13F-HR filed by FIRST FOUNDATION ADVISORS
FIRST FOUNDATION ADVISORS filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 309 holding rows worth $1,762,332,000.
- Accession
- 0001086763-17-000014
- Filer
- CIK 1086763
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 346 entries on the cover page, a total value of $1,762,332,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,762,332,000 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.
Other managers
- included managerHIGHLAND CAPITAL MANAGEMENT LP028-10659
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 |
|---|---|---|---|---|---|---|
| META PLATFORMS INC CL A | 30303M102 | COM | 666,688 | $113,917,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,295,397 | $96,494,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 575,101 | $69,064,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 8,239,350 | $68,304,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 308,094 | $56,480,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 972,291 | $51,814,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 395,566 | $43,912,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 210,663 | $43,175,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 44,226 | $42,418,000 | thousands by filing date | |
| GRAMERCY PPTY TR COM | 385002100 | Stock | 1,318,139 | $39,874,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 706,902 | $37,480,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 756,864 | $36,594,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 1,856,895 | $35,300,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 985,632 | $35,187,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 1,204,231 | $34,465,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 257,639 | $33,496,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 1,415,688 | $30,168,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 464,214 | $29,440,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 294,533 | $29,032,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 350,772 | $27,280,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 111,749 | $26,506,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 433,667 | $23,839,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 215,996 | $23,470,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 373,912 | $23,351,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 1,068,003 | $23,197,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 174,347 | $23,036,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 283,372 | $21,882,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 48,801 | $21,818,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 379,995 | $20,957,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 774,769 | $20,438,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 161,911 | $19,316,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 723,865 | $18,901,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 464,838 | $18,900,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 115,587 | $17,814,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 225,456 | $15,608,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 298,361 | $15,467,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 73,463 | $15,150,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 887,746 | $14,825,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 203,673 | $13,455,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 323,485 | $13,408,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 196,450 | $12,614,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 110,677 | $10,571,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,198,630 | $10,177,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 409,529 | $9,444,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 251,619 | $9,282,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 89,680 | $9,129,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 130,306 | $8,360,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 47,066 | $8,129,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 94,348 | $7,644,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 7,644 | $7,349,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 636,848 | $6,814,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 77,193 | $6,328,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 1,025,904 | $5,950,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 49,125 | $5,886,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 7,730 | $5,703,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 330,758 | $5,329,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 140,034 | $5,233,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 19 | $5,220,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 483,699 | $5,113,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 353,972 | $5,083,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 19,414 | $4,877,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 54,400 | $4,801,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 4,793 | $4,667,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 19,980 | $4,611,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 340,501 | $4,593,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 452,203 | $4,495,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 381,083 | $4,436,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 3,368 | $4,429,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 17,398 | $4,220,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 288,624 | $3,917,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 82,819 | $3,896,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 204,900 | $3,872,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 320,621 | $3,822,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 25,181 | $3,672,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 577,128 | $3,601,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 196,663 | $3,540,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 22,372 | $3,289,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 122,185 | $3,273,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 133,456 | $3,227,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 95,434 | $3,209,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 21,445 | $3,194,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 163,031 | $3,049,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 83,248 | $2,785,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 205,059 | $2,752,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 47,433 | $2,734,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 22,590 | $2,688,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 21,977 | $2,582,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 292,517 | $2,528,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 172,219 | $2,421,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 22,870 | $2,343,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 100,162 | $2,341,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 219,635 | $2,315,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 64,718 | $2,314,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 51,248 | $2,307,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 42,355 | $2,300,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 11,714 | $2,294,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 49,215 | $2,153,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 100,177 | $2,129,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 40,178 | $2,116,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 93,257 | $2,114,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 79,655 | $2,111,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 177,033 | $1,997,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 30,482 | $1,943,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 1,464 | $1,906,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 35,769 | $1,854,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 20,035 | $1,823,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 84,379 | $1,812,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 21,639 | $1,798,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 13,106 | $1,777,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 82,115 | $1,757,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 44,440 | $1,741,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 57,300 | $1,715,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 17,530 | $1,675,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 20,302 | $1,657,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 6,481 | $1,648,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 12,730 | $1,580,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 8,707 | $1,557,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 111,218 | $1,540,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 74,343 | $1,522,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 9,095 | $1,488,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 116,195 | $1,487,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 99,498 | $1,475,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 43,459 | $1,474,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 38,042 | $1,463,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 63,504 | $1,440,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 16,959 | $1,439,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 22,273 | $1,426,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 12,274 | $1,368,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 48,000 | $1,367,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 21,137 | $1,364,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 8,543 | $1,339,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 7,334 | $1,330,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 24,394 | $1,310,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 138,826 | $1,302,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 42,106 | $1,299,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 68,851 | $1,298,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 5,104 | $1,291,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 7,303 | $1,200,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 19,965 | $1,192,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 10,000 | $1,175,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 30,842 | $1,174,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 44,796 | $1,135,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 12,707 | $1,129,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 26,741 | $1,104,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 12,779 | $1,097,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,021 | $1,068,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 4,200 | $1,040,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 81,319 | $1,031,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 4,834 | $1,015,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 25,032 | $985,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 6,370 | $924,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 64,465 | $915,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 69,633 | $914,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 56,807 | $864,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 46,424 | $850,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 28,993 | $841,000 | thousands by filing date | |
