13F-HR filed by Arete Wealth Advisors, LLC
Arete Wealth Advisors, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-09, with 381 holding rows worth $663,691,000.
- Accession
- 0001600151-20-000006
- Filer
- CIK 1600151
- Filed
- 2020-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 382 entries on the cover page, a total value of $663,691,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $663,691,000 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 |
|---|---|---|---|---|---|---|
| Vanguard S&P 500 ETF | 922908363 | COM | 132,263 | $40,591,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 114,306 | $25,896,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 164,174 | $21,122,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R643 | ENHANCD SHORT | 166,897 | $16,826,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 147,420 | $16,669,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 130,598 | $14,842,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 52,643 | $14,519,000 | thousands by filing date | |
| VTI | 922908769 | COM | 74,982 | $12,790,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 66,541 | $11,880,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 52,727 | $10,873,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 30,716 | $10,279,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 111,324 | $10,188,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 3,191 | $9,973,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 80,713 | $8,524,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 80,818 | $8,467,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 205,229 | $8,382,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 82,025 | $7,862,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 148,983 | $7,803,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 35,292 | $7,455,000 | thousands by filing date | |
| FIRST TR HIGH YIELD OPPRT 20 | 33741Q107 | COM | 323,072 | $6,655,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 148,630 | $6,424,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 39,498 | $6,194,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 65,715 | $5,682,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 144,419 | $5,664,000 | thousands by filing date | |
| MGC | 921910873 | COM | 44,124 | $5,264,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 25,075 | $5,051,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 69,989 | $4,824,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 15 | $4,762,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 16,171 | $4,476,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 53,495 | $4,429,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 172,272 | $4,326,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 74,306 | $4,302,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 26,060 | $4,249,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 357,783 | $4,222,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 87,477 | $4,067,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 50,186 | $4,066,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 150,220 | $3,877,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 32,608 | $3,771,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 13,307 | $3,717,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 31,780 | $3,680,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 24,956 | $3,650,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 85,380 | $3,522,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,396 | $3,488,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 37,170 | $3,426,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 62,343 | $3,383,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 67,344 | $3,352,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 29,464 | $3,261,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 26,608 | $3,130,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 221,495 | $3,074,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L810 | WESTN ASET TTL | 106,458 | $3,019,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 180,886 | $2,975,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 36,301 | $2,939,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 24,915 | $2,938,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 23,128 | $2,835,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 5,838 | $2,797,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 14,222 | $2,679,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 48,194 | $2,666,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 24,730 | $2,639,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 11,667 | $2,595,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 25,817 | $2,585,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 10,222 | $2,487,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 68,309 | $2,487,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 48,112 | $2,455,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 9,336 | $2,427,000 | thousands by filing date | |
| IJH | 464287507 | COM | 12,567 | $2,382,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 94,663 | $2,293,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 16,506 | $2,281,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 8,715 | $2,270,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 5,428 | $2,264,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 35,088 | $2,259,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188408 | LOW DURTIN ETF | 43,830 | $2,238,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 22,430 | $2,196,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 87,018 | $2,191,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 30,362 | $2,184,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 130,961 | $2,177,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 9,734 | $2,167,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 67,925 | $2,089,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 11,711 | $2,086,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 45,562 | $2,058,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 34,425 | $2,041,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 51,270 | $2,039,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 381,169 | $2,016,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 227,919 | $1,997,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 71,092 | $1,994,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 18,673 | $1,904,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 10,405 | $1,884,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 102,806 | $1,880,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 23,534 | $1,873,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 5,816 | $1,814,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 54,102 | $1,798,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 36,365 | $1,795,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 5,237 | $1,774,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 11,033 | $1,772,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 23,953 | $1,703,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 4,780 | $1,697,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,157 | $1,688,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 5,687 | $1,672,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 11,553 | $1,624,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 7,623 | $1,620,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 9,699 | $1,615,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 110,083 | $1,585,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 4,762 | $1,537,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 5,332 | $1,499,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 19,392 | $1,499,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 3,438 | $1,496,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 28,674 | $1,483,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 10,945 | $1,472,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 11,629 | $1,466,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 13,155 | $1,464,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 10,405 | $1,436,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 27,676 | $1,416,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 26,269 | $1,403,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 47,377 | $1,390,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 9,702 | $1,369,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 8,107 | $1,367,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 41,298 | $1,366,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 15,747 | $1,361,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 36,488 | $1,341,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 9,151 | $1,334,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 5,418 | $1,330,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 45,687 | $1,310,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 11,305 | $1,305,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 16,283 | $1,299,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 2,469 | $1,290,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 20,460 | $1,270,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 109,935 | $1,254,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 17,525 | $1,234,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 14,210 | $1,231,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 35,617 | $1,189,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 6,967 | $1,172,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 26,462 | $1,158,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 14,145 | $1,156,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 13,284 | $1,156,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 52,848 | $1,149,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 7,282 | $1,136,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 2,975 | $1,132,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 3,877 | $1,120,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C649 | US EQTY ULTRA B | 43,160 | $1,120,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 5,750 | $1,103,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 18,912 | $1,094,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 9,897 | $1,089,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 107,831 | $1,084,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 9,421 | $1,079,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 6,457 | $1,070,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 8,778 | $1,059,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 29,528 | $1,049,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 16,487 | $1,045,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 4,626 | $1,034,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 26,879 | $1,029,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 7,242 | $1,013,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 55,606 | $1,008,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 18,936 | $1,005,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 19,632 | $992,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 67,050 | $965,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 4,314 | $930,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 4,600 | $928,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 12,894 | $919,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 15,957 | $907,000 | thousands by filing date | |
