13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 5,530 holding rows worth $165,084,745,000.
- Accession
- 0000950123-14-002429
- Filer
- CIK 820027
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A combination report, 8,595 entries on the cover page, a total value of $165,084,745,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $165,084,745,000 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 |
|---|---|---|---|---|---|---|
| HITACHI LTD | 433578507 | COM | 4,094 | $310,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 2,692 | $309,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 12,064 | $308,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 21,896 | $307,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 12,330 | $307,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 17,316 | $307,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 69,865 | $307,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 6,346 | $306,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 3,281 | $306,000 | thousands by filing date | |
| Hutchison Whampoa Ltd-Adr | 448415208 | Com | 11,203 | $304,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 11,855 | $303,000 | thousands by filing date | |
| ISHARES | 464289362 | TR 2014 S\&P.* AMTFR | 5,902 | $303,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 16,656 | $303,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 34,320 | $299,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,847 | $297,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 5,645 | $297,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 3,597 | $296,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 16,564 | $295,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 9,867 | $293,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 6,268 | $292,000 | thousands by filing date | |
| JAGUAR MINING INC CV 5.5% 0 | 47009MAJ2 | 33 CNV | 3,651,000 | $292,000 | thousands by filing date | principal |
| AB VOLVO B ADR | 928856400 | ADR | 22,094 | $291,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 10,137 | $290,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 4,800 | $290,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 6,232 | $290,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 11,885 | $289,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 12,572 | $289,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 10,367 | $288,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 6,831 | $287,000 | thousands by filing date | |
| AXA SA FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 054536107 | ADR | 10,305 | $287,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 25,410 | $286,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 6,008 | $286,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 5,208 | $283,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 7,807 | $280,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 5,677 | $279,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 21,115 | $278,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 9,821 | $277,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 10,888 | $277,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 6,199 | $276,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 10,154 | $275,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 11,075 | $274,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 23,189 | $273,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A403 | PRF | 14,180 | $273,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 28,556 | $271,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 5,243 | $270,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 23,342 | $269,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 52,640 | $265,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 26,750 | $263,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 16,044 | $263,000 | thousands by filing date | |
| AKZO NOBEL N.V. SPON ADR | 010199305 | ADR | 10,129 | $263,000 | thousands by filing date | |
| WACHOVIA FND 7.25% $1.8125 PFD | 92977V206 | PREFERRED | 10,526 | $263,000 | thousands by filing date | |
| SEVEN AND I HOLDINGS UNSPN ADR | 81783H105 | COM | 3,258 | $259,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 21,885 | $259,000 | thousands by filing date | |
| POWERSHARES DYN MAGNIQUANT | 73935X468 | COM | 6,775 | $257,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 9,966 | $256,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 13,078 | $255,000 | thousands by filing date | |
| ISHARES INC | 464286467 | EMKTS GRW IDX | 4,641 | $255,000 | thousands by filing date | |
| SCHWAB 6.00% SERIES B PFD | 808513204 | PREFERR | 11,612 | $255,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 5,302 | $254,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 47,754 | $254,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 188,206 | $254,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 9,772 | $253,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 3,695 | $253,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 6,480 | $252,000 | thousands by filing date | |
| SCHNEIDER ELEC SA ADR | 80687P106 | COM | 14,445 | $252,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 6,116 | $252,000 | thousands by filing date | |
| FUJIFILM HLDGS CORP ADR | 35958N107 | ADR | 8,857 | $252,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 9,607 | $252,000 | thousands by filing date | |
| H & Q HEALTHCARE INVESTORS | 404052102 | SH BEN INT | 9,318 | $252,000 | thousands by filing date | |
| RECKITT BENCKISER-SPON AD | 756255204 | ADR | 15,803 | $251,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 6,915 | $251,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 18,953 | $248,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 3,217 | $247,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 3,631 | $246,000 | thousands by filing date | |
| ZURICH INS GROUP LTD SPONSORED | 989825104 | COM | 8,455 | $246,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 4,912 | $244,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 5,710 | $241,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 10,752 | $241,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 7,766 | $241,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 4,812 | $240,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 7,155 | $240,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 18,120 | $239,000 | thousands by filing date | |
