13F-HR filed by AE Wealth Management LLC
AE Wealth Management LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-01-15, with 1,135 holding rows worth $4,608,261,000.
- Accession
- 0001697723-20-000001
- Filer
- CIK 1697723
- Filed
- 2020-01-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 1,175 entries on the cover page, a total value of $4,608,261,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,608,261,000 with VALUE read as thousands by filing date, 13F file number 028-17779. 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 |
|---|---|---|---|---|---|---|
| YUM CHINA HLDGS INC | 98850P109 | COM | 4,936 | $237,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 9,901 | $237,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 1,967 | $236,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 5,224 | $236,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 841 | $235,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 3,886 | $234,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 6,204 | $234,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 1,865 | $234,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 4,603 | $234,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 3,297 | $234,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 4,966 | $234,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 7,300 | $234,000 | thousands by filing date | |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 7,980 | $233,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 9,481 | $232,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 8,548 | $232,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 4,961 | $232,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 2,071 | $231,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 3,628 | $231,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 2,166 | $231,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 9,682 | $230,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 6,894 | $229,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 4,538 | $229,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 6,144 | $228,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 4,178 | $228,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 3,665 | $226,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 14,481 | $225,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 4,633 | $224,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 5,708 | $223,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 4,333 | $222,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 4,619 | $222,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 22,361 | $222,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 1,615 | $221,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 10,519 | $220,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 904 | $219,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 582 | $219,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 5,973 | $218,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 190 | $217,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 5,829 | $217,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 1,556 | $217,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 3,782 | $217,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 5,881 | $216,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 3,250 | $214,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 1,661 | $214,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 6,071 | $213,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 10,059 | $213,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 2,881 | $211,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 2,654 | $210,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 2,841 | $210,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 1,325 | $209,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT HEALTHCARE MOMENTUM ETF | 46137V852 | ETF | 2,189 | $209,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 8,874 | $207,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 2,640 | $205,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,351 | $204,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 3,067 | $204,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 2,144 | $203,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,117 | $202,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 2,300 | $202,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 2,772 | $201,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 7,986 | $201,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 15,919 | $200,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 32,443 | $198,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 10,615 | $192,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 22,086 | $188,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 178,960 | $186,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 17,634 | $184,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 11,003 | $182,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 19,764 | $176,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 15,310 | $171,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 9,904 | $170,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 11,995 | $163,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 11,714 | $157,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 12,119 | $153,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 19,010 | $152,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 14,696 | $152,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 11,100 | $152,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 10,917 | $150,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 23,271 | $150,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 16,918 | $149,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 33,915 | $145,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 11,183 | $136,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 24,219 | $135,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 12,620 | $126,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 53,214 | $126,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 22,372 | $125,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 18,683 | $121,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 24,814 | $117,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 14,648 | $112,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 32,062 | $106,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 27,294 | $103,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 12,649 | $101,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 16,209 | $88,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 10,484 | $82,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 36,755 | $79,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 15,903 | $63,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 11,164 | $58,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 13,900 | $56,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 18,667 | $56,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 16,168 | $54,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,000 | $53,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 13,781 | $51,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 19,002 | $48,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 41,000 | $44,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 24,786 | $44,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 40,000 | $43,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 40,000 | $42,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 41,000 | $42,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375N103 | COM | 21,000 | $31,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 12,819 | $31,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 22,004 | $28,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,909 | $26,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 6,600 | $22,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 10,400 | $20,000 | thousands by filing date | put |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 13,266 | $17,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 18,000 | $16,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 10,332 | $16,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 10,991 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 36,800 | $14,000 | thousands by filing date | put |
| INVESCO LTD SHS | G491BT108 | Stock | 983 | $13,000 | thousands by filing date | put |
| SESEN BIO INC | 817763105 | COM | 10,000 | $10,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 17,912 | $8,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,700 | $7,000 | thousands by filing date | put |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 25,400 | $6,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 14,355 | $5,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,551 | $3,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,600 | $2,000 | thousands by filing date | put |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 1,000 | $2,000 | thousands by filing date | put |
| INVESCO QQQ TR | 46090E103 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Micron Technology,Inc. | 595112103 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Procter & Gamble Co | 742718109 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HALLIBURTON CO COM | 406216101 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| RYDER SYS INC COM | 783549108 | Stock | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| HORMEL FOODS CORP COM | 440452100 | Stock | 2,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TWITTER INC | 90184L102 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ETFMG | 26924G508 | EXCHANGE TRADED | 1,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697723-20-000001 | this filing | 2020-01-15 | acceptance time not in the bulk data set |