13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-08, with 3,832 holding rows worth $178,511,116,000.
- Accession
- 0000950123-16-021342
- Filer
- CIK 820027
- Filed
- 2016-11-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 7,133 entries on the cover page, a total value of $178,511,116,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $178,511,116,000 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 filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Co 028-10458
- reports for this filerAmeriprise Certificate Co 028-00140
- reports for this filerRiverSource Life Insurance Co 028-00143
- reports for this filerRiverSource Life Insurance Co of New York 028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Co 028-10458
- included managerAmeriprise Certificate Co 028-00140
- included managerRiverSource Life Insurance Co 028-00143
- included managerRiverSource Life Insurance Co of New York 028-10460
- 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 |
|---|---|---|---|---|---|---|
| PARK NATL CORP COM | 700658107 | Stock | 8,304 | $797,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 23,366 | $795,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 37,409 | $795,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 29,880 | $794,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 98,244 | $791,000 | thousands by filing date | |
| SGS SA UNSPONSORED ADR | 818800104 | ADUS | 35,323 | $789,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 15,901 | $788,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 9,960 | $787,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 25,405 | $786,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 7,679 | $783,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 31,279 | $780,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 31,410 | $779,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 75,839 | $778,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 92,036 | $776,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 51,971 | $772,000 | thousands by filing date | |
| Astellas Pharma Inc ADR | 04623U102 | USD | 49,364 | $772,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 46,235 | $769,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 11,095 | $765,000 | thousands by filing date | |
| INFINEON TECHNOLOGIES-ADR | 45662N103 | COMMON STOCKS | 43,221 | $763,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 2,344 | $760,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 21,579 | $759,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 41,247 | $759,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 6,851 | $758,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 54,500 | $755,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 80,100 | $751,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 41,415 | $751,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 67,071 | $749,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 8,097 | $749,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 55,564 | $748,000 | thousands by filing date | |
| TEMPLAR ENERGY LLC | BAX64FR92 | COM | 103,114 | $748,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 28,084 | $747,000 | thousands by filing date | |
| BEZEQ THE ISRAELI-UNSPON ADR | 08861Q103 | COM | 79,055 | $744,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 24,929 | $742,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 296,345 | $741,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 13,920 | $740,000 | thousands by filing date | |
| Bunzl PLC ADR | 120738406 | USD | 25,001 | $738,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 54,592 | $736,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 5,101 | $735,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 89,369 | $732,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 76,923 | $731,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 32,135 | $727,000 | thousands by filing date | |
| FEDERAL RESERVE BANK | BAX41M5Q1 | COM | 14,521 | $726,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 31,359 | $726,000 | thousands by filing date | |
| Unibail-Rodamco SE | 904587102 | Common Stock | 27,035 | $726,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 26,371 | $725,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 31,461 | $725,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 37,318 | $724,000 | thousands by filing date | |
| BB&T CORP 5.625% PFD | 054937404 | ps | 27,868 | $718,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 10,762 | $717,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 78,714 | $714,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 5,610 | $714,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 22,732 | $714,000 | thousands by filing date | |
| RECKITT BENCKISER-SPON AD | 756255204 | ADR | 36,961 | $714,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 56,129 | $712,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 43,604 | $712,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 126,307 | $709,000 | thousands by filing date | |
| Sodexo | 833792104 | COM | 29,743 | $707,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 1,070,469 | $706,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 103,284 | $705,000 | thousands by filing date | |
| INTESA SANPAOLO S P A SPONSORE | 46115H107 | ADUS | 52,454 | $702,000 | thousands by filing date | |
| DAIKIN INDS LTD UNSPONS ADR | 23381B106 | FOREIGN | 3,781 | $702,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 10,671 | $699,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 25,824 | $696,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 4,688 | $690,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 20,203 | $690,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 6,910 | $688,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 15,673 | $686,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 16,507 | $685,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 35,568 | $683,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 35,759 | $675,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 4,897 | $674,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 30,080 | $673,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 6,727 | $668,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 26,412 | $666,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 8,933 | $664,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 13,862 | $658,000 | thousands by filing date | |
