# EDGAR Filing Document

**Accession Number:** 0001287618
**File Stem:** 0001287618-23-000001
**Filing Date:** 2023-1
**Character Count:** 22004
**Document Hash:** 24c7f1d26acb0276a5dfdcd9d584ffcc
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001287618-23-000001.hdr.sgml**: 20230126

**ACCESSION NUMBER**: 0001287618-23-000001

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230126

**DATE AS OF CHANGE**: 20230126

**EFFECTIVENESS DATE**: 20230126

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** DUMONT & BLAKE INVESTMENT ADVISORS LLC
- **CENTRAL INDEX KEY:** 0001287618
- **IRS NUMBER:** 223675264
- **STATE OF INCORPORATION:** NJ
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-10881
- **FILM NUMBER:** 23557084

**BUSINESS ADDRESS:**
- **STREET 1:** 731 ALEXANDER ROAD SUITE 301
- **CITY:** PRINCETON
- **STATE:** NJ
- **ZIP:** 08540
- **BUSINESS PHONE:** 6095141899

**MAIL ADDRESS:**
- **STREET 1:** 731 ALEXANDER ROAD SUITE 301
- **CITY:** PRINCETON
- **STATE:** NJ
- **ZIP:** 08540

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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:** DUMONT  BLAKE INVESTMENT ADVISORS LLC<br>**Address:** 731 ALEXANDER ROAD SUITE 301<br>PRINCETON, NJ 08540

**Form 13F File Number:** 028-10881

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:** Stacy Goldstein<br>**Title:** Vice President<br>**Phone:** 16095141899

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

Stacy Goldstein  Princeton, NJ  01-26-2023<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:** 191

