13F-HR filed by Rockefeller Capital Management L.P.
Rockefeller Capital Management L.P. filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 2,716 holding rows worth $10,675,002,000.
- Accession
- 0001739439-20-000022
- Filer
- CIK 1739439
- Filed
- 2020-11-13
- 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, 3,455 entries on the cover page, a total value of $10,675,002,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $10,675,002,000 with VALUE read as thousands by filing date, 13F file number 028-18743. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerROCKEFELLER & CO. LLC028-00926
- included managerROCKEFELLER TRUST COMPANY, N.A.028-02772
- included managerRockefeller Trust Co (Delaware)028-11086
- included managerROCKEFELLER FINANCIAL LLC028-19121
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 |
|---|---|---|---|---|---|---|
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 987 | $50,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 4,400 | $50,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 4,525 | $50,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 4,800 | $50,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 3,600 | $50,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 3,000 | $50,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 2,000 | $50,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 29,200 | $50,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 316 | $49,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 2,000 | $49,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 332 | $49,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 836 | $49,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 5,000 | $49,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 6,000 | $49,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 2,114 | $49,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 184 | $48,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 684 | $48,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 1,438 | $48,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 877 | $48,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 144 | $48,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 650 | $48,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,000 | $48,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 5,532 | $48,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 2,683 | $47,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 206 | $47,000 | thousands by filing date | |
| LIVERAMP HLDGS INC COM | 53815P108 | Stock | 924 | $47,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 638 | $47,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 11,554 | $47,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,421 | $46,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 5,000 | $46,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 3,126 | $46,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 3,000 | $46,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 1,290 | $45,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 2,500 | $45,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 10,000 | $45,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 649 | $45,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 3,278 | $45,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 557 | $44,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 2,940 | $44,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 602 | $44,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 6,572 | $44,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 211 | $44,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 736 | $44,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 1,500 | $44,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 270 | $43,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 102 | $43,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 3,549 | $43,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 1,506 | $43,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 669 | $43,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 2,606 | $43,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 2,234 | $43,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 1,000 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 923 | $43,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 20,000 | $43,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 575 | $42,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 284 | $42,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 233 | $42,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 3,653 | $42,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 499 | $42,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 600 | $42,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 824 | $42,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 3,206 | $42,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 1,743 | $41,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,024 | $41,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 1,046 | $41,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,500 | $41,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 180 | $40,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 5,000 | $40,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 850 | $40,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 531 | $40,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 846 | $40,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,068 | $40,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTREAM O | 18469P209 | COM | 4,646 | $40,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 1,763 | $40,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 436 | $40,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 409 | $40,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 2,000 | $39,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 418 | $39,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 848 | $39,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 332 | $39,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 492 | $39,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 4,639 | $39,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 4,542 | $39,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 3,000 | $39,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 1,500 | $39,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 358 | $39,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 1,125 | $39,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 1,300 | $39,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 900 | $39,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 5,011 | $38,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,597 | $38,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 4,657 | $38,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 15,362 | $38,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 5,000 | $38,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 602 | $37,000 | thousands by filing date | |
| INVITATION HOMES INC COM | 46187W107 | REIT | 1,330 | $37,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 292 | $37,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 2,051 | $37,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 1,494 | $37,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 855 | $37,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 3,250 | $37,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 917 | $36,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 1,760 | $36,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 3,010 | $36,000 | thousands by filing date | |
| NIKOLA CORP | 654110105 | COM | 1,779 | $36,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 5,112 | $36,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 900 | $36,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 9,000 | $36,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 450 | $35,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 340 | $35,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 272 | $35,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 1,300 | $35,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 7,105 | $35,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 2,308 | $35,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 254 | $34,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 258 | $34,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 1,244 | $34,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 2,500 | $34,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 2,150 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 600 | $34,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 444 | $34,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 4,808 | $34,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 1,043 | $33,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 1,320 | $33,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 866 | $33,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 2,971 | $33,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 694 | $33,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 5,503 | $33,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 5,938 | $33,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 3,767 | $33,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 3,429 | $33,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 916 | $33,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 6,759 | $33,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 422 | $32,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 174 | $32,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 8 | $32,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 2,143 | $32,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 168 | $32,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 531 | $32,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 1,851 | $32,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 2,000 | $32,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V746 | LARGE CAP GROWTH | 525 | $32,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 288 | $32,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,700 | $32,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 2,175 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 520 | $31,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 454 | $31,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 1,000 | $31,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 1,006 | $30,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 2,352 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 252 | $30,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 121 | $30,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 2,222 | $30,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 912 | $30,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 1,888 | $30,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 240 | $30,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 2,049 | $30,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 6,300 | $30,000 | thousands by filing date | |
