13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-13, with 3,743 holding rows worth $171,591,427,000.
- Accession
- 0000950123-15-002131
- Filer
- CIK 820027
- Filed
- 2015-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A combination report, 6,939 entries on the cover page, a total value of $171,591,427,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $171,591,427,000 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 Holdings Ltd 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 Holdings Ltd 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 |
|---|---|---|---|---|---|---|
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 12,366 | $704,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 14,736 | $697,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 17,670 | $695,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 55,500 | $694,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 17,040 | $693,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 17,728 | $692,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 15,360 | $691,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 19,217 | $690,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 6,380 | $685,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 8,739 | $685,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 60,438 | $682,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 32,537 | $680,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 32,099 | $674,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 29,433 | $673,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 26,675 | $673,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 32,390 | $671,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 76,300 | $671,000 | thousands by filing date | |
| MORGAN STANLEY PFD A 1/1000 | 61747S504 | PREFERR | 33,438 | $667,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 18,496 | $665,000 | thousands by filing date | |
| BG GROUP PLC - SPON ADR | 055434203 | ADR | 49,286 | $662,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 22,930 | $656,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 85,211 | $654,000 | thousands by filing date | |
| SUMITOMO MITSUI TRUST HOLDINGS | 86562X106 | USD | 170,119 | $653,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 47,945 | $653,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 19,117 | $651,000 | thousands by filing date | |
| MECHANICS BANK RICHMOND CA | 583614102 | COM | 25 | $650,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 64,631 | $646,000 | thousands by filing date | |
| QWEST CORP | 74913G501 | PFD | 25,336 | $646,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 77,942 | $642,000 | thousands by filing date | |
| TENCENT HLDGS LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 88032Q109 | Equity | 44,194 | $641,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 20,662 | $641,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 41,014 | $634,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 20,531 | $632,000 | thousands by filing date | |
| MEDIANEWS GROUP | U58991834 | COM | 15,756 | $631,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 17,132 | $630,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 54,820 | $627,000 | thousands by filing date | |
| Fresenius Se & Co Kgaa | 35804M105 | USD | 48,062 | $625,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 4,570 | $624,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 39,859 | $624,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 14,507 | $623,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 77,846 | $621,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 37,624 | $620,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 12,903 | $618,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 94,716 | $613,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 17,746 | $612,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 97,573 | $611,000 | thousands by filing date | |
| REXAM PLC | 761655604 | COMMON | 17,573 | $611,000 | thousands by filing date | |
| AIRBUS SE UNSPONSORED ADR | 009279100 | COM | 48,983 | $608,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 12,272 | $608,000 | thousands by filing date | |
| IND & COMM BK OF-UNSPON ADR | 455807107 | COM | 41,382 | $604,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 6,485 | $601,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 480,740 | $601,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 39,518 | $601,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 5,902 | $599,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 26,891 | $599,000 | thousands by filing date | |
| SANDS CHINA LTD UNSPONS ADR | 80007R105 | COM | 12,142 | $598,000 | thousands by filing date | |
| ZURICH INS GROUP LTD SPONSORED | 989825104 | COM | 19,035 | $597,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 5,808 | $596,000 | thousands by filing date | |
| Carlsberg As | 142795202 | Equity | 38,560 | $595,000 | thousands by filing date | |
| MAKITA CORP | 560877300 | COMMON STOCK | 12,955 | $594,000 | thousands by filing date | |
| JPM CHASE CAPITAL XXIX 6.7% $1.675 PFD | 48125E207 | PREFERRED | 23,394 | $594,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 70,468 | $594,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 45,637 | $589,000 | thousands by filing date | |
| Continental AG | 210771200 | Equity | 13,945 | $586,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 11,361 | $585,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 88,595 | $585,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 25,403 | $584,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 22,148 | $582,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 25,199 | $581,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.2% $1.55 PFD | 38144X500 | PREFERRED | 22,836 | $579,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 32,869 | $576,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 10,347 | $574,000 | thousands by filing date | |
| Informa PLC | 45672B305 | COM | 38,656 | $572,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 12,473 | $568,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 4,196 | $567,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 64,280 | $565,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 9,611 | $564,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 16,590 | $557,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 21,953 | $557,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A403 | PRF | 23,289 | $557,000 | thousands by filing date | |
