Market Value172,750,000
Total Holdings403
File Date2013-10-16
Original Filing (Click here)

All hedge funds or institutions that manage over $100M are required by the SEC to file quarterly reports on their holdings. These reports are called 13F reports. However, the filings are required the following quarter from the reporting period, which means that by the time the filing is made (and we see them), the information could be five months old.

For funds with long term positions that make few trades, the holdings might closely resemble their current holdings, even after several months. However, for funds that have high turnover, the holdings data we see might differ significantly from their current holdings. Institutions are required to report CALL and PUT options, and those positions are identified in the table. However, they are not required to report short positions.

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Security Imputed
Share Price
Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
(USD x1000)
Current Value
(USD x1000)
Change
(Percent)
AMLP / ALPS ETF Trust - Alerian MLP ETF
018490100 / Allergan plc
APD / Air Products and Chemicals, Inc.
ARNC / Arconic Corporation
LNT / Alliant Energy Corporation
ACG / ALLIANCEBERNSTEIN INCOME FUND INC
MO / Altria Group, Inc.
AMX / América Móvil, S.A.B. de C.V. - Depositary Receipt (Common Stock)
AEP / American Electric Power Company, Inc.
US0268741560 / American International Group, Inc. Warrants
AIG / American International Group, Inc.
AMERICAN SELECT PORTFOLIO INC COM / (029570108)
AWR / American States Water Company
AMER STRATEGIC INCOME PORTFOLI COM / (030098107)
AMER STRATEGIC INCOME PORT II COM / (030099105)
AMERICAN STRATEGIC INCOME III PORTFOLIO IN / (03009T101)
APU / AmeriGas Partners, L.P.
US0325111070 / Anadarko Petroleum Corp.
AU / AngloGold Ashanti plc
AMAT / Applied Materials, Inc.
US0549371070 / BB&T Corp.
BBL / BHP Group Plc - ADR
BP / BP p.l.c. - Depositary Receipt (Common Stock)
BPT / BP Prudhoe Bay Royalty Trust
BAC / Bank of America Corporation
BMO / Bank of Montreal
BKMU / Bank Mutual Corp.
BK / The Bank of New York Mellon Corporation
BCS / Barclays PLC - Depositary Receipt (Common Stock)
JO / Barclays Bank PLC - ZC SP ETN REDEEM 23/01/2048 USD 50 - Ser B_BJO
BCS.PRA / Barclays Bank plc, 7.10% Non-cum Callable Dollar Preference Shares Series 3 ADR
GOLD / Barrick Mining Corporation
BAX / Baxter International Inc.
BHP / BHP Group Limited - Depositary Receipt (Common Stock)
BLACKROCK INCM OPPRTNTY TRST INC / (092475102)
US09249H1041 / BlackRock Municipal Bond Investment Trust
XMUHX / BlackRock MuniHoldings Fund II,
US09253Y1001 / Blackrock MuniEnhanced Fund Inc.
MYI / BlackRock MuniYield Quality Fund III, Inc.
ADRD / BLDRS Index Funds Trust
BA / The Boeing Company
DVN / Devon Energy Corporation
BBEP / Breitburn Energy Partners LP
BMY / Bristol-Myers Squibb Company
US1182301010 / Buckeye Partners, L.P.
IGR / CBRE Global Real Estate Income Fund
ITOT / iShares Trust - iShares Core S&P Total U.S. Stock Market ETF
CST / CST Brands, Inc.
CHY / Calamos Convertible and High Income Fund
CWT / California Water Service Group
CPB / The Campbell's Company
CCL / Carnival Corporation & plc
AMZN / Amazon.com, Inc.
XLU / The Select Sector SPDR Trust - The Utilities Select Sector SPDR Fund
META / Meta Platforms, Inc.
EFA / iShares Trust - iShares MSCI EAFE ETF
CELG / Celgene Corp.
ICF / iShares Trust - iShares Select U.S. REIT ETF
LUMN / Lumen Technologies, Inc.
CHK / Chesapeake Energy Corporation
CB / Chubb Limited
C / Citigroup Inc.
