Chief Compliance Officer

0000927628-21-000266.txt : 20210816 0000927628-21-000266.hdr.sgml : 20210816 20210816112500 ACCESSION NUMBER: 0000927628-21-000266 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210816 DATE AS OF CHANGE: 20210816 EFFECTIVENESS DATE: 20210816 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: 211175683 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 06-30-2021 06-30-2021 CAPITAL ONE FINANCIAL CORP

1680 CAPITAL ONE DRIVE SUITE 1400 MCLEAN VA 22102

13F HOLDINGS REPORT 028-12320 N Corey Lawson Chief Compliance Officer 202-539-1039 Corey Lawson McLean VA 08-16-2021 1 191 823775 false 1 0001679524 028-19007 Capital One Investing, Inc. INFORMATION TABLE 2 information_table.xml INFORMATION TABLE ABBOTT LABS COM 002824100 839 7239 SH DFND 1 0 0 7239 ABBVIE INC COM 00287Y109 831 7374 SH DFND 1 0 0 7374 AIR PRODS & CHEMS INC COM 009158106 552 1920 SH DFND 1 0 0 1920 ALLIANCE RESOURCE PARTNERS L UT LTD PART 01877R108 1172 162599 SH DFND 1 0 0 162599 ALLIANCEBERNSTEIN HLDG L P UNIT LTD PARTN 01881G106 790 16963 SH DFND 1 0 0 16963 ALPHABET INC CAP STK CL A 02079K305 783 320 SH DFND 1 0 0 320 ALPHABET INC CAP STK CL C 02079K107 609 243 SH DFND 1 0 0 243 AMAZON COM INC COM 023135106 2674 777 SH DFND 1 0 0 777 AMERICAN EXPRESS CO COM 025816109 976 5905 SH DFND 1 0 0 5905 AMGEN INC COM 031162100 966 3964 SH DFND 1 0 0 3964 ANALOG DEVICES INC COM 032654105 581 3372 SH DFND 1 0 0 3372 ANNALY CAPITAL MANAGEMENT IN COM 035710409 163 18304 SH DFND 1 0 0 18304 APPLE INC COM 037833100 6410 46802 SH DFND 1 0 0 46802 AT&T INC COM 00206R102 229 7943 SH DFND 1 0 0 7943 BANK NEW YORK MELLON CORP COM 064058100 448 8742 SH DFND 1 0 0 8742 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 246 884 SH DFND 1 0 0 884 BLACKSTONE GROUP INC COM 09260D107 542 5576 SH DFND 1 0 0 5576 BRISTOL-MYERS SQUIBB CO COM 110122108 968 14485 SH DFND 1 0 0 14485 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 316 6200 SH DFND 1 0 0 6200 CATERPILLAR INC COM 149123101 777 3571 SH DFND 1 0 0 3571 CISCO SYS INC COM 17275R102 1525 28769 SH DFND 1 0 0 28769 CONNECTONE BANCORP INC COM 20786W107 241 9193 SH DFND 1 0 0 9193 CONOCOPHILLIPS COM 20825C104 520 8546 SH DFND 1 0 0 8546 COSTCO WHSL CORP NEW COM 22160K105 545 1377 SH DFND 1 0 0 1377 CSX CORP COM 126408103 231 7212 SH DFND 1 0 0 7212 CVS HEALTH CORP COM 126650100 617 7391 SH DFND 1 0 0 7391 DANAHER CORPORATION COM 235851102 965 3596 SH DFND 1 0 0 3596 DARDEN RESTAURANTS INC COM 237194105 248 1700 SH DFND 1 0 0 1700 DIAGEO PLC SPON ADR NEW 25243Q205 237 1235 SH DFND 1 0 0 1235 DIMENSIONAL ETF TRUST US CORE EQUITY 2 25434V708 6900 255729 SH DFND 1 0 0 255729 DISNEY WALT CO COM 254687106 1852 10535 SH DFND 1 0 0 10535 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 213 20057 SH DFND 1 0 0 20057 ENTERPRISE PRODS PARTNERS L COM 293792107 1204 49902 SH DFND 1 0 0 49902 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 412 6800 SH DFND 1 0 0 6800 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 500 7101 SH DFND 1 0 0 7101 EXXON MOBIL CORP COM 30231G102 596 9446 SH DFND 1 0 0 9446 FACEBOOK INC CL A 30303M102 1237 3558 SH DFND 1 0 0 3558 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 618 8183 SH DFND 1 0 0 8183 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 229 9343 SH DFND 1 0 0 9343 FRANCO NEV CORP COM 351858105 239 1650 SH DFND 1 0 0 1650 GENERAL ELECTRIC CO COM 369604103 420 31174 SH DFND 1 0 0 31174 