Chief Compliance Officer

0000709428-21-000009.txt : 20211105 0000709428-21-000009.hdr.sgml : 20211105 20211105134044 ACCESSION NUMBER: 0000709428-21-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211105 DATE AS OF CHANGE: 20211105 EFFECTIVENESS DATE: 20211105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COZAD ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0000709428 IRS NUMBER: 370958133 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18895 FILM NUMBER: 211383732 BUSINESS ADDRESS: STREET 1: 2501 GALEN DRIVE STREET 2: P.O. BOX 3669 CITY: CHAMPAIGN STATE: IL ZIP: 61821 BUSINESS PHONE: 2173568363 MAIL ADDRESS: STREET 1: 2501 GALEN DRIVE STREET 2: P.O. BOX 3669 CITY: CHAMPAIGN STATE: IL ZIP: 61821 FORMER COMPANY: FORMER CONFORMED NAME: COZAD FINANCIAL PLANNING CORP /ADV DATE OF NAME CHANGE: 19910401 FORMER COMPANY: FORMER CONFORMED NAME: COZAD ASSET MANAGEMENT INC /ADV DATE OF NAME CHANGE: 19821118 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0000709428 XXXXXXXX 09-30-2021 09-30-2021 COZAD ASSET MANAGEMENT INC

2501 GALEN DRIVE P.O. BOX 3669 CHAMPAIGN IL 61821

13F HOLDINGS REPORT 028-18895 N S. Craig Kiddoo Chief Compliance Officer 2173568363 S. Craig Kiddoo Champaign IL 11-05-2021 0 357 641975 false INFORMATION TABLE 2 13F_Report_Q3_2021_Final.xml ABB Ltd. Sponsored ADR COM 000375204 305 9149 SH SOLE 0 0 9149 AFLAC, Inc. COM 001055102 853 16356 SH SOLE 0 0 16356 AGNC Investment Corp COM 00123q104 1109 70332 SH SOLE 0 0 70332 AT&T Inc. COM 00206R102 462 17121 SH SOLE 0 0 17121 ASE Technology Holding Co., Lt COM 00215w100 78 10000 SH SOLE 0 0 10000 Abbott Laboratories COM 002824100 1742 14747 SH SOLE 0 0 14747 AbbVie, Inc. COM 00287y109 1846 17110 SH SOLE 0 0 17110 Adobe Systems, Inc. COM 00724F101 447 776 SH SOLE 0 0 776 Air Products & Chem COM 009158106 368 1436 SH SOLE 0 0 1436 Allstate Corp. COM 020002101 2388 18754 SH SOLE 0 0 18754 Alphabet Inc., Cl. C COM 02079k107 2092 785 SH SOLE 0 0 785 Alphabet Inc., Cl. A COM 02079k305 12584 4707 SH SOLE 0 0 4707 Altria Group, Inc. COM 02209S103 532 11681 SH SOLE 0 0 11681 Amazon.Com Inc. COM 023135106 10138 3086 SH SOLE 0 0 3086 Ameren Corp. COM 023608102 159 1967 SH SOLE 0 0 1967 American Express COM 025816109 243 1450 SH SOLE 0 0 1450 American States Water Co. COM 029899101 1836 21471 SH SOLE 0 0 21471 American Tower Corp. COM 03027x100 459 1730 SH SOLE 0 0 1730 Amgen, Inc. COM 031162100 263 1237 SH SOLE 0 0 1237 Amyris, Inc. COM 03236m200 143 10450 SH SOLE 0 0 10450 Annaly Capital Mgmt Inc. COM 035710409 1270 150841 SH SOLE 0 0 150841 Anthem, Inc. COM 036752103 798 2139 SH SOLE 0 0 2139 Apartment Invt. & Mgmt Co. (AI COM 03748r747 189 27596 SH SOLE 0 0 27596 Apartment Income REIT Corp. COM 03750l109 1347 27596 SH SOLE 0 0 27596 Apple Inc. 