# EDGAR Filing Document

**Accession Number:** 0001766157
**File Stem:** 0001951757-23-000087
**Filing Date:** 2023-1
**Character Count:** 22461
**Document Hash:** a50cf9245eec5e677364649b007b6b47
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001951757-23-000087.hdr.sgml**: 20230131

**ACCESSION NUMBER**: 0001951757-23-000087

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230131

**DATE AS OF CHANGE**: 20230131

**EFFECTIVENESS DATE**: 20230131

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Sargent Investment Group, LLC
- **CENTRAL INDEX KEY:** 0001766157
- **IRS NUMBER:** 855082770
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-19098
- **FILM NUMBER:** 23570572

**BUSINESS ADDRESS:**
- **STREET 1:** 4920 ELM STREET
- **STREET 2:** SUITE 305
- **CITY:** BETHESDA
- **STATE:** MD
- **ZIP:** 20814
- **BUSINESS PHONE:** 2025806402

**MAIL ADDRESS:**
- **STREET 1:** 4920 ELM STREET
- **STREET 2:** SUITE 305
- **CITY:** BETHESDA
- **STATE:** MD
- **ZIP:** 20814

### 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:** Sargent Investment Group LLC<br>**Address:** 4920 ELM STREET<br>SUITE 305<br>BETHESDA, MD 20814

**Form 13F File Number:** 028-19098

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:** TERRY SCHAFER<br>**Title:** Chief Compliance Officer<br>**Phone:** (202) 580-6400

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

TERRY SCHAFER  BETHESDA, MD  01-31-2023<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:** 193

