Barbara M Barrett
EXPO × 9 INTC × 8 Impele Holdings LLC × 4 IVW × 4 TALLWAVE CAPITAL × 3 IMPELE HOLDINGS × 3 view in graph
132trades · $232.5M est.
11%
disclosed on time · 118 late, worst 267d over
$293.3Mest. assets · Termination
Stock trades
| Asset | Type | Amount | Owner | Traded | Disclosed |
|---|---|---|---|---|---|
| Impele Holdings LLC | Buy | $15K – $50K | Self | Jan 13, 2021 | filing ↗ |
| IVW iShares S&P 500 Growth ETF | Sell | $1K – $15K | Self | Jan 6, 2021 | filing ↗ |
| EGRIX Eaton Vance Global Macro Absolute Return Advantage Fund Class I Shares | Buy | $1K – $15K | Self | Jan 5, 2021 | filing ↗ |
| EIHYX Eaton Vance High Yield Municipal Income Fund Class I Shares | Buy | $15K – $50K | Self | Jan 5, 2021 | filing ↗ |
| FITZX Franklin Federal Intermediate-Term Tax-Free Income Fund Advisor Class Shares | Buy | $1K – $15K | Self | Jan 5, 2021 | filing ↗ |
| LANFX Lord Abbett National Tax Free Fund Class F Shares | Buy | $15K – $50K | Self | Jan 5, 2021 | filing ↗ |
| BXMIX Blackstone Alternative Multi-Strategy Fund Class I Shares | Buy | $15K – $50K | Self | Jan 4, 2021 | filing ↗ |
| Impele Holdings LLC | Buy | $100K – $250K | Self | Dec 4, 2020 | filing ↗ |
| IVW iShares S&P 500 Growth ETF | Sell | $500K – $1M | Self | Nov 18, 2020 | filing ↗ |
| Impele Holdings, LLC | Buy | $100K – $250K | Self | Nov 2, 2020 | filing ↗ |
| IYW iShares US Technology ETF | Sell | $15K – $50K | Self | Oct 30, 2020 | filing ↗ |
| IYT iShares Transportation Average ETF | Sell | $15K – $50K | Self | Oct 30, 2020 | filing ↗ |
| IYT iShares Transportation Average ETF | Sell | $15K – $50K | Self | Oct 30, 2020 | filing ↗ |
| Impele Holdings LLC | Buy | $50K – $100K | Self | Oct 6, 2020 | 13d late filing ↗ |
| IVW iShares S&P 500 Growth ETF | Sell | $500K – $1M | Self | Sep 25, 2020 | filing ↗ |
| Impele Holdings LLC | Buy | $50K – $100K | Self | Sep 2, 2020 | 9d late filing ↗ |
| Impele Holdings | Buy | $50K – $100K | Self | Aug 6, 2020 | 18d late filing ↗ |
| Impele Holdings | Buy | $50K – $100K | Self | Jul 1, 2020 | 54d late filing ↗ |
| JETS ETF JETS | Buy | $15K – $50K | Self | Jun 8, 2020 | 77d late filing ↗ |
| Impele Holdings Ltd | Buy | $100K – $250K | Self | Jun 1, 2020 | 84d late filing ↗ |
| EGRIX E V GLOBAL MACRO ABS RET ADV I | Buy | $250K – $500K | Self | Mar 2, 2020 | 245d late filing ↗ |
| IWR ISHARES RUSSELL MID-CAP ETF | Buy | $500K – $1M | Self | Mar 2, 2020 | 245d late filing ↗ |
| DVY ISHARES SELECT DIVIDEND ETF | Buy | $1M – $5M | Self | Mar 2, 2020 | 245d late filing ↗ |
| AHLYX AMERICAN BEACON AHL MNGD | Buy | $100K – $250K | Self | Mar 2, 2020 | 245d late filing ↗ |
| ECEIX LAZARD EMERG MKTS CORE EQ I | Buy | $250K – $500K | Self | Mar 2, 2020 | 245d late filing ↗ |
| JSFDX JHF SEAPORT LONG/SHORT FUND I | Buy | $250K – $500K | Self | Mar 2, 2020 | 245d late filing ↗ |
| VONG Vanguard Russell 1000 Growth ETF | Buy | $1M – $5M | Self | Mar 2, 2020 | 245d late filing ↗ |
| VONV Vanguard Russell 1000 Value ETF | Buy | $500K – $1M | Self | Mar 2, 2020 | 245d late filing ↗ |
| BXMIX BLACKSTONE ALT MULT-STRAT INST | Buy | $250K – $500K | Self | Mar 2, 2020 | 245d late filing ↗ |