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COM 808513105 724 9946 SH SOLE 0 0 9946 Materials Select Sector SPDR E COM 81369y100 537 6790 SH SOLE 0 0 6790 Health Care Select Sector SPDR COM 81369y209 114 899 SH SOLE 0 0 899 Financial Select Sector SPDR E COM 81369y605 247 6590 SH SOLE 0 0 6590 Industrial Select Sector SPDR COM 81369y704 407 4163 SH SOLE 0 0 4163 Technology Select Sector SPDR COM 81369y803 361 2418 SH SOLE 0 0 2418 ServiceNow, Inc. COM 81762p102 2128 3419 SH SOLE 0 0 3419 Sherwin Williams Company COM 824348106 9189 32851 SH SOLE 0 0 32851 Siemens AG ADR COM 826197501 238 2894 SH SOLE 0 0 2894 Southern Company COM 842587107 256 4132 SH SOLE 0 0 4132 Southern Copper Corp. COM 84265v105 199 3540 SH SOLE 0 0 3540 Square Inc., Cl. A COM 852234103 115 480 SH SOLE 0 0 480 Starbucks Corp. COM 855244109 404 3660 SH SOLE 0 0 3660 State Street Corp. COM 857477103 1269 14980 SH SOLE 0 0 14980 Steel Dynamics Inc. 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COM 94106L109 273 1831 SH SOLE 0 0 1831 Williams Companies COM 969457100 1956 75422 SH SOLE 0 0 75422 Workday, Inc. Cl. A COM 98138h101 325 1300 SH SOLE 0 0 1300 Yum Brands, Inc. COM 988498101 135 1103 SH SOLE 0 0 1103 Zebra Technologies Corp. COM 989207105 451 875 SH SOLE 0 0 875 Zynga Inc., Cl. A COM 98986t108 310 41200 SH SOLE 0 0 41200 Coca Cola European Partners PL COM g25839104 235 4252 SH SOLE 0 0 4252 Eaton Corp., PLC COM g29183103 429 2871 SH SOLE 0 0 2871 Everest Reinsur. Group, Ltd. COM g3223r108 285 1135 SH SOLE 0 0 1135 Linde PLC COM g5494j103 238 810 SH SOLE 0 0 810 Microport Scientific Corp. COM g60837104 2869 504670 SH SOLE 0 0 504670 Seagate Technology Holdings PL COM g7997r103 369 4473 SH SOLE 0 0 4473 Garmin Ltd. COM h2906t109 3091 19884 SH SOLE 0 0 19884 UBS Group AG COM h42097107 175 10990 SH SOLE 0 0 10990 XTrackers MSCI EAFE Hedged Equity ETF COM 233051200 457 12101 SH SOLE 0 0 12101 First Trust Morningstar Div Leaders ETF COM 336917109 4245 129587 SH SOLE 0 0 129587 First Trust Capital Strength ETF COM 33733E104 2388 31917 SH SOLE 0 0 31917 First Trust NYSE Arca Biotech ETF COM 33733e203 448 2695 SH SOLE 0 0 2695 First Trust Dow Jones Internet ETF COM 33733e302 1287 5456 SH SOLE 0 0 5456 First Trust Lunt U.S. Factor Rotation ETF COM 33733e872 303 8900 SH SOLE 0 0 8900 First Trust NASDAQ-100 Equal Wtd ETF COM 337344105 2563 23036 SH SOLE 0 0 23036 First Trust Value Line Dividend ETF COM 33734h106 3821 97485 SH SOLE 0 0 97485 First Tr Large Cap Core AlphaDex Fd ETF COM 33734k109 556 6520 SH SOLE 0 0 6520 First Trust Mid Cap Core AlphaDEX ETF COM 33735b108 1222 12509 SH SOLE 0 0 12509 First Trust Senior Loan Fund ETF COM 33738d309 622 12998 SH SOLE 0 0 12998 First Trust Rising Dividend Achievers ETF COM 33738r506 420 8840 SH SOLE 0 0 8840 First Trust Preferred Secs & Inc ETF COM 33739e108 1181 57495 SH SOLE 0 0 57495 First TR Global Tactical Commodity ETF COM 33739h101 735 30473 SH SOLE 0 0 30473 First Trust Managed Municipal ETF COM 33739n108 371 6526 SH SOLE 0 0 6526 First Tr TCW Opportunistic Fixed Inc ETF COM 33740f805 1509 28188 SH SOLE 0 0 28188 FlexShares Quality Dividend ETF COM 33939l860 283 5090 SH SOLE 0 0 5090 Goldman Sachs ActiveBeta Int'l Eq ETF COM 381430107 2239 65520 SH SOLE 0 0 65520 Goldman Sachs ActiveBeta Emerging Mkts ETF COM 381430206 1125 30330 SH SOLE 0 0 30330 Goldman Sachs ActiveBeta US LargeCp Eq ETF COM 381430503 3912 45475 SH SOLE 0 0 45475 Invesco S&P 500 Quality ETF A COM 46137v241 7154 