PATHSTONE FAMILY OFFICE, LLC

ENGLEWOOD, NJ · CIK 1511137 · 13F filing filed 2023-02-13

No investment adviser registration (Form ADV) found for this filer. It may be a parent company whose subsidiaries are the registered advisers, a bank or insurer, or a manager based outside the US.

$11.9bn reported value +7.1% vs Q3 2022

1,480positions

29.2%in top 10

161 new 844 added 405 reduced 130 sold out vs Q3 2022

Options: 10 call positions ($278.9k notional), 9 put positions ($92.4k notional) – listed below, not included above.

Also in the report of:

Dorsey & Whitney Trust CO LLC – $13.2m of shares are in both reports

Shares in two reports are counted once in each security's totals.

Holdings, Q4 2022

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	ISHARES TR CORE S&P500 ETF IVV	IVV	2,155,912	$822.4m6.94%	6.94%	Reduced -125.9k	-125,858 -5.5%
2	MICROSOFT CORP COM MSFT	MSFT	1,990,286	$419.0m3.53%	3.53%	Added +103.8k	+103,780 5.5%
3	COCA COLA CO COM KO	KO	5,864,230	$366.9m3.09%	3.09%	Added +194.2k	+194,156 3.4%
4	VANGUARD INDEX FDS LARGE CAP ETF VV	VV	2,024,204	$350.6m2.96%	2.96%	Added +8.7k	+8,740 0.4%
5	VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT VEA	VEA	7,944,732	$319.1m2.69%	2.69%	Added +394.8k	+394,814 5.2%
6	SPDR S&P 500 ETF TR TR UNIT SPY	SPY	975,382	$313.9m2.65%	2.65%	Added +65.5k	+65,526 7.2%
7	APPLE INC COM AAPL	AAPL	2,765,844	$241.7m2.04%	2.04%	Added +220.3k	+220,340 8.7%
8	UNITEDHEALTH GROUP INC COM UNH	UNH	110,484	$221.1m1.86%	1.86%	Added +26.8k	+26,784 32.0%
9	ISHARES TR CORE S&P SCP ETF IJR	IJR	2,155,236	$204.6m1.73%	1.73%	Added +41.6k	+41,572 2.0%
10	SPDR INDEX SHS FDS PORTFOLIO DEVLPD SPDW	SPDW	6,830,800	$202.9m1.71%	1.71%	Reduced -354.0k	-354,004 -4.9%
11	DIMENSIONAL ETF TRUST US LARGE CAP VAL DFLV	DFLV	7,009,786	$172.0m1.45%	1.45%	New
12	TJX COS INC NEW COM TJX	TJX	578,440	$166.6m1.40%	1.40%	Added +52.4k	+52,391 10.0%
13	DIMENSIONAL ETF TRUST WORLD EX US CORE DFAX	DFAX	6,788,830	$146.5m1.24%	1.24%	Reduced -167.5k	-167,458 -2.4%
14	VANGUARD INDEX FDS TOTAL STK MKT VTI	VTI	731,554	$136.4m1.15%	1.15%	Reduced -67.0k	-66,968 -8.4%
15	VANGUARD INDEX FDS SMALL CP ETF VB	VB	718,024	$134.1m1.13%	1.13%	Reduced -44.7k	-44,676 -5.9%
16	ISHARES TR CORE S&P MCP ETF IJH	IJH	521,324	$125.6m1.06%	1.06%	Reduced -1.3k	-1,332 -0.2%
17	ISHARES TR ISHS 1-5YR INVS IGSB	IGSB	2,400,062	$120.6m1.02%	1.02%	Reduced -1.2m	-1,188,126 -33.1%
18	DIMENSIONAL ETF TRUST US HIGH PROFITAB US HIGH PROFITAB		5,015,976	$120.4m1.02%	1.02%	Reduced -1.1m	-1,054,678 -17.4%
