0001763608-20-000004.txt : 20201109 0001763608-20-000004.hdr.sgml : 20201109 20201109102702 ACCESSION NUMBER: 0001763608-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201109 DATE AS OF CHANGE: 20201109 EFFECTIVENESS DATE: 20201109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Capital Financial Planning, LLC CENTRAL INDEX KEY: 0001763608 IRS NUMBER: 050558883 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19406 FILM NUMBER: 201296519 BUSINESS ADDRESS: STREET 1: 6 TOWER PLACE CITY: ALBANY STATE: NY ZIP: 12203 BUSINESS PHONE: 5188674000 MAIL ADDRESS: STREET 1: 6 TOWER PLACE CITY: ALBANY STATE: NY ZIP: 12203 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001763608 XXXXXXXX 09-30-2020 09-30-2020 Capital Financial Planning, LLC

6 TOWER PLACE ALBANY NY 12203

13F HOLDINGS REPORT 028-19406 N TODD SLINGERLAND (518) 867-4000 TODD SLINGERLAND Albany NY 11-09-2020 3 103 177505 false 1 Clark Capital Management Group Inc. 2 City National Rochdale LLC 3 Assetmark Inc. INFORMATION TABLE 2 13F_CFP_2020Q3.xml ADOBE INC COM 00724F101 215 439 SH DFND 2 0 0 439 AMGEN INC COM 031162100 235 925 SH DFND 1,3 0 0 925 AUTOMATIC DATA COM 053015103 258 1849 SH DFND 1 0 0 1849 COCA COLA COMPANY COM 191216100 250 5071 SH DFND 1,2 0 0 5071 GENERAL ELECTRIC COM 369604103 299 47997 SH SOLE 0 0 47997 INTEL CORP COM 458140100 261 5049 SH DFND 1,2,3 0 0 5049 INTL BUSINESS COM 459200101 313 2570 SH SOLE 0 0 2570 JPMORGAN CHASE COM 46625H100 298 3099 SH DFND 1,2 0 0 3099 JOHNSON & JOHNSON COM 478160104 361 2422 SH DFND 1,2 0 0 2422 Mastercard, Inc. COM 57636Q104 274 809 SH DFND 2,3 0 0 809 MCDONALDS CORP COM 580135101 362 1649 SH DFND 1,2 0 0 1649 PEPSICO INC COM 713448108 283 2042 SH DFND 2 0 0 2042 PFIZER INC COM 717081103 224 6106 SH DFND 1,2,3 0 0 6106 PHILIP MORRIS COM 718172109 221 2940 SH DFND 1,2,3 0 0 2940 PUBLIC SERVICE COM 744573106 218 3962 SH DFND 2,3 0 0 3962 SIRIUS XM COM 82968B103 58 10869 SH SOLE 0 0 10869 SOUTHWEST AIRLINES COM 844741108 351 9350 SH SOLE 0 0 9350 TESLA INC COM 88160R101 215 500 SH SOLE 0 0 500 UnitedHealth Group, Inc. COM 91324P102 213 682 SH DFND 1,2,3 0 0 682 VISA INC COM 92826C839 272 1359 SH DFND 2 0 0 1359 ALPHABET INC COM 02079K107 419 285 SH SOLE 0 0 285 NVIDIA CORP COM 67066G104 408 755 SH SOLE 0 0 755 VERISK ANALYTICS COM 92345Y106 800 4316 SH SOLE 0 0 4316 AT&T INC COM 00206R102 649 22759 SH DFND 1,2,3 0 0 22759 ALPHABET INC COM 02079K305 466 318 SH DFND 1,2,3 0 0 318 AMAZON COM COM 023135106 2018 641 SH DFND 1,2,3 0 0 641 APPLE INC COM 037833100 7953 68673 SH DFND 1,2,3 0 0 68673 BERKSHIRE HATHAWAY COM 084670702 617 2898 SH DFND 2 0 0 2898 WALT DISNEY COM 254687106 1067 8600 SH DFND 1,2 0 0 8600 HOME DEPOT COM 437076102 404 1453 SH DFND 1,2,3 0 0 1453 MICROSOFT CORP COM 594918104 2103 10000 SH DFND 1,2,3 0 0 10000 PROCTER & GAMBLE COM 742718109 590 4242 SH DFND 1,2,3 0 0 4242 VERIZON COMMUNICATIONS COM 92343V104 836 14056 SH DFND 1,2,3 0 0 14056 FIRST TRUST ETF 33738D309 230 4992 SH SOLE 64 0 4928 FIRST TRUST ETF 33739Q200 11167 216074 SH SOLE 1188 0 214886 FIRST TRUST ETF 33740F805 1385 25165 SH SOLE 0 0 25165 INVESCO S&P ETF 46137V274 704 7462 SH SOLE 0 0 7462 INVESCO S&P ETF 46137V373 369 2580 SH SOLE 0 0 2580 iShares MSCI BRIC Index ETF 464286657 267 5749 SH DFND 3 0 0 5749 ISHARES SELECT ETF 464287168 504 6176 SH DFND 3 0 0 6176 ISHARES CORE ETF 464287200 442 1315 SH DFND 1,2 0 0 1315 ISHARES MSCI ETF 464287234 1072 24324 SH DFND 3 885 0 23439 ISHARES IBOXX ETF 464287242 9797 72723 SH DFND 3 595 0 72128 ISHARES GLOBAL ETF 464287291 461 1748 SH DFND 3 0 0 1748 ISHARES 20 ETF 464287432 707 4330 SH DFND 3 0 0 4330 ISHARES 