0001606587-22-000669.txt : 20220415 0001606587-22-000669.hdr.sgml : 20220415 20220414204645 ACCESSION NUMBER: 0001606587-22-000669 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220415 DATE AS OF CHANGE: 20220414 EFFECTIVENESS DATE: 20220415 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lebenthal Global Advisors, LLC CENTRAL INDEX KEY: 0001845766 IRS NUMBER: 811576085 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-20760 FILM NUMBER: 22828780 BUSINESS ADDRESS: STREET 1: 200 PARKWAY DRIVE SOUTH STREET 2: SUITE 200 CITY: HAUPPAUGE STATE: NY ZIP: 11788 BUSINESS PHONE: 516-785-1800 MAIL ADDRESS: STREET 1: 200 PARKWAY DRIVE SOUTH STREET 2: SUITE 200 CITY: HAUPPAUGE STATE: NY ZIP: 11788 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001845766 XXXXXXXX 12-31-2021 12-31-2021 true 1 RESTATEMENT Lebenthal Global Advisors, LLC

200 Parkway Drive South Suite 200 Hauppauge NY 11788

13F HOLDINGS REPORT 028-20760 N Thomas Katovitz 516-785-1800 Thomas Katovitz Hauppauge NY 04-08-2022 1 181 247258 false 1 0001910104 Lebenthal Diversified Asset Management Inc. INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM COM 88579Y101 257 1448 SH DFND 1.0 0 0 1448 ABBVIE INC COM COM 00287Y109 740 5470 SH DFND 1.0 0 0 5470 ABBVIE INC COM COM 00287Y109 234 1730 SH SOLE NONE 0 0 1730 ADOBE SYS INC COM 00724F101 656 1157 SH DFND 1.0 0 0 1157 AIR PRODS & CHEMS INC COM COM 009158106 429 1411 SH DFND 1.0 0 0 1411 ALLSTATE CORP COM 020002101 351 2987 SH DFND 1.0 0 0 2987 ALTRIA GROUP INC COM COM 02209S103 365 7742 SH DFND 1.0 0 0 7742 AMAZON COM INC COM COM 023135106 673 202 SH DFND 1.0 0 0 202 AMAZON COM INC COM COM 023135106 276 83 SH SOLE NONE 0 0 83 AMERICAN AIRLS GROUP INC COM COM 02376R102 295 16478 SH SOLE NONE 0 0 16478 AMERICAN EXPRESS CO COM COM 025816109 225 1381 SH DFND 1.0 0 0 1381 AMERICAN TOWER CORP NEW COM COM 03027X100 682 2335 SH DFND 1.0 0 0 2335 ANALOG DEVICES INC COM COM 032654105 537 3058 SH DFND 1.0 0 0 3058 ANNALY CAPITAL MANAGEMENT INC COM COM 035710409 545 69812 SH SOLE NONE 0 0 69812 APPLE INC COM 037833100 2678 15081 SH DFND 1.0 0 0 15081 APPLE INC COM 037833100 4396 24760 SH SOLE NONE 0 0 24760 ARES MANAGEMENT CORPORATION CL A COM STK CL A COM STK 03990B101 496 6110 SH DFND 1.0 0 0 6110 ARK INNOVATION ETF INNOVATION ETF 00214Q104 367 3887 SH DFND 1.0 0 0 3887 ARK INNOVATION ETF INNOVATION ETF 00214Q104 432 4568 SH SOLE NONE 0 0 4568 ASTRA SPACE INC COM CL A COM CL A 04634X103 400 57811 SH SOLE NONE 0 0 57811 AT&T INC COM COM 00206R102 265 10810 SH SOLE NONE 0 0 10810 AUTODESK INC COM COM 052769106 396 1409 SH DFND 1.0 0 0 1409 AVERY DENNISON CORP COM COM 053611109 224 1038 SH DFND 1.0 0 0 1038 B&G FOODS INC CLASS A COM 05508R106 404 13151 SH SOLE NONE 0 0 13151 BANK NEW YORK MELLON CORP COM COM 064058100 577 9937 SH DFND 1.0 0 0 9937 BARRICK GOLD CORP F COM 067901108 697 36632 SH SOLE NONE 0 0 36632 