147344 SH SOLE 0 0 147344 Invesco S&P 500 Pure Value ETF COM 46137v258 232 3060 SH SOLE 0 0 3060 Invesco S&P 500 Low Volatility ETF COM 46138e354 1990 32706 SH SOLE 0 0 32706 Invesco S&P 500 Revenue ETF COM 46138g698 535 7350 SH SOLE 0 0 7350 Invesco Russell 1000 Dynamic Multi ETF COM 46138j619 1499 32382 SH SOLE 0 0 32382 IShares Tr. S&P 1500 Index ETF COM 464287150 258 2620 SH SOLE 0 0 2620 IShares Select Dividend ETF COM 464287168 1181 10297 SH SOLE 0 0 10297 IShares S&P 500 Index ETF COM 464287200 567 1317 SH SOLE 0 0 1317 IShares MSCI EAFE ETF COM 464287465 677 8673 SH SOLE 0 0 8673 IShares Russell Midcap Value Index ETF COM 464287473 3214 28380 SH SOLE 0 0 28380 IShares Russell Midcap Growth Index ETF COM 464287481 874 7798 SH SOLE 0 0 7798 IShares Russell Midcap Index ETF COM 464287499 2227 28467 SH SOLE 0 0 28467 IShares S&P Midcap 400 Index ETF COM 464287507 2386 9072 SH SOLE 0 0 9072 IShares Cohen & Steers REIT ETF COM 464287564 245 3738 SH SOLE 0 0 3738 IShares Russell 1000 Value Index ETF COM 464287598 275 1757 SH SOLE 0 0 1757 IShares Russell 1000 Growth Index ETF COM 464287614 588 2144 SH SOLE 0 0 2144 IShares Russell 1000 Index Fund ETF COM 464287622 849 3511 SH SOLE 0 0 3511 IShares Russell 2000 Value Index ETF COM 464287630 355 2213 SH SOLE 0 0 2213 IShares Russell 2000 Index ETF COM 464287655 3590 16411 SH SOLE 0 0 16411 IShares Core US Value ETF COM 464287663 452 6375 SH SOLE 0 0 6375 IShares Russell 3000 Index ETF COM 464287689 4048 15884 SH SOLE 0 0 15884 IShares S&P MidCap 400/Barra Value ETF COM 464287705 251 2434 SH SOLE 0 0 2434 IShares S&P SmallCap 600 Index ETF COM 464287804 2888 26445 SH SOLE 0 0 26445 IShares Residential Real Estate Capped ETF COM 464288562 595 6957 SH SOLE 0 0 6957 IShares MSCI USA Minimum Volatility ETF COM 46429b697 4234 57606 SH SOLE 0 0 57606 IShares Edge MSCI USA Quality Factor ETF COM 46432f339 1120 8505 SH SOLE 0 0 8505 IShares TR Edge MSCI USA Value Factor ETF COM 46432f388 543 5390 SH SOLE 0 0 5390 IShares MSCI USA Momentum Factor ETF COM 46432f396 5692 32415 SH SOLE 0 0 32415 IShares TR Core 1-5yr Bond ETF COM 46432f859 1196 23425 SH SOLE 0 0 23425 IShares - Inc Core MSCI Emerging Mkts ETF COM 46434g103 202 3275 SH SOLE 0 0 3275 JPMorgan Ultra-Short Income ETF COM 46641q837 873 17215 SH SOLE 0 0 17215 ProShares S&P 500 Dividend Aristocrats ETF COM 74348a467 1475 16656 SH SOLE 0 0 16656 SPDR S&P 500 ETF COM 78462F103 3651 8508 SH SOLE 0 0 8508 SPDR Gold Shares ETF COM 78463v107 473 2880 SH SOLE 0 0 2880 SPDR Portfolio S&P 500 Growth ETF COM 78464a409 560 8744 SH SOLE 0 0 8744 SPDR S&P Value ETF COM 78464a508 2564 65750 SH SOLE 0 0 65750 SPDR S&P Dividend ETF COM 78464a763 1860 15823 SH SOLE 0 0 15823 SPDR Dow Jones Industrial Average ETF COM 78467x109 725 2142 SH SOLE 0 0 2142 SPDR S&P MidCap 400 ETF COM 78467y107 1009 2098 SH SOLE 0 0 2098 SPDR Nuveen Bloomberg Barclays Muni ETF COM 78468r721 264 5115 SH SOLE 0 0 5115 Schwab US Broad Market ETF COM 808524102 2966 28560 SH SOLE 0 0 28560 Schwab US Large-Cap ETF COM 808524201 908 8727 SH SOLE 0 0 8727 Schwab US Large-Cap Growth ETF COM 808524300 710 4795 SH SOLE 