0000315498-21-000002.txt : 20210413
0000315498-21-000002.hdr.sgml : 20210413
20210413091957
ACCESSION NUMBER: 0000315498-21-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210413
DATE AS OF CHANGE: 20210413
EFFECTIVENESS DATE: 20210413
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: 21822128
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
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0000315498
XXXXXXXX
03-31-2021
03-31-2021
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
04-13-2021
0
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5117
0
409949
Pfizer
COM
717081103
14927
411994
SH
SOLE
6000
0
405994
Philip Morris International
COM
718172109
8345
94043
SH
SOLE
250
0
93793
Phillips 66
COM
718546104
391
4791
SH
SOLE
0
0
4791
Pinterest
COM
72352L106
329
4446
SH
SOLE
0
0
4446
Plug Power
COM
72919P202
213
5935
SH
SOLE
0
0
5935
PNC Financial Services Group
COM
693475105
2882
16429
SH
SOLE
0
0
16429
Potbelly
COM
73754Y100
118
20000
SH
SOLE
0
0
20000
PPG Industries
COM
693506107
1086
7228
SH
SOLE
0
0
7228
PPL
COM
69351T106
1000
34689
SH
SOLE
0
0
34689
Procter & Gamble
COM
742718109
91350
674520
SH
SOLE
5925
0
668595
Public Service Enterprise Grou
COM
744573106
344
5716
SH
SOLE
0
0
5716
QUALCOMM
COM
747525103
20183
152220
SH
SOLE
2410
0
149810
Qurate Retail Group
COM
74915M100
164
13915
SH
SOLE
0
0
13915
Raymond James Financial
COM
754730109
753
6145
SH
SOLE
0
0
6145
Raytheon Technologies
COM
75513E101
31923
413134
SH
SOLE
8470
0
404664
RBC Bearings
COM
75524B104
693
3520
SH
SOLE
0
0
3520
Revive Therapeutics
COM
761516103
57
150000
SH
SOLE
0
0
150000
Rockwell Automation
COM
773903109
282
1064
SH
SOLE
0
0
1064
Roku
COM
77543R102
309
950
SH
SOLE
0
0
950
Roper Technologies
COM
776696106
1693
4198
SH
SOLE
0
0
4198
Ross Stores
COM
778296103
935
7800
SH
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0
0
7800
S&P Global
COM
78409V104
1912
5417
SH
SOLE
0
0
5417
Salesforce.com
COM
79466L302
43350
204605
SH
SOLE
3515
0
201090
SBA Communications
COM
78410G104
1676
6040
SH
SOLE
0
0
6040
Sempra Energy
COM
816851109
408
3077
SH
SOLE
0
0
3077
ServiceNow
COM
81762P102
12976
25946
SH
SOLE
150
0
25796
Sherwin Williams
COM
824348106
15623
21169
SH
SOLE
0
0
21169
Snap
COM
83304A106
879
16817
SH
SOLE
0
0
16817
Southern Company
COM
842587107
780
12547
SH
SOLE
0
0
12547
Southwest Airlines
COM
844741108
396
6480
SH
SOLE
0
0
6480
Spero Therapeutics
COM
84833T103
258
17500
SH
SOLE
0
0
17500
Splunk
COM
848637104
7970
58825
SH
SOLE
1300
0
57525
Square A
COM
852234103
830
3655
SH
SOLE
0
0
3655
Starbucks
COM
855244109
45977
420766
SH
SOLE
5900
0
414866
Stericycle
COM
858912108
304
4500
SH
SOLE
0
0
4500
Stryker
COM
863667101
2492
10231
SH
SOLE
0
0
10231
SVB Financial Group
COM
78486Q101
17063
34564
SH
SOLE
0
0
34564
Sysco
COM
871829107
493
6255
SH
SOLE
0
0
6255
T-Mobile US
COM
872590104
271
2166
SH
SOLE
0
0
2166
T Rowe Price Group
COM
74144T108
282
1644
SH
SOLE
0
0
1644
Target
COM
87612E106
3148
15891
SH
SOLE
0
0
15891
Tesla
COM
88160R101
2879
4310
SH
SOLE
0
0
4310
Texas Instruments
COM
882508104
1903
10067
SH
SOLE
0
0
10067
Thermo Fisher Scientific
COM
883556102
126425
277016
SH
SOLE
4951
0
272065
TJX Companies
COM
872540109
10691
161619
SH
SOLE
4525
0
157094
Travelers Companies
COM
89417E109
8593
57134
SH
SOLE
1650
0
55484
Truist Financial
COM
89832Q109
13056
223869
SH
SOLE
6500
0
217369
Trustmark
COM
898402102
202
6000
SH
SOLE
0
0
6000
Twilio
COM
90138F102
307
900
SH
SOLE
0
0
900
U S Bancorp
COM
902973304
6610
119510
SH
SOLE
1450
0
118060
Union Pacific
COM
907818108
15379
69773
SH
SOLE
225
0
69548
United Parcel Service Cl B
COM
911312106
1863
10959
SH
SOLE
0
0
10959
United Rentals
COM
