# EDGAR Filing Document

**Accession Number:** 0001640335
**File Stem:** 0001640335-25-000006
**Filing Date:** 2025-11
**Character Count:** 19252
**Document Hash:** db50a13373238a31937d3496e252d516
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001640335-25-000006.hdr.sgml**: 20251124

**ACCESSION NUMBER**: 0001640335-25-000006

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20251124

**DATE AS OF CHANGE**: 20251124

**EFFECTIVENESS DATE**: 20251124

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Pointe Capital Management LLC
- **CENTRAL INDEX KEY:** 0001640335

**ORGANIZATION NAME:**
- **EIN:** 271911026
- **STATE OF INCORPORATION:** MI
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-16955
- **FILM NUMBER:** 251512151

**BUSINESS ADDRESS:**
- **STREET 1:** 102 KERCHEVAL AVE., SUITE 200
- **CITY:** GROSSE POINTE FARMS
- **STATE:** MI
- **ZIP:** 48236
- **BUSINESS PHONE:** 3138827100

**MAIL ADDRESS:**
- **STREET 1:** 102 KERCHEVAL AVE., SUITE 200
- **CITY:** GROSSE POINTE FARMS
- **STATE:** MI
- **ZIP:** 48236

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 09-30-2025

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Pointe Capital Management LLC<br>**Address:** 102 KERCHEVAL AVE. SUITE 200<br>GROSSE POINTE FARMS, MI 48236

**Form 13F File Number:** 028-16955

**CRD Number (if applicable):** 000152520

**SEC File Number (if applicable):** 801-70983

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Bob Mullenbach<br>**Title:** Account Administrator<br>**Phone:** 5025924684

**Signature, Place, and Date of Signing:**

Bob Mullenbach  Buckner, KY  09-30-2025<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 154

