President

0001437749-22-002940.txt : 20220210 0001437749-22-002940.hdr.sgml : 20220210 20220210083523 ACCESSION NUMBER: 0001437749-22-002940 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220210 DATE AS OF CHANGE: 20220210 EFFECTIVENESS DATE: 20220210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Bay Harbor Wealth Management, LLC CENTRAL INDEX KEY: 0001767989 IRS NUMBER: 451032121 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19245 FILM NUMBER: 22610741 BUSINESS ADDRESS: STREET 1: 201 INTERNATIONAL CIRCLE, STE 200 CITY: HUNT VALLEY STATE: MD ZIP: 21030 BUSINESS PHONE: 4104032060 MAIL ADDRESS: STREET 1: 201 INTERNATIONAL CIRCLE, STE 200 CITY: HUNT VALLEY STATE: MD ZIP: 21030 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001767989 XXXXXXXX 12-31-2021 12-31-2021 Bay Harbor Wealth Management, LLC

201 INTERNATIONAL CIRCLE, STE 200 HUNT VALLEY MD 21030

13F HOLDINGS REPORT 028-19245 N Lance Scott President (410) 403-2060 /s/ Lance Scott Hunt Valley MD 02-09-2022 4 159 248511 false 1 028-16121 Astor Investment Management LLC 2 028-13023 Dana Investment Advisors, Inc. 3 028-18135 State Street Global Advisors Trust Co 4 028-04375 Federated Investors Inc. INFORMATION TABLE 2 infotable_bhwmq421.xml ABBOTT LABS COM Common Stock 002824100 81 631 SH OTR 2 0 0 631 ABBVIE INC COM Common Stock 00287Y109 105 739 SH OTR 2 0 0 739 ACCENTURE PLC IRELAND SHS CLASS A Common Stock G1151C101 2 7 SH OTR 2 0 0 7 ADOBE SYSTEMS INCORPORATED COM Common Stock 00724F101 78 153 SH OTR 2 0 0 153 ALEXANDRIA REAL ESTATE EQ INC COM Real Estate Investment Trust 015271109 1 5 SH OTR 2 0 0 5 ALPHABET INC CAP STK CL A Common Stock 02079K305 175 63 SH OTR 2 0 0 63 AMAZON COM INC COM Common Stock 023135106 104 33 SH OTR 2 0 0 33 AMERICAN EXPRESS CO COM Common Stock 025816109 91 485 SH OTR 2 0 0 485 AMERICAN TOWER CORP NEW COM Real Estate Investment Trust 03027X100 40 164 SH OTR 2 0 0 164 ANALOG DEVICES INC COM Common Stock 032654105 92 575 SH OTR 2 0 0 575 APPLE INC COM Common Stock 037833100 188 1097 SH OTR 2 0 0 1097 ARK INNOVATION ETF Exchange Traded Fund 00214Q104 78 1073 SH SOLE 0 0 0 1073 AVANTOR INC COM Common Stock 05352A100 87 2394 SH OTR 2 0 0 2394 AVERY DENNISON CORP COM Common Stock 053611109 57 312 SH OTR 2 0 0 312 BANK NEW YORK MELLON CORP COM Common Stock 064058100 105 1688 SH OTR 2 0 0 1688 BEST BUY INC COM Common Stock 086516101 58 591 SH OTR 2 0 0 591 BK OF AMERICA CORP COM Common Stock 060505104 102 2106 SH OTR 2 0 0 2106 CADENCE DESIGN SYSTEM INC COM Common Stock 127387108 2 16 SH OTR 2 0 0 16 CDW CORP COM Common Stock 12514G108 102 531 SH OTR 2 0 0 531 CIENA CORP COM NEW Common Stock 171779309 10 152 SH SOLE 0 0 0 152 CIGNA CORP NEW COM Common Stock 125523100 17 74 SH OTR 0 0 0 74 CISCO SYS INC COM Common Stock 17275R102 90 1639 SH OTR 2 0 0 1639 COGNIZANT TECHNOLOGY SOLUTIONS CL A Common Stock 192446102 108 1228 SH OTR 2 0 