13F-HR filed by Financial Advocates Investment Management
Financial Advocates Investment Management filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-12, with 714 holding rows worth $1,462,527,000.
- Accession
- 0001730293-21-000001
- Filer
- CIK 1730293
- Filed
- 2021-02-12
- 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, 714 entries on the cover page, a total value of $1,462,527,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,462,527,000 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 |
|---|---|---|---|---|---|---|
| KEURIG DR PEPPER INC COM | 49271V100 | Stock | 12,025 | $385,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 9,601 | $384,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 14,710 | $383,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 8,379 | $382,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 2,404 | $381,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 7,266 | $381,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 2,179 | $380,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 5,233 | $378,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 9,757 | $375,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 2,350 | $374,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 3,746 | $373,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 8,849 | $373,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 32,809 | $372,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 14,763 | $370,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 11,029 | $369,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 83,692 | $369,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 4,485 | $368,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 28,209 | $359,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 1,844 | $358,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 17,399 | $358,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 12,186 | $357,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 6,190 | $354,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 7,137 | $350,000 | thousands by filing date | |
| QUANTUMSCAPE CORP COM CL A | 74767V109 | Stock | 4,146 | $350,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 3,764 | $350,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 4,178 | $348,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $348,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 11,941 | $348,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 7,215 | $346,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 1,289 | $346,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 6,279 | $345,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,690 | $344,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 3,996 | $344,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 5,009 | $343,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 2,521 | $343,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 1,722 | $341,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 2,640 | $336,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 5,333 | $335,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,652 | $334,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 1,946 | $334,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,451 | $332,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 1,989 | $329,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 13,920 | $328,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,875 | $326,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 10,780 | $325,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,296 | $321,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 12,518 | $320,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 8,752 | $317,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P830 | SHRT DUR MNG MUN | 15,231 | $317,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 954 | $316,000 | thousands by filing date | |
| DRAFTKINGS INC | 26142R104 | COM CL A | 6,732 | $314,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 18,167 | $313,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 5,120 | $311,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,028 | $310,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 3,107 | $310,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 9,735 | $309,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 4,412 | $308,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 16,846 | $308,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 8,925 | $308,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 4,943 | $307,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 750 | $306,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 57,969 | $305,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 2,144 | $302,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 1,123 | $299,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 6,043 | $299,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,808 | $297,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 5,140 | $297,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 2,880 | $296,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 2,520 | $295,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 17,933 | $294,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 18,156 | $293,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y392 | VDEO GAM ESPRT | 9,434 | $293,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 6,316 | $291,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 12,312 | $291,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 4,241 | $287,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 9,502 | $287,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE MOMENTUM ETF | 02072L409 | ETF | 9,927 | $286,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 13,191 | $285,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G698 | S&P 500 REVENUE | 4,556 | $284,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 3,275 | $283,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 5,432 | $283,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 9,552 | $281,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 2,431 | $280,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 1,476 | $279,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 5,325 | $279,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 5,447 | $277,000 | thousands by filing date | call |
| AIR PRODS & CHEMS INC | 009158106 | COM | 1,010 | $276,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 3,184 | $275,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 3,862 | $275,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 7,604 | $274,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 20,977 | $274,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 3,388 | $271,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 4,787 | $271,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 5,748 | $269,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 16,134 | $268,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 2,894 | $266,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 2,588 | $265,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 1,890 | $265,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 1,912 | $264,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 3,680 | $264,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,625 | $263,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 558 | $263,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 1,467 | $262,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 5,570 | $261,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,537 | $261,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 3,979 | $260,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 1,696 | $260,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 2,020 | $258,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,242 | $258,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 14,113 | $257,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 2,004 | $256,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 4,233 | $255,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 7,541 | $255,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 2,096 | $252,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 22,615 | $251,000 | thousands by filing date | |
| INVESCO S&P 500 TOP 50 ETF | 46137V233 | ETF | 876 | $250,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 3,278 | $249,000 | thousands by filing date | put |
| IVLU | 46435G409 | COM | 3,685 | $248,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 2,192 | $245,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 3,770 | $245,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 19,571 | $244,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 6,268 | $244,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 1,088 | $242,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 18,254 | $241,000 | thousands by filing date | |
| FIRST TR FD VI ETF FIRST TRUST SMID GROWTH STRENGTH | 33738R746 | ETF | 9,989 | $240,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 5,900 | $239,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 8,712 | $238,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 2,476 | $237,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 2,353 | $237,000 | thousands by filing date | |
| FUBOTV INC | 35953D104 | COM | 8,422 | $236,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 170,902 | $236,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 2,566 | $235,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 3,425 | $235,000 | thousands by filing date | |
| NORTHWEST NAT HLDG CO COM | 66765N105 | Stock | 5,120 | $235,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 9,020 | $235,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 14,507 | $235,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 8,554 | $234,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 978 | $232,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 2,516 | $232,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 5,206 | $232,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 349,384 | $231,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 1,472 | $230,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 2,771 | $229,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 7,715 | $229,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 5,115 | $229,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 1,050 | $228,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 3,163 | $227,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 7,092 | $227,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 3,693 | $227,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,644 | $226,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 498 | $226,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 1,071 | $223,000 | thousands by filing date | |
| NOVUS CAP CORP COM | 67012U108 | Stock | 12,430 | $223,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 7,501 | $222,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 14,470 | $222,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 7,134 | $219,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 2,506 | $218,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 4,466 | $218,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 21,855 | $217,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 3,912 | $217,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 3,772 | $217,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 5,182 | $217,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 3,083 | $216,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 5,077 | $214,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 25,355 | $214,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 6,378 | $214,000 | thousands by filing date | |
| PENNYMAC FINL SVCS INC NEW | 70932M107 | COM | 3,227 | $212,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT HEALTHCARE MOMENTUM ETF | 46137V852 | ETF | 1,860 | $212,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 4,226 | $211,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 1,377 | $211,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 4,590 | $210,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 3,464 | $210,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 9,700 | $209,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCT FCLASS A | 11275Q107 | FOREIGN CANADIAN | 2,884 | $209,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 3,284 | $208,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 2,998 | $208,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 4,283 | $207,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 4,552 | $205,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 5,322 | $205,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 10,800 | $200,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 2,200 | $200,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 12,366 | $195,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 11,827 | $195,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 19,295 | $188,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 10,055 | $176,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 10,927 | $163,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 11,326 | $162,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 14,456 | $158,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 10,175 | $158,000 | thousands by filing date | |
| nan | 25460E331 | nan | 93,845 | $157,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 21,300 | $153,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 10,750 | $150,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 30,650 | $149,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 11,515 | $144,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 10,420 | $125,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 15,464 | $125,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 19,153 | $124,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 18,771 | $117,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 12,705 | $117,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 11,560 | $114,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 15,558 | $96,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 14,393 | $91,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 21,500 | $81,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 14,200 | $76,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 42,885 | $54,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 10,000 | $47,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 23,097 | $45,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 13,000 | $43,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 19,656 | $42,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 15,000 | $40,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 14,797 | $39,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 20,000 | $20,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,000 | $14,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 11,472 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001730293-21-000001 | this filing | 2021-02-12 | acceptance time not in the bulk data set |