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 |
ABBOTT LABS | COM | 002824100 | 305 | 3,866 | SH | SOLE | 0 | 0 | 3,866 | ||
ABBVIE INC | COM | 00287Y109 | 389 | 5,103 | SH | SOLE | 0 | 0 | 5,103 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 7,835 | 40,285 | SH | SOLE | 0 | 0 | 40,285 | ||
ALLIANZGI CONV INCOME FD II | COM | 018825109 | 1,364 | 409,627 | SH | SOLE | 0 | 0 | 409,627 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 3,910 | 3,365 | SH | SOLE | 0 | 0 | 3,365 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 2,127 | 1,829 | SH | SOLE | 0 | 0 | 1,829 | ||
AMAZON COM INC | COM | 023135106 | 5,069 | 2,600 | SH | SOLE | 0 | 0 | 2,600 | ||
AMGEN INC | COM | 031162100 | 1,460 | 7,200 | SH | SOLE | 0 | 0 | 7,200 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 572 | 50,466 | SH | SOLE | 0 | 0 | 50,466 | ||
APPLE INC | COM | 037833100 | 4,969 | 19,539 | SH | SOLE | 0 | 0 | 19,539 | ||
AT&T INC | COM | 00206R102 | 3,138 | 107,655 | SH | SOLE | 0 | 0 | 107,655 | ||
BAIDU INC | SPON ADR REP A | 056752108 | 549 | 5,450 | SH | SOLE | 0 | 0 | 5,450 | ||
BAOZUN INC | SPONSORED ADR | 06684L103 | 585 | 20,955 | SH | SOLE | 0 | 0 | 20,955 | ||
BAXTER INTL INC | COM | 071813109 | 325 | 4,000 | SH | SOLE | 0 | 0 | 4,000 | ||
BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 272 | 1 | SH | SOLE | 0 | 0 | 1 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 11,317 | 61,900 | SH | SOLE | 0 | 0 | 61,900 | ||
BK OF AMERICA CORP | COM | 060505104 | 1,430 | 67,356 | SH | SOLE | 0 | 0 | 67,356 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 4,853 | 381,834 | SH | SOLE | 0 | 0 | 381,834 | ||
BOEING CO | COM | 097023105 | 331 | 2,218 | SH | SOLE | 0 | 0 | 2,218 | ||
BROADCOM INC | COM | 11135F101 | 565 | 2,384 | SH | SOLE | 0 | 0 | 2,384 | ||
CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | 1,722 | 45,715 | SH | SOLE | 0 | 0 | 45,715 | ||
CHUBB LIMITED | COM | H1467J104 | 221 | 1,975 | SH | SOLE | 0 | 0 | 1,975 | ||
CISCO SYS INC | COM | 17275R102 | 261 | 6,643 | SH | SOLE | 0 | 0 | 6,643 | ||
CITIGROUP INC | COM NEW | 172967424 | 843 | 20,005 | SH | SOLE | 0 | 0 | 20,005 | ||
COCA COLA CO | COM | 191216100 | 306 | 6,925 | SH | SOLE | 0 | 0 | 6,925 | ||
COMCAST CORP NEW | CL A | 20030N101 | 438 | 12,750 | SH | SOLE | 0 | 0 | 12,750 | ||
CSX CORP | COM | 126408103 | 1,181 | 20,605 | SH | SOLE | 0 | 0 | 20,605 | ||
CVS HEALTH CORP | COM | 126650100 | 629 | 10,603 | SH | SOLE | 0 | 0 | 10,603 | ||
CYTOMX THERAPEUTICS INC | COM | 23284F105 | 756 | 98,611 | SH | SOLE | 0 | 0 | 98,611 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 765 | 7,920 | SH | SOLE | 0 | 0 | 7,920 | ||
DOMINOS PIZZA INC | COM | 25754A201 | 227 | 700 | SH | SOLE | 0 | 0 | 700 | ||
DOVER CORP | COM | 260003108 | 443 | 5,275 | SH | SOLE | 0 | 0 | 5,275 | ||
EATON CORP PLC | SHS | G29183103 | 225 | 2,900 | SH | SOLE | 0 | 0 | 2,900 | ||
EATON VANCE RISK MNGD DIV EQ | COM | 27829G106 | 125 | 15,000 | SH | SOLE | 0 | 0 | 15,000 | ||
EMBRAER S.A. | SPONSORED ADS | 29082A107 | 1,266 | 171,040 | SH | SOLE | 0 | 0 | 171,040 | ||
EMBRAER S.A. | SPONSORED ADS | 29082A107 | 7 | 1,000 | SH | Call | SOLE | 0 | 0 | 1,000 | |
ENERSYS | COM | 29275Y102 | 1,126 | 22,730 | SH | SOLE | 0 | 0 | 22,730 | ||
EXXON MOBIL CORP | COM | 30231G102 | 232 | 6,100 | SH | SOLE | 0 | 0 | 6,100 | ||
FACEBOOK INC | CL A | 30303M102 | 3,406 | 20,420 | SH | SOLE | 0 | 0 | 20,420 | ||
GENERAL MLS INC | COM | 370334104 | 359 | 6,800 | SH | SOLE | 0 | 0 | 6,800 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 432 | 2,794 | SH | SOLE | 0 | 0 | 2,794 | ||
HCA HEALTHCARE INC | COM | 40412C101 | 337 | 3,750 | SH | SOLE | 0 | 0 | 3,750 | ||
HERON THERAPEUTICS INC | COM | 427746102 | 2 | 200 | SH | Call | SOLE | 0 | 0 | 200 | |
