13F-HR filed by KMS FINANCIAL SERVICES, INC
KMS FINANCIAL SERVICES, INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-10-25, with 448 holding rows worth $410,742,000.
- Accession
- 0001580308-13-000033
- Filer
- CIK 1580308
- Filed
- 2013-10-25
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 636 entries on the cover page, a total value of $410,742,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $410,742,000 with VALUE read as thousands by filing date, 13F file number 028-15569. 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 |
|---|---|---|---|---|---|---|
| Vanguard Growth | 922908736 | COM | 315,323 | $26,679,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 174,990 | $14,153,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 196,361 | $13,669,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 86,426 | $9,810,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 14,644 | $6,981,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 73,588 | $6,379,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 188,060 | $6,258,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 77,494 | $6,228,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 253,163 | $6,048,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 46,975 | $5,520,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 40,206 | $4,885,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 51,096 | $4,396,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 49,024 | $3,773,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 29,427 | $3,772,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 35,560 | $3,549,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 103,153 | $3,489,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 54,039 | $3,448,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 81,320 | $3,264,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 37,331 | $3,117,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 36,791 | $3,108,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 40,577 | $3,067,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 18 | $3,067,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 77,310 | $3,060,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 64,094 | $2,992,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 51,413 | $2,956,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 16,744 | $2,828,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 81,535 | $2,800,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 82,548 | $2,794,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 121,290 | $2,780,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 37,963 | $2,649,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 14,658 | $2,463,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 23,753 | $2,408,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 53,809 | $2,400,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 34,698 | $2,295,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 195,512 | $2,264,000 | thousands by filing date | |
| VTI | 922908769 | COM | 25,769 | $2,259,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 31,900 | $2,217,000 | thousands by filing date | |
| 38259p508 | COM | 2,529 | $2,215,000 | thousands by filing date | ||
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 256,767 | $2,211,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 18,861 | $2,172,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 24,925 | $2,149,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 56,585 | $2,143,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 17,960 | $2,022,000 | thousands by filing date | |
| IJH | 464287507 | COM | 15,949 | $1,980,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 23,449 | $1,897,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 31,114 | $1,845,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 51,421 | $1,809,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 18,782 | $1,807,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 18,195 | $1,715,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 9,255 | $1,714,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 35,216 | $1,688,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 26,941 | $1,681,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 29,429 | $1,669,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 20,942 | $1,665,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 31,863 | $1,659,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 18,246 | $1,647,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 19,190 | $1,568,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 88,778 | $1,562,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 24,665 | $1,506,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 28,405 | $1,491,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 49,909 | $1,479,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 38,752 | $1,473,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 34,650 | $1,429,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 30,606 | $1,409,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 17,362 | $1,386,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 6,092 | $1,379,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 55,070 | $1,378,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 26,927 | $1,351,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 13,826 | $1,302,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 35,101 | $1,297,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 31,678 | $1,290,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 25,263 | $1,269,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 20,105 | $1,266,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 22,681 | $1,251,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 18,651 | $1,238,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 15,641 | $1,234,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 16,985 | $1,233,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 45,785 | $1,221,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 39,051 | $1,185,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 24,618 | $1,179,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 10,466 | $1,171,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 10,900 | $1,169,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 14,642 | $1,147,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 26,345 | $1,142,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 11,066 | $1,134,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 27,294 | $1,128,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 16,747 | $1,127,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908413 | S&P 500 ETF SH | 14,440 | $1,112,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 34,835 | $1,096,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 16,804 | $1,084,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 105,124 | $1,072,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 11,688 | $1,070,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 13,922 | $1,068,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 21,717 | $1,065,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 18,281 | $1,059,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 36,780 | $1,057,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 41,821 | $1,057,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 20,161 | $1,043,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 18,066 | $1,043,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 28,465 | $1,041,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 43,797 | $1,033,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 37,572 | $1,033,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 43,824 | $1,022,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 25,225 | $1,005,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 49,367 | $1,004,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 12,318 | $963,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 15,741 | $959,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 31,217 | $955,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 14,419 | $947,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 22,758 | $945,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 24,046 | $913,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 8,976 | $910,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 15,897 | $905,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 14,843 | $897,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 29,427 | $894,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 37,228 | $873,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 46,650 | $855,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 7,522 | $854,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 11,464 | $848,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 20,616 | $840,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 10,851 | $837,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 11,619 | $829,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 7,226 | $827,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 7,993 | $808,000 | thousands by filing date | |
| KODIAK OIL & GAS CORP | 50015Q100 | COM | 66,925 | $807,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 9,619 | $802,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 35,314 | $797,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 30,537 | $787,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 27,930 | $781,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 26,040 | $778,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 10,090 | $766,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 55,392 | $764,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 9,871 | $763,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 10,025 | $757,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 7,081 | $755,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 6,300 | $752,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 7,007 | $751,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 8,950 | $750,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 10,656 | $735,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 39,750 | $735,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 87,840 | $734,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 115,348 | $733,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 9,320 | $728,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 14,331 | $724,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 24,635 | $721,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 40,294 | $713,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 7,983 | $691,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 3,290 | $690,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 14,659 | $686,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 12,840 | $684,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 25,017 | $684,000 | thousands by filing date | |
