0001221073-21-000051.txt : 20210506 0001221073-21-000051.hdr.sgml : 20210506 20210505210630 ACCESSION NUMBER: 0001221073-21-000051 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210506 DATE AS OF CHANGE: 20210505 EFFECTIVENESS DATE: 20210506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Altium Wealth Management LLC CENTRAL INDEX KEY: 0001739594 IRS NUMBER: 272941375 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18798 FILM NUMBER: 21895404 BUSINESS ADDRESS: STREET 1: 2500 WESTCHESTER AVENUE STREET 2: SUITE 210 CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 9142982447 MAIL ADDRESS: STREET 1: 2500 WESTCHESTER AVENUE STREET 2: SUITE 210 CITY: PURCHASE STATE: NY ZIP: 10577 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001739594 XXXXXXXX 03-31-2021 03-31-2021 false Altium Wealth Management LLC

2500 WESTCHESTER AVENUE SUITE 210 PURCHASE NY 10577

13F HOLDINGS REPORT 028-18798 N ROBERT SYPHER 914-298-2447 /s/ROBERT SYPHER PURCHASE NY 04-30-2021 0 380 1246839 INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 2397 12440 SH SOLE 12440 0 0 ABB LTD SPONSORED ADR 000375204 801 26281 SH SOLE 26281 0 0 ABBOTT LABS COM 002824100 2821 23537 SH SOLE 23537 0 0 ABBVIE INC COM 00287Y109 1929 17826 SH SOLE 17826 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2635 9540 SH SOLE 9540 0 0 ACTIVISION BLIZZARD INC COM 00507V109 405 4359 SH SOLE 4359 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 3917 8240 SH SOLE 8240 0 0 ADVANCED MICRO DEVICES INC COM 007903107 515 6556 SH SOLE 6556 0 0 AEGON N V NY REGISTRY SHS 007924103 621 131348 SH SOLE 131348 0 0 AFLAC INC COM 001055102 430 8403 SH SOLE 8403 0 0 AIR PRODS & CHEMS INC COM 009158106 566 2012 SH SOLE 2012 0 0 ALLEGION PLC ORD SHS G0176J109 350 2785 SH SOLE 2785 0 0 ALPHABET INC CAP STK CL A 02079K305 5771 2798 SH SOLE 2798 0 0 ALPHABET INC CAP STK CL C 02079K107 5623 2718 SH SOLE 2718 0 0 ALTRIA GROUP INC COM 02209S103 867 16943 SH SOLE 16943 0 0 AMAZON COM INC COM 023135106 13170 4257 SH SOLE 4257 0 0 AMCOR PLC ORD G0250X107 204 17451 SH SOLE 17451 0 0 AMERICAN ELEC PWR CO INC COM 025537101 505 5959 SH SOLE 5959 0 0 AMERICAN EXPRESS CO COM 025816109 2612 18465 SH SOLE 18465 0 0 AMERICAN TOWER CORP NEW COM 03027X100 809 3386 SH SOLE 3386 0 0 AMERIPRISE FINL INC COM 03076C106 767 3301 SH SOLE 3301 0 0 AMGEN INC COM 031162100 1571 6315 SH SOLE 6315 0 0 ANALOG DEVICES INC COM 032654105 504 3251 SH SOLE 3251 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 455 7236 SH SOLE 7236 0 0 ANTHEM INC COM 036752103 403 1124 SH SOLE 1124 0 0 AON PLC SHS CL A G0403H108 569 2471 SH SOLE 2471 0 0 APOLLO COML REAL EST FIN INC NOTE 4.750% 8/2 03762UAB1 18 18000 SH SOLE 18000 0 0 APOLLO COML REAL EST FIN INC NOTE 5.375%10/1 03762UAC9 116 118000 SH SOLE 118000 0 0 APPLE INC COM 037833100 34886 285596 SH SOLE 285596 0 0 APPLIED MATLS INC COM 038222105 1204 9016 SH SOLE 9016 0 0 ARES CAPITAL CORP NOTE 3.750% 2/0 04010LAT0 139 135000 SH SOLE 135000 0 0 ARES CAPITAL CORP NOTE 4.625% 3/0 04010LAW3 185 170000 SH SOLE 170000 0 0 ARGENX SE SPONSORED ADR 04016X101 691 2510 SH SOLE 2510 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 844 1367 SH SOLE 1367 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 645 12972 SH SOLE 