13F-HR filed by Mariner, LLC
Mariner, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 812 holding rows worth $2,069,913,000.
- Accession
- 0001580642-16-012063
- Filer
- CIK 1373442
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 3,117 entries on the cover page, a total value of $2,069,913,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,069,913,000 with VALUE read as thousands by filing date, 13F file number 028-13550. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerVantage Investment Advisors, LLC028-15831
- reports for this filerRiverPoint Capital Management, LLC028-15092
- included managerMARINER WEALTH ADVISORS-OKLAHOMA, LLC028-16242
- included managerMariner Wealth Advisors-Madison, LLC028-10221
- included managerMariner Wealth Advisors - Leawood, LLC028-16909
- included managerMariner Wealth Advisors-NYC, LLC028-16888
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 |
|---|---|---|---|---|---|---|
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 6,861 | $261,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 6,200 | $259,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 24,624 | $259,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 1,500 | $258,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 2,352 | $256,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,835 | $254,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 9,180 | $252,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 21,923 | $250,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 3,891 | $247,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 240,000 | $245,000 | thousands by filing date | principal |
| SYNCHRONYFINL | 87165B103 | STOK | 8,746 | $244,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,332 | $244,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 5,574 | $244,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 7,069 | $242,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,073 | $239,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 4,668 | $235,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 5,002 | $232,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 2,926 | $232,000 | thousands by filing date | |
| Becton Dickinson | 75887109 | COM | 1,279 | $231,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 4,819 | $231,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 14,298 | $230,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,988 | $228,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,113 | $228,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 5,365 | $227,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 2,725 | $227,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 2,683 | $226,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 3,322 | $226,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,213 | $225,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 3,627 | $224,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 1,073 | $222,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 9,138 | $221,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,072 | $220,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,689 | $220,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 22,527 | $220,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 4,309 | $219,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 167 | $219,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 6,484 | $216,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 2,291 | $215,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 4,414 | $214,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 5,180 | $214,000 | thousands by filing date | |
| BANK OF NEW YORK MELLON CORP | 64058100 | COM | 5,257 | $210,000 | thousands by filing date | The CUSIP as filed is malformed. |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 170,000 | $209,000 | thousands by filing date | principal |
| ALLSTATE CORP | 20002101 | OPTION | 3,013 | $209,000 | thousands by filing date | The CUSIP as filed is malformed. |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 1,727 | $208,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 3,389 | $207,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,239 | $207,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,712 | $207,000 | thousands by filing date | |
| Andersons Inc/The | 34164103 | CS | 5,696 | $206,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ECOLAB INC COM | 278865100 | Stock | 1,680 | $204,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 13,529 | $204,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 4,709 | $203,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 52,127 | $202,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 3,807 | $201,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 25,986 | $201,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 8,000 | $199,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 39,946 | $198,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 5,035 | $197,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 17,875 | $196,000 | thousands by filing date | |
| Barclays PLC | G08036124 | COM | 22,570 | $196,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 14,500 | $193,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 12,131 | $193,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 5,023 | $191,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 1,742 | $186,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE | 37636107 | COM | 10,747 | $182,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 17,093 | $181,000 | thousands by filing date | |
| COLUMBIA PIPELINE PARTNERS L | 198281107 | COM UT REPSTG | 10,956 | $177,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,246 | $171,000 | thousands by filing date | |
| ANNALY MORTGAGE MANAGEMENT | 35710409 | COM | 16,101 | $169,000 | thousands by filing date | The CUSIP as filed is malformed. |
| KKR & CO LP | 48248M102 | COMMON STOCK | 11,553 | $164,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 50,000 | $163,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 3,245 | $160,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 6,251 | $160,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 7,519 | $160,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 6,039 | $157,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 14,603 | $155,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 3,962 | $154,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 4,508 | $152,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 3,973 | $152,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 13,872 | $151,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 1,347 | $151,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 1,759 | $150,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 10,369 | $148,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 14,182 | $147,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 5,914 | $146,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 4,593 | $138,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 3,593 | $137,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 29,770 | $135,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 1,637 | $133,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,008 | $133,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 2,799 | $132,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 11,343 | $132,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 12,998 | $130,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 4,103 | $128,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 18,108 | $128,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 5,000 | $126,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 13,295 | $126,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 1,423 | $125,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 5,406 | $117,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 1,432 | $116,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 2,604 | $115,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 10,421 | $111,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 10,000 | $106,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 901 | $99,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 16,329 | $97,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 3,745 | $96,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 1,430 | $95,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 1,046 | $94,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 20,000 | $93,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 36,073 | $90,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 3,976 | $90,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 2,599 | $89,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 21,233 | $89,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 2,000 | $84,000 | thousands by filing date | |
| TCP International Holdings Ltd | H84689100 | COMMON | 65,000 | $84,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 1,072 | $83,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 4,747 | $81,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 2,525 | $81,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 47,400 | $79,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 519 | $78,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 11,750 | $77,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 812 | $76,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 38,752 | $73,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 655 | $72,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 1,590 | $71,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 625 | $70,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 767 | $69,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 2,670 | $68,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 1,522 | $67,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 2,455 | $65,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 2,120 | $62,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 2,570 | $60,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 600 | $60,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 472 | $59,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,882 | $59,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 776 | $58,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 2,247 | $57,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 2,627 | $56,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 1,700 | $56,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 922 | $55,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 2,284 | $54,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 1,157 | $54,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 