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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:09-30-2021
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
SUITE 1400
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:D Corey Lawson
Title:Chief Compliance Officer
Phone:202-539-1039
Signature, Place, and Date of Signing:
D Corey LawsonMcLean,  VA11-10-2021
[Signature][City, State][Date]
Report Type (Check only one.):
X13F 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:192
Form 13F Information Table Value Total:809,533
(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 NumberName
1028-19007Capital One Investing, 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 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
ABBOTT LABSCOM0028241007956,727SH DFND1006,727
ABBVIE INCCOM00287Y1097076,558SH DFND1006,558
AIR PRODS & CHEMS INCCOM0091581064481,747SH DFND1001,747
ALLIANCE RESOURCE PARTNERS LUT LTD PART01877R1081,767162,599SH DFND100162,599
ALLIANCEBERNSTEIN HLDG L PUNIT LTD PARTN01881G10684116,963SH DFND10016,963
ALPHABET INCCAP STK CL A02079K305864323SH DFND100323
ALPHABET INCCAP STK CL C02079K107658247SH DFND100247
ALPS ETF TRDISRUPTIVE TECH00162Q4782164,456SH DFND1004,456
AMAZON COM INCCOM0231351062,494759SH DFND100759
AMERICAN EXPRESS COCOM0258161099895,905SH DFND1005,905
AMGEN INCCOM0311621008083,798SH DFND1003,798
ANALOG DEVICES INCCOM0326541055653,372SH DFND1003,372
ANNALY CAPITAL MANAGEMENT INCOM03571040912214,432SH DFND10014,432
APPLE INCCOM0378331006,34444,833SH DFND10044,833
BANK NEW YORK MELLON CORPCOM0640581004538,742SH DFND1008,742
BERKSHIRE HATHAWAY INC DELCL B NEW084670702248910SH DFND100910
BLACKSTONE INCCOM09260D1076265,385SH DFND1005,385
BRISTOL-MYERS SQUIBB COCOM11012210885714,485SH DFND10014,485
BROOKFIELD ASSET MGMT INCCL A LTD VT SH1125851043326,200SH DFND1006,200
CATERPILLAR INCCOM1491231016703,488SH DFND1003,488
CISCO SYS INCCOM17275R1021,57328,902SH DFND10028,902
CONNECTONE BANCORP INCCOM20786W1072769,193SH DFND1009,193
CONOCOPHILLIPSCOM20825C1045377,929SH DFND1007,929
COSTCO WHSL CORP NEWCOM22160K1057281,620SH DFND1001,620
CSX CORPCOM1264081032147,212SH DFND1007,212
CVS HEALTH CORPCOM1266501006277,391SH DFND1007,391
DANAHER CORPORATIONCOM2358511021,0683,509SH DFND1003,509
DARDEN RESTAURANTS INCCOM2371941052571,700SH DFND1001,700
DIAGEO PLCSPON ADR NEW25243Q2052381,235SH DFND1001,235
DIMENSIONAL ETF TRUSTUS CORE EQUITY 225434V7086,657250,554SH DFND100250,554
DIMENSIONAL ETF TRUSTWORLD EX US CORE25434V88048318,678SH DFND10018,678
DISNEY WALT COCOM2546871061,6679,856SH DFND1009,856
ENERGY TRANSFER L PCOM UT LTD PTN29273V10019220,057SH DFND10020,057
ENTERPRISE PRODS PARTNERS LCOM2937921071,08049,902SH DFND10049,902
ETF MANAGERS TRPRIME CYBR SCRTY26924G2014146,800SH DFND1006,800
ETF MANAGERS TRPRIME MOBILE PAY26924G4094336,400SH DFND1006,400
EXXON MOBIL CORPCOM30231G1025108,666SH DFND1008,666
FACEBOOK INCCL A30303M1021,3343,931SH DFND1003,931
FIRST TR EXCHANGE-TRADED FDCAP STRENGTH ETF33733E1046128,183SH DFND1008,183
FIRST TR EXCHANGE-TRADED FDNO AMER ENERGY33738D1012219,343SH DFND1009,343
FRANCO NEV CORPCOM3518581052141,650SH DFND1001,650
