13F-HR filed by Klingman & Associates, LLC
Klingman & Associates, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-19, with 377 holding rows worth $331,981,000.
- Accession
- 0001606587-16-000789
- Filer
- CIK 1662449
- Filed
- 2016-10-19
- 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, 377 entries on the cover page, a total value of $331,981,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $331,981,000 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 |
|---|---|---|---|---|---|---|
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 170,572 | $37,110,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 154,909 | $33,507,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 895,391 | $28,205,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 252,131 | $21,270,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 188,443 | $17,638,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 140,142 | $16,325,000 | thousands by filing date | |
| IJH | 464287507 | COM | 104,534 | $16,172,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 56,098 | $15,835,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 729,764 | $15,777,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 283,259 | $8,492,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 68,362 | $8,487,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 67,412 | $5,847,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 119,972 | $5,012,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 39,072 | $4,853,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 298,048 | $4,852,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 113,657 | $4,716,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 100,885 | $4,583,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 160,000 | $4,363,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 85,351 | $4,284,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 47,671 | $4,085,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 71,301 | $3,540,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 46,870 | $2,771,000 | thousands by filing date | |
| VTI | 922908769 | COM | 24,000 | $2,672,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 21,313 | $2,567,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 83,591 | $2,132,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 84,500 | $2,088,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 128,151 | $1,947,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 138,937 | $1,899,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 27,370 | $1,851,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 21,667 | $1,761,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 37,328 | $1,696,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 17,197 | $1,501,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 22,378 | $1,490,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 36,713 | $1,381,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 12,679 | $1,286,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 86,307 | $1,196,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 33,444 | $991,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 25,078 | $938,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 14,355 | $889,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 23,205 | $872,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 16,664 | $840,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 9,426 | $791,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 45,282 | $736,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 17,487 | $729,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 13,229 | $693,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 22,600 | $693,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 11,296 | $673,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 6,929 | $665,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 18,860 | $639,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 4,867 | $595,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 51,871 | $571,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 5,665 | $564,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 128,572 | $557,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 6,652 | $556,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 8,782 | $506,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 4,400 | $497,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 4,581 | $477,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,178 | $459,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,846 | $454,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 2,501 | $436,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 49,095 | $436,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 3,600 | $422,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 5,767 | $416,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 3,356 | $391,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,595 | $391,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 58,048 | $380,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 4,031 | $374,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 6,400 | $364,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 2,770 | $359,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 13,696 | $347,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 3,063 | $346,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 12,000 | $334,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 3,138 | $331,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,607 | $324,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 3,200 | $306,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,367 | $305,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 13,152 | $303,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 3,250 | $297,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,513 | $281,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 5,792 | $274,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 10,144 | $268,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 4,039 | $255,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 4,011 | $250,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,607 | $239,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,097 | $236,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 6,410 | $236,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,416 | $235,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 3,614 | $228,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 2,207 | $227,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 4,000 | $225,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 3,276 | $217,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 1,617 | $215,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,000 | $203,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 3,800 | $191,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,147 | $188,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,218 | $186,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,092 | $185,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 10,703 | $184,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 8,460 | $183,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,030 | $180,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 8,350 | $180,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,031 | $177,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 2,000 | $164,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 11,600 | $158,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 1,187 | $156,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 5,340 | $156,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,314 | $156,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 4,087 | $150,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 932 | $148,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,625 | $145,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 10,930 | $144,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 10,973 | $144,000 | thousands by filing date | principal |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 184 | $143,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 9,994 | $142,000 | thousands by filing date | principal |
| Walmart Inc. | 931142103 | COM | 1,870 | $135,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 983 | $135,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 1,958 | $134,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 4,070 | $132,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 11,346 | $131,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 2,010 | $130,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 4,040 | $128,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 1,670 | $124,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 2,000 | $123,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 2,250 | $119,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 1,362 | $118,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 3,060 | $116,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 926 | $116,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 2,079 | $112,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 637 | $111,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 837 | $111,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 691 | $110,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 616 | $109,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 2,970 | $109,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 5,000 | $109,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 7,285 | $108,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 4,890 | $105,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,933 | $104,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 2,130 | $102,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 799 | $101,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 1,102 | $97,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 1,288 | $96,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,152 | $95,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 854 | $93,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 2,838 | $93,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 720 | $89,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 765 | $88,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 2,056 | $87,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 1,800 | $87,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 600 | $86,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 1,564 | $86,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 686 | $84,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 747 | $84,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 2,024 | $82,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 3,810 | $81,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 5,664 | $80,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 93 | $75,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 2,000 | $75,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 6,000 | $74,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 4,682 | $73,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 1,195 | $73,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 1,000 | $72,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 918 | $71,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 1,488 | $70,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 1,332 | $66,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 2,453 | $65,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 1,242 | $64,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 3,653 | $64,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 75 | $63,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 261 | $63,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 3,584 | $63,000 | thousands by filing date | principal |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 2,000 | $62,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 681 | $61,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 615 | $60,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 262 | $60,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 462 | $59,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,500 | $59,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 1,303 | $58,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 1,357 | $58,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 1,088 | $57,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 1,694 | $54,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 1,250 | $54,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 2,840 | $54,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 2,000 | $52,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 415 | $51,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 389 | $49,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 600 | $48,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 666 | $48,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 599 | $48,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,066 | $46,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 875 | $46,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 722 | $46,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 600 | $46,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 435 | $46,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 527 | $45,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 650 | $45,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 943 | $44,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 400 | $41,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 2,323 | $40,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 511 | $40,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 520 | $39,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 4,919 | $39,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 477 | $38,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 965 | $38,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 665 | $38,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 325 | $37,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 869 | $37,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 462 | $37,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 400 | $36,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 802 | $36,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 100 | $36,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 500 | $35,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 800 | $35,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 1,156 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 622 | $34,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 945 | $33,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 854 | $33,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 120 | $32,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 599 | $32,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 675 | $32,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 600 | $32,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 1,500 | $32,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 3,079 | $32,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 700 | $31,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 434 | $31,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 300 | $31,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 185 | $30,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 460 | $30,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 622 | $30,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 1,500 | $30,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 2,039 | $30,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 859 | $29,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 687 | $28,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 285 | $28,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 1,000 | $28,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 419 | $28,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 589 | $28,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 434 | $28,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 379 | $27,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 1,800 | $27,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 209 | $27,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 185 | $26,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 625 | $26,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 200 | $26,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 491 | $26,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 5,062 | $26,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 311 | $25,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 150 | $25,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 2,538 | $25,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 230 | $25,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 278 | $25,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 225 | $24,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 90 | $24,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 130 | $24,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 200 | $23,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,171 | $23,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 463 | $22,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 1,376 | $22,000 | thousands by filing date | principal |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 679 | $22,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 1,230 | $22,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 375 | $21,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,000 | $21,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 1,911 | $21,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 200 | $20,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 484 | $20,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,556 | $20,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 404 | $18,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 1,400 | $18,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 3,000 | $18,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 350 | $17,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 705 | $16,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 315 | $16,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,077 | $16,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 186 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 394 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,000 | $15,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 297 | $14,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 175 | $14,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 1,000 | $14,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 137 | $14,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 1,125 | $14,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 615 | $14,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 340 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 468 | $13,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 500 | $13,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 1,200 | $13,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,171 | $12,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 1,521 | $12,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 333 | $11,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 370 | $11,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 152 | $11,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 189 | $11,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 290 | $10,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 300 | $10,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 375 | $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 | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 163 | $9,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 983 | $9,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 68 | $9,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 1,600 | $9,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 559 | $9,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 100 | $8,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 183 | $8,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 200 | $8,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 781 | $8,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 115 | $8,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 70 | $8,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 152 | $7,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 103 | $7,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 583 | $7,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 144 | $7,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 100 | $7,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 500 | $7,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 100 | $7,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 200 | $7,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 10,000 | $7,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 80 | $6,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 33 | $6,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 100 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 200 | $6,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 398 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 500 | $6,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 767 | $6,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 500 | $6,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 1,000 | $6,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 116 | $5,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 801 | $5,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 37 | $5,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 93 | $5,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 300 | $5,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 176 | $5,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 50 | $5,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 25 | $4,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 57 | $4,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 100 | $4,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 54 | $4,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 164 | $4,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 195 | $4,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 627 | $4,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 142 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 35 | $3,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 72 | $3,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 98 | $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 | |
| SHAKE SHACK INC | 819047101 | CL A | 84 | $3,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 185 | $3,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 345 | $2,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 18 | $2,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 500 | $2,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 60 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 50 | $2,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 419 | $2,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 19 | $1,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 20 | $1,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 8 | $1,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 109 | $1,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 72 | $1,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 29 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 47 | $1,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 36 | $1,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 12 | $1,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 663 | $1,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 106 | $1,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 5 | $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. |
| IAC INTERACTIVECORP | 44919P508 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 3 | $0 | thousands by filing date | Value 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. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORM HLDGS CORP COM | 34634E102 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-16-000789 | this filing | 2016-10-19 | acceptance time not in the bulk data set |