13F-HR filed by Investors Capital Advisory Services
Investors Capital Advisory Services filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-04-15, with 671 holding rows worth $464,132,000.
- Accession
- 0001427271-14-000002
- Filer
- CIK 1427271
- Filed
- 2014-04-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 900 entries on the cover page, a total value of $464,132,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $464,132,000 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 Growth Advisors 028-11952
- included managerSentinel
- included managerValueWorks 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 1,962 | $218,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,655 | $218,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 4,492 | $218,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,580 | $218,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 199,000 | $218,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 12,000 | $217,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 2,805 | $216,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 3,149 | $216,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 6,419 | $215,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 5,706 | $215,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 211,000 | $215,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 8,333 | $214,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 49,830 | $214,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,664 | $213,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,605 | $212,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 3,846 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 4,860 | $212,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,100 | $212,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 7,523 | $212,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 4,900 | $211,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 3,759 | $211,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 3,887 | $210,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 14,534 | $210,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 665 | $209,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 17,106 | $208,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 33,043 | $206,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 19,575 | $206,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 165,000 | $205,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 22,700 | $204,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 165,000 | $204,000 | thousands by filing date | |
| KEURIG GREEN MTN INC | 49271M100 | COM | 1,937 | $204,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 22,039 | $203,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 8,248 | $203,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 7,664 | $203,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,925 | $202,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 3,027 | $202,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 6,735 | $202,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 4,027 | $201,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 12,375 | $200,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 49,676 | $199,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 10,000 | $197,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 17,320 | $196,000 | thousands by filing date | |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 116,000 | $196,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIO | 205826AF7 | NOTE | 192,000 | $196,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 26,584 | $195,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 182,000 | $195,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 14,991 | $193,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 18,415 | $193,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 23,110 | $193,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 78,650 | $192,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 10,500 | $191,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 181,000 | $190,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 24,318 | $188,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 14,314 | $187,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 180,000 | $187,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 186,000 | $186,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 16,959 | $183,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,072 | $183,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 27,884 | $180,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 30,650 | $177,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,865 | $174,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 19,791 | $173,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 23,000 | $172,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 12,851 | $171,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,085 | $171,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC | 398905AE9 | FRNT | 142,000 | $171,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 14,060 | $170,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 61,300 | $170,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 48,850 | $169,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 18,900 | $168,000 | thousands by filing date | |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 97,000 | $168,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 27,845 | $161,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 19,870 | $159,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 51,046 | $156,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 79,900 | $154,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 128,000 | $152,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 112,000 | $146,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 25,300 | $141,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 11,855 | $140,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 64,650 | $140,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 13,621 | $137,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,740 | $136,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 13,100 | $134,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 75,000 | $132,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 15,323 | $127,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 104,000 | $127,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 101,000 | $124,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 20,305 | $124,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 64,788 | $123,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 11,855 | $122,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 19,300 | $121,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 84,000 | $119,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 117,000 | $119,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 23,593 | $118,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 93,000 | $118,000 | thousands by filing date | |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 110,000 | $113,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 83,000 | $111,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 34,377 | $110,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 13,544 | $109,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 66,000 | $106,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 32,588 | $105,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 19,972 | $105,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 97,000 | $103,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 104,000 | $102,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 10,887 | $101,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013VAB4 | NOTE 7.000%12/1 | 98,000 | $100,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 11,172 | $97,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 12,300 | $96,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,491 | $95,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 25,800 | $94,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 91,000 | $92,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 10,126 | $91,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 10,670 | $90,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 17,405 | $89,000 | thousands by filing date | |
| LINEAR TECH INC | 535678AC0 | CORPORATE OBLIG | 74,000 | $88,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 21,550 | $88,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 47,000 | $87,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 64,935 | $87,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 18,170 | $86,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 10,460 | $85,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 93,012 | $84,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAA8 | NOTE | 68,000 | $84,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 26,823 | $82,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 12,500 | $80,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 20,189 | $78,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 18,050 | $75,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 60,000 | $73,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 11,822 | $66,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 14,250 | $66,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 33,535 | $65,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219LAH2 | CORPORATE OBLIG | 62,000 | $65,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 49,000 | $64,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 52,000 | $60,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 16,400 | $59,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 16,950 | $57,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 22,850 | $56,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 10,658 | $55,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 16,750 | $54,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 15,227 | $53,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 49,000 | $52,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 46,000 | $52,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 45,000 | $51,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 11,700 | $48,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 24,800 | $47,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 46,000 | $46,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 42,000 | $44,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 41,000 | $43,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 39,000 | $43,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 14,100 | $42,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 25,000 | $41,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 11,800 | $40,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 18,800 | $37,000 | thousands by filing date | |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 33,000 | $35,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 14,282 | $33,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 27,000 | $33,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 25,000 | $30,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 28,250 | $26,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 25,000 | $25,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 25,000 | $24,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 17,000 | $23,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 22,000 | $23,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 22,000 | $22,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 14,000 | $19,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 14,000 | $17,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 11,000 | $16,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 16,000 | $16,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 13,000 | $15,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 12,000 | $11,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 11,500 | $9,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,000 | $8,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 17,000 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001427271-14-000002 | this filing | 2014-04-15 | acceptance time not in the bulk data set |