13F-HR filed by B. Riley Wealth Management, Inc.
B. Riley Wealth Management, Inc. filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-12, with 418 holding rows worth $847,401,000.
- Accession
- 0001213900-20-036301
- Filer
- CIK 1599892
- Filed
- 2020-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 418 entries on the cover page, a total value of $847,401,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $847,401,000 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 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 |
|---|---|---|---|---|---|---|
| Apple Inc | 037833100 | COM | 453,403 | $52,509,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 13,690 | $43,106,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 325,572 | $26,974,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 244,081 | $19,717,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 54,038 | $18,097,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 62,436 | $15,093,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 194,690 | $14,849,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 49,355 | $13,713,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 119,110 | $13,392,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 634,004 | $13,168,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 45,118 | $12,530,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 201,530 | $11,989,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 58,606 | $11,719,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 134,659 | $11,170,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 41,615 | $10,899,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 24,331 | $10,743,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 47,956 | $10,087,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 59,675 | $9,936,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 96,617 | $9,856,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 272,351 | $9,162,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 508,953 | $8,576,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 30,731 | $8,530,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 24,929 | $8,430,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 5,689 | $8,338,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 266,947 | $7,611,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 49,877 | $7,593,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 21,204 | $7,527,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 85,182 | $7,461,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 232,278 | $7,307,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 162,670 | $7,219,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 42,343 | $6,970,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 78,097 | $6,916,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 110,062 | $6,636,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 21,208 | $6,612,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 79,191 | $6,251,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 169,279 | $6,213,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 14,249 | $6,184,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 112,735 | $6,034,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 84,232 | $5,803,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 162,913 | $5,593,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 33,541 | $5,543,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 10,206 | $5,524,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 27,396 | $5,398,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 103,456 | $5,347,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 276,990 | $5,310,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 327,108 | $5,165,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 3,506 | $5,152,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 10,564 | $4,966,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 27,952 | $4,951,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 17,411 | $4,832,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 872,767 | $4,730,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 16,059 | $4,721,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 130,920 | $4,477,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 27,620 | $4,424,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 76,804 | $4,231,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 28,964 | $4,014,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 99,234 | $3,909,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 18,238 | $3,884,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 3,722 | $3,807,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 39,021 | $3,757,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 8,691 | $3,729,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 9,587 | $3,674,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 14,144 | $3,595,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 25,008 | $3,476,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 29,024 | $3,387,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 263,079 | $3,315,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 26,305 | $3,302,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H607 | OIL SERVICES ETF | 33,448 | $3,268,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U852 | HENDERSON MTG | 59,442 | $3,187,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 205,069 | $3,094,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 6,120 | $3,001,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 55,663 | $2,815,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 11,356 | $2,806,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 34,393 | $2,671,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 18,123 | $2,664,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 7,056 | $2,571,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 16,271 | $2,561,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 22,382 | $2,533,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 122,458 | $2,525,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 4,861 | $2,522,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 91,996 | $2,498,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 54,384 | $2,473,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 84,429 | $2,465,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 292,046 | $2,465,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 17,529 | $2,452,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 134,430 | $2,396,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 14,910 | $2,220,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 20,080 | $2,185,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 137,921 | $2,076,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 232,203 | $2,046,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 129,596 | $2,040,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 18,730 | $2,025,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 21,899 | $2,004,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 159,631 | $1,968,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 16,366 | $1,937,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 12,937 | $1,915,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 13,039 | $1,889,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 8,011 | $1,885,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 7,427 | $1,867,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 79,126 | $1,849,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 70,756 | $1,847,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 45,246 | $1,822,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 5,660 | $1,803,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 112,010 | $1,700,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 48,493 | $1,688,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 64,791 | $1,662,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 34,925 | $1,616,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 43,424 | $1,584,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 99,280 | $1,555,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 111,097 | $1,550,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 31,217 | $1,541,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 5,942 | $1,495,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 13,303 | $1,482,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 29,842 | $1,472,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 6,830 | $1,462,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 54,679 | $1,456,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 13,396 | $1,450,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 34,024 | $1,411,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 77,842 | $1,364,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 2,717 | $1,359,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 7,129 | $1,343,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 6,015 | $1,332,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 83,225 | $1,319,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 155,555 | $1,316,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 24,063 | $1,256,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 21,498 | $1,252,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 21,429 | $1,233,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F854 | FT VEST U.S. | 38,640 | $1,230,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 8,321 | $1,229,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 84,433 | $1,212,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 82,287 | $1,212,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 33,143 | $1,208,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 5,478 | $1,201,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 3,535 | $1,198,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 49,219 | $1,186,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 6,669 | $1,184,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 34,389 | $1,183,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 5,878 | $1,175,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 42,228 | $1,157,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 9,253 | $1,148,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 3,630 | $1,131,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 20,082 | $1,105,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 14,913 | $1,074,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 78,124 | $1,071,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 10,290 | $1,049,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 41,200 | $1,042,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 45,000 | $995,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 73,413 | $991,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 110,016 | $985,000 | thousands by filing date | |
