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Bay Harbor Wealth Management

Filed: 24 Nov 21, 8:29am

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

OMB APPROVAL
OMB Number:3235-0006
Expires:Oct 31, 2018
Estimated average burden
hours per response:23.8

COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
3M CO COMCommon Stock88579Y101210SH OTR40010
ABBOTT LABS COMCommon Stock00282410071600SH OTR200600
ABBVIE INC COMCommon Stock00287Y10993860SH OTR2, 400860
ACCENTURE PLC IRELAND SHS CLASS ACommon StockG1151C10139SH OTR2009
ADOBE SYSTEMS INCORPORATED COMCommon Stock00724F10185147SH OTR200147
ALEXANDRIA REAL ESTATE EQ INC COMReal Estate Investment Trust01527110915SH OTR2005
ALPHABET INC CAP STK CL ACommon Stock02079K30515859SH OTR20059
AMAZON COM INC COMCommon Stock02313510610231SH OTR20031
AMERICAN ELEC PWR CO INC COMCommon Stock025537101342SH OTR40042
AMERICAN EXPRESS CO COMCommon Stock02581610977461SH OTR200461
AMERICAN TOWER CORP NEW COMReal Estate Investment Trust03027X10041153SH OTR200153
AMGEN INC COMCommon Stock03116210028SH OTR4008
APPLE INC COMCommon Stock0378331001511,070SH OTR2001,070
ARK INNOVATION ETFExchange Traded Fund00214Q104105947SH SOLE000947
AT&T INC COMCommon Stock00206R102286SH OTR40086
AVANTOR INC COMCommon Stock05352A100942,293SH OTR2002,293
AVERY DENNISON CORP COMCommon Stock05361110963302SH OTR200302
BANK NEW YORK MELLON CORP COMCommon Stock064058100841,613SH OTR2001,613
BCE INC COM NEWCommon Stock05534B760598SH OTR40098
BEST BUY INC COMCommon Stock08651610161571SH OTR200571
BK OF AMERICA CORP COMCommon Stock060505104892,090SH OTR2002,090
BLACKROCK SHORT MATURITY BOND ETFExchange Traded Fund46431W5079173SH SOLE000173
BRITISH AMERN TOB PLC SPONSORED ADRAmerican Depository Receipt1104481075136SH OTR400136
CADENCE DESIGN SYSTEM INC COMCommon Stock12738710884553SH OTR200553
CANADIAN IMP BK COMM COMCommon Stock136069101544SH OTR40044
CDW CORP COMCommon Stock12514G10893513SH OTR200513
CHEVRON CORP NEW COMCommon Stock166764100658SH OTR40058
CIGNA CORP NEW COMCommon Stock1255231001573SH OTR40073
CISCO SYS INC COMCommon Stock17275R102125SH OTR40025
COCA COLA CO COMCommon Stock191216100238SH OTR40038
COGNIZANT TECHNOLOGY SOLUTIONS CL ACommon Stock192446102871,177SH OTR2001,177
COMCAST CORP NEW CL ACommon Stock20030N101961,709SH OTR2001,709
COMMUNICATION SERVICES SELECT SECTOR SPDRA FUNDExchange Traded Fund81369Y8521301,628SH OTR3001,628
CONOCOPHILLIPS COMCommon Stock20825C10429427SH OTR200427
CONSUMER STAPLES SELECT SECTOR SPDR FUNDExchange Traded Fund81369Y308691,007SH OTR3001,007
CROWN CASTLE INTL CORP NEW COMReal Estate Investment Trust22822V101315SH OTR40015
CVS HEALTH CORP COMCommon Stock126650100921,085SH OTR2001,085
D R HORTON INC COMCommon Stock23331A10981961SH OTR200961
DARLING INGREDIENTS INC COMCommon Stock237266101221SH OTR20021
DECKERS OUTDOOR CORP COMCommon Stock24353710778216SH OTR200216
DEERE & CO COMCommon Stock24419910575223SH OTR200223
DIGITAL RLTY TR INC COMReal Estate Investment Trust253868103110SH OTR40010
DISCOVER FINL SVCS COMCommon Stock25470910878631SH OTR200631
DISNEY WALT CO COMCommon Stock25468710672428SH OTR200428