**Form 13F Information Table Value Total:** $322006471

      (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 | 002824100 |  | 1049812 | 9562 | SH |  | SOLE |  | 0 | 0 | 9562 |
| THE ALGER ETF TRUST | MID CAP 40 ETF | 015564107 |  | 1001580 | 86792 | SH |  | SOLE |  | 0 | 0 | 86792 |
| AMAZON COM INC | COM | 023135106 |  | 3064320 | 36480 | SH |  | SOLE |  | 0 | 0 | 36480 |
| AMERICAN EXPRESS CO | COM | 025816109 |  | 803465 | 5438 | SH |  | SOLE |  | 0 | 0 | 5438 |
| AMGEN INC | COM | 031162100 |  | 332240 | 1265 | SH |  | SOLE |  | 0 | 0 | 1265 |
| APPLE INC | COM | 037833100 |  | 24489336 | 188481 | SH |  | SOLE |  | 0 | 0 | 188481 |
| ARDELYX INC | COM | 039697107 |  | 64077 | 22483 | SH |  | SOLE |  | 0 | 0 | 22483 |
| AUTOMATIC DATA PROCESSING IN | COM | 053015103 |  | 382176 | 1600 | SH |  | SOLE |  | 0 | 0 | 1600 |
| BANK AMERICA CORP | COM | 060505104 |  | 1090847 | 32936 | SH |  | SOLE |  | 0 | 0 | 32936 |
| BAXTER INTL INC | COM | 071813109 |  | 399095 | 7830 | SH |  | SOLE |  | 0 | 0 | 7830 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 4367846 | 14140 | SH |  | SOLE |  | 0 | 0 | 14140 |
| BOEING CO | COM | 097023105 |  | 1041790 | 5469 | SH |  | SOLE |  | 0 | 0 | 5469 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 671078 | 9327 | SH |  | SOLE |  | 0 | 0 | 9327 |
| CVS HEALTH CORP | COM | 126650100 |  | 981477 | 10532 | SH |  | SOLE |  | 0 | 0 | 10532 |
| CANTALOUPE INC | COM | 138103106 |  | 7580175 | 1742569 | SH |  | SOLE |  | 0 | 0 | 1742569 |
| CATERPILLAR INC | COM | 149123101 |  | 1523122 | 6358 | SH |  | SOLE |  | 0 | 0 | 6358 |
| CEDAR FAIR L P | DEPOSITRY UNIT | 150185106 |  | 470036 | 11370 | SH |  | SOLE |  | 0 | 0 | 11370 |
| CHEVRON CORP NEW | COM | 166764100 |  | 1448125 | 8068 | SH |  | SOLE |  | 0 | 0 | 8068 |
| CITIGROUP INC | COM NEW | 172967424 |  | 275645 | 6094 | SH |  | SOLE |  | 0 | 0 | 6094 |
| COCA COLA CO | COM | 191216100 |  | 548127 | 8617 | SH |  | SOLE |  | 0 | 0 | 8617 |
| CORNING INC | COM | 219350105 |  | 332975 | 10425 | SH |  | SOLE |  | 0 | 0 | 10425 |
| DANAHER CORPORATION | COM | 235851102 |  | 1347272 | 5076 | SH |  | SOLE |  | 0 | 0 | 5076 |
| DEERE  CO | COM | 244199105 |  | 278694 | 650 | SH |  | SOLE |  | 0 | 0 | 650 |
| DOW INC | COM | 260557103 |  | 496896 | 9861 | SH |  | SOLE |  | 0 | 0 | 9861 |
| EMERSON ELEC CO | COM | 291011104 |  | 1172797 | 12209 | SH |  | SOLE |  | 0 | 0 | 12209 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 |  | 596385 | 24726 | SH |  | SOLE |  | 0 | 0 | 24726 |
| FIRST TR MORNINGSTAR DIVID L | SHS | 336917109 |  | 2240470 | 61282 | SH |  | SOLE |  | 0 | 0 | 61282 |
| FORD MTR CO DEL | COM | 345370860 |  | 3931487 | 338047 | SH |  | SOLE |  | 0 | 0 | 338047 |
| GENERAL ELECTRIC CO | COM NEW | 369604301 |  | 1614047 | 19263 | SH |  | SOLE |  | 0 | 0 | 19263 |
| HOME DEPOT INC | COM | 437076102 |  | 2548990 | 8070 | SH |  | SOLE |  | 0 | 0 | 8070 |
| HONEYWELL INTL INC | COM | 438516106 |  | 356810 | 1665 | SH |  | SOLE |  | 0 | 0 | 1665 |
| HUNTINGTON INGALLS INDS INC | COM | 446413106 |  | 209919 | 910 | SH |  | SOLE |  | 0 | 0 | 910 |
| ILLINOIS TOOL WKS INC | COM | 452308109 |  | 360191 | 1635 | SH |  | SOLE |  | 0 | 0 | 1635 |