GUGGENHEIM BRIC ETF / GUGG BRIC ETF (18383M100)
CLX / The Clorox Company
TPR / Tapestry, Inc.
KOF / Coca-Cola FEMSA, S.A.B. de C.V. - Depositary Receipt (Common Stock)
COLDWATER CREEK INC COM / (193068202)
CAG / Conagra Brands, Inc.
COP / ConocoPhillips
ED / Consolidated Edison, Inc.
CRT / Cross Timbers Royalty Trust
INSI / Insight Select Income Fund
DB-X TRACKERS 2030 TARGET DATE FUND / XTRAK 2030TGT DT (233052307)
DB-X TRACKERS 2020 TARGET DATE FUND / XTRAK 2020TGT DT (233052208)
DNP / DNP Select Income Fund Inc.
DTE / DTE Energy Company
DELL / Dell Technologies Inc.
DBD / Diebold Nixdorf, Incorporated
DIS / The Walt Disney Company
D / Dominion Energy, Inc.
DOW / Dow Inc.
DOW / Dow Inc.
US26432K1088 / Duff & Phelps Utility and Corporate Bond Trust, Inc.
DRE / Duke Realty Corporation - Preferred Security
DUK / Duke Energy Corporation
DYN / Dyne Therapeutics, Inc.
EMC / Global X Funds - Global X Emerging Markets Great Consumer ETF
EQT / EQT Corporation
EVV / Eaton Vance Limited Duration Income Fund
EPB /
EDE / Empire District Electric Company (The)
EEP / Enbridge Energy Partners, L.P.
SXL / Sunoco Logistics Partners L.P.
ERF / Enerplus Corporation
ETR / Entergy Corporation
EPD / Enterprise Products Partners L.P. - Limited Partnership
EQY / Equity One, Inc.
ESS / Essex Property Trust, Inc.
COST / Costco Wholesale Corporation
EXC / Exelon Corporation
PEP / PepsiCo, Inc.
ESRX / Express Scripts Holding Co.
PFE / Pfizer Inc.
FTI / TechnipFMC plc
FSS / Federal Signal Corporation
FPP / FieldPoint Petroleum Corp.
FPP.WS / FieldPoint Petroleum Corp. Warrants
FNFG / First Niagara Financial Group, Inc.
FISV / Fiserv, Inc.
F / Ford Motor Company
FCX / Freeport-McMoRan Inc.
FTR / Frontier Communications Corp.
GAB / The Gabelli Equity Trust Inc.
XGUTX / Gabelli Utility Trust (The)
GDV / The Gabelli Dividend & Income Trust
GLU / The Gabelli Global Utility & Income Trust
GE / General Electric Company
GIS / General Mills, Inc.
GM / General Motors Company
GILD / Gilead Sciences, Inc.
GAIN / Gladstone Investment Corporation
GSK / GSK plc - Depositary Receipt (Common Stock)
GG / Goldcorp, Inc.
XLF / The Select Sector SPDR Trust - The Financial Select Sector SPDR Fund
KO / The Coca-Cola Company
GOOGL / Alphabet Inc.
IVV / iShares Trust - iShares Core S&P 500 ETF
MDY / SPDR S&P MidCap 400 ETF Trust
CVS / CVS Health Corporation
HSBC / HSBC Holdings plc - Depositary Receipt (Common Stock)
EEM / iShares, Inc. - iShares MSCI Emerging Markets ETF
TIP / iShares Trust - iShares TIPS Bond ETF
AVK / Advent Convertible and Income Fund
HD / The Home Depot, Inc.
XLB / The Select Sector SPDR Trust - The Materials Select Sector SPDR Fund
BRK.B / Berkshire Hathaway Inc.
ABBV / AbbVie Inc.
HAL / Halliburton Company
JPM / JPMorgan Chase & Co.