12972 0 0 AT&T INC COM 00206R102 1811 59825 SH SOLE 59825 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 437 415000 SH SOLE 415000 0 0 AUTODESK INC COM 052769106 241 868 SH SOLE 868 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 2567 13621 SH SOLE 13621 0 0 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 185 35488 SH SOLE 35488 0 0 BANCO SANTANDER S.A. ADR 05964H105 353 103035 SH SOLE 103035 0 0 BANK NEW YORK MELLON CORP COM 064058100 544 11501 SH SOLE 11501 0 0 BARCLAYS PLC ADR 06738E204 886 86632 SH SOLE 86632 0 0 BAXTER INTL INC COM 071813109 264 3126 SH SOLE 3126 0 0 BECTON DICKINSON & CO COM 075887109 309 1271 SH SOLE 1271 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 2700 7 SH SOLE 7 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 16647 65163 SH SOLE 65163 0 0 BHP GROUP LTD SPONSORED ADS 088606108 626 9027 SH SOLE 9027 0 0 BHP GROUP PLC SPONSORED ADR 05545E209 598 10333 SH SOLE 10333 0 0 BIOCRYST PHARMACEUTICALS INC COM 09058V103 153 15000 SH SOLE 15000 0 0 BK OF AMERICA CORP COM 060505104 3223 83299 SH SOLE 83299 0 0 BLACKROCK INC COM 09247X101 3165 4198 SH SOLE 4198 0 0 BLACKSTONE GROUP INC COM 09260D107 358 4807 SH SOLE 4807 0 0 BOEING CO COM 097023105 1516 5950 SH SOLE 5950 0 0 BOOKING HOLDINGS INC COM 09857L108 673 289 SH SOLE 289 0 0 BOSTON SCIENTIFIC CORP COM 101137107 243 6283 SH SOLE 6283 0 0 BP PLC SPONSORED ADR 055622104 947 38871 SH SOLE 38871 0 0 BRF SA SPONSORED ADR 10552T107 115 25509 SH SOLE 25509 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 1240 19641 SH SOLE 19641 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 511 13198 SH SOLE 13198 0 0 BROADCOM INC COM 11135F101 1606 3464 SH SOLE 3464 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 1060 6925 SH SOLE 6925 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 908 20402 SH SOLE 20402 0 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 338 6355 SH SOLE 6355 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 388 2829 SH SOLE 2829 0 0 CAPITAL ONE FINL CORP COM 14040H105 708 5562 SH SOLE 5562 0 0 CARDINAL HEALTH INC COM 14149Y108 223 3669 SH SOLE 3669 0 0 CARNIVAL PLC ADR 14365C103 461 20555 SH SOLE 20555 0 0 CARRIER GLOBAL CORPORATION COM 14448C104 312 7398 SH SOLE 7398 0 0 CATERPILLAR INC COM 149123101 1493 6440 SH SOLE 6440 0 0 CELANESE CORP DEL COM 150870103 494 3297 SH SOLE 3297 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 686 1111 SH SOLE 1111 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 211 1883 SH SOLE 1883 0 0 CHEVRON CORP NEW COM 166764100 3129 29860 SH SOLE 29860 0 0 CHUBB LIMITED COM H1467J104 1755 11107 SH SOLE 11107 0 0 CHURCH & DWIGHT INC COM 171340102 873 9999 SH SOLE 9999 0 0 CIA ENERGETICA DE MINAS GERA SP ADR N-V PFD 204409601 263 115818 SH SOLE 115818 0 0 CIGNA CORP NEW COM 125523100 713 2950 SH SOLE 2950 0 0 CINCINNATI FINL CORP COM 172062101 223 2168 SH SOLE 2168 0 0 CISCO SYS INC COM 17275R102 2221 42944 SH SOLE 42944 0 0 CITIGROUP INC COM NEW 172967424 1857 25529 SH SOLE 25529 0 0 CLOROX CO DEL COM 189054109 538 2789 SH SOLE 2789 0 0 CME GROUP INC COM 12572Q105 338 1656 SH SOLE 1656 0 0 COCA COLA CO COM 191216100 3057 58006 SH SOLE 58006 0 0 COLGATE PALMOLIVE CO COM 194162103 498 6322 SH SOLE 6322 0 0 COMCAST