13F-HR filed by CONFLUENCE INVESTMENT MANAGEMENT LLC
CONFLUENCE INVESTMENT MANAGEMENT LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-04, with 255 holding rows worth $1,807,652,000.
- Accession
- 0001442055-14-000002
- Filer
- CIK 1442056
- Filed
- 2014-02-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A combination report, 255 entries on the cover page, a total value of $1,807,652,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,807,652,000 with VALUE read as thousands by filing date, 13F file number 028-13334. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerFirst Trust Advisors L.P. 028-06487
- included managerFirst Trust Advisors L.P. 028-06487
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 |
|---|---|---|---|---|---|---|
| Chevron Corporation | 166764100 | COM | 328,969 | $41,092,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 442,687 | $40,546,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 2,273,701 | $40,404,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 466,903 | $38,725,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 542,319 | $38,060,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 254,167 | $37,784,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 279,051 | $36,952,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 247,961 | $34,777,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 869,015 | $34,343,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 858,934 | $32,133,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 957,324 | $31,065,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 235,656 | $30,642,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 472,796 | $30,524,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,582,486 | $30,241,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 556,867 | $29,731,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 964,742 | $29,280,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 441,890 | $28,710,000 | thousands by filing date | |
| LINEAR TECHNOLOGY CORP | 535678106 | COM | 612,665 | $27,907,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 484,635 | $27,503,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 639,898 | $26,306,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 854,718 | $26,180,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 602,551 | $25,367,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 469,478 | $25,310,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 541,845 | $25,201,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 423,124 | $24,689,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 216,113 | $24,678,000 | thousands by filing date | |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 545,688 | $24,452,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 242,193 | $24,205,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 670,438 | $24,136,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 1,168,915 | $22,361,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 275,275 | $21,505,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 763,295 | $20,815,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 406,506 | $18,508,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 293,257 | $18,150,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 120,060 | $18,032,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 189,479 | $17,191,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 133,898 | $15,238,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 330,615 | $15,185,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 169,450 | $14,247,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 23,864 | $13,849,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 311,290 | $13,775,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 189,709 | $13,325,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 117,982 | $13,137,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 147,912 | $13,081,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 135,090 | $12,700,000 | thousands by filing date | |
| 38259p508 | COM | 11,295 | $12,658,000 | thousands by filing date | ||
| BERKLEY W R CORP COM | 084423102 | Stock | 281,060 | $12,195,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 103,366 | $12,014,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 236,615 | $11,724,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 695,030 | $11,461,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 175,126 | $11,161,000 | thousands by filing date | |
| WATERS CORP COM | 941848103 | Stock | 111,109 | $11,111,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 138,256 | $11,102,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 13,214 | $11,040,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 268,204 | $10,878,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 128,584 | $10,783,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 919,901 | $10,671,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 89,610 | $10,624,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 231,816 | $10,524,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 750,172 | $10,390,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 127,525 | $10,222,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 109,248 | $10,147,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 184,509 | $9,364,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 414,233 | $9,341,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 138,540 | $9,259,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 550,135 | $9,231,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 545,945 | $8,953,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 592,152 | $8,906,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 160,635 | $8,395,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 93,004 | $8,232,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 71,758 | $7,741,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 101,110 | $7,597,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 198,393 | $6,228,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 59,132 | $6,183,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 213,312 | $5,898,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 56,609 | $5,729,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 64,826 | $5,338,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 51,298 | $5,017,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 666,880 | $4,942,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 59,561 | $4,926,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 145,550 | $4,890,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 68,743 | $4,857,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 85,561 | $4,743,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 332,194 | $4,720,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 59,366 | $4,669,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 57,151 | $4,618,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 105,511 | $4,535,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 181,879 | $4,467,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 99,404 | $4,464,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 52,979 | $4,438,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 46,358 | $4,429,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 307,830 | $4,417,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 17,250 | $4,406,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 67,492 | $4,401,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 143,987 | $4,399,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 54,280 | $4,363,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 42,109 | $4,360,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 57,612 | $4,354,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 39,210 | $4,332,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 84,560 | $4,307,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 50,265 | $4,304,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 316,378 | $4,271,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 98,240 | $4,270,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 52,348 | $4,262,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 56,691 | $4,220,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 45,381 | $4,210,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 79,772 | $4,197,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 37,424 | $4,183,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 43,896 | $4,175,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 35,855 | $4,174,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 41,967 | $4,165,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 66,918 | $4,136,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 300,733 | $4,129,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 69,478 | $3,991,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 199,092 | $3,908,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 406,052 | $3,886,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 39,972 | $3,878,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 109,732 | $3,874,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 80,590 | $3,726,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 19,713 | $3,698,000 | thousands by filing date | |
