Chief Compliance Officer

0001665633-17-000001.txt : 20170130 0001665633-17-000001.hdr.sgml : 20170130 20170130125613 ACCESSION NUMBER: 0001665633-17-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170130 DATE AS OF CHANGE: 20170130 EFFECTIVENESS DATE: 20170130 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Alpha Omega Wealth Management LLC CENTRAL INDEX KEY: 0001665633 IRS NUMBER: 264404477 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17116 FILM NUMBER: 17556408 BUSINESS ADDRESS: STREET 1: 7202 GLEN FOREST DRIVE STREET 2: SUITE 300 CITY: RICHMOND STATE: VA ZIP: 23226 BUSINESS PHONE: 8049551600 MAIL ADDRESS: STREET 1: 7202 GLEN FOREST DRIVE STREET 2: SUITE 300 CITY: RICHMOND STATE: VA ZIP: 23226 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001665633 XXXXXXXX 12-31-2016 12-31-2016 Alpha Omega Wealth Management LLC

7202 GLEN FOREST DRIVE SUITE 300 RICHMOND VA 23226

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COM 98850P109 8 300 SH SOLE 300 0 0 ZYNGA INC CLASS A COM 98986T108 1 500 SH SOLE 500 0 0 ALERIAN MLP ETF ETF 00162Q866 192 15250 SH SOLE 15250 0 0 BLACKROCK ENHANCED EQUIT ETF 09251A104 115 14078 SH SOLE 14078 0 0 BLACKROCK GLOBAL OPPORTUNITIES ETF 092501105 107 9228 SH SOLE 9228 0 0 BLACKROCK RESOURCES & COMMODIT ETF 09257A108 19 2354 SH SOLE 2354 0 0 CHARLES SCHWAB US MC ETF ETF 808524508 1636 36227 SH SOLE 36227 0 0 CURRENCYSHARES SWISS FRANC ETF ETF 23129V109 96 1025 SH SOLE 1025 0 0 ETF MANAGERS TR PUREFUNDS ISE ETF 26924G201 7 250 SH SOLE 250 0 0 GUGGENHEIM MSCI GLOBAL TIMBER ETF 18383Q879 19 767 SH SOLE 767 0 0 GUGGENHEIM S&P 500 EQUAL WT ET ETF 78355W106 1627 18779 SH SOLE 18779 0 0 GUGGENHEIM S&P 500 HEALTH CARE ETF 78355W841 77 530 SH SOLE 530 0 0 IQ AUSTRALIA SMALL CAP ETF ETF 45409B826 104 6650 SH SOLE 6650 0 0 IQ CANADA SMALL CAP ETF ETF 45409B867 17 1000 SH SOLE 1000 0 0 ISHARES COHEN & STEERS REIT ET ETF 464287564 52 526 SH SOLE 526 0 0 ISHARES CORE HIGH DIVIDEND ETF ETF 46429B663 1173 14262 SH SOLE 14262 0 0 ISHARES CORE MSCI EAFE ETF ETF 46432F842 5 100 SH SOLE 100 0 0 ISHARES CORE S&P MID CAP ETF ETF 464287507 35 212 SH SOLE 212 0 0 ISHARES CORE S&P SMALL CAP ETF ETF 464287804 1034 7517 SH SOLE 7517 0 0 ISHARES EDGE MSCI MIN VOL EMER ETF 464286533 5 100 SH SOLE 100 0 0 ISHARES INDIA 50 ETF ETF 464289529 7 256 SH SOLE 256 0 0 ISHARES LATIN AMERICAN 40 ETF 464287390 354 12825 SH SOLE 12825 0 0 ISHARES MSCI AUSTRALIA ETF ETF 464286103 7 369 SH SOLE 369 0 0 ISHARES MSCI BRAZIL CAPPED ETF ETF 464286400 3 83 SH SOLE 83 0 0 ISHARES MSCI CHILE CAPPED ETF ETF 464286640 4 102 SH SOLE 102 0 0 ISHARES MSCI EAFE ETF ETF 464287465 176 3045 SH SOLE 3045 0 0 ISHARES MSCI EAFE SMALL CAP ET ETF 464288273 177 3553 SH SOLE 3553 0 0 ISHARES MSCI EMERGING MARKETS ETF 