0000315498-20-000005.txt : 20201009
0000315498-20-000005.hdr.sgml : 20201009
20201009102426
ACCESSION NUMBER: 0000315498-20-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200930
FILED AS OF DATE: 20201009
DATE AS OF CHANGE: 20201009
EFFECTIVENESS DATE: 20201009
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: GOFEN & GLOSSBERG LLC /IL/
CENTRAL INDEX KEY: 0000315498
IRS NUMBER: 364143109
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-01240
FILM NUMBER: 201232386
BUSINESS ADDRESS:
STREET 1: 455 CITYFRONT STE 3200
CITY: CHICAGO
STATE: IL
ZIP: 60611
BUSINESS PHONE: 3128281100
MAIL ADDRESS:
STREET 1: 455 CITYFRONT STE 3200
CITY: CHICAGO
STATE: IL
ZIP: 60611
FORMER COMPANY:
FORMER CONFORMED NAME: GOFEN & GLOSSBERG INC /IL/
DATE OF NAME CHANGE: 19970206
13F-HR
1
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0000315498
XXXXXXXX
09-30-2020
09-30-2020
GOFEN & GLOSSBERG LLC /IL/
455 CITYFRONT STE 3200
CHICAGO
IL
60611
13F HOLDINGS REPORT
028-01240
N
Alex Wang
Chief Information Officer
13128321521
Alex Wang
Chicago
IL
10-09-2020
0
486
3251368
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SH
SOLE
0
0
2534
Ross Stores
COM
778296103
779
8352
SH
SOLE
0
0
8352
S&P Global
COM
78409V104
812
2251
SH
SOLE
0
0
2251
Salesforce.com
COM
79466L302
48739
193932
SH
SOLE
3515
0
190417
SBA Communications
COM
78410G104
1924
6040
SH
SOLE
0
0
6040
Sempra Energy
COM
816851109
364
3077
SH
SOLE
0
0
3077
ServiceNow
COM
81762P102
11636
23992
SH
SOLE
150
0
23842
Sherwin Williams
COM
824348106
14771
21200
SH
SOLE
0
0
21200
Snap
COM
83304A106
439
16817
SH
SOLE
0
0
16817
Southern Company
COM
842587107
668
12316
SH
SOLE
0
0
12316
Southwest Airlines
COM
844741108
243
6480
SH
SOLE
0
0
6480
Spero Therapeutics
COM
84833T103
112
10000
SH
SOLE
0
0
10000
Splunk
COM
848637104
4576
24324
SH
SOLE
0
0
24324
Square A
COM
852234103
545
3355
SH
SOLE
0
0
3355
Starbucks
COM
855244109
36903
429504
SH
SOLE
5600
0
423904
Stericycle
COM
858912108
284
4500
SH
SOLE
0
0
4500
Stryker
COM
863667101
2261
10853
SH
SOLE
0
0
10853
SVB Financial Group
COM
78486Q101
8568
35607
SH
SOLE
0
0
35607
Sysco
COM
871829107
389
6255
SH
SOLE
0
0
6255
Target
COM
87612E106
2396
15220
SH
SOLE
0
0
15220
Tesla
COM
88160R101
1680
3915
SH
SOLE
0
0
3915
Texas Instruments
COM
882508104
1088
7622
SH
SOLE
0
0
7622
Texas Pacific Land Trust
COM
882610108
317
703
SH
SOLE
0
0
703
Thermo Fisher Scientific
COM
883556102
127070
287801
SH
SOLE
5116
0
282685
Tiffany
COM
886547108
2171
18736
SH
SOLE
0
0
18736
TJX Companies
COM
872540109
7949
142831
SH
SOLE
