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Disclosery

First Allied Advisory Services, Inc.

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13F filer, CIK 1512647, SAN DIEGO, CA

First Allied Advisory Services, Inc. reported $2,810,418,000 across 1,634 holdings for the quarter ended 2019-09-30, in a 13F-HR filed 2019-11-06. Its ten largest share positions make up 17.38% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-19-002756

Period
2019-09-30
Reported value
$2.81B
Holdings
1,634
Top 10 weight
17.38%
New
509
Sold out
75

Largest buys vs the previous quarter

SecurityShares changeApprox. value
SPDWadded+318,629$9.36M
SPEMadded+218,772$7.49M
JNKadded+61,403$6.68M
HYGadded+70,929$6.19M
GUNRnew+155,586$4.84M

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
DWXreduced-344,172-$13.5M
SPYreduced-42,634-$12.7M
FLRNreduced-393,187-$12.1M
IEMGreduced-232,164-$11.4M
QQQreduced-59,646-$11.3M

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, Q3 2019

Share positions as resolved from 13F-HR 0001085146-19-002756, largest first. % of portfolio is the value over $2,810,380,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
IQDFFLEXSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 571 shares 571$13K<0.01%newTimeline
SRVRPACER FDS TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 389 shares 389$13K<0.01%newTimeline
RSPGINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 277 shares 277$13K<0.01%newTimeline
XHSSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 201 shares 201$13K<0.01%newTimeline
FASDIREXION SHARES ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 168 shares 168$13K<0.01%newTimeline
ESGFLEXSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 190 shares 190$13K<0.01%newTimeline
QUICKLOGIC CORPQUICKLOGIC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 36,000 shares; 2019Q1: 36,000 shares; 2019Q2: 36,000 shares; 2019Q3: 36,000 shares 36,000$13K<0.01%0
INVESCO EXCHNG TRADED FD TRINVESCO EXCHNG TRADED FD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 500 shares 500$13K<0.01%new
FSTAFIDELITY COVINGTON TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 320 shares 320$12K<0.01%newTimeline
RSPDINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 120 shares 120$12K<0.01%newTimeline
SMINISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 404 shares 404$12K<0.01%newTimeline
SUSBISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 403 shares 403$11K<0.01%newTimeline
PTMCPACER FDS TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 373 shares 373$11K<0.01%newTimeline
RWXSPDR INDEX SHS FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 274 shares 274$11K<0.01%newTimeline
EWMISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 392 shares 392$11K<0.01%newTimeline
Cbs Corporation Cl A NewCbs Corporation Cl A NewQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 258 shares 258$11K<0.01%new
GLINVANECK ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 300 shares 300$10K<0.01%newTimeline
EWSISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 450 shares 450$10K<0.01%newTimeline
IYLDISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 405 shares 405$10K<0.01%newTimeline
PSCMINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 230 shares 230$10K<0.01%newTimeline
JP Morgan Exchange Traded F…JP Morgan Exchange Traded FundQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 424 shares 424$10K<0.01%new
EXCHANGE LISTED FDS TREXCHANGE LISTED FDS TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 400 shares 400$10K<0.01%new
STIPISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 91 shares 91$9K<0.01%newTimeline
FIDUFIDELITY COVINGTON TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 218 shares 218$9K<0.01%newTimeline
INVESCO EXCHANGE TRADED FD TINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 824 shares 824$9K<0.01%new
IPATH GSCI TOTAL RETURN IND…IPATH GSCI TOTAL RETURN INDEX ETF…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 670 shares 670$9K<0.01%new
FNDESCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 273 shares 273$8K<0.01%newTimeline
VOOVVANGUARD ADMIRAL FDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 3,344 shares; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 89 shares 89$8K<0.01%newTimeline
PBWINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 260 shares 260$8K<0.01%newTimeline
FCOMFIDELITY COVINGTON TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 247 shares 247$8K<0.01%newTimeline
PBDINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 670 shares 670$8K<0.01%newTimeline
FPXIFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 201 shares 201$8K<0.01%newTimeline
EIDOISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 323 shares 323$8K<0.01%newTimeline
EPR PPTYSEPR PPTYSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 200 shares 200$8K<0.01%new
FIRST TR EXCH TRADED FD IIIFIRST TR EXCH TRADED FD IIIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 150 shares 150$8K<0.01%new
PROSHARES TR ULTSHRT QQQPROSHARES TR ULTSHRT QQQQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 267 shares 267$8K<0.01%new
SCHRSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 120 shares 120$7K<0.01%newTimeline
FDISFIDELITY COVINGTON TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 155 shares 155$7K<0.01%newTimeline
EWXSPDR INDEX SHS FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: 21,354 shares; 2019Q1: 20,590 shares; 2019Q2: not reported; 2019Q3: 143 shares 143$7K<0.01%newTimeline
QDFFLEXSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 164 shares 164$7K<0.01%newTimeline
DIMWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 110 shares 110$7K<0.01%newTimeline
PVIINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 300 shares 300$7K<0.01%newTimeline
GLOBAL X FTSE GREECE 20 ETFGLOBAL X FTSE GREECE 20 ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 800 shares 800$7K<0.01%new
FENYFIDELITY COVINGTON TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 397 shares 397$6K<0.01%newTimeline
FALNISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 267 shares 267$6K<0.01%newTimeline
AIVLWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 67 shares 67$6K<0.01%newTimeline
DGRSWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 160 shares 160$6K<0.01%newTimeline
VanEck Rare Earth/Strat Mtl…VanEck Rare Earth/Strat Mtls ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 500 shares 500$6K<0.01%new
JANUS DETROIT STR TRJANUS DETROIT STR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 200 shares 200$6K<0.01%new
ISHARES TRISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 369 shares 369$6K<0.01%new
IWCISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 54 shares 54$5K<0.01%newTimeline
IWXISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 83 shares 83$5K<0.01%newTimeline
PXFINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 122 shares 122$5K<0.01%newTimeline
IEVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 126 shares 126$5K<0.01%newTimeline
IHYVANECK ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 197 shares 197$5K<0.01%newTimeline
GALSSGA ACTIVE ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 117 shares 117$5K<0.01%newTimeline
CQQQINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 100 shares 100$5K<0.01%newTimeline
PGHYINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 226 shares 226$5K<0.01%newTimeline
THDISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 62 shares 62$5K<0.01%newTimeline
RSPRINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 169 shares 169$5K<0.01%newTimeline
EUHYISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 104 shares 104$5K<0.01%newTimeline
ENZLISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 99 shares 99$5K<0.01%newTimeline
QSIGWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 110 shares 110$5K<0.01%newTimeline
JOHN HANCOCK EXCHANGE TRADEDJOHN HANCOCK EXCHANGE TRADEDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 143 shares 143$5K<0.01%new
JOHN HANCOCK EXCHANGE TRADEDJOHN HANCOCK EXCHANGE TRADEDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 125 shares 125$5K<0.01%new
JOHN HANCOCK EXCHANGE TRADEDJOHN HANCOCK EXCHANGE TRADEDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 147 shares 147$5K<0.01%new
JOHN HANCOCK EXCHANGE TRADEDJOHN HANCOCK EXCHANGE TRADEDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 166 shares 166$5K<0.01%new
JOHN HANCOCK EXCHANGE TRADEDJOHN HANCOCK EXCHANGE TRADEDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 97 shares 97$5K<0.01%new
SCHBSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 60 shares 60$4K<0.01%newTimeline
PAVEGLOBAL X FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 269 shares 269$4K<0.01%newTimeline
FNDFSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 145 shares 145$4K<0.01%newTimeline
UPGDINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 87 shares 87$4K<0.01%newTimeline
SPFFGLOBAL X FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 306 shares 306$4K<0.01%newTimeline
INVESCO EXCH TRADED FD TR IIINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 101 shares 101$4K<0.01%new
INDEXIQ ETF TR IQ GLBINDEXIQ ETF TR IQ GLBQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 139 shares 139$4K<0.01%new
INVESCO EXCHANGE TRADED FD TINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 59 shares 59$4K<0.01%new
IGMISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 15 shares 15$3K<0.01%newTimeline
SPHYSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 114 shares 114$3K<0.01%newTimeline
DIVOAMPLIFY ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 100 shares 100$3K<0.01%newTimeline
TANINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 90 shares 90$3K<0.01%newTimeline
PIOINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 125 shares 125$3K<0.01%newTimeline
RSXVANECK VECTORS RUSSIA ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 175 shares 175$3K<0.01%newTimeline
EWDISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 100 shares 100$3K<0.01%newTimeline
CSDINVESCO EXCHANGE TRADED FD TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 65 shares 65$3K<0.01%newTimeline
PROSHARES TRPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 228 shares 228$3K<0.01%new
SHIFTPIXY INCSHIFTPIXY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: 10,030 shares; 2019Q3: 10,180 shares 10,180$3K<0.01%+150
EUFNISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 142 shares 142$2K<0.01%newTimeline
XTLSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 29 shares 29$2K<0.01%newTimeline
IEZISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: 33,500 shares; 2019Q2: 33,500 shares; 2019Q3: 120 shares 120$2K<0.01%-33,380Timeline
EPUISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 49 shares 49$2K<0.01%newTimeline
EPHEISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 41 shares 41$2K<0.01%newTimeline
AMERICAN INTL GROUP INCAMERICAN INTL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 187 shares 187$2K<0.01%new
PROSHARES TRPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 82 shares 82$2K<0.01%new
DBX ETF TRDBX ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 38 shares 38$2K<0.01%new
SPMDSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 38 shares 38$1K<0.01%newTimeline
FTQIFIRST TR EXCHANGE TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 55 shares 55$1K<0.01%newTimeline
DURAVANECK ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 47 shares 47$1K<0.01%newTimeline
ECHISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 19 shares 19$1K<0.01%newTimeline
AAXJISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 9 shares 9$1K<0.01%newTimeline
FNDASCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 35 shares 35$1K<0.01%newTimeline
EEMAISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 16 shares 16$1K<0.01%newTimeline
PICBINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 38 shares 38$1K<0.01%newTimeline
FCGFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 122 shares 122$1K<0.01%newTimeline
EWNISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 18 shares 18$1K<0.01%newTimeline
EMDVPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 14 shares 14$1K<0.01%newTimeline
LIBERTY GLOBAL PLCLIBERTY GLOBAL PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 43 shares 43$1K<0.01%new
iShares MSCI Russia ETF Spe…iShares MSCI Russia ETF SpecialQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 31 shares 31$1K<0.01%new
VISTRA CORPVISTRA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 426 shares 426$1K<0.01%new
INDEXIQ ETF TRINDEXIQ ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 43 shares 43$1K<0.01%new
INVESCO EXCH TRADED FD TR IIINVESCO EXCH TRADED FD TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 210 shares 210$1K<0.01%new
VANECK VECTORS ETF TRVANECK VECTORS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 130 shares 130$1K<0.01%new
DBX ETF TRDBX ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 19 shares 19$1K<0.01%new
LEN-BLENNAR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 15 shares 15$00%newValue filed as zero, left out of ratios.Timeline
SANOFISANOFIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 358 shares 358$00%newValue filed as zero, left out of ratios.
PROSHARES ULTRAPROSHARES ULTRAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: restricted; 2018Q2: restricted; 2018Q3: restricted; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 5 shares 5$00%newValue filed as zero, left out of ratios.