| PIEDMONT NATURAL GAS CO | 720186105 | COM | 111,473 | $3,696,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 367,717 | $3,666,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 426,884 | $3,618,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 229,522 | $3,431,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 267,051 | $3,426,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 410,161 | $3,310,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 140,390 | $3,166,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 31,278 | $3,106,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 32,260 | $3,095,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 32,827 | $2,992,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 176,282 | $2,880,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 378,341 | $2,826,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 627,656 | $2,762,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 170,708 | $2,670,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 146,272 | $2,665,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 21,778 | $2,614,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 278,851 | $2,602,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 106,361 | $2,584,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 46,037 | $2,490,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 75,934 | $2,482,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 41,029 | $2,365,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 102,882 | $2,359,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 291,979 | $2,353,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 49,933 | $2,308,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 53,151 | $2,190,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 24,544 | $1,958,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 20,321 | $1,947,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 84,911 | $1,924,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 90,648 | $1,897,000 | thousands by filing date | |
| ISHARES TR | 46432FAD9 | 2016 INVTGR BD | 18,963 | $1,883,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 36,806 | $1,879,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 38,772 | $1,876,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 91,169 | $1,876,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 181,244 | $1,874,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 90,836 | $1,866,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 61,946 | $1,693,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 91,894 | $1,651,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 32,961 | $1,617,000 | thousands by filing date | |
| TECHNE CORP | 878377100 | COM | 16,870 | $1,597,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 49,383 | $1,549,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 24,192 | $1,524,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 33,995 | $1,518,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 215,559 | $1,518,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 75,467 | $1,516,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 34,132 | $1,499,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 71,097 | $1,454,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 128,645 | $1,445,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 86,966 | $1,376,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 31,646 | $1,373,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 80,571 | $1,355,000 | thousands by filing date | |
| HITTITE MICROWAVE CORP | 43365Y104 | COM | 21,891 | $1,351,000 | thousands by filing date | |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 58,270 | $1,346,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 60,334 | $1,345,000 | thousands by filing date | |
| HAEMONETICS CORP MASS COM | 405024100 | Stock | 31,787 | $1,339,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 85,456 | $1,334,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 40,900 | $1,312,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 58,648 | $1,283,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 44,564 | $1,277,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 24,193 | $1,274,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 15,770 | $1,231,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 50,392 | $1,159,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 124,014 | $1,147,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 18,163 | $1,130,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 5,979 | $1,104,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 8,246 | $1,104,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 19,237 | $1,058,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 41,249 | $1,044,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 18,717 | $1,029,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 11,167 | $903,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 5 | $889,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 11,358 | $882,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 5,691 | $847,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 7,401 | $731,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 12,804 | $686,000 | thousands by filing date | |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 12,887 | $686,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 6,554 | $680,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 4,902 | $664,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 12,669 | $599,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 17,056 | $562,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 17,758 | $561,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 6,410 | $548,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 13,486 | $530,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 7,166 | $511,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 7,166 | $499,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 9,349 | $484,000 | thousands by filing date | |
| Manatuck Hill Mariner Offshore | 562996983 | COM | 3,182 | $482,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 4,804 | $478,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 38,034 | $464,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 2,451 | $451,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 7,513 | $444,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 8,992 | $425,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 1,948 | $422,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 10,198 | $421,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 11,131 | $420,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 10,066 | $417,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 3,351 | $414,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 6,744 | $413,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 4,787 | $404,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 5,865 | $400,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 4,620 | $383,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 15,715 | $379,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 14,756 | $373,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 179,480 | $373,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 7,606 | $369,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 13,618 | $369,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 3,507 | $368,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 5,629 | $365,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 8,878 | $362,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 17,868 | $361,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 3,327 | $359,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 3,913 | $358,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 3,089 | $348,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,054 | $345,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 5,537 | $343,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 4,047 | $336,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 7,086 | $326,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 19,841 | $317,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 17,880 | $315,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 12,126 | $314,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 11,155 | $313,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 7,364 | $307,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 35,444 | $306,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 53,167 | $303,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 20,000 | $300,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 54,314 | $285,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 10,043 | $285,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 22,724 | $276,000 | thousands by filing date | |
| Vanguard Equity Income Adml | 921921300 | ETF | 4,379 | $273,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 20,000 | $262,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 6,311 | $260,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 4,279 | $250,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 3,308 | $235,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 14,936 | $234,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 3,081 | $211,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 11,000 | $131,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001442055-14-000002 | this filing | 2014-02-04 | acceptance time not in the bulk data set |