13F-HR filed by Arete Wealth Advisors, LLC
Arete Wealth Advisors, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 153 holding rows worth $174,537,000.
- Accession
- 0001600151-16-000010
- Filer
- CIK 1600151
- 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 holdings report, 153 entries on the cover page, a total value of $174,537,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $174,537,000 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 |
|---|---|---|---|---|---|---|
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 455,565 | $9,658,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 605,036 | $9,469,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 941,174 | $8,913,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 74,883 | $7,242,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 110,321 | $6,546,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 482,621 | $6,124,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 180,428 | $5,702,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 122,539 | $5,216,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 168,819 | $4,111,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 34,856 | $3,940,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 19,161 | $3,807,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 834,602 | $3,747,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 123,280 | $3,332,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 169,185 | $3,221,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 151,838 | $3,035,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 11,825 | $2,558,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 17,352 | $2,507,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 266,289 | $2,359,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 20,947 | $2,355,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 22,698 | $2,258,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 125,308 | $2,220,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 343,225 | $2,035,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 387,195 | $2,006,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 147,667 | $1,973,000 | thousands by filing date | |
| GLOBAL NET LEASE INC | 379378102 | COM | 224,524 | $1,832,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 176,356 | $1,691,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 110,154 | $1,606,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 15,444 | $1,531,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 51,453 | $1,421,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 15,174 | $1,362,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T324 | VEL SH 3X LG NAT | 33,605 | $1,237,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 23,634 | $1,228,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 30,475 | $1,204,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 9,968 | $1,198,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 5 | $1,081,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 169,825 | $1,060,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 8,295 | $1,046,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 8,268 | $1,026,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 33,206 | $1,017,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 37,276 | $970,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 219,314 | $950,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 7,375 | $920,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 17,912 | $915,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 10,374 | $905,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 11,153 | $901,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 17,716 | $889,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 9,986 | $875,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 7,451 | $868,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 18,895 | $858,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 15,521 | $841,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 19,531 | $827,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 13,237 | $826,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 6,145 | $817,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 143,523 | $804,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 25,237 | $801,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 5,021 | $798,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 29,165 | $785,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 49,126 | $773,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 51,833 | $764,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 51,985 | $759,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 49,891 | $756,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 6,384 | $736,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 17,715 | $735,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 6,076 | $721,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 8,291 | $693,000 | thousands by filing date | |
| IJH | 464287507 | COM | 4,472 | $692,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 31,366 | $676,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 42,029 | $638,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 49,079 | $635,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 68,578 | $627,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 13,100 | $626,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 7,393 | $621,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 35,799 | $601,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 44,661 | $596,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 49,489 | $590,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 701 | $587,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 26,442 | $582,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 12,525 | $569,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 9,183 | $543,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 32,580 | $530,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 12,691 | $515,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 41,614 | $510,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 16,987 | $503,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 47,264 | $490,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 26,725 | $485,000 | thousands by filing date | |
| VTI | 922908769 | COM | 4,114 | $458,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,662 | $444,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 11,629 | $435,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 25,981 | $415,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 3,524 | $390,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 11,515 | $390,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 3,802 | $383,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 491 | $382,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 8,632 | $382,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 50,121 | $377,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 9,405 | $354,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 7,111 | $354,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 6,000 | $346,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 29,800 | $344,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,149 | $343,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 3,404 | $339,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 6,613 | $334,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 31,402 | $330,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 3,977 | $329,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 3,106 | $325,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,812 | $313,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 5,815 | $297,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 35,442 | $293,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 4,622 | $292,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 5,463 | $281,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 36,420 | $278,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 6,535 | $276,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 7,465 | $274,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,491 | $271,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 2,909 | $270,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 7,014 | $267,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 72,787 | $266,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 2,146 | $262,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 3,004 | $256,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 3,798 | $254,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,223 | $253,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 11,421 | $247,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 2,812 | $244,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 18,182 | $242,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 4,424 | $240,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 5,049 | $238,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,335 | $235,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 280 | $225,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 5,122 | $220,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 9,462 | $220,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,742 | $219,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 1,847 | $218,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 2,215 | $218,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 11,450 | $215,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 9,264 | $207,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 17,094 | $206,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,527 | $203,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 727 | $201,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 11,842 | $183,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 13,710 | $174,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 20,850 | $169,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 14,510 | $168,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 10,552 | $166,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 10,317 | $152,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 11,581 | $151,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 21,050 | $149,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 18,800 | $139,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 11,874 | $130,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 18,885 | $111,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 13,874 | $93,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 18,401 | $51,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 12,141 | $43,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 13,595 | $26,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001600151-16-000010 | this filing | 2016-11-14 | acceptance time not in the bulk data set |