First Allied Advisory Services, Inc.
Follow13F filer, CIK 1512647, SAN DIEGO, CA
First Allied Advisory Services, Inc. reported $2,531,298,000 across 1,069 holdings for the quarter ended 2018-12-31, in a 13F-HR filed 2019-02-15. Its ten largest share positions make up 18.98% of the portfolio.
Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-19-000975
- Period
- 2018-12-31
- Reported value
- $2.53B
- Holdings
- 1,069
- Top 10 weight
- 18.98%
- New
- 73
- Sold out
- 186
Largest buys vs the previous quarter
| Security | Shares change | Approx. value |
|---|---|---|
| SCHOadded | +377,809 | $18.8M |
| PFFDnew | +797,078 | $18M |
| IDEVnew | +296,161 | $14.5M |
| GLOBAL X FDSadded | +1,632,437 | $12.5M |
| SHYadded | +145,241 | $12.2M |
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 |
|---|---|---|
| VRPexited | -660,546 | -$16.5M |
| SCHZreduced | -305,292 | -$15.5M |
| CWBreduced | -226,103 | -$10.6M |
| QQQreduced | -59,813 | -$9.22M |
| HFROreduced | -704,968 | -$9.05M |
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 2018
Share positions as resolved from 13F-HR 0001085146-19-000975, largest first. % of portfolio is the value over $2,531,236,000, the sum of the share positions whose value is usable for ratios (method).
| Security | History | Shares | Value | % of portfolio | Change | Latest event | Timeline |
|---|---|---|---|---|---|---|---|
| BLACKROCK MUNIYIELD CALIFOR…BLACKROCK MUNIYIELD CALIFORNIA | 10,681 | $134K | 0.01% | -2,222 | |||
| NMZNUVEEN MUN HIGH INCOME OPPOR | 11,315 | $132K | 0.01% | -839 | Timeline | ||
| SIRIUS XM HOLDINGS INCSIRIUS XM HOLDINGS INC | 23,476 | $132K | 0.01% | -1,000 | |||
| MMUWESTERN ASSET MANAGED MUNS F | 10,000 | $127K | 0.01% | 0 | Timeline | ||
| ERICTELEFONAKTIEBOLAGET LM ERICS | 14,331 | $125K | <0.01% | new | Timeline | ||
| XBTAXBLACKROCK LNG-TRM MUNI ADV | 11,610 | $122K | <0.01% | -536 | Timeline | ||
| XDHYXCREDIT SUISSE HIGH YIELD CRE | 56,000 | $122K | <0.01% | +12,000 | Timeline | ||
| OIAINVESCO MUNI INCOME OPP TRST | 17,467 | $121K | <0.01% | -271 | Timeline | ||
| GPKGRAPHIC PACKAGING HLDG CO | 11,580 | $117K | <0.01% | -920 | Timeline | ||
| BWGBRANDYWINEGBL GBL INCM OPP F | 11,225 | $116K | <0.01% | -2,127 | Timeline | ||
| XETYXEATON VANCE TAX-MANAGED DIVE | 11,148 | $113K | <0.01% | new | Timeline | ||
| NOKNOKIA CORP | 18,643 | $110K | <0.01% | -3,229 | Timeline | ||
| JPCNUVEEN PFD & INCOME OPPORTUN | 13,491 | $110K | <0.01% | +531 | Timeline | ||
| XMCRXMFS CHARTER INCOME TR | 14,805 | $109K | <0.01% | -869 | Timeline | ||
