13F-HR filed by FIRST FOUNDATION ADVISORS
FIRST FOUNDATION ADVISORS filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 242 holding rows worth $1,004,913,000.
- Accession
- 0001086763-14-000009
- Filer
- CIK 1086763
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 242 entries on the cover page, a total value of $1,004,913,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,004,913,000 with VALUE read as thousands by filing date, 13F file number 028-05785. 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 |
|---|---|---|---|---|---|---|
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 6,558,806 | $79,099,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,691,819 | $78,433,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 3,122,208 | $43,211,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 317,481 | $33,840,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 205,111 | $28,334,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 216,633 | $24,999,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 475,858 | $24,683,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 250,301 | $24,602,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 272,983 | $22,767,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 201,334 | $22,318,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 232,771 | $21,911,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 114,842 | $21,800,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 563,090 | $21,555,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 541,953 | $20,990,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 59,762 | $19,621,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 257,996 | $19,290,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 151,134 | $19,251,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 388,555 | $17,862,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 383,973 | $17,640,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 190,806 | $16,987,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 247,394 | $16,867,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 153,056 | $16,594,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 151,769 | $15,433,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 284,688 | $15,231,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 167,602 | $14,694,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 384,846 | $14,605,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 425,027 | $14,564,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 245,936 | $14,552,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 149,319 | $14,357,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 264,143 | $13,852,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 114,281 | $12,923,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 69,462 | $12,751,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 322,214 | $12,573,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 140,484 | $12,298,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 134,801 | $11,662,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 359,845 | $11,493,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 68,666 | $11,290,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 637,323 | $9,796,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 76,500 | $7,707,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 996,812 | $7,506,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 670,324 | $7,441,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 69,670 | $7,416,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 507,587 | $5,345,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 115,458 | $3,644,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 334,517 | $3,459,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 116,034 | $3,431,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 110,757 | $3,315,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 218,771 | $3,216,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 25,064 | $2,991,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 13 | $2,690,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 67,166 | $2,670,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 28,163 | $2,649,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 105,895 | $2,613,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 118,650 | $2,606,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 11,698 | $2,305,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 55,100 | $2,186,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 50,430 | $2,057,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 44,894 | $2,053,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 49,708 | $2,003,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 10,900 | $1,968,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 208,856 | $1,865,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 70,527 | $1,717,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 78,462 | $1,699,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 31,369 | $1,686,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 73,093 | $1,651,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 17,396 | $1,649,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 64,099 | $1,642,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 249,763 | $1,636,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 16,507 | $1,489,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 136,556 | $1,420,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 62,100 | $1,390,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 36,115 | $1,362,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 60,374 | $1,357,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 11,622 | $1,351,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 56,219 | $1,327,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 31,914 | $1,290,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 13,947 | $1,251,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 87,888 | $1,210,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 52,719 | $1,108,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 92,711 | $1,108,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 120,167 | $1,106,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 15,000 | $1,091,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 52,560 | $1,072,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 12,603 | $1,055,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 178,157 | $1,003,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 11,248 | $947,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 19,118 | $920,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 22,555 | $904,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 24,368 | $903,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 20,730 | $884,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 25,006 | $853,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 49,024 | $851,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 62,410 | $831,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 16,151 | $827,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 32,808 | $826,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 13,326 | $826,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 10,789 | $821,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 19,491 | $813,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 5,711 | $802,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 12,094 | $775,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 41,861 | $772,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 15,100 | $772,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 36,306 | $770,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 60,148 | $765,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 1,029,669 | $762,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 14,029 | $761,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 70,666 | $750,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 12,640 | $749,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 11,565 | $745,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 5,199 | $737,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 50,142 | $731,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 51,660 | $721,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 41,903 | $717,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 9,013 | $712,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 10,900 | $708,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 12,011 | $707,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 12,166 | $686,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 10,461 | $678,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 7,359 | $675,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 19,351 | $674,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 19,042 | $671,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 12,815 | $667,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 7,118 | $663,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 11,100 | $655,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 20,583 | $627,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 9,666 | $624,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 10,112 | $624,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 12,459 | $623,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 7,827 | $591,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 9,655 | $582,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 8,831 | $576,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 65,633 | $572,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 5,311 | $561,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 3,307 | $548,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 33,661 | $544,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 11,030 | $532,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 21,994 | $528,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 12,201 | $510,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 12,438 | $494,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 4,437 | $488,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 28,823 | $488,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 39,454 | $471,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 6,590 | $455,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 8,634 | $447,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 3,556 | $446,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 5,210 | $433,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 7,288 | $432,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 5,666 | $431,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 5,608 | $429,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 35,890 | $429,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 29,574 | $421,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 15,985 | $413,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 10,140 | $403,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 3,843 | $401,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 49,000 | $396,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 4,547 | $384,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 12,671 | $382,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 634 | $373,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 6,409 | $370,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 4,560 | $368,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,775 | $365,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 5,871 | $364,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 3,000 | $362,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 17,940 | $359,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 4,850 | $358,000 | thousands by filing date | |
| 38259p508 | COM | 618 | $357,000 | thousands by filing date | ||
| NORDSTROM INC | 655664100 | COM | 5,210 | $356,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 5,634 | $353,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 10,263 | $352,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 23,573 | $346,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 4,542 | $341,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 4,300 | $338,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 19,391 | $331,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 4,150 | $331,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 26,260 | $331,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 4,977 | $326,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 26,912 | $326,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 2,811 | $323,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 3,812 | $293,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 8,184 | $291,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 6,159 | $278,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 23,775 | $277,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 6,908 | $271,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 5,439 | $259,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 3,556 | $255,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 5,069 | $251,000 | thousands by filing date | |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 10,600 | $250,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 2,665 | $249,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 1,398 | $249,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 117,371 | $248,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 30,000 | $247,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 1,339 | $245,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 2,593 | $243,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,602 | $243,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 16,338 | $233,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 60,000 | $231,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 2,815 | $229,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 4,000 | $227,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 2,909 | $225,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 13,693 | $224,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,371 | $223,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 916 | $222,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 5,279 | $220,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 881 | $220,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 22,000 | $218,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 2,887 | $217,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 5,185 | $215,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 6,582 | $215,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 3,333 | $211,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,177 | $203,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 4,700 | $203,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 22,626 | $200,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 27,500 | $179,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 12,908 | $178,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 16,874 | $159,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 15,638 | $151,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 10,000 | $148,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 25,000 | $146,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 30,000 | $140,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 10,292 | $134,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 11,704 | $128,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 75,000 | $118,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 12,701 | $111,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 210,000 | $110,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 16,000 | $108,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 10,200 | $99,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 25,000 | $96,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 10,000 | $92,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 25,000 | $84,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 11,330 | $76,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 10,744 | $68,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 30,000 | $63,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 20,000 | $60,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 17,500 | $39,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 10,000 | $37,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 15,037 | $34,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 34,186 | $24,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 14,000 | $19,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 18,985 | $18,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 14,163 | $17,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 10,000 | $10,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 39,611 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086763-14-000009 | this filing | 2014-11-14 | acceptance time not in the bulk data set |