464287234 204 5823 SH SOLE 5823 0 0 ISHARES MSCI INDONESIA ETF ETF 46429B309 4 165 SH SOLE 165 0 0 ISHARES MSCI MEXICO CAPPED ETF ETF 464286822 7 149 SH SOLE 149 0 0 ISHARES MSCI PACIFIC ex-JAPAN ETF 464286665 324 8190 SH SOLE 8190 0 0 ISHARES MSCI SOUTH AFRICA ETF ETF 464286780 4 67 SH SOLE 67 0 0 ISHARES MSCI SOUTH KOREA CAP E ETF 464286772 3 58 SH SOLE 58 0 0 ISHARES MSCI SWITZERLAND CAPPE ETF 464286749 78 2650 SH SOLE 2650 0 0 ISHARES MSCI TAIWAN ETF ETF 464286731 4 150 SH SOLE 150 0 0 ISHARES NORTH AMERICAN NATURAL ETF 464287374 10 271 SH SOLE 271 0 0 ISHARES RUSSELL 1000 GROWTH ET ETF 464287614 130 1240 SH SOLE 1240 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 162 1200 SH SOLE 1200 0 0 ISHARES RUSSELL MID CAP ETF ETF 464287499 353 1975 SH SOLE 1975 0 0 ISHARES RUSSELL MID CAP GROWTH ETF 464287481 39 400 SH SOLE 400 0 0 ISHARES RUSSELL MID CAP VALUE ETF 464287473 153 1903 SH SOLE 1903 0 0 ISHARES S&P MIDCAP 400 GROWTH ETF 464287606 146 800 SH SOLE 800 0 0 ISHARES S&P SMALLCAP 600 GROWT ETF 464287887 6 40 SH SOLE 40 0 0 ISHARES SELECT DIVIDEND ETF ETF 464287168 238 2686 SH SOLE 2686 0 0 ISHARES SILVER TRUST ETF ETF 46428Q109 23 1550 SH SOLE 1550 0 0 ISHARES TR NASDAQ BIO FD NASDA ETF 464287556 53 200 SH SOLE 200 0 0 LIBERTY ALL-STAR EQUITY FUND ETF 530158104 8 1454 SH SOLE 1454 0 0 POWERSHARES GLOBAL WATER ETF ETF 73936T623 25 1185 SH SOLE 1185 0 0 POWERSHARES STSE RAFI US 1000 ETF 73935X583 106 1060 SH SOLE 1060 0 0 POWERSHARES WATER RESOURCES ET ETF 73935X575 22 900 SH SOLE 900 0 0 SCHWAB EMERGING MARKETS EQUITY ETF 808524706 800 37088 SH SOLE 37088 0 0 SCHWAB INTERNATIONAL EQUITY ET ETF 808524805 608 21951 SH SOLE 21951 0 0 SCHWAB U.S. LARGE CAP GROWTH E ETF 808524300 4 75 SH SOLE 75 0 0 SCHWAB US BROAD MARKET ETF ETF 808524102 3538 65303 SH SOLE 65303 0 0 SCHWAB US DIVIDEND EQUITY ETF ETF 808524797 2392 54908 SH SOLE 54908 0 0 SCHWAB US REIT ETF ETF 808524847 630 15349 SH SOLE 15349 0 0 SCHWAB US SMALL CAP ETF ETF 808524607 1044 16978 SH SOLE 16978 0 0 SPDR DOW JONES INDUSTRIAL AVRG ETF 78467X109 31 158 SH SOLE 158 0 0 SPDR ENERGY SELECT ETF ETF 81369Y506 226 2995 SH SOLE 2995 0 0 SPDR S&P 500 ETF ETF 78462F103 201 898 SH SOLE 898 0 0 SPDR S&P 500 FOSSIL FUEL RESER ETF 78468R796 88 1650 SH SOLE 1650 0 0 SPDR S&P CHINA ETF ETF 78463X400 6 80 SH SOLE 80 0 0 SPDR S&P MIDCAP 400 ETF ETF 78467Y107 533 1768 SH SOLE 1768 0 0 TELKA HEALTHCARE ETF ETF 404052102 27 1285 SH SOLE 1285 0 0 VANECK VECTORS GOLD MINERS ETF ETF 57060U100 78 3750 SH SOLE 3750 0 0 VANGUARD CAP VALUE ETF ETF 922908611 8 70 SH SOLE 70 0 0 VANGUARD DIVIDEND APPREC ETF ETF 921908844 279 3275 SH SOLE 3275 0 0 VANGUARD EXTENDED MARKET INDEX ETF 922908652 494 5156 SH SOLE 5156 0 0 VANGUARD FTSE ALL-WORLD EX-US ETF 922042775 446 