Senior Investment Operations Analyst

0001724269-21-000004.txt : 20211115 0001724269-21-000004.hdr.sgml : 20211115 20211115153633 ACCESSION NUMBER: 0001724269-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211115 DATE AS OF CHANGE: 20211115 EFFECTIVENESS DATE: 20211115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LAKE STREET ADVISORS GROUP, LLC CENTRAL INDEX KEY: 0001724269 IRS NUMBER: 820706296 STATE OF INCORPORATION: NH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18626 FILM NUMBER: 211409736 BUSINESS ADDRESS: STREET 1: 25 CHESTNUT STREET STREET 2: SUITE 200 NORTH CITY: PORTSMOUTH STATE: NH ZIP: 03801 BUSINESS PHONE: 603-610-4100 MAIL ADDRESS: STREET 1: 25 CHESTNUT STREET STREET 2: SUITE 200 NORTH CITY: PORTSMOUTH STATE: NH ZIP: 03801 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001724269 XXXXXXXX 09-30-2021 09-30-2021 LAKE STREET ADVISORS GROUP, LLC

25 CHESTNUT STREET SUITE 200 NORTH PORTSMOUTH NH 03801

13F HOLDINGS REPORT 028-18626 N Oliver Ball Senior Investment Operations Analyst 6173035668 Oliver Ball Maynard MA 11-15-2021 0 225 933909 false INFORMATION TABLE 2 2021.09.30_13F_XML.xml AT&T INC COM 00206R102 958 35481 SH SOLE 0 0 35481 ABB LTD SPONSORED ADR 000375204 729 21860 SH SOLE 0 0 21860 ABBOTT LABS COM 002824100 1619 13703 SH SOLE 0 0 13703 ABBVIE INC COM 00287Y109 3622 33575 SH SOLE 0 0 33575 ADVISORSHARES TR PURE US CANNABIS 00768Y453 3156 100000 SH SOLE 0 0 100000 AEGON N V NY REGISTRY SHS 007924103 130 25462 SH SOLE 0 0 25462 AILERON THERAPEUTICS INC COM 00887A105 19 18500 SH SOLE 0 0 18500 AIRBNB INC COM CL A 009066101 6686 39855 SH SOLE 0 0 39855 AKAMAI TECHNOLOGIES INC NOTE 0.375% 9/0 00971TAL5 39 36000 SH SOLE 0 0 36000 ALPS ETF TR ALERIAN MLP 00162Q452 488 14649 SH SOLE 0 0 14649 ALLSCRIPTS HEALTHCARE SOLUTN NOTE 0.875% 1/0 01988PAF5 19 16000 SH SOLE 0 0 16000 ALTAIR ENGR INC NOTE 0.250% 6/0 021369AA1 16 10000 SH SOLE 0 0 10000 ALTERYX INC NOTE 0.500% 8/0 02156BAD5 10 10000 SH SOLE 0 0 10000 ALTERYX INC NOTE 1.000% 8/0 02156BAF0 12 13000 SH SOLE 0 0 13000 AMBEV SA SPONSORED ADR 02319V103 125 45099 SH SOLE 0 0 45099 AMCOR PLC ORD G0250X107 212 18294 SH SOLE 0 0 18294 AMERICAN EAGLE OUTFITTERS IN NOTE 3.750% 4/1 02553EAB2 31 10000 SH SOLE 0 0 10000 AMGEN INC COM 031162100 2267 10659 SH SOLE 0 0 10659 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 604 10706 SH SOLE 0 0 10706 APOLLO GLOBAL MGMT INC COM CL A 03768E105 2024 32868 SH SOLE 0 0 32868 APPLE INC COM 037833100 25892 182980 SH SOLE 0 0 182980 APPLIED MATLS INC COM 038222105 1365 10602 SH SOLE 0 0 10602 ARES CAPITAL CORP NOTE 4.625% 3/0 04010LAW3 25 23000 SH SOLE 0 0 23000 ARES CAPITAL CORP NOTE 3.750% 2/0 04010LAT0 38 35000 SH SOLE 0 0 35000 ARES MANAGEMENT CORPORATION CL A COM STK 