13F-HR filed by Kestra Advisory Services, LLC
Kestra Advisory Services, LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-10-19, with 2,107 holding rows worth $10,000,759,000.
- Accession
- 0001830819-21-000004
- Filer
- CIK 1830819
- Filed
- 2021-10-19
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 2,107 entries on the cover page, a total value of $10,000,759,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $10,000,759,000 with VALUE read as dollars, detected, 13F file number 028-20379. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 21,990 | $168,000 | dollars, detected | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 10,468 | $165,000 | dollars, detected | |
| PROPETRO HLDG CORP | 74347M108 | COM | 19,007 | $164,000 | dollars, detected | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 11,336 | $164,000 | dollars, detected | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 10,486 | $162,000 | dollars, detected | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 20,404 | $162,000 | dollars, detected | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 30,799 | $162,000 | dollars, detected | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 11,533 | $160,000 | dollars, detected | |
| OXFORD LANE CAP CORP | 691543102 | COM | 22,030 | $159,000 | dollars, detected | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,260 | $158,000 | dollars, detected | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 11,611 | $158,000 | dollars, detected | |
| PAYSAFE LIMITED | G6964L107 | ORD | 20,023 | $155,000 | dollars, detected | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 17,912 | $154,000 | dollars, detected | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 24,838 | $153,000 | dollars, detected | |
| FIBROGEN INC | 31572Q808 | COM | 14,948 | $153,000 | dollars, detected | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 140,000 | $153,000 | dollars, detected | |
| TECHNIPFMC PLC COM | G87110105 | Stock | 20,206 | $152,000 | dollars, detected | |
| CURIOSITYSTREAM INC | 23130Q107 | COMMON STOCK | 14,400 | $152,000 | dollars, detected | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 12,386 | $152,000 | dollars, detected | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 11,508 | $151,000 | dollars, detected | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 15,725 | $149,000 | dollars, detected | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 38,333 | $145,000 | dollars, detected | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 26,884 | $144,000 | dollars, detected | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 23,477 | $144,000 | dollars, detected | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 25,111 | $142,000 | dollars, detected | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 37,865 | $141,000 | dollars, detected | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 37,615 | $136,000 | dollars, detected | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 11,050 | $135,000 | dollars, detected | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 16,064 | $134,000 | dollars, detected | |
| GABELLI UTIL TR | 36240A101 | COM | 17,083 | $134,000 | dollars, detected | |
| APPHARVEST INC | 03783T103 | COM | 20,497 | $134,000 | dollars, detected | |
| ARCHER AVIATION INC | 03945R102 | COM CL A | 15,000 | $133,000 | dollars, detected | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 21,000 | $132,000 | dollars, detected | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 14,531 | $132,000 | dollars, detected | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 13,671 | $128,000 | dollars, detected | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 12,388 | $127,000 | dollars, detected | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 11,207 | $127,000 | dollars, detected | |
| ZYNGA INC. | 98986T108 | CL A | 16,446 | $124,000 | dollars, detected | |
| CANOO INC | 13803R102 | COM CL A | 15,980 | $123,000 | dollars, detected | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 49,028 | $121,000 | dollars, detected | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 10,202 | $119,000 | dollars, detected | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 12,106 | $118,000 | dollars, detected | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 12,876 | $118,000 | dollars, detected | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 19,325 | $115,000 | dollars, detected | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 20,716 | $115,000 | dollars, detected | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 10,685 | $114,000 | dollars, detected | |
| SABA CAPITAL INCOME & OPRNT | 78518H103 | SHARES | 24,683 | $112,000 | dollars, detected | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 12,597 | $111,000 | dollars, detected | |
| OPKO HEALTH INC | 68375N103 | COM | 30,076 | $110,000 | dollars, detected | |
| Hippo Holdings, Inc. (HIPO) | 433539103 | Common Stocks | 23,000 | $108,000 | dollars, detected | |
| ENERPLUS CORP | 292766102 | COM | 13,429 | $107,000 | dollars, detected | |