| METLIFE INC $0.065 PFD | 59156R603 | PREFERRED | 21,548 | $556,000 | thousands by filing date | |
| ASHTEAD GROUP PLC | 045055100 | COMMON STK | 7,680 | $552,000 | thousands by filing date | |
| ATLANTIA SPA-UNSPONSORED ADR | 048173108 | COM | 47,517 | $551,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 14,868 | $546,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 18,593 | $546,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 19,900 | $546,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 30,331 | $544,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 24,658 | $542,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 35,696 | $541,000 | thousands by filing date | |
| MKT V. SHORT MUNI INDEX | 57060U803 | ETF | 30,677 | $538,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 19,302 | $538,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 2,881 | $537,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 4,787 | $534,000 | thousands by filing date | |
| INTESA SANPAOLO S P A SPONSORE | 46115H107 | ADUS | 30,266 | $532,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 21,121 | $529,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 18,095 | $529,000 | thousands by filing date | |
| BAC CAPITAL TRUST I | 060505344 | Common | 20,700 | $529,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 8,874 | $527,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 26,264 | $527,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 55,656 | $526,000 | thousands by filing date | |
| ISHARES B-CA | 46432F404 | COM | 10,629 | $525,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 32,919 | $523,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 23,821 | $522,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 26,685 | $522,000 | thousands by filing date | |
| SCHNEIDER ELEC SA ADR | 80687P106 | COM | 35,508 | $520,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 5,035 | $517,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 18,657 | $517,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 5,993 | $516,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 4,936 | $514,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 7,804 | $514,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 25,081 | $514,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 9,626 | $513,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 16,666 | $510,000 | thousands by filing date | |
| COMMONWEALTH BK AUS-SP ADR | 202712600 | COM | 7,283 | $510,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 23,448 | $509,000 | thousands by filing date | |
| GLENCORE PLC | 37827X100 | UNSP ADR | 55,148 | $508,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 5,940 | $507,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 8,020 | $507,000 | thousands by filing date | |
| ANGLO AMERICAN PLC - UNSPON ADR | 03485P201 | COM | 54,544 | $505,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 10,881 | $504,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 15,917 | $502,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 35,751 | $501,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 13,073 | $501,000 | thousands by filing date | |
| ASSOC BRITISH FOODS UNSP ADR | 045519402 | COM | 10,170 | $498,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 37,225 | $498,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 95,049 | $496,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 10,825 | $495,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 36,520 | $493,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 16,360 | $492,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 14,069 | $492,000 | thousands by filing date | |
| AXA SA FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 054536107 | ADR | 21,179 | $491,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 8,923 | $490,000 | thousands by filing date | |
| TOKIO MARINE HOLDINGS INC ADR | 889094108 | ADUS | 14,856 | $489,000 | thousands by filing date | |
| HCI 8 01/30/20 | 40416E301 | PRF | 18,342 | $489,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 16,215 | $486,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 28,723 | $486,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 3,887 | $484,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 6,531 | $480,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 6,559 | $478,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 63,834 | $477,000 | thousands by filing date | |
| RECKITT BENCKISER-SPON AD | 756255204 | ADR | 29,297 | $476,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 29,345 | $476,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 16,165 | $475,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 52,538 | $475,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 11,973 | $474,000 | thousands by filing date | |
| CHINA CONSTR BANK CORP ADR | 168919108 | ADR | 28,664 | $471,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 28,945 | $469,000 | thousands by filing date | |
| DAIMLER A G ADR F SPONSORED AD | 233825108 | ADR | 5,619 | $469,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 29,169 | $468,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 26,650 | $468,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 135,645 | $466,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 8,172 | $466,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 3,058 | $463,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 39,511 | $463,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 45,874 | $462,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 8,003 | $462,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 10,764 | $456,000 | thousands by filing date | |
| MITSUBISHI | 606783207 | USD | 21,327 | $453,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 502,000 | $451,000 | thousands by filing date | principal |