**Form 13F Information Table Value Total:** $282485

      (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 |
| 3M Co | COM | 88579y101 |  | 849 | 7080 | SH |  | SOLE |  | 6429 | 0 | 651 |
| AMN Healthcare Services Inc | COM | 001744101 |  | 1171 | 11388 | SH |  | SOLE |  | 11033 | 0 | 355 |
| AT Inc | COM | 00206R102 |  | 230 | 12507 | SH |  | SOLE |  | 12006 | 0 | 501 |
| AbbVie Inc | COM | 00287y109 |  | 3018 | 18676 | SH |  | SOLE |  | 18085 | 0 | 591 |
| Abbott Laboratories | COM | 002824100 |  | 1418 | 12916 | SH |  | SOLE |  | 12522 | 0 | 394 |
| Acco Brands Corp | COM | 00081T108 |  | 165 | 29525 | SH |  | SOLE |  | 27825 | 0 | 1700 |
| Air Products  Chemicals Inc | COM | 009158106 |  | 339 | 1100 | SH |  | SOLE |  | 1100 | 0 | 0 |
| Alphabet Inc Cl A | COM | 02079K305 |  | 2265 | 25677 | SH |  | SOLE |  | 23822 | 0 | 1855 |
| Alphabet Inc Cl C | COM | 02079K107 |  | 2219 | 25013 | SH |  | SOLE |  | 23278 | 0 | 1735 |
| Amazon.com Inc | COM | 023135106 |  | 2211 | 26319 | SH |  | SOLE |  | 25309 | 0 | 1010 |
| Amgen Inc | COM | 031162100 |  | 2518 | 9587 | SH |  | SOLE |  | 9101 | 0 | 486 |
| Analog Devices Inc | COM | 032654105 |  | 222 | 1356 | SH |  | SOLE |  | 1310 | 0 | 46 |
| Apple Inc | COM | 037833100 |  | 9858 | 75873 | SH |  | SOLE |  | 72383 | 0 | 3490 |
| Archer Daniels Midland Co | COM | 039483102 |  | 479 | 5161 | SH |  | SOLE |  | 5011 | 0 | 150 |
| Automatic Data Processing Inc | COM | 053015103 |  | 215 | 900 | SH |  | SOLE |  | 900 | 0 | 0 |
| Bank of America Corp | COM | 060505104 |  | 246 | 7413 | SH |  | SOLE |  | 6913 | 0 | 500 |
| Bank of New York Mellon Corp | COM | 064058100 |  | 388 | 8513 | SH |  | SOLE |  | 7928 | 0 | 585 |
| BankUnited Inc | COM | 06652k103 |  | 255 | 7511 | SH |  | SOLE |  | 6530 | 0 | 981 |
| Baxter Intl Inc | COM | 071813109 |  | 468 | 9180 | SH |  | SOLE |  | 8757 | 0 | 423 |
| Berkshire Hathaway Inc | COM | 084670702 |  | 278 | 900 | SH |  | SOLE |  | 900 | 0 | 0 |
| Best Buy Co Inc | COM | 086516101 |  | 267 | 3327 | SH |  | SOLE |  | 3197 | 0 | 130 |
| BlackRock Inc | COM | 09247x101 |  | 2627 | 3707 | SH |  | SOLE |  | 3457 | 0 | 250 |
| Boeing Co | COM | 097023105 |  | 869 | 4562 | SH |  | SOLE |  | 4427 | 0 | 135 |
| Bristol-Myers Squibb Co | COM | 110122108 |  | 1462 | 20323 | SH |  | SOLE |  | 19048 | 0 | 1275 |
| CH Robinson Worldwide Inc | COM | 12541w209 |  | 880 | 9612 | SH |  | SOLE |  | 8872 | 0 | 740 |
| CVS Health Corp | COM | 126650100 |  | 1316 | 14124 | SH |  | SOLE |  | 13183 | 0 | 941 |
| Campbell Soup Co | COM | 134429109 |  | 331 | 5831 | SH |  | SOLE |  | 5771 | 0 | 60 |
| Capital One Financial Corp | COM | 14040h105 |  | 1093 | 11760 | SH |  | SOLE |  | 10933 | 0 | 827 |
| Carrier Global Corp | COM | 14448c104 |  | 242 | 5867 | SH |  | SOLE |  | 5377 | 0 | 490 |
| Caterpillar Inc | COM | 149123101 |  | 868 | 3624 | SH |  | SOLE |  | 3389 | 0 | 235 |
| Charles River Laboratories | COM | 159864107 |  | 515 | 2363 | SH |  | SOLE |  | 2283 | 0 | 80 |
| Chevron Corp | COM | 166764100 |  | 2047 | 11402 | SH |  | SOLE |  | 10859 | 0 | 543 |
