Ronald H. Sargis

What was filed

274
investments
1
positions
0
gifts
0
agreements
0
debts
1
reimbursements
1
income
1
spouse income

Named parties

Addition Information
Trust #1, Family Member
Cahfornia Association of Collectors
McGeorge School of Law, University of the Pacific
State of California, Califorma Department of Public Health --- Salary

As filed

Rental Property. Sacramento, California — Rent

Bank of America Demand Accounts — Interest

Golden Credit Umon Demand Account — Interest

Bank of the West Demand Account — Interest

Bank of America Accounts, Dependant — Interest

State Farm Whole Life Insurance — Int/Div

MINERAL RIGHTS, Livingston, CA — None

Brokerage Account #1

MERRIL LYNCH DIRECT DEPOSIT {CASH ACCOUNT) — Int

ADT CORP — Distribution

PENTAIR PLC PNR (Renamed PENTAIR LTD) — Distribution

TYCO INTERNAT TYC — Int/Div

COVIDIEN PLC COV — Int/Div

TE CONNECTIVITY LTD TEL — Int/Div

CESCA THERAPEUTICS KOOL (Formerly named THERMOGENSIS) — None

NOKIA NOK — Int/Div

SIRIUS XM SIRI — Int/Div

Brokerage Account #2

CASH ACCOUNT, GOLDMAN SACHS BANK USA (X) — Interest

CASH ACCOUNT. DISCOVER BANK — Interest

CASH ACCOUNT CITIBANK NA — Interest

ORACLE ORCL — Int/Div

Brokerage Account ¥ 2-1

FEDERATED CAP RESERVES — Int/Div

DREYFUS TECH GROWTH DTGBX — Int/Div

Brokerage Account #3

HARTFORD CAP APPRC FD HCACX — Int/Div — Buy (add'l)

13 — istnbution

Brokerage Account #4 Dependent

GROWTH FD AMER GFACX — Distribution — Buy (add'l)

GUGGENHEIM MID CAP VALUE A -. SEVSX — istnbution — Buy (add'l)

as. — Int/Div

BLACKROCK GLOBAL ALLOCATION MCLOX — Int/Div — Buy (add'l)

BLACKROCK GLOBAL ALLOCATION MCLOX — Distribution — Buy (add'l)

BROKERAGE ACCOUNT #5 Dependants

GOLDMAN SACHS INSURED CASH ACCOUNT — Interest

COSTCO — Int/Div

BROKERAGE ACCOUNT #8 IRA Rollover

GENERAL MARKET CASH FUND, RW BAIRD — Int/Div

DEUTSCHE X-TRACKERS MSCI EAF HEDGED EQUITY ETF — Int/Div — Buy

DEUTSCHE X-TRACKERS MSCI EAF HEDGED EQUITY ETF — Distribution — Buy (add'l)

S10. — Sold (part)

S10. — Buy (add'l)

FIRST TRUST NYSE ARCA BIOTECHNOLOGY INDEX ETF FBT — Int/Div — Buy

FIRST TRUST NYSE ARCA BIOTECHNOLOGY INDEX ETF FBT — Sold (part)

FLEXSHARES TRUST QLTY DIV INDEX FUND QDF — Int/Div — Buy (add'l)

FLEXSHARES TRUST QLTY DIV INDEX FUND QDF — Sold (part)

GLOBAL X FTSE NORDIC REGION ETF GXF — None — Buy

GLOBAL X FTSE NORDIC REGION ETF GXF — Sold (part)

GLOBAL X MLP & ENERGY INFRASTRUCTURE MLPX ETF — Int/Div — Buy

GLOBAL X MLP & ENERGY INFRASTRUCTURE MLPX ETF — Buy (add'l)

GLOBAL X MLP & ENERGY INFRASTRUCTURE MLPX ETF — Sold (part)

ISHARES MSCI SWITZERLAND INDEX FFT EWL — Int/Div — Sold (part)

ISHARES MSCI SPAIN ETF EWP — Int/Div — Buy

ISHARES MSCI SPAIN ETF EWP — Sold (part)

ISHARES MSCI AUSTRALIA ETG EWA — Int/Div — Buy

ISHARES MSCI AUSTRALIA ETG EWA — Buy (add'l)

ISHARES MSCI AUSTRALIA ETG EWA — Sold (part)

ISHARES MSC1 JAPAN ETF EW) — Int/Div — Sold (part)

ISHARES MSC1 JAPAN ETF EW) — Sold (part)

ISHARES ASIA SOETF AIA — Int/Div — Buy

ISHARES MICROCAP ETF IW( — Int/Div — Buy

ISHARES MICROCAP ETF IW( — Buy (add'l)

ISHARES MICROCAP ETF IW( — Sold (part)

