13F-HR filed by D.A. DAVIDSON & CO.
D.A. DAVIDSON & CO. filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-02, with 951 holding rows worth $5,746,312,000.
- Accession
- 0001080107-20-000004
- Filer
- CIK 1080107
- Filed
- 2020-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 951 entries on the cover page, a total value of $5,746,312,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,746,312,000 with VALUE read as thousands by filing date, 13F file number 028-07602. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| SPLUNK INC | 848637104 | COM | 4,440 | $835,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 8,178 | $833,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 10,403 | $832,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 123,727 | $824,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 16,128 | $820,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 31,446 | $817,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 12,613 | $815,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 3,316 | $812,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 12,335 | $804,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 28,696 | $804,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 22,812 | $804,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 14,296 | $789,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 20,060 | $787,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 16,762 | $787,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 11,314 | $781,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 21,330 | $780,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 31,888 | $780,000 | thousands by filing date | |
| PENNANT GROUP INC | 70805E109 | COM | 20,170 | $778,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 10,876 | $768,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 3,912 | $766,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 24,963 | $748,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 3,410 | $748,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 27,150 | $742,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 8,202 | $732,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 47,922 | $727,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 4,467 | $725,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 143,344 | $721,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,012 | $718,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 18,254 | $715,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 39,944 | $711,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 75,035 | $711,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 8,147 | $704,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 4,784 | $703,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 2,476 | $702,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 2,340 | $701,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 40,160 | $701,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 4,114 | $699,000 | thousands by filing date | |
| AON PLC SHS CL A | G0403H108 | Stock | 3,383 | $698,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 16,948 | $696,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 11,029 | $696,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 58,139 | $694,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 77,600 | $694,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 55,685 | $687,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 14,841 | $683,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 5,594 | $680,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 35,173 | $675,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 9,325 | $670,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 17,874 | $670,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 14,647 | $670,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 27,680 | $670,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 3,940 | $667,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 34,655 | $667,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 11,782 | $667,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 8,349 | $665,000 | thousands by filing date | |
| MATCH GROUP INC NEW | 57667L107 | COM | 5,999 | $664,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 8,135 | $660,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 9,916 | $657,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,939 | $657,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 7,104 | $656,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 8,105 | $655,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 65,345 | $654,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 44,566 | $652,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 54,952 | $648,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 10,852 | $644,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 20,208 | $644,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 8,598 | $642,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 45,833 | $620,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 5,296 | $618,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 17,275 | $618,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33737K205 | INDXX NEXTG ETF | 10,420 | $617,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 22,973 | $615,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 8,071 | $611,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 16,253 | $611,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 5,871 | $609,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 11,523 | $609,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 37,236 | $601,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 23,388 | $595,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 3,015 | $590,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 38,599 | $582,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 6,969 | $577,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 11,149 | $576,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 2,731 | $575,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 30,451 | $571,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 8,712 | $564,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 2,605 | $557,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 8,942 | $552,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 3,762 | $549,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 7,266 | $546,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 87,385 | $545,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 4,490 | $544,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 10,107 | $541,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 65,492 | $537,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 4,924 | $536,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 48,550 | $529,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 7,397 | $528,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 6,285 | $527,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 39,010 | $526,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 15,067 | $525,000 | thousands by filing date | |
| ESSENTIAL UTILS INC COM | 29670G102 | Stock | 12,986 | $523,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 1,269 | $523,000 | thousands by filing date | |
| ADAPTIVE BIOTECHNOLOGIES CORP COM | 00650F109 | Stock | 10,735 | $522,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 11,565 | $519,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 7,924 | $519,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 19,249 | $517,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 41,222 | $515,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 6,643 | $514,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 8,711 | $510,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 18,970 | $509,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 16,638 | $509,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 12,835 | $509,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 18,720 | $508,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 7,839 | $508,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 13,294 | $503,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 10,011 | $502,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 14,882 | $502,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 6,114 | $501,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 8,321 | $501,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 17,112 | $500,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 7,000 | $499,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 7,990 | $499,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 10,710 | $498,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 5,439 | $493,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 4,186 | $493,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 8,900 | $491,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 13,131 | $488,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 2,583 | $488,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 14,206 | $486,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 4,306 | $484,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 7,910 | $484,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 12,840 | $484,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 18,590 | $482,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 40,146 | $479,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 4,483 | $473,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 5,136 | $472,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 1,021 | $471,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 7,900 | $471,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 5,585 | $464,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 26,924 | $462,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 25,235 | $461,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 3,744 | $460,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 17,179 | $460,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 4,831 | $458,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 9,371 | $458,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 8,615 | $456,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 2,089 | $456,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 21,021 | $455,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 27,500 | $454,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 3,327 | $451,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 37,885 | $451,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 58,460 | $448,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 51,100 | $446,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 22,600 | $441,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 15,580 | $438,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 10,806 | $436,000 | thousands by filing date | |