4225
0
138606
Travelers Companies
COM
89417E109
6329
58498
SH
SOLE
1650
0
56848
Truist Financial
COM
89832Q109
8588
225709
SH
SOLE
6500
0
219209
U S Bancorp
COM
902973304
4556
127073
SH
SOLE
2450
0
124623
Union Pacific
COM
907818108
13860
70402
SH
SOLE
225
0
70177
United Parcel Service Cl B
COM
911312106
2803
16820
SH
SOLE
0
0
16820
United Rentals
COM
911363109
247
1415
SH
SOLE
0
0
1415
UnitedHealth Group
COM
91324P102
1260
4041
SH
SOLE
0
0
4041
Universal Display
COM
91347P105
633
3500
SH
SOLE
0
0
3500
Veeva Systems Cl A
COM
922475108
422
1500
SH
SOLE
0
0
1500
Verizon Communications
COM
92343V104
23599
396687
SH
SOLE
3500
0
393187
Vertex Pharmaceuticals
COM
92532F100
952
3497
SH
SOLE
0
0
3497
Viaspace
COM
92554W106
0
100000
SH
SOLE
70000
0
30000
Visa Class A
COM
92826C839
2057
10285
SH
SOLE
0
0
10285
VITRO TECH
COM
92851M108
0
15000
SH
SOLE
0
0
15000
Vulcan Materials
COM
929160109
367
2705
SH
SOLE
0
0
2705
Walgreens Boots Alliance
COM
931427108
3656
101795
SH
SOLE
0
0
101795
Walmart
COM
931142103
5210
37237
SH
SOLE
0
0
37237
Waste Management
COM
94106L109
5144
45453
SH
SOLE
0
0
45453
WEC Energy Group
COM
92939U106
5561
57388
SH
SOLE
3000
0
54388
Wells Fargo
COM
949746101
4724
200933
SH
SOLE
7524
0
193409
Williams-Sonoma
COM
969904101
1622
17935
SH
SOLE
0
0
17935
Xcel Energy
COM
98389B100
511
7398
SH
SOLE
0
0
7398
Xylem
COM
98419M100
248
2950
SH
SOLE
0
0
2950
Yum China Hldgs
COM
98850P109
2620
49480
SH
SOLE
1655
0
47825
Yum! Brands
COM
988498101
6878
75335
SH
SOLE
1905
0
73430
Zimmer Biomet Holdings
COM
98956P102
755
5545
SH
SOLE
0
0
5545
Zoetis
COM
98978V103
40134
242694
SH
SOLE
2825
0
239869
AP Alternative Assets LP
LTD
00186K101
13
188250
SH
SOLE
0
0
188250
AP Alternative Assets LP
LTD
G04036102
2
32500
SH
SOLE
0
0
32500
Enterprise Products Partners L
LTD
293792107
1353
85711
SH
SOLE
0
0
85711
Magellan Midstream Partners LP
LTD
559080106
372
10866
SH
SOLE
0
0
10866
Alibaba Group Hldgs LTD. ADR
COM
01609W102
4277
14550
SH
SOLE
0
0
14550
America Movil SAB ADR Ser L
COM
02364W105
955
76446
SH
SOLE
0
0
76446
ASML Hldgs NV ADR
COM
N07059210
50465
136661
SH
SOLE
2325
0
134336
AstraZeneca PLC Spon ADR
COM
046353108
2133
38920
SH
SOLE
0
0
38920
BHP Group Ltd Spon ADR
COM
088606108
501
9695
SH
SOLE
0
0
9695
BP PLC Spon ADR
COM
055622104
327
18711
SH
SOLE
0
0
18711
GlaxoSmithKline PLC ADS
COM
37733W105
750
19928
SH
SOLE
350
0
19578
National Grid PLC ADR
COM
636274409
5358
92715
SH
SOLE
858
0
91857
Nestle SA Sponsored ADR
COM
641069406
42049
352597
SH
SOLE
3700
0
348897
Novartis AG ADR
COM