0 0 4795 Schwab US Mid-Cap ETF COM 808524508 878 11458 SH SOLE 0 0 11458 Schwab Strategic US Small-Cap ETF COM 808524607 1034 10330 SH SOLE 0 0 10330 Schwab Strategic Emerging Mkts Equity ETF COM 808524706 365 11960 SH SOLE 0 0 11960 Schwab Fundamental US Broad Market ETF COM 808524789 543 10133 SH SOLE 0 0 10133 Schwab US Div Equity ETF COM 808524797 5599 75412 SH SOLE 0 0 75412 Materials Select Sector SPDR ETF COM 81369y100 555 7010 SH SOLE 0 0 7010 Health Care Select Sector SPDR ETF COM 81369y209 305 2399 SH SOLE 0 0 2399 Financial Select Sector SPDR ETF COM 81369y605 249 6625 SH SOLE 0 0 6625 Industrial Select Sector SPDR ETF COM 81369y704 456 4663 SH SOLE 0 0 4663 Technology Select Sector SPDR ETF COM 81369y803 376 2518 SH SOLE 0 0 2518 Vanguard Dividend Appreciation ETF COM 921908844 11980 77993 SH SOLE 0 0 77993 Vanguard Mega Cap Growth ETF COM 921910816 293 1248 SH SOLE 0 0 1248 Vanguard Mega Cap ETF COM 921910873 10694 70177 SH SOLE 0 0 70177 Vanguard S&P 500 Growth ETF COM 921932505 5415 20307 SH SOLE 0 0 20307 Vanguard S&P 500 Value ETF COM 921932703 297 2113 SH SOLE 0 0 2113 Vanguard Short-Term Bond ETF COM 921937827 429 5236 SH SOLE 0 0 5236 Vanguard Bd Index - Total Bd Market ETF COM 921937835 259 3031 SH SOLE 0 0 3031 Vanguard Tax-Mgd Int'l Dev. Markets ETF COM 921943858 411 8145 SH SOLE 0 0 8145 Vanguard High Dividend Yield ETF COM 921946406 1781 17229 SH SOLE 0 0 17229 Vanguard FTSE All-World (ex. US) ETF COM 922042775 2368 38846 SH SOLE 0 0 38846 Vanguard Emerging Mkts. ETF COM 922042858 1156 23113 SH SOLE 0 0 23113 Vanguard Information Technology ETF COM 92204a702 2770 6902 SH SOLE 0 0 6902 Vanguard Russell 3000 ETF COM 92206c599 492 2485 SH SOLE 0 0 2485 Vanguard Russell 1000 Growth ETF COM 92206c680 2453 34816 SH SOLE 0 0 34816 Vanguard Russell 1000 Value ETF COM 92206c714 1040 15132 SH SOLE 0 0 15132 Vanguard Russell 1000 ETF COM 92206c730 7379 36864 SH SOLE 0 0 36864 Vanguard Scottsdale FDS Interm.-Term ETF COM 92206c870 367 3887 SH SOLE 0 0 3887 Vanguard Tax-Exempt Bond Index Fund ETF COM 922907746 303 5541 SH SOLE 0 0 5541 Vanguard S&P 500 ETF COM 922908363 3354 8503 SH SOLE 0 0 8503 Vanguard Mid-Cap Growth ETF COM 922908538 1346 5695 SH SOLE 0 0 5695 Vanguard Small Cap Growth ETF COM 922908595 654 2336 SH SOLE 0 0 2336 Vanguard Small Cap Value ETF COM 922908611 245 1448 SH SOLE 0 0 1448 Vanguard Mid Cap ETF COM 922908629 6335 26759 SH SOLE 0 0 26759 Vanguard Large Cap ETF COM 922908637 723 3600 SH SOLE 0 0 3600 Vanguard Extended Market ETF COM 922908652 346 1900 SH SOLE 0 0 1900 Vanguard Growth ETF COM 922908736 1636 5639 SH SOLE 0 0 5639 Vanguard Value ETF COM 922908744 740 5470 SH SOLE 0 0 5470 Vanguard Index Small Cap ETF COM 922908751 5744 26270 SH SOLE 0 0 26270 Vanguard Total Stock Market ETF COM 922908769 17478 78706 SH SOLE 0 0 78706 WisdomTree U.S. LargeCap Dividend ETF COM 97717w307 456 3820 SH SOLE 0 0 3820 WisdomTree International Hdgd Div Gr ETF COM 97717x594 1312 30388 SH SOLE 0 0 30388 WisdomTree US Quality Dividend Gr ETF COM 97717x669 440 7470 SH SOLE 0 0 7470 Logitech Internat'l. SA COM H50430232 684 7760 SH SOLE 0 0 7760