Shiva V. Hodges

2020

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What was filed

785
investments
10
positions
0
gifts
0
agreements
0
debts
0
reimbursements
0
income
0
spouse income

Named parties

Federal Magistrate Judges Association
Leadership South Carolina

As filed

401K #1 (H)

FS Aggressive Track Ages 8-9 — Int./Div. — Buy

IRA #1 (H)

American Beacon SIM High Yield Opptys CL Y — Dividend — Sold

Artisan Intl Value Advisor CL — None — Sold

ASG Managed Futures Strategy CL Y — None — Sold (part)

ASG Managed Futures Strategy CL Y — Sold

ASG Dynamic Alloc CL Y — Dividend — Sold

ASG Tactical US Market CL Y — Dividend — Sold (part)

ASG Tactical US Market CL Y — Sold

Bond Fund of America CL F2 — Dividend — Buy (add'l)

Bond Fund of America CL F2 — Sold (part)

Capital Income Builder CL F2 — Dividend — Buy (add'l)

Clearbridge Small Cap CL I — Dividend — Sold

Clearbridge Large Cap Growth CL I — None — Sold

Delaware Diversified Income Instl CL — Dividend — Sold

Goldman Sachs Small Cap Growth Insights Investor

Growth Fund of America CL F2 — Dividend

Growth Fund of America CL F2 — Buy (add'l)

Harbor Capo Apprec Instl CL — None — Sold

Harding Loevner Emerging Markets Advisor CL — None — Sold

Intermediate Bond Fund of America CL F2 — Dividend — Sold (part)

Investment Company of America CL F2 — Dividend

Ishares IBOXX $ High Yield Corp BOND ETF — Dividend — Sold (part)

Ishares US Real Estate ETF IYR — None — Sold

Janus Henderson Enterprise CL T — None — Sold

John Hancock Disciplined Value CL I — None — Sold

John Hancock Disciplined Val Mid Cap CL I — None — Sold

Loomis Sayles Growth CL Y — None — Sold

Metropolitan West Total Return Bond CL I — Dividend — Sold

MFS Value CL I — Dividend — Sold

New World CL F2 — Dividend — Buy (add'l)

Nuveen Small Cap Value CL I — None — Sold

Oakmark Intl Investor CL — None — Sold

Payden Low Duration Investor CL — Dividend — Sold

Royce Total Return Investment CL RYTRX — Dividend — Buy

Royce Total Return Investment CL RYTRX — Sold

Sector Consumer Staples Select Sector SPDR ETF — Dividend — Sold

Sector Technology Select Sector SPDR — Dividend — Sold

Select Utilities Select Sector SPDR ETF — Dividend — Sold

Smallcap World CL F2 — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Sold (part)

SPDR S&P 500 ETF — Sold

T Rowe Price Emerging Markets Bond Investor CL — Dividend — Sold

Vanguard Total Bond Market ETF BND — Dividend — Buy

Vanguard Total Bond Market ETF BND — Sold

Vaughan Nelson Value Oppty CL Y — Dividend — Sold

Washington Mutual Investors CL F2 — Dividend — Buy (add'l)

Washington Mutual Investors CL F2 — Buy (add'l)

WCM Focused Amerging Markets Instl CL WCMEX — None — Buy

WCM Focused Amerging Markets Instl CL WCMEX — Sold

WCM Focused Global Growth Instl CL WCMGX — None — Buy

WCM Focused Global Growth Instl CL WCMGX — Sold

Ishares MSCI Min Volatility ETF USMV — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Sold

Ishares US Treasury Bond ETF GOVT — Dividend — Buy

Ishares US Treasury Bond ETF GOVT — Sold (part)

Ishares ESG MSCI USA ETF ESGU — Dividend — Buy

Ishares MSCI USA Value Factor ETF Vlue — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Sold (part)

Ishares Core S&P 500 ETF IVV — Dividend — Buy

Ishares Core S&P 500 ETF IVV — Buy (add'l)

