13F-HR filed by NWAM LLC
NWAM LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-02, with 287 holding rows worth $301,467,000.
- Accession
- 0001085146-17-000244
- Filer
- CIK 1655006
- Filed
- 2017-02-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 287 entries on the cover page, a total value of $301,467,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $301,467,000 with VALUE read as thousands by filing date, 13F file number 028-17002. 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 |
|---|---|---|---|---|---|---|
| Microsoft Corp | 594918104 | COM | 205,186 | $12,750,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 98,441 | $9,156,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 641,587 | $8,321,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 73,982 | $8,247,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 64,592 | $7,481,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 52,332 | $6,200,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 299,205 | $5,945,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 51,471 | $5,766,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 64,753 | $5,610,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 68,766 | $5,556,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 95,823 | $5,320,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 50,014 | $5,246,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 99,391 | $5,106,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 56,779 | $4,686,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 28,589 | $4,451,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 322,269 | $4,135,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 257,424 | $4,047,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 24,211 | $3,946,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 46,319 | $3,680,000 | thousands by filing date | |
| IJH | 464287507 | COM | 21,963 | $3,631,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 4,729 | $3,546,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10,912 | $3,293,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 168,154 | $3,168,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 26,421 | $3,110,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 498,800 | $2,619,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 22,482 | $2,587,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 68,726 | $2,511,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 15,617 | $2,500,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 27,281 | $2,462,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 22,497 | $2,431,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 75,292 | $2,379,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 43,527 | $2,323,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 99,751 | $2,204,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 16,960 | $2,187,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 23,275 | $2,062,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 9,041 | $2,034,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 31,735 | $2,028,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 14,458 | $1,988,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 8,325 | $1,861,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 41,694 | $1,842,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 70,654 | $1,819,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 41,180 | $1,751,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 109,613 | $1,709,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 51,087 | $1,659,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 29,214 | $1,586,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,984 | $1,572,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 103,007 | $1,565,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 44,045 | $1,542,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 63,295 | $1,491,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 17,293 | $1,438,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 21,024 | $1,422,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 39,448 | $1,406,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 16,214 | $1,399,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 38,534 | $1,398,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 11,364 | $1,309,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 12,270 | $1,297,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 11,292 | $1,245,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 69,717 | $1,237,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 51,449 | $1,202,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 7,679 | $1,182,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 10,329 | $1,169,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 16,898 | $1,167,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 87,002 | $1,161,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 91,413 | $1,149,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 11,615 | $1,131,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 92,400 | $1,112,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 124,955 | $1,106,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 10,776 | $1,070,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 28,412 | $1,062,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,362 | $1,051,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 85,429 | $1,047,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 12,149 | $1,039,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 17,710 | $1,022,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 33,000 | $997,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 11,810 | $993,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 26,947 | $982,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 28,901 | $964,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 64,390 | $947,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 5,961 | $938,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 49,076 | $932,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 7,776 | $925,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 15,810 | $924,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 52,978 | $902,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 10,160 | $892,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 10,000 | $887,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 13,101 | $854,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 63,305 | $854,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 6,082 | $852,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 52,065 | $847,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 8,132 | $843,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 8,037 | $838,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 14,566 | $837,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 14,390 | $823,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 11,320 | $811,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 15,029 | $800,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 28,383 | $786,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 48,910 | $782,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 9,155 | $780,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 5,812 | $779,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 4,349 | $777,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 76,461 | $762,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 12,369 | $750,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 17,990 | $747,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 50,131 | $741,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 13,434 | $731,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 6,035 | $730,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 31,967 | $727,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 139,350 | $720,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 5,809 | $707,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 12,790 | $703,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 49,865 | $696,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 8,889 | $692,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 8,172 | $672,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 3,022 | $646,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 7,630 | $641,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 49,767 | $638,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 10,714 | $637,000 | thousands by filing date | |