19	SILICON LABORATORIES INC COM SLAB	SLAB	877,060	$118.9m1.00%	1.00%	Reduced -1.3k	-1,316 -0.1%
20	PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN PAA	PAA	11,379,832	$112.3m0.95%	0.95%	Reduced -1.6k	-1,644 -0.0%
21	BERKSHIRE HATHAWAY INC DEL CL A BRK.A	BRK.A	508	$110.9m0.94%	0.94%	Unchanged
22	ORGANON & CO COMMON STOCK OGN	OGN	26,824	$108.7m0.92%	0.92%	Added +6.9k	+6,882 34.5%
23	VANGUARD INDEX FDS S&P 500 ETF SHS VOO	VOO	313,240	$107.4m0.91%	0.91%	Reduced -63.7k	-63,692 -16.9%
24	DIMENSIONAL ETF TRUST INTL CORE EQUITY DFIC	DFIC	4,776,794	$106.8m0.90%	0.90%	New
25	VANGUARD INDEX FDS MID CAP ETF VO	VO	581,138	$103.5m0.87%	0.87%	Reduced -18.0k	-17,976 -3.0%
26	ISHARES INC CORE MSCI EMKT IEMG	IEMG	2,386,510	$100.4m0.85%	0.85%	Added +706.6k	+706,624 42.1%
27	DIMENSIONAL ETF TRUST US MKTWIDE VALUE DFUV	DFUV	2,847,242	$95.3m0.80%	0.80%	Added +32.1k	+32,084 1.1%
28	TESLA INC COM TSLA	TSLA	728,306	$91.2m0.77%	0.77%	Reduced -109.1k	-109,091 -13.0%
29	ISHARES TR RUS 1000 VAL ETF IWD	IWD	426,984	$86.6m0.73%	0.73%	Reduced -259.6k	-259,568 -37.8%
30	ISHARES TR 0-5YR HI YL CP SHYG	SHYG	2,070,832	$84.7m0.71%	0.71%	New
31	AMAZON COM INC COM AMZN	AMZN	1,089,718	$83.6m0.71%	0.71%	Reduced -50.0k	-50,028 -4.4%
32	NVIDIA CORPORATION COM NVDA	NVDA	252,544	$83.1m0.70%	0.70%	Added +64.9k	+64,904 34.6%
33	ALPHABET INC CAP STK CL C GOOG	GOOG	734,822	$81.6m0.69%	0.69%	Added +75.6k	+75,575 11.5%
34	ISHARES TR CORE MSCI EAFE IEFA	IEFA	976,066	$80.8m0.68%	0.68%	Reduced -100.5k	-100,500 -9.3%
35	ISHARES TR SHRT NAT MUN ETF SUB	SUB	715,466	$75.5m0.64%	0.64%	Added +678.4k	+678,386 1829.5%
36	ZIMVIE INC COM ZIMV	ZIMV	2,468	$72.7m0.61%	0.61%	New
37	VISA INC COM CL A V	V	204,972	$68.2m0.58%	0.58%	Added +45.2k	+45,195 28.3%
38	SPDR SER TR NUVEEN BLMBRG MU TFI	TFI	1,474,056	$67.2m0.57%	0.57%	New
39	VANGUARD SCOTTSDALE FDS VNG RUS1000VAL VONV	VONV	945,956	$66.9m0.56%	0.56%	Added +923.4k	+923,420 4097.5%
40	VANGUARD INDEX FDS GROWTH ETF VUG	VUG	319,602	$65.5m0.55%	0.55%	Added +204.4k	+204,392 177.4%
41	ALPHABET INC CAP STK CL A GOOGL	GOOGL	761,490	$64.6m0.55%	0.55%	Added +32.8k	+32,843 4.5%
42	VANGUARD SPECIALIZED FUNDS DIV APP ETF VIG	VIG	452,980	$63.3m0.53%	0.53%	Added +20.7k	+20,748 4.8%
43	ISHARES TR 0-5YR INVT GR CP SLQD	SLQD	1,306,998	$62.6m0.53%	0.53%	Added +1.3m	+1,279,344 4626.2%
44	MERCK & CO INC COM MRK	MRK	519,080	$62.4m0.53%	0.53%	Added +57.5k	+57,480 12.4%
45	SPDR INDEX SHS FDS PORTFOLIO EMG MK SPEM	SPEM	1,803,368	$59.7m0.50%	0.50%	Added +199.5k	+199,484 12.4%
