13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 5,979 holding rows worth $152,439,593,000.
- Accession
- 0000950123-13-009529
- Filer
- CIK 820027
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A combination report, 8,892 entries on the cover page, a total value of $152,439,593,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $152,439,593,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAmeriprise Financial, Inc. 028-00139
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Company 028-01045
- reports for this filerAmeriprise Certificate Company 028-00140
- reports for this filerRiverSource Life Insurance Company 028-00143
- reports for this filerRiverSource Life Insurance Company of New York 028-01046
- reports for this filerThreadneedle Asset Management Limited 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerAmeriprise Financial, Inc. 028-00139
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Company 028-01045
- included managerAmeriprise Certificate Company 028-00140
- included managerRiverSource Life Insurance Company 028-00143
- included managerRiverSource Life Insurance Company of New York 028-01046
- included managerThreadneedle Asset Management Limited 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
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 |
|---|---|---|---|---|---|---|
| HEALTHCARE TRUST OF AMERICA | 42225P105 | COMMON STOCK | 31,173 | $328,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 33,486 | $326,000 | thousands by filing date | |
| ING INFRASTRUCTURE INDLS & M | 45685U100 | COM | 19,311 | $326,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 27,433 | $325,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 10,305 | $323,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 54,797 | $323,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 71,956 | $322,000 | thousands by filing date | |
| LUCENT TECHNOLOGIES CAPITAL TR | 549462307 | CONV PRF | 320 | $321,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 7,799 | $319,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 50,159 | $318,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 11,077 | $318,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748WAB4 | NOTE 2.375%10/1 | 322,000 | $316,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 11,648 | $316,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 9,724 | $315,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 3,276 | $314,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 48,493 | $311,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 38,638 | $311,000 | thousands by filing date | |
| ISHARES | 464289362 | TR 2014 S\&P.* AMTFR | 6,032 | $311,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 19,757 | $310,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 64,854 | $309,000 | thousands by filing date | |
| SABMillerPLCADS | 78572M105 | COMMON | 5,887 | $308,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 5,532 | $307,000 | thousands by filing date | |
| ALLIANZ SE FUNSPONSORED ADR 1 ADR REPS 0.1 ORD SHS | 018805101 | ADR | 19,549 | $307,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 29,853 | $307,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 153,259 | $307,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 15,375 | $306,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 2,695 | $303,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 322,000 | $303,000 | thousands by filing date | principal |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 9,062 | $302,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 8,064 | $302,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 26,503 | $301,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 51,086 | $298,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 12,249 | $297,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 26,662 | $295,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 30,116 | $294,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 5,925 | $294,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 23,493 | $293,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 11,280 | $291,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 6,020 | $291,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 5,462 | $290,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 10,308 | $290,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 13,651 | $288,000 | thousands by filing date | |
| ISHARES S&P TARGET DATE 2030 | 464289602 | CMN | 7,175 | $287,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 650,778 | $286,000 | thousands by filing date | |
| ROCKWOOD HLDGS INC | 774415103 | COM | 4,237 | $284,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 13,687 | $282,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 10,497 | $280,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 8,838 | $278,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 3,255 | $278,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 6,705 | $278,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 10,894 | $278,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,670 | $277,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 16,329 | $277,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 8,447 | $277,000 | thousands by filing date | |
| TENCENT HLDGS LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 88032Q109 | Equity | 5,270 | $276,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 3,664 | $274,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 4,483 | $274,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 19,456 | $274,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 11,885 | $274,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 3,525 | $272,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 11,583 | $270,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 22,068 | $270,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 64,432 | $269,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 22,081 | $269,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 4,081 | $268,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 12,388 | $268,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 2,485 | $267,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 5,808 | $267,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 22,666 | $266,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 5,037 | $264,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 10,119 | $263,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 5,720 | $262,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 6,972 | $262,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 30,213 | $262,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 20,393 | $262,000 | thousands by filing date | |
