0001666788-21-000004.txt : 20211110
0001666788-21-000004.hdr.sgml : 20211110
20211110120845
ACCESSION NUMBER: 0001666788-21-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211110
DATE AS OF CHANGE: 20211110
EFFECTIVENESS DATE: 20211110
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Kalos Management, Inc.
CENTRAL INDEX KEY: 0001666788
IRS NUMBER: 201642804
STATE OF INCORPORATION: GA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17377
FILM NUMBER: 211395491
BUSINESS ADDRESS:
STREET 1: 11525 PARK WOODS CIRCLE
STREET 2: SUITE 250
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
BUSINESS PHONE: 678-356-1100
MAIL ADDRESS:
STREET 1: 11525 PARK WOODS CIRCLE
STREET 2: SUITE 250
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
13F-HR
1
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0001666788
XXXXXXXX
09-30-2021
09-30-2021
Kalos Management, Inc.
11525 PARK WOODS CIRCLE
SUITE 250
ALPHARETTA
GA
30005
13F HOLDINGS REPORT
028-17377
N
JOHN DILLON
CHIEF COMPLIANCE OFFICER
678-356-1100
JOHN DILLON
ALPHARETTA
GA
11-10-2021
0
296
353587
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INFORMATION TABLE
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13FInformationTable2021Q3.xml
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COM
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COM
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ETF
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922
54731
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DFND
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54731
0
ACADIA PHARMACEUTICALS INC
COM
004225108
321
18575
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18575
0
ACTIVISION BLIZZARD INC
COM
00507V109
735
11006
SH
DFND
0
11006
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ADVANCED MICRO DEVICES INC COM
COM
007903107
4420
29480
SH
DFND
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29480
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AFLAC Inc
COM
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396
6992
SH
DFND
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6992
0
AGILE THERAPEUTICS INC COM
COM
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15
17749
SH
DFND
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17749
0
Alcoa Corporation
COM
013872106
312
6522
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6522
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COM
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COM
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COM
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COM
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COM
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ETF
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COM
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COM
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COM
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COM
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COM
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ETF
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ETF
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COM
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AVEPOINT INC
COM
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COM
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COM
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COM
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Bill.Com Holdings Inc
COM
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58298
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BIOCRYST PHARMACEUTICALS INC
COM
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318
23700
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BIONANO GENOMICS INC
COM
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Blackstone Inc
COM
09260D107
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4504
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BLUEROCK RESIDENTIAL GWT REIT COM CL A
COM
09627J102
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BOEING CO
COM
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BP P L C SPONSORED ADR
COM
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COM
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BROADCOM INC
COM
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COM
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COM
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COM
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ETF
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CANOO INC
COM
13803R102
628
74750
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DFND
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CATALYST BIOSCIENCES INC COM NEW
COM
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16710
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CATERPILLAR INC COM
COM
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CERAGON NETWORKS LTD ORD
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M22013102
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ETF
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COM
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Ciena Corp
COM
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COM
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COM
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CION INVESTMENT CORPORATION
COM
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CISCO SYSTEMS INC
COM
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CLEVELAND-CLIFFS INC
COM
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12441
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CLOUDFLARE INC
COM
18915M107
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DFND
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CLOVIS ONCOLOGY INC
COM
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DFND
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CNL HEALTHCARE PPTYS INC
COM
12612C108
332
45012
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COCA COLA COMPANY
COM
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564
10118
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DFND
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COSTAR GROUP INC
COM
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COSTCO WHOLESALE CORP-NEW
COM
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DFND
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COUCHBASE INC
COM
22207T101
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CRANE CO
COM
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DELTA AIR LINES INC DEL
COM
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DFND
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DESKTOP METAL INC COM CL A
COM
25058X105
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SH
DFND
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DICKS SPORTING GOODS
COM
253393102
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COM
25746U109
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Elanco Animal Health Inc
COM
28414H103
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EMERSON ELEC CO COM
COM
291011104
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EMQQ THE EMERGING MARKETS INTERNET AND ECOMMERCE ETF
COM
301505889
533
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ENBRIDGE INC COM
COM
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COM
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COM
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Evolve Transition Infrastructure Lp
COM
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EXXON MOBIL CORP
COM
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ETF
33738R118
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Fleetcor Technologies Inc
COM
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COM
35243J101
767
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DFND
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FRANKLIN LIBERTYQ U.S. EQUITY ETF
COM
35473P801
213
5071
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FS ENERGY & POWER FUND
COM
30264D109
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FS KKR CAP CORP COM
COM
302635206
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DFND
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FS KKR Capital Corp II
COM
35952V303
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DFND
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13566
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GENERAL ELECTRIC COMPANY
COM
369604301
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GILEAD SCIENCES INC
COM
375558103
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GLOBAL NET LEASE INC
COM
379378201
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Global Payments Inc
COM
37940X102
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GRIFFIN CAPITAL ESSENTIAL
COM
39818P880
218
23950
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DFND
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23950
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GRIFFIN REALTY TRUST INC
COM
39818P203
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HEALTHCARE TR AMER INC CL A NEW
COM
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HEALTHCARE TRUST INC
COM
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DFND
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Highlands REIT Inc.
