CHIEF COMPLIANCE OFFICER

0001688519-17-000002.txt : 20170814 0001688519-17-000002.hdr.sgml : 20170814 20170814130504 ACCESSION NUMBER: 0001688519-17-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170814 DATE AS OF CHANGE: 20170814 EFFECTIVENESS DATE: 20170814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Corient Capital Partners, LLC CENTRAL INDEX KEY: 0001688519 IRS NUMBER: 475163497 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17567 FILM NUMBER: 171028815 BUSINESS ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: SUITE 700 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: (949) 945-2750 MAIL ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: SUITE 700 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001688519 XXXXXXXX 06-30-2017 06-30-2017 Corient Capital Partners, LLC

500 NEWPORT CENTER DRIVE SUITE 700 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-17567 N GORDON HASSENPLUG CHIEF COMPLIANCE OFFICER 949-945-2750 GORDON HASSENPLUG NEWPORT BEACH CA 08-14-2017 14 303 652424 false 1 Aristotle 2 Bahl & Gaynor 3 Breckinridge 4 Clearbridge 5 Eagle 6 Eaton 7 Janus 8 Loomis 9 NFJ 10 Parametric 11 Spectrum 12 The London Company 13 Tortoise 14 Winslow INFORMATION TABLE 2 13FCorientQ22017.xml ACCENTURE PLC IRELAND SHS CLASS A G1151C101 341 2758 SH DFND 10 2413 345 0 AEGON N V NY REGISTRY SH 007924103 162 31651 SH SOLE 0 31651 0 0 AETNA INC NEW COM 00817Y108 278 1832 SH DFND 4, 6, 9, 10 1589 243 0 AFLAC INC COM 001055102 205 2642 SH DFND 9 2572 70 0 ALLERGAN PLC SHS G0177J108 1559 6412 SH DFND 6, 7, 10 940 213 5259 AMERIPRISE FINL INC COM 03076C106 962 7556 SH DFND 1 395 7130 31 AMERICAN TOWER CORP NEW COM 03027X100 518 3915 SH DFND 4, 10, 14 3005 530 380 AMAZON COM INC COM 023135106 3285 3394 SH DFND 7, 8, 10, 14 447 283 2664 ANSYS INC COM 03662Q105 254 2084 SH DFND 1 244 1840 0 AON PLC SHS CL A G0408V102 570 4284 SH DFND 10 1216 127 2941 AIR PRODS &CHEMS INC COM 009158106 446 3120 SH DFND 2, 10 486 2597 37 ACTIVISION BLIZZARD INC COM 00507V109 283 4920 SH DFND 7, 10 4080 820 20 BROADCOM LTD SHS Y09827109 1406 6035 SH DFND 10, 14 5851 175 9 AMERICAN WTR WKS CO INC NEW COM 030420103 760 9744 SH DFND 10 9408 14 322 AMERICAN EXPRESS CO COM 025816109 659 7819 SH DFND 8, 9, 10 7409 410 0 BOEING CO COM 097023105 1544 7807 SH DFND 1, 10 4198 766 2843 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 440 3123 SH DFND 8, 14 0 323 2800 BANK AMER CORP 7.25%CNV PFD L 060505682 1368 1084 SH SOLE 0 1084 0 0 BIOGEN INC COM 09062X103 254 935 SH DFND 10, 14 495 40 400 BLACKROCK INC COM 09247X101 1024 2424 SH DFND 2, 10, 12 442 1890 92 BRISTOL MYERS SQUIBB CO COM 110122108 281 5047 SH DFND 10 3520 785 742 BOK FINL CORP COM NEW 05561Q201 512 6091 SH DFND 1 0 6061 30 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 509 7964 SH DFND 13 6403 781 780 BLACKROCK CR ALLCTN INC TR COM 092508100 190 14150 SH SOLE 0 13150 0 1000 CATERPILLAR