13F-HR filed by B. Riley Wealth Advisors, Inc.
B. Riley Wealth Advisors, Inc. filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 472 holding rows worth $272,715,000.
- Accession
- 0000910472-14-005123
- Filer
- CIK 1464811
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 475 entries on the cover page, a total value of $272,715,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $272,715,000 with VALUE read as thousands by filing date, 13F file number 028-13634. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| APPLE INC | 37833100 | COM | 110,921 | $10,859,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Procter & Gamble Co | 742718109 | COM | 65,914 | $5,520,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 120,552 | $4,284,000 | thousands by filing date | |
| JNL/WMC Balanced | JD9U6ISI9 | Other | 103,413 | $4,088,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 37,560 | $4,003,000 | thousands by filing date | |
| IJH | 464287507 | COM | 28,743 | $3,930,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC. CLASS B | 84670702 | COM | 27,267 | $3,766,000 | thousands by filing date | The CUSIP as filed is malformed. |
| GUARANTEED ACCOUNT - 1 YR | JNL041000 | Short Bond | 3,752,115 | $3,752,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 619,440 | $3,661,000 | thousands by filing date | |
| JNL/Neuberger Strat Income | 1A2HA5ZV5 | Other | 324,067 | $3,443,000 | thousands by filing date | |
| OPPENHEIMER SR FLOATING RATE | 68381K101 | CL A | 413,644 | $3,425,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 69,705 | $3,311,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 110,350 | $2,945,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 56,689 | $2,833,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 90,402 | $2,674,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 57,535 | $2,643,000 | thousands by filing date | |
| JNL/GS Core Plus Bond | JE1EGZ0SX | Other | 100,535 | $2,585,000 | thousands by filing date | |
| JNL/PPM America Fl Rate Income | 185KK1F4H | Other | 235,316 | $2,550,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 12,208 | $2,077,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 34,264 | $2,031,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 52,678 | $1,985,000 | thousands by filing date | |
| John Hancock Funds II Global Absolute A | 47804M886 | Mutual Fund | 172,589 | $1,971,000 | thousands by filing date | |
| JNL/WMC Balanced Fund | JD9U6IU1T | Other | 51,390 | $1,954,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 28,970 | $1,924,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 358,056 | $1,794,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 29,580 | $1,782,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 15,757 | $1,774,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 22,367 | $1,712,000 | thousands by filing date | |
| JNL/PPM America High Yld Bond | JHCUE9CR5 | Other | 83,549 | $1,697,000 | thousands by filing date | |
| JNL/Neuberger Strat Income | 1A2HA61EP | Other | 156,620 | $1,656,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 19,728 | $1,645,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 33,256 | $1,634,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 18,566 | $1,621,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 30,549 | $1,563,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 25,613 | $1,560,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 30,365 | $1,552,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 13,897 | $1,520,000 | thousands by filing date | |
| Hotchkis & Wiley Capital Income A | 44134R693 | Balanced | 117,293 | $1,517,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 22,939 | $1,487,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 58,977 | $1,484,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 4,200,000 | $1,470,000 | thousands by filing date | |
| Bank of America | 60505104 | COM | 86,047 | $1,432,000 | thousands by filing date | The CUSIP as filed is malformed. |
| JNL/S&P Intrinsic Val | JZLRZC6HD | Other | 67,588 | $1,417,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 15,159 | $1,391,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 130,472 | $1,374,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 13,131 | $1,343,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 17,172 | $1,287,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 20,127 | $1,255,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 24,192 | $1,247,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 24,022 | $1,246,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 51,260 | $1,245,000 | thousands by filing date | |
| BOEING CO. | 97023105 | COM | 9,591 | $1,222,000 | thousands by filing date | The CUSIP as filed is malformed. |
| JNL/Goldman Sachs Core Plus Bond Fund | JE1EGZ2CH | Other | 48,342 | $1,196,000 | thousands by filing date | |
