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 |
KAYNE ANDERSON ENERGY INFRST | COM | 486606106 | 184 | 25,700 | SH | SOLE | 0 | 0 | 25,700 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 213 | 1,400 | SH | SOLE | 0 | 0 | 1,400 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 217 | 1,600 | SH | SOLE | 0 | 0 | 1,600 | ||
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 243 | 1,100 | SH | SOLE | 0 | 0 | 1,100 | ||
BROADMARK RLTY CAP INC | COM | 11135B100 | 251 | 23,963 | SH | SOLE | 0 | 0 | 23,963 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 260 | 3,300 | SH | SOLE | 0 | 0 | 3,300 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 263 | 18,855 | SH | SOLE | 0 | 0 | 18,855 | ||
WELLS FARGO ADVANTAGE INCOME | WF INC OPPTY FD | 94987B105 | 268 | 31,750 | SH | SOLE | 0 | 0 | 31,750 | ||
JOHNSON & JOHNSON | COM | 478160104 | 276 | 1,680 | SH | SOLE | 0 | 0 | 1,680 | ||
CALAMOS GBL DYN INCOME FUND | COM | 12811L107 | 277 | 27,108 | SH | SOLE | 0 | 0 | 27,108 | ||
STITCH FIX INC | COM CL A | 860897107 | 292 | 5,895 | SH | SOLE | 0 | 0 | 5,895 | ||
OAKTREE SPECIALTY LENDING CO | COM | 67401P108 | 299 | 48,175 | SH | SOLE | 0 | 0 | 48,175 | ||
ARISTA NETWORKS INC | COM | 040413106 | 302 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
SLR INVESTMENT CORP | COM | 83413U100 | 302 | 17,000 | SH | SOLE | 0 | 0 | 17,000 | ||
NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 306 | 68,401 | SH | SOLE | 0 | 0 | 68,401 | ||
ELLINGTON RESIDENTIAL MTG RE | COM SHS BEN INT | 288578107 | 307 | 24,926 | SH | SOLE | 0 | 0 | 24,926 | ||
MONROE CAP CORP | COM | 610335101 | 307 | 30,543 | SH | SOLE | 0 | 0 | 30,543 | ||
MPLX LP | COM UNIT REP LTD | 55336V100 | 309 | 12,050 | SH | SOLE | 0 | 0 | 12,050 | ||
GANNETT CO INC | COM | 36472T109 | 325 | 60,338 | SH | SOLE | 0 | 0 | 60,338 | ||
READY CAPITAL CORP | COM | 75574U101 | 331 | 24,700 | SH | SOLE | 0 | 0 | 24,700 | ||
VANGUARD BD INDEX FDS | SHORT TRM BOND | 921937827 | 337 | 4,100 | SH | SOLE | 0 | 0 | 4,100 | ||
BLACKROCK NEW YORK MUN INCOM | COM | 09249R102 | 341 | 22,497 | SH | SOLE | 0 | 0 | 22,497 | ||
NEW RESIDENTIAL INVT CORP | COM NEW | 64828T201 | 351 | 31,200 | SH | SOLE | 0 | 0 | 31,200 | ||
GOLUB CAP BDC INC | COM | 38173M102 | 352 | 24,060 | SH | SOLE | 0 | 0 | 24,060 | ||
VOYA GLBL EQTY DIV & PREM OP | COM | 92912T100 | 359 | 63,000 | SH | SOLE | 0 | 0 | 63,000 | ||
VANECK VECTORS ETF TR | MTG REIT INCOME | 92189F452 | 361 | 19,030 | SH | SOLE | 0 | 0 | 19,030 | ||
APOLLO INVT CORP | COM NEW | 03761U502 | 365 | 26,600 | SH | SOLE | 0 | 0 | 26,600 | ||