7-10YR ETF 464287440 1324 10871 SH DFND 3 0 0 10871 ISHARES 1-3YR ETF 464287457 376 4350 SH DFND 3 0 0 4350 ISHARES MSCI ETF 464287465 838 13168 SH SOLE 178 0 12990 ISHARES RUSSELL ETF 464287481 538 3110 SH DFND 3 0 0 3110 iShares GS Semiconductor Index ETF 464287523 468 1537 SH DFND 3 0 0 1537 ISHARES CORE ETF 464287804 1370 19511 SH SOLE 0 0 19511 ISHARES JPMORGAN ETF 464288281 664 5988 SH DFND 3 208 0 5780 ISHARES NEW YORK ETF 464288323 248 4317 SH DFND 2 0 0 4317 ISHARES NATIONAL ETF 464288414 1002 8642 SH DFND 3 0 0 8642 ISHARES IBOXX ETF 464288513 962 11471 SH DFND 1,3 0 0 11471 iShares Barclays MBS Fixed-Rate Bond ETF 464288588 441 3998 SH DFND 3 0 0 3998 iShares Board USD Invest Grade Bd ETF 464288620 453 7454 SH DFND 3 0 0 7454 ISHARES 5-10 YEAR ETF 464288638 312 5135 SH DFND 3 0 0 5135 iShares Barclays 10-20 Year Treas Bd ETF 464288653 456 2741 SH DFND 3 0 0 2741 ISHARES FLOATING ETF 46429B655 238 4698 SH DFND 3 0 0 4698 ISHARES CORE ETF 46429B663 5450 67720 SH SOLE 1147 0 66573 iShares Rate Hedged Corp Bond ETF 46431W705 236 2590 SH DFND 3 0 0 2590 ISHARES MSCI ETF 46432F396 255 1730 SH DFND 1,3 0 0 1730 ISHARES CORE ETF 46432F842 2163 35888 SH DFND 3 1375 0 34513 ISHARES CORE ETF 46434G103 325 6152 SH DFND 3 0 0 6152 ISHARES EXPONENTIAL ETF 46434V381 288 5929 SH SOLE 0 0 5929 ISHARES CORE ETF 46434V621 4943 124232 SH DFND 3 95 0 124137 ISHARES IBONDS ETF 46434VAQ3 597 23670 SH SOLE 1401 0 22269 ISHARES IBONDS ETF 46434VAX8 432 16487 SH SOLE 1414 0 15073 ISHARES IBONDS ETF 46434VBA7 651 25403 SH SOLE 1419 0 23984 ISHARES IBONDS ETF 46434VBG4 438 16567 SH SOLE 1416 0 15151 ISHARES IBONDS ETF 46434VBK5 662 26436 SH SOLE 1430 0 25006 ISHARES RUSSELL ETF 46435G268 652 14558 SH SOLE 0 0 14558 PIMCO 0-5 ETF 72201R783 203 2161 SH DFND 1,3 0 0 2161 PIMCO INVESTMENT ETF 72201R817 6902 60198 SH SOLE 0 0 60198 SPDR S&P ETF 78462F103 685 2045 SH DFND 2,3 76 0 1968 SPDR S&P Developed World Ex-US ETF 78463X889 266 9080 SH DFND 3 0 0 9080 SPDR PORTFOLIO ETF 78464A474 211 6728 SH SOLE 0 0 6728 SPDR Invstmnt Grade Floating Rate ETF ETF 78468R200 306 10000 SH DFND 3 0 0 10000 SPDR BLM Barclays High Yld Bond ETF 78468R622 429 4113 SH DFND 1,3 0 0 4113 SPDR Barclays 1-3 Month T Bill ETF 78468R663 259 2833 SH DFND 3 0 0 2833 SECTOR HEALTHCARE ETF 81369Y209 2831 26837 SH DFND 3 0 0 26837 SECTOR CONSUMER ETF 81369Y308 1117 17421 SH DFND 3 0 0 17421 CONSUMER DISCRETIONARY ETF 81369Y407 7412 50430 SH DFND 3 488 0 49942 SECTOR FINANCIAL ETF 81369Y605 4510 187365 SH DFND 3 2555 0 184810 SECTOR TECHNOLOGY ETF 81369Y803 4173 35758 SH DFND 3 217 0 35541 SELECT UTILITIES ETF 81369Y886 488 8222 SH DFND 3 0 0 8222 Vanguard Mega Cap 300 Growth Index ETF 921910816 1083 5839 SH DFND 3 0 0 5839 Vanguard Mega Cap 300 Value Index ETF ETF 921910840 807 10516 SH DFND 3 0 0 10516 VANGUARD MEGA ETF 921910873 709 5909 SH SOLE 62 0 5847 VANGUARD SHORT ETF 921937827 295 3552 SH SOLE 0 0 3552 VANGUARD FTSE ETF 922042775 372 7371 SH DFND 3 0 0 7371 VANGUARD SHORT ETF 92206C409 437 5269 SH DFND 3 0 0 5269 VANGUARD S&P ETF 922908363 991 3222 SH DFND 3 0 0 3222 Vanguard Mid-Cap Value ETF ETF 922908512 239 2361 SH DFND 3 0 0 2361 VANGUARD MID ETF 922908538 323 1794 SH DFND 3 0 0 1794 VANGUARD SMALL ETF 922908595 406 1889 SH DFND 3 0 0 1889 VANGUARD SMALL ETF 922908611 403 3643 SH DFND 3 0 0 3643 VANGUARD MID ETF 922908629 10813 61349 SH DFND 3 583 0 60766 VANGUARD GROWTH ETF 922908736 24559 107900 SH DFND 3 1183 0 106717 VANGUARD VALUE ETF 922908744 19955 190942 SH DFND 3 1848 0 189094 VANGUARD SMALL ETF 922908751 6841 44483 SH SOLE 700 0 43783 VANGUARD TOTAL ETF 922908769 2082 12223 SH SOLE 105 0 12118