| JNL/PPM America Fl Rate Income | 185KK1GO1 | Other | 109,874 | $1,186,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 29,064 | $1,149,000 | thousands by filing date | |
| Putnam Income Fund | 746792100 | MUTUAL FUND | 156,566 | $1,137,000 | thousands by filing date | |
| BP PLC ADR | 55622104 | COM | 25,201 | $1,130,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 29,990 | $1,127,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 13,335 | $1,116,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 118,768 | $1,113,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 49,371 | $1,109,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 47,791 | $1,107,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 9,922 | $1,107,000 | thousands by filing date | |
| JNL/WMC BALANCED | JD9U6ITA1 | Other | 28,337 | $1,099,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 11,240 | $1,098,000 | thousands by filing date | |
| LORD ABBETT SHORT DURATION INCOME A | 543916100 | NTF BOND FUNDS | 239,464 | $1,080,000 | thousands by filing date | |
| SunAmerica Senior Floating Rate A | 86703X502 | Bank Loan | 128,277 | $1,053,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 8,394 | $1,027,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 102,748 | $1,017,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 4,476 | $955,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 10,475 | $949,000 | thousands by filing date | |
| JNL/MCM Hlthcare Sector | JNZQ8U0NL | Other | 39,486 | $947,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT I | 42315101 | EQUITY | 244,953 | $943,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 14,245 | $936,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 48,771 | $935,000 | thousands by filing date | |
| JNL/NEUBERGER STRAT INCOME | 1A2HA60MX | Other | 87,407 | $930,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 21,268 | $927,000 | thousands by filing date | |
| JNL/MCM Nasdaq 25 | JSBX81ZO1 | Other | 45,459 | $925,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 8,140 | $918,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 7,522 | $905,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 25,735 | $900,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 8,603 | $897,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 7,887 | $886,000 | thousands by filing date | |
| AMAZON.COM INC | 23135106 | COM | 2,746 | $885,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DELAWARE IVY HIGH INCOME CL I | 466000122 | INCOME CL I | 104,109 | $885,000 | thousands by filing date | |
| AIM BALANCED RISK ALL | 00141V697 | MUTUAL | 70,639 | $872,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 21,556 | $860,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 13,450 | $846,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 21,243 | $844,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 8,963 | $841,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 11,855 | $830,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 13,979 | $829,000 | thousands by filing date | |
| JNL/PPM America High Yield Bond Fund | JHCUE9EAP | Other | 42,097 | $827,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 8,342 | $824,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 10,855 | $820,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 7,409 | $814,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 14,740 | $812,000 | thousands by filing date | |
| LOOMIS SAYLES BOND RETAIL | 543495832 | BOND | 52,556 | $810,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 7,938 | $791,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 9,709 | $789,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 16,000 | $773,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 6,966 | $771,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 11,915 | $762,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 106,170 | $740,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 7,547 | $732,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 8,552 | $720,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 58,191 | $713,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 84,450 | $708,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 2,559 | $701,000 | thousands by filing date | |
| JNL/GS CORE PLUS BOND | JE1EGZ1KP | Other | 27,566 | $696,000 | thousands by filing date | |
| JNL/PPM AMERICA FL RATE INCOME | 185KK1FW9 | Other | 63,642 | $690,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 11,868 | $685,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 27,560 | $681,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 6,780 | $664,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 5,890 | $663,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 7,045 | $656,000 | thousands by filing date | |