| HITACHI LTD | 433578507 | COM | 3,936 | $260,000 | thousands by filing date | |
| ANGLO AMERICAN PLC - UNSPON ADR | 03485P201 | COM | 21,165 | $260,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 20,900 | $259,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 8,812 | $259,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 28,879 | $259,000 | thousands by filing date | |
| MEDIANEWS GROUP | U58991834 | COM | 15,756 | $259,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 23,855 | $258,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 9,764 | $258,000 | thousands by filing date | |
| Hutchison Whampoa Ltd-Adr | 448415208 | Com | 10,748 | $258,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 5,114 | $256,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 18,487 | $255,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 16,269 | $254,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 9,903 | $254,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 3,686 | $254,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 6,318 | $253,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 6,199 | $253,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 51,691 | $252,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 24,441 | $250,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 2,618 | $249,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 18,450 | $249,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 19,750 | $249,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 9,904 | $248,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 9,498 | $247,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 250,000 | $247,000 | thousands by filing date | principal |
| WPP PLC NEW ADR | 92937A102 | ADR | 2,394 | $246,000 | thousands by filing date | |
| DANONE SPONSORED ADR | 23636T100 | COM | 16,257 | $245,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102XAG0 | CNV | 241,000 | $244,000 | thousands by filing date | principal |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 241,000 | $244,000 | thousands by filing date | principal |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 7,963 | $243,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 4,358 | $243,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 15,878 | $242,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 3,462 | $242,000 | thousands by filing date | |
| ISHARES INC | 464286467 | EMKTS GRW IDX | 4,601 | $242,000 | thousands by filing date | |
| NOVATEK OAO-SPONS GDR REG S | 669888109 | COM | 1,834 | $242,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 8,075 | $241,000 | thousands by filing date | |
| Crosstex Energy, Inc. | 22765Y104 | LTD | 11,492 | $241,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 26,239 | $240,000 | thousands by filing date | |
| SCHNEIDER ELEC SA ADR | 80687P106 | COM | 14,128 | $239,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 225,000 | $238,000 | thousands by filing date | principal |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 8,250 | $236,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 197,098 | $236,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 335,000 | $235,000 | thousands by filing date | principal |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 12,606 | $234,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 4,995 | $234,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 12,473 | $234,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 14,493 | $233,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 13,059 | $233,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 11,650 | $233,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 3,420 | $232,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 4,658 | $232,000 | thousands by filing date | |
| MITSUBISHI | 606783207 | USD | 7,848 | $232,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 8,934 | $232,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 20,432 | $231,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 4,630 | $230,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 15,673 | $230,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 16,213 | $229,000 | thousands by filing date | |
| GENMAB A/S | K3967W102 | COM | 5,550 | $228,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 8,997 | $226,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 9,447 | $226,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 3,695 | $225,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 5,054 | $225,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 19,305 | $225,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 3,572 | $224,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 12,783 | $224,000 | thousands by filing date | |
| RECKITT BENCKISER-SPON AD | 756255204 | ADR | 15,071 | $224,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 21,379 | $223,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 12,594 | $223,000 | thousands by filing date | |
| CNH INDUSTRIAL NV | BDX85Z195 | COM | 17,850 | $223,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 18,410 | $221,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 8,836 | $221,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 14,612 | $220,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 7,974 | $219,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 5,222 | $217,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 13,847 | $217,000 | thousands by filing date | |
| ING GROEP NV | 456837806 | PREFERRED STOCK | 8,500 | $217,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 18,067 | $216,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 5,122 | $216,000 | thousands by filing date | |
| AXA SA FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 054536107 | ADR | 9,335 | $216,000 | thousands by filing date | |