**Form 13F Information Table Value Total:** $204541253

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABBOTT LABS COM | Stock | 002824100 |  | 527991 | 3942 | SH |  | SOLE |  | 3942 | 0 | 0 |
| ALERIAN ENERGY INFRASTRUCTURE ETF | ETF | 00162Q676 |  | 263232 | 8122 | SH |  | SOLE |  | 8122 | 0 | 0 |
| ALPHABET INC CAP STK CL C | Stock | 02079K107 |  | 2569696 | 10551 | SH |  | SOLE |  | 10551 | 0 | 0 |
| ALPS TRUST ETF ALERIAN MLP | ETF | 00162Q452 |  | 1139797 | 24287 | SH |  | SOLE |  | 24287 | 0 | 0 |
| AMAZON.COM INC | Stock | 023135106 |  | 2386945 | 10871 | SH |  | SOLE |  | 10871 | 0 | 0 |
| AMERICAN EXPRESS CO COM | Stock | 025816109 |  | 232180 | 699 | SH |  | SOLE |  | 699 | 0 | 0 |
| AMERIPRISE FINANCIAL INC. | Stock | 03076C106 |  | 673995 | 1372 | SH |  | SOLE |  | 1372 | 0 | 0 |
| AMPLIFY CYBERSECURITY ETF | ETF | 032108664 |  | 626564 | 7218 | SH |  | SOLE |  | 7218 | 0 | 0 |
| ANALOG DEVICES INC COM | Stock | 032654105 |  | 725306 | 2952 | SH |  | SOLE |  | 2952 | 0 | 0 |
| APPLE INC | Stock | 037833100 |  | 5692254 | 22355 | SH |  | SOLE |  | 22355 | 0 | 0 |
| ARCHER DANIELS MIDLAND CO COM | Stock | 039483102 |  | 433832 | 7262 | SH |  | SOLE |  | 7262 | 0 | 0 |
| ASTRAZENECA PLC- SPONS ADR | ADR | 046353108 |  | 520468 | 6784 | SH |  | SOLE |  | 6784 | 0 | 0 |
| BAKER HUGHES INC | Stock | 05722G100 |  | 1441576 | 29589 | SH |  | SOLE |  | 29589 | 0 | 0 |
| BANK AMERICA CORP COM | Stock | 060505104 |  | 902309 | 17490 | SH |  | SOLE |  | 17490 | 0 | 0 |
| BAXTER INTL INC COM | Stock | 071813109 |  | 252337 | 11082 | SH |  | SOLE |  | 11082 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL CL B NEW | Stock | 084670702 |  | 6924238 | 13773 | SH |  | SOLE |  | 13773 | 0 | 0 |
| BLACKROCK LIMITED DURATION INCOME TRUST | CEF | 09249W101 |  | 360710 | 25765 | SH |  | SOLE |  | 25765 | 0 | 0 |
| BOEING CO COM | Stock | 097023105 |  | 839795 | 3891 | SH |  | SOLE |  | 3891 | 0 | 0 |
| BOOKING HOLDINGS INC COM | Stock | 09857L108 |  | 237568 | 44 | SH |  | SOLE |  | 44 | 0 | 0 |
| CALAMOS STRATEGIC TOTAL RETURN FD | CEF | 128125101 |  | 2531245 | 131221 | SH |  | SOLE |  | 131221 | 0 | 0 |
| CAPITAL ONE FINANCIAL CORP | Stock | 14040H105 |  | 590760 | 2779 | SH |  | SOLE |  | 2779 | 0 | 0 |
| CARRIER GLOBAL CORPORATION COM | Stock | 14448C104 |  | 490913 | 8223 | SH |  | SOLE |  | 8223 | 0 | 0 |
| CHARLES SCHWAB CORP | Stock | 808513105 |  | 657215 | 6884 | SH |  | SOLE |  | 6884 | 0 | 0 |
| CHENIERE ENERGY INC COM NEW | Stock | 16411R208 |  | 1557917 | 6630 | SH |  | SOLE |  | 6630 | 0 | 0 |
| CHEVRON CORP NEW COM | Stock | 166764100 |  | 580940 | 3741 | SH |  | SOLE |  | 3741 | 0 | 0 |
