13F-HR filed by NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-12, with 2,737 holding rows worth $43,287,144,000.
- Accession
- 0001085146-21-000698
- Filer
- CIK 1141802
- Filed
- 2021-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A combination report, 2,737 entries on the cover page, a total value of $43,287,144,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $43,287,144,000 with VALUE read as thousands by filing date, 13F file number 028-11160. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAFFINITY INVESTMENT ADVISORS, LLC028-14467
- reports for this filerAlley Co LLC028-15235
- reports for this filerAristotle Capital Management, LLC028-02634
- reports for this filerBERKSHIRE ASSET MANAGEMENT LLC/PA028-05034
- reports for this filerBMO ASSET MANAGEMENT CORP.028-16017
- reports for this filerBoston Partners028-12484
- reports for this filerBrown Advisory LLC028-05775
- reports for this filerCAMPBELL NEWMAN ASSET MANAGEMENT INC028-02903
- reports for this filerCAPITAL GROUP COMPANIES INC028-00218
- reports for this filerChilton Capital Management Advisors, Inc. 028-12632
- reports for this filerCLEARBRIDGE, LLC028-01701
- reports for this filerCOLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC028-10477
- reports for this filerCONGRESS ASSET MANAGEMENT CO /MA028-03434
- reports for this filerCopeland Capital Management, LLC028-14668
- reports for this filerDana Investment Advisors, Inc.028-13023
- reports for this filerDAVIS SELECTED ADVISERS028-04121
- reports for this filerEAGLE ASSET MANAGEMENT INC028-01666
- reports for this filerFEDERATED INVESTMENT COUNSELING028-01454
- reports for this filerMDT ADVISERS INC 028-07406
- reports for this filerFIRST TRUST ADVISORS LP028-06487
- reports for this filerGOLDMAN SACHS ASSET MANAGEMENT, L.P.028-10981
- reports for this filerGW&K Investment Management, LLC028-04145
- reports for this filerHARDING LOEVNER LP028-04434
- reports for this filerHillman Capital Management, Inc.028-11091
- reports for this filerJANUS CAPITAL MANAGEMENT LLC028-01343
- reports for this filerJENNISON ASSOCIATES LLC028-00074
- reports for this filerKAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC028-05792
- reports for this filerLAZARD ASSET MANAGEMENT LLC028-10469
- reports for this filerLegg Mason Private Portfolio Group, LLC 028-12558
- reports for this filerLOGAN CAPITAL MANAGEMENT INC028-05837
- reports for this filerMFS Investment Management CO (LUX) S.A.R.L.028-13180
- reports for this filerNORTHWESTERN MUTUAL WEALTH MANAGEMENT CO028-11160
- reports for this filerOAK RIDGE INVESTMENTS LLC028-06668
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC028-04558
- reports for this filerPOLEN CAPITAL MANAGEMENT LLC028-03687
- reports for this filerQUANTUM CAPITAL MANAGEMENT028-10887
- reports for this filerRaub Brock Capital Management LP028-15157
- reports for this filerRIVERBRIDGE PARTNERS LLC028-05655
- reports for this filerRUSSELL FRANK CO/028-01190
- reports for this filerSandhill Capital Partners LLC028-15042
- reports for this filerSANTA BARBARA ASSET MANAGEMENT, LLC028-05621
- reports for this filerSCHAFER CULLEN CAPITAL MANAGEMENT INC028-04691
- reports for this filerStrategic Global Advisors, LLC028-16442
- reports for this filerWakefield Asset Managment Corp028-19415
- reports for this filerWCM INVESTMENT MANAGEMENT/CA028-07104
- reports for this filerWells Fargo Funds Management, LLC028-11406
- reports for this filerWESTERN ASSET MANAGEMENT CO028-10245
- reports for this filerZACKS INVESTMENT MANAGEMENT028-04587
- reports for this filerZEVENBERGEN CAPITAL INVESTMENTS LLC028-10622
- reports for this filerZiegler Capital Management, LLC028-10982
- included managerNORTHWESTERN MUTUAL LIFE INSURANCE CO028-00229
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 |
|---|---|---|---|---|---|---|
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 234 | $18,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 183 | $18,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 1,036 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 660 | $18,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 152 | $18,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 1,113 | $18,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 500 | $18,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 2,680 | $18,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 13,000 | $18,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 15,000 | $18,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765UAB9 | NOTE 0.750% 2/1 | 14,000 | $18,000 | thousands by filing date | |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 11,000 | $18,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 486 | $17,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 196 | $17,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 110 | $17,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 1,012 | $17,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 447 | $17,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 197 | $17,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 800 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 484 | $17,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 3,900 | $17,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 163 | $17,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 1,120 | $17,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 1,315 | $17,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 737 | $17,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTREAM O | 18469P209 | COM | 1,232 | $17,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 296 | $17,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 506 | $17,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 104 | $17,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 1,956 | $17,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 616 | $17,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 16,000 | $17,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 13,000 | $17,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 569 | $16,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 232 | $16,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 351 | $16,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 88 | $16,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 726 | $16,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 197 | $16,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 138 | $16,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 409 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 312 | $16,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 2,272 | $16,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 245 | $16,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 350 | $16,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 677 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 400 | $16,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 1,150 | $16,000 | thousands by filing date | |
| Vital Energy Inc | 516806205 | Common Stock | 812 | $16,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 12,000 | $16,000 | thousands by filing date | |
| KBR INC | 48242WAB2 | BOND | 12,000 | $16,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 12,000 | $16,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 1,011 | $16,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 15,000 | $16,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 120 | $15,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 373 | $15,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 153 | $15,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 972 | $15,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 11,700 | $15,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 408 | $15,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 901 | $15,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 1,034 | $15,000 | thousands by filing date | |
| PENNYMAC FINL SVCS INC NEW | 70932M107 | COM | 229 | $15,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 209 | $15,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 1,000 | $15,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 1,456 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 317 | $15,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 819 | $15,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 632 | $15,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637AB6 | BOND | 13,000 | $15,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 100 | $15,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 1,000 | $15,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 8,720 | $15,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 194 | $14,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 668 | $14,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 2,947 | $14,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 387 | $14,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 177 | $14,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 535 | $14,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 272 | $14,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 261 | $14,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 500 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 226 | $14,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 2,321 | $14,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 289 | $14,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 810 | $14,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 113 | $14,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 1,192 | $14,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 242 | $14,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,270 | $14,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 97 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 110 | $14,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 533 | $14,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 491 | $14,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 750 | $14,000 | thousands by filing date | |
