13F-HR filed by Rockefeller Capital Management L.P.
Rockefeller Capital Management L.P. filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-11, with 3,321 holding rows worth $14,777,779,000.
- Accession
- 0000315123-21-000007
- Filer
- CIK 1739439
- Filed
- 2021-05-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 4,447 entries on the cover page, a total value of $14,777,779,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $14,777,779,000 with VALUE read as thousands by filing date, 13F file number 028-18743. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerROCKEFELLER & CO. LLC028-00926
- included managerROCKEFELLER TRUST COMPANY, N.A.028-02772
- included managerRockefeller Trust Co (Delaware)028-11086
- included managerROCKEFELLER FINANCIAL LLC028-19121
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 844 | $129,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 10,535 | $128,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 1,809 | $127,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 1,039 | $127,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 3,407 | $127,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 966 | $127,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 10,000 | $127,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 10,000 | $127,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 1,102 | $126,000 | thousands by filing date | |
| SEAGEN INC | 81181C104 | COM | 911 | $126,000 | thousands by filing date | |
| SKILLZ INC | 83067L109 | COM | 6,650 | $126,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 1,500 | $125,000 | thousands by filing date | |
| BUMBLE INC | 12047B105 | COM CL A | 2,005 | $125,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 9,740 | $125,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A172 | NATIONWIDE NASDQ | 4,689 | $125,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 36,449 | $125,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 2,297 | $124,000 | thousands by filing date | |
| SUN CMNTYS INC COM | 866674104 | REIT | 820 | $123,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 13,299 | $123,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 2,703 | $122,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 19,379 | $122,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 3,036 | $122,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 5,122 | $122,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 1,529 | $121,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 1,107 | $121,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 1,084 | $120,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 6,600 | $120,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 1,527 | $119,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,752 | $119,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 1,211 | $119,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 2,277 | $119,000 | thousands by filing date | |
| THOMA BRAVO ADVANTAGE | G88272102 | COM CL A | 11,482 | $119,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 891 | $118,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V308 | BUYBACK ACHIEV | 1,410 | $118,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 10,000 | $118,000 | thousands by filing date | |
| PAYA HOLDINGS INC | 70434P103 | COM CL A | 10,800 | $118,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 9,500 | $117,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 8,000 | $117,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 3,807 | $116,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,907 | $116,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 3,445 | $115,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 7,346 | $115,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 5,966 | $115,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 4,258 | $115,000 | thousands by filing date | |
| MEDALLIA INC | 584021109 | COM | 4,126 | $115,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 1,094 | $113,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 3,653 | $113,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 3,324 | $113,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 685 | $112,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H607 | OIL SERVICES ETF | 586 | $112,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 1,935 | $111,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 2,925 | $111,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 4,000 | $111,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 2,300 | $110,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 16,460 | $110,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 626 | $109,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 1,000 | $109,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 3,001 | $109,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 2,821 | $108,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 1,355 | $108,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 1,237 | $108,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 7,265 | $108,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 1,478 | $108,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 2,392 | $107,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 4,562 | $107,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 7,332 | $107,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 1,671 | $106,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 5,631 | $106,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 7,146 | $106,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 10,323 | $106,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 10,573 | $106,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 233 | $105,000 | thousands by filing date | |
| STRIDE INC | 86333M108 | COM | 3,500 | $105,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 5,752 | $105,000 | thousands by filing date | |
| PACER TRENDPILOT 100 ETF | 69374H303 | ETF | 2,020 | $105,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L508 | DIVERSIFID FXD | 5,000 | $105,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 1,699 | $105,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 4,762 | $105,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 2,195 | $104,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 2,006 | $104,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 11,937 | $104,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 959 | $103,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 683 | $103,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 2,330 | $103,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 3,092 | $103,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 769 | $102,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 1,674 | $102,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 8,680 | $102,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 4,112 | $102,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 1,075 | $102,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 3,255 | $101,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 2,303 | $101,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 7,600 | $100,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 713 | $100,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 4,542 | $100,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 3,004 | $100,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 8,450 | $100,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,041 | $99,000 | thousands by filing date | |
| MAGNITE INC COM | 55955D100 | Stock | 2,400 | $99,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 4,803 | $99,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 3,489 | $98,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 4,752 | $98,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 6,500 | $98,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 744 | $98,000 | thousands by filing date | |
| BEAM THERAPEUTICS INC | 07373V105 | COM | 1,228 | $98,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 2,000 | $98,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 1,690 | $97,000 | thousands by filing date | |
| NIGHTDRAGON ACQUISITION CORP | 65413D204 | UNIT 02/26/20266 | 9,600 | $97,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 1,513 | $96,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 1,075 | $96,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 1,265 | $96,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 1,005 | $96,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTREAM O | 18469P209 | COM | 5,156 | $96,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 6,500 | $96,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 1,575 | $96,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 5,536 | $96,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 2,058 | $96,000 | thousands by filing date | |
