Chief Compliance Officer

0001398344-20-020695.txt : 20201026 0001398344-20-020695.hdr.sgml : 20201026 20201026133640 ACCESSION NUMBER: 0001398344-20-020695 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201026 DATE AS OF CHANGE: 20201026 EFFECTIVENESS DATE: 20201026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROWLAND CARMICHAEL ADVISORS INC /ADV CENTRAL INDEX KEY: 0000825052 IRS NUMBER: 860568468 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19805 FILM NUMBER: 201259943 BUSINESS ADDRESS: STREET 1: 6720 NORTH SCOTTSDALE ROAD, SUITE 212 CITY: Scottsdale STATE: AZ ZIP: 85253-4426 BUSINESS PHONE: 480-421-2660 MAIL ADDRESS: STREET 1: 6720 NORTH SCOTTSDALE ROAD, SUITE 212 CITY: SCOTTSDALE STATE: AZ ZIP: 85253-4426 FORMER COMPANY: FORMER CONFORMED NAME: ROWLAND CARMICHAEL & LEMON ADVISORS INC /ADV DATE OF NAME CHANGE: 19990218 FORMER COMPANY: FORMER CONFORMED NAME: ROWLAND CARMICHAEL & OCONNELL ADVISORS INC /ADV DATE OF NAME CHANGE: 19960613 FORMER COMPANY: FORMER CONFORMED NAME: INVESTMENT MANAGEMENT CONSULTANTS INC /ADV DATE OF NAME CHANGE: 19950725 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000825052 XXXXXXXX 09-30-2020 09-30-2020 false ROWLAND CARMICHAEL ADVISORS INC /ADV

6720 NORTH SCOTTSDALE ROAD, SUITE 212 SCOTTSDALE AZ 85253-4426

13F HOLDINGS REPORT 028-19805 N Janice Lee Orick Chief Compliance Officer 480-421-2660 /s/ Janice Lee Orick Scottsdale AZ 10-26-2020 0 349 255270 INFORMATION TABLE 2 fp0058379_13fhr-table.xml 13F INFORMATION TABLE ACCENTURE PLC IRELAND SHS CLASS A G1151C101 847 3747 SH SOLE 3747 0 0 CLARIVATE PLC ORD SHS G21810109 1434 46266 SH SOLE 46266 0 0 LIVANOVA PLC SHS G5509L101 217 4809 SH SOLE 4809 0 0 MEDTRONIC PLC SHS G5960L103 1168 11240 SH SOLE 11240 0 0 APTIV PLC SHS G6095L109 1028 11210 SH SOLE 11210 0 0 WHITE MTNS INS GROUP LTD COM G9618E107 484 621 SH SOLE 621 0 0 CHUBB LIMITED COM H1467J104 1071 9220 SH SOLE 9220 0 0 ABBOTT LABS COM 002824100 1251 11494 SH SOLE 11494 0 0 ABBVIE INC COM 00287Y109 328 3746 SH SOLE 3746 0 0 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 1173 293997 SH SOLE 293997 0 0 ABERDEEN GLOBAL PREMIER PPTY COM SH BEN INT 00302L108 318 69000 SH SOLE 69000 0 0 ACI WORLDWIDE INC COM 004498101 314 12000 SH SOLE 12000 0 0 ALEXANDER & BALDWIN INC NEW COM 014491104 205 18310 SH SOLE 18310 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1040 3536 SH SOLE 3536 0 0 ALLEGHANY CORP DEL COM 017175100 235 452 SH SOLE 452 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 318 30210 SH SOLE 30210 0 0 ALLIANCEBERNSTEIN HLDG L P UNIT LTD PARTN 01881G106 433 16000 SH SOLE 16000 0 0 ALPHABET INC CAP STK CL C 02079K107 223 152 SH SOLE 152 0 0 ALPHABET INC CAP STK CL A 02079K305 1992 1359 SH SOLE 1359 0 0 AMAZON COM INC COM 023135106 1833 582 SH SOLE 582 0 0 AMERICAN FIN TR INC COM CLASS A 02607T109 341 54443 SH SOLE 54443 0 0 AMERICAN TOWER CORP NEW COM 03027X100 356 1471 SH SOLE 1471 0 0 AMGEN INC COM 031162100 271 1065 SH SOLE 1065 0 0 AMPHENOL CORP NEW CL A 032095101 381 3522 SH SOLE 3522 0 0 