# EDGAR Filing Document

**Accession Number:** 0001840629
**File Stem:** 0001398344-23-002506
**Filing Date:** 2023-2
**Character Count:** 24958
**Document Hash:** ad8bdf27039c7e0393a9de148db21d19
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001398344-23-002506.hdr.sgml**: 20230209

**ACCESSION NUMBER**: 0001398344-23-002506

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230209

**DATE AS OF CHANGE**: 20230209

**EFFECTIVENESS DATE**: 20230209

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Running Point Capital Advisors, LLC
- **CENTRAL INDEX KEY:** 0001840629
- **IRS NUMBER:** 843107632
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-20558
- **FILM NUMBER:** 23605972

**BUSINESS ADDRESS:**
- **STREET 1:** 101 N. PACIFIC COAST HIGHWAY
- **STREET 2:** SUITE 305
- **CITY:** EL SEGUNDO
- **STATE:** CA
- **ZIP:** 90245
- **BUSINESS PHONE:** 424-502-3500

**MAIL ADDRESS:**
- **STREET 1:** 101 N. PACIFIC COAST HIGHWAY
- **STREET 2:** SUITE 305
- **CITY:** EL SEGUNDO
- **STATE:** CA
- **ZIP:** 90245

### 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:** Running Point Capital Advisors LLC<br>**Address:** 101 N. PACIFIC COAST HIGHWAY<br>SUITE 305<br>EL SEGUNDO, CA 90245

**Form 13F File Number:** 028-20558

**CRD Number (if applicable):** 000306275

**SEC File Number (if applicable):** 801-117793

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:** James Schlager<br>**Title:** Chief Compliance Officer<br>**Phone:** 424-502-3501

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

/s/ James Schlager  El Segundo, CA  02-09-2023<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:** 209

