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: | 06-30-2020 |
| 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 | 08-12-2020 |
| [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: | 280 |
| Form 13F Information Table Value Total: | 738,541 |
| (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 |
| 3M CO | COM | 88579Y101 | 270 | 1,728 | SH | | DFND | 1 | 0 | 0 | 1,728 |
| ABBOTT LABS | COM | 002824100 | 765 | 8,364 | SH | | DFND | 1 | 0 | 0 | 8,364 |
| ABBVIE INC | COM | 00287Y109 | 956 | 9,738 | SH | | DFND | 1 | 0 | 0 | 9,738 |
| ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 | 1,138 | 5,301 | SH | | DFND | 1 | 0 | 0 | 5,301 |
| ADVISORSHARES TR | NEWFLT MULSINC | 00768Y727 | 298 | 6,184 | SH | | DFND | 1 | 0 | 0 | 6,184 |
| AIR PRODS & CHEMS INC | COM | 009158106 | 897 | 3,716 | SH | | DFND | 1 | 0 | 0 | 3,716 |
| ALBEMARLE CORP | COM | 012653101 | 827 | 10,712 | SH | | DFND | 1 | 0 | 0 | 10,712 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 452 | 2,096 | SH | | DFND | 1 | 0 | 0 | 2,096 |
| ALLIANCE RES PARTNER L P | UT LTD PART | 01877R108 | 1,301 | 399,107 | SH | | DFND | 1 | 0 | 0 | 399,107 |
| ALLIANCEBERNSTEIN HLDG L P | UNIT LTD PARTN | 01881G106 | 511 | 18,763 | SH | | DFND | 1 | 0 | 0 | 18,763 |
| ALPHABET INC | CAP STK CL A | 02079K305 | 739 | 521 | SH | | DFND | 1 | 0 | 0 | 521 |
| ALPHABET INC | CAP STK CL C | 02079K107 | 1,031 | 729 | SH | | DFND | 1 | 0 | 0 | 729 |
| ALTRIA GROUP INC | COM | 02209S103 | 389 | 9,906 | SH | | DFND | 1 | 0 | 0 | 9,906 |
| AMAZON COM INC | COM | 023135106 | 5,134 | 1,861 | SH | | DFND | 1 | 0 | 0 | 1,861 |
| AMERICAN EXPRESS CO | COM | 025816109 | 779 | 8,180 | SH | | DFND | 1 | 0 | 0 | 8,180 |
| AMERICAN WTR WKS CO INC NEW | COM | 030420103 | 535 | 4,160 | SH | | DFND | 1 | 0 | 0 | 4,160 |
| AMGEN INC | COM | 031162100 | 1,465 | 6,210 | SH | | DFND | 1 | 0 | 0 | 6,210 |
| ANALOG DEVICES INC | COM | 032654105 | 553 | 4,511 | SH | | DFND | 1 | 0 | 0 | 4,511 |
| ANNALY CAPITAL MANAGEMENT IN | COM | 035710409 | 604 | 92,023 | SH | | DFND | 1 | 0 | 0 | 92,023 |
| APPLE INC | COM | 037833100 | 7,307 | 20,030 | SH | | DFND | 1 | 0 | 0 | 20,030 |
| AT&T INC | COM | 00206R102 | 1,571 | 51,978 | SH | | DFND | 1 | 0 | 0 | 51,978 |
| AUTOMATIC DATA PROCESSING IN | COM | 053015103 | 214 | 1,438 | SH | | DFND | 1 | 0 | 0 | 1,438 |
| BANK NEW YORK MELLON CORP | COM | 064058100 | 454 | 11,759 | SH | | DFND | 1 | 0 | 0 | 11,759 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 848 | 4,753 | SH | | DFND | 1 | 0 | 0 | 4,753 |
| BK OF AMERICA CORP | 7.25%CNV PFD L | 060505682 | 607 | 452 | SH | | DFND | 1 | 0 | 0 | 452 |
| BK OF AMERICA CORP | COM | 060505104 | 704 | 29,632 | SH | | DFND | 1 | 0 | 0 | 29,632 |
| BLACKSTONE GROUP INC | COM CL A | 09260D107 | 506 | 8,926 | SH | | DFND | 1 | 0 | 0 | 8,926 |
| BOEING CO | COM | 097023105 | 685 | 3,734 | SH | | DFND | 1 | 0 | 0 | 3,734 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 | 1,265 | 21,517 | SH | | DFND | 1 | 0 | 0 | 21,517 |
| BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | 1,176 | 35,730 | SH | | DFND | 1 | 0 | 0 | 35,730 |
| CAPITAL ONE FINL CORP | COM | 14040H105 | 575 | 9,184 | SH | | DFND | 1 | 0 | 0 | 9,184 |
| CATERPILLAR INC DEL | COM | 149123101 | 573 | 4,530 | SH | | DFND | 1 | 0 | 0 | 4,530 |
| CHEVRON CORP NEW | COM | 166764100 | 1,215 | 13,618 | SH | | DFND | 1 | 0 | 0 | 13,618 |
| CISCO SYS INC | COM | 17275R102 | 2,813 | 60,315 | SH | | DFND | 1 | 0 | 0 | 60,315 |