911363109
466
1415
SH
SOLE
0
0
1415
UnitedHealth Group
COM
91324P102
1851
4976
SH
SOLE
0
0
4976
Universal Display
COM
91347P105
829
3500
SH
SOLE
0
0
3500
Valmont Industries
COM
920253101
309
1300
SH
SOLE
0
0
1300
Veeva Systems Cl A
COM
922475108
392
1500
SH
SOLE
0
0
1500
Verizon Communications
COM
92343V104
23292
400554
SH
SOLE
3500
0
397054
Vertex Pharmaceuticals
COM
92532F100
735
3420
SH
SOLE
0
0
3420
Viaspace
COM
92554W106
0
100000
SH
SOLE
70000
0
30000
Viatris
COM
92556V106
198
14149
SH
SOLE
0
0
14149
Visa Class A
COM
92826C839
2930
13838
SH
SOLE
0
0
13838
VITRO TECH
COM
92851M108
0
15000
SH
SOLE
0
0
15000
Vulcan Materials
COM
929160109
423
2505
SH
SOLE
0
0
2505
Walgreens Boots Alliance
COM
931427108
3730
67936
SH
SOLE
0
0
67936
Walmart
COM
931142103
6445
47452
SH
SOLE
0
0
47452
Waste Management
COM
94106L109
6211
48140
SH
SOLE
0
0
48140
WEC Energy Group
COM
92939U106
5374
57421
SH
SOLE
3000
0
54421
Wells Fargo
COM
949746101
6798
173985
SH
SOLE
6824
0
167161
Williams-Sonoma
COM
969904101
3214
17935
SH
SOLE
0
0
17935
Workday Cl-A
COM
98138H101
321
1291
SH
SOLE
0
0
1291
Xcel Energy
COM
98389B100
498
7491
SH
SOLE
0
0
7491
Xylem
COM
98419M100
716
6806
SH
SOLE
0
0
6806
Yum China Hldgs
COM
98850P109
2899
48965
SH
SOLE
1655
0
47310
Yum! Brands
COM
988498101
8077
74667
SH
SOLE
1905
0
72762
Zimmer Biomet Holdings
COM
98956P102
872
5445
SH
SOLE
0
0
5445
Zoetis
COM
98978V103
37873
240497
SH
SOLE
2725
0
237772
Enterprise Products Partners L
LTD
293792107
1565
71061
SH
SOLE
0
0
71061
Magellan Midstream Partners LP
LTD
559080106
464
10696
SH
SOLE
0
0
10696
Alibaba Group Hldgs LTD. ADR
COM
01609W102
4803
21182
SH
SOLE
0
0
21182
America Movil SAB ADR Ser L
COM
02364W105
1038
76446
SH
SOLE
0
0
76446
ASML Hldgs NV ADR
COM
N07059210
81064
131307
SH
SOLE
2275
0
129032
AstraZeneca PLC Spon ADR
COM
046353108
1961
39439
SH
SOLE
0
0
39439
BHP Group Ltd Spon ADR
COM
088606108
673
9695
SH
SOLE
0
0
9695
BP PLC Spon ADR
COM
055622104
381
15647
SH
SOLE
0
0
15647
Diageo PLC Spon ADR
COM
25243Q205
243
1478
SH
SOLE
0
0
1478
GlaxoSmithKline PLC ADS
COM
37733W105
387
10836
SH
SOLE
0
0
10836
GW Pharmaceuticals PLC - ADR
COM
36197T103
365
1685
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SOLE
0
0
1685
Infineon Technologies ADR
COM
45662N103
607
14250
SH
SOLE
0
0
14250
LVMH Moet Hennessy Louis Vuitt
COM
502441306
243
1814
SH
SOLE
0
0
1814
National Grid PLC ADR
COM
636274409
5368
90617
SH
SOLE
858
0
89759
Nestle SA Sponsored ADR
COM
641069406
40133
359902
SH
SOLE
3700
0
356202
Novartis AG ADR
COM
66987V109
22854
267363
SH
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7105
0
260258
Renalytix PLC ADR
COM
75973T101
3968
154624
SH
SOLE
0
0
154624
Roche Holdings Ltd ADR
COM
771195104
215
5301
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SOLE
0
0
5301
Royal Dutch Shell PLC ADR-A
COM
780259206
1113
28375
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SOLE
0
0
28375
Siemens AG Sp ADR
COM
826197501
1288
15652
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0
0
15652
Unilever PLC Spon ADR
COM
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20051
359148
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SOLE
6350
0
352798
4Front Ventures
COM
35086B207
83
70000
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SOLE
0
0
70000
Accenture Plc Cl A
COM
G1151C101
13666
49470
SH
SOLE
1000
0
48470
Alcon
COM
H01301128
1430
20373
SH
SOLE
0
0
20373
Aon PLC
COM
G0403H108
2120
9213
SH
SOLE
0
0
9213
Athene Holding Ltd Cl A
COM
G0684D107
7629
151378
SH
SOLE
0
0
151378
BellRock Brands
COM
07987E101
22
185000
SH
SOLE
0
0
185000
C21 Investments
COM
1267SQ101
27
20000
SH
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0
