13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-06, with 5,001 holding rows worth $6,356,242,000.
- Accession
- 0001681115-17-000014
- Filer
- CIK 1681115
- Filed
- 2017-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 14,020 entries on the cover page, a total value of $6,356,242,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,356,242,000 with VALUE read as thousands by filing date, 13F file number 028-17493. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerROYAL ALLIANCE ASSOCIATES INC
- included managerSAGEPOINT FINANCIAL, INC.
- included managerFSC Securities CORP
- included managerWOODBURY FINANCIAL SERVICES, INC.
- included managerVision2020 Wealth Management Copr.
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 |
|---|---|---|---|---|---|---|
| NMI HLDGS INC | 629209305 | COM | 3,690 | $46,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 754 | $46,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 2,335 | $46,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 2,173 | $46,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 3,000 | $46,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 700 | $46,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,233 | $46,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 1,700 | $46,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 25 | $46,000 | thousands by filing date | principal |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 52,550 | $46,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,181 | $46,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 2,905 | $46,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 10,700 | $46,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 43 | $46,000 | thousands by filing date | principal |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 1,869 | $45,000 | thousands by filing date | |
| INGEVITY CORP COM | 45688C107 | Stock | 712 | $45,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 1,407 | $45,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 1,400 | $45,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 1,367 | $45,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 3,745 | $45,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,588 | $45,000 | thousands by filing date | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 2,999 | $45,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 1,242 | $45,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 30,000 | $45,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 891 | $45,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 877 | $45,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 14,000 | $45,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 4,632 | $45,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 3,200 | $45,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 3,200 | $45,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 1,311 | $45,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 2,870 | $45,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,041 | $44,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 952 | $44,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 3,914 | $44,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 1,254 | $44,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 3,000 | $44,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 2,391 | $44,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 1,234 | $44,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 653 | $44,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 1,983 | $44,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 4,740 | $44,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 1,015 | $44,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 650 | $44,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 43 | $44,000 | thousands by filing date | principal |
| FITBIT INC | 33812L102 | CL A | 6,241 | $44,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 3,314 | $44,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 45 | $44,000 | thousands by filing date | principal |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 559 | $43,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 2,462 | $43,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 2,237 | $43,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 776 | $43,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 542 | $43,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 570 | $43,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 4,500 | $43,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 696 | $43,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 3,200 | $43,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 3,063 | $43,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 442 | $43,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 2,116 | $42,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 857 | $42,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,035 | $42,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 703 | $42,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 1,724 | $42,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,345 | $42,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 948 | $42,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 2,553 | $42,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 3,000 | $42,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 1,389 | $42,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 2,070 | $42,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 15,106 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 1,425 | $42,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 49 | $42,000 | thousands by filing date | principal |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 4,516 | $41,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 524 | $41,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 1,859 | $41,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 2,196 | $41,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 2,448 | $41,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 1,691 | $41,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 758 | $41,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 713 | $41,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 1,066 | $41,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 1,636 | $41,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 1,300 | $41,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 3,603 | $41,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 617 | $41,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 456 | $41,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,440 | $41,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 1,931 | $41,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 2,270 | $41,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 2,417 | $41,000 | thousands by filing date | |
| INVITATION HOMES INC COM | 46187W107 | REIT | 1,785 | $40,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 17,821 | $40,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 403 | $40,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 1,258 | $40,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 4,608 | $40,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 2,846 | $40,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 3,557 | $40,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 2,142 | $40,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 2,800 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 898 | $40,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 1,354 | $40,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 781 | $40,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 878 | $40,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 3,821 | $40,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 361 | $40,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 1,066 | $40,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,450 | $40,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 1,917 | $40,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 1,094 | $39,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 11,625 | $39,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 800 | $39,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 730 | $39,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 780 | $39,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 909 | $39,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 1,511 | $39,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 1,601 | $39,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 1,072 | $39,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,912 | $39,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 893 | $39,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 2,016 | $39,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 4,312 | $39,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 1,340 | $39,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 910 | $39,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 177 | $39,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 1,054 | $39,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 2,104 | $39,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 4,800 | $39,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 2,220 | $39,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 1,100 | $39,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 4,112 | $39,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 289 | $38,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 2,665 | $38,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 1,500 | $38,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 2,571 | $38,000 | thousands by filing date | |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 1,188 | $38,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 496 | $38,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 510 | $38,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 1,553 | $38,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 500 | $38,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 846 | $38,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 321 | $38,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,900 | $38,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 1,327 | $38,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 4,000 | $38,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 8,636 | $38,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 2,980 | $38,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,550 | $38,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 1,225 | $38,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 652 | $37,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 2,504 | $37,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,027 | $37,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 555 | $37,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 1,002 | $37,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 460 | $37,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 943 | $37,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 1,516 | $37,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 3,018 | $37,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 3,015 | $37,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 965 | $37,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 3,019 | $37,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 960 | $37,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 1,141 | $37,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 2,635 | $37,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 847 | $37,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 1,179 | $36,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 1,234 | $36,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 98 | $36,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 1,951 | $36,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 590 | $36,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 721 | $36,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 1,100 | $36,000 | thousands by filing date | |
