Chief Compliance Officer

0001665633-18-000001.txt : 20180206 0001665633-18-000001.hdr.sgml : 20180206 20180206122756 ACCESSION NUMBER: 0001665633-18-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180206 DATE AS OF CHANGE: 20180206 EFFECTIVENESS DATE: 20180206 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: 18576863 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 12-31-2017 12-31-2017 Alpha Omega Wealth Management LLC

7202 GLEN FOREST DRIVE SUITE 300 RICHMOND VA 23226

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COM 98850P109 14 340 SH SOLE 340 0 0 ALERIAN MLP ETF ETF 00162Q866 165 15250 SH SOLE 15250 0 0 BLACKROCK ENHANCED EQUIT ETF 09251A104 121 13056 SH SOLE 13056 0 0 BLACKROCK GLOBAL OPPORTUNITIES ETF 092501105 101 8035 SH SOLE 8035 0 0 BLACKROCK RESOURCES & COMMODIT ETF 09257A108 23 2354 SH SOLE 2354 0 0 CALAMOS GLOBAL DYNAMIC INCOME ETF 12811L107 6 708 SH SOLE 708 0 0 CHARLES SCHWAB US MC ETF ETF 808524508 1919 36020 SH SOLE 36020 0 0 CURRENCYSHARES SWISS FRANC ETF ETF 23129V109 97 1000 SH SOLE 1000 0 0 ETF MANAGERS TR PUREFUNDS ISE ETF 26924G201 8 250 SH SOLE 250 0 0 FIRST TRUST DORSEY WRIGHT FOCU ETF 33738R605 17 613 SH SOLE 613 0 0 GUGGENHEIM MSCI GLOBAL TIMBER ETF 18383Q879 24 767 SH SOLE 767 0 0 GUGGENHEIM S&P 500 EQUAL WT ET ETF 78355W106 1991 19710 SH SOLE 19710 0 0 GUGGENHEIM S&P 500 HEALTH CARE ETF 78355W841 100 555 SH SOLE 555 0 0 GUGGENHEIM SOLAR ETF ETF 18383Q739 12 465 SH SOLE 465 0 0 IQ AUSTRALIA SMALL CAP ETF ETF 45409B826 127 6500 SH SOLE 6500 0 0 IQ CANADA SMALL CAP ETF ETF 45409B867 19 1000 SH SOLE 1000 0 0 ISHARES COHEN & STEERS REIT ET ETF 464287564 49 479 SH SOLE 479 0 0 ISHARES CORE HIGH DIVIDEND ETF ETF 46429B663 1231 13658 SH SOLE 13658 0 0 ISHARES CORE S&P MID CAP ETF ETF 464287507 33 175 SH SOLE 175 0 0 ISHARES CORE S&P SMALL CAP ETF ETF 464287804 993 12927 SH SOLE 12927 0 0 ISHARES EDGE MSCI MIN VOL EMER ETF 464286533 6 100 SH SOLE 100 0 0 ISHARES INDIA 50 ETF ETF 464289529 5 141 SH SOLE 141 0 0 ISHARES LATIN AMERICAN 40 ETF 464287390 417 12200 SH SOLE 12200 0 0 ISHARES MSCI AUSTRALIA ETF ETF 464286103 5 201 SH SOLE 201 0 0 ISHARES MSCI CHILE CAPPED ETF ETF 464286640 3 54 SH SOLE 54 0 0 ISHARES MSCI EAFE ETF ETF 464287465 235 3339 SH SOLE 3339 0 0 ISHARES MSCI EAFE SMALL CAP ET ETF 464288273 245 3799 SH SOLE 3799 0 0 ISHARES MSCI EMERGING MARKETS ETF 464287234 296 6291 SH SOLE 6291 0 0 ISHARES MSCI INDONESIA ETF ETF 46429B309 3 93 SH SOLE 93 0 0 ISHARES MSCI MEXICO CAPPED ETF ETF 464286822 4 81 SH SOLE 81 0 0 ISHARES MSCI PACIFIC ex-JAPAN ETF 464286665 379 7920 SH SOLE 7920 0 0 ISHARES MSCI SOUTH AFRICA ETF ETF 464286780 3 37 SH SOLE 37 0 0 ISHARES MSCI SOUTH KOREA CAP E ETF 464286772 2 31 SH SOLE 