Congressional stock trades · Member
Dean Phillips
Former representative · MN-3 · Democrat
513 published transactions from periodic transaction reports since 2020, shown as filed. Amounts are the ranges on the form. Each row links to its filing. Holdings from 6 annual reports are below.
| Disclosed | Traded | Days | Owner | Asset | Type | Amount range (as filed) | Source |
|---|---|---|---|---|---|---|---|
| 2024-08-01 | 2024-07-02 | 30 | Member | Outsell, Inc. | Sale | $1,001 - $15,000 | Clerk → |
| 2024-08-01 | 2024-06-27 | 35 | Member | Outsell, Inc. | Sale (partial) | $1,000,001 - $5,000,000 | Clerk → |
| 2024-06-20 | 2024-05-21 | 30 | Member | Arcadia Medal Investors, LP | Purchase | $500,001 - $1,000,000 | Clerk → |
| 2021-09-23 | 2021-09-01 | 22 | Member | Capital One Financial Co Var Rt 12/01/2165 dtd 05/14/2015 | Sale | $15,001 - $50,000 | Clerk → |
| 2021-08-13 | 2021-07-21 | 23 | Member | AZNAstraZeneca PLC - American Depositary Shares | Exchange | $1,001 - $15,000 | Clerk → |
| 2021-08-13 | 2021-07-21 | 23 | Member | Alexion Pharmaceuticals, Inc. | Sale | $1,001 - $15,000 | Clerk → |
| 2021-08-13 | 2021-07-01 | 43 | Member | Phoenix AZ Ref unlimited Tax 4% 07/01/2021 dtd 06/24/2014 | Sale | $15,001 - $50,000 | Clerk → |
| 2021-08-13 | 2021-07-01 | 43 | Member | Honolulu City & Cnty HI Wstwtr Sys Rev 5% A Jul 01 2025 Dtd | Sale | $15,001 - $50,000 | Clerk → |
| 2021-07-14 | 2021-06-15 | 29 | Member | Metlife, Inc Var Rt 12/15/2165 dtd 06/01/2015 | Sale | $50,001 - $100,000 | Clerk → |
| 2021-06-08 | 2021-05-17 | 22 | Member | Digital Realty Trust Inc PFD | Sale | $1,001 - $15,000 | Clerk → |
| 2021-06-08 | 2021-05-03 | 36 | Member | MO St Hwys & Trnst Ref-1st lien- Ser A 5% 05/01/2021 dtd 06/03/2014 | Sale | $15,001 - $50,000 | Clerk → |
| 2021-05-12 | 2021-04-15 | 27 | Member | Varian Medical Systems, Inc. | Sale | $1,001 - $15,000 | Clerk → |
| 2021-05-12 | 2021-04-15 | 27 | Member | Morgan Stanley Rt 07/15/2165 dtd 03/19/2015 | Sale | $250,001 - $500,000 | Clerk → |
| 2021-05-12 | 2021-04-15 | 27 | Member | U.S. Bancorp Var Rt 01/15/2166 dtd 11/23/2015 | Sale | $15,001 - $50,000 | Clerk → |
| 2021-04-07 | 2021-03-15 | 23 | Member | Wachovia Cap Trust III Var Rt Mar 15 2166 dtd 2/1/2006 | Sale | $250,001 - $500,000 | Clerk → |
| 2021-04-07 | 2021-03-15 | 23 | Member | State Street Corp Var Rt 09/15/2165 dtd 05/21/2015 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-04-07 | 2021-03-01 | 37 | Member | Raleigh NC Comb Enterprise Sys Rev 5% Mar 01 2021 dtd 02/10/2011 | Sale | $15,001 - $50,000 | Clerk → |
| 2021-03-09 | 2021-02-19 | 18 | Member | Citigroup Inc. Var Rt Perp Mat dtd 02/18/2021 | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-03-09 | 2021-02-19 | 18 | Member | Citigroup Inc. Var Rt Perp Mat dtd 11/13/2015 | Sale | $1,001 - $15,000 | Clerk → |
| 2021-03-09 | 2021-02-16 | 21 | Member | Citigroup Inc. Var Rt Perp Mat dtd 11/13/2015 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-03-09 | 2021-02-10 | 27 | Member | Citigroup Inc. Var Rt Perp Mat dtd 02/18/2021 | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-03-09 | 2021-02-05 | 32 | Member | Goldman Sachs group Inc. Var Rt Perp Mat dtd 04/23/2015 | Sale | $250,001 - $500,000 | Clerk → |
| 2021-02-13 | 2021-01-26 | 18 | Member | US Bancorp VAR RT Perp Mat dtd 11/23/2015 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-26 | 18 | Member | SVB Financial group Var RT Perp Mat dtd 02/02/2021 | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-25 | 19 | Member | HONHoneywell International Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-21 | 23 | Member | PCARPACCAR Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-19 | 25 | Member | Wells Fargo & CO Var RT Perp Mat dtd 01/26/2021 | Purchase | $15,001 - $50,000 | Clerk → |
| 2021-02-13 | 2021-01-19 | 25 | Member | Goldman Sachs group Inc. Var Rt Perp Mat dtd 04/23/2015 | Sale | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-12 | 32 | Member | ACNAccenture plc Class A Ordinary Shares | Sale | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-12 | 32 | Member | FMSFresenius Medical Care Ag | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-11 | 33 | Member | ACNAccenture plc Class A Ordinary Shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-11 | 33 | Member | FMSFresenius Medical Care Ag | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-11 | 33 | Member | CBChubb limited | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-08 | 36 | Member | ACNAccenture plc Class A Ordinary Shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-08 | 36 | Member | WI St Transportation Rev Ref-Ser 2; 5.0%; Due 07/01/2026 | Purchase | $15,001 - $50,000 | Clerk → |
| 2021-02-13 | 2021-01-08 | 36 | Member | CBChubb limited | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-08 | 36 | Member | ACGLArch Capital group ltd. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-07 | 37 | Member | ACNAccenture plc Class A Ordinary Shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-07 | 37 | Member | Tiffany & Co. | Sale | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | Alexion Pharmaceuticals, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | ABTAbbott laboratories | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | IRMIron Mountain Incorporated | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | TAT&T Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | ESEversource Energy | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | TSLATesla, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | DTEDTE Energy Company | Sale | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | Equitable Holdings Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | ABTAbbott laboratories | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-02-13 | 2021-01-05 | 39 | Member | AALAmerican Airlines group, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-31 | 9 | Member | Selective Insurance group | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-29 | 11 | Member | First Citizens bancshare PFD | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-24 | 16 | Member | Fifth Third bancorp 09/30/2165 DTD 06/05/2014 | Sale | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-22 | 18 | Member | HD Supply Holdings, Inc. | Sale | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-21 | 19 | Member | HD Supply Holdings, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | HWMArconic Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | NINiSource Inc | Sale | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | JKHYJack Henry & Associates, Inc. | Sale | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | BAXBaxter International Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | CLXClorox Company | Sale | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | INTCIntel Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | EDConsolidated Edison, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | DLTRDollar Tree, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | Citrix Systems, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | Fifth Third bancorp 09/30/2165 DTD 06/05/2014 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | SBACSBA Communications Corporation - Class A | Sale | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | AKAMAkamai Technologies, Inc. | Sale | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | HD Supply Holdings, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | VRTXVertex Pharmaceuticals Incorporated | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | TAT&T Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | CSCOCisco Systems, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | DLRDigital Realty Trust, Inc. | Sale | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | GILDGilead Sciences, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | SPGSimon Property group, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | BSXBoston Scientific Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | TDGTransdigm group Incorporated Transdigm group Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | CRMSalesforce.com Inc | Sale (partial) | $15,001 - $50,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | EQIXEquinix, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | TSLATesla, Inc. | Purchase | $50,001 - $100,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | AALAmerican Airlines group, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-18 | 22 | Member | CFGCitizens Financial group, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-17 | 23 | Member | HD Supply Holdings, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-16 | 24 | Member | First Citizens bancshare PFD | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-16 | 24 | Member | JPMJP Morgan Chase & Co. | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-16 | 24 | Member | Sony Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-16 | 24 | Member | CMCSAComcast Corporation - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-10 | 30 | Member | MASMasco Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-09 | 31 | Member | MASMasco Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-08 | 32 | Member | Charles Schwab Corp Var Rt Perp Mat Dtd 12/11/2020 | Purchase | $15,001 - $50,000 | Clerk → |
