Advisor Group, Inc.
Follow13F filer, CIK 1681115, PHOENIX, AZ
Advisor Group, Inc. reported $9,917,819,000 across 5,256 holdings for the quarter ended 2018-09-30, in a 13F-HR filed 2018-11-14. Its ten largest share positions make up 19.04% of the portfolio.
Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001681115-18-000009
- Period
- 2018-09-30
- Reported value
- $9.92B
- Holdings
- 5,256
- Top 10 weight
- 19.04%
- New
- 420
- Sold out
- 236
Largest buys vs the previous quarter
| Security | Shares change | Approx. value |
|---|---|---|
| VOOadded | +409,036 | $109M |
| IVVadded | +316,290 | $92.6M |
| USMVadded | +1,442,422 | $82.3M |
| IVWadded | +387,612 | $68.7M |
| VEAadded | +1,295,308 | $56.1M |
Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.
Largest sells vs the previous quarter
| Security | Shares change | Approx. value |
|---|---|---|
| IWNreduced | -370,616 | -$49.3M |
| SPSBreduced | -615,803 | -$18.6M |
| DIAreduced | -38,104 | -$10.1M |
| BWXreduced | -336,447 | -$9.22M |
| HYDreduced | -249,792 | -$7.78M |
Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.
Back to all 5,136 share positions
Options
Puts and calls, as filed. The amount and value describe the underlying shares, not the option premium, so they stay out of % of portfolio (H5).
| Security | Type | Amount | Value | Change |
|---|---|---|---|---|
| APPLE INCAPPLE INC CALL | call | 15 | $146K | 0 |
| NETFLIX INC.NETFLIX INC. CALL | call | 3 | $73K | 0 |
| META PLATFORMS INCMETA PLATFORMS INC CALL | call | 35 | $51K | new |
| STATE STR SPDR S&P 500 ETF TSTATE STR SPDR S&P 500 ETF T PUT | put | 140 | $50K | +16 |
| ALIBABA GROUP HLDG LTDALIBABA GROUP HLDG LTD CALL | call | 10 | $23K | new |
| INVESCO QQQ TRINVESCO QQQ TR PUT | put | 30 | $12K | new |
| TWITTER INCTWITTER INC COM | call | 20 | $12K | new |
| STATE STR SPDR DOW JONES INDSTATE STR SPDR DOW JONES IND UT SER 1 | put | 30 | $11K | new |
| CITIGROUP INCCITIGROUP INC CALL | call | 3 | $7K | 0 |
| TEVA PHARMACEUTICAL INDS LTDTEVA PHARMACEUTICAL INDS LTD CALL | call | 10 | $7K | new |
| MACYS INCMACYS INC CALL | call | 50 | $6K | 0 |
| BANK OF AMER CORPBANK OF AMER CORP CALL | call | 13 | $2K | 0 |
| BAUSCH HEALTH COS INCBAUSCH HEALTH COS INC COM | call | 2 | $2K | new |
| TESLA INCTESLA INC PUT | put | 7 | $1K | -2 |
| FREEPORT MCMORAN INCFREEPORT MCMORAN INC CALL | call | 12 | $1K | new |
| MICRON TECHNOLOGY INCMICRON TECHNOLOGY INC CALL | call | 5 | $0 | new |
| SPDR GOLD TRSPDR GOLD TR CALL | call | 8 | $0 | new |
| NETFLIX INC.NETFLIX INC. PUT | put | 50 | $0 | -50 |
| BLOCK INCBLOCK INC PUT | put | 1 | $0 | new |
| CERNER CORPCERNER CORP COM | put | 60 | $0 | 0 |
| WORLD WRESTLING ENTERTAINME…WORLD WRESTLING ENTERTAINMENT CMN… Cmn | put | 1 | $0 | new |
| ENERGOUS CORPENERGOUS CORP CALL | call | 1 | $0 | 0 |
Principal amounts
Notes and convertibles filed as a face amount (PRN). A face amount is never added to a share count (H6).
