NEUBERGER BERMAN CANADA ULC
Adviser information for NEUBERGER BERMAN CANADA ULC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 22 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,344 | $11.2B |
| Non-Discretionary | 0 | $0 |
| Total | 1,344 | $11.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 777 | $321.1M |
| HNW Individuals | 310 | $1.2B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 23 | $6.6B |
| Pension and profit sharing plans | 4 | $1.0M |
| Charitable organizations | 17 | $88.2M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $609.4M |
| Sovereign wealth funds and foreign official institutions | <5 | $847.3M |
| Corporations or other businesses | 208 | $1.5B |
| Other | <5 | $268,221 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 11 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ACCESS MANAGER SELECTION PROGRAM | RBC DOMINION SECURITIES INC. |
| PRIVATE INVESTMENT MANAGEMENT PROGRAM | RBC DOMINION SECURITIES INC. |
Principal Office
181 BAY STREETSUITE 815
TORONTO, ONTARIO
Canada
Monday - Friday, 9-6PM
Tel: 416-883-6904, Fax: None
Chief Compliance Officer
VIVIANA BELTRAMETTI WALKER
1290 AVENUE OF THE AMERICAS
NEW YORK
NY
United States
Tel:
6464974354
V************************@*****M
(Full email address available in API data)
Industry Affiliates
| NB ALTERNATIVES ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN AIFM LUXEMBOURG SARL | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN ASIA LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN ASSET MANAGEMENT IRELAND LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN BD LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NEUBERGER BERMAN EUROPE LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN INVESTMENT ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| NEUBERGER BERMAN LOAN ADVISERS II LLC | Other investment adviser, including financial planners |
| NEUBERGER BERMAN LOAN ADVISERS IV LLC | Other investment adviser, including financial planners |
| NEUBERGER BERMAN LOAN ADVISERS LLC | Other investment adviser, including financial planners |
| NEUBERGER BERMAN SINGAPORE PTE. LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NB BRETON HILL MULTI-STYLE PREMIA MASTER FUND LP | Hedge Fund | $263.9M | $0.1M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NB ACQUISITIONCO ULC | Foreign Entity | – | SHAREHOLDER | 11/2017 | > 75% |
| CARROLL, RAYMOND, BERNARD | Individual | – | DIRECTOR | 04/2010 | < 5% |
| ARNOLD, WILLIAM, ALFRED | Individual | – | CHIEF FINANCIAL OFFICER | 11/2017 | < 5% |
| NEUBERGER BERMAN CANADA HOLDINGS LLC | Domestic Entity | NB ACQUISITIONCO ULC | SHAREHOLDER | 11/2017 | > 75% |
| NEUBERGER BERMAN GROUP LLC | Domestic Entity | NEUBERGER BERMAN CANADA HOLDINGS LLC | MEMBER | 11/2017 | > 75% |
| NBSH ACQUISITION, LLC | Domestic Entity | NEUBERGER BERMAN GROUP LLC | MEMBER | 05/2009 | > 75% |
| Beltrametti Walker, Viviana, K R A | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2018 | < 5% |
| ZUCKERMAN, HEATHER, P. | Individual | – | DIRECTOR | 11/2017 | < 5% |
| AMATO, JOSEPH, VINCENT | Individual | – | DIRECTOR | 11/2017 | < 5% |
| KHAN, KHASHIF, REHMAN | Individual | – | CHIEF EXECUTIVE OFFICER | 03/2022 | < 5% |
| DEATON, PATRICK, S | Individual | – | DIRECTOR | 04/2023 | < 5% |
| Giarraputo, Barry, J | Individual | – | CHIEF FINANCIAL OFFICER - ALTERNATIVES | 10/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed November 3rd, 2017 for period ending September 30th, 2017