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).

SecurityTypeAmountValueChange
BARCLAYS BANK PLCBARCLAYS BANK PLC IPTH SR B S&Pcall30,000$26Knew
QQQINVESCO QQQ TR COMput3,300$5K0
DIASTATE STR SPDR DOW JONES IND UT SER 1put2,000$4Knew
SPYSTATE STR SPDR S&P 500 ETF T SHSput2,400$3K0
XYZBLOCK INC Stockcall200$0new

Principal amounts

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

SecurityTypeAmountValueChange
ISHARESISHARES EXCHANGE TRADEDprincipal3,577$91Knew
ISHARESISHARES EXCHANGE TRADEDprincipal2,878$73Knew
PROSPECT CAP CORPPROSPECT CAP CORP NOTE 4.950% 7/1principal71,000$73K0
IBDSISHARES TR ETFprincipal2,500$65Knew
ISHARES TRISHARES TR IBONDS DEC25 ETFprincipal2,010$52Knew
IBDRISHARES TR SHSprincipal2,011$51Knew
ISHARESISHARES EXCHANGE TRADEDprincipal2,010$51Knew
TPG SPECIALTY LENDING INCTPG SPECIALTY LENDING INC NOTE 4.50012/1principal50,000$50K0
Ishares Ibonds DecIshares Ibonds Dec ETFprincipal1,490$36Knew
Ishares Ibonds DecIshares Ibonds Dec ETFprincipal666$17Knew
TCP Cap Corp Sr Conv NtTCP Cap Corp Sr Conv Nt CONVprincipal15,000$15K0
Ishares Ibonds DecIshares Ibonds Dec ETFprincipal379$9Knew
ISHARES TRISHARES TR 2020 INVTGR BDprincipal280$7Knew
ISHARES TRISHARES TR IBONDS MAR20 ETFprincipal198$5Knew