| Security | Type | Amount | Value | Change |
|---|---|---|---|---|
| PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1 | principal | 466 | $468K | 0 |
| PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 | principal | 80 | $80K | +20 |
| PORTFOLIO RECOVERY ASSOCS INPORTFOLIO RECOVERY ASSOCS IN NOTE 3.000% 8/0 | principal | 59 | $57K | 0 |
| CALAMP CORPCALAMP CORP NOTE 1.625% 5/1 | principal | 52 | $55K | 0 |
| ATLAS AIR WORLDWIDE HLDGS INATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 | principal | 46 | $53K | -4 |
| FINISAR CORPFINISAR CORP NOTE 0.500%12/1 | principal | 57 | $52K | 0 |
| APOLLO COML REAL EST FIN INCAPOLLO COML REAL EST FIN INC NOTE 4.750% 8/2 | principal | 52 | $52K | 0 |
| PENNYMAC CORPPENNYMAC CORP NOTE 5.375% 5/0 | principal | 52 | $52K | +7 |
| KB HOME 1.375KB HOME 1.375 NOTE 1.375% 2/0 | principal | 50 | $51K | 0 |
| BLACKROCK CAP INVT CORPBLACKROCK CAP INVT CORP NOTE 5.000% 6/1 | principal | 50 | $51K | new |
| TUTOR PERINI CORPTUTOR PERINI CORP NOTE 2.875% 6/1 | principal | 47 | $48K | 0 |
| HCI GROUP INCHCI GROUP INC NOTE 4.250% 3/0 | principal | 48 | $48K | 0 |
| BLACKSTONE MORTGAGE TRUST INBLACKSTONE MORTGAGE TRUST IN NOTE 4.375% 5/0 | principal | 48 | $48K | 0 |
| VIAVI SOLUTIONS INCVIAVI SOLUTIONS INC NOTE 1.000% 3/0 | principal | 44 | $47K | +28 |
| PACIRA BIOSCIENCESPACIRA BIOSCIENCES NOTE 2.375% 4/0 | principal | 41 | $43K | new |
| HORIZON GLOBAL CORPHORIZON GLOBAL CORP NOTE 2.750% 7/0 | principal | 58 | $43K | 0 |
| ROVI CORPROVI CORP NOTE 0.500% 3/0 | principal | 42 | $40K | -5 |
| NEW YORK MTG TRUSTNEW YORK MTG TRUST NOTE 6.250% 1/1 | principal | 39 | $39K | -9 |
| VEECO INSTRS INC DELVEECO INSTRS INC DEL NOTE 2.700% 1/1 | principal | 33 | $28K | 0 |
| TTM TECHNOLOGIES INCTTM TECHNOLOGIES INC NOTE 1.750%12/1 | principal | 16 | $27K | -11 |
| ILLUMINA INCILLUMINA INC NOTE 0.500% 6/1 | principal | 17 | $26K | 0 |
| GREEN PLAINS INCGREEN PLAINS INC NOTE 4.125% 9/0 | principal | 26 | $25K | 0 |
| INTEL CORPINTEL CORP CORPORATE OBLIG | principal | 10 | $23K | 0 |
| TWITTER INCTWITTER INC NOTE 1.000% 9/1 | principal | 25 | $23K | 0 |
| PRICELINE GRP INCPRICELINE GRP INC NOTE 0.900% 9/1 | principal | 19 | $23K | 0 |
| ON SEMICONDUCTOR CORPON SEMICONDUCTOR CORP NOTE 1.000%12/0 | principal | 19 | $22K | 0 |
| INPHI CORPINPHI CORP NOTE 0.750% 9/0 | principal | 21 | $21K | -5 |
| YAHOO INCYAHOO INC NOTE 12/0 | principal | 16 | $21K | 0 |
| WELLS FARGO & COWELLS FARGO & CO MTNF 6/0 | principal | 12 | $20K | 0 |
| GUIDEWIRE SOFTWARE INCGUIDEWIRE SOFTWARE INC BOND | principal | 18 | $19K | +7 |
| CITRIX SYS INCCITRIX SYS INC NOTE 0.500% 4/1 | principal | 12 | $18K | 0 |
| TESLA INCTESLA INC NOTE 1.250% 3/0 | principal | 18 | $17K | -5 |
| BIOMARIN PHARMACEUTICAL INCBIOMARIN PHARMACEUTICAL INC NOTE 1.500%10/1 | principal | 14 | $17K | 0 |
| ADVANCED MICRO DEVICES INCADVANCED MICRO DEVICES INC COM | principal | 4 | $16K | 0 |
| MICROCHIP TECHNOLOGY INC.MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 | principal | 14 | $15K | 0 |
| NUVASIVE INCNUVASIVE INC NOTE 2.250% 3/1 | principal | 12 | $15K | 0 |
| ARES CAP CORPARES CAP CORP NOTE 4.375% 1/1 | principal | 15 | $15K | 0 |
| DISH NETWORK CORPORATIONDISH NETWORK CORPORATION NOTE 3.375% 8/1 | principal | 15 | $14K | 0 |
| LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL NOTE 1.000% 1/3 | principal | 11 | $13K | new |