| IEFA iShares Core MSCI EAFE ETF | Buy | $1M – $5M | Self | Mar 2, 2020 | 245d late filing ↗ |
| IEMG iShares Core MSCI Emerging Markets ETF | Buy | $500K – $1M | Self | Mar 2, 2020 | 245d late filing ↗ |
| LAOIX WESTERN ASSET MACRO OPPORT I | Buy | $100K – $250K | Self | Mar 2, 2020 | 245d late filing ↗ |
| EIHYX EV HIGH YIELD MUNI INCOME I | Buy | $500K – $1M | Self | Mar 2, 2020 | 245d late filing ↗ |
| FITZX FRANKLIN FED INTM TRM TXFR ADV | Buy | $1M – $5M | Self | Mar 2, 2020 | 245d late filing ↗ |
| HLMIX HARDING LOEVNER INTL EQTY INST | Buy | $1M – $5M | Self | Mar 2, 2020 | 245d late filing ↗ |
| SBLYX CLEARBRIDGE LARGE CAP GWTH I | Buy | $500K – $1M | Self | Mar 2, 2020 | 245d late filing ↗ |
| CIVIX CAUSEWAY INTL VALUE INSTL | Buy | $500K – $1M | Self | Mar 2, 2020 | 245d late filing ↗ |
| LANFX LORD ABBOT NATL TX FR INC F | Buy | $500K – $1M | Self | Mar 2, 2020 | 245d late filing ↗ |
| BILPX BLACKROCK EVENT DRIVEN EQ INST | Buy | $250K – $500K | Self | Mar 2, 2020 | 245d late filing ↗ |
| HLIEX JP MORGAN EQUITY INCOME I | Buy | $1M – $5M | Self | Mar 2, 2020 | 245d late filing ↗ |
| USMV ISHARES EDGE MSCI MIN VOL USA ETF | Buy | $5M – $25M | Self | Feb 27, 2020 | 249d late filing ↗ |
| DGRO ISH TR CORE DIVID GROWTH ETF | Buy | $5M – $25M | Self | Feb 27, 2020 | 249d late filing ↗ |
| NEAR ISHARES SHORT MATURITY BOND ETF | Buy | $1M – $5M | Self | Feb 27, 2020 | 249d late filing ↗ |
| FLOT iShares Floating Rate Note | Buy | $1M – $5M | Self | Feb 27, 2020 | 249d late filing ↗ |
| HDV ISHARES CORE HIGH DIVIDEND ETF | Buy | $5M – $25M | Self | Feb 27, 2020 | 249d late filing ↗ |
| IVW ISHARES S&P 500 GROWTH | Buy | $5M – $25M | Self | Feb 27, 2020 | 249d late filing ↗ |
| IGIB ISHARES INTERMEDIATE TERM CORP BND ETF | Buy | $5M – $25M | Self | Feb 27, 2020 | 249d late filing ↗ |
| EFAV ISHARES EDGE MSCI MIN VOL EAFE ETF | Buy | $5M – $25M | Self | Feb 27, 2020 | 249d late filing ↗ |
| TIP ISHARES TIPS BOND ETF | Buy | $1M – $5M | Self | Feb 27, 2020 | 249d late filing ↗ |
| IJR ISHARES CORE S&P SMALL-CAP ETF | Buy | $1M – $5M | Self | Feb 27, 2020 | 249d late filing ↗ |
| IJF ISHARES CORE S&P MID-CAP ETF | Buy | $1M – $5M | Self | Feb 27, 2020 | 249d late filing ↗ |
| US TSY NOTE 02.250% | Buy | $1M – $5M | Self | Feb 21, 2020 | 255d late filing ↗ |
| EIDIX Eaton Vance Tax-Managed Global Div Inc I | Buy | $5M – $25M | Self | Feb 21, 2020 | 255d late filing ↗ |
| BLACKSTONE REAL ESTATE INCOME TRUST INC ESCROW MFQGIE | Buy | $5M – $25M | Self | Feb 21, 2020 | 255d late filing ↗ |
| CTL CenturyLink Inc | Sell | $1K – $15K | Self | Feb 10, 2020 | 224d late filing ↗ |
| CTL CenturyLink Inc | Sell | $50K – $100K | Self | Feb 10, 2020 | 266d late filing ↗ |
| TALLWAVE CAPITAL | Buy | $50K – $100K | Self | Feb 10, 2020 | 266d late filing ↗ |
| IMPELE HOLDINGS | Buy | $50K – $100K | Self | Feb 10, 2020 | 266d late filing ↗ |
| SVG THRIVE FUND LLC | Buy | $100K – $250K | Self | Feb 10, 2020 | 266d late filing ↗ |
| GEOTHERMIC SOLUTION | Buy | $1K – $15K | Self | Feb 9, 2020 | 267d late filing ↗ |
