Vice President, Head of Investments

0000927628-21-000208.txt : 20210514 0000927628-21-000208.hdr.sgml : 20210514 20210513180918 ACCESSION NUMBER: 0000927628-21-000208 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210514 DATE AS OF CHANGE: 20210513 EFFECTIVENESS DATE: 20210514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ONE FINANCIAL CORP CENTRAL INDEX KEY: 0000927628 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 541719854 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12320 FILM NUMBER: 21921161 BUSINESS ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 BUSINESS PHONE: 7037201000 MAIL ADDRESS: STREET 1: 1680 CAPITAL ONE DRIVE STREET 2: SUITE 1400 CITY: MCLEAN STATE: VA ZIP: 22102 FORMER COMPANY: FORMER CONFORMED NAME: OAKSTONE FINANCIAL CORP DATE OF NAME CHANGE: 19940728 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000927628 XXXXXXXX 03-31-2021 03-31-2021 CAPITAL ONE FINANCIAL CORP

1680 CAPITAL ONE DRIVE MCLEAN VA 22102

13F HOLDINGS REPORT 028-12320 N Elizabeth Sather Sabin Vice President, Head of Investments 202-539-1039 Elizabeth Sather Sabin McLean VA 05-13-2021 1 189 771473 false 1 0001679524 028-19007 United Income, Inc. INFORMATION TABLE 2 information_table.xml INFORMATION TABLE ABBOTT LABS COM 002824100 741 6186 SH DFND 1 0 0 6186 ABBVIE INC COM 00287Y109 805 7435 SH DFND 1 0 0 7435 AIR PRODS & CHEMS INC COM 009158106 446 1584 SH DFND 1 0 0 1584 ALLIANCE RESOURCE PARTNERS L UT LTD PART 01877R108 943 162599 SH DFND 1 0 0 162599 ALLIANCEBERNSTEIN HLDG L P UNIT LTD PARTN 01881G106 678 16963 SH DFND 1 0 0 16963 ALPHABET INC CAP STK CL A 02079K305 427 207 SH DFND 1 0 0 207 ALPHABET INC CAP STK CL C 02079K107 478 231 SH DFND 1 0 0 231 AMAZON COM INC COM 023135106 2071 669 SH DFND 1 0 0 669 AMERICAN EXPRESS CO COM 025816109 835 5905 SH DFND 1 0 0 5905 AMGEN INC COM 031162100 935 3760 SH DFND 1 0 0 3760 ANALOG DEVICES INC COM 032654105 546 3521 SH DFND 1 0 0 3521 ANNALY CAPITAL MANAGEMENT IN COM 035710409 224 26049 SH DFND 1 0 0 26049 APPLE INC COM 037833100 5418 44353 SH DFND 1 0 0 44353 AT&T INC COM 00206R102 356 11767 SH DFND 1 0 0 11767 BANK NEW YORK MELLON CORP COM 064058100 413 8742 SH DFND 1 0 0 8742 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 234 917 SH DFND 1 0 0 917 BLACKSTONE GROUP INC COM 09260D107 395 5303 SH DFND 1 0 0 5303 BRISTOL-MYERS SQUIBB CO COM 110122108 916 14510 SH DFND 1 0 0 14510 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 431 9685 SH DFND 1 0 0 9685 CATERPILLAR INC COM 149123101 726 3131 SH DFND 1 0 0 3131 CHEVRON CORP NEW COM 166764100 228 2180 SH DFND 1 0 0 2180 CISCO SYS INC COM 17275R102 1358 26262 SH DFND 1 0 0 26262 CONNECTONE BANCORP INC COM 20786W107 233 9193 SH DFND 1 0 0 9193 CONOCOPHILLIPS COM 20825C104 541 10209 SH DFND 1 0 0 10209 COSTCO WHSL CORP NEW COM 22160K105 498 1412 SH DFND 1 0 0 1412 CROWN CASTLE INTL CORP NEW COM 22822V101 205 1190 SH DFND 1 0 0 1190 CSX CORP COM 126408103 241 2504 SH DFND 1 0 0 2504 CVS HEALTH CORP COM 126650100 579 7691 SH DFND 1 0 0 7691 DANAHER CORPORATION COM 235851102 838 3722 SH DFND 1 0 0 3722 DARDEN RESTAURANTS INC COM 237194105 241 1700 SH DFND 1 0 0 1700 DIAGEO PLC SPON ADR NEW 25243Q205 203 1235 SH DFND 1 0 0 1235 DISNEY WALT CO COM 254687106 1869 10130 SH DFND 1 0 0 10130 DUKE ENERGY CORP NEW COM NEW 26441C204 216 2237 SH DFND 1 0 0 2237 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 154 20057 SH DFND 1 0 0 20057 ENTERPRISE PRODS PARTNERS L COM 293792107 1099 49902 SH DFND 1 0 0 49902 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 417 7600 SH DFND 1 0 0 7600 