Ishares 20+ YR Treasury Bond ETF TLT — Dividend — Buy

Ishares IBOXX $Investment Grade Corp Bond ETF LQD — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Sold (part)

Ishares US Medical Devices ETF IHI — Dividend — Buy

Ishares 1-5 year investment grade Corp Bond ETF IGSB — Dividend — Buy

Ishares US Financial Services ETF IYG — Dividend — Buy

Ishares US Financial Services ETF IYG — Sold

Ishares Global Tech ETF IXN — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Sold (part)

Ishares ESG MSCI EM ETF ESGE — Dividend — Buy

Investment Company of America CL F2 — Dividend — Buy

Investment Company of America CL F2 — Sold (part)

America Emerging Markets Bond CL F2 EBNFX — Dividend — Buy

American Corp Bond CL F2 BFCGX — Dividend — Buy

Ishares ESG Aware MSCI USA ETF ESGU — Dividend — Buy

Ishares MBS ETF MBB — Dividend — Buy

Ishares ESG Aware MSCI EM ETF ESGE — Dividend — Buy

401K #2 (H)

Invesco Moderate Allocation — Dividend — Sold

Invesco Select Risk Mod Invstr Fund R — Dividend — Buy

Invesco Select Risk Mod Invstr Fund R — Buy (add'l)

Future Scholar 529 #1 (H)

FS AGGR Track 14-15 C — Int./Div.

Future Scholar 529 #2 (H)

FS Aggressive Track Ages 14-15 — Int./Div. — Buy

Future Scholar 529 #3 (H)

FS AGGR Track12-13 C — Int./Div. — Buy

FS AGGR Track12-13 C — Buy (add'l)

Future Scholar 429 #4 (H)

FS Aggressive Track Ages 12-13 — Int./Div. — Buy

FS Aggressive Track Ages 12-13 — Buy (add'l)

Future Scholar 529 #5 (H)

FS Aggressive Track Ages 8-9 — Int./Div. — Buy

IRA #1 (H)

Allianzgi Performancefee Structure US Equity CL P — None

AllianzGI Stuctured Return CL P — None

Catalyst MLP & Infrastructure CL I — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbet Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #2 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Blackrock Event Driven Equity Instl CL (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #3 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

401K #3 (H)

JH Multi-Index LS Growth — None

American Beacon SIM High Yield Opptys CL Y — Dividend — Sold

Artisan Intl Value Advisor CL — None — Sold

ASG Managed Futures Strategy CL Y — None — Sold (part)

ASG Managed Futures Strategy CL Y — Sold

ASG Dynamic Alloc CL Y — Dividend — Sold

ASG Tactical US Market CL Y — Dividend — Sold (part)

ASG Tactical US Market CL Y — Sold

Bond Fund of America CL F2 — Dividend — Buy (add'l)

Bond Fund of America CL F2 — Sold (part)

Capital Income Builder CL F2 — Dividend — Buy (add'l)

Clearbridge Small Cap CL I — Dividend — Sold

Clearbridge Large Cap Growth CL I — None — Sold

Delaware Diversified Income Instl CL — Dividend — Sold

Goldman Sachs Small Cap Growth Insights Investor

Growth Fund of America CL F2 — Dividend

Growth Fund of America CL F2 — Buy (add'l)

Harbor Capo Apprec Instl CL — None — Sold

Harding Loevner Emerging Markets Advisor CL — None — Sold

Intermediate Bond Fund of America CL F2 — Dividend — Sold (part)

Investment Company of America CL F2 — Dividend

Ishares IBOXX $ High Yield Corp BOND ETF — Dividend — Sold (part)

Ishares US Real Estate ETF IYR — None — Sold

Janus Henderson Enterprise CL T — None — Sold

John Hancock Disciplined Value CL I — None — Sold

John Hancock Disciplined Val Mid Cap CL I — None — Sold

Loomis Sayles Growth CL Y — None — Sold

Metropolitan West Total Return Bond CL I — Dividend — Sold

MFS Value CL I — Dividend — Sold

New World CL F2 — Dividend — Buy (add'l)