BAUSCH HEALTH COS INC COM COM 071734107 709 25714 SH SOLE NONE 0 0 25714 BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 084670702 583 1952 SH DFND 1.0 0 0 1952 BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 084670702 384 1285 SH SOLE NONE 0 0 1285 BIO-TECHNE CORP COM COM 09073M104 567 1097 SH DFND 1.0 0 0 1097 BK OF AMERICA CORP COM COM 060505104 234 5261 SH DFND 1.0 0 0 5261 BK OF AMERICA CORP COM COM 060505104 217 4898 SH SOLE NONE 0 0 4898 BLACKROCK CAP INVT CORP 5 06/15/2022 NOTE 5.000% 6/1 092533AC2 20 20000 SH SOLE NONE 0 0 20000 BLACKROCK INC COM 09247X101 423 463 SH DFND 1.0 0 0 463 BLACKROCK TAX MUNICPAL BD TR SHS SHS 09248X100 19612 749180 SH DFND 1.0 0 0 749180 BLACKSTONE MTG TR INC COM CL A COM CL A 09257W100 329 10750 SH DFND 1.0 0 0 10750 BOEING CO COM COM 097023105 206 1027 SH SOLE NONE 0 0 1027 BOOT BARN HLDGS INC COM COM 099406100 394 3204 SH DFND 1.0 0 0 3204 BP PLC SPONSORED ADR SPONSORED ADR 055622104 711 26710 SH SOLE NONE 0 0 26710 BRISTOL-MYERS SQUIBB CO COM COM 110122108 507 8136 SH DFND 1.0 0 0 8136 BROADCOM INC COM COM 11135F101 961 1444 SH DFND 1.0 0 0 1444 CATALENT INC COM COM 148806102 456 3568 SH DFND 1.0 0 0 3568 CBS CORP CL B CL B 92556H206 681 22596 SH SOLE NONE 0 0 22596 CDW CORP COM COM 12514G108 269 1316 SH DFND 1.0 0 0 1316 CHARLES SCHWAB CORP COM 808513105 338 4029 SH DFND 1.0 0 0 4029 CHEVRON CORP NEW COM COM 166764100 457 3901 SH DFND 1.0 0 0 3901 CISCO SYS INC COM 17275R102 332 5245 SH DFND 1.0 0 0 5245 COGNIZANT TECH SOLUTIONS CORP CL A 192446102 364 4105 SH DFND 1.0 0 0 4105 COMCAST CORP NEW CL A CL A 20030N101 693 13785 SH DFND 1.0 0 0 13785 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND SBI CONS DISCR 81369Y407 9329 45632 SH DFND 1.0 0 0 45632 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND SBI CONS DISCR 81369Y407 283 1385 SH SOLE NONE 0 0 1385 CORSAIR GAMING INC COM COM 22041X102 455 21664 SH SOLE NONE 0 0 21664 COSTCO WHOLESALE CORP COM 22160K105 517 912 SH DFND 1.0 0 0 912 CUMMINS INC COM COM 231021106 285 1308 SH DFND 1.0 0 0 1308 D R HORTON INC COM COM 23331A109 282 2606 SH DFND 1.0 0 0 2606 DISCOVER FINANCIAL SERVICES LLC COM 254709108 266 2310 SH DFND 1.0 0 0 2310 DISNEY WALT CO COM COM 254687106 356 2301 SH DFND 1.0 0 0 2301 DOMINION RESOURCES INC COM 25746U109 405 5168 SH SOLE NONE 0 0 5168 ENERGY SELECT SECTOR SPDR FUND ENERGY 81369Y506 8542 153910 SH DFND 1.0 0 0 153910 ENERGY SELECT SECTOR SPDR FUND ENERGY 81369Y506 494 8904 SH SOLE NONE 0 0 8904 EVERSOURCE ENERGY COM COM 30040W108 207 2276 SH DFND 1.0 0 0 2276 EXTRA SPACE STORAGE INC COM 30225T102 490 2164 SH DFND 1.0 0 0 2164 EXXON MOBIL CORP COM COM 30231G102 273 4475 SH SOLE NONE 0 0 4475 FIDELITY MSCI HEALTH CARE INDEX ETF MSCI HLTH CARE I 316092600 10111 147274 SH DFND 1.0 0 0 147274 FIDELITY MSCI INFORMATION TECHNOLOGY INDEX ETF MSCI INFO TECH I 316092808 290 2145 SH SOLE NONE 