0
20000
Canadian Pacific Railway Ltd
COM
13645T100
1048
2763
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0
0
2763
Champignon Brands
COM
15850D100
15
40000
SH
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0
0
40000
Chubb Ltd
COM
H1467J104
9281
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355
0
58397
Columbia Care
COM
197309107
101
15600
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SOLE
0
0
15600
Cresco Labs
COM
22587M106
1227
98150
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0
0
98150
Curaleaf Holdings
COM
23126M102
1321
87144
SH
SOLE
0
0
87144
Denison Mines
COM
248356107
22
20000
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SOLE
0
0
20000
Dragontail Systems
COM
Q32679104
7
52500
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SOLE
0
0
52500
Enbridge
COM
29250N105
504
13846
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SOLE
0
0
13846
Green Thumb Industries
COM
39342L108
2110
71514
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SOLE
0
0
71514
Harborside
COM
411620107
94
50000
SH
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0
0
50000
Harvest Health & Recreation
COM
41755M102
207
64000
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0
0
64000
Hollister Biosciences
COM
435631106
28
100000
SH
SOLE
0
0
100000
IHS Markit Ltd
COM
G47567105
349
3610
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SOLE
0
0
3610
Koninklijke Philips Electronic
COM
500472303
1969
34521
SH
SOLE
0
0
34521
Linde PLC
COM
G5494J103
4203
14986
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0
0
14986
Medtronic Plc
COM
G5960L103
2273
19242
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SOLE
500
0
18742
MindMed
COM
60255C109
202
72500
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SOLE
0
0
72500
Nansonics Limited
COM
Q6499K102
384
90051
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SOLE
0
0
90051
NXP Semiconductors NV
COM
N6596X109
1332
6614
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SOLE
0
0
6614
Options Media Group Hldgs
COM
684008105
0
234993
SH
SOLE
0
0
234993
Pentair PLC
COM
G7S00T104
275
4405
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SOLE
0
0
4405
Schlumberger Ltd
COM
806857108
10872
399849
SH
SOLE
11067
0
388782
Slang Worldwide
COM
831006200
67
200000
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0
0
200000
Terrascend
COM
88105E108
173
17000
SH
SOLE
0
0
17000
Trane Technologies PLC
COM
G8994E103
762
4600
SH
SOLE
0
0
4600
Trulieve Cannabis
COM
89788C104
564
12400
SH
SOLE
0
0
12400
Tudor Gold
COM
89901P107
104
40000
SH
SOLE
0
0
40000
Vext Science
COM
925540106
36
50000
SH
SOLE
0
0
50000
Vireo Health International
COM
92767A107
155
65000
SH
SOLE
0
0
65000
Alexandria Real Estate Equitie
COM
015271109
1571
9559
SH
SOLE
0
0
9559
American Campus Communities
COM
024835100
1323
30643
SH
SOLE
0
0
30643
American Tower REIT
COM
03027X100
8770
36686
SH
SOLE
0
0
36686
Boston Properties
COM
101121101
203
2000
SH
SOLE
0
0
2000
Broadstone Net Lease-A
COM
11135E203
247
13516
SH
SOLE
0
0
13516
Camden Property Trust
COM
133131102
1482
13485
SH
SOLE
0
0
13485
Corporate Office Properties
COM
22002T108
857
32560
SH
SOLE
0
0
32560
Empire State Realty
COM
292102100
254
22903
SH
SOLE
0
0
22903
Equinix
COM
29444U700
204
300
SH
SOLE
0
0
300
Equity Lifestyle Properties
COM
29472R108
330
5192
SH
SOLE
0
0
5192
Equity Residential
COM
29476L107
1966
27441
SH
SOLE
0
0
27441
ProLogis
COM
74340W103
486
4582
SH
SOLE
0
0
4582
Public Storage
COM
74460D109
7710
31244
SH
SOLE
500
0
30744
Realty Income
COM
756109104
221
3472
SH
SOLE
0
0
3472
Simon Property Group
COM
828806109
1038
9122
SH
SOLE
0
0
9122
Texas Pacific Land Corp.
