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: | 03-31-2022 |
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 Lawson | McLean,
VA | 04-13-2022 |
[Signature] | [City, State] | [Date] |
|
Report Type (Check only one.): |
X | 13F 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: | 91 |
| Form 13F Information Table Value Total: | 141,387 |
| (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 Number | Name |
| 1 | 028-19007 | Capital 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 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 |
| | | VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY |
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABBOTT LABS | COM | 002824100 | 452 | 3,815 | SH | | DFND | | 0 | 0 | 3,815 |
ABBVIE INC | COM | 00287Y109 | 592 | 3,650 | SH | | DFND | | 0 | 0 | 3,650 |
ALLIANCE RESOURCE PARTNERS L | UT LTD PART | 01877R108 | 228 | 14,781 | SH | | DFND | | 0 | 0 | 14,781 |
AMAZON COM INC | COM | 023135106 | 480 | 147 | SH | | DFND | | 0 | 0 | 147 |
AMGEN INC | COM | 031162100 | 261 | 1,079 | SH | | DFND | | 0 | 0 | 1,079 |
ANALOG DEVICES INC | COM | 032654105 | 442 | 2,673 | SH | | DFND | | 0 | 0 | 2,673 |
APPLE INC | COM | 037833100 | 1,968 | 11,270 | SH | | DFND | | 0 | 0 | 11,270 |
CISCO SYS INC | COM | 17275R102 | 262 | 4,702 | SH | | DFND | | 0 | 0 | 4,702 |
DANAHER CORPORATION | COM | 235851102 | 352 | 1,200 | SH | | DFND | | 0 | 0 | 1,200 |
DARDEN RESTAURANTS INC | COM | 237194105 | 226 | 1,700 | SH | | DFND | | 0 | 0 | 1,700 |
DISNEY WALT CO | COM | 254687106 | 682 | 4,975 | SH | | DFND | | 0 | 0 | 4,975 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 232 | 9,000 | SH | | DFND | | 0 | 0 | 9,000 |
FACEBOOK INC | CL A | 30303M102 | 270 | 1,216 | SH | | DFND | | 0 | 0 | 1,216 |
GENERAL ELECTRIC CO | COM | 369604103 | 243 | 2,661 | SH | | DFND | | 0 | 0 | 2,661 |
GOLDMAN SACHS ETF TR | ACTIVEBETA US LG | 381430503 | 2,006 | 22,528 | SH | | DFND | | 0 | 0 | 22,528 |
GOLDMAN SACHS ETF TR | ACTIVEBETA INT | 381430107 | 9,943 | 303,775 | SH | | DFND | | 0 | 0 | 303,775 |
GOLDMAN SACHS ETF TR | ACTIVEBETA EME | 381430206 | 3,097 | 91,413 | SH | | DFND | | 0 | 0 | 91,413 |
HOME DEPOT INC | COM | 437076102 | 1,169 | 3,904 | SH | | DFND | | 0 | 0 | 3,904 |
HONEYWELL INTL INC | COM | 438516106 | 309 | 1,591 | SH | | DFND | | 0 | 0 | 1,591 |
INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 46138E354 | 634 | 9,445 | SH | | DFND | | 0 | 0 | 9,445 |
INVESCO EXCH TRADED FD TR II | S&P SMLCP LOW | 46138G102 | 636 | 12,970 | SH | | DFND | | 0 | 0 | 12,970 |
INVESCO EXCHANGE TRADED FD T | S&P500 QUALITY | 46137V241 | 1,039 | 20,810 | SH | | DFND | | 0 | 0 | 20,810 |
ISHARES INC | MSCI EMERG MKT | 46434G889 | 546 | 11,284 | SH | | DFND | | 0 | 0 | 11,284 |
ISHARES INC | MSCI EMERG MRKT | 464286533 | 2,382 | 39,033 | SH | | DFND | | 0 | 0 | 39,033 |
ISHARES INC | CORE MSCI EMKT | 46434G103 | 2,519 | 45,351 | SH | | DFND | | 0 | 0 | 45,351 |
ISHARES TR | NATIONAL MUN ETF | 464288414 | 506 | 4,612 | SH | | DFND | | 0 | 0 | 4,612 |