66987V109
22666
260648
SH
SOLE
7105
0
253543
Renalytix PLC ADR
COM
75973T101
1393
114200
SH
SOLE
0
0
114200
Royal Dutch Shell PLC ADR-A
COM
780259206
785
31172
SH
SOLE
0
0
31172
Siemens AG Sp ADR
COM
826197501
1062
15253
SH
SOLE
0
0
15253
Unilever PLC Spon ADR
COM
904767704
295
4785
SH
SOLE
0
0
4785
Vodafone Group PLC Sp ADR
COM
92857W308
244
18179
SH
SOLE
0
0
18179
4Front Ventures
COM
35086B207
20
35000
SH
SOLE
0
0
35000
Accenture Plc Cl A
COM
G1151C101
11186
49499
SH
SOLE
1000
0
48499
Alcon
COM
H01301128
1115
19581
SH
SOLE
0
0
19581
Aon PLC
COM
G0403H108
1901
9213
SH
SOLE
0
0
9213
Athene Holding Ltd Cl A
COM
G0684D107
5613
164697
SH
SOLE
0
0
164697
Canadian Pacific Railway Ltd
COM
13645T100
875
2875
SH
SOLE
0
0
2875
Chubb Ltd
COM
H1467J104
7016
60421
SH
SOLE
355
0
60066
Columbia Care
COM
197309107
54
15600
SH
SOLE
0
0
15600
Cresco Labs
COM
22587M106
581
96890
SH
SOLE
0
0
96890
Curaleaf Holdings
COM
23126M102
124
17100
SH
SOLE
0
0
17100
Denison Mines
COM
248356107
8
20000
SH
SOLE
0
0
20000
Dragontail Systems
COM
Q32679104
4
52500
SH
SOLE
0
0
52500
Enbridge
COM
29250N105
332
11386
SH
SOLE
0
0
11386
Green Thumb Industries
COM
39342L108
1226
94646
SH
SOLE
0
0
94646
Harborside
COM
411620107
40
49590
SH
SOLE
0
0
49590
Harvest Health & Recreation
COM
41755M102
51
49000
SH
SOLE
0
0
49000
Koninklijke Philips Electronic
COM
500472303
1933
40998
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SOLE
0
0
40998
Lazard Ltd
COM
G54050102
355
10746
SH
SOLE
0
0
10746
Linde PLC
COM
G5494J103
3511
14752
SH
SOLE
0
0
14752
Medtronic Plc
COM
G5960L103
1654
15912
SH
SOLE
500
0
15412
MindMed
COM
60255C109
39
64500
SH
SOLE
0
0
64500
Nansonics Limited
COM
Q6499K102
358
90051
SH
SOLE
0
0
90051
NXP Semiconductors NV
COM
N6596X109
801
6414
SH
SOLE
0
0
6414
Options Media Group Hldgs
COM
684008105
0
234993
SH
SOLE
0
0
234993
Renalytix AI PLC
COM
G7489R108
104
19500
SH
SOLE
0
0
19500
SAP SE
COM
D66992104
211
1368
SH
SOLE
0
0
1368
Schlumberger Ltd
COM
806857108
6124
393554
SH
SOLE
11907
0
381647
Slang Worldwide
COM
831006200
19
200000
SH
SOLE
0
0
200000
Terrascend
COM
88105E108
73
17000
SH
SOLE
0
0
17000
Trane Technologies PLC
COM
G8994E103
558
4600
SH
SOLE
0
0
4600
Trulieve Cannabis
COM
89788C104
229
12400
SH
SOLE
0
0
12400
Unilever NV NY Shs
COM
904784709
21500
355961
SH
SOLE
6350
0
349611
Vireo Health International
COM
92767A107
66
63750
SH
SOLE
0
0
63750
Alexandria Real Estate Equitie
COM
015271109
918
5735
SH
SOLE
0
0
5735
American Campus Communities
COM
024835100
1035
29632
SH
SOLE
0
0
29632
American Tower REIT