INC DEL COM 149123101 252 2342 SH DFND 6, 10 1785 174 383 CHUBB LIMITED COM H1467J104 986 6782 SH DFND 1, 6, 10 786 5793 203 CROWN CASTLE INTL CORP NEW COM 22822V101 411 4105 SH DFND 2, 7, 10 105 3961 39 CARNIVAL CORP UNIT 99/99/9999 143658300 647 9873 SH DFND 5, 9, 10, 12 661 9025 187 CELGENE CORP COM 151020104 409 3148 SH DFND 7, 10, 14 2361 687 100 CULLEN FROST BANKERS INC COM 229899109 452 4809 SH DFND 1, 10 0 4791 18 CIGNA CORPORATION COM 125509109 913 5457 SH DFND 10 79 174 5204 CINCINNATI FINL CORP COM 172062101 422 5827 SH DFND 10, 12 436 5341 50 COLGATE PALMOLIVE CO COM 194162103 556 7507 SH DFND 6, 10 1487 220 5800 COMERICA INC COM 200340107 333 4543 SH SOLE 0 4543 0 0 ISHARES TR CALIF MUN BD ETF 464288356 282 2399 SH SOLE 0 2399 0 0 CMS ENERGY CORP COM 125896100 213 4596 SH DFND 6 1609 237 2750 SALESFORCE COM INC COM 79466L302 339 3917 SH DFND 7, 10, 14 3043 874 0 CVS HEALTH CORP COM 126650100 496 6167 SH DFND 4, 10 4966 146 1055 DEERE &CO COM 244199105 519 4198 SH DFND 8 4095 103 0 DIAGEO P L C SPON ADR NEW 25243Q205 555 4633 SH DFND 12 1650 2902 81 WISDOMTREE TR INTL MIDCAP DV 97717W778 275 4306 SH SOLE 0 1506 0 2800 DISNEY WALT CO COM DISNEY 254687106 531 5000 SH DFND 4, 10 3769 612 619 WISDOMTREE TR US MIDCAP DIVID 97717W505 314 3217 SH SOLE 0 3217 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 288 3448 SH DFND 4, 10, 12 780 2643 25 ECOLAB INC COM 278865100 251 1888 SH DFND 4, 10, 14 1489 99 300 EASTMAN CHEM CO COM 277432100 467 5560 SH DFND 9, 10 4697 240 623 ESSEX PPTY TR INC COM 297178105 271 1053 SH DFND 10 0 18 1035 EATON VANCE LTD DUR INCOME F COM 27828H105 146 10357 SH SOLE 0 9357 0 1000 EXELON CORP COM 30161N101 299 8277 SH DFND 10 7663 426 188 FASTENAL CO COM 311900104 307 7063 SH DFND 2 1083 5919 61 FIRST TR SR FLG RTE INCM FD COM 33733U108 138 10343 SH SOLE 0 10343 0 0 FIRST REP BK SAN FRANCISCO C COM 33616C100 630 6294 SH DFND 1 0 6268 26 FORTIVE CORP COM 34959J108 308 4858 SH DFND 10, 14 550 208 4100 SPDR GOLD TRUST GOLD SHS 78463V107 443 3754 SH SOLE 0 622 0 3132 ALPHABET INC CAP STK CL C 02079K107 7805 8589 SH DFND 4, 7, 8, 10, 14 597 169 7823 ALPHABET INC CAP STK CL A 02079K305 933 1004 SH DFND 4, 8, 10, 14 569 210 225 HASBRO INC COM 418056107 658 5901 SH DFND 2, 10, 12 521 5324 56 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 577 9256 SH SOLE 0 9256 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 331 1066 SH SOLE 0 50 0 1016 INTERNATIONAL BUSINESS MACHS COM 459200101 774 5034 SH DFND 4, 10 2914 386 1734 ISHARES TR CORE MSCI EAFE 46432F842 215 3523 SH SOLE 0 3523 0 0 ISHARES TR SP SMCP600VL ETF 464287879 298 2128 SH SOLE 0 2128 0 0 ISHARES TR SP SMCP600GR ETF 464287887 418 2680 SH SOLE 0 2680 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 333 356 SH DFND 7, 10 0 23 333 ILLINOIS TOOL WKS INC COM 452308109 216 1505 SH DFND 2, 9, 10 76 1168 261 ISHARES TR S&P 500 VAL ETF 464287408 526 5014 SH SOLE 0 