The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
A T & T INC (NEW) | COM | 00206R102 | 5,265 | 222,824 | SH | SOLE | 221,963 | 0 | 861 | ||
ABBOTT LABS | COM | 002824100 | 1,074 | 9,073 | SH | SOLE | 9,073 | 0 | 0 | ||
AIM TAX EXEMPT FDS INVESCO TAX | MUTUAL FUNDS | 001419555 | 524 | 40,971 | SH | SOLE | 40,971 | 0 | 0 | ||
ALPS ETF TR RIVERFRNT DYMC | COM | 00162Q528 | 45,464 | 944,028 | SH | SOLE | 944,028 | 0 | 0 | ||
ALPS ETF TR RIVERFRNT FLEX | COM | 00162Q510 | 6,731 | 143,913 | SH | SOLE | 143,913 | 0 | 0 | ||
ALPS ETF TR RIVERFRNT STR INC | ETF - FIXED INCO | 00162Q783 | 4,422 | 186,610 | SH | SOLE | 186,610 | 0 | 0 | ||
ALPS ETF TR RIVERFRONT DYM | COM | 00162Q536 | 34,500 | 1,469,767 | SH | SOLE | 1,469,767 | 0 | 0 | ||
APPLE COMPUTER INC | COM | 037833100 | 23,069 | 132,118 | SH | SOLE | 131,951 | 0 | 167 | ||
BERKSHIRE HATHAWAY INC DEL CL | COM | 084670702 | 3,465 | 9,818 | SH | SOLE | 9,818 | 0 | 0 | ||
BOEING CO COM | COM | 097023105 | 383 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
BOSTON SCIENTIFIC CORP COM | COM | 101137107 | 227 | 5,136 | SH | DFND | 1,894 | 3,242 | 0 | ||
CATERPILLAR INC COM | COM | 149123101 | 11,295 | 50,695 | SH | DFND | 50,044 | 488 | 163 | ||
COCA COLA CO | COM | 191216100 | 300 | 4,841 | SH | SOLE | 4,841 | 0 | 0 | ||
COMMUNICATION SERVICES SELECT | COM | 81369Y852 | 25,581 | 371,933 | SH | SOLE | 371,906 | 0 | 27 | ||
DISNEY WALT PRODTNS | COM | 254687106 | 658 | 4,800 | SH | SOLE | 4,800 | 0 | 0 | ||
EOG RES INC COM | COM | 26875P101 | 10,184 | 85,418 | SH | SOLE | 85,155 | 0 | 263 | ||
FACEBOOK INC CL A | COM | 30303M102 | 4,008 | 18,026 | SH | SOLE | 17,960 | 0 | 66 | ||
FIRST TR EXCH TRADED FD III RI | COM | 33739P707 | 7,017 | 108,191 | SH | SOLE | 108,191 | 0 | 0 | ||
FIRST TR EXCH TRADED FD III RI | COM | 33739P608 | 28,821 | 441,209 | SH | SOLE | 441,209 | 0 | 0 | ||
FIRST TRUST TCW OPPORTUNISTIC | COM | 33740F805 | 11,798 | 237,987 | SH | SOLE | 236,576 | 0 | 1,411 | ||
FRANKLIN TEMPLETON ETF TR FTSE | ETF - EQUITY | 35473P678 | 7,407 | 292,657 | SH | DFND | 281,988 | 9,574 | 1,095 | ||
GENERAL ELECTRIC CO COM NEW | COM | 369604301 | 10,047 | 109,809 | SH | DFND | 108,309 | 1,161 | 339 | ||
GLOBAL X FDS FTSE NORDIC RE | COM | 37950E101 | 7,111 | 222,775 | SH | DFND | 217,501 | 4,535 | 739 | ||
GLOBAL X FDS US INFR DEV ET | COM | 37954Y673 | 52,739 | 1,864,887 | SH | DFND | 1,848,045 | 14,179 | 2,663 | ||
GOLDMAN SACHS ETF TR EQUITY ET | COM | 381430503 | 251,066 | 2,819,700 | SH | DFND | 2,790,289 | 24,919 | 4,492 | ||