DOMINION ENERGY INC COMCommon Stock25746U109346SH OTR40046
DOVER CORP COMCommon Stock26000310884538SH OTR200538
DUKE ENERGY CORP NEW COM NEWCommon Stock26441C204442SH OTR40042
ENBRIDGE INC COMCommon Stock29250N1055121SH OTR400121
ENCOMPASS HEALTH CORP COMCommon Stock29261A100227SH OTR20027
ENERGY SELECT SECTOR SPDR FUNDExchange Traded Fund81369Y50610191SH OTR300191
ENVISTA HOLDINGS CORPORATION COMCommon Stock29415F104253SH OTR20053
EVERSOURCE ENERGY COMCommon Stock30040W10848590SH OTR200590
EXXON MOBIL CORP COMCommon Stock30231G102698SH OTR40098
FACEBOOK INC CL ACommon Stock30303M10282242SH OTR200242
FIDELITY NATL INFORMATION SVCS COMCommon Stock31620M10615127SH OTR200127
FINANCIAL SELECT SECTOR SPDR FUNDExchange Traded Fund81369Y605139SH OTR30039
FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETFExchange Traded Fund33739Q200591,167SH OTR1001,167
FIRST TRUST SENIOR LOAN FUNDExchange Traded Fund33738D309601,248SH OTR1001,248
FORTUNE BRANDS HOME & SEC INC COMCommon Stock34964C10671792SH OTR200792
GAMING & LEISURE PPTYS INC COMReal Estate Investment Trust36467J10831662SH OTR200662
GENERAL MLS INC COMCommon Stock370334104468SH OTR2, 40068
GENERAL MTRS CO COMCommon Stock37045V100711,355SH OTR2001,355
GILEAD SCIENCES INC COMCommon Stock375558103575SH OTR40075
GRAINGER W W INC COMCommon Stock38480210424SH OTR2004
HANNON ARMSTRONG SUST INFR CAP COMReal Estate Investment Trust41068X100242SH OTR20042
HOME DEPOT INC COMCommon Stock43707610274225SH OTR200225
HORIZON THERAPEUTICS PUB L SHSCommon StockG4618810198899SH OTR200899
HUNTINGTON BANCSHARES INC COMCommon Stock4461501044230SH OTR400230
INDUSTRIAL SELECT SECTOR SPDR FUNDExchange Traded Fund81369Y704880SH SOLE00080
INTERNATIONAL BUSINESS MACHS COMCommon Stock459200101213SH OTR40013
INTERPUBLIC GROUP COS INC COMCommon Stock460690100902,457SH OTR2002,457
INVESCO OPTIMUM YIELD DIVERSIFIED COMMODITY STRATEGY NOA K-1A ETFExchange Traded Fund46090F100783,684SH OTR1, 3003,684
INVESCO S&P 500 EQUAL WEIGHT ETFExchange Traded Fund46137V357148988SH OTR100988
INVESCO S&P 500 EQUAL WEIGHT TECHNOLOGY ETFExchange Traded Fund46137V282239830SH OTR100830
IQVIA HLDGS INC COMCommon Stock46266C10516SH OTR2006
ISHARES 10-20 YEAR TREASURY BOND ETFExchange Traded Fund4642886532391,625SH SOLE0001,625
ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETFExchange Traded Fund4642886463,76368,867SH SOLE00068,867
ISHARES 20 YEAR TREASURY BOND ETFExchange Traded Fund4642874322881,995SH SOLE0001,995
ISHARES COMMODITIES SELECT STRATEGY ETFExchange Traded Fund46431W8532,52070,325SH SOLE00070,325
ISHARES CONSERVATIVE ALLOCATION FUNDExchange Traded Fund4642898833719,403SH SOLE0009,403
ISHARES CORE HIGH DIVIDEND ETFExchange Traded Fund46429B66359622SH OTR100622
ISHARES CORE MSCI EAFE ETFExchange Traded Fund46432F842771,039SH OTR1001,039
ISHARES CORE MSCI EMERGING MARKETS ETFExchange Traded Fund46434G10316260SH SOLE000260
ISHARES CORE S&P 500 ETFExchange Traded Fund46428720012,46828,940SH SOLE00028,940
ISHARES CORE TOTAL USD BOND MARKET ETFExchange Traded Fund46434V6139,961187,087SH SOLE000187,087
ISHARES ESG AWARE MSCI USA ETFExchange Traded Fund46435G42513,856140,731SH SOLE000140,731