5014 0 0 ISHARES TR CORE S&P500 ETF 464287200 399 1637 SH SOLE 0 1610 0 27 ISHARES TR RUS 1000 ETF 464287622 230 1703 SH SOLE 0 1703 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 230 1933 SH SOLE 0 1933 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 690 4897 SH SOLE 0 4661 0 236 ISHARES TR RUS MD CP GR ETF 464287481 676 6254 SH SOLE 0 6254 0 0 ISHARES TR RUS MID CAP ETF 464287499 1300 6769 SH SOLE 0 6523 0 246 ISHARES TR RUS MDCP VAL ETF 464287473 366 4352 SH SOLE 0 4352 0 0 LOWES COS INC COM 548661107 310 3998 SH DFND 10, 12 927 3041 30 MASTERCARD INCORPORATED CL A 57636Q104 321 2646 SH DFND 7, 10, 14 1743 724 178 MFA FINL INC COM 55272X102 126 15000 SH SOLE 0 15000 0 0 MARTIN MARIETTA MATLS INC COM 573284106 1034 4646 SH DFND 1, 10 120 4508 18 MARSH &MCLENNAN COS INC COM 571748102 222 2852 SH DFND 2, 10 259 1950 643 3M CO COM 88579Y101 1114 5352 SH DFND 2, 4, 5, 10 2246 2854 252 MARATHON OIL CORP COM 565849106 189 15956 SH DFND 10 15138 400 418 M &T BK CORP COM 55261F104 693 4278 SH DFND 1 0 4260 18 MICRON TECHNOLOGY INC COM 595112103 242 8111 SH DFND 10 6866 383 862 ISHARES TR NATIONAL MUN ETF 464288414 849 7711 SH SOLE 0 7711 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 225 4209 SH SOLE 0 4209 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 270 6004 SH DFND 2, 10 100 5844 60 NEXTERA ENERGY INC COM 65339F101 1326 9462 SH DFND 2, 6, 10 5307 4077 78 NEWMARKET CORP COM 651587107 317 689 SH DFND 12 53 630 6 NATIONAL FUEL GAS CO N J COM 636180101 499 8929 SH DFND 1 0 8890 39 NIKE INC CL B 654106103 325 5516 SH DFND 7, 10, 14 3653 1030 833 NORTHROP GRUMMAN CORP COM 666807102 855 3330 SH DFND 9, 10, 14 545 51 2734 NORFOLK SOUTHERN CORP COM 655844108 558 4584 SH DFND 12 0 4325 259 NEWELL BRANDS INC COM 651229106 381 7101 SH DFND 10 7022 79 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 341 6678 SH DFND 13 5442 1236 0 ORACLE CORP COM 68389X105 495 9879 SH DFND 4, 8, 9, 10 6906 1745 1228 PRICELINE GRP INC COM NEW 741503403 354 189 SH DFND 7, 10, 14 147 39 3 PIONEER FLOATING RATE TR COM 72369J102 145 12217 SH SOLE 0 12217 0 0 PPG INDS INC COM 693506107 960 8727 SH DFND 1, 4, 10 1710 6989 28 VOYA PRIME RATE TR SH BEN INT 92913A100 58 10836 SH SOLE 0 10836 0 0 PIONEER NAT RES CO COM 723787107 807 5057 SH DFND 1, 4, 6, 10 1215 3828 14 REYNOLDS AMERICAN INC COM 761713106 561 8625 SH DFND 10, 12 4267 4317 41 PROSHARES TR PSHS ULTRA TECH 74347R693 209 1600 SH SOLE 0 1600 0 0 ROPER TECHNOLOGIES INC COM 776696106 231 998 SH DFND 10 987 11 0 RPM INTL INC COM 749685103 244 4475 SH SOLE 0 4475 0 0 RAYTHEON CO COM NEW 755111507 500 3097 SH DFND 4, 10, 14 2428 166 503 STARBUCKS CORP COM 855244109 508 8705 SH DFND 7, 10, 14 7051 1042 612 SPDR SERIES TRUST S&P DIVID ETF 78464A763 468 5264 SH SOLE 0 5264 0 0 SPECTRA ENERGY PARTNERS LP COM 84756N109 216 5024 SH DFND 13 0 524 4500 SPDR S&P 500 ETF TR TR UNIT 78462F103 2022 8361 SH SOLE 0 8346 0 