| Cigna Corp | COM | 125523100 |  | 1729 | 5217 | SH |  | SOLE |  | 4918 | 0 | 299 |
| Cisco Systems Inc | COM | 17275R102 |  | 1980 | 41563 | SH |  | SOLE |  | 38215 | 0 | 3348 |
| Citigroup Inc | COM | 172967424 |  | 348 | 7702 | SH |  | SOLE |  | 7378 | 0 | 324 |
| Comcast Corp | COM | 20030n101 |  | 1064 | 30432 | SH |  | SOLE |  | 28102 | 0 | 2330 |
| Communication Services Sector | COM | 81369y852 |  | 1183 | 24661 | SH |  | SOLE |  | 23266 | 0 | 1395 |
| Community Trust Bancorp Inc | COM | 204149108 |  | 312 | 6794 | SH |  | SOLE |  | 6569 | 0 | 225 |
| Competitive Companies Inc | COM | 204510101 |  | 0 | 700000 | SH |  | SOLE |  | 700000 | 0 | 0 |
| ConocoPhillips | COM | 20825c104 |  | 1292 | 10947 | SH |  | SOLE |  | 10145 | 0 | 802 |
| Consolidated Edison Inc | COM | 209115104 |  | 358 | 3753 | SH |  | SOLE |  | 3638 | 0 | 115 |
| Consumer Staples Select Sector | COM | 81369y308 |  | 530 | 7113 | SH |  | SOLE |  | 7113 | 0 | 0 |
| Corning Inc | COM | 219350105 |  | 1318 | 41266 | SH |  | SOLE |  | 38565 | 0 | 2701 |
| Crown Castle Intl Corp | COM | 22822v101 |  | 776 | 5722 | SH |  | SOLE |  | 5332 | 0 | 390 |
| Cummins Inc | COM | 231021106 |  | 328 | 1353 | SH |  | SOLE |  | 1303 | 0 | 50 |
| Devon Energy Corporation | COM | 25179m103 |  | 1702 | 27666 | SH |  | SOLE |  | 25641 | 0 | 2025 |
| Dollar General Corp | COM | 256677105 |  | 246 | 1000 | SH |  | SOLE |  | 1000 | 0 | 0 |
| Dow Inc | COM | 260557103 |  | 260 | 5161 | SH |  | SOLE |  | 4990 | 0 | 171 |
| Eaton Corp PLC | COM | G29183103 |  | 447 | 2848 | SH |  | SOLE |  | 2848 | 0 | 0 |
| Energy Select Sector SPDR ETF | COM | 81369y506 |  | 2774 | 31717 | SH |  | SOLE |  | 30425 | 0 | 1292 |
| Exxon Mobil Corp | COM | 30231g102 |  | 2219 | 20118 | SH |  | SOLE |  | 18974 | 0 | 1144 |
| FactSet Research Systems Inc | COM | 303075105 |  | 304 | 757 | SH |  | SOLE |  | 757 | 0 | 0 |
| FedEx Corp | COM | 31428x106 |  | 908 | 5241 | SH |  | SOLE |  | 4791 | 0 | 450 |
| First Trust Dow Jones Internet | COM | 33733E302 |  | 1049 | 8519 | SH |  | SOLE |  | 7881 | 0 | 638 |
| Foot Locker Inc | COM | 344849104 |  | 578 | 15285 | SH |  | SOLE |  | 14110 | 0 | 1175 |
| General Mills Inc | COM | 370334104 |  | 1676 | 19991 | SH |  | SOLE |  | 19026 | 0 | 965 |
| General Mills Inc | COM | 370334104 |  | 8 | 100 | SH | Put | SOLE |  | 0 | 0 | 100 |
| General Motors Co | COM | 37045v100 |  | 525 | 15593 | SH |  | SOLE |  | 14768 | 0 | 825 |
| Gentex Corp | COM | 371901109 |  | 669 | 24530 | SH |  | SOLE |  | 23525 | 0 | 1005 |
| Geopharma Inc | COM | 37250a106 |  | 0 | 40000 | SH |  | SOLE |  | 40000 | 0 | 0 |
| Global X U.S. Infrastructure D | COM | 37954y673 |  | 869 | 32794 | SH |  | SOLE |  | 30754 | 0 | 2040 |
| Goldman Sachs Group Inc | COM | 38141G104 |  | 790 | 2300 | SH |  | SOLE |  | 2205 | 0 | 95 |
| Home Depot Inc | COM | 437076102 |  | 340 | 1077 | SH |  | SOLE |  | 1054 | 0 | 23 |
| Huntsman Corp | COM | 447011107 |  | 859 | 31250 | SH |  | SOLE |  | 28715 | 0 | 2535 |
| Illinois Tool Works Inc | COM | 452308109 |  | 1285 | 5835 | SH |  | SOLE |  | 5500 | 0 | 335 |
