Location: Shelton, CT
CIK: 0001697303 · Show all filings
Period: Q4 2019 (← Previous) (Next →)
Filing Date: Jan 14, 2020
Total Value: $114M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| AGG | ISHARES TR | 92,456 | $10.39M | 9.1% | $112.37 | $111.02 | +1.2% | CORE US AGGBD ET | 464287226 |
| IVV | ISHARES TR | 30,107 | $9.732M | 8.6% | $323.25 | $292.57 | +10.5% | CORE S&P500 ETF | 464287200 |
| LRGF | ISHARES TR | 263,394 | $9.082M | 8.0% | $34.48 | $31.75 | +8.6% | MULTIFACTOR USA | 46434V282 |
| — | DURECT CORP | 1,655,996 | $6.293M | 5.5% | $3.80 | $0.97 | — | COM | 266605104 |
| ARKK | ARK ETF TR | 85,115 | $4.26M | 3.8% | $50.05 | $45.36 | +10.3% | INNOVATION ETF | 00214Q104 |
| SMLF | ISHARES TR | 90,882 | $3.9M | 3.4% | $42.91 | $40.46 | +6.1% | MULTIFACTOR USA | 46434V290 |
| BAC | BANK AMER CORP | 109,729 | $3.865M | 3.4% | $35.22 * | $22.89 | +32.8% | COM | 060505104 |
| HYG | ISHARES TR | 39,695 | $3.491M | 3.1% | $87.95 | $86.20 | +2.0% | IBOXX HI YD ETF | 464288513 |
| IEFA | ISHARES TR | 48,082 | $3.137M | 2.8% | $65.24 | $61.27 | +6.5% | CORE MSCI EAFE | 46432F842 |
| INTF | ISHARES TR | 115,949 | $3.136M | 2.8% | $27.05 | $26.08 | +3.7% | MULTIFACTOR INTL | 46434V274 |
| GLD | SPDR GOLD TRUST | 21,428 | $3.062M | 2.7% | $142.90 | $116.19 | +23.0% | GOLD SHS | 78463V107 |
| VNQ | VANGUARD INDEX FDS | 29,410 | $2.729M | 2.4% | $92.79 | $87.73 | +5.8% | REAL ESTATE ETF | 922908553 |
| IEMG | ISHARES INC | 49,674 | $2.67M | 2.4% | $53.75 | $50.68 | +6.1% | CORE MSCI EMKT | 46434G103 |
| EMGF | ISHARES INC | 58,475 | $2.664M | 2.3% | $45.56 | $42.00 | +8.4% | MLT FCTR EMG MKT | 46434G889 |
| VWO | VANGUARD INTL EQUITY INDEX F | 54,313 | $2.415M | 2.1% | $44.46 | $39.58 | +12.4% | FTSE EMR MKT ETF | 922042858 |
| FLOT | ISHARES TR | 40,676 | $2.071M | 1.8% | $50.91 | $50.87 | +0.1% | FLTG RATE NT ETF | 46429B655 |
| IWF | ISHARES TR | 10,422 | $1.833M | 1.6% | $175.88 * | $36.77 | +19.6% | RUS 1000 GRW ETF | 464287614 |
| EEM | ISHARES TR | 38,796 | $1.741M | 1.5% | $44.88 | $40.25 | +11.5% | MSCI EMG MKT ETF | 464287234 |
| PAAS | PAN AMERICAN SILVER CORP | 72,921 | $1.727M | 1.5% | $23.68 | $15.10 | +56.9% | COM | 697900108 |
| VEA | VANGUARD TAX MANAGED INTL FD | 38,472 | $1.695M | 1.5% | $44.06 | $39.59 | +11.3% | FTSE DEV MKT ETF | 921943858 |
| MSFT | MICROSOFT CORP | 9,228 | $1.455M | 1.3% | $157.67 * | $106.35 | +40.8% | COM | 594918104 |
| AAPL | APPLE INC | 4,865 | $1.429M | 1.3% | $293.73 * | $46.01 | +54.0% | COM | 037833100 |