HERON THERAPEUTICS INC | COM | 427746102 | 1,304 | 111,045 | SH | SOLE | 0 | 0 | 111,045 | ||
HOME DEPOT INC | COM | 437076102 | 848 | 4,540 | SH | SOLE | 0 | 0 | 4,540 | ||
HONEYWELL INTL INC | COM | 438516106 | 686 | 5,125 | SH | SOLE | 0 | 0 | 5,125 | ||
IDEXX LABS INC | COM | 45168D104 | 206 | 850 | SH | SOLE | 0 | 0 | 850 | ||
INTEL CORP | COM | 458140100 | 444 | 8,200 | SH | SOLE | 0 | 0 | 8,200 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 528 | 4,763 | SH | SOLE | 0 | 0 | 4,763 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 502 | 2,635 | SH | SOLE | 0 | 0 | 2,635 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 1,089 | 4,214 | SH | SOLE | 0 | 0 | 4,214 | ||
JOHNSON & JOHNSON | COM | 478160104 | 1,089 | 8,304 | SH | SOLE | 0 | 0 | 8,304 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 3,008 | 33,413 | SH | SOLE | 0 | 0 | 33,413 | ||
LOCKHEED MARTIN CORP | COM | 539830109 | 1,071 | 3,160 | SH | SOLE | 0 | 0 | 3,160 | ||
MASCO CORP | COM | 574599106 | 328 | 9,500 | SH | SOLE | 0 | 0 | 9,500 | ||
MCDONALDS CORP | COM | 580135101 | 406 | 2,455 | SH | SOLE | 0 | 0 | 2,455 | ||
MEDTRONIC PLC | SHS | G5960L103 | 232 | 2,575 | SH | SOLE | 0 | 0 | 2,575 | ||
MERCADOLIBRE INC | COM | 58733R102 | 2,820 | 5,771 | SH | SOLE | 0 | 0 | 5,771 | ||
MERCK & CO. INC | COM | 58933Y105 | 615 | 7,998 | SH | SOLE | 0 | 0 | 7,998 | ||
MICROSOFT CORP | COM | 594918104 | 4,032 | 25,567 | SH | SOLE | 0 | 0 | 25,567 | ||
MONDELEZ INTL INC | CL A | 609207105 | 317 | 6,330 | SH | SOLE | 0 | 0 | 6,330 | ||
MORGAN STANLEY | COM NEW | 617446448 | 360 | 10,600 | SH | SOLE | 0 | 0 | 10,600 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 6,662 | 492,020 | SH | SOLE | 0 | 0 | 492,020 | ||
ONEOK INC NEW | COM | 682680103 | 246 | 11,300 | SH | SOLE | 0 | 0 | 11,300 | ||
PEPSICO INC | COM | 713448108 | 645 | 5,373 | SH | SOLE | 0 | 0 | 5,373 | ||
PFIZER INC | COM | 717081103 | 357 | 10,930 | SH | SOLE | 0 | 0 | 10,930 | ||
PHILLIPS 66 | COM | 718546104 | 209 | 3,890 | SH | SOLE | 0 | 0 | 3,890 | ||
PLUG POWER INC | COM NEW | 72919P202 | 74 | 21,000 | SH | SOLE | 0 | 0 | 21,000 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 281 | 2,558 | SH | SOLE | 0 | 0 | 2,558 | ||
PRUDENTIAL FINL INC | COM | 744320102 | 267 | 5,116 | SH | SOLE | 0 | 0 | 5,116 | ||
QUALCOMM INC | COM | 747525103 | 203 | 3,000 | SH | SOLE | 0 | 0 | 3,000 | ||
RADIUS HEALTH INC | COM NEW | 750469207 | 131 | 10,050 | SH | SOLE | 0 | 0 | 10,050 | ||
ROSS STORES INC | COM | 778296103 | 957 | 11,000 | SH | SOLE | 0 | 0 | 11,000 | ||
SALESFORCE COM INC | COM | 79466L302 | 1,072 | 7,445 | SH | SOLE | 0 | 0 | 7,445 | ||
SPLUNK INC | COM | 848637104 | 711 | 5,630 | SH | SOLE | 0 | 0 | 5,630 | ||
SPOTIFY TECHNOLOGY S A | SHS | L8681T102 | 298 | 2,455 | SH | SOLE | 0 | 0 | 2,455 | ||
TESLA INC | COM | 88160R101 | 375 | 715 | SH | SOLE | 0 | 0 | 715 | ||
THE TRADE DESK INC | COM CL A | 88339J105 | 3,411 | 17,672 | SH | SOLE | 0 | 0 | 17,672 | ||
UBER TECHNOLOGIES INC | COM | 90353T100 | 276 | 9,900 | SH | SOLE | 0 | 0 | 9,900 | ||
UBS GROUP AG | SHS | H42097107 | 487 | 52,600 | SH | SOLE | 0 | 0 | 52,600 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 1,876 | 19,892 | SH | SOLE | 0 | 0 | 19,892 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 910 | 3,649 | SH | SOLE | 0 | 0 | 3,649 | ||
VISA INC | COM CL A | 92826C839 | 2,511 | 15,584 | SH | SOLE | 0 | 0 | 15,584 | ||
WESTERN AST INFL LKD OPP & I | COM | 95766R104 | 134 | 14,000 | SH | SOLE | 0 | 0 | 14,000 | ||
YUM BRANDS INC | COM | 988498101 | 384 | 5,600 | SH | SOLE | 0 | 0 | 5,600 | ||
YUM CHINA HLDGS INC | COM | 98850P109 | 273 | 6,400 | SH | SOLE | 0 | 0 | 6,400 | ||
ZOETIS INC | CL A | 98978V103 | 1,571 | 13,351 | SH | SOLE | 0 | 0 | 13,351 |