COM
88262P102
695
437
SH
SOLE
0
0
437
Ventas
COM
92276F100
821
15384
SH
SOLE
0
0
15384
Weyerhaeuser
COM
962166104
1249
35088
SH
SOLE
0
0
35088
AB Wealth Appreciation Strateg
COM
01877F666
239
12042
SH
SOLE
0
0
12042
Akre Focus Fd
COM
742935125
229
4006
SH
SOLE
0
0
4006
AllianceBernstein Sm/Mdcap Gr
COM
018636100
145
10183
SH
SOLE
0
0
10183
Amer Fds-Invest Co of Amer A
COM
461308108
247
5223
SH
SOLE
0
0
5223
Amer Fds - Fundamental Inv
COM
360802821
443
6048
SH
SOLE
0
0
6048
American Century Select Fd - I
COM
025083502
224
2207
SH
SOLE
0
0
2207
American Fds-Fundamental Inv
COM
360802102
211
2875
SH
SOLE
0
0
2875
American Fds-Growth Fd of Amer
COM
399874106
357
5156
SH
SOLE
0
0
5156
American Fds-New Perspective-A
COM
648018109
745
12060
SH
SOLE
0
0
12060
American Grw Fd of Amer 2
COM
399874825
572
8290
SH
SOLE
0
0
8290
American SMALLCAP World Fd-A
COM
831681101
413
5025
SH
SOLE
0
0
5025
BlackRock H/Y Bd Port
COM
09260B630
271
34918
SH
SOLE
0
0
34918
BNY Mellon Sml Cap Multi Strat
COM
05569M889
208
8671
SH
SOLE
0
0
8671
Catalyst Enhanced Inc Strat Fd
COM
62827P436
190
16841
SH
SOLE
0
0
16841
Columbia Acorn Fund-Z
COM
197199409
6490
383595
SH
SOLE
0
0
383595
Columbia Acorn Intl Fd-Z
COM
197199813
1188
34505
SH
SOLE
0
0
34505
Columbia L/C Grwth Fd Z
COM
19765P661
665
11674
SH
SOLE
0
0
11674
CREF Stock Acct R3
COM
194408126
227
325
SH
SOLE
0
0
325
DFA Emerg Mkt Core Eq Fd
COM
233203421
363
14230
SH
SOLE
0
0
14230
DFA Intl Core Eq Fd
COM
233203371
229
14856
SH
SOLE
0
0
14856
DFA US L/C Growth Port
COM
23320G281
217
7552
SH
SOLE
0
0
7552
DFA US Lg Cap Value Port
COM
233203827
260
6071
SH
SOLE
0
0
6071
Dodge & Cox Balanced Fund
COM
256201104
899
8179
SH
SOLE
0
0
8179
Dodge & Cox Income Fund
COM
256210105
242
17130
SH
SOLE
0
0
17130
Dodge & Cox Intl Stock Fd
COM
256206103
216
4608
SH
SOLE
0
0
4608
Dodge & Cox Stock Fund
COM
256219106
438
1984
SH
SOLE
0
0
1984
Dreyfus Mid Cap Index I Fd
COM
05588M100
206
5500
SH
SOLE
0
0
5500
Fidelity 4-in-1 Index Fd
COM
31634R109
227
3932
SH
SOLE
0
0
3932
Fidelity 500 Index Fund
COM
315911750
7828
56639
SH
SOLE
0
0
56639
Fidelity Advisor New Insights
COM
316071208
226
6176
SH
SOLE
0
0
6176
Fidelity Contrafund
COM
316071109
1599
95186
SH
SOLE
0
0
95186
Fidelity Diversified Intl Fd
COM
315910802
1336
28053
SH
SOLE
0
0
28053
Fidelity Equity Income Fd
COM
316138106
242
3611
SH
SOLE
0
0
3611
Fidelity Fund
COM
316153105
447
6917
SH
SOLE
0
0
6917
Fidelity Independence Fd
COM
316145309
248
5332
SH
SOLE
0
0
5332
Fidelity Intl Index Fd
COM
315911727
479
10159
SH
SOLE
0
0
10159
Fidelity Puritan Fund
COM
316345107
825
30338
SH
SOLE
0
0
30338
Fidelity Spartan Inter Muni In
COM
31638R204
1677
155421
SH
SOLE
0
0
155421
Fidelity Tax Free Bond Fund
COM
316128503
406
33542
SH
SOLE
0
0
33542
Fidelity Value Fund
COM
316464106
231
16299
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SOLE
0
0
16299
Franklin H/Y Tax Free Inc