| Industrial Select Sector SPDR | COM | 81369y704 |  | 368 | 3750 | SH |  | SOLE |  | 3650 | 0 | 100 |
| Intel Corp | COM | 458140100 |  | 620 | 23450 | SH |  | SOLE |  | 22314 | 0 | 1136 |
| International Business Machine | COM | 459200101 |  | 1454 | 10319 | SH |  | SOLE |  | 9619 | 0 | 700 |
| Invesco Dynamic Pharmaceutical | COM | 46137V662 |  | 1626 | 20682 | SH |  | SOLE |  | 19422 | 0 | 1260 |
| Invesco KBW Bank ETF | COM | 46138e628 |  | 601 | 11649 | SH |  | SOLE |  | 10949 | 0 | 700 |
| Invesco S 500 Eq Weight Finc | COM | 46137v340 |  | 764 | 13546 | SH |  | SOLE |  | 12681 | 0 | 865 |
| Iron Mountain Inc | COM | 46284v101 |  | 1570 | 31489 | SH |  | SOLE |  | 29904 | 0 | 1585 |
| JP Morgan Chase  Co | COM | 46625h100 |  | 2717 | 20264 | SH |  | SOLE |  | 19272 | 0 | 992 |
| JetBlue Airways Corp | COM | 477143101 |  | 130 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| Johnson  Johnson | COM | 478160104 |  | 3000 | 16981 | SH |  | SOLE |  | 16051 | 0 | 930 |
| L3 Harris Technologies Inc | COM | 502431109 |  | 473 | 2270 | SH |  | SOLE |  | 2270 | 0 | 0 |
| Lockheed Martin Corp | COM | 539830109 |  | 296 | 608 | SH |  | SOLE |  | 582 | 0 | 26 |
| Lowe's Cos Inc | COM | 548661107 |  | 1571 | 7883 | SH |  | SOLE |  | 7321 | 0 | 562 |
| MDU Resources Group Inc | COM | 552690109 |  | 219 | 7218 | SH |  | SOLE |  | 6863 | 0 | 355 |
| ManpowerGroup Inc | COM | 56418H100 |  | 246 | 2957 | SH |  | SOLE |  | 2831 | 0 | 126 |
| Marsh  McLennan Cos Inc | COM | 571748102 |  | 1849 | 11172 | SH |  | SOLE |  | 10527 | 0 | 645 |
| Materials Select Sector SPDR E | COM | 81369y100 |  | 2473 | 31839 | SH |  | SOLE |  | 30464 | 0 | 1375 |
| McDonald's Corp | COM | 580135101 |  | 590 | 2240 | SH |  | SOLE |  | 2240 | 0 | 0 |
| Medtronic PLC | COM | G5960L103 |  | 974 | 12526 | SH |  | SOLE |  | 11676 | 0 | 850 |
| Merck  Co Inc | COM | 58933y105 |  | 438 | 3947 | SH |  | SOLE |  | 3780 | 0 | 167 |
| MetLife Inc | COM | 59156r108 |  | 2350 | 32473 | SH |  | SOLE |  | 29859 | 0 | 2614 |
| Meta Platforms Inc | COM | 30303m102 |  | 521 | 4326 | SH |  | SOLE |  | 4006 | 0 | 320 |
| Microchip Technology Inc | COM | 595017104 |  | 270 | 3838 | SH |  | SOLE |  | 3733 | 0 | 105 |
| Microsoft Corp | COM | 594918104 |  | 8173 | 34079 | SH |  | SOLE |  | 31266 | 0 | 2813 |
| NXP Semiconductors NV | COM | N6596X109 |  | 642 | 4065 | SH |  | SOLE |  | 3955 | 0 | 110 |
| Nike Inc | COM | 654106103 |  | 903 | 7721 | SH |  | SOLE |  | 7046 | 0 | 675 |
| Occidental Petroleum Corp | COM | 674599105 |  | 471 | 7471 | SH |  | SOLE |  | 7003 | 0 | 468 |
| Old Republic Int'l Corp | COM | 680223104 |  | 1394 | 57740 | SH |  | SOLE |  | 53386 | 0 | 4354 |
| Oracle Corp | COM | 68389X105 |  | 1020 | 12484 | SH |  | SOLE |  | 11532 | 0 | 952 |
| Otis Worldwide Corp | COM | 68902v107 |  | 641 | 8180 | SH |  | SOLE |  | 7536 | 0 | 644 |
| PNC Financial Services Group I | COM | 693475105 |  | 1229 | 7780 | SH |  | SOLE |  | 7360 | 0 | 420 |
| Packaging Corp of America | COM | 695156109 |  | 244 | 1909 | SH |  | SOLE |  | 1837 | 0 | 72 |
| Paypal Holdings Inc | COM | 70450y103 |  | 331 | 4647 | SH |  | SOLE |  | 4207 | 0 | 440 |
