13F-HR filed by HOLLENCREST CAPITAL MANAGEMENT
HOLLENCREST CAPITAL MANAGEMENT filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-01-28, with 374 holding rows worth $613,450,000 by the sum of the rows.
- Accession
- 0001161722-14-000003
- Filer
- CIK 1161722
- Filed
- 2014-01-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 547 entries on the cover page, a total value of $613,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $613,450,000 with VALUE read as thousands by filing date, 13F file number 028-06753. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $613,000, about 1/1,000 of the sum of the rows, $613,450,000. The filer likely wrote its cover total in thousands and its rows in dollars. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| United Parcel Service,Inc. Class B | 911312106 | COM | 311,135 | $32,695,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 161,542 | $29,835,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 210,825 | $23,007,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 194,045 | $23,006,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 255,344 | $18,023,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 264,272 | $16,673,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 278,550 | $14,161,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 138,416 | $13,846,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 299,847 | $13,109,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 504,239 | $13,050,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 118,172 | $13,008,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 394,503 | $11,058,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 335,023 | $10,871,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 414,304 | $10,753,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 227,906 | $10,564,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 317,359 | $9,790,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 48,969 | $9,091,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 166,642 | $8,341,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 266,542 | $8,164,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 91,787 | $7,997,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 140,254 | $7,529,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 457,029 | $7,125,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 134,681 | $6,832,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,120,696 | $6,455,000 | thousands by filing date | |
| GOLDEN GATE CAP OPPTNTY FD LP | 999193816 | LP | 5,547,625 | $6,346,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 65,361 | $5,468,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 200,918 | $5,334,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 86,487 | $5,285,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 302,191 | $5,270,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 128,676 | $5,199,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 377,766 | $5,153,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 43,391 | $4,955,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 45,790 | $4,829,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 145,166 | $4,687,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 58,503 | $4,604,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 116,261 | $4,087,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 62,168 | $4,039,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 67,470 | $3,817,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 43,064 | $3,701,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 34,616 | $3,684,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 275,209 | $3,647,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 15,211 | $3,387,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 89,007 | $3,330,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 8,213 | $3,275,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 27,646 | $3,038,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 72,764 | $2,951,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 5,220 | $2,929,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 28,717 | $2,906,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 29,834 | $2,733,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 38,121 | $2,720,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 21,721 | $2,713,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 139,739 | $2,690,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 520,464 | $2,316,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 20,738 | $2,295,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 91,112 | $2,267,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 15,091 | $2,263,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 144,314 | $2,247,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 57,279 | $2,191,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 157,997 | $2,178,000 | thousands by filing date | |
| FARM CREDIT BANK/TEXAS | 30767E307 | PFD | 1,850 | $2,156,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 91,545 | $2,135,000 | thousands by filing date | |
| CALIFORNIA REP BANCORP COM | 13056P100 | COM | 90,000 | $2,133,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 272,810 | $2,114,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 164,411 | $2,088,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 30,158 | $2,023,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 18,786 | $1,968,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 18,080 | $1,923,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 45,352 | $1,915,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 98,727 | $1,878,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 20,847 | $1,859,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 372,600 | $1,751,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 23,825 | $1,730,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 87,286 | $1,705,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 68,662 | $1,682,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 40,306 | $1,661,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 24,110 | $1,658,000 | thousands by filing date | |
| 0 | 000000000 | 0 | 682,049 | $1,657,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 17,057 | $1,655,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 20,300 | $1,653,000 | thousands by filing date | |
| VTI | 922908769 | COM | 17,233 | $1,653,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 15,844 | $1,635,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 32,027 | $1,574,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 17,664 | $1,553,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 21,597 | $1,447,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 32,000 | $1,430,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 56,985 | $1,424,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 5,550 | $1,355,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 36,164 | $1,332,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 17,785 | $1,329,000 | thousands by filing date | |
