13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-10, with 3,719 holding rows worth $199,783,017,000.
- Accession
- 0000950123-17-007183
- Filer
- CIK 820027
- Filed
- 2017-08-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A combination report, 6,999 entries on the cover page, a total value of $199,783,017,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $199,783,017,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Co 028-10458
- reports for this filerAmeriprise Certificate Co 028-00140
- reports for this filerRiverSource Life Insurance Co 028-00143
- reports for this filerRiverSource Life Insurance Co of New York 028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Co 028-10458
- included managerAmeriprise Certificate Co 028-00140
- included managerRiverSource Life Insurance Co 028-00143
- included managerRiverSource Life Insurance Co of New York 028-10460
- included managerThreadneedle Asset Management Holdings LTD 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 24,526 | $878,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 57,587 | $878,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 23,708 | $874,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 25,771 | $873,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 55,372 | $873,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 30,375 | $868,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 12,538 | $866,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 17,882 | $862,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 30,063 | $857,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 134,758 | $856,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 89,580 | $851,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 174,410 | $850,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 205,155 | $850,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 13,193 | $849,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 46,403 | $848,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 4,030 | $848,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 115,289 | $843,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 53,066 | $843,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 30,196 | $840,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 72,219 | $838,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 28,072 | $837,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 65,707 | $837,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 25,812 | $835,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 33,309 | $835,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 59,517 | $834,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 18,025 | $834,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 8,032 | $833,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 31,693 | $833,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 39,360 | $832,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 40,131 | $830,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 63,879 | $829,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 106,057 | $828,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 7,280 | $827,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 403,243 | $827,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 83,169 | $826,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 15,910 | $819,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 63,993 | $818,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 33,267 | $818,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 111,969 | $816,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 42,077 | $812,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 194,744 | $812,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 79,928 | $809,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 36,536 | $807,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 17,282 | $806,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 31,718 | $800,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 29,596 | $799,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 60,648 | $799,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 60,692 | $798,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 17,463 | $797,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 70,800 | $796,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 15,071 | $793,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 25,072 | $792,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 17,551 | $792,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 23,860 | $788,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 61,898 | $785,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 40,995 | $785,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 14,994 | $784,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 43,225 | $777,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 46,066 | $772,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 31,533 | $771,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 24,253 | $769,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 68,441 | $769,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 42,943 | $765,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 59,480 | $765,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 12,686 | $763,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 14,693 | $763,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 44,675 | $763,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 16,864 | $758,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 36,435 | $757,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 31,438 | $757,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 155,399 | $755,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 40,192 | $752,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 294,729 | $752,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 27,301 | $752,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 9,377 | $751,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 47,411 | $748,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 101,567 | $746,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 52,649 | $745,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 7,201 | $743,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 20,438 | $743,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 18,135 | $742,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 14,239 | $742,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 30,289 | $741,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 21,348 | $739,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 15,861 | $739,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 12,167 | $728,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 75,458 | $727,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 48,355 | $727,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 104,656 | $724,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 30,276 | $716,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 35,548 | $716,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 28,473 | $715,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 7,633 | $714,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 43,000 | $713,000 | thousands by filing date | call |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 40,741 | $711,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 29,168 | $708,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 7,577 | $706,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 4,058 | $706,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 32,494 | $705,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 36,947 | $702,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 36,048 | $701,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 27,821 | $701,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 7,300 | $698,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 13,364 | $694,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 21,786 | $690,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 17,980 | $689,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 88,637 | $685,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 27,790 | $685,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 120,985 | $682,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 29,205 | $677,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 33,922 | $676,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 69,348 | $676,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 27,555 | $676,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 18,419 | $675,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 55,027 | $673,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 16,893 | $672,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 54,650 | $672,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 24,694 | $672,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 13,341 | $668,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 12,646 | $668,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 29,969 | $668,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 34,625 | $667,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 20,897 | $667,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 19,335 | $663,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 10,037 | $660,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 6,398 | $660,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 12,559 | $650,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 32,124 | $648,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 30,270 | $646,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 42,088 | $644,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 75,591 | $643,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 59,273 | $643,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 38,511 | $642,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 37,105 | $640,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 36,916 | $639,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 7,517 | $639,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 27,660 | $638,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 317,350 | $638,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 56,333 | $632,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 10,743 | $632,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 48,321 | $632,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 45,320 | $629,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 8,634 | $629,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 36,062 | $629,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 2,600 | $628,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 21,051 | $628,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 19,863 | $627,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 155,600 | $626,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 46,800 | $624,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 100,483 | $621,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 5,619 | $621,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 66,037 | $619,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 14,368 | $618,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 102,365 | $615,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 33,200 | $613,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 7,602 | $613,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 23,884 | $611,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 24,310 | $608,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 18,257 | $605,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 54,398 | $605,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 22,904 | $604,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 5,592 | $603,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 116,309 | $600,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 16,219 | $600,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 44,628 | $599,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 316,884 | $599,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 33,435 | $599,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 7,039 | $596,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 10,371 | $593,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 30,520 | $592,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 7,156 | $591,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 23,185 | $590,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 32,800 | $590,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 10,776 | $589,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 17,627 | $589,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 20,484 | $588,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 45,277 | $585,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 14,830 | $582,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 12,028 | $581,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT | 891160MJ9 | NOTE 3.625% 9/1 | 583,000 | $579,000 | thousands by filing date | principal |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 34,348 | $578,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 18,113 | $576,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 58,403 | $567,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 9,012 | $566,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 32,032 | $566,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 102,130 | $566,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 18,017 | $563,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 7,173 | $562,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 9,400 | $562,000 | thousands by filing date | call |
| CVR ENERGY, INC. | 12662P108 | COM | 25,787 | $562,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 9,445 | $562,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 10,972 | $558,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 58,550 | $556,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 9,534 | $554,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 5,466 | $553,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 19,799 | $553,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 21,963 | $552,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 63,054 | $551,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 27,407 | $551,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 185,448 | $547,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 28,504 | $546,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 16,041 | $545,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 25,372 | $543,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 27,483 | $543,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 10,385 | $543,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 104,021 | $541,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 22,290 | $541,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 16,209 | $538,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 21,758 | $537,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 13,550 | $536,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 39,821 | $536,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 14,528 | $534,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 88,387 | $533,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 11,759 | $533,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 15,696 | $530,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 50,287 | $528,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 46,197 | $526,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 24,792 | $526,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 8,871 | $524,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 24,063 | $523,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 10,956 | $523,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 20,620 | $522,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 14,767 | $519,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 58,758 | $517,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 4,233 | $514,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 48,739 | $514,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 22,777 | $512,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 34,945 | $510,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 43,687 | $510,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 43,141 | $510,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 19,459 | $506,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 6,462 | $503,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 85,937 | $503,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 5,674 | $502,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 13,049 | $501,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 15,911 | $497,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 26,337 | $495,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 18,270 | $493,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 53,588 | $492,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 15,081 | $488,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 98,024 | $486,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 18,866 | $485,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 26,041 | $485,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 52,933 | $483,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 15,051 | $483,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 37,868 | $483,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 9,488 | $480,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 15,607 | $474,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 31,790 | $473,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 7,663 | $472,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 5,437 | $470,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 13,971 | $468,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 9,300 | $468,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 44,436 | $467,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 29,120 | $467,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 214,290 | $467,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 30,153 | $465,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 23,771 | $465,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 9,231 | $464,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 10,512 | $462,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 4,153 | $460,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 25,917 | $456,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605109 | COM CL A | 18,881 | $456,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 36,168 | $455,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 12,847 | $452,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 99,205 | $452,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 22,142 | $451,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 7,303 | $451,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 86,449 | $450,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 29,939 | $448,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 7,962 | $447,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 34,805 | $447,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 26,941 | $446,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 13,308 | $445,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 12,227 | $444,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 39,154 | $443,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 9,896 | $443,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 17,290 | $443,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 17,339 | $442,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 10,070 | $442,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 26,581 | $441,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 10,175 | $441,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 28,590 | $440,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 75,385 | $440,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 12,914 | $437,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 3,700 | $436,000 | thousands by filing date | call |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 10,417 | $435,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 5,210 | $434,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 27,994 | $433,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 7,785 | $432,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 28,905 | $431,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 8,062 | $429,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 7,570 | $428,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 7,761 | $427,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 47,503 | $427,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 10,087 | $426,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 32,441 | $425,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 121,330 | $425,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 35,100 | $423,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 13,989 | $422,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 9,894 | $422,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 65,879 | $421,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 17,079 | $420,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 3,890 | $420,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 12,034 | $418,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 19,959 | $416,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 10,776 | $415,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 65,035 | $414,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 8,950 | $413,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 16,745 | $410,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 18,032 | $409,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 49,513 | $409,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 14,445 | $406,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 12,349 | $406,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 37,845 | $403,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 29,670 | $401,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 7,739 | $400,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 4,938 | $398,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 6,604 | $397,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 27,122 | $397,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 26,668 | $397,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 48,721 | $396,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 14,953 | $396,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 73,288 | $396,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 5,014 | $395,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 14,849 | $392,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 3,345 | $390,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,621 | $389,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 17,496 | $389,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 16,434 | $387,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 23,758 | $384,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 87,290 | $384,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 51,573 | $383,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 16,939 | $383,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 22,577 | $382,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 25,985 | $381,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 19,493 | $380,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 11,920 | $380,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 3,000 | $380,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 12,725 | $379,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 4,630 | $372,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 14,753 | $372,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 4,387 | $372,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 23,359 | $372,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 15,417 | $371,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 18,725 | $370,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 147,800 | $370,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 17,149 | $369,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 16,889 | $369,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 9,214 | $366,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 16,678 | $365,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 5,446 | $363,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 11,125 | $362,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 8,487 | $361,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 35,744 | $361,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 5,875 | $360,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 7,118 | $359,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 31,189 | $359,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 21,078 | $358,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 24,761 | $355,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 53,788 | $354,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 24,191 | $352,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 26,561 | $349,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 37,880 | $348,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 26,883 | $348,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 35,749 | $346,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 26,531 | $345,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 13,982 | $343,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 9,566 | $342,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 10,318 | $341,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 12,936 | $341,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 10,300 | $339,000 | thousands by filing date | call |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 19,842 | $337,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 6,040 | $336,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 14,476 | $336,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 15,504 | $335,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 7,161 | $334,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 13,337 | $333,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 13,409 | $332,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 3,719 | $332,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 18,280 | $331,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 11,265 | $328,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 12,471 | $328,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 36,633 | $328,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 23,153 | $327,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 17,710 | $327,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 209,349 | $327,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 8,484 | $325,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 5,102 | $325,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 46,299 | $323,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 17,772 | $323,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 10,049 | $322,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 25,040 | $322,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 17,940 | $321,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 37,604 | $321,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 5,225 | $320,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 227,945 | $319,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 26,457 | $315,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 21,527 | $315,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 9,557 | $314,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 7,191 | $313,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 5,068 | $313,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 10,791 | $313,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 20,497 | $311,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 17,738 | $310,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 20,264 | $310,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 18,292 | $310,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 14,494 | $309,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 12,230 | $308,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 32,010 | $308,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 17,090 | $307,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 23,387 | $306,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 23,691 | $306,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 3,552 | $304,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 6,132 | $303,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 56,342 | $303,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 19,852 | $301,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 21,362 | $300,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 21,556 | $300,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 6,071 | $299,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 57,854 | $297,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 14,981 | $296,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 15,150 | $296,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 9,071 | $295,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 14,736 | $295,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 46,062 | $295,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 4,664 | $293,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 12,360 | $293,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 10,766 | $292,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 11,922 | $291,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 4,814 | $290,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 13,103 | $290,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 10,162 | $288,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 19,539 | $288,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 11,527 | $288,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 29,064 | $286,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 12,008 | $286,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 14,897 | $285,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 7,295 | $285,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 16,371 | $284,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 4,581 | $284,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 11,139 | $283,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 6,909 | $281,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 5,814 | $280,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 21,699 | $280,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 4,549 | $279,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 15,654 | $278,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 32,072 | $278,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 6,989 | $277,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 56,988 | $277,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 25,737 | $277,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 38,248 | $277,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 37,330 | $276,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 20,680 | $276,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 162,536 | $275,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 27,065 | $274,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 30,978 | $272,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 27,964 | $272,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 31,670 | $270,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 19,744 | $270,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 19,775 | $269,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 6,084 | $269,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 13,707 | $268,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 47,220 | $268,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 8,683 | $267,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 13,584 | $267,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 30,389 | $266,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 15,540 | $266,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 8,856 | $264,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 9,133 | $263,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 27,728 | $262,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 4,363 | $262,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 25,787 | $262,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 9,207 | $261,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 3,730 | $260,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 10,580 | $260,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 16,625 | $259,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 18,776 | $259,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 8,132 | $258,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 40,425 | $258,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 34,395 | $258,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 8,658 | $258,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 5,216 | $257,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 9,219 | $257,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 6,446 | $255,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 12,602 | $254,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 3,305 | $253,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 11,579 | $252,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 7,228 | $249,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 9,512 | $247,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 2,914 | $247,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 15,293 | $246,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 7,164 | $246,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 9,301 | $246,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 18,658 | $245,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 16,064 | $244,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 10,138 | $244,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 19,931 | $242,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 19,393 | $242,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 8,222 | $241,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-007183 | this filing | 2017-08-10 | acceptance time not in the bulk data set |