15 SEMPRA ENERGY COM 816851109 422 3743 SH DFND 2, 5, 6, 10 1243 2476 24 SUNTRUST BKS INC COM 867914103 410 7224 SH DFND 1, 10 5134 2090 0 TARGET CORP COM 87612E106 252 4822 SH DFND 10, 12 301 4107 414 THERMO FISHER SCIENTIFIC INC COM 883556102 260 1488 SH DFND 6, 10, 14 1290 198 0 TOTAL S A SPONSORED ADR 89151E109 273 5507 SH DFND 5, 9 4927 580 0 TARGA RES CORP COM 87612G101 287 6360 SH DFND 13 0 424 5936 TRAVELERS COMPANIES INC COM 89417E109 328 2595 SH DFND 4, 10 1705 350 540 TESORO CORP COM 881609101 242 2589 SH DFND 10 2480 109 0 TIME WARNER INC COM NEW 887317303 659 6566 SH DFND 1, 9, 10 191 6344 31 UNITEDHEALTH GROUP INC COM 91324P102 784 4228 SH DFND 10, 14 3412 816 0 UNION PAC CORP COM 907818108 379 3483 SH DFND 5, 9, 10, 14 2423 792 268 UNITED PARCEL SERVICE INC CL B 911312106 272 2456 SH DFND 4, 8, 10 1417 555 484 VISA INC COM CL A 92826C839 910 9705 SH DFND 4, 8, 10, 14 6206 1267 2232 VANGUARD INDEX FDS SML CP GRW ETF 922908595 868 5955 SH SOLE 0 5768 0 187 VANGUARD INDEX FDS SM CP VAL ETF 922908611 847 6895 SH SOLE 0 6683 0 212 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 773 8339 SH SOLE 0 8190 0 149 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 581 8599 SH SOLE 0 8599 0 0 VENTAS INC COM 92276F100 401 5770 SH DFND 2, 10 424 4567 779 VANGUARD STAR FD VG TL INTL STK F 921909768 259 4987 SH SOLE 0 4987 0 0 WEC ENERGY GROUP INC COM 92939U106 424 6900 SH DFND 2, 10 626 6209 65 WILLIAMS COS INC DEL COM 969457100 255 8417 SH DFND 2, 10, 13 0 8339 78 WAL-MART STORES INC COM 931142103 312 4120 SH DFND 4, 9, 10 3007 725 388 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 335 4229 SH SOLE 0 4229 0 0 APPLE INC COM 037833100 6222 43202 SH DFND 5, 6, 9, 10, 14 12296 2976 27931 ABBVIE INC COM 00287Y109 7550 104117 SH DFND 1, 2, 9, 10 84756 17755 1606 ABBOTT LABS COM 002824100 628 12925 SH DFND 2, 5, 10 4402 7886 637 ISHARES TR MSCI ACWI ETF 464288257 9064 138409 SH SOLE 0 131144 0 7265 ADOBE SYS INC COM 00724F101 1425 10076 SH DFND 1, 7, 10, 14 373 9665 38 ARCHER DANIELS MIDLAND CO COM 039483102 556 13442 SH DFND 1, 10 52 13339 51 AUTOMATIC DATA PROCESSING IN COM 053015103 5971 58273 SH DFND 2, 4, 8, 10 55829 2359 85 ALLIANCE DATA SYSTEMS CORP COM 018581108 2622 10215 SH DFND 10 10194 10 11 AMERICAN ELEC PWR INC COM 025537101 3982 57325 SH DFND 9, 10 56813 124 388 AES CORP COM 00130H105 513 46178 SH DFND 1, 10 2873 42602 703 ALASKA AIR GROUP INC COM 011659109 2368 26383 SH DFND 10 26330 26 27 ADVANCED MICRO DEVICES INC COM 007903107 503 40286 SH DFND 10 0 286 40000 AMGEN INC COM 031162100 2298 13344 SH DFND 1, 2, 8, 10 1260 5934 6150 ANTHEM INC COM 036752103 2766 14700 SH DFND 9, 10 14375 42 283 ASTRAZENECA PLC SPONSORED ADR 046353108 5639 165424 SH SOLE 0 165199 0 225 BANK AMER CORP COM 060505104 5976 246318 SH DFND 1, 9, 10 5447 45498 195373 BAXTER INTL INC COM 071813109 2340 38645 SH DFND 1, 10 17536 19880 1229 BED BATH &BEYOND INC