03990B101 1957 26500 SH SOLE 0 0 26500 BAIN CAP SPECIALTY FIN INC COM STK 05684B107 2048 137992 SH SOLE 0 0 137992 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 542 82193 SH SOLE 0 0 82193 BANCO SANTANDER S.A. ADR 05964H105 101 28014 SH SOLE 0 0 28014 BK OF AMERICA CORP COM 060505104 2246 52902 SH SOLE 0 0 52902 BARCLAYS PLC ADR 06738E204 423 41010 SH SOLE 0 0 41010 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 6044 22144 SH SOLE 0 0 22144 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 50 49000 SH SOLE 0 0 49000 BLACKSTONE INC COM 09260D107 3430 29479 SH SOLE 0 0 29479 BLACKSTONE MTG TR INC COM CL A 09257W100 1918 63270 SH SOLE 0 0 63270 BOEING CO COM 097023105 11932 54249 SH SOLE 0 0 54249 BOOKING HOLDINGS INC NOTE 0.750% 5/0 09857LAN8 34 23000 SH SOLE 0 0 23000 BP PLC SPONSORED ADR 055622104 288 10529 SH SOLE 0 0 10529 BROOKFIELD INFRASTRUCTURE CO COM SB VTG SHS A 11275Q107 9633 160874 SH SOLE 0 0 160874 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 43060 767412 SH SOLE 0 0 767412 BROOKFIELD RENEWABLE PARTNER PARTNERSHIP UNIT G16258108 41677 1129161 SH SOLE 0 0 1129161 BROOKFIELD RENEWABLE CORP CL A SUB VTG 11284V105 10833 279128 SH SOLE 0 0 279128 BURLINGTON STORES INC NOTE 2.250% 4/1 122017AB2 33 23000 SH SOLE 0 0 23000 CARLYLE GROUP INC COM 14316J108 3060 64723 SH SOLE 0 0 64723 CARRIER GLOBAL CORPORATION COM 14448C104 863 16675 SH SOLE 0 0 16675 CATERPILLAR INC COM 149123101 2880 14999 SH SOLE 0 0 14999 SCHWAB CHARLES CORP COM 808513105 940 12898 SH SOLE 0 0 12898 SCHWAB STRATEGIC TR US REIT ETF 808524847 10668 233545 SH SOLE 0 0 233545 CHEGG INC NOTE 0.125% 3/1 163092AD1 17 12000 SH SOLE 0 0 12000 CISCO SYS INC COM 17275R102 1889 34705 SH SOLE 0 0 34705 CITIGROUP INC COM NEW 172967424 1174 16722 SH SOLE 0 0 16722 CME GROUP INC COM 12572Q105 2151 11125 SH SOLE 0 0 11125 COHERUS BIOSCIENCES INC NOTE 1.500% 4/1 19249HAB9 11 10000 SH SOLE 0 0 10000 STARWOOD WAYPOINT HOMES NOTE 3.500% 1/1 19625XAB8 39 23000 SH SOLE 0 0 23000 COMCAST CORP NEW CL A 20030N101 2137 38211 SH SOLE 0 0 38211 CONCERT PHARMACEUTICALS INC COM 206022105 116 35398 SH SOLE 0 0 35398 CONMED CORP NOTE 2.625% 2/0 207410AF8 36 23000 SH SOLE 0 0 23000 COUPA SOFTWARE INC NOTE 0.375% 6/1 22266LAF3 11 10000 SH SOLE 0 0 10000 CREDIT SUISSE GROUP SPONSORED ADR 225401108 232 23493 SH SOLE 0 0 23493 CROWN CASTLE INTL CORP NEW COM 22822V101 2212 12760 SH SOLE 0 0 12760 CSX CORP COM 126408103 456 15344 SH SOLE 0 0 15344 CVS HEALTH CORP COM 126650100 2304 27153 SH SOLE 0 0 27153 CYBERARK SOFTWARE LTD NOTE 11/1 23248VAB1 27 23000 SH SOLE 0 0 23000 DATADOG INC NOTE 0.125% 6/1 23804LAB9 17 10000 SH SOLE 0 0 10000 DEXCOM INC NOTE 0.250%11/1 252131AK3 44 37000 SH SOLE 0 0 37000 DIGITAL RLTY TR INC COM 253868103 