| INTEL CORP | COM | 458140100 |  | 230470 | 8720 | SH |  | SOLE |  | 0 | 0 | 8720 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 |  | 8996108 | 63852 | SH |  | SOLE |  | 0 | 0 | 63852 |
| INTUIT | COM | 461202103 |  | 731734 | 1880 | SH |  | SOLE |  | 0 | 0 | 1880 |
| ISHARES TR | SELECT DIVID ETF | 464287168 |  | 297279 | 2465 | SH |  | SOLE |  | 0 | 0 | 2465 |
| ISHARES TR | MSCI EAFE ETF | 464287465 |  | 208079 | 3170 | SH |  | SOLE |  | 0 | 0 | 3170 |
| ISHARES TR | ISHARES SEMICDTR | 464287523 |  | 643763 | 1850 | SH |  | SOLE |  | 0 | 0 | 1850 |
| ISHARES TR | ISHARES BIOTECH | 464287556 |  | 283193 | 2157 | SH |  | SOLE |  | 0 | 0 | 2157 |
| ISHARES TR | U.S. TECH ETF | 464287721 |  | 476736 | 6400 | SH |  | SOLE |  | 0 | 0 | 6400 |
| ISHARES TR | U.S. FINLS ETF | 464287788 |  | 387161 | 5130 | SH |  | SOLE |  | 0 | 0 | 5130 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 4538845 | 25694 | SH |  | SOLE |  | 0 | 0 | 25694 |
| LILLY ELI  CO | COM | 532457108 |  | 778873 | 2129 | SH |  | SOLE |  | 0 | 0 | 2129 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 573085 | 1178 | SH |  | SOLE |  | 0 | 0 | 1178 |
| MARRIOTT INTL INC NEW | CL A | 571903202 |  | 1009921 | 6783 | SH |  | SOLE |  | 0 | 0 | 6783 |
| MATINAS BIOPHARMA HLDGS INC | COM | 576810105 |  | 2192519 | 4385037 | SH |  | SOLE |  | 0 | 0 | 4385037 |
| MATTEL INC | COM | 577081102 |  | 2701922 | 151453 | SH |  | SOLE |  | 0 | 0 | 151453 |
| MCDONALDS CORP | COM | 580135101 |  | 273808 | 1039 | SH |  | SOLE |  | 0 | 0 | 1039 |
| MICROSOFT CORP | COM | 594918104 |  | 9193260 | 38334 | SH |  | SOLE |  | 0 | 0 | 38334 |
| MITEK SYS INC | COM NEW | 606710200 |  | 3335153 | 344185 | SH |  | SOLE |  | 0 | 0 | 344185 |
| MONDELEZ INTL INC | CL A | 609207105 |  | 266733 | 4002 | SH |  | SOLE |  | 0 | 0 | 4002 |
| NIKE INC | CL B | 654106103 |  | 661341 | 5652 | SH |  | SOLE |  | 0 | 0 | 5652 |
| NORTHROP GRUMMAN CORP | COM | 666807102 |  | 1909635 | 3500 | SH |  | SOLE |  | 0 | 0 | 3500 |
| NOVAVAX INC | COM NEW | 670002401 |  | 146027 | 14205 | SH |  | SOLE |  | 0 | 0 | 14205 |
| NOVO-NORDISK A S | ADR | 670100205 |  | 203010 | 1500 | SH |  | SOLE |  | 0 | 0 | 1500 |
| PAYCHEX INC | COM | 704326107 |  | 286011 | 2475 | SH |  | SOLE |  | 0 | 0 | 2475 |
| PEPSICO INC | COM | 713448108 |  | 1493336 | 8266 | SH |  | SOLE |  | 0 | 0 | 8266 |
| PFIZER INC | COM | 717081103 |  | 771469 | 15056 | SH |  | SOLE |  | 0 | 0 | 15056 |
| PHILIP MORRIS INTL INC | COM | 718172109 |  | 499573 | 4936 | SH |  | SOLE |  | 0 | 0 | 4936 |
| PIONEER NAT RES CO | COM | 723787107 |  | 520272 | 2278 | SH |  | SOLE |  | 0 | 0 | 2278 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 1850396 | 12209 | SH |  | SOLE |  | 0 | 0 | 12209 |
| PROSPERITY BANCSHARES INC | COM | 743606105 |  | 394289 | 5425 | SH |  | SOLE |  | 0 | 0 | 5425 |
| QUALCOMM INC | COM | 747525103 |  | 1898664 | 17270 | SH |  | SOLE |  | 0 | 0 | 17270 |
| SAUL CTRS INC | COM | 804395101 |  | 245097 | 6025 | SH |  | SOLE |  | 0 | 0 | 6025 |
| HENRY SCHEIN INC | COM | 806407102 |  | 414126 | 5185 | SH |  | SOLE |  | 0 | 0 | 5185 |
| SCHLUMBERGER LTD | COM STK | 806857108 |  | 305631 | 5717 | SH |  | SOLE |  | 0 | 0 | 5717 |