46	MARSH & MCLENNAN COS INC COM MRSH	MRSH	357,284	$59.2m0.50%	0.50%	Added +1.9k	+1,922 0.5%
47	ISHARES TR 1 3 YR TREAS BD SHY	SHY	694,008	$56.3m0.48%	0.48%	Reduced -1.2m	-1,168,630 -62.7%
48	VANGUARD WORLD FD HEALTH CAR ETF VHT	VHT	6,892	$53.5m0.45%	0.45%	Added +5.0k	+4,994 263.1%
49	DIMENSIONAL ETF TRUST US SMALL CAP VAL US SMALL CAP VAL		1,982,554	$49.1m0.41%	0.41%	Added +158.0k	+157,994 8.7%
50	HOME DEPOT INC COM HD	HD	184,110	$48.6m0.41%	0.41%	Added +29.7k	+29,747 19.3%
51	WALGREENS BOOTS ALLIANCE INC COM WBA	WBA	54,974	$43.2m0.36%	0.36%	Added +26.8k	+26,839 95.4%
52	VANGUARD INDEX FDS SML CP GRW ETF VBK	VBK	192,746	$42.8m0.36%	0.36%	Reduced -13.8k	-13,822 -6.7%
53	SELECT SECTOR SPDR TR TECHNOLOGY XLK	XLK	15,746	$42.8m0.36%	0.36%	Reduced -1.2k	-1,246 -7.3%
54	ISHARES TR MSCI EAFE ETF EFA	EFA	625,280	$41.4m0.35%	0.35%	Added +94.5k	+94,454 17.8%
55	CARLYLE SECURED LENDING INC COM CGBD	CGBD	125,778	$40.1m0.34%	0.34%	Added +2.6k	+2,616 2.1%
56	VANGUARD SCOTTSDALE FDS SHORT TERM TREAS VGSH	VGSH	688,358	$39.8m0.34%	0.34%	Added +676.4k	+676,388 5650.7%
57	DIMENSIONAL ETF TRUST EMERGING MKTS VA DFEV	DFEV	1,706,578	$38.6m0.33%	0.33%	New
58	QUALCOMM INC COM QCOM	QCOM	104,510	$37.6m0.32%	0.32%	Reduced -8.7k	-8,727 -7.7%
59	VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF VWO	VWO	965,028	$37.2m0.31%	0.31%	Added +122.5k	+122,476 14.5%
60	ISHARES TR RUS 1000 GRW ETF IWF	IWF	189,132	$37.1m0.31%	0.31%	Added +159.8k	+159,772 544.2%
61	JOHNSON & JOHNSON COM JNJ	JNJ	260,510	$36.1m0.30%	0.30%	Added +60.6k	+60,581 30.3%
62	ISHARES TR CMBS ETF CMBS	CMBS	750,590	$34.5m0.29%	0.29%	Reduced -349.0k	-349,004 -31.7%
63	VERIZON COMMUNICATIONS INC COM VZ	VZ	484,332	$33.7m0.28%	0.28%	Reduced -15.3k	-15,321 -3.1%
64	ISHARES TR 0-3 MNTH TREASRY SGOV	SGOV	336,634	$33.7m0.28%	0.28%	New
65	VANGUARD BD INDEX FDS TOTAL BND MRKT BND	BND	316,106	$32.5m0.27%	0.27%	Added +289.0k	+289,034 1067.7%
66	ISHARES TR MSCI EMG MKT ETF EEM	EEM	826,698	$32.4m0.27%	0.27%	Reduced -143.1k	-143,082 -14.8%
67	VANGUARD INDEX FDS REAL ESTATE ETF VNQ	VNQ	380,992	$32.4m0.27%	0.27%	Reduced -251.7k	-251,740 -39.8%
68	DIMENSIONAL ETF TRUST US TARGETED VLU DFAT	DFAT	734,016	$32.3m0.27%	0.27%	Added +40.9k	+40,852 5.9%
69	DISNEY WALT CO COM DIS	DIS	357,780	$32.1m0.27%	0.27%	Reduced -8.9k	-8,856 -2.4%
70	PEPSICO INC COM PEP	PEP	188,550	$31.9m0.27%	0.27%	Added +24.5k	+24,539 15.0%
71	MASTERCARD INCORPORATED CL A MA	MA	100,402	$31.5m0.27%	0.27%	Added +18.3k	+18,285 22.3%