| CHUBB LIMITED COM | Stock | H1467J104 |  | 453294 | 1606 | SH |  | SOLE |  | 1606 | 0 | 0 |
| CISCO SYS INC | Stock | 17275R102 |  | 941186 | 13756 | SH |  | SOLE |  | 13756 | 0 | 0 |
| CITIGROUP INC | Stock | 172967424 |  | 457055 | 4503 | SH |  | SOLE |  | 4503 | 0 | 0 |
| CITIZENS FINL GROUP INC COM | Stock | 174610105 |  | 334270 | 6288 | SH |  | SOLE |  | 6288 | 0 | 0 |
| CMS ENERGY CORP COM | Stock | 125896100 |  | 257509 | 3515 | SH |  | SOLE |  | 3515 | 0 | 0 |
| CONOCOPHILLIPS COM | Stock | 20825C104 |  | 739410 | 7817 | SH |  | SOLE |  | 7817 | 0 | 0 |
| CORTEVA INC COM | Stock | 22052L104 |  | 301268 | 4455 | SH |  | SOLE |  | 4455 | 0 | 0 |
| COSTCO WHOLESALE CORP | Stock | 22160K105 |  | 3040695 | 3285 | SH |  | SOLE |  | 3285 | 0 | 0 |
| CRESCENT ENERGY COMPANY CL A COM | Stock | 44952J104 |  | 334928 | 37548 | SH |  | SOLE |  | 37548 | 0 | 0 |
| DANAHER CORP | Stock | 235851102 |  | 427845 | 2158 | SH |  | SOLE |  | 2158 | 0 | 0 |
| DISNEY WALT CO COM | Stock | 254687106 |  | 442428 | 3864 | SH |  | SOLE |  | 3864 | 0 | 0 |
| DOMINION RESOURCES INC | Stock | 25746U109 |  | 526062 | 8600 | SH |  | SOLE |  | 8600 | 0 | 0 |
| DTE ENERGY CO COM | Stock | 233331107 |  | 258675 | 1829 | SH |  | SOLE |  | 1829 | 0 | 0 |
| EATON CORP PLC SHS | Stock | G29183103 |  | 718560 | 1920 | SH |  | SOLE |  | 1920 | 0 | 0 |
| EATON VANCE LTD DURATION INCOME FD | CEF | 27828H105 |  | 215536 | 21235 | SH |  | SOLE |  | 21235 | 0 | 0 |
| EATON VANCE RISK MANAGED DIVERSIFIED EQUITY | CEF | 27829G106 |  | 620693 | 69043 | SH |  | SOLE |  | 69043 | 0 | 0 |
| EATON VANCE TAX MANAGED | CEF | 27828N102 |  | 2165292 | 136182 | SH |  | SOLE |  | 136182 | 0 | 0 |
| EATON VANCE TAX MANAGED GLOBAL EQUITY | CEF | 27829F108 |  | 1451741 | 159532 | SH |  | SOLE |  | 159532 | 0 | 0 |
| ELI LILLY  CO COM | Stock | 532457108 |  | 927045 | 1215 | SH |  | SOLE |  | 1215 | 0 | 0 |
| ENBRIDGE INC COM | Stock | 29250N105 |  | 289833 | 5743 | SH |  | SOLE |  | 5743 | 0 | 0 |
| ENERGY TRANSFER EQUITY L P COM UNIT LTD PARTNERSHIP | Stock | 29273V100 |  | 758781 | 44218 | SH |  | SOLE |  | 44218 | 0 | 0 |
| ENTERPRISE PRODS PARTNERS L P | Stock | 293792107 |  | 1033067 | 33037 | SH |  | SOLE |  | 33037 | 0 | 0 |
| EXXON MOBIL CORP COM | Stock | 30231G102 |  | 864680 | 7669 | SH |  | SOLE |  | 7669 | 0 | 0 |
| FEDEX CORP | Stock | 31428X106 |  | 392388 | 1664 | SH |  | SOLE |  | 1664 | 0 | 0 |
| FINANCIAL SELECT SECTOR SPDR | ETF | 81369Y605 |  | 367526 | 6822 | SH |  | SOLE |  | 6822 | 0 | 0 |
| FISERV INC | Stock | 337738108 |  | 410900 | 3187 | SH |  | SOLE |  | 3187 | 0 | 0 |
