13F-HR filed by Klingman & Associates, LLC
Klingman & Associates, LLC filed this 13F-HR for the quarter ended 2015-09-30, filed 2016-02-09, with 437 holding rows worth $255,015,000.
- Accession
- 0001606587-16-000425
- Filer
- CIK 1662449
- Filed
- 2016-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 437 entries on the cover page, a total value of $255,015,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $255,015,000 with VALUE read as thousands by filing date, 13F file number 028-17124. 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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 166,393 | $31,885,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 124,760 | $24,042,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 258,809 | $18,675,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 185,276 | $15,361,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 490,546 | $14,907,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 619,559 | $12,719,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 46,919 | $11,677,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 306,760 | $8,629,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 86,037 | $6,499,000 | thousands by filing date | |
| IJH | 464287507 | COM | 41,794 | $5,709,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 304,808 | $5,279,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 135,917 | $4,887,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 42,528 | $4,707,000 | thousands by filing date | |
| Revenueshares Etf Trust | 761396100 | LARGECAP FD | 122,429 | $4,614,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 39,322 | $4,190,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 48,095 | $3,498,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 63,042 | $2,687,000 | thousands by filing date | |
| ENDURANCE SPECIALTY HLDGS LT | G30397106 | SHS | 40,426 | $2,467,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 61,661 | $2,441,000 | thousands by filing date | |
| VTI | 922908769 | COM | 24,000 | $2,369,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 20,445 | $2,232,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 29,945 | $2,083,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 32,265 | $2,013,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 31,135 | $1,784,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 46,095 | $1,779,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 140,362 | $1,765,000 | thousands by filing date | principal |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 109,917 | $1,665,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 26,470 | $1,462,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 22,428 | $1,367,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,948 | $1,260,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 37,399 | $1,237,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 94,170 | $1,218,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 30,451 | $1,019,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 11,774 | $868,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 59,871 | $865,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 61,024 | $827,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 30,850 | $804,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 17,664 | $791,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 19,486 | $777,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 29,601 | $746,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 15,005 | $725,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 6,489 | $700,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 6,879 | $693,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 17,587 | $691,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 14,177 | $677,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 61,848 | $672,000 | thousands by filing date | principal |
| Berkshire Hathaway Inc | 084670702 | COM | 5,139 | $670,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 6,047 | $667,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 6,771 | $632,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 46,782 | $623,000 | thousands by filing date | principal |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 12,105 | $614,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 7,010 | $594,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 11,400 | $593,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 5,523 | $591,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 6,250 | $566,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 18,016 | $565,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,100 | $563,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 18,750 | $562,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 130,822 | $546,000 | thousands by filing date | principal |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 5,849 | $543,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 4,294 | $528,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 7,920 | $496,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 6,652 | $489,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 48,095 | $457,000 | thousands by filing date | principal |
| Honeywell Technologies | 438516106 | COM | 4,262 | $403,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 8,174 | $403,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,898 | $398,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 2,501 | $389,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 65,047 | $384,000 | thousands by filing date | principal |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 3,600 | $383,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 4,107 | $383,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 10,675 | $381,000 | thousands by filing date | |
| 38259p508 | COM | 593 | $378,000 | thousands by filing date | ||
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 6,000 | $376,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 4,718 | $362,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 8,117 | $359,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 4,400 | $358,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,595 | $339,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 6,303 | $323,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,963 | $319,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 4,000 | $317,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 8,716 | $310,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 12,000 | $303,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 2,366 | $289,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 5,797 | $287,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 1,600 | $279,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,367 | $273,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 3,250 | $265,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 10,500 | $261,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 5,000 | $257,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 4,990 | $249,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 11,000 | $246,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,923 | $243,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 6,000 | $233,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,097 | $229,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 8,500 | $229,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,172 | $228,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 3,277 | $226,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 373 | $226,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 3,700 | $222,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 5,000 | $221,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 6,970 | $220,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 2,400 | $217,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 4,316 | $212,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 7,000 | $212,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 4,500 | $210,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 3,813 | $207,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 4,000 | $203,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,000 | $201,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,377 | $201,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 3,000 | $198,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,428 | $192,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,416 | $191,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 7,900 | $191,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 6,600 | $189,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 4,400 | $188,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 1,617 | $186,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 6,433 | $186,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,000 | $183,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 3,334 | $181,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 6,500 | $181,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 2,245 | $177,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 10,702 | $174,000 | thousands by filing date | principal |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,092 | $168,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,611 | $165,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 6,000 | $161,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 1,060 | $161,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,030 | $161,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 2,776 | $157,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 2,500 | $150,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 2,000 | $148,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 994 | $144,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 11,600 | $141,000 | thousands by filing date | principal |
| Costco Wholesale Corporation | 22160K105 | COM | 968 | $139,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 850 | $138,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,314 | $133,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 9,149 | $133,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 2,305 | $130,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 10,930 | $129,000 | thousands by filing date | principal |