| AMGN | AMGEN INC | 5,813 | $1.401M | 1.2% | $241.01 * | $168.16 | +19.2% | COM | 031162100 |
| IJJ | ISHARES TR | 5,904 | $1.008M | 0.9% | $170.73 * | $76.58 | +11.5% | S&P MC 400VL ETF | 464287705 |
| SLV | ISHARES SILVER TRUST | 56,141 | $936K | 0.8% | $16.67 | $13.94 | +19.7% | ISHARES | 46428Q109 |
| AMZN | AMAZON COM INC | 505 | $933K | 0.8% | $1847.52 * | $83.98 | +10.0% | COM | 023135106 |
| DXJ | WISDOMTREE TR | 17,325 | $932K | 0.8% | $53.80 * | $156.55 | +3.1% | JAPN HEDGE EQT | 97717W851 |
| FTSM | FIRST TR EXCHANGE TRADED FD | 15,475 | $930K | 0.8% | $60.10 | $59.96 | +0.2% | FIRST TR ENH NEW | 33739Q408 |
| IWM | ISHARES TR | 5,230 | $866K | 0.8% | $165.58 | $149.21 | +11.0% | RUSSELL 2000 ETF | 464287655 |
| XOM | EXXON MOBIL CORP | 11,961 | $835K | 0.7% | $69.81 * | $56.39 | -6.3% | COM | 30231G102 |
| IWD | ISHARES TR | 5,990 | $817K | 0.7% | $136.39 | $120.18 | +13.6% | RUS 1000 VAL ETF | 464287598 |
| SPY | SPDR S&P 500 ETF TR | 2,435 | $788K | 0.7% | $323.61 | $269.65 | +19.4% | TR UNIT | 78462F103 |
| JD | JD COM INC | 21,995 | $775K | 0.7% | $35.24 | $29.36 | +20.0% | SPON ADR CL A | 47215P106 |
| EFA | ISHARES TR | 10,082 | $700K | 0.6% | $69.43 | $62.93 | +10.3% | MSCI EAFE ETF | 464287465 |
| BAB | INVESCO EXCHNG TRADED FD TR | 22,054 | $698K | 0.6% | $31.65 | $28.97 | +9.3% | TAXABLE MUN BD | 46138G805 |
| BABA | ALIBABA GROUP HLDG LTD | 3,260 | $691K | 0.6% | $211.96 | $164.68 | +28.8% | SPONSORED ADS | 01609W102 |
| FTXO | FIRST TR EXCHANGE TRADED FD | 24,477 | $690K | 0.6% | $28.19 | $25.65 | +9.9% | NASDAQ BK ETF | 33738R860 |
| VCIT | VANGUARD SCOTTSDALE FDS | 7,267 | $664K | 0.6% | $91.37 | $82.45 | +10.8% | INT-TERM CORP | 92206C870 |
| T | AT&T INC | 16,793 | $656K | 0.6% | $39.06 * | $14.25 | +35.5% | COM | 00206R102 |
| CVX | CHEVRON CORP NEW | 5,327 | $642K | 0.6% | $120.52 * | $84.74 | +8.8% | COM | 166764100 |
| PWB | INVESCO EXCHANGE TRADED FD T | 10,500 | $540K | 0.5% | $51.43 | $44.42 | +15.7% | DYNMC LRG GWTH | 46137V746 |
| VZ | VERIZON COMMUNICATIONS INC | 8,604 | $528K | 0.5% | $61.37 * | $38.67 | +12.7% | COM | 92343V104 |
| UYG | PROSHARES TR | 9,484 | $510K | 0.4% | $53.77 | $38.29 | +40.1% | ULTRA FNCLS NEW | 74347X633 |
| GOOG | ALPHABET INC | 376 | $503K | 0.4% | $1337.77 * | $53.13 | +24.9% | CAP STK CL C | 02079K107 |
| ES | EVERSOURCE ENERGY | 5,602 | $477K | 0.4% | $85.15 * | $51.76 | +32.1% | COM | 30040W108 |