| CITIGROUP INC | COM NEW | 172967424 | 202 | 3,960 | SH | | DFND | 1 | 0 | 0 | 3,960 |
| CME GROUP INC | COM | 12572Q105 | 442 | 2,721 | SH | | DFND | 1 | 0 | 0 | 2,721 |
| COMCAST CORP NEW | CL A | 20030N101 | 272 | 6,978 | SH | | DFND | 1 | 0 | 0 | 6,978 |
| CONOCOPHILLIPS | COM | 20825C104 | 991 | 23,581 | SH | | DFND | 1 | 0 | 0 | 23,581 |
| COSTCO WHSL CORP NEW | COM | 22160K105 | 1,327 | 4,375 | SH | | DFND | 1 | 0 | 0 | 4,375 |
| CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 651 | 3,890 | SH | | DFND | 1 | 0 | 0 | 3,890 |
| CVS HEALTH CORP | COM | 126650100 | 1,290 | 19,849 | SH | | DFND | 1 | 0 | 0 | 19,849 |
| DANAHER CORPORATION | COM | 235851102 | 3,151 | 17,822 | SH | | DFND | 1 | 0 | 0 | 17,822 |
| DIAGEO P L C | SPON ADR NEW | 25243Q205 | 508 | 3,778 | SH | | DFND | 1 | 0 | 0 | 3,778 |
| DIGITAL RLTY TR INC | COM | 253868103 | 204 | 1,436 | SH | | DFND | 1 | 0 | 0 | 1,436 |
| DISNEY WALT CO | COM DISNEY | 254687106 | 2,118 | 18,995 | SH | | DFND | 1 | 0 | 0 | 18,995 |
| DNP SELECT INCOME FD | COM | 23325P104 | 149 | 13,713 | SH | | DFND | 1 | 0 | 0 | 13,713 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 840 | 10,509 | SH | | DFND | 1 | 0 | 0 | 10,509 |
| ECOLAB INC | COM | 278865100 | 339 | 1,705 | SH | | DFND | 1 | 0 | 0 | 1,705 |
| ENERGY TRANSFER LP | COM UT LTD PTN | 29273V100 | 582 | 81,712 | SH | | DFND | 1 | 0 | 0 | 81,712 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,446 | 79,565 | SH | | DFND | 1 | 0 | 0 | 79,565 |
| ETF MANAGERS TR | PRIME CYBR SCRTY | 26924G201 | 1,075 | 24,162 | SH | | DFND | 1 | 0 | 0 | 24,162 |
| ETF MANAGERS TR | PRIME MOBILE PAY | 26924G409 | 1,260 | 25,688 | SH | | DFND | 1 | 0 | 0 | 25,688 |
| EXCHANGE TRADED CONCEPTS TR | EMQQ EM INTERN | 301505889 | 529 | 11,325 | SH | | DFND | 1 | 0 | 0 | 11,325 |
| EXXON MOBIL CORP | COM | 30231G102 | 1,608 | 35,947 | SH | | DFND | 1 | 0 | 0 | 35,947 |
| FACEBOOK INC | CL A | 30303M102 | 1,133 | 4,989 | SH | | DFND | 1 | 0 | 0 | 4,989 |
| FIDELITY COVINGTON TR | MSCI HLTH CARE I | 316092600 | 393 | 7,888 | SH | | DFND | 1 | 0 | 0 | 7,888 |
| FIDELITY MERRIMACK STR TR | LTD TRM BD ETF | 316188200 | 235 | 4,483 | SH | | DFND | 1 | 0 | 0 | 4,483 |
| FIRST FINL BANCORP OH | COM | 320209109 | 319 | 22,968 | SH | | DFND | 1 | 0 | 0 | 22,968 |
| FIRST TR EXCH TRADED FD III | PFD SECS INC ETF | 33739E108 | 403 | 21,856 | SH | | DFND | 1 | 0 | 0 | 21,856 |
| FIRST TR EXCHANGE TRADED FD | CHINDIA ETF | 33733A102 | 770 | 18,979 | SH | | DFND | 1 | 0 | 0 | 18,979 |
| FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 33734X184 | 339 | 13,157 | SH | | DFND | 1 | 0 | 0 | 13,157 |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR ENH NEW | 33739Q408 | 4,431 | 73,867 | SH | | DFND | 1 | 0 | 0 | 73,867 |
| FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 33739Q200 | 822 | 15,900 | SH | | DFND | 1 | 0 | 0 | 15,900 |
| FIRST TR EXCHANGE-TRADED FD | SENIOR LN FD | 33738D309 | 209 | 4,636 | SH | | DFND | 1 | 0 | 0 | 4,636 |
| FIRST TR NASDAQ-100 TECH IND | CAP STRENGTH ETF | 33733E104 | 584 | 9,995 | SH | | DFND | 1 | 0 | 0 | 9,995 |
| FIRST TR NASDAQ-100 TECH IND | DJ INTERNT IDX | 33733E302 | 216 | 1,267 | SH | | DFND | 1 | 0 | 0 | 1,267 |
| FORTIVE CORP | COM | 34959J108 | 450 | 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 | 616 | 6,320 | SH | | DFND | 1 | 0 | 0 | 6,320 |
| GENERAL ELECTRIC CO | COM | 369604103 | 439 | 64,337 | SH | | DFND | 1 | 0 | 0 | 64,337 |