| SOARING EAGLE ACQUISITION CO | G8354H100 | UNIT 02/23/2026 | 9,500 | $96,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 2,294 | $95,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N865 | CMN | 1,751 | $95,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 1,141 | $94,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 5,486 | $94,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 593 | $94,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 1,000 | $94,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 5,831 | $94,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 13,500 | $94,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 10,059 | $94,000 | thousands by filing date | |
| LISTED FD TR | 53656F466 | MORGAN CREEK | 4,500 | $94,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 1,020 | $93,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 6,081 | $93,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 10,000 | $93,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 3,730 | $93,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 6,490 | $93,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 5,671 | $93,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 92,000 | $93,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 2,814 | $92,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 2,994 | $92,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 4,958 | $92,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 617 | $92,000 | thousands by filing date | |
| PGIM ETF TR | 69344A107 | PGIM ULTRA SH BD | 1,850 | $92,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 26,800 | $92,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 1,835 | $92,000 | thousands by filing date | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 1,006 | $92,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 7,889 | $92,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 1,412 | $92,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 1,400 | $91,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 1,725 | $91,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 6,320 | $91,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 6,378 | $91,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 1,234 | $90,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 912 | $90,000 | thousands by filing date | |
| EASTGROUP PPTYS INC | 277276101 | COM | 632 | $90,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 624 | $90,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F730 | FT VEST US EQT | 2,750 | $90,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 40,000 | $90,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 2,039 | $89,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 1,411 | $89,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 5,894 | $89,000 | thousands by filing date | |
| Agora Inc-Adr | 00851L103 | COM | 1,790 | $89,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 2,285 | $88,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 898 | $88,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 877 | $88,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 1,099 | $88,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 6,780 | $88,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 5,674 | $88,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q109 | COM CL A | 6,684 | $88,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 1,133 | $87,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 51,000 | $87,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 5,027 | $87,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 4,000 | $87,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,800 | $86,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 2,049 | $86,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 3,531 | $86,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 3,200 | $86,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 285 | $85,000 | thousands by filing date | |
| BILL HOLDINGS INC | 090043100 | COM | 586 | $85,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 126 | $85,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 356 | $85,000 | thousands by filing date | |
| FISKER INC | 33813J106 | CL A COM STK | 4,976 | $85,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 3,115 | $85,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 1,505 | $85,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 1,597 | $84,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 7,212 | $84,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 2,733 | $83,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 383 | $83,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 1,498 | $83,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 727 | $83,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 868 | $83,000 | thousands by filing date | |
| LUMINAR TECHNOLOGIES INC | 550424105 | COM CL A | 3,450 | $83,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 2,266 | $83,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 15,418 | $82,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 870 | $82,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 2,205 | $82,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 1,218 | $81,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 10,000 | $81,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 6,855 | $81,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 3,605 | $81,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 3,800 | $81,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 13,000 | $81,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 290 | $80,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 2,219 | $80,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 5,000 | $80,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 2,594 | $80,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 11,610 | $80,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 5,000 | $80,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 4,512 | $80,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 3,742 | $80,000 | thousands by filing date | |
| AXONICS INC | 05465P101 | COM | 1,340 | $80,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 2,581 | $79,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 431 | $79,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 432 | $79,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 547 | $79,000 | thousands by filing date | |
| PROG HOLDINGS INC | 74319R101 | COM NPV | 1,824 | $79,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,550 | $79,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 1,332 | $78,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 1,933 | $78,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 489 | $78,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 5,891 | $78,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 1,293 | $78,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 1,425 | $77,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 5,000 | $77,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,975 | $77,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 5,306 | $77,000 | thousands by filing date | |
| OSCAR HEALTH INC | 687793109 | CL A | 2,829 | $76,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 200 | $76,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 295 | $76,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 3,100 | $76,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 3,500 | $76,000 | thousands by filing date | |
| FUBOTV INC | 35953D104 | COM | 3,438 | $76,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 640 | $76,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 2,289 | $76,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 879 | $76,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP II | G89554110 | UNIT 06/14/2027 | 6,500 | $76,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 956 | $75,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 3,428 | $75,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 15,000 | $75,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 393 | $74,000 | thousands by filing date | |
| RELAY THERAPEUTICS INC COM | 75943R102 | Stock | 2,166 | $74,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 565 | $74,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 925 | $74,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 3,950 | $74,000 | thousands by filing date | |