| QQQ | INVESCO QQQ TR | 2,232 | $475K | 0.4% | $212.81 | $189.57 | +12.2% | UNIT SER 1 | 46090E103 |
| RSP | INVESCO EXCHANGE TRADED FD T | 3,970 | $459K | 0.4% | $115.62 | $99.10 | +16.8% | S&P500 EQL WGT | 46137V357 |
| VOO | VANGUARD INDEX FDS | 1,453 | $430K | 0.4% | $295.94 | $247.71 | +19.4% | S&P 500 ETF SHS | 922908363 |
| PYPL | PAYPAL HLDGS INC | 3,932 | $425K | 0.4% | $108.09 | $83.10 | +29.9% | COM | 70450Y103 |
| RDIV | INVESCO EXCHNG TRADED FD TR | 10,395 | $410K | 0.4% | $39.44 | $37.60 | +4.9% | S&P ULTRA DIVIDE | 46138G656 |
| AEM | AGNICO EAGLE MINES LTD | 6,513 | $401K | 0.4% | $61.57 * | $49.01 | +9.2% | COM | 008474108 |
| META | FACEBOOK INC | 1,935 | $397K | 0.3% | $205.17 | $145.45 | +40.1% | CL A | 30303M102 |
| HON | HONEYWELL INTL INC | 2,235 | $396K | 0.3% | $177.18 * | $118.04 | +24.7% | COM | 438516106 |
| ELV | ANTHEM INC | 1,308 | $395K | 0.3% | $301.99 * | $250.16 | +11.3% | COM | 036752103 |
| WPM | WHEATON PRECIOUS METALS CORP | 12,889 | $383K | 0.3% | $29.72 * | $20.18 | +37.8% | COM | 962879102 |
| EMLP | FIRST TR EXCHANGE TRADED FD | 14,940 | $381K | 0.3% | $25.50 | $22.94 | +11.1% | NO AMER ENERGY | 33738D101 |
| VO | VANGUARD INDEX FDS | 2,073 | $369K | 0.3% | $178.00 * | $38.19 | +16.7% | MID CAP ETF | 922908629 |
| DEEP | ETF SER SOLUTIONS | 10,925 | $364K | 0.3% | $33.32 * | $32.99 | -1.0% | DEEP VALUE ETF | 26922A701 |
| FISV | FISERV INC | 2,939 | $340K | 0.3% | $115.69 | $102.09 | +13.3% | COM | 337738108 |
| NFLX | NETFLIX INC | 1,030 | $333K | 0.3% | $323.30 * | $29.65 | +9.1% | COM | 64110L106 |
| VYM | VANGUARD WHITEHALL FDS INC | 3,541 | $332K | 0.3% | $93.76 | $84.69 | +10.6% | HIGH DIV YLD | 921946406 |
| GOOGL | ALPHABET INC | 248 | $332K | 0.3% | $1338.71 * | $60.00 | +10.8% | CAP STK CL A | 02079K305 |
| GDX | VANECK VECTORS ETF TRUST | 10,746 | $315K | 0.3% | $29.31 | $27.95 | +4.8% | GOLD MINERS ETF | 92189F106 |
| — | ETFIS SER TR I | 67,362 | $304K | 0.3% | $4.51 | $4.98 | — | INFRAC ACT MLP | 26923G103 |
| JPM | JPMORGAN CHASE & CO | 2,135 | $298K | 0.3% | $139.58 * | $87.43 | +35.1% | COM | 46625H100 |
| LQD | ISHARES TR | 2,246 | $287K | 0.3% | $127.78 | $112.43 | +13.8% | IBOXX INV CP ETF | 464287242 |
| CSCO | CISCO SYS INC | 5,910 | $283K | 0.2% | $47.88 * | $37.15 | +7.1% | COM | 17275R102 |
| UGI | UGI CORP NEW | 6,000 | $273K | 0.2% | $45.50 | $55.58 | -18.7% | COM | 902681105 |
| IYJ | ISHARES TR | 1,582 | $265K | 0.2% | $167.51 * | $78.76 | +6.4% | US INDUSTRIALS | 464287754 |