IRON MTN INC NEW | COM | 46284V101 | 370 | 10,000 | SH | SOLE | 0 | 0 | 10,000 | ||
VIRTUS ALLIANZGI CONVERTIBLE | COM | 92838X102 | 370 | 65,425 | SH | SOLE | 0 | 0 | 65,425 | ||
ARES COML REAL ESTATE CORP | COM | 04013V108 | 399 | 29,050 | SH | SOLE | 0 | 0 | 29,050 | ||
BAIN CAP SPECIALTY FIN INC | COM STK | 05684B107 | 399 | 27,025 | SH | SOLE | 0 | 0 | 27,025 | ||
VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 | 441 | 3,000 | SH | SOLE | 0 | 0 | 3,000 | ||
ISHARES TR | MORTGE REL ETF | 46435G342 | 441 | 12,521 | SH | SOLE | 0 | 0 | 12,521 | ||
VISA INC | COM CL A | 92826C839 | 476 | 2,250 | SH | SOLE | 0 | 0 | 2,250 | ||
BLACKSTONE STRATEGIC CREDIT | COM SHS BEN IN | 09257R101 | 480 | 35,988 | SH | SOLE | 0 | 0 | 35,988 | ||
SIXTH STREET SPECIALTY LENDN | COM | 83012A109 | 498 | 23,660 | SH | SOLE | 0 | 0 | 23,660 | ||
KKR REAL ESTATE FIN TR INC | COM | 48251K100 | 500 | 27,200 | SH | SOLE | 0 | 0 | 27,200 | ||
HERCULES CAPITAL INC | COM | 427096508 | 523 | 32,620 | SH | SOLE | 0 | 0 | 32,620 | ||
VANECK VECTORS ETF TR | BDC INCOME ETF | 92189F411 | 532 | 32,840 | SH | SOLE | 0 | 0 | 32,840 | ||
ENERGY TRANSFER LP | COM UT LTD PTN | 29273V100 | 534 | 69,500 | SH | SOLE | 0 | 0 | 69,500 | ||
XAI OCTAGON FLOATING RATE & | COM | 98400T106 | 554 | 61,008 | SH | SOLE | 0 | 0 | 61,008 | ||
ETFIS SER TR I | VIRTUS INFRCAP | 26923G822 | 573 | 23,800 | SH | SOLE | 0 | 0 | 23,800 | ||
SPDR SER TR | S&P DIVID ETF | 78464A763 | 590 | 5,000 | SH | SOLE | 0 | 0 | 5,000 | ||
FS KKR CAP CORP | COM | 302635206 | 651 | 32,854 | SH | SOLE | 0 | 0 | 32,854 | ||
ARES CAPITAL CORP | COM | 04010L103 | 653 | 34,900 | SH | SOLE | 0 | 0 | 34,900 | ||
CASTLE BIOSCIENCES INC | COM | 14843C105 | 686 | 10,026 | SH | SOLE | 0 | 0 | 10,026 | ||
TRIPLEPOINT VENTURE GROWTH B | COM | 89677Y100 | 688 | 47,606 | SH | SOLE | 0 | 0 | 47,606 | ||
BLACKROCK N Y MUN INCOME TRU | SH BEN INT | 09248L106 | 737 | 47,647 | SH | SOLE | 0 | 0 | 47,647 | ||
PENNANTPARK INVT CORP | COM | 708062104 | 759 | 134,312 | SH | SOLE | 0 | 0 | 134,312 | ||
NUVEEN CALIFORNIA AMT QLT MU | COM | 670651108 | 760 | 49,160 | SH | SOLE | 0 | 0 | 49,160 | ||
HESS CORP | COM | 42809H107 | 778 | 11,000 | SH | SOLE | 0 | 0 | 11,000 | ||
ISHARES TR | PFD AND INCM SEC | 464288687 | 829 | 21,600 | SH | SOLE | 0 | 0 | 21,600 | ||
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 866 | 27,943 | SH | SOLE | 0 | 0 | 27,943 | ||
PROSHARES TR | SHORT S&P 500 NE | 74347B425 | 872 | 52,000 | SH | SOLE | 0 | 0 | 52,000 | ||
COCA COLA CO | COM | 191216100 | 875 | 16,600 | SH | SOLE | 0 | 0 | 16,600 | ||
PIMCO DYNAMIC CR INCOME FD | COM SHS | 72202D106 | 895 | 40,173 | SH | SOLE | 0 | 0 | 40,173 | ||