**Form 13F Information Table Value Total:** $162786945

      (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 |
| ACADIA PHARMACEUTICALS INC | COM | 004225108 |  | 159200 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| AGNC INVT CORP | COM | 00123Q104 |  | 103500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 124399 | 1402 | SH |  | SOLE |  | 1402 | 0 | 0 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 185636 | 2104 | SH |  | SOLE |  | 2104 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 379260 | 4515 | SH |  | SOLE |  | 4515 | 0 | 0 |
| AMICUS THERAPEUTICS INC | COM | 03152W109 |  | 122100 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 2313014 | 17802 | SH |  | SOLE |  | 17802 | 0 | 0 |
| APPLIED MATLS INC | COM | 038222105 |  | 211607 | 2173 | SH |  | SOLE |  | 2173 | 0 | 0 |
| ARES MANAGEMENT CORPORATION | CL A COM STK | 03990B101 |  | 912579 | 13334 | SH |  | SOLE |  | 13334 | 0 | 0 |
| ARLINGTON ASSET INVST CORP | CL A NEW | 041356205 |  | 29300 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| AT INC | COM | 00206R102 |  | 257630 | 13994 | SH |  | SOLE |  | 13994 | 0 | 0 |
| ATARA BIOTHERAPEUTICS INC | COM | 046513107 |  | 32800 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| BANK NOVA SCOTIA HALIFAX | COM | 064149107 |  | 265276 | 5416 | SH |  | SOLE |  | 5416 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 298706 | 967 | SH |  | SOLE |  | 967 | 0 | 0 |
| BEYOND MEAT INC | COM | 08862E109 |  | 246816 | 20050 | SH |  | SOLE |  | 20050 | 0 | 0 |
| BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 |  | 162450 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 |  | 87400 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| BLACKROCK CR ALLOCATION INCO | COM | 092508100 |  | 101000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| BLACKROCK ENERGY  RES TR | COM | 09250U101 |  | 133131 | 10625 | SH |  | SOLE |  | 10625 | 0 | 0 |
| BLACKROCK ENHANCD CAP  INM | COM | 09256A109 |  | 256800 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| BLACKROCK ENHANCED GLOBAL DI | COM | 092501105 |  | 239000 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| BLACKROCK ENHANCED INTL DIV | COM BENE INTER | 092524107 |  | 50200 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| BLACKROCK MUN INCOME TR | SH BEN INT | 09248F109 |  | 150900 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 |  | 322200 | 30000 | SH |  | SOLE |  | 30000 | 0 | 0 |
| BLACKROCK RES  COMMODITIES | SHS | 09257A108 |  | 106079 | 10640 | SH |  | SOLE |  | 10640 | 0 | 0 |
| BOEING CO | COM | 097023105 |  | 235366 | 1236 | SH |  | SOLE |  | 1236 | 0 | 0 |
| BRITISH AMERN TOB PLC | SPONSORED ADR | 110448107 |  | 215092 | 5380 | SH |  | SOLE |  | 5380 | 0 | 0 |
| BRP GROUP INC | COM CL A | 05589G102 |  | 441257 | 17552 | SH |  | SOLE |  | 17552 | 0 | 0 |
| CALAMOS CONV  HIGH INCOME F | COM SHS | 12811P108 |  | 105500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| CHEMBIO DIAGNOSTICS INC | COM NEW | 163572209 |  | 2197 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| CISCO SYS INC | COM | 17275R102 |  | 275504 | 5783 | SH |  | SOLE |  | 5783 | 0 | 0 |
| CITIGROUP INC | COM NEW | 172967424 |  | 383822 | 8486 | SH |  | SOLE |  | 8486 | 0 | 0 |
| DIMENSIONAL ETF TRUST | US SMALL CAP ETF | 25434V500 |  | 443010 | 8661 | SH |  | SOLE |  | 8661 | 0 | 0 |
| DIMENSIONAL ETF TRUST | US TARGETED VLU | 25434V609 |  | 265815 | 6048 | SH |  | SOLE |  | 6048 | 0 | 0 |
| DIMENSIONAL ETF TRUST | US CORE EQUITY 2 | 25434V708 |  | 3607304 | 148571 | SH |  | SOLE |  | 148571 | 0 | 0 |