| VTI | 922908769 | COM | 5,527 | $637,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 135,527 | $627,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 4,633 | $625,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 9,333 | $625,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 4,265 | $624,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 10,398 | $612,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 2,215 | $588,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 2,782 | $584,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 47,843 | $580,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 31,474 | $575,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 7,216 | $563,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 3,683 | $526,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 7,148 | $525,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 36,115 | $522,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 3,119 | $518,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 36,645 | $518,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 27,400 | $514,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 5,275 | $500,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 36,200 | $500,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 11,120 | $497,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 12,568 | $483,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 55,035 | $478,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 44,082 | $477,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 7,450 | $474,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 4,000 | $473,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 33,350 | $470,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 3,792 | $469,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 6,494 | $467,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 26,656 | $465,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 4,910 | $462,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 41,416 | $462,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 31,590 | $455,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 5,667 | $450,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 21,485 | $445,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 44,558 | $442,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 6,579 | $441,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 7,961 | $439,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 16,164 | $437,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 3,583 | $430,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 56,325 | $430,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,651 | $424,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 21,340 | $423,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 7,601 | $417,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 5,569 | $413,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 67,656 | $410,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 128,196 | $403,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 20,940 | $398,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 6,855 | $397,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 8,240 | $396,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 9,493 | $391,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 7,788 | $390,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 6,406 | $390,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 3,126 | $389,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 10,406 | $377,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 3,637 | $376,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 2,529 | $367,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 28,150 | $366,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 27,000 | $366,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 18,667 | $365,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 3,249 | $356,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 17,450 | $355,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 73,095 | $355,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 49,837 | $350,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 4,450 | $345,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 15,074 | $344,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 3,547 | $342,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 11,975 | $342,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,216 | $337,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 7,077 | $336,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 6,481 | $334,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,619 | $331,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 6,898 | $331,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 4,519 | $330,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 6,623 | $330,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 6,873 | $329,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 6,743 | $326,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 6,601 | $325,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 23,367 | $324,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 31,800 | $318,000 | thousands by filing date | call |
| AFLAC INC COM | 001055102 | Stock | 4,557 | $317,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 5,620 | $314,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 2,679 | $314,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 20,717 | $308,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 48,550 | $299,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 5,863 | $298,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 56,250 | $298,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 4,172 | $297,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 17,715 | $292,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 3,511 | $291,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 31,845 | $290,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 8,228 | $287,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,465 | $286,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 17,332 | $286,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 19,768 | $283,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 87,486 | $283,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 28,000 | $280,000 | thousands by filing date | put |
| Coca-Cola Company | 191216100 | COM | 6,629 | $275,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 2,092 | $275,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 11,270 | $275,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 21,450 | $275,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 9,113 | $274,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 51,150 | $273,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 3,704 | $270,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 3,091 | $267,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 4,939 | $267,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 17,890 | $264,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 6,292 | $264,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 7,326 | $262,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 3,685 | $255,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 10,664 | $254,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 11,480 | $252,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 2,509 | $252,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 13,680 | $250,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,437 | $248,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 26,375 | $248,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 32,700 | $246,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 322 | $246,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 16,650 | $245,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $244,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 3,226 | $244,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 2,188 | $240,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,088 | $239,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 6,624 | $237,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 17,369 | $237,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 4,394 | $236,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,989 | $230,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,344 | $229,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,631 | $228,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 5,872 | $224,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,953 | $223,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 159,227 | $221,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 64,625 | $218,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 6,724 | $217,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 2,462 | $215,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 5,948 | $213,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 2,970 | $212,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 1,794 | $210,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 14,925 | $209,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 47,100 | $208,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 12,523 | $204,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 1,156 | $204,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 1,416 | $201,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 1,646 | $200,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 14,115 | $194,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 22,154 | $185,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 14,070 | $179,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 17,225 | $174,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 24,696 | $173,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 15,205 | $170,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 10,573 | $170,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 26,636 | $168,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 13,172 | $157,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 11,000 | $155,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 45,271 | $153,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 28,784 | $144,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 12,136 | $132,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 11,950 | $118,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 10,700 | $110,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,000 | $109,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 30,085 | $100,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 10,206 | $97,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 12,481 | $91,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 16,598 | $77,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 13,250 | $71,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,277 | $70,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 13,600 | $52,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 47,262 | $30,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 21,900 | $25,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 43,378 | $19,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 26,122 | $18,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-000244 | this filing | 2017-02-02 | acceptance time not in the bulk data set |