| GLOBAL NET LEASE INC | 379378102 | COM | 38,215 | $837,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 11,959 | $834,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 13,080 | $816,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 21,130 | $813,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 7,968 | $812,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 48,139 | $808,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 19,679 | $799,000 | thousands by filing date | |
| IJH | 464287507 | COM | 4,410 | $789,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 4,156 | $775,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 9,442 | $755,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 5,896 | $717,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 7,242 | $715,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 125,000 | $712,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 2,694 | $711,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 56,549 | $706,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 10,886 | $699,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 29,078 | $699,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 10,770 | $694,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 8,000 | $694,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 6,555 | $690,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 5,044 | $681,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 45,420 | $679,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 8,189 | $666,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 5,011 | $646,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 2,083 | $646,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 1,063 | $633,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 41,536 | $620,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 9,819 | $617,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 13,042 | $603,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 12,084 | $598,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 4,512 | $590,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 594,953 | $589,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 11,483 | $575,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 7,430 | $573,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 5,000 | $573,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 4,810 | $570,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 17,909 | $569,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 4,207 | $567,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 3,067 | $547,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 10,148 | $541,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 34,454 | $530,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 46,070 | $529,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 6,863 | $528,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 13,995 | $528,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 7,109 | $517,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 3,646 | $517,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 12,688 | $515,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,444 | $505,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 43,265 | $500,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 2,278 | $487,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 36,851 | $485,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 4,104 | $476,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 6,911 | $473,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 6,651 | $472,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 6,463 | $459,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 5,330 | $456,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 16,175 | $455,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 4,024 | $430,000 | thousands by filing date | |
| VTI | 922908769 | COM | 3,296 | $427,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 4,335 | $427,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 2,234 | $417,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 22,774 | $414,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 2,196 | $411,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 53,400 | $411,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 14,424 | $409,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 4,330 | $397,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 9,075 | $395,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 1,835 | $393,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 10,658 | $381,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 15,850 | $377,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 3,994 | $371,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 5,054 | $368,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 30,346 | $368,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 5,063 | $360,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,540 | $355,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 6,283 | $350,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 11,778 | $348,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 10,347 | $345,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,813 | $341,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 2,881 | $341,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,607 | $326,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 11,079 | $321,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 10,752 | $320,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 3,728 | $313,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 5,740 | $310,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 3,985 | $309,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 6,026 | $307,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 5,002 | $303,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 2,600 | $302,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 3,159 | $296,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,924 | $296,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 44,097 | $296,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 5,676 | $294,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 4,302 | $293,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 27,930 | $291,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 4,013 | $290,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 3,527 | $290,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 6,273 | $286,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 5,293 | $284,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 23,979 | $284,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 1,517 | $281,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 4,658 | $271,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 10,566 | $271,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,309 | $269,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 22,427 | $265,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 2,101 | $264,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 10,145 | $264,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,929 | $255,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,061 | $253,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 3,330 | $247,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 4,262 | $244,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 17,394 | $244,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,670 | $243,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF T | 73935B862 | VAR RAT INV GR | 9,448 | $238,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 2,757 | $237,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 4,051 | $232,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 3,000 | $229,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 3,648 | $229,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 18,324 | $223,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 51,928 | $220,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 25,000 | $216,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 5,783 | $215,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 14,612 | $215,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,713 | $214,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 9,641 | $214,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 1,948 | $213,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 3,280 | $212,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 2,450 | $210,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 2,606 | $209,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,753 | $206,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 13,165 | $203,000 | thousands by filing date | |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 5,000 | $202,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 7,500 | $202,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 1,056 | $201,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 12,908 | $182,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 10,352 | $179,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 25,126 | $172,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 12,568 | $115,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 10,000 | $108,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 10,000 | $90,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 15,771 | $88,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 15,000 | $82,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 11,760 | $73,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 15,525 | $64,000 | thousands by filing date | |
| MYND ANALYTICS INC | 62857N202 | COM NEW | 16,000 | $61,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 10,000 | $60,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 46,000 | $48,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 12,000 | $44,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 117,371 | $38,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 19,000 | $26,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 11,330 | $25,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 10,000 | $5,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 18,985 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086763-17-000014 | this filing | 2017-11-14 | acceptance time not in the bulk data set |