| FORD MOTOR COMPANY | Stock | 345370860 |  | 260979 | 21821 | SH |  | SOLE |  | 21821 | 0 | 0 |
| GE AEROSPACE COM NEW | Stock | 369604301 |  | 976462 | 3246 | SH |  | SOLE |  | 3246 | 0 | 0 |
| GE VERNOVA INC COM | Stock | 36828A101 |  | 519591 | 845 | SH |  | SOLE |  | 845 | 0 | 0 |
| GOLDMAN SACHS GROUP INC | Stock | 38141G104 |  | 1337072 | 1679 | SH |  | SOLE |  | 1679 | 0 | 0 |
| GOOGLE INC | Stock | 02079K305 |  | 1669611 | 6868 | SH |  | SOLE |  | 6868 | 0 | 0 |
| HOME DEPOT | Stock | 437076102 |  | 336713 | 831 | SH |  | SOLE |  | 831 | 0 | 0 |
| HUBBELL INC COM | Stock | 443510607 |  | 419983 | 976 | SH |  | SOLE |  | 976 | 0 | 0 |
| INDEPENDENCE RLTY TR INC COM | REIT | 45378A106 |  | 484570 | 29565 | SH |  | SOLE |  | 29565 | 0 | 0 |
| INTERCONTINENTALEXCHINTL | Stock | 45866F104 |  | 741817 | 4403 | SH |  | SOLE |  | 4403 | 0 | 0 |
| INVESCO NASDAQ NEXT GEN 100 ETF | ETF | 46138G631 |  | 372946 | 10420 | SH |  | SOLE |  | 10420 | 0 | 0 |
| ISHARES 1-3 YR TREASURY BOND ETF | ETF | 464287457 |  | 7367404 | 88807 | SH |  | SOLE |  | 88807 | 0 | 0 |
| ISHARES AGGREGATE BOND ETF | ETF | 464287226 |  | 2118583 | 21133 | SH |  | SOLE |  | 21133 | 0 | 0 |
| ISHARES CORE MSCI EMERGING MARKETS ETF | ETF | 46434G103 |  | 6119166 | 92827 | SH |  | SOLE |  | 92827 | 0 | 0 |
| ISHARES CORE S MID CAP ETF | ETF | 464287507 |  | 1245487 | 19085 | SH |  | SOLE |  | 19085 | 0 | 0 |
| ISHARES ESG OPTIMIZED MSCI USA ETF | ETF | 464288802 |  | 237659 | 1752 | SH |  | SOLE |  | 1752 | 0 | 0 |
| ISHARES MSCI EAFE ETF | ETF | 464287465 |  | 2619495 | 28055 | SH |  | SOLE |  | 28055 | 0 | 0 |
| ISHARES MSCI EAFE GROWTH INDEX ETF | ETF | 464288885 |  | 535236 | 4700 | SH |  | SOLE |  | 4700 | 0 | 0 |
| ISHARES MSCI EAFE SMALL CAP ETF | ETF | 464288273 |  | 2535749 | 33052 | SH |  | SOLE |  | 33052 | 0 | 0 |
| ISHARES MSCI EAFE VALUE INDEX ETF | ETF | 464288877 |  | 573503 | 8455 | SH |  | SOLE |  | 8455 | 0 | 0 |
| ISHARES RUSSELL 1000 ETF | ETF | 464287622 |  | 502535 | 1375 | SH |  | SOLE |  | 1375 | 0 | 0 |
| ISHARES RUSSELL 1000 GROWTH ETF | ETF | 464287614 |  | 17559628 | 37488 | SH |  | SOLE |  | 37488 | 0 | 0 |
| ISHARES RUSSELL 1000 VALUE ETF | ETF | 464287598 |  | 5731682 | 28153 | SH |  | SOLE |  | 28153 | 0 | 0 |
| ISHARES RUSSELL 2000 ETF | ETF | 464287655 |  | 1741937 | 7199 | SH |  | SOLE |  | 7199 | 0 | 0 |
| ISHARES RUSSELL 2000 GROWTH INDEX | ETF | 464287648 |  | 1462583 | 4570 | SH |  | SOLE |  | 4570 | 0 | 0 |
| ISHARES RUSSELL 2000 VALUE | ETF | 464287630 |  | 1845189 | 10436 | SH |  | SOLE |  | 10436 | 0 | 0 |