Nuveen Small Cap Value CL I — None — Sold

Oakmark Intl Investor CL — None — Sold

Payden Low Duration Investor CL — Dividend — Sold

Royce Total Return Investment CL RYTRX — Dividend — Buy

Royce Total Return Investment CL RYTRX — Sold

Sector Consumer Staples Select Sector SPDR ETF — Dividend — Sold

Sector Technology Select Sector SPDR — Dividend — Sold

Select Utilities Select Sector SPDR ETF — Dividend — Sold

Smallcap World CL F2 — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Sold (part)

SPDR S&P 500 ETF — Sold

T Rowe Price Emerging Markets Bond Investor CL — Dividend — Sold

Vanguard Total Bond Market ETF BND — Dividend — Buy

Vanguard Total Bond Market ETF BND — Sold

Vaughan Nelson Value Oppty CL Y — Dividend — Sold

Washington Mutual Investors CL F2 — Dividend — Buy (add'l)

Washington Mutual Investors CL F2 — Buy (add'l)

WCM Focused Amerging Markets Instl CL WCMEX — None — Buy

WCM Focused Amerging Markets Instl CL WCMEX — Sold

WCM Focused Global Growth Instl CL WCMGX — None — Buy

WCM Focused Global Growth Instl CL WCMGX — Sold

Ishares MSCI Min Volatility ETF USMV — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Sold

Ishares US Treasury Bond ETF GOVT — Dividend — Buy

Ishares US Treasury Bond ETF GOVT — Sold (part)

Ishares ESG MSCI USA ETF ESGU — Dividend — Buy

Ishares MSCI USA Value Factor ETF Vlue — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Sold (part)

Ishares Core S&P 500 ETF IVV — Dividend — Buy

Ishares Core S&P 500 ETF IVV — Buy (add'l)

Ishares 20+ YR Treasury Bond ETF TLT — Dividend — Buy

Ishares IBOXX $Investment Grade Corp Bond ETF LQD — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Sold (part)

Ishares US Medical Devices ETF IHI — Dividend — Buy

Ishares 1-5 year investment grade Corp Bond ETF IGSB — Dividend — Buy

Ishares US Financial Services ETF IYG — Dividend — Buy

Ishares US Financial Services ETF IYG — Sold

Ishares Global Tech ETF IXN — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Sold (part)

Ishares ESG MSCI EM ETF ESGE — Dividend — Buy

Investment Company of America CL F2 — Dividend — Buy

Investment Company of America CL F2 — Sold (part)

America Emerging Markets Bond CL F2 EBNFX — Dividend — Buy

American Corp Bond CL F2 BFCGX — Dividend — Buy

Ishares ESG Aware MSCI USA ETF ESGU — Dividend — Buy

Ishares MBS ETF MBB — Dividend — Buy

Ishares ESG Aware MSCI EM ETF ESGE — Dividend — Buy

401K #2 (H)

Invesco Moderate Allocation — Dividend — Sold

Invesco Select Risk Mod Invstr Fund R — Dividend — Buy

Invesco Select Risk Mod Invstr Fund R — Buy (add'l)

Future Scholar 529 #1 (H)

FS AGGR Track 14-15 C — Int./Div.

Future Scholar 529 #2 (H)

FS Aggressive Track Ages 14-15 — Int./Div. — Buy

Future Scholar 529 #3 (H)

FS AGGR Track12-13 C — Int./Div. — Buy

FS AGGR Track12-13 C — Buy (add'l)

Future Scholar 429 #4 (H)

FS Aggressive Track Ages 12-13 — Int./Div. — Buy

FS Aggressive Track Ages 12-13 — Buy (add'l)

Future Scholar 529 #5 (H)

FS Aggressive Track Ages 8-9 — Int./Div. — Buy

IRA #1 (H)