Sold out in Q3 2019

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

SecurityShares beforeValue beforeType
UNMUNUM GROUP153,530$5.17Mshares
HSTHOST HOTELS & RESORTS INC272,317$4.96Mshares
BLACKSTONE GROUP LP/THEBLACKSTONE GROUP LP/THE92,259$4.1Mshares
HARRIS CORP INCHARRIS CORP INC14,442$2.73Mshares
STOTSSGA ACTIVE TR23,754$1.18Mshares
XBMEXBLACKROCK HEALTH SCIENCES TR26,981$1.05Mshares
AZUL S AAZUL S A27,055$905Kshares
BCIABRDN ETFS37,676$843Kshares
ANADARKO PETROLEUM CORPANADARKO PETROLEUM CORP10,564$745Kshares
ROBOEXCHANGE TRADED CONCEPTS TRU15,748$629Kshares
KSSKOHLS CORP12,792$608Kshares
XPOXPO INC9,298$538Kshares
CANOPY GROWTH CORPCANOPY GROWTH CORP12,412$502Kshares
L3 TECHNOLOGIES INCL3 TECHNOLOGIES INC1,671$410Kshares
BHCBAUSCH HEALTH COS INC15,141$383Kshares
KBHKB HOME14,553$374Kshares
DXCDXC TECHNOLOGY CO6,562$362Kshares
HOSPITALITY PROPERTIES TRUSTHOSPITALITY PROPERTIES TRUST14,151$354Kshares
RLRALPH LAUREN CORP2,954$336Kshares
NADNUVEEN QUALITY MUNCP INCOME23,595$330Kshares
NVGNUVEEN AMT FREE MUN CR INC F20,073$319Kshares
KEYKEYCORP17,667$314Kshares
CPRICAPRI HOLDINGS LIMITED8,720$302Kshares
HLTHILTON WORLDWIDE HLDGS INC2,842$278Kshares
UNITED STATES STL CORP NEWUNITED STATES STL CORP NEW18,051$276Kshares
FLRFLUOR CORP7,869$265Kshares
BMRNBIOMARIN PHARMACEUTICAL INC3,087$264Kshares
ZMZOOM COMMUNICATIONS INC2,950$262Kshares
LYFTLYFT INC3,859$254Kshares
O'Shares FTSE U.S. Quality …O'Shares FTSE U.S. Quality Divid7,367$251Kshares
CFGCITIZENS FINL GROUP INC6,738$238Kshares
CVICVR ENERGY INC4,735$237Kshares
NORDSTROM INCNORDSTROM INC7,345$234Kshares
RIORIO TINTO PLC3,718$232Kshares
Apollo Global ManagementApollo Global Management6,749$231Kshares
NRKNUVEEN NY AMT FREE17,478$229Kshares
CNQCANADIAN NAT RES LTD MED TER8,354$225Kshares
DOVDOVER CORP2,225$223Kshares
MHKMOHAWK INDS INC1,495$220Kshares
HALHALLIBURTON CO9,648$219Kshares
ALLEALLEGION PLC1,985$219Kshares
GBCIGLACIER BANCORP INC NEW5,259$213Kshares
NTNXNUTANIX INC8,168$212Kshares
BRKRBRUKER CORP4,253$212Kshares
TABLEAU SOFTWARE INCTABLEAU SOFTWARE INC1,275$212Kshares
FORTRESS TRANSPORTATION-CL AFORTRESS TRANSPORTATION-CL A13,987$211Kshares
FIRST DATA CORP NEW COM CL AFIRST DATA CORP NEW COM CL A7,753$210Kshares
ABIOMED INCABIOMED INC798$208Kshares
BKHBLACK HILLS CORP2,648$207Kshares
VYXNCR VOYIX CORPORATION6,628$206Kshares
ETSYETSY INC3,302$203Kshares
NCLHNORWEGIAN CRUISE LINE HLDGS3,773$202Kshares
HIGHARTFORD INSURANCE GROUP INC3,608$201Kshares
GGGGRACO INC3,990$200Kshares
MPLXMPLX LP6,198$200Kshares
MQYBLACKROCK MUNIYILD QULT FD I13,237$192Kshares
ERICTELEFONAKTIEBOLAGET LM ERICS16,276$155Kshares
ENABLE MIDSTREAM PARTNERS LPENABLE MIDSTREAM PARTNERS LP10,746$147Kshares
BLACKROCK MUNIYIELD CALIFOR…BLACKROCK MUNIYIELD CALIFORNIA10,164$144Kshares
MMUWESTERN ASSET MANAGED MUNS F10,000$137Kshares
KAYNE ANDERSON NEXTGEN ENER…KAYNE ANDERSON NEXTGEN ENERGY10,702$124Kshares
CCIFCARLYLE CREDIT INCOME FUND12,878$122Kshares
BDJBLACKROCK ENHANCED EQUITY DI13,625$121Kshares
ETWEATON VANCE TAX-MANAGED GLOB10,355$101Kshares
JFRNUVEEN FLOATING RATE INCOME10,171$100Kshares
REFRRESEARCH FRONTIERS INC29,212$97Kshares
XBGYXBLACKROCK ENHANCED INTL DIV13,566$76Kshares
PSLVSPROTT ASSET MANAGEMENT LP12,378$71Kshares
ABEVAMBEV SA13,139$61Kshares
SENSEONICS HLDGS INCSENSEONICS HLDGS INC23,371$48Kshares
AERPIO PHARMACEUTICALS INCAERPIO PHARMACEUTICALS INC12,000$11Kshares
BYNDBEYOND MEAT INC1,000$7Kput
AMDADVANCED MICRO DEVICES INC200$0call
MGMMGM RESORTS INTERNATIONAL400$0call
ETSYETSY INC100$0call

How Q3 2019 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 0001085146-19-002756 base2019-11-06acceptance time not in the bulk data set