| REALPAGE INC | 75606NAC3 | NOTE 1.500% 5/1 | 11,000 | $14,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 438 | $13,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 810 | $13,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 206 | $13,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 568 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 133 | $13,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 9,000 | $13,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 334 | $13,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 300 | $13,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 335 | $13,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 860 | $13,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 912 | $13,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,250 | $13,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 370 | $13,000 | thousands by filing date | |
| CHAMPIONX CORPORATION | 15872M104 | COM | 871 | $13,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 301 | $13,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 549 | $13,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 3,201 | $13,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 833 | $13,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 2,017 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E842 | DORSEY WRGT SMLC | 170 | $13,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 2,004 | $13,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 246 | $13,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 1,091 | $13,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 456 | $13,000 | thousands by filing date | |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 6,000 | $13,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 12,000 | $13,000 | thousands by filing date | |
| INTERDIGITAL INC | 45867GAB7 | BOND | 12,000 | $13,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 978 | $13,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 1,000 | $13,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 69 | $12,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 614 | $12,000 | thousands by filing date | |
| DYNATRACE INC COM NEW | 268150109 | Stock | 289 | $12,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 800 | $12,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 117 | $12,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 333 | $12,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 4,164 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 436 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 112 | $12,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 544 | $12,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 288 | $12,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 600 | $12,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 1,108 | $12,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 173 | $12,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 540 | $12,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 374 | $12,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 700 | $12,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 263 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 1,000 | $12,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 7,790 | $12,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 1,270 | $12,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 122 | $11,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 2,016 | $11,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 47 | $11,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 222 | $11,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 285 | $11,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 676 | $11,000 | thousands by filing date | |
| OVINTIV INC | 69047Q102 | COM | 745 | $11,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 800 | $11,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 204 | $11,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 125 | $11,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 222 | $11,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 122 | $11,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 143 | $11,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 240 | $11,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 208 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 800 | $11,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 185 | $11,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 390 | $11,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 2,975 | $11,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 967 | $11,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 152 | $11,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 624 | $11,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 1,218 | $11,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 773 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 178 | $11,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 850 | $11,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 1,351 | $11,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 9,000 | $11,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 6,000 | $11,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 6,000 | $11,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 6,000 | $11,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 2,800 | $11,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 349 | $10,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 271 | $10,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 1,101 | $10,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 511 | $10,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 96 | $10,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 167 | $10,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 119 | $10,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 752 | $10,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 135 | $10,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 145 | $10,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 625 | $10,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 2,500 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 331 | $10,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 723 | $10,000 | thousands by filing date | |
| ARCONIC ROLLED PRODS CORP | 03966V107 | COM | 328 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 196 | $10,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 910 | $10,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 6,000 | $10,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 543 | $10,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 800 | $10,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 1,300 | $10,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 359 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 321 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 1,140 | $10,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 1,500 | $10,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 10,000 | $10,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 696 | $10,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 10,000 | $10,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 10,000 | $10,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 10,000 | $10,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 1,500 | $10,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 105 | $10,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 200 | $10,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 477 | $9,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 34 | $9,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 1,659 | $9,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 82 | $9,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 75 | $9,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 395 | $9,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 137 | $9,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 500 | $9,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 500 | $9,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 125 | $9,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 585 | $9,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 167 | $9,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 94 | $9,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 316 | $9,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 128 | $9,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 9 | $9,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 500 | $9,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 540 | $9,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 693 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 1,098 | $9,000 | thousands by filing date | |