COM
43110A104
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100013
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HILLTOP HOLDINGS INC
COM
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HOME DEPOT INC COM
COM
437076102
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HP INC
COM
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INLAND REAL ESTATE INCOME TR
COM
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Innoviva Inc
COM
45781M101
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INTEL CORP
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INTERNATIONAL BUSINESS
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COM
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INVENTRUST PROPERTIES CORP
COM
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336
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Invesco DWA Energy Momentum
ETF
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ETF
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ETF
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ETF
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ETF
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INVESCO QQQ TRUST
ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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310
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13045
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ETF
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ETF
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14460
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ETF
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3521
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ETF
464286764
207
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ETF
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209
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4279
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ETF
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411
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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ETF
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14527
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ETF
464286525
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3970
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Jazz Pharmaceuticals PLC
COM
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COM
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COM
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99
48141
SH
DFND
0
48141
0
KBS REAL ESTATE INVT TR III
COM
48668L105
446
41424
SH
DFND
0
41424
0
KKR & CO INC
COM
48251W104
335
4250
SH
DFND
0
4250
0
Leidos Holdings Inc
COM
525327102
751
7838
SH
DFND
0
7838
0
LIBERTY ALL STAR EQUITY FUND
COM
530158104
120
14147
SH
DFND
0
14147
0
LILIUM N V
COM
N52586109
176
17650
SH
DFND
0
17650
0
LINDE PLC
COM
G5494J103
283
840
SH
DFND
0
840
0
LOCKHEED MARTIN CORP COM
COM
539830109
256
752
SH
DFND
0
752
0
LPL Finl Hldgs Inc
COM
50212V100
2074
12419
SH
DFND
0
12419
0
MainStreet Capital Corp
COM
56035L104
340
7449
SH
DFND
0
7449
0
MANULIFE FINANCIAL CORP
COM
56501R106
1243
61870
SH
DFND
0
61870
0
MARSH & MCLENNAN COMPANIES INC
COM
571748102
748
4564
SH
DFND
0
4564
0
MCDONALDS CORP
COM
580135101
546
2224
SH
DFND
0
2224
0
MDC HOLDINGS INC-DEL
COM
552676108
1163
22795
SH
DFND
0
22795
0
META PLATFORMS INC
COM
30303M102
3304
9768
SH
DFND
0
9768
0
Mettler-Toledo International Inc
COM
592688105
308
200
SH
DFND
0
200
0
MICROSOFT CORP
COM
594918104
3116
9298
SH
DFND
0
9298
0
Moderna Inc Com
COM
60770K107
203
859
SH
DFND
0
859
0
Molson Coors Beverage Company Class B
COM
60871R209
314
6827
SH
DFND
0
6827
0
MULTIPLAN CORPORATION
COM
62548M100
67
12650
SH
DFND
0
12650
0
Nano Dimension Ltd Adr
COM
63008G203
107
18212
SH
DFND
0
18212
0
NATIONAL CINEMEDIA INC
COM
635309107
2900
745568
SH
DFND
0
745568
0