| AXOSFINLINC | 05465C100 | STOK | 18,718 | $436,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 35,317 | $435,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 9,980 | $434,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 19,438 | $434,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 6,280 | $433,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 8,872 | $433,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 5,408 | $431,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 3,319 | $429,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 2,134 | $427,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P504 | INCOME EQT FOCUS | 10,985 | $427,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 18,300 | $425,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 15,028 | $422,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 4,443 | $421,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 65,158 | $418,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 1,350 | $417,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 3,635 | $417,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 10,422 | $414,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 40,851 | $413,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 3,591 | $411,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 5,891 | $409,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935805 | US VALUE FACTR | 6,625 | $409,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 13,830 | $406,000 | thousands by filing date | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 13,181 | $405,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 11,051 | $403,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 23,926 | $403,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 828 | $402,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 3,217 | $402,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 4,787 | $402,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 119,000 | $402,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 4,362 | $401,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 3,266 | $400,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 3,609 | $400,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 1,283 | $399,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 20,315 | $398,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 13,335 | $398,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 29,534 | $398,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 18,293 | $396,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 15,069 | $396,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 3,294 | $394,000 | thousands by filing date | |
| KEURIG DR PEPPER INC COM | 49271V100 | Stock | 14,289 | $394,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 1,064 | $393,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 2,229 | $393,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 26,725 | $392,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 72,841 | $390,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 4,877 | $388,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 2,903 | $388,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 2,069 | $387,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 2,664 | $386,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 22,627 | $386,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 8,710 | $386,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 26,086 | $379,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 28,467 | $375,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 2,060 | $374,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 10,324 | $371,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 39,126 | $370,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2020 CORP | 46138J502 | BULSHS 2020 CB | 17,450 | $370,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 29,888 | $367,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V597 | RAFI US 1500 | 3,129 | $366,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 2,894 | $366,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 11,905 | $366,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 1,090 | $365,000 | thousands by filing date | |
| BANK OZK LITTLE ROCK ARK COM | 06417N103 | Stock | 16,923 | $361,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 21,815 | $360,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 2,882 | $358,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 10,100 | $356,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 4,607 | $355,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935409 | US MINIMUM | 4,305 | $355,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 47,940 | $353,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 38,837 | $353,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 4,654 | $351,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 12,483 | $350,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 19,021 | $349,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 8,893 | $348,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 3,213 | $348,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 3,850 | $345,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 4,350 | $344,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 3,570 | $343,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 30,241 | $343,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 2,720 | $342,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 3,131 | $341,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 30,212 | $341,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 25,553 | $340,000 | thousands by filing date | |
| ALTABANCORP | 021347109 | COM | 16,900 | $340,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 11,727 | $336,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 38,077 | $335,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 5,839 | $335,000 | thousands by filing date | |
| FIRST TR HIGH YIELD OPPRT 20 | 33741Q107 | COM | 16,600 | $335,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 11,078 | $334,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 29,700 | $334,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 104,143 | $333,000 | thousands by filing date | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 6,426 | $332,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 1,599 | $331,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 5,632 | $329,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 29,500 | $329,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 978 | $328,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 60,523 | $328,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 428 | $325,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 5,970 | $325,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 2,230 | $325,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 2,903 | $324,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 3,767 | $324,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 980 | $323,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 3,826 | $322,000 | thousands by filing date | |
| LIVONGO HEALTH INC | 539183103 | COM | 2,296 | $322,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 4,116 | $320,000 | thousands by filing date | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 15,467 | $320,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 31,450 | $318,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 14,685 | $316,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 3,186 | $315,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 2,444 | $313,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 10,606 | $312,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 31,921 | $312,000 | thousands by filing date | |
| ONTO INNOVATION INC COM | 683344105 | Stock | 10,460 | $311,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 19,749 | $309,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 17,355 | $309,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 6,829 | $308,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 6,350 | $307,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 32,500 | $307,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 28,740 | $306,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 960 | $298,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 7,000 | $295,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 13,539 | $294,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 63,423 | $294,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 2,900 | $292,000 | thousands by filing date | |
| KONTOOR BRANDS INC | 50050N103 | COM | 11,975 | $290,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 8,404 | $289,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 3,480 | $288,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,742 | $288,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 5,728 | $287,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 5,715 | $287,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 5,265 | $286,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 1,579 | $286,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 31,333 | $286,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 10,795 | $285,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 942 | $284,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 11,575 | $282,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 4,444 | $281,000 | thousands by filing date | |
| TCF FINANCIAL CORPORATION NE | 872307103 | COM | 11,985 | $280,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 1,125 | $278,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 1,420 | $277,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 2,667 | $274,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,250 | $271,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 2,265 | $269,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 5,272 | $268,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 15,952 | $268,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 31,260 | $267,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 50,659 | $267,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 3,261 | $263,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 16,595 | $263,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 20,097 | $261,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 1,683 | $259,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 4,123 | $257,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 4,249 | $256,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 2,435 | $255,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 2,747 | $253,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 31,570 | $251,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 13,475 | $247,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 6,300 | $247,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 9,450 | $246,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,819 | $244,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 4,018 | $243,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 2,235 | $242,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 11,302 | $242,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 5,015 | $241,000 | thousands by filing date | |
