 11463 SH SOLE 1 11463 0 0 SSGA ACTIVE TR SPDR DBLELN SHRT 78470P200 542 10917 SH SOLE 1 10917 0 0 STARBUCKS CORP COM 855244109 5161 47235 SH SOLE 1 47235 0 0 STARBUCKS CORP COM 855244109 440 4028 SH OTR 2,4 1385 0 2643 STRYKER CORPORATION COM 863667101 742 3047 SH SOLE 1 3047 0 0 SVB FINANCIAL GROUP COM 78486Q101 379 767 SH SOLE 1 767 0 0 SYSCO CORP COM 871829107 1423 18077 SH SOLE 1 18077 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 2857 16169 SH SOLE 1 16169 0 0 TARGET CORP COM 87612E106 2453 12382 SH SOLE 1 12382 0 0 TASTEMAKER ACQUISITION CORP COM CL A 876545104 458 47000 SH OTR 3 0 0 47000 TE CONNECTIVITY LTD REG SHS H84989104 437 3385 SH SOLE 1 3385 0 0 TESLA INC COM 88160R101 1418 2123 SH SOLE 1 2123 0 0 TEXAS INSTRS INC COM 882508104 427 2259 SH SOLE 1 2259 0 0 THE TRADE DESK INC COM CL A 88339J105 205 315 SH SOLE 1 315 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 7297 15990 SH SOLE 1 15990 0 0 TJX COS INC NEW COM 872540109 245 3705 SH OTR 2 3705 0 0 TJX COS INC NEW COM 872540109 33 504 SH SOLE 1 504 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 515 3110 SH SOLE 1 3110 0 0 TRANSDIGM GROUP INC COM 893641100 206 350 SH SOLE 1 350 0 0 TWELVE SEAS INVESTMENT CO II UNIT 99/99/9999 90118T205 643 65300 SH OTR 3 0 0 65300 TWELVE SEAS INVESTMENT CO II UNIT 99/99/9999 90118T205 6 600 SH SOLE 3 0 0 600 TWILIO INC CL A 90138F102 365 1071 SH SOLE 1 1071 0 0 TWILIO INC CL A 90138F102 68 200 SH Put SOLE 1 0 0 200 TWITTER INC COM 90184L102 2350 36937 SH SOLE 1 36937 0 0 UBER TECHNOLOGIES INC COM 90353T100 1669 30610 SH SOLE 1 30610 0 0 ULTA BEAUTY INC COM 90384S303 5243 16959 SH SOLE 1 16959 0 0 UNITED PARCEL SERVICE INC CL B 911312106 300 1765 SH SOLE 1 1765 0 0 UNITED PARCEL SERVICE INC CL B 911312106 454 2670 SH OTR 2 2670 0 0 UNITED RENTALS INC COM 911363109 2905 8822 SH SOLE 1 8822 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1379 3706 SH SOLE 1 3706 0 0 UNITEDHEALTH GROUP INC COM 91324P102 282 758 SH OTR 2,4 50 0 708 US BANCORP DEL COM NEW 902973304 108 1951 SH SOLE 1 1951 0 0 US BANCORP DEL COM NEW 902973304 350 6335 SH OTR 2 6335 0 0 VALERO ENERGY CORP COM 91913Y100 2308 32235 SH SOLE 1 32235 0 0 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 1276 20530 SH SOLE 1 20530 0 0 VANECK VECTORS ETF TR SHRT HGH YLD MUN 92189F387 653 26111 SH SOLE 1 26111 0 0 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 1063 10830 SH OTR 3 0 0 10830 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 261 3176 SH SOLE 1 3176 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 314 3825 SH OTR 3 0 0 3825 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 692 8165 SH OTR 3 0 0 8165 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 13 157 SH SOLE 1 157 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 3906 15195 SH SOLE 1,3 15155 0 40 VANGUARD INDEX FDS GROWTH ETF 922908736 1020 3970 SH OTR 3 0 0 3970 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 535 5822 SH SOLE 1 5822 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 410 1125 SH SOLE 1 1125 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2226 6110 SH OTR 3 0 0 6110 VANGUARD INDEX FDS SMALL CP ETF 922908751 1356 6333 SH OTR 3 0 0 6333 VANGUARD INDEX FDS SMALL CP