GENERAL ELECTRIC COCOM NEW3696043013493,385SH DFND1003,385
GOLDMAN SACHS ETF TRACTIVEBETA EME38143020623,015620,362SH DFND100620,362
GOLDMAN SACHS ETF TRACTIVEBETA INT38143010760,3531,766,264SH DFND1001,766,264
GOLDMAN SACHS ETF TRACTIVEBETA US LG3814305036,69177,777SH DFND10077,777
HOME DEPOT INCCOM4370761022,1206,458SH DFND1006,458
HONEYWELL INTL INCCOM4385161065252,474SH DFND1002,474
INTEL CORPCOM45814010083015,569SH DFND10015,569
INVESCO ACTIVELY MANAGED ETFULTRA SHRT DUR46090A8874528,950SH DFND1008,950
INVESCO EXCH TRADED FD TR IIS&P SMLCP LOW46138G1023,40272,215SH DFND10072,215
INVESCO EXCH TRADED FD TR IIS&P500 HDL VOL46138E3621,34131,676SH DFND10031,676
INVESCO EXCH TRADED FD TR IIS&P500 LOW VOL46138E3548,147133,909SH DFND100133,909
INVESCO EXCHANGE TRADED FD TDYNMC BIOTECH46137V7873354,471SH DFND1004,471
INVESCO EXCHANGE TRADED FD TNASDAQ INTERNT46137V5308423,530SH DFND1003,530
INVESCO EXCHANGE TRADED FD TS&P500 QUALITY46137V2415,377110,749SH DFND100110,749
INVESCO QQQ TRUNIT SER 146090E103328915SH DFND100915
ISHARES INCCORE MSCI EMKT46434G1032,95247,800SH DFND10047,800
ISHARES INCMSCI EMERG MKT46434G8893,88875,340SH DFND10075,340
ISHARES INCMSCI EMERG MRKT46428653315,591248,779SH DFND100248,779
ISHARES TR0-5 YR TIPS ETF46429B7473813,606SH DFND1003,606
ISHARES TRBARCLAYS 7 10 YR4642874401,63314,175SH DFND10014,175
ISHARES TRCORE 1 5 YR USD46432F8593166,183SH DFND1006,183
ISHARES TRCORE DIV GRWTH46434V6212084,135SH DFND1004,135
ISHARES TRCORE INTL AGGR46435G6725,49599,867SH DFND10099,867
ISHARES TRCORE MSCI EAFE46432F8421,28317,284SH DFND10017,284
ISHARES TRCORE MSCI TOTAL46432F8341,62622,902SH DFND10022,902
ISHARES TRCORE S&P MCP ETF464287507227862SH DFND100862
ISHARES TRCORE S&P500 ETF46428720010,02323,264SH DFND10023,264
ISHARES TRCORE US AGGBD ET4642872265,41047,114SH DFND10047,114
ISHARES TRESG AWR MSCI USA46435G4255535,613SH DFND1005,613
ISHARES TRESG AWRE 1 5 YR46435G2432499,578SH DFND1009,578
ISHARES TREXPND TEC SC ETF4642875491,1292,798SH DFND1002,798
ISHARES TRFLTG RATE NT ETF46429B65553910,605SH DFND10010,605
ISHARES TRIBONDS DEC46435U6972127,866SH DFND1007,866
ISHARES TRIBONDS DEC202146435G7892057,999SH DFND1007,999
ISHARES TRIBONDS DEC202246435G7552077,902SH DFND1007,902
ISHARES TRIBONDS DEC202346435G3182098,028SH DFND1008,028
ISHARES TRIBONDS DEC25 ETF46434VBD12178,088SH DFND1008,088
ISHARES TRIBOXX INV CP ETF4642872424,18731,474SH DFND10031,474
ISHARES TRISHARES BIOTECH4642875564012,480SH DFND1002,480
ISHARES TRISHS 1-5YR INVS4642886465029,179SH DFND1009,179
ISHARES TRISHS 5-10YR INVT4642886381,79329,861SH DFND10029,861
ISHARES TRJPMORGAN USD EMG46428828111,979108,838SH DFND100108,838
ISHARES TRMSCI ACWI EX US4642882403,69666,704SH DFND10066,704
ISHARES TRMSCI EAFE MIN VL46429B68936,714487,314SH DFND100487,314
ISHARES TRMSCI INTL MULTFT46434V2747,294251,328SH DFND100251,328
ISHARES TRMSCI USA ESG SLC4642888024684,880SH DFND1004,880
ISHARES TRMSCI USA MIN VOL46429B69779,5851,082,790SH DFND1001,082,790
ISHARES TRMSCI USA MMENTM46432F39646,974267,506SH DFND100267,506
ISHARES TRMSCI USA QLT FCT46432F33949,181373,344SH DFND100373,344