0 0 2145 FINANCIAL SELECT SECTOR SPDR FUND FINANCIAL 81369Y605 250 6421 SH SOLE NONE 0 0 6421 FIRST HORIZON CORPORATION COM COM 320517105 459 28118 SH DFND 1.0 0 0 28118 FIRST TRUST CAPITAL STRENGTH ETF CAP STRENGTH ETF 33733E104 259 3065 SH SOLE NONE 0 0 3065 FIRST TRUST MORNINGSTAR DIVIDEND LEADERS INDEX FUND SHS 336917109 225 6355 SH SOLE NONE 0 0 6355 FISERV INC COM COM 337738108 296 2856 SH DFND 1.0 0 0 2856 FORD MOTOR COMPANY COM 345370860 571 27518 SH SOLE NONE 0 0 27518 FREEPORT-MCMORAN INC CL B CL B 35671D857 556 13328 SH SOLE NONE 0 0 13328 FS KKR CAP CORP COM COM 302635206 343 16418 SH DFND 1.0 0 0 16418 GENERAC HLDGS INC COM COM 368736104 644 1830 SH DFND 1.0 0 0 1830 GENERAL ELECTRIC CO COM NEW COM NEW 369604301 337 3572 SH SOLE NONE 0 0 3572 GOLDMAN SACHS GROUP INC COM 38141G104 447 1169 SH SOLE NONE 0 0 1169 GOLUB CAP BDC INC COM COM 38173M102 328 21298 SH DFND 1.0 0 0 21298 GOOGLE INC CAP STK CL A 02079K305 1683 581 SH DFND 1.0 0 0 581 GREENBRIER COS INC 2.875 02/01/2024 NOTE 2.875% 2/0 393657AK7 18 17000 SH DFND 1.0 0 0 17000 HCI GROUP INC 4.25 03/01/2037 NOTE 4.250% 3/0 40416EAD5 26 19000 SH DFND 1.0 0 0 19000 HERCULES CAPITAL INC COM COM 427096508 306 18453 SH DFND 1.0 0 0 18453 HOME DEPOT COM 437076102 1330 3207 SH DFND 1.0 0 0 3207 HOME DEPOT COM 437076102 726 1750 SH SOLE NONE 0 0 1750 HONEYWELL INTL INC COM 438516106 485 2330 SH SOLE NONE 0 0 2330 HORIZON THERAPEUTICS PUB L SHS SHS G46188101 251 2337 SH DFND 1.0 0 0 2337 HP INC COM COM 40434L105 689 18312 SH SOLE NONE 0 0 18312 IDACORP INC COM COM 451107106 277 2447 SH DFND 1.0 0 0 2447 INGREDION INC COM COM 457187102 278 2882 SH DFND 1.0 0 0 2882 INSPIRE MED SYS INC COM COM 457730109 791 3440 SH SOLE NONE 0 0 3440 INTERPUBLIC GROUP COS INC COM COM 460690100 894 23885 SH DFND 1.0 0 0 23885 INTL BUSINESS MACHINES COM 459200101 707 5296 SH SOLE NONE 0 0 5296 INTUITIVE SURGICAL INC COM NEW COM NEW 46120E602 444 1237 SH DFND 1.0 0 0 1237 INVESCO DWA HEALTHCARE MOMENTUM ETF DWA HEALTHCARE 46137V852 220 1420 SH SOLE NONE 0 0 1420 INVESCO DYNAMIC SEMICONDUCTORS ETF DYNMC SEMICNDT 46137V647 550 3585 SH SOLE NONE 0 0 3585 INVESCO NATIONAL AMT-FREE MUNICIPAL BOND ETF NATL AMT MUNI 46138E537 699 25798 SH DFND 1.0 0 0 25798 IQVIA HLDGS INC COM COM 46266C105 396 1405 SH DFND 1.0 0 0 1405 ISHARES CONVERTIBLE BOND ETF CONV BD ETF 46435G102 2215 24848 SH DFND 1.0 0 0 24848 ISHARES FLOATING RATE BOND ETF FLTG RATE NT ETF 46429B655 370 7300 SH SOLE NONE 0 0 7300 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF IBOXX HI YD ETF 464288513 4212 48411 SH DFND 1.0 0 0 48411 ISHARES MSCI USA QUALITY FACTOR ETF MSCI USA QLT FCT 46432F339 5660 38889 SH DFND 1.0 0 0 38889 ISHARES RUSSELL 1000 GROWTH ETF RUS 1000 GRW ETF 464287614 6806 22272 SH DFND 1.0 0 0 22272 ISHARES RUSSELL MID-CAP ETF RUS MID CAP ETF 464287499 5604 67517 SH DFND 1.0 0 0 67517 ISHARES S&P 100 ETF