ISHARES EVOLVED U.S. TECHNOLOGY ETFExchange Traded Fund46431W6483255,833SH SOLE0005,833
ISHARES FALLEN ANGELS USD BOND ETFExchange Traded Fund46435G4742,65188,052SH SOLE00088,052
ISHARES GLOBAL FINANCIALS ETFExchange Traded Fund4642873332,50931,980SH SOLE00031,980
ISHARES GLOBAL TECH ETFExchange Traded Fund4642872912,91351,407SH SOLE00051,407
ISHARES GROWTH ALLOCATION FUNDExchange Traded Fund464289867611,096SH SOLE0001,096
ISHARES IBOXX INVESTMENT GRADE CORPORATE BOND ETFExchange Traded Fund46428724250375SH SOLE000375
ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETFExchange Traded Fund4642882811561,416SH SOLE0001,416
ISHARES MBS ETFExchange Traded Fund4642885881,82816,901SH SOLE00016,901
ISHARES MODERATE ALLOCATION FUNDExchange Traded Fund4642898753868,621SH SOLE0008,621
ISHARES MSCI EAFE GROWTH ETFExchange Traded Fund4642888856,32559,406SH SOLE00059,406
ISHARES MSCI EAFE VALUE ETFExchange Traded Fund4642888776,616130,113SH SOLE000130,113
ISHARES MSCI EM ESG SELECT ETFExchange Traded Fund46434G8632,86269,058SH SOLE00069,058
ISHARES MSCI USA MIN VOL FACTOR ETFExchange Traded Fund46429B6971071,461SH OTR1001,461
ISHARES MSCI USA MOMENTUM FACTOR ETFExchange Traded Fund46432F39671407SH SOLE000407
ISHARES MSCI USA QUALITY FACTOR ETFExchange Traded Fund46432F33947356SH SOLE000356
ISHARES MSCI USA VALUE FACTOR ETFExchange Traded Fund46432F3883,39733,737SH SOLE00033,737
ISHARES NATIONAL MUNI BOND ETFExchange Traded Fund46428841472617SH SOLE000617
ISHARES RUSSELL 3000 ETFExchange Traded Fund464287689935SH SOLE00035
ISHARES S&P AGGRESSIVE ALLOCATION FUNDExchange Traded Fund4642898591652,370SH SOLE0002,370
ISHARES S&P SMALL-CAP FUNDExchange Traded Fund4642878043,02327,690SH SOLE00027,690
ISHARES SEMICONDUCTOR FUNDExchange Traded Fund464287523317710SH SOLE000710
ISHARES TIPS BOND ETFExchange Traded Fund4642871763,28625,737SH SOLE00025,737
ISHARES U.S. ENERGY ETFExchange Traded Fund4642877961,70860,456SH SOLE00060,456
ISHARES U.S. FINANCIAL SERVICES ETFExchange Traded Fund46428777058306SH SOLE000306
ISHARES U.S. MEDICAL DEVICES ETFExchange Traded Fund4642888101622,580SH SOLE0002,580
ISHARES U.S. TREASURY BOND ETFExchange Traded Fund46429B2677,578285,638SH SOLE000285,638
JPMORGAN CHASE & CO COMCommon Stock46625H10083510SH OTR200510
KEURIG DR PEPPER INC COMCommon Stock49271V100621,800SH OTR2001,800
KIMBERLY-CLARK CORP COMCommon Stock49436810361453SH OTR2, 400453
LAM RESEARCH CORP COMCommon Stock51280710890157SH OTR200157
MATERIALS SELECT SECTOR SPDR FUNDExchange Traded Fund81369Y10060764SH OTR300764
MCDONALDS CORP COMCommon Stock58013510116SH OTR2006
MERCK & CO INC COMCommon Stock58933Y105681SH OTR40081
METLIFE INC COMCommon Stock59156R108460SH SOLE00060
MICROCHIP TECHNOLOGY INC. COMCommon Stock59501710489579SH OTR200579
MICRON TECHNOLOGY INC COMCommon Stock595112103227SH OTR20027
MICROSOFT CORP COMCommon Stock594918104142505SH OTR200505
MONDELEZ INTL INC CL ACommon Stock609207105651,103SH OTR2001,103
MORGAN STANLEY COM NEWCommon Stock617446448991,015SH OTR2001,015
NATIONAL GRID PLC SPONSORED ADR NEAmerican Depository Receipt636274409357SH OTR40057
NEXTERA ENERGY INC COMCommon Stock65339F10160770SH OTR200770