ISHARES TRMSCI USA SMCP MN46435G4333258,774SH DFND1008,774
ISHARES TRMSCI USA VALUE46432F38818,930187,980SH DFND100187,980
ISHARES TRNATIONAL MUN ETF4642884142,44421,036SH DFND10021,036
ISHARES TRPFD AND INCM SEC46428868796124,758SH DFND10024,758
ISHARES TRRUS 1000 GRW ETF464287614256934SH DFND100934
ISHARES TRRUS TP200 GR ETF4642894381,3989,159SH DFND1009,159
ISHARES TRRUSSELL 2000 ETF4642876553161,446SH DFND1001,446
ISHARES TRS&P 500 VAL ETF4642874084833,321SH DFND1003,321
ISHARES TRSHORT TREAS BD4642886792512,271SH DFND1002,271
ISHARES TRSP SMCP600VL ETF4642878797227,172SH DFND1007,172
ISHARES TRTIPS BD ETF46428717625,834202,320SH DFND100202,320
ISHARES TRU.S. MED DVC ETF4642888103846,120SH DFND1006,120
ISHARES TRUS TREAS BD ETF46429B26723,419882,723SH DFND100882,723
ISHARES TRUSD INV GRDE ETF46428862030,956515,068SH DFND100515,068
JOHNSON & JOHNSONCOM4781601046023,725SH DFND1003,725
JPMORGAN CHASE & COCOM46625H1001,5489,455SH DFND1009,455
KKR & CO INCCOM48251W1045849,590SH DFND1009,590
L3HARRIS TECHNOLOGIES INCCOM5024311098773,982SH DFND1003,982
LILLY ELI & COCOM5324571081,6667,210SH DFND1007,210
LOCKHEED MARTIN CORPCOM5398301096401,855SH DFND1001,855
LOWES COS INCCOM5486611074592,261SH DFND1002,261
MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP5590801063968,690SH DFND1008,690
MASTERCARD INCORPORATEDCL A57636Q104225649SH DFND100649
MCDONALDS CORPCOM5801351012,0088,328SH DFND1008,328
MEDTRONIC PLCSHSG5960L1032121,694SH DFND1001,694
MERCK & CO INCCOM58933Y1052102,801SH DFND1002,801
MICROSOFT CORPCOM5949181045,49719,498SH DFND10019,498
NIKE INCCL B6541061032391,644SH DFND1001,644
NVIDIA CORPORATIONCOM67066G1045172,497SH DFND1002,497
NXP SEMICONDUCTORS N VCOMN6596X1092451,250SH DFND1001,250
ONE GAS INCCOM68235P10892414,581SH DFND10014,581
ONEOK INC NEWCOM6826801032,70946,714SH DFND10046,714
PACER FDS TRTRENDP US LAR CP69374H1052767,307SH DFND1007,307
PAYCHEX INCCOM7043261074133,673SH DFND1003,673
PAYPAL HLDGS INCCOM70450Y103254975SH DFND100975
PEPSICO INCCOM7134481088675,762SH DFND1005,762
PFIZER INCCOM7170811032505,803SH DFND1005,803
PIMCO ETF TRACTIVE BD ETF72201R7751,66715,078SH DFND10015,078
PIMCO ETF TRINTER MUN BD ACT72201R8661,21121,486SH DFND10021,486
PIMCO ETF TRSHTRM MUN BD ACT72201R8741,95138,024SH DFND10038,024
PINNACLE FINL PARTNERS INCCOM72346Q1042532,690SH DFND1002,690
PROCTER AND GAMBLE COCOM7427181097385,276SH DFND1005,276
QUALCOMM INCCOM7475251031,1709,071SH DFND1009,071
RAYTHEON TECHNOLOGIES CORPCOM75513E1014925,720SH DFND1005,720
S&P GLOBAL INCCOM78409V104365860SH DFND100860
SCHWAB STRATEGIC TRINTRM TRM TRES8085248544998,805SH DFND1008,805
SCHWAB STRATEGIC TRSCHWAB FDT US SC8085247637,726146,656SH DFND100146,656
SCHWAB STRATEGIC TRSCHWB FDT EMK LG8085247301,26939,374SH DFND10039,374
SCHWAB STRATEGIC TRSCHWB FDT INT LG8085247551,27338,791SH DFND10038,791
SCHWAB STRATEGIC TRSCHWB FDT INT SC80852474887922,718SH DFND10022,718
SCHWAB STRATEGIC TRUS AGGREGATE B8085248394778,793SH DFND1008,793
SCHWAB STRATEGIC TRUS LCAP GR ETF8085243007505,063SH DFND1005,063
SCHWAB STRATEGIC TRUS MID-CAP ETF8085245082162,812SH DFND1002,812
SEAGEN INCCOM81181C1042081,225SH DFND1001,225