| JNL/S&P Intrinsic Value | JZLRZC80X | Other | 31,351 | $656,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 11,580 | $653,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 6,701 | $635,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 6,069 | $611,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 11,280 | $607,000 | thousands by filing date | |
| American Express | 25816109 | COM | 6,883 | $603,000 | thousands by filing date | The CUSIP as filed is malformed. |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 356,190 | $598,000 | thousands by filing date | |
| MACQUARIE ASSET STRATEGY FUND CL A | 466000759 | NTF EQUITY FUNDS | 19,538 | $596,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 7,423 | $594,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 48,689 | $587,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 1881E101 | COM | 78,213 | $587,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 7,503 | $568,000 | thousands by filing date | |
| ASTRAZENECA PLC | 46353108 | ADR | 7,892 | $563,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ISHARES TR | 464287754 | US INDUSTRIALS | 5,534 | $560,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 9,023 | $559,000 | thousands by filing date | |
| BANK OF NEW YORK MELLON CORP | 64058100 | COM | 14,413 | $558,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 13,098 | $551,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 12,330 | $550,000 | thousands by filing date | |
| ANNALY MORTGAGE MANAGEMENT | 35710409 | COM | 50,808 | $542,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 1,701 | $536,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 6,565 | $535,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 51,974 | $534,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 15,812 | $528,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 1,589 | $526,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 4,370 | $522,000 | thousands by filing date | |
| T. ROWE PRICE CAPITAL APPRECIATION FUND ADVISOR CLASS | 77954M204 | Mutual Fund | 19,059 | $519,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 14,700 | $516,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 8,710 | $513,000 | thousands by filing date | |
| KODIAK OIL & GAS CORP | 50015Q100 | COM | 37,200 | $505,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 4,280 | $504,000 | thousands by filing date | |
| VTI | 922908769 | COM | 4,946 | $501,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 4,720 | $500,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 6,901 | $495,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 6,403 | $485,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 21,652 | $483,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 3,587 | $482,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 4,408 | $479,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 6,011 | $478,000 | thousands by filing date | |
| JNL/MCM Hlthcare Sector | JNZQ8U275 | Other | 20,072 | $477,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 11,740 | $472,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 8,380 | $472,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 37,843 | $463,000 | thousands by filing date | |
| JNL/PPM AMERICA HIGH YLD BOND | JHCUE9DIX | Other | 23,002 | $463,000 | thousands by filing date | |
| JNL/Mellon Capital Nasdaq 25 | JSBX8217L | Other | 22,866 | $463,000 | thousands by filing date | |
| AMG YACKTMAN I | 00170K588 | EQUITY FUNDS | 18,562 | $461,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 9,251 | $459,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 12,475 | $458,000 | thousands by filing date | |
| JNL/WMC Balanced Fund | JD9U6IXAH | Other | 13,047 | $457,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 7,130 | $454,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 12,080 | $452,000 | thousands by filing date | |
| AMERICAN WATER WORKS CO INC | 30420103 | COM | 9,245 | $446,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 3,774 | $443,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403102 | Cmn | 196,500 | $442,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 11,311 | $434,000 | thousands by filing date | |
| AG MTG INVT TR INC COM | 1228105 | COM | 24,345 | $433,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ACTAVIS PLC | G0083B108 | SHS | 1,773 | $428,000 | thousands by filing date | |
| JNL/S&P INTRINSIC VAL | JZLRZC795 | Other | 20,267 | $427,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 4,761 | $425,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 9,586 | $425,000 | thousands by filing date | |
| ALLIANZGI CONV & INCOME FD II | 18825109 | COMMON | 46,435 | $424,000 | thousands by filing date | The CUSIP as filed is malformed. |
| POWERSHARES | 73935X286 | COMMON STOCK | 9,372 | $419,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 7,809 | $415,000 | thousands by filing date | |