| BLOCK INC | CL A | 852234103 |  | 2743720 | 43662 | SH |  | SOLE |  | 0 | 0 | 43662 |
| STARBUCKS CORP | COM | 855244109 |  | 791120 | 7975 | SH |  | SOLE |  | 0 | 0 | 7975 |
| STORE CAP CORP | COM | 862121100 |  | 224420 | 7000 | SH |  | SOLE |  | 0 | 0 | 7000 |
| TJX COS INC NEW | COM | 872540109 |  | 682570 | 8575 | SH |  | SOLE |  | 0 | 0 | 8575 |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 |  | 297960 | 4000 | SH |  | SOLE |  | 0 | 0 | 4000 |
| TAYSHA GENE THERAPIES INC | COM SHS | 877619106 |  | 97151 | 42987 | SH |  | SOLE |  | 0 | 0 | 42987 |
| TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADS | 881624209 |  | 2815116 | 308675 | SH |  | SOLE |  | 0 | 0 | 308675 |
| TOOTSIE ROLL INDS INC | COM | 890516107 |  | 212850 | 5000 | SH |  | SOLE |  | 0 | 0 | 5000 |
| UNION PAC CORP | COM | 907818108 |  | 710664 | 3432 | SH |  | SOLE |  | 0 | 0 | 3432 |
| UNITED BANKSHARES INC WEST V | COM | 909907107 |  | 457335 | 11295 | SH |  | SOLE |  | 0 | 0 | 11295 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 |  | 530038 | 3049 | SH |  | SOLE |  | 0 | 0 | 3049 |
| UNITED STATES ANTIMONY CORP | COM | 911549103 |  | 155808 | 320000 | SH |  | SOLE |  | 0 | 0 | 320000 |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 922907746 |  | 1492124 | 30150 | SH |  | SOLE |  | 0 | 0 | 30150 |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 |  | 3833665 | 28347 | SH |  | SOLE |  | 0 | 0 | 28347 |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 922908553 |  | 241749 | 2931 | SH |  | SOLE |  | 0 | 0 | 2931 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 |  | 224837 | 1225 | SH |  | SOLE |  | 0 | 0 | 1225 |
| WALMART INC | COM | 931142103 |  | 1826539 | 12882 | SH |  | SOLE |  | 0 | 0 | 12882 |
| WASHINGTON TR BANCORP INC | COM | 940610108 |  | 798852 | 16932 | SH |  | SOLE |  | 0 | 0 | 16932 |
| WILLIAMS COS INC | COM | 969457100 |  | 217634 | 6615 | SH |  | SOLE |  | 0 | 0 | 6615 |
| XPO INC | COM | 983793100 |  | 260261 | 7818 | SH |  | SOLE |  | 0 | 0 | 7818 |
| ABBVIE INC | COM | 00287Y109 |  | 1361241 | 8423 | SH |  | SOLE |  | 0 | 0 | 8423 |
| ADOBE SYSTEMS INCORPORATED | COM | 00724F101 |  | 588928 | 1750 | SH |  | SOLE |  | 0 | 0 | 1750 |
| AKOUSTIS TECHNOLOGIES INC | COM | 00973N102 |  | 1499042 | 531575 | SH |  | SOLE |  | 0 | 0 | 531575 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 3660113 | 41250 | SH |  | SOLE |  | 0 | 0 | 41250 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 1689163 | 19145 | SH |  | SOLE |  | 0 | 0 | 19145 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 |  | 228809 | 1080 | SH |  | SOLE |  | 0 | 0 | 1080 |
| APA CORPORATION | COM | 03743Q108 |  | 1307040 | 28000 | SH |  | SOLE |  | 0 | 0 | 28000 |
| ARCHER AVIATION INC | COM CL A | 03945R102 |  | 325380 | 174000 | SH |  | SOLE |  | 0 | 0 | 174000 |
| ARES CAPITAL CORP | COM | 04010L103 |  | 5142362 | 278417 | SH |  | SOLE |  | 0 | 0 | 278417 |
| ASPEN AEROGELS INC | COM | 04523Y105 |  | 1750343 | 148460 | SH |  | SOLE |  | 0 | 0 | 148460 |
| ATHIRA PHARMA INC | COM | 04746L104 |  | 47937 | 15122 | SH |  | SOLE |  | 0 | 0 | 15122 |
| ATOMERA INC | COM | 04965B100 |  | 858578 | 138035 | SH |  | SOLE |  | 0 | 0 | 138035 |