| 2021-01-09 | 2020-12-07 | 33 | Member | Selective Insurance group | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2021-01-09 | 2020-12-02 | 38 | Member | Selective Insurance group | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-12-11 | 2020-11-16 | 25 | Member | Assurant Inc. PFD | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-12-11 | 2020-11-16 | 25 | Member | CMCSAComcast Corporation - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-12-11 | 2020-11-16 | 25 | Member | MUMicron Technology, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-12-11 | 2020-11-16 | 25 | Member | BKNGBooking Holdings Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-12-11 | 2020-11-16 | 25 | Member | HONHoneywell International Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-12-11 | 2020-11-03 | 38 | Member | Charles Schwab Corporation PFD 5.95% | Sale | $1,001 - $15,000 | Clerk → |
| 2020-12-11 | 2020-11-02 | 39 | Member | CMCSAComcast Corporation - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-12-11 | 2020-11-02 | 39 | Member | ACNAccenture plc Class A Ordinary Shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-11-11 | 2020-10-30 | 12 | Member | MUMicron Technology, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-11-11 | 2020-10-27 | 15 | Member | Bank of America Corp 4.38% PFD | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-11-11 | 2020-10-22 | 20 | Member | Charles Schwab Corporation PFD 5.95% | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-11-11 | 2020-10-15 | 27 | Member | Charles Schwab Corporation PFD 5.95% | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-11-11 | 2020-10-13 | 29 | Member | Metlife, Inc Var Rt 12/15/2165 dtd 06/01/2015 | Sale (partial) | $100,001 - $250,000 | Clerk → |
| 2020-11-11 | 2020-10-02 | 40 | Member | MUMicron Technology, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-11-11 | 2020-10-01 | 41 | Member | MUMicron Technology, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | ABTAbbott laboratories | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | EDConsolidated Edison, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | SCHWCharles Schwab Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | AKAMAkamai Technologies, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | CLXClorox Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | MSIMotorola Solutions, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | LLoews Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | Xilinx, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | OTISOtis Worldwide Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | WFCWells Fargo & Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | NOWServiceNow, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | CATCaterpillar, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | VRSNVeriSign, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | ATOAtmos Energy Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | EAElectronic Arts Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | NFLXNetflix, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | MDLZMondelez International, Inc. - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | EQIXEquinix, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | BAXBaxter International Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | GOOGLAlphabet Inc. - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | GPNGlobal Payments Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | TMUST-Mobile US, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | ELEstee lauder Companies, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | PMPhilip Morris International Inc | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | IHS Markit ltd. Common Shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | CRMSalesforce.com Inc | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | GOOGAlphabet Inc. - Class C Capital Stock | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | MMM3M Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | SBACSBA Communications Corporation - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | AAPLApple Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | ROPRoper Technologies, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | Citrix Systems, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | CTSHCognizant Technology Solutions Corporation - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | GILDGilead Sciences, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | METAFacebook, Inc. - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | JKHYJack Henry & Associates, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | CMECME group Inc. - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | DLRDigital Realty Trust, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | AMDAdvanced Micro Devices, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | TAT&T Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-23 | 16 | Member | AMZNAmazon.com, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-17 | 22 | Member | Partnerre Finance B LlC VAR RT 10/01/2050 dtd 09/22/2020 | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-08 | 31 | Member | Digital Realty Trust Inc PFD 6.35% | Sale | $15,001 - $50,000 | Clerk → |
| 2020-10-09 | 2020-09-02 | 37 | Member | WA MD Subn San Dist Ref 5.0%; 06/01/2025 dtd 12/13/2017 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-10-09 | 2020-09-01 | 38 | Member | PA St Higher Edl Facs Auth Rev Trustees univ PA 5% Sep 01 2026 | Sale | $15,001 - $50,000 | Clerk → |
| 2020-10-09 | 2020-09-01 | 38 | Member | DLTRDollar Tree, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-10-09 | 2020-09-01 | 38 | Member | ACNAccenture plc Class A Ordinary Shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-31 | 11 | Member | Johnson County KS UNIF Sch Dist Ref-Ser B, 5.0%; Due 09/01/2025 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | DXCDXC Technology Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | ANETArista Networks, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | NTAPNetApp, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | WDCWestern Digital Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | TAPMolson Coors Beverage Company Class B | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | METAFacebook, Inc. - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | TDGTransdigm group Incorporated Transdigm group Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | Walgreens Boots Alliance, Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | CMGChipotle Mexican grill, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | UAAUnder Armour, Inc. Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | DHRDanaher Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | UAUnder Armour, Inc. Class C | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | PYPLPayPal Holdings, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | BSXBoston Scientific Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-11 | 2020-08-10 | 32 | Member | HWMHowmet Aerospace Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-08-09 | 2020-07-30 | 10 | Member | TFCTruist Financial Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-08-09 | 2020-07-21 | 19 | Member | Viacom Inc Var Rt 02/28/2057 dtd 02/28/2017 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-07-07 | 2020-06-29 | 8 | Member | Met gov't Nashville & Davidson Cnty TN Ref-Ser A unltd Tax 5.0%; Due 07/01/2023 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-07-07 | 2020-06-17 | 20 | Member | Discover Finl Svs Var Rt Perp Mat dtd 06/22/2020 | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-07-07 | 2020-06-08 | 29 | Member | HONHoneywell International Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-07-07 | 2020-06-08 | 29 | Member | PHGKoninklijke Philips N.V. NY Registry Shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-07-07 | 2020-06-08 | 29 | Member | PGRProgressive Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-07-07 | 2020-06-05 | 32 | Member | HONHoneywell International Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-07-07 | 2020-06-02 | 35 | Member | Sony Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-07-07 | 2020-06-02 | 35 | Member | Columbia MO Sch Dist Ref-Ser b unltd Tax 5.0%; Due 03/01/2025 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-07-07 | 2020-06-01 | 36 | Member | CMCSAComcast Corporation - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-07-07 | 2020-06-01 | 36 | Member | DGXQuest Diagnostics Incorporated | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-27 | 19 | Member | Truist Fin Corp Var Rt Perp Mat dtd 6/01/2020 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-06-15 | 2020-05-27 | 19 | Member | WFCWells Fargo & Company | Sale | $15,001 - $50,000 | Clerk → |
| 2020-06-15 | 2020-05-26 | 20 | Member | Sony Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-21 | 25 | Member | UNHUnitedHealth group Incorporated Common Stock | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-21 | 25 | Member | PGRProgressive Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-20 | 26 | Member | PGRProgressive Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-20 | 26 | Member | UNHUnitedHealth group Incorporated Common Stock | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-20 | 26 | Member | EXPDExpeditors International of Washington, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-19 | 27 | Member | UNHUnitedHealth group Incorporated Common Stock | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-19 | 27 | Member | PGRProgressive Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-18 | 28 | Member | UNHUnitedHealth group Incorporated Common Stock | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-18 | 28 | Member | ULUnilever PLC | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-18 | 28 | Member | PGRProgressive Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-15 | 31 | Member | CMS Energy Corp Var Rt 06/01/2050 DTD 05/28/2020 | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-15 | 31 | Member | Goldman Sachs group Inc. Var Rt Perp Mat dtd 06/17/2019 | Sale | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-15 | 31 | Member | UNHUnitedHealth group Incorporated Common Stock | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-13 | 33 | Member | CATCaterpillar, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-13 | 33 | Member | FLSFlowserve Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-13 | 33 | Member | METAFacebook, Inc. - Class A | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-06-15 | 2020-05-13 | 33 | Member | REGNRegeneron Pharmaceuticals, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
How these are read and published: methodology.
Holdings · annual financial disclosure
Assets listed on the 2018 report.
656 assets with a value on the amended report filed 2019-08-30, 315 of them shares or options of a listed company. Values are the ranges on the form. Assets are held by the member, a spouse or a dependent child, as reported. Open the report.
| Asset | Type | Owner | Value (as filed) |
|---|---|---|---|
| Artwork | Other | Member | $100,001 - $250,000 |
| Commercial Property | Other | Member | $5,000,001 - $25,000,000 |
| Cash in JP Morgan checking accounts | Other | Member | $100,001 - $250,000 |
| Cash in JP Morgan investment accounts | Other | Member | $1,000,001 - $5,000,000 |
| Cash in U.S. Bank checking accounts | Other | Member | $1,001 - $15,000 |
| AIF VI Private Investors LLC | Other | Member | $50,001 - $100,000 |
| AP Europe VII (APAX) Private Investors onshore LLC | Other | Member | $50,001 - $100,000 |
| Carlyle Asia Partners II Private Investors LLC | Other | Member | $1,001 - $15,000 |
| Cash in JP Morgan checking account | Other | Member | $15,001 - $50,000 |
| Cash in JP Morgan investment account | Other | Member | $250,001 - $500,000 |
| Euro Principal Currency | Other | Member | $15,001 - $50,000 |
| Highbridge Mezzanine Partners, LP | Other | Member | $50,001 - $100,000 |
| JP Morgan Alternative Property Fund Domestic 1 LP | Other | Member | $1,001 - $15,000 |
| JP Morgan India Property Fund, LP | Other | Member | $50,001 - $100,000 |
| JPM Prime MM Fd - Instl Fund 829 1.18% | Fund | Member | $250,001 - $500,000 |
| KKR 2006 Private Investors, LLC (onshore) | Other | Member | $100,001 - $250,000 |
| outsell, Inc. | Other | Member | $250,001 - $500,000 |
| Penny's Coffee LLC | Other | Member | $100,001 - $250,000 |
| Rational Energies LLC | Other | Member | $250,001 - $500,000 |
| Residential Property | Other | Member | None |
| Cash in JP Morgan checking account | Other | Member | $1,001 - $15,000 |
| Artwork | Other | Member | $1,001 - $15,000 |
| Commercial Property | Other | Member | $15,001 - $50,000 |
| DTP, LLC | Other | Member | None |
| Geniecast, LLC | Other | Member | $500,001 - $1,000,000 |
| MyMeds, Inc. | Other | Member | $50,001 - $100,000 |
| Penny's Coffee LLC | Other | Member | $100,001 - $250,000 |
| Rational Energies LLC | Other | Member | $250,001 - $500,000 |
| Spark Boulder 24, LLC | Other | Member | $250,001 - $500,000 |
| Fidelity Freedom K 2035 Fund | Fund | Member | $15,001 - $50,000 |
| Fidelity Target Date 2035 Fund | Fund | Member | $15,001 - $50,000 |
| ACNAccenture plc Class A ordinary Shares | Stock | Member | $15,001 - $50,000 |
| Aetna Inc. | Stock | Member | None |
| Amer Funds T/E BND AM-F3 | Fund | Member | $250,001 - $500,000 |
| AMG MG Pictet Intl - Z | Fund | Member | $250,001 - $500,000 |
| BNYBank of New York Mellon Corporation | Stock | Member | $15,001 - $50,000 |
| BRK.BBerkshire Hathaway Inc. New | Stock | Member | $50,001 - $100,000 |
| Blackrock High Yield PT - BLAC | Fund | Member | $100,001 - $250,000 |
| Blackstone Partners Investment Fund LP Class B | Other | Member | $250,001 - $500,000 |
| BNP CBEN XOP US 7/31/18 85% Barrier | Other | Member | None |
| Carlyle Asia Partners II Private Investors LLC | Other | Member | $1,001 - $15,000 |
| Cash in JP Morgan investment account | Other | Member | $100,001 - $250,000 |
| CenturyLink, Inc. | Stock | Member | $15,001 - $50,000 |
| Cerner Corporation | Stock | Member | $15,001 - $50,000 |
| CBChubb Limited | Stock | Member | $15,001 - $50,000 |
| CMCSAComcast Corporation - Class A | Stock | Member | None |
| Corbin Capital Partners - Pinehurst Partners LP | Other | Member | $250,001 - $500,000 |
| Dodge & Cox Income Fund | Fund | Member | $50,001 - $100,000 |
| Dodge & Cox Intl Stock Fund | Fund | Member | $250,001 - $500,000 |
| DGDollar General Corporation | Stock | Member | $50,001 - $100,000 |
| DLTRDollar Tree, Inc. | Stock | Member | $15,001 - $50,000 |
| Doubleline Total Return Bond - I | Fund | Member | $100,001 - $250,000 |
| EBAYEBay Inc. | Stock | Member | $15,001 - $50,000 |
| Eton Park Fund, LP Class E - New Issue Ineligible Non- Self Dealing | Other | Member | $1,001 - $15,000 |
| EXPDExpeditors International of Washington, Inc. | Stock | Member | None |
| BENFranklin Resources, Inc. | Stock | Member | $1,001 - $15,000 |
| Highbridge Mezzanine Partners LP | Other | Member | $15,001 - $50,000 |
| HONHoneywell International Inc. | Stock | Member | $15,001 - $50,000 |
| HPS Mezzanine Private Investors II LLC | Other | Member | $100,001 - $250,000 |
| IShares Barclays 1-3 Year Treasury Bond Fund | Fund | Member | $100,001 - $250,000 |
| Ishares Core MSCI EAFE ETF | Fund | Member | None |
| Ishares MSCI ACWI Index Fund | Fund | Member | $100,001 - $250,000 |