| MACQUARIE SCIENCE AND TECHNOLOGY A | 466000718 | NTF EQUITY FUNDS | 7,733 | $414,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 5,525 | $413,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 4,190 | $408,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 7,330 | $405,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 17,944 | $404,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 4,403 | $403,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 5,262 | $402,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 4,599 | $397,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 4,020 | $394,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 6,110 | $394,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 5,649 | $390,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 2,579 | $390,000 | thousands by filing date | |
| Ivy Fds High Income Cl A | 466000668 | Mutual Fund | 45,914 | $390,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 16,178 | $387,000 | thousands by filing date | |
| JNL/NEUBERGER STRAT INCOME | 1A2HA64ND | Other | 36,839 | $387,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 6,931 | $384,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 65,797 | $384,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 12,690 | $382,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 9,952 | $381,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 5,926 | $377,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 4,439 | $375,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 1,802 | $374,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 15,900 | $373,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 3,080 | $371,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 23,978 | $368,000 | thousands by filing date | |
| ARCHER-DANIELS-MIDLAND | 39483102 | COM | 7,191 | $367,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ALLSTATE CORP | 20002101 | OPTION | 5,953 | $365,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ALCOA, INC. | 13817101 | COM | 22,431 | $361,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 50,870 | $360,000 | thousands by filing date | |
| AMERICAN ELECTRIC POWER | 25537101 | COM | 6,862 | $358,000 | thousands by filing date | The CUSIP as filed is malformed. |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 10,866 | $357,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 17,182 | $357,000 | thousands by filing date | |
| LORD ABBETT SHORT DURATION INCOME F | 543916464 | Mutual Fund | 78,994 | $355,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 4,052 | $354,000 | thousands by filing date | |
| T. ROWE PRICE CAPITAL APPRECIATION | 77954M105 | NTF EQUITY FUNDS | 12,871 | $354,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 11,612 | $353,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,408 | $351,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 6,250 | $346,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 6,050 | $346,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 16,418 | $343,000 | thousands by filing date | |
| ABBOTT LABORATORIES | 2824100 | COM | 8,220 | $342,000 | thousands by filing date | The CUSIP as filed is malformed. |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 3,151 | $337,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 4,696 | $337,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 25,832 | $337,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 10,300 | $337,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 10,486 | $336,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 2,564 | $336,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 5,691 | $335,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 4,437 | $334,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 20,952 | $333,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 2,802 | $329,000 | thousands by filing date | |
| BLACKROCK GLOBAL | 92501105 | COM | 23,299 | $329,000 | thousands by filing date | The CUSIP as filed is malformed. |
| BB&T CORPORATION | 54937107 | COM | 8,799 | $328,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 5,798 | $326,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 1,779 | $325,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 5,755 | $325,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 3,783 | $324,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 2,114 | $324,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 4,030 | $321,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 3,201 | $320,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 7,839 | $320,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 33,004 | $319,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 3,253 | $319,000 | thousands by filing date | |