SELECT SECTOR SPDR TRCOMMUNICATION81369Y8523874,826SH DFND1004,826
SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4079835,476SH DFND1005,476
SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2094,51835,490SH DFND10035,490
SELECT SECTOR SPDR TRTECHNOLOGY81369Y8032,67717,928SH DFND10017,928
SERVICENOW INCCOM81762P102535860SH DFND100860
SPDR GOLD TRGOLD SHS78463V1075123,118SH DFND1003,118
SPDR INDEX SHS FDSPORTFOLIO DEVLPD78463X8893,00683,010SH DFND10083,010
SPDR S&P 500 ETF TRTR UNIT78462F1037,17016,708SH DFND10016,708
SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107242503SH DFND100503
SPDR SER TRBLMBRG BRC CNVRT78464A3593974,646SH DFND1004,646
SPDR SER TRBLOMBERG BRC INV78468R20012,366403,318SH DFND100403,318
SPDR SER TRNUVEEN BLMBRG SR78468R7398,891179,975SH DFND100179,975
SPDR SER TRPORTFLI TIPS ETF78464A6562,26172,708SH DFND10072,708
SPDR SER TRSSGA US SMAL ETF78468R8876796,054SH DFND1006,054
STARBUCKS CORPCOM8552441092992,708SH DFND1002,708
THERMO FISHER SCIENTIFIC INCCOM883556102564987SH DFND100987
TITAN MED INCCOM NEW88830X819152100,000SH DFND100100,000
UNION PAC CORPCOM9078181086843,488SH DFND1003,488
UNITED PARCEL SERVICE INCCL B9113121065663,108SH DFND1003,108
UNITEDHEALTH GROUP INCCOM91324P1027091,814SH DFND1001,814
VANGUARD BD INDEX FDSSHORT TRM BOND9219378272683,271SH DFND1003,271
VANGUARD BD INDEX FDSTOTAL BND MRKT92193783539,235459,158SH DFND100459,158
VANGUARD CHARLOTTE FDSTOTAL INT BD ETF92203J40735,379621,121SH DFND100621,121
VANGUARD INDEX FDSMCAP GR IDXVIP9229085388883,759SH DFND1003,759
VANGUARD INDEX FDSMCAP VL IDXVIP9229085124653,331SH DFND1003,331
VANGUARD INDEX FDSMID CAP ETF922908629215910SH DFND100910
VANGUARD INDEX FDSSM CP VAL ETF9229086111,4228,403SH DFND1008,403
VANGUARD INDEX FDSSMALL CP ETF9229087513851,762SH DFND1001,762
VANGUARD INDEX FDSTOTAL STK MKT9229087692941,324SH DFND1001,324
VANGUARD INDEX FDSVALUE ETF9229087444,05429,949SH DFND10029,949
VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428581,23624,722SH DFND10024,722
VANGUARD MALVERN FDSSTRM INFPROIDX92202080519,772376,043SH DFND100376,043
VANGUARD MUN BD FDSTAX EXEMPT BD92290774617,004310,469SH DFND100310,469
VANGUARD SCOTTSDALE FDSINTER TERM TREAS92206C70611,940176,754SH DFND100176,754
VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C87021,234224,915SH DFND100224,915
VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4096327,668SH DFND1007,668
VANGUARD SPECIALIZED FUNDSDIV APP ETF9219088442,54616,572SH DFND10016,572
VANGUARD TAX-MANAGED INTL FDFTSE DEV MKT ETF9219438584388,668SH DFND1008,668
VANGUARD WHITEHALL FDSEMERG MKT BD ETF9219468851,70721,806SH DFND10021,806
VANGUARD WHITEHALL FDSHIGH DIV YLD9219464065094,929SH DFND1004,929
VERIZON COMMUNICATIONS INCCOM92343V10487116,122SH DFND10016,122
VISA INCCOM CL A92826C8392911,307SH DFND1001,307
WALMART INCCOM9311421033972,851SH DFND1002,851
WELLS FARGO CO NEWCOM94974610147010,124SH DFND10010,124
WILLIAMS COS INCCOM96945710026410,161SH DFND10010,161
WISDOMTREE TREMG MKTS SMCAP97717W2812123,966SH DFND1003,966
WISDOMTREE TRGLB US QTLY DIV97717W84454213,398SH DFND10013,398
WISDOMTREE TRUS QTLY DIV GRT97717X6692514,264SH DFND1004,264