CORP NEW CL A 20030N101 2330 43057 SH SOLE 43057 0 0 CONOCOPHILLIPS COM 20825C104 800 15110 SH SOLE 15110 0 0 CONSOLIDATED EDISON INC COM 209115104 401 5362 SH SOLE 5362 0 0 COSTCO WHSL CORP NEW COM 22160K105 2989 8480 SH SOLE 8480 0 0 CREDIT SUISSE GROUP SPONSORED ADR 225401108 144 13605 SH SOLE 13605 0 0 CRH PLC ADR 12626K203 742 15788 SH SOLE 15788 0 0 CRITEO S A SPONS ADS 226718104 1063 30612 SH SOLE 30612 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 608 3531 SH SOLE 3531 0 0 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 446 427000 SH SOLE 427000 0 0 CSX CORP COM 126408103 679 7044 SH SOLE 7044 0 0 CVS HEALTH CORP COM 126650100 779 10358 SH SOLE 10358 0 0 DANAHER CORPORATION COM 235851102 1382 6139 SH SOLE 6139 0 0 DECKERS OUTDOOR CORP COM 243537107 230 696 SH SOLE 696 0 0 DEERE & CO COM 244199105 862 2304 SH SOLE 2304 0 0 DISNEY WALT CO COM 254687106 4478 24267 SH SOLE 24267 0 0 DOLLAR GEN CORP NEW COM 256677105 279 1378 SH SOLE 1378 0 0 DOMINION ENERGY INC COM 25746U109 226 2970 SH SOLE 2970 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 953 9873 SH SOLE 9873 0 0 DUPONT DE NEMOURS INC COM 26614N102 397 5142 SH SOLE 5142 0 0 EATON CORP PLC SHS G29183103 727 5260 SH SOLE 5260 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 248 37336 SH SOLE 37336 0 0 ECOLAB INC COM 278865100 472 2207 SH SOLE 2207 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 207 2472 SH SOLE 2472 0 0 EMCORE CORP COM NEW 290846203 120 22020 SH SOLE 22020 0 0 EMERSON ELEC CO COM 291011104 1816 20123 SH SOLE 20123 0 0 ENI S P A SPONSORED ADR 26874R108 434 17551 SH SOLE 17551 0 0 EOG RES INC COM 26875P101 335 4624 SH SOLE 4624 0 0 EQUINIX INC COM 29444U700 438 644 SH SOLE 644 0 0 EQUINOR ASA SPONSORED ADR 29446M102 556 28590 SH SOLE 28590 0 0 ERICSSON ADR B SEK 10 294821608 695 52692 SH SOLE 52692 0 0 ESSEX PPTY TR INC COM 297178105 217 799 SH SOLE 799 0 0 EVOLENT HEALTH INC NOTE 2.000%12/0 30050BAB7 478 447000 SH SOLE 447000 0 0 EXELON CORP COM 30161N101 564 12884 SH SOLE 12884 0 0 EXXON MOBIL CORP COM 30231G102 3866 69244 SH SOLE 69244 0 0 FACEBOOK INC CL A 30303M102 6189 21012 SH SOLE 21012 0 0 FEDERAL RLTY INVT TR SH BEN INT NEW 313747206 204 2009 SH SOLE 2009 0 0 FEDEX CORP COM 31428X106 466 1640 SH SOLE 1640 0 0 FERRARI N V COM N3167Y103 215 1026 SH SOLE 1026 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 268 1906 SH SOLE 1906 0 0 FISERV INC COM 337738108 234 1963 SH SOLE 1963 0 0 FIVE9 INC COM 338307101 282 1805 SH SOLE 1805 0 0 FLY LEASING LTD SPONSORED ADR 34407D109 926 54955 SH SOLE 54955 0 0 GENERAL DYNAMICS CORP COM 369550108 466 2568 SH SOLE 2568 0 0 GENERAL ELECTRIC CO COM 369604103 1032 78622 SH SOLE 78622 0 0 GENERAL MTRS CO COM 37045V100 526 9158 SH SOLE 9158 0 0 GENMAB A/S SPONSORED ADS 372303206 237 7231 SH SOLE 7231 0 0 GENUINE PARTS CO COM 372460105 212 1832 SH SOLE 1832 0 0 GILEAD SCIENCES INC COM 375558103 314 4856 SH SOLE 4856 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 486 13618 SH SOLE 13618 0 0 GLOBAL PMTS INC COM 37940X102 254 1259 SH SOLE 1259 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 2086 6380 SH SOLE 6380 0 0 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 80 71333 SH SOLE 71333 0 0 HARMONY GOLD MINING CO LTD