Allianzgi Performancefee Structure US Equity CL P — None

AllianzGI Stuctured Return CL P — None

Catalyst MLP & Infrastructure CL I — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbet Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #2 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Blackrock Event Driven Equity Instl CL (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #3 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

401K #3 (H)

JH Multi-Index LS Growth — None

American Beacon SIM High Yield Opptys CL Y — Dividend — Sold

Artisan Intl Value Advisor CL — None — Sold

ASG Managed Futures Strategy CL Y — None — Sold (part)

ASG Managed Futures Strategy CL Y — Sold

ASG Dynamic Alloc CL Y — Dividend — Sold

ASG Tactical US Market CL Y — Dividend — Sold (part)

ASG Tactical US Market CL Y — Sold

Bond Fund of America CL F2 — Dividend — Buy (add'l)

Bond Fund of America CL F2 — Sold (part)

Capital Income Builder CL F2 — Dividend — Buy (add'l)

Clearbridge Small Cap CL I — Dividend — Sold

Clearbridge Large Cap Growth CL I — None — Sold

Delaware Diversified Income Instl CL — Dividend — Sold

Goldman Sachs Small Cap Growth Insights Investor

Growth Fund of America CL F2 — Dividend

Growth Fund of America CL F2 — Buy (add'l)

Harbor Capo Apprec Instl CL — None — Sold

Harding Loevner Emerging Markets Advisor CL — None — Sold

Intermediate Bond Fund of America CL F2 — Dividend — Sold (part)

Investment Company of America CL F2 — Dividend

Ishares IBOXX $ High Yield Corp BOND ETF — Dividend — Sold (part)

Ishares US Real Estate ETF IYR — None — Sold

Janus Henderson Enterprise CL T — None — Sold

John Hancock Disciplined Value CL I — None — Sold

John Hancock Disciplined Val Mid Cap CL I — None — Sold

Loomis Sayles Growth CL Y — None — Sold

Metropolitan West Total Return Bond CL I — Dividend — Sold

MFS Value CL I — Dividend — Sold

New World CL F2 — Dividend — Buy (add'l)

Nuveen Small Cap Value CL I — None — Sold

Oakmark Intl Investor CL — None — Sold

Payden Low Duration Investor CL — Dividend — Sold

Royce Total Return Investment CL RYTRX — Dividend — Buy

Royce Total Return Investment CL RYTRX — Sold

Sector Consumer Staples Select Sector SPDR ETF — Dividend — Sold

Sector Technology Select Sector SPDR — Dividend — Sold

Select Utilities Select Sector SPDR ETF — Dividend — Sold

Smallcap World CL F2 — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Sold (part)

SPDR S&P 500 ETF — Sold

T Rowe Price Emerging Markets Bond Investor CL — Dividend — Sold

Vanguard Total Bond Market ETF BND — Dividend — Buy

Vanguard Total Bond Market ETF BND — Sold

Vaughan Nelson Value Oppty CL Y — Dividend — Sold

Washington Mutual Investors CL F2 — Dividend — Buy (add'l)

Washington Mutual Investors CL F2 — Buy (add'l)

WCM Focused Amerging Markets Instl CL WCMEX — None — Buy

WCM Focused Amerging Markets Instl CL WCMEX — Sold

WCM Focused Global Growth Instl CL WCMGX — None — Buy

WCM Focused Global Growth Instl CL WCMGX — Sold

Ishares MSCI Min Volatility ETF USMV — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Sold

Ishares US Treasury Bond ETF GOVT — Dividend — Buy

Ishares US Treasury Bond ETF GOVT — Sold (part)

Ishares ESG MSCI USA ETF ESGU — Dividend — Buy

Ishares MSCI USA Value Factor ETF Vlue — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Sold (part)

Ishares Core S&P 500 ETF IVV — Dividend — Buy

Ishares Core S&P 500 ETF IVV — Buy (add'l)

Ishares 20+ YR Treasury Bond ETF TLT — Dividend — Buy

Ishares IBOXX $Investment Grade Corp Bond ETF LQD — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Sold (part)