S&P 100 ETF 464287101 260 1190 SH SOLE NONE 0 0 1190 ISHARES S&P SMALL-CAP FUND CORE S&P SCP ETF 464287804 3922 34252 SH DFND 1.0 0 0 34252 ISHARES U.S. FINANCIAL SERVICES ETF U.S. FIN SVC ETF 464287770 304 1579 SH DFND 1.0 0 0 1579 JOHNSON & JOHNSON COM COM 478160104 305 1785 SH DFND 1.0 0 0 1785 JOHNSON & JOHNSON COM COM 478160104 405 2372 SH SOLE NONE 0 0 2372 JPMORGAN CHASE & CO COM COM 46625H100 978 6179 SH DFND 1.0 0 0 6179 KEYCORP COM COM 493267108 434 18794 SH SOLE NONE 0 0 18794 KIMBERLY-CLARK CORP COM COM 494368103 539 3745 SH SOLE NONE 0 0 3745 KINDER MORGAN INC COM 49456B101 664 41917 SH SOLE NONE 0 0 41917 L3HARRIS TECHNOLOGIES INC COM COM 502431109 377 1769 SH DFND 1.0 0 0 1769 LAM RESEARCH CORP COM COM 512807108 455 633 SH DFND 1.0 0 0 633 LILLY ELI & CO COM COM 532457108 561 2034 SH DFND 1.0 0 0 2034 MACYS INC COM COM 55616P104 593 22654 SH SOLE NONE 0 0 22654 MATERIALS SELECT SECTOR SPDR FUND SBI MATERIALS 81369Y100 4440 49002 SH DFND 1.0 0 0 49002 MATERIALS SELECT SECTOR SPDR FUND SBI MATERIALS 81369Y100 266 2945 SH SOLE NONE 0 0 2945 MERCK & CO INC COM 58933Y105 408 5410 SH DFND 1.0 0 0 5410 MERCK & CO INC COM 58933Y105 698 9039 SH SOLE NONE 0 0 9039 META PLATFORMS INC CL A CL A 30303M102 227 675 SH SOLE NONE 0 0 675 MICROCHIP TECHNOLOGY INC. COM COM 595017104 519 5971 SH DFND 1.0 0 0 5971 MICRON TECHNOLOGY COM 595112103 901 9675 SH SOLE NONE 0 0 9675 MICROSOFT COM 594918104 570 1696 SH DFND 1.0 0 0 1696 MICROSOFT COM 594918104 276 823 SH SOLE NONE 0 0 823 MONDELEZ INTL INC CL A CL A 609207105 258 3905 SH DFND 1.0 0 0 3905 MORGAN STANLEY COM NEW COM NEW 617446448 256 2609 SH SOLE NONE 0 0 2609 NETAPP INC COM COM 64110D104 440 4788 SH DFND 1.0 0 0 4788 NEXTERA ENERGY INC COM COM 65339F101 242 2601 SH DFND 1.0 0 0 2601 NEXTERA ENERGY INC COM COM 65339F101 1093 11713 SH SOLE NONE 0 0 11713 NORFOLK SOUTHERN CRP COM 655844108 400 1346 SH DFND 1.0 0 0 1346 NUCOR CORP COM COM 670346105 241 2113 SH DFND 1.0 0 0 2113 NVIDIA CORPORATION COM COM 67066G104 689 2586 SH DFND 1.0 0 0 2586 OLD DOMINION FREIGHT LINE INC COM COM 679580100 554 1548 SH DFND 1.0 0 0 1548 PACIRA BIOSCIENCES INC 2.375 04/01/2022 NOTE 2.375% 4/0 695127AD2 19 19000 SH DFND 1.0 0 0 19000 PHILIP MORRIS INTL INC COM 718172109 718 7568 SH DFND 1.0 0 0 7568 PIONEER NAT RES CO COM COM 723787107 459 2528 SH DFND 1.0 0 0 2528 PNC FINL SVCS GROUP INC COM COM 693475105 454 2266 SH DFND 1.0 0 0 2266 PRICE T ROWE GROUP INC COM COM 74144T108 382 1944 SH DFND 1.0 0 0 1944 QUALCOMM INC COM COM 747525103 591 3233 SH SOLE NONE 0 0 3233 REDWOOD TRUST INC 4.75 08/15/2023 NOTE 4.750% 8/1 758075AC9 30 30000 SH SOLE NONE 0 0 30000 S&P GLOBAL INC COM COM 78409V104 478 1013 SH DFND 1.0 0 0 1013 SALESFORCE COM INC COM COM 79466L302 332 1308 SH DFND 1.0 0 0 1308 SCHLUMBERGER LTD COM STK COM STK 806857108 222 7433 SH DFND 1.0 0 0 7433 SCHWAB FUNDAMENTAL INTERNATIONAL LARGE