ISHARES MICROCAP ETF IW( — Buy (add'l)

ISHARES CORE S&P SOO ETF IVV — Int/Div — Buy

ISHARES CORE S&P SOO ETF IVV — Buy (add'l)

ISHARES CORE S&P SOO ETF IVV — Sold (part)

ISHARES MSC1 EAFE INDEX ETF EFA — Int/Div — Sold (part)

ISHARES MSC1 EAFE INDEX ETF EFA — Sold (part)

ISHARES US HOME CONSTRUCTION ETFITB — Int/Div — Buy

ISHARES MSCI ALL COUNTRY ASIA EX JAPAN ETF AAX) — Int/Div — Sold (part)

ISHARES MSCI ALL COUNTRY ASIA EX JAPAN ETF AAX) — Buy (add'l)

ISHARES MSCI ALL COUNTRY ASIA EX JAPAN ETF AAX) — Sold (part)

ISHARES MSCI UNITED KINGDON INDEX ETF EWU — Int/Div — Sold (part)

ISHARES MSCI UNITED KINGDON INDEX ETF EWU — Buy (add'l)

SCHWAB US REITETF SCHH — Int/Div — Buy

SCHWAB US REITETF SCHH — Buy (add'l)

SCHWAB US REITETF SCHH — Sold (part)

SECTOR FINANCIAL SELECT SECTOR SPDR ETF XLF — Int/Div — Buy

SECTOR FINANCIAL SELECT SECTOR SPDR ETF XLF — Sold (part)

SECTOR ENERGY SELECT SECTOR SPDR ETF XLE — Int/Div — Buy

SECTOR CONSUMER DISCRETIONARY SFLECT SECTOR SPDR FTF XLY — Int/Div — Buy

VANGUARD FTSE DEVELOPED MKETS ETF VEA — Int/Div — Sold (part)

VANGUARD LARGE CAP ETF VV — Int/Div — Buy (add'l)

VANGUARD LARGE CAP ETF VV — Buy (add'l)

VANGUARD LARGE CAP ETF VV — Sold (part)

VANGUARD LARGE CAP ETF VV — Buy (add'l)

WISDOMTREE TRUST EURPOE HEDGED EQUITY FUND ETF HEDJ — Int/Div — Buy

WISDOMTREE TRUST EURPOE HEDGED EQUITY FUND ETF HEDJ — Distribution — Buy (add'l)

WISDOMTREE TRUST EURPOE HEDGED EQUITY FUND ETF HEDJ — Sold (part)

WISDOMTREE TRUST EURPOE HEDGED EQUITY FUND ETF HEDJ — Buy (add'l)

WISDOMTREE JAPAN HEDGED EQUITY ETF DX) — Int/Div — Buy (add'l)

WISDOMTREE JAPAN HEDGED EQUITY ETF DX) — Distribution — Sold (part)

WISDOMTREE JAPAN HEDGED EQUITY ETF DX) — Buy (add'l)

WISDOMTREE LARGE CAP DIVIDEND ETF DLN — Int/Div — Buy

WISDOMTREE JAPAN SMALL CAP DIVIDEND ETF DF) — Int/Div — Sold (part)

WISDOMTREE JAPAN SMALL CAP DIVIDEND ETF DF) — Sold (part)

BARCLAYS BANK PLC ETN+ SELECT MLP ETNS ATMP — Interest — Buy

BARCLAYS BANK PLC ETN+ SELECT MLP ETNS ATMP — Sold (part)

ALPS RIVERFRONT STRATEGIC INCOME FUND RIGS — Int/Div — Buy (add'l)

ALPS RIVERFRONT STRATEGIC INCOME FUND RIGS — Buy (add'l)

ALPS RIVERFRONT STRATEGIC INCOME FUND RIGS — Sold (part)

All Interests Fully Divested in Yr for Brokerage Account #8

CLAYMORE WILSHIRE MICRO CAP ETF WMCR — Int/Div — Sold (part)

CLAYMORE WILSHIRE MICRO CAP ETF WMCR — Sold (part)

CLAYMORE WILSHIRE MICRO CAP ETF WMCR — Sold

FIRST TRUST DOW JONES SELECT MICRO CAP INDEX ETF FDM — Int/Div — Sold

FIRST TRUST NASDAQ TECHNOLGY DIVIDEND INTEX ETF — Int/Div — Buy

FIRST TRUST NASDAQ TECHNOLGY DIVIDEND INTEX ETF — Sold (part)

FIRST TRUST NASDAQ TECHNOLGY DIVIDEND INTEX ETF — Sold

GLOBAL X NORWAY ETF — None — Buy

GLOBAL X NORWAY ETF — Buy (add'l)