| FIRST TR HIGH YIELD OPPRT 20 | 33741Q107 | COM | 48,500 | $977,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 4,749 | $969,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 39,804 | $958,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 47,273 | $949,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 34,148 | $917,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 8,305 | $900,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q452 | ALERIAN MLP | 44,972 | $899,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 58,508 | $885,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 2,651 | $884,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 13,940 | $882,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 40,265 | $870,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 9,487 | $863,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 6,863 | $856,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 5,085 | $844,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 8,216 | $838,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 59,397 | $833,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 9,665 | $830,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 6,130 | $825,000 | thousands by filing date | |
| ELASTIC N V ORD SHS | N14506104 | Stock | 7,599 | $820,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 10,643 | $819,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 24,695 | $808,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 41,550 | $805,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 14,235 | $800,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 28,194 | $800,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 53,651 | $799,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 15,576 | $791,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 16,853 | $750,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 8,949 | $734,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 49,903 | $733,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 24,722 | $731,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 21,892 | $719,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 37,282 | $717,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 6,143 | $713,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 48,804 | $709,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 13,576 | $708,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 83,711 | $707,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 27,385 | $701,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 11,235 | $699,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 9,675 | $698,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 28,890 | $698,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 22,796 | $687,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 965 | $685,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 11,340 | $677,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 5,734 | $669,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 83,301 | $657,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 17,279 | $650,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 5,265 | $640,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 33,451 | $635,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 583 | $631,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 60,000 | $631,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 6,205 | $630,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 4,436 | $609,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 15,492 | $599,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,060 | $597,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 131,000 | $597,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 6,102 | $585,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 7,676 | $583,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 42,479 | $572,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 30,056 | $564,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 11,103 | $561,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 86,727 | $560,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 470 | $553,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 5,511 | $552,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 2,903 | $548,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 7,714 | $546,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,721 | $543,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 7,080 | $540,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 11,341 | $535,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 8,298 | $532,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 5,102 | $530,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 4,075 | $526,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 37,514 | $523,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 3,651 | $521,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 2,990 | $521,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 35,795 | $521,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 1,126 | $519,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 35,713 | $512,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 9,537 | $504,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 11,718 | $504,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y529 | DORSY SHRT ETF | 26,354 | $502,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F839 | FT VEST US EQT | 15,692 | $499,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 8,457 | $486,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 1,629 | $485,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 13,276 | $481,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 26,602 | $480,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 1,908 | $463,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 4,945 | $463,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,323 | $457,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 10,820 | $454,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 37,123 | $454,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V746 | LARGE CAP GROWTH | 7,276 | $450,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 28,000 | $448,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 34,927 | $448,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 25,521 | $446,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 8,694 | $446,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 11,350 | $444,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 21,800 | $443,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 4,769 | $441,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,909 | $431,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 4,437 | $431,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 30,507 | $428,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 1,777 | $428,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 7,551 | $428,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J858 | BULSHS 2023 HY | 17,374 | $426,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 15,897 | $420,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 7,535 | $419,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 6,398 | $417,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 4,434 | $416,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 4,433 | $408,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 4,955 | $405,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 1,733 | $401,000 | thousands by filing date | |
| ALLIANZGI ARTIFICIAL INTELLI | 01883M101 | COM | 18,300 | $395,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 6,475 | $390,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 10,509 | $388,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 1,402 | $384,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 71,389 | $383,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,764 | $383,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 23,534 | $379,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072810 | FOCUSED DYNAMIC | 5,792 | $375,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 6,265 | $372,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,828 | $367,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 1,612 | $367,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 2,212 | $366,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 13,029 | $366,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 23,400 | $366,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 6,931 | $359,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 4,563 | $354,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 728 | $353,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 16,172 | $352,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 6,385 | $350,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 36,767 | $348,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 8,132 | $346,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,835 | $345,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 1,024 | $344,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 5,876 | $338,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 4,160 | $337,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 3,107 | $337,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 1,758 | $333,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 8,387 | $333,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F847 | FT VEST US EQT | 10,000 | $326,000 | thousands by filing date | |
