Location: Tarrytown, NY
CIK: 0001819476 · Show all filings
Period: Q1 2022 (← Previous) (Next →)
Filing Date: May 9, 2022
Total Value: $264M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| VUG | VANGUARD INDEX FDS | 136,397 | $34.53M | 13.1% | $253.14 * | $49.08 | -2.3% | GROWTH ETF | 922908736 |
| IVV | ISHARES TR | 62,016 | $25.99M | 9.9% | $419.15 * | $394.51 | +15.0% | CORE S&P500 ETF | 464287200 |
| SPTI | SPDR SER TR | 725,375 | $21.56M | 8.2% | $29.72 | $31.79 | -4.7% | PORTFLI INTRMDIT | 78464A672 |
| ISTB | ISHARES TR | 432,168 | $20.72M | 7.9% | $47.95 | $50.64 | -4.3% | CORE 1 5 YR USD | 46432F859 |
| AGG | ISHARES TR | 177,759 | $18.4M | 7.0% | $103.53 * | $115.32 | -7.1% | CORE US AGGBD ET | 464287226 |
| JHMM | JOHN HANCOCK EXCHANGE TRADED | 212,730 | $10.51M | 4.0% | $49.39 * | $43.62 | +20.5% | MULTIFACTOR MI | 47804J206 |
| AAPL | APPLE INC | 56,226 | $8.803M | 3.3% | $156.56 * | $120.46 | +42.2% | COM | 037833100 |
| VB | VANGUARD INDEX FDS | 42,330 | $8.342M | 3.2% | $197.07 * | $201.77 | +5.3% | SMALL CP ETF | 922908751 |
| SPEM | SPDR INDEX SHS FDS | 225,245 | $8.066M | 3.1% | $35.81 * | $42.12 | -8.3% | PORTFOLIO EMG MK | 78463X509 |
| EWQ | ISHARES INC | 202,302 | $6.674M | 2.5% | $32.99 * | $36.77 | -3.9% | MSCI FRANCE ETF | 464286707 |
| XLY | SELECT SECTOR SPDR TR | 39,600 | $6.659M | 2.5% | $168.16 * | $91.99 | +0.6% | SBI CONS DISCR | 81369Y407 |
| VTV | VANGUARD INDEX FDS | 45,105 | $6.449M | 2.4% | $142.98 * | $139.37 | +6.0% | VALUE ETF | 922908744 |
| IXUS | ISHARES TR | 101,104 | $6.255M | 2.4% | $61.87 * | $72.80 | -8.5% | CORE MSCI TOTAL | 46432F834 |
| XLK | SELECT SECTOR SPDR TR | 43,856 | $6.223M | 2.4% | $141.90 * | $78.52 | +1.2% | TECHNOLOGY | 81369Y803 |
| AON | AON PLC | 13,371 | $4.161M | 1.6% | $311.20 | $236.31 | +34.1% | SHS CL A | G0403H108 |
| AMZN | AMAZON COM INC | 831 | $2.296M | 0.9% | $2762.94 * | $160.98 | +1.3% | COM | 023135106 |
| MSFT | MICROSOFT CORP | 6,782 | $1.921M | 0.7% | $283.25 * | $245.55 | +21.7% | COM | 594918104 |
| CVX | CHEVRON CORP NEW | 11,273 | $1.761M | 0.7% | $156.21 * | $69.60 | +101.2% | COM | 166764100 |
| MRK | MERCK & CO INC | 18,613 | $1.571M | 0.6% | $84.40 * | $68.71 | +6.5% | COM | 58933Y105 |
| JPM | JPMORGAN CHASE & CO | 12,693 | $1.541M | 0.6% | $121.41 | $122.70 | +0.6% | COM | 46625H100 |
| FOCT | FIRST TR EXCHNG TRADED FD VI | 44,703 | $1.487M | 0.6% | $33.26 * | $34.53 | +1.3% | VEST US EQTY BUF | 33740F664 |