GLOBAL X NORWAY ETF — Sold (part)

GLOBAL X NORWAY ETF — Buy (add'l)

GLOBAL X NORWAY ETF — Sold

ISHARES MSCI GERMANY INDEX ETF EWG — None — Sold

ISHARES MSCI SOUTH KOREA CAPPED ETF EWY — None — Sold

ISHARES MSC1 EAFE VALUE ETF EFV — None — Sold

ISHARES MSC1 ACWI EX US INDEX FD ACWX — None — Sold

ISHARES TR MSCI EMERGING MKTS ETF EEM — None — Sold

ISHARES CORE MSCI EMERGING MARKETS ETF IEMG — Int/Div — Buy

1443, — Buy (add'l)

1443, — Sold (part)

1443, — Sold

ISHARES CORE S&P SMALL CAP ETF UR — Int/Div — Sold (part)

ISHARES CORE S&P SMALL CAP ETF UR — Buy (add'l)

ISHARES CORE S&P SMALL CAP ETF UR — Sold

ISHARES MSC EMU ETF EZL — Int/Div — Sold (part)

ISHARES MSC EMU ETF EZL — Sold

ISHARES MSC1 CANADA INDEX ETF EWC — None — Sold

ISHARES MSCI1 POLAND CAPPED ETF — Int/Div — Buy

ISHARES MSCI1 POLAND CAPPED ETF — Sold (part)

ISHARES MSCI1 POLAND CAPPED ETF — Sold

ISHARES 1-3 YR CREDIT BOND EN CS) — Int/Div — Sold

ISHARES IBOXX $ HIGH YIELD CORP BOND ETF — Int/Div — Buy

ISHARES IBOXX $ HIGH YIELD CORP BOND ETF — Sold

ISHARES NORTH AMERICAN MULTIMEDIA NETWORKING ETF — Int/Div — Buy

ISHARES NORTH AMERICAN MULTIMEDIA NETWORKING ETF — Sold (part)

ISHARES NORTH AMERICAN MULTIMEDIA NETWORKING ETF — Sold

ISHARES TRANSPORTATION AVERAGE ETF — Int/Div — Buy

ISHARES TRANSPORTATION AVERAGE ETF — Sold (part)

ISHARES TRANSPORTATION AVERAGE ETF — Sold

ISHARES US CONSUMER GOODS EFT — Int/Div — Buy

ISHARES US CONSUMER GOODS EFT — Sold (part)

ISHARES US CONSUMER GOODS EFT — Sold

MARKET VECTORS OIL SERVICES ETF ou — None — Sold

POWERSHARES DYNAMIC BUYBACK ACHIEVERS ETF PKW — None — Sold

POWERSHARES DYNAMIC BUYBACK ACHIEVERS ETF PKW — Sold

POWERSHARES S&P 500 HIGH BETA ETF SPHB — Int/Div — Sold (part)

POWERSHARES S&P 500 HIGH BETA ETF SPHB — Sold (part)

POWERSHARES S&P 500 HIGH BETA ETF SPHB — Sold

POWERSHARES DYNAMIC FOOD & BEVERAGE — Int/Div — Buy

POWERSHARES DYNAMIC FOOD & BEVERAGE — Buy (add'l)

POWERSHARES DYNAMIC FOOD & BEVERAGE — Sold (part)

POWERSHARES DYNAMIC FOOD & BEVERAGE — Sold

RYDEX GUGGENHEIM S&p 500 EQUAL WEIGHT ENERGY ETF — Int/Div — Buy

RYDEX GUGGENHEIM S&p 500 EQUAL WEIGHT ENERGY ETF — Sold (part)

RYDEX GUGGENHEIM S&p 500 EQUAL WEIGHT ENERGY ETF — Sold

SPDR BARCLAYS CAPITAL HIGH YIELD BOND ETF — Int/Div — Buy

SPDR BARCLAYS CAPITAL HIGH YIELD BOND ETF — Sold

VANGUARD FISE ELROPE ETF VGK — Int/Div — Sold (part)

VANGUARD FISE ELROPE ETF VGK — Sold (part)

VANGUARD FISE ELROPE ETF VGK — Sold

VANGUARD INFORMATION TECHNOLOGY — None — Buy

VANGUARD INFORMATION TECHNOLOGY — Sold (part)

VANGUARD INFORMATION TECHNOLOGY — Sold

VANGUARD SHORT TERM CORP BOND ETF VCSH — Int/Div — Sold

WISDOMTREE EUROPE SMALL CAP DIVIDEND ETF — Int/Div — Buy

WISDOMTREE EUROPE SMALL CAP DIVIDEND ETF — Sold (part)

