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 |
3M CO | COM | 88579Y101 | 535 | 3,060 | SH | SOLE | NONE | 3,060 | 0 | 0 | |
ABBVIE INC | COM | 00287Y109 | 688 | 6,424 | SH | SOLE | NONE | 6,424 | 0 | 0 | |
ALLIANZGI CONV & INCOME FD | COM | 018828103 | 62 | 10,822 | SH | SOLE | NONE | 10,822 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 335 | 191 | SH | SOLE | NONE | 191 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 238 | 73 | SH | SOLE | NONE | 73 | 0 | 0 | |
APPLE INC | COM | 037833100 | 1,856 | 13,988 | SH | SOLE | NONE | 13,988 | 0 | 0 | |
AT&T INC | COM | 00206R102 | 526 | 18,281 | SH | SOLE | NONE | 18,281 | 0 | 0 | |
BLACKROCK CAP INVT CORP | NOTE 5.000% 6/1 | 092533AC2 | 25 | 25,000 | PRN | SOLE | NONE | 25,000 | 0 | 0 | |
BLOOM ENERGY CORP | COM CL A | 093712107 | 410 | 14,321 | SH | SOLE | NONE | 14,321 | 0 | 0 | |
CIGNA CORP NEW | COM | 125523100 | 338 | 1,625 | SH | SOLE | NONE | 1,625 | 0 | 0 | |
CISCO SYS INC | COM | 17275R102 | 396 | 8,854 | SH | SOLE | NONE | 8,854 | 0 | 0 | |
COCA COLA CO | COM | 191216100 | 431 | 7,867 | SH | SOLE | NONE | 7,867 | 0 | 0 | |
COMCAST CORP NEW | CL A | 20030N101 | 377 | 7,198 | SH | SOLE | NONE | 7,198 | 0 | 0 | |
COSTCO WHSL CORP NEW | COM | 22160K105 | 594 | 1,576 | SH | SOLE | NONE | 1,576 | 0 | 0 | |
DIREXION SHS ETF TR | NAS100 EQL WGT | 25459Y207 | 934 | 12,426 | SH | SOLE | NONE | 12,426 | 0 | 0 | |
EMERSON ELEC CO | COM | 291011104 | 418 | 5,205 | SH | SOLE | NONE | 5,205 | 0 | 0 | |
GENWORTH FINL INC | COM CL A | 37247D106 | 78 | 20,726 | SH | SOLE | NONE | 20,726 | 0 | 0 | |
HOME DEPOT INC | COM | 437076102 | 608 | 2,288 | SH | SOLE | NONE | 2,288 | 0 | 0 | |
INDEXIQ ACTIVE ETF TR | IQ MACKAY INSRED | 45409F843 | 2,155 | 78,012 | SH | SOLE | NONE | 78,012 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 370 | 2,939 | SH | SOLE | NONE | 2,939 | 0 | 0 | |
INVESCO EXCH TRADED FD TR II | CALIF AMT MUN | 46138E206 | 328 | 11,724 | SH | SOLE | NONE | 11,724 | 0 | 0 | |
INVESCO EXCH TRADED FD TR II | TAXABLE MUN BD | 46138G805 | 4,253 | 126,947 | SH | SOLE | NONE | 126,947 | 0 | 0 | |
INVESCO EXCH TRD SLF IDX FD | BULSHS 2021 CB | 46138J700 | 340 | 16,025 | SH | SOLE | NONE | 16,025 | 0 | 0 | |
INVESCO EXCH TRD SLF IDX FD | BULSHS 2022 CB | 46138J882 | 703 | 32,325 | SH | SOLE | NONE | 32,325 | 0 | 0 | |
INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 46137V357 | 464 | 3,636 | SH | SOLE | NONE | 3,636 | 0 | 0 | |
INVESCO EXCHANGE TRADED FD T | FTSE RAFI 1000 | 46137V613 | 502 | 3,767 | SH | SOLE | NONE | 3,767 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 340 | 1,084 | SH | SOLE | NONE | 1,084 | 0 | 0 | |