COM 075896100 1952 64221 SH SOLE 0 64152 0 69 BLACKROCK TAX MUNICPAL BD TR SHS 09248X100 647 28250 SH SOLE 0 28250 0 0 BB&T CORP COM 054937107 509 11217 SH DFND 2 0 11091 126 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 919 109895 SH DFND 1 0 109414 481 BEST BUY INC COM 086516101 2369 41315 SH DFND 9, 10 41095 177 43 FRANKLIN RES INC COM 354613101 2805 62630 SH SOLE 0 62571 0 59 BROWN FORMAN CORP CL B 115637209 552 11365 SH DFND 10 0 115 11250 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4458 26321 SH DFND 4, 10, 12 18734 2227 5360 BORGWARNER INC COM 099724106 2561 60448 SH DFND 10 60362 24 62 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1299 38960 SH SOLE 0 34427 0 4533 CITIGROUP INC COM NEW 172967424 7402 110669 SH DFND 9, 10 42526 710 67433 CA INC COM 12673P105 373 10811 SH DFND 10, 12 202 10506 103 COMCAST CORP NEW CL A 20030N101 588 15101 SH DFND 4, 10, 14 11376 2157 1568 CREDIT SUISSE GROUP SPONSORED ADR 225401108 1033 70725 SH DFND 6 0 725 70000 CISCO SYS INC COM 17275R102 2177 69541 SH DFND 2, 4, 5, 8, 9, 10, 12 25023 30727 13791 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 244 20807 SH SOLE 0 19046 0 1761 CENTURYLINK INC COM 156700106 3812 159611 SH DFND 10 153087 204 6319 CARETRUST REIT INC COM 14174T107 3272 176485 SH SOLE 0 8407 0 168078 CHEVRON CORP NEW COM 166764100 6161 59049 SH DFND 5, 6, 9, 10, 12 5651 3309 50089 DOMINION ENERGY INC COM 25746U109 5383 70246 SH DFND 10, 12 67877 2238 131 DELTA AIR LINES INC DEL COM NEW 247361702 2872 53443 SH DFND 10, 14 53202 189 52 DISCOVER FINL SVCS COM 254709108 2395 38512 SH SOLE 0 38475 0 37 D R HORTON INC COM 23331A109 2628 76026 SH DFND 10 75921 30 75 DANAHER CORP DEL COM 235851102 1546 18317 SH DFND 1, 10, 14 1150 8933 8234 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 2276 90284 SH DFND 10 90147 41 96 DELPHI AUTOMOTIVE PLC SHS G27823106 2488 28388 SH DFND 7, 10 28012 347 29 DOW CHEM CO COM 260543103 1013 16059 SH DFND 1, 9, 10 1899 13606 554 ISHARES TR SELECT DIVID ETF 464287168 1110 12036 SH SOLE 0 12036 0 0 ISHARES TR MSCI EAFE ETF 464287465 672 10306 SH SOLE 0 9793 0 513 ENBRIDGE INC COM 29250N105 4980 125100 SH DFND 2, 10 114883 9956 261 ENTERPRISE PRODS PARTNERS L COM 293792107 1269 46876 SH DFND 13 33964 3664 9248 EQT CORP COM 26884L109 620 10578 SH DFND 1, 10 428 10111 39 E TRADE FINANCIAL CORP COM NEW 269246401 2692 70781 SH DFND 6 70553 156 72 EATON CORP PLC SHS G29183103 1766 22695 SH DFND 9, 10 180 439 22076 ENERGY TRANSFER PARTNERS LP UNIT LTD PRT INT 29278N103 689 33799 SH DFND 13 4981 2828 25990 FORD MTR CO DEL COM PAR $0.01 345370860 2634 235344 SH DFND 10 217913 1071 16360 FACEBOOK INC CL A 30303M102 7457 49388 SH DFND 7, 8, 10, 14 5458 1815 42115 FREEPORT-MCMORAN INC CL B 35671D857 262 21799 SH DFND 10 19833 566 1400 GENERAL DYNAMICS CORP COM 369550108 2198 11097 SH DFND 1, 7, 10, 12, 14 3077 7894 126 GENERAL ELECTRIC CO COM 369604103 