| MGC | 921910873 | COM | 8,908 | $657,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 299,089 | $652,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 30,165 | $649,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 19,431 | $648,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A403 | PRF | 25,446 | $648,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 24,848 | $647,000 | thousands by filing date | |
| MUNICH RE GROUP UNSPONSORED ADR | 626188106 | Common stock | 34,719 | $646,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 25,130 | $638,000 | thousands by filing date | |
| BAE SYS PLC SPONSORED ADR | 05523R107 | ADUS | 23,267 | $637,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 29,000 | $636,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 29,082 | $630,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 97,687 | $629,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 6,417 | $629,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 6,540 | $626,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 12,559 | $623,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 12,788 | $622,000 | thousands by filing date | |
| QWEST CORP | 74913G501 | PFD | 23,668 | $622,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 29,919 | $621,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 23,736 | $620,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 10,818 | $620,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 19,791 | $619,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 27,258 | $618,000 | thousands by filing date | |
| PRUDENTIAL FIN 5.75%52 | 744320607 | ps | 23,400 | $618,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 66,822 | $615,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 23,442 | $613,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 4,548 | $610,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 29,892 | $610,000 | thousands by filing date | |
| Ck Hutchison Holdin-Unsp Adr | 12562Y100 | Equity | 46,982 | $602,000 | thousands by filing date | |
| Pernod Ricard SA ADR | 714264207 | COM | 25,573 | $602,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 32,307 | $600,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 12,366 | $599,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 17,929 | $598,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 12,757 | $598,000 | thousands by filing date | |
| SANTEN PHARMACEUTICAL UN ADR | 80287P100 | COM | 40,565 | $597,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 8,490 | $596,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 53,589 | $593,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 4,790 | $592,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 22,689 | $591,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 10,138 | $590,000 | thousands by filing date | |
| Deutsche Post AG | 25157Y202 | Equity | 18,938 | $590,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 219,779 | $589,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 11,554 | $588,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 33,926 | $586,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 54,602 | $585,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 23,238 | $584,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 24,482 | $583,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 38,294 | $583,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 10,579 | $583,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 54,990 | $582,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 55,514 | $581,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 10,240 | $579,000 | thousands by filing date | |
| Industria De Diseno Textil SA | 455793109 | ADR | 31,400 | $579,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 31,705 | $579,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 5,805 | $578,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 4,895 | $576,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 33,841 | $576,000 | thousands by filing date | |
| WELLS FARGO | 949746655 | PFD | 22,540 | $575,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 16,291 | $574,000 | thousands by filing date | |
| PUBLICIS S A NEW SPONSORED ADR | 74463M106 | ADUS | 30,228 | $570,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 8,342 | $568,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 22,078 | $568,000 | thousands by filing date | |
| CHINA CONSTR BANK CORP ADR | 168919108 | ADR | 37,820 | $567,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 8,515 | $566,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 19,242 | $566,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 16,389 | $565,000 | thousands by filing date | |
| HCI 8 01/30/20 | 40416E301 | PRF | 21,762 | $565,000 | thousands by filing date | |
| Koninklijke Ahold Nv | 500467501 | Equity | 24,855 | $563,000 | thousands by filing date | |
| CenturyLink Quest 6.125%Nts Cl | 74913g600 | PFD | 22,130 | $563,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 33,441 | $562,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 176,150 | $562,000 | thousands by filing date | |
| Citigroup Inc | 172967358 | COM | 19,420 | $562,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 16,778 | $561,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 47,357 | $560,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 15,681 | $560,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 62,836 | $559,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 13,204 | $559,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 36,904 | $558,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 33,069 | $558,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 32,018 | $557,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 18,349 | $554,000 | thousands by filing date | |
| VESTAS WIND SYSTEMS AS | 925458101 | COM | 20,198 | $554,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 11,401 | $554,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 25,509 | $552,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 6,924 | $549,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 6,238 | $548,000 | thousands by filing date | |