COMPANY INDEX ETF SCHWB FDT INT LG 808524755 26802 824431 SH DFND 1.0 0 0 824431 SCHWAB INTERNATIONAL EQUITY ETF INTL EQTY ETF 808524805 272 7008 SH DFND 1.0 0 0 7008 SCHWAB US DIVIDEND EQUITY ETF US DIVIDEND EQ 808524797 4047 50077 SH DFND 1.0 0 0 50077 SERVICENOW INC COM COM 81762P102 510 787 SH DFND 1.0 0 0 787 SKILLZ INC COM COM 83067L109 176 23742 SH SOLE NONE 0 0 23742 SOUTHERN CO COM COM 842587107 339 4951 SH SOLE NONE 0 0 4951 SPDR BLOOMBERG CONVERTIBLE SECURITIES ETF BLOOMBERG CONV 78464A359 332 4006 SH DFND 1.0 0 0 4006 SPDR DOW JONES INDUSTRIAL AVERAGE ETF UT SER 1 78467X109 394 1085 SH SOLE NONE 0 0 1085 SPDR GOLD ETF GOLD SHS 78463V107 343 2012 SH SOLE NONE 0 0 2012 SPDR S&P 500 ETF TR UNIT 78462F103 23825 50165 SH DFND 1.0 0 0 50165 SPDR S&P 500 ETF TR UNIT 78462F103 322 676 SH SOLE NONE 0 0 676 STARWOOD PPTY TR INC COM COM 85571B105 282 11624 SH DFND 1.0 0 0 11624 SYNEOS HEALTH INC CL A CL A 87166B102 222 2167 SH DFND 1.0 0 0 2167 TARGET CORP COM COM 87612E106 613 2651 SH DFND 1.0 0 0 2651 TE CONNECTIVITY LTD SHS H84989104 295 1834 SH DFND 1.0 0 0 1834 TECHNOLOGY SELECT SECTOR SPDR FUND TECHNOLOGY 81369Y803 1025 5899 SH SOLE NONE 0 0 5899 TESLA INC COM COM 88160R101 1114 1055 SH SOLE NONE 0 0 1055 TEXAS INSTRS INC COM COM 882508104 421 2239 SH DFND 1.0 0 0 2239 THERMO FISHER SCIENTIFIC INC COM COM 883556102 501 752 SH DFND 1.0 0 0 752 TRUIST FINL CORP COM COM 89832Q109 338 5775 SH DFND 1.0 0 0 5775 UNITED PARCEL SERVICE INC CL B 911312106 864 4032 SH DFND 1.0 0 0 4032 UNITEDHEALTH GROUP COM 91324P102 569 1134 SH SOLE NONE 0 0 1134 UWM HOLDINGS CORPORATION COM CL A COM CL A 91823B109 563 95257 SH SOLE NONE 0 0 95257 VALERO ENERGY CORP COM COM 91913Y100 861 11467 SH SOLE NONE 0 0 11467 VANGUARD CONSUMER DISCRETIONARY INDEX FUND CONSUM DIS ETF 92204A108 1629 4784 SH DFND 1.0 0 0 4784 VANGUARD HEALTH CARE INDEX FUND HEALTH CAR ETF 92204A504 5703 21408 SH DFND 1.0 0 0 21408 VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD ETF INTL HIGH ETF 921946794 5002 74471 SH DFND 1.0 0 0 74471 VANGUARD MID-CAP INDEX FUND MID CAP ETF 922908629 1123 4408 SH DFND 1.0 0 0 4408 VANGUARD VALUE ETF VALUE ETF 922908744 18300 124399 SH DFND 1.0 0 0 124399 VERIZON COMMUNICATIONS COM 92343V104 214 4137 SH DFND 1.0 0 0 4137 VERIZON COMMUNICATIONS COM 92343V104 1281 24656 SH SOLE NONE 0 0 24656 VISA INC COM CL A 92826C839 787 3276 SH DFND 1.0 0 0 3276 VISHAY INTERTECHNOLOGY INC 2.25 06/15/2025 NOTE 2.250% 6/1 928298AP3 24 24000 SH DFND 1.0 0 0 24000 WALGREENS BOOTS ALLIANCE INC COM COM 931427108 806 15457 SH SOLE NONE 0 0 15457 WELLS FARGO CO NEW COM COM 949746101 435 9074 SH DFND 1.0 0 0 9074 WILLIAMS COS INC COM COM 969457100 510 19608 SH DFND 1.0 0 0 19608 WISDOMTREE U.S. LARGECAP DIVIDEND FUND US LARGECAP DIVD 97717W307 247 3746 SH DFND 1.0 0 0 3746 ZEBRA TECHNOLOGIES CORPORATION CL A CL A 989207105 226 381 SH DFND 1.0 0 0 381