14246 527430 SH DFND 4, 6, 7, 10, 12 166424 209757 151249 GILEAD SCIENCES INC COM 375558103 3109 43926 SH DFND 10 40443 411 3071 GENERAL MLS INC COM 370334104 705 12722 SH DFND 5, 10, 12 5542 6916 264 GENERAL MTRS CO COM 37045V100 2487 71197 SH DFND 10 70728 257 212 GAP INC DEL COM 364760108 2243 102020 SH SOLE 0 101862 0 158 GOLDMAN SACHS GROUP INC COM 38141G104 3576 16116 SH DFND 6, 7, 10 13692 280 2144 GOODYEAR TIRE &RUBR CO COM 382550101 767 21950 SH DFND 6, 10 21387 409 154 HALLIBURTON CO COM 406216101 591 13845 SH DFND 1, 6, 10 114 13677 54 HUNTINGTON BANCSHARES INC COM 446150104 934 69117 SH SOLE 0 585 0 68532 HANESBRANDS INC COM 410345102 2759 119127 SH DFND 10 116611 97 2419 HCA HEALTHCARE INC COM 40412C101 2702 30989 SH DFND 10 30781 178 30 HOME DEPOT INC COM 437076102 3025 19721 SH DFND 1, 2, 5, 6, 10, 14 4264 11070 4387 HESS CORP COM 42809H107 441 10047 SH DFND 10 9903 64 80 HOMESTREET INC COM 43785V102 1399 50549 SH SOLE 0 2407 0 48142 HOLOGIC INC COM 436440101 1604 35347 SH DFND 10 23267 48 12032 HONEYWELL INTL INC COM 438516106 6644 49850 SH DFND 2, 4, 5, 9, 10, 14 46355 2263 1232 HP INC COM 40434L105 3220 184226 SH DFND 9, 10 181516 2561 149 BLOCK H &R INC COM 093671105 3152 101989 SH DFND 10 101088 38 863 INTEL CORP COM 458140100 6842 202780 SH DFND 6, 9, 10, 12 154977 11841 35962 ISHARES TR S&P 500 GRWT ETF 464287309 3652 26687 SH SOLE 0 26687 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 2128 17902 SH SOLE 0 17697 0 205 ISHARES TR RUS 2000 GRW ETF 464287648 2553 15127 SH SOLE 0 15059 0 68 JOHNSON &JOHNSON COM 478160104 19264 145621 SH DFND 2, 4, 5, 6, 9, 10 7867 5352 132401 JPMORGAN CHASE &CO COM 46625H100 11000 120352 SH DFND 1, 2, 4, 5, 6, 9, 10, 14 78689 16286 25376 SPDR SERIES TRUST S&P BK ETF 78464A797 679 15591 SH SOLE 0 14678 0 913 KRAFT HEINZ CO COM 500754106 5489 64090 SH DFND 10 58487 477 5126 KIMBERLY CLARK CORP COM 494368103 5356 41483 SH DFND 2, 4, 9, 10 40215 1186 82 KINDER MORGAN INC DEL COM 49456B101 279 14558 SH DFND 10, 12 750 11100 2708 COCA COLA CO COM 191216100 7182 160136 SH DFND 1, 5, 8, 10, 12 133356 25960 820 MICHAEL KORS HLDGS LTD SHS G60754101 2458 67799 SH DFND 10 67704 24 71 KROGER CO COM 501044101 723 30997 SH DFND 1, 10 2976 27908 113 KOHLS CORP COM 500255104 2357 60963 SH SOLE 0 60874 0 89 LENNAR CORP CL A 526057104 1714 32142 SH DFND 1, 10 0 16228 15914 LILLY ELI &CO COM 532457108 6817 82826 SH DFND 6, 10, 12, 14 62280 5637 14909 LOCKHEED MARTIN CORP COM 539830109 6048 21785 SH DFND 2, 5, 10 19977 1760 48 LINCOLN NATL CORP IND COM 534187109 2807 41542 SH SOLE 0 41430 0 112 SOUTHWEST AIRLS CO COM 844741108 1009 16243 SH DFND 10, 14 938 305 15000 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 2699 31986 SH DFND 2, 10 29264 2617 105 MACYS INC COM 55616P104 2342 100775 SH SOLE 0 100206 0 569 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 1919 127853 SH SOLE 0 110052 0 17801 MCDONALDS CORP