| GREENBRIER COS INCGREENBRIER COS INC NOTE 2.875% 2/0 | principal | 11 | $13K | 0 |
| CAESARS ENTMT CORPCAESARS ENTMT CORP NOTE | principal | 7 | $13K | 0 |
| ALLSCRIPTS HEALTHCARE SOLUTNALLSCRIPTS HEALTHCARE SOLUTN NOTE 1.250% 7/0 | principal | 12 | $13K | 0 |
| STARWOOD PROPERTY TRUSTSTARWOOD PROPERTY TRUST Convertible Debt | principal | 12 | $12K | 0 |
| HANNON ARMSTRONG SUST INFR CHANNON ARMSTRONG SUST INFR C NOTE 4.125% 9/0 | principal | 12 | $12K | 0 |
| AKAMAI TECHNOLOGIES INCAKAMAI TECHNOLOGIES INC DBCV 2/1 | principal | 12 | $12K | 0 |
| PDC ENERGY INCPDC ENERGY INC NOTE 1.125% 9/1 | principal | 12 | $12K | new |
| ENVESTNET INCENVESTNET INC NOTE 1.75012/1 | principal | 11 | $12K | 0 |
| LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL NOTE 1.375%10/1 | principal | 9 | $11K | 0 |
| REDWOOD TRUST INCREDWOOD TRUST INC BOND | principal | 11 | $11K | 0 |
| RED HAT INCRED HAT INC NOTE 0.250%10/0 | principal | 6 | $11K | -2 |
| STARWOOD WAYPOINT RESIDENTLSTARWOOD WAYPOINT RESIDENTL NOTE 3.000% 7/0 | principal | 9 | $11K | 0 |
| MICROCHIP TECHNOLOGY INC.MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1 | principal | 6 | $10K | 0 |
| ARES CAPITAL CORPARES CAPITAL CORP NOTE 3.750% 2/0 | principal | 10 | $10K | +8 |
| PRICELINE GRP INCPRICELINE GRP INC NOTE 0.350% 6/1 | principal | 6 | $10K | 0 |
| GOLDMAN SACHS BDC INCGOLDMAN SACHS BDC INC NOTE 4.500% 4/0 | principal | 10 | $10K | new |
| PALO ALTO NETWORKS INCPALO ALTO NETWORKS INC NOTE 7/0 | principal | 5 | $10K | 0 |
| AIR LEASE CORPAIR LEASE CORP NOTE 3.875%12/0 | principal | 6 | $10K | 0 |
| DYCOM INDS INCDYCOM INDS INC NOTE 0.750% 9/1 | principal | 8 | $9K | 0 |
| ECHO GLOBAL LOGISTICS INCECHO GLOBAL LOGISTICS INC NOTE | principal | 9 | $9K | 0 |
| ATLAS AIR WORLDWIDE HLDGS INATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0 | principal | 7 | $8K | 0 |
| HCI GROUP INCHCI GROUP INC NOTE 3.875% 3/1 | principal | 8 | $8K | -29 |
| SM ENERGY COSM ENERGY CO NOTE 1.500% 7/0 | principal | 6 | $7K | new |
| GOLDMAN SACHS GROUP INCGOLDMAN SACHS GROUP INC CNV | principal | 7 | $7K | 0 |
| LIVE NATION ENTERTAINMENT INLIVE NATION ENTERTAINMENT IN NOTE 2.500 5/1 | principal | 4 | $7K | 0 |
| THERAVANCE INCTHERAVANCE INC CORPORATE OBLIG | principal | 6 | $6K | 0 |
| EXACT SCIENCES CORPEXACT SCIENCES CORP NOTE 1.000% 1/1 | principal | 5 | $6K | new |
| LUMENTUM HLDGS INCLUMENTUM HLDGS INC NOTE 0.250% 3/1 | principal | 5 | $6K | 0 |
| HERCULES CAPITAL INCHERCULES CAPITAL INC DBCV 4.375% 2/0 | principal | 6 | $6K | 0 |
| SYNAPTICS INCSYNAPTICS INC NOTE 0.500% 6/1 | principal | 6 | $6K | new |
| CTRIP COM INTL LTDCTRIP COM INTL LTD NOTE 1.000% 7/0 | principal | 6 | $6K | 0 |
| ROYAL GOLD INCROYAL GOLD INC NOTE | principal | 6 | $6K | 0 |
| SUNPOWER CORPSUNPOWER CORP DBCV 4.000% 1/1 | principal | 6 | $6K | 0 |
| RESTORATION HARDWARE HLDGS IRESTORATION HARDWARE HLDGS I DBCV 7/1 | principal | 5 | $6K | new |
| MICRON TECHNOLOGY INCMICRON TECHNOLOGY INC NOTE 3.000%11/1 | principal | 4 | $6K | 0 |
| MACQUARIE INFRASTRUCTURE CORMACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 | principal | 6 | $6K | 0 |
| LIBERTY INTERACTIVE LLCLIBERTY INTERACTIVE LLC DEB 3.750% 2/1 | principal | 7 | $5K | 0 |
| FIREEYE INCFIREEYE INC NOTE 1.000% 6/0 | principal | 5 | $5K | 0 |