| LINDE PLC F | 532771102 | COM | 10,655 | $216,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 12,789 | $215,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 14,969 | $215,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 30,328 | $214,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 10,341 | $213,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 22,885 | $213,000 | thousands by filing date | |
| AEGON NV 6.375 $1.594 PFD | 007924301 | PREFERRED | 9,193 | $213,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 1,644 | $212,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 18,730 | $212,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 16,144 | $211,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 3,973 | $211,000 | thousands by filing date | |
| SEVEN AND I HOLDINGS UNSPN ADR | 81783H105 | COM | 2,901 | $211,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,013 | $210,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 193,188 | $210,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 17,223 | $208,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 31,390 | $208,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 6,828 | $208,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 13,500 | $207,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 23,894 | $206,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 4,707 | $206,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD FD V | 09255N102 | COM | 17,005 | $206,000 | thousands by filing date | |
| CHEUNG KONG HOLDINGS LTD | 166744201 | COM | 13,522 | $206,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 31,101 | $205,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 4,537 | $204,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 5,418 | $203,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 16,035 | $202,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 5,992 | $200,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 8,214 | $200,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 8,305 | $199,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 12,921 | $199,000 | thousands by filing date | |
| FUJIFILM HLDGS CORP ADR | 35958N107 | ADR | 8,271 | $198,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 14,909 | $198,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 12,930 | $198,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 3,478 | $197,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 3,798 | $197,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 3,480 | $197,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 14,408 | $197,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 9,946 | $197,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 100,000 | $197,000 | thousands by filing date | principal |
| TEEKAY CORPORATION | Y8564W103 | COM | 4,581 | $196,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 7,473 | $196,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 2,492 | $195,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 10,288 | $195,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 6,340 | $195,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 9,843 | $194,000 | thousands by filing date | |
| AIR LIQUIDE ADR | 009126202 | COM | 6,960 | $194,000 | thousands by filing date | |
| MITSUBISHI CORP-SPONS ADR | 606769305 | ADR | 4,807 | $194,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 4,100 | $193,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 1,650 | $193,000 | thousands by filing date | |
| DWS STRATEGIC INCOME TR | 23338N104 | SHS | 14,310 | $193,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 7,581 | $192,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 6,403 | $192,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 10,097 | $191,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 7,090 | $190,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 11,644 | $189,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 7,953 | $188,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 5,460 | $187,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 3,908 | $187,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 33,003 | $187,000 | thousands by filing date | |
| Aegon NV 7.25% PFD | N00927348 | PFD | 7,448 | $187,000 | thousands by filing date | |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 3,502 | $186,000 | thousands by filing date | |
| COLUMBIA LG CAP GROWTH ETF | 19761R307 | COM | 5,010 | $186,000 | thousands by filing date | |
| IND & COMM BK OF-UNSPON ADR | 455807107 | COM | 13,286 | $185,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 6,657 | $185,000 | thousands by filing date | |
| BMW UNSPONSORED ADR | 072743206 | ADR | 5,156 | $185,000 | thousands by filing date | |
| GLENCORE PLC | 37827X100 | UNSP ADR | 16,837 | $184,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 2,481 | $183,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 6,554 | $183,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 1,704 | $182,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 2,412 | $181,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 17,985 | $181,000 | thousands by filing date | |
| Komatsu Ltd. | 500458401 | COM | 7,248 | $181,000 | thousands by filing date | |
| ZURICH INS GROUP LTD SPONSORED | 989825104 | COM | 6,989 | $180,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 185,000 | $180,000 | thousands by filing date | principal |
| OTTER TAIL CORP | 689648103 | COM | 6,515 | $179,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 41,514 | $179,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 2,184 | $178,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 9,318 | $178,000 | thousands by filing date | |
| VINCI SA ADR | 927320101 | ADR | 12,243 | $178,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 5,743 | $177,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 25,639 | $177,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 42,075 | $177,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 3,956 | $177,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 6,723 | $176,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 5,473 | $176,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 15,600 | $175,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 6,730 | $174,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 14,889 | $173,000 | thousands by filing date | |