| ISHARES RUSSELL MIDCAP ETF | ETF | 464287499 |  | 201500 | 2087 | SH |  | SOLE |  | 2087 | 0 | 0 |
| ISHARES RUSSELL MIDCAP GROWTH ETF | ETF | 464287481 |  | 2639997 | 18538 | SH |  | SOLE |  | 18538 | 0 | 0 |
| ISHARES RUSSELL MIDCAP VALUE INDEX | ETF | 464287473 |  | 1806631 | 12935 | SH |  | SOLE |  | 12935 | 0 | 0 |
| ISHARES S 500 INDEX | ETF | 464287200 |  | 531424 | 794 | SH |  | SOLE |  | 794 | 0 | 0 |
| ISHARES US FINANCIAL SERVICES ETF | ETF | 464287770 |  | 231809 | 2586 | SH |  | SOLE |  | 2586 | 0 | 0 |
| JOHNSON CTLS INC | Stock | G51502105 |  | 717644 | 6527 | SH |  | SOLE |  | 6527 | 0 | 0 |
| JPMORGAN CHASE  CO. COM | Stock | 46625H100 |  | 3136320 | 9943 | SH |  | SOLE |  | 9943 | 0 | 0 |
| JPMORGAN EQUITY PREMIUM INCOME ETF | ETF | 46641Q332 |  | 990114 | 17340 | SH |  | SOLE |  | 17340 | 0 | 0 |
| JPMORGAN NASDAQ EQUITY PREMIUM INCOME ETF | ETF | 46654Q203 |  | 421046 | 7320 | SH |  | SOLE |  | 7320 | 0 | 0 |
| KAYNE ANDERSON MLP INVT CO | CEF | 486606106 |  | 166834 | 13487 | SH |  | SOLE |  | 13487 | 0 | 0 |
| KIMBERLY-CLARK CORP COM | Stock | 494368103 |  | 349520 | 2811 | SH |  | SOLE |  | 2811 | 0 | 0 |
| KINDER MORGAN INC | Stock | 49456B101 |  | 516771 | 18254 | SH |  | SOLE |  | 18254 | 0 | 0 |
| LENNAR CORP CL A | Stock | 526057104 |  | 357702 | 2838 | SH |  | SOLE |  | 2838 | 0 | 0 |
| LINDE PLC SHS | Stock | G54950103 |  | 1210775 | 2549 | SH |  | SOLE |  | 2549 | 0 | 0 |
| LOWES COS INC COM | Stock | 548661107 |  | 436274 | 1736 | SH |  | SOLE |  | 1736 | 0 | 0 |
| MARSH  MCLENNAN COS INC COM | Stock | 571748102 |  | 280530 | 1392 | SH |  | SOLE |  | 1392 | 0 | 0 |
| MASTERCARD INC | Stock | 57636Q104 |  | 1481750 | 2605 | SH |  | SOLE |  | 2605 | 0 | 0 |
| MEDTRONIC PLC SHS | Stock | G5960L103 |  | 218766 | 2297 | SH |  | SOLE |  | 2297 | 0 | 0 |
| META PLATFORMS INC CL A | Stock | 30303M102 |  | 1813919 | 2470 | SH |  | SOLE |  | 2470 | 0 | 0 |
| MICROSOFT | Stock | 594918104 |  | 4821597 | 9309 | SH |  | SOLE |  | 9309 | 0 | 0 |
| MONDELEZ INTL INC CL A | Stock | 609207105 |  | 811423 | 12989 | SH |  | SOLE |  | 12989 | 0 | 0 |
| MONSTER BEVERAGE CORP | Stock | 61174X109 |  | 322415 | 4790 | SH |  | SOLE |  | 4790 | 0 | 0 |
| MORGAN STANLEY | Stock | 617446448 |  | 209350 | 1317 | SH |  | SOLE |  | 1317 | 0 | 0 |
| MUNIYIELD MICH INSD FD INC | CEF | 09254V105 |  | 217140 | 19250 | SH |  | SOLE |  | 19250 | 0 | 0 |
| NETFLIX COM INC | Stock | 64110L106 |  | 1309221 | 1092 | SH |  | SOLE |  | 1092 | 0 | 0 |
| NEXTERA ENERGY INC COM | Stock | 65339F101 |  | 367636 | 4870 | SH |  | SOLE |  | 4870 | 0 | 0 |