0 1228 COMCAST CORP NEW CL A Common Stock 20030N101 89 1815 SH OTR 2 0 0 1815 CONOCOPHILLIPS COM Common Stock 20825C104 40 434 SH OTR 2 0 0 434 CVS HEALTH CORP COM Common Stock 126650100 106 972 SH OTR 2 0 0 972 D R HORTON INC COM Common Stock 23331A109 85 992 SH OTR 2 0 0 992 DARLING INGREDIENTS INC COM Common Stock 237266101 2 27 SH OTR 2 0 0 27 DECKERS OUTDOOR CORP COM Common Stock 243537107 65 220 SH OTR 2 0 0 220 DEERE & CO COM Common Stock 244199105 87 233 SH OTR 2 0 0 233 DISCOVER FINL SVCS COM Common Stock 254709108 78 659 SH OTR 2 0 0 659 DISNEY WALT CO COM Common Stock 254687106 65 456 SH OTR 2 0 0 456 DOVER CORP COM Common Stock 260003108 86 531 SH OTR 2 0 0 531 ENVISTA HOLDINGS CORPORATION COM Common Stock 29415F104 2 52 SH OTR 2 0 0 52 EVERSOURCE ENERGY COM Common Stock 30040W108 54 615 SH OTR 2 0 0 615 FIDELITY NATL INFORMATION SVCS COM Common Stock 31620M106 82 719 SH OTR 2 0 0 719 FINANCIAL SELECT SECTOR SPDR FUND Exchange Traded Fund 81369Y605 80 1984 SH OTR 3 0 0 1984 FIRST TRUST SENIOR LOAN FUND Exchange Traded Fund 33738D309 52 1094 SH OTR 1 0 0 1094 FORTUNE BRANDS HOME & SEC INC COM Common Stock 34964C106 73 818 SH OTR 2 0 0 818 GAMING & LEISURE PPTYS INC COM Real Estate Investment Trust 36467J108 31 692 SH OTR 2 0 0 692 GENERAL MLS INC COM Common Stock 370334104 2 30 SH OTR 2 0 0 30 GENERAL MTRS CO COM Common Stock 37045V100 72 1419 SH OTR 2 0 0 1419 GRAINGER W W INC COM Common Stock 384802104 1 2 SH OTR 2 0 0 2 HANNON ARMSTRONG SUST INFR CAP COM Real Estate Investment Trust 41068X100 2 41 SH OTR 2 0 0 41 HOME DEPOT INC COM Common Stock 437076102 84 235 SH OTR 2 0 0 235 HORIZON THERAPEUTICS PUB L SHS Common Stock G46188101 88 941 SH OTR 2 0 0 941 INDUSTRIAL SELECT SECTOR SPDR FUND Exchange Traded Fund 81369Y704 36 356 SH OTR 3 0 0 356 INTERPUBLIC GROUP COS INC COM Common Stock 460690100 94 2585 SH OTR 2 0 0 2585 INVESCO OPTIMUM YIELD DIVERSIFIED COMMODITY STRATEGY NOA K-1A ETF Exchange Traded Fund 46090F100 64 4129 SH OTR 3 0 0 4129 INVESCO S&P 500 EQUAL WEIGHT ETF Exchange Traded Fund 46137V357 112 719 SH OTR 1 0 0 719 INVESCO S&P 500 EQUAL WEIGHT TECHNOLOGY ETF Exchange Traded Fund 46137V282 109 374 SH OTR 1 0 0 374 IQVIA HLDGS INC COM Common Stock 46266C105 2 9 SH OTR 2 0 0 9 ISHARES 10-20 YEAR TREASURY BOND ETF Exchange Traded Fund 464288653 1180 8360 SH SOLE 0 0 0 8360 ISHARES COMMODITIES SELECT STRATEGY ETF Exchange Traded Fund 46431W853 2265 65833 SH SOLE 0 0 0 65833 ISHARES CONVERTIBLE BOND ETF Exchange Traded Fund 46435G102 173 2086 SH SOLE 0 0 0 2086 ISHARES CORE AGGRESSIVE ALLOCATION ETF Exchange Traded Fund 464289859 166 2376 SH SOLE 0 0 0 2376 ISHARES CORE CONSERVATIVE ALLOCATION ETF Exchange Traded Fund 464289883 321 8318 SH SOLE 0 0 0 8318 ISHARES CORE MSCI EMERGING MARKETS ETF Exchange Traded Fund 46434G103 2 39 SH SOLE 0 0 0 39 ISHARES CORE S&P 500 ETF Exchange Traded Fund 464287200 19421 