| HYLB | DBX ETF TR | 36,355 | $1.317M | 0.5% | $36.23 * | $39.58 | -4.7% | XTRACK USD HIGH | 233051432 |
| FDN | FIRST TR EXCHANGE-TRADED FD | 8,410 | $1.309M | 0.5% | $155.65 * | $225.80 | -16.8% | DJ INTERNT IDX | 33733E302 |
| SCHP | SCHWAB STRATEGIC TR | 20,122 | $1.194M | 0.5% | $59.34 * | $31.10 | -2.4% | US TIPS ETF | 808524870 |
| SPY | SPDR S&P 500 ETF TR | 2,834 | $1.182M | 0.4% | $417.08 * | $391.06 | +15.5% | TR UNIT | 78462F103 |
| VOO | VANGUARD INDEX FDS | 3,036 | $1.164M | 0.4% | $383.40 * | $365.60 | +13.6% | S&P 500 ETF SHS | 922908363 |
| QQQ | INVESCO QQQ TR | 3,601 | $1.141M | 0.4% | $316.86 * | $360.47 | +0.6% | UNIT SER 1 | 46090E103 |
| LQD | ISHARES TR | 9,755 | $1.107M | 0.4% | $113.48 * | $133.00 | -9.1% | IBOXX INV CP ETF | 464287242 |
| QCLN | FIRST TR EXCHANGE-TRADED FD | 20,912 | $1.096M | 0.4% | $52.41 * | $61.32 | +5.4% | NAS CLNEDG GREEN | 33733E500 |
| TSLA | TESLA INC | 1,225 | $1.08M | 0.4% | $881.63 * | $216.71 | +65.8% | COM | 88160R101 |
| GOOG | ALPHABET INC | 459 | $1.056M | 0.4% | $2300.65 * | $104.79 | +32.3% | CAP STK CL C | 02079K107 |
| VZ | VERIZON COMMUNICATIONS INC | 21,714 | $1.052M | 0.4% | $48.45 * | $43.00 | -7.1% | COM | 92343V104 |
| FSK | FS KKR CAP CORP | 46,949 | $995K | 0.4% | $21.19 * | $8.17 | +60.3% | COM | 302635206 |
| IBM | INTERNATIONAL BUSINESS MACHS | 6,934 | $936K | 0.4% | $134.99 * | $106.11 | +5.9% | COM | 459200101 |
| RDVY | FIRST TR EXCHANGE-TRADED FD | 19,030 | $875K | 0.3% | $45.98 * | $48.90 | +0.2% | RISNG DIVD ACHIV | 33738R506 |
| DIS | DISNEY WALT CO | 7,355 | $847K | 0.3% | $115.16 * | $156.15 | -14.2% | COM | 254687106 |
| XOM | EXXON MOBIL CORP | 9,922 | $840K | 0.3% | $84.66 * | $35.29 | +105.3% | COM | 30231G102 |
| GLD | SPDR GOLD TR | 4,604 | $810K | 0.3% | $175.93 * | $173.38 | +4.2% | GOLD SHS | 78463V107 |
| VGT | VANGUARD WORLD FDS | 2,143 | $789K | 0.3% | $368.18 * | $53.26 | -2.2% | INF TECH ETF | 92204A702 |
| MTB | M & T BK CORP | 4,605 | $789K | 0.3% | $171.34 * | $97.90 | +53.2% | COM | 55261F104 |
| VXUS | VANGUARD STAR FDS | 13,526 | $751K | 0.3% | $55.52 * | $60.10 | -0.6% | VG TL INTL STK F | 921909768 |
| VMBS | VANGUARD SCOTTSDALE FDS | 14,613 | $710K | 0.3% | $48.59 * | $53.40 | -6.2% | MTG-BKD SECS ETF | 92206C771 |
| RODM | LATTICE STRATEGIES TR | 25,522 | $703K | 0.3% | $27.54 * | $29.89 | -2.6% | HARTFORD MLT ETF | 518416102 |