| Pepsico Inc | COM | 713448108 |  | 2493 | 13802 | SH |  | SOLE |  | 13552 | 0 | 250 |
| Pfizer Inc | COM | 717081103 |  | 868 | 16947 | SH |  | SOLE |  | 16314 | 0 | 633 |
| Phillips 66 | COM | 718546104 |  | 242 | 2322 | SH |  | SOLE |  | 2256 | 0 | 66 |
| Physicians Realty Trust | COM | 71943U104 |  | 459 | 31738 | SH |  | SOLE |  | 29193 | 0 | 2545 |
| Procter  Gamble Co | COM | 742718109 |  | 2124 | 14017 | SH |  | SOLE |  | 13201 | 0 | 816 |
| PureFunds ISE Cyber Security E | COM | 26924G201 |  | 574 | 13041 | SH |  | SOLE |  | 11806 | 0 | 1235 |
| Qualcomm Inc | COM | 747525103 |  | 864 | 7855 | SH |  | SOLE |  | 7528 | 0 | 327 |
| Raytheon Technologies | COM | 75513e101 |  | 1771 | 17553 | SH |  | SOLE |  | 16253 | 0 | 1300 |
| Royal Caribbean Cruises | COM | V7780T103 |  | 251 | 5079 | SH |  | SOLE |  | 4744 | 0 | 335 |
| SPDR S Regional Banking | COM | 78464a698 |  | 599 | 10191 | SH |  | SOLE |  | 9621 | 0 | 570 |
| Schlumberger Ltd | COM | 806857108 |  | 1185 | 22159 | SH |  | SOLE |  | 20299 | 0 | 1860 |
| Seagate Technology PLC | COM | g7997r103 |  | 619 | 11770 | SH |  | SOLE |  | 10934 | 0 | 836 |
| Skyworks Solutions Inc | COM | 83088m102 |  | 845 | 9270 | SH |  | SOLE |  | 8630 | 0 | 640 |
| Sonoco Products Co | COM | 835495102 |  | 300 | 4936 | SH |  | SOLE |  | 4753 | 0 | 183 |
| Stanley Black  Decker Inc | COM | 854502101 |  | 518 | 6893 | SH |  | SOLE |  | 6373 | 0 | 520 |
| Starbucks Corp | COM | 855244109 |  | 1103 | 11117 | SH |  | SOLE |  | 10252 | 0 | 865 |
| Stryker Corp | COM | 863667101 |  | 1079 | 4412 | SH |  | SOLE |  | 4262 | 0 | 150 |
| Synchrony Financial | COM | 87165b103 |  | 1514 | 46066 | SH |  | SOLE |  | 42371 | 0 | 3695 |
| Sysco Corp | COM | 871829107 |  | 1350 | 17655 | SH |  | SOLE |  | 16910 | 0 | 745 |
| Tapestry Inc | COM | 876030107 |  | 221 | 5797 | SH |  | SOLE |  | 5256 | 0 | 541 |
| Target Corp | COM | 87612E106 |  | 1357 | 9105 | SH |  | SOLE |  | 8550 | 0 | 555 |
| Technology Select Sector SPDR | COM | 81369y803 |  | 1620 | 13016 | SH |  | SOLE |  | 12301 | 0 | 715 |
| Texas Instruments Inc | COM | 882508104 |  | 1427 | 8635 | SH |  | SOLE |  | 8075 | 0 | 560 |
| Thermo Fisher Scientific Inc | COM | 883556102 |  | 1397 | 2537 | SH |  | SOLE |  | 2340 | 0 | 197 |
| United Parcel Service Inc | COM | 911312106 |  | 359 | 2067 | SH |  | SOLE |  | 2014 | 0 | 53 |
| United Rentals Inc | COM | 911363109 |  | 1513 | 4258 | SH |  | SOLE |  | 4013 | 0 | 245 |
| Unum Group | COM | 91529y106 |  | 568 | 13847 | SH |  | SOLE |  | 12960 | 0 | 887 |
| Utilities Select Sector SPDR E | COM | 81369y886 |  | 884 | 12535 | SH |  | SOLE |  | 11515 | 0 | 1020 |
| Valero Energy Corp | COM | 91913Y100 |  | 216 | 1699 | SH |  | SOLE |  | 1587 | 0 | 112 |
| VanEck Semiconductor | COM | 92189f676 |  | 605 | 2981 | SH |  | SOLE |  | 2811 | 0 | 170 |
| Vanguard Telecommunication Ser | COM | 92204a884 |  | 1808 | 21979 | SH |  | SOLE |  | 20172 | 0 | 1807 |
| Vanguard Utilities ETF | COM | 92204a876 |  | 1998 | 13026 | SH |  | SOLE |  | 12084 | 0 | 942 |