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 535 8015 SH DFND 1 0 0 8015 EXXON MOBIL CORP COM 30231G102 574 10281 SH DFND 1 0 0 10281 FACEBOOK INC CL A 30303M102 1045 3549 SH DFND 1 0 0 3549 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 615 8689 SH DFND 1 0 0 8689 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 269 4484 SH DFND 1 0 0 4484 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 213 9343 SH DFND 1 0 0 9343 FRANCO NEV CORP COM 351858105 207 1650 SH DFND 1 0 0 1650 GENERAL ELECTRIC CO COM 369604103 148 11240 SH DFND 1 0 0 11240 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 26239 664452 SH DFND 1 0 0 664452 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 61277 1854622 SH DFND 1 0 0 1854622 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 6454 81575 SH DFND 1 0 0 81575 HOME DEPOT INC COM 437076102 1969 6451 SH DFND 1 0 0 6451 HONEYWELL INTL INC COM 438516106 542 2495 SH DFND 1 0 0 2495 INTEL CORP COM 458140100 850 13280 SH DFND 1 0 0 13280 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 842 16683 SH DFND 1 0 0 16683 INVESCO EXCH TRADED FD TR II S&P SMLCP LOW 46138G102 3514 76578 SH DFND 1 0 0 76578 INVESCO EXCH TRADED FD TR II S&P500 HDL VOL 46138E362 644 15023 SH DFND 1 0 0 15023 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 4395 75575 SH DFND 1 0 0 75575 INVESCO EXCHANGE TRADED FD T DYNMC BIOTECH 46137V787 378 5121 SH DFND 1 0 0 5121 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 926 4015 SH DFND 1 0 0 4015 INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 46137V241 5041 113713 SH DFND 1 0 0 113713 INVESCO QQQ TR UNIT SER 1 46090E103 324 1015 SH DFND 1 0 0 1015 ISHARES INC CORE MSCI EMKT 46434G103 3046 47325 SH DFND 1 0 0 47325 ISHARES INC MSCI EMERG MKT 46434G889 3063 58870 SH DFND 1 0 0 58870 ISHARES INC MSCI EMERG MRKT 464286533 15997 253276 SH DFND 1 0 0 253276 ISHARES TR 0-5 YR TIPS ETF 46429B747 291 2754 SH DFND 1 0 0 2754 ISHARES TR BARCLAYS 7 10 YR 464287440 1105 9788 SH DFND 1 0 0 9788 ISHARES TR CORE DIV GRWTH 46434V621 238 4936 SH DFND 1 0 0 4936 ISHARES TR CORE INTL AGGR 46435G672 3605 65713 SH DFND 1 0 0 65713 ISHARES TR CORE MSCI EAFE 46432F842 1212 16823 SH DFND 1 0 0 16823 ISHARES TR CORE MSCI TOTAL 46432F834 1610 22902 SH DFND 1 0 0 22902 ISHARES TR CORE S&P MCP ETF 464287507 321 1235 SH DFND 1 0 0 1235 ISHARES TR CORE S&P500 ETF 464287200 7822 19661 SH DFND 1 0 0 19661 ISHARES TR CORE US AGGBD ET 464287226 5194 45625 SH DFND 1 0 0 45625 ISHARES TR ESG AWR MSCI USA 46435G425 432 4753 SH DFND 1 0 0 4753 ISHARES TR ESG AWRE 1 5 YR 46435G243 217 8362 SH DFND 1 0 0 8362 ISHARES TR EXPND TEC SC ETF 464287549 1209 3350 SH DFND 1 0 0 3350 ISHARES TR FLTG RATE NT ETF 46429B655 1150 22646 SH DFND 1 0 0 22646 ISHARES TR IBONDS DEC 46435U697 212 7866 SH DFND 1 0 0 7866 ISHARES TR IBONDS DEC2021 46435G789 206 7999 SH DFND 1 0 0 7999 ISHARES TR IBONDS DEC2022 46435G755 208 7902 SH DFND 1 0 0 7902 ISHARES TR IBONDS DEC2023 46435G318 210 8028 SH DFND 1 0 0 8028 ISHARES TR IBONDS DEC25 ETF 46434VBD1 264 9843 SH DFND 1 0 0 9843 ISHARES TR IBOXX INV CP ETF 464287242 4425 34024 SH DFND 1 0 0 34024 ISHARES TR ISHS 1-5YR INVS 464288646 502 9179 SH DFND 1 0 0 9179 ISHARES TR ISHS 5-10YR INVT 464288638 1848 31198 SH DFND 1 0 0 31198 ISHARES TR JPMORGAN USD EMG 464288281 11465 105303 SH DFND 1 0 0 105303 ISHARES TR MSCI ACWI EX US 464288240 485 8781 SH DFND 1 0 0 8781 ISHARES TR MSCI EAFE ETF 464287465 221 2914 SH DFND 1 0 0 2914 ISHARES TR MSCI EAFE MIN VL 46429B689 37015 507121 SH DFND 1 0 0 507121 ISHARES TR MSCI INTL MULTFT 46434V274 7033 244968 SH DFND 1 0 0 244968 