| GILEAD SCIENCES INC | COM | 375558103 | 392 | 5,095 | SH | | DFND | 1 | 0 | 0 | 5,095 |
| GOLDMAN SACHS ETF TR | ACTIVEBETA EME | 381430206 | 12,498 | 412,596 | SH | | DFND | 1 | 0 | 0 | 412,595 |
| GOLDMAN SACHS ETF TR | ACTIVEBETA INT | 381430107 | 34,105 | 1,282,621 | SH | | DFND | 1 | 0 | 0 | 1,282,620 |
| GOLDMAN SACHS ETF TR | ACTIVEBETA US LG | 381430503 | 1,495 | 23,882 | SH | | DFND | 1 | 0 | 0 | 23,882 |
| HOME DEPOT INC | COM | 437076102 | 2,374 | 9,478 | SH | | DFND | 1 | 0 | 0 | 9,478 |
| HONEYWELL INTL INC | COM | 438516106 | 1,322 | 9,140 | SH | | DFND | 1 | 0 | 0 | 9,140 |
| INTEL CORP | COM | 458140100 | 1,103 | 18,430 | SH | | DFND | 1 | 0 | 0 | 18,430 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 301 | 2,495 | SH | | DFND | 1 | 0 | 0 | 2,495 |
| INVESCO ACTIVELY MANAGED ETF | ULTRA SHRT DUR | 46090A887 | 2,847 | 56,447 | SH | | DFND | 1 | 0 | 0 | 56,447 |
| INVESCO CALIF VALUE MUN INCO | COM | 46132H106 | 252 | 21,533 | SH | | DFND | 1 | 0 | 0 | 21,533 |
| INVESCO EXCH TRADED FD TR II | FTSE RAFI SML | 46138E735 | 919 | 33,501 | SH | | DFND | 1 | 0 | 0 | 33,501 |
| INVESCO EXCH TRADED FD TR II | NATL AMT MUNI | 46138E537 | 310 | 11,657 | SH | | DFND | 1 | 0 | 0 | 11,657 |
| INVESCO EXCH TRADED FD TR II | S&P500 HDL VOL | 46138E362 | 689 | 20,920 | SH | | DFND | 1 | 0 | 0 | 20,920 |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 46138E354 | 1,113 | 22,403 | SH | | DFND | 1 | 0 | 0 | 22,403 |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2021 HY | 46138J809 | 368 | 16,200 | SH | | DFND | 1 | 0 | 0 | 16,200 |
| INVESCO EXCHANGE TRADED FD T | DYNMC BIOTECH | 46137V787 | 805 | 13,809 | SH | | DFND | 1 | 0 | 0 | 13,809 |
| INVESCO EXCHANGE TRADED FD T | FTSE RAFI 1000 | 46137V613 | 221 | 2,043 | SH | | DFND | 1 | 0 | 0 | 2,043 |
| INVESCO EXCHANGE TRADED FD T | NASDAQ INTERNT | 46137V530 | 2,235 | 12,600 | SH | | DFND | 1 | 0 | 0 | 12,600 |
| INVESCO EXCHANGE TRADED FD T | S&P SML600 GWT | 46137V175 | 524 | 5,227 | SH | | DFND | 1 | 0 | 0 | 5,227 |
| INVESCO EXCHANGE TRADED FD T | S&P500 QUALITY | 46137V241 | 1,440 | 40,661 | SH | | DFND | 1 | 0 | 0 | 40,661 |
| INVESCO EXCHANGE-TRADED FD T | S&P SMLCP LOW | 46138G102 | 5,565 | 164,366 | SH | | DFND | 1 | 0 | 0 | 164,366 |
| INVESCO EXCHANGE-TRADED FD T | SR LN ETF | 46138G508 | 1,573 | 73,683 | SH | | DFND | 1 | 0 | 0 | 73,683 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 345 | 1,392 | SH | | DFND | 1 | 0 | 0 | 1,392 |
| ISHARES INC | CORE MSCI EMKT | 46434G103 | 9,653 | 202,793 | SH | | DFND | 1 | 0 | 0 | 202,793 |
| ISHARES INC | EM MKT SM-CP ETF | 464286475 | 346 | 8,850 | SH | | DFND | 1 | 0 | 0 | 8,850 |
| ISHARES INC | MIN VOL EMRG MKT | 464286533 | 5,371 | 103,290 | SH | | DFND | 1 | 0 | 0 | 103,290 |
| ISHARES INC | MLT FCTR EMG MKT | 46434G889 | 749 | 19,005 | SH | | DFND | 1 | 0 | 0 | 19,005 |
| ISHARES TR | 1 3 YR TREAS BD | 464287457 | 36,409 | 420,376 | SH | | DFND | 1 | 0 | 0 | 420,376 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 | 794 | 4,843 | SH | | DFND | 1 | 0 | 0 | 4,843 |
| ISHARES TR | CALIF MUN BD ETF | 464288356 | 897 | 14,435 | SH | | DFND | 1 | 0 | 0 | 14,435 |
| ISHARES TR | CORE DIV GRWTH | 46434V621 | 769 | 20,464 | SH | | DFND | 1 | 0 | 0 | 20,464 |
| ISHARES TR | CORE HIGH DV ETF | 46429B663 | 5,810 | 71,592 | SH | | DFND | 1 | 0 | 0 | 71,592 |