| TALLWAVE CAPITAL | Buy | $50K – $100K | Self | Feb 3, 2020 | 231d late filing ↗ |
| IMPELE HOLDINGS | Buy | $50K – $100K | Self | Feb 3, 2020 | 231d late filing ↗ |
| TALLWAVE CAPITAL | Buy | $50K – $100K | Self | Jan 28, 2020 | 237d late filing ↗ |
| IMPELE HOLDINGS | Buy | $50K – $100K | Self | Jan 28, 2020 | 237d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $1M – $5M | Self | Jan 15, 2020 | 250d late filing ↗ |
| CHINA MOBILE LTD SPN AD | Sell | $50K – $100K | Self | Jan 15, 2020 | 250d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $1M – $5M | Self | Jan 14, 2020 | 251d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $1M – $5M | Self | Jan 13, 2020 | 252d late filing ↗ |
| INTC Intel Corp | Sell | $1M – $5M | Self | Jan 13, 2020 | 252d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $1M – $5M | Self | Jan 10, 2020 | 255d late filing ↗ |
| INTEL CORP | Sell | $1M – $5M | Self | Jan 10, 2020 | 255d late filing ↗ |
| XEL Xcel Energy Inc | Sell | $100K – $250K | Self | Jan 10, 2020 | 255d late filing ↗ |
| INTC Intel Corp | Sell | $1M – $5M | Self | Jan 9, 2020 | 256d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $1M – $5M | Self | Jan 9, 2020 | 256d late filing ↗ |
| INTC Intel Corp | Sell | $1M – $5M | Self | Jan 9, 2020 | 256d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $1M – $5M | Self | Jan 8, 2020 | 257d late filing ↗ |
| INTC Intel Corp | Sell | $1M – $5M | Self | Jan 8, 2020 | 257d late filing ↗ |
| INTC Intel Corp | Sell | Over $50M | Self | Jan 8, 2020 | 257d late filing ↗ |
| PKI PerkinElmer Inc | Sell | $1K – $15K | Self | Jan 8, 2020 | 257d late filing ↗ |
| BLACKR BKMIX | Buy | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| ISHARE LQD | Buy | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| ISHARE PFF | Buy | $15K – $50K | Self | Jan 7, 2020 | 258d late filing ↗ |
| ISHARE PFF | Buy | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| RATION RFXIX | Buy | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $500K – $1M | Self | Jan 7, 2020 | 258d late filing ↗ |
| INTC Intel Corp | Sell | $1M – $5M | Self | Jan 7, 2020 | 258d late filing ↗ |
| AON Aon plc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| CI Cigna Corporation | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| CMCSK Comcast Corporation - Class A Special Common Stock | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| CITIGROUP INC COM NEW | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| CB Chubb Corp | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| DHR Danaher Corp | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| DUK Duke Energy Corp | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| EOG EOG Resources | Sell | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| ETN Eaton Corp plc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| FIRST ENERGY CORP | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| FIS Fidelity National Information | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| FISV Fiserv Inc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| GS Goldman Sachs Group Inc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| ITW Illinois Tool Works Inc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| JPM JP Morgan Chase & Co | Sell | $250K – $500K | Self | Jan 7, 2020 | 258d late filing ↗ |