ANALOG DEVICES INC COM 032654105 263 2257 SH SOLE 2257 0 0 APPLE INC COM 037833100 12896 111358 SH SOLE 111358 0 0 ARBOR REALTY TRUST INC COM 038923108 732 63817 SH SOLE 63817 0 0 ARES CAPITAL CORP COM 04010L103 276 19800 SH SOLE 19800 0 0 ARMSTRONG WORLD INDS INC COM 04247X102 357 5195 SH SOLE 5195 0 0 ATLANTIC UN BANKSHARES CORP COM 04911A107 226 10573 SH SOLE 10573 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 332 2380 SH SOLE 2380 0 0 AVERY DENNISON CORP COM 053611109 230 1800 SH SOLE 1800 0 0 BWX TECHNOLOGIES INC COM 05605H100 392 6955 SH SOLE 6955 0 0 BALL CORP COM 058498106 1202 14463 SH SOLE 14463 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2428 11404 SH SOLE 11404 0 0 BLACKROCK ENERGY & RES TR COM 09250U101 427 71500 SH SOLE 71500 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 278 26000 SH SOLE 26000 0 0 BLACKROCK RES & COMMODITIES SHS 09257A108 408 68500 SH SOLE 68500 0 0 BLACKSTONE MTG TR INC COM CL A 09257W100 381 17333 SH SOLE 17333 0 0 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 412 4960 SH SOLE 4960 0 0 BOSTON SCIENTIFIC CORP COM 101137107 262 6850 SH SOLE 6850 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 583 9667 SH SOLE 9667 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 420 3180 SH SOLE 3180 0 0 BRUKER CORP COM 116794108 226 5686 SH SOLE 5686 0 0 BURLINGTON STORES INC COM 122017106 259 1255 SH SOLE 1255 0 0 CDK GLOBAL INC COM 12508E101 264 6060 SH SOLE 6060 0 0 CANADIAN NATL RY CO COM 136375102 307 2886 SH SOLE 2886 0 0 CANNAE HLDGS INC COM 13765N107 287 7698 SH SOLE 7698 0 0 CASEYS GEN STORES INC COM 147528103 324 1825 SH SOLE 1825 0 0 CATALENT INC COM 148806102 991 11570 SH SOLE 11570 0 0 CHEVRON CORP NEW COM 166764100 517 7185 SH SOLE 7184 0 0 CHIMERA INVT CORP COM NEW 16934Q208 144 17570 SH SOLE 17570 0 0 CHURCH & DWIGHT INC COM 171340102 825 8808 SH SOLE 8808 0 0 CHURCHILL DOWNS INC COM 171484108 704 4296 SH SOLE 4296 0 0 CISCO SYS INC COM 17275R102 956 24273 SH SOLE 24273 0 0 CLOROX CO DEL COM 189054109 694 3301 SH SOLE 3301 0 0 COGNEX CORP COM 192422103 222 3415 SH SOLE 3415 0 0 COHEN & STEERS REIT & PFD &I COM 19247X100 812 40204 SH SOLE 40204 0 0 COHEN & STEERS INFRASTRUCTUR COM 19248A109 407 18312 SH SOLE 18312 0 0 COSTCO WHSL CORP NEW COM 22160K105 380 1071 SH SOLE 1071 0 0 CUMMINS INC COM 231021106 333 1575 SH SOLE 1575 0 0 DBX ETF TR XTRACKERS MSCI 233051218 7 260 SH SOLE 260 0 0 DBX ETF TR XTRACKERS SHRT 233051283 244 5310 SH SOLE 5310 0 0 DANAHER CORPORATION COM 235851102 1776 8246 SH SOLE 8246 0 0 DENTSPLY SIRONA INC COM 24906P109 550 12587 SH SOLE 12587 0 0 DIAGEO PLC SPON ADR NEW 25243Q205 981 7125 SH SOLE 7125 0 0 DOLLAR GEN CORP NEW COM 256677105 405 1930 SH SOLE 1930 0 0 DOMINION ENERGY INC COM 25746U109 1101 13948 SH SOLE 13948 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 352 21990 SH SOLE 21990 0 0 EATON VANCE CORP COM NON VTG 278265103 256 6719 SH SOLE 6719 0 0 ECOLAB INC COM 278865100 649 3248 SH SOLE 3248 0 0 ENERGIZER HLDGS INC NEW COM 29272W109 200 5118 SH SOLE 5118 0 0 