SEC FORM 13F-HR
|
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
|
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: | 3235-0006 |
| Expires: | Oct 31, 2018 |
| Estimated average burden |
| hours per response: | 23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: | 09-30-2020 |
| 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: | CAPITAL ONE FINANCIAL CORP |
| Address: | 1680 CAPITAL ONE DRIVE |
|
| MCLEAN,
VA
22102 |
| Form 13F File Number: | 028-12320 |
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: | Elizabeth Sather Sabin |
| Title: | Vice President, Head of Investments |
| Phone: | 202-539-1039 |
| Signature, Place, and Date of Signing: |
| Elizabeth Sather Sabin | McLean,
VA | 11-04-2020 |
| [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 reported are 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: | 1 | | |
| Form 13F Information Table Entry Total: | 249 |
| Form 13F Information Table Value Total: | 791,463 |
| (thousands) |
|
| 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.] |
| No. | Form 13F File Number | Name |
| 1 | 028-19007 | United Income, Inc. |
SEC FORM 13-F Information Table
|
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.
|
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: | 3235-0006 |
| Expires: | Oct 31, 2018 |
| Estimated average burden |
| hours per response: | 23.8 |
|
|
| COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 |
| | | VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
| AT&T INC | COM | 00206R102 | 976 | 34,245 | SH | | DFND | 1 | 0 | 0 | 34,245 |
| ABBOTT LABS | COM | 002824100 | 770 | 7,075 | SH | | DFND | 1 | 0 | 0 | 7,075 |
| ABBVIE INC | COM | 00287Y109 | 806 | 9,207 | SH | | DFND | 1 | 0 | 0 | 9,207 |
| ADVISORSHARES TR | NEWFLT MULSINC | 00768Y727 | 222 | 4,567 | SH | | DFND | 1 | 0 | 0 | 4,567 |
| AIR PRODS & CHEMS INC | COM | 009158106 | 1,107 | 3,716 | SH | | DFND | 1 | 0 | 0 | 3,716 |
| ALBEMARLE CORP | COM | 012653101 | 652 | 7,303 | SH | | DFND | 1 | 0 | 0 | 7,303 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 550 | 1,871 | SH | | DFND | 1 | 0 | 0 | 1,871 |
| ALLIANCE RESOURCE PARTNERS L | UT LTD PART | 01877R108 | 1,106 | 399,107 | SH | | DFND | 1 | 0 | 0 | 399,107 |
| ALLIANCEBERNSTEIN HLDG L P | UNIT LTD PARTN | 01881G106 | 486 | 17,963 | SH | | DFND | 1 | 0 | 0 | 17,963 |
| ALPHABET INC | CAP STK CL C | 02079K107 | 1,011 | 688 | SH | | DFND | 1 | 0 | 0 | 688 |
| ALPHABET INC | CAP STK CL A | 02079K305 | 723 | 493 | SH | | DFND | 1 | 0 | 0 | 493 |
| AMAZON COM INC | COM | 023135106 | 5,400 | 1,715 | SH | | DFND | 1 | 0 | 0 | 1,715 |
| AMERICAN EXPRESS CO | COM | 025816109 | 820 | 8,180 | SH | | DFND | 1 | 0 | 0 | 8,180 |
| AMERICAN WTR WKS CO INC NEW | COM | 030420103 | 536 | 3,701 | SH | | DFND | 1 | 0 | 0 | 3,701 |
| AMGEN INC | COM | 031162100 | 1,305 | 5,136 | SH | | DFND | 1 | 0 | 0 | 5,136 |
| ANALOG DEVICES INC | COM | 032654105 | 474 | 4,064 | SH | | DFND | 1 | 0 | 0 | 4,064 |
| ANNALY CAPITAL MANAGEMENT IN | COM | 035710409 | 460 | 64,592 | SH | | DFND | 1 | 0 | 0 | 64,592 |
| APPLE INC | COM | 037833100 | 7,878 | 68,024 | SH | | DFND | 1 | 0 | 0 | 68,024 |
| BK OF AMERICA CORP | COM | 060505104 | 483 | 20,048 | SH | | DFND | 1 | 0 | 0 | 20,048 |
