13F-HR filed by Investors Capital Advisory Services
Investors Capital Advisory Services filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-06, with 605 holding rows worth $386,805,000.
- Accession
- 0001427271-13-000006
- Filer
- CIK 1427271
- Filed
- 2013-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 833 entries on the cover page, a total value of $386,805,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $386,805,000 with VALUE read as thousands by filing date, 13F file number 028-12993. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAdvisors Capital Management 028-11543
- included managerCambridge Investments 028-06432
- included managerFrantzen Capital
- included managerFraser
- included managerDividend Growth Advisors 028-11952
- included managerSentinel
- included managerValueWorks LLC 028-11180
- included managerWellesley Investment Advisors
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 |
|---|---|---|---|---|---|---|
| Boston Scientific Corporation | 101137107 | COM | 13,019 | $151,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 15,465 | $144,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 117,000 | $140,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 18,170 | $137,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 10,316 | $136,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,740 | $135,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 101,000 | $134,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 119,000 | $134,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 18,952 | $134,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 21,000 | $132,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 125,000 | $131,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 16,954 | $130,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 42,462 | $129,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 36,683 | $129,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 10,928 | $128,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,500 | $127,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 12,218 | $127,000 | thousands by filing date | |
| ARRIS GROUP INC 2.000 | 04269QAC4 | NOTE | 118,000 | $126,000 | thousands by filing date | |
| SIRIUS XM RADIO INC | 82967N108 | COM | 32,177 | $124,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 13,600 | $123,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 14,100 | $122,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 15,057 | $122,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 15,740 | $122,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 45,850 | $122,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 117,000 | $121,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 24,843 | $119,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 21,300 | $119,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 29,050 | $119,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 90,774 | $118,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 67,800 | $117,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 101,000 | $116,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 104,000 | $113,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 15,400 | $111,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 13,512 | $109,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 18,605 | $109,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 22,300 | $106,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 12,040 | $106,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 102,000 | $104,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 30,912 | $101,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 18,729 | $98,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 14,300 | $94,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,181 | $89,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 11,664 | $87,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 10,126 | $86,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 26,823 | $84,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAA8 | NOTE | 68,000 | $83,000 | thousands by filing date | |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 87,000 | $82,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 75,000 | $81,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 15,878 | $81,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 17,300 | $80,000 | thousands by filing date | |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 26,060 | $79,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 18,300 | $78,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 74,000 | $76,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 11,470 | $75,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 12,365 | $73,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 75,000 | $72,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 22,380 | $71,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 17,400 | $69,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 23,000 | $67,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 40,000 | $66,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 29,800 | $60,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 36,210 | $60,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 10,718 | $56,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694AB3 | NOTE 3.800% 7/0 | 52,000 | $56,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 16,750 | $56,000 | thousands by filing date | |
| TELLABS INC | 879664100 | COM | 24,601 | $55,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 14,326 | $54,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 31,363 | $54,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 47,000 | $51,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 37,038 | $51,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 16,100 | $50,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,150 | $47,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 35,550 | $45,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 11,362 | $45,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 11,195 | $45,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 11,300 | $42,000 | thousands by filing date | |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 38,000 | $41,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 29,000 | $36,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 15,400 | $35,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 35,000 | $35,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 13,069 | $34,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 36,000 | $34,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 12,150 | $31,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 10,000 | $31,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 25,000 | $29,000 | thousands by filing date | |
| D.R. HORTON INC | 23331ABB4 | NOTE | 17,000 | $25,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 25,000 | $24,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 25,000 | $23,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 21,000 | $22,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 22,000 | $21,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 12,850 | $20,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 14,900 | $19,000 | thousands by filing date | |
| E M C CORP MASS | 268648AM4 | NOTE 1.750%12/0 | 12,000 | $19,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 13,000 | $19,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 17,000 | $17,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 15,000 | $15,000 | thousands by filing date | |
| Hologic | 436440AA9 | CONV | 15,000 | $15,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 13,900 | $13,000 | thousands by filing date | |
| CELSION CORPORATION | 15117N305 | COM NEW | 11,500 | $13,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U305 | COM NEW | 49,550 | $13,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 11,000 | $13,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 16,517 | $12,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 10,000 | $10,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 12,000 | $8,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 17,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001427271-13-000006 | this filing | 2013-11-06 | acceptance time not in the bulk data set |