COM
03027X100
8607
35608
SH
SOLE
0
0
35608
Boston Properties
COM
101121101
422
5250
SH
SOLE
0
0
5250
Camden Property Trust
COM
133131102
828
9300
SH
SOLE
0
0
9300
Corporate Office Properties
COM
22002T108
783
33010
SH
SOLE
0
0
33010
Empire State Realty
COM
292102100
139
22903
SH
SOLE
0
0
22903
Equinix
COM
29444U700
228
300
SH
SOLE
0
0
300
Equity Lifestyle Properties
COM
29472R108
343
5592
SH
SOLE
0
0
5592
Equity Residential
COM
29476L107
1609
31342
SH
SOLE
0
0
31342
ProLogis
COM
74340W103
369
3672
SH
SOLE
0
0
3672
Public Storage
COM
74460D109
6924
31088
SH
SOLE
500
0
30588
Simon Property Group
COM
828806109
601
9297
SH
SOLE
0
0
9297
Ventas
COM
92276F100
778
18546
SH
SOLE
0
0
18546
Weyerhaeuser
COM
962166104
1012
35488
SH
SOLE
0
0
35488
AB Wealth Appreciation Strateg
COM
01877F666
198
11676
SH
SOLE
0
0
11676
Akre Focus Fd
COM
742935125
209
4006
SH
SOLE
0
0
4006
Amer Fds-Invest Co of Amer A
COM
461308108
209
5210
SH
SOLE
0
0
5210
Amer Fds - Fundamental Inv
COM
360802821
369
6048
SH
SOLE
0
0
6048
American Century Select Fd - I
COM
025083502
214
2207
SH
SOLE
0
0
2207
American Fds-Growth Fd of Amer
COM
399874106
307
5055
SH
SOLE
0
0
5055
American Fds-New Perspective-A
COM
648018109
648
12043
SH
SOLE
0
0
12043
American Grw Fd of Amer 2
COM
399874825
500
8248
SH
SOLE
0
0
8248
American SMALLCAP World Fd-A
COM
831681101
335
5062
SH
SOLE
0
0
5062
BlackRock H/Y Bd Port
COM
09260B630
259
34865
SH
SOLE
0
0
34865
BNY Mellon Municipal Bond Fund
COM
05588B104
276
23052
SH
SOLE
0
0
23052
BNY Mellon Sml Cap Multi Strat
COM
05569M889
295
17000
SH
SOLE
0
0
17000
Catalyst Enhanced Inc Strat Fd
COM
62827P436
198
17546
SH
SOLE
0
0
17546
Columbia Acorn Fund-Z
COM
197199409
6541
422534
SH
SOLE
0
0
422534
Columbia Acorn Intl Fd-Z
COM
197199813
1185
36080
SH
SOLE
0
0
36080
Columbia L/C Grwth Fd Z
COM
19765P661
643
11674
SH
SOLE
0
0
11674
DFA Emerg Mkt Core Eq Fd
COM
233203421
285
14205
SH
SOLE
0
0
14205
DFA Intl Core Eq Fd
COM
233203371
184
14746
SH
SOLE
0
0
14746
DFA US Lrg Cap Val III Inst
COM
25434D807
242
11296
SH
SOLE
0
0
11296
DFA US Sm Cap Port
COM
233203843
244
8138
SH
SOLE
0
0
8138
Dodge & Cox Balanced Fund
COM
256201104
759
8179
SH
SOLE
0
0
8179
Dodge & Cox Stock Fund
COM
256219106
330
1984
SH
SOLE
0
0
1984
Fidelity 500 Index Fund
COM
315911750
11521
98412
SH
SOLE
0
0
98412
Fidelity Contrafund
COM
316071109
1519
91094
SH
SOLE
0
0
91094
Fidelity Diversified Intl Fd
COM
315910802
1210
28050
SH
SOLE
0
0
28050
Fidelity Fund
COM
316153105
401
6793
SH
SOLE
0
0
6793
Fidelity Independence Fd
COM
316145309
