13F-HR filed by B. Riley Wealth Management, Inc.
B. Riley Wealth Management, Inc. filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-19, with 348 holding rows worth $476,868,000.
- Accession
- 0001615774-19-002666
- Filer
- CIK 1599892
- Filed
- 2019-02-19
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 442 entries on the cover page, a total value of $476,868,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $476,868,000 with VALUE read as thousands by filing date, 13F file number 028-16196. 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 SCOTTSDALE FDS | 92206C409 | COM | 361,177 | $28,151,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 149,110 | $20,030,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 204,153 | $19,997,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 171,106 | $10,372,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 124,289 | $10,103,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 96,757 | $9,767,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 60,645 | $9,566,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 5,983 | $8,987,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 397,882 | $8,921,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 73,158 | $8,403,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 129,758 | $7,627,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 30,032 | $7,506,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 67,973 | $6,904,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 214,977 | $6,817,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 145,285 | $6,753,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 39,361 | $6,072,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 77,601 | $5,787,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 137,394 | $5,629,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 22,691 | $5,292,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 47,270 | $5,143,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 73,147 | $5,052,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 17,808 | $4,481,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 38,180 | $4,341,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 277,358 | $4,194,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 44,585 | $4,075,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 30,307 | $3,973,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 29,119 | $3,842,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 24,623 | $3,708,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 3,475 | $3,631,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 25,852 | $3,573,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 43,039 | $3,566,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 63,167 | $3,551,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 27,212 | $3,512,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 91,422 | $3,392,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 25,097 | $3,316,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 43,412 | $3,115,000 | thousands by filing date | |
| VTI | 922908769 | COM | 23,956 | $3,057,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 79,753 | $3,039,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 21,577 | $2,848,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 29,051 | $2,706,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 15,724 | $2,702,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 418,534 | $2,666,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 53,381 | $2,505,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 49,755 | $2,494,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 25,232 | $2,492,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 26,818 | $2,395,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 95,467 | $2,352,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 10,146 | $2,271,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 191,666 | $2,218,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 90,080 | $2,215,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 15,347 | $2,121,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 51,466 | $2,063,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 57,026 | $2,058,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 6,777 | $2,051,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 43,406 | $2,023,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 27,750 | $2,000,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 16,181 | $1,846,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 36,577 | $1,831,000 | thousands by filing date | |
| CHURCHILL CAP CORP | 17142R103 | COM CL A | 190,000 | $1,815,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 6,766 | $1,803,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 24,211 | $1,795,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 40,934 | $1,787,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 7,051 | $1,756,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 13,188 | $1,726,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 34,042 | $1,714,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 6,370 | $1,620,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 16,039 | $1,566,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 20,405 | $1,558,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 16,924 | $1,555,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 18,356 | $1,487,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 21,630 | $1,475,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 50,570 | $1,452,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L106 | COM CL A | 145,000 | $1,449,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 14,733 | $1,443,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 7,011 | $1,431,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 82,426 | $1,428,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 18,568 | $1,419,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 18,667 | $1,412,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 32,107 | $1,391,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 42,900 | $1,386,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 19,070 | $1,380,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 52,000 | $1,379,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 9,855 | $1,351,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 73,505 | $1,319,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 27,937 | $1,277,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 24,456 | $1,263,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 16,069 | $1,262,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 43,920 | $1,254,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 61,197 | $1,253,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 125,000 | $1,250,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 15,159 | $1,232,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 12,105 | $1,224,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 25,504 | $1,222,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 5,175 | $1,189,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 13,719 | $1,187,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 53,960 | $1,177,000 | thousands by filing date | |
| INVESCO EXCHANGETRADED FD T DWA TACTCL SCT | 46138E826 | CEF | 47,694 | $1,173,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 74,333 | $1,158,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 7,421 | $1,118,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 8,772 | $1,115,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 20,947 | $1,114,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 15,315 | $1,093,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 20,756 | $1,091,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 19,783 | $1,084,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 9,875 | $1,077,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 22,585 | $1,070,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 3,967 | $1,062,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 12,361 | $1,039,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 20,370 | $1,006,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 21,296 | $1,004,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 9,139 | $1,003,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 47,628 | $1,003,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 44,815 | $988,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 61,972 | $982,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 6,740 | $979,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 108,598 | $967,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 20,289 | $958,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 13,644 | $946,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 899 | $931,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 19,633 | $930,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 8,854 | $929,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 3,514 | $920,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 22,607 | $883,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 7,757 | $875,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 14,952 | $874,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 4,859 | $863,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 4,218 | $859,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 25,059 | $858,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 17,124 | $845,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 7,217 | $842,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 6,743 | $818,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 15,029 | $803,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 5,850 | $801,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 7,681 | $798,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 12,829 | $795,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 16,298 | $793,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 8,477 | $782,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 5,094 | $781,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 12,035 | $775,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 4,881 | $774,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 42,200 | $770,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 14,663 | $768,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 8,368 | $765,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,238 | $722,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 4,450 | $718,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 53,052 | $715,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 49,555 | $713,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 68,784 | $709,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 71,299 | $703,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 8,245 | $702,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 16,806 | $693,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 5,140 | $688,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 11,500 | $688,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 11,937 | $685,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 11,912 | $668,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 665,000 | $668,000 | thousands by filing date | |