| PIMCO FDS INCOME FD CL A | 72201F474 | MUTUAL | 25,194 | $318,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 5,915 | $317,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 6,999 | $316,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 2,407 | $316,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 3,697 | $314,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 528 | $310,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 7,122 | $310,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 12,750 | $308,000 | thousands by filing date | |
| Automatic Data Processing | 53015103 | COM | 3,700 | $307,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ALLIANCE DATA SYSTEMS CORP | 18581108 | COM | 1,236 | $307,000 | thousands by filing date | The CUSIP as filed is malformed. |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 2,346 | $306,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 10,735 | $303,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 20,900 | $303,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 250 | $301,000 | thousands by filing date | |
| Invesco Tax-Free Intermediate Y | 1419837 | Intermediate Muni | 25,854 | $300,000 | thousands by filing date | The CUSIP as filed is malformed. |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 22,263 | $297,000 | thousands by filing date | |
| AMERICAN INTERNATIONAL GROUP INC | 26874784 | COM | 5,487 | $296,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 8,774 | $293,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 3,471 | $293,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 9,097 | $291,000 | thousands by filing date | |
| JNL/Goldman Sachs Core Plus Bond Fund | JE1EGZ5L5 | Other | 12,718 | $290,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 7,210 | $288,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 8,381 | $287,000 | thousands by filing date | |
| JNL/PPM America Fl Rate Income | 185KK1JWP | Other | 27,067 | $287,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 3,160 | $285,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 3,069 | $282,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 13,225 | $282,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 1,764 | $279,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 2,941 | $279,000 | thousands by filing date | |
| PRUDENTIAL GLOBAL REAL EST-A | 744336108 | Open-End Fund | 11,965 | $278,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 2,744 | $275,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 4,745 | $275,000 | thousands by filing date | |
| BLACKROCK MULTI-ASSET INCOME PORTFOLIO INSTITUTIONAL CLASS | 09256H336 | OPEN END TAXABLE NO LOAD FUND | 24,007 | $272,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 25,009 | $272,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 8,770 | $270,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 22,700 | $268,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 4,600 | $267,000 | thousands by filing date | |
| AFLAC INC. | 1055102 | COM | 4,594 | $267,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PIMCO TOTAL RETURN A | 693390445 | USD | 24,451 | $266,000 | thousands by filing date | |
| ANADARKO PETE CORP | 32511107 | COM | 2,622 | $266,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 11,300 | $265,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 48,700 | $265,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 3,863 | $264,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 7,100 | $264,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 10,687 | $263,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 19,300 | $263,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 2,193 | $262,000 | thousands by filing date | |
| ALPINE TTL DYNAMIC NEW | 21060207 | ETF/Closed End | 30,689 | $261,000 | thousands by filing date | The CUSIP as filed is malformed. |
| WP CAREY INC COM | 92936U109 | REIT | 4,083 | $260,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 4,517 | $260,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 5,828 | $259,000 | thousands by filing date | |
| JNL/MELLON CAPITAL HLTHCARE SECTOR | JNZQ8U1FD | Other | 10,750 | $259,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 5,436 | $258,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 4,798 | $258,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,817 | $257,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 3,535 | $256,000 | thousands by filing date | |
| JNL/Mellon Capital Nasdaq 25 | JSBX820FT | Other | 12,310 | $252,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 21,233 | $251,000 | thousands by filing date | |
| BLACKROCK EQUITY DIVIDEND - A | 09251m108 | MUT | 9,970 | $251,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 64,619 | $249,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 18,700 | $249,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 1,964 | $247,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 3,222 | $247,000 | thousands by filing date | |