| HD | HOME DEPOT INC | 2,323 | $700K | 0.3% | $301.33 * | $281.58 | -3.3% | COM | 437076102 |
| PFE | PFIZER INC | 13,736 | $683K | 0.3% | $49.72 * | $33.50 | +26.8% | COM | 717081103 |
| MTUM | ISHARES TR | 4,460 | $663K | 0.3% | $148.65 * | $166.53 | +1.0% | MSCI USA MMENTM | 46432F396 |
| T | AT&T INC | 33,884 | $646K | 0.2% | $19.07 * | $15.67 | -8.1% | COM | 00206R102 |
| NVDA | NVIDIA CORPORATION | 3,423 | $630K | 0.2% | $184.05 * | $21.59 | +26.1% | COM | 67066G104 |
| HDV | ISHARES TR | 5,961 | $628K | 0.2% | $105.35 * | $17.36 | +23.2% | CORE HIGH DV ETF | 46429B663 |
| BSV | VANGUARD BD INDEX FDS | 8,096 | $626K | 0.2% | $77.32 | $81.67 | -4.6% | SHORT TRM BOND | 921937827 |
| ED | CONSOLIDATED EDISON INC | 6,613 | $626K | 0.2% | $94.66 * | $64.24 | +29.5% | COM | 209115104 |
| IEMG | ISHARES INC | 12,007 | $618K | 0.2% | $51.47 * | $62.03 | -10.4% | CORE MSCI EMKT | 46434G103 |
| — | FIRST TR INTER DURATN PFD & | 30,517 | $612K | 0.2% | $20.05 | $24.06 | — | COM | 33718W103 |
| SCHM | SCHWAB STRATEGIC TR | 8,556 | $607K | 0.2% | $70.94 * | $24.07 | +5.1% | US MID-CAP ETF | 808524508 |
| PULS | PGIM ETF TR | 12,244 | $603K | 0.2% | $49.25 | $49.61 | -0.8% | ULTRA SHORT | 69344A107 |
| GOOGL | ALPHABET INC | 258 | $590K | 0.2% | $2286.82 * | $112.75 | +22.4% | CAP STK CL A | 02079K305 |
| ARCC | ARES CAPITAL CORP | 28,131 | $585K | 0.2% | $20.80 * | $10.65 | +37.4% | COM | 04010L103 |
| PEN | PENUMBRA INC | 3,325 | $571K | 0.2% | $171.73 * | $231.39 | -4.0% | COM | 70975L107 |
| FTCS | FIRST TR EXCHANGE-TRADED FD | 7,433 | $557K | 0.2% | $74.94 * | $77.93 | +0.3% | CAP STRENGTH ETF | 33733E104 |
| OBDC | OWL ROCK CAPITAL CORPORATION | 37,956 | $552K | 0.2% | $14.54 * | $7.22 | +33.8% | COM | 69121K104 |
| VHT | VANGUARD WORLD FDS | 2,267 | $550K | 0.2% | $242.61 * | $256.02 | -0.6% | HEALTH CAR ETF | 92204A504 |
| BP | BP PLC | 19,006 | $544K | 0.2% | $28.62 * | $28.22 | +4.2% | SPONSORED ADR | 055622104 |
| IXN | ISHARES TR | 10,470 | $537K | 0.2% | $51.29 * | $54.04 | +7.3% | GLOBAL TECH ETF | 464287291 |
| BCSF | BAIN CAP SPECIALTY FIN INC | 32,132 | $505K | 0.2% | $15.72 * | $6.49 | +54.4% | COM STK | 05684B107 |
| FJUN | FIRST TR EXCHNG TRADED FD VI | 14,028 | $505K | 0.2% | $36.00 * | $35.36 | +7.0% | CBOE VEST US EQT | 33740F722 |
| IEFA | ISHARES TR | 7,406 | $479K | 0.2% | $64.68 * | $75.75 | -8.2% | CORE MSCI EAFE | 46432F842 |