| ISHARES TR | CORE INTL AGGR | 46435G672 | 1,148 | 20,615 | SH | | DFND | 1 | 0 | 0 | 20,615 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 | 17,390 | 304,235 | SH | | DFND | 1 | 0 | 0 | 304,235 |
| ISHARES TR | CORE MSCI TOTAL | 46432F834 | 1,744 | 31,987 | SH | | DFND | 1 | 0 | 0 | 31,987 |
| ISHARES TR | CORE S&P MCP ETF | 464287507 | 575 | 3,232 | SH | | DFND | 1 | 0 | 0 | 3,232 |
| ISHARES TR | CORE S&P TTL STK | 464287150 | 336 | 4,844 | SH | | DFND | 1 | 0 | 0 | 4,844 |
| ISHARES TR | CORE S&P500 ETF | 464287200 | 7,192 | 23,225 | SH | | DFND | 1 | 0 | 0 | 23,225 |
| ISHARES TR | CORE US AGGBD ET | 464287226 | 1,334 | 11,283 | SH | | DFND | 1 | 0 | 0 | 11,283 |
| ISHARES TR | EAFE SML CP ETF | 464288273 | 490 | 9,132 | SH | | DFND | 1 | 0 | 0 | 9,132 |
| ISHARES TR | EDGE MSCI MINM | 46435G433 | 666 | 22,965 | SH | | DFND | 1 | 0 | 0 | 22,965 |
| ISHARES TR | EDGE MSCI USA VL | 46432F388 | 10,916 | 151,034 | SH | | DFND | 1 | 0 | 0 | 151,033 |
| ISHARES TR | ESG MSCI EAFE | 46435G516 | 399 | 6,579 | SH | | DFND | 1 | 0 | 0 | 6,579 |
| ISHARES TR | EXPND TEC SC ETF | 464287549 | 3,098 | 11,098 | SH | | DFND | 1 | 0 | 0 | 11,098 |
| ISHARES TR | FLTG RATE NT ETF | 46429B655 | 1,386 | 27,391 | SH | | DFND | 1 | 0 | 0 | 27,391 |
| ISHARES TR | IBONDS DEC | 46435U697 | 212 | 7,866 | SH | | DFND | 1 | 0 | 0 | 7,866 |
| ISHARES TR | IBONDS DEC 26 | 46435U259 | 347 | 12,998 | SH | | DFND | 1 | 0 | 0 | 12,998 |
| ISHARES TR | IBONDS DEC 28 | 46435U325 | 209 | 7,715 | SH | | DFND | 1 | 0 | 0 | 7,715 |
| ISHARES TR | IBONDS DEC20 ETF | 46434VAQ3 | 1,051 | 41,506 | SH | | DFND | 1 | 0 | 0 | 41,506 |
| ISHARES TR | IBONDS DEC2021 | 46435G789 | 275 | 10,593 | SH | | DFND | 1 | 0 | 0 | 10,593 |
| ISHARES TR | IBONDS DEC2022 | 46435G755 | 249 | 9,433 | SH | | DFND | 1 | 0 | 0 | 9,433 |
| ISHARES TR | IBONDS DEC2023 | 46435G318 | 211 | 8,028 | SH | | DFND | 1 | 0 | 0 | 8,028 |
| ISHARES TR | IBONDS DEC23 ETF | 46434VAX8 | 324 | 12,350 | SH | | DFND | 1 | 0 | 0 | 12,350 |
| ISHARES TR | IBONDS DEC24 ETF | 46434VBG4 | 1,036 | 39,313 | SH | | DFND | 1 | 0 | 0 | 39,313 |
| ISHARES TR | IBONDS DEC25 ETF | 46434VBD1 | 2,191 | 81,214 | SH | | DFND | 1 | 0 | 0 | 81,214 |
| ISHARES TR | IBONDS MAR23 ETF | 46432FAZ0 | 1,110 | 40,555 | SH | | DFND | 1 | 0 | 0 | 40,555 |
| ISHARES TR | IBOXX HI YD ETF | 464288513 | 1,781 | 21,823 | SH | | DFND | 1 | 0 | 0 | 21,823 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 | 853 | 6,345 | SH | | DFND | 1 | 0 | 0 | 6,345 |
| ISHARES TR | INTRM TR CRP ETF | 464288638 | 352 | 5,824 | SH | | DFND | 1 | 0 | 0 | 5,824 |
| ISHARES TR | JPMORGAN USD EMG | 464288281 | 15,651 | 143,300 | SH | | DFND | 1 | 0 | 0 | 143,300 |
| ISHARES TR | MBS ETF | 464288588 | 348 | 3,148 | SH | | DFND | 1 | 0 | 0 | 3,148 |
| ISHARES TR | MIN VOL EAFE ETF | 46429B689 | 16,806 | 254,403 | SH | | DFND | 1 | 0 | 0 | 254,403 |
| ISHARES TR | MSCI CHINA ETF | 46429B671 | 759 | 11,603 | SH | | DFND | 1 | 0 | 0 | 11,603 |
| ISHARES TR | MSCI EAFE ETF | 464287465 | 1,807 | 29,679 | SH | | DFND | 1 | 0 | 0 | 29,679 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | 291 | 7,278 | SH | | DFND | 1 | 0 | 0 | 7,278 |
| ISHARES TR | MSCI KLD400 SOC | 464288570 | 288 | 2,438 | SH | | DFND | 1 | 0 | 0 | 2,438 |
| ISHARES TR | MSCI MIN VOL ETF | 46429B697 | 25,015 | 412,588 | SH | | DFND | 1 | 0 | 0 | 412,588 |
| ISHARES TR | MSCI USA ESG SLC | 464288802 | 355 | 2,653 | SH | | DFND | 1 | 0 | 0 | 2,653 |
| ISHARES TR | MULTIFACTOR INTL | 46434V274 | 2,194 | 95,738 | SH | | DFND | 1 | 0 | 0 | 95,738 |
