13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-05, with 3,605 holding rows worth $193,266,990,000.
- Accession
- 0000950123-17-003964
- Filer
- CIK 820027
- Filed
- 2017-05-05
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A combination report, 6,783 entries on the cover page, a total value of $193,266,990,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $193,266,990,000 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 |
|---|---|---|---|---|---|---|
| UBIQUITI NETWORKS INC | 90347A100 | COM | 19,517 | $797,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 28,695 | $797,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 16,844 | $790,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 10,597 | $788,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 54,616 | $785,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 73,322 | $782,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 87,250 | $782,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 13,158 | $779,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 80,210 | $777,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 61,855 | $776,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 53,214 | $776,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 174,344 | $772,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 152,925 | $771,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 42,914 | $771,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 11,816 | $762,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 61,328 | $762,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 31,276 | $762,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 36,046 | $761,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 28,117 | $760,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 22,231 | $759,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 135,816 | $758,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 6,899 | $757,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 80,000 | $756,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 55,249 | $754,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 20,548 | $753,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 41,482 | $751,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 61,258 | $749,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 14,285 | $744,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 28,637 | $742,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 63,283 | $742,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 23,026 | $736,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 26,965 | $736,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 29,844 | $735,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 23,250 | $734,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 11,986 | $733,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 54,210 | $733,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 8,203 | $733,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 28,930 | $733,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 28,480 | $731,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 186,649 | $728,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 104,560 | $727,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 34,532 | $727,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 29,714 | $727,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 29,289 | $725,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 44,236 | $725,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 13,557 | $721,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 19,764 | $720,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 14,413 | $717,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 35,692 | $716,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 30,173 | $716,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 72,285 | $707,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 16,755 | $707,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 43,150 | $702,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 30,083 | $702,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 47,229 | $699,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 264,630 | $699,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 6,177 | $696,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 37,522 | $696,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 20,313 | $696,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 33,855 | $696,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 7,340 | $695,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 25,477 | $694,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 15,399 | $692,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 28,643 | $689,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 10,612 | $689,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 12,646 | $689,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 27,794 | $686,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 33,126 | $685,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 29,754 | $681,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 11,886 | $678,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 3,394 | $676,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 27,427 | $676,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 19,833 | $675,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 4,977 | $675,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 8,628 | $672,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 8,787 | $670,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 78,549 | $669,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 60,323 | $668,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 10,537 | $667,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 21,622 | $666,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 49,124 | $665,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 5,540 | $664,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 34,028 | $663,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 26,187 | $662,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 4,106 | $661,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 14,054 | $660,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 64,118 | $658,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 31,460 | $654,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 34,397 | $654,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 35,283 | $653,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 51,321 | $650,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 75,917 | $649,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 40,754 | $648,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 34,993 | $643,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 70,938 | $641,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 18,073 | $637,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 36,652 | $636,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 12,151 | $632,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 41,457 | $626,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 53,678 | $625,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 8,122 | $622,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 56,094 | $620,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 24,935 | $618,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 39,698 | $618,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 11,913 | $618,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 78,261 | $614,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 25,245 | $613,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 76,872 | $611,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 8,903 | $610,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 13,541 | $608,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 46,800 | $607,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 15,734 | $605,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 74,790 | $604,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 46,454 | $603,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 57,487 | $601,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 55,496 | $600,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 29,449 | $599,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 38,045 | $596,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 11,747 | $593,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 35,029 | $593,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 17,107 | $592,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 227,240 | $591,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 44,079 | $588,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 43,620 | $588,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 92,794 | $587,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 24,048 | $581,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 6,156 | $581,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 9,852 | $581,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 13,167 | $580,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 24,762 | $578,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 23,652 | $575,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 19,340 | $573,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 95,573 | $571,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT | 891160MJ9 | NOTE 3.625% 9/1 | 583,000 | $571,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 61,053 | $570,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 22,451 | $569,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 36,259 | $565,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 12,797 | $563,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 17,726 | $562,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 15,591 | $561,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 9,488 | $559,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 30,230 | $558,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 6,511 | $547,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 7,464 | $546,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 28,122 | $545,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 33,908 | $544,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 57,450 | $543,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 19,269 | $540,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 19,656 | $540,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 27,569 | $539,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 9,344 | $538,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 38,965 | $537,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 2,300 | $536,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 10,744 | $536,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 16,839 | $534,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 23,872 | $531,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 34,370 | $528,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 105,258 | $528,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC | 539439AG4 | SDCV 7.500%12/3 | 500,000 | $528,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 13,230 | $523,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 31,474 | $522,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 10,446 | $517,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 15,970 | $516,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 