COM
354723272
561
54108
SH
SOLE
0
0
54108
Franklin Income Fd
COM
353496847
250
103398
SH
SOLE
0
0
103398
Harding Loevner Intl Equity Po
COM
412295107
286
9963
SH
SOLE
0
0
9963
Harris Assoc Oakmark Fund
COM
413838103
1384
13296
SH
SOLE
0
0
13296
Harris Assoc Oakmark Select Fu
COM
413838608
209
3749
SH
SOLE
0
0
3749
Invesco Oppenheimer Dev Mkts-A
COM
00143W701
432
7904
SH
SOLE
0
0
7904
Invesco Rch Muni Opp-Y Fd
COM
00141W703
91
11347
SH
SOLE
0
0
11347
IShares S&P 500 Index-K
COM
066922204
24060
51204
SH
SOLE
0
0
51204
Janus Balanced Fd
COM
471023879
305
7346
SH
SOLE
0
0
7346
Janus Henderson Research D
COM
47103E759
202
3123
SH
SOLE
0
0
3123
Janus Mercury Fund
COM
471023853
356
5509
SH
SOLE
0
0
5509
John Hancock Lg Cap Eq Fd
COM
41013P103
226
3457
SH
SOLE
0
0
3457
John Hancock Life Bal Fd
COM
47803V481
267
16742
SH
SOLE
0
0
16742
JPMorgan Equity Index Sel
COM
4812C1553
280
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
311
24969
SH
SOLE
0
0
24969
JPMorgan Tax R/R Fd
COM
4812A2538
238
24874
SH
SOLE
0
0
24874
Lord Abbett Shrt Dur Inc Fd
COM
543916704
54
12881
SH
SOLE
0
0
12881
MFS Mass Investors Tr-A
COM
575736103
259
6812
SH
SOLE
0
0
6812
Northern High Yield Fixed Inc
COM
665162699
197
29120
SH
SOLE
0
0
29120
Northern Stock Index Fd
COM
665162772
306
6883
SH
SOLE
0
0
6883
Nuveen Inter Dur Muni Bd-R
COM
67065Q400
568
59182
SH
SOLE
0
0
59182
Parnassus Core Equity Fd
COM
701769408
564
9797
SH
SOLE
0
0
9797
Parnassus Equity Income Fd
COM
701769101
509
8856
SH
SOLE
0
0
8856
Price T Rowe Capital Appreciat
COM
77954M105
1126
31727
SH
SOLE
0
0
31727
Price T Rowe Dividend Growth F
COM
779546100
406
6462
SH
SOLE
0
0
6462
Price T Rowe Mid Cap Grwth Fd
COM
779556109
780
6698
SH
SOLE
0
0
6698
Price T Rowe New Horizons Fund
COM
779562107
295
3655
SH
SOLE
0
0
3655
Price T Rowe Science & Technol
COM
77957M102
241
4064
SH
SOLE
0
0
4064
Price T Rowe Tax Free Inc Bond
COM
779576107
217
20945
SH
SOLE
0
0
20945
Schwab Intl Index Fund
COM
808509830
232
10217
SH
SOLE
0
0
10217
Schwab S&P 500 Index Fd
COM
808509855
4277
70163
SH
SOLE
0
0
70163
Schwab Total Stock Mrkt Ind-Se
COM
808509756
1578
22305
SH
SOLE
0
0
22305
Stone Ridge H/Y Reinsur Risk P
COM
861728509
3856
427467
SH
SOLE
0
0
427467
T Rowe Price Gr Stock Fund
COM
741479109
1121
11276
SH
SOLE
0
0
11276
T Rowe Price Health Sciences F
COM
741480107
238
2417
SH
SOLE
0
0
2417
T Rowe Price High Yield Fd
COM
741481105
118
17807
SH
SOLE
0
0
17807
T Rowe Price S/T Bond
COM
77957P105
789
162918
SH
SOLE
0
0
162918
T Rowe Price Ultra ST Bd-Inv
COM
77957P303
166
32580
SH
SOLE
0
0
32580
Tweedy Browne Global Value Fd
COM
901165100
576
19601
SH
SOLE
0
0
19601
Vanguard 500 Index Fd-Admiral
COM
922908710
7040
19198
SH
SOLE
0
0
19198
Vanguard Bal Index Adm Fed
COM
921931200
252
5599
SH
SOLE
0
0
5599
Vanguard Dev Mkt Indx Adm
COM
921943809
322
20435
SH
SOLE
0
0
20435
Vanguard Developed Mkts Indx
COM