| REDFIN CORPREDFIN CORP NOTE 1.750% 7/1 | principal | 6 | $5K | new |
| RYLAND GROUP 0.250RYLAND GROUP 0.250 NOTE 0.250% 6/0 | principal | 3 | $3K | 0 |
| HERBALIFE LTDHERBALIFE LTD NOTE 2.000% 8/1 | principal | 2 | $3K | 0 |
| IRONWOOD PHARMACEUTICALS INCIRONWOOD PHARMACEUTICALS INC DBCV 2.250% 6/1 | principal | 2 | $3K | 0 |
| OASIS PETE INC NEWOASIS PETE INC NEW NOTE | principal | 2 | $3K | 0 |
| SOLARCITY CORPSOLARCITY CORP NOTE 1.625%11/0 | principal | 3 | $3K | 0 |
| WEATHERFORD INTL LTDWEATHERFORD INTL LTD NOTE 5.875% 7/0 | principal | 3 | $3K | 0 |
| SILVER STD RES INCSILVER STD RES INC NOTE 2.875% 2/0 | principal | 3 | $3K | 0 |
| INPHI CORPINPHI CORP NOTE 1.125%12/0 | principal | 3 | $3K | 0 |
| EURONET WORLDWIDE INCEURONET WORLDWIDE INC NOTE 1.50010/0 | principal | 2 | $3K | 0 |
| TESLA INCTESLA INC NOTE 0.250 3/0 | principal | 3 | $3K | 0 |
| NAVISTAR INTL CORP NEWNAVISTAR INTL CORP NEW NOTE 4.750 4/1 | principal | 3 | $3K | 0 |
| LIBERTY INTERACTIVE LLCLIBERTY INTERACTIVE LLC DEB 4.000%11/1 | principal | 3 | $2K | 0 |
| ALZA CORP 7/2ALZA CORP 7/2 SDCV | principal | 1 | $2K | 0 |
| CLOVIS ONCOLOGY INCCLOVIS ONCOLOGY INC NOTE 2.500% 9/1 | principal | 2 | $2K | 0 |
| INSULET CORPINSULET CORP NOTE 1.250% 9/1 | principal | 1 | $2K | -3 |
| VIPSHOP HLDGS LTDVIPSHOP HLDGS LTD NOTE 1.500% 3/1 | principal | 2 | $2K | 0 |
| TERADYNE INCTERADYNE INC NOTE | principal | 1 | $1K | 0 |
| AEROJET ROCKETDYNE HLDGS INCAEROJET ROCKETDYNE HLDGS INC NOTE 2.250%12/1 | principal | 1 | $1K | 0 |
| ENSCO JERSEY FIN LTDENSCO JERSEY FIN LTD NOTE 3.000% 1/3 | principal | 1 | $1K | 0 |
| INCYTE CORPINCYTE CORP NOTE 0.375%11/1 | principal | 1 | $1K | new |
Sold out in Q3 2018
Positions in the previous quarter's report that this quarter's report no longer lists.
| Security | Shares before | Value before | Type |
|---|---|---|---|
| KKR & CO LPKKR & CO LP | 55,890 | $1.39M | shares |
| KAYNE ANDERSON ENERGY DEV COKAYNE ANDERSON ENERGY DEV CO | 72,830 | $1.27M | shares |
| DCT INDUSTRIAL TRUST INCDCT INDUSTRIAL TRUST INC | 14,915 | $995K | shares |
| TECHTARGET INCTECHTARGET INC | 33,167 | $942K | shares |
| DWS Mun Income TrDWS Mun Income Tr | 78,808 | $868K | shares |
| DR PEPPER SNAPPLE GROUP INCDR PEPPER SNAPPLE GROUP INC | 6,823 | $833K | shares |
| BOFI HOLDING INCBOFI HOLDING INC | 16,573 | $679K | shares |
| ADVENT CLAYMORE ENH GRW & INADVENT CLAYMORE ENH GRW & IN | 86,310 | $668K | shares |
| NANTHEALTH INCNANTHEALTH INC | 175,490 | $581K | shares |
| CYS INVTS INCCYS INVTS INC | 68,015 | $511K | shares |
| BANK OF THE OZARKSBANK OF THE OZARKS | 9,492 | $429K | shares |
| ADVENT CLAY CONV SEC INC FDADVENT CLAY CONV SEC INC FD | 72,105 | $402K | shares |
| VALEANT PHARMACEUTICALS INTLVALEANT PHARMACEUTICALS INTL | 17,149 | $398K | shares |
| DQDAQO NEW ENERGY CORP | 10,363 | $368K | shares |
| KAYNE ANDERSON ENRGY TTL RTKAYNE ANDERSON ENRGY TTL RT | 34,885 | $330K | shares |
| JPMORGAN CHASE + CO-CW18JPMORGAN CHASE + CO-CW18 | 5,020 | $318K | shares |
| MERIDIAN BIOSCIENCE INCMERIDIAN BIOSCIENCE INC | 17,195 | $273K | shares |
| iShares S&P AMT-Free Munici…iShares S&P AMT-Free Municipal | 10,701 | $272K | shares |
| KRANESHARES TRKRANESHARES TR | 7,414 | $262K | shares |
| WILLIAMS PARTNERS L P NEWWILLIAMS PARTNERS L P NEW | 6,299 | $256K | shares |
| FIRST TR EXCHANGE TRADED FDFIRST TR EXCHANGE TRADED FD | 9,922 | $243K | shares |