| PHKPIMCO HIGH INCOME FD | 13,552 | $109K | <0.01% | +28 | Timeline | ||
| VNETVNET GROUP INC | 12,998 | $108K | <0.01% | +639 | Timeline | ||
| GOLDMAN SACHS MLP ENERGY RENGOLDMAN SACHS MLP ENERGY REN | 24,385 | $108K | <0.01% | -2,020 | |||
| VVRINVESCO SR INCOME TR | 27,075 | $106K | <0.01% | 0 | Timeline | ||
| TEITEMPLETON EMERGING MKTS INCO | 11,085 | $106K | <0.01% | -1,600 | Timeline | ||
| VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUST | 23,818 | $104K | <0.01% | -9,970 | |||
| GOLDEN STAR RES LTD CDAGOLDEN STAR RES LTD CDA | 32,400 | $102K | <0.01% | new | |||
| EHIWESTERN ASSET GBL HIGH INC F | 12,124 | $100K | <0.01% | -1,700 | Timeline | ||
| WASHINGTON PRIME GROUP NEWWASHINGTON PRIME GROUP NEW | 20,146 | $100K | <0.01% | +4,839 | |||
| SPPPSPROTT ASSET MANAGEMENT LP | 10,000 | $99K | <0.01% | 0 | Timeline | ||
| HI-CRUSH PARTNERS LPHI-CRUSH PARTNERS LP | 26,871 | $97K | <0.01% | new | |||
| GLOCLOUGH GLOBAL OPPORTUNITIES | 11,447 | $95K | <0.01% | -934 | Timeline | ||
| AGENUS INCAGENUS INC | 40,000 | $95K | <0.01% | 0 | |||
| AURORA CANNABIS INCAURORA CANNABIS INC | 19,244 | $94K | <0.01% | new | |||
| KANDI TECHNOLOGIES GROUP INCKANDI TECHNOLOGIES GROUP INC | 25,000 | $91K | <0.01% | new | |||
| TRUSTCO BK CORP N YTRUSTCO BK CORP N Y | 13,000 | $89K | <0.01% | 0 | |||
| ENCANA CORPENCANA CORP | 14,536 | $85K | <0.01% | +3,819 | |||
| CLFCLEVELAND-CLIFFS INC NEW | 10,463 | $81K | <0.01% | -5,000 | Timeline | ||
| CIGCIA ENERGETICA DE MINAS GERA | 23,694 | $79K | <0.01% | new | Timeline | ||
| ABEVAMBEV SA | 20,057 | $78K | <0.01% | +3,582 | Timeline | ||
| HIOWESTERN ASSET HIGH INCOME OP | 17,707 | $77K | <0.01% | -1,457 | Timeline | ||
| ABERDEEN ASIA-PACIFIC INCOM…ABERDEEN ASIA-PACIFIC INCOME F | 18,713 | $73K | <0.01% | -325 | |||
| ACHACCENDRA HEALTH INC | 10,460 | $71K | <0.01% | new | Timeline | ||
| XBGYXBLACKROCK ENHANCED INTL DIV | 13,474 | $67K | <0.01% | +82 | Timeline | ||
| LYGLLOYDS BANKING GROUP PLC | 25,371 | $63K | <0.01% | +1,240 | Timeline | ||
| CHIASMA INCCHIASMA INC | 18,650 | $58K | <0.01% | 0 | |||
| CPRXCATALYST PHARMACEUTICALS INC | 27,000 | $52K | <0.01% | +1,000 | Timeline | ||
| THERAPEUTICSMD INCTHERAPEUTICSMD INC | 13,475 | $51K | <0.01% | 0 | |||
| OAKTREE SPECIALTY LENDING C…OAKTREE SPECIALTY LENDING CORP | 11,751 | $50K | <0.01% | +882 | |||
| ENSCO PLCENSCO PLC | 13,729 | $49K | <0.01% | new | |||
| MINABERDEEN INTER INCOME FD | 12,677 | $46K | <0.01% | -2,628 | Timeline | ||
| REFRRESEARCH FRONTIERS INC | 29,212 | $46K | <0.01% | 0 | Timeline | ||
| JUST ENERGY GROUP INCJUST ENERGY GROUP INC | 12,685 | $42K | <0.01% | new | |||