GOLDMAN SACHS BDC INC | SHS | 38147U107 | 912 | 47,200 | SH | SOLE | 0 | 0 | 47,200 | ||
LADDER CAP CORP | CL A | 505743104 | 919 | 77,849 | SH | SOLE | 0 | 0 | 77,849 | ||
STARWOOD PPTY TR INC | COM | 85571B105 | 958 | 38,715 | SH | SOLE | 0 | 0 | 38,715 | ||
ORACLE CORP | COM | 68389X105 | 1,098 | 15,650 | SH | SOLE | 0 | 0 | 15,650 | ||
VANGUARD TAX-MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 1,104 | 22,478 | SH | SOLE | 0 | 0 | 22,478 | ||
INVESCO EXCH TRADED FD TR II | NASDAQNXTGEN100 | 46138G631 | 1,115 | 35,007 | SH | SOLE | 0 | 0 | 35,007 | ||
ALPS ETF TR | DISRUPTIVE TECH | 00162Q478 | 1,149 | 25,569 | SH | SOLE | 0 | 0 | 25,569 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 1,154 | 22,177 | SH | SOLE | 0 | 0 | 22,177 | ||
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 1,213 | 15,700 | SH | SOLE | 0 | 0 | 15,700 | ||
GLOBAL X FDS | INTERNET OF THNG | 37954Y780 | 1,213 | 36,392 | SH | SOLE | 0 | 0 | 36,392 | ||
INTEL CORP | COM | 458140100 | 1,296 | 20,248 | SH | SOLE | 0 | 0 | 20,248 | ||
AT&T INC | COM | 00206R102 | 1,434 | 47,387 | SH | SOLE | 0 | 0 | 47,387 | ||
ETF SER SOLUTIONS | US GLB JETS | 26922A842 | 1,488 | 55,300 | SH | SOLE | 0 | 0 | 55,300 | ||
MERCK & CO. INC | COM | 58933Y105 | 1,503 | 19,500 | SH | SOLE | 0 | 0 | 19,500 | ||
GRIFFON CORP | COM | 398433102 | 1,536 | 56,551 | SH | SOLE | 0 | 0 | 56,551 | ||
APPLE INC | COM | 037833100 | 1,599 | 13,092 | SH | SOLE | 0 | 0 | 13,092 | ||
CONSTELLATION BRANDS INC | CL A | 21036P108 | 1,640 | 7,195 | SH | SOLE | 0 | 0 | 7,195 | ||
PFIZER INC | COM | 717081103 | 1,655 | 45,685 | SH | SOLE | 0 | 0 | 45,685 | ||
MFS HIGH YIELD MUN TR | SH BEN INT | 59318E102 | 1,706 | 382,584 | SH | SOLE | 0 | 0 | 382,584 | ||
KINDER MORGAN INC DEL | COM | 49456B101 | 1,732 | 104,000 | SH | SOLE | 0 | 0 | 104,000 | ||
NUVEEN PFD & INCOME OPPORTUN | COM | 67073B106 | 1,801 | 189,745 | SH | SOLE | 0 | 0 | 189,745 | ||
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 1,832 | 10,900 | SH | SOLE | 0 | 0 | 10,900 | ||
ESSENTIAL PPTYS RLTY TR INC | COM | 29670E107 | 1,862 | 81,568 | SH | SOLE | 0 | 0 | 81,568 | ||
PIMCO NEW YORK MUN INCOME FD | COM | 72200T103 | 1,888 | 192,674 | SH | SOLE | 0 | 0 | 192,674 | ||
BECTON DICKINSON & CO | COM | 075887109 | 1,915 | 7,875 | SH | SOLE | 0 | 0 | 7,875 | ||
VIACOMCBS INC | CL B | 92556H206 | 1,917 | 42,500 | SH | SOLE | 0 | 0 | 42,500 | ||
ALTRIA GROUP INC | COM | 02209S103 | 1,923 | 37,595 | SH | SOLE | 0 | 0 | 37,595 | ||
AIR PRODS & CHEMS INC | COM | 009158106 | 2,019 | 7,175 | SH | SOLE | 0 | 0 | 7,175 | ||
