13F-HR filed by UNITED CAPITAL FINANCIAL ADVISORS, LLC
UNITED CAPITAL FINANCIAL ADVISORS, LLC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-15, with 1,182 holding rows worth $12,104,053,000 by the sum of the rows.
- Accession
- 0001463217-20-000002
- Filer
- CIK 1463217
- Filed
- 2020-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
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 $12,104,053,000 with VALUE read as thousands by filing date, 13F file number 028-13508. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The cover page states a total of $15,500,435,000, 28% more than the sum of the rows, $12,104,053,000. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 1,568 | $266,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 15,203 | $262,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 10,458 | $262,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 2,779 | $261,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 2,007 | $260,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 20,633 | $259,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 11,265 | $258,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,559 | $256,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 4,647 | $256,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 21,325 | $256,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 5,040 | $255,000 | thousands by filing date | |
| PROASSURANCE CORP | 74267C106 | COM | 10,170 | $254,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 2,586 | $252,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 10,707 | $251,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 7,183 | $250,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 1,824 | $249,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 84,605 | $248,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 13,962 | $247,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 6,520 | $246,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 888 | $245,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 30,416 | $243,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 7,297 | $242,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 163,105 | $241,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 10,903 | $241,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,613 | $240,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 56,429 | $240,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 6,510 | $239,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 28,603 | $239,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 4,290 | $235,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,620 | $233,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 2,541 | $233,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 20,956 | $231,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 5,215 | $231,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 2,945 | $230,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 1,554 | $226,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 9,800 | $226,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 2,197 | $225,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 15,582 | $225,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 43,472 | $225,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 5,400 | $223,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 7,724 | $222,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 1,250 | $221,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 4,500 | $221,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 2,502 | $221,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 73,810 | $221,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 27,814 | $220,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 2,878 | $219,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 8,176 | $219,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 20,000 | $219,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 8,726 | $218,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 34,693 | $217,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 18,002 | $216,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 6,173 | $211,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 6,262 | $211,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 4,110 | $211,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 18,000 | $211,000 | thousands by filing date | |
| ASSURANT INC COM | 04621X108 | Stock | 2,021 | $210,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 6,837 | $210,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,654 | $208,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 27,518 | $208,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 4,574 | $207,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 20,968 | $207,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 4,462 | $207,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 5,113 | $205,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 2,052 | $204,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 4,235 | $204,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 7,543 | $203,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 18,150 | $203,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 1,382 | $202,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,380 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 10,675 | $202,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 4,740 | $201,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 16,752 | $200,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 31,808 | $197,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 55,000 | $192,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 84,000 | $191,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 16,112 | $190,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 15,971 | $188,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 15,253 | $186,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 25,380 | $186,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 14,000 | $185,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 12,230 | $182,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 220,000 | $179,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 12,249 | $176,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 13,000 | $173,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 14,079 | $171,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 12,101 | $170,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 10,112 | $170,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 10,000 | $168,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 20,146 | $164,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 12,517 | $162,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 16,625 | $161,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 12,845 | $160,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 11,283 | $159,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 75,446 | $158,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 11,070 | $157,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 12,588 | $157,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 11,352 | $156,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 30,004 | $150,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 12,823 | $150,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 13,260 | $150,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 20,000 | $148,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 10,816 | $144,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 13,952 | $137,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 18,083 | $135,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 10,101 | $133,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 13,382 | $131,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 10,512 | $127,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 26,987 | $127,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 10,342 | $126,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 17,480 | $121,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 24,332 | $119,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 10,000 | $119,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 10,000 | $119,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 13,116 | $118,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 10,025 | $118,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 10,929 | $116,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,291 | $115,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 12,445 | $115,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 20,000 | $114,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 11,850 | $113,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 26,448 | $111,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 12,126 | $107,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 29,814 | $98,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 10,500 | $98,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 13,667 | $93,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 24,710 | $92,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 75,000 | $92,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 17,506 | $88,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 20,184 | $88,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 11,396 | $85,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,135 | $82,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 10,003 | $81,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 52,225 | $79,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 61,661 | $78,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 50,000 | $78,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 10,200 | $78,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 13,247 | $77,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 16,930 | $70,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 18,331 | $62,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 14,963 | $60,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 16,246 | $59,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 20,929 | $58,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 26,454 | $58,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 25,782 | $55,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 12,232 | $55,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,602 | $54,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 50,350 | $54,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 13,914 | $47,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 10,000 | $44,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 14,750 | $41,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 23,000 | $39,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 37,000 | $39,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 13,500 | $37,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 120,870 | $37,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 26,101 | $35,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 31,000 | $30,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 11,483 | $29,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 12,601 | $29,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 100,000 | $27,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 12,520 | $26,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 25,000 | $25,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 20,510 | $24,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 10,346 | $24,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 24,000 | $23,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 49,301 | $20,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 15,566 | $18,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 10,000 | $17,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 17,112 | $16,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $16,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 16,300 | $15,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 15,000 | $14,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 18,177 | $14,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 57,581 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 10,000 | $10,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 12,250 | $10,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 10,000 | $10,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 10,000 | $6,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 39,900 | $6,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 11,700 | $3,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 17,000 | $1,000 | thousands by filing date | Value about 1/1,000 of the price other filers imply, kept as filed and left out of ratios. |
| EXICURE INC | 30205M101 | COM | 36,785 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001463217-20-000002 | this filing | 2020-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001463217-20-000003 | base | 2020-08-11 | acceptance time not in the bulk data set |