13F-HR/A filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR/A for the quarter ended 2013-12-31, filed 2014-02-13, with 945 holding rows worth $1,247,954,000.
- Accession
- 0001512647-14-000002
- Filer
- CIK 1512647
- Filed
- 2014-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, amendment of type restatement, 945 entries on the cover page, a total value of $1,247,954,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,247,954,000 with VALUE read as thousands by filing date, 13F file number 028-14139. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| BARRICK GOLD CORP | 067901108 | COM | 27,557 | $490,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 6,151 | $490,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 11,877 | $489,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 14,836 | $489,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 11,264 | $489,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 9,338 | $488,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 12,279 | $488,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 6,171 | $488,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 38,330 | $486,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 4,573 | $486,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 24,097 | $486,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 8,627 | $484,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 7,445 | $484,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 19,524 | $484,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 53,600 | $482,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 17,715 | $479,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 10,169 | $478,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 6,237 | $478,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 12,366 | $477,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 28,005 | $474,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 6,262 | $473,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 6,026 | $473,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 16,970 | $467,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 6,797 | $465,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 5,538 | $462,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 3,935 | $461,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 57,546 | $459,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 7,179 | $458,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 26,416 | $455,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 7,878 | $454,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 45,615 | $454,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 7,934 | $449,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 19,000 | $449,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 10,213 | $446,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 19,223 | $445,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 4,409 | $445,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 6,225 | $441,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 13,716 | $439,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 30,475 | $439,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 6,845 | $432,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 5,216 | $431,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 3,875 | $431,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 6,127 | $429,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 3,322 | $429,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 9,356 | $429,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 16,874 | $426,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 9,178 | $423,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 7,493 | $422,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 14,972 | $422,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 13,463 | $421,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 5,213 | $420,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 37,000 | $420,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 29,880 | $418,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 15,144 | $416,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 25,365 | $416,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 8,187 | $414,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 9,294 | $412,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 5,174 | $411,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 14,476 | $410,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 15,208 | $407,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 8,159 | $407,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 8,845 | $404,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 9,894 | $404,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 6,454 | $402,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 10,017 | $401,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 17,021 | $398,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 20,168 | $398,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 7,296 | $397,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 4,671 | $396,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 39,678 | $396,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 16,715 | $396,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 13,221 | $395,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 4,354 | $392,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 8,015 | $391,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 9,772 | $391,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 2,305 | $387,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 5,839 | $387,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 19,501 | $386,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 15,891 | $386,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 8,348 | $385,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 60,777 | $385,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 9,855 | $381,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 14,187 | $381,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 14,327 | $380,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 4,299 | $379,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 11,875 | $379,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 20,050 | $377,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 22,500 | $376,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 15,285 | $376,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 5,999 | $375,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 11,372 | $375,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 3,676 | $374,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 4,535 | $372,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 34,907 | $372,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 8,643 | $371,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 17,354 | $370,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 4,444 | $368,000 | thousands by filing date | |
| RIVERBED TECHNOLOGY INC | 768573107 | COM | 20,200 | $366,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 4,748 | $364,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 31,734 | $364,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 6,058 | $362,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 6,510 | $362,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 6,272 | $362,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 7,615 | $361,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 6,365 | $361,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 43,300 | $359,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,931 | $357,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 4,545 | $353,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 4,553 | $352,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 3,677 | $352,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 3,634 | $351,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 5,506 | $350,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 27,083 | $350,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 5,553 | $350,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 16,867 | $349,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 35,661 | $348,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 13,562 | $348,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 3,215 | $346,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 7,249 | $346,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 7,950 | $345,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 9,945 | $345,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 21,508 | $343,000 | thousands by filing date | |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 26,855 | $343,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 25,175 | $342,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 43,917 | $341,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 5,732 | $340,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 11,635 | $340,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 4,875 | $340,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 4,038 | $339,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 3,136 | $337,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 36,494 | $334,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 39,467 | $334,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 6,200 | $334,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 3,189 | $333,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 16,980 | $332,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 10,473 | $330,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 8,786 | $330,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 16,703 | $327,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 5,782 | $326,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 49,315 | $326,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 14,372 | $325,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 4,118 | $324,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 6,486 | $323,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 4,201 | $322,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 18,080 | $321,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 11,628 | $318,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 10,981 | $317,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 4,641 | $317,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 91,910 | $316,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 17,312 | $316,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 9,232 | $314,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 2,379 | $314,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 14,257 | $308,000 | thousands by filing date | |