ISHARES TR MSCI USA ESG SLC 464288802 423 4816 SH DFND 1 0 0 4816 ISHARES TR MSCI USA MIN VOL 46429B697 39357 568826 SH DFND 1 0 0 568826 ISHARES TR MSCI USA MMENTM 46432F396 58405 363077 SH DFND 1 0 0 363077 ISHARES TR MSCI USA QLT FCT 46432F339 47284 388272 SH DFND 1 0 0 388272 ISHARES TR MSCI USA SMCP MN 46435G433 802 21760 SH DFND 1 0 0 21760 ISHARES TR MSCI USA VALUE 46432F388 50718 495002 SH DFND 1 0 0 495002 ISHARES TR NASDAQ BIOTECH 464287556 373 2480 SH DFND 1 0 0 2480 ISHARES TR NATIONAL MUN ETF 464288414 2574 22177 SH DFND 1 0 0 22177 ISHARES TR PFD AND INCM SEC 464288687 880 22905 SH DFND 1 0 0 22905 ISHARES TR RUS 1000 ETF 464287622 204 913 SH DFND 1 0 0 913 ISHARES TR RUS 1000 GRW ETF 464287614 239 984 SH DFND 1 0 0 984 ISHARES TR RUS TP200 GR ETF 464289438 1287 9563 SH DFND 1 0 0 9563 ISHARES TR RUSSELL 2000 ETF 464287655 468 2116 SH DFND 1 0 0 2116 ISHARES TR S&P 500 VAL ETF 464287408 603 4270 SH DFND 1 0 0 4270 ISHARES TR SP SMCP600VL ETF 464287879 936 9291 SH DFND 1 0 0 9291 ISHARES TR TIPS BD ETF 464287176 19483 155244 SH DFND 1 0 0 155244 ISHARES TR U.S. MED DVC ETF 464288810 337 1020 SH DFND 1 0 0 1020 ISHARES TR US AER DEF ETF 464288760 206 1980 SH DFND 1 0 0 1980 ISHARES TR US TREAS BD ETF 46429B267 11270 430332 SH DFND 1 0 0 430332 ISHARES TR USD INV GRDE ETF 464288620 30943 524105 SH DFND 1 0 0 524105 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 464 9143 SH DFND 1 0 0 9143 JOHNSON & JOHNSON COM 478160104 665 4048 SH DFND 1 0 0 4048 JPMORGAN CHASE & CO COM 46625H100 1457 9570 SH DFND 1 0 0 9570 KKR & CO INC COM 48251W104 468 9590 SH DFND 1 0 0 9590 L3HARRIS TECHNOLOGIES INC COM 502431109 838 4135 SH DFND 1 0 0 4135 LILLY ELI & CO COM 532457108 1347 7210 SH DFND 1 0 0 7210 LOCKHEED MARTIN CORP COM 539830109 755 2044 SH DFND 1 0 0 2044 LOWES COS INC COM 548661107 473 2485 SH DFND 1 0 0 2485 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 385 8890 SH DFND 1 0 0 8890 MCDONALDS CORP COM 580135101 1896 8457 SH DFND 1 0 0 8457 MICROSOFT CORP COM 594918104 4655 19744 SH DFND 1 0 0 19744 NIKE INC CL B 654106103 288 2166 SH DFND 1 0 0 2166 NVIDIA CORPORATION COM 67066G104 264 495 SH DFND 1 0 0 495 NXP SEMICONDUCTORS N V COM N6596X109 252 1250 SH DFND 1 0 0 1250 ONE GAS INC COM 68235P108 1090 14178 SH DFND 1 0 0 14178 ONEOK INC NEW COM 682680103 2468 48714 SH DFND 1 0 0 48714 PACER FDS TR TRENDP US LAR CP 69374H105 254 7307 SH DFND 1 0 0 7307 PAYCHEX INC COM 704326107 373 3805 SH DFND 1 0 0 3805 PEPSICO INC COM 713448108 837 5915 SH DFND 1 0 0 5915 PHILLIPS 66 COM 718546104 284 3480 SH DFND 1 0 0 3480 PIMCO ETF TR ACTIVE BD ETF 72201R775 1742 15914 SH DFND 1 0 0 15914 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 377 3704 SH DFND 1 0 0 3704 PIMCO ETF TR INTER MUN BD ACT 72201R866 467 8317 SH DFND 1 0 0 8317 PIMCO ETF TR SHTRM MUN BD ACT 72201R874 734 14289 SH DFND 1 0 0 14289 PINNACLE FINL PARTNERS INC COM 72346Q104 238 2690 SH DFND 1 0 0 2690 PROCTER AND GAMBLE CO COM 742718109 789 5828 SH DFND 1 0 0 5828 QUALCOMM INC COM 747525103 1237 9331 SH DFND 1 0 0 9331 RAYTHEON TECHNOLOGIES CORP COM 75513E101 346 4478 SH DFND 1 0 0 4478 S&P GLOBAL INC COM 78409V104 306 867 SH DFND 1 0 0 867 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 460 8160 SH DFND 1 0 0 8160 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 8513 168034 SH DFND 1 0 0 168034 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 682 22189 SH DFND 1 0 0 22189 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 1272 39627 SH DFND 1 0 0 39627 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 1051 28060 SH DFND 1 0 0 