13F-HR filed by Investors Capital Advisory Services
Investors Capital Advisory Services filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-13, with 650 holding rows worth $429,613,000.
- Accession
- 0001427271-14-000001
- Filer
- CIK 1427271
- Filed
- 2014-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 881 entries on the cover page, a total value of $429,613,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $429,613,000 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 Managment 028-11543
- included managerCambridge Investments 028-06432
- included managerFraser
- included managerDividend Grouth Advisors 028-11952
- included managerSentinel
- included managerValue Works LLC 028-11180
- included managerWellesley Investment Advisors
- included managerTime Capital
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 |
|---|---|---|---|---|---|---|
| MASCO CORP | 574599106 | COM | 8,831 | $200,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 10,000 | $200,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 24,637 | $199,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 28,298 | $199,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 7,141 | $199,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 182,000 | $194,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 23,189 | $193,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 10,500 | $192,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 16,241 | $192,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 13,746 | $191,000 | thousands by filing date | |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 10,661 | $191,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 80,900 | $189,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 17,690 | $188,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 11,430 | $187,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219LAH2 | CORPORATE OBLIG | 172,000 | $186,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 22,805 | $185,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 12,215 | $185,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 186,000 | $181,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 12,250 | $181,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 162,000 | $181,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 14,991 | $180,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 114,000 | $179,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 14,495 | $175,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 162,000 | $174,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 167,000 | $170,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 14,060 | $170,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 21,670 | $170,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191UAA4 | NOTE 3.000%10/0 | 123,000 | $168,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 13,622 | $167,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 26,983 | $167,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 21,370 | $164,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 42,126 | $163,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 106,000 | $163,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 27,803 | $161,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 14,625 | $160,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 20,790 | $159,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 144,000 | $159,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 12,851 | $157,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 49,752 | $154,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 23,384 | $154,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 32,733 | $153,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 29,883 | $153,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 10,470 | $150,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 70,150 | $148,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 10,025 | $147,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 11,898 | $146,000 | thousands by filing date | |
| GREEN PLAINS RENEWABLE ENERG | 393222AB0 | BOND | 99,000 | $145,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 137,000 | $142,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 117,000 | $142,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 18,316 | $141,000 | thousands by filing date | |
| LINEAR TECH INC | 535678AC0 | CORPORATE OBLIG | 124,000 | $141,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,704 | $136,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 14,000 | $136,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 119,000 | $135,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 34,200 | $135,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 10,879 | $129,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,740 | $129,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 36,480 | $129,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 14,950 | $128,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 10,657 | $128,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 10,779 | $126,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 24,505 | $123,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 21,300 | $122,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 14,954 | $121,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 91,000 | $121,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 113,000 | $119,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 10,220 | $115,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 32,792 | $114,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 104,000 | $114,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 94,000 | $112,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 104,000 | $104,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 16,970 | $103,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 17,272 | $102,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 12,803 | $101,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 46,750 | $100,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 11,672 | $99,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,691 | $98,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 90,000 | $98,000 | thousands by filing date | |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 102,000 | $97,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 18,909 | $96,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 14,300 | $95,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 10,500 | $94,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 18,618 | $93,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 10,720 | $92,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 10,126 | $90,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 63,900 | $88,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 11,010 | $88,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 11,600 | $84,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 10,464 | $83,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 26,823 | $82,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 10,000 | $82,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 18,170 | $81,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 18,516 | $81,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAA8 | NOTE | 68,000 | $81,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 18,843 | $79,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 19,050 | $77,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 10,929 | $73,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 67,000 | $67,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 29,233 | $66,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 13,200 | $65,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 47,238 | $65,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 60,000 | $64,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 11,807 | $62,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 17,775 | $61,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 14,738 | $61,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 10,802 | $58,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694AB3 | NOTE 3.800% 7/0 | 45,000 | $57,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 14,280 | $56,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 10,850 | $55,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 35,000 | $55,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 56,000 | $55,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 18,000 | $54,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 11,700 | $53,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 12,750 | $52,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 54,962 | $50,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 47,000 | $49,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 33,550 | $47,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 15,500 | $46,000 | thousands by filing date | |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 38,000 | $44,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 32,800 | $43,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 19,800 | $41,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 16,400 | $41,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 33,985 | $41,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 10,150 | $40,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 36,000 | $37,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,150 | $36,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 26,000 | $35,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 10,195 | $33,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 17,250 | $32,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 30,000 | $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 | $29,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 14,282 | $27,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 25,000 | $24,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 25,000 | $24,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 22,000 | $22,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 13,000 | $18,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 11,000 | $18,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 16,000 | $17,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 16,000 | $16,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 15,000 | $15,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 14,000 | $14,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 11,000 | $13,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 14,900 | $13,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 12,000 | $11,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 10,000 | $11,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 12,000 | $8,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,000 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 14,400 | $6,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 17,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001427271-14-000001 | this filing | 2014-02-13 | acceptance time not in the bulk data set |