921943882
5622
356062
SH
SOLE
0
0
356062
Vanguard Div Apprec Index Fd
COM
921908828
654
16398
SH
SOLE
0
0
16398
Vanguard FTSE Social Index Fun
COM
921910717
319
8313
SH
SOLE
0
0
8313
Vanguard GNMA Fd-Inv
COM
922031307
617
57891
SH
SOLE
0
0
57891
Vanguard GNMA Fd - Adm
COM
922031794
6409
601746
SH
SOLE
0
0
601746
Vanguard Healthcare Fd
COM
921908885
1031
11549
SH
SOLE
0
0
11549
Vanguard High Div Yld Indx
COM
921946786
634
20815
SH
SOLE
0
0
20815
Vanguard Inflat Protected Sec
COM
922031869
256
18003
SH
SOLE
0
0
18003
Vanguard Intl Growth Fd-I
COM
921910204
868
17400
SH
SOLE
0
0
17400
Vanguard Intm Trm T/E Fd
COM
922907878
269
18271
SH
SOLE
0
0
18271
Vanguard Long-Term T/E Fd
COM
922907308
162
13374
SH
SOLE
0
0
13374
Vanguard Ltd Term T/E Fd
COM
922907886
398
35492
SH
SOLE
0
0
35492
Vanguard Mid Cap Index-Adm
COM
922908645
456
1663
SH
SOLE
0
0
1663
Vanguard S/T Invest Gr Adm Fd
COM
922031836
271
24779
SH
SOLE
0
0
24779
Vanguard S/T Tax Exempt Fd
COM
922907803
235
14775
SH
SOLE
0
0
14775
Vanguard Short Term Bd Ind Adm
COM
921937702
118
10914
SH
SOLE
0
0
10914
Vanguard Small Cap Index Fd-Ad
COM
922908686
554
5405
SH
SOLE
0
0
5405
Vanguard ST Inv Gr Fd
COM
922031406
290
26553
SH
SOLE
0
0
26553
Vanguard Tot Stk Mkt Index Fd
COM
922908728
6260
62290
SH
SOLE
0
0
62290
Vanguard Total Intl Stk Index
COM
921909818
578
17167
SH
SOLE
0
0
17167
Vanguard Value Index Fd
COM
922908678
456
8895
SH
SOLE
0
0
8895
Vanguard Wellesley Inc Fund
COM
921938205
220
3187
SH
SOLE
0
0
3187
Vanguard Wellesley Income Fund
COM
921938106
532
18705
SH
SOLE
0
0
18705
Vanguard Wellington Fd
COM
921935201
929
11787
SH
SOLE
0
0
11787
Vanguard Windsor Fd ADM
COM
922018403
257
3197
SH
SOLE
0
0
3197
WCM Focused International Grow
COM
461418444
239
9672
SH
SOLE
0
0
9672
AdvisorShares Pure US Cannabis
COM
00768Y453
257
6070
SH
SOLE
0
0
6070
AMEX Financial Select Sector
COM
81369Y605
447
13129
SH
SOLE
0
0
13129
AMEX Health Care Select Sector
COM
81369Y209
531
4551
SH
SOLE
0
0
4551
Cambria Tail Risk ETF
COM
132061862
10075
537344
SH
SOLE
0
0
537344
DNP Select Income Fd
COM
23325P104
100
10073
SH
SOLE
0
0
10073
Global X NASDAQ 100 Cov Call
COM
37954Y483
3842
170376
SH
SOLE
0
0
170376
Global X Russell 2000 Cvrd Cal
COM
37954Y459
531
21875
SH
SOLE
0
0
21875
Global X S&P 500 Covered Call
COM
37954Y475
1796
37550
SH
SOLE
0
0
37550
Goldman Sachs Treas Acc Fd
COM
381430529
264
2639
SH
SOLE
0
0
2639
Invesco QQQ
COM
46090E103
2973
9316
SH
SOLE
0
0
9316
Invesco Wilderhill Clean En
COM
46137V134
426
4329
SH
SOLE
0
0
4329
iShares Barclays 1-3 Yr Trsy B
COM
464287457
1134
13143
SH
SOLE
9500
0
3643
iShares Barclays 3-7 Yr Trea
COM
464288661
325
2502
SH
SOLE
1200
0
1302
iShares Barclays Shrt Trea
COM
464288679
2013
18214
SH
SOLE
0
0
18214
iShares Core MSCI EAFE ETF
COM
46432F842
10449
145029
SH
SOLE
1100
0
143929
iShares Core MSCI Emer Mkts ET
COM
46434G103
6929
107659
SH
SOLE
0
0
107659