31 0 0 ISHARES MSCI SWITZERLAND CAPPE ETF 464286749 84 2350 SH SOLE 2350 0 0 ISHARES MSCI TAIWAN ETF ETF 464286731 3 80 SH SOLE 80 0 0 ISHARES NORTH AMERICAN NATURAL ETF 464287374 10 271 SH SOLE 271 0 0 ISHARES RUSSELL 1000 GROWTH ET ETF 464287614 167 1240 SH SOLE 1240 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 183 1200 SH SOLE 1200 0 0 ISHARES RUSSELL MID CAP ETF ETF 464287499 330 1585 SH SOLE 1585 0 0 ISHARES RUSSELL MID CAP GROWTH ETF 464287481 48 400 SH SOLE 400 0 0 ISHARES RUSSELL MID CAP VALUE ETF 464287473 152 1703 SH SOLE 1703 0 0 ISHARES RUSSELL TOP 200 GROWTH ETF 464289438 17 230 SH SOLE 230 0 0 ISHARES S&P MIDCAP 400 GROWTH ETF 464287606 173 800 SH SOLE 800 0 0 ISHARES S&P SMALLCAP 600 GROWT ETF 464287887 7 40 SH SOLE 40 0 0 ISHARES SELECT DIVIDEND ETF ETF 464287168 258 2621 SH SOLE 2621 0 0 ISHARES SILVER TRUST ETF ETF 46428Q109 25 1550 SH SOLE 1550 0 0 ISHARES TR NASDAQ BIO FD NASDA ETF 464287556 64 600 SH SOLE 600 0 0 LIBERTY ALL-STAR EQUITY FUND ETF 530158104 7 1090 SH SOLE 1090 0 0 NUVEEN REAL ASSET INCOME & GRO ETF 67074Y105 6 333 SH SOLE 333 0 0 POWERSHARES DWA MOMENTUM PORTF ETF 73935X153 52 1009 SH SOLE 1009 0 0 POWERSHARES GLOBAL WATER ETF ETF 73936T623 31 1185 SH SOLE 1185 0 0 POWERSHARES STSE RAFI US 1000 ETF 73935X583 120 1060 SH SOLE 1060 0 0 POWERSHARES WATER RESOURCES ET ETF 73935X575 27 900 SH SOLE 900 0 0 SCHWAB EMERGING MARKETS EQUITY ETF 808524706 1035 37040 SH SOLE 37040 0 0 SCHWAB INTERNATIONAL EQUITY ET ETF 808524805 804 23611 SH SOLE 23611 0 0 SCHWAB U.S. LARGE CAP GROWTH E ETF 808524300 5 75 SH SOLE 75 0 0 SCHWAB US BROAD MARKET ETF ETF 808524102 4217 65352 SH SOLE 65352 0 0 SCHWAB US DIVIDEND EQUITY ETF ETF 808524797 2784 54403 SH SOLE 54403 0 0 SCHWAB US REIT ETF ETF 808524847 637 15299 SH SOLE 15299 0 0 SCHWAB US SMALL CAP ETF ETF 808524607 1184 16981 SH SOLE 16981 0 0 SPDR DOW JONES INDUSTRIAL AVRG ETF 78467X109 39 158 SH SOLE 158 0 0 SPDR ENERGY SELECT ETF ETF 81369Y506 171 2370 SH SOLE 2370 0 0 SPDR S&P 500 ETF ETF 78462F103 249 933 SH SOLE 933 0 0 SPDR S&P 500 FOSSIL FUEL RESER ETF 78468R796 107 1650 SH SOLE 1650 0 0 SPDR S&P AEROSPACE & DEFENSE E ETF 78464A631 5 65 SH SOLE 65 0 0 SPDR S&P MIDCAP 400 ETF ETF 78467Y107 611 1768 SH SOLE 1768 0 0 TELKA HEALTHCARE ETF ETF 404052102 29 1285 SH SOLE 1285 0 0 VANECK VECTORS GOLD MINERS ETF ETF 57060U100 87 3750 SH SOLE 3750 0 0 VANGUARD CAP VALUE ETF ETF 922908611 9 70 SH SOLE 70 0 0 VANGUARD DIVIDEND APPREC ETF ETF 921908844 319 3123 SH SOLE 3123 0 0 VANGUARD EXTENDED MARKET INDEX ETF 922908652 485 4342 SH SOLE 4342 0 0 VANGUARD FTSE ALL-WORLD EX-US ETF 922042775 549 10031 SH SOLE 10031 0 0 VANGUARD GROWTH ETF ETF 922908736 1243 8834 SH SOLE 8834 0 0 VANGUARD HIGH