SPONSORED ADR 413216300 44 10000 SH SOLE 10000 0 0 HCA HEALTHCARE INC COM 40412C101 443 2354 SH SOLE 2354 0 0 HOME DEPOT INC COM 437076102 5459 17885 SH SOLE 17885 0 0 HONDA MOTOR LTD AMERN SHS 438128308 592 19599 SH SOLE 19599 0 0 HONEYWELL INTL INC COM 438516106 3307 15234 SH SOLE 15234 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 277 9498 SH SOLE 9498 0 0 HUBBELL INC COM 443510607 3217 17212 SH SOLE 17212 0 0 HUMANA INC COM 444859102 325 776 SH SOLE 776 0 0 HUTCHISON CHINA MEDITECH LTD SPONSORED ADR 44842L103 610 21599 SH SOLE 21599 0 0 ICICI BANK LIMITED ADR 45104G104 329 20505 SH SOLE 20505 0 0 ICON PLC SHS G4705A100 324 1651 SH SOLE 1651 0 0 ILLINOIS TOOL WKS INC COM 452308109 1153 5205 SH SOLE 5205 0 0 ILLUMINA INC COM 452327109 265 690 SH SOLE 690 0 0 INDEPENDENCE HLDG CO NEW COM NEW 453440307 287 7205 SH SOLE 7205 0 0 INFOSYS LTD SPONSORED ADR 456788108 777 41490 SH SOLE 41490 0 0 ING GROEP N.V. SPONSORED ADR 456837103 298 24342 SH SOLE 24342 0 0 INGREDION INC COM 457187102 358 3984 SH SOLE 3984 0 0 INTEL CORP COM 458140100 3810 59529 SH SOLE 59529 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 338 3025 SH SOLE 3025 0 0 INTERCONTINENTAL HOTELS GROU SPONSORED ADS 45857P806 495 7184 SH SOLE 7184 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2187 16409 SH SOLE 16409 0 0 INTUIT COM 461202103 736 1921 SH SOLE 1921 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 771 1044 SH SOLE 1044 0 0 INVESCO EXCH TRADED FD TR II FTSE RAFI EMNG 46138E727 294 13061 SH SOLE 13061 0 0 INVESCO EXCH TRADED FD TR II VAR RATE PFD 46138G870 377 14568 SH SOLE 14568 0 0 INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 46137V241 475 10725 SH SOLE 10725 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 337 1056 SH SOLE 1056 0 0 ISHARES GOLD TR ISHARES 464285105 273 16811 SH SOLE 16811 0 0 ISHARES INC CORE MSCI EMKT 46434G103 50980 792115 SH SOLE 792115 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 484 4289 SH SOLE 4289 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 497 5236 SH SOLE 5236 0 0 ISHARES TR CORE MSCI EAFE 46432F842 152417 2115428 SH SOLE 2115428 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 2162 30762 SH SOLE 30762 0 0 ISHARES TR CORE S&P MCP ETF 464287507 66852 256848 SH SOLE 256848 0 0 ISHARES TR CORE S&P SCP ETF 464287804 26429 243522 SH SOLE 243522 0 0 ISHARES TR CORE S&P TTL STK 464287150 4022 43913 SH SOLE 43913 0 0 ISHARES TR CORE S&P500 ETF 464287200 1162 2920 SH SOLE 2920 0 0 ISHARES TR EAFE SML CP ETF 464288273 261 3639 SH SOLE 3639 0 0 ISHARES TR GL CLEAN ENE ETF 464288224 210 8642 SH SOLE 8642 0 0 ISHARES TR IBONDS DEC 46435U697 515 19066 SH SOLE 19066 0 0 ISHARES TR IBONDS DEC 25 46435U432 642 22984 SH SOLE 22984 0 0 ISHARES TR IBONDS DEC 26 46435U259 446 16610 SH SOLE 16610 0 0 ISHARES TR IBONDS DEC2021 46435G789 491 19090 SH SOLE 19090 0 0 ISHARES TR IBONDS DEC2022 46435G755 530 20124 SH SOLE 20124 0 0 ISHARES TR IBONDS DEC2023 46435G318 570 21794 SH SOLE 21794 0 0 ISHARES TR MBS ETF 464288588 214 1976 SH SOLE 1976 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 371 4007 SH SOLE 4007 0 0 ISHARES TR MSCI EAFE ETF 464287465 528 6958 SH SOLE 6958 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 394 7388 SH SOLE 