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 |
ALPS ETF TR | MED BREAKTHGH | 00162Q593 | 6,000 | 142,044 | SH | SOLE | 142,044 | 0 | 0 | ||
NEUBERGER BRMAN CLIFRN MUNI | COM | 64123C101 | 1,191 | 85,100 | SH | SOLE | 85,100 | 0 | 0 | ||
SEVEN HILLS REALTY TRUST | COM | 81784E101 | 2,121 | 204,382 | SH | SOLE | 204,382 | 0 | 0 | ||
NEUBERGER BERMAN N Y MUN FD | COM | 64124K102 | 861 | 66,222 | SH | SOLE | 66,222 | 0 | 0 | ||
ANGEL OAK DYNAMIC FINL STRAT | COM BEN INT | 03462A102 | 968 | 47,000 | SH | SOLE | 47,000 | 0 | 0 | ||
HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 384 | 69,449 | SH | SOLE | 69,449 | 0 | 0 | ||
FIDUCIARY CLAYMORE ENGRY INF | COM | 31647Q205 | 806 | 77,845 | SH | SOLE | 77,845 | 0 | 0 | ||
GOLDMAN SACHS MLP ENERGY REN | COM | 38148G206 | 1,920 | 186,400 | SH | SOLE | 186,400 | 0 | 0 | ||
ISHARES TR | IBONDS 22 TRM TS | 46436E809 | 445 | 17,500 | SH | SOLE | 17,500 | 0 | 0 | ||
ISHARES TR | IBONDS 23 TRM TS | 46436E882 | 444 | 17,400 | SH | SOLE | 17,400 | 0 | 0 | ||
VERTICAL CAP INCOME FD | SHS BEN INT | 92535C104 | 1,010 | 99,000 | SH | SOLE | 99,000 | 0 | 0 | ||
CENTRAL & EASTERN EUROPE FD | COM | 153436100 | 1,558 | 59,050 | SH | SOLE | 59,050 | 0 | 0 | ||
EATON VANCE CALIF MUN INCOM | SH BEN INT | 27826F101 | 783 | 57,800 | SH | SOLE | 57,800 | 0 | 0 | ||
EUROPEAN EQUITY FD INC | COM | 298768102 | 565 | 54,493 | SH | SOLE | 54,493 | 0 | 0 | ||
INVESCO EXCH TRADED FD TR II | PURBTA 0 5 YR | 46138E495 | 439 | 16,600 | SH | SOLE | 16,600 | 0 | 0 | ||
DTF TAX-FREE INCOME INC | COM | 23334J107 | 686 | 48,000 | SH | SOLE | 48,000 | 0 | 0 | ||
ISHARES TR | IBONDS 24 TRM TS | 46436E874 | 440 | 17,300 | SH | SOLE | 17,300 | 0 | 0 | ||
DELAWARE INVTS MINN MUN INCO | COM | 24610V103 | 988 | 70,000 | SH | SOLE | 70,000 | 0 | 0 | ||
ISHARES TR | IBONDS 25 TRM TS | 46436E866 | 438 | 17,300 | SH | SOLE | 17,300 | 0 | 0 | ||
NUVEEN SHORT DURATION CR OPP | COM | 67074X107 | 859 | 58,000 | SH | SOLE | 58,000 | 0 | 0 | ||
MEXICO EQUITY & INCOME FD | COM | 592834105 | 212 | 23,772 | SH | SOLE | 23,772 | 0 | 0 | ||
TORTOISE ENERGY INFRA CORP | COM | 89147L886 | 1,696 | 60,742 | SH | SOLE | 60,742 | 0 | 0 | ||
RIVERNORTH SPECIALTY FIN COR | COM | 76882B108 | 348 | 18,099 | SH | SOLE | 18,099 | 0 | 0 | ||
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 2,015 | 98,749 | SH | SOLE | 98,749 | 0 | 0 | ||
CLEARBRIDGE MLP AND MIDSTRM | COM | 18469Q207 | 752 | 31,750 | SH | SOLE | 31,750 | 0 | 0 | ||
MEXICO FD INC | COM | 592835102 | 1,044 | 66,335 | SH | SOLE | 66,335 | 0 | 0 | ||
MORGAN STANLEY EMKT DBT FD I | COM | 61744H105 | 789 | 87,582 | SH | SOLE | 87,582 | 0 | 0 | ||
CLEARBRIDGE MLP AND MIDSTRM | COM | 184692200 | 1,521 | 56,526 | SH | SOLE | 56,526 | 0 | 0 | ||
BRANDYWINEGBL GBL INCM OPP F | COM | 10537L104 | 796 | 68,000 | SH | SOLE | 68,000 | 0 | 0 | ||
PIMCO ENERGY & TACTICAL CR O | COM SHS BEN INT | 69346N107 | 2,103 | 163,300 | SH | SOLE | 163,300 | 0 | 0 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 779 | 50,826 | SH | SOLE | 50,826 | 0 | 0 | ||
NEXPOINT DIVERSIFIED REL ET | COM NEW | 65340G205 | 1,759 | 129,500 | SH | SOLE | 129,500 | 0 | 0 | ||