ishares Core S&P 500 ETF
COM
464287200
9829
24708
SH
SOLE
0
0
24708
iShares Core S&P MidCap ETF
COM
464287507
15323
58872
SH
SOLE
0
0
58872
iShares Core S&P SmallCap ETF
COM
464287804
17676
162869
SH
SOLE
1000
0
161869
iShares Core S&P Total U S Sto
COM
464287150
2606
28451
SH
SOLE
0
0
28451
iShares Cur Hdg MSCI EAFE Sm
COM
46435G839
611
17400
SH
SOLE
2000
0
15400
iShares DJ Select Div Index Fd
COM
464287168
2797
24512
SH
SOLE
0
0
24512
iShares DJ US Tech Sec Ind Fd
COM
464287721
456
5200
SH
SOLE
0
0
5200
ishares Glbl Clean Energy ETF
COM
464288224
296
12200
SH
SOLE
0
0
12200
iShares Gold Trust
COM
464285105
219
13490
SH
SOLE
0
0
13490
iShares iBond Dec 2022 Trm
COM
46435G755
477
18125
SH
SOLE
0
0
18125
IShares IBonds Dec 2021 Term
COM
46435G789
850
33050
SH
SOLE
0
0
33050
IShares IBonds Dec 2023 Term
COM
46435G318
268
10250
SH
SOLE
0
0
10250
iShares IBoxx H/Y Corp Bd
COM
464288513
537
6165
SH
SOLE
0
0
6165
iShares Lehman Treas Inf Prot
COM
464287176
726
5788
SH
SOLE
0
0
5788
iShares MBS Fd
COM
464288588
262
2416
SH
SOLE
0
0
2416
iShares MSCI ACWI Index Fd
COM
464288257
666
7000
SH
SOLE
0
0
7000
iShares MSCI Asia Ex-Japan
COM
464288182
1358
14659
SH
SOLE
0
0
14659
iShares MSCI Canada Index Fd
COM
464286509
341
10012
SH
SOLE
0
0
10012
iShares MSCI EAFE Index Fd
COM
464287465
12613
166250
SH
SOLE
3870
0
162380
iShares MSCI EAFE S/C
COM
464288273
936
13033
SH
SOLE
1100
0
11933
iShares MSCI Emerging Mkts Ind
COM
464287234
11734
219989
SH
SOLE
16609
0
203380
iShares MSCI Japan Index Fd
COM
46434G822
375
5471
SH
SOLE
0
0
5471
iShares Russell 1000 Grow Indx
COM
464287614
2262
9307
SH
SOLE
0
0
9307
iShares Russell 1000 Index Fd
COM
464287622
457
2043
SH
SOLE
0
0
2043
iShares Russell 1000 Val Index
COM
464287598
864
5698
SH
SOLE
0
0
5698
iShares Russell 2000 Index Fun
COM
464287655
10955
49583
SH
SOLE
2350
0
47233
iShares Russell Midcap Index F
COM
464287499
15940
215607
SH
SOLE
12000
0
203607
ishares S&P 100 Index Fd
COM
464287101
432
2400
SH
SOLE
0
0
2400
iShares S&P 500 Growth Index F
COM
464287309
201
3084
SH
SOLE
0
0
3084
iShares S&P 500 Value Index Fd
COM
464287408
908
6428
SH
SOLE
0
0
6428
iShares S&P Global 100 Index F
COM
464287572
429
6494
SH
SOLE
800
0
5694
iShares S&P MidCap 400/Value I
COM
464287705
2831
27778
SH
SOLE
0
0
27778
iShares S&P MidCap400 Grwth In
COM
464287606
527
6719
SH
SOLE
0
0
6719
iShares S&P Natl AMT Free Bd
COM
464288414
377
3250
SH
SOLE
0
0
3250
iShares S&P S/C 600/Barra Grw
COM
464287887
379
2954
SH
SOLE
0
0
2954
iShares S&P SmallCap 600 Val I
COM
464287879
636
6312
SH
SOLE
0
0
6312
iShares Ultra Short-Term Bd
COM
46434V878
233
4610
SH
SOLE
0
0
4610
Proshares Short 20 Trsy
COM
74347X849
245
13500
SH
SOLE
0
0
13500
ProShares VIX Mid Term
COM
74347W338
2902
83448
SH
SOLE
0
0
83448
Quadratic int rte vol and infl
COM
500767736
8128
284378
SH
SOLE
0
0
284378
Robo Global Healthcare Tech Fd
COM
301505723