| NATNORDIC AMERICAN TANKERS LIMI | 19,950 | $40K | <0.01% | 0 | Timeline | ||
| AK STEEL HOLDING CORPAK STEEL HOLDING CORP | 16,309 | $38K | <0.01% | -2,160 | |||
| HMYHARMONY GOLD MNG LTD | 19,324 | $37K | <0.01% | -513 | Timeline | ||
| CAPITAL PRODUCT PARTNERS L PCAPITAL PRODUCT PARTNERS L P | 17,150 | $37K | <0.01% | -3,450 | |||
| SENSEONICS HLDGS INCSENSEONICS HLDGS INC | 13,276 | $35K | <0.01% | new | |||
| YRC WORLDWIDE INCYRC WORLDWIDE INC | 11,000 | $35K | <0.01% | new | |||
| CALUMET SPECIALTY PRODS PARTCALUMET SPECIALTY PRODS PART | 13,335 | $30K | <0.01% | 0 | |||
| QUICKLOGIC CORPQUICKLOGIC CORP | 36,000 | $26K | <0.01% | new | |||
| PENNEY J C INCPENNEY J C INC | 19,000 | $22K | <0.01% | -500 | |||
| ONCOSEC MED INCONCOSEC MED INC | 35,000 | $22K | <0.01% | 0 | |||
| UMCUNITED MICROELECTRONICS CORP | 10,442 | $20K | <0.01% | -3,340 | Timeline | ||
| WEATHERFORD INTL INC ORD SHSWEATHERFORD INTL INC ORD SHS | 46,891 | $18K | <0.01% | +3,612 | |||
| DNNDENISON MINES CORP | 34,500 | $16K | <0.01% | 0 | Timeline | ||
| NANTKWEST INCNANTKWEST INC | 12,742 | $14K | <0.01% | +2,000 |
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).
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 |
|---|---|---|---|---|
| ISHARES TRISHARES TR IBONDS DEC25 ETF | principal | 26,140 | $617K | +889 |
| ISHARES TRISHARES TR IBONDS MAR20 ETF | principal | 22,961 | $598K | -16,146 |
| ISHARES TRISHARES TR IBONDS MAR23 ETF | principal | 23,230 | $596K | +1,934 |
| PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1 | principal | 123,000 | $123K | -35,000 |
| TPG SPECIALTY LENDING INCTPG SPECIALTY LENDING INC NOTE 4.50012/1 | principal | 50,000 | $50K | 0 |
Sold out in Q4 2018
Positions in the previous quarter's report that this quarter's report no longer lists.
The largest 100 of 186. All 186
| Security | Shares before | Value before | Type |
|---|---|---|---|
| VRPINVESCO EXCH TRADED FD TR II | 660,546 | $16.5M | shares |
| PFGPRINCIPAL FINANCIAL GROUP IN | 92,466 | $5.49M | shares |
| IYMISHARES TR | 40,724 | $3.99M | shares |
| SPYGSPDR SERIES TRUST | 97,858 | $3.73M | shares |
| CORPORATE CAP TR INCCORPORATE CAP TR INC | 242,008 | $3.7M | shares |
| DBOINVESCO DB MULTI-SECTOR COMM | 237,633 | $3.21M | shares |
| FLCAFRANKLIN TEMPLETON ETF TR | 101,222 | $2.54M | shares |
| EWGISHARES INC | 84,374 | $2.51M | shares |
| TCXTUCOWS INC | 44,125 | $2.46M | shares |
| FDRRFIDELITY COVINGTON TRUST | 69,313 | $2.24M | shares |
| FLSWFRANKLIN TEMPLETON ETF TR | 86,436 | $2.01M | shares |
| ZROZPIMCO ETF TR | 13,819 | $1.5M | shares |
