0000849854-20-000005.txt : 20201112 0000849854-20-000005.hdr.sgml : 20201112 20201112141927 ACCESSION NUMBER: 0000849854-20-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STRATEGIC WEALTH MANAGEMENT INC CENTRAL INDEX KEY: 0000849854 IRS NUMBER: 911510392 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15527 FILM NUMBER: 201305754 BUSINESS ADDRESS: STREET 1: 5400 CARILLON POINT STREET 2: BLDG 5000 4TH FL CITY: KIRKLAND STATE: WA ZIP: 98033 BUSINESS PHONE: 4252507600 MAIL ADDRESS: STREET 1: 5400 CARILLON POINT STREET 2: BLDG 5000 4TH FL CITY: KIRKLAND STATE: WA ZIP: 98033 FORMER COMPANY: FORMER CONFORMED NAME: STRATEGIC WEALTH MANAGEMENT INC /ADV DATE OF NAME CHANGE: 20120813 FORMER COMPANY: FORMER CONFORMED NAME: STRATEGIC WEALTH MANAGEMENT INC DATE OF NAME CHANGE: 20120810 FORMER COMPANY: FORMER CONFORMED NAME: SAI ADVISORS INC /ADV DATE OF NAME CHANGE: 19910226 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000849854 XXXXXXXX 09-30-2020 09-30-2020 STRATEGIC WEALTH MANAGEMENT INC

5400 CARILLON POINT BLDG 5000 4TH FL KIRKLAND WA 98033

13F HOLDINGS REPORT 028-15527 N Patrick L. Sizemore 4252507600 Patrick L. Sizemore Kirkland WA 11-12-2020 1 73 133908 false 1 0001513227 028-14414 Smart Portfolios, LLC INFORMATION TABLE 2 swm200930sec13f.xml ABBOTT LABS COM 002824100 1 5 SH SOLE 5 0 0 AECOM COM 00766T100 730 17447 SH SOLE 17447 0 0 ADVANCED MICRO DEVICES INC COM 007903107 1448 17662 SH SOLE 17662 0 0 ALTERYX INC COM 02156B103 1412 12437 SH SOLE 12437 0 0 ALTRIA GROUP INC COM 02209S103 17 445 SH SOLE 445 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 1959 275168 SH SOLE 275168 0 0 BERKSHIRE HATHAWAY INC DEL COM 084670702 14 67 SH SOLE 67 0 0 BLACKROCK INC COM 09247X101 23 40 SH SOLE 40 0 0 BLACKSTONE GROUP INC COM 09260D107 61 1163 SH SOLE 1163 0 0 BLUEROCK RESIDENTIAL GWT REI COM 09627J102 2003 264282 SH SOLE 264282 0 0 BROADCOM INC COM 11135F101 1740 4776 SH SOLE 4776 0 0 CVS HEALTH CORP COM 126650100 1 22 SH SOLE 22 0 0 CISCO SYS INC COM 17275R102 602 15285 SH SOLE 15285 0 0 COCA COLA CO COM 191216100 9 185 SH SOLE 185 0 0 COGNEX CORP COM 192422103 817 12546 SH SOLE 12546 0 0 CORNING INC COM 219350105 1227 37869 SH SOLE 37869 0 0 COSTCO WHSL CORP NEW COM 22160K105 2 5 SH SOLE 5 0 0 CUMMINS INC COM 231021106 580 2745 SH SOLE 2745 0 0 DIAMONDPEAK HLDGS COR COM 25280H100 75 2895 SH SOLE 2895 0 0 ENERGY TRANSFER LP COM 29273V100 2266 418046 SH SOLE 418046 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 2200 139316 SH SOLE 139316 0 0 FS KKR CAPITAL CORP COM 302635206 2072 130666 SH SOLE 130666 0 0 FIRST TR EXCHANGE-TRADED FD ETF 33733E302 3474 18447 SH DFND 18447 0 0 FIRST TR EXCHANGE TRADED FD ETF 33734X119 5014 104278 SH DFND 104278 0 0 FIRST TR EXCHANGE-TRADED FD ETF 33739Q408 4734 78882 SH DFND 78882 0 0 FIRST TR EXCHANGE-TRADED FD ETF 33739Q408 300 5000 SH SOLE 5000 0 0 GLOBAL X FDS COM 37954Y285 1813 107926 SH SOLE 