13F-HR filed by Institute for Wealth Management, LLC.
Institute for Wealth Management, LLC. filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 250 holding rows worth $307,552,000.
- Accession
- 0001085146-17-002424
- Filer
- CIK 1533954
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 250 entries on the cover page, a total value of $307,552,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $307,552,000 with VALUE read as thousands by filing date, 13F file number 028-14899. 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 |
|---|---|---|---|---|---|---|
| Vanguard S&P 500 ETF | 922908363 | COM | 52,447 | $12,100,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 58,123 | $8,951,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 85,120 | $6,337,000 | thousands by filing date | |
| VTI | 922908769 | COM | 47,671 | $6,177,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 93,907 | $5,040,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 28,373 | $4,862,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 17,605 | $4,468,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 24,852 | $4,449,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 16,828 | $4,228,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 100,327 | $3,940,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 24,586 | $3,664,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 68,820 | $3,342,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 127,959 | $3,244,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 27,257 | $2,987,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 33,099 | $2,966,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 20,307 | $2,962,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 35,541 | $2,894,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 43,264 | $2,867,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 118,306 | $2,854,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 35,469 | $2,845,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 44,308 | $2,841,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 17,004 | $2,789,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 20,919 | $2,726,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 69,784 | $2,692,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 40,318 | $2,670,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 29,276 | $2,656,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 38,049 | $2,636,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 34,412 | $2,452,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 24,147 | $2,370,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 39,623 | $2,343,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 15,985 | $2,289,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 12,172 | $2,278,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 22,235 | $2,109,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 32,393 | $2,082,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 39,465 | $2,080,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 21,510 | $2,064,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 28,150 | $2,048,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 44,620 | $2,009,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 20,335 | $2,002,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 67,222 | $1,982,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 75,745 | $1,958,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 35,354 | $1,915,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 38,443 | $1,897,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 32,127 | $1,872,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 36,929 | $1,860,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 21,682 | $1,831,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 18,823 | $1,825,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 19,876 | $1,804,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 45,758 | $1,780,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 31,434 | $1,747,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 20,972 | $1,718,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 14,480 | $1,707,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 198,722 | $1,677,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 15,329 | $1,645,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 14,689 | $1,623,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 134,950 | $1,620,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 44,786 | $1,599,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 18,005 | $1,585,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 11,433 | $1,585,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 24,645 | $1,559,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 22,754 | $1,551,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 22,663 | $1,546,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 13,923 | $1,531,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 24,333 | $1,494,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,494,000 | $1,494,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 66,742 | $1,466,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 84,202 | $1,451,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 245,375 | $1,424,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 30,105 | $1,401,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 123,919 | $1,389,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 20,792 | $1,387,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 27,182 | $1,377,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 15,101 | $1,340,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 21,022 | $1,336,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 13,490 | $1,310,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 12,140 | $1,299,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 14,312 | $1,276,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 12,031 | $1,267,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 10,524 | $1,262,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 11,349 | $1,256,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 9,920 | $1,208,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 22,976 | $1,206,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 15,401 | $1,185,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 30,909 | $1,180,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 11,822 | $1,178,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 14,298 | $1,160,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 16,691 | $1,158,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 23,233 | $1,154,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 13,394 | $1,149,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 18,304 | $1,135,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 14,250 | $1,111,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 38,118 | $1,098,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 19,455 | $1,089,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 24,657 | $1,074,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 19,484 | $1,064,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 13,318 | $1,063,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 42,267 | $1,039,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 12,888 | $1,038,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 21,376 | $1,038,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 60,576 | $1,030,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 11,016 | $1,000,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 16,241 | $997,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 57,815 | $981,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 7,519 | $961,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 16,542 | $961,000 | thousands by filing date | |
| SPINNAKER ETF TR | 84858T103 | FIELDSTONE MERLN | 35,800 | $954,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 11,768 | $952,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 18,306 | $950,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 12,750 | $942,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 21,871 | $942,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 16,725 | $926,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 41,224 | $923,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 8,103 | $920,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 5,933 | $902,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 13,751 | $899,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 17,393 | $898,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 38,951 | $889,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 54,914 | $889,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 34,197 | $886,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 23,776 | $883,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 5,776 | $880,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 15,720 | $877,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 6,793 | $873,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 7,395 | $864,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 28,892 | $860,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 15,117 | $849,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 10,078 | $849,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 22,131 | $847,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 6,255 | $840,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 10,187 | $837,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 12,409 | $815,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 5,682 | $814,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 16,668 | $805,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 10,081 | $802,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 5,753 | $797,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 10,127 | $795,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 85,630 | $791,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 10,273 | $789,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 11,062 | $778,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 15,710 | $773,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 12,334 | $773,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 25,014 | $772,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 19,292 | $764,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,853 | $760,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 19,484 | $748,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 11,355 | $748,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 21,857 | $741,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 12,363 | $723,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 13,502 | $719,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 14,331 | $711,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 17,340 | $703,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 11,715 | $700,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 24,881 | $699,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 13,344 | $688,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 19,862 | $668,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 13,183 | $660,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 18,302 | $658,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 8,335 | $645,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 13,309 | $641,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 41,655 | $635,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 13,234 | $629,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 5,370 | $617,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 11,118 | $611,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 15,004 | $605,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 13,327 | $591,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 10,383 | $588,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 12,520 | $588,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 15,634 | $584,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 15,469 | $579,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 10,615 | $578,000 | thousands by filing date | |
| FQF TR | 351680855 | OSHARS FTSE US | 19,133 | $577,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 14,089 | $571,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 10,973 | $569,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 29,607 | $561,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 13,420 | $558,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 24,531 | $547,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 10,616 | $544,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 28,085 | $525,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 13,500 | $519,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 13,646 | $508,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 35,591 | $506,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 10,677 | $502,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 19,066 | $502,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 19,081 | $496,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 28,645 | $491,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 10,690 | $487,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 21,118 | $485,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 25,269 | $481,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 23,401 | $458,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 74,392 | $449,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 13,436 | $446,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 5,422 | $444,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 21,214 | $438,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 33,015 | $436,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 47,108 | $423,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 12,612 | $419,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 11,143 | $417,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 27,232 | $408,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 10,334 | $406,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 26,516 | $403,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 20,785 | $399,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 20,983 | $393,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 13,130 | $390,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 52,989 | $386,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 4,562 | $373,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 5,963 | $373,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 6,515 | $370,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 39,496 | $370,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 7,406 | $369,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 6,810 | $361,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 10,415 | $357,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 11,667 | $357,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 15,360 | $356,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 13,380 | $352,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 60,057 | $348,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 6,337 | $342,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 3,730 | $336,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 11,070 | $335,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 19,324 | $326,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 11,927 | $324,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 6,558 | $323,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 12,443 | $322,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 3,341 | $315,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 15,017 | $315,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 25,768 | $314,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 8,038 | $312,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 45,600 | $302,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 10,779 | $297,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 18,898 | $295,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 28,988 | $282,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 34,836 | $270,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 12,417 | $264,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 34,794 | $257,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 4,726 | $253,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 29,371 | $249,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 23,935 | $244,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 12,624 | $238,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 2,361 | $234,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 10,708 | $234,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 12,867 | $224,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 7,848 | $223,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 12,414 | $217,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 32,960 | $212,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 10,306 | $207,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 10,350 | $207,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 10,000 | $138,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 14,171 | $129,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 22,007 | $127,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 20,609 | $123,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 0 | $0 | thousands by filing date | putValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-002424 | this filing | 2017-11-14 | acceptance time not in the bulk data set |