| SWATCH GROUP AG ADR | 870123106 | USD | 20,280 | $450,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 59,754 | $446,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 14,677 | $445,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 15,996 | $445,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 195,000 | $445,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 15,785 | $443,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 8,140 | $443,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 17,019 | $441,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 13,618 | $441,000 | thousands by filing date | |
| SCHWAB 6.00% SERIES B PFD | 808513204 | PREFERR | 17,183 | $440,000 | thousands by filing date | |
| RED ELECTRICA ADR | 756568101 | COM | 25,225 | $439,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 16,841 | $438,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 9,036 | $432,000 | thousands by filing date | |
| CAMPUS CREST COMMUNITIES OPERATING | 13467CAA0 | CONV BND | 457,000 | $432,000 | thousands by filing date | principal |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 20,063 | $431,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 14,505 | $431,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 17,937 | $430,000 | thousands by filing date | |
| Koninklijke KPN NV | 780641205 | ADR | 137,070 | $427,000 | thousands by filing date | |
| HITACHI LTD | 433578507 | COM | 5,651 | $425,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 48,930 | $422,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 36,415 | $421,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 3,107 | $420,000 | thousands by filing date | |
| FANUC CORP ADR FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 307305102 | Equity | 15,074 | $419,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 6,073 | $418,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 29,429 | $417,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 6,507 | $416,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 28,390 | $416,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 8,823 | $415,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 20,925 | $414,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 454,000 | $414,000 | thousands by filing date | principal |
| FELCOR LODGING TR INC | 31430F101 | COM | 38,151 | $413,000 | thousands by filing date | |
| Goldman Sachs Series D Pref | 38144G804 | Preferred Stock | 20,916 | $411,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 399,000 | $410,000 | thousands by filing date | principal |
| OTTER TAIL CORP | 689648103 | COM | 13,209 | $409,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 19,527 | $409,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 9,941 | $408,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 11,134 | $407,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 11,889 | $406,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 3,961 | $405,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 6,722 | $404,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 70,410 | $402,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 11,709 | $402,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 26,074 | $402,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 8,963 | $401,000 | thousands by filing date | |
| MEDIOLANUM SPA UNSPONSORED ADR | 58502L104 | EQUITY | 31,370 | $401,000 | thousands by filing date | |
| JAPAN TOBA | 471105205 | USD | 28,547 | $400,000 | thousands by filing date | |
| CHEUNG KONG HOLDINGS LTD | 166744201 | COM | 23,801 | $400,000 | thousands by filing date | |
| HMH PUBLISHERS LLC | CM0005552 | COM | 18,619 | $400,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 11,836 | $398,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 7,469 | $398,000 | thousands by filing date | |
| TELSTRA CORP LTD | 87969N204 | SPON ADR FINAL | 16,301 | $398,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 25,603 | $397,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 7,450 | $397,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 3,035 | $396,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 47,593 | $396,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 4,356 | $395,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 13,460 | $393,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050AA2 | CONV BND | 484,000 | $390,000 | thousands by filing date | principal |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 7,752 | $389,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 7,989 | $389,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 3,594 | $388,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 7,647 | $388,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 3,496 | $387,000 | thousands by filing date | |
| BB&T CORP 5.625% PFD | 054937404 | ps | 15,999 | $387,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 3,730 | $386,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 11,036 | $385,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 9,598 | $385,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 6,942 | $384,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 14,240 | $384,000 | thousands by filing date | |
| AIR LIQUIDE ADR | 009126202 | COM | 15,345 | $382,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 29,473 | $381,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 5,037 | $381,000 | thousands by filing date | |
| NISSAN MOTOR CO LTD SPONSORED ADR | 654744408 | USD | 21,522 | $381,000 | thousands by filing date | |
| IMPERIAL TOBACCO GROUP-ADR | 453142101 | ADR | 4,285 | $379,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AB4 | NOTE 7.500% 5/0 | 217,000 | $379,000 | thousands by filing date | principal |
| HUNTSMAN CORP | 447011107 | COM | 16,589 | $378,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 7,191 | $377,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 11,943 | $377,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 21,821 | $376,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 10,723 | $375,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 6,350 | $374,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 5,117 | $374,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 32,478 | $370,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y825 | US 500 INDEX ETF | 9,650 | $370,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 25,000 | $369,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 11,700 | $368,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 2,700 | $368,000 | thousands by filing date | |