| Ishares MSCI EAFE Index Fund | Fund | Member | $500,001 - $1,000,000 |
| Ishares MSCI Japan New | Fund | Member | $100,001 - $250,000 |
| Ishares Russell 1000 Growth | Fund | Member | $100,001 - $250,000 |
| IShares S&P 500 Growth Index | Fund | Member | $100,001 - $250,000 |
| IShares S&P 500 Value Index | Fund | Member | $100,001 - $250,000 |
| JPMJP Morgan Chase & Co. | Stock | Member | $15,001 - $50,000 |
| JPM Interm T/F Bond - R6 | Fund | Member | None |
| JPM Strat Inc opp Fd - Cl I Fund | Fund | Member | None |
| JPM Tax Free MMKT Inst Sweep Fd | Other | Member | $500,001 - $1,000,000 |
| JPMorgan Betabuilders Canada ETF | Fund | Member | $250,001 - $500,000 |
| JPMorgan Betabuilders Developed Asia Ex-Japan ETF | Fund | Member | $15,001 - $50,000 |
| JPMorgan Betabuilders Europe ETF | Fund | Member | $100,001 - $250,000 |
| JPMorgan Betabuilders Japan ETF | Fund | Member | $50,001 - $100,000 |
| JPMorgan Glbl RES ENH Idx - R6 | Fund | Member | $250,001 - $500,000 |
| JPMorgan Intrepid Growth Cl L | Fund | Member | None |
| MASMasco Corporation | Stock | Member | $1,001 - $15,000 |
| Matthews Pacific Tiger - Inst | Fund | Member | $50,001 - $100,000 |
| Metropolitan West T/R Bond - I | Fund | Member | None |
| MFS Emerging Markets Debt Fund R6 | Fund | Member | None |
| MFS Emerging Mkts Debt Fd - I | Fund | Member | None |
| MFS Intl Value - R6 | Fund | Member | $500,001 - $1,000,000 |
| MSFTMicrosoft Corporation | Stock | Member | None |
| National oilwell Varco, Inc. | Stock | Member | None |
| Nestle SA Sponsored ADR representing Registered Shares Series B | Stock | Member | $15,001 - $50,000 |
| NTRNutrien Ltd. Common Shares | Stock | Member | $15,001 - $50,000 |
| OMComnicom Group Inc. | Stock | Member | $15,001 - $50,000 |
| ORCLoracle Corporation | Stock | Member | $15,001 - $50,000 |
| PCARPACCAR Inc. | Stock | Member | $15,001 - $50,000 |
| PEPPepsico, Inc. | Stock | Member | $15,001 - $50,000 |
| Potash Corporation of Saskatchewan Inc. | Stock | Member | None |
| PPGPPG Industries, Inc. | Stock | Member | $1,001 - $15,000 |
| PGRProgressive Corporation | Stock | Member | None |
| DGXQuest Diagnostics Incorporated | Stock | Member | $15,001 - $50,000 |
| SLBSchlumberger N.V. | Stock | Member | $15,001 - $50,000 |
| SNNSmith & Nephew SNATS, Inc. | Stock | Member | $15,001 - $50,000 |
| SPYSPDR S&P 500 ETF Trust | Fund | Member | $500,001 - $1,000,000 |
| SWKStanley Black & Decker, Inc. | Stock | Member | $15,001 - $50,000 |
| TELTE Connectivity Ltd. New Switzerland Registered Shares | Stock | Member | $15,001 - $50,000 |
| TJXTJX Companies, Inc. | Stock | Member | $50,001 - $100,000 |
| FOXTwenty-First Century Fox, Inc. - Class B | Stock | Member | $15,001 - $50,000 |
| ULUnilever PLC | Stock | Member | $15,001 - $50,000 |
| UNHUnitedHealth Group Incorporated Common Stock | Stock | Member | $15,001 - $50,000 |
| Vanguard Intm Trm T/E ADM | Fund | Member | $250,001 - $500,000 |
| Cash in JP Morgan investment account | Other | Member | $1,001 - $15,000 |
| Ishares MSCI ACWI Index Fund | Fund | Member | $250,001 - $500,000 |
| JPMorgan Invest Balance Fd - Cl I | Fund | Member | $100,001 - $250,000 |
| JPMorgan Investor Grow Fd - Cl I | Fund | Member | $1,000,001 - $5,000,000 |
| Met Life / New England Financial Life Insurance Policy | Other | Member | $250,001 - $500,000 |
| Amer Funds T/E Bnd Fund AM-F3 | Fund | Member | $15,001 - $50,000 |
| AMG MG Pictet Intl - I | Fund | Member | None |
| AMG MG Pictet Intl-Z | Fund | Member | $15,001 - $50,000 |
| BBH Core Select Fund - N | Fund | Member | None |
| Blackrock High Yield PT - BLAC | Fund | Member | None |
| Brown ADV Japan Alpha opp -IS | Fund | Member | None |
| Dodge & Cox Income Fund | Fund | Member | $1,001 - $15,000 |
| Dodge & Cox Intl Stock Fund | Fund | Member | $15,001 - $50,000 |
| Doubleline Totl Ret Bnd - I | Fund | Member | $1,001 - $15,000 |
| Fidelity 500 Index Fund AI | Fund | Member | None |
| IShares Barclays 1-3 Year Treasury Bond Fund | Fund | Member | $15,001 - $50,000 |
| Ishares Core MSCI EAFE ETF | Fund | Member | None |
| Ishares JP Morgan USD Emerging | Fund | Member | None |
| Ishares MSCI EAFE Index Fund | Fund | Member | $1,001 - $15,000 |
| Ishares MSCI Japan | Fund | Member | None |
| Ishares Russell 1000 Growth | Fund | Member | $1,001 - $15,000 |
| IShares S&P 500 Growth Index | Fund | Member | $15,001 - $50,000 |
| IShares S&P 500 Value Index | Fund | Member | $15,001 - $50,000 |
| JPM Glbl Bd opp Fd - R6 | Fund | Member | None |
| JPM Tax Free MMKT Inst Sweep Fd | Fund | Member | $1,001 - $15,000 |
| JPMorgan Betabuilders Canada ETF | Fund | Member | $1,001 - $15,000 |
| JPMorgan Betabuilders Developed Asia Ex-Japan ETF | Fund | Member | $1,001 - $15,000 |
| JPMorgan Betabuilders Europe ETF | Fund | Member | $15,001 - $50,000 |
| JPMorgan Betabuilders Japan ETF | Fund | Member | $15,001 - $50,000 |
| JPMorgan Glbl RES ENH Idx - R6 | Fund | Member | $15,001 - $50,000 |
| JPMorgan Interm T/F Bond-R6 | Fund | Member | $15,001 - $50,000 |
| JPMorgan Intrepid Amer - I | Fund | Member | None |
| JPMorgan Intrepid Growth - I | Fund | Member | None |
| MFS Intl Value - R6 | Fund | Member | $15,001 - $50,000 |
| PIMCO Short-Term Fund - Instl | Fund | Member | $1,001 - $15,000 |
| Rational Energies LLC | Other | Member | $15,001 - $50,000 |
| SPYSPDR S&P 500 ETF Trust | Fund | Member | $100,001 - $250,000 |
| Amer Funds T/E BND Fund AM-F3 | Fund | Member | $15,001 - $50,000 |
| AMG MG Pictet Intl - I | Fund | Member | None |
| AMG MG Pictet Intl-Z | Fund | Member | $1,001 - $15,000 |
| BBH Core Select Fund - N | Fund | Member | None |
| Blackrock High Yield PT - BLAC | Fund | Member | None |
| Brown ADV Japan Alph opp - IS | Fund | Member | None |
| Dodge & Cox Income Fund | Fund | Member | $1,001 - $15,000 |
| Dodge & Cox Intl Stock Fund | Fund | Member | $15,001 - $50,000 |
| Doubleline Totl Ret Bnd - I | Fund | Member | $1,001 - $15,000 |
| Fidelity 500 Index FD -AI | Fund | Member | None |
| IShares Barclays 1-3 Year Treasury Bond | Fund | Member | $15,001 - $50,000 |
| Ishares Core MSCI EAFE ETF | Fund | Member | None |
| Ishares JP Morgan USD Emerg | Fund | Member | None |
| Ishares MSCI EAFE Index Fund | Fund | Member | $1,001 - $15,000 |
| Ishares Russell 1000 Growth | Fund | Member | $1,001 - $15,000 |
| IShares S&P 500 Growth Index | Fund | Member | $15,001 - $50,000 |
| IShares S&P 500 Value Index | Fund | Member | $15,001 - $50,000 |
| JPM Glbl Bd opp Fd - R6 | Fund | Member | None |
| JPM Tax Free MMKT Inst Sweep Fd | Fund | Member | $1,001 - $15,000 |
| JPMorgan Betabuilders Canada ETF | Fund | Member | $1,001 - $15,000 |
| JPMorgan Betabuilders Developed Asia Ex-Japan ETF | Fund | Member | $1,001 - $15,000 |
| JPMorgan Betabuilders Europe ETF | Fund | Member | $15,001 - $50,000 |
| JPMorgan Betabuilders Japan ETF | Fund | Member | $15,001 - $50,000 |
| JPMorgan Glbl RES ENH Idx - R6 | Fund | Member | $15,001 - $50,000 |
| JPMorgan Interm T/F Bnd- R6 | Fund | Member | $15,001 - $50,000 |
| JPMorgan Intrepid Amer - I | Fund | Member | None |
| JPMorgan Intrepid Growth - I | Fund | Member | None |
| MFS Intl Value - R6 | Fund | Member | $15,001 - $50,000 |
| Pimco Short-Term Fund - Instl | Fund | Member | $1,001 - $15,000 |
| Rational Energies LLC | Other | Member | $15,001 - $50,000 |
| SPYSPDR S&P ETF Trust | Fund | Member | $100,001 - $250,000 |
| Midland National Life insurance Policy | Other | Member | $500,001 - $1,000,000 |
| North American Life Insurance Policy | Other | Member | $250,001 - $500,000 |
| John Hancock Life Insurance Policy | Other | Member | $250,001 - $500,000 |
| JPMorgan Intrepid Growth - I | Fund | Member | None |
| SPYSPDR S&P 500 ETF Trust | Fund | Member | None |
| MMM3M Company | Stock | Member | $15,001 - $50,000 |
| ABTAbbott Laboratories | Stock | Member | None |
| ABBVAbbVie Inc. | Stock | Member | $15,001 - $50,000 |
| ACNAccenture plc Class A ordinary Shares | Stock | Member | $1,001 - $15,000 |
| Activision Blizzard, Inc | Stock | Member | $1,001 - $15,000 |
| ADBEAdobe Systems Incorporated | Stock | Member | $1,001 - $15,000 |
| Aetna Inc. | Stock | Member | None |
| AFLAFLAC Incorporated | Stock | Member | $1,001 - $15,000 |
| AAgilent Technologies, Inc. | Stock | Member | $1,001 - $15,000 |
| APDAir Products and Chemicals, Inc. | Stock | Member | None |
