13F-HR filed by AE Wealth Management LLC
AE Wealth Management LLC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-01, with 1,370 holding rows worth $8,815,240,000.
- Accession
- 0001697723-21-000001
- Filer
- CIK 1697723
- Filed
- 2021-02-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 1,466 entries on the cover page, a total value of $8,815,240,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $8,815,240,000 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 |
|---|---|---|---|---|---|---|
| VICI PPTYS INC COM | 925652109 | REIT | 17,626 | $449,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 10,095 | $449,000 | thousands by filing date | |
| ELASTIC N V ORD SHS | N14506104 | Stock | 3,063 | $448,000 | thousands by filing date | |
| ALTABANCORP | 021347109 | COM | 15,982 | $446,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 320 | $444,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 34,214 | $442,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 2,425 | $438,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 23,142 | $437,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 1,180 | $436,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 4,143 | $432,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 5,360 | $426,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 18,781 | $425,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 3,716 | $424,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 7,276 | $424,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 6,548 | $423,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 14,217 | $423,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 15,051 | $422,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,769 | $422,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 51,626 | $419,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 952 | $416,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 4,356 | $416,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 27,580 | $416,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 10,910 | $416,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 3,131 | $415,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 20,366 | $415,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 10,589 | $414,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 41,981 | $414,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 15,877 | $413,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 9,479 | $412,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,662 | $409,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 19,290 | $409,000 | thousands by filing date | |
| SIREN ETF TR | 829658400 | DIVCN DIVD ETF | 11,175 | $409,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 3,957 | $407,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 14,905 | $407,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 6,106 | $406,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 9,501 | $406,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 3,946 | $405,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 1,506 | $404,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 98,034 | $404,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 4,595 | $403,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 3,277 | $402,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 4,106 | $401,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 5,000 | $394,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 10,709 | $393,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 5,159 | $390,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 15,936 | $387,000 | thousands by filing date | |
| CARLYLE GROUP INC COM | 14316J108 | Stock | 12,234 | $385,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 32,620 | $384,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 70,750 | $384,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 8,944 | $382,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 936 | $382,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 2,648 | $382,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 5,082 | $382,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 7,069 | $379,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 1,950 | $379,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 13,510 | $377,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 3,279 | $376,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 7,243 | $376,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 59,591 | $374,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 15,619 | $373,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U307 | FT VEST US EQT | 11,559 | $373,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 6,720 | $372,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 11,633 | $371,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 6,543 | $370,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 10,191 | $368,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 3,636 | $367,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 2,050 | $365,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 9,551 | $363,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 13,180 | $361,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 28,813 | $360,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 37,582 | $357,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,958 | $356,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 4,334 | $356,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 13,870 | $356,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 35,415 | $352,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,228 | $352,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 11,701 | $352,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 15,100 | $352,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 8,716 | $351,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 2,168 | $351,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 2,745 | $349,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 3,987 | $349,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,551 | $347,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 3,466 | $347,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 53,032 | $347,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 7,475 | $346,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 32,774 | $345,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 2,105 | $343,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,933 | $341,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 9,382 | $341,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 704 | $340,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 7,273 | $339,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 6,831 | $338,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 14,231 | $338,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 59,140 | $338,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 2,549 | $337,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 4,630 | $337,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 20,369 | $337,000 | thousands by filing date | |
| SFL CORP LTD | G7738W106 | COMMON STOCK | 53,691 | $337,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 6,797 | $336,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 6,826 | $336,000 | thousands by filing date | |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 9,859 | $335,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 9,974 | $335,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 11,587 | $334,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 6,198 | $334,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 13,834 | $333,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 3,498 | $331,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 16,706 | $330,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 9,974 | $328,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 8,972 | $326,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 4,980 | $326,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 2,267 | $324,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 5,706 | $322,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 6,176 | $322,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 9,533 | $320,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 8,796 | $319,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 23,450 | $319,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 320 | $318,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 6,243 | $318,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 8,955 | $317,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L508 | DIVERSIFID FXD | 14,341 | $317,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 25,173 | $315,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 BUFFER ETF JUNE | 45782C755 | ETF | 10,090 | $315,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 3,857 | $314,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 32,145 | $313,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 3,391 | $312,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 3,432 | $312,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 879 | $311,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,831 | $311,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 3,903 | $310,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 1,326 | $310,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 8,612 | $310,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 6,628 | $309,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 6,396 | $309,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 560 | $309,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 14,021 | $307,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 8,478 | $307,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 1,684 | $306,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 5,341 | $306,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 35,763 | $306,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 2,310 | $305,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 3,483 | $304,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 9,199 | $304,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 76,802 | $303,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 2,326 | $303,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 19,849 | $302,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 3,308 | $301,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 2,523 | $301,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 7,319 | $299,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 2,237 | $298,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 22,038 | $295,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 9,671 | $292,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,496 | $292,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 8,157 | $292,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 12,491 | $292,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 2,437 | $290,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 5,464 | $289,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 1,491 | $288,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 5,186 | $287,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 3,946 | $285,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 3,702 | $284,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 28,808 | $284,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 4,078 | $284,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 1,001 | $283,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 19,713 | $283,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 53,114 | $283,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 4,228 | $282,000 | thousands by filing date | |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 14,737 | $281,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 882 | $281,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 4,610 | $280,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 5,805 | $279,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,924 | $277,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 12,332 | $277,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 8,539 | $274,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 8,468 | $273,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 4,234 | $273,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 5,988 | $272,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 17,562 | $271,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 5,153 | $270,000 | thousands by filing date | |
| RBB FD INC | 74933W601 | MOTLEY FOL ETF | 7,603 | $269,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 3,854 | $269,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 2,410 | $268,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 18,598 | $268,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,539 | $268,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,276 | $265,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 4,174 | $265,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 5,069 | $264,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 48,582 | $263,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 2,128 | $261,000 | thousands by filing date | |
| ENVISTA HOLDINGS CORPORATION | 29415F104 | COM | 7,589 | $256,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 18,062 | $255,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 24,817 | $255,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 1,271 | $254,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 21,072 | $252,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 3,969 | $252,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 6,618 | $252,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 14,501 | $251,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 5,218 | $251,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 5,104 | $251,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 9,661 | $251,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 37,463 | $250,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 2,061 | $250,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 6,208 | $249,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 1,049 | $248,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C383 | US EQTY PWR BUF | 8,731 | $248,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 8,745 | $247,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 9,870 | $247,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C474 | US SML CP PWR B | 8,500 | $247,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 806 | $246,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 16,361 | $246,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 10,220 | $245,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,538 | $245,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 5,815 | $245,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 860 | $244,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 1,854 | $242,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 4,027 | $242,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 32,326 | $242,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 8,636 | $242,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 9,306 | $240,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,867 | $237,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 416 | $237,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 29,890 | $237,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 1,708 | $237,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 1,805 | $236,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 4,361 | $235,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V530 | CMN | 1,031 | $235,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 3,045 | $233,000 | thousands by filing date | |
| GEN DIGITAL INC COM | 668771108 | Stock | 11,210 | $233,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,553 | $233,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 24,613 | $233,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 1,649 | $232,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 6,149 | $232,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 6,148 | $231,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C417 | US EQTY PWR BUF | 8,770 | $230,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F763 | FT VEST US EQT | 6,951 | $230,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 12,751 | $228,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 3,815 | $228,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 15,603 | $227,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 2,864 | $227,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 6,362 | $226,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 462 | $225,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 6,023 | $225,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 865 | $224,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,320 | $224,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 5,054 | $224,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 1,867 | $223,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 4,972 | $223,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 6,662 | $222,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 2,442 | $220,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 1,127 | $220,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 592 | $219,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 2,176 | $218,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 5,769 | $218,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 2,297 | $218,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 2,597 | $217,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 1,239 | $217,000 | thousands by filing date | |