ORCL / Oracle Corporation
ABT / Abbott Laboratories
XLY / The Select Sector SPDR Trust - The Consumer Discretionary Select Sector SPDR Fund
XLV / The Select Sector SPDR Trust - The Health Care Select Sector SPDR Fund
VWO / Vanguard International Equity Index Funds - Vanguard FTSE Emerging Markets ETF
MCD / McDonald's Corporation
VUG / Vanguard Index Funds - Vanguard Growth ETF
CL / Colgate-Palmolive Company
IWM / iShares Trust - iShares Russell 2000 ETF
SPSB / SPDR Series Trust - SPDR Portfolio Short Term Corporate Bond ETF
XJHSX / John Hancock Income Securities
PDT / John Hancock Premium Dividend Fund
HTD / John Hancock Tax-Advantaged Dividend Income Fund
HPI / John Hancock Preferred Income Fund
HPF / John Hancock Preferred Income Fund II
HPS / John Hancock Preferred Income Fund III
HR / Healthcare Realty Trust Incorporated
HCN / Welltower Inc.
HP / Helmerich & Payne, Inc.
HPQ / HP Inc.
HPT / Hospitality Properties Trust
VTV / Vanguard Index Funds - Vanguard Value ETF
IWB / iShares Trust - iShares Russell 1000 ETF
AXP / American Express Company
ITW / Illinois Tool Works Inc.
IJR / iShares Trust - iShares Core S&P Small-Cap ETF
SAAS / inContact, Inc.
IFN / The India Fund, Inc.
CEQP / Crestwood Equity Partners LP - Unit
INERGY MIDSTREAM LP N/C 10/08/13 226378107 / U LTD PARTNERS (45671U106)
TEG / Integrys Energy Group, Inc.
IDCC / InterDigital, Inc.
IP / International Paper Company
EWZ / iShares, Inc. - iShares MSCI Brazil ETF
ILCB / iShares Trust - iShares Morningstar U.S. Equity ETF
AGG / iShares Trust - iShares Core U.S. Aggregate Bond ETF
LQD / iShares Trust - iShares iBoxx $ Investment Grade Corporate Bond ETF
IXC / iShares Trust - iShares Global Energy ETF
SHY / iShares Trust - iShares 1-3 Year Treasury Bond ETF
IWS / iShares Trust - iShares Russell Mid-Cap Value ETF
IWD / iShares Trust - iShares Russell 1000 Value ETF
IWF / iShares Trust - iShares Russell 1000 Growth ETF
IWN / iShares Trust - iShares Russell 2000 Value ETF
IWO / iShares Trust - iShares Russell 2000 Growth ETF
BSV / Vanguard Bond Index Funds - Vanguard Short-Term Bond ETF
IWV / iShares Trust - iShares Russell 3000 ETF
IDU / iShares Trust - iShares U.S. Utilities ETF
IYR / iShares Trust - iShares U.S. Real Estate ETF
IYM / iShares Trust - iShares U.S. Basic Materials ETF
IJT / iShares Trust - iShares S&P Small-Cap 600 Growth ETF
IGOV / iShares Trust - iShares International Treasury Bond ETF
SUB / iShares Trust - iShares Short-Term National Muni Bond ETF
SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF
EMB / iShares Trust - iShares J.P. Morgan USD Emerging Markets Bond ETF
MUB / iShares Trust - iShares National Muni Bond ETF
IDV / iShares Trust - iShares International Select Dividend ETF
MBB / iShares Trust - iShares MBS ETF
GVI / iShares Trust - iShares Intermediate Government/Credit Bond ETF
IGSB / iShares Trust - iShares 1-5 Year Investment Grade Corporate Bond ETF
PFF / iShares Trust - iShares Preferred and Income Securities ETF
SLV / iShares Silver Trust
GSG / iShares S&P GSCI Commodity-Indexed Trust
465685105 / ITC Holdings Corp.
IWP / iShares Trust - iShares Russell Mid-Cap Growth ETF
KLAC / KLA Corporation
K / Kellanova
KEY / KeyCorp
KMB / Kimberly-Clark Corporation
KMP /
KMI / Kinder Morgan, Inc.
KSS / Kohl's Corporation
KRFT /
LTC / LTC Properties, Inc.
LINE / Lineage, Inc.