ENTEGRIS INC COM 29362U104 262 3521 SH SOLE 3521 0 0 ENTERGY CORP NEW COM 29364G103 300 3045 SH SOLE 3045 0 0 EPAM SYS INC COM 29414B104 362 1120 SH SOLE 1120 0 0 EQUINIX INC COM 29444U700 640 842 SH SOLE 842 0 0 EQUITY COMWLTH COM SH BEN INT 294628102 216 8094 SH SOLE 8094 0 0 EXPEDITORS INTL WASH INC COM 302130109 396 4375 SH SOLE 4375 0 0 EXXON MOBIL CORP COM 30231G102 252 7334 SH SOLE 7334 0 0 FS KKR CAPITAL CORP COM 302635206 424 26723 SH SOLE 26723 0 0 FACEBOOK INC CL A 30303M102 1772 6765 SH SOLE 6765 0 0 FASTENAL CO COM 311900104 224 4969 SH SOLE 4969 0 0 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 1131 12285 SH SOLE 12285 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 219 1491 SH SOLE 1491 0 0 FIRST AMERN FINL CORP COM 31847R102 387 7600 SH SOLE 7600 0 0 FIRST INDL RLTY TR INC COM 32054K103 568 14270 SH SOLE 14270 0 0 FIRST REP BK SAN FRANCISCO C COM 33616C100 413 3788 SH SOLE 3788 0 0 FIRST TR INTER DUR PFD & IN COM 33718W103 218 10151 SH SOLE 10151 0 0 FISERV INC COM 337738108 1022 9916 SH SOLE 9916 0 0 FS KKR CAP CORP II COM 35952V303 220 14983 SH SOLE 14983 0 0 GATX CORP COM 361448103 202 3175 SH SOLE 3175 0 0 GCP APPLIED TECHNOLOGIES INC COM 36164Y101 310 14812 SH SOLE 14812 0 0 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 404 118391 SH SOLE 118391 0 0 GAMCO NAT RES GOLD & INCOME SH BEN INT 36465E101 675 136561 SH SOLE 136561 0 0 GARTNER INC COM 366651107 246 1965 SH SOLE 1965 0 0 GENUINE PARTS CO COM 372460105 203 2136 SH SOLE 2136 0 0 GILEAD SCIENCES INC COM 375558103 873 13815 SH SOLE 13815 0 0 GLOBAL PMTS INC COM 37940X102 218 1228 SH SOLE 1228 0 0 GLOBE LIFE INC COM 37959E102 281 3520 SH SOLE 3520 0 0 GRAHAM HLDGS CO COM CL B 384637104 227 561 SH SOLE 561 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 700 26652 SH SOLE 26652 0 0 HASBRO INC COM 418056107 265 3206 SH SOLE 3206 0 0 HOME DEPOT INC COM 437076102 652 2346 SH SOLE 2346 0 0 HOST HOTELS & RESORTS INC COM 44107P104 144 13306 SH SOLE 13306 0 0 HUBBELL INC COM 443510607 260 1900 SH SOLE 1900 0 0 HUNTSMAN CORP COM 447011107 307 13840 SH SOLE 13840 0 0 IAA INC COM 449253103 273 5250 SH SOLE 5250 0 0 ISTAR INC COM 45031U101 271 22940 SH SOLE 22940 0 0 ILLINOIS TOOL WKS INC COM 452308109 297 1537 SH SOLE 1537 0 0 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 469 13948 SH SOLE 13948 0 0 INGEVITY CORP COM 45688C107 398 8058 SH SOLE 8058 0 0 INSPERITY INC COM 45778Q107 267 4070 SH SOLE 4070 0 0 INTEL CORP COM 458140100 1266 24449 SH SOLE 24449 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 272 2239 SH SOLE 2239 0 0 INVESCO ACTIVLY MANGD ETC FD OPTIMUM YIELD 46090F100 546 39957 SH SOLE 39957 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 4767 17158 SH SOLE 17158 0 0 INTUIT COM 461202103 601 1841 SH SOLE 1841 0 0 INVESCO EXCHANGE TRADED FD T S&P SPIN OFF 46137V159 34 775 SH SOLE 775 0 0 INVESCO EXCHANGE TRADED FD T S&P500 PUR VAL 46137V258 4 74 SH SOLE 74 0 0 INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 46137V308 368 6123 SH SOLE 6123 