| CSL LTD-UNSPON ADR | 12637N105 | ADR | 5,728 | $173,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 1,543 | $172,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 4,345 | $170,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 17,420 | $170,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 6,300 | $170,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 13,190 | $170,000 | thousands by filing date | |
| WCAS CAPITAL PARTNERS II LP | 990003KE4 | LP | 4,292,803 | $170,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 15,965 | $169,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 4,692 | $169,000 | thousands by filing date | |
| NISSAN MOTOR CO LTD SPONSORED ADR | 654744408 | USD | 8,351 | $168,000 | thousands by filing date | |
| TELSTRA CORP LTD | 87969N204 | SPON ADR FINAL | 7,215 | $168,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 1,650 | $167,000 | thousands by filing date | |
| Centrica PLC Spon ADR | 15639k300 | COM | 6,883 | $167,000 | thousands by filing date | |
| VOLKSWAGEN AG REPSTG PFD | 928662402 | COM | 3,549 | $167,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 5,597 | $166,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS P FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 775781206 | AMERICAN DEPOSITORY | 1,840 | $166,000 | thousands by filing date | |
| TOKIO MARINE HOLDINGS INC ADR | 889094108 | ADUS | 5,088 | $166,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 7,626 | $165,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 11,976 | $165,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 6,228 | $164,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 5,368 | $164,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 5,592 | $164,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 6,270 | $163,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 9,533 | $163,000 | thousands by filing date | |
| INTESA SANPAOLO S P A SPONSORE | 46115H107 | ADUS | 13,100 | $163,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 6,244 | $163,000 | thousands by filing date | |
| KUBOTA CORP ADR | 501173207 | USD | 2,251 | $163,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 16,192 | $162,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 3,693 | $162,000 | thousands by filing date | |
| KDDI CORP. | 48667L106 | Common stock | 12,674 | $162,000 | thousands by filing date | |
| ITOCHU CORP SPONS ADR | 465717106 | FOREIGN | 6,619 | $162,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 22,720 | $162,000 | thousands by filing date | |
| AKZO NOBEL N.V. SPON ADR | 010199305 | ADR | 7,383 | $162,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 6,215 | $161,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 9,683 | $160,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 4,755 | $160,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 7,372 | $160,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 2,500 | $159,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 73,318 | $159,000 | thousands by filing date | |
| L OREAL CO ADR | 502117203 | ADUS | 4,593 | $158,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 12,002 | $157,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 34,460 | $156,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 5,242 | $156,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 5,171 | $155,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 10,943 | $155,000 | thousands by filing date | |
| Societe Generale | 83364L109 | Equity | 15,605 | $155,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 1,292 | $155,000 | thousands by filing date | |
| IMPERIAL TOBACCO GROUP-ADR | 453142101 | ADR | 2,103 | $155,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 4,198 | $154,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 8,567 | $154,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 10,238 | $154,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 23,215 | $154,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 3,982 | $153,000 | thousands by filing date | |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 6,969 | $152,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 28,853 | $151,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 2,272 | $151,000 | thousands by filing date | |
| GDF SUEZ-SPON ADR | 36160B105 | ADR | 6,025 | $151,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 3,130 | $149,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 1,642 | $149,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 8,548 | $149,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 4,873 | $148,000 | thousands by filing date | |
| ARTHROCARE CORP | 043136100 | COM | 4,138 | $148,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 12,100 | $148,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 5,831 | $148,000 | thousands by filing date | |
| AIA GROUP LTD SPONSORED ADR | 001317205 | ADUS | 7,792 | $147,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 5,900 | $147,000 | thousands by filing date | |
| NORDEA BK AB SWED | 65557A206 | COM | 12,218 | $147,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 5,878 | $146,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 7,658 | $146,000 | thousands by filing date | |
| Industria De Diseno Textil SA | 455793109 | ADR | 4,732 | $146,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 8,414 | $146,000 | thousands by filing date | |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 3,775 | $146,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 1,749 | $145,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 16,548 | $145,000 | thousands by filing date | |
| Deutsche Post AG | 25157Y202 | Equity | 4,381 | $145,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 6,150 | $145,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 1,428 | $143,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 5,835 | $143,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 12,190 | $143,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 3,854 | $143,000 | thousands by filing date | |
| CHEMTURA CORP | 163893209 | COM NEW | 6,231 | $143,000 | thousands by filing date | |
| LINDE AG-SPONSORED ADR | 535223200 | COM | 7,220 | $143,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 4,195 | $142,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 6,454 | $142,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,591 | $142,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 10,969 | $142,000 | thousands by filing date | |