| COVETRUS INC | 22304C100 | COM | 13,195 | $322,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 3,610 | $319,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 17,757 | $318,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,390 | $310,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 50,903 | $310,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 10,332 | $305,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 13,380 | $300,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 5,524 | $296,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 5,041 | $293,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 10,905 | $292,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 1,944 | $287,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 4,812 | $286,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 1,848 | $285,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 11,628 | $282,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,855 | $278,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 33,500 | $277,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 5,912 | $275,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 14,305 | $275,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 18,837 | $273,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 7,682 | $271,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,161 | $270,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 5,380 | $269,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 4,485 | $268,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E537 | NATL AMT MUNI | 9,989 | $266,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 14,300 | $264,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 5,090 | $260,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 8,450 | $258,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 11,318 | $257,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 11,786 | $255,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 22,585 | $255,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 8,573 | $254,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 21,149 | $254,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 2,088 | $253,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 15,785 | $253,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 37,742 | $252,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 17,750 | $252,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 4,007 | $250,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 2,864 | $249,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 5,200 | $245,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 2,396 | $244,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 4,609 | $242,000 | thousands by filing date | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 11,857 | $242,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 1,905 | $241,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 1,723 | $240,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 6,300 | $240,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 2,587 | $235,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,295 | $230,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 2,240 | $229,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 301 | $229,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 778 | $226,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 5,127 | $226,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 4,136 | $223,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 1,499 | $221,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 20,797 | $221,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 9,474 | $221,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 21,830 | $219,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 7,655 | $218,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 27,323 | $217,000 | thousands by filing date | |
| SERVICE PPTYS TR | 81761L102 | COM SH BEN INT | 27,197 | $216,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 1,525 | $215,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 12,188 | $215,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 7,932 | $214,000 | thousands by filing date | |
| IJH | 464287507 | COM | 1,148 | $213,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,579 | $213,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 3,810 | $209,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 558 | $206,000 | thousands by filing date | |
| FOCUS FINANCIAL PARTNERS INC. | 34417P100 | COM CL A | 6,275 | $206,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 3,478 | $203,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 18,160 | $203,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 4,055 | $202,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 20,200 | $199,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 25,103 | $199,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 13,783 | $198,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 58,291 | $183,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 27,253 | $180,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 20,755 | $180,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 24,000 | $179,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 10,380 | $178,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 24,655 | $176,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 16,631 | $175,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 14,859 | $175,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 29,221 | $175,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 12,708 | $172,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 26,190 | $170,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 13,800 | $169,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 14,445 | $167,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 15,105 | $167,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 15,128 | $164,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 12,226 | $155,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 19,000 | $154,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 20,212 | $149,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 12,090 | $149,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 10,383 | $148,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 24,191 | $148,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 12,670 | $148,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 14,952 | $141,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 10,010 | $139,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 18,900 | $138,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 15,000 | $132,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 15,412 | $132,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 11,310 | $130,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 16,300 | $128,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 21,284 | $127,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 14,993 | $121,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 11,775 | $116,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 27,167 | $114,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 20,508 | $111,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 10,000 | $92,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 11,584 | $88,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 49,750 | $79,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 19,462 | $71,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 10,700 | $71,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 20,121 | $69,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 12,831 | $65,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 12,333 | $62,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 10,281 | $59,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 15,746 | $55,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 27,482 | $54,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 10,523 | $29,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 10,000 | $28,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 50,000 | $27,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 20,000 | $26,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 23,000 | $23,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 84,800 | $20,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 28,600 | $19,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 10,000 | $19,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 10,000 | $10,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 12,675 | $10,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 10,000 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001213900-20-036301 | this filing | 2020-11-12 | acceptance time not in the bulk data set |