107926 0 0 GLOBAL X FDS COM 37954Y442 4063 170081 SH SOLE 170081 0 0 HEALTHCARE TR AMER INC COM 42225P501 365 14047 SH SOLE 14047 0 0 HOME DEPOT INC COM 437076102 1195 4304 SH SOLE 4304 0 0 ICAHN ENTERPRISES LP COM 451100101 2307 46775 SH SOLE 46775 0 0 INVESCO QQQ TR COM 46090E103 2584 9299 SH DFND 9299 0 0 INVESCO EXCHANGE TRADED FD T ETF 46137V134 2283 37560 SH SOLE 37560 0 0 INVESCO EXCH TRADED FD TR II ETF 46138G706 2296 35435 SH SOLE 35435 0 0 ISHARES TR ETF 464287432 4840 29649 SH SOLE 29649 0 0 ISHARES TR ETF 464287457 2638 30491 SH SOLE 30491 0 0 ISHARES TR ETF 464287481 2641 15278 SH DFND 15278 0 0 ISHARES TR ETF 464288166 1301 10749 SH SOLE 10749 0 0 ISHARES TR ETF 464288810 3440 11481 SH SOLE 11481 0 0 ISHARES U S ETF TR ETF 46431W622 3085 101975 SH SOLE 101975 0 0 ISHARES TR ETF 46435U192 1773 45501 SH SOLE 45501 0 0 J P MORGAN EXCHANGE-TRADED F ETF 46641Q613 5666 202732 SH DFND 202732 0 0 LOCKHEED MARTIN CORP COM 539830109 448 1170 SH SOLE 1170 0 0 MICROSOFT CORP COM 594918104 66 314 SH SOLE 314 0 0 NORTHROP GRUMMAN CORP COM 666807102 369 1170 SH SOLE 1170 0 0 NVIDIA CORPORATION COM 67066G104 1276 2357 SH SOLE 2357 0 0 OSI ETF TR ETF 67110P704 4015 91074 SH SOLE 91074 0 0 PAYPAL HLDGS INC COM 70450Y103 0 2 SH SOLE 2 0 0 PEPSICO INC COM 713448108 17 121 SH SOLE 121 0 0 PIMCO DYNAMIC INCOME FD SHS 72201Y101 4822 190149 SH SOLE 190149 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1339 223956 SH SOLE 223956 0 0 PULTE GROUP INC COM 745867101 1429 30867 SH SOLE 30867 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 5 90 SH SOLE 90 0 0 RIO TINTO PLC SPONSORED ADR 767204100 2505 41473 SH SOLE 41473 0 0 ROCKWELL AUTOMATION INC COM 773903109 772 3498 SH SOLE 3498 0 0 SPDR DOW JONES INDL AVERAGE COM 78467X109 2570 9260 SH DFND 9260 0 0 SCHWAB STRATEGIC TR ETF 808524862 14389 279400 SH SOLE 279400 0 0 SELECT SECTOR SPDR TR ETF 81369Y209 2552 24190 SH DFND 24190 0 0 SELECT SECTOR SPDR TR ETF 81369Y209 73 695 SH SOLE 695 0 0 SELECT SECTOR SPDR TR ETF 81369Y308 5044 78684 SH DFND 78684 0 0 SELECT SECTOR SPDR TR ETF 81369Y407 5574 37926 SH DFND 37926 0 0 SELECT SECTOR SPDR TR ETF 81369Y886 3313 55787 SH DFND 55787 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 1387 9531 SH SOLE 9531 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 722 8901 SH SOLE 8901 0 0 TARGET CORP COM 87612E106 23 147 SH SOLE 147 0 0 TORTOISE ENERGY INFRA CORP COM 89147L886 3 200 SH SOLE 200 0 0 TORTOISE MIDSTRM ENERGY FD I COM 89148B200 2 170 SH SOLE 170 0 0 VANGUARD SCOTTSDALE FDS COM 92206C102 1341 21600 SH SOLE 21600 0 0 VENTAS INC COM 92276F100 217 5176 SH SOLE 5176 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 770 12944 SH SOLE 12944 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1284 4718 SH SOLE 4718 0 0 WISDOMTREE TR COM 97717Y691 2062 48266 SH SOLE 48266 0 0 TEEKAY LNG PARTNERS L P UNIT LTD PARTN Y8564M105 448 42669 SH SOLE 42669 0 0