WISDOMTREE EUROPE SMALL CAP DIVIDEND ETF — Sold

Brokerage Account #9 IRA Rollover

CASH/MONEY MARKET -- RW Baird General MMKT Class A — Int/Div

CAPITAL WORLD GWTH & INCOME FD CWGFX — Int/Div — Buy (add'l)

CAPITAL WORLD GWTH & INCOME FD CWGFX — Buy (add'l)

DAVIS NEW YORK VENTURE DNVYX — Int/Div — Sold (part)

DAVIS NEW YORK VENTURE DNVYX — istnbution — Buy (add'l)

DAVIS NEW YORK VENTURE DNVYX — Sold (part)

DAVIS NEW YORK VENTURE DNVYX — Buy (add'l)

GATEWAY GATEX — Int/Div — Buy (add'l)

GATEWAY GATEX — Buy (add'l)

GROWTH FUND AMER GFAFX — Int/Div — Sold (part)

GROWTH FUND AMER GFAFX — istnibution — Sold (part)

GROWTH FUND AMER GFAFX — Sold (part)

GROWTH FUND AMER GFAFX — Buy (add'l)

GUGGENHEIM MID CAP VALLE A SEVAX — Int/Div — Buy (add'l)

ma. — istrnibution

HARRIS ASSOC INVT OAKMARK INTL FD OAKIX — Int/Div — Buy (add'l)

219. — Distribution

IVY FDS INC ASSET STRATEGY FD WASYX — Int/Div — Buy (add'l)

21 — istnbution

KEELEY FUNDS SMALL CAP VALUE KSCIX — Int/Div — Buy (add'l)

KEELEY FUNDS SMALL CAP VALUE KSCIX — Distribution — Buy (add'l)

KEELEY FUNDS SMALL CAP VALUE KSCIX — Buy (add'l)

STRATTON SMALL CAP VALUE STSCX — istnbution — Buy (add'l)

226. — Int/Div

CALAMOS CONVERTIBLE FUND CICVX — Int/Div — Buy (add'l)

CALAMOS CONVERTIBLE FUND CICVX — Distribution — Buy (add'l)

CALAMOS CONVERTIBLE FUND CICVX — Buy (add'l)

ADVISORY RESEARCH MLP & ENERGY INCOME INFIX (Name Change) — Int/Div — Buy (add'l) — Addition Information

ADVISORY RESEARCH MLP & ENERGY INCOME INFIX (Name Change) — Buy (add'l)

ADVISORY RESEARCH MLP & ENERGY INCOME INFIX (Name Change) — put)

ADVISORY RESEARCH MLP & ENERGY INCOME INFIX (Name Change) — Buy (add'l)

PERMANENT PORTFOLIO FD PRPFX — Int/Div — Sold (part)

PERMANENT PORTFOLIO FD PRPFX — Distribution — Buy (add'l)

PRINCIPAL GLOBAL DIVERSIFIED INCM PGDPX — Int/Div — Buy

PRINCIPAL GLOBAL DIVERSIFIED INCM PGDPX — Distribution — Buy (add'l)

PRINCIPAL GLOBAL DIVERSIFIED INCM PGDPX — Buy (add'l)

LOOMIS SAYLES BOND INSTL LSBDX — Int/Div — Buy (add'l)

LOOMIS SAYLES BOND INSTL LSBDX — Distribution — Buy (add'l)

LOOMIS SAYLES BOND INSTL LSBDX — Buy (add'l)

TEMPLETON GLOBAL BOND ADVISOR TGBAX — Int/Div — Buy

TEMPLETON GLOBAL BOND ADVISOR TGBAX — Buy (add'l)

VANGUARD INTER TERM BOND FUND VBIIX — Int/Div — Buy (add'l)

VANGUARD INTER TERM BOND FUND VBIIX — Distribution — Buy (add'l)

VANGUARD INTER TERM BOND FUND VBIIX — Buy (add'l)

VANGUARD INTER TERM BOND FUND VBIIX — a

VANGUARD INTER TERM BOND FUND VBIIX — Buy (add'l)

Trust #1

CALIFORNIA BANK & TRUST DEPOSIT ACCOUNTS — Interest

BANK OF AMERICA. NA — Interest

US GOVERNMENT BONDS — Interest

scsnssissnse ENDescscssnsns

Trustee —- Trust #1], Trust #1, Family Member

Reimbursement — Cahfornia Association of Collectors — 10/23/2014 10242014 — San Diego, CA — Annual Converntion (Speaker) — Travel and Lodging

Income — 2014 — McGeorge School of Law, University of the Pacific — $2,250.00

Spouse's income — 2014 — State of California, Califorma Department of Public Health --- Salary

Part VII, Line 219: Name change of Famco MLP + Energy Income (INFIX) to Advisory Research MLP & Energy Research (INFIX)