13F-HR filed by B. Riley Wealth Advisors, Inc.
B. Riley Wealth Advisors, Inc. filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-08, with 716 holding rows worth $840,146,000.
- Accession
- 0001580642-18-005355
- Filer
- CIK 1464811
- Filed
- 2018-11-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 1,227 entries on the cover page, a total value of $840,146,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $840,146,000 with VALUE read as thousands by filing date, 13F file number 028-13634. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerVanguard
- included managerCongress Asset Management Company
- included managerForward Uniplan Advisors
- included managerBrandes
- included managerMiller/Howard
- included managerManulife
- included managerNavellier & Associates Inc.
- included managerLoomis
- included managerZacks Investment Mgt
- included managerPMC Sigma Mutual Fund Solutions
- included managerInvesco A.I.
- included managerCambiar
- included managerAnchor Capital
- included managerAtlanta Capital
- included managerICM
- included managerGranite Invstmt Ptnr
- included managerSparrow
- included managerLazard
- included managerAthenaInvest Advisor
- included managerACR
- included managerRisk Paradigm Group
- included managerAstor
- included managerDana Investment
- included managerChartwell
- included managerClark Capital Mgmt
- included managerCohen & Steers
- included managerCLS Investments
- included managerSymmetry Partners
- included managerPMC ETF Solutions
- included managerS&P
- included managerHahn Capital Management
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 |
|---|---|---|---|---|---|---|
| SNAP INC | 83304A106 | CL A | 34,915 | $297,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 180,000 | $296,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 2,697 | $294,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 5,084 | $294,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 22,986 | $294,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 1,802 | $292,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 22,700 | $292,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 3,059 | $291,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 3,310 | $291,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 8,400 | $291,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 3,178 | $290,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 5,453 | $289,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,742 | $286,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 5,249 | $285,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 7,150 | $283,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 6,646 | $282,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 13,132 | $281,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 5,061 | $281,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 3,389 | $280,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 3,792 | $280,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 9,060 | $278,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 4,625 | $278,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 1,601 | $277,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 3,662 | $277,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 1,657 | $274,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 31,641 | $274,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 5,235 | $273,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 7,685 | $272,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 30,907 | $272,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N782 | CMN | 5,232 | $271,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 15,133 | $270,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 5,069 | $270,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 5,760 | $270,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 25,000 | $270,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 10,300 | $268,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 11,424 | $268,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 43,489 | $268,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 5,032 | $267,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 3,382 | $267,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 11,412 | $266,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 24,169 | $266,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 2,173 | $265,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 2,372 | $263,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 2,393 | $263,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 6,077 | $262,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 18,282 | $262,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 5,187 | $260,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 2,782 | $259,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 6,539 | $259,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 3,342 | $259,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 1,772 | $258,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 4,230 | $258,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 9,238 | $258,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 24,819 | $254,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 2,795 | $253,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 9,425 | $253,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 34,806 | $253,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 8,656 | $252,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 12,144 | $252,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 22,633 | $251,000 | thousands by filing date | |
| SUN CMNTYS INC COM | 866674104 | REIT | 2,444 | $250,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 2,321 | $250,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 6,772 | $250,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 16,718 | $249,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,639 | $248,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 100 | $248,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 1,676 | $248,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,495 | $247,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 4,761 | $247,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 10,582 | $247,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 10,591 | $247,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 9,750 | $245,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 4,148 | $244,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 4,258 | $243,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 1,436 | $242,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 5,549 | $242,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 5,431 | $240,000 | thousands by filing date | |
| EVERFORTH INC COM | 00191U102 | Stock | 3,024 | $240,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 7,145 | $240,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 5,225 | $237,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 1,856 | $237,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 18,875 | $237,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 2,464 | $237,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 15,789 | $237,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,327 | $236,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 34,063 | $236,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 1,997 | $236,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 24,186 | $235,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 13,863 | $234,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 4,041 | $233,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 10,816 | $233,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 4,912 | $232,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 2,560 | $232,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 18,265 | $232,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 2,188 | $231,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 11,398 | $231,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 24,345 | $231,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 2,060 | $231,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 2,721 | $231,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 2,618 | $228,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 3,428 | $228,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 766 | $228,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,492 | $228,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 2,346 | $228,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 1,134 | $227,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 1,629 | $227,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 8,093 | $226,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,471 | $224,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 3,013 | $224,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 11,500 | $224,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 2,587 | $224,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 9,950 | $223,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 7,838 | $223,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 3,189 | $222,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 47,100 | $222,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 1,678 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 3,858 | $219,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 6,709 | $218,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 35,317 | $218,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 14,334 | $216,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,043 | $216,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 5,664 | $215,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J106 | BULSHS2018 COR | 10,147 | $215,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 13,913 | $214,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 12,753 | $214,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 2,059 | $213,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 1,754 | $212,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 2,624 | $211,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 3,804 | $211,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 45,000 | $211,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 87,735 | $211,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 6,936 | $210,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 7,550 | $210,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 2,318 | $209,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,277 | $208,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 2,596 | $208,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 12,400 | $208,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 1,178 | $207,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 4,389 | $206,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 3,343 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 3,540 | $206,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 1,132 | $206,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 72,800 | $205,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,461 | $204,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 1,925 | $203,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 4,010 | $203,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 4,521 | $201,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 5,236 | $201,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 16,532 | $198,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 26,638 | $196,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 13,940 | $193,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 12,801 | $191,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 10,367 | $189,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 10,956 | $189,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 116,430 | $187,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 16,201 | $186,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 14,069 | $183,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 63,250 | $179,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 11,402 | $172,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 17,144 | $171,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 25,849 | $166,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 13,799 | $164,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 16,815 | $162,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 14,815 | $154,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 20,428 | $153,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 14,264 | $149,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 12,934 | $143,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 11,678 | $142,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 13,336 | $139,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 11,260 | $138,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 10,250 | $134,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 11,646 | $134,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 25,301 | $132,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 10,597 | $129,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 14,903 | $124,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 12,640 | $124,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 10,500 | $121,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 24,800 | $119,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 12,000 | $117,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 23,625 | $116,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 16,861 | $114,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 24,780 | $114,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 10,149 | $111,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 12,081 | $109,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 13,007 | $106,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 14,960 | $105,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 19,147 | $105,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 15,800 | $104,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,877 | $100,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 20,461 | $100,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 41,500 | $99,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 16,724 | $96,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 10,401 | $93,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 23,210 | $82,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 77,000 | $77,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 12,287 | $73,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 27,986 | $70,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 43,102 | $69,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 20,573 | $67,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 15,651 | $65,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 10,341 | $59,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 15,500 | $59,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 22,290 | $56,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 11,129 | $55,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 12,700 | $51,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 13,000 | $50,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 10,172 | $39,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 20,453 | $36,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 12,726 | $32,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 11,400 | $27,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 15,044 | $26,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 14,870 | $22,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 17,885 | $20,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 10,650 | $11,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 17,573 | $9,000 | thousands by filing date | |
| CLEARSIGN COMBUSTION CORP | 185064110 | *W EXP 01/25/201 | 18,200 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-18-005355 | this filing | 2018-11-08 | acceptance time not in the bulk data set |