| Oracle Corporation | 68389X105 | COM | 3,436 | $124,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,275 | $123,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,870 | $121,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 983 | $118,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 8,000 | $117,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 2,250 | $116,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,933 | $114,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 2,010 | $113,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,058 | $113,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 2,000 | $110,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 2,706 | $108,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 11,346 | $108,000 | thousands by filing date | principal |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 4,500 | $107,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 4,040 | $106,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 5,000 | $106,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 1,958 | $105,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 1,960 | $105,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,336 | $105,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 3,150 | $103,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 2,079 | $103,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 837 | $102,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 2,000 | $99,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 7,285 | $99,000 | thousands by filing date | principal |
| Intel Corp | 458140100 | COM | 3,060 | $92,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 1,387 | $92,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 874 | $91,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 637 | $91,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 1,300 | $91,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 3,299 | $88,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 799 | $87,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 616 | $87,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 500 | $86,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 2,970 | $85,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 2,130 | $84,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 1,271 | $84,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 720 | $83,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 832 | $82,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 1,816 | $81,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,152 | $80,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 1,031 | $79,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 1,638 | $79,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 5,035 | $78,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 738 | $78,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 600 | $77,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 800 | $77,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 765 | $75,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 1,800 | $74,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 661 | $74,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 5,664 | $71,000 | thousands by filing date | principal |
| BB & T CORP | 054937107 | COM | 2,000 | $71,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 1,288 | $70,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 2,127 | $69,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 1,000 | $68,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 686 | $67,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 1,195 | $66,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 2,070 | $64,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 747 | $64,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 6,000 | $64,000 | thousands by filing date | principal |
| Southern Company | 842587107 | COM | 1,416 | $63,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 1,564 | $62,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 1,698 | $60,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 222 | $60,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 3,822 | $56,000 | thousands by filing date | principal |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 7,000 | $55,000 | thousands by filing date | principal |
| STERLING BANCORP DEL | 85917A100 | COM | 3,653 | $54,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 1,694 | $53,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 2,000 | $53,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,066 | $51,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 1,332 | $50,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 2,000 | $49,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 2,400 | $49,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 1,703 | $46,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 662 | $43,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 2,325 | $43,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 666 | $42,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 722 | $40,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 600 | $40,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 389 | $40,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 462 | $38,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 965 | $37,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 600 | $36,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 864 | $36,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 1,250 | $36,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 4,919 | $35,000 | thousands by filing date | principal |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 511 | $35,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 434 | $35,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 869 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 1,000 | $34,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 359 | $33,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 622 | $33,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 625 | $32,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 425 | $31,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 599 | $30,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 3,079 | $30,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 538 | $29,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 2,100 | $29,000 | thousands by filing date | principal |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 1,500 | $28,000 | thousands by filing date | principal |
| MCKESSON CORP COM | 58155Q103 | Stock | 150 | $27,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 2,538 | $27,000 | thousands by filing date | principal |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 2,039 | $27,000 | thousands by filing date | principal |
| Caterpillar Inc. | 149123101 | COM | 400 | $26,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 1,000 | $26,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 700 | $26,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 279 | $25,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 1,500 | $25,000 | thousands by filing date | principal |
| TE CONNECTIVITY LTD | H84989104 | SHS | 434 | $25,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 239 | $25,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 665 | $25,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 500 | $24,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 210 | $24,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 687 | $24,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 230 | $24,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 925 | $24,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 5,062 | $23,000 | thousands by filing date | principal |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 255 | $23,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 311 | $22,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 464 | $22,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 1,600 | $22,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 285 | $21,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 679 | $21,000 | thousands by filing date | principal |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 278 | $21,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 185 | $20,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 130 | $20,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 280 | $20,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 200 | $20,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 1,000 | $20,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 705 | $19,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,000 | $19,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 589 | $19,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 444 | $18,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 200 | $18,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 463 | $18,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 1,911 | $18,000 | thousands by filing date | principal |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,556 | $18,000 | thousands by filing date | principal |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 675 | $18,000 | thousands by filing date | |