| SOVRAN SELF STORAGE INC | 84610H108 | COM | 4,631 | $306,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 1,681 | $305,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 6,964 | $305,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 15,666 | $305,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 3,598 | $304,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 45,290 | $303,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 1,560 | $303,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 25,190 | $303,000 | thousands by filing date | |
| MGC | 921910873 | COM | 4,646 | $302,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 11,450 | $300,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 26,738 | $300,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 11,663 | $300,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,987 | $299,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 30,641 | $299,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 6,564 | $298,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 2,829 | $297,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 3,979 | $296,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 6,052 | $295,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 21,842 | $295,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 5,905 | $295,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 13,600 | $291,000 | thousands by filing date | |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 10,187 | $291,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 32,587 | $289,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 18,445 | $288,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 1,763 | $287,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 4,303 | $287,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 5,894 | $287,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 31,759 | $286,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 2,992 | $285,000 | thousands by filing date | |
| MKT V. SHORT MUNI INDEX | 57060U803 | ETF | 15,925 | $284,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 3,219 | $282,000 | thousands by filing date | |
| DIREXION DLY LAT AMER BULL3X | 25459Y652 | CMN | 12,971 | $282,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 6,060 | $281,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 7,870 | $281,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 881 | $281,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 5,565 | $280,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 3,968 | $280,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 12,177 | $280,000 | thousands by filing date | |
| NIELSEN HOLDINGS N V | N63218106 | COM | 6,223 | $280,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 13,654 | $278,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 6,850 | $278,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 4,475 | $277,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 4,516 | $277,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 20,441 | $277,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 3,040 | $277,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 5,553 | $276,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 30,744 | $276,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 958 | $274,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 3,745 | $273,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 4,071 | $273,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 4,348 | $273,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 5,031 | $273,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 32,813 | $273,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 2,530 | $271,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 3,189 | $270,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 5,082 | $270,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 7,918 | $269,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 11,274 | $268,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 5,397 | $267,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,345 | $266,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 9,237 | $266,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 20,567 | $265,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 3,895 | $264,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 29,470 | $264,000 | thousands by filing date | |
| OUTERWALL INC | 690070107 | COM | 3,900 | $264,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 5,450 | $264,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 6,272 | $263,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 1,697 | $263,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 13,613 | $263,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 1,558 | $262,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 11,425 | $262,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 950 | $261,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 8,142 | $261,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 5,908 | $260,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,419 | $260,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 14,446 | $260,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 30,723 | $260,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 2,117 | $258,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 3,158 | $257,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 21,942 | $257,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 2,955 | $257,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 3,325 | $255,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 4,280 | $254,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 14,052 | $254,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 4,826 | $253,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 15,565 | $253,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 19,358 | $253,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 4,213 | $253,000 | thousands by filing date | |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 27,956 | $253,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 17,700 | $252,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 4,560 | $251,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 2,440 | $251,000 | thousands by filing date | |
| Crown Castle | 228227104 | COM | 3,355 | $251,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 682 | $250,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 20,600 | $248,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 14,314 | $247,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 4,400 | $247,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 3,770 | $246,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 25,913 | $246,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 11,433 | $243,000 | thousands by filing date | |
| VECTREN CORP | 92240G101 | COM | 6,663 | $242,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 17,125 | $240,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 4,307 | $239,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,223 | $239,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 7,863 | $237,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 19,789 | $236,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 9,625 | $235,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 3,991 | $235,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 4,641 | $235,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 10,075 | $234,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 18,497 | $234,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 9,818 | $233,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 7,294 | $231,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 19,133 | $231,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 21,872 | $231,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 601 | $230,000 | thousands by filing date | |
| CROWN CASTLE CNV PFD | 228227500 | PFDs, REITs, | 2,300 | $230,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 7,778 | $229,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 10,417 | $229,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 24,430 | $227,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 11,270 | $227,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 20,817 | $226,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 3,587 | $226,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 2,042 | $226,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 5,117 | $226,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 18,378 | $226,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 8,000 | $225,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 12,851 | $223,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 28,010 | $222,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 2,371 | $221,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 16,213 | $220,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 2,668 | $219,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 6,049 | $219,000 | thousands by filing date | |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 6,013 | $219,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 3,240 | $218,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 3,432 | $217,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 4,490 | $217,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 2,891 | $216,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 3,105 | $215,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 7,594 | $215,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 3,884 | $215,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 23,531 | $214,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 3,389 | $214,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 