| NORFOLK SOUTHERN CRP | Stock | 655844108 |  | 321739 | 1071 | SH |  | SOLE |  | 1071 | 0 | 0 |
| NOVARTIS AG ADR | ADR | 66987V109 |  | 464485 | 3622 | SH |  | SOLE |  | 3622 | 0 | 0 |
| NUVEEN AMT FREE QLTY MUN INCME COM | CEF | 670657105 |  | 239361 | 21015 | SH |  | SOLE |  | 21015 | 0 | 0 |
| NVIDIA CORPORATION COM | Stock | 67066G104 |  | 1844343 | 9885 | SH |  | SOLE |  | 9885 | 0 | 0 |
| O REILLY AUTOMOTIVE INC | Stock | 67103H107 |  | 1112599 | 10320 | SH |  | SOLE |  | 10320 | 0 | 0 |
| OLD DOMINION FREIGHT LINE INC COM | Stock | 679580100 |  | 539751 | 3834 | SH |  | SOLE |  | 3834 | 0 | 0 |
| OLD REP INTL CORP COM | Stock | 680223104 |  | 302344 | 7119 | SH |  | SOLE |  | 7119 | 0 | 0 |
| ONEOK INC NEW COM | Stock | 682680103 |  | 475545 | 6517 | SH |  | SOLE |  | 6517 | 0 | 0 |
| ORACLE CORPORATION | Stock | 68389X105 |  | 2272138 | 8079 | SH |  | SOLE |  | 8079 | 0 | 0 |
| OTIS WORLDWIDE CORP COM | Stock | 68902V107 |  | 395526 | 4326 | SH |  | SOLE |  | 4326 | 0 | 0 |
| PEPSICO INC COM | Stock | 713448108 |  | 603049 | 4294 | SH |  | SOLE |  | 4294 | 0 | 0 |
| PFIZER INC COM | Stock | 717081103 |  | 252558 | 9912 | SH |  | SOLE |  | 9912 | 0 | 0 |
| PHILIP MORRIS INTL INC | Stock | 718172109 |  | 315966 | 1948 | SH |  | SOLE |  | 1948 | 0 | 0 |
| PLAINS ALL AMERICAN PIPELINE LP | Stock | 726503105 |  | 213864 | 12536 | SH |  | SOLE |  | 12536 | 0 | 0 |
| PROCTER AND GAMBLE CO COM | Stock | 742718109 |  | 531783 | 3461 | SH |  | SOLE |  | 3461 | 0 | 0 |
| QUALCOMM INC | Stock | 747525103 |  | 408081 | 2453 | SH |  | SOLE |  | 2453 | 0 | 0 |
| REALTY INCOME CORP COM | REIT | 756109104 |  | 248874 | 4094 | SH |  | SOLE |  | 4094 | 0 | 0 |
| REGENERON PHARMACEUTICALS COM | Stock | 75886F107 |  | 404272 | 719 | SH |  | SOLE |  | 719 | 0 | 0 |
| ROCKET COS INC COM CL A | Stock | 77311W101 |  | 291281 | 15030 | SH |  | SOLE |  | 15030 | 0 | 0 |
| RTX CORPORATION COM | Stock | 75513E101 |  | 2834236 | 16938 | SH |  | SOLE |  | 16938 | 0 | 0 |
| SALESFORCE COM | Stock | 79466L302 |  | 827604 | 3492 | SH |  | SOLE |  | 3492 | 0 | 0 |
| SEMPRA ENERGY | Stock | 816851109 |  | 551487 | 6129 | SH |  | SOLE |  | 6129 | 0 | 0 |
| SOFI TECHNOLOGIES INC COM | Stock | 83406F102 |  | 488506 | 18490 | SH |  | SOLE |  | 18490 | 0 | 0 |
| SPDR BLOOMBERG 1-3 MONTH T-BILL ETF | ETF | 78468R663 |  | 808042 | 8807 | SH |  | SOLE |  | 8807 | 0 | 0 |
| SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF | ETF | 78467V848 |  | 1281647 | 31591 | SH |  | SOLE |  | 31591 | 0 | 0 |
| SPDR GOLD ETF | ETF | 78463V107 |  | 5349824 | 15050 | SH |  | SOLE |  | 15050 | 0 | 0 |
| SPDR S 500 ETF | ETF | 78462F103 |  | 868922 | 1304 | SH |  | SOLE |  | 1304 | 0 | 0 |