| MITSUBISHI | 606783207 | USD | 7,970 | $239,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 144,656 | $239,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 2,307 | $238,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 10,943 | $238,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 5,288 | $237,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 14,452 | $236,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 7,360 | $233,000 | thousands by filing date | |
| NESTLE SA | H57312649 | COM | 3,162 | $232,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 22,950 | $230,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 1,629 | $230,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 12,685 | $230,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 9,912 | $229,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 5,222 | $228,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 2,767 | $227,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 1,750 | $227,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 190,874 | $227,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 11,060 | $226,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 4,701 | $226,000 | thousands by filing date | |
| L OREAL CO ADR | 502117203 | ADUS | 6,393 | $225,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 11,343 | $224,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 7,137 | $224,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 8,017 | $224,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 2,284 | $223,000 | thousands by filing date | |
| AIR LIQUIDE ADR | 009126202 | COM | 7,835 | $222,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 6,443 | $222,000 | thousands by filing date | |
| BMW UNSPONSORED ADR | 072743206 | ADR | 5,664 | $221,000 | thousands by filing date | |
| KDDI CORP. | 48667L106 | Common stock | 14,312 | $220,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 8,870 | $219,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 4,166 | $219,000 | thousands by filing date | |
| CHEUNG KONG HOLDINGS LTD | 166744201 | COM | 13,915 | $219,000 | thousands by filing date | |
| VOLKSWAGEN AG REPSTG PFD | 928662402 | COM | 3,866 | $218,000 | thousands by filing date | |
| VINCI SA ADR | 927320101 | ADR | 13,190 | $217,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 2,765 | $216,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 7,408 | $216,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 8,659 | $216,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 8,500 | $216,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 4,343 | $215,000 | thousands by filing date | |
| KUBOTA CORP ADR | 501173207 | USD | 2,593 | $214,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 9,418 | $214,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 13,486 | $213,000 | thousands by filing date | |
| INTESA SANPAOLO S P A SPONSORE | 46115H107 | ADUS | 14,294 | $212,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,243 | $212,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 7,490 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 1,727 | $210,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 7,603 | $210,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 8,225 | $210,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R205 | INTL HI YLD BD | 7,605 | $210,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 5,005 | $207,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 6,363 | $207,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 21,015 | $206,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 4,385 | $206,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 10,143 | $205,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 7,895 | $205,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 8,600 | $205,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 2,295 | $204,000 | thousands by filing date | |
| EUROPEAN AERO DEF & SPACE CO A | 29875W100 | COM | 10,554 | $203,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 8,788 | $202,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS P FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 775781206 | AMERICAN DEPOSITORY | 1,903 | $202,000 | thousands by filing date | |
| Societe Generale | 83364L109 | Equity | 17,263 | $201,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 13,698 | $199,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 8,952 | $199,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 4,213 | $199,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 18,099 | $198,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 4,100 | $197,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 17,326 | $196,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 5,408 | $196,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 6,104 | $195,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 11,759 | $195,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 8,097 | $195,000 | thousands by filing date | |
| COLUMBIA LG CAP GROWTH ETF | 19761R307 | COM | 5,010 | $195,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 4,090 | $194,000 | thousands by filing date | |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 3,583 | $194,000 | thousands by filing date | |
| TELSTRA CORP LTD | 87969N204 | SPON ADR FINAL | 8,274 | $194,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 15,063 | $194,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 44,336 | $193,000 | thousands by filing date | |
| TOKIO MARINE HOLDINGS INC ADR | 889094108 | ADUS | 5,778 | $193,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 3,853 | $193,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P | 96950F104 | COM UNIT L P | 3,801 | $193,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 2,489 | $192,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 6,643 | $192,000 | thousands by filing date | |