232
5332
SH
SOLE
0
0
5332
Fidelity Intl Index Fd
COM
315911727
402
10024
SH
SOLE
0
0
10024
Fidelity Puritan Fund
COM
316345107
647
25595
SH
SOLE
0
0
25595
Fidelity Spartan Inter Muni In
COM
31638R204
1650
153510
SH
SOLE
0
0
153510
Fidelity Tax Free Bond Fund
COM
316128503
396
33149
SH
SOLE
0
0
33149
Fidelity Value Fund
COM
316464106
174
18636
SH
SOLE
0
0
18636
Franklin H/Y Tax Free Inc
COM
354723272
537
53078
SH
SOLE
0
0
53078
Franklin Income Fd
COM
353496847
317
153260
SH
SOLE
0
0
153260
Harris Assoc Oakmark Fund
COM
413838103
977
13448
SH
SOLE
0
0
13448
Invesco Oppenheimer Dev Mkts-A
COM
00143W701
361
7904
SH
SOLE
0
0
7904
IShares S&P 500 Index-K
COM
066922204
20368
51204
SH
SOLE
0
0
51204
Janus Balanced Fd
COM
471023879
285
7346
SH
SOLE
0
0
7346
Janus Mercury Fund
COM
471023853
328
5483
SH
SOLE
0
0
5483
John Hancock Life Bal Fd
COM
47803V481
232
15895
SH
SOLE
0
0
15895
JPMorgan Equity Index Sel
COM
4812C1553
237
4639
SH
SOLE
0
0
4639
JPMorgan Interm Tax Free Bd Fd
COM
4812A0458
340
30380
SH
SOLE
0
0
30380
JPMorgan Tax Free Bd-Sel
COM
4812C0456
308
24969
SH
SOLE
0
0
24969
JPMorgan Tax R/R Fd
COM
4812A2538
228
24874
SH
SOLE
0
0
24874
Keeley Small Cap Div Val - A
COM
487300881
166
12951
SH
SOLE
0
0
12951
Lord Abbett Shrt Dur Inc Fd
COM
543916100
49
11710
SH
SOLE
0
0
11710
Lord Abbett Shrt Dur Inc Fd
COM
543916704
54
12763
SH
SOLE
0
0
12763
MFS Mass Investors Tr-A
COM
575736103
219
6593
SH
SOLE
0
0
6593
Northern High Yield Fixed Inc
COM
665162699
180
28361
SH
SOLE
0
0
28361
Northern Stock Index Fd
COM
665162772
257
6669
SH
SOLE
0
0
6669
Nuveen Inter Dur Muni Bd-R
COM
67065Q400
563
59182
SH
SOLE
0
0
59182
Parnassus Core Equity Fd
COM
701769408
473
9254
SH
SOLE
0
0
9254
Parnassus Equity Income Fd
COM
701769101
409
8016
SH
SOLE
0
0
8016
Price T Rowe Capital Appreciat
COM
77954M105
992
29981
SH
SOLE
0
0
29981
Price T Rowe Dividend Growth F
COM
779546100
343
6374
SH
SOLE
0
0
6374
Price T Rowe Mid Cap Grwth Fd
COM
779556109
674
6658
SH
SOLE
0
0
6658
Price T Rowe New Horizons Fund
COM
779562107
259
3212
SH
SOLE
0
0
3212
Price T Rowe Tax Free Inc Bond
COM
779576107
215
20945
SH
SOLE
0
0
20945
Schwab S&P 500 Index Fd
COM
808509855
3567
68411
SH
SOLE
0
0
68411
Schwab Total Stock Mrkt Ind-Se
COM
808509756
1545
26251
SH
SOLE
0
0
26251
Stone Ridge Alternative Lendin
COM
86172R101
204
4108
SH
SOLE
0
0
4108
Stone Ridge H/Y Reinsur Risk P
COM
861728509
3921
423383
SH
SOLE
0
0
423383
T Rowe Price Gr Stock Fund
COM
741479109
1011
11276
SH
SOLE
0
0
11276
T Rowe Price Health Sciences F
COM
741480107
224
2408