| SPDR S&P 500 ETF TR | 78462F953 | PUT | 223 | $36,000 | thousands by filing date | put |
| TCW CONV SECS FD INC | 872340104 | COM | 6,150 | $36,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 1,600 | $36,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 1,800 | $36,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 1,623 | $36,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 834 | $36,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 1,950 | $36,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,463 | $36,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 36 | $36,000 | thousands by filing date | principal |
| SEASPAN CORP | Y75638109 | SHS | 5,114 | $36,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 112,500 | $36,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 1,300 | $36,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 853 | $35,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 893 | $35,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 746 | $35,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 1,051 | $35,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 553 | $35,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 1,467 | $35,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 7,017 | $35,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 815 | $35,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 5,235 | $35,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 3,988 | $35,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 500 | $35,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 724 | $35,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,160 | $35,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 1,027 | $35,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 4,444 | $35,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 360 | $35,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 3,000 | $35,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 317 | $35,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,212 | $35,000 | thousands by filing date | |
| LASALLE HOTEL PROPERTIES | 517942108 | COM | 1,172 | $35,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 2,611 | $35,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 47,959 | $35,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 361 | $35,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 3,188 | $35,000 | thousands by filing date | |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 1,680 | $35,000 | thousands by filing date | |
| BulletShares 2025 Corporate | 18383M191 | COM | 1,663 | $35,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 875 | $35,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 33 | $35,000 | thousands by filing date | principal |
| ARBOR RLTY TR INC | 038923AA6 | NOTE 6.50010/0 | 33 | $35,000 | thousands by filing date | principal |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 1,858 | $35,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 956 | $34,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 1,189 | $34,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 518 | $34,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 675 | $34,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 2,285 | $34,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 2,060 | $34,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 1,216 | $34,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 1,546 | $34,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 600 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 990 | $34,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 1,404 | $34,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 707 | $34,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 3,564 | $34,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 637 | $34,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 4,545 | $34,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 577 | $34,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 5,805 | $34,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 4,000 | $34,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 613 | $34,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 2,200 | $34,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 1,335 | $34,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 2,543 | $34,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 2,100 | $33,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 334 | $33,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 219 | $33,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 377 | $33,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 2,515 | $33,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 4,415 | $33,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 566 | $33,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 980 | $33,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 550 | $33,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 2,445 | $33,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 627 | $33,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 2,000 | $33,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 1,330 | $33,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 808 | $33,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 4,304 | $33,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 373 | $33,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,100 | $33,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 650 | $33,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 1,032 | $33,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 1,125 | $33,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 708 | $32,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,049 | $32,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 2,476 | $32,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 1,147 | $32,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 2,904 | $32,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,920 | $32,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 839 | $32,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,425 | $32,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 11,871 | $32,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 617 | $32,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 1,139 | $32,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 268 | $32,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 27 | $32,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 22 | $32,000 | thousands by filing date | principal |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 4,320 | $32,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 1,700 | $32,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 1,005 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 1,377 | $32,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 32 | $32,000 | thousands by filing date | principal |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 608 | $31,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 2,226 | $31,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 2,335 | $31,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 532 | $31,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,755 | $31,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 1,092 | $31,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 866 | $31,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 461 | $31,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 943 | $31,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 1,566 | $31,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 2,539 | $31,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 3,665 | $31,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 2,959 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 1,410 | $31,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 234 | $31,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 10 | $31,000 | thousands by filing date | principal |
| Viewra, Inc | 92672L107 | COM | 5,426 | $31,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 2,504 | $31,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 3,360 | $31,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 1,715 | $31,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 1,200 | $31,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 1,954 | $31,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 5,149 | $31,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 31 | $31,000 | thousands by filing date | principal |
| ETF SER SOLUTIONS | 26922A867 | MASTER INC ETF | 1,768 | $31,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 1,168 | $30,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 4,642 | $30,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 767 | $30,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 801 | $30,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,411 | $30,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 710 | $30,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 1,121 | $30,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 1,350 | $30,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 303 | $30,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 401 | $30,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,990 | $30,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 603 | $30,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 1,748 | $30,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 415 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 416 | $30,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 623 | $30,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 3,742 | $30,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 8,500 | $30,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 3,010 | $30,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 29,483 | $30,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 3,120 | $30,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 11,500 | $30,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 720 | $30,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 49,701 | $30,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 20,000 | $30,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 1,181 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 804 | $30,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 842 | $30,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 1,000 | $30,000 | thousands by filing date | |
