13F-HR filed by DCM Advisors, LLC
DCM Advisors, LLC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-02, with 229 holding rows worth $171,693,000.
- Accession
- 0001398344-21-002105
- Filer
- CIK 1839498
- Filed
- 2021-02-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 229 entries on the cover page, a total value of $171,693,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $171,695,000 with VALUE read as thousands by filing date, 13F file number 028-20533. 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 | 79,342 | $10,528,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 35,944 | $7,995,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 38,500 | $4,763,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,027 | $3,345,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 24,307 | $3,089,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 16,300 | $2,953,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 17,000 | $2,533,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 29,809 | $2,517,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 27,035 | $2,447,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 16,250 | $2,299,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 49,050 | $2,022,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 18,830 | $2,014,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 14,309 | $1,930,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 865 | $1,927,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 24,928 | $1,923,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 13,057 | $1,882,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 78,031 | $1,835,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 2,531 | $1,826,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 32,478 | $1,803,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 10,854 | $1,726,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 11,306 | $1,668,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 14,000 | $1,659,000 | thousands by filing date | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 66,535 | $1,637,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 30,000 | $1,591,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 3,373 | $1,571,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 3,581 | $1,568,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 10,000 | $1,562,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 42,092 | $1,515,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 16,175 | $1,483,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 22,000 | $1,443,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 89,055 | $1,436,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 19,510 | $1,382,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 18,213 | $1,380,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 11,300 | $1,346,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 8,705 | $1,326,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 12,400 | $1,286,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 6,000 | $1,276,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 76,985 | $1,263,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 7,559 | $1,257,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 22,300 | $1,246,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 6,554 | $1,193,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 680 | $1,191,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 5,302 | $1,178,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 6,000 | $1,166,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 6,470 | $1,154,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 7,500 | $1,149,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 25,100 | $1,123,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 639 | $1,120,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 126,000 | $1,108,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 4,004 | $1,094,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 17,779 | $1,092,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 10,000 | $1,086,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 2,053 | $1,072,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 39,432 | $1,063,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 11,400 | $1,035,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 4,500 | $1,022,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 5,002 | $1,020,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,400 | $988,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 23,200 | $980,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 10,470 | $959,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 12,000 | $953,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 10,000 | $930,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 42,000 | $900,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 35,000 | $882,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 17,500 | $881,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 3,000 | $878,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 58,000 | $847,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 120,000 | $842,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 55,000 | $833,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 112,000 | $828,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 10,000 | $806,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 21,000 | $804,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 8,500 | $792,000 | thousands by filing date | |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 43,000 | $784,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 25,000 | $784,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 29,000 | $783,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 22,000 | $772,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 88,000 | $762,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 3,249 | $761,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 26,000 | $757,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 37,000 | $753,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 39,000 | $737,000 | thousands by filing date | |
| VIVINT SMART HOME INC | 928542109 | COMMON STOCK | 35,000 | $726,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 10,000 | $672,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 5,340 | $665,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 9,000 | $664,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 5,000 | $663,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 35,000 | $654,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 20,500 | $643,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 2,695 | $600,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 5,423 | $594,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 60,500 | $587,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 6,000 | $582,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 18,700 | $549,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F854 | FT VEST U.S. | 16,250 | $538,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 2,439 | $534,000 | thousands by filing date | |
| INGEVITY CORP COM | 45688C107 | Stock | 7,000 | $530,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 11,950 | $530,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 97,696 | $529,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 5,119 | $526,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 15,411 | $523,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 2,500 | $519,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 45,700 | $510,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 9,519 | $465,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E166 | ETRACS MNTHLY B | 56,606 | $461,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 16,308 | $459,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 4,406 | $447,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,879 | $436,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 90,000 | $432,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 3,340 | $426,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 880 | $425,000 | thousands by filing date | |
| BRINKER INTL INC COM | 109641100 | Stock | 7,500 | $424,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 13,600 | $412,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 20,000 | $401,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 25,870 | $400,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 5,517 | $397,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 2,908 | $397,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 70,000 | $396,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 10,200 | $395,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 5,500 | $383,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 1,913 | $383,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 2,300 | $377,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 5,000 | $371,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 70,958 | $370,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,574 | $366,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 550 | $364,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 3,000 | $363,000 | thousands by filing date | |
| TIDAL ETF TR | 886364603 | RPAR RISK PARI | 15,000 | $357,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,324 | $356,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 22,090 | $356,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 5,056 | $351,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 4,000 | $345,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 6,906 | $344,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 700 | $331,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 6,000 | $323,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 5,487 | $322,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,200 | $313,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 625 | $313,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 889 | $312,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,200 | $311,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 2,391 | $311,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 565 | $306,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 5,769 | $306,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,426 | $305,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 5,000 | $303,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 2,500 | $300,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 600 | $300,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 1,395 | $295,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 1,100 | $293,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 10,151 | $292,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 5,185 | $288,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 10,650 | $281,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 4,703 | $277,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 768 | $274,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 3,000 | $274,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 700 | $266,000 | thousands by filing date | |
| HELIOS TECHNOLOGIES INC | 42328H109 | COM | 5,000 | $266,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 7,000 | $264,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 5,600 | $261,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 8,862 | $261,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 1,800 | $260,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 450 | $248,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 9,000 | $248,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 21,000 | $246,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 5,500 | $242,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 4,000 | $236,000 | thousands by filing date | |
| APTIV PLC | G6095L109 | SHS | 1,800 | $235,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 3,804 | $232,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 13,750 | $231,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G773 | WORK FROM HOME | 3,360 | $227,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 270 | $221,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 300 | $220,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 3,400 | $219,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 2,300 | $214,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 10,000 | $213,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 9,400 | $212,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 2,000 | $212,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F771 | FT VEST US | 6,525 | $211,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 12,000 | $203,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 4,050 | $202,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 30,900 | $202,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 41,500 | $193,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 14,000 | $191,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 10,547 | $188,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T266 | XLINK CRD ETN37 | 38,500 | $180,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 12,016 | $167,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 4,578 | $167,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 3,730 | $166,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 1,003 | $163,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 7,400 | $157,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 2,000 | $153,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 15,500 | $152,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F839 | FT VEST US EQT | 4,525 | $151,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 5,489 | $148,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 5,071 | $141,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 650 | $140,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 1,645 | $136,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 900 | $132,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 35,800 | $132,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 13,050 | $130,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 16,650 | $125,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E174 | ETRACS 2XM ETN | 6,330 | $123,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 2,400 | $120,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 2,300 | $119,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 10,000 | $114,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 13,300 | $104,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 2,675 | $103,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 2,000 | $99,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 2,300 | $97,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 2,800 | $95,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 1,402 | $78,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 1,802 | $76,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 1,725 | $72,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 2,150 | $71,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 1,000 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 557 | $53,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 18,663 | $50,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T282 | XLNKS REIT ETN36 | 8,350 | $48,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 400 | $41,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 400 | $36,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 100 | $9,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 267 | $9,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 200 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 13 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 38 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 61 | $2,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 30 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y327 | GLBX MSCI COLUM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y319 | CMN | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-21-002105 | this filing | 2021-02-02 | acceptance time not in the bulk data set |