13F-HR filed by AE Wealth Management LLC
AE Wealth Management LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-06, with 1,282 holding rows worth $7,006,508,000.
- Accession
- 0001697723-20-000005
- Filer
- CIK 1697723
- Filed
- 2020-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 1,413 entries on the cover page, a total value of $7,006,508,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $7,006,508,000 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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 37,400 | $337,000 | thousands by filing date | put |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 10,771 | $337,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 7,027 | $335,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 66,563 | $335,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 94,880 | $334,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 8,420 | $333,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 3,263 | $333,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 14,558 | $331,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 9,947 | $331,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 1,035 | $330,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 41,548 | $330,000 | thousands by filing date | |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 13,908 | $328,000 | thousands by filing date | |
| EASTGROUP PPTYS INC | 277276101 | COM | 2,537 | $328,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 12,918 | $327,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 914 | $326,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 9,961 | $326,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 27,832 | $325,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 13,342 | $324,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G771 | ETFMG TRAVEL TEC | 17,000 | $324,000 | thousands by filing date | |
| ALTABANCORP | 021347109 | COM | 15,982 | $322,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 6,530 | $319,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 13,997 | $318,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 909 | $317,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 18,862 | $317,000 | thousands by filing date | |
| ACCOLADE INC | 00437E102 | COM | 8,104 | $315,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 4,341 | $312,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 3,995 | $312,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 6,737 | $312,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L508 | DIVERSIFID FXD | 14,346 | $309,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 5,005 | $307,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 18,028 | $305,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 10,106 | $304,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 1,901 | $304,000 | thousands by filing date | |
| PGIM ETF TR | 69344A107 | PGIM ULTRA SH BD | 6,092 | $304,000 | thousands by filing date | |
| CARLYLE GROUP INC COM | 14316J108 | Stock | 12,238 | $302,000 | thousands by filing date | |
| DRAFTKINGS INC | 26142R104 | COM CL A | 5,140 | $302,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 4,882 | $301,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 1,275 | $301,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 53,042 | $301,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 19,848 | $300,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 5,605 | $300,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 35,189 | $299,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 2,483 | $298,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 7,589 | $297,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 20,748 | $297,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 11,250 | $296,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 9,975 | $295,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U307 | FT VEST US EQT | 9,785 | $295,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 2,248 | $293,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G656 | S&P ULTRA DIVIDE | 10,902 | $293,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 7,136 | $292,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 1,649 | $291,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 1,664 | $290,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 5,320 | $290,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 2,030 | $288,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 7,945 | $288,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 1,376 | $287,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 27,864 | $287,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 5,886 | $285,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 8,541 | $284,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 8,646 | $283,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 21,398 | $282,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 27,943 | $281,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 3,200 | $279,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 3,362 | $278,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 3,990 | $277,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 2,410 | $276,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 9,859 | $275,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 2,696 | $275,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 8,413 | $275,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2021 HIGH | 46138J809 | BULSHS 2021 HY | 11,973 | $275,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 2,610 | $274,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 1,760 | $274,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 7,259 | $274,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 11,223 | $273,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 5,207 | $273,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 1,880 | $272,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 3,943 | $267,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 28,812 | $267,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 9,838 | $267,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,782 | $266,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 2,175 | $266,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 31,447 | $265,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 7,176 | $264,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 4,709 | $264,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 2,651 | $262,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 29,592 | $261,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 1,690 | $260,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,793 | $260,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 10,904 | $260,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 63,370 | $259,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 20,369 | $256,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 13,613 | $256,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 3,889 | $255,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,803 | $254,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 3,237 | $254,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 560 | $254,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,596 | $253,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 8,995 | $253,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 11,622 | $253,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 10,425 | $252,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 8,574 | $251,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 13,405 | $251,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 11,272 | $250,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 5,695 | $249,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,846 | $248,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 3,074 | $245,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 2,198 | $245,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 8,811 | $244,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 102,000 | $244,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,459 | $243,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 3,384 | $242,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 3,947 | $241,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 6,896 | $241,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 5,422 | $241,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 10,554 | $241,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 48,845 | $240,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 9,176 | $239,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 4,734 | $239,000 | thousands by filing date | |
| GEN DIGITAL INC COM | 668771108 | Stock | 11,357 | $237,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,260 | $237,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 19,563 | $236,000 | thousands by filing date | |
| AVALARA INC | 05338G106 | COM | 1,854 | $236,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 3,509 | $235,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 5,204 | $235,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 10,075 | $235,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 5,377 | $235,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 11,150 | $234,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,058 | $234,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 484 | $233,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C474 | US SML CP PWR B | 9,000 | $233,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,405 | $232,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 10,688 | $232,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 14,256 | $232,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 2,467 | $231,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 2,431 | $230,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 14,119 | $230,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 1,821 | $229,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 1,261 | $229,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 10,245 | $228,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 1,308 | $225,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,475 | $225,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 7,822 | $224,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 22,038 | $223,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 7,740 | $223,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 6,820 | $223,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 7,420 | $222,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 2,863 | $222,000 | thousands by filing date | |