COM 580135101 7788 50849 SH DFND 5, 10 47136 661 3052 MICROCHIP TECHNOLOGY INC COM 595017104 1059 13724 SH DFND 1 441 12852 431 MCKESSON CORP COM 58155Q103 3144 19106 SH DFND 10 19019 70 17 MONDELEZ INTL INC CL A 609207105 1511 34980 SH DFND 1, 4, 6, 10 2151 16015 16814 MEDTRONIC PLC SHS G5960L103 1512 17034 SH DFND 1, 2, 5, 10 243 15657 1134 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 25034 78818 SH SOLE 0 78128 0 690 METLIFE INC COM 59156R108 2507 45636 SH DFND 4 45003 53 580 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1158 16246 SH DFND 13 8023 1231 6992 ALTRIA GROUP INC COM 02209S103 5463 73364 SH DFND 2, 5, 6, 9, 10, 12 42718 20011 10635 MARATHON PETE CORP COM 56585A102 616 11780 SH DFND 10 10817 45 918 MERCK &CO INC COM 58933Y105 1697 26471 SH DFND 2, 4, 5, 8, 9, 10, 12 11062 12888 2521 MORGAN STANLEY COM NEW 617446448 554 12434 SH DFND 9, 10 286 148 12000 MICROSOFT CORP COM 594918104 6161 89378 SH DFND 1, 2, 4, 5, 7, 8, 10, 12, 14 19214 34906 35259 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 532 78772 SH DFND 1 0 78417 355 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 226 15694 SH SOLE 0 13159 0 2535 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 840 55276 SH SOLE 0 45583 0 9693 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 801 56058 SH SOLE 0 56058 0 0 MYLAN N V SHS EURO N59465109 2411 62104 SH DFND 10 62018 24 62 NORDIC AMERICAN TANKERS LIMI COM G65773106 378 59651 SH SOLE 0 58000 0 1651 NAVIENT CORPORATION COM 63938C108 2707 162609 SH DFND 10 159822 2621 166 NUVEEN AMT FREE QLTY MUN INC COM 670657105 300 21901 SH SOLE 0 21901 0 0 ALLIANZGI NFJ DIVID INT &PR COM 01883A107 246 18762 SH SOLE 0 18762 0 0 ANNALY CAP MGMT INC COM 035710409 367 30425 SH SOLE 0 100 0 30325 NOVARTIS A G SPONSORED ADR 66987V109 969 11608 SH DFND 1, 8 1960 9611 37 OWENS ILL INC COM NEW 690768403 353 14748 SH DFND 10 14703 45 0 OSHKOSH CORP COM 688239201 864 12541 SH DFND 1 0 12282 259 OCCIDENTAL PETE CORP DEL COM 674599105 4684 78234 SH DFND 5, 10 76074 370 1790 PAYCHEX INC COM 704326107 1119 19661 SH DFND 2, 10, 12 8210 11289 162 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 332 14862 SH SOLE 0 12550 0 2312 PIMCO DYNAMIC INCOME FD SHS 72201Y101 305 10100 SH SOLE 0 8775 0 1325 PEPSICO INC COM 713448108 1571 13607 SH DFND 2, 4, 5, 9, 10 1522 6476 5609 PFIZER INC COM 717081103 1408 41919 SH DFND 2, 4, 5, 6, 9, 10, 12 12476 26087 3356 ISHARES TR U.S. PFD STK ETF 464288687 1607 41035 SH SOLE 0 33195 0 7840 PROCTER AND GAMBLE CO COM 742718109 5931 68052 SH DFND 4, 5, 8, 9, 10 58381 2286 7385 PULTE GROUP INC COM 745867101 2765 112734 SH DFND 10 112560 59 115 PHILIP MORRIS INTL INC COM 718172109 6907 58812 SH DFND 2, 6, 10, 12 26641 5356 26815 PPL CORP COM 69351T106 5291 136857 SH DFND 10 136281 391 185 PRUDENTIAL FINL INC COM 744320102 2733 25271 SH DFND 9, 10 24483 748 40 PHILLIPS 66 COM 718546104 850 10273 SH DFND 1, 6, 