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 |
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 343 | 80,744 | SH | SOLE | 0 | 0 | 80,744 | ||
ABERDEEN GLOBAL INCOME FD IN | COM | 003013109 | 301 | 37,484 | SH | SOLE | 0 | 0 | 37,484 | ||
ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 | 239 | 1,136 | SH | SOLE | 0 | 0 | 1,136 | ||
ALMADEN MINERALS LTD | COM CL B | 020283305 | 6 | 10,100 | SH | SOLE | 0 | 0 | 10,100 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 156 | 18,400 | SH | SOLE | 0 | 0 | 18,400 | ||
AMAZON COM INC | COM | 023135106 | 931 | 504 | SH | SOLE | 0 | 0 | 504 | ||
AMERICAN ELEC PWR CO INC | COM | 025537101 | 788 | 8,334 | SH | SOLE | 0 | 0 | 8,334 | ||
AMGEN INC | COM | 031162100 | 275 | 1,140 | SH | SOLE | 0 | 0 | 1,140 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 1,649 | 108,945 | SH | SOLE | 0 | 0 | 108,945 | ||
APPLE INC | COM | 037833100 | 791 | 2,695 | SH | SOLE | 0 | 0 | 2,695 | ||
BLACKROCK CAPITAL INVESTMENT | COM | 092533108 | 162 | 32,538 | SH | SOLE | 0 | 0 | 32,538 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 169 | 15,095 | SH | SOLE | 0 | 0 | 15,095 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 3,377 | 262,381 | SH | SOLE | 0 | 0 | 262,381 | ||
BLACKROCK INCOME TR INC | COM | 09247F100 | 149 | 24,576 | SH | SOLE | 0 | 0 | 24,576 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 3,152 | 192,291 | SH | SOLE | 0 | 0 | 192,291 | ||
CONOCOPHILLIPS | COM | 20825C104 | 227 | 3,485 | SH | SOLE | 0 | 0 | 3,485 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 611 | 6,750 | SH | SOLE | 0 | 0 | 6,750 | ||
DOMINION ENERGY INC | COM | 25746U109 | 598 | 7,218 | SH | SOLE | 0 | 0 | 7,218 | ||
DTE ENERGY CO | COM | 233331107 | 352 | 2,711 | SH | SOLE | 0 | 0 | 2,711 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 2,448 | 178,441 | SH | SOLE | 0 | 0 | 178,441 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 179 | 13,478 | SH | SOLE | 0 | 0 | 13,478 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 2,641 | 194,882 | SH | SOLE | 0 | 0 | 194,882 | ||
EDISON INTL | COM | 281020107 | 202 | 2,682 | SH | SOLE | 0 | 0 | 2,682 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 358 | 12,726 | SH | SOLE | 0 | 0 | 12,726 | ||
EXELON CORP | COM | 30161N101 | 205 | 4,505 | SH | SOLE | 0 | 0 | 4,505 | ||
FIRSTENERGY CORP | COM | 337932107 | 299 | 6,146 | SH | SOLE | 0 | 0 | 6,146 | ||
FS KKR CAPITAL CORP | COM | 302635107 | 1,392 | 227,083 | SH | SOLE | 0 | 0 | 227,083 | ||
HOME DEPOT INC | COM | 437076102 | 1,026 | 4,700 | SH | SOLE | 0 | 0 | 4,700 | ||
INVESCO CALIF VALUE MUN INC | COM | 46132H106 | 244 | 19,047 | SH | SOLE | 0 | 0 | 19,047 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 673 | 59,285 | SH | SOLE | 0 | 0 | 59,285 | ||
ISHARES GOLD TRUST | ISHARES | 464285105 | 166 | 11,452 | SH | SOLE | 0 | 0 | 11,452 | ||
ISHARES INC | MSCI FRNTR100ETF | 464286145 | 310 | 10,209 | SH | SOLE | 0 | 0 | 10,209 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 741 | 10,664 | SH | SOLE | 0 | 0 | 10,664 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 2,157 | 48,082 | SH | SOLE | 0 | 0 | 48,082 | ||
ISHARES TR | RUS 1000 ETF | 464287622 | 10,335 | 57,926 | SH | SOLE | 0 | 0 | 57,926 | ||
