13F-HR filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-06, with 1,153 holding rows worth $2,917,634,000.
- Accession
- 0001085146-19-001353
- Filer
- CIK 1512647
- Filed
- 2019-05-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 1,153 entries on the cover page, a total value of $2,917,634,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,917,634,000 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 |
|---|---|---|---|---|---|---|
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 317 | $222,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 3,010 | $222,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 7,806 | $222,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 14,410 | $222,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 17,478 | $222,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 3,124 | $221,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 7,333 | $221,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 6,272 | $221,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 4,017 | $220,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 2,280 | $220,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 1,440 | $220,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 18,040 | $220,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 1,678 | $220,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 4,848 | $220,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 1,910 | $220,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 2,082 | $219,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 4,929 | $219,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 833 | $218,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 2,515 | $218,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 17,525 | $218,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 7,191 | $218,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 3,774 | $217,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 4,059 | $216,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 1,267 | $216,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 1,531 | $215,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 5,710 | $215,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 6,521 | $214,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 2,332 | $213,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 8,688 | $212,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 1,825 | $211,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 1,870 | $211,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 8,542 | $210,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 1,060 | $209,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 5,214 | $209,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 12,245 | $209,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 2,857 | $208,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 3,950 | $208,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 1,480 | $207,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 1,436 | $207,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 4,339 | $206,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 14,795 | $206,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 8,787 | $205,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 3,002 | $204,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 8,983 | $204,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 4,645 | $203,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,012 | $202,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 3,835 | $202,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 7,524 | $202,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,657 | $202,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,154 | $201,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 9,840 | $200,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 17,341 | $199,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 13,259 | $198,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 16,405 | $197,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 19,605 | $197,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 10,374 | $195,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 12,965 | $191,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,916 | $190,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 13,262 | $187,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 13,075 | $187,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 12,110 | $183,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 14,356 | $181,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 20,850 | $178,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 12,104 | $176,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 15,595 | $175,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 28,569 | $175,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 33,662 | $174,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,737 | $170,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,558 | $169,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 13,435 | $169,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 15,272 | $169,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 10,879 | $168,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 14,607 | $167,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 12,083 | $165,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 18,202 | $163,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 65,000 | $160,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 22,521 | $159,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 15,583 | $156,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 40,275 | $154,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 16,115 | $154,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 11,315 | $153,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 10,546 | $151,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 21,278 | $151,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,799 | $149,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,890 | $149,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 10,140 | $147,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 10,281 | $144,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 10,681 | $144,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 16,700 | $143,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 11,697 | $141,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 11,610 | $140,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 25,000 | $140,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 10,102 | $139,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 27,000 | $138,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 24,098 | $136,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,467 | $136,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 10,456 | $134,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 10,359 | $131,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 10,000 | $131,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 23,277 | $131,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 23,057 | $129,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 23,145 | $128,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 13,918 | $127,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 12,938 | $126,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 10,796 | $124,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,995 | $124,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 11,216 | $124,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 13,042 | $119,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 40,000 | $119,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 14,845 | $118,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 27,600 | $117,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 10,495 | $115,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 27,075 | $114,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 10,730 | $109,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 30,861 | $107,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 26,007 | $107,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $106,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 10,335 | $101,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,000 | $101,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 11,406 | $92,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 17,696 | $85,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 25,217 | $82,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 10,008 | $81,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 140,500 | $77,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 13,460 | $75,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 19,394 | $71,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 71,000 | $71,000 | thousands by filing date | principal |
| RESEARCH FRONTIERS INC | 760911107 | COM | 29,212 | $63,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 11,849 | $62,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 10,951 | $58,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 12,757 | $53,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 50,000 | $50,000 | thousands by filing date | principal |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 26,126 | $48,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 10,215 | $48,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,335 | $48,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 12,144 | $45,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 16,304 | $43,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 19,950 | $40,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 11,734 | $40,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 19,195 | $37,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 14,798 | $37,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 44,305 | $30,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 19,500 | $26,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 15,773 | $26,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 36,000 | $22,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 10,069 | $21,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 12,954 | $20,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 35,000 | $19,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 34,500 | $18,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 16,000 | $15,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 14,376 | $14,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 10,000 | $10,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 14,900 | $1,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-001353 | this filing | 2019-05-06 | acceptance time not in the bulk data set |