ISHARES TR | TIPS BD ETF | 464287176 | 3,543 | 28,444 | SH | | DFND | | 0 | 0 | 28,444 |
ISHARES TR | MSCI USA MIN VOL | 46429B697 | 10,977 | 141,511 | SH | | DFND | | 0 | 0 | 141,511 |
ISHARES TR | 0-5 YR TIPS ETF | 46429B747 | 814 | 7,758 | SH | | DFND | | 0 | 0 | 7,758 |
ISHARES TR | MSCI USA QLT FCT | 46432F339 | 7,099 | 52,730 | SH | | DFND | | 0 | 0 | 52,730 |
ISHARES TR | MSCI INTL MULTFT | 46434V274 | 907 | 32,768 | SH | | DFND | | 0 | 0 | 32,768 |
ISHARES TR | U.S. MED DVC ETF | 464288810 | 224 | 3,672 | SH | | DFND | | 0 | 0 | 3,672 |
ISHARES TR | JPMORGAN USD EMG | 464288281 | 2,255 | 23,068 | SH | | DFND | | 0 | 0 | 23,068 |
ISHARES TR | MSCI USA VALUE | 46432F388 | 4,607 | 44,055 | SH | | DFND | | 0 | 0 | 44,055 |
ISHARES TR | CORE MSCI TOTAL | 46432F834 | 1,525 | 22,902 | SH | | DFND | | 0 | 0 | 22,902 |
ISHARES TR | US TREAS BD ETF | 46429B267 | 3,056 | 122,685 | SH | | DFND | | 0 | 0 | 122,685 |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 316 | 2,939 | SH | | DFND | | 0 | 0 | 2,939 |
ISHARES TR | PFD AND INCM SEC | 464288687 | 220 | 6,037 | SH | | DFND | | 0 | 0 | 6,037 |
ISHARES TR | MSCI EAFE MIN VL | 46429B689 | 6,326 | 87,691 | SH | | DFND | | 0 | 0 | 87,691 |
ISHARES TR | ISHS 5-10YR INVT | 464288638 | 359 | 6,536 | SH | | DFND | | 0 | 0 | 6,536 |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 540 | 4,465 | SH | | DFND | | 0 | 0 | 4,465 |
ISHARES TR | CORE INTL AGGR | 46435G672 | 1,514 | 29,047 | SH | | DFND | | 0 | 0 | 29,047 |
ISHARES TR | CORE US AGGBD ET | 464287226 | 993 | 9,276 | SH | | DFND | | 0 | 0 | 9,276 |
ISHARES TR | USD INV GRDE ETF | 464288620 | 4,176 | 75,863 | SH | | DFND | | 0 | 0 | 75,863 |
ISHARES TR | RUS TP200 GR ETF | 464289438 | 256 | 1,610 | SH | | DFND | | 0 | 0 | 1,610 |
ISHARES TR | CORE MSCI EAFE | 46432F842 | 952 | 13,695 | SH | | DFND | | 0 | 0 | 13,695 |
ISHARES TR | ISHS 1-5YR INVS | 464288646 | 287 | 5,556 | SH | | DFND | | 0 | 0 | 5,556 |
ISHARES TR | CORE S&P500 ETF | 464287200 | 1,527 | 3,366 | SH | | DFND | | 0 | 0 | 3,366 |
ISHARES TR | MSCI USA MMENTM | 46432F396 | 5,225 | 31,049 | SH | | DFND | | 0 | 0 | 31,049 |
JPMORGAN CHASE & CO | COM | 46625H100 | 609 | 4,467 | SH | | DFND | | 0 | 0 | 4,467 |
L3HARRIS TECHNOLOGIES INC | COM | 502431109 | 759 | 3,054 | SH | | DFND | | 0 | 0 | 3,054 |
LILLY ELI & CO | COM | 532457108 | 2,005 | 7,000 | SH | | DFND | | 0 | 0 | 7,000 |
LOCKHEED MARTIN CORP | COM | 539830109 | 489 | 1,107 | SH | | DFND | | 0 | 0 | 1,107 |
MCDONALDS CORP | COM | 580135101 | 1,032 | 4,174 | SH | | DFND | | 0 | 0 | 4,174 |
MICROSOFT CORP | COM | 594918104 | 3,227 | 10,465 | SH | | DFND | | 0 | 0 | 10,465 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 231 | 1,250 | SH | | DFND | | 0 | 0 | 1,250 |
PACER FDS TR | TRENDP US LAR CP | 69374H105 | 284 | 7,307 | SH | | DFND | | 0 | 0 | 7,307 |
PAYCHEX INC | COM | 704326107 | 387 | 2,839 | SH | | DFND | | 0 | 0 | 2,839 |
PEPSICO INC | COM | 713448108 | 202 | 1,204 | SH | | DFND | | 0 | 0 | 1,204 |
PIMCO ETF TR | ACTIVE BD ETF | 72201R775 | 357 | 3,510 | SH | | DFND | | 0 | 0 | 3,510 |