| UNITED OVERSEAS BK LTD SPONSOR | 911271302 | ADUS | 9,947 | $368,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 21,441 | $368,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 34,730 | $368,000 | thousands by filing date | |
| AKZO NOBEL N.V. SPON ADR | 010199305 | ADR | 15,867 | $368,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 1,265,788 | $366,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 45,692 | $366,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 10,530 | $365,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 9,575 | $364,000 | thousands by filing date | |
| PANASONIC HLDGS CORP F | 69832A205 | ADR | 30,379 | $362,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 3,930 | $361,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 4,459 | $361,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 9,426 | $361,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 14,041 | $360,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639AC2 | CONV BND | 1,126,000 | $360,000 | thousands by filing date | principal |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 8,292 | $358,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 5,941 | $357,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 13,436 | $357,000 | thousands by filing date | |
| BANK AMERICA CORP | 060505583 | Common Stock | 17,555 | $354,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 36,796 | $354,000 | thousands by filing date | |
| Volkswagen Ag Preferred ADR | 928662303 | COM | 8,129 | $354,000 | thousands by filing date | |
| Compass Group Plc-ADS | 20449X302 | COM | 20,600 | $354,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 9,129 | $353,000 | thousands by filing date | |
| DAYCO LLC | 570388108 | COM | 9,586 | $353,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 18,513 | $350,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 353,000 | $350,000 | thousands by filing date | principal |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 9,405 | $349,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 3,654 | $347,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 4,301 | $347,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 9,740 | $346,000 | thousands by filing date | |
| Deutsche Post AG | 25157Y202 | Equity | 10,542 | $345,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 16,438 | $343,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 35,901 | $343,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 5,056 | $342,000 | thousands by filing date | |
| MUNICH RE GROUP UNSPONSORED ADR | 626188106 | Common stock | 16,962 | $341,000 | thousands by filing date | |
| GDF SUEZ-SPON ADR | 36160B105 | ADR | 14,503 | $341,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 17,787 | $340,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 14,141 | $340,000 | thousands by filing date | |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 6,431 | $339,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 12,644 | $334,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 12,939 | $334,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 13,850 | $331,000 | thousands by filing date | |
| CAPITAL ONE FINL 6.00% | 14040H402 | PRF | 13,565 | $331,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 3,130 | $328,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 8,868 | $327,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 7,532 | $325,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 6,394 | $325,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 57,172 | $325,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 11,671 | $323,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 3,876 | $323,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 25,275 | $323,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 6,570 | $322,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 13,675 | $322,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 325,000 | $322,000 | thousands by filing date | principal |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 44,266 | $321,000 | thousands by filing date | |
| VINCI SA ADR | 927320101 | ADR | 23,042 | $321,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 10,476 | $319,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,966 | $318,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 13,100 | $318,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 850 | $317,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 7,341 | $316,000 | thousands by filing date | |
| L OREAL CO ADR | 502117203 | ADUS | 9,350 | $315,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 9,524 | $314,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 19,884 | $314,000 | thousands by filing date | |
| SYMRISE AG UNSPONS ADR | 87155N109 | FOREIGN | 20,753 | $314,000 | thousands by filing date | |
| LUKOIL OAO-SPON ADR | 677862997 | COM | 7,886 | $314,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 23,348 | $313,000 | thousands by filing date | |
| Societe Generale | 83364L109 | Equity | 36,959 | $312,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 323,000 | $311,000 | thousands by filing date | principal |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 12,216 | $310,000 | thousands by filing date | |
| Industria De Diseno Textil SA | 455793109 | ADR | 21,583 | $310,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 13,176 | $310,000 | thousands by filing date | |
| Violin Memory, Inc. | 92763AAA9 | CONV | 300,000 | $310,000 | thousands by filing date | principal |
| RYOHIN KEIKAKU CO UNSP ADR | 78392U105 | COM | 12,490 | $309,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 14,250 | $309,000 | thousands by filing date | |
| Endurance Specialty 7.5% Cl 6/ | g30397304 | PFD | 11,732 | $308,000 | thousands by filing date | |
| SSE PLC SPONSORED ADR | 78467K107 | ADR | 12,142 | $307,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 72,726 | $307,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEPOSITARY | 481246700 | PFD | 12,514 | $307,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 18,871 | $306,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 3,178 | $304,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 25,176 | $304,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 23,340 | $303,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 15,500 | $302,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 16,099 | $302,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 28,714 | $302,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 5,589 | $302,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 6,296 | $301,000 | thousands by filing date | |