1803 12485 SH SOLE 0 0 12485 DISH NETWORK CORPORATION NOTE 3.375% 8/1 25470MAB5 44 42000 SH SOLE 0 0 42000 DRAFTKINGS INC COM CL A 26142R104 11451 237776 SH SOLE 0 0 237776 EATON CORP PLC SHS G29183103 2907 19472 SH SOLE 0 0 19472 ENBRIDGE INC COM 29250N105 2073 52048 SH SOLE 0 0 52048 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 108 11254 SH SOLE 0 0 11254 ENTERPRISE PRODS PARTNERS L COM 293792107 567 26187 SH SOLE 0 0 26187 EQT CORP NOTE 1.750% 5/0 26884LAK5 16 10000 SH SOLE 0 0 10000 ERICSSON ADR B SEK 10 294821608 348 31042 SH SOLE 0 0 31042 ETSY INC NOTE 0.125% 9/0 29786AAL0 21 16000 SH SOLE 0 0 16000 EURONET WORLDWIDE INC NOTE 0.750% 3/1 298736AL3 54 49000 SH SOLE 0 0 49000 EXACT SCIENCES CORP NOTE 0.375% 3/1 30063PAB1 18 16000 SH SOLE 0 0 16000 EXXON MOBIL CORP COM 30231G102 589 10014 SH SOLE 0 0 10014 FACEBOOK INC CL A 30303M102 6796 20025 SH SOLE 0 0 20025 FIFTH THIRD BANCORP COM 316773100 2293 54038 SH SOLE 0 0 54038 FINCH THERAPEUTICS GROUP INC COM 31773D101 8271 636195 SH SOLE 0 0 636195 FIREEYE INC NOTE 0.875% 6/0 31816QAF8 25 23000 SH SOLE 0 0 23000 FIRST HORIZON CORPORATION COM 320517105 1922 117994 SH SOLE 0 0 117994 FLEXSHARES TR MORNSTAR UPSTR 33939L407 5125 140037 SH SOLE 0 0 140037 FOCUS FINL PARTNERS INC COM CL A 34417P100 661 12622 SH SOLE 0 0 12622 FORD MTR CO DEL COM 345370860 342 24130 SH SOLE 0 0 24130 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 266 10656 SH SOLE 0 0 10656 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 32 23000 SH SOLE 0 0 23000 GILEAD SCIENCES INC COM 375558103 891 12755 SH SOLE 0 0 12755 HALLIBURTON CO COM 406216101 234 10821 SH SOLE 0 0 10821 HERBALIFE NUTRITION LTD NOTE 2.625% 3/1 42703MAD5 23 23000 SH SOLE 0 0 23000 HSBC HLDGS PLC SPON ADR NEW 404280406 537 20521 SH SOLE 0 0 20521 HUAZHU GROUP LTD NOTE 3.000% 5/0 44332NAB2 13 10000 SH SOLE 0 0 10000 HUNTINGTON BANCSHARES INC COM 446150104 167 10789 SH SOLE 0 0 10789 ICICI BANK LIMITED ADR 45104G104 323 17110 SH SOLE 0 0 17110 II-VI INC COM 902104108 1395 23499 SH SOLE 0 0 23499 ILLUMINA INC NOTE 8/1 452327AK5 43 37000 SH SOLE 0 0 37000 ING GROEP N.V. SPONSORED ADR 456837103 246 16956 SH SOLE 0 0 16956 INSIGHT ENTERPRISES INC NOTE 0.750% 2/1 45765UAB9 32 23000 SH SOLE 0 0 23000 INTEGRA LIFESCIENCES HLDGS C NOTE 0.500% 8/1 457985AM1 18 16000 SH SOLE 0 0 16000 INTEL CORP COM 458140100 1167 21894 SH SOLE 0 0 21894 INTERDIGITAL INC NOTE 2.000% 6/0 45867GAB7 25 23000 SH SOLE 0 0 23000 INTERPUBLIC GROUP COS INC COM 460690100 1907 52008 SH SOLE 0 0 52008 INVESCO ACTIVLY MANGD ETC FD OPTIMUM YIELD 46090F100 511 24255 SH SOLE 0 0 24255 INVESCO DB MULTI-SECTOR COMM AGRICULTURE FD 46140H106 1666 87156 SH SOLE 0 0 87156 INVESCO DB MULTI-SECTOR COMM BASE METALS FD 46140H700 1903 91913 SH