25,982 | $515,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 6,840 | $513,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 131,600 | $513,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 11,050 | $512,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 4,672 | $511,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 32,663 | $511,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 31,073 | $508,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 10,871 | $508,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 12,914 | $507,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 15,399 | $507,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 11,302 | $507,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 37,955 | $506,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 59,550 | $503,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 20,625 | $503,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 24,210 | $501,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 35,131 | $496,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 15,239 | $493,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 163,606 | $493,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 14,767 | $489,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 49,232 | $488,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 6,111 | $487,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 44,149 | $487,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 14,597 | $484,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 8,764 | $483,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 14,183 | $482,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 16,247 | $478,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 51,804 | $477,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 88,317 | $477,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 16,320 | $477,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 15,017 | $475,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 22,900 | $474,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 4,155 | $472,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 24,479 | $472,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 22,679 | $472,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 11,050 | $466,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 9,283 | $465,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 22,246 | $465,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 18,206 | $463,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 21,680 | $462,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 39,356 | $462,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 9,003 | $461,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 5,250 | $461,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 23,700 | $459,000 | thousands by filing date | put |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 11,127 | $457,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 10,492 | $455,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 10,549 | $454,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 72,197 | $453,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 12,660 | $448,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 19,205 | $448,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 42,475 | $447,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 53,502 | $447,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 25,921 | $445,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 6,983 | $444,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 14,447 | $443,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 22,256 | $442,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 35,630 | $440,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 19,470 | $440,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 28,028 | $438,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 9,850 | $436,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 33,945 | $435,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 3,548 | $434,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 42,227 | $432,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 10,351 | $432,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 34,461 | $431,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 27,909 | $428,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 17,492 | $428,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 14,797 | $427,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 34,534 | $427,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 38,336 | $426,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 22,235 | $426,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 7,878 | $425,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 52,892 | $423,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 7,076 | $422,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 8,221 | $422,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 5,145 | $419,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 9,982 | $416,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 9,294 | $415,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 3,886 | $414,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605109 | COM CL A | 19,038 | $414,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 17,265 | $413,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 31,766 | $412,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 29,916 | $411,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 3,117 | $411,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 19,835 | $411,000 | thousands by filing date | |
| EVERBANK FINANCIAL CORPORATION | 29977G102 | COMMON STOCK | 21,061 | $410,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 37,507 | $408,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 9,013 | $408,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 15,630 | $407,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 36,195 | $406,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 4,794 | $405,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 10,852 | $401,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 11,769 | $400,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 14,822 | $399,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 16,162 | $399,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 5,182 | $395,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 19,753 | $395,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 16,600 | $392,000 | thousands by filing date | put |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 23,818 | $391,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 10,663 | $387,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 27,202 | $385,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 20,037 | $382,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 33,700 | $381,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 21,847 | $380,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 14,439 | $376,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 9,742 | $375,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 43,900 | $375,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 42,872 | $373,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 45,828 | $370,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 16,776 | $370,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 17,368 | $368,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280AT6 | NOTE 6.375%12/3 | 360,000 | $364,000 | thousands by filing date | principal |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 9,033 | $363,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 4,574 | $360,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 18,972 | $359,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 11,968 | $357,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 57,455 | $356,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 24,788 | $356,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 13,447 | $354,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 7,180 | $354,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 8,560 | $354,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 26,690 | $354,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 25,132 | $353,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 32,304 | $353,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 9,833 | $351,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 4,384 | $351,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 9,059 | $350,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 14,740 | $349,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 10,600 | $348,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 21,940 | $347,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 12,697 | $345,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 2,160 | $345,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 32,010 | $343,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 133,270 | $343,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 4,285 | $342,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 50,648 | $339,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 26,914 | $339,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 51,648 | $339,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 24,259 | $338,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 10,120 | $338,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 6,054 | $338,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 60,152 | $337,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 17,954 | $337,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 24,504 | $337,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 18,292 | $336,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 27,206 | $335,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 34,536 | $334,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 44,944 | $334,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 13,243 | $329,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 18,131 | $329,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 17,735 | $329,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 6,694 | $328,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 10,129 | $326,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 69,772 | $323,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 27,506 | $322,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 25,513 | $321,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 19,875 | $320,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 22,000 | $319,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 12,214 | $318,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 6,185 | $317,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 8,498 | $316,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 7,535 | $315,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 5,060 | $314,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 16,106 | $314,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 43,259 | $314,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 16,131 | $313,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 40,584 | $312,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 24,106 | $312,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 10,141 | $311,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 25,039 | $310,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 40,897 | $309,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 12,875 | $309,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 13,685 | $308,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 32,206 | $307,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 78,500 | $307,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 14,654 | $306,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 9,593 | $305,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 24,261 | $304,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 89,111 | $302,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 18,692 | $298,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 19,691 | $298,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 10,749 | $298,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 38,116 | $297,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 12,467 | $297,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 13,024 | $296,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 13,695 | $295,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 16,596 | $294,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 10,588 | $294,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 5,344 | $293,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 21,092 | $293,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 4,290 | $291,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 15,784 | $291,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 15,160 | $291,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 20,211 | $289,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 16,893 | $288,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 33,200 | $288,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 16,437 | $288,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 2,646 | $287,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 31,663 | $287,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 18,980 | $287,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 17,273 | $286,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 12,508 | $286,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 10,894 | $285,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 34,677 | $285,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 22,022 | $284,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 4,924 | $284,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 5,376 | $282,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 35,124 | $282,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 5,133 | $282,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 10,772 | $281,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 14,561 | $281,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 22,670 | $281,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 19,273 | $280,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 20,997 | $280,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 47,518 | $277,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 10,963 | $277,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 30,229 | $277,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 2,654 | $277,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 7,540 | $277,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 21,519 | $276,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 19,448 | $276,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 8,215 | $275,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 10,625 | $270,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 15,815 | $270,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 4,770 | $269,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 39,688 | $268,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 13,742 | $266,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 10,122 | $265,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 4,710 | $265,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 18,313 | $264,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAB1 | PRFD 6.625%12/3 | 265,000 | $264,000 | thousands by filing date | principal |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 10,026 | $262,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 13,584 | $261,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 26,350 | $259,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 21,585 | $259,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 31,518 | $258,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 5,271 | $258,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 22,984 | $257,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 80,285 | $257,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 18,400 | $256,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 14,724 | $256,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 92,491 | $254,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 10,618 | $253,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 13,277 | $251,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 7,291 | $251,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 3,777 | $251,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 15,726 | $251,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 10,025 | $250,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 10,036 | $250,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 82,725 | $247,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 24,179 | $247,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 3,005 | $247,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 6,495 | $247,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 14,611 | $246,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 6,424 | $245,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 9,105 | $245,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 18,513 | $245,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 9,581 | $245,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 4,595 | $244,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 33,927 | $244,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 29,816 | $243,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 19,576 | $241,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 9,280 | $241,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 9,009 | $240,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 6,648 | $239,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 6,846 | $238,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 12,672 | $238,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 6,876 | $235,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 9,603 | $234,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 15,675 | $233,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 31,610 | $233,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 7,209 | $232,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 15,291 | $231,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 12,387 | $231,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 9,150 | $230,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 1,902 | $230,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,804 | $229,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 9,829 | $228,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 5,851 | $228,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 483 | $226,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,703 | $226,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 4,827 | $226,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 4,036 | $225,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 7,322 | $224,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 12,569 | $224,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 17,165 | $223,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 4,601 | $222,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 11,417 | $221,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 209,667 | $220,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 18,598 | $216,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 7,533 | $215,000 | thousands by filing date | |
| DEUTSCHE BK AG | D1T769565 | RIGHT 04/06/2017 | 90,890 | $214,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 9,812 | $213,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 35,254 | $213,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 11,103 | $212,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 14,457 | $212,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 3,919 | $210,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 24,962 | $209,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 6,714 | $209,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,508 | $208,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 21,037 | $208,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 6,737 | $208,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 7,720 | $207,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 3,523 | $206,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 5,105 | $205,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 15,354 | $203,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 16,500 | $203,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 8,989 | $202,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 20,033 | $201,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 10,286 | $201,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 9,880 | $201,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 12,285 | $201,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 6,920 | $200,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 780099CK1 | NOTE 8.000%12/3 | 200,000 | $199,000 | thousands by filing date | principal |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 42,744 | $197,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 13,259 | $196,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 20,262 | $193,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 38,784 | $193,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 14,758 | $189,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 40,547 | $187,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 13,710 | $186,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 13,377 | $186,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 14,228 | $185,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 13,003 | $184,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 12,152 | $182,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,520 | $181,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 44,807 | $180,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 54,958 | $179,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 12,350 | $178,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 18,400 | $177,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 10,537 | $175,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 20,700 | $174,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 14,538 | $173,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 12,700 | $173,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 22,810 | $173,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 12,994 | $170,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 15,369 | $169,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 31,844 | $167,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-003964 | this filing | 2017-05-05 | acceptance time not in the bulk data set |