13F-HR filed by Private Advisor Group, LLC
Private Advisor Group, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-13, with 1,655 holding rows worth $6,431,155,000.
- Accession
- 0001085146-19-002877
- Filer
- CIK 1567755
- Filed
- 2019-11-13
- 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, 1,655 entries on the cover page, a total value of $6,431,155,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,431,155,000 with VALUE read as thousands by filing date, 13F file number 028-15851. 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 |
|---|---|---|---|---|---|---|
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 4,587 | $202,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 3,615 | $202,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 11,692 | $202,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 1,946 | $202,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 6,950 | $202,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 3,614 | $202,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 16,571 | $202,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 31,100 | $202,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 2,853 | $201,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 2,265 | $201,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 9,825 | $201,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 10,088 | $198,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,591 | $195,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 10,194 | $195,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 17,090 | $194,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 12,341 | $193,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 15,401 | $193,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 34,231 | $188,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 16,736 | $182,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 16,921 | $179,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 10,050 | $179,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 25,620 | $178,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 16,361 | $176,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 12,152 | $174,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 15,500 | $174,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 24,447 | $172,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 12,275 | $172,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 16,253 | $170,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 27,137 | $170,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 15,700 | $170,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 14,765 | $170,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 33,244 | $168,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 13,334 | $167,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 34,111 | $167,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 11,135 | $166,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 26,662 | $165,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 15,368 | $164,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 16,762 | $161,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 30,412 | $160,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 11,198 | $160,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 11,246 | $159,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 19,596 | $159,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 37,392 | $159,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 33,165 | $156,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 12,483 | $156,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 29,911 | $154,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 13,393 | $154,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 11,771 | $153,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 13,916 | $152,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 11,591 | $152,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 30,386 | $149,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 11,910 | $149,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 113,725 | $148,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 12,350 | $144,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 21,500 | $143,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 33,808 | $143,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 10,524 | $138,000 | thousands by filing date | |
| SRC ENERGY INC | 78470V108 | COM | 33,802 | $138,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 49,658 | $136,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 21,027 | $134,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 13,967 | $134,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 17,105 | $133,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 16,593 | $129,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 18,275 | $128,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 10,135 | $127,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 89,258 | $126,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 24,003 | $125,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 10,045 | $123,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 16,125 | $121,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 16,200 | $121,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 29,934 | $118,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 17,000 | $113,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 26,705 | $112,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 11,217 | $111,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 11,030 | $111,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 28,977 | $110,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 27,518 | $110,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 15,180 | $106,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 11,392 | $105,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 22,398 | $105,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 21,907 | $105,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 14,392 | $103,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 54,000 | $103,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 26,610 | $102,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 19,416 | $102,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 48,747 | $97,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 42,502 | $95,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 10,100 | $93,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 19,727 | $88,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 55,900 | $87,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 21,762 | $84,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 10,752 | $84,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 10,000 | $83,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 36,123 | $82,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 43,400 | $79,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 37,750 | $75,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 16,500 | $74,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 20,550 | $69,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 12,068 | $68,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 25,865 | $67,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 11,017 | $61,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 22,771 | $60,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 14,100 | $54,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 12,289 | $52,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 10,000 | $52,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 12,908 | $51,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 17,245 | $51,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 11,452 | $50,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 75,066 | $50,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 10,212 | $49,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 10,373 | $48,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 13,085 | $45,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 45,000 | $45,000 | thousands by filing date | principal |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 34,804 | $44,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 12,108 | $43,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 20,192 | $42,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 12,551 | $39,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 20,126 | $39,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 13,576 | $34,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 10,990 | $33,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 16,500 | $33,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 20,730 | $32,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 16,300 | $31,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 10,000 | $30,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 16,471 | $29,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 36,000 | $28,000 | thousands by filing date | principal |
| PLUG PWR INC | 72919P202 | COM NEW | 10,302 | $27,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 14,983 | $26,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 100,798 | $26,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 18,853 | $25,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 12,849 | $24,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 38,711 | $24,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 19,000 | $22,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 10,500 | $21,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 13,400 | $20,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 10,920 | $20,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 20,000 | $19,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 14,464 | $19,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 13,000 | $17,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 30,000 | $15,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 11,840 | $14,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 23,840 | $14,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 37,217 | $12,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 20,000 | $12,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 11,000 | $11,000 | thousands by filing date | principal |
| SEMTECH CORP COM | 816850101 | Stock | 5,153,000 | $10,000 | thousands by filing date | put |
| SENSEONICS HLDGS INC | 81727U105 | COM | 10,500 | $10,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 23,828 | $10,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 28,802 | $7,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 14,850 | $7,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 12,500 | $6,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 11,000 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 10,177 | $5,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 50,000 | $4,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002877 | this filing | 2019-11-13 | acceptance time not in the bulk data set |