7388 0 0 ISHARES TR NATIONAL MUN ETF 464288414 826 7120 SH SOLE 7120 0 0 ISHARES TR PFD AND INCM SEC 464288687 2098 54626 SH SOLE 54626 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1604 6601 SH SOLE 6601 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 951 6277 SH SOLE 6277 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 213 1953 SH SOLE 1953 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 609 2757 SH SOLE 2757 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 244 3752 SH SOLE 3752 0 0 ISHARES TR S&P MC 400GR ETF 464287606 336 4292 SH SOLE 4292 0 0 ISHARES TR SELECT DIVID ETF 464287168 376 3292 SH SOLE 3292 0 0 ISHARES TR TIPS BD ETF 464287176 468 3728 SH SOLE 3728 0 0 JOHNSON & JOHNSON COM 478160104 6083 37010 SH SOLE 37010 0 0 JPMORGAN CHASE & CO COM 46625H100 8483 55727 SH SOLE 55727 0 0 KEYCORP COM 493267108 303 15177 SH SOLE 15177 0 0 KIMBERLY-CLARK CORP COM 494368103 601 4322 SH SOLE 4322 0 0 KINDER MORGAN INC DEL COM 49456B101 254 15277 SH SOLE 15277 0 0 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 648 11358 SH SOLE 11358 0 0 KRAFT HEINZ CO COM 500754106 285 7115 SH SOLE 7115 0 0 LAKELAND BANCORP INC COM 511637100 1370 78614 SH SOLE 78614 0 0 LAM RESEARCH CORP COM 512807108 307 516 SH SOLE 516 0 0 LAUDER ESTEE COS INC CL A 518439104 394 1356 SH SOLE 1356 0 0 LILLY ELI & CO COM 532457108 886 4740 SH SOLE 4740 0 0 LINDE PLC SHS G5494J103 830 2964 SH SOLE 2964 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 357 154091 SH SOLE 154091 0 0 LOCKHEED MARTIN CORP COM 539830109 522 1413 SH SOLE 1413 0 0 LOWES COS INC COM 548661107 2084 10956 SH SOLE 10956 0 0 MARRIOTT INTL INC NEW CL A 571903202 772 5212 SH SOLE 5212 0 0 MARRIOTT VACTINS WORLDWID CO NOTE 1.500% 9/1 57164YAB3 26 20000 SH SOLE 20000 0 0 MARSH & MCLENNAN COS INC COM 571748102 1234 10130 SH SOLE 10130 0 0 MASTERCARD INCORPORATED CL A 57636Q104 4358 12239 SH SOLE 12239 0 0 MCDONALDS CORP COM 580135101 2495 11130 SH SOLE 11130 0 0 MEDTRONIC PLC SHS G5960L103 1486 12577 SH SOLE 12577 0 0 MERCK & CO. INC COM 58933Y105 2413 31303 SH SOLE 31303 0 0 METLIFE INC COM 59156R108 643 10578 SH SOLE 10578 0 0 MICRON TECHNOLOGY INC COM 595112103 518 5871 SH SOLE 5871 0 0 MICROSOFT CORP COM 594918104 18309 77658 SH SOLE 77658 0 0 MINERALS TECHNOLOGIES INC COM 603158106 203 2700 SH SOLE 2700 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 898 166911 SH SOLE 166911 0 0 MIZUHO FINANCIAL GROUP INC SPONSORED ADR 60687Y109 623 214260 SH SOLE 214260 0 0 MONDELEZ INTL INC CL A 609207105 1914 32695 SH SOLE 32695 0 0 MOODYS CORP COM 615369105 797 2669 SH SOLE 2669 0 0 MORGAN STANLEY COM NEW 617446448 839 10800 SH SOLE 10800 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 60 10000 SH SOLE 10000 0 0 NATWEST GROUP PLC SPONS ADR 2 ORD 639057108 520 96901 SH SOLE 96901 0 0 NETFLIX INC COM 64110L106 1926 3693 SH SOLE 3693 0 0 NEW MTN FIN CORP COM 647551100 1690 136259 SH SOLE 136259 0 0 NEW RELIC INC NOTE 0.500% 5/0 64829BAB6 473 485000 SH SOLE 485000 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 215 17000 SH SOLE 17000 0 0 NEW YORK CMNTY CAP TR V UNIT 11/01/2051 64944P307 407 8146 SH SOLE 8146 0 0 NEXTERA ENERGY INC COM 65339F101 2014 26635 SH SOLE 26635 0 0 NICE LTD SPONSORED ADR 653656108 