| United States Oil Fund LP | 91232N207 | COM | 281 | $9,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 12,000 | $9,000 | thousands by filing date | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 4,000 | $9,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 1,867 | $9,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 2,550 | $9,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 6,650 | $9,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 525 | $9,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 6,000 | $9,000 | thousands by filing date | |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 4,000 | $9,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 9,000 | $9,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 7,000 | $9,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 3,000 | $9,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 6,000 | $9,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 9,000 | $9,000 | thousands by filing date | |
| ALTERYX INC | 02156BAF0 | BOND | 9,000 | $9,000 | thousands by filing date | |
| NATURA &CO HLDG S A | 63884N108 | ADR | 452 | $9,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 601 | $9,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 2,500 | $9,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 5,000 | $8,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 200 | $8,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 95 | $8,000 | thousands by filing date | |
| NORTHWEST NAT HLDG CO COM | 66765N105 | Stock | 158 | $8,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 90 | $8,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 154 | $8,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 172 | $8,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 178 | $8,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 265 | $8,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 285 | $8,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 50 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 190 | $8,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 92 | $8,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 229 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 91 | $8,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 900 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 288 | $8,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 115 | $8,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 916 | $8,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 134 | $8,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 550 | $8,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 516 | $8,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 588 | $8,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 860 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 225 | $8,000 | thousands by filing date | |
| Shopify Inc | 82509LAA5 | Convertible bond | 7,000 | $8,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 269 | $8,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 900 | $8,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 3,300 | $8,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 7,000 | $8,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 6,000 | $8,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 1,191 | $8,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,000 | $8,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 2,000 | $8,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 454 | $7,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 109 | $7,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 112 | $7,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 84 | $7,000 | thousands by filing date | |
| LI AUTO INC SPONSORED ADS | 50202M102 | ADR | 250 | $7,000 | thousands by filing date | |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 190 | $7,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 150 | $7,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 1,167 | $7,000 | thousands by filing date | |
| ARES MANAGEMENT CORPORATION CL A COM STK | 03990B101 | Stock | 150 | $7,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 105 | $7,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 139 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 115 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 63 | $7,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 48 | $7,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 3,019 | $7,000 | thousands by filing date | |
| GROUPON INC | 399473206 | COM NEW | 174 | $7,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 158 | $7,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 56 | $7,000 | thousands by filing date | |
| RH | 74967X103 | COM | 15 | $7,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 100 | $7,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 456 | $7,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 254 | $7,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 1,145 | $7,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 223 | $7,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 750 | $7,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 4,000 | $7,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 673 | $7,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAH1 | NOTE 1.500% 6/1 | 6,000 | $7,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 10,041 | $7,000 | thousands by filing date | |
| IQIYI INC | 46267XAB4 | NOTE 3.750%12/0 | 7,000 | $7,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 4,000 | $7,000 | thousands by filing date | |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 2,050 | $7,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAF5 | BOND | 6,000 | $7,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 210 | $7,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 350 | $6,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 301 | $6,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 179 | $6,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 494 | $6,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 140 | $6,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 600 | $6,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 350 | $6,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 436 | $6,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 81 | $6,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 359 | $6,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 114 | $6,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 185 | $6,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 132 | $6,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 59 | $6,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 49 | $6,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 257 | $6,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 100 | $6,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 75 | $6,000 | thousands by filing date | |
| QUAKER HOUGHTON | 747316107 | COM | 25 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 160 | $6,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 584 | $6,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 143 | $6,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 118 | $6,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 190 | $6,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 140 | $6,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 158 | $6,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 70 | $6,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 165 | $6,000 | thousands by filing date | |
| Galiano Gold Inc | 36352H100 | COM | 5,250 | $6,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,000 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 399 | $6,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 400 | $6,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 540 | $6,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 400 | $6,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 147 | $6,000 | thousands by filing date | |
| DOCUSIGN INC | 256163AB2 | NOTE 0.500% 9/1 | 2,000 | $6,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 6,000 | $6,000 | thousands by filing date | |