| INVESCO | 46138J866 | EXCHANGE TRADED | 9,915 | $217,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 6,726 | $216,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 110,500 | $215,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 12,023 | $215,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 6,855 | $215,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 4,110 | $215,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 6,889 | $215,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 6,014 | $214,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 7,645 | $214,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 3,281 | $213,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 1,209 | $212,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 16,141 | $212,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 339 | $210,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 9,252 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 18,098 | $210,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 18,631 | $208,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 3,893 | $206,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 23,291 | $205,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 6,282 | $204,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 9,014 | $204,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 12,120 | $203,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 10,379 | $199,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 12,092 | $189,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 19,419 | $186,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 21,516 | $182,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 12,731 | $182,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 10,027 | $179,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 12,639 | $179,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 10,404 | $179,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 17,397 | $178,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 10,637 | $176,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 12,500 | $170,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 15,923 | $169,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 13,208 | $154,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 28,744 | $149,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 10,389 | $149,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 10,774 | $148,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 14,763 | $147,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 11,093 | $142,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 22,203 | $141,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 10,715 | $138,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 13,646 | $132,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 16,641 | $131,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 11,566 | $130,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 32,472 | $129,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 14,246 | $126,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 17,033 | $126,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 12,776 | $124,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 27,800 | $122,000 | thousands by filing date | put |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 16,287 | $121,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 11,184 | $115,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 11,136 | $112,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 13,430 | $108,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 11,490 | $102,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 12,034 | $102,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 14,480 | $100,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 18,913 | $93,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 13,849 | $90,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 10,783 | $89,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 13,978 | $85,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 20,766 | $83,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,384 | $81,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,575 | $80,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 19,713 | $77,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 16,990 | $76,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 12,613 | $75,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 20,000 | $74,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 33,628 | $71,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 20,837 | $68,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 11,070 | $67,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,086 | $59,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 14,347 | $53,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 15,857 | $52,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,000 | $50,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 46,000 | $47,000 | thousands by filing date | principal |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 14,132 | $42,000 | thousands by filing date | |
| 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 |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 20,914 | $41,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 27,700 | $34,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,674 | $29,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,058 | $28,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 25,000 | $25,000 | thousands by filing date | principal |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 36,159 | $23,000 | thousands by filing date | principal |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 7,700 | $18,000 | thousands by filing date | put |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 600 | $17,000 | thousands by filing date | call |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 10,000 | $16,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 20,000 | $14,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 13,102 | $13,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 10,000 | $9,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 12,381 | $6,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 9,000 | $5,000 | thousands by filing date | put |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 10,500 | $5,000 | thousands by filing date | put |
| Apple Inc | 037833100 | COM | 200 | $4,000 | thousands by filing date | call |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 13,142 | $4,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,000 | $3,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 600 | $3,000 | thousands by filing date | call |
| INVESCO QQQ TR | 46090E103 | COM | 300 | $2,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 6,500 | $2,000 | thousands by filing date | put |
| MARATHON OIL CORP | 565849106 | COM | 2,000 | $2,000 | thousands by filing date | call |
| PLUG PWR INC | 72919P202 | COM NEW | 400 | $2,000 | thousands by filing date | call |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 400 | $1,000 | thousands by filing date | call |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 200 | $1,000 | thousands by filing date | call |
| CAMECO CORP COM | 13321L108 | Stock | 3,000 | $1,000 | thousands by filing date | call |
| Intel Corp | 458140100 | COM | 2,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| UnitedHealth Group Inc | 91324P102 | COM | 1,700 | $0 | thousands by filing date | putValue 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. |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 448,700 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NASDAQ INC COM | 631103108 | Stock | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 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. |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697723-21-000001 | this filing | 2021-02-01 | acceptance time not in the bulk data set |