LMT / Lockheed Martin Corporation
LULU / lululemon athletica inc.
MDU / MDU Resources Group, Inc.
MRK / Merck & Co., Inc.
MIC / Macquarie Infrastructure Holdings LLC - Units
IWR / iShares Trust - iShares Russell Mid-Cap ETF
MMP / Magellan Midstream Partners L.P.
MMLP / Martin Midstream Partners L.P. - Limited Partnership
MA / Mastercard Incorporated
MET / MetLife, Inc.
MDLZ / Mondelez International, Inc.
NOV / NOV Inc.
NRP / Natural Resource Partners L.P. - Limited Partnership
NYCB / Flagstar Financial, Inc.
JNJ / Johnson & Johnson
NEM / Newmont Corporation
NEE / NextEra Energy, Inc.
NHF / NexPoint Strategic Opportunities Fund
NKA / Niska Gas Storage Partners LLC
NSC / Norfolk Southern Corporation
ES / Eversource Energy
ARROW DOW JONES GLOBAL YIELD DOW JONES GLB / ARROW DJ GLOBL (66537H105)
872307903 / TCF Financial Corporation
NVS / Novartis AG - Depositary Receipt (Common Stock)
NS / NuStar Energy L.P. - Limited Partnership
67059L102 / NuStar GP Holdings, LLC
NCA / Nuveen California Municipal Value Fund
NMA / Nuveen Municipal Advantage Fund, Inc.
NQI / Nuveen Quality Municipal Fund, Inc.
NPI / Nuveen Premium Income Municipal Fund, Inc.
NXC / Nuveen California Select Tax-Free Income Portfolio
NKX / Nuveen California AMT-Free Quality Municipal Income Fund
NSL / Nuveen Senior Income Fund
NUW / Nuveen AMT-Free Municipal Value Fund
JRO / Nuveen Floating Rate Income Opportunity Fund
NZF / Nuveen Municipal Credit Income Fund
67071S101 / Nuveen Quality Preferred Income Fund
JPS / Nuveen Preferred & Income Securities Fund
XJTPX / Nuveen Quality Preferred Income
NVE / Nv Energy, Inc.
OGE / OGE Energy Corp.
ORLY / O'Reilly Automotive, Inc.
IBM / International Business Machines Corporation
MMM / 3M Company
OXY / Occidental Petroleum Corporation
SPY / SPDR S&P 500 ETF
OMC / Omnicom Group Inc.
XLP / The Select Sector SPDR Trust - The Consumer Staples Select Sector SPDR Fund
CWB / SPDR Series Trust - SPDR Bloomberg Convertible Securities ETF
XLK / The Select Sector SPDR Trust - The Technology Select Sector SPDR Fund
INTC / Intel Corporation
IJH / iShares Trust - iShares Core S&P Mid-Cap ETF
OUTR / Outerwall Inc.
XPCMX / PCM Fund, Inc.
PCG / PG&E Corporation
PPL / PPL Corporation
PVR / PVR PARTNERS L P
PHF / Pacholder High Yield Fund, Inc.
PAYX / Paychex, Inc.
PPL / Pembina Pipeline Corporation
OWE / Obsidian Energy Ltd.
PETM /
PM / Philip Morris International Inc.
PSX / Phillips 66
PDM / Piedmont Realty Trust, Inc.
PCN / PIMCO Corporate & Income Strategy Fund
PHK / PIMCO High Income Fund
PTY / Partway Group Plc
XPFNX / PIMCO Income Strategy Fund II
STPZ / PIMCO ETF Trust - PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund
PNW / Pinnacle West Capital Corporation
PHT / Pioneer High Income Fund, Inc.
PHD / Pioneer Floating Rate Fund, Inc.
MAV / Pioneer Municipal High Income Advantage Fund, Inc.
MHI / Pioneer Municipal High Income Fund, Inc.