| DIMENSIONAL ETF TRUST | US MKTWIDE VALUE | 25434V724 |  | 1520626 | 45419 | SH |  | SOLE |  | 45419 | 0 | 0 |
| DIMENSIONAL ETF TRUST | INTERNATNAL VAL | 25434V807 |  | 583934 | 19208 | SH |  | SOLE |  | 19208 | 0 | 0 |
| DNP SELECT INCOME FD INC | COM | 23325P104 |  | 112500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| EATON VANCE CALIF MUN BD FD | COM | 27828A100 |  | 129600 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| EATON VANCE MUN BD FD | COM | 27827X101 |  | 103900 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| EATON VANCE RISK-MANAGED DIV | COM | 27829G106 |  | 75000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| EATON VANCE TAX-MANAGED DIVE | COM | 27828N102 |  | 108600 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| EATON VANCE TAX-MANAGED GLOB | COM | 27829C105 |  | 116400 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| EATON VANCE TAX-MANAGED GLOB | COM | 27829F108 |  | 113250 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| ENVIVA INC | COM | 29415B103 |  | 202875 | 3830 | SH |  | SOLE |  | 3830 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 482121 | 4371 | SH |  | SOLE |  | 4371 | 0 | 0 |
| FIDELITY COVINGTON TRUST | LOW VOLITY ETF | 316092824 |  | 2048037 | 44349 | SH |  | SOLE |  | 44349 | 0 | 0 |
| FIRST TR EXCH TRADED FD III | PFD SECS INC ETF | 33739E108 |  | 220735 | 13139 | SH |  | SOLE |  | 13139 | 0 | 0 |
| FIRST TR EXCH TRADED FD III | MANAGD MUN ETF | 33739N108 |  | 535776 | 10692 | SH |  | SOLE |  | 10692 | 0 | 0 |
| FIRST TR EXCH TRADED FD III | CALIF MUN INCM | 33739P863 |  | 1117567 | 23095 | SH |  | SOLE |  | 23095 | 0 | 0 |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR TA HIYL | 33738D408 |  | 395864 | 10166 | SH |  | SOLE |  | 10166 | 0 | 0 |
| GEMINI THERAPEUTICS INC | COM | 36870G105 |  | 13500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| GLOBAL X FDS | X EMERGING MKT | 37954Y350 |  | 32406 | 1515 | SH |  | SOLE |  | 1515 | 0 | 0 |
| GLOBAL X FDS | US PFD ETF | 37954Y657 |  | 644711 | 33284 | SH |  | SOLE |  | 33284 | 0 | 0 |
| GLOBAL X FDS | GLOBAL X URANIUM | 37954Y871 |  | 4016 | 200 | SH |  | SOLE |  | 200 | 0 | 0 |
| GOLDMAN SACHS ETF TR | EQUAL WEIGHT US | 381430438 |  | 970263 | 16746 | SH |  | SOLE |  | 16746 | 0 | 0 |
| GRITSTONE BIO INC | COM | 39868T105 |  | 34500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| HERSHEY CO | COM | 427866108 |  | 255653 | 1104 | SH |  | SOLE |  | 1104 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 474738 | 1503 | SH |  | SOLE |  | 1503 | 0 | 0 |
| INOVIO PHARMACEUTICALS INC | COM NEW | 45773H201 |  | 15600 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 |  | 123700 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| INVESCO ACTIVELY MANAGED ETF | ULTRA SHRT DUR | 46090A887 |  | 668304 | 13512 | SH |  | SOLE |  | 13512 | 0 | 0 |
| INVESCO CALIF VALUE MUN INCO | COM | 46132H106 |  | 189600 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | CALIF AMT MUN | 46138E206 |  | 3259 | 135 | SH |  | SOLE |  | 135 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | S LOW VOL | 46138E354 |  | 6992 | 109 | SH |  | SOLE |  | 109 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | PFD ETF | 46138E511 |  | 269270 | 24085 | SH |  | SOLE |  | 24085 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | NATL AMT MUNI | 46138E537 |  | 350592 | 15283 | SH |  | SOLE |  | 15283 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | GLOBAL WATER | 46138E651 |  | 367182 | 11246 | SH |  | SOLE |  | 11246 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 46138G649 |  | 2307140 | 21064 | SH |  | SOLE |  | 21064 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | S ULTRA DIVIDE | 46138G656 |  | 24704 | 567 | SH |  | SOLE |  | 567 | 0 | 0 |