SOLE 0 0 91913 INVESCO QQQ TR UNIT SER 1 46090E103 7056 19711 SH SOLE 0 0 19711 IRONWOOD PHARMACEUTICALS INC NOTE 0.750% 6/1 46333XAF5 12 10000 SH SOLE 0 0 10000 IRONWOOD PHARMACEUTICALS INC NOTE 1.500% 6/1 46333XAH1 12 10000 SH SOLE 0 0 10000 ISHARES TR COHEN STEER REIT 464287564 1700 25986 SH SOLE 0 0 25986 ISHARES TR CORE MSCI EAFE 46432F842 51690 696164 SH SOLE 0 0 696164 ISHARES INC CORE MSCI EMKT 46434G103 20297 328648 SH SOLE 0 0 328648 ISHARES TR CORE S&P500 ETF 464287200 8179 18983 SH SOLE 0 0 18983 ISHARES TR CORE S&P SCP ETF 464287804 20827 190741 SH SOLE 0 0 190741 ISHARES TR CORE US AGGBD ET 464287226 6778 59023 SH SOLE 0 0 59023 ISHARES TR ESG AW MSCI EAFE 46435G516 10126 129192 SH SOLE 0 0 129192 ISHARES INC ESG AWR MSCI EM 46434G863 8847 213487 SH SOLE 0 0 213487 ISHARES GOLD TR ISHARES NEW 464285204 40176 1202520 SH SOLE 0 0 1202520 ISHARES INC MSCI FRONTIER 464286145 2926 86287 SH SOLE 0 0 86287 ISHARES INC MSCI EURZONE ETF 464286608 486 10103 SH SOLE 0 0 10103 ISHARES TR MSCI ACWI ETF 464288257 4658 46617 SH SOLE 0 0 46617 ISHARES TR MSCI EAFE ETF 464287465 19444 249243 SH SOLE 0 0 249243 ISHARES TR EAFE VALUE ETF 464288877 2027 39864 SH SOLE 0 0 39864 ISHARES TR MSCI EMG MKT ETF 464287234 5753 114194 SH SOLE 0 0 114194 ISHARES TR RUS 1000 ETF 464287622 59748 247188 SH SOLE 0 0 247188 ISHARES TR RUSSELL 2000 ETF 464287655 5573 25475 SH SOLE 0 0 25475 ISHARES TR CORE DIV GRWTH 46434V621 3236 64406 SH SOLE 0 0 64406 ISHARES TR ESG AWR MSCI USA 46435G425 3735 37932 SH SOLE 0 0 37932 ISHARES TR ESG AWR US AGRGT 46435U549 2029 36798 SH SOLE 0 0 36798 ISHARES TR RUS MID CAP ETF 464287499 3493 44653 SH SOLE 0 0 44653 ISHARES TR U.S. REAL ES ETF 464287739 13679 133593 SH SOLE 0 0 133593 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 161 30560 SH SOLE 0 0 30560 JAMES HARDIE INDS PLC SPONSORED ADR 47030M106 426 11941 SH SOLE 0 0 11941 JOHNSON & JOHNSON COM 478160104 2495 15451 SH SOLE 0 0 15451 J P MORGAN EXCHANGE-TRADED F BETABUILDERS DEV 46641Q233 708 13059 SH SOLE 0 0 13059 J P MORGAN EXCHANGE-TRADED F BETABUILDERS EUR 46641Q191 1971 34531 SH SOLE 0 0 34531 J P MORGAN EXCHANGE-TRADED F BETABULDRS JAPAN 46641Q217 1429 24332 SH SOLE 0 0 24332 JPMORGAN CHASE & CO COM 46625H100 6132 37458 SH SOLE 0 0 37458 KBR INC NOTE 2.500%11/0 48242WAB2 24 15000 SH SOLE 0 0 15000 KEYCORP COM 493267108 268 12387 SH SOLE 0 0 12387 KINDER MORGAN INC DEL COM 49456B101 2578 154072 SH SOLE 0 0 154072 KKR & CO INC COM 48251W104 621 10200 SH SOLE 0 0 10200 KRANESHARES TR CSI CHI INTERNET 500767306 1574 33258 SH SOLE 0 0 33258 KROGER CO COM 501044101 476 11763 SH SOLE 0 0 11763 LIBERTY MEDIA CORP DEL NOTE 1.000% 1/3 531229AF9 20 14000 SH SOLE 0 0 14000 LIBERTY MEDIA CORP DEL NOTE 1.375%10/1 531229AB8 14 