| IAA INC | 449253103 | COM | 590 | $30,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 926 | $30,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A804 | TOTAL RETURN | 522 | $30,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 1,400 | $30,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 238 | $29,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 284 | $29,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 621 | $29,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 484 | $29,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 1,350 | $29,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,128 | $29,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 1,128 | $29,000 | thousands by filing date | |
| LCI INDS | 50189K103 | COM | 282 | $29,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 4,865 | $29,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 316 | $29,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 467 | $29,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 244 | $28,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 1,225 | $28,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 490 | $28,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 2,762 | $28,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U208 | FT VEST US EQT | 920 | $28,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 913 | $28,000 | thousands by filing date | |
| CAESARS ENTERTAINMENT INC NE | 12769G100 | COM | 500 | $28,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 858 | $28,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 1,000 | $28,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 1,176 | $28,000 | thousands by filing date | |
| United States Oil Fund LP | 91232N207 | COM | 1,012 | $28,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 30,000 | $28,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 1,260 | $27,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 714 | $27,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 675 | $27,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 780 | $27,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 524 | $27,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 590 | $27,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 866 | $27,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 3,800 | $27,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,136 | $27,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 21,000 | $27,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW NPV | 84860W300 | COM NEW | 806 | $27,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 812 | $27,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 500 | $26,000 | thousands by filing date | |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 644 | $26,000 | thousands by filing date | |
| INGEVITY CORP COM | 45688C107 | Stock | 527 | $26,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 1,000 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 780 | $26,000 | thousands by filing date | |
| SILGAN HLDGS INC | 827048109 | COM | 718 | $26,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 376 | $26,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 164 | $26,000 | thousands by filing date | |
| AVALARA INC | 05338G106 | COM | 209 | $26,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 1,500 | $26,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 3,000 | $26,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 437 | $25,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 969 | $25,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 1,058 | $25,000 | thousands by filing date | |
| APPLIED INDL TECHNOLOGIES INC COM | 03820C105 | Stock | 455 | $25,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 207 | $25,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 272 | $25,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 1,011 | $25,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 296 | $25,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 2,525 | $25,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 1,028 | $25,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E872 | CMN | 1,003 | $25,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 4,595 | $25,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 1,237 | $24,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 810 | $24,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 220 | $24,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 480 | $24,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 872 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 120 | $24,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 2,061 | $24,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 1,118 | $24,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 2,220 | $24,000 | thousands by filing date | |
| WEX INC | 96208T104 | COM | 178 | $24,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 1,000 | $24,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 1,560 | $24,000 | thousands by filing date | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 1,200 | $24,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 502 | $24,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 17,000 | $24,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 300 | $24,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 250 | $24,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 500 | $24,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 287 | $23,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 3,125 | $23,000 | thousands by filing date | |
| TORM PLC SHS CL A | G89479102 | Stock | 3,500 | $23,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 200 | $23,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 1,659 | $23,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,420 | $23,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 45 | $23,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 5,050 | $23,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E842 | DORSEY WRGT SMLC | 393 | $23,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 743 | $22,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 724 | $22,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 1,525 | $22,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 136 | $22,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 2,765 | $22,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 307 | $22,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 626 | $22,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 1,369 | $22,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 3,794 | $22,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 457 | $22,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 573 | $22,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 2,793 | $22,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 13,000 | $22,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 435 | $21,000 | thousands by filing date | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 409 | $21,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 1,081 | $21,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 539 | $21,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 228 | $21,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 7,731 | $21,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 460 | $21,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 2,000 | $21,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 343 | $21,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 5,000 | $21,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 7,281 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33740J104 | ULTRA SHT DUR MU | 1,062 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,020 | $21,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 1,000 | $21,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 10,000 | $21,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 2,500 | $21,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 1,500 | $21,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 561 | $20,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 1,210 | $20,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 514 | $20,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 1,408 | $20,000 | thousands by filing date | |
| SPHERE ENTERTAINMENT CO CL A | 55826T102 | Stock | 300 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 216 | $20,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 915 | $20,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 125 | $20,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 581 | $20,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 264 | $20,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 242 | $20,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 1,900 | $20,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 3,255 | $20,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 1,150 | $20,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 2,103 | $20,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 400 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 1,375 | $20,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 3,504 | $20,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 1,701 | $20,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 1,750 | $20,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 2,250 | $19,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 1,028 | $19,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 149 | $19,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 610 | $19,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 4,020 | $19,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 1,035 | $19,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 858 | $19,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 464 | $19,000 | thousands by filing date | |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 1,180 | $19,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,477 | $19,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 101 | $19,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N535 | SHORT TRM BD ETF | 384 | $19,000 | thousands by filing date | |
| BEAM THERAPEUTICS INC | 07373V105 | COM | 800 | $19,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 4,000 | $19,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 483 | $19,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 1,000 | $19,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 678 | $19,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 575 | $19,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,775 | $19,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 7,000 | $19,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 85 | $18,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 838 | $18,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 358 | $18,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 1,315 | $18,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 748 | $18,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 75 | $18,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 628 | $18,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 210 | $18,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 500 | $18,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 523 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 204 | $18,000 | thousands by filing date | |