2,675 | $54,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 1,052 | $52,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 1,546 | $52,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 1,150 | $52,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 1,050 | $51,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 6,219 | $50,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 926 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 2,353 | $50,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 15,050 | $50,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 771 | $47,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 1,652 | $47,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 469 | $43,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 900 | $41,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 354 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 1,644 | $40,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 608 | $40,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 2,395 | $39,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 3,250 | $39,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 1,165 | $38,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 661 | $37,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 345 | $37,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 9,737 | $37,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 336 | $36,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 12,700 | $36,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 367 | $35,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 300 | $35,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 335 | $35,000 | thousands by filing date | |
| ABRAXAS PETE CORP NEVADA | 3830106 | EQUITY | 20,300 | $34,000 | thousands by filing date | The CUSIP as filed is malformed. |
| TRANSENTERIX INC | 89366M201 | COM NEW | 20,000 | $34,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 744 | $32,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 676 | $30,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 710 | $30,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 195 | $30,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 297 | $29,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 1,155 | $28,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 182 | $27,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 1,200 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 1,303 | $25,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 200 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 175 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 297 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 574 | $24,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 20,000 | $24,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 222 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 241 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 305 | $22,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 1,150 | $22,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 20,000 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 127 | $20,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 20,000 | $20,000 | thousands by filing date | principal |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 20,000 | $20,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 53,000 | $19,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 20,000 | $19,000 | thousands by filing date | principal |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 20,000 | $19,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 380 | $18,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 1,170 | $18,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 128 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 374 | $17,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 20,000 | $17,000 | thousands by filing date | principal |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 285 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 379 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 671 | $16,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 14,444 | $16,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 310 | $15,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 100 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 380 | $15,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 600 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 326 | $15,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 1,033 | $15,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 15,000 | $15,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYSTEMS GROUP INC | 01167PAE1 | CV SR SUB NT | 15,000 | $15,000 | thousands by filing date | principal |
| ISHARES TR | 46432F834 | COM | 278 | $14,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 112 | $14,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 210 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 590 | $14,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 296 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 462 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 343 | $14,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 233 | $14,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 564 | $14,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 125 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 491 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 877 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 450 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 110 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 311 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 190 | $11,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 446 | $11,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 10,000 | $11,000 | thousands by filing date | principal |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 123 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 350 | $10,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 15,000 | $10,000 | thousands by filing date | principal |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 251 | $10,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 248 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 128 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 270 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 187 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 260 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 240 | $9,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 303 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 61 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 220 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 147 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 56 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 250 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 120 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 46 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 170 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 164 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 188 | $7,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 172 | $7,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 130 | $6,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 56 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 93 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 96 | $6,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 1,010 | $6,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 282 | $6,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 47 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 188 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 88 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 200 | $5,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 3,200 | $4,000 | thousands by filing date | put |
| SPDW | 78463X889 | COM | 149 | $4,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 50 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 52 | $4,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 108 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 100 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 100 | $4,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 130 | $4,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 170 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 110 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 160 | $4,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 95 | $3,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 2,500 | $3,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 15 | $3,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 65 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 31 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 91 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 71 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 210 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 179 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 125 | $3,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 35 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 45 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 26 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 76 | $2,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 54 | $2,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 39 | $2,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 88 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 123 | $2,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 58 | $2,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 34,200 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 50 | $2,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 17 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 5 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 83 | $1,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 37 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 82 | $1,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 48 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 62 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 50 | $1,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 24 | $1,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 65 | $1,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 3,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| International Business Machines Corporation | 459200101 | COM | 1,300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,434 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Viacom Inc Cl A | 92553P102 | CL A | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-16-012063 | this filing | 2016-11-14 | acceptance time not in the bulk data set |