| IUSB | ISHARES TR | 9,918 | $475K | 0.2% | $47.89 * | $53.69 | -7.6% | CORE TOTAL USD | 46434V613 |
| XLV | SELECT SECTOR SPDR TR | 3,568 | $471K | 0.2% | $132.01 * | $132.45 | +3.4% | SBI HEALTHCARE | 81369Y209 |
| PM | PHILIP MORRIS INTL INC | 4,583 | $466K | 0.2% | $101.68 * | $61.03 | +28.9% | COM | 718172109 |
| ESGD | ISHARES TR | 6,742 | $465K | 0.2% | $68.97 * | $79.01 | -6.7% | ESG AW MSCI EAFE | 46435G516 |
| DSI | ISHARES TR | 5,835 | $464K | 0.2% | $79.52 * | $88.92 | -2.6% | MSCI KLD400 SOC | 464288570 |
| AMD | ADVANCED MICRO DEVICES INC | 5,280 | $448K | 0.2% | $84.85 * | $82.73 | +32.2% | COM | 007903107 |
| — | EATON VANCE LTD DURATION INC | 40,352 | $447K | 0.2% | $11.08 | $12.55 | — | COM | 27828H105 |
| MBB | ISHARES TR | 4,353 | $430K | 0.2% | $98.78 * | $108.35 | -6.0% | MBS ETF | 464288588 |
| VTI | VANGUARD INDEX FDS | 2,048 | $429K | 0.2% | $209.47 * | $220.97 | +3.0% | TOTAL STK MKT | 922908769 |
| QJUN | FIRST TR EXCHNG TRADED FD VI | 21,971 | $423K | 0.2% | $19.25 * | $20.17 | +3.7% | CBOE VEST NAS100 | 33740F557 |
| IJH | ISHARES TR | 1,600 | $402K | 0.2% | $251.25 * | $53.93 | -0.5% | CORE S&P MCP ETF | 464287507 |
| JNJ | JOHNSON & JOHNSON | 2,190 | $399K | 0.2% | $182.19 * | $142.55 | +11.3% | COM | 478160104 |
| BX | BLACKSTONE INC | 3,664 | $394K | 0.1% | $107.53 * | $63.24 | +77.1% | COM | 09260D107 |
| BMY | BRISTOL-MYERS SQUIBB CO | 5,118 | $388K | 0.1% | $75.81 * | $53.79 | +15.8% | COM | 110122108 |
| MO | ALTRIA GROUP INC | 6,876 | $378K | 0.1% | $54.97 * | $34.66 | +11.6% | COM | 02209S103 |
| ITA | ISHARES TR | 3,592 | $378K | 0.1% | $105.23 * | $105.66 | +4.9% | US AER DEF ETF | 464288760 |
| BA | BOEING CO | 2,320 | $358K | 0.1% | $154.31 * | $226.73 | -15.5% | COM | 097023105 |
| UNH | UNITEDHEALTH GROUP INC | 690 | $355K | 0.1% | $514.49 * | $395.82 | +20.8% | COM | 91324P102 |
| PEP | PEPSICO INC | 1,991 | $348K | 0.1% | $174.79 * | $130.28 | +14.1% | COM | 713448108 |
| — | NUVEEN CORE PLUS IMPACT FUND | 25,605 | $343K | 0.1% | $13.40 | $18.38 | — | COM BEN INT | 67080D103 |
| MCD | MCDONALDS CORP | 1,384 | $342K | 0.1% | $247.11 * | $212.04 | +7.0% | COM | 580135101 |
| VFH | VANGUARD WORLD FDS | 3,977 | $341K | 0.1% | $85.74 * | $94.66 | -1.3% | FINANCIALS ETF | 92204A405 |
| V | VISA INC | 1,583 | $339K | 0.1% | $214.15 | $220.32 | -2.2% | COM CL A | 92826C839 |