PAA / Plains All American Pipeline, L.P. - Limited Partnership
POWERSHARES QQQ / UNIT SER 1 (73935A104)
POWERSHARES INDIA PORTFOLIO / INDIA PORT (73935L100)
DBC / Invesco DB Commodity Index Tracking Fund
PZI / PowerShares Zacks Micro Cap Portfolio
PXSV / PowerShares Fundamental Pure Small Value Portfolio
MSLEX / Morgan Stanley Institutional Fund Trust. - MSIFT Senior Loan Portfolio USD Cls IS
POWERSHARES FUNDAM HIGH YIELD CORP BOND PO / FDM HG YLD RAFI (73936T557)
POWERSHARES PFD PORT / AGG PFD PORT (73936T565)
POWERSHARES EMERGING MARKETS SOV DEB PORT / SOVEREIGN DEBT (73936T573)
TROW / T. Rowe Price Group, Inc.
VNQ / Vanguard Specialized Funds - Vanguard Real Estate ETF
PG / The Procter & Gamble Company
TBT / ProShares Trust - ProShares UltraShort 20+ Year Treasury
PROSHARES ULTRASHORT FTSE CHINA 25 / ULTSHT CHINA 25 (74347X567)
PRU / Prudential Financial, Inc.
PSA / Public Storage
GLD / SPDR Gold Trust
RTX / RTX Corporation
TSLA / Tesla, Inc.
RPM / RPM International Inc.
RAX / Rackspace Hosting, Inc.
RTN / Raytheon Co.
RMTI / Rockwell Medical, Inc.
CVX / Chevron Corporation
CSCO / Cisco Systems, Inc.
ROYAL BK SCOTLAND GRP PLC PFD 6.125% SERIE / ADR PREF SHS R (780097747)
RBSPF / NatWest Group plc
RBSPF / NatWest Group plc
RBSPF / NatWest Group plc
RDS.A / Shell Plc - ADR (Representing Ordinary Shares - Class A)
RVT / Royce Small-Cap Trust, Inc.
GCV / The Gabelli Convertible and Income Securities Fund Inc.
TRV / The Travelers Companies, Inc.
IBND / SPDR Series Trust - SPDR Bloomberg International Corporate Bond ETF
PSK / SPDR Series Trust - SPDR ICE Preferred Securities ETF
SPLB / SPDR Series Trust - SPDR Portfolio Long Term Corporate Bond ETF
SPDR NUVEEN BARCLAYS SHORT TERM MUN / NUVN BR SHT MUNI (78464A425)
JNK / SPDR Series Trust - SPDR Bloomberg High Yield Bond ETF
WIP / SPDR Series Trust - SPDR FTSE International Government Inflation-Protected Bond ETF
BWX / SPDR Series Trust - SPDR Bloomberg International Treasury Bond ETF
IPE / SPDR Barclays TIPS ETF
SJNK / SPDR Series Trust - SPDR Bloomberg Short Term High Yield Bond ETF
SBR / Sabine Royalty Trust
HON / Honeywell International Inc.
SLB / Schlumberger Limited
SCHW / The Charles Schwab Corporation
XLI / The Select Sector SPDR Trust - The Industrial Select Sector SPDR Fund
SNH / Senior Housing Properties Trust
WPM / Wheaton Precious Metals Corp.
SO / The Southern Company
SWX / Southwest Gas Holdings, Inc.
SEP / Spectra Energy Partners LP
SRC / Spirit Realty Capital, Inc.
SPLS / Staples, Inc.
SBUX / Starbucks Corporation
STT / State Street Corporation
RGR / Sturm, Ruger & Company, Inc.
SPH / Suburban Propane Partners, L.P. - Limited Partnership
SYY / Sysco Corporation
TAL / TAL Education Group - Depositary Receipt (Common Stock)
TGT / Target Corporation
TEI / Templeton Emerging Markets Income Fund
GIM / Templeton Global Income Fund
TEVA / Teva Pharmaceutical Industries Limited - Depositary Receipt (Common Stock)
THI / Tim Hortons, Inc.
BBDC / Barings BDC, Inc.
UDR / UDR, Inc.
UGI / UGI Corporation
UIL / UIL Holdings Corporation
USB / U.S. Bancorp
UL / Unilever PLC - Depositary Receipt (Common Stock)
904784709 / Unilever N.V.