| AKAMAkamai Technologies, Inc. | Stock | Member | None |
| ALLAllstate Corporation | Stock | Member | $1,001 - $15,000 |
| GOOGLAlphabet Inc. - Class A | Stock | Member | $15,001 - $50,000 |
| GOOGAlphabet Inc. - Class C Capital Stock | Stock | Member | $15,001 - $50,000 |
| MOAltria Group, Inc. | Stock | Member | None |
| AMZNAmazon.com, Inc. | Stock | Member | $50,001 - $100,000 |
| Amer Funds T/E BND Fund AM-F3 | Fund | Member | None |
| AALAmerican Airlines Group, Inc. | Stock | Member | None |
| AEPAmerican Electric Power Company, Inc. | Stock | Member | None |
| AXPAmerican Express Company | Stock | Member | $1,001 - $15,000 |
| AIGAmerican International Group, Inc. New | Stock | Member | None |
| American Intl Group VAR RT 04/01/48 | Bond | Member | $15,001 - $50,000 |
| AMTAmerican Tower Corporation | Stock | Member | $15,001 - $50,000 |
| American United Life Insurance Company - Policy 1 | Other | Member | $1,001 - $15,000 |
| American United Life Insurance Company - Policy 2 | Other | Member | $15,001 - $50,000 |
| AWKAmerican Water Works Company, Inc. | Stock | Member | $1,001 - $15,000 |
| CORAmerisourceBergen Corporation | Stock | Member | $1,001 - $15,000 |
| AMG MG Pictet Intl - Z | Fund | Member | None |
| AMGNAmgen Inc. | Stock | Member | $15,001 - $50,000 |
| APHAmphenol Corporation | Stock | Member | $1,001 - $15,000 |
| APCAnadarko Petroleum Corporation | Stock | Member | None |
| ADIAnalog Devices, Inc. | Stock | Member | $1,001 - $15,000 |
| AMAntero Midstream Partners LP Common Units representing limited partner interests | Stock | Member | None |
| ELVAnthem, Inc. | Stock | Member | $1,001 - $15,000 |
| AONAon plc Class A ordinary Shares | Stock | Member | $1,001 - $15,000 |
| Apollo EPF III Private Investors, LLC (onshore) | Other | Member | $250,001 - $500,000 |
| AAPLApple Inc. | Stock | Member | $50,001 - $100,000 |
| AMATApplied Materials, Inc. | Stock | Member | $1,001 - $15,000 |
| ADMArcher-Daniels-Midland Company | Stock | Member | None |
| HWMArconic Inc. | Stock | Member | $1,001 - $15,000 |
| TAT&T Inc. | Stock | Member | $15,001 - $50,000 |
| ADPAutomatic Data Processing, Inc. | Stock | Member | $15,001 - $50,000 |
| AvalonBay Communities, Inc. | Stock | Member | $1,001 - $15,000 |
| Avon OH Ser B Ltd Tax 4.5% 12/01/2029 dtd 05/13/2009 PreRefunded | Bond | Member | None |
| Bank of America Corp Var Rt 03/05/2166 dtd 09/05/2014 | Bond | Member | $15,001 - $50,000 |
| Bank of America Corp Var Rt 09/15/2166 | Bond | Member | $1,001 - $15,000 |
| Bank of America Corp Var Rt 09/17/2165 dtd 03/17/2015 | Bond | Member | $250,001 - $500,000 |
| BACBank of America Corporation | Stock | Member | $15,001 - $50,000 |
| BNYBank of New York Mellon Corporation | Stock | Member | $1,001 - $15,000 |
| Bank of NY Mellon Corp 03/20/2166 dtd 08/01/2016 | Bond | Member | $15,001 - $50,000 |
| Bank of NY Mellon Corp Var Rt 12/20/2165 dtd 04/28/2015 | Bond | Member | $15,001 - $50,000 |
| BAXBaxter International Inc. | Stock | Member | None |
| BBTBB&T Corporation | Stock | Member | $1,001 - $15,000 |
| BDXBecton, Dickinson and Company | Stock | Member | $15,001 - $50,000 |
| Benefit Street Partners IV LLC (Providence onshore) | Other | Member | $500,001 - $1,000,000 |
| BRK.BBerkshire Hathaway Inc. New | Stock | Member | $100,001 - $250,000 |
| BIIBBiogen Inc. | Stock | Member | $15,001 - $50,000 |
| Bioverativ Inc. | Stock | Member | None |
| BlackRock National MUNI-BR | Fund | Member | None |
| BLKBlackRock, Inc. | Stock | Member | $1,001 - $15,000 |
| Blackstone Commercial Real Estate Debt Fund - NQ L.P. | Other | Member | $1,001 - $15,000 |
| Blackstone Commercial Real Estate Debt Fund LP | Other | Member | $1,001 - $15,000 |
| Bloom Tree Fund QP, LP Series E | Other | Member | $250,001 - $500,000 |
| BABoeing Company | Stock | Member | None |
| BKNGBooking Holdings Inc. | Stock | Member | $1,001 - $15,000 |
| BSXBoston Scientific Corporation | Stock | Member | $1,001 - $15,000 |
| BP Midstream Partners LP Common Units representing Limited Partner Interests | Stock | Member | $15,001 - $50,000 |
| BHFBrighthouse Financial, Inc. | Stock | Member | $1,001 - $15,000 |
| BMYBristol-Myers Squibb Company | Stock | Member | None |
| AVGOBroadcom Limited - ordinary Shares | Stock | Member | $15,001 - $50,000 |
| Brown Adv Japan Alpha opp - IS | Fund | Member | None |
| Buckeye Partners L.P. | Stock | Member | None |
| CHRWC.H. Robinson Worldwide, Inc. | Stock | Member | $1,001 - $15,000 |
| C.R. Bard, Inc. | Stock | Member | None |
| CA Inc. | Stock | Member | None |
| Cabot oil & Gas Corporation | Stock | Member | None |
| Capital one Financial Co Var Rt 12/01/2165 dtd 05/14/2015 | Other | Member | $15,001 - $50,000 |
| COFCapital one Financial Corporation | Stock | Member | $1,001 - $15,000 |
| KMXCarMax Inc | Stock | Member | $1,001 - $15,000 |
| CATCaterpillar, Inc. | Stock | Member | $1,001 - $15,000 |
| CBRECBRE Group Inc Common Stock Class A | Stock | Member | $1,001 - $15,000 |
| CD&R Fund X Private Investors, Cayman LP | Other | Member | $250,001 - $500,000 |
| Celgene Corporation | Stock | Member | None |
| Centerpoint Energy Inc SR NTS VAR RT Perp Mat dtd 08/22/2018 | Bond | Member | $15,001 - $50,000 |
| CenturyLink, Inc. | Stock | Member | $1,001 - $15,000 |
| Cerberus VI Private Investors, LLC | Other | Member | $500,001 - $1,000,000 |
| Charles Schwab Corp 03/01/2166 dtd 10/31/2016 | Bond | Member | $15,001 - $50,000 |
| SCHWCharles Schwab Corporation | Stock | Member | $1,001 - $15,000 |
| Charles Schwab Corporation PFD 5.95% | Other | Member | $15,001 - $50,000 |
| CHTRCharter Communications, Inc. - Class A | Stock | Member | $1,001 - $15,000 |
| Chesterfield Cnty VA Cops Ref 5.0%; Due 11/01/21 | Bond | Member | $15,001 - $50,000 |
| CVXChevron Corporation | Stock | Member | None |
| CMGChipotle Mexican Grill, Inc. | Stock | Member | $1,001 - $15,000 |
| CBChubb Limited | Stock | Member | $15,001 - $50,000 |
| CICigna Corporation | Stock | Member | $15,001 - $50,000 |
| Cimarex Energy Co | Stock | Member | None |
| CINFCincinnati Financial Corporation | Stock | Member | $1,001 - $15,000 |
| CSCOCisco Systems, Inc. | Stock | Member | $15,001 - $50,000 |
| Citigroup Capital XIII PFD 7.875% | Bond | Member | $1,001 - $15,000 |
| CitiGroup Inc 02/15/2166 dtd 04/25/2016 | Bond | Member | $15,001 - $50,000 |
| CitiGroup Inc Var Rt 02/15/2166 dtd 08/12/2015 | Bond | Member | None |
| CitiGroup Inc Var Rt 05/15/2166 dtd 11/13/2015 | Bond | Member | $15,001 - $50,000 |
| CitiGroup Inc Var Rt 11/15/2165 dtd 04/24/2015 | Bond | Member | $250,001 - $500,000 |
| CCitigroup, Inc. | Stock | Member | $1,001 - $15,000 |
| CFGCitizens Financial Group, Inc. | Stock | Member | $1,001 - $15,000 |
| Citizens Finl Group Var Rt Prep Mat Dtd 05/24/18 | Bond | Member | $15,001 - $50,000 |
| Clark County NV Limited Tax-Flood Control Ltd 5%; Due 11/1/22 | Bond | Member | $15,001 - $50,000 |
| Clarksville TN Wtr Swr & Gas Rev Ref 5.0%; Due 02/01/22 | Bond | Member | $15,001 - $50,000 |
| CLXClorox Company | Stock | Member | None |
| CMECME Group Inc. - Class A | Stock | Member | $1,001 - $15,000 |
| CMSCMS Energy Corporation | Stock | Member | $1,001 - $15,000 |
| KOCoca-Cola Company | Stock | Member | $15,001 - $50,000 |
| CTSHCognizant Technology Solutions Corporation - Class A | Stock | Member | $1,001 - $15,000 |
| CLColgate-Palmolive Company | Stock | Member | $1,001 - $15,000 |
| CMCSAComcast Corporation - Class A | Stock | Member | $15,001 - $50,000 |
| CAGConAgra Brands, Inc. | Stock | Member | $1 - $1,000 |
| COPConocoPhillips | Stock | Member | None |
| CONSOL Energy Inc. | Stock | Member | None |
| EDConsolidated Edison, Inc. | Stock | Member | $1,001 - $15,000 |
| STZConstellation Brands, Inc. | Stock | Member | $1,001 - $15,000 |
| GLWCorning Incorporated | Stock | Member | $1,001 - $15,000 |
| COSTCostco Wholesale Corporation | Stock | Member | $1,001 - $15,000 |
| COTYCoty Inc. Class A | Stock | Member | $1,001 - $15,000 |
| Crown Castle International Corp. (REIT) | Other | Member | $15,001 - $50,000 |
| CS CBEN SPX 5/16/18 85% Barrier - 7.5% CPN 7.5% CAP Init lvl-2/10/17 SPX 2316.1 | Option | Member | None |
| CSXCSX Corporation | Stock | Member | $1,001 - $15,000 |
| CMICummins Inc. | Stock | Member | $1,001 - $15,000 |