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 36 252 SH SOLE 252 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 2596 22170 SH SOLE 22170 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 3126 27469 SH SOLE 27469 0 0 INVESCO EXCHANGE TRADED FD T FINL PFD ETF 46137V621 98 5238 SH SOLE 5238 0 0 INVESCO EXCHANGE TRADED FD T DYNMC LRG VALU 46137V738 81 2386 SH SOLE 2386 0 0 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 264 4913 SH SOLE 4913 0 0 INVESCO EXCH TRADED FD TR II S&P SMLCP LOW 46138G102 6 190 SH SOLE 190 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 275 12665 SH SOLE 12665 0 0 IQVIA HLDGS INC COM 46266C105 1221 7748 SH SOLE 7748 0 0 IRON MTN INC NEW COM 46284V101 768 28675 SH SOLE 28675 0 0 ISHARES GOLD TRUST ISHARES 464285105 246 13668 SH SOLE 13668 0 0 ISHARES TR TIPS BD ETF 464287176 45 354 SH SOLE 354 0 0 ISHARES TR CORE S&P500 ETF 464287200 1382 4112 SH SOLE 4111 0 0 ISHARES TR CORE US AGGBD ET 464287226 184 1560 SH SOLE 1559 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 9 200 SH SOLE 200 0 0 ISHARES TR IBOXX INV CP ETF 464287242 12 90 SH SOLE 90 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 17 74 SH SOLE 74 0 0 ISHARES TR S&P 500 VAL ETF 464287408 12 110 SH SOLE 110 0 0 ISHARES TR 20 YR TR BD ETF 464287432 6 36 SH SOLE 36 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 512 4203 SH SOLE 4203 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 264 3047 SH SOLE 3047 0 0 ISHARES TR MSCI EAFE ETF 464287465 31 483 SH SOLE 483 0 0 ISHARES TR CORE S&P MCP ETF 464287507 311 1676 SH SOLE 1675 0 0 ISHARES TR NASDAQ BIOTECH 464287556 24 174 SH SOLE 174 0 0 ISHARES TR U.S. CNSM SV ETF 464287580 133 530 SH SOLE 530 0 0 ISHARES TR S&P MC 400GR ETF 464287606 6 23 SH SOLE 23 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 1 5 SH SOLE 5 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 149 997 SH SOLE 997 0 0 ISHARES TR CORE S&P US VLU 464287663 27 502 SH SOLE 501 0 0 ISHARES TR S&P MC 400VL ETF 464287705 4 31 SH SOLE 31 0 0 ISHARES TR U.S. TECH ETF 464287721 33 110 SH SOLE 110 0 0 ISHARES TR U.S. FIN SVC ETF 464287770 627 5140 SH SOLE 5140 0 0 ISHARES TR CORE S&P SCP ETF 464287804 385 5477 SH SOLE 5476 0 0 ISHARES TR SP SMCP600VL ETF 464287879 3 27 SH SOLE 27 0 0 ISHARES TR S&P SML 600 GWT 464287887 4 22 SH SOLE 22 0 0 ISHARES TR AGENCY BOND ETF 464288166 9 72 SH SOLE 72 0 0 ISHARES TR MSCI ACWI ETF 464288257 16 200 SH SOLE 200 0 0 ISHARES TR JPMORGAN USD EMG 464288281 49 445 SH SOLE 445 0 0 ISHARES TR IBOXX HI YD ETF 464288513 58 692 SH SOLE 692 0 0 ISHARES TR MSCI KLD400 SOC 464288570 6 50 SH SOLE 50 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 4263 77635 SH SOLE 77635 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 2 14 SH SOLE 14 0 0 ISHARES TR SHORT TREAS BD 464288679 323 2914 SH SOLE 2914 0 0 ISHARES TR U.S. MED DVC ETF 464288810 968 3230 SH SOLE 3230 0 0 ISHARES TR EAFE GRWTH ETF 464288885 2143 23847 SH SOLE 23847 0 0 ISHARES TR CORE LT USDB ETF 464289479 22 290 SH SOLE 290 0 0 ISHARES TR AGGRES ALLOC