| ALTERYX INC | 02156BAD5 | BOND | 6,000 | $6,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 5,000 | $6,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 42 | $5,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 707 | $5,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 22 | $5,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 27 | $5,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 526 | $5,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 278 | $5,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 168 | $5,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 297 | $5,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 200 | $5,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 75 | $5,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 1,001 | $5,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 25 | $5,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 140 | $5,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 123 | $5,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 150 | $5,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 55 | $5,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 764 | $5,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 28 | $5,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 320 | $5,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 206 | $5,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 306 | $5,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 1,304 | $5,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 350 | $5,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 195 | $5,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 114 | $5,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 135 | $5,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 69 | $5,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 925 | $5,000 | thousands by filing date | |
| COVETRUS INC | 22304C100 | COM | 160 | $5,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 239 | $5,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 1,000 | $5,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 5,000 | $5,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 335 | $5,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 7,500 | $5,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 2,000 | $5,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 216 | $5,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 607 | $5,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 441 | $4,000 | thousands by filing date | |
| AXOSFINLINC | 05465C100 | STOK | 100 | $4,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 1 | $4,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 47 | $4,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 67 | $4,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 75 | $4,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 27 | $4,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 17 | $4,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 51 | $4,000 | thousands by filing date | |
| IDEX CORP COM | 45167R104 | Stock | 21 | $4,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 200 | $4,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 27 | $4,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 33 | $4,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 350 | $4,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,272 | $4,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 16 | $4,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 124 | $4,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 238 | $4,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 1,000 | $4,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 288 | $4,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 598 | $4,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 501 | $4,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 154 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 275 | $4,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 487 | $4,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 168 | $4,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 150 | $4,000 | thousands by filing date | |
| BARNES GROUP INC | 067806109 | COM | 77 | $4,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 281 | $4,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 269 | $4,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 62 | $4,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 82 | $4,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 240 | $4,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 276 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 72 | $4,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 199 | $4,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 1,000 | $4,000 | thousands by filing date | |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 2,000 | $4,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 1,000 | $4,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 825 | $4,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 2,000 | $4,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K107 | COM CL A | 267 | $4,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 1,000 | $4,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 57 | $3,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 104 | $3,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 27 | $3,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 26 | $3,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 34 | $3,000 | thousands by filing date | |
| ELASTIC N V ORD SHS | N14506104 | Stock | 23 | $3,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 20 | $3,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 117 | $3,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 139 | $3,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 167 | $3,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 500 | $3,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 98 | $3,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 212 | $3,000 | thousands by filing date | |
| INGEVITY CORP COM | 45688C107 | Stock | 43 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q452 | ALERIAN MLP | 80 | $3,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 144 | $3,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 15 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 35 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 200 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 50 | $3,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 150 | $3,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 78 | $3,000 | thousands by filing date | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 115 | $3,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 34 | $3,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 144 | $3,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 420 | $3,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 85 | $3,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 14 | $3,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 15 | $3,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 346 | $3,000 | thousands by filing date | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 32 | $3,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 179 | $3,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 54 | $3,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 80 | $3,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 156 | $3,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 233 | $3,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 65 | $3,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 200 | $3,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 237 | $3,000 | thousands by filing date | |
| AVANOS MED INC | 05350V106 | COM | 72 | $3,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 181 | $3,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 511 | $3,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 103 | $3,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 243 | $3,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 366 | $3,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 93 | $3,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 396 | $3,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 22 | $3,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 78 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 75 | $3,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 121 | $3,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 70 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 225 | $3,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 800 | $3,000 | thousands by filing date | |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 1,000 | $3,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 5,500 | $3,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 729 | $3,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 434 | $3,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q118 | *W EXP 10/23/202 | 350 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-21-000698 | this filing | 2021-02-12 | acceptance time not in the bulk data set |