| Vectors Oil Services ETF | COM | 92189h607 |  | 813 | 2675 | SH |  | SOLE |  | 2495 | 0 | 180 |
| Veeco Instruments Inc | COM | 922417100 |  | 237 | 12750 | SH |  | SOLE |  | 11600 | 0 | 1150 |
| Verizon Communications Inc | COM | 92343V104 |  | 493 | 12510 | SH |  | SOLE |  | 12098 | 0 | 412 |
| Visa Inc | COM | 92826c839 |  | 1373 | 6607 | SH |  | SOLE |  | 6172 | 0 | 435 |
| Vista Gold Corp | COM | 927926303 |  | 15 | 30000 | SH |  | SOLE |  | 30000 | 0 | 0 |
| Wal-Mart Stores Inc | COM | 931142103 |  | 2343 | 16525 | SH |  | SOLE |  | 15485 | 0 | 1040 |
| Walgreens Boots Alliance Inc | COM | 931427108 |  | 410 | 10965 | SH |  | SOLE |  | 10405 | 0 | 560 |
| Walt Disney Co | COM | 254687106 |  | 621 | 7143 | SH |  | SOLE |  | 6753 | 0 | 390 |
| Waste Management Inc | COM | 94106l109 |  | 324 | 2066 | SH |  | SOLE |  | 2066 | 0 | 0 |
| Wells Fargo  Co | COM | 949746101 |  | 488 | 11809 | SH |  | SOLE |  | 11509 | 0 | 300 |
| Whirlpool Corp | COM | 963320106 |  | 824 | 5825 | SH |  | SOLE |  | 5442 | 0 | 383 |
| iShares Goldman Sachs Nat Res | COM | 464287374 |  | 504 | 12407 | SH |  | SOLE |  | 12407 | 0 | 0 |
| iShares US Aerospace  Defense | COM | 464288760 |  | 1265 | 11309 | SH |  | SOLE |  | 10634 | 0 | 675 |
| iShares US Broker-Dealers Inde | COM | 464288794 |  | 240 | 2496 | SH |  | SOLE |  | 2496 | 0 | 0 |
| iShares US Healthcare Provider | COM | 464288828 |  | 929 | 3469 | SH |  | SOLE |  | 3199 | 0 | 270 |
| SPDR Portfolio S 500 High Di | ETF | 78468r788 |  | 699 | 17665 | SH |  | SOLE |  | 17665 | 0 | 0 |
| VanEck Morningstar Wide Moat E | ETF | 92189f643 |  | 462 | 7122 | SH |  | SOLE |  | 7122 | 0 | 0 |
| iShares S 500 Growth | ETF | 464287309 |  | 3350 | 57266 | SH |  | SOLE |  | 53271 | 0 | 3995 |
| iShares S 500 Value Index | ETF | 464287408 |  | 1426 | 9829 | SH |  | SOLE |  | 9194 | 0 | 635 |
| iShares S Midcap 400 Growth | ETF | 464287606 |  | 2120 | 31043 | SH |  | SOLE |  | 29068 | 0 | 1975 |
| iShares S Midcap 400/BARRA V | ETF | 464287705 |  | 1793 | 17785 | SH |  | SOLE |  | 16750 | 0 | 1035 |
| iShares S Smallcap 600/BARRA | ETF | 464287887 |  | 4038 | 37362 | SH |  | SOLE |  | 34692 | 0 | 2670 |
| BNY Mellon Midcap Index Fund | IND | 05588m209 |  | 2482 | 93399 | SH |  | SOLE |  | 83919 | 0 | 9479 |
| BNY Mellon Small Cap Stock Ind | IND | 09661l401 |  | 360 | 14640 | SH |  | SOLE |  | 14052 | 0 | 588 |
| Fidelity 500 Index | IND | 315911750 |  | 295 | 2214 | SH |  | SOLE |  | 2194 | 0 | 20 |
| Invesco QQQ Trust Series 1 | IND | 46090E103 |  | 10485 | 39376 | SH |  | SOLE |  | 37290 | 0 | 2086 |
| Invesco S 500 Equal Weight E | IND | 46137v357 |  | 13175 | 93272 | SH |  | SOLE |  | 88006 | 0 | 5266 |
| SPDR Dow Jones Industrial Avg | IND | 78467x109 |  | 558 | 1683 | SH |  | SOLE |  | 1586 | 0 | 97 |
| SPDR S 500 ETF Trust | IND | 78462F103 |  | 24170 | 63200 | SH |  | SOLE |  | 59579 | 0 | 3621 |
| SPDR S MidCap 400 ETF Trust | IND | 78467y107 |  | 9213 | 20807 | SH |  | SOLE |  | 19722 | 0 | 1085 |
| Schwab S 500 Index Fund | IND | 808509855 |  | 5820 | 99051 | SH |  | SOLE |  | 88714 | 0 | 10336 |