| BK OF AMERICA CORP | 7.25%CNV PFD L | 060505682 | 673 | 452 | SH | | DFND | 1 | 0 | 0 | 452 |
| BANK NEW YORK MELLON CORP | COM | 064058100 | 404 | 11,759 | SH | | DFND | 1 | 0 | 0 | 11,759 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 992 | 4,658 | SH | | DFND | 1 | 0 | 0 | 4,658 |
| BLACKSTONE GROUP INC | COM CL A | 09260D107 | 421 | 8,070 | SH | | DFND | 1 | 0 | 0 | 8,070 |
| BOEING CO | COM | 097023105 | 233 | 1,412 | SH | | DFND | 1 | 0 | 0 | 1,412 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 | 1,264 | 20,970 | SH | | DFND | 1 | 0 | 0 | 20,970 |
| BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | 1,185 | 35,830 | SH | | DFND | 1 | 0 | 0 | 35,830 |
| CME GROUP INC | COM | 12572Q105 | 210 | 1,257 | SH | | DFND | 1 | 0 | 0 | 1,257 |
| CVS HEALTH CORP | COM | 126650100 | 1,136 | 19,445 | SH | | DFND | 1 | 0 | 0 | 19,445 |
| CAPITAL ONE FINL CORP | COM | 14040H105 | 444 | 6,184 | SH | | DFND | 1 | 0 | 0 | 6,184 |
| CARVANA CO | CL A | 146869102 | 201 | 900 | SH | | DFND | 1 | 0 | 0 | 900 |
| CATERPILLAR INC DEL | COM | 149123101 | 601 | 4,030 | SH | | DFND | 1 | 0 | 0 | 4,030 |
| CHEVRON CORP NEW | COM | 166764100 | 894 | 12,423 | SH | | DFND | 1 | 0 | 0 | 12,423 |
| CISCO SYS INC | COM | 17275R102 | 2,305 | 58,506 | SH | | DFND | 1 | 0 | 0 | 58,506 |
| COMCAST CORP NEW | CL A | 20030N101 | 314 | 6,778 | SH | | DFND | 1 | 0 | 0 | 6,778 |
| CONOCOPHILLIPS | COM | 20825C104 | 708 | 21,558 | SH | | DFND | 1 | 0 | 0 | 21,558 |
| COSTCO WHSL CORP NEW | COM | 22160K105 | 1,366 | 3,849 | SH | | DFND | 1 | 0 | 0 | 3,849 |
| CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 648 | 3,890 | SH | | DFND | 1 | 0 | 0 | 3,890 |
| DNP SELECT INCOME FD INC | COM | 23325P104 | 138 | 13,713 | SH | | DFND | 1 | 0 | 0 | 13,713 |
| DANAHER CORPORATION | COM | 235851102 | 3,816 | 17,721 | SH | | DFND | 1 | 0 | 0 | 17,721 |
| DIAGEO PLC | SPON ADR NEW | 25243Q205 | 455 | 3,308 | SH | | DFND | 1 | 0 | 0 | 3,308 |
| DISNEY WALT CO | COM DISNEY | 254687106 | 1,833 | 14,775 | SH | | DFND | 1 | 0 | 0 | 14,775 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 502 | 5,673 | SH | | DFND | 1 | 0 | 0 | 5,673 |
| ETF MANAGERS TR | PRIME CYBR SCRTY | 26924G201 | 1,145 | 24,612 | SH | | DFND | 1 | 0 | 0 | 24,612 |
| ETF MANAGERS TR | PRIME MOBILE PAY | 26924G409 | 1,465 | 26,938 | SH | | DFND | 1 | 0 | 0 | 26,938 |
| ECOLAB INC | COM | 278865100 | 341 | 1,705 | SH | | DFND | 1 | 0 | 0 | 1,705 |
| ENERGY TRANSFER LP | COM UT LTD PTN | 29273V100 | 217 | 39,994 | SH | | DFND | 1 | 0 | 0 | 39,994 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,012 | 64,116 | SH | | DFND | 1 | 0 | 0 | 64,116 |
| EXCHANGE TRADED CONCEPTS TR | EMQQ EM INTERN | 301505889 | 602 | 11,525 | SH | | DFND | 1 | 0 | 0 | 11,525 |
| EXXON MOBIL CORP | COM | 30231G102 | 1,067 | 31,078 | SH | | DFND | 1 | 0 | 0 | 31,078 |
| FACEBOOK INC | CL A | 30303M102 | 1,165 | 4,449 | SH | | DFND | 1 | 0 | 0 | 4,449 |
| FIDELITY COVINGTON TRUST | MSCI HLTH CARE I | 316092600 | 304 | 5,778 | SH | | DFND | 1 | 0 | 0 | 5,778 |
| FIRST FINL BANCORP OH | COM | 320209109 | 276 | 22,968 | SH | | DFND | 1 | 0 | 0 | 22,968 |