8034
183050
SH
SOLE
7200
0
175850
Robo Global Robotics & Automat
COM
301505707
12653
199230
SH
SOLE
8600
0
190630
S&P Mid-Cap 400 ETF Trust
COM
78467Y107
28602
60083
SH
SOLE
975
0
59108
Schwab Emerging Mkts Equity Fd
COM
808524706
348
10957
SH
SOLE
0
0
10957
Schwab Intl Equity ETF
COM
808524805
620
16478
SH
SOLE
0
0
16478
Schwab U S Broad Mkt ETF
COM
808524102
658
6809
SH
SOLE
0
0
6809
Schwab US Lg Cap Fd
COM
808524201
245
2553
SH
SOLE
0
0
2553
Schwab US Lg Cap Value Fd
COM
808524409
332
5090
SH
SOLE
0
0
5090
SPDR 500 ETF Trust Ser 1
COM
78462F103
73539
185550
SH
SOLE
0
0
185550
SPDR Barclays 1-3 Month
COM
78468R663
719
7855
SH
SOLE
0
0
7855
SPDR DJIA ETF Trust
COM
78467X109
353
1069
SH
SOLE
0
0
1069
SPDR Gold Trust
COM
78463V107
1429
8931
SH
SOLE
0
0
8931
SPDR S&P 600 S/C ETF
COM
78464A813
456
4856
SH
SOLE
0
0
4856
SPDR S&P Aerspace & Defense
COM
78464A631
252
2004
SH
SOLE
0
0
2004
SPDR S&P Biotech
COM
78464A870
205
1510
SH
SOLE
0
0
1510
SPDR S&P Dividend
COM
78464A763
245
2078
SH
SOLE
0
0
2078
Sprott Physical Gold Trust
COM
85207H104
290
21643
SH
SOLE
0
0
21643
Tri Continental
COM
895436103
281
8662
SH
SOLE
0
0
8662
Utilities Sel Sector SPDR Fd
COM
81369Y886
215
3365
SH
SOLE
0
0
3365
Vanguard 500 ETF
COM
922908363
6703
18399
SH
SOLE
0
0
18399
Vanguard Dividend Apprec
COM
921908844
819
5567
SH
SOLE
0
0
5567
Vanguard Extended Mkt
COM
922908652
1005
5681
SH
SOLE
0
0
5681
Vanguard FTSE All Wo X-US
COM
922042775
2985
49190
SH
SOLE
200
0
48990
Vanguard FTSE All Wo X-US SC
COM
922042718
498
3883
SH
SOLE
100
0
3783
Vanguard FTSE Dev Mrkts ETF
COM
921943858
737
15006
SH
SOLE
0
0
15006
Vanguard FTSE Emerging Mkts
COM
922042858
16546
317883
SH
SOLE
3800
0
314083
Vanguard FTSE Europe ETF
COM
922042874
242
3844
SH
SOLE
0
0
3844
Vanguard Growth ETF
COM
922908736
1496
5821
SH
SOLE
0
0
5821
Vanguard Health Care ETF
COM
92204A504
316
1380
SH
SOLE
0
0
1380
Vanguard High Div Yield ETF
COM
921946406
723
7149
SH
SOLE
0
0
7149
Vanguard Info Tech ETF
COM
92204A702
222
620
SH
SOLE
0
0
620
Vanguard Int-Term Corp Bond Fd
COM
92206C870
471
5067
SH
SOLE
0
0
5067
Vanguard MidCap ETF
COM
922908629
778
3514
SH
SOLE
0
0
3514
Vanguard REIT ETF
COM
922908553
561
6102
SH
SOLE
0
0
6102
Vanguard S/T Corp Bond
COM
92206C409
567
6875
SH
SOLE
0
0
6875
Vanguard Short-Term Treasury
COM
92206C102
371
6027
SH
SOLE
0
0
6027
Vanguard Short Term Bd ETF
COM
921937827
249
3032
SH
SOLE
0
0
3032
Vanguard Small Cap ETF
COM
922908751
699
3265
SH
SOLE
0
0
3265
Vanguard Tot Intl Stk Index ET
COM
921909768
606
9671
SH
SOLE
0
0
9671
Vanguard Total Stock Market ET
COM
922908769
3375
16331
SH
SOLE
0
0
16331
Vanguard Value ETF Fund
COM
922908744
267
2035
SH
SOLE
0
0
2035
Wisdom Tree Intl Quality Divid
COM
97717X131
298
8025
SH
SOLE
0
0
8025
Wisdomtree Emrg. Mkts. Ex-Stat
COM
97717X578
245
6033
SH
SOLE
0
0
6033
WisdomTree Japan Hedged Eq Fd
COM
97717W851
834
13600
SH
SOLE
0
0
13600