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CLB PUT P 2019-07-24 2019-09-18 90123 89451 672 672 10000 CONSTELLATION BRANDS INC GTD FXD RT SR NT 3.700% 12/06/26 B/E DTD 12/06/16 CLB P 2019-07-31 2019-10-09 10643 10498 145 145 100000 CONSTELLATION BRANDS INC GTD FXD RT SR NT 3.700% 12/06/26 B/E DTD 12/06/16 CLB P 2019-04-04 2019-10-09 106434 99593 6841 6841 15 AMAZON COM INC P 2019-04-04 2019-10-21 26656 27191 -535 -535 1 CORTEVA INC COM P 2019-08-29 2019-10-21 26 30 -4 -4 228 CORTEVA INC COM P 2019-04-04 2019-10-21 5890 6573 -683 -683 143 MICROSOFT CORP COM P 2015-08-11 2019-10-21 19729 6639 13090 13090 100000 BLACKROCK INC FXD RT SR NT 3.200% 03/15/27 B/E DTD 03/28/17 P 2019-04-04 2019-10-22 105951 100885 5066 5066 100000 TOTAL CAPITAL SA SR NT ISIN#US89152UAH59 3.883% 10/11/28 B/E DTD 10/11/18 P 2019-04-04 2019-10-29 111051 105637 5414 5414 100000 SCHWAB CHARLES CORP NEW FXD RT SR NT 3.250% 05/22/29 B/E DTD 05/22/19 CLB P 2019-08-14 2019-11-04 105211 106112 -901 -901 1720.578 DODGE & COX INTERNATIONAL FUND P 2015-01-02 2019-11-12 75069 72161 2908 2908 300.464 EATON VANCE FLOATING RATE FUND (INSTITUTIONAL SHARES) P 2019-04-30 2019-11-12 2632 2695 -63 -63 333.578 EATON VANCE FLOATING RATE FUND (INSTITUTIONAL SHARES) P 2019-03-29 2019-11-12 2922 2962 -40 -40 1649.063 EATON VANCE FLOATING RATE FUND (INSTITUTIONAL SHARES) P 2013-05-09 2019-11-12 14446 15201 -755 -755 182.513 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I P 2019-04-29 2019-11-12 1604 1748 -144 -144 5065.856 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I P 2013-05-23 2019-11-12 44529 48415 -3886 -3886 10193.68 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I P 2012-12-27 2019-11-12 89602 95883 -6281 -6281 13395.086 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I P 2012-03-07 2019-11-12 117743 128540 -10797 -10797 117 ISHARES TR MICRO-CAP ETF P 2012-03-06 2019-11-12 10816 5634 5182 5182 416 ISHARES TR MICRO-CAP ETF P 2012-02-06 2019-11-12 38458 21174 17284 17284 13 ISHARES TR MICRO-CAP ETF P 2011-02-01 2019-11-12 1202 657 545 545 315 ISHARES TR RUSSELL 2000 ETF P 2012-02-06 2019-11-12 50098 26069 24029 24029 2750 ISHARES TR RUSSELL MID-CAP ETF P 2012-12-27 2019-11-12 158124 76724 81400 81400 750 ISHARES TR RUSSELL MID-CAP ETF P 2012-02-06 2019-11-12 43125 20169 22956 22956 1666.667 MAINSTAY MACKAY CONVERTIBLE FUND CLASS I P 2018-01-11 2019-11-12 30050 28950 1100 1100 2500 SPDR INDEX SHS FDS DOW JONES INTL REAL ESTATE ETF P 2014-01-24 2019-11-12 99732 99842 -110 -110 10 SPDR INDEX SHS FDS DOW JONES INTL REAL ESTATE ETF P 2012-02-06 2019-11-12 399 356 43 43 5054.097 THE MERGER FUND INSTITUTIONAL CLASS P 2012-02-06 2019-11-12 86728 78900 7828 7828 2620.663 THE MERGER FUND INSTITUTIONAL CLASS P 2012-01-05 2019-11-12 44971 40754 4217 4217 1400 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN P 2015-12-31 2019-11-12 18667 25105 -6438 -6438 4975 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN P 2014-01-27 2019-11-12 66319 144612 -78293 -78293 3490 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN P 2014-01-24 2019-11-12 46535 101158 -54623 -54623 5000 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN P 2014-01-24 2019-11-12 66678 144925 -78247 -78247 25 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN P 2014-01-24 2019-11-12 333 725 -392 -392 6779.661 VANGUARD HIGH YIELD CORPORATE BOND FUND ADMIRAL SHARES P 2018-01-11 2019-11-12 40000 40271 -271 -271 354.032 VANGUARD INTERNATIONAL GROWTH FUND ADMIRAL CLASS P 2015-01-02 2019-11-12 34295 24212 10083 10083 420.521 VANGUARD INTERNATIONAL GROWTH FUND ADMIRAL CLASS P 2014-01-24 2019-11-12 40736 30000 10736 10736 9 CVS HEALTH CORP COM P 2019-08-29 2019-11-19 677 541 136 136 152 CVS HEALTH CORP COM P 2012-02-07 2019-11-19 11436 6596 4840 4840 