| INVESCO EXCH TRADED FD TR II | GBL CLEAN ENRG | 46138G847 |  | 228949 | 12470 | SH |  | SOLE |  | 12470 | 0 | 0 |
| INVESCO EXCHANGE TRADED FD T | S QUALITY | 46137V241 |  | 681868 | 15497 | SH |  | SOLE |  | 15497 | 0 | 0 |
| INVESCO EXCHANGE TRADED FD T | S PUR GWT | 46137V266 |  | 18193 | 120 | SH |  | SOLE |  | 120 | 0 | 0 |
| INVESCO EXCHANGE TRADED FD T | S EQL WGT | 46137V357 |  | 121 | 1 | SH |  | SOLE |  | 1 | 0 | 0 |
| INVESCO EXCHANGE TRADED FD T | FINL PFD ETF | 46137V621 |  | 952128 | 66120 | SH |  | SOLE |  | 66120 | 0 | 0 |
| INVESCO LTD | SHS | G491BT108 |  | 233870 | 13000 | SH |  | SOLE |  | 13000 | 0 | 0 |
| INVESCO MUN OPPORTUNITY TR | COM | 46132C107 |  | 148650 | 15000 | SH |  | SOLE |  | 15000 | 0 | 0 |
| INVESCO MUNICIPAL TRUST | COM | 46131J103 |  | 99000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 16993950 | 63820 | SH |  | SOLE |  | 63820 | 0 | 0 |
| INVESCO QUALITY MUN INCOME T | COM | 46133G107 |  | 94200 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| INVESCO TR INVT GRADE MUNS | COM | 46131M106 |  | 201000 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| INVESCO VALUE MUN INCOME TR | COM | 46132P108 |  | 120500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| ISHARES INC | MSCI GBL MIN VOL | 464286525 |  | 88844 | 935 | SH |  | SOLE |  | 935 | 0 | 0 |
| ISHARES INC | MSCI EQUAL WEITE | 464286681 |  | 9960540 | 136558 | SH |  | SOLE |  | 136558 | 0 | 0 |
| ISHARES INC | CORE MSCI EMKT | 46434G103 |  | 8209123 | 175784 | SH |  | SOLE |  | 175784 | 0 | 0 |
| ISHARES INC | MSCI SINGPOR ETF | 46434G780 |  | 18 | 1 | SH |  | SOLE |  | 1 | 0 | 0 |
| ISHARES INC | MSCI EMERG MKT | 46434G889 |  | 30205 | 736 | SH |  | SOLE |  | 736 | 0 | 0 |
| ISHARES TR | CORE S TTL STK | 464287150 |  | 89973 | 1061 | SH |  | SOLE |  | 1061 | 0 | 0 |
| ISHARES TR | CORE S ETF | 464287200 |  | 123716 | 322 | SH |  | SOLE |  | 322 | 0 | 0 |
| ISHARES TR | CORE US AGGBD ET | 464287226 |  | 1013061 | 10445 | SH |  | SOLE |  | 10445 | 0 | 0 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 |  | 2134231 | 56312 | SH |  | SOLE |  | 56312 | 0 | 0 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 |  | 1008016 | 9561 | SH |  | SOLE |  | 9561 | 0 | 0 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 |  | 718923 | 7221 | SH |  | SOLE |  | 7221 | 0 | 0 |
| ISHARES TR | 1 3 YR TREAS BD | 464287457 |  | 29481 | 363 | SH |  | SOLE |  | 363 | 0 | 0 |
| ISHARES TR | RUS MDCP VAL ETF | 464287473 |  | 5162 | 49 | SH |  | SOLE |  | 49 | 0 | 0 |
| ISHARES TR | RUS MID CAP ETF | 464287499 |  | 18077 | 268 | SH |  | SOLE |  | 268 | 0 | 0 |
| ISHARES TR | CORE S MCP ETF | 464287507 |  | 439514 | 1817 | SH |  | SOLE |  | 1817 | 0 | 0 |
| ISHARES TR | EXPANDED TECH | 464287515 |  | 73941 | 289 | SH |  | SOLE |  | 289 | 0 | 0 |
| ISHARES TR | RUS 2000 VAL ETF | 464287630 |  | 11094 | 80 | SH |  | SOLE |  | 80 | 0 | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 |  | 219866 | 1261 | SH |  | SOLE |  | 1261 | 0 | 0 |
| ISHARES TR | RUSSELL 3000 ETF | 464287689 |  | 5665297 | 25672 | SH |  | SOLE |  | 25672 | 0 | 0 |
| ISHARES TR | U.S. REAL ES ETF | 464287739 |  | 2953245 | 35078 | SH |  | SOLE |  | 35078 | 0 | 0 |
| ISHARES TR | CORE S SCP ETF | 464287804 |  | 397488 | 4200 | SH |  | SOLE |  | 4200 | 0 | 0 |
| ISHARES TR | SHRT NAT MUN ETF | 464288158 |  | 787134 | 7549 | SH |  | SOLE |  | 7549 | 0 | 0 |