| 38259p508 | COM | 1,177 | $1,319,000 | thousands by filing date | ||
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 62,513 | $1,305,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 47,861 | $1,299,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 13,262 | $1,187,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 78,868 | $1,180,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 22,135 | $1,153,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 22,191 | $1,133,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 37,593 | $1,109,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 56,178 | $1,106,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 20,040 | $1,092,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 13,185 | $1,078,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 25,000 | $1,055,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 78,922 | $1,032,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 17,508 | $1,024,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 21,166 | $980,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 116,068 | $943,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 16,993 | $942,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 16,700 | $921,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 17,440 | $918,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 59,037 | $904,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 180,000 | $902,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 13,770 | $889,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 19,526 | $887,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 24,346 | $870,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 13,735 | $869,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 19,519 | $816,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 143,002 | $810,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 46,300 | $799,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 19,294 | $797,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 14,454 | $789,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 19,001 | $771,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 101,360 | $752,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 33,321 | $748,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 18,000 | $747,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 8,285 | $731,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 10,350 | $718,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 55,415 | $717,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 40,730 | $690,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 20,385 | $682,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 8,403 | $672,000 | thousands by filing date | |
| SOVEREIGN REAL ESTATE INVTTRUS | 84610XAA1 | PFD | 540 | $669,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 58,800 | $663,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 66,265 | $659,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 4,729 | $641,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 37,495 | $635,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 117,800 | $627,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 54,779 | $625,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 132,000 | $611,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 50,039 | $609,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 5,160 | $600,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 7,982 | $593,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 33,409 | $584,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 20,000 | $577,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 47,940 | $575,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 15,307 | $566,000 | thousands by filing date | |
| ARTPRICE.COM SAINT ROMAIN AU M | 5869240 | COM | 28,000 | $560,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 77,679 | $558,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 7,273 | $555,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 4,989 | $554,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 4,609 | $548,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 6,555 | $540,000 | thousands by filing date | |
| ALLIANZ SE FUNSPONSORED ADR 1 ADR REPS 0.1 ORD SHS | 018805101 | ADR | 30,000 | $539,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 7,600 | $534,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 30,265 | $532,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 39,200 | $527,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 6,125 | $523,000 | thousands by filing date | |
| CROSSTEX ENERGY L P | 22765U102 | COM | 18,795 | $519,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 56,000 | $508,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 4,271 | $500,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 43,950 | $498,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 25,954 | $497,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 4,995 | $493,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 8,465 | $488,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 52,319 | $480,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 7,670 | $476,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 2,600 | $463,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 33,880 | $460,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 35,204 | $460,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 26,619 | $456,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 19,132 | $455,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 29,372 | $454,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 8,211 | $453,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 20,000 | $450,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 31,790 | $447,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,149 | $441,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 10,536 | $434,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 4,625 | $430,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 5,438 | $429,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 15,171 | $428,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 13,463 | $426,000 | thousands by filing date | |
| FARM CREDIT BK OF TEXAS-CALL-144A | 30767E406 | Pref | 4,200 | $421,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 10,940 | $420,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 24,500 | $420,000 | thousands by filing date | |