| BRAMBLES LTD SPONSORED ADR | 105105209 | COM | 29,587 | $548,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 29,802 | $546,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 39,874 | $545,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 16,326 | $544,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 11,545 | $543,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 178,239 | $539,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 30,370 | $538,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 10,508 | $537,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 74,209 | $533,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 10,046 | $533,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 18,426 | $533,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 9,899 | $532,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 28,662 | $532,000 | thousands by filing date | |
| MITSUBISHI | 606783207 | USD | 28,409 | $532,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 28,418 | $529,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 18,156 | $527,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 20,552 | $526,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 6,767 | $525,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 16,934 | $525,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 94,895 | $524,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 21,060 | $523,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 36,710 | $522,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 11,200 | $521,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 3,558 | $521,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 20,490 | $519,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 10,748 | $518,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 37,694 | $518,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 4,770 | $518,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 11,605 | $518,000 | thousands by filing date | |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 11,340 | $517,000 | thousands by filing date | |
| SONOVA HOLDING AG UNSPONSORED ADR | 83569C102 | USD | 18,268 | $516,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 22,194 | $515,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 5,855 | $514,000 | thousands by filing date | |
| MEDIANEWS GROUP | U58991834 | COM | 15,756 | $512,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 10,602 | $511,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 6,238 | $509,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 62,912 | $509,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 36,228 | $508,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 19,754 | $508,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 87,429 | $507,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 39,512 | $507,000 | thousands by filing date | |
| ING GROUP N V PERP HYB CAP | 456837608 | PRD | 19,591 | $504,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 10,945 | $501,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 19,819 | $501,000 | thousands by filing date | |
| SECOM CO LTD UNSP ADR | 813113206 | COM | 26,670 | $498,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 16,466 | $497,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 23,944 | $496,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 26,556 | $495,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 17,386 | $494,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 64,573 | $493,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 5,290 | $491,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 32,852 | $490,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 23,427 | $490,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 19,879 | $489,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 13,814 | $488,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 17,951 | $487,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 9,190 | $486,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 26,782 | $486,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 19,030 | $486,000 | thousands by filing date | |
| RCS CAPITAL CORP | BAX60X0E5 | COM | 64,578 | $484,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 8,054 | $483,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 3,861 | $482,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 6,619 | $481,000 | thousands by filing date | |
| BK OF AMERICA CORP PFD CUM SER C | 060505286 | Preferred | 18,234 | $481,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 14,444 | $479,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 17,936 | $478,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 11,558 | $477,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 26,650 | $476,000 | thousands by filing date | |
| IMPERIAL BRANDS PLC SPON ADR | 45262P102 | ADUS | 9,182 | $476,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 18,355 | $476,000 | thousands by filing date | |
| Volkswagen Ag Preferred ADR | 928662303 | COM | 16,418 | $474,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 5,403 | $474,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 58,381 | $473,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 28,022 | $473,000 | thousands by filing date | |
| JPMORGAN CHASE 5.5% PFD | 48126E750 | PRD | 18,233 | $471,000 | thousands by filing date | |
| ZURICH INS GROUP LTD SPONSORED | 989825104 | COM | 18,180 | $467,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 21,034 | $463,000 | thousands by filing date | |
| MAZDA MOTOR CORP ADR | 578787103 | COM | 60,172 | $459,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 15,954 | $457,000 | thousands by filing date | |
| SAMSONITE GROUP S A | 79604U107 | AMERICAN DEPOSITARY RECEIPTS | 28,500 | $457,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 15,490 | $454,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 33,625 | $447,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 51,421 | $444,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 20,651 | $442,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 7,950 | $442,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 16,941 | $442,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 11,912 | $439,000 | thousands by filing date | |