| ISHARES TR | GL CLEAN ENE ETF | 464288224 |  | 8436 | 425 | SH |  | SOLE |  | 425 | 0 | 0 |
| ISHARES TR | JPMORGAN USD EMG | 464288281 |  | 825175 | 9755 | SH |  | SOLE |  | 9755 | 0 | 0 |
| ISHARES TR | MRGSTR MD CP GRW | 464288307 |  | 2478 | 46 | SH |  | SOLE |  | 46 | 0 | 0 |
| ISHARES TR | CALIF MUN BD ETF | 464288356 |  | 1983264 | 35346 | SH |  | SOLE |  | 35346 | 0 | 0 |
| ISHARES TR | GLB INFRASTR ETF | 464288372 |  | 84254 | 1838 | SH |  | SOLE |  | 1838 | 0 | 0 |
| ISHARES TR | NATIONAL MUN ETF | 464288414 |  | 808705 | 7664 | SH |  | SOLE |  | 7664 | 0 | 0 |
| ISHARES TR | INTL SEL DIV ETF | 464288448 |  | 179609 | 6613 | SH |  | SOLE |  | 6613 | 0 | 0 |
| ISHARES TR | INTL DEV RE ETF | 464288489 |  | 1181550 | 56104 | SH |  | SOLE |  | 56104 | 0 | 0 |
| ISHARES TR | RESIDENTIAL MULT | 464288562 |  | 10251 | 150 | SH |  | SOLE |  | 150 | 0 | 0 |
| ISHARES TR | ISHS 5-10YR INVT | 464288638 |  | 221557 | 4475 | SH |  | SOLE |  | 4475 | 0 | 0 |
| ISHARES TR | ISHS 1-5YR INVS | 464288646 |  | 1611528 | 32347 | SH |  | SOLE |  | 32347 | 0 | 0 |
| ISHARES TR | PFD AND INCM SEC | 464288687 |  | 152660 | 5000 | SH |  | SOLE |  | 5000 | 0 | 0 |
| ISHARES TR | MSCI USA ESG SLC | 464288802 |  | 40748 | 495 | SH |  | SOLE |  | 495 | 0 | 0 |
| ISHARES TR | A RATE CP BD ETF | 46429B291 |  | 573643 | 12383 | SH |  | SOLE |  | 12383 | 0 | 0 |
| ISHARES TR | MSCI EAFE MIN VL | 46429B689 |  | 525848 | 8270 | SH |  | SOLE |  | 8270 | 0 | 0 |
| ISHARES TR | MSCI USA MIN VOL | 46429B697 |  | 14867557 | 206207 | SH |  | SOLE |  | 206207 | 0 | 0 |
| ISHARES TR | 0-5 YR TIPS ETF | 46429B747 |  | 41790 | 431 | SH |  | SOLE |  | 431 | 0 | 0 |
| ISHARES TR | MSCI USA QLT FCT | 46432F339 |  | 10513136 | 92253 | SH |  | SOLE |  | 92253 | 0 | 0 |
| ISHARES TR | MSCI USA VALUE | 46432F388 |  | 92872 | 1019 | SH |  | SOLE |  | 1019 | 0 | 0 |
| ISHARES TR | MSCI USA MMENTM | 46432F396 |  | 80699 | 553 | SH |  | SOLE |  | 553 | 0 | 0 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 |  | 182132 | 2955 | SH |  | SOLE |  | 2955 | 0 | 0 |
| ISHARES TR | CONV BD ETF | 46435G102 |  | 278 | 4 | SH |  | SOLE |  | 4 | 0 | 0 |
| ISHARES TR | ESG AWRE 1 5 YR | 46435G243 |  | 468079 | 19692 | SH |  | SOLE |  | 19692 | 0 | 0 |
| ISHARES TR | CORE MSCI INTL | 46435G326 |  | 32468 | 580 | SH |  | SOLE |  | 580 | 0 | 0 |
| ISHARES TR | MSCI INTL VLU FT | 46435G409 |  | 52735 | 2276 | SH |  | SOLE |  | 2276 | 0 | 0 |
| J P MORGAN EXCHANGE TRADED F | INTERNL GWT | 46641Q324 |  | 1733 | 33 | SH |  | SOLE |  | 33 | 0 | 0 |
| J P MORGAN EXCHANGE TRADED F | US QUALTY FCTR | 46641Q761 |  | 53591 | 1383 | SH |  | SOLE |  | 1383 | 0 | 0 |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 46641Q837 |  | 2397910 | 47834 | SH |  | SOLE |  | 47834 | 0 | 0 |
| J P MORGAN EXCHANGE TRADED F | INTL BD OPP ETF | 46641Q852 |  | 890482 | 19366 | SH |  | SOLE |  | 19366 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 298362 | 1689 | SH |  | SOLE |  | 1689 | 0 | 0 |
| KARYOPHARM THERAPEUTICS INC | COM | 48576U106 |  | 34000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| LILLY ELI  CO | COM | 532457108 |  | 360718 | 986 | SH |  | SOLE |  | 986 | 0 | 0 |
| MACERICH CO | COM | 554382101 |  | 115505 | 10258 | SH |  | SOLE |  | 10258 | 0 | 0 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 |  | 264970 | 762 | SH |  | SOLE |  | 762 | 0 | 0 |
| META PLATFORMS INC | CL A | 30303M102 |  | 348505 | 2896 | SH |  | SOLE |  | 2896 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 2371100 | 9887 | SH |  | SOLE |  | 9887 | 0 | 0 |