| EFZPROSHARES TR | 9,078 | $237K | shares |
| ISHARES TRISHARES TR | 5,180 | $215K | shares |
| BWZSPDR SERIES TRUST | 6,435 | $201K | shares |
| WGL HLDGS INCWGL HLDGS INC | 2,077 | $184K | shares |
| EDUCATION RLTY TR INCEDUCATION RLTY TR INC | 4,125 | $171K | shares |
| ISHARES TRISHARES TR | 5,530 | $159K | shares |
| STATE STR SPDR S&P 500 ETF TSTATE STR SPDR S&P 500 ETF T | 29 | $152K | call |
| TCP CAP CORPTCP CAP CORP | 10,416 | $151K | shares |
| SCHULMAN (A.) INCSCHULMAN (A.) INC | 3,143 | $140K | shares |
| KRANESHARES TRKRANESHARES TR | 3,683 | $124K | shares |
| RRGBRED ROBIN GOURMET BURGERS IN | 2,500 | $117K | shares |
| COTIVITI HLDGS INCCOTIVITI HLDGS INC | 2,588 | $114K | shares |
| NVMINOVA LTD | 3,775 | $103K | shares |
| XL GROUP LTDXL GROUP LTD | 1,837 | $102K | shares |
| DEEPETF SER SOLUTIONS | 2,634 | $92K | shares |
| QVALEA SERIES TRUST | 2,975 | $92K | shares |
| CIVBCIVISTA BANCSHARES INC | 3,653 | $88K | shares |
| ILG INCILG INC | 2,539 | $84K | shares |
| ORTHOFIX INTL N VORTHOFIX INTL N V | 1,441 | $82K | shares |
| NRG YIELD INCNRG YIELD INC | 4,739 | $82K | shares |
| RELX NVRELX NV | 3,703 | $79K | shares |
| SPECTRUM BRANDS HLDGS INCSPECTRUM BRANDS HLDGS INC | 877 | $71K | shares |
| RELIANT BANCORP INCRELIANT BANCORP INC | 2,521 | $71K | shares |
| MTGE INVT CORP COMMTGE INVT CORP COM | 3,549 | $69K | shares |
| QUALITY SYS INCQUALITY SYS INC | 3,474 | $68K | shares |
| HALYARD HEALTH INCHALYARD HEALTH INC | 1,153 | $66K | shares |
| STEWARDSHIP FINL CORPSTEWARDSHIP FINL CORP | 5,376 | $63K | shares |
| GGP INCGGP INC | 3,000 | $61K | shares |
| NUVEEN TEXAS QUAL MUN INNUVEEN TEXAS QUAL MUN IN | 4,781 | $61K | shares |
| UDIVFRANKLIN TEMPLETON ETF TR | 2,125 | $58K | shares |
| TSBKTIMBERLAND BANCORP INC | 1,479 | $55K | shares |
| Foundation Medicine IncFoundation Medicine Inc | 402 | $55K | shares |
| NRG YIELD INCNRG YIELD INC | 3,153 | $54K | shares |
| QUALITY CARE PPTYS INCQUALITY CARE PPTYS INC | 2,367 | $51K | shares |
| SBFGSB FINL GROUP INC | 2,451 | $50K | shares |
| OPPRIVERNORTH DOUBLELINE STRATE | 2,795 | $49K | shares |
| TALLGRASS ENERGY PARTNERS LPTALLGRASS ENERGY PARTNERS LP | 1,141 | $49K | shares |
| BOARDWALK PIPELINE PARTNERSBOARDWALK PIPELINE PARTNERS | 4,203 | $48K | shares |
| JHIHANCOCK JOHN INVS TR | 2,713 | $43K | shares |
| ENCORE CAP GROUP INCENCORE CAP GROUP INC | 47 | $43K | principal |
| INFINITY PROPERTY & CAS…INFINITY PROPERTY & CASUALTY | 295 | $42K | shares |
| RSP PERMIAN INCRSP PERMIAN INC | 887 | $39K | shares |
| TRIANGLE CAP CORPTRIANGLE CAP CORP | 3,279 | $37K | shares |
| LEGACY RESERVES LPLEGACY RESERVES LP | 4,418 | $31K | shares |
| ISHARES TRISHARES TR | 1,075 | $30K | shares |
| GASTAR EXPLORATION LTDGASTAR EXPLORATION LTD | 52,550 | $29K | shares |
| INTERNATIONAL MULTI-ASSET D…INTERNATIONAL MULTI-ASSET DIVERSI… | 1,698 | $29K | shares |
| PUTMAN HIGH INCOME SEC FUNDPUTMAN HIGH INCOME SEC FUND | 2,964 | $28K | shares |
| VEGIISHARES INC | 900 | $26K | shares |
| AVALGRUPO AVAL ACCIONES Y VALORE | 3,094 | $26K | shares |
| ABAXIS INCABAXIS INC | 258 | $21K | shares |
| BLACKROCK MUNIYIELD INVT FBLACKROCK MUNIYIELD INVT F | 1,537 | $21K | shares |
| THL CREDIT INCTHL CREDIT INC | 2,500 | $20K | shares |
| NEUBERGER BERMAN NY INT MUNNEUBERGER BERMAN NY INT MUN | 1,730 | $20K | shares |