ECOFIN SUSTAINABLE AND SOCIA | COM SH BEN INT | 27901F109 | 641 | 43,814 | SH | SOLE | 43,814 | 0 | 0 | ||
MORGAN STANLEY EMERGING MKTS | COM | 617477104 | 1,151 | 210,100 | SH | SOLE | 210,100 | 0 | 0 | ||
ANGEL OAK FINL STRATEGIES IN | COM BEN INT | 03464A100 | 928 | 54,425 | SH | SOLE | 54,425 | 0 | 0 | ||
BLACKSTONE LONG SHORT CR INC | COM SHS BN INT | 09257D102 | 488 | 33,200 | SH | SOLE | 33,200 | 0 | 0 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q452 | 13,096 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
DELAWARE IVY HIGH INCOME OPP | COM | 246107106 | 574 | 41,193 | SH | SOLE | 41,193 | 0 | 0 | ||
INVESCO PA VALUE MUN INC TR | COM | 46132K109 | 780 | 55,837 | SH | SOLE | 55,837 | 0 | 0 | ||
CLEARBRIDGE ENERGY MIDSTRM O | COM | 18469P209 | 603 | 27,588 | SH | SOLE | 27,588 | 0 | 0 | ||
KOREA FD INC | COM NEW | 500634209 | 334 | 9,718 | SH | SOLE | 9,718 | 0 | 0 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 605 | 38,103 | SH | SOLE | 38,103 | 0 | 0 | ||
NEUBERGER BERMAN NEXT GENERA | COMMON STOCK | 64133Q108 | 2,076 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 | 725 | 49,815 | SH | SOLE | 49,815 | 0 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 387 | 23,995 | SH | SOLE | 23,995 | 0 | 0 | ||
NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 | 864 | 56,146 | SH | SOLE | 56,146 | 0 | 0 | ||
ASA GOLD AND PRECIOUS MTLS L | SHS | G3156P103 | 539 | 25,549 | SH | SOLE | 25,549 | 0 | 0 | ||
PGIM GLOBAL HIGH YIELD FD FO | COM | 69346J106 | 785 | 52,000 | SH | SOLE | 52,000 | 0 | 0 | ||
ABERDEEN ASIA-PACIFIC INCOME | COM | 003009107 | 1,202 | 314,700 | SH | SOLE | 314,700 | 0 | 0 | ||
ISHARES TR | TRS FLT RT BD | 46434V860 | 442 | 8,800 | SH | SOLE | 8,800 | 0 | 0 | ||
FRANKLIN ETF TR | LIBERTY SHRT ETF | 353506108 | 442 | 4,700 | SH | SOLE | 4,700 | 0 | 0 | ||
NUVEEN OHIO QLTY MUN INCOME | COM | 670980101 | 329 | 20,608 | SH | SOLE | 20,608 | 0 | 0 | ||
KAYNE ANDERSON NEXTGEN ENRGY | COM | 48661E108 | 360 | 50,019 | SH | SOLE | 50,019 | 0 | 0 | ||
BARINGS GLOBAL SHORT DURATIO | COM | 06760L100 | 328 | 18,888 | SH | SOLE | 18,888 | 0 | 0 | ||
MORGAN STANLEY INDIA INVT FD | COM | 61745C105 | 282 | 10,560 | SH | SOLE | 10,560 | 0 | 0 | ||
BLACKSTONE STRATEGIC CREDIT | COM SHS BEN IN | 09257R101 | 526 | 39,000 | SH | SOLE | 39,000 | 0 | 0 | ||
MACQUARIE GLOBAL INFRASTRUCT | COM | 55608D101 | 255 | 10,575 | SH | SOLE | 10,575 | 0 | 0 | ||
INVESCO TR INVT GRADE NEW YO | COM | 46131T101 | 192 | 14,300 | SH | SOLE | 14,300 | 0 | 0 | ||
INVESCO EXCH TRADED FD TR II | TREAS COLATERL | 46138G888 | 444 | 4,200 | SH | SOLE | 4,200 | 0 | 0 | ||
WESTERN AST INFL LKD OPP & I | COM | 95766R104 | 527 | 38,800 | SH | SOLE | 38,800 | 0 | 0 | ||
KALA PHARMACEUTICALS INC | COM | 483119103 | 50 | 41,400 | SH | SOLE | 41,400 | 0 | 0 | ||
BLACKROCK INNOVATION AND GRW | SHS BEN INT | 09260Q108 | 2,181 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
ISHARES TR | AGENCY BOND ETF | 464288166 | 434 | 3,700 | SH | SOLE | 3,700 | 0 | 0 | ||
A-MARK PRECIOUS METALS INC | COM | 00181T107 | 397 | 6,500 | SH | SOLE | 6,500 | 0 | 0 | ||
KAYNE ANDERSON ENERGY INFRST | COM | 486606106 | 468 | 60,126 | SH | SOLE | 60,126 | 0 | 0 | ||