| DWS GLOBAL INFRASTRUCTURE FD-A | 25156A874 | Mutual Fund | 15,974 | $246,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 1,800 | $245,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 3,305 | $245,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 4,087 | $245,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 9,629 | $243,000 | thousands by filing date | |
| CEPHEID | 15670R107 | COM | 5,500 | $242,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROW | 92524107 | COM BENE INTER | 31,985 | $241,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 1,605 | $237,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,219 | $237,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 11,200 | $237,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 2,430 | $236,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,193 | $235,000 | thousands by filing date | |
| Mutual Global Discovery Securities Fund | HLUJ60175 | Global Equity | 16,883 | $234,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,990 | $233,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 23,221 | $229,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 4,939 | $228,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 37,950 | $228,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 2,092 | $225,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 5,383 | $224,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,444 | $224,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 9,745 | $223,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 3,317 | $220,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 4,218 | $219,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 2,003 | $218,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 2,688 | $218,000 | thousands by filing date | |
| UBS AG | H89231338 | SHS | 12,538 | $218,000 | thousands by filing date | |
| Boardwalk Pipeline Ptnrs | 96627104 | UT LTD PARTNER | 11,680 | $218,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 3,884 | $214,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 8,798 | $214,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 1,585 | $213,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 4,894 | $213,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,240 | $211,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,479 | $210,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,131 | $209,000 | thousands by filing date | |
| INVESCO V.I. CORE EQUITY FUND | HLC160175 | Other | 14,312 | $208,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 20,330 | $204,000 | thousands by filing date | |
| AMR International HLS | HLLN60175 | Global Equity | 20,425 | $204,000 | thousands by filing date | |
| AMR New World HLS | HLMZ60175 | Other | 19,728 | $204,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,296 | $203,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 3,150 | $203,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,144 | $201,000 | thousands by filing date | |
| VANGUARD MUN BD FD | 922907845 | SHS | 17,943 | $201,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 16,257 | $201,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 13,392 | $199,000 | thousands by filing date | |
| Virtus Seix Fltg Rt Incm Cl I | 76628t678 | US TAXABLE BOND FUNDS | 22,144 | $198,000 | thousands by filing date | |
| AMR Asset Allocation | HL9N30240 | Other | 11,448 | $197,000 | thousands by filing date | |
| Jpmorgan NY Tax Free Bd Sel | 4812A0789 | Intermediate Muni | 26,581 | $195,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 13,277 | $194,000 | thousands by filing date | |
| JNL/PPM America High Yield Bond Fund | JHCUE9HJD | Other | 10,367 | $192,000 | thousands by filing date | |
| Franklin Strategic Income Securities | HLNY60175 | Large-Cap Value | 14,108 | $190,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 16,458 | $183,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 12,539 | $181,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 109,570 | $180,000 | thousands by filing date | |
| INVESCO V.I. SMALL CAP EQUITY FUND | HLGC60175 | Other | 11,385 | $179,000 | thousands by filing date | |
| HEALTHCARE TRUST OF AMERICA | 42225P105 | COMMON STOCK | 14,931 | $173,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 11,848 | $171,000 | thousands by filing date | |
| INVESCO BALANCED-RISK ALLOCATION A | 00141V747 | COM | 13,921 | $170,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 41,000 | $169,000 | thousands by filing date | |
| AMER INCOME FD INSTL | 28837763 | MUTUAL | 13,904 | $167,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 11,682 | $166,000 | thousands by filing date | |
| PIMCO Fds Fundamental Indexplus Tr Cl A | 72201F888 | Mutual Fund | 23,607 | $166,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 16,791 | $164,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 10,743 | $160,000 | thousands by filing date | |