| JNJ Johnson & Johnson | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| KMB Kimberly-Clark | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| LEAR CORP SHS | Sell | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| MEDTRONIC PLC SHS | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| NDAQ Nasdaq OMX Group/The | Sell | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| NESTLE S A REP RG SH AD | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| PPG PPG Industries Inc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| PNC FINCL SERVICES GROUP | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| PM Philip Morris International | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| PEP PepsiCo Inc | Sell | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| PFE Pfizer Inc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| ROCHE HOLDINGS LTD SPN AD | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| STT State Street Corp | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| SLB Schlumberger Ltd | Sell | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| SWK Stanley Black & Decker | Sell | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| SO Southern Co | Sell | $15K – $50K | Self | Jan 7, 2020 | 258d late filing ↗ |
| TRUIST FINL CORP | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| TXN Texas Instruments Inc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| TRV Travelers Cos Inc | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| TMO Thermo Fisher Scientific | Sell | $50K – $100K | Self | Jan 7, 2020 | 258d late filing ↗ |
| USB US Bancorp | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| UNP Union Pacific Corp | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| WELLS FARGO & CO NEW DE | Sell | $100K – $250K | Self | Jan 7, 2020 | 258d late filing ↗ |
| INTC Intel Corporation - Common Stock | Sell | $5M – $25M | Self | Jan 7, 2020 | 258d late filing ↗ |
| SMMU PIMCO Short Term Municipal Bond Active Exchange-Traded Fund | Sell | $15K – $50K | Self | Jan 6, 2020 | 259d late filing ↗ |
| MINT PIMCO Enhanced Short Maturity Active Exchange-Traded Fund | Sell | $15K – $50K | Self | Jan 6, 2020 | 259d late filing ↗ |
| FRANKLIN FUFRX | Sell | $250K – $500K | Self | Jan 6, 2020 | 259d late filing ↗ |
| ISHARE IDU | Sell | $15K – $50K | Self | Jan 6, 2020 | 259d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $1M – $5M | Self | Jan 6, 2020 | 259d late filing ↗ |
| EXPO Exponent, Inc. - Common Stock | Sell | $500K – $1M | Self | Jan 3, 2020 | 262d late filing ↗ |
| INTC Intel Corp | Sell | $1M – $5M | Self | Jan 3, 2020 | 262d late filing ↗ |
Asset holdings
Termination · filed —All positions
74 positions| Asset | Owner | Value | Income |
|---|---|---|---|
| TC Ranch, LLC, 50% Equity in LLC a.k.a. Triple Creek Guest Ranch | Self | $5M – $25M | — |
| K12 Inc, Board Member Fees | Spouse | $100K – $250K | Director Fees · $222.7K |