| FIRST TR EXCHANGE TRADED FD | CHINDIA ETF | 33733A102 | 737 | 15,479 | SH | | DFND | 1 | 0 | 0 | 15,479 |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 33733E104 | 566 | 8,947 | SH | | DFND | 1 | 0 | 0 | 8,947 |
| FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 33739Q200 | 848 | 16,400 | SH | | DFND | 1 | 0 | 0 | 16,400 |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR ENH NEW | 33739Q408 | 3,441 | 57,334 | SH | | DFND | 1 | 0 | 0 | 57,334 |
| FORTIVE CORP | COM | 34959J108 | 507 | 6,647 | SH | | DFND | 1 | 0 | 0 | 6,647 |
| FRANCO NEV CORP | COM | 351858105 | 286 | 2,050 | SH | | DFND | 1 | 0 | 0 | 2,050 |
| GALLAGHER ARTHUR J & CO | COM | 363576109 | 599 | 5,669 | SH | | DFND | 1 | 0 | 0 | 5,669 |
| GENERAL ELECTRIC CO | COM | 369604103 | 373 | 59,793 | SH | | DFND | 1 | 0 | 0 | 59,793 |
| GILEAD SCIENCES INC | COM | 375558103 | 284 | 4,487 | SH | | DFND | 1 | 0 | 0 | 4,487 |
| GOLDMAN SACHS ETF TR | ACTIVEBETA INT | 381430107 | 54,734 | 1,944,370 | SH | | DFND | 1 | 0 | 0 | 1,944,370 |
| GOLDMAN SACHS ETF TR | ACTIVEBETA EME | 381430206 | 22,345 | 681,463 | SH | | DFND | 1 | 0 | 0 | 681,463 |
| GOLDMAN SACHS ETF TR | ACTIVEBETA US LG | 381430503 | 2,359 | 34,671 | SH | | DFND | 1 | 0 | 0 | 34,671 |
| HOME DEPOT INC | COM | 437076102 | 2,437 | 8,774 | SH | | DFND | 1 | 0 | 0 | 8,774 |
| HONEYWELL INTL INC | COM | 438516106 | 1,458 | 8,858 | SH | | DFND | 1 | 0 | 0 | 8,858 |
| INTEL CORP | COM | 458140100 | 893 | 17,255 | SH | | DFND | 1 | 0 | 0 | 17,255 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 289 | 2,373 | SH | | DFND | 1 | 0 | 0 | 2,373 |
| INVESCO ACTIVELY MANAGED ETF | ULTRA SHRT DUR | 46090A887 | 1,864 | 36,895 | SH | | DFND | 1 | 0 | 0 | 36,895 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 359 | 1,292 | SH | | DFND | 1 | 0 | 0 | 1,292 |
| INVESCO CALIF VALUE MUN INCO | COM | 46132H106 | 258 | 20,658 | SH | | DFND | 1 | 0 | 0 | 20,658 |
| INVESCO EXCHANGE TRADED FD T | S&P500 QUALITY | 46137V241 | 1,876 | 48,527 | SH | | DFND | 1 | 0 | 0 | 48,527 |
| INVESCO EXCHANGE TRADED FD T | NASDAQ INTERNT | 46137V530 | 2,630 | 12,750 | SH | | DFND | 1 | 0 | 0 | 12,750 |
| INVESCO EXCHANGE TRADED FD T | DYNMC BIOTECH | 46137V787 | 782 | 13,809 | SH | | DFND | 1 | 0 | 0 | 13,809 |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 46138E354 | 1,517 | 28,290 | SH | | DFND | 1 | 0 | 0 | 28,290 |
| INVESCO EXCH TRADED FD TR II | S&P500 HDL VOL | 46138E362 | 567 | 17,178 | SH | | DFND | 1 | 0 | 0 | 17,178 |
| INVESCO EXCH TRADED FD TR II | S&P SMLCP LOW | 46138G102 | 3,653 | 110,037 | SH | | DFND | 1 | 0 | 0 | 110,037 |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 46138G508 | 500 | 23,016 | SH | | DFND | 1 | 0 | 0 | 23,016 |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2021 HY | 46138J809 | 367 | 16,000 | SH | | DFND | 1 | 0 | 0 | 16,000 |
| ISHARES INC | MSCI EMERG MRKT | 464286533 | 11,555 | 209,409 | SH | | DFND | 1 | 0 | 0 | 209,409 |
| ISHARES TR | CORE S&P500 ETF | 464287200 | 5,249 | 15,619 | SH | | DFND | 1 | 0 | 0 | 15,619 |
| ISHARES TR | CORE US AGGBD ET | 464287226 | 1,190 | 10,078 | SH | | DFND | 1 | 0 | 0 | 10,078 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | 288 | 6,540 | SH | | DFND | 1 | 0 | 0 | 6,540 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 | 677 | 5,029 | SH | | DFND | 1 | 0 | 0 | 5,029 |