| UBIQUITI INC | 90353W103 | COM | 113 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 671 | $18,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 568 | $18,000 | thousands by filing date | |
| TCF FINANCIAL CORPORATION NE | 872307103 | COM | 805 | $18,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 366 | $18,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 942 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 459 | $18,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 1,500 | $18,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 550 | $18,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,339 | $18,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 3,000 | $18,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 260 | $17,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 107 | $17,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 213 | $17,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 88 | $17,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 187 | $17,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 300 | $17,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 2,500 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 352 | $17,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 195 | $17,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 2,888 | $17,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 2,240 | $17,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 1,664 | $17,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 494 | $17,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 10,000 | $17,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 10,000 | $17,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 4,000 | $17,000 | thousands by filing date | |
| SOCIAL CAP HDOSPHIA HLDG CO | G8250T109 | SHS CL A | 905 | $17,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 9,000 | $17,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 120 | $16,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 1,072 | $16,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 182 | $16,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 1,495 | $16,000 | thousands by filing date | |
| COMMERCE.COM INC | 08975P108 | COM SER 1 | 200 | $16,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 2,453 | $16,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 475 | $16,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 155 | $16,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 5,000 | $16,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 2,117 | $16,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 741 | $16,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,705 | $16,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 3,720 | $16,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 1,000 | $16,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 9,270 | $16,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 670 | $15,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 416 | $15,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 468 | $15,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 76 | $15,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 280 | $15,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 1,748 | $15,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 290 | $15,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 170 | $15,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 276 | $15,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 1,250 | $15,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 403 | $15,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 178 | $15,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 1,605 | $15,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 723 | $15,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 564 | $15,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 3,150 | $15,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 227 | $15,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 20 | $15,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 363 | $15,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 719 | $15,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 1,271 | $15,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 532 | $15,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 2,349 | $15,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 790 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 275 | $15,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,843 | $15,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 444 | $15,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 650 | $15,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 257 | $14,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,100 | $14,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 367 | $14,000 | thousands by filing date | |
| XP INC CL A | G98239109 | Stock | 350 | $14,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 1,661 | $14,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 250 | $14,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 168 | $14,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 383 | $14,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,597 | $14,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 810 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 275 | $14,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,112 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 572 | $14,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 334 | $14,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 275 | $14,000 | thousands by filing date | |
| OPEN LENDING CORP | 68373J104 | COM | 570 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G609 | CMN | 1,500 | $14,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 4,200 | $14,000 | thousands by filing date | |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 172 | $14,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 169 | $13,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 286 | $13,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 500 | $13,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 403 | $13,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 177 | $13,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 466 | $13,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 137 | $13,000 | thousands by filing date | |
| CUBESMART COM | 229663109 | REIT | 420 | $13,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 245 | $13,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 238 | $13,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 663 | $13,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 422 | $13,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 7 | $13,000 | thousands by filing date | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 737 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 439 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 434 | $13,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 1,000 | $13,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 500 | $13,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 1,409 | $13,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 2,750 | $13,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 605 | $13,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 142 | $13,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 413 | $13,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 2,147 | $13,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 3,270 | $13,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 121 | $13,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 3,000 | $13,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 429 | $13,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 2,000 | $13,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 573 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G708 | DAIL MS BRAZ ETF | 200 | $13,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,977 | $13,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,170 | $13,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 3,500 | $13,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 184 | $12,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 552 | $12,000 | thousands by filing date | |
| STRATEGIC ED INC COM | 86272C103 | Stock | 136 | $12,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 138 | $12,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 138 | $12,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 107 | $12,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 484 | $12,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 306 | $12,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 83 | $12,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 225 | $12,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 1,100 | $12,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 5,277 | $12,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 1,632 | $12,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 183 | $12,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 226 | $12,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 828 | $12,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 412 | $12,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 570 | $12,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 90 | $12,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 601 | $12,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 430 | $12,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 10,000 | $12,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 40 | $11,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 139 | $11,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 496 | $11,000 | thousands by filing date | |
| SIBANYE STILLWATER LTD SPONSORED ADR | 82575P107 | ADR | 1,011 | $11,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 281 | $11,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 75 | $11,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,300 | $11,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 505 | $11,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 951 | $11,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 433 | $11,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 220 | $11,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 839 | $11,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 300 | $11,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 242 | $11,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 239 | $11,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 50 | $11,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 500 | $11,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 404 | $11,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,800 | $11,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 750 | $11,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 1,040 | $11,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 274 | $11,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K107 | COM CL A | 905 | $11,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 301 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001739439-20-000022 | this filing | 2020-11-13 | acceptance time not in the bulk data set |