| MITSUBISHI ELEC CORP ADR | 606776201 | COM | 17,196 | $437,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 8,276 | $436,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 17,929 | $435,000 | thousands by filing date | |
| LADENBURG THALMANN FINL 8% SER | 50575Q201 | PFD | 17,383 | $435,000 | thousands by filing date | |
| TORAY INDUSTRIES UNSPON ADR | 890880206 | COM | 22,150 | $432,000 | thousands by filing date | |
| PANASONIC HLDGS CORP F | 69832A205 | ADR | 43,086 | $431,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 37,479 | $431,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 15,567 | $429,000 | thousands by filing date | |
| GOLDMAN SACHS PFD VARIABLE RAT | 38143Y665 | PREFERR | 17,820 | $429,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 8,860 | $423,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 35,739 | $423,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 11,269 | $422,000 | thousands by filing date | |
| Newcrest Mining ADS | 651191108 | ADR | 24,887 | $421,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 4,587 | $420,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 18,084 | $418,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 12,093 | $417,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 363,008 | $417,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 20,162 | $416,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 35,213 | $416,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 16,739 | $416,000 | thousands by filing date | |
| Gabelli Equity Trust Inc 5.00000 Pfd | 362397861 | Stock | 16,496 | $416,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 72,914 | $413,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 27,070 | $411,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 25,758 | $410,000 | thousands by filing date | |
| LINDE AG-SPONSORED ADR | 535223200 | COM | 24,007 | $407,000 | thousands by filing date | |
| UTGR INC | BAX39CVC9 | COM | 5,526 | $406,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 29,292 | $405,000 | thousands by filing date | |
| DAIMLER A G ADR F SPONSORED AD | 233825108 | ADR | 5,730 | $404,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 10,506 | $399,000 | thousands by filing date | |
| IND & COMM BK OF-UNSPON ADR | 455807107 | COM | 31,528 | $399,000 | thousands by filing date | |
| ANNALY CAP MGMT INC PFDSER D % | 035710805 | PFD | 15,786 | $399,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 93,138 | $398,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 22,466 | $393,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 42,585 | $392,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 15,826 | $392,000 | thousands by filing date | |
| HINES REAL ESTATE INVT TR INC COM | 433264108 | COM | 58,939 | $392,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 24,612 | $391,000 | thousands by filing date | |
| Canadian Energy Service | 13566W108 | COM | 96,686 | $388,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 7,862 | $387,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 14,222 | $386,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 35,080 | $385,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 27,957 | $384,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 6,073 | $383,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 28,112 | $383,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 12,848 | $383,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 12,408 | $381,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 24,402 | $380,000 | thousands by filing date | |
| NINTENDO LTD FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 654445303 | Equity | 11,474 | $378,000 | thousands by filing date | |
| OIL GAS OR OTHER MINERALS DEEMED WORTHLESS | 9O7217193 | COM | 1 | $378,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 16,449 | $377,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 4,811 | $376,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 15,813 | $376,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 75,425 | $373,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 13,612 | $372,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 228,635 | $371,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 14,450 | $370,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 13,265 | $369,000 | thousands by filing date | |
| TELSTRA CORP LTD | 87969N204 | SPON ADR FINAL | 17,932 | $368,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 25,854 | $367,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 5,042 | $367,000 | thousands by filing date | |
| MURATA MANUFACTURING CO LTD | 626425102 | International Equities, EAFE, Large Cap | 11,264 | $367,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 2,880 | $365,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 44,989 | $364,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 24,616 | $364,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 71,805 | $363,000 | thousands by filing date | |
| HEINEKEN N V SPONSORED ADR LEVEL 1 | 423012301 | COM | 8,274 | $363,000 | thousands by filing date | |
| SAFEWAY INC CASA LEY CVR | BAX524ZC5 | COM | 386,365 | $360,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 6,917 | $355,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEPOSITARY | 481246700 | PFD | 12,698 | $353,000 | thousands by filing date | |
| Bayerische Motoren Werke AG | 072743305 | Equities | 12,548 | $352,000 | thousands by filing date | |
| AEGON NV 6.375 $1.594 PFD | 007924301 | PREFERRED | 13,834 | $351,000 | thousands by filing date | |
| JP Morgan Chase 6.15 | 48127V827 | Pfd Stk | 12,927 | $351,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 26,757 | $350,000 | thousands by filing date | |
| OTSUKA HOLDINGS CO LTD UNSPONS ADR | 689164101 | FOREIGN | 15,319 | $350,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 11,484 | $349,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 34,010 | $349,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 6,530 | $346,000 | thousands by filing date | |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 37,116 | $346,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 24,120 | $346,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 8,284 | $343,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 18,167 | $343,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 62,265 | $342,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 9,059 | $341,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 22,117 | $341,000 | thousands by filing date | |