| CHINA CONSTR BANK CORP ADR | 168919108 | ADR | 9,144 | $141,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 11,303 | $140,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P | 96950F104 | COM UNIT L P | 2,648 | $140,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 2,450 | $139,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 6,830 | $139,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 5,665 | $138,000 | thousands by filing date | |
| FANUC CORP ADR FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 307305102 | Equity | 5,012 | $138,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 5,848 | $138,000 | thousands by filing date | |
| Astellas Pharma Inc ADR | 04623U102 | USD | 10,823 | $138,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 12,314 | $138,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 3,189 | $137,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 1,648 | $137,000 | thousands by filing date | |
| NASPERS LTD ADR N SHS | 631512100 | ADR | 1,484 | $137,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 4,716 | $136,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 10,843 | $136,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 6,644 | $136,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 1,097 | $136,000 | thousands by filing date | |
| EUROPEAN AERO DEF & SPACE CO A | 29875W100 | COM | 2,130 | $136,000 | thousands by filing date | |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 5,425 | $136,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 11,486 | $135,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 24,374 | $134,000 | thousands by filing date | |
| UTGR INC | BAX39CVC9 | COM | 5,526 | $134,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 2,610 | $133,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 24,584 | $133,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 6,910 | $132,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 4,106 | $132,000 | thousands by filing date | |
| POWERSHARES DYN MAGNIQUANT | 73935X468 | COM | 3,784 | $132,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,645 | $131,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 9,710 | $131,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 2,217 | $130,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 15,700 | $130,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 5,216 | $129,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 6,692 | $129,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 2,150 | $129,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 14,771 | $128,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 1,767 | $128,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 867 | $127,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 7,276 | $127,000 | thousands by filing date | |
| UNITED OVERSEAS BK LTD SPONSOR | 911271302 | ADUS | 3,857 | $127,000 | thousands by filing date | |
| DENSO CORPORATION-UNSPON ADR | 24872B100 | COM | 5,463 | $127,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 5,447 | $127,000 | thousands by filing date | |
| SAPIENT CORPORATION | 803062108 | COMMON STOCK | 8,124 | $126,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 18,742 | $125,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,766 | $125,000 | thousands by filing date | |
| TESCO PLC SPONSORED ADR | 881575302 | ADUS | 7,139 | $125,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 4,808 | $125,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 31,101 | $125,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 5,244 | $125,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 4,997 | $125,000 | thousands by filing date | |
| COMPASS GROUP PLC-ADR | 20449X203 | ADR | 9,117 | $125,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 7,128 | $123,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4,582 | $123,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 10,122 | $122,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 1,320 | $121,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 2,624 | $121,000 | thousands by filing date | |
| FNB BANCORP INC PA | 302517107 | COM | 850 | $121,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 26,983 | $120,000 | thousands by filing date | |
| H & Q HEALTHCARE INVESTORS | 404052102 | SH BEN INT | 5,021 | $120,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,075 | $119,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 20,952 | $119,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 2,129 | $119,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 3,158 | $118,000 | thousands by filing date | |
| FAST RETAILING CO LTD ADR | 31188H101 | FOREIGN | 3,138 | $118,000 | thousands by filing date | |
| CRESTWOOD MIDSTREAM PARTNERS | 226372100 | COMMON STOCK | 4,757 | $118,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 9,000 | $118,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 1,943 | $118,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 6,352 | $117,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 8,289 | $117,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 9,184 | $117,000 | thousands by filing date | |
| MUNICH RE GROUP UNSPONSORED ADR | 626188106 | Common stock | 5,969 | $116,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 7,882 | $116,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 38,076 | $116,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 1,714 | $116,000 | thousands by filing date | |
| STEINWAY MUSICAL INSTRUMENTS | 858495104 | COM | 2,910 | $116,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 6,801 | $116,000 | thousands by filing date | |
| SCHWAB 6.00% SERIES B PFD | 808513204 | PREFERR | 5,133 | $116,000 | thousands by filing date | |
| BANK OF AYUDHYA PUBLIC-NVDR | 635993397 | COM | 96,220 | $116,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 7,245 | $115,000 | thousands by filing date | |
| ATLAS COPCO AB SP ADR A NEW | 049255706 | COM | 3,921 | $115,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 4,348 | $115,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 4,538 | $114,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 5,901 | $114,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 7,409 | $114,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY | 00B58JVZ5 | COMMON | 2,600 | $114,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 1,702 | $113,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 5,023 | $113,000 | thousands by filing date | |