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 1,702 | 9,673 | SH | SOLE | 0 | 0 | 9,673 | ||
ISHARES TR | RUS 1000 VAL ETF | 464287598 | 365 | 2,678 | SH | SOLE | 0 | 0 | 2,678 | ||
ISHARES TR | RUS 2000 GRW ETF | 464287648 | 320 | 1,494 | SH | SOLE | 0 | 0 | 1,494 | ||
ISHARES TR | SP SMCP600VL ETF | 464287879 | 6,963 | 43,301 | SH | SOLE | 0 | 0 | 43,301 | ||
ISHARES TR | U.S. BAS MTL ETF | 464287838 | 546 | 5,579 | SH | SOLE | 0 | 0 | 5,579 | ||
ISHARES TR | U.S. ENERGY ETF | 464287796 | 1,900 | 59,157 | SH | SOLE | 0 | 0 | 59,157 | ||
ISHARES TR | U.S. FINLS ETF | 464287788 | 3,261 | 23,667 | SH | SOLE | 0 | 0 | 23,667 | ||
ISHARES TR | U.S. REAL ES ETF | 464287739 | 1,733 | 18,614 | SH | SOLE | 0 | 0 | 18,614 | ||
ISHARES TR | U.S. TECH ETF | 464287721 | 1,574 | 6,766 | SH | SOLE | 0 | 0 | 6,766 | ||
ISHARES TR | US HLTHCARE ETF | 464287762 | 3,544 | 16,429 | SH | SOLE | 0 | 0 | 16,429 | ||
JOHNSON & JOHNSON | COM | 478160104 | 905 | 6,204 | SH | SOLE | 0 | 0 | 6,204 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 243 | 1,740 | SH | SOLE | 0 | 0 | 1,740 | ||
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 1,634 | 194,099 | SH | SOLE | 0 | 0 | 194,099 | ||
MFS GOVT MKTS INCOME TR | SH BEN INT | 552939100 | 74 | 16,141 | SH | SOLE | 0 | 0 | 16,141 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 1,454 | 382,653 | SH | SOLE | 0 | 0 | 382,653 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 1,043 | 170,415 | SH | SOLE | 0 | 0 | 170,415 | ||
MICROSOFT CORP | COM | 594918104 | 1,552 | 9,840 | SH | SOLE | 0 | 0 | 9,840 | ||
NEXTERA ENERGY INC | COM | 65339F101 | 1,403 | 5,792 | SH | SOLE | 0 | 0 | 5,792 | ||
NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 | 203 | 13,627 | SH | SOLE | 0 | 0 | 13,627 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 3,139 | 306,536 | SH | SOLE | 0 | 0 | 306,536 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 2,145 | 214,709 | SH | SOLE | 0 | 0 | 214,709 | ||
PIMCO HIGH INCOME FD | COM SHS | 722014107 | 463 | 61,699 | SH | SOLE | 0 | 0 | 61,699 | ||
PIONEER FLOATING RATE TR | COM | 72369J102 | 2,809 | 256,036 | SH | SOLE | 0 | 0 | 256,036 | ||
PORTLAND GEN ELEC CO | COM NEW | 736508847 | 740 | 13,267 | SH | SOLE | 0 | 0 | 13,267 | ||
PPL CORP | COM | 69351T106 | 215 | 5,984 | SH | SOLE | 0 | 0 | 5,984 | ||
PUTNAM MASTER INTER INCOME T | SH BEN INT | 746909100 | 302 | 63,682 | SH | SOLE | 0 | 0 | 63,682 | ||
PUTNAM PREMIER INCOME TR | SH BEN INT | 746853100 | 338 | 62,278 | SH | SOLE | 0 | 0 | 62,278 | ||
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 3,419 | 54,287 | SH | SOLE | 0 | 0 | 54,287 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 12,590 | 194,826 | SH | SOLE | 0 | 0 | 194,826 | ||
STELLUS CAP INVT CORP | COM | 858568108 | 383 | 26,911 | SH | SOLE | 0 | 0 | 26,911 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 123 | 20,017 | SH | SOLE | 0 | 0 | 20,017 | ||
TPG SPECIALTY LENDING INC | COM | 87265K102 | 652 | 30,361 | SH | SOLE | 0 | 0 | 30,361 | ||
VANECK VECTORS ETF TRUST | AGRIBUSINESS ETF | 92189F700 | 1,310 | 19,055 | SH | SOLE | 0 | 0 | 19,055 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 2,292 | 457,441 | SH | SOLE | 0 | 0 | 457,441 | ||
WHITEHORSE FIN INC | COM | 96524V106 | 444 | 32,385 | SH | SOLE | 0 | 0 | 32,385 |