| AIRBUS SE UNSPONSORED ADR | 009279100 | COM | 22,457 | $340,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 63,386 | $340,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 24,801 | $339,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 16,555 | $339,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 243,637 | $339,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 16,120 | $337,000 | thousands by filing date | |
| HOLCIM LTD SPONSORED ADR | 50586V108 | ADR | 31,032 | $337,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 1,607 | $336,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 17,168 | $333,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 10,976 | $333,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 13,744 | $333,000 | thousands by filing date | |
| Allstate Corp 5.62 | 020002408 | PFD | 12,484 | $333,000 | thousands by filing date | |
| Countrywide Capital V | 222388209 | COM | 12,893 | $332,000 | thousands by filing date | |
| BAC CAPITAL TRUST I | 060505344 | Common | 12,254 | $332,000 | thousands by filing date | |
| ENGIE SA ADR | 29286D105 | ADR | 21,102 | $330,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 96,482 | $330,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 23,274 | $330,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 20,355 | $330,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127A161 | PREFERRED STOCK | 11,624 | $329,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 25,922 | $328,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 7,206 | $328,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 11,289 | $328,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 9,137 | $328,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 6,747 | $327,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 80,177 | $327,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 33,387 | $327,000 | thousands by filing date | |
| CALIFORNIA REP BANCORP COM | 13056P100 | COM | 8,800 | $327,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 7,918 | $326,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 5,405 | $325,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 3,269 | $325,000 | thousands by filing date | |
| SVENSKA HANDELSB A UNSP ADR | 86959C103 | COM | 47,912 | $325,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 7,570 | $324,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 18,555 | $322,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 3,786 | $322,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 6,921 | $322,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 18,276 | $321,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 9,235 | $321,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 13,352 | $319,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 12,439 | $319,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 9,238 | $318,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 25,754 | $317,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 14,533 | $317,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 16,443 | $317,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 23,262 | $317,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 11,408 | $317,000 | thousands by filing date | |
| ARCADIS NV | N0605M147 | COM | 21,986 | $317,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 41,451 | $316,000 | thousands by filing date | |
| RENAISSANCERE HOLDINGS | G7498P309 | PRF | 12,440 | $316,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 15,355 | $315,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 277,056 | $313,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 6,905 | $313,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 17,631 | $312,000 | thousands by filing date | |
| Societe Generale | 83364L109 | Equity | 44,831 | $311,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 11,016 | $310,000 | thousands by filing date | |
| TOKIO MARINE HOLDINGS INC ADR | 889094108 | ADUS | 8,070 | $308,000 | thousands by filing date | |
| KASIKORNBANK PCL UNSPON ADR | 485785109 | COM | 14,160 | $308,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 36,870 | $308,000 | thousands by filing date | |
| HOME PRODUCT CENTER PCL-NVDR | 437298979 | GDR | 1,068,000 | $308,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 44,221 | $307,000 | thousands by filing date | |
| Allied Capital ARCC6.875% 4/20 | 01903q207 | PFD | 11,916 | $306,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 17,800 | $305,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 11,719 | $304,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 23,044 | $304,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 19,722 | $303,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 17,987 | $303,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 8,541 | $302,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 12,117 | $301,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 23,633 | $300,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 38,953 | $299,000 | thousands by filing date | |
| UNITED OVERSEAS BK LTD SPONSOR | 911271302 | ADUS | 10,812 | $299,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 67,000 | $299,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 8,680 | $298,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 49,231 | $298,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 13,121 | $297,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 8,378 | $295,000 | thousands by filing date | |
| CAPITAL ONE FINL 6.00% | 14040H402 | PRF | 11,444 | $295,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 18,070 | $295,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 34,214 | $293,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 10,607 | $293,000 | thousands by filing date | |
| ITOCHU CORP SPONS ADR | 465717106 | FOREIGN | 11,793 | $293,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 11,718 | $293,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 97,684 | $292,000 | thousands by filing date | |
| FUJIFILM HLDGS CORP ADR | 35958N107 | ADR | 7,866 | $291,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 11,411 | $291,000 | thousands by filing date | |
| Qwest Corp | 74913G105 | COM | 10,706 | $290,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 12,564 | $289,000 | thousands by filing date | |
