Skip to content
Disclosery

FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD

Follow

13F filer, CIK 1051042, TRAVERSE CITY, MI

FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD reported $288,507,000 across 83 holdings for the quarter ended 2017-12-31, in a 13F-HR filed 2018-01-25. Its ten largest share positions make up 47.96% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001062993-18-000318

Period
2017-12-31
Reported value
$289M
Holdings
83
Top 10 weight
47.96%
New
13
Sold out
16

Largest buys vs the previous quarter

SecurityShares changeApprox. value
SCHPnew+306,983$17M
CLAYMORE EXCHANGE TRD FD TRnew+561,030$11.8M
VOYA PRIME RATE TRUSTnew+1,110,576$5.63M
AGInew+832,782$5.42M
MRKnew+88,675$4.99M

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

SecurityShares changeApprox. value
WIWreduced-1,935,759-$22.1M
CLAYMORE EXCHANGE TRD FD TRexited-625,376-$14.1M
SPARK NETWORKS INCreduced-891,819-$11.3M
SCHOreduced-172,496-$8.63M
GROWreduced-1,467,704-$5.72M

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.

Holdings, Q4 2017

Share positions as resolved from 13F-HR 0001062993-18-000318, largest first. % of portfolio is the value over $288,506,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
SCHOSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 639,957 shares; 2017Q2: 733,572 shares; 2017Q3: 770,449 shares; 2017Q4: 597,953 shares 597,953$29.9M10.37%-172,496Timeline
SCHRSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 690,296 shares; 2017Q2: 62,319 shares; 2017Q3: 573,756 shares; 2017Q4: 483,181 shares 483,181$25.8M8.93%-90,575Timeline
SCHPSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 306,983 shares 306,983$17M5.9%newTimeline
KWKENNEDY-WILSON HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 472,391 shares; 2017Q3: 531,414 shares; 2017Q4: 712,052 shares 712,052$12.4M4.28%+180,638Timeline
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 561,030 shares 561,030$11.8M4.1%new
WPMWHEATON PRECIOUS METALS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 348,227 shares; 2017Q3: 419,074 shares; 2017Q4: 420,689 shares 420,689$9.31M3.23%+1,615Timeline
MPTMEDICAL PROPERTIES TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 651,852 shares; 2017Q2: 641,490 shares; 2017Q3: 642,294 shares; 2017Q4: 630,387 shares 630,387$8.69M3.01%-11,907Timeline
FTFRANKLIN UNVL TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,107,610 shares; 2017Q2: 1,128,325 shares; 2017Q3: 1,125,359 shares; 2017Q4: 1,130,705 shares 1,130,705$8.11M2.81%+5,346Timeline
NOKNOKIA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,154,881 shares; 2017Q2: 1,150,943 shares; 2017Q3: 1,152,402 shares; 2017Q4: 1,661,957 shares 1,661,957$7.75M2.68%+509,555Timeline
Sandstorm Gold LtdSandstorm Gold LtdQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,507,948 shares; 2017Q2: 1,682,307 shares; 2017Q3: 1,558,627 shares; 2017Q4: 1,528,387 shares 1,528,387$7.63M2.64%-30,240
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 473,497 shares; 2017Q2: 809,339 shares; 2017Q3: 803,689 shares; 2017Q4: 798,793 shares 798,793$6.85M2.38%-4,896
VEREIT INCVEREIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 311,800 shares; 2017Q2: 682,302 shares; 2017Q3: 712,087 shares; 2017Q4: 850,782 shares 850,782$6.63M2.3%+138,695
BRXBRIXMOR PPTY GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 175,342 shares; 2017Q4: 309,603 shares 309,603$5.78M2%+134,261Timeline
UNITI GROUP INCUNITI GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 326,305 shares; 2017Q4: 323,702 shares 323,702$5.76M2%-2,603
VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,550 shares; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 1,110,576 shares 1,110,576$5.63M1.95%new
GREAT PANTHER MININGGREAT PANTHER MININGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 876,971 shares; 2017Q4: 4,275,365 shares 4,275,365$5.51M1.91%+3,398,394
AGIALAMOS GOLD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 832,782 shares 832,782$5.42M1.88%newTimeline
NEW SR INVT GROUP INCNEW SR INVT GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 681,752 shares; 2017Q2: 682,564 shares; 2017Q3: 697,923 shares; 2017Q4: 696,443 shares 696,443$5.26M1.82%-1,480
VODVODAFONE GROUP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 241,010 shares; 2017Q2: 182,380 shares; 2017Q3: 182,189 shares; 2017Q4: 163,575 shares 163,575$5.22M1.81%-18,614Timeline
ACGPASSOCIATED CAP GROUP INC CLASSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,641 shares; 2017Q2: 72,870 shares; 2017Q3: 115,604 shares; 2017Q4: 150,269 shares 150,269$5.12M1.78%+34,665Timeline
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 88,675 shares 88,675$4.99M1.73%newTimeline
DISDISNEY WALT COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,450 shares; 2017Q2: 21,617 shares; 2017Q3: 43,409 shares; 2017Q4: 43,233 shares 43,233$4.65M1.61%-176Timeline
ZROZPIMCO ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 38,898 shares; 2017Q2: 38,683 shares; 2017Q3: 38,413 shares; 2017Q4: 38,023 shares 38,023$4.62M1.6%-390Timeline
SPTLSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 54,973 shares; 2017Q2: 56,996 shares; 2017Q3: 56,763 shares; 2017Q4: 124,961 shares 124,961$4.57M1.58%+68,198Timeline