| PGIM ETF TR | 69344A107 | PGIM ULTRA SH BD | 18,135 | $904,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 29,843 | $904,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 130,566 | $904,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,564 | $892,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 59,796 | $884,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,523 | $873,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 95,289 | $838,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 6,582 | $834,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 58,210 | $828,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 9,417 | $824,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 28,315 | $820,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 6,106 | $815,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 4,132 | $811,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 6,464 | $810,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 58,901 | $810,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 5,141 | $786,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 17,751 | $778,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 14,573 | $769,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 6,333 | $752,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,493 | $751,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 13,925 | $748,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 5,336 | $740,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 7,263 | $738,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 6,480 | $716,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 19,273 | $704,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 11,755 | $691,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 106,153 | $678,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 29,154 | $678,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 872 | $601,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 1,302 | $597,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 2,729 | $593,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 7,939 | $591,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 8,048 | $584,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 6,345 | $580,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 3,493 | $576,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 557 | $573,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 9,450 | $561,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 9,226 | $559,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 1,814 | $559,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 10,943 | $554,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 34,332 | $552,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 16,687 | $542,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,723 | $541,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 8,343 | $535,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 39,225 | $529,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 3,940 | $527,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 10,484 | $523,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 11,279 | $521,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 23,452 | $520,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C672 | US EQT ULTRA BF | 19,218 | $519,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 19,952 | $510,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 3,561 | $510,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 3,663 | $508,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 3,023 | $507,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 22,635 | $501,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 13,597 | $495,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 7,526 | $480,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 4,234 | $480,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 2,065 | $479,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 8,236 | $475,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 7,030 | $467,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 4,447 | $463,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,969 | $459,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 1,404 | $459,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 3,168 | $449,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 14,947 | $445,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 8,048 | $441,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 2,628 | $436,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 2,080 | $435,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 7,918 | $433,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 10,183 | $432,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 10,957 | $427,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 20,267 | $421,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 2,567 | $420,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 10,747 | $419,000 | thousands by filing date | |
| CARLYLE GROUP INC COM | 14316J108 | Stock | 16,549 | $419,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 6,208 | $418,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 9,359 | $416,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 10,262 | $415,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 6,994 | $413,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 25,753 | $413,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 27,787 | $413,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 26,413 | $413,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 13,595 | $412,000 | thousands by filing date | |
| PROSHARES TR | 74348A145 | PET CARE ETF | 6,897 | $412,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 9,394 | $410,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 6,530 | $408,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 4,800 | $408,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 5,305 | $403,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 4,306 | $403,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 8,221 | $403,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 2,014 | $403,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 41,436 | $401,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 18,809 | $399,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 3,209 | $396,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 4,228 | $395,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 2,448 | $389,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 20,465 | $382,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 953 | $377,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 6,223 | $374,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 4,734 | $373,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q452 | ALERIAN MLP | 18,211 | $369,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 13,736 | $367,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 8,774 | $366,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 2,455 | $365,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,873 | $365,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 10,773 | $358,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 3,519 | $357,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 6,076 | $354,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 3,860 | $349,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 17,180 | $346,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 2,364 | $343,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 15,750 | $340,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 33,650 | $338,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 5,696 | $335,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 920 | $334,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 6,009 | $334,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 6,113 | $331,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 30,495 | $331,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 5,165 | $326,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 10,370 | $325,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 5,804 | $323,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 7,728 | $319,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 1,769 | $318,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 5,083 | $317,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 2,681 | $312,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 5,072 | $307,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 12,475 | $303,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 5,105 | $303,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,424 | $303,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,526 | $302,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 5,871 | $301,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 2,799 | $300,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 1,888 | $298,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 8,027 | $296,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 23,959 | $295,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,148 | $293,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 6,670 | $290,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 1,392 | $289,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 13,837 | $286,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 19,733 | $283,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 4,463 | $282,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 4,003 | $279,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 5,166 | $277,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 6,174 | $275,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 3,230 | $275,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 5,163 | $274,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 8,639 | $270,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 5,298 | $269,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 4,876 | $266,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 2,420 | $264,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,149 | $258,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 698 | $258,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 34,320 | $258,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 2,453 | $256,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 2,211 | $253,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 7,889 | $250,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 3,167 | $249,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 5,461 | $249,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 5,002 | $249,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 1,134 | $248,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 4,443 | $243,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 4,079 | $243,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 15,923 | $241,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 1,544 | $241,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 8,593 | $240,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 5,663 | $239,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 8,582 | $237,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 2,216 | $237,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 1,390 | $234,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 4,892 | $232,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 1,283 | $232,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 3,710 | $231,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,244 | $229,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 6,127 | $229,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 9,517 | $228,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 1,769 | $227,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 3,820 | $227,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 7,380 | $226,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 5,816 | $225,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,381 | $223,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 959 | $220,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 3,485 | $220,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 3,697 | $219,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 1,169 | $219,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 22,979 | $218,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,043 | $217,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 6,070 | $213,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 636 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,047 | $210,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 5,946 | $209,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 5,101 | $209,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 1,226 | $209,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 2,862 | $208,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 9,674 | $208,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 2,464 | $207,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L886 | COM | 14,132 | $206,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 3,907 | $205,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,380 | $203,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 5,483 | $202,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 1,805 | $202,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 9,343 | $202,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 22,231 | $185,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 16,800 | $176,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 13,165 | $174,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 11,725 | $165,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 16,000 | $165,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 19,250 | $162,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 18,000 | $159,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 12,972 | $157,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 14,210 | $152,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 21,323 | $147,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 22,964 | $141,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 33,000 | $100,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 11,294 | $93,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 25,505 | $92,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 13,753 | $90,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 13,972 | $77,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 132,500 | $38,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 30,000 | $23,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 10,080 | $21,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 12,500 | $17,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001600151-20-000006 | this filing | 2020-11-09 | acceptance time not in the bulk data set |