| MVC CAPITAL INCMVC CAPITAL INC | 1,980 | $19K | shares |
| SUPER MICRO COMPUTER INCSUPER MICRO COMPUTER INC | 806 | $19K | shares |
| VIVINT SOLAR INC.VIVINT SOLAR INC. | 3,800 | $19K | shares |
| EGALET CORPEGALET CORP | 45,650 | $19K | shares |
| SAFTSAFETY INS GROUP INC | 207 | $18K | shares |
| Blackrock 2022 Global InBlackrock 2022 Global In | 2,000 | $18K | shares |
| Dws Strategic Muni IncmDws Strategic Muni Incm | 1,634 | $18K | shares |
| INVESCO EXCHNG TRADED FD TRINVESCO EXCHNG TRADED FD TR | 806 | $18K | shares |
| WORKDAY INCWORKDAY INC | 12 | $18K | principal |
| ISHARES EDGE MSCI MIN VOL E…ISHARES EDGE MSCI MIN VOL EAFE CU… | 633 | $18K | shares |
| ANGI INC CLASS AANGI INC CLASS A | 1,130 | $17K | shares |
| VERIFONE SYS INCVERIFONE SYS INC | 693 | $16K | shares |
| EXCHANGE LISTED FDS TR REX …EXCHANGE LISTED FDS TR REX BKCM E… | 600 | $15K | shares |
| ISHARES TRISHARES TR | 670 | $15K | shares |
| ETDETHAN ALLEN INTERIORS INC | 568 | $14K | shares |
| GALMED PHARMACEUTICALS LTDGALMED PHARMACEUTICALS LTD | 1,200 | $14K | shares |
| KSAISHARES TR | 400 | $13K | shares |
| CHARTER FINANCIAL CORPCHARTER FINANCIAL CORP | 544 | $13K | shares |
| ISHARES TRISHARES TR | 532 | $13K | shares |
| INTELLIPHARMACEUTICS INTERNAINTELLIPHARMACEUTICS INTERNA | 29,462 | $13K | shares |
| AXTIAXT INC | 1,685 | $12K | shares |
| ISHARES TRISHARES TR | 200 | $12K | shares |
| NEVRO CORPNEVRO CORP | 11 | $12K | principal |
| BCVBANCROFT FD LTD | 521 | $11K | shares |
| AKERS BIOSCIENCES INCAKERS BIOSCIENCES INC | 29,000 | $11K | shares |
| C&J ENERGY SVCS INC NEWC&J ENERGY SVCS INC NEW | 463 | $11K | shares |
| MOLINA HEALTHCARE INCMOLINA HEALTHCARE INC | 7 | $11K | principal |
| CORNTEUCRIUM COMMODITY TR | 625 | $10K | shares |
| NOVELLUS SYS INCNOVELLUS SYS INC | 2 | $10K | principal |
| EQCEQUITY COMMONWEALTH | 270 | $9K | shares |
| FRBKQREPUBLIC FIRST BANCORP INC | 1,200 | $9K | shares |
| FIDELITY NATIONAL FINANCIALFIDELITY NATIONAL FINANCIAL | 3 | $9K | principal |
| ISHARES TRISHARES TR | 341 | $9K | shares |
| WPX ENERGY INCWPX ENERGY INC | 117 | $9K | shares |
| USNAUSANA HEALTH SCIENCES INC | 70 | $8K | shares |
| ABEONA THERAPEUTICS INCABEONA THERAPEUTICS INC | 500 | $8K | shares |
| FTAGFIRST TR EXCHANGE-TRADED FD | 309 | $8K | shares |
| MOG-BMOOG INC | 100 | $8K | shares |
| VALIDUS HOLDINGS LTDVALIDUS HOLDINGS LTD | 104 | $8K | shares |
| POTBELLY CORPPOTBELLY CORP | 654 | $8K | shares |
| Vitamin Shoppe, Inc.Vitamin Shoppe, Inc. | 1,202 | $8K | shares |
| STRAYER ED INCSTRAYER ED INC | 70 | $8K | shares |
| NEPTUNE TECHNOLOGIES BIORESONEPTUNE TECHNOLOGIES BIORESO | 2,500 | $8K | shares |
| FIVE PRIME THERAPEUTICS INC.FIVE PRIME THERAPEUTICS INC. | 502 | $8K | shares |
| WEB COM GROUP INCWEB COM GROUP INC | 8 | $8K | principal |
| PROOFPOINT INCPROOFPOINT INC | 6 | $8K | principal |
| UREPROSHARES TR | 100 | $7K | shares |
| NUSTAR GP HOLDINGS LLCNUSTAR GP HOLDINGS LLC | 560 | $7K | shares |
| MICROBOT MED INCMICROBOT MED INC | 9,511 | $7K | shares |
| KNOWLES CORPKNOWLES CORP | 6 | $7K | principal |
| INVESCO BLDRS INDEX FDS TRINVESCO BLDRS INDEX FDS TR | 330 | $7K | shares |
| CAVIUM INCCAVIUM INC | 63 | $6K | shares |
| VOXX INTERNATIONAL CORPVOXX INTERNATIONAL CORP | 1,200 | $6K | shares |
| RTI INTL METALS INCRTI INTL METALS INC | 6 | $6K | principal |