| IPKWINVESCO EXCH TRADED FD TR II | 41,294 | $1.42M | shares |
| GRUBHUB INCGRUBHUB INC | 9,668 | $1.34M | shares |
| ATLASSIAN CORPATLASSIAN CORP | 13,936 | $1.34M | shares |
| KBESPDR SERIES TRUST | 27,754 | $1.3M | shares |
| FLKRFRANKLIN TEMPLETON ETF TR | 54,339 | $1.28M | shares |
| ENERGY TRANSFER PARTNERS LPENERGY TRANSFER PARTNERS LP | 55,722 | $1.24M | shares |
| SOCLGLOBAL X FDS | 37,336 | $1.19M | shares |
| TTWOTAKE-TWO INTERACTIVE SOFTWAR | 8,342 | $1.15M | shares |
| HORIZONS ETF TR IHORIZONS ETF TR I | 44,567 | $1.13M | shares |
| SCHMSCHWAB STRATEGIC TR | 17,972 | $1.04M | shares |
| AVANGRID INCAVANGRID INC | 20,948 | $1M | shares |
| EXPRESS SCRIPTS HLDG COEXPRESS SCRIPTS HLDG CO | 10,399 | $1M | shares |
| CBS CORP NEWCBS CORP NEW | 16,553 | $948K | shares |
| AMPAMERIPRISE FINL INC | 6,272 | $919K | shares |
| VIOVVANGUARD ADMIRAL FDS INC | 6,396 | $911K | shares |
| GUGGENHEIM ENHANCED EQUITY IGUGGENHEIM ENHANCED EQUITY I | 103,111 | $905K | shares |
| WIPSPDR SERIES TRUST | 17,170 | $904K | shares |
| INDYISHARES TR | 26,351 | $898K | shares |
| IAIISHARES TR | 14,182 | $880K | shares |
| WYNNWYNN RESORTS LTD | 6,857 | $872K | shares |
| XPHSPDR SERIES TRUST | 17,679 | $862K | shares |
| ETJEATON VANCE RISK-MANAGED DIV | 83,096 | $831K | shares |
| AETNA INC NEWAETNA INC NEW | 4,078 | $823K | shares |
| EWPISHARES INC | 26,627 | $788K | shares |
| VTWOVANGUARD SCOTTSDALE FDS | 5,517 | $743K | shares |
| HUBSHUBSPOT INC | 4,830 | $731K | shares |
| EWDISHARES INC | 21,756 | $716K | shares |
| IGMISHARES TR | 3,405 | $713K | shares |
| Proshares VIX Short-TermProshares VIX Short-Term | 32,200 | $706K | shares |
| INVESCO EXCH TRADED FD TR IIINVESCO EXCH TRADED FD TR II | 18,877 | $685K | shares |
| IMVPINVESCO INDIA EXCHANGE-TRADE | 27,563 | $660K | shares |
| PWBINVESCO EXCHANGE TRADED FD T | 12,914 | $621K | shares |
| RPGINVESCO EXCHANGE TRADED FD T | 5,174 | $621K | shares |
| FIAT CHRYSLER AUTOMOBILES NFIAT CHRYSLER AUTOMOBILES N | 35,365 | $619K | shares |
| EWOISHARES INC | 25,820 | $592K | shares |
| PSCHINVESCO EXCH TRADED FD TR II | 4,119 | $579K | shares |
| IGVISHARES TR | 2,776 | $566K | shares |
| KBAKRANESHARES TRUST | 18,300 | $531K | shares |
| IQIQIYI INC | 19,487 | $527K | shares |
| FDISFIDELITY COVINGTON TRUST | 11,443 | $526K | shares |
| NTRNUTRIEN LTD | 9,053 | $523K | shares |
| CLHCLEAN HARBORS INC | 7,188 | $516K | shares |
| THOTHOR INDS INC | 5,890 | $494K | shares |
| MXIISHARES TR | 7,263 | $484K | shares |
| APACHE CORPAPACHE CORP | 9,931 | $472K | shares |