| AMER RLTY CAP HEALTHCAR TR INC COM | 02917R108 | COM | 15,000 | $157,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 11,744 | $155,000 | thousands by filing date | |
| VANGUARD INFLATION-PROTECTED SECS INV | 922031869 | BOND FUNDS | 11,486 | $153,000 | thousands by filing date | |
| JNL/NEUBERGER STRAT INCOME | 1A2HA5YPH | Other | 13,585 | $145,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 17,150 | $143,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 25,330 | $142,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 58,603 | $138,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 10,134 | $137,000 | thousands by filing date | |
| BLACKROCK NATIONAL MUNICIPAL F | 09253C603 | MF | 12,204 | $134,000 | thousands by filing date | |
| BLACKROCK MULTI-ASSET INCOME INVESTOR A | 09256H351 | NTF EQUITY FUNDS | 11,850 | $134,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 10,165 | $133,000 | thousands by filing date | |
| JNL/Neuberger Berman Strategic Income | 1A2HA61Y4 | Other | 12,589 | $133,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 82,112 | $131,000 | thousands by filing date | |
| Atmel Corp. | 49513104 | COM | 19,000 | $129,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MIMEDX GROUP INC | 602496101 | COM | 18,000 | $128,000 | thousands by filing date | |
| Aberdeen Asia-Pacific Inc. Fnd | 3009107 | COM | 21,567 | $127,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 41,366 | $126,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 28,800 | $124,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 37,362 | $123,000 | thousands by filing date | |
| PIMCO ALL ASSET ALL AUTHORITY | 72200Q190 | Equity Mutual Fu | 12,457 | $123,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 10,396 | $122,000 | thousands by filing date | |
| AMR Global Small Capitalization HLS | HLIR60175 | Other | 10,724 | $119,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 12,473 | $117,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 11,038 | $117,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 10,750 | $114,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 13,930 | $114,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 15,103 | $109,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 10,050 | $108,000 | thousands by filing date | |
| BLACKROCK FUNDS II, STRATEGIC | 09256h286 | MUT | 10,367 | $107,000 | thousands by filing date | |
| NY Fixed Acc - 3 Percent Minimum | HF1F40000 | Other | 105,225 | $105,000 | thousands by filing date | |
| ARCH COAL INC. | 39380100 | COM | 46,436 | $98,000 | thousands by filing date | The CUSIP as filed is malformed. |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 18,575 | $94,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $89,000 | thousands by filing date | |
| Ivy Funds Inc Muni High Income Cl A | 466001849 | Mutual Fund | 16,732 | $88,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 35,520 | $83,000 | thousands by filing date | |
| GRO FIXD | PRUGR7000 | Other | 83,200 | $83,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 22,982 | $80,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 38,100 | $80,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 40,000 | $80,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,700 | $76,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 13,320 | $74,000 | thousands by filing date | |
| OPPENHEIMER STRATEG FD INCOME | 68380K102 | MF | 17,223 | $71,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 10,738 | $70,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 17,833 | $68,000 | thousands by filing date | |
| KBS REAL ESTATE INV TRUST II | 48243C109 | COMMON STOCK | 10,000 | $61,000 | thousands by filing date | |
| Ivy Muni High Income Fund Cl I | 466001757 | INX | 11,617 | $61,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 14,500 | $60,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 30,142 | $60,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 48,050 | $57,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 11,346 | $55,000 | thousands by filing date | |
| New York N Y City Hsg Dev Corp | 64970MZA4 | Long Muni | 50,000 | $51,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 17,767 | $48,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC. | 40047102 | COM | 10,600 | $44,000 | thousands by filing date | The CUSIP as filed is malformed. |
| UNILIFE CORP NEW | 90478E103 | COM | 16,500 | $38,000 | thousands by filing date | |
| New York N Y | 64966LQF1 | Short Muni | 35,000 | $38,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 90,000 | $35,000 | thousands by filing date | |
| Amerenenergy Generating Co | 02360XAL1 | High Yield | 35,000 | $33,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 10,000 | $30,000 | thousands by filing date | |
