13F-HR filed by UNITED CAPITAL FINANCIAL ADVISORS, LLC
UNITED CAPITAL FINANCIAL ADVISORS, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 1,367 holding rows worth $15,500,435,000.
- Accession
- 0001463217-20-000001
- Filer
- CIK 1463217
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 1,368 entries on the cover page, a total value of $15,500,435,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $15,500,435,000 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
- included managerGOLDMAN SACHS GROUP INC028-04981
- included managerIMD Holdings, LLC
- included managerUnited Capital Financial Partners, Inc028-13541
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 |
|---|---|---|---|---|---|---|
| PIMCO MUN INCOME FD II | 72200W106 | COM | 30,552 | $485,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 4,837 | $484,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 11,815 | $484,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 609 | $483,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 24,229 | $482,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 19,953 | $480,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 9,113 | $478,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 6,590 | $478,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 32,622 | $478,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 5,400 | $476,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 3,856 | $474,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 27,941 | $474,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 11,783 | $472,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 12,729 | $470,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 14,314 | $468,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 7,245 | $466,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 7,389 | $464,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 11,054 | $464,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 60,277 | $462,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 8,159 | $462,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 10,695 | $461,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 3,086 | $456,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 45,500 | $452,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 17,206 | $451,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 26,936 | $450,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 13,551 | $448,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,561 | $447,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 10,798 | $447,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 17,560 | $447,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 13,388 | $444,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 21,075 | $444,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 8,653 | $442,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 21,739 | $441,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 13,425 | $440,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 6,571 | $439,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 6,582 | $439,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 5,463 | $431,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 14,998 | $430,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 3,578 | $429,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 5,538 | $425,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 43,138 | $421,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 7,058 | $421,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 3,789 | $417,000 | thousands by filing date | |
| ASSURANT INC COM | 04621X108 | Stock | 3,173 | $416,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 14 | $411,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 3,237 | $410,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 5,371 | $409,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 3,161 | $407,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 40,405 | $405,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 52,000 | $404,000 | thousands by filing date | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 7,547 | $403,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 7,316 | $400,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 14,382 | $400,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 8,943 | $399,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 4,605 | $397,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 71,031 | $396,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 27,010 | $395,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 7,392 | $394,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 2,982 | $392,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 32,213 | $388,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 4,551 | $387,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 15,676 | $381,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,575 | $378,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 6,302 | $378,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 9,267 | $376,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 91,326 | $376,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 19,671 | $374,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 22,474 | $372,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 73,810 | $371,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 1,830 | $370,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 5,243 | $369,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 4,326 | $367,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 8,526 | $366,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 4,050 | $364,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 12,757 | $363,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 18,814 | $361,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 1,338 | $360,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 22,472 | $360,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 2,586 | $359,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 119,214 | $359,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 44,549 | $356,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 8,547 | $356,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 17,972 | $353,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 10,270 | $352,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 14,207 | $351,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 5,942 | $351,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 11,139 | $351,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 9,027 | $349,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 25,000 | $349,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 5,327 | $348,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 7,033 | $348,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 7,694 | $347,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 5,856 | $346,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 30,416 | $345,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 9,284 | $343,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 8,059 | $343,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 7,044 | $342,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 3,892 | $339,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 4,574 | $338,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 10,375 | $338,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 6,888 | $337,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 21,170 | $337,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 16,818 | $332,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 886 | $332,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 6,780 | $332,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,854 | $330,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 15 | $330,000 | thousands by filing date | put |
| SOCIETAL CDMO INC | 75629F109 | COM | 18,000 | $330,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 16,981 | $328,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 5,040 | $328,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 13,116 | $328,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 17,922 | $324,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 6,451 | $324,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 14,971 | $323,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 5,021 | $322,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 29,600 | $322,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 5,079 | $322,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 6,132 | $319,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 5,559 | $319,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 992 | $319,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 11,070 | $318,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 3,746 | $317,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 8,922 | $315,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 12,442 | $314,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 9,800 | $313,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 12,154 | $311,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 4,758 | $311,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 74,989 | $310,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 30,071 | $308,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 20,619 | $308,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 77,505 | $306,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 11,184 | $301,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 18,381 | $301,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 5,901 | $300,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 5,449 | $300,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 4,688 | $299,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 27,017 | $297,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 10 | $294,000 | thousands by filing date | call |
| iShares Global Tech ETF | 464287291 | SHS | 1,390 | $293,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 4,637 | $293,000 | thousands by filing date | |
| IDEX CORP COM | 45167R104 | Stock | 1,703 | $293,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 5,612 | $293,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 1,540 | $292,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 3,317 | $292,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 5,341 | $292,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 12,235 | $290,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 8,407 | $290,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 40 | $289,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 34 | $289,000 | thousands by filing date | put |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,952 | $288,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 19,364 | $288,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 4,666 | $287,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 6,789 | $287,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 11,265 | $287,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,315 | $285,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 3,023 | $284,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 1,194 | $284,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 9,780 | $284,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 20,968 | $284,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 5,074 | $283,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 20,000 | $282,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 2,815 | $281,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 7,458 | $280,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 3,115 | $280,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 9,054 | $279,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 26,690 | $279,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 10,675 | $279,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 7,174 | $278,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 5,495 | $278,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 6,453 | $277,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 2,551 | $276,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 5,120 | $276,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 2,603 | $276,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 5,101 | $275,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 6,492 | $274,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 5,400 | $274,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 5,691 | $273,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,773 | $273,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 4,855 | $271,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,070 | $271,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 7,297 | $271,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,494 | $270,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 21,325 | $269,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 3,463 | $268,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 20,528 | $267,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 4,427 | $267,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 1,769 | $264,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 9,170 | $264,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 1,763 | $263,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 5,596 | $263,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 12,588 | $263,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 2,665 | $261,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 4,033 | $261,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 41,514 | $260,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 20,146 | $258,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 6,438 | $258,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 5,231 | $257,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,829 | $257,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 4,013 | $256,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 916 | $256,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 26,878 | $256,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 67 | $255,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 9,012 | $255,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 7,801 | $255,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 6,098 | $254,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 6,660 | $254,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 19,278 | $253,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 6 | $251,000 | thousands by filing date | call |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 3,543 | $251,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,001 | $251,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 2,761 | $251,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 5,210 | $250,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 7,726 | $250,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 4,848 | $250,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 6,435 | $249,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 6,000 | $249,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 7,016 | $249,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 6,676 | $249,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 5,179 | $249,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 18,153 | $247,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 955 | $246,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 2,280 | $245,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 1,994 | $245,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 3,985 | $245,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 5,323 | $244,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 1,732 | $243,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,485 | $243,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 3,333 | $243,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 60 | $241,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 8,340 | $241,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 11,352 | $241,000 | thousands by filing date | |
| Schwab 5-10 Year Corporate Bond ETF | 808524698 | SHS | 4,800 | $240,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 10,705 | $238,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,127 | $238,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 1,911 | $238,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 8,837 | $238,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 3,300 | $235,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 7,204 | $235,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 1,820 | $235,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 5,925 | $234,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 6,545 | $233,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 2,638 | $231,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 9,016 | $231,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 5,782 | $230,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 10,007 | $227,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 1,233 | $227,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 3,284 | $226,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 4,861 | $225,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 72,948 | $225,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 11,723 | $225,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 7,479 | $224,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 4,465 | $223,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 1,749 | $220,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 2,791 | $218,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 1,812 | $218,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 5,053 | $217,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 5,623 | $217,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 3,122 | $215,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 3,082 | $214,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 9,440 | $214,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 14,146 | $213,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 3,739 | $213,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 9,041 | $211,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 8,088 | $211,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 5,886 | $210,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 4,865 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 3,213 | $210,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 9,555 | $209,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 4,950 | $209,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 4,110 | $208,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,874 | $208,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 5,786 | $207,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 5,420 | $207,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 4,308 | $206,000 | thousands by filing date | |
| IAA INC | 449253103 | COM | 4,361 | $205,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 2,141 | $204,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 5,376 | $203,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 3,980 | $203,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 15,115 | $203,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 11,270 | $203,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 5,295 | $202,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,329 | $202,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,197 | $201,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 3,126 | $200,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 14,000 | $198,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 14,963 | $198,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 11,814 | $197,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 11,983 | $196,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 27,035 | $188,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 11,416 | $186,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,135 | $185,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 10,000 | $184,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 24,332 | $183,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 13,382 | $182,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 13,000 | $182,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 30,004 | $181,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 18,083 | $181,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 10,717 | $177,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 10,144 | $176,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 14,505 | $176,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 19,163 | $175,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 75,000 | $174,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 15,959 | $173,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 100 | $170,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 11,177 | $167,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,291 | $165,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 12,845 | $165,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 12,850 | $162,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 10,740 | $158,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 29,208 | $151,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 11,850 | $149,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 13,260 | $149,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 10,000 | $148,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 11,000 | $146,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 53,138 | $143,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 10,000 | $142,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 12,823 | $141,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 20,450 | $125,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 25,727 | $122,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 11,396 | $118,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 25,782 | $116,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 11,632 | $114,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 23,000 | $107,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 36,785 | $105,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 17,667 | $104,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 20,515 | $96,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 18,710 | $94,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 14,589 | $94,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 10,000 | $92,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 19,831 | $84,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 16,246 | $84,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 19,534 | $79,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 10,240 | $70,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 12,879 | $63,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,760 | $62,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 12,601 | $58,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 22,500 | $57,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 22,469 | $49,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 101,000 | $48,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 120,870 | $48,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 57,591 | $47,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 591,608 | $47,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 12,780 | $43,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 10,000 | $40,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 37,000 | $40,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 25,000 | $36,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 10,000 | $35,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 20,501 | $30,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 20,510 | $28,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 47,698 | $28,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 10,159 | $25,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 22,577 | $25,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 15,566 | $25,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 14,270 | $24,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 24,000 | $23,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $21,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 10,700 | $16,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 10,000 | $16,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 15,000 | $15,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 15,000 | $15,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 10,755 | $13,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 10,000 | $12,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 10,000 | $10,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 39,900 | $9,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 10,250 | $8,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 10,957 | $7,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 61,344 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001463217-20-000001 | this filing | 2020-02-14 | acceptance time not in the bulk data set |