13F-HR filed by UNITED CAPITAL FINANCIAL ADVISORS, LLC
UNITED CAPITAL FINANCIAL ADVISORS, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 1,153 holding rows worth $15,324,167,000.
- Accession
- 0001463217-20-000005
- Filer
- CIK 1463217
- Filed
- 2020-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 1,153 entries on the cover page, a total value of $15,324,167,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $15,324,167,000 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 |
|---|---|---|---|---|---|---|
| ETSY INC | 29786A106 | COM | 2,099 | $255,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 759 | $254,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 8,474 | $254,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 1,767 | $253,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 2,879 | $253,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 2,338 | $253,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 5,695 | $253,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 2,581 | $252,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 11,515 | $251,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 3,935 | $250,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 6,537 | $250,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 2,803 | $250,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 2,445 | $249,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 4,710 | $249,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 3,666 | $248,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 3,581 | $247,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 4,017 | $246,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 4,840 | $245,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 10,258 | $245,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 108,964 | $245,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 16,544 | $243,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 5,172 | $240,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 5,400 | $239,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 3,313 | $238,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 1,310 | $237,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,194 | $236,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 8,960 | $235,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 11,013 | $235,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 4,981 | $235,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 80,927 | $234,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 20,000 | $234,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 6,539 | $233,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 2,349 | $233,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 4,500 | $231,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 18,638 | $229,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 21,184 | $229,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 6,586 | $229,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 13,557 | $229,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 6,231 | $227,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 10,127 | $225,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 20,005 | $224,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 10,519 | $223,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 8,629 | $223,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 936 | $221,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,198 | $220,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 20,207 | $220,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,192 | $219,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 15,358 | $218,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 37,528 | $218,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 419 | $217,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 2,533 | $217,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 2,627 | $217,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,356 | $217,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 6,517 | $216,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 1,106 | $216,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 4,110 | $215,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 4,209 | $214,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCT FCLASS A | 11275Q107 | FOREIGN CANADIAN | 3,869 | $214,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 730 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 4,790 | $212,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 14,792 | $212,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,364 | $211,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 5,739 | $210,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 6,837 | $210,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 5,000 | $210,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 3,980 | $209,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 2,726 | $208,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 4,228 | $207,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 3,403 | $206,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,486 | $204,000 | thousands by filing date | |
| IAA INC | 449253103 | COM | 3,916 | $204,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 1,780 | $203,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 13,266 | $201,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 5,907 | $201,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 4,897 | $201,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 15,971 | $199,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 75,000 | $198,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 13,997 | $197,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 22,842 | $194,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 14,000 | $194,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 51,766 | $189,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 14,125 | $187,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 46,109 | $184,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 13,000 | $182,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 13,382 | $180,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 11,453 | $179,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 11,352 | $171,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 12,845 | $169,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 11,995 | $166,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 26,812 | $158,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 10,000 | $158,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS INC | 02875D109 | COM | 11,897 | $155,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 14,870 | $155,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 23,085 | $145,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 84,605 | $144,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 14,867 | $141,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 24,332 | $133,000 | thousands by filing date | |
| HISTOGEN INC | 43358Y103 | COM | 80,747 | $132,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 15,267 | $127,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 12,565 | $126,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 10,000 | $126,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,135 | $122,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 10,000 | $122,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,291 | $121,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 12,056 | $117,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 19,293 | $117,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 12,479 | $113,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 13,526 | $112,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 20,000 | $112,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 16,778 | $108,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 13,426 | $107,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 100,000 | $106,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 11,715 | $105,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 13,923 | $102,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 11,776 | $101,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 26,811 | $99,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 12,609 | $91,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 14,950 | $85,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 492,390 | $79,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 220,000 | $79,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 10,000 | $78,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 13,500 | $78,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 13,232 | $70,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 14,000 | $66,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 16,331 | $65,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 36,785 | $64,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 12,601 | $59,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,602 | $57,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 12,857 | $56,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 55,000 | $53,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 16,246 | $52,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 50,150 | $52,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 31,000 | $45,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 16,689 | $43,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 37,000 | $40,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 13,152 | $39,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 36,300 | $38,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 18,000 | $38,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 23,000 | $37,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 25,782 | $28,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 19,000 | $25,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 10,159 | $24,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 25,000 | $21,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 20,000 | $19,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 10,500 | $18,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 15,000 | $15,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 12,250 | $12,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 10,000 | $12,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 16,095 | $10,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 26,000 | $7,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 10,000 | $5,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 11,500 | $4,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 39,900 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001463217-20-000005 | this filing | 2020-11-13 | acceptance time not in the bulk data set |