| ISHARES TR | NASDAQ BIOTECH | 464287556 | 904 | 6,617 | SH | | DFND | 1 | 0 | 0 | 6,617 |
| ISHARES TR | NATIONAL MUN ETF | 464288414 | 4,495 | 38,951 | SH | | DFND | 1 | 0 | 0 | 38,951 |
| ISHARES TR | PFD AND INCM SEC | 464288687 | 3,071 | 88,660 | SH | | DFND | 1 | 0 | 0 | 88,660 |
| ISHARES TR | PHLX SEMICND ETF | 464287523 | 377 | 1,390 | SH | | DFND | 1 | 0 | 0 | 1,390 |
| ISHARES TR | RUS 1000 ETF | 464287622 | 413 | 2,407 | SH | | DFND | 1 | 0 | 0 | 2,407 |
| ISHARES TR | RUS TP200 GR ETF | 464289438 | 1,361 | 12,765 | SH | | DFND | 1 | 0 | 0 | 12,765 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 2,769 | 19,343 | SH | | DFND | 1 | 0 | 0 | 19,343 |
| ISHARES TR | S&P 500 VAL ETF | 464287408 | 564 | 5,215 | SH | | DFND | 1 | 0 | 0 | 5,215 |
| ISHARES TR | SH TR CRPORT ETF | 464288646 | 1,040 | 19,002 | SH | | DFND | 1 | 0 | 0 | 19,002 |
| ISHARES TR | SP SMCP600VL ETF | 464287879 | 835 | 6,937 | SH | | DFND | 1 | 0 | 0 | 6,937 |
| ISHARES TR | U.S. MED DVC ETF | 464288810 | 561 | 2,120 | SH | | DFND | 1 | 0 | 0 | 2,120 |
| ISHARES TR | US AER DEF ETF | 464288760 | 858 | 5,210 | SH | | DFND | 1 | 0 | 0 | 5,210 |
| ISHARES TR | US TREAS BD ETF | 46429B267 | 659 | 23,531 | SH | | DFND | 1 | 0 | 0 | 23,531 |
| ISHARES TR | USA MOMENTUM FCT | 46432F396 | 35,290 | 269,383 | SH | | DFND | 1 | 0 | 0 | 269,382 |
| ISHARES TR | USA QUALITY FCTR | 46432F339 | 18,271 | 190,482 | SH | | DFND | 1 | 0 | 0 | 190,481 |
| ISHARES U S ETF TR | SHT MAT BD ETF | 46431W507 | 336 | 6,720 | SH | | DFND | 1 | 0 | 0 | 6,720 |
| J P MORGAN EXCHANGE-TRADED F | ULTRA SHRT INC | 46641Q837 | 660 | 13,014 | SH | | DFND | 1 | 0 | 0 | 13,014 |
| J P MORGAN EXCHANGE-TRADED F | ULTRA SHT MUNCPL | 46641Q654 | 1,215 | 23,845 | SH | | DFND | 1 | 0 | 0 | 23,845 |
| JD.COM INC | SPON ADR CL A | 47215P106 | 1,756 | 29,174 | SH | | DFND | 1 | 0 | 0 | 29,174 |
| JOHNSON & JOHNSON | COM | 478160104 | 2,554 | 18,159 | SH | | DFND | 1 | 0 | 0 | 18,159 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 1,699 | 18,063 | SH | | DFND | 1 | 0 | 0 | 18,063 |
| KINDER MORGAN INC DEL | COM | 49456B101 | 167 | 11,002 | SH | | DFND | 1 | 0 | 0 | 11,002 |
| KKR & CO INC | COM | 48251W104 | 343 | 11,120 | SH | | DFND | 1 | 0 | 0 | 11,120 |
| L3HARRIS TECHNOLOGIES INC | COM | 502431109 | 894 | 5,271 | SH | | DFND | 1 | 0 | 0 | 5,271 |
| LILLY ELI & CO | COM | 532457108 | 1,325 | 8,068 | SH | | DFND | 1 | 0 | 0 | 8,068 |
| LOCKHEED MARTIN CORP | COM | 539830109 | 1,231 | 3,373 | SH | | DFND | 1 | 0 | 0 | 3,373 |
| LOWES COS INC | COM | 548661107 | 1,132 | 8,376 | SH | | DFND | 1 | 0 | 0 | 8,376 |
| LULULEMON ATHLETICA INC | COM | 550021109 | 372 | 1,192 | SH | | DFND | 1 | 0 | 0 | 1,192 |
| MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 961 | 22,261 | SH | | DFND | 1 | 0 | 0 | 22,261 |
| MARKEL CORP | COM | 570535104 | 263 | 285 | SH | | DFND | 1 | 0 | 0 | 285 |
| MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 326 | 9,300 | SH | | DFND | 1 | 0 | 0 | 9,300 |
| MCCORMICK & CO INC | COM NON VTG | 579780206 | 483 | 2,694 | SH | | DFND | 1 | 0 | 0 | 2,694 |
| MCDONALDS CORP | COM | 580135101 | 2,488 | 13,485 | SH | | DFND | 1 | 0 | 0 | 13,485 |
| MERCK & CO. INC | COM | 58933Y105 | 445 | 5,750 | SH | | DFND | 1 | 0 | 0 | 5,750 |
| MICROCHIP TECHNOLOGY INC. | COM | 595017104 | 568 | 5,397 | SH | | DFND | 1 | 0 | 0 | 5,397 |
| MICROSOFT CORP | COM | 594918104 | 6,191 | 30,424 | SH | | DFND | 1 | 0 | 0 | 30,424 |