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| DOWDUPONT INC | COM | 3K | 39K | – |
| MARRIOTT VACATIONS WRLDWDE C | COM | 230 | 2K | – |
| APPLE INC | COM | 2K | 14K | – |
| ABBVIE INC | COM | 13K | 152K | – |
| ALLERGAN PLC | SHS | 1K | 7K | – |
| ADOBE SYS INC | COM | 882 | 6K | – |
| ARCHER DANIELS MIDLAND CO | COM | 2K | 37K | – |
| AMEREN CORP | COM | 1K | 20K | – |
| ADVANCED ENERGY INDS | COM | 1K | 13K | – |
| AMERICAN ELEC PWR INC | COM | 10K | 144K | – |
| AES CORP | COM | 761 | 69K | – |
| AMERICAN FINL GROUP INC OHIO | COM | 227 | 2K | – |
| AFLAC INC | COM | 764 | 9K | – |
| AVANGRID INC | COM | 572 | 12K | – |
| APPLIED INDL TECHNOLOGIES IN | COM | 1K | 17K | – |
| ALLETE INC | COM NEW | 1K | 16K | – |
| ALIGN TECHNOLOGY INC | COM | 313 | 2K | – |
| ALASKA AIR GROUP INC | COM | 214 | 3K | – |
| ALLSTATE CORP | COM | 2K | 19K | – |
| APPLIED MATLS INC | COM | 1K | 24K | – |
| AMGEN INC | COM | 466 | 3K | – |
| AMERICAN TOWER CORP NEW | COM | 236 | 2K | – |
| AMAZON COM INC | COM | 1K | 1K | – |
| APTARGROUP INC | COM | 371 | 4K | – |
| BROADCOM LTD | SHS | 783 | 3K | – |
| AVNET INC | COM | 723 | 18K | – |
| AVX CORP NEW | COM | 1K | 68K | – |
| AVERY DENNISON CORP | COM | 470 | 5K | – |
| AMERICAN EXPRESS CO | COM | 1K | 15K | – |
| ASPEN TECHNOLOGY INC | COM | 290 | 5K | – |
| BOEING CO | COM | 1K | 4K | – |
| BANK AMER CORP | COM | 3K | 119K | – |
| BAXTER INTL INC | COM | 1K | 18K | – |
| BB&T CORP | COM | 1K | 30K | – |
| BEST BUY INC | COM | 3K | 45K | – |
| BERRY GLOBAL GROUP INC | COM | 960 | 17K | – |
| BUNGE LIMITED | COM | 2K | 24K | – |
| BIO RAD LABS INC | CL A | 232 | 1K | – |
| BEMIS INC | COM | 2K | 35K | – |
| BRISTOL MYERS SQUIBB CO | COM | 2K | 29K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 477 | 3K | – |
| BWX TECHNOLOGIES INC | COM | 255 | 5K | – |
| CITIGROUP INC | COM NEW | 2K | 25K | – |
| CA INC | COM | 2K | 59K | – |
| CABLE ONE INC | COM | 1K | 1K | – |
| CONAGRA BRANDS INC | COM | 232 | 7K | – |
| CARDINAL HEALTH INC | COM | 248 | 4K | – |
| CRACKER BARREL OLD CTRY STOR | COM | 314 | 2K | – |
| CABOT CORP | COM | 1K | 24K | – |
| CHARTER COMMUNICATIONS INC N | CL A | 741 | 2K | – |
| CDW CORP | COM | 969 | 15K | – |
| CELANESE CORP DEL | COM SER A | 483 | 5K | – |
| CITIZENS FINL GROUP INC | COM | 1K | 27K | – |
| CHURCHILL DOWNS INC | COM | 210 | 1K | – |
| CIGNA CORPORATION | COM | 2K | 9K | – |
| COLGATE PALMOLIVE CO | COM | 430 | 6K | – |
| CUMMINS INC | COM | 1K | 8K | – |
| CNA FINL CORP | COM | 1K | 21K | – |
| CENTENE CORP DEL | COM | 281 | 3K | – |
| CENTERPOINT ENERGY INC | COM | 2K | 53K | – |
| CAPITAL ONE FINL CORP | COM | 2K | 25K | – |
| COPA HOLDINGS SA | CL A | 2K | 16K | – |
| CAMPBELL SOUP CO | COM | 808 | 17K | – |
| COPART INC | COM | 1K | 30K | – |
| COOPER STD HLDGS INC | COM | 762 | 7K | – |
| CISCO SYS INC | COM | 3K | 99K | – |
| CENTURYLINK INC | COM | 691 | 37K | – |
| CVR ENERGY INC | COM | 834 | 32K | – |
| CVS HEALTH CORP | COM | 877 | 11K | – |
| CHEVRON CORP NEW | COM | 2K | 17K | – |
| DOMINION ENERGY INC | COM | 212 | 3K | – |
| DEAN FOODS CO NEW | COM NEW | 740 | 68K | – |
| DISCOVER FINL SVCS | COM | 1K | 21K | – |
| QUEST DIAGNOSTICS INC | COM | 1K | 12K | – |
| DOMINOS PIZZA INC | COM | 763 | 4K | – |
| DARDEN RESTAURANTS INC | COM | 839 | 11K | – |