ISHARES TR | 0-3 MNTH TREASRY | 46436E718 | 440 | 4,400 | SH | SOLE | 4,400 | 0 | 0 | ||
ASCENDIS PHARMA A/S | SPONSORED ADR | 04351P101 | 3,207 | 23,840 | SH | SOLE | 23,840 | 0 | 0 | ||
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 581 | 40,863 | SH | SOLE | 40,863 | 0 | 0 | ||
CREDIT SUISSE HIGH YIELD BD | SH BEN INT | 22544F103 | 105 | 42,500 | SH | SOLE | 42,500 | 0 | 0 | ||
NEUBERGER BERMAN MLP & ENERG | COM | 64129H104 | 112 | 21,400 | SH | SOLE | 21,400 | 0 | 0 | ||
PERSHING SQUARE TONTINE HLDG | COM CL A | 71531R109 | 1,409 | 71,462 | SH | SOLE | 71,462 | 0 | 0 | ||
ISHARES TR | CORE DIV GRWTH | 46434V621 | 8,388 | 150,915 | SH | SOLE | 150,915 | 0 | 0 | ||
SIENTRA INC | COM | 82621J105 | 58 | 15,818 | SH | SOLE | 15,818 | 0 | 0 | ||
SHOCKWAVE MED INC | COM | 82489T104 | 1,539 | 8,631 | SH | SOLE | 8,631 | 0 | 0 | ||
MEDIFAST INC | COM | 58470H101 | 586 | 2,800 | SH | SOLE | 2,800 | 0 | 0 | ||
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 42 | 13,223 | SH | SOLE | 13,223 | 0 | 0 | ||
GOLDMAN SACHS ETF TR | ACCES TREASURY | 381430529 | 440 | 4,400 | SH | SOLE | 4,400 | 0 | 0 | ||
DUTCH BROS INC | CL A | 26701L100 | 374 | 7,339 | SH | SOLE | 7,339 | 0 | 0 | ||
VERASTEM INC | COM | 92337C104 | 72 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
ENERGY FUELS INC | COM NEW | 292671708 | 124 | 16,248 | SH | SOLE | 16,248 | 0 | 0 | ||
VANGUARD WORLD FDS | UTILITIES ETF | 92204A876 | 688 | 4,400 | SH | SOLE | 4,400 | 0 | 0 | ||
SPDR SER TR | PORTFOLIO SH TSR | 78468R101 | 441 | 14,500 | SH | SOLE | 14,500 | 0 | 0 | ||
SOFI TECHNOLOGIES INC | COM | 83406F102 | 1,256 | 79,443 | SH | SOLE | 79,443 | 0 | 0 | ||
SPDR SER TR | PORTFLI MORTGAGE | 78464A383 | 442 | 17,408 | SH | SOLE | 17,408 | 0 | 0 | ||
ORCHARD THERAPEUTICS PLC | ADS | 68570P101 | 13 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
ISHARES TR | 0-5 YR TIPS ETF | 46429B747 | 445 | 4,200 | SH | SOLE | 4,200 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 479 | 6,689 | SH | SOLE | 6,689 | 0 | 0 | ||
ISHARES TR | SHORT TREAS BD | 464288679 | 442 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 92206C102 | 438 | 7,200 | SH | SOLE | 7,200 | 0 | 0 | ||
SPDR SER TR | BLOOMBERG 1-3 MO | 78468R663 | 439 | 4,800 | SH | SOLE | 4,800 | 0 | 0 | ||
NOVAGOLD RES INC | COM NEW | 66987E206 | 69 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
LAM RESEARCH CORP | COM | 512807108 | 2,874 | 3,997 | SH | SOLE | 3,997 | 0 | 0 | ||
US BANCORP DEL | COM NEW | 902973304 | 2,122 | 37,778 | SH | SOLE | 37,778 | 0 | 0 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 5,316 | 13,362 | SH | SOLE | 13,362 | 0 | 0 | ||
VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 | 437 | 8,500 | SH | SOLE | 8,500 | 0 | 0 | ||
GARTNER INC | COM | 366651107 | 562 | 1,680 | SH | SOLE | 1,680 | 0 | 0 | ||
ISHARES TR | 1 3 YR TREAS BD | 464287457 | 436 | 5,100 | SH | SOLE | 5,100 | 0 | 0 | ||
SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 210 | 2,868 | SH | SOLE | 2,868 | 0 | 0 | ||
HUBSPOT INC | COM | 443573100 | 593 | 900 | SH | SOLE | 900 | 0 | 0 | ||
ARK ETF TR | INNOVATION ETF | 00214Q104 | 250 | 2,642 | SH | SOLE | 2,642 | 0 | 0 | ||