| 1LIFE HEALTHCARE INC | 68269G107 | COM | 7,820 | $222,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 2,432 | $221,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 712 | $220,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 7,700 | $219,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 791 | $217,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 24,660 | $217,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 5,120 | $216,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 1,886 | $216,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 3,552 | $215,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 979 | $215,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 6,294 | $215,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 2,685 | $214,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,811 | $214,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 4,239 | $214,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 2,513 | $213,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 5,503 | $213,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 2,096 | $211,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 2,261 | $211,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 16,230 | $209,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 4,015 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,030 | $208,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 4,272 | $208,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 3,536 | $206,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 2,194 | $206,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 1,985 | $204,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 855 | $204,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 3,321 | $204,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 10,081 | $204,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 18,623 | $203,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,438 | $202,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 17,501 | $202,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 5,505 | $201,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 5,833 | $201,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 14,881 | $197,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 17,434 | $194,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 12,500 | $188,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 32,065 | $186,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 17,791 | $185,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 13,404 | $184,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 10,224 | $180,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 10,284 | $170,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 21,419 | $157,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 13,552 | $154,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 10,125 | $142,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 15,952 | $141,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 12,270 | $140,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 10,890 | $136,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 11,775 | $130,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 35,234 | $129,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 27,399 | $129,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 16,679 | $127,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 12,850 | $126,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 11,364 | $122,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 10,515 | $119,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 19,419 | $119,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 10,063 | $114,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 13,341 | $114,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 13,820 | $114,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 10,451 | $114,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 11,595 | $112,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 19,248 | $107,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 27,951 | $106,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 10,851 | $106,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 19,217 | $104,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 17,295 | $103,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 12,025 | $100,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 12,649 | $97,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 12,784 | $94,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 12,190 | $90,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 14,887 | $90,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 19,356 | $90,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 53,114 | $87,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 11,127 | $83,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 10,091 | $81,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 10,788 | $80,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 15,908 | $77,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 11,212 | $67,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 13,128 | $67,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 11,140 | $66,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 15,313 | $64,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 12,565 | $63,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 13,415 | $59,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 14,661 | $57,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 11,286 | $57,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 25,261 | $56,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 20,266 | $55,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 19,253 | $53,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,399 | $52,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 12,493 | $50,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 20,837 | $50,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 10,232 | $47,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 46,000 | $47,000 | thousands by filing date | principal |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 12,655 | $44,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,000 | $42,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 40,000 | $41,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 41,000 | $41,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 20,000 | $40,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 40,000 | $39,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC | 35952H601 | COM | 16,832 | $36,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 14,400 | $35,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 11,348 | $34,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 12,515 | $30,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 11,901 | $30,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 20,850 | $27,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,674 | $27,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 13,324 | $27,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,296 | $26,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 10,277 | $23,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 36,000 | $22,000 | thousands by filing date | principal |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 12,746 | $16,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 20,000 | $16,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 15,350 | $15,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 17,400 | $10,000 | thousands by filing date | put |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 13,167 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 30,400 | $8,000 | thousands by filing date | put |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 13,181 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 1,000 | $4,000 | thousands by filing date | call |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 11,000 | $3,000 | thousands by filing date | put |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 1,400 | $3,000 | thousands by filing date | call |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 1,800 | $2,000 | thousands by filing date | call |
| UnitedHealth Group Inc | 91324P102 | COM | 1,700 | $2,000 | thousands by filing date | put |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 8,200 | $2,000 | thousands by filing date | put |
| Apple Inc | 037833100 | COM | 100 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464288687 | COM | 13,500 | $1,000 | thousands by filing date | put |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 500 | $1,000 | thousands by filing date | put |
| INVESCO QQQ TR | 46090E103 | COM | 100 | $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. |
| GENERAL ELEC CO | 369604103 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 300 | $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. |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 600 | $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. |
| United States Oil Fund LP | 91232N207 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| RIVERNORTH DOUBLELINE STRATE | 76882G123 | RIGHT 10/01/2020 | 15,885 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697723-20-000005 | this filing | 2020-11-06 | acceptance time not in the bulk data set |