| AMARANTH PARTNRS LLC | 023025992 | LP | 370,238 | $301,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127A161 | PREFERRED STOCK | 11,398 | $301,000 | thousands by filing date | |
| ZILLOW INC | 98954A107 | COMMON STOCK | 2,833 | $300,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 10,096 | $299,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 21,350 | $299,000 | thousands by filing date | |
| FUJIFILM HLDGS CORP ADR | 35958N107 | ADR | 9,671 | $299,000 | thousands by filing date | |
| MORGAN STNLY CAP 5.75%33 | 617466206 | ps | 11,783 | $296,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 20,071 | $295,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 13,786 | $295,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 6,992 | $294,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 4,260 | $294,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 5,665 | $293,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 4,724 | $293,000 | thousands by filing date | |
| KASIKORNBANK PCL UNSPON ADR | 485785109 | COM | 10,487 | $293,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 12,100 | $293,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 5,257 | $291,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 5,424 | $290,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 27,164 | $290,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 11,243 | $290,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 24,989 | $289,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,884 | $288,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 4,931 | $288,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 12,598 | $288,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 11,255 | $287,000 | thousands by filing date | |
| NORTHSTAR REIT | 66704R704 | Common Stock | 16,355 | $287,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 3,135 | $286,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 9,738 | $286,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 8,929 | $286,000 | thousands by filing date | |
| Astellas Pharma Inc ADR | 04623U102 | USD | 20,256 | $286,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 8,696 | $286,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 6,730 | $284,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 13,300 | $281,000 | thousands by filing date | |
| BancOfCalifornia 8.00. Cal2018 | 05990k403 | PFD | 10,656 | $281,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 7,270 | $278,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 14,855 | $278,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 5,097 | $278,000 | thousands by filing date | |
| LINDE AG-SPONSORED ADR | 535223200 | COM | 14,911 | $278,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 4,604 | $277,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 12,468 | $276,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 8,063 | $275,000 | thousands by filing date | |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 4,416 | $275,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 22,040 | $274,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 15,128 | $274,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 2,614 | $273,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 21,283 | $272,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 10,549 | $272,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 11,710 | $272,000 | thousands by filing date | |
| NASPERS LTD ADR N SHS | 631512100 | ADR | 2,080 | $272,000 | thousands by filing date | |
| Deutsche Bank 8.05% Prp Cl6/18 | 25150l108 | PFD | 9,650 | $272,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 14,040 | $271,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 3,028 | $271,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 9,068 | $271,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 2,485 | $270,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 2,572 | $269,000 | thousands by filing date | |
| DENSO CORPORATION-UNSPON ADR | 24872B100 | COM | 11,388 | $269,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 23,000 | $269,000 | thousands by filing date | |
| CVEO US 01/17/15 P9 | CM5509116 | OPT | 544 | $269,000 | thousands by filing date | put |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 22,980 | $267,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 13,822 | $267,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 11,137 | $266,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 3,740 | $266,000 | thousands by filing date | |
| SAFRAN S A SPON ADR | 786584102 | ADUS | 17,149 | $266,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 20,852 | $266,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 10,254 | $264,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 37,622 | $263,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 16,886 | $263,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 5,775 | $262,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 4,252 | $262,000 | thousands by filing date | |
| VIVUS INC | 928551AA8 | CONV BND | 396,000 | $262,000 | thousands by filing date | principal |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 10,232 | $261,000 | thousands by filing date | |
| AB VOLVO B ADR | 928856400 | ADR | 23,916 | $258,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 9,891 | $258,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 5,169 | $258,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 11,791 | $257,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 17,007 | $257,000 | thousands by filing date | |
| ACTELION ADR REP 1/4 ORD | 00507G102 | SPONSORED ADR | 8,917 | $256,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 5,287 | $255,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 14,280 | $253,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 4,930 | $252,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 5,621 | $252,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 4,736 | $251,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,709 | $251,000 | thousands by filing date | |
| Hutchison Whampoa Ltd-Adr | 448415208 | Com | 10,904 | $251,000 | thousands by filing date | |