DIVIDEND ETF ETF 921946406 16 190 SH SOLE 190 0 0 VANGUARD LARGE-CAP ETF ETF 922908637 13 103 SH SOLE 103 0 0 VANGUARD MID-CAP GROWTH ETF ETF 922908538 70 549 SH SOLE 549 0 0 VANGUARD MID-CAP VALUE ETF ETF 922908512 6 54 SH SOLE 54 0 0 VANGUARD MSCI EMERGING MARKETS ETF 922042858 749 16305 SH SOLE 16305 0 0 VANGUARD SMALL-CAP ETF ETF 922908751 98 660 SH SOLE 660 0 0 VANGUARD TOTAL STOCK MARKET ET ETF 922908769 3205 23351 SH SOLE 23351 0 0 VANGUARD VALUE ETF ETF 922908744 10 90 SH SOLE 90 0 0 WISDOMTREE GLOBAL EX-US REAL E ETF 97717W331 13 400 SH SOLE 400 0 0 WISDOMTREE INTERNATIONAL SMALL ETF 97717W760 123 1602 SH SOLE 1602 0 0 WISDOMTREE TOTAL DIVIDEND ETF ETF 97717W109 30 320 SH SOLE 320 0 0 WSDMTREE EMRG MKTS SMALLCAP DV ETF 97717W281 72 1390 SH SOLE 1390 0 0 MCKESSON CORP ETF 58155QAF0 25 25000 PRN SOLE 25000 0 0 BLACKROCK CORE BOND TRUST ETF 09249E101 22 1590 SH SOLE 1590 0 0 BLACKROCK FLOATING RATE INC ET ETF 09255X100 165 12000 SH SOLE 12000 0 0 BLACKROCK GLOBAL FLOATING RATE ETF 091941104 50 3600 SH SOLE 3600 0 0 BLACKROCK MUNICIPAL 2020 ETF 09249X109 175 11700 SH SOLE 11700 0 0 BLACKROCK MUNIVEST ETF ETF 09253T101 14 932 SH SOLE 932 0 0 COHEN & STEERS INCOME BUILDER ETF 19248M103 5 535 SH SOLE 535 0 0 DREYFUS STRATEGIC MUNICPAL BON ETF 26202F107 17 2025 SH SOLE 2025 0 0 FRANKLIN LTD DUR INCOME ETF 35472t101 24 2000 SH SOLE 2000 0 0 ISHARES 1-3 YEAR CREDIT BOND E ETF 464288646 2948 28204 SH SOLE 28204 0 0 ISHARES 1-3 YEAR TREASRY BOND ETF 464287457 8 93 SH SOLE 93 0 0 ISHARES BARCLAYS TIPS BOND FUN ETF 464287176 287 2513 SH SOLE 2513 0 0 ISHARES CORE US AGGREGATE BOND ETF 464287226 175 1599 SH SOLE 1599 0 0 ISHARES IBOXX INVESTMENT GRADE ETF 464287242 52 424 SH SOLE 424 0 0 ISHARES INTERNATIONAL PREF STO ETF 46429B135 13 675 SH SOLE 675 0 0 ISHARES NATIONAL MUNI BOND ETF ETF 464288414 22 200 SH SOLE 200 0 0 ISHARES U.S. PREFERRED STOCK E ETF 464288687 218 5736 SH SOLE 5736 0 0 IVY HIGH INCOME OPPORTUNITIES ETF 465893105 3 218 SH SOLE 218 0 0 JOHN HANCOCK PREFERRED INCOME ETF 41013X106 7 318 SH SOLE 318 0 0 NUVEEN AMT FREE QUALITY ETF 670657105 14 1000 SH SOLE 1000 0 0 NUVEEN ENHANCED MUNI VALUE FUN ETF 67074M101 2 120 SH SOLE 120 0 0 NUVEEN PREFERRED AND INC ETF 67075a106 7 284 SH SOLE 284 0 0 PIMCO CORP & INCOME ETF ETF 72200U100 96 5600 SH SOLE 5600 0 0 POWERSHARES FINANCIAL PREFERRE ETF 73935X229 93 4950 SH SOLE 4950 0 0 SCHWAB SHORT-TERM U.S. TREASUR ETF 808524862 10 200 SH SOLE 200 0 0 SCHWAB U.S TIPS ETF ETF 808524870 16 280 SH SOLE 280 0 0 SCHWAB US AGGREGATE BOND ETF ETF 808524839 49 950 SH SOLE 950 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 334 4100 SH SOLE 4100 0 0 VANGUARD TOTAL INTERNATIONAL B ETF 92203J407 6 110 SH SOLE 110 0 0