13F-HR filed by Arete Wealth Advisors, LLC
Arete Wealth Advisors, LLC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-12, with 137 holding rows worth $165,085,000.
- Accession
- 0001600151-16-000007
- Filer
- CIK 1600151
- Filed
- 2016-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 138 entries on the cover page, a total value of $165,085,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $165,085,000 with VALUE read as thousands by filing date, 13F file number 028-15999. 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 |
|---|---|---|---|---|---|---|
| KEMPHARM INC COM NEW | 488445107 | Stock | 987,111 | $19,604,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 911,681 | $15,344,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 1,014,830 | $9,123,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 117,624 | $7,289,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 61,665 | $6,491,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 194,660 | $4,625,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 5,649 | $4,395,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 135,599 | $4,029,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 113,054 | $3,765,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 47,175 | $3,658,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 258,110 | $3,637,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 17,231 | $3,513,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 169,138 | $3,400,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 45,692 | $3,235,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 176,571 | $3,048,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 185,591 | $2,951,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 15,074 | $2,717,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 229,587 | $2,333,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 15,758 | $2,081,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 10,705 | $2,055,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 331,670 | $1,930,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 110,538 | $1,919,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 150,175 | $1,739,000 | thousands by filing date | |
| GLOBAL NET LEASE INC | 379378102 | COM | 202,706 | $1,612,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 193,853 | $1,564,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 10,660 | $1,467,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 15,608 | $1,459,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 15,582 | $1,428,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 165,037 | $1,401,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 35,290 | $1,361,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 167,556 | $1,237,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 9,927 | $1,196,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 43,377 | $1,151,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 13,024 | $1,058,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 8,489 | $983,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 78,340 | $901,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 4 | $791,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 6,869 | $742,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 36,975 | $733,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 29,346 | $715,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 46,213 | $708,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 13,996 | $707,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 6,935 | $688,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 15,670 | $655,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 103,975 | $649,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 16,395 | $637,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 3,409 | $637,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 150,377 | $633,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 58,145 | $619,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 22,479 | $610,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 3,625 | $583,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 33,446 | $569,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 45,292 | $568,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 6,921 | $551,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 5,015 | $550,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 8,919 | $528,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 6,298 | $523,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 33,610 | $496,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 31,975 | $491,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 25,005 | $477,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 703 | $475,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 4,181 | $463,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 4,256 | $437,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 6,573 | $434,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 16,396 | $431,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 5,334 | $424,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 8,934 | $401,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 9,078 | $394,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 28,720 | $394,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 5,858 | $391,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 3,475 | $389,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 28,568 | $386,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 52,486 | $383,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 26,244 | $379,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 36,862 | $378,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 27,054 | $375,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 10,860 | $374,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,290 | $372,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 3,107 | $372,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 3,793 | $370,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,178 | $358,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 45,072 | $357,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 56,824 | $351,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 7,019 | $350,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 7,477 | $350,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 439 | $333,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 7,149 | $330,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 4,052 | $316,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 7,328 | $314,000 | thousands by filing date | |
| IJH | 464287507 | COM | 2,245 | $313,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,911 | $312,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 3,795 | $303,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 5,620 | $298,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 2,820 | $296,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 38,650 | $291,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 12,369 | $290,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 6,544 | $288,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 5,051 | $280,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 5,131 | $279,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 8,150 | $271,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 6,443 | $270,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 5,379 | $268,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 3,479 | $267,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 10,885 | $263,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 17,863 | $263,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 35,442 | $255,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 2,443 | $251,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 26,751 | $251,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 2,220 | $243,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 22,555 | $226,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 2,029 | $225,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 4,994 | $225,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,196 | $219,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 5,110 | $218,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 3,270 | $218,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,855 | $212,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,028 | $208,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 2,726 | $208,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 6,446 | $208,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 12,950 | $207,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 11,050 | $183,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 17,081 | $177,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 13,623 | $161,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 20,900 | $146,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 12,043 | $123,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 10,061 | $106,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 18,800 | $99,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 18,297 | $91,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 15,000 | $90,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 12,050 | $82,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 22,000 | $73,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 12,013 | $69,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 11,157 | $62,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 13,595 | $43,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 29,992 | $9,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 31,000 | $3,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 10,394 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001600151-16-000007 | this filing | 2016-02-12 | acceptance time not in the bulk data set |