SH
SOLE
0
0
2408
T Rowe Price High Yield Fd
COM
741481105
113
17807
SH
SOLE
0
0
17807
T Rowe Price S/T Bond
COM
77957P105
785
162557
SH
SOLE
0
0
162557
T Rowe Price Ultra ST Bd-Inv
COM
77957P303
164
32363
SH
SOLE
0
0
32363
Tweedy Browne Global Value Fd
COM
901165100
475
19601
SH
SOLE
0
0
19601
Vanguard 500 Index Fd-Admiral
COM
922908710
5675
18288
SH
SOLE
0
0
18288
Vanguard Bal Index Adm Fed
COM
921931200
228
5533
SH
SOLE
0
0
5533
Vanguard Dev Mkt Indx Adm
COM
921943809
371
28210
SH
SOLE
0
0
28210
Vanguard Developed Mkts Indx
COM
921943882
4606
350241
SH
SOLE
0
0
350241
Vanguard Div Apprec Index Fd
COM
921908828
568
16265
SH
SOLE
0
0
16265
Vanguard GNMA Fd-Inv
COM
922031307
626
58306
SH
SOLE
0
0
58306
Vanguard GNMA Fd - Adm
COM
922031794
7435
692231
SH
SOLE
0
0
692231
Vanguard Healthcare Fd
COM
921908885
1017
11060
SH
SOLE
0
0
11060
Vanguard High Yld Div Indx
COM
921946786
501
20518
SH
SOLE
0
0
20518
Vanguard Inflat Protected Sec
COM
922031869
258
18003
SH
SOLE
0
0
18003
Vanguard Intl Growth Fd-I
COM
921910204
717
17002
SH
SOLE
0
0
17002
Vanguard Long-Term T/E Fd
COM
922907308
162
13374
SH
SOLE
0
0
13374
Vanguard Mid Cap Index-Adm
COM
922908645
251
1152
SH
SOLE
0
0
1152
Vanguard S/T Invest Gr Adm Fd
COM
922031836
273
24877
SH
SOLE
0
0
24877
Vanguard Short Term Bd Ind Adm
COM
921937702
118
10857
SH
SOLE
0
0
10857
Vanguard Small Cap Index Fd-Ad
COM
922908686
296
4019
SH
SOLE
0
0
4019
Vanguard ST Inv Gr Fd
COM
922031406
292
26553
SH
SOLE
0
0
26553
Vanguard Tot Stk Mkt Index Fd
COM
922908728
4716
56858
SH
SOLE
0
0
56858
Vanguard Total Intl Stk Index
COM
921909818
465
16580
SH
SOLE
0
0
16580
Vanguard Value Index Fd
COM
922908678
363
8890
SH
SOLE
0
0
8890
Vanguard Wellesley Income Fund
COM
921938106
514
18705
SH
SOLE
0
0
18705
Vanguard Wellington Fd
COM
921935201
935
12434
SH
SOLE
0
0
12434
WCM Focused International Grow
COM
461418444
205
9531
SH
SOLE
0
0
9531
AMEX Financial Select Sector
COM
81369Y605
248
10309
SH
SOLE
0
0
10309
AMEX Health Care Select Sector
COM
81369Y209
412
3910
SH
SOLE
0
0
3910
Cambria Tail Risk ETF
COM
132061862
1227
56800
SH
SOLE
0
0
56800
DNP Select Income Fd
COM
23325P104
101
10073
SH
SOLE
0
0
10073
Global X NASDAQ 100 Cov Call
COM
37954Y483
378
17560
SH
SOLE
0
0
17560
Goldman Sachs Treas Acc Fd
COM
381430529
293
2914
SH
SOLE
0
0
2914
Invesco QQQ
COM
46090E103
2366
8517
SH
SOLE
0
0
8517
Invesco Wilderhill Clean En
COM
46137V134
263
4329
SH
SOLE
0
0
4329
iShares 20 Plus Yrs Treas Bd E
COM
464287432
812
4973
SH
SOLE
0
0
4973
iShares Barclays 1-3 Yr Trsy B
COM
464287457