| Schwab Small-Cap Index Fund | IND | 808509848 |  | 2104 | 74561 | SH |  | SOLE |  | 67138 | 0 | 7423 |
| Schwab US Mid-Cap Index | IND | 80850L726 |  | 422 | 8251 | SH |  | SOLE |  | 7665 | 0 | 586 |
| iShares Russell 2000 Index Fun | IND | 464287655 |  | 5756 | 33013 | SH |  | SOLE |  | 31201 | 0 | 1812 |
| iShares Russell Microcap Index | IND | 464288869 |  | 4300 | 39874 | SH |  | SOLE |  | 37211 | 0 | 2663 |
| iShares S Midcap 400 | IND | 464287507 |  | 239 | 986 | SH |  | SOLE |  | 886 | 0 | 100 |
| iShares MSCI EAFE Index | ETF | 464287465 |  | 3072 | 46802 | SH |  | SOLE |  | 44024 | 0 | 2778 |
| iShares MSCI Mexico Capped Inv | ETF | 464286822 |  | 586 | 11849 | SH |  | SOLE |  | 11069 | 0 | 780 |
| Airtech Inlt Group Reg Revoked | COM | 00950F205 |  | 0 | 350000 | SH |  | SOLE |  | 350000 | 0 | 0 |
| Amarin Corporation PLC - ADR | COM | 023111206 |  | 28 | 23000 | SH |  | SOLE |  | 23000 | 0 | 0 |
| Bristol-Myers Squibb Co | COM | 110122108 |  | 288 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| Humbl Inc | COM | 44501q104 |  | 0 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| Kona Gold Beverage Inc | COM | 50049K103 |  | 0 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| Tesla Motors Inc | COM | 88160r101 |  | 440 | 3576 | SH |  | SOLE |  | 3516 | 0 | 60 |
| SPDR Blackstone Senior Loan ET | ETF | 78467v608 |  | 477 | 11652 | SH |  | SOLE |  | 11652 | 0 | 0 |
| iShares IBOXX $ Investment Gra | ETF | 464287242 |  | 325 | 3080 | SH |  | SOLE |  | 3080 | 0 | 0 |
| Annaly Capital Management Inc | CEF | 035710839 |  | 669 | 31726 | SH |  | SOLE |  | 29187 | 0 | 2539 |
| BNY Mellon High Yield Strategi | CEF | 09660l105 |  | 42 | 19585 | SH |  | SOLE |  | 19585 | 0 | 0 |
| Barings Corporate Investors | CEF | 06759x107 |  | 663 | 47527 | SH |  | SOLE |  | 40202 | 0 | 7325 |
| Calamos Convertible  High Inc | CEF | 12811p108 |  | 2583 | 244861 | SH |  | SOLE |  | 226606 | 0 | 18255 |
| Calamos Convertible Opp  Inc | CEF | 128117108 |  | 321 | 30550 | SH |  | SOLE |  | 30550 | 0 | 0 |
| Fidelity New Markets Income | CEF | 315910836 |  | 595 | 51709 | SH |  | SOLE |  | 45162 | 0 | 6547 |
| Invesco CEF Income Composite | CEF | 46138E404 |  | 2384 | 131586 | SH |  | SOLE |  | 120939 | 0 | 10647 |
| SPDR Barclays Short-Term High | CEF | 78468r408 |  | 1952 | 80527 | SH |  | SOLE |  | 74520 | 0 | 6007 |
| iShares IBOXX H/Y Corp Bond | CEF | 464288513 |  | 207 | 2816 | SH |  | SOLE |  | 2816 | 0 | 0 |
| iShares S Preferred Stock In | CEF | 464288687 |  | 2504 | 82026 | SH |  | SOLE |  | 76664 | 0 | 5362 |
| Alerian MLP ETF | ETF | 00162q452 |  | 576 | 15127 | SH |  | SOLE |  | 12903 | 0 | 2224 |
| SPDR S Dividend ETF | ETF | 78464a763 |  | 3364 | 26887 | SH |  | SOLE |  | 24769 | 0 | 2118 |
| SPDR S Intl Dividend ETF | ETF | 78463x772 |  | 705 | 21826 | SH |  | SOLE |  | 18525 | 0 | 3301 |
| Vanguard High Dividend Yield E | ETF | 921946406 |  | 5190 | 47963 | SH |  | SOLE |  | 43251 | 0 | 4712 |
| iShares DJ Select Dividend Ind | ETF | 464287168 |  | 8414 | 69769 | SH |  | SOLE |  | 63037 | 0 | 6732 |

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