COVANTA HLDG CORPCOVANTA HLDG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 207,907 shares; 2017Q2: 259,888 shares; 2017Q3: 260,372 shares; 2017Q4: 255,296 shares 255,296$4.32M1.5%-5,076
VVRINVESCO SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 25,998 shares; 2017Q2: not reported; 2017Q3: 335,600 shares; 2017Q4: 850,184 shares 850,184$3.73M1.29%+514,584Timeline
GWRSGLOBAL WTR RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 415,191 shares; 2017Q2: 408,410 shares; 2017Q3: 399,330 shares; 2017Q4: 392,743 shares 392,743$3.67M1.27%-6,587Timeline
IEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 35,245 shares; 2017Q2: 35,245 shares; 2017Q3: 34,620 shares; 2017Q4: 34,286 shares 34,286$3.62M1.25%-334Timeline
COTT CORP QUECOTT CORP QUEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 364,951 shares; 2017Q2: 360,988 shares; 2017Q3: 356,323 shares; 2017Q4: 214,401 shares 214,401$3.57M1.24%-141,922
SHYISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 28,750 shares; 2017Q2: 29,050 shares; 2017Q3: 29,050 shares; 2017Q4: 42,342 shares 42,342$3.55M1.23%+13,292Timeline
GDLGDL FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 353,776 shares; 2017Q2: 371,255 shares; 2017Q3: 363,647 shares; 2017Q4: 354,644 shares 354,644$3.45M1.2%-9,003Timeline
GROWU S GLOBAL INVS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,401,526 shares; 2017Q2: 2,378,219 shares; 2017Q3: 2,222,875 shares; 2017Q4: 755,171 shares 755,171$2.94M1.02%-1,467,704Timeline
WIWWESTERN AST INFL LKD OPP & IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,596,718 shares; 2017Q2: 2,584,285 shares; 2017Q3: 2,187,628 shares; 2017Q4: 251,869 shares 251,869$2.88M1%-1,935,759Timeline
ARRAY BIOPHARMA INC COMARRAY BIOPHARMA INC COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 226,256 shares; 2017Q4: 220,806 shares 220,806$2.83M0.98%-5,450
SELFGLOBAL SELF STORAGE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 918,189 shares; 2017Q2: 885,164 shares; 2017Q3: 712,921 shares; 2017Q4: 598,020 shares 598,020$2.77M0.96%-114,901Timeline
SPARK NETWORKS INCSPARK NETWORKS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 555,012 shares; 2017Q2: 932,413 shares; 2017Q3: 1,081,125 shares; 2017Q4: 189,306 shares 189,306$2.4M0.83%-891,819
TEMPLETON GLOBAL INCOME FDTEMPLETON GLOBAL INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 651,620 shares; 2017Q2: 1,064,493 shares; 2017Q3: 329,489 shares; 2017Q4: 362,245 shares 362,245$2.34M0.81%+32,756
HASIHA SUSTAINABLE INFRA CAP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 249,799 shares; 2017Q2: 180,846 shares; 2017Q3: 99,143 shares; 2017Q4: 91,728 shares 91,728$2.21M0.76%-7,415Timeline
INVESCO DYNAMIC CR OPPORTUNIINVESCO DYNAMIC CR OPPORTUNIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 161,802 shares 161,802$1.9M0.66%new
NEW YORK REIT INCNEW YORK REIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 590,205 shares; 2017Q3: 1,002,941 shares; 2017Q4: 465,554 shares 465,554$1.83M0.63%-537,387
ESEVERSOURCE ENERGYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 29,860 shares; 2017Q2: 27,366 shares; 2017Q3: 27,509 shares; 2017Q4: 27,653 shares 27,653$1.75M0.61%+144Timeline
180 DEGREE CAP CORP180 DEGREE CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,720,303 shares; 2017Q2: 1,614,501 shares; 2017Q3: 1,534,111 shares; 2017Q4: 798,064 shares 798,064$1.57M0.54%-736,047
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 166,293 shares; 2017Q2: 310,818 shares; 2017Q3: 297,035 shares; 2017Q4: 359,108 shares 359,108$1.49M0.52%+62,073Timeline
FASTFASTENAL COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,557 shares; 2017Q2: 22,555 shares; 2017Q3: 22,694 shares; 2017Q4: 26,902 shares 26,902$1.47M0.51%+4,208Timeline
SEQUENTIAL BRNDS GROUP ISEQUENTIAL BRNDS GROUP IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 527,699 shares; 2017Q3: 708,700 shares; 2017Q4: 808,229 shares 808,229$1.44M0.5%+99,529
BRK-BBERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,301 shares; 2017Q2: 7,301 shares; 2017Q3: 7,301 shares; 2017Q4: 7,226 shares 7,226$1.43M0.5%-75Timeline
EATON VANCE MI MUNI INCOME TEATON VANCE MI MUNI INCOME TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 83,810 shares; 2017Q2: 82,810 shares; 2017Q3: 82,810 shares; 2017Q4: 81,610 shares 81,610$1.05M0.36%-1,200
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 76,282 shares; 2017Q2: 76,282 shares; 2017Q3: 76,282 shares; 2017Q4: 77,682 shares 77,682$1.03M0.36%+1,400
GOAUETF SER SOLUTIONSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 60,911 shares; 2017Q3: 59,928 shares; 2017Q4: 75,364 shares 75,364$980K0.34%+15,436Timeline
CLCOLGATE PALMOLIVE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,200 shares; 2017Q2: 12,200 shares; 2017Q3: 12,200 shares; 2017Q4: 12,200 shares 12,200$920K0.32%0Timeline
PGPROCTER & GAMBLE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 9,016 shares; 2017Q2: 9,228 shares; 2017Q3: 9,229 shares; 2017Q4: 9,119 shares 9,119$838K0.29%-110Timeline
IGRCBRE GBL REAL ESTATE INC FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 33,093 shares; 2017Q2: 108,351 shares; 2017Q3: 111,423 shares; 2017Q4: 105,805 shares 105,805$838K0.29%-5,618Timeline