| Cushing MLP opportunity Fund 1 LP | Other | Member | $15,001 - $50,000 |
| CVSCVS Health Corporation | Stock | Member | $1,001 - $15,000 |
| Dallas Tex Area Rapid Tran Sales Tax Rev Sr Lein 5% Dec 1 2019 Dtd | Bond | Member | None |
| DHRDanaher Corporation | Stock | Member | $15,001 - $50,000 |
| DEDeere & Company | Stock | Member | $1,001 - $15,000 |
| Dell Technologies Inc. Class V | Stock | Member | None |
| DALDelta Air Lines, Inc. | Stock | Member | $1,001 - $15,000 |
| XRAYDENTSPLY SIRONA Inc. | Stock | Member | None |
| Deutsche X-Trackers MSCI EAF | Fund | Member | $100,001 - $250,000 |
| DVNDevon Energy Corporation | Stock | Member | None |
| Digital Realty Trust Inc PFD 6.35% | Bond | Member | $15,001 - $50,000 |
| Digital Realty Trust PFD 6.625% | Bond | Member | $1,001 - $15,000 |
| DLRDigital Realty Trust, Inc. | Stock | Member | $1,001 - $15,000 |
| Discover Financial Svs Var Rt 04/30/2166 DTD 10/31/2017 | Bond | Member | $15,001 - $50,000 |
| Dodge & Cox Income Fund | Fund | Member | None |
| Dodge & Cox Intl Stock Fund | Fund | Member | None |
| DGDollar General Corporation | Stock | Member | $1,001 - $15,000 |
| DLTRDollar Tree, Inc. | Stock | Member | $1,001 - $15,000 |
| Dominion Energy Midstream Partners, LP Common Units representing Limited Partner Interests | Stock | Member | None |
| DDominion Energy, Inc. | Stock | Member | None |
| DDDowDuPont Inc. | Stock | Member | None |
| DUKDuke Energy Corporation | Stock | Member | None |
| DXCDXC Technology Company | Stock | Member | $1,001 - $15,000 |
| E*Trade Financial Corp VAR RT 09/15/2166 DTD 12/06/2017 | Bond | Member | $15,001 - $50,000 |
| ETNEaton Corporation, PLC ordinary Shares | Stock | Member | $1,001 - $15,000 |
| ECLEcolab Inc. | Stock | Member | $15,001 - $50,000 |
| EIXEdison International | Stock | Member | None |
| EWEdwards Lifesciences Corporation | Stock | Member | $1,001 - $15,000 |
| EAElectronic Arts Inc. | Stock | Member | None |
| LLYEli Lilly and Company | Stock | Member | None |
| EMREmerson Electric Company | Stock | Member | $1,001 - $15,000 |
| ENBEnbridge Inc | Stock | Member | None |
| Energy Transfer Equity, L.P. Energy Transfer Equity, L.P. Common Units representing Limited Partners | Stock | Member | None |
| EnLink Midstream Partners, LP Common Units Representing Limited Partnership Interests | Stock | Member | None |
| EnLink Midstream, LLC Common Units representing Limited Partner Interests | Stock | Member | None |
| ETREntergy Corporation | Stock | Member | None |
| EPDEnterprise Products Partners L.P. | Stock | Member | None |
| Envision Healthcare Corporation | Stock | Member | None |
| EOGEOG Resources, Inc. | Stock | Member | None |
| EQT GP Holdings, LP Common Units representing limited partner interests | Stock | Member | None |
| EQT Midstream Partners, LP Common Units representing Limited Partner Interests | Stock | Member | None |
| EFXEquifax, Inc. | Stock | Member | $1,001 - $15,000 |
| EQIXEquinix, Inc. | Stock | Member | $1,001 - $15,000 |
| Equity Residential Common Shares of Beneficial Interest | Stock | Member | $1,001 - $15,000 |
| Everest Reinsurance Hldg Var Rt 05/15/2037 dtd 05/03/2007 | Bond | Member | None |
| ESEversource Energy | Stock | Member | $1,001 - $15,000 |
| Express Scripts Holding Company | Stock | Member | None |
| EXRExtra Space Storage Inc | Stock | Member | $1,001 - $15,000 |
| FNBF.N.B. Corporation | Stock | Member | None |
| METAFacebook, Inc. - Class A | Stock | Member | $15,001 - $50,000 |
| FASTFastenal Company | Stock | Member | $1,001 - $15,000 |
| FDXFedEx Corporation | Stock | Member | $1,001 - $15,000 |
| Fifth Third Bancorp 09/30/2165 DTD 06/05/2014 | Bond | Member | $1,001 - $15,000 |
| Fifth Third Bancorp 12/31/2166 DTD 05/16/2013 | Bond | Member | $15,001 - $50,000 |
| FEFirstEnergy Corporation | Stock | Member | None |
| FISVFiserv, Inc. | Stock | Member | $1,001 - $15,000 |
| FLRFluor Corporation | Stock | Member | None |
| FMCFMC Corporation | Stock | Member | None |
| FFord Motor Company | Stock | Member | $1,001 - $15,000 |
| FTVFortive Corporation | Stock | Member | $1,001 - $15,000 |
| BENFranklin Resources, Inc. | Stock | Member | $1,001 - $15,000 |
| FCXFreeport-McMoRan, Inc. | Stock | Member | None |
| FUJIFILM Holdings Corporation American Depositary Shares | Stock | Member | None |
| Gap, Inc. | Stock | Member | $1 - $1,000 |
| GDGeneral Dynamics Corporation | Stock | Member | None |
| General Electric Co 5% 6/15/2166 dtd 01/20/2016 | Other | Member | None |
| GISGeneral Mills, Inc. | Stock | Member | $1,001 - $15,000 |
| GMGeneral Motors Company | Stock | Member | $15,001 - $50,000 |
| GPCGenuine Parts Company | Stock | Member | $1,001 - $15,000 |
| GIF IV Private Investors onshore LLC Class A | Other | Member | $50,001 - $100,000 |
| GILDGilead Sciences, Inc. | Stock | Member | $15,001 - $50,000 |
| Goldman Sachs Capital II 5.793% Dec 03 2165 dtd 05/08/2007 | Bond | Member | $1,001 - $15,000 |
| Goldman Sachs Group, Inc Var Rt 05/10/2166 dtd 11/01/2017 | Bond | Member | $15,001 - $50,000 |
| Goldman Sachs Group, Inc Var Rt 11/10/2165 dtd 04/23/2015 | Bond | Member | $250,001 - $500,000 |
| Goldman Sachs Group, Inc Var Rt 11/10/2165 dtd 07/27/2016 | Bond | Member | $15,001 - $50,000 |
| GSGoldman Sachs Group, Inc. | Stock | Member | $1,001 - $15,000 |
| GSO Private Investors II, LLC Class B | Other | Member | $50,001 - $100,000 |
| HALHalliburton Company | Stock | Member | None |
| Harris Cnty Tx Sr Lien-Toll Rd-Ser A 5% 08/15/2028 dtd 05/14/2009 | Bond | Member | $15,001 - $50,000 |
| HIGHartford Financial Services Group, Inc. | Stock | Member | $1,001 - $15,000 |
| HCAHCA Healthcare, Inc. | Stock | Member | $1,001 - $15,000 |
| Hess Corporation | Stock | Member | None |
| HPEHewlett Packard Enterprise Company | Stock | Member | $1,001 - $15,000 |
| HI St Prerefded-Ser DZ Unlimited Tax 5% 12/01/2019 dtd 12/07/2011 | Bond | Member | $15,001 - $50,000 |
| HDHome Depot, Inc. | Stock | Member | $15,001 - $50,000 |
| HONHoneywell International Inc. | Stock | Member | None |
| Honolulu City & Cnty HI Wstwtr Sys Rev 5% A Jul 01 2025 Dtd | Bond | Member | $15,001 - $50,000 |
| HSTHost Hotels & Resorts, Inc. | Stock | Member | $1,001 - $15,000 |
| HPQHP Inc. | Stock | Member | $1,001 - $15,000 |
| HPS Mezzanine Private Investors III LLC onshore | Other | Member | $500,001 - $1,000,000 |
| HUMHumana Inc. | Stock | Member | $1,001 - $15,000 |
| Huntington Bancshares VAR RT 07/15/2167 | Bond | Member | $15,001 - $50,000 |
| IA St Fin Auth Rev Ref-Green Bond 5.0%; Due 08/01/23 | Bond | Member | $15,001 - $50,000 |
| ITWIllinois Tool Works Inc. | Stock | Member | $1,001 - $15,000 |
| ILMNIllumina, Inc. | Stock | Member | $1,001 - $15,000 |
| INCYIncyte Corporation | Stock | Member | $1,001 - $15,000 |
| IRIngersoll-Rand plc | Stock | Member | $1,001 - $15,000 |
| INTCIntel Corporation | Stock | Member | $15,001 - $50,000 |
| ICEIntercontinental Exchange Inc. | Stock | Member | $1,001 - $15,000 |
| IBMInternational Business Machines Corporation | Stock | Member | $1,001 - $15,000 |
| IPInternational Paper Company | Stock | Member | $1,001 - $15,000 |
| Interpublic Group of Companies, Inc. | Stock | Member | $1,001 - $15,000 |
| INTUIntuit Inc. | Stock | Member | $1,001 - $15,000 |
| ISRGIntuitive Surgical, Inc. | Stock | Member | $1,001 - $15,000 |
| IVZInvesco Ltd | Stock | Member | None |
| IPGPIPG Photonics Corporation | Stock | Member | $1,001 - $15,000 |
| IRMIron Mountain Incorporated | Stock | Member | None |
| IShares Barclays 1-3 Year Treasury Bond Fund | Fund | Member | None |
| Ishares Core MSCI EAFE ETF | Fund | Member | None |
| Ishares JP Morgan USD Emerg | Fund | Member | None |
| Ishares MSCI EAFE Index Fund | Fund | Member | None |
| IShares S&P 500 Growth Index Fund | Fund | Member | $15,001 - $50,000 |
| IShares S&P 500 Value Index Fund | Fund | Member | $15,001 - $50,000 |
| JBHTJ.B. Hunt Transport Services, Inc. | Stock | Member | $1,001 - $15,000 |
| Jacksonville Florida Special Rev Jacksonville 5% B-1A oct 01 2024 Dtd | Bond | Member | $15,001 - $50,000 |
| Jana Partners Qualified, LP Class A | Other | Member | $250,001 - $500,000 |
| JNJJohnson & Johnson | Stock | Member | None |
| JCIJohnson Controls International plc ordinary Share | Stock | Member | $1,001 - $15,000 |