| MONDELEZ INTL INC | CL A | 609207105 | 300 | 5,869 | SH | | DFND | 1 | 0 | 0 | 5,869 |
| NETFLIX INC | COM | 64110L106 | 262 | 575 | SH | | DFND | 1 | 0 | 0 | 575 |
| NIKE INC | CL B | 654106103 | 887 | 9,046 | SH | | DFND | 1 | 0 | 0 | 9,046 |
| NOVARTIS AG | SPONSORED ADR | 66987V109 | 603 | 6,907 | SH | | DFND | 1 | 0 | 0 | 6,907 |
| NOVO-NORDISK A S | ADR | 670100205 | 308 | 4,708 | SH | | DFND | 1 | 0 | 0 | 4,708 |
| NVIDIA CORPORATION | COM | 67066G104 | 1,287 | 3,388 | SH | | DFND | 1 | 0 | 0 | 3,388 |
| ONE GAS INC | COM | 68235P108 | 581 | 7,546 | SH | | DFND | 1 | 0 | 0 | 7,546 |
| ONEOK INC NEW | COM | 682680103 | 842 | 25,332 | SH | | DFND | 1 | 0 | 0 | 25,332 |
| ORACLE CORP | COM | 68389X105 | 351 | 6,355 | SH | | DFND | 1 | 0 | 0 | 6,355 |
| PACER FDS TR | TRENDP US LAR CP | 69374H105 | 5,003 | 184,012 | SH | | DFND | 1 | 0 | 0 | 184,012 |
| PACER FDS TR | TRENDP US MID CP | 69374H204 | 300 | 10,959 | SH | | DFND | 1 | 0 | 0 | 10,959 |
| PAYCHEX INC | COM | 704326107 | 413 | 5,453 | SH | | DFND | 1 | 0 | 0 | 5,453 |
| PAYPAL HLDGS INC | COM | 70450Y103 | 927 | 5,321 | SH | | DFND | 1 | 0 | 0 | 5,321 |
| PEPSICO INC | COM | 713448108 | 2,009 | 15,193 | SH | | DFND | 1 | 0 | 0 | 15,193 |
| PFIZER INC | COM | 717081103 | 296 | 9,063 | SH | | DFND | 1 | 0 | 0 | 9,063 |
| PHILLIPS 66 | COM | 718546104 | 536 | 7,452 | SH | | DFND | 1 | 0 | 0 | 7,452 |
| PIMCO ETF TR | ACTIVE BD ETF | 72201R775 | 1,723 | 15,440 | SH | | DFND | 1 | 0 | 0 | 15,440 |
| PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 973 | 9,570 | SH | | DFND | 1 | 0 | 0 | 9,570 |
| PROCTER AND GAMBLE CO | COM | 742718109 | 1,800 | 15,054 | SH | | DFND | 1 | 0 | 0 | 15,054 |
| QUALCOMM INC | COM | 747525103 | 1,533 | 16,810 | SH | | DFND | 1 | 0 | 0 | 16,810 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 568 | 9,214 | SH | | DFND | 1 | 0 | 0 | 9,214 |
| ROYAL DUTCH SHELL PLC | SPON ADR B | 780259107 | 480 | 15,759 | SH | | DFND | 1 | 0 | 0 | 15,759 |
| ROYAL GOLD INC | COM | 780287108 | 261 | 2,100 | SH | | DFND | 1 | 0 | 0 | 2,100 |
| S&P GLOBAL INC | COM | 78409V104 | 286 | 867 | SH | | DFND | 1 | 0 | 0 | 867 |
| SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 | 206 | 8,449 | SH | | DFND | 1 | 0 | 0 | 8,449 |
| SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 | 298 | 10,008 | SH | | DFND | 1 | 0 | 0 | 10,008 |
| SCHWAB STRATEGIC TR | INTRM TRM TRES | 808524854 | 507 | 8,632 | SH | | DFND | 1 | 0 | 0 | 8,632 |
| SCHWAB STRATEGIC TR | SCHWAB FDT US SC | 808524763 | 12,240 | 385,858 | SH | | DFND | 1 | 0 | 0 | 385,858 |
| SCHWAB STRATEGIC TR | SCHWB FDT EMK LG | 808524730 | 476 | 20,317 | SH | | DFND | 1 | 0 | 0 | 20,317 |
| SCHWAB STRATEGIC TR | SCHWB FDT INT LG | 808524755 | 773 | 32,573 | SH | | DFND | 1 | 0 | 0 | 32,573 |
| SCHWAB STRATEGIC TR | SCHWB FDT INT SC | 808524748 | 15,195 | 551,711 | SH | | DFND | 1 | 0 | 0 | 551,710 |
| SCHWAB STRATEGIC TR | US AGGREGATE B | 808524839 | 4,799 | 85,338 | SH | | DFND | 1 | 0 | 0 | 85,338 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 | 860 | 11,709 | SH | | DFND | 1 | 0 | 0 | 11,709 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 | 240 | 4,637 | SH | | DFND | 1 | 0 | 0 | 4,637 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 3,704 | 36,474 | SH | | DFND | 1 | 0 | 0 | 36,474 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 10,691 | 144,276 | SH | | DFND | 1 | 0 | 0 | 144,275 |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 1,991 | 37,835 | SH | | DFND | 1 | 0 | 0 | 37,835 |