| PRECISION CASTPARTS CORP | 740189105 | COM | 2,988 | $679,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 8,092 | $671,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 18,991 | $666,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 12,447 | $660,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 39,031 | $659,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 55,725 | $646,000 | thousands by filing date | |
| PAX WORLD FDS TR II | 70422P206 | MSCI ESG IDX | 22,700 | $640,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 12,251 | $629,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 5,868 | $621,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 15,097 | $613,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 101,117 | $613,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 16,778 | $613,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 16,321 | $610,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 80,906 | $603,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 21,130 | $599,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 9,141 | $596,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 6,509 | $595,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 32,886 | $594,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 7,883 | $593,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 17,331 | $593,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 27,433 | $572,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 9,125 | $569,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 11,819 | $567,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 3,523 | $566,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 7,753 | $565,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 11,242 | $564,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 3,580 | $556,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 63,280 | $555,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 16,410 | $552,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 4,356 | $548,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 53,617 | $547,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 4,181 | $547,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 42,389 | $546,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 24,800 | $544,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 8,374 | $542,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 3,870 | $538,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 11,554 | $535,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 48,099 | $530,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 10,362 | $524,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 16,102 | $524,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 4,948 | $521,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 2,714 | $519,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 64,855 | $518,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 6,702 | $515,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 24,600 | $515,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 7,182 | $514,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 20,032 | $512,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 18,284 | $499,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 5,832 | $497,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 11,969 | $493,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 85,517 | $491,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 23,413 | $489,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 26,150 | $489,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 10,704 | $483,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 15,744 | $480,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 3,984 | $479,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 9,576 | $478,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 9,541 | $476,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 8,208 | $474,000 | thousands by filing date | |
| OCI RES LP | 67081B106 | COM UNIT LTD | 25,745 | $472,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 10,680 | $459,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 35,295 | $459,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 18,500 | $458,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 8,783 | $454,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 8,696 | $452,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 4,915 | $451,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,309 | $446,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 8,013 | $446,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 4,905 | $433,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 8,819 | $429,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 5,368 | $427,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 6,787 | $427,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 8,190 | $425,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 4,531 | $424,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 17,466 | $423,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 7,473 | $422,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 15,060 | $421,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 9,954 | $421,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 8,823 | $420,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 6,662 | $419,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 4,506 | $417,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 15,164 | $416,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 15,915 | $413,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 36,995 | $412,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,302 | $407,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 5,980 | $407,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 3,764 | $406,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 3,389 | $404,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 3,178 | $404,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 8,805 | $403,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 27,480 | $402,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 3,862 | $396,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 34,161 | $395,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 16,219 | $385,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 81,500 | $384,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 16,634 | $383,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 5,808 | $381,000 | thousands by filing date | |
| INTEGRYS ENERGY GROUP INC | 45822P105 | COM | 6,815 | $381,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 16,551 | $378,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 11,410 | $377,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 11,319 | $376,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 8,343 | $376,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 4,062 | $373,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 5,598 | $368,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 14,802 | $367,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 14,028 | $363,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 14,742 | $362,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 6,158 | $360,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 5,701 | $359,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 5,609 | $358,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 10,581 | $357,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 3,348 | $355,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 4,099 | $351,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 6,191 | $345,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 40,343 | $343,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 5,102 | $339,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 8,276 | $339,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 20,389 | $330,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 11,656 | $324,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 10,312 | $324,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 5,143 | $322,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 43,400 | $322,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 2,645 | $321,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 16,050 | $320,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 18,508 | $320,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 5,860 | $319,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 5,678 | $317,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 21,481 | $316,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 8,085 | $316,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,926 | $315,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 5,970 | $314,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 11,182 | $314,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 12,902 | $308,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 1,791 | $303,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 17,554 | $303,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 15,885 | $303,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 2,720 | $302,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 5,337 | $300,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 4,568 | $299,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 2,833 | $298,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 3,520 | $298,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 14,130 | $297,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 9,667 | $294,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 