| CARECLOUD INC | 14167R100 | COM | 13,265 | $101,000 | dollars, detected | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 15,052 | $100,000 | dollars, detected | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 12,540 | $100,000 | dollars, detected | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 12,612 | $99,000 | dollars, detected | |
| ROOT INC | 77664L108 | COMMON STOCK | 18,793 | $99,000 | dollars, detected | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 10,000 | $98,000 | dollars, detected | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 52,711 | $98,000 | dollars, detected | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 10,206 | $97,000 | dollars, detected | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 105,000 | $95,000 | dollars, detected | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 17,594 | $93,000 | dollars, detected | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 13,488 | $93,000 | dollars, detected | |
| MONEYLION INC | 60938K106 | COM | 13,605 | $92,000 | dollars, detected | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 10,500 | $88,000 | dollars, detected | |
| GREENLANE HLDGS INC | 395330103 | CL A | 37,307 | $88,000 | dollars, detected | |
| GARRETT MOTION INC | 366505105 | COM | 11,366 | $84,000 | dollars, detected | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,553 | $83,000 | dollars, detected | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 40,958 | $83,000 | dollars, detected | |
| BIONANO GENOMICS INC | 09075F107 | COM | 15,100 | $83,000 | dollars, detected | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 12,290 | $81,000 | dollars, detected | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 18,729 | $80,000 | dollars, detected | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 10,196 | $79,000 | dollars, detected | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 11,567 | $77,000 | dollars, detected | |
| PITNEY BOWES INC COM | 724479100 | Stock | 10,308 | $74,000 | dollars, detected | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,286 | $74,000 | dollars, detected | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 22,077 | $71,000 | dollars, detected | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 30,500 | $68,000 | dollars, detected | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 25,460 | $62,000 | dollars, detected | |
| SRAX INC | 78472M106 | CL A | 11,600 | $62,000 | dollars, detected | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 13,967 | $60,000 | dollars, detected | |
| ACCURAY INC DEL | 004397105 | COM | 14,354 | $57,000 | dollars, detected | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,840 | $57,000 | dollars, detected | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 19,500 | $53,000 | dollars, detected | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 19,121 | $49,000 | dollars, detected | |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 23,334 | $45,000 | dollars, detected | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 20,000 | $44,000 | dollars, detected | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 12,372 | $43,000 | dollars, detected | |
| ANTARES PHARMA INC | 036642106 | COM | 11,264 | $41,000 | dollars, detected | |
| ATHERSYS INC | 04744L106 | COM | 30,585 | $41,000 | dollars, detected | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 14,659 | $40,000 | dollars, detected | |
| COMSOVEREIGN HLDG CORP | 205650203 | COM NEW | 25,000 | $40,000 | dollars, detected | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 11,335 | $38,000 | dollars, detected | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 10,500 | $34,000 | dollars, detected | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 22,500 | $34,000 | dollars, detected | |
| VEON LTD | 91822M106 | SPONSORED ADR | 15,804 | $33,000 | dollars, detected | |
| MCEWEN MNG INC | 58039P107 | COM | 29,424 | $31,000 | dollars, detected | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 30,000 | $31,000 | dollars, detected | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 14,700 | $27,000 | dollars, detected | |
| KALA BIO INC COM | 483119103 | Stock | 10,000 | $26,000 | dollars, detected | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,532 | $24,000 | dollars, detected | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 23,590 | $24,000 | dollars, detected | |
| CONFORMIS INC | 20717E101 | COM | 18,400 | $24,000 | dollars, detected | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 12,643 | $23,000 | dollars, detected | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 31,014 | $23,000 | dollars, detected | |
| ROCKWELL MED INC | 774374102 | COM | 36,950 | $22,000 | dollars, detected | |
| NEWAGE INC | 650194103 | COMMON STOCK | 10,835 | $15,000 | dollars, detected | |
| ELECTROCORE INC | 28531P103 | COM | 13,542 | $15,000 | dollars, detected |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001830819-21-000004 | this filing | 2021-10-19 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001830819-22-000006 | base | 2022-07-25 | acceptance time not in the bulk data set |