15,845 | $214,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 4,131 | $213,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 2,371 | $213,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 2,916 | $212,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,621 | $212,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 2,815 | $211,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 2,523 | $210,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 16,026 | $208,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 3,842 | $208,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 15,559 | $207,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 5,215 | $207,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 3,764 | $207,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 3,482 | $206,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 14,126 | $206,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 1,543 | $206,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 3,882 | $206,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 14,735 | $205,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 2,115 | $205,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 4,245 | $204,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 3,990 | $203,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B108 | SHS | 1,211 | $203,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 19,284 | $203,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 3,206 | $202,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 19,978 | $202,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 11,066 | $202,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 24,619 | $202,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 5,440 | $201,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 3,809 | $201,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 3,500 | $201,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 6,996 | $201,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 6,714 | $200,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 23,213 | $199,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 14,914 | $197,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 16,507 | $196,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 11,101 | $195,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 11,185 | $195,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 19,370 | $194,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 27,685 | $193,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 20,063 | $190,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 36,412 | $188,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 11,547 | $188,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 21,790 | $187,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 14,410 | $186,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 10,000 | $183,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 11,100 | $183,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 30,422 | $181,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 24,324 | $175,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 18,127 | $174,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 13,830 | $173,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 13,000 | $170,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 10,000 | $169,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 15,456 | $169,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,750 | $166,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 12,475 | $166,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 11,972 | $164,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 11,179 | $159,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 10,000 | $159,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 12,500 | $158,000 | thousands by filing date | |
| NUVEEN CA SELECT QUALITY MUN | 670975101 | COM | 11,550 | $158,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 10,000 | $157,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 14,549 | $155,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 16,123 | $153,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 12,721 | $151,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 10,450 | $147,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 11,274 | $147,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 11,018 | $141,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 11,081 | $141,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 16,550 | $140,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 15,832 | $140,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 27,829 | $138,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 41,000 | $138,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 10,575 | $137,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 47,938 | $137,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 15,917 | $135,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 35,031 | $134,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 75,375 | $134,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 10,000 | $127,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 11,138 | $127,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 20,966 | $125,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 13,781 | $123,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 10,000 | $121,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 53,500 | $120,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 25,129 | $118,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 18,043 | $117,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 12,427 | $113,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 13,801 | $113,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 12,974 | $112,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 12,000 | $112,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 10,500 | $111,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 10,680 | $111,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 21,267 | $110,000 | thousands by filing date | |
| ZIPREALTY INC | 98974V107 | COM | 19,000 | $110,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 13,526 | $109,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,380 | $109,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 12,113 | $108,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 18,216 | $105,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 10,404 | $104,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 18,000 | $104,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 17,262 | $103,000 | thousands by filing date | |
| CAMPUS CREST COMMUNITIES I | 13466Y105 | COM | 10,712 | $102,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 10,877 | $101,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 16,832 | $100,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 12,368 | $97,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 19,200 | $97,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 13,501 | $96,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 18,659 | $95,000 | thousands by filing date | |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 11,900 | $94,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 13,953 | $92,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 12,193 | $91,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 10,000 | $87,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 13,357 | $87,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 21,850 | $80,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 12,448 | $77,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 13,000 | $77,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 32,600 | $76,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 12,243 | $74,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,070 | $74,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 13,383 | $74,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 11,668 | $72,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 19,050 | $72,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 24,019 | $70,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 50,000 | $70,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 11,512 | $69,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 65,000 | $68,000 | thousands by filing date | principal |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 10,010 | $65,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 12,416 | $65,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 20,000 | $63,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 10,733 | $61,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 12,000 | $52,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 11,675 | $50,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 17,202 | $46,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 20,000 | $46,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 15,000 | $45,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 10,000 | $43,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 45,000 | $42,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 39,000 | $42,000 | thousands by filing date | principal |
| RARE ELEMENT RES LTD | 75381M102 | COM | 28,600 | $41,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 20,500 | $36,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 12,000 | $34,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 15,443 | $31,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 11,252 | $31,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 11,200 | $30,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 24,000 | $29,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 10,000 | $28,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 12,568 | $26,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 20,000 | $16,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 10,300 | $14,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 12,500 | $12,000 | thousands by filing date | |
| VELTI PLC ST HELIER | G93285107 | SHS | 54,890 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001512647-14-000001 | superseded | 2014-02-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001512647-14-000002 | this filing | 2014-02-13 | acceptance time not in the bulk data set |