4,811 | $293,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 25,183 | $287,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 10,012 | $287,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 29,364 | $286,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 20,620 | $285,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 19,492 | $284,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 4,168 | $284,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 5,363 | $282,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 11,437 | $282,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 6,654 | $280,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 2,838 | $278,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 24,750 | $278,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,796 | $277,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 4,370 | $276,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 6,100 | $276,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 3,228 | $275,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 2,497 | $275,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 6,090 | $275,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 15,538 | $273,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 4,665 | $273,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 4,076 | $272,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 6,844 | $272,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 119,500 | $272,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 21,525 | $270,000 | thousands by filing date | |
| SIRIUS XM RADIO INC | 82967N108 | COM | 69,100 | $268,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 3,863 | $266,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 8,503 | $265,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 32,696 | $265,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 4,666 | $263,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 7,387 | $263,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 23,325 | $261,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 2,792 | $261,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 7,813 | $259,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 10,071 | $259,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 6,690 | $258,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,386 | $258,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 6,000 | $256,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 6,220 | $255,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 61,036 | $255,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 3,115 | $254,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 1,969 | $254,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 3,526 | $253,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 3,459 | $250,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 3,275 | $250,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,385 | $250,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 7,530 | $249,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 33,450 | $249,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 11,160 | $249,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 2,621 | $246,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 8,589 | $246,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 3,106 | $244,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 9,780 | $244,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 5,174 | $243,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 29,730 | $242,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 21,267 | $242,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 4,781 | $241,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 9,771 | $241,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 10,732 | $241,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,881 | $240,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 3,796 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 2,221 | $238,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 23,000 | $238,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 9,873 | $236,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 3,177 | $233,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 4,705 | $232,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 8,554 | $231,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 6,216 | $229,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 2,975 | $229,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 5,099 | $228,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 10,250 | $228,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 3,748 | $227,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,154 | $226,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 2,256 | $224,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 4,378 | $224,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 2,273 | $224,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 11,162 | $224,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 7,114 | $222,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 76,130 | $222,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 6,357 | $220,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 7,542 | $219,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 899 | $216,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 4,463 | $216,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 2,408 | $215,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 4,266 | $214,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,366 | $214,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 3,502 | $213,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 16,600 | $213,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 2,754 | $212,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 17,700 | $212,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 25,966 | $210,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,830 | $209,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 4,299 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 1,941 | $208,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 6,768 | $208,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,336 | $207,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 4,450 | $205,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 2,565 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 5,635 | $204,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 11,790 | $204,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 12,321 | $203,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 4,140 | $203,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 8,525 | $202,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 9,685 | $200,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 4,470 | $200,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 18,061 | $188,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 11,568 | $181,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 14,231 | $181,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 14,746 | $176,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 39,934 | $172,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 10,870 | $166,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 24,795 | $163,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 19,507 | $156,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 25,250 | $153,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 13,293 | $151,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 12,100 | $151,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 14,300 | $149,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 41,100 | $145,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 12,127 | $143,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 14,963 | $140,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 15,398 | $138,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 13,050 | $138,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 14,009 | $135,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 24,500 | $132,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 17,895 | $130,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 26,950 | $128,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,766 | $122,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 10,100 | $121,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 10,745 | $116,000 | thousands by filing date | |
| BLACKROCK SR HIGH INCOME FD | 09255T109 | COM | 26,533 | $105,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 10,733 | $104,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 10,268 | $103,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 15,088 | $100,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 85,852 | $93,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 32,926 | $87,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 35,500 | $87,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 14,000 | $83,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 10,400 | $82,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 20,000 | $79,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 10,915 | $77,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 13,750 | $75,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 35,500 | $73,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 18,943 | $72,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 25,000 | $72,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 11,093 | $69,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 12,679 | $67,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 10,853 | $58,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 17,743 | $56,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 20,490 | $56,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 13,015 | $50,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,000 | $47,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 13,950 | $42,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 10,635 | $29,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 13,000 | $12,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 12,560 | $11,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580308-13-000033 | this filing | 2013-10-25 | acceptance time not in the bulk data set |