ETF 464289859 1103 19016 SH SOLE 19016 0 0 ISHARES TR GRWT ALLOCAT ETF 464289867 1176 24284 SH SOLE 24284 0 0 ISHARES TR MODERT ALLOC ETF 464289875 2307 56203 SH SOLE 56203 0 0 ISHARES TR CONSER ALLOC ETF 464289883 1883 50664 SH SOLE 50664 0 0 ISHARES TR US TREAS BD ETF 46429B267 6129 219294 SH SOLE 219294 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 710 14007 SH SOLE 14007 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 20 250 SH SOLE 250 0 0 ISHARES TR MSCI EAFE MIN VL 46429B689 6 86 SH SOLE 86 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 865 13571 SH SOLE 13571 0 0 ISHARES TR MSCI USA SZE FT 46432F370 1566 16705 SH SOLE 16705 0 0 ISHARES TR MSCI USA VALUE 46432F388 1498 20303 SH SOLE 20303 0 0 ISHARES TR CORE MSCI EAFE 46432F842 110 1828 SH SOLE 1828 0 0 ISHARES TR CORE 1 5 YR USD 46432F859 2731 52981 SH SOLE 52981 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1595 30214 SH SOLE 30213 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 1681 28458 SH SOLE 28458 0 0 ISHARES INC ESG AWR MSCI EM 46434G863 10 275 SH SOLE 275 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 1992 45331 SH SOLE 45331 0 0 ISHARES TR CORE TOTAL USD 46434V613 27 500 SH SOLE 500 0 0 ISHARES TR CORE DIV GRWTH 46434V621 2 60 SH SOLE 60 0 0 ISHARES TR ESG AWRE USD ETF 46435G193 30 1089 SH SOLE 1089 0 0 ISHARES TR ESG AWRE 1 5 YR 46435G243 31 1179 SH SOLE 1179 0 0 ISHARES TR CORE MSCI INTL 46435G326 136 2519 SH SOLE 2519 0 0 ISHARES TR MORTGE REL ETF 46435G342 244 9460 SH SOLE 9460 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 6260 82144 SH SOLE 82144 0 0 ISHARES TR ESG AW MSCI EAFE 46435G516 8 133 SH SOLE 133 0 0 JPMORGAN CHASE & CO COM 46625H100 484 5030 SH SOLE 5030 0 0 J P MORGAN EXCHANGE-TRADED F BETABULDR DEVE 46641Q688 1 66 SH SOLE 66 0 0 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 2330 45872 SH SOLE 45872 0 0 JOHNSON & JOHNSON COM 478160104 2333 15671 SH SOLE 15671 0 0 KAMAN CORP COM 483548103 288 7379 SH SOLE 7379 0 0 LADDER CAP CORP CL A 505743104 474 66632 SH SOLE 66631 0 0 LANDSTAR SYS INC COM 515098101 735 5860 SH SOLE 5860 0 0 LATTICE STRATEGIES TR HARTFORD MLT ETF 518416102 1932 74663 SH SOLE 74663 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 440 3080 SH SOLE 3080 0 0 LILLY ELI & CO COM 532457108 282 1908 SH SOLE 1908 0 0 LITTELFUSE INC COM 537008104 208 1173 SH SOLE 1173 0 0 LOCKHEED MARTIN CORP COM 539830109 268 699 SH SOLE 699 0 0 MSCI INC COM 55354G100 207 581 SH SOLE 581 0 0 MARKEL CORP COM 570535104 251 258 SH SOLE 258 0 0 MARTIN MARIETTA MATLS INC COM 573284106 748 3176 SH SOLE 3176 0 0 MASONITE INTL CORP COM 575385109 501 5089 SH SOLE 5089 0 0 MATSON INC COM 57686G105 283 7054 SH SOLE 7054 0 0 MCCORMICK & CO INC COM NON VTG 579780206 843 4343 SH SOLE 4343 0 0 MCDONALDS CORP COM 580135101 520 2370 SH SOLE 2370 0 0 MEDALLIA INC COM 584021109 659 24035 SH SOLE 24035 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 244 13860 SH SOLE 13860 0 0 MICROSOFT CORP COM 594918104 3433 16322 SH SOLE 16322 0 0 MOELIS & CO CL