13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-03, with 3,930 holding rows worth $183,140,203,000.
- Accession
- 0000950123-17-000787
- Filer
- CIK 820027
- Filed
- 2017-02-03
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A combination report, 7,326 entries on the cover page, a total value of $183,140,203,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $183,140,203,000 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, LLC028-10477
- reports for this filerAmeriprise Trust Co028-10458
- reports for this filerAmeriprise Certificate Co028-00140
- reports for this filerRiverSource Life Insurance Co028-00143
- reports for this filerRiverSource Life Insurance Co of New York028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD028-10644
- 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 |
|---|---|---|---|---|---|---|
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 13,868 | $930,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 9,048 | $928,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 31,539 | $926,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 19,481 | $925,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 84,906 | $925,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 9,789 | $921,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 19,044 | $916,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 66,069 | $914,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 17,035 | $913,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 8,297 | $911,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 115,560 | $911,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 31,961 | $910,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 8,258 | $907,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 60,985 | $906,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 11,582 | $902,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 391,132 | $900,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 141,442 | $895,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 78,844 | $891,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 333,830 | $885,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 82,950 | $883,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 2,383 | $880,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 15,911 | $879,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 87,532 | $875,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 173,289 | $872,000 | thousands by filing date | |
| Julius Baer Group Ltd ADR | 48137C108 | USD | 98,568 | $872,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 30,275 | $871,000 | thousands by filing date | |
| OIL GAS OR OTHER MINERALS DEEMED WORTHLESS | 9O7217227 | COM | 1 | $871,000 | thousands by filing date | |
| AIR LIQUIDE ADR | 009126202 | COM | 39,017 | $869,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 88,076 | $867,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 67,009 | $861,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 302,719 | $860,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 34,061 | $860,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 16,320 | $854,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 65,925 | $853,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 155,626 | $853,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 22,421 | $850,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 7,770 | $846,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 116,360 | $844,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 52,264 | $841,000 | thousands by filing date | |
| INFINEON TECHNOLOGIES-ADR | 45662N103 | COMMON STOCKS | 48,494 | $839,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 209,680 | $839,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 20,896 | $838,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 10,481 | $837,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 26,161 | $835,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 47,633 | $835,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 10,122 | $835,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 30,647 | $834,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 74,500 | $827,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 5,712 | $825,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 9,926 | $825,000 | thousands by filing date | |
| HEINEKEN N V SPONSORED ADR LEVEL 1 | 423012301 | COM | 22,011 | $824,000 | thousands by filing date | |
| BANCA MEDIOLANUM SPA ADR | 05970D106 | COMMON | 56,953 | $821,000 | thousands by filing date | |
| US BANCORP DEL DEP $1.625 PFD Ser F | 902973833 | PREFERRED | 28,873 | $817,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 38,524 | $817,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 98,555 | $815,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 19,597 | $813,000 | thousands by filing date | |
| FEDERAL RESERVE BANK | BAX41M5Q1 | COM | 16,260 | $813,000 | thousands by filing date | |
| ASSOC BRITISH FOODS UNSP ADR | 045519402 | COM | 23,771 | $805,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 67,612 | $805,000 | thousands by filing date | |
| AIRBUS SE UNSPONSORED ADR | 009279100 | COM | 48,924 | $803,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 7,949 | $801,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 44,202 | $801,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 93,604 | $800,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 42,145 | $799,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 66,179 | $799,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 264,630 | $799,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 11,030 | $798,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 33,091 | $796,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 25,877 | $794,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 36,367 | $794,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 104,307 | $791,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 22,970 | $790,000 | thousands by filing date | |
| BAE SYS PLC SPONSORED ADR | 05523R107 | ADUS | 27,220 | $790,000 | thousands by filing date | |
| BANK AMERICA CORP | 060505583 | Common Stock | 34,899 | $790,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 39,118 | $789,000 | thousands by filing date | |