| AVID BIOSERVICES INC | COM | 05368M106 |  | 10535372 | 765096 | SH |  | SOLE |  | 0 | 0 | 765096 |
| BITNILE HOLDINGS INC | COM | 09175M101 |  | 3675 | 30000 | SH |  | SOLE |  | 0 | 0 | 30000 |
| BLACKROCK INC | COM | 09247X101 |  | 270697 | 382 | SH |  | SOLE |  | 0 | 0 | 382 |
| BLACKSTONE INC | COM | 09260D107 |  | 9035748 | 121792 | SH |  | SOLE |  | 0 | 0 | 121792 |
| BROADSTONE NET LEASE INC | COM | 11135E203 |  | 1497139 | 92359 | SH |  | SOLE |  | 0 | 0 | 92359 |
| BROADCOM INC | COM | 11135F101 |  | 365112 | 653 | SH |  | SOLE |  | 0 | 0 | 653 |
| CAPITAL ONE FINL CORP | COM | 14040H105 |  | 285480 | 3071 | SH |  | SOLE |  | 0 | 0 | 3071 |
| CAPSTONE GREEN ENERGY CORP | COM | 14067D508 |  | 431941 | 297890 | SH |  | SOLE |  | 0 | 0 | 297890 |
| CARLYLE GROUP INC | COM | 14316J108 |  | 9807662 | 328675 | SH |  | SOLE |  | 0 | 0 | 328675 |
| CARRIER GLOBAL CORPORATION | COM | 14448C104 |  | 2337390 | 56664 | SH |  | SOLE |  | 0 | 0 | 56664 |
| CISCO SYS INC | COM | 17275R102 |  | 601312 | 12622 | SH |  | SOLE |  | 0 | 0 | 12622 |
| COHEN  STEERS QUALITY INCOM | COM | 19247L106 |  | 2370208 | 206105 | SH |  | SOLE |  | 0 | 0 | 206105 |
| COHEN  STEERS INFRASTRUCTUR | COM | 19248A109 |  | 1608290 | 67040 | SH |  | SOLE |  | 0 | 0 | 67040 |
| COHEN  STEERS CLOSED-END OP | COM | 19248P106 |  | 199438 | 19085 | SH |  | SOLE |  | 0 | 0 | 19085 |
| COHERUS BIOSCIENCES INC | COM | 19249H103 |  | 88704 | 11200 | SH |  | SOLE |  | 0 | 0 | 11200 |
| COMCAST CORP NEW | CL A | 20030N101 |  | 267765 | 7657 | SH |  | SOLE |  | 0 | 0 | 7657 |
| CONOCOPHILLIPS | COM | 20825C104 |  | 465464 | 3945 | SH |  | SOLE |  | 0 | 0 | 3945 |
| COSTCO WHSL CORP NEW | COM | 22160K105 |  | 1947886 | 4267 | SH |  | SOLE |  | 0 | 0 | 4267 |
| CREATIVE REALITIES INC | COM NEW | 22530J200 |  | 275500 | 475000 | SH |  | SOLE |  | 0 | 0 | 475000 |
| CYTOSORBENTS CORP | COM NEW | 23283X206 |  | 1525406 | 984133 | SH |  | SOLE |  | 0 | 0 | 984133 |
| DIGITALBRIDGE GROUP INC | CL A NEW | 25401T603 |  | 1180831 | 107937 | SH |  | SOLE |  | 0 | 0 | 107937 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 |  | 213086 | 2069 | SH |  | SOLE |  | 0 | 0 | 2069 |
| DUPONT DE NEMOURS INC | COM | 26614N102 |  | 268686 | 3915 | SH |  | SOLE |  | 0 | 0 | 3915 |
| EASTERLY GOVT PPTYS INC | COM | 27616P103 |  | 1573981 | 110300 | SH |  | SOLE |  | 0 | 0 | 110300 |
| ENERGY RECOVERY INC | COM | 29270J100 |  | 3225228 | 157405 | SH |  | SOLE |  | 0 | 0 | 157405 |
| ENVIVA INC | COM | 29415B103 |  | 257805 | 4867 | SH |  | SOLE |  | 0 | 0 | 4867 |
| EXELIXIS INC | COM | 30161Q104 |  | 4658978 | 290460 | SH |  | SOLE |  | 0 | 0 | 290460 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 1653507 | 14991 | SH |  | SOLE |  | 0 | 0 | 14991 |
| FEDEX CORP | COM | 31428X106 |  | 759136 | 4383 | SH |  | SOLE |  | 0 | 0 | 4383 |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 33733E104 |  | 11665034 | 155638 | SH |  | SOLE |  | 0 | 0 | 155638 |
| FIRST TR EXCHANGE-TRADED FD | DJ INTERNT IDX | 33733E302 |  | 1262288 | 10250 | SH |  | SOLE |  | 0 | 0 | 10250 |
| FIRST TR VALUE LINE DIVID IN | SHS | 33734H106 |  | 804346 | 20154 | SH |  | SOLE |  | 0 | 0 | 20154 |