| STRYKER CORP | Stock | 863667101 |  | 775552 | 2098 | SH |  | SOLE |  | 2098 | 0 | 0 |
| TARGA RES CORP COM | Stock | 87612G101 |  | 440798 | 2631 | SH |  | SOLE |  | 2631 | 0 | 0 |
| TE CONNECTIVITY LTD | Stock | G87052109 |  | 369469 | 1683 | SH |  | SOLE |  | 1683 | 0 | 0 |
| TESLA MOTORS INC | Stock | 88160R101 |  | 292181 | 657 | SH |  | SOLE |  | 657 | 0 | 0 |
| TEXAS INSTRS INC COM | Stock | 882508104 |  | 593815 | 3232 | SH |  | SOLE |  | 3232 | 0 | 0 |
| THE TRADE DESK INC COM CL A | Stock | 88339J105 |  | 5622819 | 114728 | SH |  | SOLE |  | 114728 | 0 | 0 |
| TJX COS INC NEW COM | Stock | 872540109 |  | 1302042 | 9008 | SH |  | SOLE |  | 9008 | 0 | 0 |
| UNION PAC CORP COM | Stock | 907818108 |  | 763002 | 3228 | SH |  | SOLE |  | 3228 | 0 | 0 |
| UNITEDHEALTH GROUP | Stock | 91324P102 |  | 469953 | 1361 | SH |  | SOLE |  | 1361 | 0 | 0 |
| US BANCORP DEL COM NEW | Stock | 902973304 |  | 221013 | 4573 | SH |  | SOLE |  | 4573 | 0 | 0 |
| VANECK FALLEN ANGEL HIGH YIELD BOND ETF | ETF | 92189F437 |  | 229456 | 7718 | SH |  | SOLE |  | 7718 | 0 | 0 |
| VANECK IG FLOATING RATE ETF | ETF | 92189F486 |  | 848259 | 33174 | SH |  | SOLE |  | 33174 | 0 | 0 |
| VANGUARD DIVIDEND APPRECIATION ETF | ETF | 921908844 |  | 611980 | 2836 | SH |  | SOLE |  | 2836 | 0 | 0 |
| VANGUARD GROWTH ETF | ETF | 922908736 |  | 621095 | 1295 | SH |  | SOLE |  | 1295 | 0 | 0 |
| VANGUARD HIGH DIVIDEND YIELD INDEX ETF | ETF | 921946406 |  | 13977134 | 99164 | SH |  | SOLE |  | 99164 | 0 | 0 |
| VANGUARD SHORT TERM BOND | ETF | 921937827 |  | 487269 | 6175 | SH |  | SOLE |  | 6175 | 0 | 0 |
| VANGUARD SHORT-TERM CORPORATE BOND ETF | ETF | 92206C409 |  | 9733318 | 121773 | SH |  | SOLE |  | 121773 | 0 | 0 |
| VANGUARD SMALL CAP VALUE ETF | ETF | 922908611 |  | 593154 | 2842 | SH |  | SOLE |  | 2842 | 0 | 0 |
| VANGUARD TOTAL STOCK MARKET ETF | ETF | 922908769 |  | 924008 | 2816 | SH |  | SOLE |  | 2816 | 0 | 0 |
| VANGUARD TOTAL WORLD STOCK ETF | ETF | 922042742 |  | 403616 | 2929 | SH |  | SOLE |  | 2929 | 0 | 0 |
| VIRTUS DIVIDEND INTEREST  PR COM | CEF | 92840R101 |  | 782792 | 60168 | SH |  | SOLE |  | 60168 | 0 | 0 |
| VISA INC | Stock | 92826C839 |  | 1042575 | 3054 | SH |  | SOLE |  | 3054 | 0 | 0 |
| WELLS FARGO CO NEW COM | Stock | 949746101 |  | 1050348 | 12531 | SH |  | SOLE |  | 12531 | 0 | 0 |
| WILLIAMS COS INC COM | Stock | 969457100 |  | 1098552 | 17341 | SH |  | SOLE |  | 17341 | 0 | 0 |
| YUM! BRANDS INC | Stock | 988498101 |  | 265088 | 1744 | SH |  | SOLE |  | 1744 | 0 | 0 |

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