13F-HR filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 1,181 holding rows worth $2,975,874,000.
- Accession
- 0001085146-20-002918
- Filer
- CIK 1512647
- Filed
- 2020-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 1,181 entries on the cover page, a total value of $2,975,874,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,975,874,000 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 |
|---|---|---|---|---|---|---|
| Vanguard Extended Market ETF | 922908652 | SHS | 1,813 | $235,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 701 | $235,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 14,707 | $235,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 59,841 | $234,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 3,102 | $234,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 454 | $234,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 3,204 | $233,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 9,596 | $233,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 5,485 | $232,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 8,309 | $232,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 7,764 | $232,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 9,848 | $230,000 | thousands by filing date | |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 4,050 | $229,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 1,198 | $229,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 1,899 | $229,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 1,406 | $229,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 2,737 | $229,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 29,832 | $229,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 5,255 | $228,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 12,124 | $228,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 2,285 | $226,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 2,901 | $226,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 968 | $225,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 1,239 | $225,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 8,009 | $225,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 2,796 | $224,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 3,983 | $224,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 17,567 | $224,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 3,760 | $222,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 2,964 | $222,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 13,531 | $222,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 7,399 | $222,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 6,654 | $221,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 2,471 | $220,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 1,027 | $220,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 6,558 | $220,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 2,704 | $218,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 2,491 | $218,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 9,297 | $217,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 3,492 | $214,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 2,561 | $214,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 7,693 | $214,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 3,336 | $213,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 1,640 | $212,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,012 | $212,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,604 | $212,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 7,387 | $211,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 18,463 | $211,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 2,937 | $210,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 4,980 | $210,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 4,131 | $210,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 14,745 | $210,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 1,354 | $209,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 2,724 | $209,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 2,181 | $208,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 3,000 | $208,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 3,400 | $207,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 14,698 | $206,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 7,214 | $206,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,262 | $206,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 13,210 | $206,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 20,444 | $205,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 5,990 | $205,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 5,985 | $205,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,220 | $204,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 2,103 | $204,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 3,008 | $203,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 1,920 | $203,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 446 | $203,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 2,636 | $203,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 33,916 | $203,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 41,419 | $203,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 1,917 | $202,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 7,702 | $201,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 2,763 | $201,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 6,140 | $201,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 6,395 | $200,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 33,899 | $200,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP II | G89554110 | UNIT 06/14/2027 | 18,181 | $198,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 17,146 | $192,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 11,147 | $191,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 12,435 | $189,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 15,040 | $188,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 34,677 | $186,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 41,648 | $186,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 23,062 | $183,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 11,026 | $182,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 12,990 | $180,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 10,428 | $178,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 11,367 | $177,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 13,679 | $177,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 14,200 | $174,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 14,196 | $172,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 12,679 | $172,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 14,083 | $170,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 10,200 | $169,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 11,630 | $167,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 13,118 | $166,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,229 | $165,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 11,102 | $163,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 13,154 | $162,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 19,336 | $160,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 10,369 | $160,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 19,850 | $159,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 10,439 | $159,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 13,540 | $150,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 29,559 | $149,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 13,806 | $146,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 17,018 | $144,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 24,395 | $142,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 12,700 | $141,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 10,469 | $141,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 12,132 | $140,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 34,715 | $139,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 11,138 | $137,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 15,137 | $131,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 12,586 | $131,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 12,054 | $130,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 13,883 | $130,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 22,204 | $130,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 37,500 | $129,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,467 | $128,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 13,144 | $125,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 24,000 | $124,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 11,950 | $123,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 10,088 | $123,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 13,762 | $121,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 10,406 | $121,000 | thousands by filing date | |
| CHURCHILL CAP CORP III | 17144C104 | COM | 11,777 | $121,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 12,636 | $118,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 14,048 | $118,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 42,150 | $115,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 50,838 | $114,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 14,086 | $112,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 22,456 | $110,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 13,100 | $109,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 21,457 | $108,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 11,060 | $107,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 11,198 | $107,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 41,583 | $100,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 11,200 | $98,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 10,966 | $96,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 12,570 | $96,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 28,249 | $95,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 17,591 | $95,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 25,648 | $94,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 22,810 | $93,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 11,095 | $88,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 10,100 | $86,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 12,184 | $84,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 12,080 | $82,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 10,150 | $74,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 14,953 | $72,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 71,000 | $72,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 14,707 | $66,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 22,251 | $65,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 15,847 | $63,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 10,184 | $61,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 11,000 | $59,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,405 | $57,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,110 | $56,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 10,000 | $51,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 20,075 | $51,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 11,386 | $51,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 17,000 | $50,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 21,131 | $50,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 17,213 | $45,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 14,000 | $41,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 18,000 | $29,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E409 | COM | 12,000 | $26,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 26,000 | $26,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 10,000 | $24,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 30,000 | $20,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 12,000 | $20,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 14,639 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 15,000 | $15,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 34,500 | $14,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 13,878 | $9,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Walmart Inc. | 931142103 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TWITTER INC | 90184L102 | COM | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-002918 | this filing | 2020-11-13 | acceptance time not in the bulk data set |