| ISHARES TR | S&P 500 VAL ETF | 464287408 | 540 | 4,799 | SH | | DFND | 1 | 0 | 0 | 4,799 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 | 449 | 2,752 | SH | | DFND | 1 | 0 | 0 | 2,752 |
| ISHARES TR | 1 3 YR TREAS BD | 464287457 | 30,499 | 352,545 | SH | | DFND | 1 | 0 | 0 | 352,545 |
| ISHARES TR | MSCI EAFE ETF | 464287465 | 983 | 15,443 | SH | | DFND | 1 | 0 | 0 | 15,443 |
| ISHARES TR | CORE S&P MCP ETF | 464287507 | 357 | 1,927 | SH | | DFND | 1 | 0 | 0 | 1,927 |
| ISHARES TR | PHLX SEMICND ETF | 464287523 | 423 | 1,390 | SH | | DFND | 1 | 0 | 0 | 1,390 |
| ISHARES TR | EXPND TEC SC ETF | 464287549 | 3,523 | 11,398 | SH | | DFND | 1 | 0 | 0 | 11,398 |
| ISHARES TR | NASDAQ BIOTECH | 464287556 | 881 | 6,507 | SH | | DFND | 1 | 0 | 0 | 6,507 |
| ISHARES TR | RUS 1000 GRW ETF | 464287614 | 213 | 984 | SH | | DFND | 1 | 0 | 0 | 984 |
| ISHARES TR | RUS 1000 ETF | 464287622 | 271 | 1,445 | SH | | DFND | 1 | 0 | 0 | 1,445 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 1,151 | 7,685 | SH | | DFND | 1 | 0 | 0 | 7,685 |
| ISHARES TR | SP SMCP600VL ETF | 464287879 | 771 | 6,302 | SH | | DFND | 1 | 0 | 0 | 6,302 |
| ISHARES TR | JPMORGAN USD EMG | 464288281 | 18,228 | 164,379 | SH | | DFND | 1 | 0 | 0 | 164,379 |
| ISHARES TR | CALIF MUN BD ETF | 464288356 | 901 | 14,435 | SH | | DFND | 1 | 0 | 0 | 14,435 |
| ISHARES TR | NATIONAL MUN ETF | 464288414 | 3,915 | 33,768 | SH | | DFND | 1 | 0 | 0 | 33,768 |
| ISHARES TR | IBOXX HI YD ETF | 464288513 | 708 | 8,444 | SH | | DFND | 1 | 0 | 0 | 8,444 |
| ISHARES TR | MSCI KLD400 SOC | 464288570 | 312 | 2,438 | SH | | DFND | 1 | 0 | 0 | 2,438 |
| ISHARES TR | ISHS 1-5YR INVS | 464288646 | 1,035 | 18,841 | SH | | DFND | 1 | 0 | 0 | 18,841 |
| ISHARES TR | PFD AND INCM SEC | 464288687 | 1,358 | 37,254 | SH | | DFND | 1 | 0 | 0 | 37,254 |
| ISHARES TR | US AER DEF ETF | 464288760 | 873 | 5,510 | SH | | DFND | 1 | 0 | 0 | 5,510 |
| ISHARES TR | MSCI USA ESG SLC | 464288802 | 354 | 2,408 | SH | | DFND | 1 | 0 | 0 | 2,408 |
| ISHARES TR | U.S. MED DVC ETF | 464288810 | 695 | 2,320 | SH | | DFND | 1 | 0 | 0 | 2,320 |
| ISHARES TR | RUS TP200 GR ETF | 464289438 | 1,509 | 12,435 | SH | | DFND | 1 | 0 | 0 | 12,435 |
| ISHARES TR | US TREAS BD ETF | 46429B267 | 308 | 11,030 | SH | | DFND | 1 | 0 | 0 | 11,030 |
| ISHARES TR | FLTG RATE NT ETF | 46429B655 | 1,388 | 27,361 | SH | | DFND | 1 | 0 | 0 | 27,361 |
| ISHARES TR | CORE HIGH DV ETF | 46429B663 | 4,028 | 50,049 | SH | | DFND | 1 | 0 | 0 | 50,049 |
| ISHARES TR | MSCI CHINA ETF | 46429B671 | 758 | 10,224 | SH | | DFND | 1 | 0 | 0 | 10,224 |
| ISHARES TR | MSCI EAFE MIN VL | 46429B689 | 28,013 | 411,172 | SH | | DFND | 1 | 0 | 0 | 411,172 |
| ISHARES TR | MSCI USA MIN VOL | 46429B697 | 31,610 | 496,004 | SH | | DFND | 1 | 0 | 0 | 496,004 |
| ISHARES TR | MSCI USA QLT FCT | 46432F339 | 35,561 | 342,789 | SH | | DFND | 1 | 0 | 0 | 342,789 |
| ISHARES TR | MSCI USA VALUE | 46432F388 | 13,006 | 176,284 | SH | | DFND | 1 | 0 | 0 | 176,284 |
| ISHARES TR | MSCI USA MMENTM | 46432F396 | 76,748 | 520,676 | SH | | DFND | 1 | 0 | 0 | 520,676 |