| 50% Equity in TC Ranch, LLC | Spouse | $5M – $25M | — |
| The Principles of Engineering Materials," Pearson (value not readily ascertainable)) | Spouse | — | Rent or Royalties · $1K – $2.5K |
| Casa Grande Partners I, LLC, Phoenix, AZ (real estate investment) | — | $1K – $15K | — |
| CB Ranch, LLC, Darby, MT (ranch investment) | — | Over $50M | — |
| Geothermic Solutions LLC, Palo Alto, CA (consultants on Geothermal Energy) | — | $100K – $250K | — |
| Digi.Me, London, UK (data mobility) | — | $15K – $50K | — |
| Imperial Topaz, Paradise Valley, AZ (fine jewels) | — | $500K – $1M | — |
| U.S. Bank Account #4 (cash) UMB | — | $500K – $1M | Interest · $1K – $2.5K |
| U.S. Bank Account #5 (cash)MML | — | $15K – $50K | Interest · $201 – $1K |
| iShares Short Maturity Bond ETF NEAR | — | $1M – $5M | $15K – $50K |
| IShares Tr Pfd & Incm Sec | — | $5M – $25M | $15K – $50K |
| Casa Grande Partners II, LLC, Phoenix, AZ (real estate investment) | — | $1K – $15K | — |
| Tallwave Commercialization Fund Scottsdale, AZ (invests in start-up companies) | — | $1M – $5M | $5K – $15K |
| Impele Holdings, LLC, Glendale, AZ (can conduct search of Arizona corporations on its web site) | — | $1M – $5M | — |
| SVG Thrive Fund, Los Gatos, CA (food tech) | — | $500K – $1M | $2.5K – $5K |
| Whole Trees LLC, Madison WI (engineering of round timber for commercial construction) | — | $50K – $100K | Capital Gains · $1K – $2.5K |
| iShares Core S&P Mid-Cap ETF IJH | — | $5M – $25M | $50K – $100K |
| iShares Core S&P Small-Cap ETF IJR | — | $1M – $5M | $15K – $50K |
| iShares TIPS Bond ETF TIP | — | $1M – $5M | $15K – $50K |
| iShares Edge MSCI Min Vol EAFE ETF EFAV | — | $5M – $25M | $50K – $100K |
| iShares Edge MSCI Min Vol USA ETF USMV | — | $5M – $25M | $100K – $1M |
| iShares Intermediate-Term Corporate Bond ETF IGIB | — | $5M – $25M | $100K – $1M |
| iShares S&P 500 Growth ETF IVW | — | $5M – $25M | $100K – $1M |
| iShares Core High Dividend ETF HDV | — | $5M – $25M | $100K – $1M |
| iShares Floating Rate Bond ETF FLOT | — | $1M – $5M | $15K – $50K |
| US Brokerage Money Market Acct #1 | — | $1M – $5M | $2.5K – $5K |
| iShares Core MSCI EAFE ETF IEFA | — | $1M – $5M | $15K – $50K |
| IShares Core MSCI Emerging EMG | — | $500K – $1M | $5K – $15K |
| iShares Russell Mid-Cap ETF IWR | — | $500K – $1M | $5K – $15K |
| iShares Select Dividend ETF DVY | — | $1M – $5M | $15K – $50K |
| Vanguard Russell 1000 Growth Index Fund ETF Shares VONG | — | $1M – $5M | $5K – $15K |
| Vanguard Russell 1000 Value Index Fund ETF Shares VONV | — | $500K – $1M | $5K – $15K |
| American Beacon AHL Managed Futures Strategy Fund Class Y Shares AHLYX | — | $100K – $250K | $5K – $15K |
| BlackRock Event Driven Equity Fund Institutional Shares BILPX | — | $250K – $500K | $5K – $15K |
| Blackstone Alternative Multi-Strategy Fund Class I Shares BXMIX | — | $250K – $500K | $5K – $15K |
| Causeway International Value Fund Institutional Class Shares CIVIX | — | $1M – $5M | $5K – $15K |
| ClearBridge Large Cap Growth Fund Class I Shares SBLYX | — | $1M – $5M | $50K – $100K |