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 26611 652064 SH DFND 1 0 0 652064 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 63898 1829326 SH DFND 1 0 0 1829326 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 6771 78704 SH DFND 1 0 0 78704 GOLDMAN SACHS GROUP INC COM 38141G104 225 593 SH DFND 1 0 0 593 HOME DEPOT INC COM 437076102 2113 6627 SH DFND 1 0 0 6627 HONEYWELL INTL INC COM 438516106 530 2416 SH DFND 1 0 0 2416 INTEL CORP COM 458140100 746 13280 SH DFND 1 0 0 13280 INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR 46090A887 649 12865 SH DFND 1 0 0 12865 INVESCO EXCH TRADED FD TR II S&P SMLCP LOW 46138G102 3468 73966 SH DFND 1 0 0 73966 INVESCO EXCH TRADED FD TR II S&P500 HDL VOL 46138E362 482 10943 SH DFND 1 0 0 10943 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 4581 75207 SH DFND 1 0 0 75207 INVESCO EXCHANGE TRADED FD T DYNMC BIOTECH 46137V787 346 4471 SH DFND 1 0 0 4471 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 944 3680 SH DFND 1 0 0 3680 INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 46137V241 5327 109608 SH DFND 1 0 0 109608 INVESCO QQQ TR UNIT SER 1 46090E103 342 965 SH DFND 1 0 0 965 ISHARES INC CORE MSCI EMKT 46434G103 3170 47325 SH DFND 1 0 0 47325 ISHARES INC MSCI EMERG MKT 46434G889 3172 58538 SH DFND 1 0 0 58538 ISHARES INC MSCI EMERG MRKT 464286533 16333 254560 SH DFND 1 0 0 254560 ISHARES TR 0-5 YR TIPS ETF 46429B747 302 2836 SH DFND 1 0 0 2836 ISHARES TR BARCLAYS 7 10 YR 464287440 1563 13536 SH DFND 1 0 0 13536 ISHARES TR CORE 1 5 YR USD 46432F859 244 4749 SH DFND 1 0 0 4749 ISHARES TR CORE DIV GRWTH 46434V621 208 4135 SH DFND 1 0 0 4135 ISHARES TR CORE INTL AGGR 46435G672 5547 100678 SH DFND 1 0 0 100678 ISHARES TR CORE MSCI EAFE 46432F842 1259 16823 SH DFND 1 0 0 16823 ISHARES TR CORE MSCI TOTAL 46432F834 1679 22902 SH DFND 1 0 0 22902 ISHARES TR CORE S&P MCP ETF 464287507 332 1235 SH DFND 1 0 0 1235 ISHARES TR CORE S&P500 ETF 464287200 8226 19134 SH DFND 1 0 0 19134 ISHARES TR CORE US AGGBD ET 464287226 5496 47655 SH DFND 1 0 0 47655 ISHARES TR ESG AWR MSCI USA 46435G425 557 5652 SH DFND 1 0 0 5652 ISHARES TR ESG AWRE 1 5 YR 46435G243 254 9742 SH DFND 1 0 0 9742 ISHARES TR EXPND TEC SC ETF 464287549 1141 2825 SH DFND 1 0 0 2825 ISHARES TR FLTG RATE NT ETF 46429B655 1009 19863 SH DFND 1 0 0 19863 ISHARES TR IBONDS DEC 46435U697 212 7866 SH DFND 1 0 0 7866 ISHARES TR IBONDS DEC2021 46435G789 205 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 254 9393 SH DFND 1 0 0 9393 ISHARES TR IBOXX INV CP ETF 464287242 5904 43941 SH DFND 1 0 0 43941 ISHARES TR ISHARES BIOTECH 464287556 406 2480 SH DFND 1 0 0 2480 ISHARES TR ISHS 1-5YR INVS 464288646 503 9179 SH DFND 1 0 0 9179 ISHARES TR ISHS 5-10YR INVT 464288638 2668 44083 SH DFND 1 0 0 44083 ISHARES TR JPMORGAN USD EMG 464288281 12170 108220 SH DFND 1 0 0 108220 ISHARES TR MSCI ACWI EX US 464288240 3865 67205 SH DFND 1 0 0 67205 ISHARES TR MSCI EAFE ETF 464287465 210 2665 SH DFND 1 0 0 2665 ISHARES TR MSCI EAFE MIN VL 46429B689 37561 497237 SH DFND 1 0 0 497237 ISHARES TR MSCI INTL MULTFT 46434V274 6865 228457 SH DFND 1 0 0 228457 ISHARES TR MSCI USA ESG SLC 464288802 466 4880 SH DFND 1 0 0 4880 ISHARES TR MSCI USA MIN VOL 46429B697 49029 666071 SH DFND 1 0 0 666071 ISHARES TR MSCI USA MMENTM 46432F396 53860 310560 SH DFND 1 0 0 310560 ISHARES TR MSCI USA QLT FCT 46432F339 52016 391480 SH DFND 1 0 0 391480 ISHARES TR MSCI USA SMCP MN 46435G433 469 12340 SH DFND 1 0 0 12340 ISHARES TR MSCI USA