43229 SH SOLE 0 0 0 43229 ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF Exchange Traded Fund 464287150 91 907 SH OTR 1 0 0 907 ISHARES CORE TOTAL USD BOND MARKET ETF Exchange Traded Fund 46434V613 13288 259086 SH SOLE 0 0 0 259086 ISHARES ESG AWARE MSCI USA ETF Exchange Traded Fund 46435G425 15334 152444 SH SOLE 0 0 0 152444 ISHARES EVOLVED U.S. TECHNOLOGY ETF Exchange Traded Fund 46431W648 312 5698 SH SOLE 0 0 0 5698 ISHARES FALLEN ANGELS USD BOND ETF Exchange Traded Fund 46435G474 2992 105616 SH SOLE 0 0 0 105616 ISHARES GLOBAL FINANCIALS ETF Exchange Traded Fund 464287333 1395 16665 SH SOLE 0 0 0 16665 ISHARES GLOBAL TECH ETF Exchange Traded Fund 464287291 1838 31569 SH SOLE 0 0 0 31569 ISHARES GROWTH ALLOCATION FUND Exchange Traded Fund 464289867 56 1019 SH SOLE 0 0 0 1019 ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF Exchange Traded Fund 464288281 209 2001 SH SOLE 0 0 0 2001 ISHARES MBS ETF Exchange Traded Fund 464288588 1847 17575 SH SOLE 0 0 0 17575 ISHARES MODERATE ALLOCATION FUND Exchange Traded Fund 464289875 380 8659 SH SOLE 0 0 0 8659 ISHARES MSCI EAFE GROWTH ETF Exchange Traded Fund 464288885 5502 55550 SH SOLE 0 0 0 55550 ISHARES MSCI EAFE VALUE ETF Exchange Traded Fund 464288877 7470 142549 SH SOLE 0 0 0 142549 ISHARES MSCI EM ESG SELECT ETF Exchange Traded Fund 46434G863 2806 70740 SH SOLE 0 0 0 70740 ISHARES MSCI EMERGING MARKETS EX CHINA ETF Exchange Traded Fund 46434G764 53 872 SH OTR 1 0 0 872 ISHARES MSCI USA MIN VOL FACTOR ETF Exchange Traded Fund 46429B697 1191 15729 SH OTR 1 0 0 15729 ISHARES MSCI USA VALUE FACTOR ETF Exchange Traded Fund 46432F388 1542 14423 SH SOLE 0 0 0 14423 ISHARES NATIONAL MUNI BOND ETF Exchange Traded Fund 464288414 95 832 SH SOLE 0 0 0 832 ISHARES RUSSELL 3000 ETF Exchange Traded Fund 464287689 9 35 SH SOLE 0 0 0 35 ISHARES S&P SMALL-CAP FUND Exchange Traded Fund 464287804 2772 26384 SH SOLE 0 0 0 26384 ISHARES SEMICONDUCTOR FUND Exchange Traded Fund 464287523 331 694 SH SOLE 0 0 0 694 ISHARES TIPS BOND ETF Exchange Traded Fund 464287176 2785 22488 SH SOLE 0 0 0 22488 ISHARES U.S. ENERGY ETF Exchange Traded Fund 464287796 1991 53953 SH SOLE 0 0 0 53953 ISHARES U.S. TREASURY BOND ETF Exchange Traded Fund 46429B267 9164 356441 SH SOLE 0 0 0 356441 JPMORGAN CHASE & CO COM Common Stock 46625H100 81 530 SH OTR 2 0 0 530 KEURIG DR PEPPER INC COM Common Stock 49271V100 73 1900 SH OTR 2 0 0 1900 KIMBERLY-CLARK CORP COM Common Stock 494368103 61 461 SH OTR 2 0 0 461 LABORATORY CORP AMER HLDGS COM NEW Common Stock 50540R409 1 4 SH SOLE 0 0 0 4 LAM RESEARCH CORP COM Common Stock 512807108 93 163 SH OTR 2 0 0 163 MATERIALS SELECT SECTOR SPDR FUND Exchange Traded Fund 81369Y100 31 380 SH OTR 3 0 0 380 MCDONALDS CORP COM Common Stock 580135101 2 6 SH OTR 2 0 0 6 MERCK & CO INC COM Common Stock 58933Y105 77 994 SH OTR 2 0 0 994 META PLATFORMS INC CL A Common Stock 30303M102 48 212 