NATIONAL HEALTH INVS INC COM
COM
63633D104
262
4824
SH
DFND
0
4824
0
NAVIENT CORPORATION
COM
63938C108
2199
108262
SH
DFND
0
108262
0
NETFLIX INC COM
COM
64110L106
325
501
SH
DFND
0
501
0
NIKE INC
COM
654106103
345
2055
SH
DFND
0
2055
0
NORTHSTAR HEALTHCARE INCOME
COM
66705T105
333
85702
SH
DFND
0
85702
0
NORWEGIAN CRUISE LINE
COM
G66721104
1316
46635
SH
DFND
0
46635
0
Nucor Corp
COM
670346105
362
3165
SH
DFND
0
3165
0
NVIDIA CORP
COM
67066G104
873
2860
SH
DFND
0
2860
0
O Reilly Automotive Inc
COM
67103H107
1360
2142
SH
DFND
0
2142
0
ONEOK INC
COM
682680103
576
9135
SH
DFND
0
9135
0
ORIGIN MATERIALS INC
COM
68622D106
341
47963
SH
DFND
0
47963
0
OWL ROCK CAPITAL CORPORATION COM
COM
69121K104
469
32235
SH
DFND
0
32235
0
OXFORD LANE CAPITAL CORP
COM
691543102
354
43208
SH
DFND
0
43208
0
PACIFIC OAK STRATEGIC
COM
694701103
331
34209
SH
DFND
0
34209
0
Pacific Oak Strategic Opportunity REIT
COM
694701103
724
74880
SH
DFND
0
74880
0
PARATEK PHARMACEUTICALS INC COM
COM
699374302
77
15550
SH
DFND
0
15550
0
PENSKE AUTOMOTIVE GROUP INC
COM
70959W103
1999
18018
SH
DFND
0
18018
0
PEPSICO INC
COM
713448108
294
1880
SH
DFND
0
1880
0
PFIZER INC COM
COM
717081103
782
16448
SH
DFND
0
16448
0
PHILIP MORRIS INTERNATIONAL
COM
718172109
212
2277
SH
DFND
0
2277
0
PHILLIPS EDISON & CO INC
COM
71844V300
8045
246333
SH
DFND
0
246333
0
PHILLIPS EDISON & CO INC CL B
COM
71844V300
18165
557000
SH
DFND
0
557000
0
Pinnacle Financial Partners Inc
COM
72346Q104
329
3339
SH
DFND
0
3339
0
PIONEER MUNICIPAL HIGH INCOME
COM
723762100
188
15700
SH
DFND
0
15700
0
PLUG POWER INC
COM
72919P202
727
21303
SH
DFND
0
21303
0
PROCTER & GAMBLE CO
COM
742718109
332
2312
SH
DFND
0
2312
0
PROSHARES S&P 500 DIVIDEND
COM
74348A467
851
8914
SH
DFND
0
8914
0
Qorvo Inc
COM
74736K101
1577
9904
SH
DFND
0
9904
0
QUALCOMM INC
COM
747525103
815
5014
SH
DFND
0
5014
0
RAYTHEON TECHNOLOGIES
COM
75513E101
286
3180
SH
DFND
0
3180
0
REALTY INCOME CORP
COM
756109104
764
10730
SH
DFND
0
10730
0
Resource REIT Inc
COM
76123W101
478
52808
SH
DFND
0
52808
0
Restaurant Brands International Inc
COM
76131D103
980
16557
SH
DFND
0
16557
0
S&P Global Inc
COM
78409V104
1909
4135
SH
DFND
0
4135
0
SABRA HEALTH CARE REIT INC
COM
78573L106
1573
107105
SH
DFND
0
107105
0
SACHEM CAPITAL CORP
COM
78590A109
140
24236
SH
DFND
0
24236
0
Schwab Emerging Markets Equity ETF
ETF
808524706
503
16127
SH
DFND
0
16127
0
SCHWAB STRATEGIC TR
ETF
808524102
10546
93187
SH
DFND
0
93187
0
SCHWAB US DIVIDEND EQUITY ETF
ETF
808524797
1703
21673
SH
DFND
0
21673
0
SCHWAB US LARGE CAP VALUE ETF
ETF
808524300
916
12701
SH
DFND
0
12701
0
Schwab US Large Cap ETF
ETF
808524201
7170
63306
SH
DFND
0
63306
0
Schwab US Large Cap Growth
ETF
808524300
1715
10425
SH
DFND
0
10425
0
SELECT SECTOR SPDR TRUST
ETF
81369Y605
1116
28049
SH
DFND
0
28049
0
SELECT SECTOR SPDR TRUST
ETF
81369Y860
832
17272
SH
DFND
0
17272
0
SELECT SECTOR SPDR TRUST
ETF
81369Y209
204
1534
SH
DFND
0
1534
0
SHERWIN WILLIAMS CO
COM
824348106
351
1095
SH
DFND
0
1095
0
SILA REALTY TRUST INC
COM
146280102
597
72855
SH
DFND
0
72855
0
SMARTSTOP SELF STORAGE REIT
COM
83192D105
1987
131772
SH
DFND
0
131772
0
SOUTHERN CO
COM
842587107
292
4672
SH
DFND
0
4672
0
SOUTHWEST AIRLINES CO
COM
844741108
688
13555
SH
DFND
0
13555
0
SPDR Bloomberg Barclays Convertible Securities
ETF
78464A359
1162
13018
SH
DFND
0
13018
0
SPDR GOLD TR
ETF
78463V107
546
3226
SH
DFND
0
3226
0
SPDR Index Shs S&P China
ETF
78463X400
544
4890
SH
DFND
0
4890
0
SPDR MSCI USA STRATEGICFACTORS ETF
ETF
78468R812
318
2489
SH
DFND
0
2489
0
SPDR Portfolio S&P 500 ETF
ETF
78464A854
958
17403
SH
DFND
0
17403
0
SPDR S&P 500 ETF
ETF
78462F103
7476
15993
SH
DFND
0
15993
0
SPDR S&P 500 VALUE ETF IV
ETF
78464A508
456
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SH
DFND
0
10991
0
SPDR S&P Emerging Markets Small Cap
ETF
78463X756
891
14706
SH
DFND
0
14706
0
SPDR SER TR
ETF
78464A300
205
2287
SH
DFND
0
2287
0
SPDR SER TR