VGITVANGUARD SCOTTSDALE FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 12,115 shares 12,115$775K0.27%newTimeline
MCDMCDONALDS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 4,336 shares; 2017Q3: 4,336 shares; 2017Q4: 4,336 shares 4,336$746K0.26%0Timeline
PEPPEPSICO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 6,194 shares; 2017Q4: 6,194 shares 6,194$743K0.26%0Timeline
DTEDTE ENERGY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,146 shares; 2017Q2: 6,554 shares; 2017Q3: 6,588 shares; 2017Q4: 6,620 shares 6,620$725K0.25%+32Timeline
EDCONSOLIDATED EDISON INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 8,343 shares; 2017Q2: 7,689 shares; 2017Q3: 7,731 shares; 2017Q4: 7,771 shares 7,771$660K0.23%+40Timeline
SPESPECIAL OPPORTUNITIES FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 13,768 shares; 2017Q2: 15,724 shares; 2017Q3: 23,712 shares; 2017Q4: 36,580 shares 36,580$544K0.19%+12,868Timeline
SPECIAL OPPORTUNITIES FD IN…SPECIAL OPPORTUNITIES FD INC 2.75…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,454 shares; 2017Q2: 21,313 shares; 2017Q3: 21,007 shares; 2017Q4: 20,806 shares 20,806$538K0.19%-201
STEWSRH TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 49,004 shares; 2017Q2: 48,472 shares; 2017Q3: 46,393 shares; 2017Q4: 45,594 shares 45,594$506K0.18%-799Timeline
TLTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,345 shares; 2017Q2: not reported; 2017Q3: 3,345 shares; 2017Q4: 3,755 shares 3,755$476K0.16%+410Timeline
GISGENERAL MILLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 7,278 shares; 2017Q4: 7,280 shares 7,280$432K0.15%+2Timeline
VIRTUS TOTAL RETURN FUND INCVIRTUS TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 33,956 shares; 2017Q3: 32,416 shares; 2017Q4: 31,416 shares 31,416$405K0.14%-1,000
GLOCLOUGH GLOBAL OPPORTUNITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 262,368 shares; 2017Q2: 41,438 shares; 2017Q3: 35,280 shares; 2017Q4: 37,050 shares 37,050$403K0.14%+1,770Timeline
LWAYLIFEWAY FOODS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 15,565 shares; 2017Q3: 15,565 shares; 2017Q4: 50,302 shares 50,302$402K0.14%+34,737Timeline
WALGREENS BOOTS ALLIANCE INCWALGREENS BOOTS ALLIANCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 5,011 shares; 2017Q2: 5,011 shares; 2017Q3: 5,011 shares; 2017Q4: 5,011 shares 5,011$364K0.13%0
UNHUNITEDHEALTH GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,518 shares; 2017Q2: 1,518 shares; 2017Q3: 1,518 shares; 2017Q4: 1,518 shares 1,518$335K0.12%0Timeline
IBMINTERNATIONAL BUSINESS MACHSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,958 shares; 2017Q2: 1,973 shares; 2017Q3: 2,053 shares; 2017Q4: 2,068 shares 2,068$317K0.11%+15Timeline
MORGAN STANLEY EMER MKTS FDMORGAN STANLEY EMER MKTS FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 18,093 shares; 2017Q2: 16,985 shares; 2017Q3: 17,685 shares; 2017Q4: 17,431 shares 17,431$312K0.11%-254
MORGAN STANLEY TRUSTSMORGAN STANLEY TRUSTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 16,210 shares 16,210$297K0.1%new
MORGAN STANLEY ASIA PAC FD IMORGAN STANLEY ASIA PAC FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 15,420 shares; 2017Q2: 14,850 shares; 2017Q3: 14,574 shares; 2017Q4: 13,701 shares 13,701$252K0.09%-873
ADIANALOG DEVICES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,632 shares; 2017Q2: 2,632 shares; 2017Q3: 2,632 shares; 2017Q4: 2,632 shares 2,632$234K0.08%0Timeline
TDFTEMPLETON DRAGON FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,670 shares; 2017Q2: 12,499 shares; 2017Q3: 12,407 shares; 2017Q4: 10,735 shares 10,735$231K0.08%-1,672Timeline
HDHOME DEPOT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 1,161 shares 1,161$220K0.08%newTimeline
AAPLAPPLE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,537 shares; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 1,207 shares 1,207$204K0.07%newTimeline
TZOOTRAVELZOOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 11,426 shares; 2017Q4: 24,252 shares 24,252$156K0.05%+12,826Timeline
MGFABERDEEN GOVT MARKETS INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 30,815 shares 30,815$148K0.05%newTimeline
EODALLSPRING GLOBAL DIVIDEND OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 22,159 shares; 2017Q2: 21,720 shares; 2017Q3: not reported; 2017Q4: 24,661 shares 24,661$146K0.05%newTimeline
XWIAXWESTERN ASSET INFLT LNK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 527,433 shares; 2017Q2: 518,970 shares; 2017Q3: 405,633 shares; 2017Q4: 11,984 shares 11,984$141K0.05%-393,649Timeline
GRXGABELLI HEALTHCARE & WELLNESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 10,500 shares 10,500$108K0.04%newTimeline
ALPINE GLOBAL PREMIER PPTYSALPINE GLOBAL PREMIER PPTYSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 120,664 shares; 2017Q2: 21,465 shares; 2017Q3: 18,507 shares; 2017Q4: 14,999 shares 14,999$101K0.04%-3,508
AEGON N VAEGON N VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,651 shares; 2017Q2: 12,983 shares; 2017Q3: 13,315 shares; 2017Q4: 13,315 shares 13,315$84K0.03%0