| ISHARES TR | CORE MSCI TOTAL | 46432F834 | 1,461 | 25,045 | SH | | DFND | 1 | 0 | 0 | 25,045 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 | 5,393 | 89,465 | SH | | DFND | 1 | 0 | 0 | 89,465 |
| ISHARES TR | IBONDS MAR23 ETF | 46432FAZ0 | 295 | 10,789 | SH | | DFND | 1 | 0 | 0 | 10,789 |
| ISHARES INC | CORE MSCI EMKT | 46434G103 | 4,529 | 85,778 | SH | | DFND | 1 | 0 | 0 | 85,778 |
| ISHARES INC | MSCI EMERG MKT | 46434G889 | 1,048 | 23,891 | SH | | DFND | 1 | 0 | 0 | 23,891 |
| ISHARES TR | MSCI INTL MULTFT | 46434V274 | 3,077 | 126,627 | SH | | DFND | 1 | 0 | 0 | 126,627 |
| ISHARES TR | CORE DIV GRWTH | 46434V621 | 577 | 14,506 | SH | | DFND | 1 | 0 | 0 | 14,506 |
| ISHARES TR | IBONDS DEC20 ETF | 46434VAQ3 | 439 | 17,385 | SH | | DFND | 1 | 0 | 0 | 17,385 |
| ISHARES TR | IBONDS DEC23 ETF | 46434VAX8 | 324 | 12,350 | SH | | DFND | 1 | 0 | 0 | 12,350 |
| ISHARES TR | IBONDS DEC25 ETF | 46434VBD1 | 815 | 30,030 | SH | | DFND | 1 | 0 | 0 | 30,030 |
| ISHARES TR | IBONDS DEC24 ETF | 46434VBG4 | 432 | 16,317 | SH | | DFND | 1 | 0 | 0 | 16,317 |
| ISHARES TR | IBONDS DEC2023 | 46435G318 | 211 | 8,028 | SH | | DFND | 1 | 0 | 0 | 8,028 |
| ISHARES TR | MSCI USA SMCP MN | 46435G433 | 645 | 22,090 | SH | | DFND | 1 | 0 | 0 | 22,090 |
| ISHARES TR | ESG AW MSCI EAFE | 46435G516 | 393 | 6,187 | SH | | DFND | 1 | 0 | 0 | 6,187 |
| ISHARES TR | CORE INTL AGGR | 46435G672 | 1,268 | 22,786 | SH | | DFND | 1 | 0 | 0 | 22,786 |
| ISHARES TR | IBONDS DEC2022 | 46435G755 | 209 | 7,902 | SH | | DFND | 1 | 0 | 0 | 7,902 |
| ISHARES TR | IBONDS DEC2021 | 46435G789 | 207 | 7,999 | SH | | DFND | 1 | 0 | 0 | 7,999 |
| ISHARES TR | IBONDS DEC 26 | 46435U259 | 350 | 12,998 | SH | | DFND | 1 | 0 | 0 | 12,998 |
| ISHARES TR | IBONDS DEC 28 | 46435U325 | 211 | 7,715 | SH | | DFND | 1 | 0 | 0 | 7,715 |
| ISHARES TR | IBONDS DEC | 46435U697 | 213 | 7,866 | SH | | DFND | 1 | 0 | 0 | 7,866 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 1,386 | 14,395 | SH | | DFND | 1 | 0 | 0 | 14,395 |
| J P MORGAN EXCHANGE-TRADED F | ULTRA SHT MUNCPL | 46641Q654 | 1,115 | 21,860 | SH | | DFND | 1 | 0 | 0 | 21,860 |
| J P MORGAN EXCHANGE-TRADED F | ULTRA SHRT INC | 46641Q837 | 482 | 9,486 | SH | | DFND | 1 | 0 | 0 | 9,486 |
| JD.COM INC | SPON ADR CL A | 47215P106 | 1,422 | 18,324 | SH | | DFND | 1 | 0 | 0 | 18,324 |
| JOHNSON & JOHNSON | COM | 478160104 | 2,142 | 14,387 | SH | | DFND | 1 | 0 | 0 | 14,387 |
| KKR & CO INC | COM | 48251W104 | 329 | 9,590 | SH | | DFND | 1 | 0 | 0 | 9,590 |
| KINDER MORGAN INC DEL | COM | 49456B101 | 136 | 11,002 | SH | | DFND | 1 | 0 | 0 | 11,002 |
| L3HARRIS TECHNOLOGIES INC | COM | 502431109 | 774 | 4,559 | SH | | DFND | 1 | 0 | 0 | 4,559 |
| LILLY ELI & CO | COM | 532457108 | 1,194 | 8,068 | SH | | DFND | 1 | 0 | 0 | 8,068 |
| LOCKHEED MARTIN CORP | COM | 539830109 | 1,023 | 2,669 | SH | | DFND | 1 | 0 | 0 | 2,669 |
| LOWES COS INC | COM | 548661107 | 1,194 | 7,199 | SH | | DFND | 1 | 0 | 0 | 7,199 |
| LULULEMON ATHLETICA INC | COM | 550021109 | 393 | 1,192 | SH | | DFND | 1 | 0 | 0 | 1,192 |
| MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 678 | 19,817 | SH | | DFND | 1 | 0 | 0 | 19,817 |
| MARKEL CORP | COM | 570535104 | 268 | 275 | SH | | DFND | 1 | 0 | 0 | 275 |
| MCCORMICK & CO INC | COM NON VTG | 579780206 | 523 | 2,694 | SH | | DFND | 1 | 0 | 0 | 2,694 |
