13F-HR filed by B. Riley Wealth Management, Inc.
B. Riley Wealth Management, Inc. filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-17, with 419 holding rows worth $911,413,000 by the sum of the rows.
- Accession
- 0001213900-20-022365
- Filer
- CIK 1599892
- Filed
- 2020-08-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 419 entries on the cover page, a total value of $911,405,000,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $911,413,000 with VALUE read as thousands by filing date, 13F file number 028-16196. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $911,405,000,000, about 1,000 times the sum of the rows, $911,413,000. The filer likely wrote its cover total in dollars and its rows in thousands. 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 |
|---|---|---|---|---|---|---|
| Vanguard Growth | 922908736 | COM | 279,740 | $49,936,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 485,684 | $40,708,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 131,756 | $26,814,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 415,976 | $24,407,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 351,204 | $21,016,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 198,433 | $19,762,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 328,543 | $19,459,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 71,196 | $17,835,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 300,925 | $17,404,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 62,404 | $16,134,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 5,174 | $14,274,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 43,781 | $13,501,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 34,573 | $12,527,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 111,709 | $12,466,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 604,698 | $12,175,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 161,105 | $11,434,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 59,928 | $10,029,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 97,833 | $9,955,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 26,333 | $9,606,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 48,554 | $9,380,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 491,419 | $9,214,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 163,478 | $9,013,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 38,425 | $8,725,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 58,536 | $8,464,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 108,670 | $8,403,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 457,717 | $8,317,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 244,580 | $7,998,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 246,930 | $7,786,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 24,837 | $7,344,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 30,152 | $7,242,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 5,006 | $7,098,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 120,083 | $7,061,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 76,802 | $6,853,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 69,344 | $6,808,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 79,619 | $6,463,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 74,716 | $6,210,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 43,950 | $6,180,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 135,509 | $5,850,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 33,575 | $5,782,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 129,088 | $5,773,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 18,673 | $5,662,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 14,474 | $5,662,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 42,381 | $5,605,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 134,608 | $5,496,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 18,257 | $5,385,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 14,752 | $5,383,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 178,006 | $5,381,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 32,698 | $5,171,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 64,541 | $5,157,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 51,352 | $5,035,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 159,179 | $4,826,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 60,606 | $4,759,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 75,065 | $4,542,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 37,881 | $4,529,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 23,800 | $4,363,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 94,234 | $4,310,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 79,181 | $4,097,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 47,837 | $3,861,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 70,278 | $3,767,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 18,830 | $3,759,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 20,012 | $3,486,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 485,530 | $3,457,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 39,595 | $3,429,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 73,506 | $3,428,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 262,222 | $3,364,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 223,870 | $3,349,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 53,808 | $3,316,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U852 | HENDERSON MTG | 60,650 | $3,256,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 29,025 | $3,237,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 30,000 | $3,199,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 2,261 | $3,196,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 69,289 | $3,096,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 41,033 | $3,020,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 17,531 | $2,934,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 11,359 | $2,929,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 24,435 | $2,927,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 27,997 | $2,926,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 17,162 | $2,902,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 14,565 | $2,894,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 19,430 | $2,831,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 10,442 | $2,765,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 152,349 | $2,747,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 8,926 | $2,744,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 6,274 | $2,731,000 | thousands by filing date | |
| B RILEY PRIN MERGER CORP II | 05600U106 | CL A | 306,734 | $2,699,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 96,815 | $2,668,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 21,105 | $2,646,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 43,997 | $2,632,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 16,818 | $2,624,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 10,339 | $2,621,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 15,062 | $2,473,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 6,362 | $2,470,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 81,183 | $2,469,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 290,610 | $2,441,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 20,696 | $2,426,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 21,821 | $2,311,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 10,614 | $2,289,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 9,327 | $2,200,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 23,577 | $2,158,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 48,616 | $2,152,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 59,958 | $2,077,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 6,344 | $2,003,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 16,253 | $1,962,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 8,887 | $1,950,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 15,776 | $1,923,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 19,930 | $1,875,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 219,351 | $1,854,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 7,368 | $1,824,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 15,164 | $1,792,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F854 | FT VEST U.S. | 58,640 | $1,786,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 122,010 | $1,785,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 17,522 | $1,783,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 21,681 | $1,779,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 43,064 | $1,755,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,814 | $1,722,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 76,276 | $1,717,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 8,173 | $1,688,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 5,647 | $1,683,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 468,696 | $1,645,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 29,812 | $1,629,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 7,531 | $1,558,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 12,092 | $1,556,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 31,419 | $1,545,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 6,515 | $1,528,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 39,389 | $1,511,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 78,092 | $1,500,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 12,287 | $1,440,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 155,555 | $1,431,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 16,788 | $1,424,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 54,679 | $1,418,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 28,622 | $1,418,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 3,701 | $1,406,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 18,061 | $1,382,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 49,517 | $1,379,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 19,971 | $1,350,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 9,521 | $1,346,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 83,125 | $1,331,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 31,125 | $1,319,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 6,550 | $1,303,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 84,631 | $1,301,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 11,905 | $1,273,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 7,032 | $1,255,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 39,727 | $1,235,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 79,650 | $1,208,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 38,957 | $1,201,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 82,590 | $1,192,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 27,686 | $1,156,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 11,440 | $1,150,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 29,233 | $1,134,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 15,532 | $1,117,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 77,302 | $1,117,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 3,435 | $1,114,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 6,557 | $1,112,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 19,688 | $1,104,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,015 | $1,096,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 75,788 | $1,085,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 20,650 | $1,067,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 45,000 | $1,059,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 3,393 | $1,051,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q452 | ALERIAN MLP | 41,824 | $1,032,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 2,169 | $987,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 19,422 | $984,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 9,652 | $966,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 1,617 | $934,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 70,292 | $933,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 3,287 | $932,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 43,737 | $930,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 29,206 | $908,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 17,611 | $901,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 4,986 | $898,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 99,887 | $892,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 15,697 | $889,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 21,053 | $885,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 8,382 | $880,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 4,715 | $870,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 27,865 | $865,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 37,020 | $857,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 37,100 | $841,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 8,467 | $818,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 43,281 | $815,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 14,435 | $803,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 6,146 | $781,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 6,142 | $778,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 26,486 | $776,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 3,266 | $766,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 4,649 | $762,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 3,586 | $744,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 6,560 | $730,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 5,717 | $723,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 10,492 | $717,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 8,592 | $716,000 | thousands by filing date | |
| ALLIANZGI ARTIFICIAL INTELLI | 01883M101 | COM | 36,300 | $716,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 13,576 | $708,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 14,051 | $705,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 1,709 | $695,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 16,539 | $689,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,591 | $672,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 1,075 | $670,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 3,482 | $669,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 19,232 | $665,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 77,677 | $661,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y529 | DORSY SHRT ETF | 33,983 | $658,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 60,000 | $651,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 29,881 | $637,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 19,209 | $628,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 40,716 | $601,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 14,715 | $600,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 4,234 | $594,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 6,910 | $592,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 6,431 | $587,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 70,731 | $584,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 8,802 | $572,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,543 | $571,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 6,102 | $557,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 2,914 | $556,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 40,649 | $551,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 7,128 | $548,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 36,930 | $543,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 7,742 | $532,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 30,201 | $526,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 6,870 | $524,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 6,123 | $521,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 43,860 | $520,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 10,147 | $519,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,937 | $514,000 | thousands by filing date | |
| ELASTIC N V ORD SHS | N14506104 | Stock | 5,565 | $513,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 29,930 | $512,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 35,795 | $510,000 | thousands by filing date | |
| VTI | 922908769 | COM | 3,176 | $497,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 13,557 | $497,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 4,877 | $489,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 9,341 | $468,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 28,000 | $459,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 2,364 | $455,000 | thousands by filing date | |
| IJH | 464287507 | COM | 2,552 | $454,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 5,171 | $452,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 7,117 | $452,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 7,814 | $446,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,422 | $444,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,361 | $434,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 7,451 | $434,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 1,013 | $427,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 10,833 | $425,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 10,713 | $424,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 4,646 | $424,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 5,309 | $418,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 15,332 | $417,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J858 | BULSHS 2023 HY | 17,362 | $416,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 7,535 | $415,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 12,570 | $415,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 2,309 | $408,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 3,654 | $408,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 22,692 | $403,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 21,515 | $397,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 15,700 | $395,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 2,911 | $394,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 11,751 | $390,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 12,839 | $382,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 1,358 | $379,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 3,246 | $378,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 7,841 | $378,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 5,849 | $376,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 1,733 | $374,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 2,430 | $371,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 21,933 | $367,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 20,219 | $363,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 20,817 | $360,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 6,920 | $359,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 17,641 | $354,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 2,062 | $354,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 10,042 | $352,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 16,685 | $351,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 5,094 | $344,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 36,763 | $342,000 | thousands by filing date | |