Principal amounts

Notes and convertibles filed as a face amount (PRN). A face amount is never added to a share count (H6).

SecurityTypeAmountValueChange
ROYAL GOLD INCROYAL GOLD INC NOTEprincipal304,000$329K-10,000

Sold out in Q4 2017

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR625,376$14.1Mshares
RICHMONT MINES INCRICHMONT MINES INC605,957$5.67Mshares
LEGG MASON BW GLB INC OPP FDLEGG MASON BW GLB INC OPP FD230,062$3.09Mshares
ERICTELEFONAKTIEBOLAGET LM ERICS285,594$1.64Mshares
RGLDROYAL GOLD INC16,363$1.41Mshares
GGZGABELLI GLOBAL SMALL & MID C61,996$820Kshares
NUVEEN SELECT TAX FREE INCOMNUVEEN SELECT TAX FREE INCOM53,000$805Kshares
Vitamin Shoppe, Inc.Vitamin Shoppe, Inc.144,703$774Kshares
NUVEEN SELECT TAX FREE INCOMNUVEEN SELECT TAX FREE INCOM48,000$674Kshares
NXPNUVEEN SELECT TAX-FREE INCOM39,000$582Kshares
IRDMIRIDIUM COMMUNICATIONS INC47,916$494Kshares
BGBBLACKSTONE STRATEGIC CRED 2027,033$432Kshares
NIMNUVEEN SELECT MAT MUN FD26,825$277Kshares
CSCOCISCO SYS INC6,650$224Kshares
CGOCALAMOS GLOBAL TOTAL RETURN12,107$162Kshares
BTGB2GOLD CORP35,400$99Kshares

How Q4 2017 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).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001062993-18-000318 base2018-01-25acceptance time not in the bulk data set