| SEATTLE GENETICS INC | COM | 812578102 | 302 | 1,775 | SH | | DFND | 1 | 0 | 0 | 1,775 |
| SELECT SECTOR SPDR TR | COMMUNICATION | 81369Y852 | 2,484 | 45,957 | SH | | DFND | 1 | 0 | 0 | 45,957 |
| SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 262 | 6,913 | SH | | DFND | 1 | 0 | 0 | 6,913 |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 81369Y860 | 913 | 26,219 | SH | | DFND | 1 | 0 | 0 | 26,219 |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 2,358 | 18,463 | SH | | DFND | 1 | 0 | 0 | 18,463 |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 1,139 | 19,430 | SH | | DFND | 1 | 0 | 0 | 19,430 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 5,519 | 55,155 | SH | | DFND | 1 | 0 | 0 | 55,155 |
| SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 1,119 | 48,354 | SH | | DFND | 1 | 0 | 0 | 48,354 |
| SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 654 | 9,521 | SH | | DFND | 1 | 0 | 0 | 9,521 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 390 | 6,918 | SH | | DFND | 1 | 0 | 0 | 6,918 |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 81369Y100 | 213 | 3,779 | SH | | DFND | 1 | 0 | 0 | 3,779 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 6,418 | 61,421 | SH | | DFND | 1 | 0 | 0 | 61,421 |
| SERVICENOW INC | COM | 81762P102 | 482 | 1,190 | SH | | DFND | 1 | 0 | 0 | 1,190 |
| SPDR GOLD TR | GOLD SHS | 78463V107 | 1,396 | 8,341 | SH | | DFND | 1 | 0 | 0 | 8,341 |
| SPDR INDEX SHS FDS | MSCI ACWI EXUS | 78463X848 | 288 | 12,722 | SH | | DFND | 1 | 0 | 0 | 12,722 |
| SPDR INDEX SHS FDS | S&P EMKTSC ETF | 78463X756 | 360 | 8,810 | SH | | DFND | 1 | 0 | 0 | 8,810 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 22,024 | 71,422 | SH | | DFND | 1 | 0 | 0 | 71,422 |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 303 | 934 | SH | | DFND | 1 | 0 | 0 | 934 |
| SPDR SER TR | BLMBRG BRC CNVRT | 78464A359 | 1,838 | 30,382 | SH | | DFND | 1 | 0 | 0 | 30,382 |
| SPDR SER TR | BLOMBERG BRC INV | 78468R200 | 14,971 | 491,178 | SH | | DFND | 1 | 0 | 0 | 491,177 |
| SPDR SER TR | NUVEEN BLMBRG SR | 78468R739 | 2,883 | 57,803 | SH | | DFND | 1 | 0 | 0 | 57,803 |
| SPDR SER TR | SSGA US SMAL ETF | 78468R887 | 626 | 8,202 | SH | | DFND | 1 | 0 | 0 | 8,202 |
| SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 85208R101 | 297 | 17,600 | SH | | DFND | 1 | 0 | 0 | 17,600 |
| STARBUCKS CORP | COM | 855244109 | 881 | 11,974 | SH | | DFND | 1 | 0 | 0 | 11,974 |
| STRYKER CORPORATION | COM | 863667101 | 230 | 1,276 | SH | | DFND | 1 | 0 | 0 | 1,276 |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 874039100 | 244 | 4,291 | SH | | DFND | 1 | 0 | 0 | 4,291 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 2,589 | 7,146 | SH | | DFND | 1 | 0 | 0 | 7,146 |
| TITAN MED INC | COM NEW | 88830X819 | 84 | 100,000 | SH | | DFND | 1 | 0 | 0 | 100,000 |
| TJX COS INC NEW | COM | 872540109 | 248 | 4,900 | SH | | DFND | 1 | 0 | 0 | 4,900 |
| TYSON FOODS INC | CL A | 902494103 | 273 | 4,580 | SH | | DFND | 1 | 0 | 0 | 4,580 |
| UNION PAC CORP | COM | 907818108 | 928 | 5,489 | SH | | DFND | 1 | 0 | 0 | 5,489 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 | 831 | 7,476 | SH | | DFND | 1 | 0 | 0 | 7,476 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 | 645 | 2,187 | SH | | DFND | 1 | 0 | 0 | 2,187 |
| UPWORK INC | COM | 91688F104 | 630 | 43,659 | SH | | DFND | 1 | 0 | 0 | 43,659 |