ISHARES TR | CORE S&P MCP ETF | 464287507 | 205 | 890 | SH | SOLE | NONE | 890 | 0 | 0 | |
ISHARES TR | CORE S&P SCP ETF | 464287804 | 329 | 3,578 | SH | SOLE | NONE | 3,578 | 0 | 0 | |
ISHARES TR | CORE S&P500 ETF | 464287200 | 1,391 | 3,705 | SH | SOLE | NONE | 3,705 | 0 | 0 | |
ISHARES TR | RUS 1000 VAL ETF | 464287598 | 20,622 | 150,819 | SH | SOLE | NONE | 150,819 | 0 | 0 | |
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 23,284 | 96,557 | SH | SOLE | NONE | 96,557 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 15,389 | 78,491 | SH | SOLE | NONE | 78,491 | 0 | 0 | |
ISHARES TR | RUS 2000 VAL ETF | 464287630 | 392 | 2,979 | SH | SOLE | NONE | 2,979 | 0 | 0 | |
ISHARES TR | MSCI EAFE ETF | 464287465 | 16,874 | 231,281 | SH | SOLE | NONE | 231,281 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 11,985 | 231,954 | SH | SOLE | NONE | 231,954 | 0 | 0 | |
ISHARES TR | S&P 100 ETF | 464287101 | 465 | 2,712 | SH | SOLE | NONE | 2,712 | 0 | 0 | |
ISHARES TR | PFD AND INCM SEC | 464288687 | 2,863 | 74,356 | SH | SOLE | NONE | 74,356 | 0 | 0 | |
ISHARES TR | NATIONAL MUN ETF | 464288414 | 7,650 | 65,269 | SH | SOLE | NONE | 65,269 | 0 | 0 | |
ISHARES TR | MSCI USA QLT FCT | 46432F339 | 550 | 4,732 | SH | SOLE | NONE | 4,732 | 0 | 0 | |
ISHARES TR | GLOBAL REIT ETF | 46434V647 | 226 | 9,463 | SH | SOLE | NONE | 9,463 | 0 | 0 | |
ISHARES TR | IBONDS DEC2022 | 46435G755 | 908 | 34,432 | SH | SOLE | NONE | 34,432 | 0 | 0 | |
ISHARES TR | IBONDS DEC2021 | 46435G789 | 1,489 | 57,762 | SH | SOLE | NONE | 57,762 | 0 | 0 | |
ISHARES TR | IBONDS DEC2023 | 46435G318 | 940 | 35,905 | SH | SOLE | NONE | 35,905 | 0 | 0 | |
ISHARES TR | IBONDS DEC | 46435U697 | 640 | 23,616 | SH | SOLE | NONE | 23,616 | 0 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 766 | 4,867 | SH | SOLE | NONE | 4,867 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 854 | 6,717 | SH | SOLE | NONE | 6,717 | 0 | 0 | |
KIMBERLY-CLARK CORP | COM | 494368103 | 340 | 2,519 | SH | SOLE | NONE | 2,519 | 0 | 0 | |
LAZARD LTD | SHS A | G54050102 | 2,063 | 48,762 | SH | SOLE | NONE | 48,762 | 0 | 0 | |
LEXINGTON REALTY TRUST | COM | 529043101 | 108 | 10,155 | SH | SOLE | NONE | 10,155 | 0 | 0 | |
MERCK & CO. INC | COM | 58933Y105 | 469 | 5,734 | SH | SOLE | NONE | 5,734 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 782 | 3,518 | SH | SOLE | NONE | 3,518 | 0 | 0 | |
NEXTERA ENERGY INC | COM | 65339F101 | 223 | 2,884 | SH | SOLE | NONE | 2,884 | 0 | 0 | |
ORACLE CORP | COM | 68389X105 | 334 | 5,169 | SH | SOLE | NONE | 5,169 | 0 | 0 | |
PALANTIR TECHNOLOGIES INC | CL A | 69608A108 | 370 | 15,730 | SH | SOLE | NONE | 15,730 | 0 | 0 | |