Ishares US Medical Devices ETF IHI — Dividend — Buy

Ishares 1-5 year investment grade Corp Bond ETF IGSB — Dividend — Buy

Ishares US Financial Services ETF IYG — Dividend — Buy

Ishares US Financial Services ETF IYG — Sold

Ishares Global Tech ETF IXN — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Sold (part)

Ishares ESG MSCI EM ETF ESGE — Dividend — Buy

Investment Company of America CL F2 — Dividend — Buy

Investment Company of America CL F2 — Sold (part)

America Emerging Markets Bond CL F2 EBNFX — Dividend — Buy

American Corp Bond CL F2 BFCGX — Dividend — Buy

Ishares ESG Aware MSCI USA ETF ESGU — Dividend — Buy

Ishares MBS ETF MBB — Dividend — Buy

Ishares ESG Aware MSCI EM ETF ESGE — Dividend — Buy

401K #2 (H)

Invesco Moderate Allocation — Dividend — Sold

Invesco Select Risk Mod Invstr Fund R — Dividend — Buy

Invesco Select Risk Mod Invstr Fund R — Buy (add'l)

Future Scholar 529 #1 (H)

FS AGGR Track 14-15 C — Int./Div.

Future Scholar 529 #2 (H)

FS Aggressive Track Ages 14-15 — Int./Div. — Buy

Future Scholar 529 #3 (H)

FS AGGR Track12-13 C — Int./Div. — Buy

FS AGGR Track12-13 C — Buy (add'l)

Future Scholar 429 #4 (H)

FS Aggressive Track Ages 12-13 — Int./Div. — Buy

FS Aggressive Track Ages 12-13 — Buy (add'l)

Future Scholar 529 #5 (H)

FS Aggressive Track Ages 8-9 — Int./Div. — Buy

IRA #1 (H)

Allianzgi Performancefee Structure US Equity CL P — None

AllianzGI Stuctured Return CL P — None

Catalyst MLP & Infrastructure CL I — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbet Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #2 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Blackrock Event Driven Equity Instl CL (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #3 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

401K #3 (H)

JH Multi-Index LS Growth — None

401K #1 (H)

American Beacon SIM High Yield Opptys CL Y — Dividend — Sold

Artisan Intl Value Advisor CL — None — Sold

ASG Managed Futures Strategy CL Y — None — Sold (part)

ASG Managed Futures Strategy CL Y — Sold

American Beacon SIM High Yield Opptys CL Y — Dividend — Sold

Artisan Intl Value Advisor CL — None — Sold

ASG Managed Futures Strategy CL Y — None — Sold (part)

ASG Managed Futures Strategy CL Y — Sold

ASG Dynamic Alloc CL Y — Dividend — Sold

ASG Tactical US Market CL Y — Dividend — Sold (part)

ASG Tactical US Market CL Y — Sold

Bond Fund of America CL F2 — Dividend — Buy (add'l)

Bond Fund of America CL F2 — Sold (part)

Capital Income Builder CL F2 — Dividend — Buy (add'l)

Clearbridge Small Cap CL I — Dividend — Sold

Clearbridge Large Cap Growth CL I — None — Sold

Delaware Diversified Income Instl CL — Dividend — Sold

Goldman Sachs Small Cap Growth Insights Investor

Growth Fund of America CL F2 — Dividend

Growth Fund of America CL F2 — Buy (add'l)

Harbor Capo Apprec Instl CL — None — Sold

Harding Loevner Emerging Markets Advisor CL — None — Sold

Intermediate Bond Fund of America CL F2 — Dividend — Sold (part)

Investment Company of America CL F2 — Dividend

Ishares IBOXX $ High Yield Corp BOND ETF — Dividend — Sold (part)