10000 SH SOLE 0 0 10000 LIVE NATION ENTERTAINMENT IN NOTE 2.500% 3/1 538034AQ2 53 37000 SH SOLE 0 0 37000 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 82 33644 SH SOLE 0 0 33644 LUMEN TECHNOLOGIES INC COM 550241103 133 10730 SH SOLE 0 0 10730 LUMENTUM HLDGS INC NOTE 0.500%12/1 55024UAD1 19 17000 SH SOLE 0 0 17000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 547 11991 SH SOLE 0 0 11991 MANULIFE FINL CORP COM 56501R106 1606 83444 SH SOLE 0 0 83444 MARATHON OIL CORP COM 565849106 232 16978 SH SOLE 0 0 16978 MARATHON PETE CORP COM 56585A102 2424 39224 SH SOLE 0 0 39224 MARRIOTT VACATIONS WORLDWIDE NOTE 1.500% 9/1 57164YAB3 57 48000 SH SOLE 0 0 48000 MASTERCARD INCORPORATED CL A 57636Q104 3594 10338 SH SOLE 0 0 10338 MERCK & CO INC COM 58933Y105 1313 17484 SH SOLE 0 0 17484 MICROCHIP TECHNOLOGY INC. NOTE 0.125%11/1 595017AU8 25 22000 SH SOLE 0 0 22000 MICROSOFT CORP COM 594918104 19026 67486 SH SOLE 0 0 67486 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 192 32302 SH SOLE 0 0 32302 MIZUHO FINANCIAL GROUP INC SPONSORED ADR 60687Y109 204 71656 SH SOLE 0 0 71656 MORGAN STANLEY COM NEW 617446448 1197 12298 SH SOLE 0 0 12298 NATIONAL VISION HLDGS INC NOTE 2.500% 5/1 63845RAB3 19 10000 SH SOLE 0 0 10000 NATWEST GROUP PLC SPONS ADR 2 ORD 639057108 215 35370 SH SOLE 0 0 35370 NEUROCRINE BIOSCIENCES INC NOTE 2.250% 5/1 64125CAD1 17 13000 SH SOLE 0 0 13000 NEXTERA ENERGY INC COM 65339F101 1144 14574 SH SOLE 0 0 14574 NICE LTD NOTE 9/1 653656AB4 28 24000 SH SOLE 0 0 24000 NIKE INC CL B 654106103 1839 12660 SH SOLE 0 0 12660 NOKIA CORP SPONSORED ADR 654902204 215 39419 SH SOLE 0 0 39419 NOMURA HLDGS INC SPONSORED ADR 65535H208 193 39058 SH SOLE 0 0 39058 NUSHARES ETF TR NUVEEN ESG SMLCP 67092P607 2135 49097 SH SOLE 0 0 49097 NVIDIA CORPORATION COM 67066G104 5091 24576 SH SOLE 0 0 24576 OKTA INC NOTE 0.375% 6/1 679295AF2 28 23000 SH SOLE 0 0 23000 ONEOK INC NEW COM 682680103 3242 55910 SH SOLE 0 0 55910 ORACLE CORP COM 68389X105 1657 19019 SH SOLE 0 0 19019 OUSTER INC COM 68989M103 329 45000 SH SOLE 0 0 45000 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 25 14000 SH SOLE 0 0 14000 PAYPAL HLDGS INC COM 70450Y103 3460 13297 SH SOLE 0 0 13297 PEOPLES UNITED FINANCIAL INC COM 712704105 250 14318 SH SOLE 0 0 14318 PEPSICO INC COM 713448108 1922 12777 SH SOLE 0 0 12777 PFIZER INC COM 717081103 3676 85467 SH SOLE 0 0 85467 PIMCO ETF TR ACTIVE BD ETF 72201R775 2472 22360 SH SOLE 0 0 22360 PNC FINL SVCS GROUP INC COM 693475105 2040 10429 SH SOLE 0 0 10429 PROCTER AND GAMBLE CO COM 742718109 2281 16313 SH SOLE 0 0 16313 PROSHARES TR S&P 500 DV ARIST 74348A467 3708 41881 SH SOLE 0 0 41881 PURE STORAGE INC NOTE 0.125% 4/1 74624MAB8 53 46000 SH SOLE 0 0 46000 Q2 HLDGS INC NOTE 0.750% 6/0 74736LAD1 