| JP Morgan Alternative Property Fd Domestic 1 LP | Other | Member | $1,001 - $15,000 |
| JP Morgan Chase & Co Var Rt 10/30/2165 dtd 03/10/2014 | Other | Member | $100,001 - $250,000 |
| JPMJP Morgan Chase & Co. | Stock | Member | $15,001 - $50,000 |
| JPM CBEN Rty 5/16/18 85% Barrier - 10.5% Cpn 10.5% Cap Init Lvl-2/10/17 Rty 1388.844 | Option | Member | None |
| JPM Tax Free MMKT Inst Sweep Fd | Fund | Member | $50,001 - $100,000 |
| JPM US Real Estate Income & Growth Direct LP | Other | Member | $500,001 - $1,000,000 |
| JPMorgan Betabuilders Canada ETF | Fund | Member | None |
| JPMorgan Betabuilders Developed Asia Ex-Japan ETF | Fund | Member | $100,001 - $250,000 |
| JPMorgan Betabuilders Europe ETF | Fund | Member | $100,001 - $250,000 |
| JPMorgan Betabuilders Japan ETF | Fund | Member | $250,001 - $500,000 |
| JPMorgan Glbl RES ENH IDX - R6 | Fund | Member | None |
| JPMorgan Glbl RES ENH Idx - R6 | Fund | Member | $500,001 - $1,000,000 |
| JPMorgan Managed Income - L share Clas Fd 2119 1.33% | Fund | Member | None |
| JPMorgan US L/C Core PI - R6 | Fund | Member | $100,001 - $250,000 |
| JPMorgan US L/C Core Pl - I | Fund | Member | None |
| Kansas City Southern | Stock | Member | $1,001 - $15,000 |
| KEYKeyCorp | Stock | Member | $1,001 - $15,000 |
| KeyCorp Var Rt 12/15/2165 dtd 09/09/2016 | Other | Member | $1,001 - $15,000 |
| KMBKimberly-Clark Corporation | Stock | Member | None |
| KMIKinder Morgan, Inc. | Stock | Member | None |
| KLACKLA-Tencor Corporation | Stock | Member | $1,001 - $15,000 |
| KSSKohl's Corporation | Stock | Member | $1,001 - $15,000 |
| KRKroger Company | Stock | Member | None |
| KS St. Dept of Transprtn Hwy Rev Ser C 5.0%; Due 09/01/20 | Bond | Member | $15,001 - $50,000 |
| LA St Gas & Fuels Tax Revenue 4.0%; Due 05/01/22 | Bond | Member | $15,001 - $50,000 |
| Lake Travis TX Indep Sch Dist Perm Sch Gtd Fund Unlimited Tax 5% Feb | Bond | Member | $15,001 - $50,000 |
| LWLamb Weston Holdings, Inc. | Stock | Member | None |
| LDOSLeidos Holdings, Inc. | Stock | Member | None |
| Liberty Mutual Group Inc 7.8% 03/15/2037 dtd 03/07/2007 | Fund | Member | $15,001 - $50,000 |
| LNCLincoln National Corporation | Stock | Member | $1,001 - $15,000 |
| LINLinde plc ordinary Share | Stock | Member | $15,001 - $50,000 |
| LMTLockheed Martin Corporation | Stock | Member | None |
| LLoews Corporation | Stock | Member | None |
| LOWLowe's Companies, Inc. | Stock | Member | $1,001 - $15,000 |
| LYBLyondellBasell Industries NV ordinary Shares Class A | Stock | Member | $1,001 - $15,000 |
| MTBM&T Bank Corporation | Stock | Member | $1,001 - $15,000 |
| M&T Bank Corporation 05/01/2166 dtd 10/28/2016 | Other | Member | $15,001 - $50,000 |
| MA St Wtr Res Auth A 5.25% Aug 01 2020 dtd 04/14/2005 Held by B/E only | Bond | Member | None |
| Mackay Municipal Strategic opportunities Fd, LP Cl A Interests 03-17 | Other | Member | $1,000,001 - $5,000,000 |
| Madison AL Prerefunded-Warrants Unltd Tax 5.15% 02/01/2039 | Bond | Member | $15,001 - $50,000 |
| Magellan Midstream Partners L.P. Limited Partnership | Stock | Member | None |
| Managed Futures LLC 04-15 | Other | Member | $250,001 - $500,000 |
| MPCMarathon Petroleum Corporation | Stock | Member | None |
| Maricopa Cnty AZ Cmnty College Dist Unlimited Tax 5% C Jul 01 2018 | Bond | Member | None |
| MARMarriott International - Class A | Stock | Member | $1,001 - $15,000 |
| MRSHMarsh & McLennan Companies, Inc. | Stock | Member | $1,001 - $15,000 |
| MLMMartin Marietta Materials, Inc. | Stock | Member | None |
| MAMastercard Incorporated | Stock | Member | $15,001 - $50,000 |
| MATMattel, Inc. | Stock | Member | $1,001 - $15,000 |
| MKCMcCormick & Company, Incorporated | Stock | Member | $1,001 - $15,000 |
| MCDMcDonald's Corporation | Stock | Member | $15,001 - $50,000 |
| MCKMcKesson Corporation | Stock | Member | None |
| MDTMedtronic plc. ordinary Shares | Stock | Member | $15,001 - $50,000 |
| Memphis TN REF- GEN IMPT SER B | Bond | Member | $15,001 - $50,000 |
| MRKMerck & Company, Inc. Common Stock | Stock | Member | None |
| MetLife, Inc Var Rt 12/15/2165 dtd 06/01/2015 | Bond | Member | $250,001 - $500,000 |
| METMetLife, Inc. | Stock | Member | $15,001 - $50,000 |
| Metropolitan West T/R BD-PLN | Fund | Member | $250,001 - $500,000 |
| MFS Intl Value - R6 | Fund | Member | None |
| MUMicron Technology, Inc. | Stock | Member | $1,001 - $15,000 |
| MSFTMicrosoft Corporation | Stock | Member | $50,001 - $100,000 |
| MN St Gen Fd Rev 5% 03/01/2022 dtd 11/21/2012 | Bond | Member | $15,001 - $50,000 |
| Mo St Hwys & Trnst Ref-1st Lien-Ser A 5% 05/01/2021 dtd 06/03/2014 | Bond | Member | $15,001 - $50,000 |
| MHKMohawk Industries, Inc. | Stock | Member | $1,001 - $15,000 |
| MDLZMondelez International, Inc. - Class A | Stock | Member | $1,001 - $15,000 |
| Monsanto Company | Stock | Member | None |
| MNSTMonster Beverage Corporation | Stock | Member | $1,001 - $15,000 |
| MSMorgan Stanley | Stock | Member | $1,001 - $15,000 |
| Morgan Stanley PFD 5.85% | Bond | Member | $1,001 - $15,000 |
| Morgan Stanley PFD 6.375% | Other | Member | $1,001 - $15,000 |
| Morgan Stanley Var Rt 07/15/2165 dtd 03/19/2015 | Bond | Member | $250,001 - $500,000 |
| MOSMosaic Company | Stock | Member | $1,001 - $15,000 |
| MPLXMPLX LP Common Units Representing Limited Partner Interests | Stock | Member | $15,001 - $50,000 |
| MS St Dev BK SPL OBLG Pearl Public School Dist 4.0%; Due 04/01/21 | Bond | Member | $15,001 - $50,000 |
| Mylan N.V. | Stock | Member | None |
| National oilwell Varco, Inc. | Stock | Member | None |
| NAVINavient Corporation | Stock | Member | None |
| NTAPNetApp, Inc. | Stock | Member | $1,001 - $15,000 |
| NFLXNetflix, Inc. | Stock | Member | $15,001 - $50,000 |
| NWLNewell Brands Inc. | Stock | Member | $1,001 - $15,000 |
| NEMNewmont Mining Corporation | Stock | Member | None |
| NWSANews Corporation - Class A | Stock | Member | $1 - $1,000 |
| NEENextEra Energy, Inc. | Stock | Member | None |
| NKENike, Inc. | Stock | Member | $15,001 - $50,000 |
| NINiSource Inc | Stock | Member | $1,001 - $15,000 |
| Nisource Inc PFD 6.5% | Bond | Member | $1,001 - $15,000 |
| NSCNorfolk Southern Corporation | Stock | Member | None |
| Northern AZ Univ Ref-Sys 5.0%; Due 06/01/19 | Bond | Member | $15,001 - $50,000 |
| NOCNorthrop Grumman Corporation | Stock | Member | None |
| Amount owed to the filer (debtor not shown) | Other | Member | $100,001 - $250,000 |
| NRGNRG Energy, Inc. | Stock | Member | None |
| NVDANVIDIA Corporation | Stock | Member | $1,001 - $15,000 |
| NY Community Bancorp Inc PFD 6.375% | Bond | Member | $1,001 - $15,000 |
| NY St Dorm Auth St Personal Inc Tax Rev Ref-Ser E 5.0%; Due 03/15/22 | Bond | Member | $15,001 - $50,000 |
| OXYOccidental Petroleum Corporation | Stock | Member | None |
| Ohio St Ref-Ser A Ltd Tax 5.0%; Due 09/01/23 | Bond | Member | $15,001 - $50,000 |
| ORCLOracle Corporation | Stock | Member | $15,001 - $50,000 |
| ORLYO'Reilly Automotive, Inc. | Stock | Member | $1,001 - $15,000 |
| PA St Higher Edl Facs Auth Rev Trustees Univ PA 5% Sep 01 2026 | Bond | Member | $15,001 - $50,000 |
| PCARPACCAR Inc. | Stock | Member | $1,001 - $15,000 |
| Palm Beach Cnty Fl Ref-Rec & Cultural Facs Unltd Tax 5% | Bond | Member | $15,001 - $50,000 |
| Paranassus Core Equity FD-INS | Fund | Member | None |
| PHParker-Hannifin Corporation | Stock | Member | $1,001 - $15,000 |
| PAYXPaychex, Inc. | Stock | Member | $1,001 - $15,000 |
| PYPLPayPal Holdings, Inc. | Stock | Member | $15,001 - $50,000 |
| PEG Secondary Private Equity Investors III LP | Other | Member | $100,001 - $250,000 |
| PEPPepsico, Inc. | Stock | Member | $15,001 - $50,000 |
| PFEPfizer, Inc. | Stock | Member | None |
| PGIM Total Return Bond Fund | Fund | Member | $250,001 - $500,000 |
| PMPhilip Morris International Inc | Stock | Member | $1,001 - $15,000 |
| PSXPhillips 66 | Stock | Member | None |
| Phillips 66 Partners LP Common Units representing limited partner interest in the Partnership | Stock | Member | None |
| Phillips Adam Smith Partners, LLC (f/k/a Adam Smith Fund, LLC) | Other | Member | $100,001 - $250,000 |
| Phoenix AZ Ref Unlimited Tax 4% 07/01/2021 dtd 06/24/2014 | Bond | Member | $15,001 - $50,000 |
| PIMCO Fd PAC Inv Mgmt Series High Yield Fd - I | Fund | Member | None |