INVESCO TR INVT GRADE NEW YO | COM | 46131T101 | 2,234 | 170,381 | SH | SOLE | 0 | 0 | 170,381 | ||
NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 | 2,321 | 143,625 | SH | SOLE | 0 | 0 | 143,625 | ||
PIMCO NEW YORK MUN INCOME FD | COM | 72200T103 | 2,322 | 193,813 | SH | SOLE | 0 | 0 | 193,813 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 2,324 | 47,375 | SH | SOLE | 0 | 0 | 47,375 | ||
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 2,355 | 139,375 | SH | SOLE | 0 | 0 | 139,375 | ||
SALESFORCE COM INC | COM | 79466L302 | 2,447 | 11,550 | SH | SOLE | 0 | 0 | 11,550 | ||
CONOCOPHILLIPS | COM | 20825C104 | 2,476 | 46,750 | SH | SOLE | 0 | 0 | 46,750 | ||
PROSHARES TR II | ULTRA VIX SHORT | 74347W148 | 51 | 100,000 | SH | Call | SOLE | 0 | 0 | 100,000 | |
FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 33734X192 | 2,597 | 27,122 | SH | SOLE | 0 | 0 | 27,122 | ||
VANECK VECTORS ETF TR | MORNINGSTAR WIDE | 92189F643 | 2,650 | 38,250 | SH | SOLE | 0 | 0 | 38,250 | ||
BLACKROCK MUNIVEST FD INC | COM | 09253R105 | 2,711 | 291,550 | SH | SOLE | 0 | 0 | 291,550 | ||
VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 922042742 | 2,937 | 30,191 | SH | SOLE | 0 | 0 | 30,191 | ||
MICROSOFT CORP | COM | 594918104 | 2,949 | 12,510 | SH | SOLE | 0 | 0 | 12,510 | ||
PIMCO NEW YORK MUN FD II | COM | 72200Y102 | 3,017 | 267,713 | SH | SOLE | 0 | 0 | 267,713 | ||
EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 3,138 | 257,176 | SH | SOLE | 0 | 0 | 257,176 | ||
INVESCO QUALITY MUN INCOME T | COM | 46133G107 | 3,172 | 244,543 | SH | SOLE | 0 | 0 | 244,543 | ||
BOEING CO | COM | 097023105 | 3,324 | 13,050 | SH | SOLE | 0 | 0 | 13,050 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 3,364 | 227,023 | SH | SOLE | 0 | 0 | 227,023 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 3,403 | 13,320 | SH | SOLE | 0 | 0 | 13,320 | ||
PIMCO MUN INCOME FD II | COM | 72200W106 | 3,638 | 244,482 | SH | SOLE | 0 | 0 | 244,482 | ||
BLACKROCK MUNIHLDGS NY QLTY | COM | 09255C106 | 3,925 | 278,561 | SH | SOLE | 0 | 0 | 278,561 | ||
BLACKROCK MUNIYIELD N Y QUAL | COM | 09255E102 | 4,494 | 334,110 | SH | SOLE | 0 | 0 | 334,110 | ||
AMAZON COM INC | COM | 023135106 | 4,839 | 1,564 | SH | SOLE | 0 | 0 | 1,564 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 6,372 | 19,966 | SH | SOLE | 0 | 0 | 19,966 | ||
NUVEEN NEW YORK QLT MUN INC | COM | 67066X107 | 6,677 | 468,529 | SH | SOLE | 0 | 0 | 468,529 | ||
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 10,816 | 792,367 | SH | SOLE | 0 | 0 | 792,367 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 14,278 | 36,026 | SH | SOLE | 0 | 0 | 36,026 |