UPS / United Parcel Service, Inc.
UNH / UnitedHealth Group Incorporated
VFC / V.F. Corporation
VALE / Vale S.A. - Depositary Receipt (Common Stock)
VLO / Valero Energy Corporation
VBLTX / Vanguard Bond Index Funds - Vanguard Bond Index Fund Long-Term Bond Index Fund
BIV / Vanguard Bond Index Funds - Vanguard Intermediate-Term Bond ETF
VBMFX / Vanguard Bond Index Funds - Vanguard Bond Index Fund Total Bond Market Index Fund
VYM / Vanguard Whitehall Funds - Vanguard High Dividend Yield ETF
VNQI / Vanguard International Equity Index Funds - Vanguard Global ex-U.S. Real Estate ETF
VEU / Vanguard International Equity Index Funds - Vanguard FTSE All-World ex-US ETF
VHT / Vanguard World Fund - Vanguard Health Care ETF
VGT / Vanguard World Fund - Vanguard Information Technology ETF
VOX / Vanguard World Fund - Vanguard Communication Services ETF
VNR / Vanguard Natural Resources, LLC
VICSX / Vanguard Scottsdale Funds - Vanguard IT Corporate Bond Index Fund Admiral
VOE / Vanguard Index Funds - Vanguard Mid-Cap Value ETF
VMGMX / Vanguard Index Funds - Vanguard Mid-Cap Growth Index Fund Admiral
VSGIX / Vanguard Index Funds - Vanguard Small-Cap Growth Index Fund Institutional
VSIIX / Vanguard Index Funds - Vanguard Small-Cap Value Index Fund Institutional
VLCSX / Vanguard Large-Cap Index Fund
VIEIX / Vanguard Index Funds - Vanguard Index Trust Extended Market Index Fund Institutional
HYG / iShares Trust - iShares iBoxx $ High Yield Corporate Bond ETF
VB / Vanguard Index Funds - Vanguard Small-Cap ETF
VTI / Vanguard Index Funds - Vanguard Total Stock Market ETF
VZ / Verizon Communications Inc.
VODPF / Vodafone Group Public Limited Company
WMT / Walmart Inc.
WAG /
WM / Waste Management, Inc.
ANTM / Anthem Inc
WFC / Wells Fargo & Company
HIX / Western Asset High Income Fund II Inc.
MMU / Western Asset Managed Municipals Fund Inc.
WDC / Western Digital Corporation
WFM / Whole Foods Market, Inc.
WILLIAMS COMM GROUP INC NON-TRANSFERABLE S / Com (969455104)
WMB / The Williams Companies, Inc.
Y / Alleghany Corp.
/ Windstream Holdings, Inc
WEC / WEC Energy Group, Inc.
DEM / WisdomTree Trust - WisdomTree Emerging Markets High Dividend Fund
DTN / WisdomTree Trust - WisdomTree U.S. Dividend Ex-Financials Fund
DWM / WisdomTree Trust - WisdomTree International Equity Fund
US98212B1035 / WPX Energy, Inc.
XEL / Xcel Energy Inc.
XLNX / Xilinx, Inc.
YRI / Yamana Gold Inc
YORW / The York Water Company
YUM / Yum! Brands, Inc.
ZBH / Zimmer Biomet Holdings, Inc.
ACN / Accenture plc
COV /
MNKKQ / Mallinckrodt Plc
SFL / SFL Corporation Ltd.
TGH / Textainer Group Holdings Limited
GRMN / Garmin Ltd.
00B65Z9D7 / Noble Corporation plc
CEL / Cellcom Israel Ltd.
TGP / Teekay LNG Partners LP - Unit
AAPL / Apple Inc.
FE / FirstEnergy Corp.
XOM / Exxon Mobil Corporation
MSFT / Microsoft Corporation
BTI / British American Tobacco p.l.c. - Depositary Receipt (Common Stock)
T / AT&T Inc.
UNP / Union Pacific Corporation
CAT / Caterpillar Inc.
XLE / The Select Sector SPDR Trust - The Energy Select Sector SPDR Fund