| MITSUBISHI CORP-SPONS ADR | 606769305 | ADR | 4,992 | $192,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 3,440 | $190,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 37,449 | $189,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 8,897 | $189,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 8,897 | $189,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 4,841 | $189,000 | thousands by filing date | |
| ANGLO AMERICAN PLC - UNSPON ADR | 03485P201 | COM | 17,359 | $189,000 | thousands by filing date | |
| Aegon NV 7.25% PFD | N00927348 | PFD | 7,448 | $189,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 6,205 | $188,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 4,112 | $187,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 7,524 | $187,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 12,420 | $187,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,993 | $186,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 5,533 | $184,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 9,345 | $184,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 7,136 | $184,000 | thousands by filing date | |
| AIA GROUP LTD SPONSORED ADR | 001317205 | ADUS | 9,093 | $183,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 8,976 | $183,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 34,753 | $182,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 3,327 | $181,000 | thousands by filing date | |
| DENSO CORPORATION-UNSPON ADR | 24872B100 | COM | 6,810 | $180,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 15,323 | $179,000 | thousands by filing date | |
| Deutsche Post AG | 25157Y202 | Equity | 4,875 | $178,000 | thousands by filing date | |
| IND & COMM BK OF-UNSPON ADR | 455807107 | COM | 13,191 | $178,000 | thousands by filing date | |
| NORDEA BK AB SWED | 65557A206 | COM | 13,201 | $178,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 6,227 | $177,000 | thousands by filing date | |
| LINDE AG-SPONSORED ADR | 535223200 | COM | 8,456 | $177,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 5,988 | $175,000 | thousands by filing date | |
| FANUC CORP ADR FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 307305102 | Equity | 5,709 | $174,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 5,050 | $173,000 | thousands by filing date | |
| ITOCHU CORP SPONS ADR | 465717106 | FOREIGN | 6,974 | $173,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 6,334 | $173,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 13,506 | $172,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 2,277 | $172,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 2,500 | $171,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 13,554 | $170,000 | thousands by filing date | |
| CHINA CONSTR BANK CORP ADR | 168919108 | ADR | 11,238 | $170,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 6,316 | $170,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 2,914 | $169,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 9,100 | $169,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 4,922 | $168,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 12,622 | $168,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 3,546 | $167,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 1,410 | $167,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 12,480 | $166,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N109 | COM | 28,840 | $166,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 6,683 | $166,000 | thousands by filing date | |
| Industria De Diseno Textil SA | 455793109 | ADR | 4,984 | $165,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 6,834 | $165,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 2,279 | $164,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 4,745 | $164,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 176 | $164,000 | thousands by filing date | |
| COMPASS GROUP PLC-ADR | 20449X203 | ADR | 10,206 | $164,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 3,224 | $163,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 2,908 | $163,000 | thousands by filing date | |
| Astellas Pharma Inc ADR | 04623U102 | USD | 10,929 | $163,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 18,223 | $162,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 5,251 | $162,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 51,292 | $162,000 | thousands by filing date | |
| CSL LTD-UNSPON ADR | 12637N105 | ADR | 5,245 | $162,000 | thousands by filing date | |
| AEGON NV 6.375 $1.594 PFD | 007924301 | PREFERRED | 6,930 | $162,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 17,462 | $161,000 | thousands by filing date | |
| SBERBANK RUSSIA | 80585Y308 | SPONSORED ADR | 12,964 | $161,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 3,600 | $160,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 11,176 | $160,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 8,854 | $160,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 6,300 | $160,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 11,253 | $159,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 2,325 | $159,000 | thousands by filing date | |
| FAST RETAILING CO LTD ADR | 31188H101 | FOREIGN | 3,852 | $159,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 10,040 | $159,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 5,763 | $158,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,428 | $157,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 12,551 | $157,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 9,545 | $157,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4,732 | $157,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 15,633 | $157,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 4,367 | $156,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 810 | $155,000 | thousands by filing date | |
| IMPERIAL TOBACCO GROUP-ADR | 453142101 | ADR | 1,998 | $155,000 | thousands by filing date | |
| NASPERS LTD ADR N SHS | 631512100 | ADR | 1,484 | $155,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 12,002 | $154,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 6,050 | $154,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 3,453 | $153,000 | thousands by filing date | |
| GLENCORE PLC | 37827X100 | UNSP ADR | 15,007 | $153,000 | thousands by filing date | |
| YARA INTERNATIONAL ADR | 984851204 | COM | 3,555 | $153,000 | thousands by filing date | |