SH OTR 2 0 0 212 MICROCHIP TECHNOLOGY INC. COM Common Stock 595017104 89 1211 SH OTR 2 0 0 1211 MICROSOFT CORP COM Common Stock 594918104 159 527 SH OTR 2 0 0 527 MONDELEZ INTL INC CL A Common Stock 609207105 78 1149 SH OTR 2 0 0 1149 MORGAN STANLEY COM NEW Common Stock 617446448 109 1034 SH OTR 2 0 0 1034 NEXTERA ENERGY INC COM Common Stock 65339F101 61 800 SH OTR 2 0 0 800 NORFOLK SOUTHN CORP COM Common Stock 655844108 66 249 SH OTR 2 0 0 249 NUCOR CORP COM Common Stock 670346105 65 588 SH OTR 2 0 0 588 PARKER-HANNIFIN CORP COM Common Stock 701094104 76 249 SH OTR 2 0 0 249 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND Exchange Traded Fund 72201R775 3 31 SH SOLE 0 0 0 31 PIONEER NAT RES CO COM Common Stock 723787107 94 413 SH OTR 2 0 0 413 PROCTER AND GAMBLE CO COM Common Stock 742718109 3 18 SH SOLE 0 0 0 18 PROLOGIS INC. COM Real Estate Investment Trust 74340W103 57 372 SH OTR 2 0 0 372 QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF Exchange Traded Fund 500767736 102 3942 SH OTR 1 0 0 3942 REGAL REXNORD CORPORATION COM Common Stock 758750103 2 16 SH OTR 2 0 0 16 ROYCE MICRO-CAP TR INC COM Closed End Fund 780915104 7 717 SH SOLE 0 0 0 717 SPDR BLACKSTONE SENIOR LOAN ETF Exchange Traded Fund 78467V608 45 996 SH OTR 3 0 0 996 SPDR BLOOMBERG 1-10 YEAR TIPS ETF Exchange Traded Fund 78468R861 61 2984 SH OTR 3 0 0 2984 SPDR BLOOMBERG 1-3 MONTH T-BILL ETF Exchange Traded Fund 78468R663 36 389 SH OTR 3 0 0 389 SPDR BLOOMBERG EMERGING MARKETS LOCAL BOND ETF Exchange Traded Fund 78464A391 33 1363 SH OTR 3 0 0 1363 SPDR BLOOMBERG HIGH YIELD BOND ETF Exchange Traded Fund 78468R622 45 429 SH OTR 3 0 0 429 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF Exchange Traded Fund 78467V848 178 3860 SH OTR 3 0 0 3860 SPDR GOLD SHARES Exchange Traded Fund 78463V107 13 74 SH OTR 3 0 0 74 SPDR PORTFOLIO AGGREGATE BOND ETF Exchange Traded Fund 78464A649 27 938 SH OTR 3 0 0 938 SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF Exchange Traded Fund 78463X889 153 4344 SH OTR 3 0 0 4344 SPDR PORTFOLIO EMERGING MARKETS ETF Exchange Traded Fund 78463X509 66 1583 SH OTR 3 0 0 1583 SPDR PORTFOLIO EUROPE ETF Exchange Traded Fund 78463X103 45 1102 SH OTR 3 0 0 1102 SPDR PORTFOLIO LONG TERM CORPORATE BOND ETF Exchange Traded Fund 78464A367 61 2081 SH OTR 3 0 0 2081 SPDR PORTFOLIO LONG TERM TREASURY ETF Exchange Traded Fund 78464A664 71 1789 SH OTR 3 0 0 1789 SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETF Exchange Traded Fund 78464A805 183 3323 SH OTR 1 0 0 3323 SPDR PORTFOLIO S&P 400 MID CAP ETF Exchange Traded Fund 78464A847 84 1820 SH OTR 1 0 0 1820 SPDR PORTFOLIO S&P 500 ETF Exchange Traded Fund 78464A854 280 5324 SH OTR 1, 3 0 0 5324 SPDR PORTFOLIO S&P 600 SMALL CAP ETF Exchange Traded Fund 78468R853 58 1427 SH OTR 0 0 0 1427 SPDR S&P 500 ETF Exchange Traded Fund 78462F103 304 680 SH SOLE 0 0 0 680 SPDR S&P INTERNATIONAL