| New York St Energy Resh & Dev Ref Rev B | 649845ED2 | Long Muni | 30,000 | $30,000 | thousands by filing date | |
| Aegon Funding Corp | 007634AA6 | Intermediate Bond | 25,000 | $29,000 | thousands by filing date | |
| Invesco V.I. Government Securities Fund | HLBI30185 | Intermediate Bond | 20,964 | $28,000 | thousands by filing date | |
| New York N Y City Transitional | 64972HNJ7 | Long Muni | 25,000 | $27,000 | thousands by filing date | |
| Morgan Stanley D W Disc Srmtns | 61745E5R8 | Long Bond | 25,000 | $26,000 | thousands by filing date | |
| United States Treas Nts TIPS 01.875%15 TIPS 01.875%15 | 912828EA4 | Short Bond | 20,000 | $25,000 | thousands by filing date | |
| Morgan Stanley D W Disc Srmtns | 61745EG70 | Short Bond | 23,000 | $23,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 40,000 | $22,000 | thousands by filing date | |
| US TREASU NT | 912810FB9 | BTR | 15,000 | $21,000 | thousands by filing date | |
| Amarin Corp Plc New Adrf | 23111206 | SPONS ADR NEW | 18,150 | $20,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DENDREON CORP | 24823Q107 | COM | 13,215 | $19,000 | thousands by filing date | |
| New York N Y | 64966G4F6 | Long Muni | 15,000 | $17,000 | thousands by filing date | |
| HP INC. 4.0522 | 428236BX0 | BCO | 15,000 | $16,000 | thousands by filing date | |
| New York N Y Go Bds | 64966G4L3 | Long Muni | 15,000 | $16,000 | thousands by filing date | |
| New York N Y City Transitional | 64971MEC2 | Long Muni | 15,000 | $16,000 | thousands by filing date | |
| New York N Y City Mun Wtr Fin Rev Bds | 64972FBZ8 | Long Muni | 15,000 | $16,000 | thousands by filing date | |
| Oyster Bay N Y | 692160BK9 | Short Muni | 15,000 | $16,000 | thousands by filing date | |
| Winter Garden Fla Sales Tax Re | 975778AU5 | Long Muni | 15,000 | $16,000 | thousands by filing date | |
| Bank Of America Corp | 06048WFQ8 | Interm. Bond | 15,000 | $15,000 | thousands by filing date | |
| Birmingham Ala Wtrwks Brd Wtr | 091096BF3 | Intermediate Muni | 13,000 | $15,000 | thousands by filing date | |
| Block Finl Corp | 093662AC8 | Short Bond | 15,000 | $15,000 | thousands by filing date | |
| Miami Dade Cnty Fla Solid Wast Solid Was | 59333WBC6 | Short Muni | 15,000 | $15,000 | thousands by filing date | |
| Illinois St Go Bds | 452151MW0 | Intermediate Muni | 15,000 | $15,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 14,000 | $14,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 10,562 | $13,000 | thousands by filing date | |
| Orlando & Orange Cnty Expwy Au | 686543QW2 | Long Muni | 12,500 | $13,000 | thousands by filing date | |
| Ohio St | 677520UZ9 | Short Muni | 11,000 | $12,000 | thousands by filing date | |
| Salt Verde Finl Corp Sr Gas Re | 79575EAL2 | Long Muni | 10,000 | $12,000 | thousands by filing date | |
| NATIONAL HOLDINGS | 636375107 | COM | 23,526 | $11,000 | thousands by filing date | |
| Ba Mtg Trust 2006-2 | 05950GAS2 | High Yield | 20,000 | $11,000 | thousands by filing date | |
| Miami-Dade Cnty Fla Aviation R Aviation | 59333PSZ2 | Long Muni | 10,000 | $11,000 | thousands by filing date | |
| New York N Y City Mun Wtr Fin | 64972FD29 | Long Muni | 10,000 | $11,000 | thousands by filing date | |
| Ulster Cnty N Y | 903766VX8 | Long Muni | 10,000 | $11,000 | thousands by filing date | |
| Commercial Metals Co | 201723AH6 | High Yield | 10,000 | $11,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 34,306 | $10,000 | thousands by filing date | |
| American Apparel Inc | 23850100 | CS | 12,500 | $10,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DELL INC | 24702RAQ4 | COM | 10,000 | $10,000 | thousands by filing date | |
| Bmc Software Inc | 055921AA8 | High Yield | 10,000 | $10,000 | thousands by filing date | |
| Butler Cnty Ohio Hosp Facs Rev Hosp Fac | 123550FF7 | Long Muni | 10,000 | $10,000 | thousands by filing date | |
| New York N Y City Mun Wtr Fin | 64972F8E9 | Short Muni | 10,000 | $10,000 | thousands by filing date | |
| New York St Environmental Facs | 64986A4X6 | Long Muni | 10,000 | $10,000 | thousands by filing date | |
| Suffolk Cnty N Y | 864766V98 | Long Muni | 10,000 | $10,000 | thousands by filing date | |
| Dade Cnty Fla Hsg Fin Auth Mul | 233911KD7 | Long Muni | 10,000 | $10,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,000 | $9,000 | thousands by filing date | |
| ATLATSA RES CORP | 49477102 | COM | 10,651 | $3,000 | thousands by filing date | The CUSIP as filed is malformed. |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 52,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| App Fin II Mauritius Ltd | 00202RAB2 | International Bond | 35,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000910472-14-005123 | this filing | 2014-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000910472-14-005227 | base | 2014-11-20 | acceptance time not in the bulk data set |