| BancOfCalifornia 8.00. Cal2018 | 05990k403 | PFD | 10,768 | $289,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 66,541 | $288,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 5,738 | $287,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 23,501 | $286,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 2,600 | $285,000 | thousands by filing date | put |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 4,960 | $285,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,960 | $285,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 84,437 | $285,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 22,369 | $284,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 22,400 | $284,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 19,068 | $283,000 | thousands by filing date | |
| SYSMEX COR | 87184P109 | USD | 7,651 | $283,000 | thousands by filing date | |
| JPMorgan Chase preferred | 48127X542 | PFD | 10,440 | $283,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 8,229 | $282,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 4,212 | $282,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 12,668 | $282,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 8,482 | $282,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 17,142 | $280,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 16,569 | $280,000 | thousands by filing date | |
| RENAULT SA | 759673403 | USD | 17,057 | $280,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 12,708 | $280,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 2,364 | $277,000 | thousands by filing date | |
| ENTERGY ARKANSAS | 29364D761 | PFD | 10,762 | $277,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 5.875% | 879433795 | PREFERR | 10,954 | $276,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 26,522 | $275,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 15,195 | $274,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 5,459 | $274,000 | thousands by filing date | |
| Hartford Financial Serv | 416518504 | COM | 8,700 | $274,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 7,912 | $271,000 | thousands by filing date | |
| STANDARD BANK GROUP LTD ADR | 853118206 | ADR | 26,364 | $271,000 | thousands by filing date | |
| CSL LIMITED ADR | 12637N204 | COM | 6,508 | $271,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 79,930 | $270,000 | thousands by filing date | |
| PARTNERRE LTD 7.25% PFD E | G68603508 | PREFERRED STOCK | 10,703 | $270,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 3,792 | $268,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 10,333 | $268,000 | thousands by filing date | |
| DAYCO LLC | 570388108 | COM | 9,586 | $268,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 20,048 | $267,000 | thousands by filing date | |
| AEGON NV PERPETUAL | 007924400 | PRF | 10,361 | $267,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 10,100 | $267,000 | thousands by filing date | |
| KAO CORP SPONSORED ADR | 485537302 | COM | 4,680 | $265,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 16,131 | $264,000 | thousands by filing date | |
| CIE GENERALE DES ETABLISSEMENTS MICHELIN SCA UNSPONS ADR | 59410T106 | FOREIGN | 11,988 | $264,000 | thousands by filing date | |
| SUNTORY BEVERAGE & FOOD LTD AD | 86803T104 | ADR | 12,183 | $264,000 | thousands by filing date | |
| RAYMOND JAMES FINANCIAL INC SR NT 6.9 PFD | 754730208 | PREFERRED | 10,160 | $263,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 13,973 | $262,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 26,073 | $262,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 16,142 | $262,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 27,048 | $262,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 22,636 | $261,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 10,309 | $261,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 5,351 | $260,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 32,482 | $259,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 22,039 | $259,000 | thousands by filing date | |
| GEMALTO NV-SPONSORED ADR | 36863N208 | COM | 8,087 | $259,000 | thousands by filing date | |
| MORGAN STANLEY | 61762V200 | Common Stock | 8,717 | $257,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 5,736 | $256,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 5,810 | $255,000 | thousands by filing date | |
| Swiss Re Ltd. | 870886108 | COM | 11,259 | $255,000 | thousands by filing date | |
| AAC TECHNOLOGIES HOLDINGS INC ADR | 000304105 | COM | 2,502 | $255,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 9,945 | $255,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 23,234 | $254,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 10,711 | $253,000 | thousands by filing date | |
| Citigroup Inc 6.875 PFD | 172967341 | PFD | 8,767 | $253,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 14,307 | $252,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 8,013 | $251,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 4,558 | $251,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 27,362 | $251,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 10,426 | $250,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 16,127 | $250,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 3,019 | $249,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 30,008 | $249,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 25,861 | $248,000 | thousands by filing date | |
| EXPERIAN GP LTD ADR | 30215C101 | FOREIGN | 12,393 | $248,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 12,700 | $247,000 | thousands by filing date | put |
| BROOKDALE SR LIVING INC | 112463104 | COM | 14,165 | $247,000 | thousands by filing date | |
| PERSIMMON UNSPONSORD ADR | 715318101 | ADR | 5,259 | $247,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 15,792 | $246,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 17,437 | $246,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,950 | $245,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 79,410 | $245,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 10,181 | $244,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 6,962 | $244,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-021342 | this filing | 2016-11-08 | acceptance time not in the bulk data set |