13F-HR filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-06, with 1,634 holding rows worth $2,810,418,000.
- Accession
- 0001085146-19-002756
- Filer
- CIK 1512647
- Filed
- 2019-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 1,634 entries on the cover page, a total value of $2,810,418,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,810,418,000 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 |
|---|---|---|---|---|---|---|
| KEURIG DR PEPPER INC COM | 49271V100 | Stock | 8,922 | $244,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 422 | $243,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 16,061 | $243,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 1,724 | $243,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 4,148 | $242,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 27,844 | $242,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 82,400 | $240,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 8,908 | $239,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,765 | $239,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 1,942 | $239,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 2,492 | $238,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 3,358 | $237,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 7,453 | $237,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 28,362 | $236,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 12,745 | $235,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 1,509 | $234,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 10,900 | $234,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 35,733 | $234,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 2,063 | $234,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 3,468 | $233,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 555 | $232,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 856 | $231,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 2,880 | $231,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 16,994 | $231,000 | thousands by filing date | |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 10,454 | $230,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 2,899 | $230,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 5,448 | $230,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 7,512 | $230,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 4,911 | $229,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 2,530 | $229,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 1,329 | $228,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 36,146 | $228,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 7,157 | $227,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 14,679 | $227,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 1,545 | $226,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 13,129 | $226,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 24,000 | $226,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 19,950 | $225,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 9,995 | $225,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 8,573 | $225,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 16,430 | $224,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 10,552 | $223,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 10,500 | $223,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 4,100 | $222,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 4,425 | $222,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 1,422 | $221,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 8,415 | $221,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 1,846 | $221,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 2,950 | $221,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 4,511 | $221,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 17,102 | $221,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 25,748 | $221,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 6,056 | $221,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 2,448 | $220,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,638 | $220,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 6,421 | $219,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 1,272 | $219,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 7,570 | $219,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 13,494 | $219,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 8,761 | $218,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 4,915 | $218,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 1,461 | $217,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 29,274 | $216,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 2,895 | $215,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 7,210 | $214,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 16,231 | $214,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 2,863 | $212,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 6,668 | $211,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 7,227 | $211,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 13,766 | $210,000 | thousands by filing date | |
| BIO-TECHNE CORP | 09073M104 | COM | 1,047 | $210,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 2,172 | $210,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 5,006 | $210,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 8,820 | $210,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 4,538 | $209,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 2,576 | $209,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 7,159 | $209,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P888 | NUVEEN ESG EMRGN | 8,335 | $208,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 2,381 | $208,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 634 | $207,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 2,533 | $207,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 10,805 | $207,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 1,873 | $206,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 1,714 | $206,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 1,599 | $206,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 2,363 | $205,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 10,095 | $205,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 5,964 | $205,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 4,721 | $204,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 1,656 | $204,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 79,361 | $204,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,099 | $203,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 1,893 | $203,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 3,810 | $203,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 1,383 | $202,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 8,425 | $202,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 4,894 | $202,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 3,258 | $201,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 1,878 | $201,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 2,029 | $201,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 8,517 | $200,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 19,071 | $200,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 14,724 | $200,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 16,341 | $194,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 4,108 | $193,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 1,937 | $193,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 12,870 | $192,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,162 | $191,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 992 | $189,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 12,920 | $189,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 13,102 | $189,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 12,282 | $188,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 12,934 | $187,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 7,506 | $186,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 4,245 | $186,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 10,972 | $186,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 38,433 | $184,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 13,982 | $183,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,561 | $182,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 11,253 | $182,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 13,456 | $181,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 2,775 | $181,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,737 | $181,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 8,024 | $181,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 41,562 | $181,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 3,493 | $178,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 33,662 | $178,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 11,000 | $177,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 3,393 | $177,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 10,178 | $175,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 16,929 | $174,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 1,254 | $171,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 7,760 | $171,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 14,700 | $171,000 | thousands by filing date | |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 5,800 | $170,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 27,769 | $170,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 10,661 | $169,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 24,809 | $169,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 2,270 | $169,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 18,650 | $168,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 4,166 | $166,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 25,647 | $166,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V746 | LARGE CAP GROWTH | 3,439 | $166,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 4,351 | $166,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 10,184 | $165,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 3,287 | $165,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 6,730 | $165,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 26,397 | $164,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 2,552 | $164,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 3,839 | $163,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,038 | $161,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 4,864 | $159,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 10,891 | $156,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT HEALTHCARE MOMENTUM ETF | 46137V852 | ETF | 1,977 | $155,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 29,000 | $154,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 14,869 | $153,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 3,000 | $152,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 15,365 | $152,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 12,200 | $152,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 2,948 | $150,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,052 | $147,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 3,191 | $146,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 1,012 | $145,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 4,868 | $144,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 4,190 | $142,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 2,828 | $140,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 31,584 | $139,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,467 | $139,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 6,122 | $139,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 2,619 | $135,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 14,798 | $135,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 2,353 | $134,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 15,983 | $134,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 10,980 | $133,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 11,618 | $133,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 5,226 | $132,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 10,327 | $132,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 2,784 | $131,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 4,901 | $131,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 1,384 | $131,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Municipal Bond ETF | 46435U283 | ETF | 5,000 | $130,000 | thousands by filing date | |