| MCDONALDS CORP | COM | 580135101 | 2,766 | 12,601 | SH | | DFND | 1 | 0 | 0 | 12,601 |
| MERCK & CO. INC | COM | 58933Y105 | 439 | 5,293 | SH | | DFND | 1 | 0 | 0 | 5,293 |
| MICROSOFT CORP | COM | 594918104 | 5,969 | 28,377 | SH | | DFND | 1 | 0 | 0 | 28,377 |
| MICROCHIP TECHNOLOGY INC. | COM | 595017104 | 509 | 4,958 | SH | | DFND | 1 | 0 | 0 | 4,958 |
| MONDELEZ INTL INC | CL A | 609207105 | 337 | 5,869 | SH | | DFND | 1 | 0 | 0 | 5,869 |
| NETFLIX INC | COM | 64110L106 | 241 | 482 | SH | | DFND | 1 | 0 | 0 | 482 |
| NIKE INC | CL B | 654106103 | 733 | 5,842 | SH | | DFND | 1 | 0 | 0 | 5,842 |
| NOVARTIS AG | SPONSORED ADR | 66987V109 | 549 | 6,316 | SH | | DFND | 1 | 0 | 0 | 6,316 |
| NOVO-NORDISK A S | ADR | 670100205 | 278 | 4,005 | SH | | DFND | 1 | 0 | 0 | 4,005 |
| NVIDIA CORPORATION | COM | 67066G104 | 1,780 | 3,289 | SH | | DFND | 1 | 0 | 0 | 3,289 |
| ONE GAS INC | COM | 68235P108 | 698 | 10,109 | SH | | DFND | 1 | 0 | 0 | 10,109 |
| ONEOK INC NEW | COM | 682680103 | 1,083 | 41,700 | SH | | DFND | 1 | 0 | 0 | 41,700 |
| ORACLE CORP | COM | 68389X105 | 344 | 5,754 | SH | | DFND | 1 | 0 | 0 | 5,754 |
| PACER FDS TR | TRENDP US LAR CP | 69374H105 | 1,479 | 50,070 | SH | | DFND | 1 | 0 | 0 | 50,070 |
| PAYCHEX INC | COM | 704326107 | 358 | 4,490 | SH | | DFND | 1 | 0 | 0 | 4,490 |
| PAYPAL HLDGS INC | COM | 70450Y103 | 1,027 | 5,211 | SH | | DFND | 1 | 0 | 0 | 5,211 |
| PEPSICO INC | COM | 713448108 | 1,973 | 14,232 | SH | | DFND | 1 | 0 | 0 | 14,232 |
| PFIZER INC | COM | 717081103 | 263 | 7,167 | SH | | DFND | 1 | 0 | 0 | 7,167 |
| PHILLIPS 66 | COM | 718546104 | 376 | 7,251 | SH | | DFND | 1 | 0 | 0 | 7,251 |
| PIMCO ETF TR | ACTIVE BD ETF | 72201R775 | 1,200 | 10,672 | SH | | DFND | 1 | 0 | 0 | 10,672 |
| PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 774 | 7,591 | SH | | DFND | 1 | 0 | 0 | 7,591 |
| PROCTER AND GAMBLE CO | COM | 742718109 | 1,750 | 12,593 | SH | | DFND | 1 | 0 | 0 | 12,593 |
| QUALCOMM INC | COM | 747525103 | 1,855 | 15,767 | SH | | DFND | 1 | 0 | 0 | 15,767 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 484 | 8,405 | SH | | DFND | 1 | 0 | 0 | 8,405 |
| ROYAL DUTCH SHELL PLC | SPON ADR B | 780259107 | 327 | 13,520 | SH | | DFND | 1 | 0 | 0 | 13,520 |
| ROYAL GOLD INC | COM | 780287108 | 252 | 2,100 | SH | | DFND | 1 | 0 | 0 | 2,100 |
| S&P GLOBAL INC | COM | 78409V104 | 313 | 867 | SH | | DFND | 1 | 0 | 0 | 867 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 12,317 | 36,779 | SH | | DFND | 1 | 0 | 0 | 36,779 |
| SPDR GOLD TR | GOLD SHS | 78463V107 | 1,102 | 6,219 | SH | | DFND | 1 | 0 | 0 | 6,219 |
| SPDR SER TR | BLMBRG BRC CNVRT | 78464A359 | 765 | 11,101 | SH | | DFND | 1 | 0 | 0 | 11,101 |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 287 | 846 | SH | | DFND | 1 | 0 | 0 | 846 |
| SPDR SER TR | BLOMBERG BRC INV | 78468R200 | 25,155 | 822,588 | SH | | DFND | 1 | 0 | 0 | 822,588 |
| SPDR SER TR | NUVEEN BLMBRG SR | 78468R739 | 3,958 | 79,365 | SH | | DFND | 1 | 0 | 0 | 79,365 |
