13F-HR/A filed by UNITED CAPITAL FINANCIAL ADVISORS, LLC
UNITED CAPITAL FINANCIAL ADVISORS, LLC filed this 13F-HR/A for the quarter ended 2019-09-30, filed 2020-02-14, with 1,308 holding rows worth $14,298,927,000.
- Accession
- 0001372312-20-000002
- Filer
- CIK 1463217
- Filed
- 2020-02-14
- 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, amendment of type restatement, 1,308 entries on the cover page, a total value of $14,298,927,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $14,298,927,000 with VALUE read as thousands by filing date, 13F file number 028-13508. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 8,007 | $409,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 7,586 | $409,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 4,224 | $408,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 1,982 | $406,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 8,807 | $406,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 73,810 | $406,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 3,695 | $403,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 2,087 | $402,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 6,420 | $400,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 40,625 | $400,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 6,841 | $399,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 8,526 | $398,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 58,065 | $398,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 21,886 | $397,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 7,689 | $396,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 18,671 | $396,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 9,078 | $393,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 4,654 | $388,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 20,511 | $385,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 7,871 | $385,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 8,306 | $385,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 2,701 | $383,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 1,291 | $383,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 13,000 | $383,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 76,356 | $382,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 5,371 | $380,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 5,690 | $375,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 2,508 | $374,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 9,667 | $373,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 7,026 | $372,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 25,014 | $372,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 6,045 | $370,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,327 | $367,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 4,030 | $366,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 520 | $366,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 6,567 | $365,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 2,999 | $361,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 4,897 | $356,000 | thousands by filing date | |
| AT&T INC | 00206R952 | PUT | 94 | $356,000 | thousands by filing date | put |
| Boston Scientific Corporation | 101137107 | COM | 8,725 | $355,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 12,757 | $352,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 14,395 | $345,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 5,376 | $344,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 17,797 | $344,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 1,904 | $343,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 10,803 | $340,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 2,586 | $337,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 10,286 | $336,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 3,241 | $336,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 30,416 | $335,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 35,709 | $334,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 4,086 | $333,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 3,757 | $331,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 7,680 | $329,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 11,151 | $329,000 | thousands by filing date | |
| ASSURANT INC COM | 04621X108 | Stock | 2,597 | $327,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 1,515 | $326,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 6,451 | $325,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 6,514 | $322,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 8,059 | $320,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 5,000 | $318,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 6,084 | $317,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 56,400 | $316,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 6,528 | $315,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 18,165 | $315,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 10,712 | $311,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 10,375 | $311,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 7,687 | $309,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 14,849 | $308,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 2,605 | $306,000 | thousands by filing date | |
| IDEX CORP COM | 45167R104 | Stock | 1,869 | $306,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 5,706 | $305,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 29,600 | $304,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 31,063 | $302,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 1,548 | $299,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,386 | $296,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 25,000 | $296,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,848 | $295,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 8,027 | $294,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 11,020 | $294,000 | thousands by filing date | |
| RAYTHEON COMPANY | 755111957 | COM | 15 | $294,000 | thousands by filing date | put |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 19,471 | $292,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 18,063 | $290,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 1,568 | $290,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 3,361 | $290,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 4,443 | $290,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 6,039 | $290,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 11,317 | $289,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 5,135 | $288,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 11,265 | $288,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 6,510 | $286,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 18,399 | $286,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 14,303 | $285,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 3,217 | $284,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 10,675 | $284,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 8,000 | $282,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 27,838 | $280,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 1,802 | $279,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 8,922 | $278,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 11,249 | $277,000 | thousands by filing date | |
| CSX CORP | 126408953 | PUT | 40 | $277,000 | thousands by filing date | put |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 14,567 | $276,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 3,170 | $275,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 8,073 | $275,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 20,000 | $275,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 6,846 | $273,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 20,968 | $273,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 5,261 | $272,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 21,325 | $272,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 11,070 | $271,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 5,400 | $270,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 13,612 | $269,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 8,969 | $268,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 8,519 | $264,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 22,060 | $264,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 3,692 | $263,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 12,399 | $262,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 6,000 | $261,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 5,028 | $261,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 16,012 | $260,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC | 92343V954 | PUT | 43 | $260,000 | thousands by filing date | put |
| iShares Global 100 ETF | 464287572 | SHS | 5,190 | $257,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 7,995 | $255,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 2,031 | $255,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 11,409 | $254,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 6,674 | $250,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 67 | $249,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 3,843 | $248,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,507 | $247,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 3,798 | $246,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 3,191 | $246,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 2,866 | $245,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 5,908 | $245,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 114,138 | $244,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 6,438 | $241,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 890 | $239,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 8,931 | $238,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 7,640 | $238,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 20,146 | $238,000 | thousands by filing date | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 4,804 | $237,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 11,865 | $236,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 4,882 | $235,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 4,647 | $234,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 5,068 | $233,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 8,958 | $233,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 10,995 | $232,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 11,723 | $232,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 8,819 | $232,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 7,297 | $231,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,485 | $230,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 6,000 | $229,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 4,914 | $229,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 17,725 | $228,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 5,427 | $228,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 7,328 | $227,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 4,797 | $227,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 6,499 | $226,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 2,308 | $226,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 7,247 | $226,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 1,924 | $225,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 5,925 | $225,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 8,147 | $220,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 1,562 | $220,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 2,565 | $220,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 15,040 | $220,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 1,707 | $219,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 4,717 | $217,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,617 | $217,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 20,233 | $217,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 2,230 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 4,463 | $216,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 17,775 | $215,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 5,648 | $213,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 1,053 | $212,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 10,555 | $211,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 4,868 | $210,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 1,249 | $210,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 6,545 | $210,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 3,268 | $209,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 2,642 | $209,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 4,110 | $209,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 1,730 | $208,000 | thousands by filing date | |
| STATE STR SPDR S&P 500 ETF T | 78462F903 | CALL | 7 | $208,000 | thousands by filing date | call |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 1,817 | $207,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 6,759 | $207,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 1,820 | $207,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 5,623 | $207,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 13,439 | $206,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,135 | $206,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 3,009 | $205,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 1,898 | $205,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 4,203 | $205,000 | thousands by filing date | |
| SLB LIMITED | 806857958 | PUT | 60 | $205,000 | thousands by filing date | put |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 11,243 | $204,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 4,651 | $203,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 3,980 | $203,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 3,328 | $203,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 7,760 | $203,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 4,386 | $202,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 3,126 | $201,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 14,000 | $201,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 11,983 | $194,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 18,202 | $189,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 24,332 | $188,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 20,407 | $186,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 10,277 | $186,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 336 | $185,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 13,000 | $184,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,048 | $183,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 11,460 | $181,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 18,083 | $180,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 30,004 | $174,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 10,000 | $173,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 13,382 | $170,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 14,358 | $169,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 12,845 | $166,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 10,275 | $165,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 10,401 | $163,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 12,823 | $160,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 12,850 | $159,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 709 | $158,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 13,260 | $152,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 10,000 | $150,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 697 | $148,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 15,334 | $146,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 11,241 | $145,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 10,761 | $144,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 11,548 | $142,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 11,850 | $142,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,291 | $141,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 11,400 | $136,000 | thousands by filing date | |
| 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 | superseded | 2019-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001372312-20-000002 | this filing | 2020-02-14 | acceptance time not in the bulk data set |