| NEW YORK CMNTY BANCORP INC | COM | 649445103 |  | 172000 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 |  | 189384 | 15600 | SH |  | SOLE |  | 15600 | 0 | 0 |
| NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 |  | 227400 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 |  | 236898 | 21400 | SH |  | SOLE |  | 21400 | 0 | 0 |
| NUVEEN CALIFORNIA AMT QLT MU | COM | 670651108 |  | 488654 | 39728 | SH |  | SOLE |  | 39728 | 0 | 0 |
| NUVEEN DYNAMIC MUN OPPORTUNI | COM SHS | 67079X102 |  | 99400 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| NUVEEN MUN CR OPPORTUNITIES | COM | 670663103 |  | 109900 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| NUVEEN MUN HIGH INCOME OPPOR | COM | 670682103 |  | 932958 | 90228 | SH |  | SOLE |  | 90228 | 0 | 0 |
| NUVEEN MUN VALUE FD INC | COM | 670928100 |  | 86000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 |  | 120800 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| NUVEEN PFD  INCOME SECS FD | COM | 67072C105 |  | 68000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 |  | 118000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| NUVEEN S 500 BUY-WRITE INC | COM | 6706ER101 |  | 126500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 238647 | 1633 | SH |  | SOLE |  | 1633 | 0 | 0 |
| OLEMA PHARMACEUTICALS INC | COM | 68062P106 |  | 24500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| PEPSICO INC | COM | 713448108 |  | 215889 | 1195 | SH |  | SOLE |  | 1195 | 0 | 0 |
| PIMCO CALIF MUN INCOME FD II | COM | 72201C109 |  | 83500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| PIMCO CORPORATE  INCOME OPP | COM | 72201B101 |  | 120100 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| PIMCO HIGH INCOME FD | COM SHS | 722014107 |  | 118250 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| PITNEY BOWES INC | COM | 724479100 |  | 38000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| PROSPECT CAP CORP | COM | 74348T102 |  | 69900 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| PUMA BIOTECHNOLOGY INC | COM | 74587V107 |  | 42300 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| QUAD / GRAPHICS INC | COM CL A | 747301109 |  | 40800 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| SPDR GOLD TR | GOLD SHS | 78463V107 |  | 1246854 | 7350 | SH |  | SOLE |  | 7350 | 0 | 0 |
| SPDR INDEX SHS FDS | PORTFOLIO EMG MK | 78463X509 |  | 434841 | 13193 | SH |  | SOLE |  | 13193 | 0 | 0 |
| SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 78463X889 |  | 499445 | 16822 | SH |  | SOLE |  | 16822 | 0 | 0 |
| SPDR SER TR | NUVEEN BLOOMBERG | 78464A284 |  | 4318517 | 88187 | SH |  | SOLE |  | 88187 | 0 | 0 |
| SPDR SER TR | BLOOMBERG SHORT | 78464A334 |  | 24435 | 903 | SH |  | SOLE |  | 903 | 0 | 0 |
| SPDR SER TR | PORTFOLIO SHORT | 78464A474 |  | 25326 | 862 | SH |  | SOLE |  | 862 | 0 | 0 |
| SPDR SER TR | PRTFLO S VL | 78464A508 |  | 3578 | 92 | SH |  | SOLE |  | 92 | 0 | 0 |
| SPDR SER TR | HLTH CR EQUIP | 78464A581 |  | 66519 | 740 | SH |  | SOLE |  | 740 | 0 | 0 |
| SPDR SER TR | PORTFLI TIPS ETF | 78464A656 |  | 773 | 30 | SH |  | SOLE |  | 30 | 0 | 0 |
| STARBUCKS CORP | COM | 855244109 |  | 228362 | 2302 | SH |  | SOLE |  | 2302 | 0 | 0 |
| SUN LIFE FINANCIAL INC. | COM | 866796105 |  | 252432 | 5438 | SH |  | SOLE |  | 5438 | 0 | 0 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 253956 | 479 | SH |  | SOLE |  | 479 | 0 | 0 |
| VANECK ETF TRUST | GOLD MINERS ETF | 92189F106 |  | 34564 | 1206 | SH |  | SOLE |  | 1206 | 0 | 0 |
