13F-HR filed by Financial Advocates Investment Management
Financial Advocates Investment Management filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-04, with 626 holding rows worth $1,171,665,000.
- Accession
- 0001730293-20-000004
- Filer
- CIK 1730293
- Filed
- 2020-11-04
- 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, 626 entries on the cover page, a total value of $1,171,665,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,171,665,000 with VALUE read as thousands by filing date, 13F file number 028-18619. 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 |
|---|---|---|---|---|---|---|
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 999 | $267,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 5,286 | $266,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 9,073 | $265,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 6,943 | $264,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 17,899 | $263,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 4,559 | $262,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 61,623 | $261,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 1,815 | $261,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 381,884 | $260,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 17,662 | $260,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 16,134 | $258,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 20,814 | $257,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 9,311 | $255,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 48,343 | $254,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 9,720 | $253,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 3,655 | $252,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 11,155 | $252,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 1,298 | $252,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 5,309 | $252,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 2,349 | $251,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,193 | $251,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 6,823 | $249,000 | thousands by filing date | |
| DRAFTKINGS INC | 26142R104 | COM CL A | 4,234 | $249,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 4,509 | $245,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 2,531 | $245,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 1,592 | $245,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 22,910 | $244,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 5,644 | $243,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 1,116 | $243,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 12,312 | $243,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 180 | $242,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 13,254 | $240,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 2,600 | $239,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 1,665 | $239,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 2,004 | $237,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 4,282 | $237,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 3,132 | $236,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 9,661 | $236,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 1,380 | $234,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 1,560 | $233,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 15,623 | $233,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y392 | VDEO GAM ESPRT | 8,563 | $233,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 3,807 | $231,000 | thousands by filing date | call |
| INVESCO S&P 500 TOP 50 ETF | 46137V233 | ETF | 876 | $229,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 18,440 | $229,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 1,709 | $226,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 490 | $226,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 4,183 | $226,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 6,772 | $223,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 740 | $223,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 2,382 | $223,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G698 | S&P 500 REVENUE | 4,144 | $223,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 15,310 | $222,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 657 | $220,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 5,326 | $219,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 9,575 | $219,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 1,759 | $218,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 5,748 | $218,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 3,650 | $216,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 3,381 | $216,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 2,411 | $215,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 2,414 | $214,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 2,093 | $214,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 13,734 | $214,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 7,916 | $214,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 9,031 | $213,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 5,787 | $213,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 6,153 | $212,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 14,507 | $212,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 8,402 | $212,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 16,656 | $211,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 896 | $211,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 11,019 | $211,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,085 | $210,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,722 | $210,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 978 | $209,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 14,180 | $209,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 2,662 | $208,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 4,311 | $207,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 1,501 | $206,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 8,175 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 8,546 | $205,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 3,521 | $204,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 1,964 | $204,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 1,047 | $204,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 2,352 | $203,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 4,069 | $202,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 169,896 | $202,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 6,270 | $201,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 6,244 | $201,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 12,198 | $194,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 26,745 | $190,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 12,450 | $189,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 18,167 | $187,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 19,571 | $184,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 13,078 | $183,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 13,366 | $180,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 13,140 | $176,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 19,695 | $174,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 14,420 | $165,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 69,012 | $156,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 13,575 | $140,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 14,456 | $138,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 11,220 | $134,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 11,408 | $132,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 11,206 | $131,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 14,250 | $120,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 15,464 | $118,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 10,420 | $113,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 18,576 | $111,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 10,343 | $101,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 19,148 | $97,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 11,503 | $84,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 18,071 | $81,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 14,393 | $77,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 14,121 | $76,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 13,685 | $54,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 12,400 | $40,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 30,925 | $38,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 19,656 | $35,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 31,297 | $27,000 | thousands by filing date | call |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 20,000 | $20,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 10,300 | $19,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 23,097 | $16,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 11,472 | $10,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,000 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001730293-20-000004 | this filing | 2020-11-04 | acceptance time not in the bulk data set |