| UPS | UNITED PARCEL SERVICE INC | 1,820 | $339K | 0.1% | $186.26 * | $166.36 | +7.9% | CL B | 911312106 |
| VCIT | VANGUARD SCOTTSDALE FDS | 4,130 | $339K | 0.1% | $82.08 * | $94.56 | -9.0% | INT-TERM CORP | 92206C870 |
| LOW | LOWES COS INC | 1,688 | $337K | 0.1% | $199.64 * | $183.46 | +2.3% | COM | 548661107 |
| COST | COSTCO WHSL CORP NEW | 603 | $334K | 0.1% | $553.90 | $438.47 | +25.4% | COM | 22160K105 |
| ESGE | ISHARES INC | 9,831 | $332K | 0.1% | $33.77 * | $42.06 | -12.7% | ESG AWR MSCI EM | 46434G863 |
| ABBV | ABBVIE INC | 2,097 | $331K | 0.1% | $157.84 * | $94.90 | +48.8% | COM | 00287Y109 |
| XLC | SELECT SECTOR SPDR TR | 5,593 | $329K | 0.1% | $58.82 * | $80.78 | -14.9% | COMMUNICATION | 81369Y852 |
| XLI | SELECT SECTOR SPDR TR | 3,331 | $322K | 0.1% | $96.67 * | $103.72 | -0.7% | SBI INT-INDS | 81369Y704 |
| IDV | ISHARES TR | 10,646 | $320K | 0.1% | $30.06 * | $27.99 | +13.5% | INTL SEL DIV ETF | 464288448 |
| MFIC | APOLLO INVT CORP | 24,816 | $319K | 0.1% | $12.85 * | $5.28 | +59.4% | COM NEW | 03761U502 |
| — | EATON VANCE TAX-MANAGED DIVE | 24,963 | $317K | 0.1% | $12.70 | $13.41 | — | COM | 27828N102 |
| VTEB | VANGUARD MUN BD FDS | 6,232 | $313K | 0.1% | $50.22 * | $54.77 | -5.9% | TAX EXEMPT BD | 922907746 |
| IEF | ISHARES TR | 2,989 | $309K | 0.1% | $103.38 * | $114.73 | -6.3% | BARCLAYS 7 10 YR | 464287440 |
| BAC | BK OF AMERICA CORP | 8,433 | $306K | 0.1% | $36.29 * | $36.97 | +1.2% | COM | 060505104 |
| BRK/B | BERKSHIRE HATHAWAY INC DEL | 908 | $299K | 0.1% | $329.30 * | $323.46 | +9.1% | CL B NEW | 084670702 |
| NULV | NUSHARES ETF TR | 8,168 | $299K | 0.1% | $36.61 * | $38.65 | -1.6% | NUVEEN ESG LRGVL | 67092P300 |
| AMLP | ALPS ETF TR | 7,774 | $296K | 0.1% | $38.08 | $36.79 | +4.1% | ALERIAN MLP | 00162Q452 |
| IVE | ISHARES TR | 1,922 | $289K | 0.1% | $150.36 * | $149.07 | +4.5% | S&P 500 VAL ETF | 464287408 |
| META | META PLATFORMS INC | 1,643 | $287K | 0.1% | $174.68 * | $285.24 | -22.6% | CL A | 30303M102 |
| CMCSA | COMCAST CORP NEW | 6,360 | $283K | 0.1% | $44.50 * | $42.92 | -2.9% | CL A | 20030N101 |
| ITOT | ISHARES TR | 3,033 | $282K | 0.1% | $92.98 * | $101.21 | -0.3% | CORE S&P TTL STK | 464287150 |
| ROUS | LATTICE STRATEGIES TR | 6,966 | $282K | 0.1% | $40.48 * | $34.51 | +22.0% | HARTFORD US EQTY | 518416409 |
| CSCO | CISCO SYS INC | 5,660 | $279K | 0.1% | $49.29 | $49.43 | +0.2% | COM | 17275R102 |