HARTFORD FDS EXCHANGE TRADED T | ETF - EQUITY | 41653L503 | 402 | 10,246 | SH | SOLE | 10,246 | 0 | 0 | ||
HARTFORD FINL SVCS GROUP INC C | COM | 416515104 | 4,318 | 60,151 | SH | DFND | 58,393 | 1,501 | 257 | ||
HUNTINGTON BANCSHARES INC COM | COM | 446150104 | 200 | 13,710 | SH | SOLE | 13,710 | 0 | 0 | ||
Invesco QQQ Trust | COM | 46090E103 | 99,160 | 273,514 | SH | DFND | 267,802 | 4,983 | 729 | ||
INVESCO EXCHNG TRADED FD TR II | COM | 46138G508 | 363 | 16,677 | SH | SOLE | 16,677 | 0 | 0 | ||
INVESCO EXCHNG TRADED FD TR KB | COM | 46138E628 | 3,795 | 59,546 | SH | SOLE | 59,338 | 0 | 208 | ||
INVESCO S&P 500 HIGH BETA ETF | COM | 46138E370 | 489 | 6,443 | SH | DFND | 88 | 6,355 | 0 | ||
ISHARES CORE DIVIDEND GROWTH E | COM | 46434V621 | 21,895 | 409,936 | SH | SOLE | 409,907 | 0 | 29 | ||
ISHARES GENOMICS IMMUNOLOGY AN | COM | 46435U192 | 840 | 24,394 | SH | SOLE | 24,394 | 0 | 0 | ||
ISHARES INC CORE MSCI EMKT | COM | 46434G103 | 23,646 | 425,676 | SH | DFND | 414,112 | 10,433 | 1,131 | ||
ISHARES INC MSCI EMRG CHN | ETF - EQUITY | 46434G764 | 16,067 | 276,170 | SH | SOLE | 275,163 | 0 | 1,007 | ||
ISHARES INC MSCI GERMAN | COM | 464286806 | 2,050 | 72,194 | SH | SOLE | 72,194 | 0 | 0 | ||
ISHARES TR 0-3 MNTH TREAS | ETF - EQUITY | 46436E718 | 5,804 | 58,010 | SH | SOLE | 58,010 | 0 | 0 | ||
ISHARES TR 0-5YR HI YL CP | COM | 46434V407 | 16,988 | 386,456 | SH | DFND | 380,221 | 4,204 | 2,031 | ||
ISHARES TR 20 YR TRS BD | COM | 464287432 | 42,404 | 321,045 | SH | DFND | 317,906 | 2,459 | 680 | ||
ISHARES TR CORE MSCI EAFE | COM | 46432F842 | 221,625 | 3,188,392 | SH | DFND | 3,179,816 | 6,027 | 2,549 | ||
ISHARES TR CORE MSCI EURO | COM | 46434V738 | 15,261 | 285,790 | SH | DFND | 274,304 | 10,287 | 1,199 | ||
ISHARES TR DJ MED DEVICES | COM | 464288810 | 13,855 | 227,296 | SH | DFND | 221,920 | 4,632 | 744 | ||
ISHARES TR DJ US FINL SVC | COM | 464287770 | 99,124 | 549,684 | SH | DFND | 544,694 | 4,452 | 538 | ||
ISHARES TR DJ US TECH SEC | COM | 464287721 | 59,023 | 572,822 | SH | DFND | 568,965 | 3,012 | 845 | ||
ISHARES TR FLTG RATE NT | COM | 46429B655 | 1,294 | 25,620 | SH | SOLE | 25,620 | 0 | 0 | ||
ISHARES TR JPMORGAN USD | COM | 464288281 | 10,834 | 110,829 | SH | DFND | 108,796 | 1,517 | 516 | ||
ISHARES TR LEHMAN 10-20YR | COM | 464288653 | 15,475 | 114,960 | SH | SOLE | 114,952 | 0 | 8 | ||
ISHARES TR LEHMAN AGG BND | COM | 464287226 | 21,984 | 205,264 | SH | DFND | 190,589 | 14,675 | 0 | ||