| ISHARES TRISHARES TR | 259 | $6K | shares |
| UNITED FINL BANCORP INC NEWUNITED FINL BANCORP INC NEW | 351 | $6K | shares |
| FINISAR CORPFINISAR CORP | 6 | $6K | principal |
| FBNDFIDELITY MERRIMACK STR TR | 100 | $5K | shares |
| ASURASURE SOFTWARE INC | 300 | $5K | shares |
| TRINITY BIOTECH PLCTRINITY BIOTECH PLC | 900 | $5K | shares |
| DEPOMED INCDEPOMED INC | 800 | $5K | shares |
| AXIAYAXIA ENERGIA SA | 1,200 | $4K | shares |
| RSPRINVESCO EXCHANGE TRADED FD T | 150 | $4K | shares |
| HERSHEY COHERSHEY CO | 20 | $4K | call |
| HIGHPOINT RES CORPHIGHPOINT RES CORP | 610 | $4K | shares |
| ELLIS PERRY INTL INCELLIS PERRY INTL INC | 147 | $4K | shares |
| NEXTERA ENERGY INCNEXTERA ENERGY INC | 50 | $4K | shares |
| XNETXUNLEI LTD | 300 | $3K | shares |
| FXYINVESCO CURRENCYSHARES | 30 | $3K | shares |
| ECNSISHARES TR | 55 | $3K | shares |
| CRISPR THERAPEUTICS AGCRISPR THERAPEUTICS AG | 8 | $3K | call |
| DINE BRANDS GLOBAL INCDINE BRANDS GLOBAL INC | 5 | $3K | put |
| Community West BancsharesCommunity West Bancshares | 250 | $3K | shares |
| VINA CONCHA Y TORO S AVINA CONCHA Y TORO S A | 66 | $3K | shares |
| TORTOISE MLP FD INCTORTOISE MLP FD INC | 7,531 | $3K | shares |
| KEYW HLDG CORPKEYW HLDG CORP | 350 | $3K | shares |
| DURECT CORPDURECT CORP | 1,800 | $3K | shares |
| TRISTATE CAP HLDGS INC COMTRISTATE CAP HLDGS INC COM | 125 | $3K | shares |
| IPASS INCIPASS INC | 8,800 | $3K | shares |
| MITEL NETWORKS CORPMITEL NETWORKS CORP | 301 | $3K | shares |
| REMARK HLDGS INCREMARK HLDGS INC | 785 | $3K | shares |
| FRANKLIN FINL NETWORK INCFRANKLIN FINL NETWORK INC | 74 | $3K | shares |
| AMERICAN RLTY CAP PPTYS INCAMERICAN RLTY CAP PPTYS INC | 3 | $3K | principal |
| ISHARES TRISHARES TR | 100 | $3K | shares |
| BCHBANCO DE CHILE | 24 | $2K | shares |
| CAPITALA FIN CORPCAPITALA FIN CORP | 200 | $2K | shares |
| TBRGTRUBRIDGE INC | 60 | $2K | shares |
| KINDRED HEALTHCARE INCKINDRED HEALTHCARE INC | 190 | $2K | shares |
| NATIONSTAR MORTGAGE HOLDINGSNATIONSTAR MORTGAGE HOLDINGS | 100 | $2K | shares |
| SEADRILL ORDSEADRILL ORD | 9,901 | $2K | shares |
| RETROPHIN INCRETROPHIN INC | 57 | $2K | shares |
| VIVUS INCVIVUS INC | 2,500 | $2K | shares |
| VALEANT PHARMACEUTICALS INTEVALEANT PHARMACEUTICALS INTE | 2 | $2K | call |
| CHEETAH MOBILE INC SPONSORE…CHEETAH MOBILE INC SPONSORED ADS | 294 | $2K | shares |
| VENATOR MATERIALS PLCVENATOR MATERIALS PLC | 93 | $2K | shares |
| AKCEA THERAPEUTICS INCAKCEA THERAPEUTICS INC | 100 | $2K | shares |
| SPDR INDEX SHS FDS EUR STOX…SPDR INDEX SHS FDS EUR STOXX SMCP | 30 | $2K | shares |
| SERVICENOW INCSERVICENOW INC | 1 | $2K | principal |
| NWPXNWPX INFRASTRUCTURE INC | 50 | $1K | shares |
| OSSONE STOP SYS INC | 163 | $1K | shares |
| GENCGENCOR INDS INC | 50 | $1K | shares |
| BNOUNITED STS BRENT OIL FD LP | 39 | $1K | shares |
| LA JOLLA PHARMACEUTICAL COLA JOLLA PHARMACEUTICAL CO | 35 | $1K | shares |
| ADVANTAGE OIL & GAS LTDADVANTAGE OIL & GAS LTD | 241 | $1K | shares |
| SRNESORRENTO THERAPEUTICS, INC. | 100 | $1K | shares |
| PARKER DRILLING COPARKER DRILLING CO | 3,407 | $1K | shares |
| JA SOLAR HOLDINGS CO LTDJA SOLAR HOLDINGS CO LTD | 121 | $1K | shares |
| FINANCIAL ENGINES INCFINANCIAL ENGINES INC | 30 | $1K | shares |
| ARALEZ PHARMACEUTICALS INCARALEZ PHARMACEUTICALS INC | 3,820 | $1K | shares |
| ITAU CORPBANCAITAU CORPBANCA | 40 | $1K | shares |