964
11143
SH
SOLE
7500
0
3643
iShares Barclays 3-7 Yr Trea
COM
464288661
972
7275
SH
SOLE
1200
0
6075
iShares Core MSCI EAFE ETF
COM
46432F842
8466
140446
SH
SOLE
1100
0
139346
iShares Core MSCI Emer Mkts ET
COM
46434G103
5027
95218
SH
SOLE
0
0
95218
ishares Core S&P 500 ETF
COM
464287200
7677
22843
SH
SOLE
0
0
22843
iShares Core S&P MidCap ETF
COM
464287507
10275
55450
SH
SOLE
0
0
55450
iShares Core S&P SmallCap ETF
COM
464287804
11390
162183
SH
SOLE
1000
0
161183
iShares Core S&P Total U S Sto
COM
464287150
1989
26351
SH
SOLE
0
0
26351
iShares Cur Hdg MSCI EAFE Sm
COM
46435G839
784
27100
SH
SOLE
2000
0
25100
iShares DJ Select Div Index Fd
COM
464287168
1966
24109
SH
SOLE
0
0
24109
iShares DJ US Tech Sec Ind Fd
COM
464287721
391
1300
SH
SOLE
0
0
1300
ishares Glbl Clean Energy ETF
COM
464288224
222
12000
SH
SOLE
0
0
12000
iShares iBond Dec 2022 Trm
COM
46435G755
474
17875
SH
SOLE
0
0
17875
iShares iBonds Dec 2020 Term
COM
46434VAQ3
313
12400
SH
SOLE
0
0
12400
IShares IBonds Dec 2021 Term
COM
46435G789
837
32300
SH
SOLE
0
0
32300
iShares IBoxx H/Y Corp Bd
COM
464288513
517
6165
SH
SOLE
0
0
6165
iShares Lehman Treas Inf Prot
COM
464287176
694
5488
SH
SOLE
0
0
5488
iShares MSCI ACWI Index Fd
COM
464288257
559
7000
SH
SOLE
0
0
7000
iShares MSCI Asia Ex-Japan
COM
464288182
1421
18409
SH
SOLE
1000
0
17409
iShares MSCI Canada Index Fd
COM
464286509
277
10115
SH
SOLE
0
0
10115
iShares MSCI EAFE Index Fd
COM
464287465
11172
175529
SH
SOLE
6870
0
168659
iShares MSCI EAFE S/C
COM
464288273
984
16687
SH
SOLE
1100
0
15587
iShares MSCI Emerging Mkts Ind
COM
464287234
9778
221769
SH
SOLE
16609
0
205160
iShares MSCI Japan Index Fd
COM
46434G822
323
5471
SH
SOLE
0
0
5471
iShares Russell 1000 Grow Indx
COM
464287614
2046
9432
SH
SOLE
0
0
9432
iShares Russell 1000 Index Fd
COM
464287622
382
2043
SH
SOLE
0
0
2043
iShares Russell 1000 Val Index
COM
464287598
695
5885
SH
SOLE
0
0
5885
iShares Russell 2000 Index Fun
COM
464287655
7125
47567
SH
SOLE
2350
0
45217
iShares Russell Midcap Index F
COM
464287499
12794
222973
SH
SOLE
12000
0
210973
ishares S&P 100 Index Fd
COM
464287101
374
2400
SH
SOLE
0
0
2400
iShares S&P 500 Value Index Fd
COM
464287408
709
6301
SH
SOLE
0
0
6301
iShares S&P Global 100 Index F
COM
464287572
421
7486
SH
SOLE
800
0
6686
iShares S&P Latin America 40 I
COM
464287390
333
15800
SH
SOLE
100
0
15700
iShares S&P MidCap 400/Value I
COM
464287705
1890
14016
SH
SOLE
0
0
14016
iShares S&P MidCap400 Grwth In
COM
464287606
408
1707
SH
SOLE
0
0
1707
iShares S&P Natl AMT Free Bd
COM
464288414