28060 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 914 16934 SH DFND 1 0 0 16934 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 1212 9342 SH DFND 1 0 0 9342 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 259 3480 SH DFND 1 0 0 3480 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 354 4826 SH DFND 1 0 0 4826 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1000 5949 SH DFND 1 0 0 5949 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4633 39686 SH DFND 1 0 0 39686 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3667 27608 SH DFND 1 0 0 27608 SERVICENOW INC COM 81762P102 435 870 SH DFND 1 0 0 870 SPDR GOLD TR GOLD SHS 78463V107 624 3899 SH DFND 1 0 0 3899 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2201 62242 SH DFND 1 0 0 62242 SPDR S&P 500 ETF TR TR UNIT 78462F103 6630 16729 SH DFND 1 0 0 16729 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 239 503 SH DFND 1 0 0 503 SPDR SER TR BLMBRG BRC CNVRT 78464A359 412 4939 SH DFND 1 0 0 4939 SPDR SER TR BLOMBERG BRC INV 78468R200 20026 653584 SH DFND 1 0 0 653584 SPDR SER TR NUVEEN BLMBRG SR 78468R739 9087 183362 SH DFND 1 0 0 183362 SPDR SER TR PORTFLI TIPS ETF 78464A656 733 23980 SH DFND 1 0 0 23980 SPDR SER TR SSGA US SMAL ETF 78468R887 877 7867 SH DFND 1 0 0 7867 STARBUCKS CORP COM 855244109 360 3298 SH DFND 1 0 0 3298 THERMO FISHER SCIENTIFIC INC COM 883556102 542 1187 SH DFND 1 0 0 1187 TITAN MED INC COM NEW 88830X819 170 100000 SH DFND 1 0 0 100000 UNION PAC CORP COM 907818108 699 3171 SH DFND 1 0 0 3171 UNITED PARCEL SERVICE INC CL B 911312106 566 3332 SH DFND 1 0 0 3332 UNITEDHEALTH GROUP INC COM 91324P102 624 1677 SH DFND 1 0 0 1677 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 269 3271 SH DFND 1 0 0 3271 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 35128 414642 SH DFND 1 0 0 414642 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 34737 608140 SH DFND 1 0 0 608140 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 839 3909 SH DFND 1 0 0 3909 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 449 3331 SH DFND 1 0 0 3331 VANGUARD INDEX FDS MID CAP ETF 922908629 201 910 SH DFND 1 0 0 910 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1754 10590 SH DFND 1 0 0 10590 VANGUARD INDEX FDS TOTAL STK MKT 922908769 302 1460 SH DFND 1 0 0 1460 VANGUARD INDEX FDS VALUE ETF 922908744 5434 41332 SH DFND 1 0 0 41332 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 857 16459 SH DFND 1 0 0 16459 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 21668 420405 SH DFND 1 0 0 420405 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 12753 233393 SH DFND 1 0 0 233393 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 25022 268963 SH DFND 1 0 0 268963 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 7980 118698 SH DFND 1 0 0 118698 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 740 8970 SH DFND 1 0 0 8970 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 3084 20971 SH DFND 1 0 0 20971 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 1347 17386 SH DFND 1 0 0 17386 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 506 5003 SH DFND 1 0 0 5003 VERIZON COMMUNICATIONS INC COM 92343V104 994 17087 SH DFND 1 0 0 17087 VISA INC COM CL A 92826C839 370 1749 SH DFND 1 0 0 1749 WALMART INC COM 931142103 399 2934 SH DFND 1 0 0 2934 WELLS FARGO CO NEW COM 949746101 237 6063 SH DFND 1 0 0 6063 WISDOMTREE TR EMG MKTS SMCAP 97717W281 311 6059 SH DFND 1 0 0 6059 WISDOMTREE TR GLB US QTLY DIV 97717W844 520 6699 SH DFND 1 0 0 6699 WISDOMTREE TR US QTLY DIV GRT 97717X669 244 4264 SH DFND 1 0 0 4264