72	DOMINION ENERGY INC COM D	D	514,758	$31.4m0.26%	0.26%	Reduced -9.2k	-9,173 -1.8%
73	LOWES COS INC COM LOW	LOW	1,028,842	$31.1m0.26%	0.26%	Reduced -3.2k	-3,168 -0.3%
74	PROCTER AND GAMBLE CO COM PG	PG	182,782	$30.9m0.26%	0.26%	Added +10.2k	+10,152 5.9%
75	BERKSHIRE HATHAWAY INC DEL CL B NEW BRK.B	BRK.B	160,254	$30.8m0.26%	0.26%	Added +41.8k	+41,758 35.2%
76	VANGUARD INDEX FDS VALUE ETF VTV	VTV	193,422	$29.4m0.25%	0.25%	Reduced -1.3m	-1,257,154 -86.7%
77	EXXON MOBIL CORP COM XOM	XOM	289,456	$29.1m0.25%	0.25%	Added +87.8k	+87,763 43.5%
78	COSTCO WHSL CORP NEW COM COST	COST	75,796	$29.1m0.25%	0.25%	Added +874	+874 1.2%
79	NORDSTROM INC COM JWN	JWN	1,766,122	$28.7m0.24%	0.24%	Added +1.5k	+1,525 0.1%
80	ISHARES TR MBS ETF MBB	MBB	288,634	$26.8m0.23%	0.23%	Added +3.9k	+3,934 1.4%
81	BANK AMERICA CORP COM BAC	BAC	624,558	$26.2m0.22%	0.22%	Added +150.9k	+150,853 31.9%
82	WISDOMTREE TR ITL HDG QTLY DIV IHDG	IHDG	710,778	$25.3m0.21%	0.21%	Added +508.9k	+508,864 252.0%
83	TIMKEN CO COM TKR	TKR	10,066	$25.0m0.21%	0.21%	Added +1.1k	+1,144 12.8%
84	DIMENSIONAL ETF TRUST US REAL ESTATE E US REAL ESTATE E		1,168,214	$24.7m0.21%	0.21%	New
85	ABBVIE INC COM ABBV	ABBV	166,590	$24.5m0.21%	0.21%	Added +41.5k	+41,550 33.2%
86	PFIZER INC COM PFE	PFE	550,144	$24.2m0.20%	0.20%	Added +128.4k	+128,447 30.5%
87	JPMORGAN CHASE & CO COM JPM	JPM	223,204	$24.1m0.20%	0.20%	Added +66.2k	+66,193 42.2%
88	SPDR SER TR S&P REGL BKG KRE	KRE	13,034	$23.4m0.20%	0.20%	Reduced -800	-800 -5.8%
89	MCDONALDS CORP COM MCD	MCD	112,812	$23.1m0.19%	0.19%	Added +17.4k	+17,376 18.2%
90	ISHARES TR EAFE SML CP ETF SCZ	SCZ	402,416	$22.7m0.19%	0.19%	Added +61.8k	+61,780 18.1%
91	NORTHWEST BANCSHARES INC MD COM NWBI	NWBI	67,610	$22.6m0.19%	0.19%	Added +17.1k	+17,132 33.9%
92	NIKE INC CL B NKE	NKE	188,510	$21.7m0.18%	0.18%	Added +35.6k	+35,577 23.3%
93	VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD VCSH	VCSH	33,314	$21.5m0.18%	0.18%	Reduced -14.8k	-14,848 -30.8%
94	ISHARES TR RUS 1000 ETF IWB	IWB	82,964	$21.4m0.18%	0.18%	Reduced -8.3k	-8,268 -9.1%
95	MARRIOTT INTL INC NEW CL A MAR	MAR	352,604	$21.2m0.18%	0.18%	Added +6.3k	+6,309 1.8%
96	BROADCOM INC COM AVGO	AVGO	42,788	$21.2m0.18%	0.18%	Added +5.7k	+5,676 15.3%
97	ISHARES TR MSCI ACWI ETF ACWI	ACWI	206,472	$21.1m0.18%	0.18%	Reduced -5.0k	-5,006 -2.4%
98	BLACKROCK MUNIASSETS FD INC COM MUA	MUA	8,576	$21.0m0.18%	0.18%	New
99	ASGN INC COM EFOR	EFOR	1,719,198	$20.8m0.18%	0.18%	Added +6.6k	+6,558 0.4%
100	ORACLE CORP COM ORCL	ORCL	311,926	$20.7m0.17%	0.17%	Added +52.0k	+52,036 20.0%