ETF
78464A870
364
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SH
DFND
0
2797
0
SPDR SERIES TRUST
ETF
78468R622
491
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SH
DFND
0
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0
SPIRE INC
COM
84857L101
354
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SH
DFND
0
5779
0
SPROTT PHYSICAL GOLD & SILVER TR UNIT
COM
85208R101
399
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SH
DFND
0
23322
0
SSGA ACTIVE TRUST
COM
78467V608
475
10351
SH
DFND
0
10351
0
STRYKER CORP
COM
863667101
275
1000
SH
DFND
0
1000
0
TEGNA INC
COM
87901J105
1950
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SH
DFND
0
93237
0
TESLA INC
COM
88160R101
620
557
SH
DFND
0
557
0
TEXAS INSTRUMENTS INCORPORATED
COM
882508104
226
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DFND
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TRITON INTL LTD F
COM
G9078F107
2090
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SH
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UNION PACIFIC CORP
COM
907818108
219
956
SH
DFND
0
956
0
UNITEDHEALTH GROUP INC
COM
91324P102
429
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SH
DFND
0
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0
USA COMPRESSION PARTNERS LP
COM
90290N109
411
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SH
DFND
0
25571
0
UTILITIES SELECT SECTOR SPDR FUND
COM
81369Y886
396
6001
SH
DFND
0
6001
0
UTS SEVEN OAKS ACQUISITION
COM
81787X205
123
11900
SH
DFND
0
11900
0
VALE S A
COM
91912E204
683
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SH
DFND
0
55863
0
VANECK BDC INCOME ETF
ETF
92189F411
406
22960
SH
DFND
0
22960
0
VANECK MORNINGSTAR WIDE MOAT ETF
ETF
92189F643
1155
14841
SH
DFND
0
14841
0
VanEck Russia
ETF
92189F403
561
17356
SH
DFND
0
17356
0
VANGUARD FTSE DEVELOPED
ETF
921943858
1487
28164
SH
DFND
0
28164
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
271
5297
SH
DFND
0
5297
0
Vanguard Growth
ETF
922908736
343
1102
SH
DFND
0
1102
0
VANGUARD INTERMEDIATE TERM
ETF
92206C870
1358
14416
SH
DFND
0
14416
0
VANGUARD LARGE CAP
ETF
922908637
521
2374
SH
DFND
0
2374
0
VANGUARD MID-CAP INDEX FUND
ETF
922908629
1307
5087
SH
DFND
0
5087
0
VANGUARD S&P 500 ETF
ETF
922908363
821
1908
SH
DFND
0
1908
0
Vanguard Small-Cap Value
ETF
922908611
562
3105
SH
DFND
0
3105
0
VANGUARD TOTAL BOND MARKET ETF
ETF
921937835
243
2846
SH
DFND
0
2846
0
Vanguard Total Stock Market
ETF
922908769
901
3800
SH
DFND
0
3800
0
Vanguard Value
ETF
922908744
399
2796
SH
DFND
0
2796
0
VENTAS INC
COM
92276F100
338
6473
SH
DFND
0
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0
VERASTEM INC
COM
92337C104
70
24250
SH
DFND
0
24250
0
VEREIT INC COM
COM
92339V308
215
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SH
DFND
0
4304
0
VERIZON COMMUNICATIONS INC COM
COM
92343V104
433
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DFND
0
8219
0
VIACOMCBS INC
COM
92556H206
335
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DFND
0
9350
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Visa Inc
COM
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360
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SH
DFND
0
1634
0
W P CAREY INC
COM
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476
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SH
DFND
0
6129
0
WALMART INC COM
COM
931142103
468
3182
SH
DFND
0
3182
0
WALT DISNEY CO
COM
254687106
560
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SH
DFND
0
3188
0
WASTE MGMT INC DEL COM
COM
94106L109
238
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SH
DFND
0
1582
0
Wisdomtree China Ex State Owned Enterprises
ETF
97717X719
747
13682
SH
DFND
0
13682
0
WisdomTree EmMkts ex-Stt-Ownd Entrprs
ETF
97717X578
827
21533
SH
DFND
0
21533
0
Ziff Davis Inc
COM
48123V102
2029
15433
SH
DFND
0
15433
0
ZOOM VIDEO COMMUNICATIONS INC
COM
98980L101
307
1173
SH
DFND
0
1173
0