PALANTIR TECHNOLOGIES INC | CL A | 69608A108 | 30 | 10,000 | SH | Put | SOLE | NONE | 10,000 | 0 | 0 |
PEPSICO INC | COM | 713448108 | 594 | 4,007 | SH | SOLE | NONE | 4,007 | 0 | 0 | |
PFIZER INC | COM | 717081103 | 422 | 11,460 | SH | SOLE | NONE | 11,460 | 0 | 0 | |
PROCTER AND GAMBLE CO | COM | 742718109 | 497 | 3,571 | SH | SOLE | NONE | 3,571 | 0 | 0 | |
QUALCOMM INC | COM | 747525103 | 638 | 4,191 | SH | SOLE | NONE | 4,191 | 0 | 0 | |
SCHWAB STRATEGIC TR | US TIPS ETF | 808524870 | 5,739 | 92,439 | SH | SOLE | NONE | 92,439 | 0 | 0 | |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 230 | 1,772 | SH | SOLE | NONE | 1,772 | 0 | 0 | |
SPDR DOW JONES INDL AVERAGE | UT SER 1 | 78467X109 | 507 | 1,659 | SH | SOLE | NONE | 1,659 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 2,186 | 5,846 | SH | SOLE | NONE | 5,846 | 0 | 0 | |
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 352 | 839 | SH | SOLE | NONE | 839 | 0 | 0 | |
SPDR SER TR | NUVEEN BLMBRG SR | 78468R739 | 201 | 4,043 | SH | SOLE | NONE | 4,043 | 0 | 0 | |
SPDR SER TR | NUVEEN BRC MUNIC | 78468R721 | 1,016 | 19,365 | SH | SOLE | NONE | 19,365 | 0 | 0 | |
SPDR SER TR | BLMBRG BRC CNVRT | 78464A359 | 5,133 | 61,997 | SH | SOLE | NONE | 61,997 | 0 | 0 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 | 421 | 3,859 | SH | SOLE | NONE | 3,859 | 0 | 0 | |
TEXAS INSTRS INC | COM | 882508104 | 904 | 5,510 | SH | SOLE | NONE | 5,510 | 0 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 965 | 2,751 | SH | SOLE | NONE | 2,751 | 0 | 0 | |
VANGUARD BD INDEX FDS | INTERMED TERM | 921937819 | 8,288 | 89,258 | SH | SOLE | NONE | 89,258 | 0 | 0 | |
VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 703 | 7,972 | SH | SOLE | NONE | 7,972 | 0 | 0 | |
VANGUARD CHARLOTTE FDS | INTL BD IDX ETF | 92203J407 | 4,383 | 74,854 | SH | SOLE | NONE | 74,854 | 0 | 0 | |
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 643 | 3,108 | SH | SOLE | NONE | 3,108 | 0 | 0 | |
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 255 | 5,080 | SH | SOLE | NONE | 5,080 | 0 | 0 | |
VANGUARD MUN BD FDS | TAX EXEMPT BD | 922907746 | 378 | 6,857 | SH | SOLE | NONE | 6,857 | 0 | 0 | |
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 3,397 | 40,807 | SH | SOLE | NONE | 40,807 | 0 | 0 | |
VANGUARD TAX-MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 1,340 | 28,385 | SH | SOLE | NONE | 28,385 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 567 | 9,645 | SH | SOLE | NONE | 9,645 | 0 | 0 | |
VISA INC | COM CL A | 92826C839 | 496 | 2,268 | SH | SOLE | NONE | 2,268 | 0 | 0 | |
WALMART INC | COM | 931142103 | 552 | 3,829 | SH | SOLE | NONE | 3,829 | 0 | 0 |