| FXH | FIRST TR EXCHANGE TRADED FD | 2,566 | $277K | 0.1% | $107.95 * | $105.62 | +8.6% | HLTH CARE ALPH | 33734X143 |
| AAL | AMERICAN AIRLS GROUP INC | 14,291 | $271K | 0.1% | $18.96 * | $21.95 | -16.9% | COM | 02376R102 |
| XLE | SELECT SECTOR SPDR TR | 3,579 | $268K | 0.1% | $74.88 * | $25.71 | +48.7% | ENERGY | 81369Y506 |
| C | CITIGROUP INC | 5,302 | $263K | 0.1% | $49.60 * | $53.50 | -13.3% | COM NEW | 172967424 |
| CI | CIGNA CORP NEW | 1,042 | $261K | 0.1% | $250.48 * | $229.72 | -2.4% | COM | 125523100 |
| UNP | UNION PAC CORP | 1,092 | $259K | 0.1% | $237.18 * | $190.90 | +31.1% | COM | 907818108 |
| EXC | EXELON CORP | 5,184 | $248K | 0.1% | $47.84 * | $27.36 | +52.1% | COM | 30161N101 |
| FMAY | FIRST TR EXCHNG TRADED FD VI | 6,754 | $243K | 0.1% | $35.98 * | $35.80 | +6.3% | CBOE VEST US BUF | 33740F748 |
| VO | VANGUARD INDEX FDS | 1,091 | $242K | 0.1% | $221.81 * | $60.45 | -1.6% | MID CAP ETF | 922908629 |
| TGT | TARGET CORP | 1,039 | $240K | 0.1% | $230.99 * | $191.32 | -1.7% | COM | 87612E106 |
| WMT | WALMART INC | 1,544 | $238K | 0.1% | $154.15 * | $44.59 | +6.1% | COM | 931142103 |
| IUSV | ISHARES TR | 3,248 | $237K | 0.1% | $72.97 * | $74.95 | +1.2% | CORE S&P US VLU | 464287663 |
| ABT | ABBOTT LABS | 2,019 | $236K | 0.1% | $116.89 * | $118.53 | -7.0% | COM | 002824100 |
| — | PIMCO DYNAMIC INCOME OPRNTS | 14,491 | $234K | 0.1% | $16.15 | $20.99 | — | COM BEN SHS | 69355M107 |
| DVY | ISHARES TR | 1,829 | $230K | 0.1% | $125.75 | $108.44 | +18.2% | SELECT DIVID ETF | 464287168 |
| EZU | ISHARES INC | 5,735 | $229K | 0.1% | $39.93 * | $49.11 | -11.9% | MSCI EURZONE ETF | 464286608 |
| LDSF | FIRST TR EXCHNG TRADED FD VI | 11,485 | $221K | 0.1% | $19.24 | $19.71 | -1.5% | LOW DUR STRTGC | 33740F870 |
| UAL | UNITED AIRLS HLDGS INC | 4,385 | $220K | 0.1% | $50.17 * | $55.46 | -16.4% | COM | 910047109 |
| MDT | MEDTRONIC PLC | 2,046 | $218K | 0.1% | $106.55 * | $105.28 | -6.1% | SHS | G5960L103 |
| XBNYX | BLACKROCK N Y MUN INCOME TRU | 19,300 | $215K | 0.1% | $11.14 | $14.61 | — | SH BEN INT | 09248L106 |
| AZN | ASTRAZENECA PLC | 3,254 | $215K | 0.1% | $66.07 | $59.21 | — | SPONSORED ADR | 046353108 |
| IVW | ISHARES TR | 3,134 | $211K | 0.1% | $67.33 * | $70.22 | +8.8% | S&P 500 GRWT ETF | 464287309 |
| LLY | LILLY ELI & CO | 732 | $209K | 0.1% | $285.52 * | $248.50 | +11.5% | COM | 532457108 |
| GE | GENERAL ELECTRIC CO | 2,600 | $203K | 0.1% | $78.08 * | $62.93 | -11.1% | COM NEW | 369604301 |