| BAXALTA INC | 07177M103 | COM | 589 | $18,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 200 | $17,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 1,400 | $17,000 | thousands by filing date | principal |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 1,650 | $17,000 | thousands by filing date | principal |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 1,200 | $17,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 182 | $16,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 404 | $16,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 375 | $16,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 664 | $16,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 3,000 | $16,000 | thousands by filing date | principal |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 340 | $15,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 200 | $15,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 400 | $15,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 186 | $14,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 515 | $14,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 309 | $14,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,077 | $14,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 175 | $13,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 350 | $13,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 1,000 | $13,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,000 | $13,000 | thousands by filing date | principal |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 137 | $12,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 1,125 | $12,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 350 | $12,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 615 | $12,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 168 | $11,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,171 | $11,000 | thousands by filing date | principal |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 700 | $11,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 847 | $11,000 | thousands by filing date | principal |
| VANGUARD STAR FDS | 921909768 | COM | 230 | $10,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 333 | $10,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 275 | $10,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 1,521 | $10,000 | thousands by filing date | principal |
| VIACOM INC | 92553P201 | CL B | 236 | $10,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 2,150 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 425 | $10,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 400 | $10,000 | thousands by filing date | |
| TYCO INTL PLC | G91442106 | SHS | 312 | $10,000 | thousands by filing date | |
| NORTHSTAR REIT | 66704R704 | Common Stock | 835 | $10,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 100 | $9,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 200 | $9,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 700 | $9,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 200 | $9,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 759 | $9,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 200 | $9,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 189 | $9,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 300 | $9,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 375 | $9,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 300 | $9,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 375 | $9,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 1,550 | $9,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 290 | $8,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 983 | $8,000 | thousands by filing date | principal |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 225 | $8,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 175 | $8,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 1,325 | $8,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 1,000 | $8,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 200 | $8,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 200 | $8,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 559 | $8,000 | thousands by filing date | principal |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 9 | $8,000 | thousands by filing date | principal |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 600 | $7,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551100 | COM | 525 | $7,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 69 | $7,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 200 | $7,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 425 | $7,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 100 | $7,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 325 | $7,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 200 | $7,000 | thousands by filing date | principal |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 300 | $7,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 1,016 | $7,000 | thousands by filing date | principal |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 375 | $7,000 | thousands by filing date | principal |
| Lockheed Martin Corporation | 539830109 | COM | 30 | $6,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 370 | $6,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 185 | $6,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 200 | $6,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 500 | $6,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 500 | $6,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 500 | $6,000 | thousands by filing date | principal |
| THE ADT CORPORATION | 00101J106 | COM | 216 | $6,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 1,000 | $6,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 80 | $5,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 103 | $5,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 100 | $5,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 100 | $5,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 150 | $5,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 400 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 200 | $5,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 93 | $5,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 398 | $5,000 | thousands by filing date | principal |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 325 | $5,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 767 | $5,000 | thousands by filing date | principal |
| Starbucks Corporation | 855244109 | COM | 74 | $4,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 116 | $4,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 100 | $4,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 115 | $4,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 250 | $4,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 156 | $4,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 87 | $4,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 100 | $4,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 300 | $4,000 | thousands by filing date | principal |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 650 | $4,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 49 | $4,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 25 | $4,000 | thousands by filing date | |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 100 | $4,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 142 | $3,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 25 | $3,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 100 | $3,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 76 | $3,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 50 | $3,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 200 | $3,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 54 | $3,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 25 | $3,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 1,000 | $3,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 200 | $3,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 976 | $3,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 50 | $3,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 25 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 35 | $2,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 72 | $2,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 87 | $2,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 25 | $2,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 185 | $2,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 100 | $2,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 60 | $2,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 627 | $2,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 3,318 | $2,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 112 | $2,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 265 | $1,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 342 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 51 | $1,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 28 | $1,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 50 | $1,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 500 | $1,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 109 | $1,000 | thousands by filing date | principal |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 37 | $1,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 18 | $1,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 72 | $1,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 419 | $1,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 106 | $1,000 | thousands by filing date | principal |
| BP PLC SPONSORED ADR | 055622104 | ADR | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHEMOURS CO COM | 163851108 | Stock | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALBEMARLE CORP | 012653101 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IAC INTERACTIVECORP | 44919P508 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APACHE CORP | 037411105 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DNOW INC | 67011P100 | COMMON STOCK | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALYARD HEALTH INC | 40650V100 | COM | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERITIV CORP | 923454102 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Dow Chemical Company | 260543103 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QEP RESOURCES INC | 74733V100 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| BEMIS INC | 081437105 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 47 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| PENNEY J C INC | 708160106 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELLIS PERRY INTL INC | 288853104 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U S G CORP | 903293405 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 47 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 1 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| VRINGO INC | 92911N104 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 829 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-16-000425 | this filing | 2016-02-09 | acceptance time not in the bulk data set |