| US Bancorp | 902973817 | PFD | 31,305 | $789,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 37,145 | $787,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 75,804 | $786,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 4,826 | $786,000 | thousands by filing date | |
| KBC GROUP | 48241F104 | USD | 25,330 | $784,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 162,290 | $784,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 13,873 | $780,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 12,593 | $779,000 | thousands by filing date | |
| ALERIS INTERNATIONAL INC | U01995148 | COM | 25,910 | $778,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 38,608 | $774,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 28,180 | $774,000 | thousands by filing date | |
| TEMPLAR ENERGY LLC | BAX64FR92 | COM | 103,114 | $773,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 39,640 | $771,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 498,385 | $771,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 30,129 | $771,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 45,371 | $769,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 6,200 | $768,000 | thousands by filing date | call |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 60,916 | $766,000 | thousands by filing date | |
| SMC CORP J | 78445W306 | USD | 64,804 | $765,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 53,332 | $763,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 30,568 | $763,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 12,822 | $758,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 73,747 | $757,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B621 | PWRS INT BUYBK | 26,737 | $756,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 60,739 | $755,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.2% $1.55 PFD | 38144X500 | PREFERRED | 29,655 | $754,000 | thousands by filing date | |
| LINDE AG-SPONSORED ADR | 535223200 | COM | 45,502 | $754,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 31,066 | $751,000 | thousands by filing date | |
| Koninklijke KPN NV | 780641205 | ADR | 248,475 | $745,000 | thousands by filing date | |
| BK OF AMERICA CORP PFD CUM SER C | 060505286 | Preferred | 29,341 | $741,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 21,889 | $740,000 | thousands by filing date | |
| HENKEL AG AND CO KGAA ADR | 42550U208 | COM | 6,212 | $739,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 22,689 | $738,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 14,349 | $737,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 22,395 | $734,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 15,287 | $731,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 10,301 | $731,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 29,235 | $731,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 37,684 | $728,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 67,161 | $728,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 10,991 | $727,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 5,441 | $724,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 7,841 | $722,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 29,215 | $722,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 24,995 | $721,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 45,350 | $719,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 107,700 | $719,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 5,796 | $718,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 27,404 | $718,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 8,775 | $716,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 7,700 | $714,000 | thousands by filing date | call |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 81,636 | $713,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 20,249 | $713,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 21,509 | $711,000 | thousands by filing date | |
| INTESA SANPAOLO S P A SPONSORE | 46115H107 | ADUS | 46,550 | $709,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 26,183 | $708,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 15,589 | $704,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 72,398 | $704,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 26,111 | $703,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 15,529 | $702,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 14,843 | $701,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 15,479 | $700,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 10,905 | $700,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 47,562 | $698,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 67,727 | $693,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 78,321 | $687,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 27,903 | $687,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 56,163 | $685,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 27,794 | $685,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 33,664 | $684,000 | thousands by filing date | |
| Pernod Ricard SA ADR | 714264207 | COM | 31,711 | $684,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 30,050 | $683,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 30,200 | $680,000 | thousands by filing date | call |
| BAC CAPITAL TRUST I | 060505344 | Common | 26,410 | $679,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 180,294 | $678,000 | thousands by filing date | |
| CAPITAL ONE FINL 6.00% | 14040H402 | PRF | 27,675 | $678,000 | thousands by filing date | |
| BEZEQ THE ISRAELI-UNSPON ADR | 08861Q103 | COM | 71,323 | $678,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 39,554 | $677,000 | thousands by filing date | |
| BB&T CORP 5.625% PFD | 054937404 | ps | 28,329 | $673,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 15,121 | $672,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 20,157 | $672,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 22,314 | $671,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 32,885 | $671,000 | thousands by filing date | |
| MITSUBISHI | 606783207 | USD | 33,704 | $671,000 | thousands by filing date | |
| Astellas Pharma Inc ADR | 04623U102 | USD | 50,761 | $668,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 18,546 | $667,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 12,662 | $666,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 13,347 | $665,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 23,048 | $662,000 | thousands by filing date | |