PIMCO ETF TR | SHTRM MUN BD ACT | 72201R874 | 333 | 6,671 | SH | | DFND | | 0 | 0 | 6,671 |
PIMCO ETF TR | INTER MUN BD ACT | 72201R866 | 2,628 | 49,591 | SH | | DFND | | 0 | 0 | 49,591 |
PROCTER AND GAMBLE CO | COM | 742718109 | 351 | 2,300 | SH | | DFND | | 0 | 0 | 2,300 |
QUALCOMM INC | COM | 747525103 | 285 | 1,862 | SH | | DFND | | 0 | 0 | 1,862 |
RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 | 352 | 3,553 | SH | | DFND | | 0 | 0 | 3,553 |
SCHWAB STRATEGIC TR | SCHWAB FDT US SC | 808524763 | 1,170 | 21,881 | SH | | DFND | | 0 | 0 | 21,881 |
SCHWAB STRATEGIC TR | SCHWB FDT INT LG | 808524755 | 644 | 19,967 | SH | | DFND | | 0 | 0 | 19,967 |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 373 | 2,344 | SH | | DFND | | 0 | 0 | 2,344 |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 803 | 5,864 | SH | | DFND | | 0 | 0 | 5,864 |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 250 | 1,354 | SH | | DFND | | 0 | 0 | 1,354 |
SPDR INDEX SHS FDS | PORTFOLIO DEVLPD | 78463X889 | 716 | 20,885 | SH | | DFND | | 0 | 0 | 20,885 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,516 | 3,356 | SH | | DFND | | 0 | 0 | 3,356 |
SPDR SER TR | BLMBRG BRC CNVRT | 78464A359 | 218 | 2,828 | SH | | DFND | | 0 | 0 | 2,828 |
SPDR SER TR | BLOMBERG BRC INV | 78468R200 | 1,923 | 63,086 | SH | | DFND | | 0 | 0 | 63,086 |
SPDR SER TR | PORTFLI TIPS ETF | 78464A656 | 2,013 | 66,537 | SH | | DFND | | 0 | 0 | 66,537 |
SPDR SER TR | NUVEEN BLMBRG SR | 78468R739 | 920 | 19,434 | SH | | DFND | | 0 | 0 | 19,434 |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 384 | 650 | SH | | DFND | | 0 | 0 | 650 |
UNION PAC CORP | COM | 907818108 | 378 | 1,382 | SH | | DFND | | 0 | 0 | 1,382 |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 322 | 1,501 | SH | | DFND | | 0 | 0 | 1,501 |
VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 5,005 | 62,923 | SH | | DFND | | 0 | 0 | 62,923 |
VANGUARD CHARLOTTE FDS | INTL BD IDX ETF | 92203J407 | 6,243 | 119,059 | SH | | DFND | | 0 | 0 | 119,059 |
VANGUARD INDEX FDS | VALUE ETF | 922908744 | 957 | 6,479 | SH | | DFND | | 0 | 0 | 6,479 |
VANGUARD INDEX FDS | SM CP VAL ETF | 922908611 | 235 | 1,338 | SH | | DFND | | 0 | 0 | 1,338 |
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 290 | 6,279 | SH | | DFND | | 0 | 0 | 6,279 |
VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 | 2,617 | 51,104 | SH | | DFND | | 0 | 0 | 51,104 |
VANGUARD MUN BD FDS | TAX EXEMPT BD | 922907746 | 6,446 | 125,038 | SH | | DFND | | 0 | 0 | 125,038 |
VANGUARD SCOTTSDALE FDS | INTER TERM TREAS | 92206C706 | 1,506 | 23,938 | SH | | DFND | | 0 | 0 | 23,938 |
VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 2,653 | 30,839 | SH | | DFND | | 0 | 0 | 30,839 |
VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 | 462 | 2,848 | SH | | DFND | | 0 | 0 | 2,848 |
VANGUARD WHITEHALL FDS | EMERG MKT BD ETF | 921946885 | 414 | 5,930 | SH | | DFND | | 0 | 0 | 5,930 |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 224 | 4,404 | SH | | DFND | | 0 | 0 | 4,404 |