ISHARES TR MBS FIXED BDFD | COM | 464288588 | 66,922 | 656,935 | SH | SOLE | 656,888 | 0 | 47 | ||
ISHARES TR MSCI EMERG MKT | COM | 464287234 | 289 | 6,394 | SH | SOLE | 6,394 | 0 | 0 | ||
ISHARES TR MSCI GRW IDX | COM | 464288885 | 5,998 | 62,311 | SH | DFND | 52,220 | 10,037 | 54 | ||
ISHARES TR MSCI VAL IDX | COM | 464288877 | 34,446 | 685,369 | SH | DFND | 677,690 | 5,378 | 2,301 | ||
ISHARES TR RUSSELL1000GRW | COM | 464287614 | 712 | 2,564 | SH | SOLE | 2,564 | 0 | 0 | ||
ISHARES TR RUSSELL1000VAL | COM | 464287598 | 605 | 3,647 | SH | SOLE | 3,647 | 0 | 0 | ||
ISHARES TR S&P 500 INDEX | COM | 464287200 | 274,749 | 605,588 | SH | SOLE | 605,516 | 0 | 72 | ||
ISHARES TR S&P 500 VALUE | COM | 464287408 | 9,912 | 63,655 | SH | DFND | 62,122 | 1,316 | 217 | ||
ISHARES TR S&P GLO INFRAS | COM | 464288372 | 2,638 | 51,868 | SH | SOLE | 51,868 | 0 | 0 | ||
ISHARES TR S&P LTN AM 40 | COM | 464287390 | 7,181 | 236,313 | SH | SOLE | 236,052 | 0 | 261 | ||
ISHARES TR S&P NA SOFTWR | COM | 464287515 | 12,953 | 37,553 | SH | DFND | 36,089 | 1,280 | 184 | ||
ISHARES TR US PFD STK IDX | COM | 464288687 | 1,039 | 28,534 | SH | SOLE | 28,534 | 0 | 0 | ||
J P MORGAN EXCHANGE TRADED FD | ETF - EQUITY | 46641Q647 | 402 | 7,812 | SH | SOLE | 7,812 | 0 | 0 | ||
J P MORGAN EXCHANGE-TRADED FD | COM | 46641Q225 | 12,374 | 176,434 | SH | DFND | 171,684 | 4,101 | 649 | ||
J P MORGAN EXCHANGE-TRADED FEQ | ETF - EQUITY | 46641Q332 | 159,252 | 2,593,676 | SH | DFND | 2,575,241 | 15,378 | 3,057 | ||
JPMORGAN CHASE & CO COM | COM | 46625H100 | 204 | 1,500 | SH | SOLE | 1,500 | 0 | 0 | ||
KINDER MORGAN INC DEL COM | COM | 49456B101 | 5,898 | 311,916 | SH | DFND | 301,319 | 9,543 | 1,054 | ||
MCDONALDS CORP COM | COM | 580135101 | 596 | 2,409 | SH | SOLE | 2,409 | 0 | 0 | ||
MICROSOFT CORP COM | COM | 594918104 | 30,108 | 97,655 | SH | DFND | 96,946 | 582 | 127 | ||
NORTHROP GRUMMAN CORP COM | COM | 666807102 | 282 | 631 | SH | DFND | 246 | 385 | 0 | ||
PEPSICO INC COM | COM | 713448108 | 640 | 3,825 | SH | SOLE | 3,825 | 0 | 0 | ||
PROLOGIS INC. COM | COM | 74340W103 | 27,817 | 172,270 | SH | DFND | 170,291 | 1,726 | 253 | ||
RIO TINTO PLC SPONSORED ADR | COM | 767204100 | 5,060 | 62,934 | SH | DFND | 61,125 | 1,601 | 208 | ||
SELECT SECTOR SPDR TR SBI CONS | COM | 81369Y308 | 23,953 | 315,639 | SH | SOLE | 315,616 | 0 | 23 | ||
SELECT SECTOR SPDR TR SBI CONS | COM | 81369Y407 | 59,695 | 322,678 | SH | SOLE | 322,644 | 0 | 34 | ||