| NASPERS LTD ADR N SHS | 631512100 | ADR | 45,044 | $659,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 4,545 | $658,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 8,479 | $657,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 6,715 | $657,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 22,793 | $656,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 17,784 | $654,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 9,677 | $651,000 | thousands by filing date | |
| Allstate 6.625 | 020002879 | PFD | 25,169 | $651,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 4,511 | $649,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 34,961 | $649,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 27,814 | $648,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 15,526 | $648,000 | thousands by filing date | |
| MUNICH RE GROUP UNSPONSORED ADR | 626188106 | Common stock | 34,362 | $647,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 30,866 | $646,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 28,191 | $645,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 50,700 | $644,000 | thousands by filing date | |
| GIVAUDAN SA ADR | 37636P108 | COM | 17,616 | $643,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 22,170 | $642,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 25,463 | $642,000 | thousands by filing date | |
| AKZO NOBEL N.V. SPON ADR | 010199305 | ADR | 30,911 | $640,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 16,847 | $639,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 25,019 | $639,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 61,541 | $637,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 53,994 | $637,000 | thousands by filing date | |
| PRUDENTIAL FIN 5.75%52 | 744320607 | ps | 25,730 | $637,000 | thousands by filing date | |
| SGS SA UNSPONSORED ADR | 818800104 | ADUS | 31,333 | $634,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 68,832 | $633,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 14,953 | $631,000 | thousands by filing date | |
| QWEST CORP | 74913G501 | PFD | 25,702 | $631,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 12,370 | $628,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 60,400 | $628,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 28,196 | $625,000 | thousands by filing date | |
| Deutsche Post AG | 25157Y202 | Equity | 18,990 | $621,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 4,810 | $620,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 10,780 | $620,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 71,263 | $617,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 11,695 | $617,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 7,122 | $614,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 6,721 | $611,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 33,372 | $611,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 12,861 | $607,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 16,399 | $605,000 | thousands by filing date | |
| ANNALY CAP MGMT INC PFDSER D % | 035710805 | PFD | 24,937 | $602,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 12,113 | $600,000 | thousands by filing date | |
| DAIKIN INDS LTD UNSPONS ADR | 23381B106 | FOREIGN | 3,245 | $598,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 6,800 | $597,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 11,798 | $595,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 13,311 | $594,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 216,050 | $594,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 15,734 | $593,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 5,292 | $593,000 | thousands by filing date | |
| Citigroup Inc | 172967358 | COM | 21,192 | $593,000 | thousands by filing date | |
| Sodexo | 833792104 | COM | 25,722 | $591,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 40,558 | $589,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 8,039 | $588,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 34,495 | $587,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 4,395 | $584,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 21,594 | $581,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 2,664 | $580,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 75,419 | $576,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 30,400 | $575,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 8,307 | $571,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 11,339 | $569,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 29,410 | $569,000 | thousands by filing date | |
| Societe Generale | 83364L109 | Equity | 57,539 | $565,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 67,547 | $564,000 | thousands by filing date | |
| BB&T CORPORATION | 054937602 | PFD | 24,757 | $563,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 11,053 | $561,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 1,884 | $559,000 | thousands by filing date | |
| HCI 8 01/30/20 | 40416E301 | PRF | 21,562 | $558,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 26,220 | $554,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 126,797 | $554,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 100,247 | $553,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 24,335 | $553,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 25,746 | $552,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 105,897 | $549,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 13,831 | $549,000 | thousands by filing date | |
| Bunzl PLC ADR | 120738406 | USD | 21,233 | $548,000 | thousands by filing date | |
| CenturyLink Quest 6.125%Nts Cl | 74913g600 | PFD | 24,140 | $548,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 28,440 | $547,000 | thousands by filing date | |
| ANR PRF SERIES A INC | 03634H308 | PRF | 25,469 | $547,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 39,002 | $545,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 15,826 | $544,000 | thousands by filing date | |
| Ck Hutchison Holdin-Unsp Adr | 12562Y100 | Equity | 47,925 | $544,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 19,988 | $544,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 20,387 | $542,000 | thousands by filing date | |
