13F-HR filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 794 holding rows worth $1,448,786,000.
- Accession
- 0001085146-18-002650
- Filer
- CIK 1512647
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 794 entries on the cover page, a total value of $1,448,786,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,448,786,000 with VALUE read as thousands by filing date, 13F file number 028-14139. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| Intuitive Surgical,Inc. | 46120E602 | COM | 714 | $409,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 8,125 | $409,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 7,105 | $409,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 1,827 | $408,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 15,984 | $405,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,787 | $404,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 5,727 | $403,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 12,615 | $402,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 8,500 | $402,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 3,708 | $400,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 5,904 | $400,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 6,634 | $397,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 14,413 | $396,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 45,016 | $396,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 3,783 | $394,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,597 | $393,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 13,019 | $393,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 9,610 | $393,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 2,800 | $393,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 13,512 | $390,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 17,394 | $387,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 9,804 | $385,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 8,108 | $385,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 5,222 | $384,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 9,121 | $384,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 52,680 | $382,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 3,079 | $379,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 3,971 | $378,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,850 | $374,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 15,642 | $374,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 10,746 | $372,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 16,764 | $370,000 | thousands by filing date | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 10,592 | $368,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 12,392 | $368,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 8,214 | $367,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 1,594 | $364,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 6,487 | $362,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 25,872 | $361,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,798 | $361,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 9,700 | $357,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 14,062 | $356,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 9,388 | $356,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 4,656 | $355,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,906 | $354,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 5,697 | $353,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 12,889 | $351,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 34,844 | $350,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 14,959 | $344,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 5,164 | $343,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 1,993 | $342,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 8,613 | $340,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 6,892 | $338,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 3,725 | $338,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 7,137 | $337,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 3,736 | $336,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 746 | $335,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 4,468 | $335,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 4,006 | $335,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 4,552 | $334,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 17,968 | $334,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,907 | $334,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 6,521 | $334,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 13,607 | $334,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 32,390 | $332,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 2,333 | $331,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,445 | $331,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 8,131 | $331,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 4,930 | $331,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 13,263 | $331,000 | thousands by filing date | principal |
| NEWTEKONE INC | 652526203 | COM NEW | 15,708 | $330,000 | thousands by filing date | |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 6,423 | $329,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 11,645 | $328,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,029 | $327,000 | thousands by filing date | |
| L3 TECHNOLOGIES INC | 502413107 | COM | 1,529 | $327,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 9,039 | $323,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 2,420 | $322,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 5,925 | $322,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 5,473 | $321,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 4,450 | $319,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 20,532 | $319,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 4,472 | $318,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,921 | $317,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2,339 | $317,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 6,701 | $316,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 7,159 | $316,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 9,797 | $315,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 12,270 | $314,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 2,743 | $314,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 13,712 | $314,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 2,446 | $313,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 1,574 | $313,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 18,027 | $313,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 4,113 | $312,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 3,357 | $312,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 27,333 | $312,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 5,940 | $310,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 1,839 | $310,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 5,180 | $310,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 4,171 | $309,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 13,322 | $308,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 6,362 | $308,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 14,522 | $306,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 3,279 | $306,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 5,112 | $305,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 15,896 | $305,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 3,448 | $304,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 12,591 | $304,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 3,324 | $303,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 1,754 | $302,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,283 | $302,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 10,038 | $302,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 28,342 | $299,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 6,455 | $299,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 8,168 | $298,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 7,214 | $297,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 7,565 | $297,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 1,413 | $296,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 5,393 | $296,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,026 | $295,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 805 | $294,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 7,887 | $294,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 1,927 | $294,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 22,680 | $293,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 5,326 | $292,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 6,654 | $290,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 14,286 | $289,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 12,558 | $287,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 5,602 | $283,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 3,006 | $283,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,767 | $283,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 5,939 | $282,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 4,026 | $281,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 2,507 | $279,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 3,930 | $279,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 11,193 | $278,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 10,839 | $278,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 13,818 | $278,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 5,021 | $278,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 608 | $277,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 4,687 | $276,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 1,343 | $273,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 3,426 | $272,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 6,224 | $271,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 3,914 | $271,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 8,144 | $271,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,348 | $270,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,783 | $269,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 2,076 | $268,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 2,000 | $267,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 7,942 | $266,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 140,000 | $263,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 9,775 | $261,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 4,840 | $259,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 5,975 | $257,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 1,948 | $257,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 3,454 | $256,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 2,128 | $255,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 13,764 | $255,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 1,450 | $254,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 15,000 | $254,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 2,903 | $253,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 968 | $253,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 4,252 | $253,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 4,346 | $253,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 3,090 | $251,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 5,173 | $250,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 5,667 | $250,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 5,264 | $249,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 6,161 | $249,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 15,019 | $249,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 4,055 | $248,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 8,257 | $248,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 3,760 | $248,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 5,366 | $247,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 11,822 | $247,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 7,511 | $247,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 4,318 | $245,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 19,042 | $245,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 13,549 | $244,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,562 | $243,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,535 | $243,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 7,451 | $242,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 2,704 | $242,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 5,666 | $242,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 5,485 | $240,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,806 | $240,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 2,950 | $239,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 2,622 | $239,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 1,087 | $239,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 8,089 | $239,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 1,950 | $237,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 12,489 | $237,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,467 | $236,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 12,867 | $236,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 4,019 | $233,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,319 | $231,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 4,919 | $230,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 2,888 | $227,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 5,447 | $227,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 4,635 | $227,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 12,488 | $226,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 4,222 | $225,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 15,319 | $225,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 7,454 | $225,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 16,311 | $225,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 11,396 | $225,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,622 | $224,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 5,476 | $224,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 3,423 | $222,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 3,222 | $222,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 8,864 | $222,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 1,239 | $222,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 2,865 | $221,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 12,623 | $220,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 5,698 | $220,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 12,842 | $219,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 3,242 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 9,450 | $218,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 20,618 | $218,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 15,159 | $218,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 7,100 | $218,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 3,833 | $217,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 6,033 | $216,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,186 | $215,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 17,307 | $213,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 2,235 | $212,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 7,980 | $212,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 7,300 | $212,000 | thousands by filing date | |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 6,493 | $212,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 1,587 | $211,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 11,924 | $211,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 9,342 | $211,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 2,701 | $210,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,702 | $210,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 1,576 | $206,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 757 | $206,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 13,075 | $206,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 4,595 | $205,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 3,420 | $205,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 5,361 | $204,000 | thousands by filing date | |
| MGC | 921910873 | COM | 2,019 | $204,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 6,001 | $204,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 1,451 | $204,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 1,140 | $204,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 1,510 | $204,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 5,417 | $203,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 2,091 | $203,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 3,525 | $202,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 3,968 | $201,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,798 | $200,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 2,215 | $200,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 4,338 | $200,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 11,575 | $200,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 28,234 | $179,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 19,808 | $177,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 11,196 | $170,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 26,625 | $162,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 16,144 | $159,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 12,801 | $153,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 13,099 | $150,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 10,717 | $141,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 18,524 | $137,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 11,865 | $136,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 10,055 | $130,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 13,750 | $129,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 10,302 | $121,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 11,718 | $115,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,000 | $111,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 16,380 | $106,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 10,250 | $105,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 17,122 | $103,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 26,000 | $98,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 11,741 | $93,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 12,223 | $89,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 33,885 | $89,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 15,643 | $88,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 40,000 | $86,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 10,387 | $76,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 14,377 | $68,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 18,650 | $67,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 21,195 | $64,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 13,447 | $56,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 12,629 | $53,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 52,000 | $39,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 13,782 | $37,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 19,837 | $36,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 15,000 | $15,000 | thousands by filing date | principal |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 40,000 | $8,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPY | 78462F103 | SHS | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Walmart Inc. | 931142103 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TARGET CORP COM | 87612E106 | Stock | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 10,250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-18-002650 | this filing | 2018-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-19-000001 | base | 2019-01-03 | acceptance time not in the bulk data set |