10093 SH SOLE 10093 0 0 VANGUARD GROWTH ETF ETF 922908736 1062 9525 SH SOLE 9525 0 0 VANGUARD HIGH DIVIDEND ETF ETF 921946406 14 190 SH SOLE 190 0 0 VANGUARD LARGE-CAP ETF ETF 922908637 2 20 SH SOLE 20 0 0 VANGUARD MID-CAP GROWTH ETF ETF 922908538 53 500 SH SOLE 500 0 0 VANGUARD MSCI EMERGING MARKETS ETF 922042858 625 17455 SH SOLE 17455 0 0 VANGUARD SMALL-CAP ETF ETF 922908751 85 660 SH SOLE 660 0 0 VANGUARD TOTAL STOCK MARKET ET ETF 922908769 2813 24397 SH SOLE 24397 0 0 VANGUARD VALUE ETF ETF 922908744 8 90 SH SOLE 90 0 0 WISDOMTREE GLOBAL EX-US REAL E ETF 97717W331 10 400 SH SOLE 400 0 0 WISDOMTREE INTERNATIONAL SMALL ETF 97717W760 102 1702 SH SOLE 1702 0 0 WISDOMTREE TOTAL DIVIDEND ETF ETF 97717W109 26 320 SH SOLE 320 0 0 WSDMTREE EMRG MKTS SMALLCAP DV ETF 97717W281 63 1611 SH SOLE 1611 0 0 BLACKROCK CORE BOND TRUST ETF 09249E101 21 1590 SH SOLE 1590 0 0 BLACKROCK FLOATING RATE INC ET ETF 09255X100 179 12400 SH SOLE 12400 0 0 BLACKROCK GLOBAL FLOATING RATE ETF 091941104 51 3600 SH SOLE 3600 0 0 BLACKROCK MUNICIPAL 2020 ETF 09249X109 178 11700 SH SOLE 11700 0 0 BLACKROCK MUNIVEST ETF ETF 09253T101 14 932 SH SOLE 932 0 0 ISHARES 1-3 YEAR CREDIT BOND E ETF 464288646 10090 96153 SH SOLE 96153 0 0 ISHARES 1-3 YEAR TREASRY BOND ETF 464287457 14 169 SH SOLE 169 0 0 ISHARES 3-7 YEAR TRERY BOND ET ETF 464288661 6 52 SH SOLE 52 0 0 ISHARES BARCLAYS TIPS BOND FUN ETF 464287176 286 2527 SH SOLE 2527 0 0 ISHARES CORE US AGGREGATE BOND ETF 464287226 181 1677 SH SOLE 1677 0 0 ISHARES IBOXX INVESTMENT GRADE ETF 464287242 50 424 SH SOLE 424 0 0 ISHARES NATIONAL MUNI BOND ETF ETF 464288414 22 200 SH SOLE 200 0 0 ISHARES SHORT TREASURY BOND ET ETF 464288679 6 58 SH SOLE 58 0 0 ISHARES U.S. PREFERRED STOCK E ETF 464288687 212 5705 SH SOLE 5705 0 0 JOHN HANCOCK PREFERRED INCOME ETF 41013X106 6 300 SH SOLE 300 0 0 NUVEEN AMT FREE QUALITY ETF 670657105 13 1000 SH SOLE 1000 0 0 NUVEEN ENHANCED MUNI VALUE FUN ETF 67074M101 2 120 SH SOLE 120 0 0 PIMCO CORP & INCOME ETF ETF 72200U100 68 4600 SH SOLE 4600 0 0 POWERSHARES FINANCIAL PREFERRE ETF 73935X229 91 5050 SH SOLE 5050 0 0 SCHWAB SHORT-TERM U.S. TREASUR ETF 808524862 10 200 SH SOLE 200 0 0 SCHWAB U.S TIPS ETF ETF 808524870 15 280 SH SOLE 280 0 0 SCHWAB US AGGREGATE BOND ETF ETF 808524839 100 1950 SH SOLE 1950 0 0 SPDR NUVEEN BARLCAYS SOHRT TER ETF 78464A425 15 304 SH SOLE 304 0 0 TEMPLETON GLOBAL INCOME ETF ETF 880198106 2 371 SH SOLE 371 0 0 VANGUARD INTERMEDIATE-TERM BON ETF 921937819 31 375 SH SOLE 375 0 0 VANGUARD SHORT-TERM BOND ETF ETF 921937827 16 200 SH SOLE 200 0 0 VANGUARD SHORT-TERM CORPORATE ETF 92206C409 13 165 SH SOLE 165 0 0 VANGUARD TOTAL BOND INDEX ETF 921937835 376 4650 SH SOLE 4650 0 0 VANGUARD TOTAL INTERNATIONAL B ETF 92203J407 6 110 SH SOLE 110 0 0