| AVGO | BROADCOM INC | 835 | $264K | 0.2% | $316.17 * | $23.99 | +13.3% | COM | 11135F101 |
| DUK | DUKE ENERGY CORP NEW | 2,886 | $263K | 0.2% | $91.13 * | $64.35 | +11.6% | COM NEW | 26441C204 |
| SYF | SYNCHRONY FINL | 7,088 | $255K | 0.2% | $35.98 * | $30.73 | +0.8% | COM | 87165B103 |
| HYLS | FIRST TR EXCHANGE TRADED FD | 5,100 | $249K | 0.2% | $48.82 | $46.68 | +4.5% | FIRST TR TA HIYL | 33738D408 |
| JNJ | JOHNSON & JOHNSON | 1,696 | $247K | 0.2% | $145.64 * | $114.14 | +7.9% | COM | 478160104 |
| NEM | NEWMONT GOLDCORP CORPORATION | 5,473 | $238K | 0.2% | $43.49 * | $27.95 | +30.5% | COM | 651639106 |
| VEU | VANGUARD INTL EQUITY INDEX F | 4,413 | $237K | 0.2% | $53.70 | $48.04 | +11.9% | ALLWRLD EX US | 922042775 |
| VUG | VANGUARD INDEX FDS | 1,286 | $234K | 0.2% | $181.96 * | $24.68 | +23.0% | GROWTH ETF | 922908736 |
| COP | CONOCOPHILLIPS | 3,565 | $232K | 0.2% | $65.08 * | $53.41 | -2.2% | COM | 20825C104 |
| EXAS | EXACT SCIENCES CORP | 2,400 | $222K | 0.2% | $92.50 | $85.12 | +8.6% | COM | 30063P105 |
| BK | BANK NEW YORK MELLON CORP | 4,405 | $222K | 0.2% | $50.40 * | $39.93 | +5.6% | COM | 064058100 |
| — | UNITED TECHNOLOGIES CORP | 1,457 | $218K | 0.2% | $149.62 | $106.62 | — | COM | 913017109 |
| DE | DEERE & CO | 1,249 | $217K | 0.2% | $173.74 * | $131.78 | +21.1% | COM | 244199105 |
| NVS | NOVARTIS A G | 2,214 | $210K | 0.2% | $94.85 | $89.73 | +5.5% | SPONSORED ADR | 66987V109 |
| EWZ | ISHARES INC | 4,358 | $207K | 0.2% | $47.50 | $43.78 | +8.4% | MSCI BRAZIL ETF | 464286400 |
| V | VISA INC | 1,100 | $207K | 0.2% | $188.18 * | $132.10 | +36.3% | COM CL A | 92826C839 |
| AADR | ADVISORSHARES TR | 3,812 | $205K | 0.2% | $53.78 | $46.57 | +15.7% | ADVISORSHS ETF | 00768Y206 |
| NVAX | NOVAVAX INC | 48,750 | $194K | 0.2% | $3.98 | $5.42 | -26.6% | COM NEW | 670002401 |
| MNKD | MANNKIND CORP | 93,200 | $120K | 0.1% | $1.29 | $1.46 | -11.7% | COM NEW | 56400P706 |
| — | ALPS ETF TR | 11,730 | $100K | 0.1% | $8.53 | $8.53 | — | ALERIAN MLP | 00162Q866 |
| — | MALLINCKRODT PUB LTD CO | 22,500 | $79,000 | 0.1% | $3.51 | $3.51 | — | SHS | G5785G107 |
| — | TELLURIAN INC NEW | 10,000 | $73,000 | 0.1% | $7.30 | $8.30 | — | COM | 87968A104 |
| — | DENBURY RES INC | 37,500 | $53,000 | 0.0% | $1.41 | $1.41 | — | COM NEW | 247916208 |
| LCTX | LINEAGE CELL THERAPEUTICS IN | 45,000 | $40,000 | 0.0% | $0.89 | $1.03 | -13.7% | COM | 53566P109 |
| — | AGEX THERAPEUTICS INC | 12,000 | $22,000 | 0.0% | $1.83 | $3.67 | — | COM | 00848H108 |