| SWEDBANK AB ADR | 870195104 | COM | 5,409 | $153,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 4,488 | $153,000 | thousands by filing date | |
| MKT V. SHORT MUNI INDEX | 57060U803 | ETF | 8,683 | $153,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 4,099 | $152,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 34,714 | $151,000 | thousands by filing date | |
| MUNICH RE GROUP UNSPONSORED ADR | 626188106 | Common stock | 6,816 | $151,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,289 | $149,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 3,988 | $149,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 5,797 | $148,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 40,000 | $148,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 7,677 | $147,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 5,809 | $147,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 9,588 | $146,000 | thousands by filing date | |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 6,450 | $146,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,645 | $145,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 1,440 | $145,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 3,257 | $145,000 | thousands by filing date | |
| UNITED OVERSEAS BK LTD SPONSOR | 911271302 | ADUS | 4,303 | $145,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 4,355 | $143,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 5,648 | $143,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 4,580 | $143,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 306,453 | $142,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 3,196 | $142,000 | thousands by filing date | |
| GDF SUEZ-SPON ADR | 36160B105 | ADR | 6,018 | $142,000 | thousands by filing date | |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 5,638 | $142,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 3,780 | $142,000 | thousands by filing date | |
| UTGR INC | BAX39CVC9 | COM | 5,526 | $142,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 1,468 | $141,000 | thousands by filing date | |
| ADIDAS AG ADR | 00687A107 | ADUS | 2,212 | $141,000 | thousands by filing date | |
| ASSA ABLOY AB ADR | 045387107 | FOREIGN | 5,311 | $141,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 5,449 | $141,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,219 | $141,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 1,361 | $140,000 | thousands by filing date | |
| GAZPROM PJSC SPON ADR | 368287207 | ADR | 16,577 | $140,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 6,200 | $140,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 6,072 | $139,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 13,010 | $139,000 | thousands by filing date | |
| WESTFIELD GROUP-ADR | 960224103 | COM | 7,709 | $139,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 4,644 | $138,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 5,735 | $138,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 8,185 | $138,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 1,631 | $137,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 3,395 | $137,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 3,701 | $136,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 25,631 | $136,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 1,769 | $136,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 8,600 | $136,000 | thousands by filing date | |
| SVENSKA CELLULOSA AB-SP ADR | 869587402 | COM | 4,392 | $135,000 | thousands by filing date | |
| LAFARGE | 505861401 | COMMON STOCK | 7,083 | $133,000 | thousands by filing date | |
| SAMPO OYJ-A SHS-UNSP ADR | 79588J102 | COM | 5,386 | $133,000 | thousands by filing date | |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 3,800 | $133,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 30,400 | $133,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 4,957 | $132,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 1,039 | $132,000 | thousands by filing date | |
| SOVEREIGN NEW MILLENNIUMFUND L | 99C022003 | LP | 1 | $132,000 | thousands by filing date | |
| SOVEREIGN NEW MILLENNIUMFUND L | 99Z190912 | LP | 1 | $132,000 | thousands by filing date | |
| SOVEREIGN NEW MILLENNIUMFUND L | 99Z190920 | LP | 1 | $132,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 13,870 | $130,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 6,645 | $130,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 5,524 | $129,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 2,370 | $128,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 40,272 | $127,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 31,101 | $127,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 5,285 | $127,000 | thousands by filing date | |
| SVENSKA HANDELSB A UNSP ADR | 86959C103 | COM | 5,125 | $126,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 5,638 | $126,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 2,150 | $126,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 2,018 | $126,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 16,107 | $125,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 18,990 | $125,000 | thousands by filing date | |
| Mercedes Benz Group Ag Reg Shs | d1668r123 | USD | 1,436 | $125,000 | thousands by filing date | |
| CORNERSTONE THERAPEUTICS INC | 21924P103 | COM | 13,210 | $125,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 9,355 | $124,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 45,380 | $124,000 | thousands by filing date | |
| Volkswagen Ag Preferred ADR | 928662303 | COM | 2,294 | $124,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 1,533 | $123,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 4,899 | $122,000 | thousands by filing date | |
| Keppel Ltd Sponsored | 492051305 | ADR | 6,890 | $122,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 2,871 | $122,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 2,651 | $121,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 6,735 | $121,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 6,542 | $121,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 1,894 | $121,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 1,915 | $121,000 | thousands by filing date | |