| HOWMET AEROSPACE INC COM | 443201108 | Stock | 14,292 | $239,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 2,250 | $238,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 4,380 | $236,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 3,555 | $235,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 13,880 | $235,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 4,228 | $235,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 13,882 | $234,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 5,623 | $234,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 25,912 | $233,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 7,002 | $233,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 695 | $231,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 10,385 | $231,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 6,708 | $230,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 841 | $229,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 4,675 | $229,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 7,427 | $229,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 16,200 | $229,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 133 | $228,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 4,862 | $227,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 18,666 | $227,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 1,320 | $226,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 7,215 | $226,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 5,089 | $226,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 21,000 | $226,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 2,100 | $225,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,310 | $225,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L405 | CMN | 11,250 | $225,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 3,656 | $224,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 7,310 | $224,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 2,192 | $223,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 4,305 | $223,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 230 | $222,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 2,950 | $222,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 10,044 | $221,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 18,900 | $221,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 7,165 | $220,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 7,145 | $220,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 3,604 | $219,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 14,350 | $218,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 3,030 | $218,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 25,555 | $218,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 4,386 | $217,000 | thousands by filing date | |
| CALAMOS LNG SHR EQT DYNAMIC | 12812C106 | COM | 14,700 | $214,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 4,543 | $214,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 44,238 | $214,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,679 | $213,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 2,837 | $212,000 | thousands by filing date | |
| ENERGIZER HLDGS INC NEW | 29272W208 | 7.5 MCNV PFD A | 2,522 | $210,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 1,800 | $209,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 1,135 | $209,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 2,679 | $209,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E628 | KBW BK ETF | 5,567 | $209,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 3,313 | $209,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 6,293 | $208,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 14,551 | $208,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 5,700 | $206,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 2,020 | $206,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 14,901 | $206,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 40,000 | $206,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 1,495 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 4,700 | $205,000 | thousands by filing date | |
| PRIMERICA INC | 74164M108 | COM | 1,805 | $204,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 16,736 | $202,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 447 | $202,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 6,241 | $201,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 6,381 | $201,000 | thousands by filing date | |
| NUVEEN MUNICIPAL CREDIT OPP FU | 670663103 | COM | 15,797 | $199,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 19,300 | $197,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 16,400 | $194,000 | thousands by filing date | |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 10,916 | $193,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 19,300 | $190,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 10,150 | $188,000 | thousands by filing date | |
| NEM | 06739FJQ5 | 0.00% 10/30/2023 | 110,000 | $183,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 150,000 | $182,000 | thousands by filing date | principal |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 32,000 | $181,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 64,462 | $180,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 16,000 | $178,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 21,450 | $176,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 110,000 | $165,000 | thousands by filing date | principal |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 123,000 | $160,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 11,035 | $160,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 20,780 | $158,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 18,600 | $157,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 12,400 | $155,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 38,500 | $154,000 | thousands by filing date | |
| OVINTIV INC | 69047Q102 | COM | 18,171 | $148,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 14,503 | $146,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 125,000 | $143,000 | thousands by filing date | principal |
| PHOTRONICS INC | 719405102 | COM | 13,700 | $136,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 120,000 | $133,000 | thousands by filing date | principal |
| HALLIBURTON CO COM | 406216101 | Stock | 10,743 | $129,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,865 | $129,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 140,000 | $129,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 140,000 | $128,000 | thousands by filing date | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 130,000 | $125,000 | thousands by filing date | principal |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 120,000 | $125,000 | thousands by filing date | principal |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 11,502 | $124,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 125,000 | $124,000 | thousands by filing date | principal |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 29,882 | $119,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 14,315 | $117,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 14,300 | $113,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 18,082 | $108,000 | thousands by filing date | |
| SERVICE PPTYS TR | 81761L102 | COM SH BEN INT | 12,690 | $101,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 13,211 | $96,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 137,500 | $96,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 60,000 | $96,000 | thousands by filing date | principal |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 27,588 | $94,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 22,392 | $87,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 10,800 | $83,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 18,700 | $82,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,500 | $81,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 44,924 | $81,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 10,000 | $79,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 12,500 | $77,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 12,747 | $76,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 12,637 | $74,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 71,000 | $68,000 | thousands by filing date | principal |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 60,000 | $63,000 | thousands by filing date | principal |
| NEOGENOMICS INC | 64049MAA8 | Convertible Debt | 50,000 | $62,000 | thousands by filing date | principal |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 14,588 | $58,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 10,752 | $58,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 23,047 | $54,000 | thousands by filing date | |
| COWEN GROUP INC | 223622AE1 | BOND | 50,000 | $54,000 | thousands by filing date | principal |
| AEGON N V | 007924103 | NY REGISTRY SHS | 18,847 | $48,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 50,000 | $48,000 | thousands by filing date | principal |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 48,000 | $43,000 | thousands by filing date | principal |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 18,443 | $41,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 225,789 | $36,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,500 | $19,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 12,500 | $19,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 15,000 | $15,000 | thousands by filing date | principal |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 19,295 | $7,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 10,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001080107-20-000004 | this filing | 2020-11-02 | acceptance time not in the bulk data set |