| J P MORGAN EXCHANGETRADED F…J P MORGAN EXCHANGETRADED F DIV R… | 8,021 | $469K | shares |
| SBIOALPS ETF TR | 11,661 | $458K | shares |
| STLDSTEEL DYNAMICS INC | 9,859 | $454K | shares |
| BHFBRIGHTHOUSE FINL INC | 9,953 | $441K | shares |
| QLDPROSHARES TR | 4,318 | $436K | shares |
| CIGNA CORPORATIONCIGNA CORPORATION | 2,112 | $435K | shares |
| TESARO INCTESARO INC | 11,003 | $430K | shares |
| JDJD.COM INC | 16,162 | $418K | shares |
| PNFPPINNACLE FINANCIAL PARTNERS | 6,963 | $418K | shares |
| QQQEDIREXION SHARES ETF TRUST | 8,581 | $406K | shares |
| VCLTVANGUARD SCOTTSDALE FDS | 4,464 | $398K | shares |
| RSPTINVESCO EXCHANGE TRADED FD T | 2,274 | $383K | shares |
| NEW AMERICA HIGH INCOME FUN…NEW AMERICA HIGH INCOME FUND I | 44,611 | $383K | shares |
| CNOOC LIMITEDCNOOC LIMITED | 1,892 | $376K | shares |
| IGEISHARES TR | 10,479 | $374K | shares |
| EWWISHARES INC | 7,253 | $369K | shares |
| PRAXAIR INCPRAXAIR INC | 2,318 | $368K | shares |
| IWLISHARES TR | 5,413 | $366K | shares |
| WDAYWORKDAY INC | 2,488 | $364K | shares |
| CNPCENTERPOINT ENERGY INC | 12,859 | $362K | shares |
| CRSPCRISPR THERAPEUTICS AG | 8,105 | $355K | shares |
| JSMDJANUS DETROIT STR TR | 7,661 | $355K | shares |
| DFEWISDOMTREE TR | 5,598 | $355K | shares |
| WUWESTERN UN CO | 18,437 | $353K | shares |
| KRESPDR SERIES TRUST | 5,783 | $345K | shares |
| CMGCHIPOTLE MEXICAN GRILL INC | 728 | $332K | shares |
| MSIMOTOROLA SOLUTIONS INC | 2,574 | $332K | shares |
| Ishares Ibonds DecIshares Ibonds Dec | 13,263 | $331K | principal |
| SMHVANECK ETF TRUST | 3,066 | $328K | shares |
| PTENPATTERSON-UTI ENERGY INC | 19,180 | $327K | shares |
| MOMO INCMOMO INC | 7,405 | $323K | shares |
| SLYGSPDR SERIES TRUST | 4,682 | $321K | shares |
| HYMBSPDR SERIES TRUST | 5,709 | $321K | shares |
| FIREEYE INCFIREEYE INC | 17,963 | $304K | shares |
| MIRATI THERAPEUTICS INCMIRATI THERAPEUTICS INC | 6,400 | $302K | shares |
| CREE INCCREE INC | 7,937 | $302K | shares |
| VONGVANGUARD SCOTTSDALE FDS | 1,875 | $301K | shares |
| ARGXARGENX SE | 3,865 | $297K | shares |
| ALKALASKA AIR GROUP INC | 4,295 | $295K | shares |
| TALEND S ATALEND S A | 4,226 | $295K | shares |
| TWENTY FIRST CENTY FOX INCTWENTY FIRST CENTY FOX INC | 6,428 | $293K | shares |
| GLOBAL X MLP & ENERGY INFRASGLOBAL X MLP & ENERGY INFRAS | 21,752 | $291K | shares |
| PIMCO DYNAMIC CR INCOME FDPIMCO DYNAMIC CR INCOME FD | 11,814 | $288K | shares |
How Q4 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 0001085146-19-000975 | base | 2019-02-15 | acceptance time not in the bulk data set |