| IJH | 464287507 | COM | 4,018 | $667,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 18,507 | $667,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 6,671 | $660,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 5,770 | $656,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 47,208 | $650,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 56,616 | $648,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 14,030 | $623,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 60,000 | $620,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 4,596 | $614,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 61,798 | $613,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 11,670 | $608,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 7,466 | $607,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 12,241 | $593,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 68,223 | $577,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 17,372 | $573,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 24,159 | $566,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 10,279 | $565,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 9,324 | $565,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 5,844 | $564,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 39,525 | $564,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 9,637 | $550,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,603 | $533,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 1,348 | $530,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 21,733 | $518,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 2,719 | $516,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 4,629 | $512,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 7,527 | $502,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 11,917 | $500,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 11,686 | $499,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 4,474 | $497,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 8,426 | $491,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 70,108 | $491,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 35,280 | $459,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 3,552 | $455,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 3,539 | $448,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 35,000 | $446,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 3,209 | $444,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 53,252 | $441,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 20,500 | $438,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 11,426 | $437,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 4,002 | $427,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 14,452 | $416,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 2,160 | $413,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 3,091 | $413,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 13,788 | $411,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 6,338 | $409,000 | thousands by filing date | |
| 180 LIFE SCIENCES ORD | 48242A104 | COM | 40,000 | $408,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 1,181 | $407,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 8,856 | $404,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 6,392 | $400,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 5,642 | $387,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 30,786 | $387,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 2,016 | $380,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 7,281 | $378,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 4,199 | $377,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 105,061 | $375,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 11,223 | $374,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 28,000 | $373,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 8,061 | $372,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 9,056 | $363,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 4,140 | $362,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 25,680 | $362,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 10,493 | $357,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 23,400 | $357,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 9,069 | $355,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 7,548 | $355,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 4,119 | $354,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 151,591 | $353,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 3,206 | $351,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 9,258 | $351,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 7,805 | $350,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 4,827 | $348,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,615 | $345,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,804 | $344,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 20,805 | $343,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,936 | $340,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 11,537 | $340,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 17,147 | $332,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 683 | $327,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 3,137 | $313,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 2,851 | $310,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 5,866 | $307,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $306,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 5,190 | $305,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 4,872 | $303,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 15,692 | $301,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 24,494 | $300,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 6,384 | $299,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 7,124 | $295,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 10,782 | $294,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 3,502 | $293,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 17,365 | $293,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,500 | $292,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 38,541 | $292,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 7,640 | $292,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 1,594 | $288,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 9,196 | $283,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2,415 | $282,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 1,770 | $280,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 31,444 | $280,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 9,763 | $279,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,731 | $278,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,899 | $276,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 19,598 | $270,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 5,959 | $269,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 30,810 | $269,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 3,852 | $267,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 2,138 | $266,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 4,655 | $265,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,545 | $265,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,077 | $264,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 7,843 | $263,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,542 | $257,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 3,905 | $256,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 3,257 | $256,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 16,381 | $252,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 4,196 | $251,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 4,927 | $250,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 7,902 | $250,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 5,330 | $249,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,487 | $243,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 3,558 | $243,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 3,857 | $242,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,810 | $242,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 4,042 | $241,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 5,654 | $240,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 2,227 | $237,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 7,456 | $237,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 985 | $232,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 36,060 | $230,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 4,411 | $229,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 2,899 | $229,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,010 | $228,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,449 | $223,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 2,229 | $220,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 6,000 | $217,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,218 | $217,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 1,212 | $216,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 3,443 | $214,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,172 | $213,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 7,189 | $213,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 935 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 1,314 | $212,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,115 | $210,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 5,334 | $208,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 6,814 | $206,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 4,933 | $204,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 4,670 | $204,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 2,140 | $202,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 3,876 | $202,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 3,452 | $202,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 12,644 | $174,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 2,250 | $173,000 | thousands by filing date | |
| DB COMMODITY INDEX TRACKING | 46138B103 | ETF | 11,646 | $169,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,400 | $169,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 10,200 | $164,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 29,564 | $163,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 10,975 | $160,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 37,951 | $148,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 17,304 | $147,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 77,055 | $142,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 6,939 | $132,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 21,000 | $128,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 15,482 | $124,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 22,475 | $117,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 13,329 | $110,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 20,000 | $107,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 12,209 | $91,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 44,709 | $91,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 39,250 | $84,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 10,528 | $80,000 | thousands by filing date | |
| CHURCHILL CAP CORP | 17142R111 | *W EXP 09/11/202 | 92,500 | $78,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 17,413 | $76,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 101,906 | $73,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 19,620 | $67,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 19,747 | $66,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 10,700 | $65,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 182,245 | $55,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 19,455 | $51,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 48,800 | $43,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 11,800 | $42,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 14,700 | $33,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 20,000 | $20,000 | thousands by filing date | |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 40,000 | $16,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 10,000 | $10,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 85,300 | $10,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 11,000 | $9,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 18,329 | $6,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 26,070 | $6,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 10,000 | $6,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A112 | W EXP 01/15/202 | 40,000 | $4,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 10,000 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001615774-19-002666 | this filing | 2019-02-19 | acceptance time not in the bulk data set |