11 10000 SH SOLE 0 0 10000 REGIONS FINANCIAL CORP NEW COM 7591EP100 428 20094 SH SOLE 0 0 20094 RELX PLC SPONSORED ADR 759530108 609 21087 SH SOLE 0 0 21087 REPLIGEN CORP NOTE 0.375% 7/1 759916AB5 25 10000 SH SOLE 0 0 10000 RINGCENTRAL INC NOTE 3/0 76680RAF4 36 36000 SH SOLE 0 0 36000 RINGCENTRAL INC NOTE 3/1 76680RAH0 10 11000 SH SOLE 0 0 11000 RIO TINTO PLC SPONSORED ADR 767204100 819 12259 SH SOLE 0 0 12259 SALESFORCE COM INC COM 79466L302 2846 10493 SH SOLE 0 0 10493 SAP SE SPON ADR 803054204 1515 11219 SH SOLE 0 0 11219 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 4563 149707 SH SOLE 0 0 149707 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 48218 1245937 SH SOLE 0 0 1245937 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1835 17663 SH SOLE 0 0 17663 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 8679 83428 SH SOLE 0 0 83428 SELECT SECTOR SPDR TR ENERGY 81369Y506 11430 219427 SH SOLE 0 0 219427 SHOPIFY INC NOTE 0.125%11/0 82509LAA5 12 10000 SH SOLE 0 0 10000 SILICON LABORATORIES INC NOTE 0.625% 6/1 826919AD4 13 10000 SH SOLE 0 0 10000 SIMON PPTY GROUP INC NEW COM 828806109 2427 18674 SH SOLE 0 0 18674 SONOS INC COM 83570H108 324 10000 SH SOLE 0 0 10000 SONY GROUP CORPORATION SPONSORED ADR 835699307 1219 11026 SH SOLE 0 0 11026 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 19 13000 SH SOLE 0 0 13000 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 7302 171678 SH SOLE 0 0 171678 SPDR INDEX SHS FDS MSCI EAFE FS ETF 78470E106 26900 325450 SH SOLE 0 0 325450 SPDR INDEX SHS FDS MSCI EMR MKT ETF 78470E205 1906 25520 SH SOLE 0 0 25520 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 20149 556442 SH SOLE 0 0 556442 SPDR SER TR PORTFOLIO S&P600 78468R853 632 14832 SH SOLE 0 0 14832 SPDR S&P 500 ETF TR TR UNIT 78462F103 104945 244548 SH SOLE 0 0 244548 SPDR SER TR SPDR S&P 500 ETF 78468R796 10563 99435 SH SOLE 0 0 99435 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 2069 40300 SH SOLE 0 0 40300 SPIRIT AIRLS INC NOTE 1.000% 5/1 848577AB8 18 19000 SH SOLE 0 0 19000 SPLUNK INC NOTE 0.500% 9/1 848637AC8 12 10000 SH SOLE 0 0 10000 SPLUNK INC NOTE 1.125% 6/1 848637AF1 26 26000 SH SOLE 0 0 26000 SQUARE INC NOTE 0.125% 3/0 852234AF0 20 10000 SH SOLE 0 0 10000 STARBUCKS CORP COM 855244109 3583 32479 SH SOLE 0 0 32479 STARWOOD PPTY TR INC NOTE 4.375% 4/0 85571BAH8 28 27000 SH SOLE 0 0 27000 STARWOOD PPTY TR INC COM 85571B105 2872 117651 SH SOLE 0 0 117651 TARGET CORP COM 87612E106 3356 14668 SH SOLE 0 0 14668 TELADOC HEALTH INC NOTE 1.250% 6/0 87918AAF2 13 13000 SH SOLE 0 0 13000 TELEFONICA S A SPONSORED ADR 879382208 181 38323 SH SOLE 0 0 38323 COCA COLA CO COM 191216100 1027 19570 SH SOLE 0 0 19570 TJX COS INC NEW COM 872540109 690 10457 SH SOLE 0 0 10457