ETF 922908751 1808 8446 SH SOLE 1 8446 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1549 7493 SH OTR 3 0 0 7493 VANGUARD INDEX FDS TOTAL STK MKT 922908769 775 3751 SH SOLE 1,3 3471 0 280 VANGUARD INDEX FDS VALUE ETF 922908744 894 6801 SH SOLE 1 6801 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1776 29269 SH SOLE 1,3 28764 0 505 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2324 38299 SH OTR 3 0 0 38299 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1574 30241 SH OTR 3 0 0 30241 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1356 26046 SH SOLE 1 26046 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 868 13785 SH OTR 3 0 0 13785 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 853 10443 SH OTR 3 0 0 10443 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1021 10976 SH SOLE 1 10976 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 731 11890 SH SOLE 1 11890 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 6997 84815 SH SOLE 1 84815 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 442 9005 SH OTR 3 0 0 9005 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 410 8351 SH SOLE 1 8351 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 3671 36312 SH SOLE 1 36312 0 0 VANGUARD WORLD FD ESG INTL STK ETF 921910725 6 100 SH SOLE 3 0 0 100 VANGUARD WORLD FD ESG INTL STK ETF 921910725 324 5280 SH OTR 3 0 0 5280 VANGUARD WORLD FD ESG US STK ETF 921910733 234 3170 SH OTR 3 0 0 3170 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 248 1393 SH SOLE 1 1393 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 325 1419 SH SOLE 1 1419 0 0 VENTOUX CCM ACQUISITION CORP COM 92280L101 490 50000 SH OTR 3 0 0 50000 VERIZON COMMUNICATIONS INC COM 92343V104 2926 50320 SH SOLE 1 50320 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 426 7330 SH OTR 2 7330 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 430 2000 SH SOLE 1 2000 0 0 VIRTUS ALLIANZGI ARTIFICIAL COM 92838Y100 14 535 SH SOLE 3 0 0 535 VIRTUS ALLIANZGI ARTIFICIAL COM 92838Y100 532 20020 SH OTR 3 0 0 20020 VIRTUS ALLIANZGI EQUITY & CO COM 92841M101 591 21095 SH OTR 3 0 0 21095 VIRTUS ALLIANZGI EQUITY & CO COM 92841M101 5 180 SH SOLE 3 0 0 180 VISA INC COM CL A 92826C839 15599 73673 SH SOLE 1 73673 0 0 VISA INC COM CL A 92826C839 383 1808 SH OTR 4 0 0 1808 VISTAS MEDIA ACQUISITION CO COM CL A 92840T107 966 97525 SH OTR 3 0 0 97525 VISTAS MEDIA ACQUISITION CO COM CL A 92840T107 30 3000 SH SOLE 3 0 0 3000 VIVEON HEALTH ACQUISITION CO COMMON STOCK 92853V106 400 40700 SH OTR 3 0 0 40700 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 522 91620 SH OTR 3 0 0 91620 WALMART INC COM 931142103 6540 48152 SH SOLE 1 48152 0 0 WESTERN ASSET / CLAYMORE INF COM SH BEN INT 95766Q106 14 1099 SH SOLE 1 1099 0 0 WESTERN ASSET / CLAYMORE INF COM SH BEN INT 95766Q106 850 66430 SH OTR 3 0 0 66430 WHIRLPOOL CORP COM 963320106 3825 17360 SH SOLE 1 17360 0 0 WISDOMTREE TR US SMALLCAP DIVD 97717W604 887 28478 SH SOLE 1 28478 0 0 WYNN RESORTS LTD COM 983134107 3346 26692 SH SOLE 1 26692 0 0 ZOETIS INC CL A 98978V103 7370 46798 SH SOLE 1 46798 0 0 ZOETIS INC CL A 98978V103 345 2192 SH OTR 4 0 0 2192 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 275 857 SH SOLE 1 857 0 0