| 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 | 37,824 | 428,172 | SH | | DFND | 1 | 0 | 0 | 428,172 |
| VANGUARD CHARLOTTE FDS | INTL BD IDX ETF | 92203J407 | 36,460 | 631,548 | SH | | DFND | 1 | 0 | 0 | 631,548 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 583 | 2,883 | SH | | DFND | 1 | 0 | 0 | 2,883 |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 922908538 | 1,078 | 6,528 | SH | | DFND | 1 | 0 | 0 | 6,528 |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 | 819 | 8,559 | SH | | DFND | 1 | 0 | 0 | 8,559 |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 266 | 937 | SH | | DFND | 1 | 0 | 0 | 937 |
| VANGUARD INDEX FDS | SM CP VAL ETF | 922908611 | 1,188 | 11,113 | SH | | DFND | 1 | 0 | 0 | 11,113 |
| VANGUARD INDEX FDS | SML CP GRW ETF | 922908595 | 326 | 1,631 | SH | | DFND | 1 | 0 | 0 | 1,631 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 229 | 1,460 | SH | | DFND | 1 | 0 | 0 | 1,460 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 | 1,093 | 10,971 | SH | | DFND | 1 | 0 | 0 | 10,971 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 907 | 22,892 | SH | | DFND | 1 | 0 | 0 | 22,891 |
| VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 922042742 | 419 | 5,604 | SH | | DFND | 1 | 0 | 0 | 5,604 |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 | 23,969 | 477,758 | SH | | DFND | 1 | 0 | 0 | 477,757 |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 922907746 | 2,591 | 47,853 | SH | | DFND | 1 | 0 | 0 | 47,853 |
| VANGUARD SCOTTSDALE FDS | INTER TERM TREAS | 92206C706 | 14,854 | 210,483 | SH | | DFND | 1 | 0 | 0 | 210,483 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 15,345 | 161,288 | SH | | DFND | 1 | 0 | 0 | 161,288 |
| VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 92206C813 | 1,011 | 9,512 | SH | | DFND | 1 | 0 | 0 | 9,512 |
| VANGUARD SCOTTSDALE FDS | SHORT TERM TREAS | 92206C102 | 2,696 | 43,344 | SH | | DFND | 1 | 0 | 0 | 43,344 |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 3,395 | 41,077 | SH | | DFND | 1 | 0 | 0 | 41,077 |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 | 4,868 | 41,543 | SH | | DFND | 1 | 0 | 0 | 41,543 |
| VANGUARD TAX-MANAGED FDS | FTSE DEV MKT ETF | 921943858 | 3,599 | 92,772 | SH | | DFND | 1 | 0 | 0 | 92,771 |
| VANGUARD WHITEHALL FDS | EMERG MKT BD ETF | 921946885 | 892 | 11,465 | SH | | DFND | 1 | 0 | 0 | 11,465 |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 921946406 | 1,572 | 19,957 | SH | | DFND | 1 | 0 | 0 | 19,957 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,961 | 35,576 | SH | | DFND | 1 | 0 | 0 | 35,576 |
| VISA INC | COM CL A | 92826C839 | 1,449 | 7,499 | SH | | DFND | 1 | 0 | 0 | 7,499 |
| WALMART INC | COM | 931142103 | 515 | 4,299 | SH | | DFND | 1 | 0 | 0 | 4,299 |
| WELLS FARGO CO NEW | COM | 949746101 | 583 | 22,769 | SH | | DFND | 1 | 0 | 0 | 22,769 |
| WISDOMTREE TR | EMG MKTS SMCAP | 97717W281 | 4,646 | 119,103 | SH | | DFND | 1 | 0 | 0 | 119,102 |
| WISDOMTREE TR | GLB US QTLY DIV | 97717W844 | 476 | 7,547 | SH | | DFND | 1 | 0 | 0 | 7,547 |
| WISDOMTREE TR | INTL SMCAP DIV | 97717W760 | 1,471 | 26,449 | SH | | DFND | 1 | 0 | 0 | 26,449 |
| WISDOMTREE TR | US QTLY DIV GRT | 97717X669 | 258 | 5,681 | SH | | DFND | 1 | 0 | 0 | 5,681 |
| WISDOMTREE TR | US SMALLCAP DIVD | 97717W604 | 742 | 35,020 | SH | | DFND | 1 | 0 | 0 | 35,020 |
| YUM BRANDS INC | COM | 988498101 | 204 | 2,350 | SH | | DFND | 1 | 0 | 0 | 2,350 |