| Canadian Energy Service | 13566W108 | COM | 95,381 | $542,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 73,084 | $541,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 63,205 | $539,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 17,397 | $537,000 | thousands by filing date | |
| MAZDA MOTOR CORP ADR | 578787103 | COM | 65,935 | $537,000 | thousands by filing date | |
| SOUTHERN C | 842587206 | Preferred Stock | 20,560 | $537,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 29,752 | $536,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 26,619 | $532,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A403 | PRF | 22,395 | $532,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 25,528 | $530,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 17,173 | $530,000 | thousands by filing date | |
| CHINA CONSTR BANK CORP ADR | 168919108 | ADR | 34,863 | $529,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 14,872 | $525,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 8,300 | $521,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 20,525 | $521,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 22,458 | $519,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 51,326 | $519,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 55,688 | $518,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 8,094 | $518,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 13,414 | $515,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 10,692 | $514,000 | thousands by filing date | |
| RECKITT BENCKISER-SPON AD | 756255204 | ADR | 30,558 | $513,000 | thousands by filing date | |
| COMPUTER SCIENCES CORP | 205363104 | COM | 8,600 | $511,000 | thousands by filing date | call |
| Bayerische Motoren Werke AG | 072743305 | Equities | 16,488 | $511,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 28,757 | $510,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 21,519 | $510,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 23,232 | $509,000 | thousands by filing date | |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 10,657 | $509,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 12,047 | $508,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 4,583 | $507,000 | thousands by filing date | |
| ZURICH INS GROUP LTD SPONSORED | 989825104 | COM | 18,376 | $506,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 41,092 | $503,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 10,586 | $502,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 67,550 | $499,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 13,575 | $493,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 27,326 | $490,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 30,800 | $490,000 | thousands by filing date | call |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 33,615 | $489,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 11,050 | $489,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 17,380 | $487,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 10,473 | $486,000 | thousands by filing date | |
| VIVENDI SA-UNSPON ADR | 92852T201 | COM | 25,564 | $483,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 18,999 | $480,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 54,450 | $476,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 17,998 | $474,000 | thousands by filing date | |
| BRAMBLES LTD SPONSORED ADR | 105105209 | COM | 26,546 | $474,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 36,731 | $472,000 | thousands by filing date | |
| SECOM CO LTD UNSP ADR | 813113206 | COM | 25,883 | $472,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 31,410 | $472,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 22,679 | $469,000 | thousands by filing date | |
| PANASONIC HLDGS CORP F | 69832A205 | ADR | 45,999 | $467,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 39,219 | $466,000 | thousands by filing date | |
| Industria De Diseno Textil SA | 455793109 | ADR | 27,459 | $466,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 18,739 | $466,000 | thousands by filing date | |
| WELLS FARGO | 949746655 | PFD | 20,358 | $466,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 4,559 | $464,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 25,918 | $464,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 27,924 | $463,000 | thousands by filing date | |
| Countrywide Capital V | 222388209 | COM | 18,191 | $463,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 30,518 | $463,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 10,722 | $460,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 15,429 | $460,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 8,404 | $458,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 32,496 | $457,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 19,010 | $457,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 5,533 | $457,000 | thousands by filing date | |
| PUBLICIS S A NEW SPONSORED ADR | 74463M106 | ADUS | 26,558 | $456,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 13,818 | $455,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 14,299 | $454,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 10,272 | $452,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 19,000 | $452,000 | thousands by filing date | put |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 23,125 | $452,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 35,838 | $450,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 22,156 | $450,000 | thousands by filing date | |
| UTGR INC | BAX39CVC9 | COM | 5,526 | $448,000 | thousands by filing date | |
| VESTAS WIND SYSTEMS AS | 925458101 | COM | 20,499 | $446,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 23,029 | $445,000 | thousands by filing date | |
| TELSTRA CORP LTD | 87969N204 | SPON ADR FINAL | 24,371 | $445,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 13,005 | $443,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 88,741 | $443,000 | thousands by filing date | |