A 60786M105 438 12460 SH SOLE 12460 0 0 MONMOUTH REAL ESTATE INVT CO CL A 609720107 211 15267 SH SOLE 15267 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 94 11200 SH SOLE 11200 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 944 169723 SH SOLE 169723 0 0 NRG ENERGY INC COM NEW 629377508 271 8802 SH SOLE 8802 0 0 NEW YORK TIMES CO CL A 650111107 1006 23503 SH SOLE 23503 0 0 NEWMARKET CORP COM 651587107 516 1507 SH SOLE 1507 0 0 NEXTERA ENERGY INC COM 65339F101 1028 3703 SH SOLE 3703 0 0 NISOURCE INC COM 65473P105 273 12390 SH SOLE 12390 0 0 NVIDIA CORPORATION COM 67066G104 793 1466 SH SOLE 1466 0 0 NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 670699107 917 37656 SH SOLE 37656 0 0 NUVASIVE INC COM 670704105 309 6360 SH SOLE 6360 0 0 NUVEEN PFD & INCM SECURTIES COM 67072C105 200 22674 SH SOLE 22674 0 0 OLLIES BARGAIN OUTLET HLDGS COM 681116109 236 2705 SH SOLE 2705 0 0 PPL CORP COM 69351T106 211 7770 SH SOLE 7770 0 0 PALO ALTO NETWORKS INC COM 697435105 1031 4212 SH SOLE 4212 0 0 PAYPAL HLDGS INC COM 70450Y103 1620 8223 SH SOLE 8223 0 0 PENNYMAC MTG INVT TR COM 70931T103 163 10135 SH SOLE 10135 0 0 PENSKE AUTOMOTIVE GRP INC COM 70959W103 443 9297 SH SOLE 9297 0 0 PEPSICO INC COM 713448108 295 2128 SH SOLE 2128 0 0 PFIZER INC COM 717081103 375 10205 SH SOLE 10205 0 0 PHILLIPS 66 COM 718546104 257 4959 SH SOLE 4959 0 0 PHYSICIANS RLTY TR COM 71943U104 224 12504 SH SOLE 12504 0 0 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 13 138 SH SOLE 138 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 685 6720 SH SOLE 6720 0 0 PRICESMART INC COM 741511109 294 4421 SH SOLE 4421 0 0 PROCTER AND GAMBLE CO COM 742718109 849 6110 SH SOLE 6110 0 0 PROGRESSIVE CORP COM 743315103 1124 11871 SH SOLE 11871 0 0 PROSPECT CAP CORP COM 74348T102 453 90010 SH SOLE 90010 0 0 PUBLIC STORAGE COM 74460D109 244 1097 SH SOLE 1097 0 0 QUEST DIAGNOSTICS INC COM 74834L100 460 4018 SH SOLE 4018 0 0 S&P GLOBAL INC COM 78409V104 204 567 SH SOLE 567 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2029 6060 SH SOLE 6060 0 0 SPDR SER TR PORTFOLIO LN COR 78464A367 1990 62632 SH SOLE 62632 0 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 4444 120894 SH SOLE 120893 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 1274 25421 SH SOLE 25421 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 38 1220 SH SOLE 1220 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 1151 38099 SH SOLE 38099 0 0 SPDR SER TR PORTFOLIO AGRGTE 78464A649 21 686 SH SOLE 686 0 0 SPDR SER TR PORTFOLIO LN TSR 78464A664 421 9007 SH SOLE 9007 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 3735 94924 SH SOLE 94924 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 364 6015 SH SOLE 6015 0 0 SPDR SER TR BLOMBERG BRC INV 78468R200 1248 40818 SH SOLE 40818 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 343 13264 SH SOLE 13264 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 3 30 SH SOLE 30 0 0 SVB FINANCIAL GROUP COM 78486Q101 547 2275 SH SOLE 2275 0 0 SALESFORCE COM INC COM 79466L302 