VALUE 46432F388 52377 498548 SH DFND 1 0 0 498548 ISHARES TR NATIONAL MUN ETF 464288414 2399 20470 SH DFND 1 0 0 20470 ISHARES TR PFD AND INCM SEC 464288687 875 22250 SH DFND 1 0 0 22250 ISHARES TR RUS 1000 GRW ETF 464287614 267 984 SH DFND 1 0 0 984 ISHARES TR RUS TP200 GR ETF 464289438 1379 9159 SH DFND 1 0 0 9159 ISHARES TR RUSSELL 2000 ETF 464287655 464 2024 SH DFND 1 0 0 2024 ISHARES TR S&P 500 VAL ETF 464287408 465 3147 SH DFND 1 0 0 3147 ISHARES TR SHORT TREAS BD 464288679 202 1824 SH DFND 1 0 0 1824 ISHARES TR SP SMCP600VL ETF 464287879 737 6993 SH DFND 1 0 0 6993 ISHARES TR TIPS BD ETF 464287176 24304 189862 SH DFND 1 0 0 189862 ISHARES TR U.S. MED DVC ETF 464288810 368 1020 SH DFND 1 0 0 1020 ISHARES TR US TREAS BD ETF 46429B267 12403 466265 SH DFND 1 0 0 466265 ISHARES TR USD INV GRDE ETF 464288620 36474 601980 SH DFND 1 0 0 601980 JOHNSON & JOHNSON COM 478160104 634 3851 SH DFND 1 0 0 3851 JPMORGAN CHASE & CO COM 46625H100 1471 9455 SH DFND 1 0 0 9455 KKR & CO INC COM 48251W104 568 9590 SH DFND 1 0 0 9590 L3HARRIS TECHNOLOGIES INC COM 502431109 861 3982 SH DFND 1 0 0 3982 LILLY ELI & CO COM 532457108 1655 7210 SH DFND 1 0 0 7210 LOCKHEED MARTIN CORP COM 539830109 743 1963 SH DFND 1 0 0 1963 LOWES COS INC COM 548661107 492 2537 SH DFND 1 0 0 2537 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 425 8690 SH DFND 1 0 0 8690 MASTERCARD INCORPORATED CL A 57636Q104 267 733 SH DFND 1 0 0 733 MCDONALDS CORP COM 580135101 1926 8339 SH DFND 1 0 0 8339 MICROSOFT CORP COM 594918104 5360 19786 SH DFND 1 0 0 19786 NIKE INC CL B 654106103 417 2698 SH DFND 1 0 0 2698 NVIDIA CORPORATION COM 67066G104 526 657 SH DFND 1 0 0 657 NXP SEMICONDUCTORS N V COM N6596X109 257 1250 SH DFND 1 0 0 1250 ONE GAS INC COM 68235P108 1081 14581 SH DFND 1 0 0 14581 ONEOK INC NEW COM 682680103 2599 46714 SH DFND 1 0 0 46714 PACER FDS TR TRENDP US LAR CP 69374H105 275 7307 SH DFND 1 0 0 7307 PAYCHEX INC COM 704326107 394 3673 SH DFND 1 0 0 3673 PAYPAL HLDGS INC COM 70450Y103 293 1006 SH DFND 1 0 0 1006 PEPSICO INC COM 713448108 876 5915 SH DFND 1 0 0 5915 PFIZER INC COM 717081103 222 5676 SH DFND 1 0 0 5676 PHILLIPS 66 COM 718546104 234 2726 SH DFND 1 0 0 2726 PIMCO ETF TR ACTIVE BD ETF 72201R775 1733 15614 SH DFND 1 0 0 15614 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 303 2968 SH DFND 1 0 0 2968 PIMCO ETF TR INTER MUN BD ACT 72201R866 1210 21309 SH DFND 1 0 0 21309 PIMCO ETF TR SHTRM MUN BD ACT 72201R874 1052 20451 SH DFND 1 0 0 20451 PINNACLE FINL PARTNERS INC COM 72346Q104 238 2690 SH DFND 1 0 0 2690 PROCTER AND GAMBLE CO COM 742718109 792 5870 SH DFND 1 0 0 5870 QUALCOMM INC COM 747525103 1314 9196 SH DFND 1 0 0 9196 RAYTHEON TECHNOLOGIES CORP COM 75513E101 453 5304 SH DFND 1 0 0 5304 S&P GLOBAL INC COM 78409V104 356 867 SH DFND 1 0 0 867 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 464 8152 SH DFND 1 0 0 8152 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 8524 156727 SH DFND 1 0 0 156727 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 840 26060 SH DFND 1 0 0 26060 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 1199 36022 SH DFND 1 0 0 36022 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 1026 26135 SH DFND 1 0 0 26135 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 651 11929 SH DFND 1 0 0 11929 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 1142 7821 SH DFND 1 0 0 7821 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 264 3369 SH DFND 1 0 0 3369 