697 3198 SH SOLE 3198 0 0 NIKE INC CL B 654106103 1832 13785 SH SOLE 13785 0 0 NOKIA CORP SPONSORED ADR 654902204 536 135387 SH SOLE 135387 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 391 73025 SH SOLE 73025 0 0 NORDIC AMERICAN TANKERS LIMI COM G65773106 38 11648 SH SOLE 11648 0 0 NORFOLK SOUTHN CORP COM 655844108 1132 4215 SH SOLE 4215 0 0 NOVARTIS AG SPONSORED ADR 66987V109 881 10301 SH SOLE 10301 0 0 NOVO-NORDISK A S ADR 670100205 687 10196 SH SOLE 10196 0 0 NUCOR CORP COM 670346105 270 3365 SH SOLE 3365 0 0 NUTRIEN LTD COM 67077M108 221 4098 SH SOLE 4098 0 0 NVIDIA CORPORATION COM 67066G104 2641 4946 SH SOLE 4946 0 0 NXP SEMICONDUCTORS N V COM N6596X109 253 1259 SH SOLE 1259 0 0 OMNICOM GROUP INC COM 681919106 350 4724 SH SOLE 4724 0 0 ORACLE CORP COM 68389X105 1815 25863 SH SOLE 25863 0 0 ORIX CORP SPONSORED ADR 686330101 354 4171 SH SOLE 4171 0 0 OTIS WORLDWIDE CORP COM 68902V107 250 3648 SH SOLE 3648 0 0 PARK NATL CORP COM 700658107 409 3161 SH SOLE 3161 0 0 PAYPAL HLDGS INC COM 70450Y103 2881 11864 SH SOLE 11864 0 0 PEARSON PLC SPONSORED ADR 705015105 625 58420 SH SOLE 58420 0 0 PEOPLES UNITED FINANCIAL INC COM 712704105 240 13403 SH SOLE 13403 0 0 PEPSICO INC COM 713448108 3728 26356 SH SOLE 26356 0 0 PFIZER INC COM 717081103 3120 86126 SH SOLE 86126 0 0 PHILIP MORRIS INTL INC COM 718172109 1783 20091 SH SOLE 20091 0 0 PHILLIPS 66 COM 718546104 519 6359 SH SOLE 6359 0 0 PNC FINL SVCS GROUP INC COM 693475105 1174 6691 SH SOLE 6691 0 0 PORTMAN RIDGE FIN CORP COM 73688F102 42 19248 SH SOLE 19248 0 0 PROCTER AND GAMBLE CO COM 742718109 5896 43532 SH SOLE 43532 0 0 PROGRESSIVE CORP COM 743315103 383 4004 SH SOLE 4004 0 0 PROLOGIS INC. COM 74340W103 851 8031 SH SOLE 8031 0 0 PRUDENTIAL FINL INC COM 744320102 201 2201 SH SOLE 2201 0 0 PURE STORAGE INC NOTE 0.125% 4/1 74624MAB8 431 390000 SH SOLE 390000 0 0 QORVO INC COM 74736K101 211 1154 SH SOLE 1154 0 0 QUALCOMM INC COM 747525103 1277 9628 SH SOLE 9628 0 0 RAMBUS INC DEL NOTE 1.375% 2/0 750917AG1 357 300000 SH SOLE 300000 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1624 21013 SH SOLE 21013 0 0 REALTY INCOME CORP COM 756109104 208 3273 SH SOLE 3273 0 0 RELX PLC SPONSORED ADR 759530108 484 19226 SH SOLE 19226 0 0 RIO TINTO PLC SPONSORED ADR 767204100 757 9750 SH SOLE 9750 0 0 ROCKWELL AUTOMATION INC COM 773903109 349 1313 SH SOLE 1313 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 224 6088 SH SOLE 6088 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 418 10660 SH SOLE 10660 0 0 RPM INTL INC COM 749685103 479 5220 SH SOLE 5220 0 0 RYANAIR HOLDINGS PLC SPONSORED ADS 783513203 769 6683 SH SOLE 6683 0 0 S&P GLOBAL INC COM 78409V104 510 1444 SH SOLE 1444 0 0 SALESFORCE COM INC COM 79466L302 1991 9398 SH SOLE 9398 0 0 SANOFI SPONSORED ADR 80105N105 414 8367 SH SOLE 8367 0 0 SAP SE SPON ADR 803054204 755 6146 SH SOLE 6146 0 0 SCHWAB CHARLES CORP COM 808513105 1136 17423 SH SOLE 17423 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 550 10639 SH SOLE 10639 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 228 7098 SH SOLE 7098 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1228 12784 SH SOLE 12784 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 216 2170 SH SOLE 2170 