| FNB BANCORP INC PA | 302517107 | COM | 800 | $121,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 68,766 | $120,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 4,237 | $120,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 4,960 | $120,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 15,424 | $119,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 26,834 | $118,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 2,356 | $117,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 1,429 | $117,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 10,175 | $117,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 5,679 | $116,000 | thousands by filing date | |
| WOODSIDE ENERGY GROUP LTD SPONSORED ADR | 980228308 | ADR | 3,319 | $115,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 7,554 | $114,000 | thousands by filing date | |
| EL PASO PIPELINE PARTNERS | 283702108 | COMMON STOCK | 3,151 | $113,000 | thousands by filing date | |
| BRIDGESTONE CORP ADR | 108441205 | USD | 5,960 | $113,000 | thousands by filing date | |
| Centrica PLC Spon ADR | 15639k300 | COM | 4,932 | $113,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 5,224 | $113,000 | thousands by filing date | |
| JPM CHASE CAPITAL XXIX 6.7% $1.675 PFD | 48125E207 | PREFERRED | 4,480 | $113,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 1,717 | $113,000 | thousands by filing date | |
| CITIGROUP CAPITAL XVII | 17311H209 | PRF | 4,500 | $113,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 1,216 | $112,000 | thousands by filing date | |
| PANASONIC HLDGS CORP F | 69832A205 | ADR | 9,630 | $112,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 2,016 | $112,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 1,303 | $111,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 17,868 | $111,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 2,821 | $111,000 | thousands by filing date | |
| PREFERREDPLUS GOLDMAN | 73941X643 | PRF | 5,045 | $111,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 1,742 | $110,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 14,004 | $110,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 2,375 | $109,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 13,700 | $109,000 | thousands by filing date | |
| MTN GROUP LTD ADR | 62474M108 | COM | 5,194 | $108,000 | thousands by filing date | |
| STAR TRIBUNE CO | 85519Y118 | WT | 3,481 | $108,000 | thousands by filing date | |
| ING GROEP NV | 456837707 | PRF | 4,245 | $108,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 2,538 | $106,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 3,480 | $106,000 | thousands by filing date | |
| DAIICHI SANKYO CO LTD ADR | 23381D102 | ADR | 5,732 | $105,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 4,580 | $105,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 2,899 | $105,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 3,123 | $104,000 | thousands by filing date | |
| SWATCH GROUP AG ADR | 870123106 | USD | 3,134 | $104,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 49,868 | $104,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 4,133 | $104,000 | thousands by filing date | |
| KAO CORP SPONSORED ADR | 485537302 | COM | 3,296 | $104,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 4,065 | $103,000 | thousands by filing date | |
| AMCOR LTD SPONSORED ADRFSPONSO | 02341r302 | ADR | 2,560 | $103,000 | thousands by filing date | |
| Fiat SPA Sp ADR Ord | 315621888 | COM | 12,482 | $103,000 | thousands by filing date | |
| NISSAN MOTOR CO LTD SPONSORED ADR | 654744408 | USD | 6,061 | $102,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 13,945 | $102,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 695 | $102,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 2,238 | $101,000 | thousands by filing date | |
| SANDS CHINA LTD UNSPONS ADR | 80007R105 | COM | 1,241 | $101,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 25,238 | $101,000 | thousands by filing date | |
| MAST THERAPEUTICS INC WTS | 576314124 | WT | 1,200,000 | $101,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 986 | $100,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,170 | $100,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 6,816 | $100,000 | thousands by filing date | |
| HERBST GAMING LLC | 427998539 | COM | 8,709 | $100,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 8,817 | $99,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 1,402 | $99,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 1,631 | $98,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 1,228 | $98,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 1,202 | $98,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 2,445 | $97,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 1,212 | $97,000 | thousands by filing date | |
| MAGNUM HUNTER RESOURCES CORP | 55973B110 | COMMON STOCK | 45,291 | $97,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 1,585 | $96,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 2,864 | $96,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 2,909 | $96,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 3,705 | $96,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 3,254 | $95,000 | thousands by filing date | |
| SURGUTNEFTEGAS PJSC | 868861204 | COMMON STOCK | 11,068 | $95,000 | thousands by filing date | |
| SUMITOMO MITSUI TRUST HOLDINGS | 86562X106 | USD | 18,175 | $95,000 | thousands by filing date | |
| FUJI HEAVY INDUS-UNSPONS ADR | 359556206 | COM | 1,657 | $95,000 | thousands by filing date | |
| MITSUBISHI ELEC CORP ADR | 606776201 | COM | 3,740 | $94,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 8,460 | $94,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 1,888 | $94,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 5,389 | $94,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 3,480 | $94,000 | thousands by filing date | |
| WOLSELEY PLC - ADR | 977868306 | ADR | 15,935 | $94,000 | thousands by filing date | |
| EXCO RESOURCES RTS | 269279139 | RIGHT | 594,458 | $94,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 4,190 | $93,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 3,130 | $93,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 1,113 | $92,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 2,886 | $92,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 2,365 | $92,000 | thousands by filing date | |