| FIRST TR LRGE CP CORE ALPHA | COM SHS | 33734K109 |  | 413562 | 5165 | SH |  | SOLE |  | 0 | 0 | 5165 |
| FIRST TR EXCHANGE TRADED FD | FINLS ALPHADEX | 33734X135 |  | 262554 | 6410 | SH |  | SOLE |  | 0 | 0 | 6410 |
| FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 33734X176 |  | 423877 | 4630 | SH |  | SOLE |  | 0 | 0 | 4630 |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 33734X846 |  | 10354848 | 267498 | SH |  | SOLE |  | 0 | 0 | 267498 |
| FIRSTSERVICE CORP NEW | COM | 33737E103 |  | 1353320 | 11043 | SH |  | SOLE |  | 0 | 0 | 11043 |
| FIRST TR EXCHANGE-TRADED FD | DORSEY WRT 5 ETF | 33738R605 |  | 535465 | 11503 | SH |  | SOLE |  | 0 | 0 | 11503 |
| FIRST TR EXCHANGE-TRADED FD | NASDQ ARTFCIAL | 33738R720 |  | 2508687 | 70232 | SH |  | SOLE |  | 0 | 0 | 70232 |
| FIRST TR EXCHANGE TRAD FD VI | FST TR GLB FD | 33739H101 |  | 4477865 | 182845 | SH |  | SOLE |  | 0 | 0 | 182845 |
| FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 33739Q200 |  | 1333406 | 28125 | SH |  | SOLE |  | 0 | 0 | 28125 |
| FREEPORT-MCMORAN INC | CL B | 35671D857 |  | 456000 | 12000 | SH |  | SOLE |  | 0 | 0 | 12000 |
| GABELLI DIVID  INCOME TR | COM | 36242H104 |  | 1169618 | 56750 | SH |  | SOLE |  | 0 | 0 | 56750 |
| GENIUS BRANDS INTL INC | COM | 37229T301 |  | 6975 | 15000 | SH |  | SOLE |  | 0 | 0 | 15000 |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 |  | 422014 | 1229 | SH |  | SOLE |  | 0 | 0 | 1229 |
| INTERCONTINENTAL EXCHANGE IN | COM | 45866F104 |  | 245395 | 2392 | SH |  | SOLE |  | 0 | 0 | 2392 |
| INTRUSION INC | COM NEW | 46121E205 |  | 94974 | 30055 | SH |  | SOLE |  | 0 | 0 | 30055 |
| IRON MTN INC DEL | COM | 46284V101 |  | 9471650 | 190003 | SH |  | SOLE |  | 0 | 0 | 190003 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 3132588 | 23360 | SH |  | SOLE |  | 0 | 0 | 23360 |
| J P MORGAN EXCHANGE TRADED F | INCOME ETF | 46641Q159 |  | 442853 | 9815 | SH |  | SOLE |  | 0 | 0 | 9815 |
| J P MORGAN EXCHANGE TRADED F | SHORT DURA CORE | 46641Q274 |  | 588388 | 12875 | SH |  | SOLE |  | 0 | 0 | 12875 |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 46641Q837 |  | 5080174 | 101340 | SH |  | SOLE |  | 0 | 0 | 101340 |
| JANUS DETROIT STR TR | HENDRSON AAA CL | 47103U845 |  | 3668919 | 74481 | SH |  | SOLE |  | 0 | 0 | 74481 |
| KINDER MORGAN INC DEL | COM | 49456B101 |  | 1122153 | 62066 | SH |  | SOLE |  | 0 | 0 | 62066 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 |  | 328953 | 946 | SH |  | SOLE |  | 0 | 0 | 946 |
| MERCK  CO INC | COM | 58933Y105 |  | 1247498 | 11244 | SH |  | SOLE |  | 0 | 0 | 11244 |
| NEXTPLAY TECHNOLOGIES INC | COM | 65344G102 |  | 3435 | 30000 | SH |  | SOLE |  | 0 | 0 | 30000 |
| ORACLE CORP | COM | 68389X105 |  | 1167247 | 14280 | SH |  | SOLE |  | 0 | 0 | 14280 |
| PGIM ETF TR | PGIM ULTRA SH BD | 69344A107 |  | 1920547 | 39115 | SH |  | SOLE |  | 0 | 0 | 39115 |
| PALANTIR TECHNOLOGIES INC | CL A | 69608A108 |  | 3776276 | 588205 | SH |  | SOLE |  | 0 | 0 | 588205 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 |  | 242713 | 2405 | SH |  | SOLE |  | 0 | 0 | 2405 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 201541 | 527 | SH |  | SOLE |  | 0 | 0 | 527 |