| AGRIBANK FCB - CALLABLE | 00850L203 | Pref | 4,200 | $420,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 22,788 | $413,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 57,605 | $411,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 6,169 | $409,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 7,700 | $403,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 50,596 | $402,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 32,610 | $398,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 30,700 | $398,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 4,400 | $397,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38145G308 | PRF | 17,800 | $397,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 472 | $394,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 31,400 | $384,000 | thousands by filing date | |
| COBANK | 19075Q805 | PFD | 4,000 | $383,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 31,230 | $380,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 15,552 | $379,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,134 | $378,000 | thousands by filing date | |
| Countrywide Capital V | 222388209 | COM | 14,900 | $378,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 27,826 | $376,000 | thousands by filing date | |
| AEGON NV $2 PFD | 007924608 | PREFERRED | 13,315 | $375,000 | thousands by filing date | |
| MORGAN STANLEY | 61762V200 | Common Stock | 14,300 | $374,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 27,320 | $370,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 28,660 | $363,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 11,000 | $360,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,918 | $359,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 30,690 | $358,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 27,444 | $357,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 7,320 | $356,000 | thousands by filing date | |
| ALTAIR - GLOBAL ASSET ALLOC FU | zzc99q403 | ETF | 350,000 | $355,000 | thousands by filing date | |
| ALTAIR - SPECIAL OPPORTUNITY | zzc99d246 | ETF | 287,259 | $354,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,076 | $351,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 30,526 | $345,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 6,779 | $342,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 5,210 | $328,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 24,600 | $325,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 24,390 | $323,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 26,720 | $320,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 4,975 | $317,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 25,090 | $310,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 8,518 | $309,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 26,960 | $308,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 3,885 | $305,000 | thousands by filing date | |
| AGSTAR FINANCIAL SERVICES 144A | 00855W204 | PFD | 300 | $300,000 | thousands by filing date | |
| BILLABONG INTL LTD ORD F | q1502g107 | COM | 659,900 | $298,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 16,800 | $297,000 | thousands by filing date | |
| ALLIANZGI GLOBAL EQUITY & CO | 01882W100 | COM | 19,272 | $295,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 3,724 | $294,000 | thousands by filing date | |
| GOLDMAN SACHS PFD VARIABLE RAT | 38143Y665 | PREFERR | 16,200 | $293,000 | thousands by filing date | |
| REINSURANCE GROUP OF AMERICA | 759351703 | PFD | 12,075 | $293,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 6,800 | $292,000 | thousands by filing date | |
| Arch Capital 6.75% BBB QDI Cl | g0450a204 | PFD | 12,700 | $291,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 4,935 | $290,000 | thousands by filing date | |
| Endurance Specialty 7.5% Cl 6/ | g30397304 | PFD | 11,300 | $286,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 5,269 | $284,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 3,526 | $284,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 5,433 | $283,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 22,660 | $283,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 22,480 | $282,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 28,334 | $281,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 8,021 | $280,000 | thousands by filing date | |
| Maiden Holdings 8.25%Prp Cl8/2 | g5753u120 | PFD | 12,152 | $278,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 3,281 | $277,000 | thousands by filing date | |
| Axis Capital 6.875% Cl 4/17 QD | g0692u307 | PFD | 11,600 | $274,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 3,626 | $272,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,260 | $271,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 14,700 | $271,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 2,319 | $268,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 23,500 | $268,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 2,190 | $267,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 6,679 | $263,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 20,760 | $261,000 | thousands by filing date | |
| Aspen Insurance 5.95% Cl 7/23 | G05384154 | PFD | 11,304 | $256,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 2,400 | $255,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 1,313 | $255,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 3,143 | $255,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 5,000 | $254,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 3,036 | $250,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 19,758 | $249,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 22,703 | $248,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 14,360 | $247,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 20,800 | $247,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 17,900 | $245,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 41,041 | $245,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 24,426 | $244,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 32,050 | $244,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 2,699 | $243,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 4,374 | $242,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 2,567 | $241,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,374 | $241,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 9,894 | $241,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 4,504 | $240,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 10,370 | $239,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 4,660 | $238,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 18,585 | $238,000 | thousands by filing date | |
| ING GROEP N V | 456837202 | PRF | 9,438 | $238,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 29,710 | $236,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,667 | $234,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 13,200 | $234,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 3,458 | $233,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 20,590 | $233,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 7,392 | $233,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 6,471 | $232,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,530 | $230,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 13,936 | $230,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,526 | $228,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 18,560 | $224,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NE | 611740101 | COM | 3,289 | $223,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 24,550 | $219,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 18,650 | $218,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 187 | $218,000 | thousands by filing date | |