| RWE AG | 74975E303 | Equity | 2,506 | $92,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CN8 | NOTE 4.250%11/1 | 50,000 | $92,000 | thousands by filing date | principal |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 9,490 | $92,000 | thousands by filing date | |
| Koninklijke Ahold-Sp Ad | 500467402 | COM | 5,114 | $92,000 | thousands by filing date | |
| BAC CAPITAL TRUST VIII | 05518T209 | PRF | 3,700 | $92,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 1,486 | $91,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 6,879 | $91,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 13,628 | $90,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 8,566 | $90,000 | thousands by filing date | |
| PUBLICIS S A NEW SPONSORED ADR | 74463M106 | ADUS | 3,949 | $90,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 6,978 | $90,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 2,411 | $90,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 1,156 | $89,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 6,611 | $89,000 | thousands by filing date | |
| Carlsberg As | 142795202 | Equity | 4,036 | $89,000 | thousands by filing date | |
| DAIWA HOUSE INDUS UNSP ADR | 234062206 | COM | 455 | $89,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 5,848 | $89,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 4,825 | $89,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 2,184 | $88,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 1,001 | $88,000 | thousands by filing date | |
| ATLAS COPCO AB SPONS ADR B | 049255805 | COM | 3,464 | $88,000 | thousands by filing date | |
| WM MORRISON-UNSPON ADR | 92933J107 | COM | 4,079 | $88,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 1,953 | $87,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 8,255 | $87,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,024 | $86,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 4,031 | $86,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 3,246 | $86,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 820 | $85,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 4,594 | $85,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 2,260 | $85,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 2,940 | $85,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 18,200 | $85,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 1,811 | $85,000 | thousands by filing date | |
| Weingarten Realty 8.1% Notes (c091514) | 948741848 | com | 4,075 | $85,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 2,730 | $84,000 | thousands by filing date | |
| Macquarie Group Ltd | 55607P204 | Equity | 1,795 | $84,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $84,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 8,759 | $83,000 | thousands by filing date | |
| HONG KONG | 43858F109 | USD | 4,964 | $83,000 | thousands by filing date | |
| AEON COMPANY LTD- UNSPON ADR | 007627102 | COM | 6,134 | $83,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 3,007 | $82,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 1,955 | $82,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 7,238 | $82,000 | thousands by filing date | |
| REED ELSEVIER N V | 758204200 | SPONS ADR NEW | 1,924 | $82,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 2,192 | $82,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 3,691 | $82,000 | thousands by filing date | |
| BRAMBLES LTD | 105105100 | COM | 5,011 | $82,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 769 | $81,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 2,395 | $81,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 3,795 | $81,000 | thousands by filing date | |
| ATLAS COPCO AB SP ADR A NEW | 049255706 | COM | 2,926 | $81,000 | thousands by filing date | |
| GIVAUDAN SA ADR | 37636P108 | COM | 2,812 | $81,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 1,431 | $81,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 1,829 | $81,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,000 | $80,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 6,240 | $80,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 4,846 | $80,000 | thousands by filing date | |
| SGS SA UNSPONSORED ADR | 818800104 | ADUS | 3,457 | $80,000 | thousands by filing date | |
| Continental AG | 210771200 | Equity | 1,815 | $80,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 4,120 | $80,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 7,216 | $80,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 2,048 | $80,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 1,186 | $79,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 2,350 | $79,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 1,567 | $79,000 | thousands by filing date | |
| MAKITA CORP | 560877300 | COMMON STOCK | 1,514 | $79,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 3,246 | $79,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 16,380 | $78,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 3,297 | $78,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 2,211 | $78,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 9,365 | $78,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 18,576 | $78,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 2,649 | $78,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.125% $1.53125 PFD | 38145X111 | PREFERRED | 3,200 | $78,000 | thousands by filing date | |
| WESFARMERS LIMITED-UNSP ADR | 950840207 | ADR | 3,931 | $78,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 925 | $77,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 979 | $77,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 4,919 | $77,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 3,359 | $77,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 1,297 | $77,000 | thousands by filing date | |
| CIELO SA | 171778202 | Common Stock | 2,755 | $77,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 3,664 | $77,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 14,464 | $77,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-002429 | this filing | 2014-02-14 | acceptance time not in the bulk data set |