ANTHEM INC | COM | 036752103 | 1,517 | 3,272 | SH | SOLE | 3,272 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 5,434 | 11,442 | SH | SOLE | 11,442 | 0 | 0 | ||
VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 922042742 | 215 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
INTUITIVE SURGICAL INC | COM NEW | 46120E602 | 942 | 2,623 | SH | SOLE | 2,623 | 0 | 0 | ||
ISHARES TR | RUS 1000 VAL ETF | 464287598 | 420 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
ANALOG DEVICES INC | COM | 032654105 | 600 | 3,416 | SH | SOLE | 3,416 | 0 | 0 | ||
GENERAL DYNAMICS CORP | COM | 369550108 | 369 | 1,770 | SH | SOLE | 1,770 | 0 | 0 | ||
NIKE INC | CL B | 654106103 | 1,203 | 7,218 | SH | SOLE | 7,218 | 0 | 0 | ||
SHOPIFY INC | CL A | 82509L107 | 882 | 640 | SH | SOLE | 640 | 0 | 0 | ||
ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 | 1,362 | 3,286 | SH | SOLE | 3,286 | 0 | 0 | ||
LOCKHEED MARTIN CORP | COM | 539830109 | 403 | 1,133 | SH | SOLE | 1,133 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 698 | 2,700 | SH | SOLE | 2,700 | 0 | 0 | ||
STARBUCKS CORP | COM | 855244109 | 438 | 3,745 | SH | SOLE | 3,745 | 0 | 0 | ||
ILLINOIS TOOL WKS INC | COM | 452308109 | 247 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 623 | 12,100 | SH | SOLE | 12,100 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 201 | 904 | SH | SOLE | 904 | 0 | 0 | ||
3M CO | COM | 88579Y101 | 279 | 1,570 | SH | SOLE | 1,570 | 0 | 0 | ||
TARGET CORP | COM | 87612E106 | 301 | 1,300 | SH | SOLE | 1,300 | 0 | 0 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 680 | 1,198 | SH | SOLE | 1,198 | 0 | 0 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 203 | 4,100 | SH | SOLE | 4,100 | 0 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 1,064 | 2,564 | SH | SOLE | 2,564 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 6,044 | 17,971 | SH | SOLE | 17,971 | 0 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 1,906 | 658 | SH | SOLE | 658 | 0 | 0 | ||
APPLE INC | COM | 037833100 | 5,939 | 33,446 | SH | SOLE | 33,446 | 0 | 0 | ||
AMAZON COM INC | COM | 023135106 | 3,068 | 920 | SH | SOLE | 920 | 0 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 659 | 2,205 | SH | SOLE | 2,205 | 0 | 0 | ||
MASTERCARD INCORPORATED | CL A | 57636Q104 | 476 | 1,325 | SH | SOLE | 1,325 | 0 | 0 | ||
TOYOTA MOTOR CORP | ADS | 892331307 | 389 | 2,100 | SH | SOLE | 2,100 | 0 | 0 | ||
WALMART INC | COM | 931142103 | 490 | 3,389 | SH | SOLE | 3,389 | 0 | 0 | ||
CHEVRON CORP NEW | COM | 166764100 | 276 | 2,350 | SH | SOLE | 2,350 | 0 | 0 | ||
CISCO SYS INC | COM | 17275R102 | 222 | 3,511 | SH | SOLE | 3,511 | 0 | 0 | ||
UNITEDHEALTH GROUP INC | COM | 91324P102 | 377 | 750 | SH | SOLE | 750 | 0 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 267 | 1,633 | SH | SOLE | 1,633 | 0 | 0 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 202 | 835 | SH | SOLE | 835 | 0 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 286 | 1,670 | SH | SOLE | 1,670 | 0 | 0 | ||
VISA INC | COM CL A | 92826C839 | 220 | 1,015 | SH | SOLE | 1,015 | 0 | 0 | ||
META PLATFORMS INC | CL A | 30303M102 | 217 | 646 | SH | SOLE | 646 | 0 | 0 |