Sold out since Q3 2022

Security	Ticker	Shares held before	Value then
INVESCO EXCH TRADED FD TR II BKLN	BKLN	4,079,650	$82.4m4.1m shares
VANGUARD INTL EQUITY INDEX F VGK	VGK	207,768	$9.6m207.8k shares
AVALARA INC AVLR	AVLR	47,438	$4.4m47.4k shares
TWITTER INC TWTR	TWTR	90,774	$4.0m90.8k shares
CITRIX SYS INC CTXS	CTXS	24,022	$2.5m24.0k shares
TIDAL ETF TR RPAR	RPAR	132,600	$2.3m132.6k shares
ISHARES TR ENOR	ENOR	105,420	$2.2m105.4k shares
ATLASSIAN CORP PLC		10,110	$2.1m10.1k shares
ISHARES INC EWG	EWG	73,772	$1.5m73.8k shares
HIGHWOODS PPTYS INC HIW	HIW	53,122	$1.4m53.1k shares
ALLEGHANY CORP MD Y	Y	1,638	$1.4m1.6k shares
BROOKFIELD ASSET MGMT INC		34,572	$1.4m34.6k shares
SOUTHWEST GAS HLDGS INC SWX	SWX	19,502	$1.4m19.5k shares
ISHARES TR SHV	SHV	12,160	$1.3m12.2k shares
FIRST TR EXCHANGE TRADED FD CIBR	CIBR	32,488	$1.3m32.5k shares
HASBRO INC HAS	HAS	16,084	$1.1m16.1k shares
LIBERTY MEDIA CORP DEL LSXMK	LSXMK	28,072	$1.1m28.1k shares
DUKE REALTY CORP DRE	DRE	21,602	$1.0m21.6k shares
ISHARES INC CEMB	CEMB	24,646	$1.0m24.6k shares
NIELSEN HLDGS PLC NLSN	NLSN	35,490	$983.9k35.5k shares
ZENDESK INC		12,824	$975.8k12.8k shares
SL GREEN RLTY CORP SLG	SLG	24,094	$967.7k24.1k shares
ABIOMED INC ABMD	ABMD	3,901	$959.2k3.9k shares
TECHTARGET INC TTGT	TTGT	15,402	$911.9k15.4k shares
LESLIES INC		61,812	$909.5k61.8k shares

Options (notional value)

Underlying	Ticker	Type	Shares controlled	Notional	Change
UNITED STS BRENT OIL FD LP BNO · Call	BNO	Call	10,000	$240.1k10.0k shares	New
ALASKA AIR GROUP INC ALK · Put	ALK	Put	3,000	$27.8k3.0k shares	New
DEUTSCHE BANK A G DB · Put	DB	Put	12,500	$27.8k12.5k shares	New
APPLE INC AAPL · Call	AAPL	Call	0	$20.8k0 shares	Reduced
MARATHON OIL CORP MRO · Call	MRO	Call	6,000	$14.5k6.0k shares	Reduced
PALANTIR TECHNOLOGIES INC PLTR · Put	PLTR	Put	0	$13.5k0 shares	Unchanged
CITIGROUP INC C · Put	C	Put	10,000	$10.2k10.0k shares	New
BLACKSTONE INC BX · Put	BX	Put	4,600	$5.8k4.6k shares	New
SPDR INDEX SHS FDS FEZ · Put	FEZ	Put	18,500	$4.9k18.5k shares	New
HP INC HPQ · Call	HPQ	Call	0	$3.0k0 shares	Unchanged
SPDR S&P 500 ETF TR SPY · Put	SPY	Put	0	$2.5k0 shares	Reduced
PALANTIR TECHNOLOGIES INC PLTR · Call	PLTR	Call	0	$5520 shares	Unchanged
VANECK ETF TRUST GDX · Call	GDX	Call	0	$00 shares	Unchanged
INVESCO QQQ TR QQQ · Call	QQQ	Call	1,000	$01.0k shares	New
ISHARES TR EEM · Call	EEM	Call	0	$00 shares	Unchanged
SPDR S&P 500 ETF TR SPY · Call	SPY	Call	7,500	$07.5k shares	New
AT&T INC T · Call	T	Call	0	$00 shares	Unchanged
APPLE INC AAPL · Put	AAPL	Put	1,200	$01.2k shares	Reduced
CHENIERE ENERGY INC LNG · Put	LNG	Put	0	$00 shares	Unchanged

Stakes above 5%

Companies where this manager has reported owning more than 5% of a class of shares, on Schedule 13D (may seek influence) or 13G (passive): its latest filing for each, from 19 Dec 2024 on.

Company	Ticker	Stake	Change	Schedule	Last filed
NKGEN BIOTECH INC NKGN · 13G · filed 2025-02-28	NKGN	7.9%	new	13G	2025-02-28