| WORLD GOLD TR | SPDR GLD MINIS | 78463V107 |  | 577592 | 15960 | SH |  | SOLE |  | 0 | 0 | 15960 |
| SPDR SER TR | PRTFLO S GW | 78464A409 |  | 8336417 | 164524 | SH |  | SOLE |  | 0 | 0 | 164524 |
| SPDR SER TR | PRTFLO S VL | 78464A508 |  | 6597540 | 169646 | SH |  | SOLE |  | 0 | 0 | 169646 |
| SPDR SER TR | S BIOTECH | 78464A870 |  | 398400 | 4800 | SH |  | SOLE |  | 0 | 0 | 4800 |
| SALESFORCE INC | COM | 79466L302 |  | 598644 | 4515 | SH |  | SOLE |  | 0 | 0 | 4515 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 |  | 215281 | 1730 | SH |  | SOLE |  | 0 | 0 | 1730 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 |  | 215025 | 3050 | SH |  | SOLE |  | 0 | 0 | 3050 |
| SIRIUS XM HOLDINGS INC | COM | 82968B103 |  | 111544 | 19100 | SH |  | SOLE |  | 0 | 0 | 19100 |
| SIXTH STREET SPECIALTY LENDI | COM | 83012A109 |  | 1342120 | 75400 | SH |  | SOLE |  | 0 | 0 | 75400 |
| SPECTRUM PHARMACEUTICALS INC | COM | 84763A108 |  | 171205 | 464600 | SH |  | SOLE |  | 0 | 0 | 464600 |
| STARWOOD PPTY TR INC | COM | 85571B105 |  | 2593200 | 141473 | SH |  | SOLE |  | 0 | 0 | 141473 |
| TARGET CORP | COM | 87612E106 |  | 210892 | 1415 | SH |  | SOLE |  | 0 | 0 | 1415 |
| TARSUS PHARMACEUTICALS INC | COM | 87650L103 |  | 151848 | 10358 | SH |  | SOLE |  | 0 | 0 | 10358 |
| TEKLA WORLD HEALTHCARE FD | BEN INT SHS | 87911L108 |  | 293000 | 20000 | SH |  | SOLE |  | 0 | 0 | 20000 |
| TELLURIAN INC NEW | COM | 87968A104 |  | 10 | 100000 | SH | Call | SOLE |  | 0 | 0 | 100000 |
| TELLURIAN INC NEW | COM | 87968A104 |  | 84000 | 50000 | SH |  | SOLE |  | 0 | 0 | 50000 |
| TESLA INC | COM | 88160R101 |  | 283314 | 2300 | SH |  | SOLE |  | 0 | 0 | 2300 |
| THE TRADE DESK INC | COM CL A | 88339J105 |  | 234237 | 5225 | SH |  | SOLE |  | 0 | 0 | 5225 |
| 3M CO | COM | 88579Y101 |  | 403531 | 3365 | SH |  | SOLE |  | 0 | 0 | 3365 |
| ULTA BEAUTY INC | COM | 90384S303 |  | 445617 | 950 | SH |  | SOLE |  | 0 | 0 | 950 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 1189194 | 2243 | SH |  | SOLE |  | 0 | 0 | 2243 |
| UNIVERSAL DISPLAY CORP | COM | 91347P105 |  | 8219467 | 76078 | SH |  | SOLE |  | 0 | 0 | 76078 |
| VANGUARD WORLD FDS | HEALTH CAR ETF | 92204A504 |  | 264173 | 1065 | SH |  | SOLE |  | 0 | 0 | 1065 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 576028 | 14620 | SH |  | SOLE |  | 0 | 0 | 14620 |
| VISA INC | COM CL A | 92826C839 |  | 629721 | 3031 | SH |  | SOLE |  | 0 | 0 | 3031 |
| WISDOMTREE TR | US MIDCAP FUND | 97717W570 |  | 314815 | 6475 | SH |  | SOLE |  | 0 | 0 | 6475 |
| XEROX HOLDINGS CORP | COM NEW | 98421M106 |  | 3225169 | 220902 | SH |  | SOLE |  | 0 | 0 | 220902 |
| ZOETIS INC | CL A | 98978V103 |  | 662846 | 4523 | SH |  | SOLE |  | 0 | 0 | 4523 |
| ATLANTICA SUSTAINABLE INFR P | SHS | G0751N103 |  | 821807 | 31730 | SH |  | SOLE |  | 0 | 0 | 31730 |
| LINDE PLC | SHS | G5494J103 |  | 652360 | 2000 | SH |  | SOLE |  | 0 | 0 | 2000 |
| TRANSOCEAN LTD | REG SHS | H8817H100 |  | 210216 | 46100 | SH |  | SOLE |  | 0 | 0 | 46100 |
| MEDIWOUND LTD | SHS NEW | M68830112 |  | 1218498 | 90326 | SH |  | SOLE |  | 0 | 0 | 90326 |

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