| ING GROUP N V PERP HYB CAP | 456837608 | PRD | 17,621 | $443,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 42,276 | $442,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 37,212 | $441,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 9,822 | $441,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 17,914 | $439,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 15,713 | $438,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 11,011 | $436,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 17,098 | $434,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 40,400 | $433,000 | thousands by filing date | |
| LADENBURG THALMANN FINL 8% SER | 50575Q201 | PFD | 18,083 | $433,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 14,995 | $432,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 10,588 | $431,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 4,408 | $430,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 17,521 | $430,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 36,395 | $430,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 15,611 | $428,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 49,150 | $428,000 | thousands by filing date | |
| SANTEN PHARMACEUTICAL UN ADR | 80287P100 | COM | 34,842 | $427,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 18,581 | $423,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 33,908 | $421,000 | thousands by filing date | |
| Volkswagen Ag Preferred ADR | 928662303 | COM | 14,667 | $421,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 14,643 | $419,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 8,747 | $417,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 11,963 | $417,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 28,098 | $415,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 14,839 | $415,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 27,736 | $415,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 15,509 | $415,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 54,286 | $414,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 17,369 | $414,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 19,243 | $413,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 26,237 | $411,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 7,836 | $411,000 | thousands by filing date | |
| LEGG MASON INC-CALLABLE | 524901501 | Pref | 16,300 | $409,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 9,971 | $407,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 30,308 | $404,000 | thousands by filing date | |
| CSL LIMITED ADR | 12637N204 | COM | 11,130 | $403,000 | thousands by filing date | |
| DAIMLER A G ADR F SPONSORED AD | 233825108 | ADR | 5,419 | $403,000 | thousands by filing date | |
| MITSUBISHI ELEC CORP ADR | 606776201 | COM | 14,376 | $400,000 | thousands by filing date | |
| KAO CORP SPONSORED ADR | 485537302 | COM | 8,447 | $400,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 5,163 | $399,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 31,214 | $399,000 | thousands by filing date | |
| SSE PLC SPONSORED ADR | 78467K107 | ADR | 20,883 | $398,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 81,035 | $397,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 15,924 | $397,000 | thousands by filing date | |
| MEDIANEWS GROUP | U58991834 | COM | 15,756 | $397,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 3,289 | $396,000 | thousands by filing date | |
| Wells Fargo & Co New | 949746366 | COM | 15,579 | $391,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 26,655 | $390,000 | thousands by filing date | |
| IND & COMM BK OF-UNSPON ADR | 455807107 | COM | 32,967 | $390,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 53,217 | $389,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 1,827 | $387,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 18,365 | $387,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 17,929 | $387,000 | thousands by filing date | |
| PARTNERRE LTD. | G68603144 | COMMON STOCK | 14,147 | $386,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 13,496 | $385,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 15,787 | $384,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 4,673 | $380,000 | thousands by filing date | |
| SONOVA HOLDING AG UNSPONSORED ADR | 83569C102 | USD | 15,757 | $380,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 29,147 | $379,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 14,867 | $379,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 25,381 | $379,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 27,746 | $379,000 | thousands by filing date | |
| OIL GAS OR OTHER MINERALS DEEMED WORTHLESS | 9O7217193 | COM | 1 | $378,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 24,422 | $376,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 9,412 | $375,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 5,061 | $373,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 24,380 | $372,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 3,798 | $371,000 | thousands by filing date | |
| Swiss Re Ltd. | 870886108 | COM | 15,587 | $371,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 3,110 | $371,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 53,006 | $369,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 8,491 | $369,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 14,996 | $369,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 28,506 | $367,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 75,425 | $367,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 24,358 | $366,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 51,594 | $366,000 | thousands by filing date | |
| TOKIO MARINE HOLDINGS INC ADR | 889094108 | ADUS | 8,917 | $365,000 | thousands by filing date | |
| Gabelli Equity Trust Inc 5.00000 Pfd | 362397861 | Stock | 15,971 | $365,000 | thousands by filing date | |
| SKY PLC SPONSORED ADR | 83084V106 | Stock | 7,452 | $365,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 39,153 | $364,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 14,324 | $362,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 7,422 | $362,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 30,000 | $362,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 2,968 | $362,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 51,029 | $361,000 | thousands by filing date | |
| JPMORGAN CHASE 5.5% PFD | 48126E750 | PRD | 14,645 | $360,000 | thousands by filing date | |