Ishares US Real Estate ETF IYR — None — Sold

Janus Henderson Enterprise CL T — None — Sold

John Hancock Disciplined Value CL I — None — Sold

John Hancock Disciplined Val Mid Cap CL I — None — Sold

Loomis Sayles Growth CL Y — None — Sold

Metropolitan West Total Return Bond CL I — Dividend — Sold

MFS Value CL I — Dividend — Sold

New World CL F2 — Dividend — Buy (add'l)

Nuveen Small Cap Value CL I — None — Sold

Oakmark Intl Investor CL — None — Sold

Payden Low Duration Investor CL — Dividend — Sold

Royce Total Return Investment CL RYTRX — Dividend — Buy

Royce Total Return Investment CL RYTRX — Sold

Sector Consumer Staples Select Sector SPDR ETF — Dividend — Sold

Sector Technology Select Sector SPDR — Dividend — Sold

Select Utilities Select Sector SPDR ETF — Dividend — Sold

Smallcap World CL F2 — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Sold (part)

SPDR S&P 500 ETF — Sold

T Rowe Price Emerging Markets Bond Investor CL — Dividend — Sold

Vanguard Total Bond Market ETF BND — Dividend — Buy

Vanguard Total Bond Market ETF BND — Sold

Vaughan Nelson Value Oppty CL Y — Dividend — Sold

Washington Mutual Investors CL F2 — Dividend — Buy (add'l)

Washington Mutual Investors CL F2 — Buy (add'l)

WCM Focused Amerging Markets Instl CL WCMEX — None — Buy

WCM Focused Amerging Markets Instl CL WCMEX — Sold

WCM Focused Global Growth Instl CL WCMGX — None — Buy

WCM Focused Global Growth Instl CL WCMGX — Sold

Ishares MSCI Min Volatility ETF USMV — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Sold

Ishares US Treasury Bond ETF GOVT — Dividend — Buy

Ishares US Treasury Bond ETF GOVT — Sold (part)

Ishares ESG MSCI USA ETF ESGU — Dividend — Buy

Ishares MSCI USA Value Factor ETF Vlue — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Sold (part)

Ishares Core S&P 500 ETF IVV — Dividend — Buy

Ishares Core S&P 500 ETF IVV — Buy (add'l)

Ishares 20+ YR Treasury Bond ETF TLT — Dividend — Buy

Ishares IBOXX $Investment Grade Corp Bond ETF LQD — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Sold (part)

Ishares US Medical Devices ETF IHI — Dividend — Buy

Ishares 1-5 year investment grade Corp Bond ETF IGSB — Dividend — Buy

Ishares US Financial Services ETF IYG — Dividend — Buy

Ishares US Financial Services ETF IYG — Sold

Ishares Global Tech ETF IXN — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Sold (part)

Ishares ESG MSCI EM ETF ESGE — Dividend — Buy

Investment Company of America CL F2 — Dividend — Buy

Investment Company of America CL F2 — Sold (part)

America Emerging Markets Bond CL F2 EBNFX — Dividend — Buy

American Corp Bond CL F2 BFCGX — Dividend — Buy

Ishares ESG Aware MSCI USA ETF ESGU — Dividend — Buy

Ishares MBS ETF MBB — Dividend — Buy

Ishares ESG Aware MSCI EM ETF ESGE — Dividend — Buy

401K #2 (H)

Invesco Moderate Allocation — Dividend — Sold

Invesco Select Risk Mod Invstr Fund R — Dividend — Buy

Invesco Select Risk Mod Invstr Fund R — Buy (add'l)

Future Scholar 529 #1 (H)

FS AGGR Track 14-15 C — Int./Div.