| ALTAIR - RIMROCK LP CLASSA | 922997861 | ETF | 190,000 | $218,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 8,400 | $213,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 22,338 | $212,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 1,878 | $209,000 | thousands by filing date | |
| NUVEEN CALIF QUALITY INCM MU | 670985100 | COM | 14,450 | $208,000 | thousands by filing date | |
| Hillman Group Capital 11.60% | 43162L206 | COM | 6,800 | $207,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 20,405 | $206,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 27,740 | $206,000 | thousands by filing date | |
| ALTAIR - PACIFIC COAST CAP PTN | 92299r115 | ETF | 189,844 | $206,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 3,882 | $205,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 2,552 | $205,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 11,960 | $205,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,342 | $202,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 26,350 | $202,000 | thousands by filing date | |
| SHINSEI BANK LTD | J7385L103 | COM | 82,500 | $202,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 3,539 | $201,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 4,956 | $200,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 16,100 | $200,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 13,490 | $196,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 14,230 | $193,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 13,000 | $186,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 15,326 | $185,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 13,180 | $185,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 15,830 | $184,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 16,880 | $183,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 14,370 | $181,000 | thousands by filing date | |
| NUVEEN CA SELECT QUALITY MUN | 670975101 | COM | 13,150 | $181,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 19,150 | $180,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 13,320 | $178,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 19,900 | $178,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 13,830 | $177,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 19,407 | $175,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 13,283 | $173,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 10,000 | $170,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 14,110 | $168,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,122 | $157,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 11,493 | $157,000 | thousands by filing date | |
| BANCA MONTE DEI PASCHI DI SIEN | 7128541 | COM | 625,000 | $151,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Tesco PLC | G87621101 | COM | 27,100 | $150,000 | thousands by filing date | |
| Sumitomo Corporation | J77282119 | COM | 11,900 | $147,000 | thousands by filing date | |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 11,209 | $145,000 | thousands by filing date | |
| ALTAIR - GOLUB CAPITAL VIIILP | 92299q117 | ETF | 142,399 | $142,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 31,769 | $133,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 10,500 | $133,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 10,866 | $131,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 10,760 | $131,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 10,690 | $131,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 14,040 | $129,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 10,444 | $128,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 17,150 | $124,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 21,149 | $115,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 10,680 | $114,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 18,700 | $109,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 10,300 | $108,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 13,189 | $107,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,560 | $106,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 12,310 | $104,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 10,607 | $103,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 12,000 | $87,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICL COM PAR | 503459505 | COM | 540,000 | $84,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 67,000 | $81,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 15,734 | $79,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 19,900 | $68,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 40,434 | $68,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 20,000 | $60,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 10,000 | $47,000 | thousands by filing date | |
| TOWER GROUP INTERNATIONAL LT | G8988C105 | COM | 12,300 | $42,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 71,050 | $41,000 | thousands by filing date | |
| CAMELOT INFORMATION SYS INC | 13322V105 | ADS RP ORD SHS | 10,000 | $20,000 | thousands by filing date | |
| GRAN COLOMBIA GOLD CORP | 38501d204 | COM | 18,660 | $13,000 | thousands by filing date | |
| Single Touch Systems, Inc. | 82932T107 | COM | 17,500 | $9,000 | thousands by filing date | |
| LIGHTWAVE LOGIC INC | 532275104 | COM | 10,000 | $7,000 | thousands by filing date | |
| Global Clean Energy | 378989107 | COM | 298,814 | $4,000 | thousands by filing date | |
| SDX ENERGY INC COM NPV ISIN#CA | 811375104 | COM | 34,000 | $3,000 | thousands by filing date | |
| DETHRONE ROYALTY HLDGXXX N/C T | 250665106 | COM | 200,000 | $2,000 | thousands by filing date | |
| 360 VOX CORPORATION CL A | 885578104 | COM | 10,000 | $1,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FUN | cdc229100 | COM | 49,520 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TABERNA PREFERRED .018 07/05/2 | 87330l200 | PFD | 500,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSWORLD BENEFITS IXXX REGIS | 894073105 | COM | 104,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVERSAL GUARDIAN HLDGS | 913586103 | COM | 13,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BALSAM VENTURES INC COMNEW | 058820200 | COM | 12,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Bank 1440 Peoria Ariz Com | 062199104 | COM | 24,407 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Ntm Inc | 629408105 | COM | 30,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001161722-14-000003 | this filing | 2014-01-28 | acceptance time not in the bulk data set |