13F-HR filed by UNITED CAPITAL FINANCIAL ADVISORS, LLC
UNITED CAPITAL FINANCIAL ADVISORS, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 1,077 holding rows worth $14,187,520,000.
- Accession
- 0001372312-19-000005
- Filer
- CIK 1463217
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 1,077 entries on the cover page, a total value of $14,187,520,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $14,187,520,000 with VALUE read as thousands by filing date, 13F file number 028-13508. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerGOLDMAN SACHS GROUP INC028-04981
- included managerIMD Holdings, LLC
- included managerUnited Capital Financial Partners, Inc028-13541
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 |
|---|---|---|---|---|---|---|
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 49,842 | $132,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 30,331 | $127,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 490 | $123,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 20,450 | $122,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 13,070 | $114,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 25,784 | $113,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 475 | $110,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 11,396 | $110,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 512 | $107,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 346 | $105,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 11,444 | $104,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 364 | $101,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 17,667 | $96,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 16,246 | $96,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 290 | $93,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 36,785 | $93,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 10,000 | $89,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 18,410 | $87,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 50,000 | $87,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 10,312 | $83,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 57,591 | $81,000 | thousands by filing date | |
| WEX INC | 96208T104 | COM | 392 | $79,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 11,392 | $78,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 23,000 | $77,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 272 | $75,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 290 | $71,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 22,500 | $68,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 10,614 | $68,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 308 | $64,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 28,201 | $59,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 18,468 | $59,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 39,625 | $59,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 25,577 | $58,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 210 | $55,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 25,000 | $51,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 20,000 | $50,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 12,601 | $49,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 211 | $47,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 101,000 | $41,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 120,870 | $37,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 37,000 | $36,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 35,000 | $35,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 122 | $32,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 20,006 | $31,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 48 | $28,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 20,510 | $27,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 10,000 | $25,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 619,608 | $25,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 111 | $24,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 11,812 | $24,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 15,700 | $23,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 46,368 | $23,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 24,000 | $23,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 15 | $22,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $21,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 10,159 | $20,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 10,000 | $18,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 23 | $15,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 15,000 | $15,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 42 | $14,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 40 | $13,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 47 | $13,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 15,566 | $13,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 43,331 | $13,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 43 | $12,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 15,000 | $11,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 39,900 | $10,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 40 | $8,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 21 | $8,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 10,250 | $8,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,000 | $8,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 14 | $6,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 18 | $4,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 17 | $4,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 6 | $3,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 3 | $1,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 301,182 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001372312-19-000005 | this filing | 2019-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001372312-20-000002 | base | 2020-02-14 | acceptance time not in the bulk data set |