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 5750 94011 SH SOLE 94011 0 0 SEA LTD SPONSORD ADS 81141R100 2170 9723 SH SOLE 9723 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 702 14309 SH SOLE 14309 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 347 2066 SH SOLE 2066 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 421 6162 SH SOLE 6162 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 765 6552 SH SOLE 6552 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 902 26491 SH SOLE 26491 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 371 3768 SH SOLE 3768 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 823 6195 SH SOLE 6195 0 0 SERVICENOW INC COM 81762P102 572 1143 SH SOLE 1143 0 0 SHERWIN WILLIAMS CO COM 824348106 687 931 SH SOLE 931 0 0 SHIP FINANCE INTERNATIONAL L NOTE 5.750%10/1 G81075AF3 380 380000 SH SOLE 380000 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 490 2672 SH SOLE 2672 0 0 SMITH & NEPHEW PLC SPDN ADR NEW 83175M205 218 5763 SH SOLE 5763 0 0 SONY CORP SPONSORED ADR 835699307 740 6976 SH SOLE 6976 0 0 SOUTHERN CO COM 842587107 737 11857 SH SOLE 11857 0 0 SOUTHWEST AIRLS CO COM 844741108 334 5466 SH SOLE 5466 0 0 SPDR GOLD TR GOLD SHS 78463V107 305 1906 SH SOLE 1906 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6360 16048 SH SOLE 16048 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 569 1196 SH SOLE 1196 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 28270 501234 SH SOLE 501234 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 24331 641986 SH SOLE 641986 0 0 STARBUCKS CORP COM 855244109 1359 12436 SH SOLE 12436 0 0 STRYKER CORPORATION COM 863667101 714 2932 SH SOLE 2932 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 411 56660 SH SOLE 56660 0 0 SUPERNUS PHARMACEUTICALS INC NOTE 0.625% 4/0 868459AD0 425 441000 SH SOLE 441000 0 0 SYSCO CORP COM 871829107 237 3013 SH SOLE 3013 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 489 4135 SH SOLE 4135 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 459 25123 SH SOLE 25123 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 257 4764 SH SOLE 4764 0 0 TALEND S A ADS 874224207 808 12691 SH SOLE 12691 0 0 TARGET CORP COM 87612E106 1530 7725 SH SOLE 7725 0 0 TELEFONICA S A SPONSORED ADR 879382208 273 60247 SH SOLE 60247 0 0 TENARIS S A SPONSORED ADS 88031M109 243 10692 SH SOLE 10692 0 0 TERADYNE INC COM 880770102 215 1768 SH SOLE 1768 0 0 TESLA INC COM 88160R101 3197 4786 SH SOLE 4786 0 0 TEXAS INSTRS INC COM 882508104 2608 13801 SH SOLE 13801 0 0 THERAVANCE INC NOTE 2.125% 1/1 88338TAB0 85 85000 SH SOLE 85000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 2361 5174 SH SOLE 5174 0 0 TJX COS INC NEW COM 872540109 689 10417 SH SOLE 10417 0 0 T-MOBILE US INC COM 872590104 349 2788 SH SOLE 2788 0 0 TOLL BROTHERS INC COM 889478103 1115 19661 SH SOLE 19661 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 360 5516 SH SOLE 5516 0 0 TOTAL SE SPONSORED ADS 89151E109 812 17449 SH SOLE 17449 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 878 5623 SH SOLE 5623 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 351 2120 SH SOLE 2120 0 0 TRAVELERS COMPANIES INC COM 89417E109 672 4470 SH SOLE 4470 0 0 TRUIST FINL CORP COM 89832Q109 584 10009 SH SOLE 10009 