| CIVEO CORP | 178787107 | COM | 60,974 | $251,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 7,283 | $246,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,077 | $245,000 | thousands by filing date | |
| WOODSIDE ENERGY GROUP LTD SPONSORED ADR | 980228308 | ADR | 7,829 | $244,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 5,631 | $242,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 6,053 | $241,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 13,228 | $241,000 | thousands by filing date | |
| Banco Do Brasil Sa Spons Adr Ea Repr 1 O | 059578104 | Equity | 27,426 | $241,000 | thousands by filing date | |
| DB-X FUNDS | 233052307 | XTRAK 2030TGT DT | 8,155 | $241,000 | thousands by filing date | |
| DEUTSCHE BOERSE UNSPONSORD ADR | 251542106 | COM | 33,514 | $240,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 4,787 | $240,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 12,962 | $239,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 5,175 | $238,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 9,631 | $238,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 4,853 | $238,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 4,144 | $236,000 | thousands by filing date | |
| PUBLICIS S A NEW SPONSORED ADR | 74463M106 | ADUS | 13,088 | $236,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 9,699 | $236,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 25,864 | $236,000 | thousands by filing date | |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 8,642 | $236,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 15,592 | $235,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 25,724 | $235,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 6,996 | $232,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 7,070 | $230,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 8,859 | $230,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 27,858 | $230,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 54,145 | $230,000 | thousands by filing date | |
| VIVENDI SA-UNSPON ADR | 92852T201 | COM | 9,116 | $228,000 | thousands by filing date | |
| GENMAB A/S | K3967W102 | COM | 3,900 | $228,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 8,400 | $227,000 | thousands by filing date | |
| ING GROEP NV | 456837707 | PRF | 8,814 | $227,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 10,458 | $226,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 4,510 | $225,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 36,985 | $225,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 12,680 | $225,000 | thousands by filing date | |
| HOLCIM LTD-UNSPON ADR | 434741203 | COM | 15,697 | $225,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 5,613 | $225,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 29,742 | $224,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 15,297 | $224,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 15,596 | $223,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,611 | $222,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 9,004 | $222,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 12,510 | $220,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 48,163 | $220,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 7,260 | $220,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 7,079 | $220,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 9,049 | $218,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 3,202 | $218,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 13,110 | $218,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 6,459 | $217,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 5,342 | $216,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 5,847 | $216,000 | thousands by filing date | |
| PANALPINA WELTTRANSP-UNS ADR | 698116100 | ADR | 8,072 | $215,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 12,580 | $214,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,468 | $214,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 5,129 | $214,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 3,948 | $214,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 14,395 | $214,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 8,363 | $214,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 811 | $213,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 3,805 | $213,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP $1.625 PFD | 38144G184 | PREFERRED | 7,967 | $213,000 | thousands by filing date | |
| KAO CORP SPONSORED ADR | 485537302 | COM | 5,356 | $213,000 | thousands by filing date | |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 8,245 | $213,000 | thousands by filing date | |
| TOPDANMARK A/S-UNSPON ADR | 89054C101 | ADR | 66,984 | $212,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 18,854 | $211,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 14,952 | $211,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 3,573 | $211,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 14,118 | $210,000 | thousands by filing date | |
| COLONY FINL INC PFD SER A 8. | 19624R205 | PFD | 8,000 | $210,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 57,984 | $209,000 | thousands by filing date | |
| NORDEA BK AB SWED | 65557A206 | COM | 18,010 | $209,000 | thousands by filing date | |
| RAYMOND JAMES FINANCIAL INC SR NT 6.9 PFD | 754730208 | PREFERRED | 7,609 | $208,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 14,513 | $207,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 3,385 | $207,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC | 539439802 | PRF | 8,036 | $207,000 | thousands by filing date | |
| EXPERIAN GP LTD ADR | 30215C101 | FOREIGN | 12,120 | $206,000 | thousands by filing date | |
| Cal Dive International | 12802TAB7 | CONV BOND | 1,749,000 | $206,000 | thousands by filing date | principal |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 8,227 | $205,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 25,194 | $205,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 26,027 | $205,000 | thousands by filing date | |
| SES | 817712995 | GDR | 5,700 | $205,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 7,600 | $204,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 18,207 | $204,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-002131 | this filing | 2015-02-13 | acceptance time not in the bulk data set |