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 391 4826 SH DFND 1 0 0 4826 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 982 5501 SH DFND 1 0 0 5501 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4516 35857 SH DFND 1 0 0 35857 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2918 19760 SH DFND 1 0 0 19760 SERVICENOW INC COM 81762P102 478 870 SH DFND 1 0 0 870 SPDR GOLD TR GOLD SHS 78463V107 644 3888 SH DFND 1 0 0 3888 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2208 60005 SH DFND 1 0 0 60005 SPDR S&P 500 ETF TR TR UNIT 78462F103 6878 16067 SH DFND 1 0 0 16067 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 247 503 SH DFND 1 0 0 503 SPDR SER TR BLMBRG BRC CNVRT 78464A359 403 4646 SH DFND 1 0 0 4646 SPDR SER TR BLOMBERG BRC INV 78468R200 18907 616868 SH DFND 1 0 0 616868 SPDR SER TR NUVEEN BLMBRG SR 78468R739 8290 167267 SH DFND 1 0 0 167267 SPDR SER TR PORTFLI TIPS ETF 78464A656 1868 59984 SH DFND 1 0 0 59984 SPDR SER TR SSGA US SMAL ETF 78468R887 677 6010 SH DFND 1 0 0 6010 STARBUCKS CORP COM 855244109 361 3231 SH DFND 1 0 0 3231 THERMO FISHER SCIENTIFIC INC COM 883556102 498 987 SH DFND 1 0 0 987 TITAN MED INC COM NEW 88830X819 171 100000 SH DFND 1 0 0 100000 UNION PAC CORP COM 907818108 777 3532 SH DFND 1 0 0 3532 UNITED PARCEL SERVICE INC CL B 911312106 728 3501 SH DFND 1 0 0 3501 UNITEDHEALTH GROUP INC COM 91324P102 703 1755 SH DFND 1 0 0 1755 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 269 3271 SH DFND 1 0 0 3271 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 36915 429793 SH DFND 1 0 0 429793 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 33872 593212 SH DFND 1 0 0 593212 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 888 3759 SH DFND 1 0 0 3759 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 468 3331 SH DFND 1 0 0 3331 VANGUARD INDEX FDS MID CAP ETF 922908629 216 910 SH DFND 1 0 0 910 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1479 8514 SH DFND 1 0 0 8514 VANGUARD INDEX FDS SMALL CP ETF 922908751 293 1302 SH DFND 1 0 0 1302 VANGUARD INDEX FDS TOTAL STK MKT 922908769 325 1460 SH DFND 1 0 0 1460 VANGUARD INDEX FDS VALUE ETF 922908744 6118 44510 SH DFND 1 0 0 44510 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 980 18043 SH DFND 1 0 0 18043 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 21259 405638 SH DFND 1 0 0 405638 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 16042 290084 SH DFND 1 0 0 290084 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 25254 265640 SH DFND 1 0 0 265640 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 6743 99440 SH DFND 1 0 0 99440 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 715 8649 SH DFND 1 0 0 8649 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 2842 18363 SH DFND 1 0 0 18363 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 1500 18786 SH DFND 1 0 0 18786 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 516 4929 SH DFND 1 0 0 4929 VERIZON COMMUNICATIONS INC COM 92343V104 971 17323 SH DFND 1 0 0 17323 VISA INC COM CL A 92826C839 356 1524 SH DFND 1 0 0 1524 WALMART INC COM 931142103 402 2851 SH DFND 1 0 0 2851 WELLS FARGO CO NEW COM 949746101 442 9755 SH DFND 1 0 0 9755 WILLIAMS COS INC COM 969457100 280 10548 SH DFND 1 0 0 10548 WISDOMTREE TR EMG MKTS SMCAP 97717W281 295 5408 SH DFND 1 0 0 5408 WISDOMTREE TR GLB US QTLY DIV 97717W844 558 13398 SH DFND 1 0 0 13398 WISDOMTREE TR US QTLY DIV GRT 97717X669 254 4264 SH DFND 1 0 0 4264