| Eaton VanceGlobal Macro Absolute Return Advantage Fund Class I Shares EGRIX | — | $250K – $500K | $5K – $15K |
| Eaton Vance High Yield Municipal Income Fund Class I Shares EIHYX | — | $500K – $1M | $15K – $50K |
| Franklin Federal Intermediate-Term Tax-Free Income Fund Advisor Class Shares FITZX | — | $1M – $5M | $50K – $100K |
| InHLMIXternational Equity Portfolio Institutional Class Shares HLMIX | — | $1M – $5M | $5K – $15K |
| John Hancock Seaport Long/Short Fund Class I Shares JSFDX | — | $250K – $500K | $5K – $15K |
| JPMorgan Equity Index Fund Class I Shares HLEIX | — | $1M – $5M | $15K – $50K |
| Lazard Emerging Markets Core Equity Portfolio Institutional Shares ECEIX | — | $500K – $1M | $2.5K – $5K |
| Lord Abbett National Tax Free Fund Class F Shares LANFX | — | $500K – $1M | $15K – $50K |
| Western Asset Macro Opportunities Fund Class I Shares LAOIX | — | $100K – $250K | — |
| Brokerage Money Market Acct#2 | — | $250K – $500K | $2.5K – $5K |
| Income Fund of America Class F3 Shares FIFAX | — | $250K – $500K | $5K – $15K |
| Dodge & Cox Balanced Fund DODBX | — | $15K – $50K | $1K – $2.5K |
| iShares US Healthcare ETF IYH | — | $15K – $50K | $201 – $1K |
| SPDR S&P 500 ETF Trust SPY | — | $100K – $250K | $1K – $2.5K |
| ETFMG Travel Tech ETF AWAY | — | $15K – $50K | — |
| SPDR S&P Transportation ETF XTN | — | $15K – $50K | — |
| USGlobal Jets ETF JETS | — | $15K – $50K | — |
| iShares iBoxx $ Investment Grade Corporate Bond ETF LQD | — | $15K – $50K | $1K – $2.5K |
| Gnma Bonf | — | $15K – $50K | $201 – $1K |
| Rational Special Situations Income Fund Institutional Class Shares RFXIX | — | $100K – $250K | $5K – $15K |
| PIMCO Enhanced Short Maturity Active Exchange-Traded Fund MINT | — | $15K – $50K | $201 – $1K |
| Putnam Ultra Short Duration Income Fund Class Y Shares PSDYX | — | $50K – $100K | $201 – $1K |
| Invesco Taxable Municipal Bond ETF BAB | — | $50K – $100K | $1K – $2.5K |
| PIMCO Short Term Municipal Bond Active Exchange-Traded Fund SMMU | — | $50K – $100K | $201 – $1K |
| VanEck Vectors AMT-Free Short Municipal Index ETF SMB | — | $50K – $100K | $201 – $1K |
| Fidelity Government Cash Reserves FDRXX | — | $50K – $100K | — |
| US Bank #1 | — | $500K – $1M | $201 – $1K |
| iShares Preferred and Income Securities ETF PFF | — | Under $1K | $1K – $2.5K |
| iShares Transportation Average ETF IYT | — | Under $1K | $201 – $1K |
| Eaton Vance Tax-ManagedGlobal Dividend Income Fund Class I Shares EIDIX | — | $5M – $25M | $100K – $1M |
| US Treasury Note 2.5% Matures 2/15/21 | — | $1M – $5M | $15K – $50K |
| IShares ACAP Stratigic Fund | — | $5M – $25M | $100K – $1M |
| Blackstone Real Estate Inc. Trust CL S (Non Traded Retirement) | — | $5M – $25M | $100K – $1M |
| FS Credit Real Estate Inc. Trust CL S ZFRTCX | — | $1M – $5M | $100K – $1M |
| US Brokerage Money Market Acct#3 CASH | — | $500K – $1M | $15K – $50K |
Values and income are the ranges the filer discloses, normalized to one form. Hover a value for the string as filed. Rows marked *** carry that marker in the filing itself, with no legend: each one is a foreign-domiciled issuer or a Reg S note.