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 177 171000 SH SOLE 171000 0 0 UNION PAC CORP COM 907818108 3092 14027 SH SOLE 14027 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2066 12156 SH SOLE 12156 0 0 UNITEDHEALTH GROUP INC COM 91324P102 4851 13038 SH SOLE 13038 0 0 US BANCORP DEL COM NEW 902973304 1530 27655 SH SOLE 27655 0 0 V F CORP COM 918204108 218 2722 SH SOLE 2722 0 0 VALERO ENERGY CORP COM 91913Y100 465 6494 SH SOLE 6494 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 32320 137548 SH SOLE 137548 0 0 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 18103 132436 SH SOLE 132436 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 528 6234 SH SOLE 6234 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 7759 30187 SH SOLE 30187 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 347 2573 SH SOLE 2573 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 33508 151386 SH SOLE 151386 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 158951 436317 SH SOLE 436317 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 541 3266 SH SOLE 3266 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 13756 64255 SH SOLE 64255 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 390 1421 SH SOLE 1421 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1652 7991 SH SOLE 7991 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 15999 121700 SH SOLE 121700 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 251 4141 SH SOLE 4141 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 25943 498419 SH SOLE 498419 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 40353 738525 SH SOLE 738525 0 0 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 10317 153462 SH SOLE 153462 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 36804 395609 SH SOLE 395609 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 344 1374 SH SOLE 1374 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 919 6249 SH SOLE 6249 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 58692 1195105 SH SOLE 1195105 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 885 8758 SH SOLE 8758 0 0 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 573 509000 SH SOLE 509000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2209 37987 SH SOLE 37987 0 0 VIAVI SOLUTIONS INC NOTE 1.000% 3/0 925550AB1 276 210000 SH SOLE 210000 0 0 VISA INC COM CL A 92826C839 4232 19987 SH SOLE 19987 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 501 27179 SH SOLE 27179 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 517 9418 SH SOLE 9418 0 0 WALMART INC COM 931142103 1162 8552 SH SOLE 8552 0 0 WASTE MGMT INC DEL COM 94106L109 368 2853 SH SOLE 2853 0 0 WEC ENERGY GROUP INC COM 92939U106 205 2188 SH SOLE 2188 0 0 WELLS FARGO CO NEW COM 949746101 1675 42870 SH SOLE 42870 0 0 WESTPAC BANKING CORP SPONSORED ADR 961214301 637 34329 SH SOLE 34329 0 0 WNS HLDGS LTD SPON ADR 92932M101 372 5133 SH SOLE 5133 0 0 WPP PLC NEW ADR 92937A102 654 10228 SH SOLE 10228 0 0 YUM BRANDS INC COM 988498101 647 5979 SH SOLE 5979 0 0 YUM CHINA HLDGS INC COM 98850P109 277 4679 SH SOLE 4679 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 54 15000 SH SOLE 15000 0 0 ZOETIS INC CL A 98978V103 830 5269 SH SOLE 5269 0 0