Future Scholar 529 #2 (H)

FS Aggressive Track Ages 14-15 — Int./Div. — Buy

Future Scholar 529 #3 (H)

FS AGGR Track12-13 C — Int./Div. — Buy

FS AGGR Track12-13 C — Buy (add'l)

Future Scholar 429 #4 (H)

FS Aggressive Track Ages 12-13 — Int./Div. — Buy

FS Aggressive Track Ages 12-13 — Buy (add'l)

Future Scholar 529 #5 (H)

Allianzgi Performancefee Structure US Equity CL P — None

AllianzGI Stuctured Return CL P — None

Catalyst MLP & Infrastructure CL I — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbet Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #2 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Blackrock Event Driven Equity Instl CL (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #3 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

401K #3 (H)

JH Multi-Index LS Growth — None

ASG Dynamic Alloc CL Y — Dividend — Sold

ASG Tactical US Market CL Y — Dividend — Sold (part)

ASG Tactical US Market CL Y — Sold

Bond Fund of America CL F2 — Dividend — Buy (add'l)

Bond Fund of America CL F2 — Sold (part)

Capital Income Builder CL F2 — Dividend — Buy (add'l)

Clearbridge Small Cap CL I — Dividend — Sold

Clearbridge Large Cap Growth CL I — None — Sold

Delaware Diversified Income Instl CL — Dividend — Sold

Goldman Sachs Small Cap Growth Insights Investor

Growth Fund of America CL F2 — Dividend

Growth Fund of America CL F2 — Buy (add'l)

Harbor Capo Apprec Instl CL — None — Sold

Harding Loevner Emerging Markets Advisor CL — None — Sold

Intermediate Bond Fund of America CL F2 — Dividend — Sold (part)

Investment Company of America CL F2 — Dividend

Ishares IBOXX $ High Yield Corp BOND ETF — Dividend — Sold (part)

Ishares US Real Estate ETF IYR — None — Sold

Janus Henderson Enterprise CL T — None — Sold

John Hancock Disciplined Value CL I — None — Sold

John Hancock Disciplined Val Mid Cap CL I — None — Sold

Loomis Sayles Growth CL Y — None — Sold

Metropolitan West Total Return Bond CL I — Dividend — Sold

MFS Value CL I — Dividend — Sold

New World CL F2 — Dividend — Buy (add'l)

Nuveen Small Cap Value CL I — None — Sold

Oakmark Intl Investor CL — None — Sold

Payden Low Duration Investor CL — Dividend — Sold

Royce Total Return Investment CL RYTRX — Dividend — Buy

Royce Total Return Investment CL RYTRX — Sold

Sector Consumer Staples Select Sector SPDR ETF — Dividend — Sold

Sector Technology Select Sector SPDR — Dividend — Sold

Select Utilities Select Sector SPDR ETF — Dividend — Sold

Smallcap World CL F2 — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Dividend — Buy (add'l)

SPDR S&P 500 ETF — Sold (part)

SPDR S&P 500 ETF — Sold

T Rowe Price Emerging Markets Bond Investor CL — Dividend — Sold

Vanguard Total Bond Market ETF BND — Dividend — Buy

Vanguard Total Bond Market ETF BND — Sold

Vaughan Nelson Value Oppty CL Y — Dividend — Sold

Washington Mutual Investors CL F2 — Dividend — Buy (add'l)

Washington Mutual Investors CL F2 — Buy (add'l)

WCM Focused Amerging Markets Instl CL WCMEX — None — Buy

WCM Focused Amerging Markets Instl CL WCMEX — Sold

WCM Focused Global Growth Instl CL WCMGX — None — Buy

WCM Focused Global Growth Instl CL WCMGX — Sold

Ishares MSCI Min Volatility ETF USMV — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Dividend — Buy

Ishares US Trust Short Maturity Bond ETF NEAR — Sold

Ishares US Treasury Bond ETF GOVT — Dividend — Buy

Ishares US Treasury Bond ETF GOVT — Sold (part)

Ishares ESG MSCI USA ETF ESGU — Dividend — Buy

Ishares MSCI USA Value Factor ETF Vlue — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Dividend — Buy

Ishares Core MSCI EAFE ETF IEFA — Sold (part)

Ishares Core S&P 500 ETF IVV — Dividend — Buy

Ishares Core S&P 500 ETF IVV — Buy (add'l)