| COURIER CORP | 222660102 | COMMON STOCK | 7,144 | $113,000 | thousands by filing date | |
| Mercedes Benz Group Ag Reg Shs | d1668r123 | USD | 1,456 | $113,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 14,381 | $112,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 2,417 | $112,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 6,966 | $112,000 | thousands by filing date | |
| LAFARGE | 505861401 | COMMON STOCK | 6,452 | $112,000 | thousands by filing date | |
| MAST THERAPEUTICS INC WTS | 576314124 | WT | 1,200,000 | $112,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 1,785 | $111,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 3,093 | $111,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 1,739 | $111,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 2,294 | $110,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 1,096 | $110,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 3,227 | $109,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 2,816 | $109,000 | thousands by filing date | |
| SAIC INC | 78390X101 | COM | 6,797 | $109,000 | thousands by filing date | |
| Pernod Ricard SA ADR | 714264207 | COM | 4,381 | $109,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 1,680 | $108,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 1,903 | $108,000 | thousands by filing date | |
| SWEDBANK AB ADR | 870195104 | COM | 4,639 | $108,000 | thousands by filing date | |
| STAR TRIBUNE CO | 85519Y118 | WT | 3,481 | $108,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 1,627 | $107,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 8,660 | $107,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 3,871 | $107,000 | thousands by filing date | |
| YARA INTERNATIONAL ADR | 984851204 | COM | 2,603 | $107,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 3,746 | $107,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,201 | $106,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 2,589 | $106,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 14,632 | $106,000 | thousands by filing date | |
| ING GROEP NV | 456837707 | PRF | 4,233 | $106,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 3,040 | $105,000 | thousands by filing date | |
| Keppel Ltd Sponsored | 492051305 | ADR | 6,245 | $105,000 | thousands by filing date | |
| JPM CHASE CAPITAL XXIX 6.7% $1.675 PFD | 48125E207 | PREFERRED | 4,113 | $105,000 | thousands by filing date | |
| MKT V. SHORT MUNI INDEX | 57060U803 | ETF | 6,004 | $105,000 | thousands by filing date | |
| PREFERREDPLUS GOLDMAN | 73941X643 | PRF | 4,729 | $105,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 3,673 | $104,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 2,802 | $104,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 194 | $104,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 1,450 | $103,000 | thousands by filing date | |
| ADIDAS AG ADR | 00687A107 | ADUS | 1,904 | $103,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 9,002 | $103,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23338T101 | COM | 8,154 | $103,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 12,256 | $103,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 30,510 | $102,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 1,002 | $102,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 5,578 | $102,000 | thousands by filing date | |
| MTN GROUP LTD ADR | 62474M108 | COM | 5,194 | $102,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 9,733 | $102,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 72,198 | $102,000 | thousands by filing date | |
| HERBST GAMING LLC | 427998539 | COM | 8,709 | $102,000 | thousands by filing date | |
| ASSA ABLOY AB ADR | 045387107 | FOREIGN | 4,431 | $101,000 | thousands by filing date | |
| GIVAUDAN SA ADR | 37636P108 | COM | 3,444 | $101,000 | thousands by filing date | |
| VANGUARD HEALTH SYS INC | 922036207 | COM | 4,823 | $101,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 12,565 | $100,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 1,781 | $100,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 20,647 | $100,000 | thousands by filing date | |
| Volkswagen Ag Preferred ADR | 928662303 | COM | 2,201 | $100,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 3,636 | $100,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 5,772 | $99,000 | thousands by filing date | |
| SAMPO OYJ-A SHS-UNSP ADR | 79588J102 | COM | 4,607 | $99,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 13,945 | $99,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 9,446 | $98,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 10,942 | $98,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 3,223 | $98,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 3,641 | $97,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 695 | $97,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 1,244 | $96,000 | thousands by filing date | |
| SGS SA UNSPONSORED ADR | 818800104 | ADUS | 4,006 | $96,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 5,939 | $96,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 18,120 | $96,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 2,913 | $96,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 1,008 | $96,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 2,359 | $95,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 2,564 | $95,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 2,331 | $95,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 7,146 | $95,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 7,182 | $94,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 2,336 | $94,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 8,138 | $94,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 24,666 | $94,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 2,306 | $94,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 5,276 | $94,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 4,893 | $94,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 13,760 | $94,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 1,479 | $94,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 5,560 | $94,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 2,845 | $93,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 1,420 | $93,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-13-009529 | this filing | 2013-11-14 | acceptance time not in the bulk data set |