13F-HR/A filed by UNITED CAPITAL FINANCIAL ADVISORS, LLC
UNITED CAPITAL FINANCIAL ADVISORS, LLC filed this 13F-HR/A for the quarter ended 2013-12-31, filed 2014-02-20, with 636 holding rows worth $2,938,140,000.
- Accession
- 0001463217-14-000005
- Filer
- CIK 1463217
- Filed
- 2014-02-20
- 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, amendment of type restatement, 638 entries on the cover page, a total value of $2,938,140,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,938,140,000 with VALUE read as thousands by filing date, 13F file number 028-13508. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAdvisors Asset Management, Inc.028-12578
- reports for this filerADVISORY RESEARCH INC028-05637
- reports for this filerAmerican Assets Investment Management, LLC028-12131
- reports for this filerBlackRock Investment Management, LLC028-12016
- reports for this filerClearbridge Investments, LLC028-11611
- reports for this filerCS MCKEE LP028-01203
- reports for this filerDana Investment Advisors, Inc.028-13023
- reports for this filerFRED ALGER MANAGEMENT INC028-00869
- reports for this filerGranite Investment Partners, LLC028-14862
- reports for this filerJANUS CAPITAL MANAGEMENT LLC028-01343
- reports for this filerKEELEY ASSET MANAGEMENT CORP028-06810
- reports for this filerLAZARD ASSET MANAGEMENT LLC028-10469
- reports for this filerLOOMIS SAYLES & CO L P028-00398
- reports for this filerMILLER HOWARD INVESTMENTS INC /NY028-03692
- reports for this filerNEUBERGER BERMAN LLC028-00454
- reports for this filerAEW CAPITAL MANAGEMENT INC028-06536
- reports for this filerNorthCoast Asset Management LLC028-13466
- reports for this filerNuveen Asset Management, LLC028-14498
- reports for this filerPAYDEN & RYGEL028-14013
- reports for this filerBoston Partners028-12484
- reports for this filerSOUTHERNSUN ASSET MANAGEMENT, LLC028-03489
- reports for this filerSTERLING CAPITAL MANAGEMENT LLC 028-06451
- reports for this filerTHORNBURG INVESTMENT MANAGEMENT INC028-06605
- reports for this filerWESTERN ASSET MANAGEMENT CO028-10245
- reports for this filerCOHEN & STEERS CAPITAL MANAGEMENT INC028-02405
- reports for this filerEAGLE ASSET MANAGEMENT INC028-01666
- reports for this filerFAYEZ SAROFIM & CO028-10991
- reports for this filerLORD, ABBETT & CO. LLC028-00413
- reports for this filerMONTAG & CALDWELL, LLC028-00288
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC028-04558
- reports for this filerSCHAFER CULLEN CAPITAL MANAGEMENT INC028-04691
- reports for this filerLONDON CO OF VIRGINIA028-10665
- reports for this filerWHV Investment Management, Inc.028-01204
- reports for this filerWinslow Capital Management, LLC028-03676
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 |
|---|---|---|---|---|---|---|
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,333 | $350,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 11,293 | $348,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 6,726 | $347,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 14,237 | $346,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 6,250 | $344,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 2,141 | $336,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 5,500 | $334,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 3,585 | $334,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 4,496 | $332,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AN3 | NOTE | 1,000 | $331,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 8,265 | $330,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 26,315 | $330,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 4,960 | $328,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 27,375 | $325,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 606 | $323,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 12,170 | $323,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 2,000 | $323,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 4,720 | $322,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 7,600 | $321,000 | thousands by filing date | |
| INTL GAME TECH 3.250 | 459902AQ5 | NOTE 3.250% 5/0 | 3,000 | $318,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 3,418 | $317,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 3,000 | $315,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 7,802 | $314,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 9,375 | $313,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 23,095 | $312,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 5,447 | $312,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 7,854 | $310,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,707 | $309,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 3,000 | $307,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 114,000 | $306,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 49,319 | $305,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 24,700 | $305,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 9,066 | $305,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 10,000 | $303,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 6,737 | $301,000 | thousands by filing date | |
| PRECISION CASTPARTS CORP | 740189105 | COM | 1,100 | $296,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 21,820 | $293,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 5,286 | $282,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 12,375 | $280,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 3,317 | $279,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 2,808 | $277,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 19,944 | $277,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 6,788 | $272,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 3,500 | $270,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 2,765 | $269,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 6,541 | $268,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 5,775 | $266,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 1,372 | $266,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 22,000 | $266,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 2,376 | $264,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 5,990 | $264,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 7,900 | $263,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 1,429 | $262,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 5,000 | $262,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,635 | $261,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 3,375 | $260,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 1,741 | $260,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 7,750 | $260,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 3,482 | $259,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 14,551 | $257,000 | thousands by filing date | |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 1,000 | $257,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 2,661 | $255,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 1,330 | $254,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 15,327 | $253,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 132,236 | $253,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 5,920 | $247,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 4,997 | $247,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 10,951 | $245,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 6,272 | $241,000 | thousands by filing date | |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 2,000 | $241,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 36,092 | $241,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,055 | $240,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 4,372 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,750 | $237,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 3,107 | $233,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 4,325 | $231,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 3,578 | $229,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 8,407 | $225,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 3,500 | $225,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 2,483 | $223,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 54,850 | $223,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 1,526 | $222,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 19,036 | $222,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 25,885 | $219,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 2,000 | $218,000 | thousands by filing date | |
| CLARCOR INC | 179895107 | COM | 3,334 | $215,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 2,850 | $214,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 4,000 | $211,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 14,002 | $210,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 137,152 | $210,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 4,820 | $209,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 14,600 | $208,000 | thousands by filing date | |
| DENTSPLY INTL INC | 249030107 | COM | 4,295 | $208,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 5,141 | $207,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 2,000 | $206,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 2,000 | $206,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 3,174 | $205,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 2,600 | $204,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 11,018 | $204,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 3,221 | $203,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 10,000 | $202,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 2,721 | $201,000 | thousands by filing date | |
| CONTINENTAL AIRLS INC | 210795PU8 | NOTE 4.500% 1/1 | 1,000 | $201,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 11,120 | $198,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 13,140 | $191,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 35,858 | $191,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 33,088 | $191,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 13,912 | $191,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H104 | COM | 21,568 | $190,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 14,102 | $182,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 14,500 | $182,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 12,267 | $178,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 14,087 | $171,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 18,638 | $167,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 11,000 | $164,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 10,172 | $153,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 20,162 | $144,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 27,500 | $140,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 14,957 | $139,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 16,900 | $139,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 17,040 | $132,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 10,947 | $128,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 10,705 | $128,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 20,000 | $123,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 13,044 | $122,000 | thousands by filing date | |
| PMC COMMERCIAL TRUST | 693434102 | SH B | 13,900 | $120,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 11,832 | $117,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 11,008 | $117,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 49,949 | $100,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 14,250 | $99,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 10,690 | $97,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 12,054 | $69,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 11,377 | $60,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 27,993 | $55,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 13,437 | $52,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 14,613 | $31,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001463217-14-000003 | superseded | 2014-02-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001463217-14-000005 | this filing | 2014-02-20 | acceptance time not in the bulk data set |