| VANECK ETF TRUST | PREFERRED SECURT | 92189F429 |  | 167100 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| VANECK ETF TRUST | IG FLOATING RATE | 92189F486 |  | 275876 | 11088 | SH |  | SOLE |  | 11088 | 0 | 0 |
| VANECK ETF TRUST | AGRIBUSINESS ETF | 92189F700 |  | 4292 | 50 | SH |  | SOLE |  | 50 | 0 | 0 |
| VANECK ETF TRUST | INTRMDT MUNI ETF | 92189H201 |  | 1299246 | 28486 | SH |  | SOLE |  | 28486 | 0 | 0 |
| VANGUARD BD INDEX FDS | INTERMED TERM | 921937819 |  | 182679 | 2458 | SH |  | SOLE |  | 2458 | 0 | 0 |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 921937827 |  | 243040 | 3228 | SH |  | SOLE |  | 3228 | 0 | 0 |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 |  | 592536 | 8248 | SH |  | SOLE |  | 8248 | 0 | 0 |
| VANGUARD CHARLOTTE FDS | TOTAL INT BD ETF | 92203J407 |  | 3672628 | 77433 | SH |  | SOLE |  | 77433 | 0 | 0 |
| VANGUARD INDEX FDS | S 500 ETF SHS | 922908363 |  | 831191 | 2366 | SH |  | SOLE |  | 2366 | 0 | 0 |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 |  | 29753 | 220 | SH |  | SOLE |  | 220 | 0 | 0 |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 922908553 |  | 5280461 | 64021 | SH |  | SOLE |  | 64021 | 0 | 0 |
| VANGUARD INDEX FDS | SM CP VAL ETF | 922908611 |  | 3494 | 22 | SH |  | SOLE |  | 22 | 0 | 0 |
| VANGUARD INDEX FDS | MID CAP ETF | 922908629 |  | 8356 | 41 | SH |  | SOLE |  | 41 | 0 | 0 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 |  | 70185 | 500 | SH |  | SOLE |  | 500 | 0 | 0 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 |  | 12848 | 70 | SH |  | SOLE |  | 70 | 0 | 0 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 |  | 43258 | 226 | SH |  | SOLE |  | 226 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | GLB EX US ETF | 922042676 |  | 2109954 | 51039 | SH |  | SOLE |  | 51039 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | FTSE SMCAP ETF | 922042718 |  | 308 | 3 | SH |  | SOLE |  | 3 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 |  | 2689581 | 68999 | SH |  | SOLE |  | 68999 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 |  | 203389 | 2705 | SH |  | SOLE |  | 2705 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 92206C664 |  | 286799 | 4076 | SH |  | SOLE |  | 4076 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 92206C813 |  | 33994 | 449 | SH |  | SOLE |  | 449 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | LONG TERM TREAS | 92206C847 |  | 179499 | 2913 | SH |  | SOLE |  | 2913 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 |  | 278028 | 3587 | SH |  | SOLE |  | 3587 | 0 | 0 |
| VANGUARD STAR FDS | VG TL INTL STK F | 921909768 |  | 1418025 | 27417 | SH |  | SOLE |  | 27417 | 0 | 0 |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 921943858 |  | 3186812 | 75931 | SH |  | SOLE |  | 75931 | 0 | 0 |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 921946406 |  | 16232 | 150 | SH |  | SOLE |  | 150 | 0 | 0 |
| VANGUARD WHITEHALL FDS | EM MK GOV BD ETF | 921946885 |  | 4140041 | 67892 | SH |  | SOLE |  | 67892 | 0 | 0 |
| VANGUARD WORLD FDS | INF TECH ETF | 92204A702 |  | 260319 | 815 | SH |  | SOLE |  | 815 | 0 | 0 |
| VIRTUS CONVERTIBLE  INCOME | COM | 92838X102 |  | 34000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| VISA INC | COM CL A | 92826C839 |  | 515868 | 2483 | SH |  | SOLE |  | 2483 | 0 | 0 |
| WAVE LIFE SCIENCES LTD | SHS | Y95308105 |  | 70000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| XERIS BIOPHARMA HOLDINGS INC | COM | 98422E103 |  | 13300 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |

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