| SPDR SER TR | SSGA US SMAL ETF | 78468R887 | 547 | 7,219 | SH | | DFND | 1 | 0 | 0 | 7,219 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 | 523 | 6,566 | SH | | DFND | 1 | 0 | 0 | 6,566 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 5,037 | 62,472 | SH | | DFND | 1 | 0 | 0 | 62,472 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 2,132 | 18,515 | SH | | DFND | 1 | 0 | 0 | 18,515 |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 837 | 15,082 | SH | | DFND | 1 | 0 | 0 | 15,082 |
| SCHWAB STRATEGIC TR | SCHWB FDT EMK LG | 808524730 | 458 | 19,302 | SH | | DFND | 1 | 0 | 0 | 19,302 |
| SCHWAB STRATEGIC TR | SCHWB FDT INT SC | 808524748 | 3,954 | 132,225 | SH | | DFND | 1 | 0 | 0 | 132,225 |
| SCHWAB STRATEGIC TR | SCHWB FDT INT LG | 808524755 | 716 | 29,139 | SH | | DFND | 1 | 0 | 0 | 29,139 |
| SCHWAB STRATEGIC TR | SCHWAB FDT US SC | 808524763 | 7,819 | 236,575 | SH | | DFND | 1 | 0 | 0 | 236,575 |
| SCHWAB STRATEGIC TR | US AGGREGATE B | 808524839 | 2,472 | 44,073 | SH | | DFND | 1 | 0 | 0 | 44,073 |
| SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 469 | 7,996 | SH | | DFND | 1 | 0 | 0 | 7,996 |
| SEATTLE GENETICS INC | COM | 812578102 | 240 | 1,225 | SH | | DFND | 1 | 0 | 0 | 1,225 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 5,188 | 49,183 | SH | | DFND | 1 | 0 | 0 | 49,183 |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 327 | 5,103 | SH | | DFND | 1 | 0 | 0 | 5,103 |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 1,287 | 8,755 | SH | | DFND | 1 | 0 | 0 | 8,755 |
| SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 348 | 14,447 | SH | | DFND | 1 | 0 | 0 | 14,447 |
| SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 204 | 2,652 | SH | | DFND | 1 | 0 | 0 | 2,652 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 4,114 | 35,257 | SH | | DFND | 1 | 0 | 0 | 35,257 |
| SELECT SECTOR SPDR TR | COMMUNICATION | 81369Y852 | 833 | 14,030 | SH | | DFND | 1 | 0 | 0 | 14,030 |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 81369Y860 | 266 | 7,546 | SH | | DFND | 1 | 0 | 0 | 7,546 |
| SERVICENOW INC | COM | 81762P102 | 577 | 1,190 | SH | | DFND | 1 | 0 | 0 | 1,190 |
| SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 85208R101 | 231 | 12,600 | SH | | DFND | 1 | 0 | 0 | 12,600 |
| STARBUCKS CORP | COM | 855244109 | 744 | 8,656 | SH | | DFND | 1 | 0 | 0 | 8,656 |
| STRYKER CORPORATION | COM | 863667101 | 228 | 1,092 | SH | | DFND | 1 | 0 | 0 | 1,092 |
| TJX COS INC NEW | COM | 872540109 | 273 | 4,900 | SH | | DFND | 1 | 0 | 0 | 4,900 |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 | 348 | 4,291 | SH | | DFND | 1 | 0 | 0 | 4,291 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 3,148 | 7,131 | SH | | DFND | 1 | 0 | 0 | 7,131 |
| 3M CO | COM | 88579Y101 | 253 | 1,582 | SH | | DFND | 1 | 0 | 0 | 1,582 |
| TITAN MED INC | COM NEW | 88830X819 | 73 | 100,000 | SH | | DFND | 1 | 0 | 0 | 100,000 |
| TYSON FOODS INC | CL A | 902494103 | 224 | 3,769 | SH | | DFND | 1 | 0 | 0 | 3,769 |
| UNION PAC CORP | COM | 907818108 | 1,038 | 5,272 | SH | | DFND | 1 | 0 | 0 | 5,272 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 | 840 | 5,040 | SH | | DFND | 1 | 0 | 0 | 5,040 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 | 732 | 2,347 | SH | | DFND | 1 | 0 | 0 | 2,347 |
| UPWORK INC | COM | 91688F104 | 475 | 27,236 | SH | | DFND | 1 | 0 | 0 | 27,236 |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 | 4,085 | 31,747 | SH | | DFND | 1 | 0 | 0 | 31,747 |