221
1904
SH
SOLE
0
0
1904
iShares S&P S/C 600/Barra Grw
COM
464287887
261
1477
SH
SOLE
0
0
1477
iShares S&P SmallCap 600 Val I
COM
464287879
386
3156
SH
SOLE
0
0
3156
iShares Ultra Short-Term Bd
COM
46434V878
444
8785
SH
SOLE
0
0
8785
Robo Global Healthcare Tech Fd
COM
301505723
6378
182100
SH
SOLE
7200
0
174900
Robo Global Robotics & Automat
COM
301505707
9562
198580
SH
SOLE
8600
0
189980
S&P Mid-Cap 400 ETF Trust
COM
78467Y107
19906
58749
SH
SOLE
975
0
57774
Schwab Emerging Mkts Equity Fd
COM
808524706
290
10855
SH
SOLE
0
0
10855
Schwab Intl Equity ETF
COM
808524805
507
16148
SH
SOLE
0
0
16148
Schwab U S Broad Mkt ETF
COM
808524102
515
6465
SH
SOLE
0
0
6465
Schwab US Lg Cap Value Fd
COM
808524409
256
4912
SH
SOLE
0
0
4912
SPDR 500 ETF Trust Ser 1
COM
78462F103
61840
184656
SH
SOLE
2000
0
182656
SPDR Barclays 1-3 Month
COM
78468R663
976
10665
SH
SOLE
0
0
10665
SPDR DJIA ETF Trust
COM
78467X109
295
1065
SH
SOLE
0
0
1065
SPDR Gold Trust
COM
78463V107
1091
6157
SH
SOLE
0
0
6157
SPDR S&P 600 S/C ETF
COM
78464A813
296
4856
SH
SOLE
0
0
4856
Sprott Physical Gold Trust
COM
85207H104
326
21643
SH
SOLE
0
0
21643
Tri Continental
COM
895436103
225
8662
SH
SOLE
0
0
8662
Vanguard 500 ETF
COM
922908363
5498
17872
SH
SOLE
0
0
17872
Vanguard Dividend Apprec
COM
921908844
677
5264
SH
SOLE
0
0
5264
Vanguard Extended Mkt
COM
922908652
735
5668
SH
SOLE
0
0
5668
Vanguard FTSE All Wo X-US
COM
922042775
1497
29670
SH
SOLE
200
0
29470
Vanguard FTSE All Wo X-US SC
COM
922042718
559
5308
SH
SOLE
600
0
4708
Vanguard FTSE Dev Mrkts ETF
COM
921943858
539
13171
SH
SOLE
200
0
12971
Vanguard FTSE Emerging Mkts
COM
922042858
13790
318917
SH
SOLE
5800
0
313117
Vanguard FTSE Europe ETF
COM
922042874
231
4414
SH
SOLE
400
0
4014
Vanguard Growth ETF
COM
922908736
1363
5990
SH
SOLE
0
0
5990
Vanguard High Div Yield ETF
COM
921946406
570
7046
SH
SOLE
0
0
7046
Vanguard Int-Term Corp Bond Fd
COM
92206C870
580
6057
SH
SOLE
0
0
6057
Vanguard MidCap ETF
COM
922908629
598
3394
SH
SOLE
0
0
3394
Vanguard REIT ETF
COM
922908553
1431
18120
SH
SOLE
0
0
18120
Vanguard S/T Corp Bond
COM
92206C409
491
5925
SH
SOLE
0
0
5925
Vanguard Short-Term Treasury
COM
92206C102
334
5377
SH
SOLE
0
0
5377
Vanguard Small Cap ETF
COM
922908751
502
3265
SH
SOLE
0
0
3265
Vanguard Total Stock Market ET
COM
922908769
1885
11066
SH
SOLE
0
0
11066
Wisdom Tree Intl Quality Divid
COM
97717X131
262
8025
SH
SOLE
0
0
8025
Wisdomtree Emrg. Mkts. Ex-Stat
COM
97717X578
227
6740
SH
SOLE
0
0
6740
WisdomTree Japan Hedged Eq Fd
COM
97717W851
1906
38900
SH
SOLE
4200
0
34700