NORFOLK SOUTHN CORP COMCommon Stock65584410857239SH OTR200239
NUCOR CORP COMCommon Stock67034610556570SH OTR200570
PARKER-HANNIFIN CORP COMCommon Stock70109410467239SH OTR200239
PEPSICO INC COMCommon Stock713448108323SH OTR40023
PFIZER INC COMCommon Stock717081103376SH OTR40076
PHILIP MORRIS INTL INC COMCommon Stock718172109663SH OTR40063
PIMCO ACTIVE BOND EXCHANGE-TRADED FUNDExchange Traded Fund72201R775331SH SOLE00031
PIONEER NAT RES CO COMCommon Stock72378710766395SH OTR200395
PPL CORP COMCommon Stock69351T106278SH OTR40078
PROCTER AND GAMBLE CO COMCommon Stock742718109318SH SOLE00018
PROLOGIS INC. COMReal Estate Investment Trust74340W10345360SH OTR200360
PROSHARES ULTRA BLOOMBERG CRUDE OILExchange Traded Fund74347Y888339SH SOLE00039
PUBLIC SVC ENTERPRISE GRP INC COMCommon Stock744573106122SH OTR40022
QORVO INC COMCommon Stock74736K10178469SH OTR200469
QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETFExchange Traded Fund5007677361214,336SH OTR1004,336
REALTY INCOME CORP COMReal Estate Investment Trust756109104230SH OTR40030
REGAL REXNORD CORPORATION COMCommon Stock758750103319SH OTR20019
REGIONS FINANCIAL CORP NEW COMCommon Stock7591EP100295SH OTR40095
ROYCE MICRO-CAP TR INC COMClosed End Fund7809151048717SH SOLE000717
SOUTHERN CO COMCommon Stock842587107471SH OTR40071
SPDR BLOOMBERG EMERGING MARKETS LOCAL BOND ETFExchange Traded Fund78464A391451,766SH OTR3001,766
SPDR BLOOMBERG HIGH YIELD BOND ETFExchange Traded Fund78468R622870SH OTR30070
SPDR DOUBLELINE TOTAL RETURN TACTICAL ETFExchange Traded Fund78467V8484028,321SH OTR3008,321
SPDR DOW JONES INTERNATIONAL REAL ESTATE ETFExchange Traded Fund78463X863401,133SH OTR3001,133
SPDR DOW JONES REIT ETFExchange Traded Fund78464A60722209SH OTR300209
SPDR FTSE INTERNATIONAL GOVERNMENT INFLATION-PROTECTED BOND ETFExchange Traded Fund78464A490234SH OTR30034
SPDR GOLD SHARESExchange Traded Fund78463V10716SH OTR3006
SPDR PORTFOLIO AGGREGATE BOND ETFExchange Traded Fund78464A6491304,349SH OTR3004,349
SPDR PORTFOLIO DEVELOPED WORLD EX-US ETFExchange Traded Fund78463X8891454,005SH OTR3004,005
SPDR PORTFOLIO EMERGING MARKETS ETFExchange Traded Fund78463X509731,715SH OTR3001,715
SPDR PORTFOLIO EUROPE ETFExchange Traded Fund78463X10338925SH OTR300925
SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETFExchange Traded Fund78464A375137SH OTR30037
SPDR PORTFOLIO LONG TERM CORPORATE BOND ETFExchange Traded Fund78464A3671103,504SH OTR3003,504
SPDR PORTFOLIO LONG TERM TREASURY ETFExchange Traded Fund78464A664641,542SH OTR3001,542
SPDR PORTFOLIO S&P 1500 COMPOSITE STOCK MARKET ETFExchange Traded Fund78464A8051933,634SH OTR1003,634
SPDR PORTFOLIO S&P 400 MID CAP ETFExchange Traded Fund78464A84736770SH OTR300770
SPDR PORTFOLIO S&P 500 ETFExchange Traded Fund78464A85453410,574SH OTR1, 30010,574
SPDR PORTFOLIO S&P 500 GROWTH ETFExchange Traded Fund78464A4091161,813SH OTR1001,813
SPDR PORTFOLIO S&P 600 SMALL CAP ETFExchange Traded Fund78468R8531734,069SH OTR3004,069
SPDR PORTFOLIO TIPS ETFExchange Traded Fund78464A656902,908SH OTR3002,908
SPDR S&P 500 ETFExchange Traded Fund78462F103292680SH SOLE000680