SELECT SECTOR SPDR TR SBI HEAL | COM | 81369Y209 | 73,576 | 537,095 | SH | SOLE | 537,026 | 0 | 69 | ||
SELECT SECTOR SPDR TR SBI INT- | COM | 81369Y506 | 32,414 | 424,050 | SH | DFND | 419,343 | 4,425 | 282 | ||
SELECT SECTOR SPDR TR SBI INT- | COM | 81369Y605 | 645 | 16,836 | SH | SOLE | 16,836 | 0 | 0 | ||
SELECT SECTOR SPDR TR SBI INT- | COM | 81369Y704 | 24,694 | 239,800 | SH | SOLE | 239,783 | 0 | 17 | ||
SELECT SECTOR SPDR TR SBI INT- | COM | 81369Y803 | 99,879 | 628,451 | SH | SOLE | 628,405 | 0 | 46 | ||
SELECT SECTOR SPDR TR SBI MATE | COM | 81369Y100 | 20,479 | 232,322 | SH | SOLE | 232,305 | 0 | 17 | ||
SPDR SER TR CAP S/T HI YLD | COM | 78468R408 | 16,723 | 637,345 | SH | DFND | 626,937 | 7,016 | 3,392 | ||
SPDR SERIES TRUST BARC CAPTL E | COM | 78464A474 | 608 | 20,170 | SH | SOLE | 20,170 | 0 | 0 | ||
SPDR SERIES TRUST PORTFOLIO AG | COM | 78464A649 | 201,104 | 7,236,574 | SH | SOLE | 7,235,985 | 0 | 589 | ||
SSGA ACTIVE ETF TR BLKSTN GSOS | COM | 78467V608 | 66,881 | 1,487,567 | SH | SOLE | 1,487,454 | 0 | 113 | ||
STARBUCKS CORP COM | COM | 855244109 | 9,305 | 102,291 | SH | DFND | 100,157 | 1,782 | 352 | ||
STRYKER CORP COM | COM | 863667101 | 2,405 | 8,995 | SH | SOLE | 8,995 | 0 | 0 | ||
TARGET CORP | COM | 87612E106 | 274 | 1,292 | SH | DFND | 19 | 1,273 | 0 | ||
UNITEDHEALTH GROUP INC COM | COM | 91324P102 | 9,233 | 18,106 | SH | DFND | 17,652 | 397 | 57 | ||
VANECK VECTORS FALLEN ANGEL HI | COM | 92189F437 | 17,092 | 562,240 | SH | DFND | 540,157 | 19,402 | 2,681 | ||
VANGUARD 500 INDEX FUND | MUTUAL FUNDS | 922908710 | 1,497 | 3,581 | SH | SOLE | 3,581 | 0 | 0 | ||
VANGUARD BD INDEX FD INC TOTAL | COM | 921937835 | 203,662 | 2,560,496 | SH | DFND | 2,555,181 | 4,064 | 1,251 | ||
VANGUARD SCOTTSDALE FDS INT-TE | COM | 92206C706 | 59,457 | 945,122 | SH | SOLE | 945,054 | 0 | 68 | ||
VANGUARD SCOTTSDALE FDS INT-TE | COM | 92206C870 | 131,733 | 1,531,079 | SH | DFND | 1,527,998 | 2,969 | 112 | ||
VANGUARD SCOTTSDALE FDS MORTG- | COM | 92206C771 | 409 | 8,156 | SH | SOLE | 8,156 | 0 | 0 | ||
VANGUARD SCOTTSDALE FDS SHRT-T | COM | 92206C409 | 131,197 | 1,680,086 | SH | DFND | 1,676,162 | 3,804 | 120 | ||
VANGUARD WHITEHALL FDS INC HIG | COM | 921946406 | 547 | 4,874 | SH | SOLE | 4,874 | 0 | 0 | ||
VANGUARD WORLD FDS TELCOMM ETF | COM | 92204A884 | 15,462 | 128,801 | SH | SOLE | 128,792 | 0 | 9 | ||
WESTROCK CO COM | COM | 96145D105 | 7,858 | 167,096 | SH | DFND | 162,790 | 3,794 | 512 | ||
WISDOMTREE TR EUROPE HEDGED | COM | 97717X701 | 1,078 | 14,648 | SH | SOLE | 14,648 | 0 | 0 |