| HRG GROUP INC COMHRG GROUP INC COM | 102 | $1K | shares |
| PULMATRIX INCPULMATRIX INC | 1,200 | $1K | shares |
| BARCLAYS BK PLCBARCLAYS BK PLC | 5 | $1K | put |
| TINTRI INCTINTRI INC | 5,100 | $1K | shares |
| CHIPMOS TECHNOLOGIES INC SP…CHIPMOS TECHNOLOGIES INC SPONSORE… | 34 | $1K | shares |
| ENICENEL CHILE SA | 36 | $0 | shares |
| KOFCOCA-COLA FEMSA SAB DE CV | 4 | $0 | shares |
| TGSTRANSPORTADORA DE GAS DEL SU | 7 | $0 | shares |
| AMERICA MOVIL SAB DE CVAMERICA MOVIL SAB DE CV | 5 | $0 | shares |
| FSBWFS BANCORP INC | 3 | $0 | shares |
| ATECALPHATEC HLDGS INC | 108 | $0 | shares |
| QCRHQCR HLDGS INC | 4 | $0 | shares |
| KINSKINGSTONE COS INC | 12 | $0 | shares |
| CPACCEMENTOS PACASMAYO S A A | 7 | $0 | shares |
| HTTHIGH TEMPLAR TECHNOLOGY LTD | 31 | $0 | shares |
| VLRSCONTROLADORA VUELA COMP DE A | 7 | $0 | shares |
| HNNAHENNESSY ADVISORS INC | 11 | $0 | shares |
| ORACLE CORPORACLE CORP | 10 | $0 | call |
| YRDYIREN DIGITAL LTD | 5 | $0 | shares |
| MARATHON PETE CORPMARATHON PETE CORP | 5 | $0 | call |
| BLACKBERRY LTDBLACKBERRY LTD | 10 | $0 | call |
| FIVE STAR SENIOR LIVINGFIVE STAR SENIOR LIVING | 5 | $0 | shares |
| NLSTNETLIST, INC. COM STK | 1,850 | $0 | shares |
| HGTXUHUGOTON ROYALTY TST UBI | 17 | $0 | shares |
| LA Z BOY INCLA Z BOY INC | 2 | $0 | call |
| TARENA INTL INCTARENA INTL INC | 13 | $0 | shares |
| ENDOLOGIX INCENDOLOGIX INC | 37 | $0 | shares |
| AEGEAN MARINE PETROLEUM NETWAEGEAN MARINE PETROLEUM NETW | 595 | $0 | shares |
| PHOENIX NEW MEDIA LTDPHOENIX NEW MEDIA LTD | 61 | $0 | shares |
| PERION NETWORK LTDPERION NETWORK LTD | 142 | $0 | shares |
| BED BATH BEYOND INCBED BATH BEYOND INC | 5 | $0 | put |
| CHINA DISTANCE ED HLDGS LTDCHINA DISTANCE ED HLDGS LTD | 37 | $0 | shares |
| ORIGIN AGRITECH LIMITEDORIGIN AGRITECH LIMITED | 500 | $0 | shares |
| CHINA NEW BORUN CORPCHINA NEW BORUN CORP | 130 | $0 | shares |
| HELIOS & MATHESON ANALYTICSHELIOS & MATHESON ANALYTICS | 2,820 | $0 | shares |
| BIOTIME INCBIOTIME INC | 109 | $0 | shares |
| BRIGHT SCHOLAR ED HLDGS LTDBRIGHT SCHOLAR ED HLDGS LTD | 4 | $0 | shares |
| STEEL CONNECT INCSTEEL CONNECT INC | 100 | $0 | shares |
| SUPERCONDUCTOR TECHNOLOGIESSUPERCONDUCTOR TECHNOLOGIES | 42 | $0 | shares |
| YIELD10 BIOSCIENCE INCYIELD10 BIOSCIENCE INC | 33 | $0 | shares |
| IRSA PROPIEDADES COMERCIALESIRSA PROPIEDADES COMERCIALES | 3 | $0 | shares |
| CHINA TECHFAITH WIRLS COMM TCHINA TECHFAITH WIRLS COMM T | 261 | $0 | shares |
| SB ONE BANCORPSB ONE BANCORP | 7 | $0 | shares |
| JUMEI INTL HLDG LTDJUMEI INTL HLDG LTD | 113 | $0 | shares |
| YINTECH INVT HLDGS LTDYINTECH INVT HLDGS LTD | 56 | $0 | shares |
| AYTU BIOSCIENCE INCAYTU BIOSCIENCE INC | 22 | $0 | shares |
| FANG HLDGS LTDFANG HLDGS LTD | 10 | $0 | call |
| FRONTIER COMMUNICATIONS CORPFRONTIER COMMUNICATIONS CORP | 50 | $0 | shares |
| EASTMAN KODAK CO WT EXP 090…EASTMAN KODAK CO WT EXP 090318 | 77 | $0 | shares |
| EASTMAN KODAK CO WT EXP 090…EASTMAN KODAK CO WT EXP 090318 | 31 | $0 | shares |
| HUDBAY MINERALS INCHUDBAY MINERALS INC | 510 | $0 | shares |
How Q3 2018 was built
Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).
| Filing | Role | Amendment | Filed | Accepted | Ingested |
|---|---|---|---|---|---|
| 13F-HR 0001681115-18-000009 | base | 2018-11-14 | acceptance time not in the bulk data set |