Ishares 20+ YR Treasury Bond ETF TLT — Dividend — Buy

Ishares IBOXX $Investment Grade Corp Bond ETF LQD — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Dividend — Buy

Ishares MSCI EAFE Growth ETF EFG — Sold (part)

Ishares US Medical Devices ETF IHI — Dividend — Buy

Ishares 1-5 year investment grade Corp Bond ETF IGSB — Dividend — Buy

Ishares US Financial Services ETF IYG — Dividend — Buy

Ishares US Financial Services ETF IYG — Sold

Ishares Global Tech ETF IXN — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Dividend — Buy

Ishares Core S&P Small Cap ETF IJR — Sold (part)

Ishares ESG MSCI EM ETF ESGE — Dividend — Buy

Investment Company of America CL F2 — Dividend — Buy

Investment Company of America CL F2 — Sold (part)

America Emerging Markets Bond CL F2 EBNFX — Dividend — Buy

American Corp Bond CL F2 BFCGX — Dividend — Buy

Ishares ESG Aware MSCI USA ETF ESGU — Dividend — Buy

Ishares MBS ETF MBB — Dividend — Buy

Ishares ESG Aware MSCI EM ETF ESGE — Dividend — Buy

401K #2 (H)

Invesco Moderate Allocation — Dividend — Sold

Invesco Select Risk Mod Invstr Fund R — Dividend — Buy

Invesco Select Risk Mod Invstr Fund R — Buy (add'l)

Future Scholar 529 #1 (H)

FS AGGR Track 14-15 C — Int./Div.

Future Scholar 529 #2 (H)

FS Aggressive Track Ages 14-15 — Int./Div. — Buy

Future Scholar 529 #3 (H)

FS AGGR Track12-13 C — Int./Div. — Buy

FS AGGR Track12-13 C — Buy (add'l)

Future Scholar 429 #4 (H)

FS Aggressive Track Ages 12-13 — Int./Div. — Buy

FS Aggressive Track Ages 12-13 — Buy (add'l)

Future Scholar 529 #5 (H)

FS Aggressive Track Ages 8-9 — Int./Div. — Buy

IRA #1 (H)

Allianzgi Performancefee Structure US Equity CL P — None

AllianzGI Stuctured Return CL P — None

Catalyst MLP & Infrastructure CL I — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbet Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #2 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Blackrock Event Driven Equity Instl CL (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

IRA #3 (H)

Allianzgi Performancefee Structure US Equity CL P (X) — None

AllianzGI Stuctured Return CL P (X) — None

Catalyst MLP & Infrastructure CL I (X) — Dividend

Calamos Market Neutral Income CL I — Dividend

Calamos Evolving World Growth CL I — Dividend

Calamos Phineus Long Short CL I (X) — None

Eaton Vance Emerging Markets Local Income CL I — Dividend

Fidelity Advisor Technology CL I — Dividend

Fidelity Advisor Small Cap Value CL I (X) — None

Fidelity Advisor Health Care CL I (X) — None

Fidelity Advisor Finl Services CL I — Dividend

Fidelity Long Term Treasury Bond Index (X) — Dividend

Goldman Sachs GQG Partners Intl OPPTYS Investor CL — Dividend

Invesco Global Focus CL Y — Dividend

Lord Abbett Developing Growth CL I — Dividend

Mainstay CBRE Global Infra CL I — Dividend

Putnam Diversified Income CL Y — Dividend

T Rowe Price Financial Services Investor CL (X) — None

401K #3 (H)

JH Multi-Index LS Growth — None

Secretary, Federal Magistrate Judges Association

Board Member, Leadership South Carolina

Secretary, Federal Magistrate Judges Association

Board Member, Leadership South Carolina

Secretary, Federal Magistrate Judges Association

Board Member, Leadership South Carolina

Secretary, Federal Magistrate Judges Association

Board Member, Leadership South Carolina

Secretary, Federal Magistrate Judges Association

Board Member, Leadership South Carolina

1) In Part, VII., all funds with an (X) have a sale that was less that reporting limits.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.