| LISTED FDS TR | 53656F847 | CORE ALT FD | 2,566 | $74,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCT FCLASS A | 11275Q107 | FOREIGN CANADIAN | 975 | $74,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 1,754 | $74,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 13,374 | $74,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 1,050 | $73,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 3,218 | $73,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPT | G0411R122 | UNIT 99/99/9999 | 7,100 | $73,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,415 | $72,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 726 | $72,000 | thousands by filing date | |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 72,000 | $72,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 2,688 | $71,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 1,197 | $71,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 4,521 | $71,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 1,746 | $71,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 8,700 | $71,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 61,000 | $71,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 2,234 | $71,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 992 | $70,000 | thousands by filing date | |
| UNITY SOFTWARE INC COM | 91332U101 | Stock | 700 | $70,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 3,656 | $70,000 | thousands by filing date | |
| BTRS HOLDINGS INC | 11778X112 | W EXP 01/12/202 | 15,000 | $70,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 3,429 | $69,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 2,197 | $69,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 1,162 | $69,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 741 | $69,000 | thousands by filing date | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 1,121 | $68,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 2,734 | $68,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 2,141 | $68,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 1,563 | $68,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 687 | $67,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 626 | $67,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 2,507 | $67,000 | thousands by filing date | |
| ARVINAS INC | 04335A105 | COM | 1,000 | $66,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 1,134 | $66,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 5,000 | $66,000 | thousands by filing date | |
| DB COMMODITY INDEX TRACKING | 46138B103 | ETF | 4,000 | $66,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,421 | $65,000 | thousands by filing date | |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 2,371 | $65,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 811 | $65,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 4,006 | $65,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 800 | $65,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 500 | $65,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 208 | $64,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 1,862 | $64,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 332 | $64,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 1,285 | $64,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 3,500 | $64,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 1,469 | $63,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 945 | $63,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 5,000 | $63,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 2,821 | $63,000 | thousands by filing date | |
| INVITATION HOMES INC COM | 46187W107 | REIT | 1,972 | $62,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 1,135 | $62,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 3,440 | $62,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 3,203 | $62,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 2,746 | $62,000 | thousands by filing date | |
| RMG ACQUISITION CORP II | G76083115 | UNIT 12/09/2025 | 6,000 | $62,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 2,119 | $61,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 293 | $61,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 2,503 | $61,000 | thousands by filing date | |
| VIRTUS EQUITY & CONV INCM FD | 92841M101 | COM | 2,204 | $61,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 1,153 | $61,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 2,248 | $61,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 800 | $61,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 2,122 | $60,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 658 | $60,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 2,664 | $60,000 | thousands by filing date | |
| TRAVEL PLUS LEISURE CO COM | 894164102 | Stock | 987 | $60,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 3,337 | $60,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 367 | $60,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 204 | $60,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 146 | $60,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 1,035 | $60,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 5,325 | $60,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 3,270 | $60,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 8,000 | $60,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 565 | $60,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 1,060 | $60,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 29,200 | $60,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 329 | $59,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 2,129 | $59,000 | thousands by filing date | |
| HIMS & HERS HEALTH INC | 433000106 | COM CL A | 4,500 | $59,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 3,434 | $59,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 2,060 | $59,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP II | 53804W106 | COM CL A | 6,000 | $59,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 2,255 | $58,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 879 | $58,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 7,553 | $58,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 1,216 | $58,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 2,068 | $58,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 2,157 | $58,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 2,275 | $58,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 10,000 | $58,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 5,228 | $57,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 3,121 | $57,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 335 | $57,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F847 | FT VEST US EQT | 1,579 | $57,000 | thousands by filing date | |
| ARK ETF TR | 00214Q807 | SPACE & DEFENSE | 2,800 | $57,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 2,885 | $57,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 2,690 | $56,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 230 | $56,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 601 | $56,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 924 | $56,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 1,101 | $55,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 1,936 | $55,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 1,260 | $55,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 5,405 | $55,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 115 | $55,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 1,758 | $55,000 | thousands by filing date | |
| CORSAIR GAMING INC | 22041X102 | COM | 1,682 | $55,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 855 | $55,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 290 | $55,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 1,647 | $55,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 1,050 | $55,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 1,715 | $55,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 471 | $54,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 850 | $54,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q647 | MUNICIPAL ETF | 1,000 | $54,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 1,186 | $54,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 240 | $54,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F839 | FT VEST US EQT | 1,612 | $54,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 13,000 | $54,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 1,127 | $54,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 258 | $53,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 571 | $53,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 4,815 | $53,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 9,500 | $53,000 | thousands by filing date | |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 953 | $52,000 | thousands by filing date | |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 1,182 | $52,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 846 | $52,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 918 | $52,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 5,503 | $52,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 4,611 | $52,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 800 | $52,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 3,600 | $52,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 3,535 | $52,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F748 | FT VEST US EQT | 1,500 | $52,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 6,881 | $52,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 11,248 | $52,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 51,000 | $52,000 | thousands by filing date | |