| MGC | 921910873 | COM | 3,113 | $341,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 5,228 | $340,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 6,703 | $338,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 23,400 | $337,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 4,459 | $335,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 9,100 | $334,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 8,132 | $333,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 3,042 | $332,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 5,637 | $330,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,496 | $329,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 8,403 | $327,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 5,637 | $325,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 5,995 | $324,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,954 | $322,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 5,876 | $321,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,568 | $318,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 2,800 | $315,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 1,378 | $312,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 3,236 | $308,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 129,000 | $308,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F847 | FT VEST US EQT | 10,000 | $307,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,257 | $304,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 3,438 | $304,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 308 | $304,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 6,242 | $303,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 17,343 | $300,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 4,024 | $298,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 1,704 | $298,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 3,512 | $298,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 8,593 | $294,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 2,146 | $293,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 20,900 | $292,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 5,284 | $290,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 20,226 | $288,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 7,763 | $287,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 12,181 | $286,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 30,786 | $286,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 37,742 | $285,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 5,221 | $282,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 3,048 | $280,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 3,814 | $280,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 687 | $278,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,670 | $278,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,406 | $277,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 4,000 | $276,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 12,209 | $274,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 14,174 | $270,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 2,898 | $269,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,033 | $264,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,327 | $262,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 23,164 | $262,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 16,025 | $262,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 10,207 | $261,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 1,292 | $259,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 4,645 | $257,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 4,640 | $254,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 4,940 | $254,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,609 | $253,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 3,533 | $252,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 6,506 | $251,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 17,981 | $250,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 11,318 | $247,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 668 | $246,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 2,286 | $245,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 2,926 | $243,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 2,900 | $243,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 16,200 | $243,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 424 | $242,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 27,164 | $240,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 11,171 | $240,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 2,726 | $237,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 2,460 | $236,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,018 | $234,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 333 | $234,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 6,515 | $232,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,624 | $228,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 881 | $227,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 4,900 | $225,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 808 | $224,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 9,474 | $221,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 2,292 | $218,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 1,830 | $217,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 1,767 | $217,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 18,920 | $214,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 5,656 | $214,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 1,119 | $213,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,092 | $213,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 4,200 | $212,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 388 | $211,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 8,720 | $211,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 3,702 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 8,267 | $210,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 5,900 | $209,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 3,421 | $206,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 17,535 | $206,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 3,985 | $205,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 3,030 | $204,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 2,347 | $202,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 25,103 | $195,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 12,805 | $193,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 14,805 | $190,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 25,447 | $188,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 12,944 | $182,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 26,461 | $181,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 15,793 | $176,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 19,829 | $176,000 | thousands by filing date | |
| SERVICE PPTYS TR | 81761L102 | COM SH BEN INT | 22,933 | $163,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 10,090 | $154,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 17,481 | $150,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,004 | $149,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 12,015 | $148,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 28,000 | $142,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 10,880 | $142,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 14,952 | $139,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 12,359 | $138,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 15,449 | $131,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 18,786 | $123,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 15,000 | $122,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 18,718 | $114,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 14,500 | $113,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 10,830 | $113,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 14,430 | $111,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 16,750 | $110,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 20,000 | $107,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 26,200 | $106,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 11,324 | $102,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 18,665 | $99,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 11,755 | $99,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 15,832 | $97,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 10,180 | $91,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 10,000 | $70,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 36,650 | $68,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 12,831 | $65,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 16,662 | $58,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 11,677 | $51,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 10,583 | $51,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 39,750 | $50,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 11,292 | $49,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 50,000 | $35,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 10,000 | $33,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 10,618 | $27,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 16,232 | $19,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 10,000 | $17,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 20,000 | $13,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 40,000 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001213900-20-022365 | this filing | 2020-08-17 | acceptance time not in the bulk data set |