| iShares iBonds Dec. 2026 Municipal Bond ETF | 46435U259 | ETF | 5,000 | $130,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 13,000 | $129,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $128,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 5,165 | $127,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 6,346 | $126,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 13,730 | $125,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 30,854 | $125,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 3,646 | $125,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,578 | $123,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 3,773 | $123,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 833 | $122,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 650 | $122,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 1,084 | $121,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 4,315 | $121,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 3,309 | $119,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 1,841 | $118,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 596 | $118,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 3,567 | $118,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 7,991 | $118,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 23,045 | $117,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 829 | $117,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 25,000 | $117,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 11,582 | $115,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 27,075 | $114,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 3,540 | $114,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 1,913 | $114,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 632 | $113,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 74 | $113,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 4,051 | $112,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C763 | mc | 5,600 | $112,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 13,100 | $111,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 5,448 | $111,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 1,015 | $111,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 1,680 | $110,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 1,025 | $110,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 1,420 | $110,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 4,309 | $109,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 22,830 | $109,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 34,634 | $108,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 7,040 | $108,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 2,676 | $106,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,000 | $106,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 897 | $105,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y401 | CMN | 1,433 | $105,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 4,023 | $105,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 3,390 | $104,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 2,198 | $104,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 4,030 | $104,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 4,024 | $104,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 1,964 | $103,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 3,656 | $103,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 40,000 | $103,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 1,144 | $101,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 824 | $100,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 809 | $100,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 1,221 | $100,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 4,022 | $100,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 2,910 | $100,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X149 | FNDMTL US SHRT | 2,000 | $100,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 1,928 | $99,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 1,940 | $99,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 74,325 | $99,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 13,461 | $97,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 703 | $95,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 885 | $95,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 2,470 | $94,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 2,770 | $94,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 952 | $92,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 22,570 | $92,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 2,461 | $91,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 11,216 | $91,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 3,577 | $91,000 | thousands by filing date | principal |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 1,008 | $90,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 1,438 | $90,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 1,328 | $90,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 9,989 | $90,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,520 | $89,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 3,464 | $89,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2019 HIGH | 46138J403 | BULSHS 2019 HY | 3,705 | $88,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 3,666 | $87,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 3,234 | $87,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 1,646 | $85,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 1,967 | $85,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 18,612 | $85,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 17,428 | $84,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 2,478 | $84,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1,586 | $84,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 2,289 | $84,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 3,000 | $84,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 1,232 | $82,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 749 | $82,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 2,595 | $81,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 1,461 | $81,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 1,076 | $80,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 2,562 | $79,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 53 | $79,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 1,464 | $76,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 2,360 | $76,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 2,322 | $75,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 19,971 | $75,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 738 | $75,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 2,241 | $75,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 2,016 | $75,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 1,400 | $74,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 1,218 | $73,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 816 | $73,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 23,274 | $73,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 792 | $73,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 2,500 | $73,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 2,878 | $73,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 71,000 | $73,000 | thousands by filing date | principal |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 2,420 | $71,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 592 | $71,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 12,824 | $71,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 1,265 | $70,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 1,050 | $70,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 1,429 | $70,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 1,925 | $69,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 1,727 | $69,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 40,302 | $69,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 2,648 | $68,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 1,778 | $68,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 1,200 | $67,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 2,891 | $67,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 1,040 | $67,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 1,199 | $67,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 609 | $65,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 21,096 | $65,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 2,500 | $65,000 | thousands by filing date | principal |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 900 | $65,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 2,616 | $64,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E727 | RAFI EMRGNG MRKT | 3,169 | $64,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,105 | $64,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 1,526 | $64,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 1,581 | $64,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 2,500 | $62,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 521 | $61,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 1,345 | $61,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 1,235 | $61,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 12,119 | $61,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 2,005 | $60,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 2,866 | $60,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 631 | $59,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 11,000 | $59,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 2,545 | $59,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 2,957 | $59,000 | thousands by filing date | |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 1,069 | $58,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 300 | $58,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 2,780 | $58,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 2,741 | $58,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 2,547 | $58,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 814 | $58,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 10,902 | $57,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J858 | BULSHS 2023 HY | 2,205 | $57,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 1,755 | $56,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2021 HIGH | 46138J809 | BULSHS 2021 HY | 2,283 | $56,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 2,427 | $56,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 4,807 | $56,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 1,098 | $55,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 2,448 | $54,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 1,494 | $54,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 1,924 | $53,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 1,533 | $53,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 2,235 | $52,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 10,730 | $52,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 2,010 | $52,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 500 | $52,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 2,011 | $51,000 | thousands by filing date | principal |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 2,000 | $51,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V340 | S&P500 EQL FIN | 1,149 | $51,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 2,010 | $51,000 | thousands by filing date | principal |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,858 | $51,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 17,000 | $51,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 16,000 | $50,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 18,844 | $50,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 781 | $50,000 | thousands by filing date | |
| CAMBRIA ETF TR CORE EQUITY | 132061854 | CEF | 1,831 | $50,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 50,000 | $50,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 2,413 | $48,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 2,075 | $48,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2020 CORP | 46138J502 | BULSHS 2020 CB | 2,263 | $48,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 500 | $48,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 1,795 | $47,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 1,645 | $46,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 285 | $46,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 381 | $46,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 10,500 | $46,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 480 | $45,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 1,318 | $45,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 1,337 | $45,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 923 | $44,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 1,269 | $44,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,170 | $43,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 368 | $43,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 782 | $43,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 616 | $42,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 1,263 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 1,056 | $41,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 1,850 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 1,564 | $41,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 1,890 | $40,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E156 | S&P SMLCP FINL | 728 | $40,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 3,400 | $40,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 954 | $39,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 1,322 | $39,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 19,450 | $39,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 415 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 4,089 | $39,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 615 | $39,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 757 | $38,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 935 | $38,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 327 | $38,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 226 | $38,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 665 | $38,000 | thousands by filing date | |
| INVESCO | 46138J866 | EXCHANGE TRADED | 1,763 | $38,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 632 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X172 | US HGH YLD CORP | 712 | $37,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 1,114 | $36,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 519 | $36,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 407 | $36,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 564 | $36,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 1,490 | $36,000 | thousands by filing date | principal |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 1,500 | $36,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 1,325 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 1,028 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R738 | CMN | 1,565 | $35,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 762 | $34,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 3,143 | $34,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 675 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 869 | $33,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 350 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 536 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 662 | $33,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 1,100 | $32,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E867 | DORSEY WRGT EMRG | 1,798 | $32,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 12,000 | $32,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 12,957 | $32,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 1,155 | $31,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 537 | $31,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 1,119 | $31,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 471 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 726 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 892 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 750 | $30,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 10,705 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 440 | $29,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 1,383 | $29,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 12,454 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 2,606 | $28,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 500 | $28,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 1,063 | $28,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 850 | $27,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 503 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P863 | CALIF MUN INCM | 500 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 30,000 | $26,000 | thousands by filing date | call |
| iShares Global REIT ETF | 46434V647 | SHS | 871 | $25,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 328 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 284 | $25,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 472 | $25,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 562 | $25,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 581 | $25,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,500 | $25,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 860 | $24,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 800 | $24,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V530 | CMN | 186 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 3,364 | $24,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 1,051 | $24,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 389 | $23,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 500 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 754 | $23,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 1,214 | $23,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 392 | $23,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 863 | $23,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 897 | $22,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 620 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 742 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 638 | $21,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 550 | $21,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 720 | $21,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 385 | $21,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 703 | $21,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 955 | $21,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 715 | $21,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 283 | $21,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 832 | $21,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 882 | $20,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 281 | $20,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 152 | $20,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 461 | $20,000 | thousands by filing date | |
| FIRST TR FD VI ETF FIRST TRUST SMID GROWTH STRENGTH | 33738R746 | ETF | 971 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 524 | $20,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 625 | $20,000 | thousands by filing date | |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 383 | $19,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 370 | $19,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 767 | $19,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 370 | $19,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 15,773 | $19,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 10,000 | $18,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 361 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 596 | $18,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 955 | $18,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 549 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 570 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 319 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 655 | $17,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J817 | BULSHS 2025 HY | 707 | $17,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 666 | $17,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 622 | $17,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 339 | $17,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 34,500 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 381 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 469 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 900 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E875 | DORSEY WRGT DVLP | 591 | $16,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 648 | $16,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 374 | $15,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 274 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 250 | $15,000 | thousands by filing date | |
| VANECK LONG/FLAT TREND ETF | 92189F148 | LONG/FLAT TREND | 549 | $15,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002756 | this filing | 2019-11-06 | acceptance time not in the bulk data set |