1891 7524 SH SOLE 7524 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 627 7873 SH SOLE 7873 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 154 1911 SH SOLE 1911 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 15 285 SH SOLE 285 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 67 1211 SH SOLE 1211 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 234 3426 SH SOLE 3426 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1 51 SH SOLE 51 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 14 256 SH SOLE 256 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 14814 471791 SH SOLE 471791 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 85 1513 SH SOLE 1513 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 20 554 SH SOLE 554 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 268 5197 SH SOLE 5197 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 3 43 SH SOLE 43 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 1 25 SH SOLE 25 0 0 SERVICENOW INC COM 81762P102 672 1386 SH SOLE 1386 0 0 SHERWIN WILLIAMS CO COM 824348106 1000 1435 SH SOLE 1435 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 434 11500 SH SOLE 11500 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 439 3015 SH SOLE 3015 0 0 SMITH & NEPHEW GROUP PLC SPDN ADR NEW 83175M205 205 5231 SH SOLE 5231 0 0 SMITH A O CORP COM 831865209 577 10935 SH SOLE 10935 0 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 417 1750 SH SOLE 1750 0 0 SOUTHERN CO COM 842587107 1230 22679 SH SOLE 22679 0 0 SOUTHWEST AIRLS CO COM 844741108 749 19984 SH SOLE 19984 0 0 STAG INDL INC COM 85254J102 509 16701 SH SOLE 16701 0 0 STARBUCKS CORP COM 855244109 1452 16895 SH SOLE 16895 0 0 STARWOOD PPTY TR INC COM 85571B105 348 23046 SH SOLE 23046 0 0 STORE CAP CORP COM 862121100 272 9914 SH SOLE 9914 0 0 STRYKER CORPORATION COM 863667101 904 4339 SH SOLE 4339 0 0 SUN CMNTYS INC COM 866674104 488 3470 SH SOLE 3470 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 319 15485 SH SOLE 15485 0 0 TEMPLETON EMERGING MKTS INCO COM 880192109 762 102866 SH SOLE 102866 0 0 TEMPLETON GLOBAL INCOME FD COM 880198106 626 117000 SH SOLE 117000 0 0 TEMPUR SEALY INTL INC COM 88023U101 673 7546 SH SOLE 7546 0 0 TEXAS INSTRS INC COM 882508104 992 6950 SH SOLE 6950 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 309 699 SH SOLE 699 0 0 3M CO COM 88579Y101 413 2577 SH SOLE 2577 0 0 TRAVELERS COMPANIES INC COM 89417E109 343 3173 SH SOLE 3173 0 0 TWITTER INC COM 90184L102 555 12476 SH SOLE 12476 0 0 TYLER TECHNOLOGIES INC COM 902252105 563 1614 SH SOLE 1614 0 0 UMH PPTYS INC COM 903002103 230 16979 SH SOLE 16979 0 0 ULTA BEAUTY INC COM 90384S303 253 1128 SH SOLE 1128 0 0 UNIFIRST CORP MASS COM 904708104 347 1831 SH SOLE 1831 0 0 V F CORP COM 918204108 331 4705 SH SOLE 4705 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 50 1280 SH SOLE 1280 0 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 26 860 SH SOLE 860 0 0 VANECK VECTORS ETF TR INVT GRADE FLTG 92189F486 397 15730 SH SOLE 15730 0 0 