SMALL CAP ETF Exchange Traded Fund 78463X871 22 623 SH OTR 3 0 0 623 SYNEOS HEALTH INC CL A Common Stock 87166B102 82 923 SH OTR 2 0 0 923 TARGET CORP COM Common Stock 87612E106 88 418 SH OTR 2 0 0 418 TE CONNECTIVITY LTD SHS Common Stock H84989104 87 609 SH OTR 2 0 0 609 TECHNOLOGY SELECT SECTOR SPDR FUND Exchange Traded Fund 81369Y803 105 662 SH OTR 0 0 0 662 TESLA INC COM Common Stock 88160R101 2 2 SH SOLE 0 0 0 2 TRACTOR SUPPLY CO COM Common Stock 892356106 2 10 SH OTR 2 0 0 10 TRUIST FINL CORP COM Common Stock 89832Q109 3 39 SH OTR 2 0 0 39 VANECK RARE EARTH/STRATEGIC METALS ETF Exchange Traded Fund 92189H805 9 86 SH SOLE 0 0 0 86 VANGUARD CONSUMER DISCRETIONARY INDEX FUND Exchange Traded Fund 92204A108 290 949 SH SOLE 0 0 0 949 VANGUARD DIVIDEND APPRECIATION INDEX FUND Exchange Traded Fund 921908844 432 2670 SH SOLE 0 0 0 2670 VANGUARD FTSE DEVELOPED MARKETS ETF Exchange Traded Fund 921943858 23673 479208 SH SOLE 0 0 0 479208 VANGUARD FTSE EMERGING MARKETS ETF Exchange Traded Fund 922042858 8408 169935 SH SOLE 0 0 0 169935 VANGUARD FTSE PACIFIC ETF Exchange Traded Fund 922042866 13 171 SH OTR 3 0 0 171 VANGUARD GROWTH INDEX FUND Exchange Traded Fund 922908736 23327 81730 SH SOLE 0 0 0 81730 VANGUARD HEALTH CARE INDEX FUND Exchange Traded Fund 92204A504 10 39 SH SOLE 0 0 0 39 VANGUARD INFORMATION TECHNOLOGY INDEX FUND Exchange Traded Fund 92204A702 1033 2495 SH SOLE 0 0 0 2495 VANGUARD INTERMEDIATE-TERM BOND INDEX FUND Exchange Traded Fund 921937819 8722 102817 SH SOLE 0 0 0 102817 VANGUARD LONG-TERM BOND INDEX FUND Exchange Traded Fund 921937793 9443 98089 SH SOLE 0 0 0 98089 VANGUARD MORTGAGE-BACKED SECURITIES ETF Exchange Traded Fund 92206C771 9181 177723 SH SOLE 0 0 0 177723 VANGUARD REAL ESTATE ETF Exchange Traded Fund 922908553 51 484 SH OTR 1 0 0 484 VANGUARD SHORT-TERM BOND INDEX FUND Exchange Traded Fund 921937827 15910 199729 SH SOLE 0 0 0 199729 VANGUARD SMALL-CAP INDEX FUND Exchange Traded Fund 922908751 6009 28984 SH SOLE 0 0 0 28984 VANGUARD TAX-EXEMPT BOND ETF Exchange Traded Fund 922907746 95 1767 SH SOLE 0 0 0 1767 VANGUARD TOTAL INTERNATIONAL BOND ETF Exchange Traded Fund 92203J407 18374 342417 SH SOLE 0 0 0 342417 VANGUARD TOTAL STOCK MARKET INDEX FUND Exchange Traded Fund 922908769 59 260 SH SOLE 0 0 0 260 VANGUARD VALUE INDEX FUND Exchange Traded Fund 922908744 19059 129961 SH SOLE 0 0 0 129961 VERIZON COMMUNICATIONS INC COM Common Stock 92343V104 2 39 SH OTR 2 0 0 39 VICTORYSHARES USAA CORE SHORT-TERM BOND ETF Exchange Traded Fund 92647N535 53 1033 SH OTR 1 0 0 1033 VISA INC COM CL A Common Stock 92826C839 89 392 SH OTR 2 0 0 392 WALMART INC COM Common Stock 931142103 73 529 SH OTR 2 0 0 529 WILLIAMS COS INC COM Common Stock 969457100 40 1311 SH OTR 2 0 0 1311 ZEBRA TECHNOLOGIES CORPORATION CL A Common Stock 989207105 84 169 SH OTR 2 0 0 169 ZOETIS INC CL A Common Stock 98978V103 3 13 SH OTR 2 0 0 13