10 162 9860 251 PAYPAL HLDGS INC COM 70450Y103 1107 20624 SH DFND 1, 4, 7, 10, 14 6294 14279 51 QUALCOMM INC COM 747525103 1814 32853 SH DFND 8, 10 4845 1263 26745 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 4891 35535 SH SOLE 0 11444 0 24091 ROYAL BK SCOTLAND GROUP PLC SPON ADR SER H 780097879 1062 40000 SH SOLE 0 40000 0 0 REGIONS FINL CORP NEW COM 7591EP100 1755 119862 SH DFND 9, 10 7829 1898 110135 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 1699 18336 SH SOLE 0 18271 0 65 SCHWAB CHARLES CORP NEW COM 808513105 643 14974 SH DFND 6, 7, 10 1784 1040 12150 SPROUTS FMRS MKT INC COM 85208M102 778 34307 SH SOLE 0 5350 0 28957 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 902 20160 SH SOLE 0 20160 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 2297 59274 SH DFND 10 58781 180 313 SYNCHRONY FINL COM 87165B103 2588 86771 SH DFND 10 86586 110 75 AT&T INC COM 00206R102 4832 128059 SH DFND 4, 5, 9, 10 121329 3577 3153 THOMSON REUTERS CORP COM 884903105 3908 84435 SH DFND 10 84023 290 122 TWO HBRS INVT CORP COM 90187B101 354 35688 SH SOLE 0 35000 0 688 TEXAS INSTRS INC COM 882508104 1677 21800 SH DFND 2, 7, 10 95 6513 15192 UNITED CONTL HLDGS INC COM 910047109 2632 34980 SH DFND 10 34735 210 35 UNILEVER N V N Y SHS NEW 904784709 1002 18127 SH DFND 1 2345 15716 66 UNITED RENTALS INC COM 911363109 3391 30089 SH DFND 10 22738 11 7340 US BANCORP DEL COM NEW 902973304 843 16228 SH DFND 6, 9, 10 5566 662 10000 UNITED TECHNOLOGIES CORP COM 913017109 1370 11220 SH DFND 4, 6, 10 10292 602 327 VANGUARD WORLD FDS ENERGY ETF 92204A306 1148 12967 SH SOLE 0 3746 0 9221 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1104 26707 SH SOLE 0 26300 0 407 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1866 37302 SH SOLE 0 37273 0 29 VALERO ENERGY CORP NEW COM 91913Y100 3336 49456 SH DFND 2, 10 46904 2412 140 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 45403 369698 SH SOLE 0 368486 0 1212 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 44726 442089 SH SOLE 0 440684 0 1405 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 3279 27864 SH SOLE 0 27517 0 347 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1252 10057 SH SOLE 0 10057 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 2053 21265 SH SOLE 0 21204 0 61 VANGUARD INDEX FDS GROWTH ETF 922908736 1467 11548 SH SOLE 0 11548 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 5426 121492 SH DFND 6, 10, 12 108608 7718 5166 WALGREENS BOOTS ALLIANCE INC COM 931427108 880 11236 SH DFND 1, 10 0 11014 222 WESTERN DIGITAL CORP COM 958102105 2717 30667 SH DFND 10 10540 64 20063 WELLS FARGO CO NEW COM 949746101 8885 160344 SH DFND 4, 5, 6, 9, 10, 12 85362 12472 62510 WHIRLPOOL CORP COM 963320106 3194 16669 SH DFND 6, 10 16548 68 53 EXXON MOBIL CORP COM 30231G102 5905 73145 SH DFND 2, 4, 6, 9, 10 62385 5900 4860 XEROX CORP COM NEW 984121608 366 12724 SH DFND 9 12154 185 385