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 156 2860 SH SOLE 2860 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 12 225 SH SOLE 225 0 0 VANECK VECTORS ETF TR INTRMDT MUNI ETF 92189H201 27 530 SH SOLE 530 0 0 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 318 10300 SH SOLE 10300 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 999 7763 SH SOLE 7763 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 27 320 SH SOLE 320 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 294 3328 SH SOLE 3328 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 532 13009 SH SOLE 13009 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 1 28 SH SOLE 28 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 197 2447 SH SOLE 2447 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 135 2671 SH SOLE 2671 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 497 11500 SH SOLE 11500 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 681 4166 SH SOLE 4166 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 855 4189 SH SOLE 4189 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 25 300 SH SOLE 300 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 640 11786 SH SOLE 11786 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 14 142 SH SOLE 142 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2389 7766 SH SOLE 7766 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 9983 126436 SH SOLE 126436 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 26 146 SH SOLE 146 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 162 1034 SH SOLE 1034 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 19 146 SH SOLE 146 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 39 253 SH SOLE 253 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3897 22884 SH SOLE 22884 0 0 VEREIT INC COM 92339V100 632 97212 SH SOLE 97212 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1204 20242 SH SOLE 20242 0 0 VISA INC COM CL A 92826C839 2580 12902 SH SOLE 12902 0 0 WP CAREY INC COM 92936U109 766 11755 SH SOLE 11755 0 0 WALMART INC COM 931142103 255 1821 SH SOLE 1821 0 0 WATERS CORP COM 941848103 241 1234 SH SOLE 1234 0 0 WATSCO INC COM 942622200 540 2318 SH SOLE 2318 0 0 WELLS FARGO CO NEW COM 949746101 1559 66325 SH SOLE 66324 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 47 35 SH SOLE 35 0 0 WESTERN ASSET HIGH INCOME OP COM 95766K109 407 83000 SH SOLE 83000 0 0 WILLIAMS COS INC COM 969457100 260 13245 SH SOLE 13245 0 0 WISDOMTREE TR EM EX ST-OWNED 97717X578 1972 58556 SH SOLE 58556 0 0 WOODWARD INC COM 980745103 204 2545 SH SOLE 2545 0 0 WORKDAY INC CL A 98138H101 405 1881 SH SOLE 1881 0 0 WORLD GOLD TR SPDR GLD MINIS 98149E204 1376 73205 SH SOLE 73205 0 0 WRAP TECHNOLOGIES INC COM 98212N107 186 27500 SH SOLE 27500 0 0 XCEL ENERGY INC COM 98389B100 261 3781 SH SOLE 3781 0 0 XILINX INC COM 983919101 867 8318 SH SOLE 8318 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 227 1668 SH SOLE 1668 0 0 ZIONS BANCORPORATION N A COM 989701107 382 13083 SH SOLE 13082 0 0