13F-HR/A filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR/A for the quarter ended 2018-09-30, filed 2019-01-03, with 1,182 holding rows worth $2,918,272,000.
- Accession
- 0001085146-19-000001
- Filer
- CIK 1512647
- Filed
- 2019-01-03
- 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, amendment of type restatement, 1,182 entries on the cover page, a total value of $2,918,272,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,918,272,000 with VALUE read as thousands by filing date, 13F file number 028-14139. 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 |
|---|---|---|---|---|---|---|
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,523 | $247,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 1,716 | $246,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 3,612 | $246,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 3,429 | $244,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 7,203 | $244,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 4,326 | $244,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 13,815 | $244,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 1,359 | $243,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 7,416 | $241,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 6,985 | $239,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,268 | $238,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 5,794 | $238,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 1,190 | $237,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 10,141 | $237,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 7,110 | $235,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 4,942 | $234,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 7,515 | $233,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 2,989 | $232,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 17,141 | $232,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 1,712 | $232,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 1,296 | $231,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 8,798 | $231,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 3,630 | $231,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,736 | $229,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 4,885 | $229,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 1,570 | $227,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 5,179 | $227,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 1,213 | $226,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 2,015 | $226,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 1,743 | $226,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 4,554 | $226,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 6,300 | $225,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 14,286 | $225,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 4,756 | $224,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 5,262 | $223,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 2,876 | $222,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 9,822 | $222,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 12,195 | $222,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 5,812 | $222,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 8,303 | $221,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 34,703 | $221,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 2,393 | $218,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 7,546 | $218,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 19,065 | $218,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 1,434 | $217,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 14,249 | $217,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 11,595 | $216,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,938 | $215,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 2,904 | $214,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 3,085 | $213,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 3,334 | $213,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 7,737 | $213,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 3,035 | $212,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,169 | $212,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 1,587 | $211,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 2,035 | $210,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 6,787 | $210,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 6,785 | $210,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 14,410 | $210,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 12,374 | $209,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 1,658 | $208,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 10,316 | $208,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 11,681 | $207,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 7,390 | $207,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 31,980 | $207,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 3,000 | $206,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 9,900 | $206,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 4,595 | $205,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 1,809 | $205,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 12,012 | $205,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 1,570 | $204,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 5,417 | $203,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 7,246 | $203,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 2,091 | $203,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 11,515 | $201,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 7,361 | $201,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,682 | $201,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 7,871 | $201,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 4,990 | $200,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 20,873 | $200,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 4,144 | $200,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 8,589 | $200,000 | thousands by filing date | |
| DB COMMODITY INDEX TRACKING | 46138B103 | ETF | 11,082 | $199,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 18,564 | $197,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 15,463 | $196,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 16,365 | $195,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 20,350 | $192,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 16,642 | $191,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 35,996 | $190,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 10,335 | $187,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 30,225 | $184,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 13,946 | $184,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 14,607 | $183,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 15,647 | $183,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 12,749 | $182,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 13,396 | $179,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 17,267 | $178,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 13,548 | $177,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 30,577 | $177,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 54,765 | $177,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,916 | $176,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 42,177 | $175,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 11,896 | $175,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 12,841 | $173,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 26,405 | $171,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 12,500 | $170,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 33,788 | $169,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 12,903 | $166,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,566 | $162,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,737 | $161,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 13,098 | $159,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 16,700 | $158,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 158,000 | $158,000 | thousands by filing date | principal |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 13,713 | $157,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 17,586 | $155,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 12,154 | $153,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 24,476 | $151,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 13,158 | $149,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 13,352 | $144,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 13,550 | $144,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 10,717 | $141,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 14,117 | $140,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,262 | $139,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 12,146 | $137,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 12,510 | $136,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,738 | $136,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 12,381 | $135,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 10,185 | $129,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 13,824 | $127,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 12,685 | $126,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 21,872 | $122,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 17,597 | $122,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 10,000 | $121,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 12,359 | $121,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 15,674 | $120,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 12,960 | $120,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 15,110 | $120,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 27,075 | $116,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 44,000 | $116,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 43,279 | $115,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 13,522 | $114,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 13,524 | $113,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 15,307 | $112,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,000 | $111,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 30,254 | $104,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 12,686 | $103,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 26,000 | $98,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 19,164 | $91,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 13,475 | $89,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $88,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 18,469 | $87,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 40,000 | $86,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,335 | $85,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 19,038 | $76,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 13,392 | $76,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 24,131 | $73,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 16,475 | $72,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 18,650 | $67,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 10,000 | $62,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,305 | $59,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 10,810 | $57,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 10,869 | $56,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 20,600 | $56,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 50,000 | $50,000 | thousands by filing date | principal |
| ONCOSEC MED INC | 68234L207 | COM NEW | 35,000 | $49,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 29,212 | $46,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 10,843 | $44,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 10,742 | $41,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 19,950 | $40,000 | 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 | |
| HECLA MNG CO | 422704106 | COM | 12,000 | $34,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 19,500 | $30,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 34,500 | $23,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 4,500 | $13,000 | thousands by filing date | put |
| RITEAID CORP | 767754104 | COM | 10,025 | $13,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 40,000 | $8,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 500 | $2,000 | thousands by filing date | call |
| SPY | 78462F103 | SHS | 1,900 | $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. |
| 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 | 17,267 | $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 | superseded | 2018-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-19-000001 | this filing | 2019-01-03 | acceptance time not in the bulk data set |