| Pimco Short Term Fund Instl | Fund | Member | None |
| PAAPlains All American Pipeline, L.P. | Stock | Member | None |
| PNC Financial Services 6 3/4% 02/01/2166 dtd 07/27/2011 | Other | Member | $15,001 - $50,000 |
| PNCPNC Financial Services Group, Inc. | Stock | Member | $1,001 - $15,000 |
| PNC Financial Services VAR RT 12/31/2049 dtd 05/07/2013 | Bond | Member | $15,001 - $50,000 |
| PPGPPG Industries, Inc. | Stock | Member | $1,001 - $15,000 |
| Praxair, Inc. | Stock | Member | None |
| PFGPrincipal Financial Group Inc | Stock | Member | $1,001 - $15,000 |
| PGProcter & Gamble Company | Stock | Member | $15,001 - $50,000 |
| PGRProgressive Corporation | Stock | Member | $1,001 - $15,000 |
| PLDProLogis, Inc. | Stock | Member | $1,001 - $15,000 |
| PEGPublic Service Enterprise Group Incorporated | Stock | Member | None |
| PSAPublic Storage | Stock | Member | $1,001 - $15,000 |
| PHMPulteGroup, Inc. | Stock | Member | $1,001 - $15,000 |
| PVHPVH Corp. | Stock | Member | $1,001 - $15,000 |
| QCOMQUALCOMM Incorporated | Stock | Member | $15,001 - $50,000 |
| DGXQuest Diagnostics Incorporated | Stock | Member | $1,001 - $15,000 |
| Raleigh NC Comb Enterprise Sys Rev 5% Mar 01 2021 dtd 02/10/2011 | Bond | Member | $15,001 - $50,000 |
| Raytheon Company | Stock | Member | None |
| Red Hat, Inc. | Stock | Member | $1,001 - $15,000 |
| REGNRegeneron Pharmaceuticals, Inc. | Stock | Member | $1,001 - $15,000 |
| RFRegions Financial Corporation | Stock | Member | $1,001 - $15,000 |
| RSGRepublic Services, Inc. | Stock | Member | $1,001 - $15,000 |
| ROKRockwell Automation, Inc. | Stock | Member | $1,001 - $15,000 |
| Rockwell Collins, Inc. | Stock | Member | None |
| ROPRoper Technologies, Inc. | Stock | Member | $1,001 - $15,000 |
| ROSTRoss Stores, Inc. | Stock | Member | $1,001 - $15,000 |
| Rutherford Cnty TN consol Util Dist Wtrwks Rev Ref 4% | Bond | Member | None |
| SPGIS&P Global Inc. | Stock | Member | $1,001 - $15,000 |
| CRMSalesforce.com Inc | Stock | Member | $1,001 - $15,000 |
| SC ST Jobs-Econ Dev Auth Hosp Rev-Palmetto Hlth- Ser A 5%; Due 8/1/28 | Bond | Member | $1,001 - $15,000 |
| SLBSchlumberger N.V. | Stock | Member | None |
| Scripps Networks Interactive, Inc - Class A | Stock | Member | None |
| SD St BRD of Rghts HSG & Auxillary Fac Sys Rev 5.0%; Due 04/01/19 | Bond | Member | $15,001 - $50,000 |
| STXSeagate Technology PLC - ordinary Shares | Stock | Member | None |
| SRESempra Energy | Stock | Member | None |
| SHWSherwin-Williams Company | Stock | Member | $1,001 - $15,000 |
| SPGSimon Property Group, Inc. | Stock | Member | $1,001 - $15,000 |
| SLM Corp Var Rate PFD | Bond | Member | $1,001 - $15,000 |
| SOSouthern Company | Stock | Member | None |
| LUVSouthwest Airlines Company | Stock | Member | $1,001 - $15,000 |
| SPDR Euro STOXX 50 ETF | Fund | Member | $100,001 - $250,000 |
| SPYSPDR S&P 500 ETF Trust | Fund | Member | $1,000,001 - $5,000,000 |
| SBUXStarbucks Corporation | Stock | Member | $1,001 - $15,000 |
| Starwood SOF XI Private Investors | Other | Member | $15,001 - $50,000 |
| State Street Corp Var Rt 09/15/2165 dtd 05/21/2015 | Other | Member | $15,001 - $50,000 |
| STTState Street Corporation | Stock | Member | $1,001 - $15,000 |
| Stifel Financial Corporation PFD 6.25% | Bond | Member | $1,001 - $15,000 |
| SYKStryker Corporation | Stock | Member | $15,001 - $50,000 |
| Suntrust Banks Inc 12/15/2165 dtd 05/02/2017 | Bond | Member | $1,001 - $15,000 |
| SunTrust Banks, Inc. Var Rt 06/15/2166 dtd 11/07/2014 | Bond | Member | $250,001 - $500,000 |
| GENSymantec Corporation | Stock | Member | None |
| Synovus Financial Corp PFD 6.3% | Bond | Member | $1,001 - $15,000 |
| SYYSysco Corporation | Stock | Member | $1,001 - $15,000 |
| T Rowe Price Summit Muni Inc | Fund | Member | $250,001 - $500,000 |
| TROWT. Rowe Price Group, Inc. | Stock | Member | $1,001 - $15,000 |
| TRGPTarga Resources, Inc. | Stock | Member | None |
| TGTTarget Corporation | Stock | Member | $1,001 - $15,000 |
| TCF Financial Co. PFD | Bond | Member | None |
| TELTE Connectivity Ltd. New Switzerland Registered Shares | Stock | Member | None |
| TXNTexas Instruments Incorporated | Stock | Member | $15,001 - $50,000 |
| Textron Financial Corp VAR RT 02/15/2067 DTD 02/08/2007 | Bond | Member | $15,001 - $50,000 |
| TXTTextron Inc. | Stock | Member | None |
| KHCThe Kraft Heinz Company | Stock | Member | None |
| TRVThe Travelers Companies, Inc. | Stock | Member | None |
| TMOThermo Fisher Scientific Inc | Stock | Member | $15,001 - $50,000 |
| Tiffany & Co. | Stock | Member | $1,001 - $15,000 |
| TJXTJX Companies, Inc. | Stock | Member | $1,001 - $15,000 |
| TDGTransdigm Group Incorporated Transdigm Group Inc. | Stock | Member | $1,001 - $15,000 |
| FOXATwenty-First Century Fox, Inc. - Class A | Stock | Member | None |
| TSNTyson Foods, Inc. | Stock | Member | None |
| USBU.S. Bancorp | Stock | Member | $1,001 - $15,000 |
| U.S. Bancorp PFD 5.5% | Bond | Member | $15,001 - $50,000 |
| U.S. Bancorp Var Rt 01/15/2166 dtd 11/23/2015 | Other | Member | $50,001 - $100,000 |
| UNPUnion Pacific Corporation | Stock | Member | $15,001 - $50,000 |
| UALUnited Continental Holdings | Stock | Member | $1,001 - $15,000 |
| UPSUnited Parcel Service, Inc. | Stock | Member | $1,001 - $15,000 |
| RTXUnited Technologies Corporation | Stock | Member | None |
| UNHUnitedHealth Group Incorporated Common Stock | Stock | Member | $15,001 - $50,000 |
| UHSUniversal Health Services, Inc. | Stock | Member | $1,001 - $15,000 |
| UNMUnum Group | Stock | Member | $1,001 - $15,000 |
| VFCV.F. Corporation | Stock | Member | $1,001 - $15,000 |
| VA St Pub Sch Auth Sch Technology & Sec NTS Ser V 5.0&; Due 04/15/20 | Bond | Member | $15,001 - $50,000 |
| Valero Energy Partners LP Common Units representing limited partner interests | Stock | Member | None |
| Vanguard Intm Trm T/E - ADM | Fund | Member | $1,000,001 - $5,000,000 |
| Varian Medical Systems, Inc. | Stock | Member | $1,001 - $15,000 |
| VZVerizon Communications Inc. | Stock | Member | $15,001 - $50,000 |
| VRTXVertex Pharmaceuticals Incorporated | Stock | Member | $1,001 - $15,000 |
| VVisa Inc. | Stock | Member | $15,001 - $50,000 |
| Voya Financial Inc VAR RT Perp Mat dtd 09/12/2018 | Bond | Member | $1,001 - $15,000 |
| VMCVulcan Materials Company | Stock | Member | None |
| GWWW.W. Grainger, Inc. | Stock | Member | $1,001 - $15,000 |
| WA St Refunding Motor Vehicle Fuel Series R D | Bond | Member | $15,001 - $50,000 |
| Wachovia Cap Trust III Var Rt Mar 15 2166 dtd 2/1/2006 | Bond | Member | $250,001 - $500,000 |
| Walgreens Boots Alliance, Inc. | Stock | Member | $1,001 - $15,000 |
| WMTWal-Mart Stores, Inc. | Stock | Member | $15,001 - $50,000 |
| DISWalt Disney Company | Stock | Member | $15,001 - $50,000 |
| WMWaste Management, Inc. | Stock | Member | $1,001 - $15,000 |
| WATWaters Corporation | Stock | Member | $1,001 - $15,000 |
| WFCWells Fargo & Company | Stock | Member | $15,001 - $50,000 |
| Wells Fargo & Company 7.98% PFD Stk 09/15/2165 dtd 02/08/2008 | Bond | Member | $1,001 - $15,000 |
| Wells Fargo & Company Var Rt 06/15/2166 dtd 01/23/2015 | Bond | Member | $15,001 - $50,000 |
| Wells Fargo & Company VAR RT 12/15/2165 dtd 04/22/2014 | Bond | Member | $15,001 - $50,000 |
| WELLWelltower Inc. | Stock | Member | $1,001 - $15,000 |
| WDCWestern Digital Corporation | Stock | Member | $1,001 - $15,000 |
| Western Gas Equity Partners, LP Common Units Representing Limited Partner Interests | Stock | Member | None |
| WESWestern Gas Partners, LP Limited Partner Interests | Stock | Member | None |
| WUWestern Union Company | Stock | Member | None |
| WYWeyerhaeuser Company | Stock | Member | $1,001 - $15,000 |
| WHRWhirlpool Corporation | Stock | Member | None |
| WI St Clean Water Revenue Refunding Series 1 | Bond | Member | $15,001 - $50,000 |
| WMBWilliams Companies, Inc. | Stock | Member | None |
| Willis Towers Watson Public Limited Company - ordinary Shares | Stock | Member | $1,001 - $15,000 |
| WV St Ser A Unltd Tax 5.0%; Due 12/01/23 | Bond | Member | $15,001 - $50,000 |
| WYNNWynn Resorts, Limited | Stock | Member | $1,001 - $15,000 |
| XRXXerox Corporation | Stock | Member | $1,001 - $15,000 |
| XL Group Ltd. | Stock | Member | None |
| YUMYum! Brands, Inc. | Stock | Member | $1,001 - $15,000 |
How reports are read: holdings methodology.