| SAFEWAY INC CASA LEY CVR | BAX524ZC5 | COM | 386,195 | $360,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 36,987 | $359,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 7,034 | $359,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 57,800 | $359,000 | thousands by filing date | |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 36,209 | $358,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 13,861 | $358,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 665,359 | $358,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 25,578 | $355,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 13,463 | $354,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 12,594 | $354,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 25,549 | $354,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 10,159 | $353,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 32,298 | $352,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 11,236 | $352,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 10,085 | $349,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 18,032 | $349,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 17,315 | $347,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 4,534 | $346,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 18,292 | $346,000 | thousands by filing date | |
| AEGON NV 6.375 $1.594 PFD | 007924301 | PREFERRED | 13,782 | $345,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 12,899 | $343,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 9,580 | $343,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 38,155 | $342,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 36,277 | $341,000 | thousands by filing date | |
| PUBLIC STORAGE PFD | 74460W719 | PFDs, REITs, | 16,140 | $341,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127A161 | PREFERRED STOCK | 12,642 | $340,000 | thousands by filing date | |
| SAMSONITE GROUP S A | 79604U107 | AMERICAN DEPOSITARY RECEIPTS | 23,973 | $338,000 | thousands by filing date | |
| Newcrest Mining ADS | 651191108 | ADR | 23,535 | $338,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 72,623 | $337,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 15,619 | $335,000 | thousands by filing date | |
| Wells Fargo Co Pfd Non-Cumlative Class A | 94988U714 | Pfd Stk | 14,079 | $333,000 | thousands by filing date | |
| Unibail-Rodamco SE | 904587102 | Common Stock | 14,007 | $333,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 23,080 | $332,000 | thousands by filing date | |
| MURATA MANUFACTURING CO LTD | 626425102 | International Equities, EAFE, Large Cap | 9,913 | $332,000 | thousands by filing date | |
| CAPITAL ONE FINANCIAL CO PFD | 14040H865 | Preferred Stock | 15,208 | $330,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 22,140 | $328,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 45,191 | $328,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 5,565 | $327,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 24,828 | $327,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 93,225 | $326,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 25,224 | $326,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 23,734 | $322,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 14,418 | $322,000 | thousands by filing date | |
| TORAY INDUSTRIES UNSPON ADR | 890880206 | COM | 19,958 | $322,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 24,553 | $322,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 10,181 | $319,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 42,308 | $317,000 | thousands by filing date | |
| NINTENDO LTD FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 654445303 | Equity | 12,138 | $315,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 3,604 | $315,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 37,418 | $314,000 | thousands by filing date | |
| OTSUKA HOLDINGS CO LTD UNSPONS ADR | 689164101 | FOREIGN | 14,331 | $314,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 7,237 | $314,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 8,328 | $313,000 | thousands by filing date | |
| HOLCIM LTD SPONSORED ADR | 50586V108 | ADR | 29,788 | $313,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 5,374 | $312,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 6,398 | $312,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 24,723 | $312,000 | thousands by filing date | |
| GLENCORE PLC | 37827X100 | UNSP ADR | 45,939 | $311,000 | thousands by filing date | |
| SVENSKA HANDELSB A UNSP ADR | 86959C103 | COM | 44,706 | $309,000 | thousands by filing date | |
| ARCADIS NV | N0605M147 | COM | 21,986 | $309,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 16,456 | $306,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 4,795 | $306,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 13,323 | $305,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 14,049 | $305,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 90,111 | $303,000 | thousands by filing date | |
| SUNTORY BEVERAGE & FOOD LTD AD | 86803T104 | ADR | 14,495 | $302,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 11,044 | $302,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 5,758 | $301,000 | thousands by filing date | |
| WELLS FARGO CO NEW DEP PFD V 1/1000 | 94988U730 | Preferred | 12,010 | $301,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 5,600 | $300,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 12,269 | $300,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 16,710 | $299,000 | thousands by filing date | |
| Allied Capital ARCC6.875% 4/20 | 01903q207 | PFD | 11,777 | $297,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 21,794 | $294,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 7,183 | $293,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 5,274 | $293,000 | thousands by filing date | |
| Pitney Bowes Inc. Notes Sr | 724479506 | PFD | 11,456 | $293,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 23,914 | $292,000 | thousands by filing date | |
| PUBLIC STORAGE DEP $1.475 PFD | 74460W206 | PREFERRED | 11,814 | $292,000 | thousands by filing date | |
| RENAISSANCERE HOLDINGS | G7498P309 | PRF | 11,634 | $292,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 2,265 | $291,000 | thousands by filing date | |
| UNITED OVERSEAS BK LTD SPONSOR | 911271302 | ADUS | 10,316 | $290,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-000787 | this filing | 2017-02-03 | acceptance time not in the bulk data set |