SPDR S&P INTERNATIONAL SMALL CAP ETFExchange Traded Fund78463X87135915SH OTR300915
SYNEOS HEALTH INC CL ACommon Stock87166B10277879SH OTR200879
TARGET CORP COMCommon Stock87612E10678339SH OTR200339
TC ENERGY CORP COMCommon Stock87807B107251SH OTR40051
TE CONNECTIVITY LTD SHSCommon StockH8498910466481SH OTR200481
TECHNOLOGY SELECT SECTOR SPDR FUNDExchange Traded Fund81369Y8031631,090SH OTR3001,090
TEXAS INSTRS INC COMCommon Stock88250810489463SH OTR200463
TRACTOR SUPPLY CO COMCommon Stock892356106210SH OTR20010
TRUIST FINL CORP COMCommon Stock89832Q109582SH OTR2, 40082
U.S. GLOBAL JETS ETFExchange Traded Fund26922A8423148SH SOLE000148
UNILEVER PLC SPON ADR NEWAmerican Depository Receipt904767704480SH OTR40080
US BANCORP DEL COM NEWCommon Stock902973304349SH OTR40049
VANGUARD CONSUMER DISCRETIONARY INDEX FUNDExchange Traded Fund92204A108303973SH SOLE000973
VANGUARD DIVIDEND APPRECIATION INDEX FUNDExchange Traded Fund9219088444202,737SH SOLE0002,737
VANGUARD FTSE DEVELOPED MARKETS ETFExchange Traded Fund92194385822,407443,792SH SOLE000443,792
VANGUARD FTSE EMERGING MARKETS ETFExchange Traded Fund9220428587,948158,928SH SOLE000158,928
VANGUARD FTSE PACIFIC ETFExchange Traded Fund922042866117SH OTR30017
VANGUARD GROWTH INDEX FUNDExchange Traded Fund92290873622,30076,852SH SOLE00076,852
VANGUARD INFORMATION TECHNOLOGY INDEX FUNDExchange Traded Fund92204A7021,0222,542SH SOLE0002,542
VANGUARD INTERMEDIATE-TERM BOND INDEX FUNDExchange Traded Fund9219378198,43694,315SH SOLE00094,315
VANGUARD LONG-TERM BOND INDEX FUNDExchange Traded Fund9219377939,33491,210SH SOLE00091,210
VANGUARD MID-CAP GROWTH INDEX FUNDExchange Traded Fund9229085382084SH SOLE00084
VANGUARD MID-CAP VALUE INDEX FUNDExchange Traded Fund92290851219138SH SOLE000138
VANGUARD MORTGAGE-BACKED SECURITIES ETFExchange Traded Fund92206C7719,037169,585SH SOLE000169,585
VANGUARD SHORT-TERM BOND INDEX FUNDExchange Traded Fund92193782715,432188,329SH SOLE000188,329
VANGUARD SMALL-CAP INDEX FUNDExchange Traded Fund9229087516,04527,645SH SOLE00027,645
VANGUARD TAX-EXEMPT BOND ETFExchange Traded Fund922907746721,312SH SOLE0001,312
VANGUARD TOTAL BOND MARKET INDEX FUNDExchange Traded Fund921937835226SH SOLE00026
VANGUARD TOTAL INTERNATIONAL BOND ETFExchange Traded Fund92203J40718,040316,705SH SOLE000316,705
VANGUARD TOTAL INTERNATIONAL STOCK ETFExchange Traded Fund921909768349SH SOLE00049
VANGUARD TOTAL STOCK MARKET INDEX FUNDExchange Traded Fund92290876965292SH SOLE000292
VANGUARD VALUE INDEX FUNDExchange Traded Fund92290874417,227127,260SH SOLE000127,260
VERIZON COMMUNICATIONS INC COMCommon Stock92343V1047122SH OTR2, 400122
VISA INC COM CL ACommon Stock92826C83984376SH OTR200376
VODAFONE GROUP PLC NEW SPONSORED ADRAmerican Depository Receipt92857W3084245SH OTR400245
WALMART INC COMCommon Stock93114210371506SH OTR200506
WILLIAMS COS INC COMCommon Stock969457100351,364SH OTR2, 4001,364
WISDOMTREE EMERGING MARKETS EX-STATE-OWNED ENTERPRISES FUNDExchange Traded Fund97717X578571,540SH OTR1001,540
ZEBRA TECHNOLOGIES CORPORATION CL ACommon Stock98920710584163SH OTR200163
ZIMMER BIOMET HOLDINGS INC COMCommon Stock98956P10270476SH OTR200476
ZOETIS INC CL ACommon Stock98978V103314SH OTR20014