| VANGUARD BD INDEX FDS | SHORT TRM BOND | 921937827 | 275 | 3,314 | SH | | DFND | 1 | 0 | 0 | 3,314 |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 37,995 | 430,688 | SH | | DFND | 1 | 0 | 0 | 430,688 |
| VANGUARD TAX-MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 1,969 | 48,140 | SH | | DFND | 1 | 0 | 0 | 48,140 |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 921946406 | 967 | 11,951 | SH | | DFND | 1 | 0 | 0 | 11,951 |
| VANGUARD WHITEHALL FDS | EMERG MKT BD ETF | 921946885 | 1,148 | 14,546 | SH | | DFND | 1 | 0 | 0 | 14,546 |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 | 34,971 | 685,434 | SH | | DFND | 1 | 0 | 0 | 685,434 |
| VANGUARD CHARLOTTE FDS | INTL BD IDX ETF | 92203J407 | 50,659 | 870,649 | SH | | DFND | 1 | 0 | 0 | 870,649 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 851 | 19,683 | SH | | DFND | 1 | 0 | 0 | 19,683 |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 1,810 | 21,843 | SH | | DFND | 1 | 0 | 0 | 21,843 |
| VANGUARD SCOTTSDALE FDS | INTER TERM TREAS | 92206C706 | 23,237 | 329,702 | SH | | DFND | 1 | 0 | 0 | 329,702 |
| VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 92206C813 | 445 | 4,161 | SH | | DFND | 1 | 0 | 0 | 4,161 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 20,925 | 218,422 | SH | | DFND | 1 | 0 | 0 | 218,422 |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 922907746 | 4,622 | 84,903 | SH | | DFND | 1 | 0 | 0 | 84,903 |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 | 541 | 5,339 | SH | | DFND | 1 | 0 | 0 | 5,339 |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 922908538 | 1,094 | 6,073 | SH | | DFND | 1 | 0 | 0 | 6,073 |
| VANGUARD INDEX FDS | SML CP GRW ETF | 922908595 | 345 | 1,604 | SH | | DFND | 1 | 0 | 0 | 1,604 |
| VANGUARD INDEX FDS | SM CP VAL ETF | 922908611 | 1,066 | 9,633 | SH | | DFND | 1 | 0 | 0 | 9,633 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 652 | 2,865 | SH | | DFND | 1 | 0 | 0 | 2,865 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 | 1,277 | 12,221 | SH | | DFND | 1 | 0 | 0 | 12,221 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 249 | 1,460 | SH | | DFND | 1 | 0 | 0 | 1,460 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,711 | 28,754 | SH | | DFND | 1 | 0 | 0 | 28,754 |
| VISA INC | COM CL A | 92826C839 | 1,200 | 6,002 | SH | | DFND | 1 | 0 | 0 | 6,002 |
| WALMART INC | COM | 931142103 | 601 | 4,294 | SH | | DFND | 1 | 0 | 0 | 4,294 |
| WELLS FARGO CO NEW | COM | 949746101 | 436 | 18,542 | SH | | DFND | 1 | 0 | 0 | 18,542 |
| WISDOMTREE TR | EMG MKTS SMCAP | 97717W281 | 1,332 | 32,214 | SH | | DFND | 1 | 0 | 0 | 32,214 |
| WISDOMTREE TR | US SMALLCAP DIVD | 97717W604 | 215 | 10,208 | SH | | DFND | 1 | 0 | 0 | 10,208 |
| WISDOMTREE TR | GLB US QTLY DIV | 97717W844 | 503 | 7,547 | SH | | DFND | 1 | 0 | 0 | 7,547 |
| WISDOMTREE TR | US QTLY DIV GRT | 97717X669 | 266 | 5,375 | SH | | DFND | 1 | 0 | 0 | 5,375 |
| ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 | 836 | 3,700 | SH | | DFND | 1 | 0 | 0 | 3,700 |
| MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 369 | 9,300 | SH | | DFND | 1 | 0 | 0 | 9,300 |