| — | NEUBERGER BERMAN NEXT GENERA | 16,281 | $188K | 0.1% | $11.55 | $17.57 | — | COMMON STOCK | 64133Q108 |
| GOGL | GOLDEN OCEAN GROUP LTD | 14,415 | $182K | 0.1% | $12.63 | $12.63 | — | SHS NEW | G39637205 |
| — | NUVEEN SELECT TAX-FREE INCOM | 12,488 | $171K | 0.1% | $13.69 | $15.86 | — | SH BEN INT | 67062F100 |
| — | LIBERTY ALL STAR EQUITY FD | 23,219 | $165K | 0.1% | $7.11 | $7.25 | — | SH BEN INT | 530158104 |
| — | NUVEEN NEW YORK AMT QLT MUNI | 12,418 | $138K | 0.1% | $11.11 | $13.54 | — | COM | 670656107 |
| — | EATON VANCE TAX-MANAGED GLOB | 14,850 | $133K | 0.1% | $8.96 | $10.51 | — | COM | 27829F108 |
| — | NEW YORK CMNTY BANCORP INC | 13,226 | $130K | 0.0% | $9.83 | $10.53 | — | COM | 649445103 |
| SFL | SFL CORPORATION LTD | 12,270 | $124K | 0.0% | $10.11 | $6.92 | +47.1% | SHS | G7738W106 |
| XMHIX | PIONEER MUNICIPAL HIGH INCOM | 12,721 | $122K | 0.0% | $9.59 | $11.91 | — | COM SHS | 723763108 |
| SIGA | SIGA TECHNOLOGIES INC | 17,000 | $113K | 0.0% | $6.65 * | $4.69 | +10.6% | COM | 826917106 |
| — | ABERDEEN TOTAL DYNAMIC DIVD | 11,688 | $103K | 0.0% | $8.81 | $8.93 | — | COM SH BEN INT | 00326L100 |
| — | PIMCO NEW YORK MUN FD II | 11,469 | $99,000 | 0.0% | $8.63 | $10.83 | — | COM | 72200Y102 |
| — | GAMCO GLOBAL GOLD NAT RES & | 23,900 | $92,000 | 0.0% | $3.85 | $3.55 | — | COM SH BEN INT | 36465A109 |
| UUUU | ENERGY FUELS INC | 10,654 | $81,000 | 0.0% | $7.60 * | $2.25 | +306.0% | COM NEW | 292671708 |
| BCS | BARCLAYS PLC | 11,085 | $81,000 | 0.0% | $7.31 * | $10.20 | -22.6% | ADR | 06738E204 |
| — | ABERDEEN ASIA-PACIFIC INCOME | 23,017 | $74,000 | 0.0% | $3.22 | $4.19 | — | COM | 003009107 |
| — | VOYA GLBL EQTY DIV & PREM OP | 11,550 | $66,000 | 0.0% | $5.71 | $5.32 | — | COM | 92912T100 |
| DHC | DIVERSIFIED HEALTHCARE TR | 13,500 | $31,000 | 0.0% | $2.30 | $4.13 | — | COM SH BEN INT | 25525P107 |
| — | EMAGIN CORP | 16,000 | $15,000 | 0.0% | $0.94 | $1.41 | — | COM NEW | 29076N206 |
| CLWT | EURO TECH HOLDINGS CO LTD | 10,271 | $14,000 | 0.0% | $1.36 | $1.64 | -14.5% | SHS NEW | G32030127 |
| — | PALATIN TECHNOLOGIES INC | 10,100 | $4,000 | 0.0% | $0.40 | $0.69 | — | COM PAR $ .01 | 696077403 |
| — | ACELRX PHARMACEUTICALS INC | 11,000 | $3,000 | 0.0% | $0.27 | $0.64 | — | COM | 00444T100 |
| — | POLARITYTE INC | 12,000 | $2,000 | 0.0% | $0.17 | $0.67 | — | COM | 731094108 |