300 CVS HEALTH CORP COM P 2012-01-06 2019-11-19 22570 12468 10102 10102 28 JP MORGAN CHASE & CO COM ISIN#US46625H1005 P 2012-02-07 2019-11-19 3660 1067 2593 2593 150000 CITIGROUP INC GLOBAL SR NT FLTG 2.625% 10/27/22 B/E DTD 10/27/17 CLB P 2019-04-04 2019-11-20 150893 149882 1011 1011 664 COMCAST CORP P 2011-10-04 2019-02-19 24790 6889 17901 17901 280 COMCAST CORP P 2012-01-06 2019-02-19 10453 3469 6984 6984 50000 DEUTSCHE BANK AG LON 2.500% 2/13/19 P 2015-03-03 2019-02-13 50000 50795 -795 -795 334.905 MATLINPATTERSON SEC CRED II P 2018-01-29 2019-03-05 295605 300000 -4395 -4395 100000 WORLD FINANCIAL NETW 3.140% 1/17/23 P 2014-09-08 2019-03-18 100000 104238 -4238 -4238 359.273 CANYON BALANCED II ASP FUND P 2018-01-29 2019-08-02 428669 428669 BLUE TREND ASP FUND P 2018-01-29 2019-08-02 231217 231220 -3 -3 814045 37489 false 2516265 32648374 0.07707 1667370 31504180 0.05293 1744740 29312841 0.05952 1486256 30520916 0.04870 1518371 31305773 0.04850 0.286715 0.057343 30242660 1734205 15421 1749626 1847705 X 15421 15421 15421 17451 15000 32451 X 17030 17030 false false false false false false false false true CA true false true false false true N/A LAWRENCE M SCHWARTZ CPA 7607534434 2211 ENCINITAS BLVD 200 ENCINITAS CA 920244361 false false false false false false false false false false false false false false false false false false false false false false JAMES D SHAFFER PO BOX 9543 RANCHO SANTA FE CA 92067 Trustee 10.00 0 TANYA L SHAFFER PO BOX 9543 RANCHO SANTA FE CA 92067 Trustee 10.00 0 KELLY C SHAFFER PO BOX 9543 RANCHO SANTA FE CA 92067 Trustee 10.00 0 NONE NONE 30703208 0 0 30703208 0 30703208 460548 30242660 1512133 1512133 15421 15421 1496712 1496712 1496712 1847705 1847705 15421 1832284 1496712 293512 116767 915754 1326033 1847705 0 1496712 350993 1677026 0 1677026 293512 116767 915754 350993 JAMES D SHAFFER TANYA L SHAFFER X SCRIPPS HEALTH FOUNDATION 4275 CAMPUS POINT COURT SAN DIEGO CA 92121 NONE PC Funding Research for Bone & Cartilage Regeneration 800000 UCLA Foundation Broad Stem Cell Res 650 CHARLES E YOUNG DRIVE SOUTH Los Angeles CA 90095 NONE PC Support UCLA Broad Stem Cell Research Training Program 100000 UCLA Foundation Dept of Urology 300 Stein Plaza Suite 300 Los Angeles CA 90024 NONE PC UCLA Dept of Urology Pelvic Medicine & Reconstructive Surgery Program 75000 UCSD Foundation Health Sciences 9500 Gilman Drive 0937 La Jolla CA 92093 NONE PC Support UCSD Health Science - Dept of Orthopaedic Surgery Research Program 50000 Sanford Burnham Prebys Medical Disc 10901 North Torrey Pines Road La Jolla CA 92037 NONE PC Support graduate student and post-doctoral salaries in Jerold Chun's lab for work on Alzheimers 100000 Palo Verde High School 667 North Lovekin Blythr CA 92225 NONE PC Scholarships 5000 UCLA FOUNDATION 650 CHARLES E YOUNG DRIVE SOUTH LOS ANGELES CA 90095 NONE PC FUNDING RESEARCH AND EDUCATION RELATING TO ESRD DIALYSIS CORE 125000 UCLA FOUNDATION 650 CHARLES E YOUNG DRIVE SOUTH LOS ANGELES CA 90095 NONE PC FUNDING RESEARCH AND EDUCATION RELATING TO PRECISION ANITBIOTICS 100000 UCLA FIELDING SCHOOL OF PUBLIC HEAL 650 CHARLES E YOUNG DRIVE SOUTH LOS ANGELES CA 90095 NONE PC FUNDING FOR DR. ANNE RIMOIN'S LAB 287550 LA JOLLA INSTITUTE FOR IMMUNOLOGY 9420 ATHENA CIRCLE LA JOLLA CA 92037 NONE PC FUNDING FOR DR. ERICA'S RESEARCH 200000 1842550 14 104911 14 813480 14 66129 18 814045 1666307 1666307 false false false false false false false false false false Tax Preparation 14000 7000 1400 1400 Accrued Interest Paid 28353 28353 Bank Charges 390 390 Miscellaneous Expenses 23 23 Other Investment Income -66129 -66129 Investment Management Fees 103372 99617 25000 3755 JAMES TANYA SHAFFER PO BOX 9543 RANCHO SANTA FE CA 92067 Federal 15000 15000 Foreign Taxes Paid 2048 2048 State Taxes 160 160