| ISHARES TR | 46435G540 | MLTFACT TECH | 800 | $30,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 7,158 | $30,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 23 | $30,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 259 | $30,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 1,075 | $30,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 442 | $29,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 1,730 | $29,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 136 | $29,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 1,293 | $29,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 1,039 | $29,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 1,111 | $29,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 1,600 | $29,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 1,402 | $29,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 5,000 | $29,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,406 | $29,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 1,650 | $29,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 3,461 | $29,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 2,097 | $29,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 3,525 | $29,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 401 | $29,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,492 | $29,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 17 | $29,000 | thousands by filing date | principal |
| SALISBURY BANCORP INC | 795226109 | COM | 623 | $29,000 | thousands by filing date | |
| FIRST POTOMAC RLTY TR | 33610F109 | COM | 2,603 | $29,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 22 | $29,000 | thousands by filing date | principal |
| INNOVATOR IBD 50 | 004006508 | COM | 915 | $29,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 1,096 | $29,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 27 | $29,000 | thousands by filing date | principal |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 730 | $28,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 894 | $28,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 2,677 | $28,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 757 | $28,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 567 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 2,000 | $28,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 3,210 | $28,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 1,680 | $28,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 832 | $28,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 2,000 | $28,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 2,487 | $28,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 1,150 | $28,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 463 | $28,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 920 | $28,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 25 | $28,000 | thousands by filing date | principal |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 500 | $28,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,950 | $28,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 945 | $28,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 1,550 | $28,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 499 | $28,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 1,100 | $27,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 824 | $27,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 709 | $27,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 375 | $27,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 457 | $27,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,523 | $27,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 2,000 | $27,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,900 | $27,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 795 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,040 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 982 | $27,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 835 | $27,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,137 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 567 | $27,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 3,624 | $27,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 3,887 | $27,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,295 | $27,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 2,155 | $27,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 1,185 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 1,069 | $27,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 20 | $27,000 | thousands by filing date | principal |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 3,000 | $27,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 947 | $26,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 1,853 | $26,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,157 | $26,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 611 | $26,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 2,530 | $26,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 1,799 | $26,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 708 | $26,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 245 | $26,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 650 | $26,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 1,038 | $26,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 503 | $26,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 632 | $26,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 381 | $26,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 24 | $26,000 | thousands by filing date | principal |
| US ECOLOGY INC COM | 91732J102 | COM | 487 | $26,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 3,800 | $26,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 2,994 | $26,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 2,062 | $26,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 420 | $26,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 1,703 | $26,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 3,850 | $26,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,000 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 1,076 | $26,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 6,300 | $26,000 | thousands by filing date | |
| PORTFOLIOPLUS S&P 500 ETF | 25490K109 | ETF | 769 | $26,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 22,833 | $26,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 21 | $26,000 | thousands by filing date | principal |
| WESCO INTL INC COM | 95082P105 | Stock | 433 | $25,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 510 | $25,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 663 | $25,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 1,747 | $25,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 1,720 | $25,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 817 | $25,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 5,000 | $25,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 1,928 | $25,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 900 | $25,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 602 | $25,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 458 | $25,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 727 | $25,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 2,621 | $25,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,060 | $25,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 509 | $25,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 4,499 | $25,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 9,145 | $25,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 2,355 | $25,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 2,965 | $25,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 1,600 | $25,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 841 | $25,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642403 | COM PAR | 867 | $25,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 750 | $24,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 2,000 | $24,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 1,365 | $24,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 1,313 | $24,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,616 | $24,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 603 | $24,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 1,316 | $24,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 2,649 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 428 | $24,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 240 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 250 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P876 | US SML CP MLTFCT | 950 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,189 | $24,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 488 | $24,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 2,300 | $24,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 524 | $24,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 1,000 | $24,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 1,033 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 575 | $24,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 2,036 | $24,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 750 | $24,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 471 | $24,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 790 | $24,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 22 | $24,000 | thousands by filing date | |
| STARWOOD WAYPOINT HOMES COM | 85572F105 | Stock | 649 | $24,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 372 | $24,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 419 | $23,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 488 | $23,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 16,960 | $23,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 720 | $23,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 3,000 | $23,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 939 | $23,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 1,516 | $23,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 670 | $23,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,000 | $23,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,000 | $23,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 411 | $23,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 201 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 794 | $23,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 894 | $23,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 1,474 | $23,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 21 | $23,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 21 | $23,000 | thousands by filing date | principal |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 956 | $23,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,000 | $23,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 2,876 | $23,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,654 | $23,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 817 | $23,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 900 | $23,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 711 | $23,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 790 | $23,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 22 | $23,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-17-000014 | this filing | 2017-11-06 | acceptance time not in the bulk data set |