| Natural Order Acquisition Corp | 63889L206 | Equity | 5,000 | $52,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 11 | $51,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 563 | $51,000 | thousands by filing date | |
| VIRTUS CONVERTIBLE & INC 202 | 92838R105 | COM | 5,000 | $51,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 833 | $51,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 1,684 | $51,000 | thousands by filing date | |
| WIMI HOLOGRAM CLOUD INC | 97264L100 | SPON ADS CL B | 7,729 | $51,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 2,357 | $50,000 | thousands by filing date | |
| BLACKROCK TECH AND PRIVATE E | 09260Q108 | SHS BEN INT | 2,500 | $50,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 626 | $50,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 973 | $50,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 3,126 | $50,000 | thousands by filing date | |
| OPEN LENDING CORP | 68373J104 | COM | 1,420 | $50,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 1,858 | $50,000 | thousands by filing date | |
| USHG ACQUISITION CORP | 91748P209 | COMMON STOCK | 5,000 | $50,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J101 | SHS CL A | 5,000 | $50,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 2,970 | $49,000 | thousands by filing date | |
| RIVERNORTH FLEXIBLE MUNI INC | 76883Y107 | COM | 2,493 | $49,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 883 | $49,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 3,711 | $49,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 1,554 | $49,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 193 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 436 | $49,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 3,538 | $49,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 5,550 | $48,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 3,715 | $48,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 877 | $48,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 79 | $48,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 3,000 | $48,000 | thousands by filing date | |
| EXECUTIVE NETWORK PARTNERING | 30158L100 | CMN | 5,000 | $48,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 1,539 | $48,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 192 | $47,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 2,914 | $47,000 | thousands by filing date | |
| SPS COMM INC COM | 78463M107 | Stock | 480 | $47,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 1,055 | $47,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 610 | $47,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 932 | $47,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 825 | $46,000 | thousands by filing date | |
| C3 AI INC | 12468P104 | CL A | 700 | $46,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 2,569 | $46,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 4,000 | $46,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 1,250 | $46,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 35,000 | $46,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 606 | $45,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 5,000 | $45,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 1,124 | $45,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 461 | $45,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 3,782 | $45,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 908 | $45,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 1,495 | $45,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 257 | $45,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,500 | $45,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 40,000 | $45,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,000 | $45,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 4,878 | $45,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 3,500 | $45,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 460 | $44,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 284 | $44,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 647 | $44,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 1,474 | $44,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 1,177 | $44,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 1,100 | $44,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,500 | $44,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 1,000 | $44,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 781 | $43,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 4,333 | $43,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 884 | $43,000 | thousands by filing date | |
| ROBLOX CORP CL A | 771049103 | Stock | 672 | $43,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,830 | $43,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 4,804 | $43,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 396 | $43,000 | thousands by filing date | |
| NOV INC | 62955J103 | COM | 3,159 | $43,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,024 | $43,000 | thousands by filing date | |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 950 | $43,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 4,560 | $43,000 | thousands by filing date | |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 15,000 | $43,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 1,387 | $43,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 2,530 | $42,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 116 | $42,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 1,494 | $42,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 236 | $42,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 3,794 | $42,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 5,050 | $42,000 | thousands by filing date | |
| FALCON CAPITAL ACQUISITN COR | 30606L108 | COM CL A | 4,300 | $42,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 1,857 | $41,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 1,329 | $41,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 265 | $41,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 1,390 | $41,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 1,102 | $41,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 646 | $41,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 15,538 | $41,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 2,820 | $41,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 900 | $41,000 | thousands by filing date | |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 35,000 | $41,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 41,000 | $41,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 693 | $40,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 1,447 | $40,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 468 | $40,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 7,731 | $40,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 7,105 | $40,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 271 | $40,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 1,500 | $40,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 2,790 | $40,000 | thousands by filing date | |
| TERMINIX GLOBAL HOLDINGS INC COM | 88087E100 | Stock | 867 | $40,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 22,000 | $40,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 850 | $39,000 | thousands by filing date | |
| ROCKET COS INC | 77311W101 | COM CL A | 1,705 | $39,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 1,373 | $39,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 220 | $39,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 432 | $39,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 2,405 | $39,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 6,445 | $39,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 3,010 | $39,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 997 | $39,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 420 | $39,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 606 | $39,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 4,052 | $39,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 26,000 | $39,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 40,000 | $39,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000315123-21-000007 | this filing | 2021-05-11 | acceptance time not in the bulk data set |