| DTE ENERGY CO | COM | 889 | 8K | – |
| DUKE ENERGY CORP NEW | COM NEW | 10K | 122K | – |
| CONSOLIDATED EDISON INC | COM | 2K | 21K | – |
| EDISON INTL | COM | 235 | 3K | – |
| EMERSON ELEC CO | COM | 2K | 31K | – |
| ESSENT GROUP LTD | COM | 958 | 24K | – |
| EATON CORP PLC | SHS | 13K | 172K | – |
| EXELON CORP | COM | 215 | 6K | – |
| FORD MTR CO DEL | COM PAR $0.01 | 14K | 1M | – |
| FACEBOOK INC | CL A | 1K | 9K | – |
| FEDEX CORP | COM | 303 | 1K | – |
| FIFTH THIRD BANCORP | COM | 2K | 73K | – |
| FLOWERS FOODS INC | COM | 294 | 16K | – |
| TWENTY FIRST CENTY FOX INC | CL B | 269 | 10K | – |
| GENERAL DYNAMICS CORP | COM | 342 | 2K | – |
| GENERAL MLS INC | COM | 1K | 20K | – |
| CORNING INC | COM | 3K | 90K | – |
| GENERAL MTRS CO | COM | 13K | 329K | – |
| GATX CORP | COM | 828 | 13K | – |
| ALPHABET INC | CAP STK CL A | 2K | 2K | – |
| GAP INC DEL | COM | 1K | 43K | – |
| GARMIN LTD | SHS | 3K | 46K | – |
| GOLDMAN SACHS GROUP INC | COM | 2K | 10K | – |
| GOODYEAR TIRE & RUBR CO | COM | 728 | 22K | – |
| GRAINGER W W INC | COM | 1K | 6K | – |
| GREAT PLAINS ENERGY INC | COM | 735 | 24K | – |
| HAWAIIAN HOLDINGS INC | COM | 803 | 21K | – |
| HUNTINGTON BANCSHARES INC | COM | 1K | 81K | – |
| HANCOCK HLDG CO | COM | 277 | 6K | – |
| HCA HEALTHCARE INC | COM | 823 | 10K | – |
| HOME DEPOT INC | COM | 221 | 1K | – |
| HAWAIIAN ELEC INDUSTRIES | COM | 554 | 17K | – |
| HARTFORD FINL SVCS GROUP INC | COM | 669 | 12K | – |
| HOLLYFRONTIER CORP | COM | 912 | 25K | – |
| HEWLETT PACKARD ENTERPRISE C | COM | 281 | 19K | – |
| HP INC | COM | 3K | 150K | – |
| HARRIS CORP DEL | COM | 942 | 7K | – |
| HERSHEY CO | COM | 371 | 3K | – |
| HUNTSMAN CORP | COM | 704 | 26K | – |
| IAC INTERACTIVECORP | COM | 224 | 2K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 12K | 83K | – |
| IDACORP INC | COM | 221 | 3K | – |
| IDEXX LABS INC | COM | 872 | 6K | – |
| INTEL CORP | COM | 904 | 24K | – |
| INTL PAPER CO | COM | 2K | 33K | – |
| INTUITIVE SURGICAL INC | COM NEW | 1K | 4K | – |
| ITRON INC | COM | 1K | 14K | – |
| ILLINOIS TOOL WKS INC | COM | 1K | 7K | – |
| JABIL INC | COM | 203 | 7K | – |
| JETBLUE AIRWAYS CORP | COM | 528 | 29K | – |
| JELD-WEN HLDG INC | COM | 208 | 6K | – |
| JOHNSON & JOHNSON | COM | 4K | 31K | – |
| JPMORGAN CHASE & CO | COM | 3K | 34K | – |
| KEYCORP NEW | COM | 1K | 66K | – |
| KLA-TENCOR CORP | COM | 2K | 19K | – |
| KIMBERLY CLARK CORP | COM | 2K | 14K | – |
| KRONOS WORLDWIDE INC | COM | 276 | 12K | – |
| KOHLS CORP | COM | 528 | 12K | – |
| LEAR CORP | COM NEW | 260 | 2K | – |
| LILLY ELI & CO | COM | 221 | 3K | – |
| LOCKHEED MARTIN CORP | COM | 218 | 704 | – |
| LINCOLN NATL CORP IND | COM | 709 | 10K | – |
| CHENIERE ENERGY INC | COM NEW | 870 | 19K | – |
| LIFEPOINT HEALTH INC | COM | 926 | 16K | – |
| LOUISIANA PAC CORP | COM | 1K | 37K | – |
| LAM RESEARCH CORP | COM | 606 | 3K | – |
| LAS VEGAS SANDS CORP | COM | 12K | 184K | – |
| LYONDELLBASELL INDUSTRIES N | SHS - A - | 15K | 147K | – |
| LIVE NATION ENTERTAINMENT IN | COM | 392 | 9K | – |
| MACYS INC | COM | 1K | 64K | – |
| MASTERCARD INCORPORATED | CL A | 871 | 6K | – |
| MANPOWERGROUP INC | COM | 1K | 10K | – |
| MASIMO CORP | COM | 782 | 9K | – |
| MCDONALDS CORP | COM | 1K | 9K | – |
| MCDERMOTT INTL INC | COM | 781 | 107K | – |
| MAGELLAN HEALTH INC | COM NEW | 276 | 3K | – |
| MOHAWK INDS INC | COM | 803 | 3K | – |
| 3M CO | COM | 573 | 3K | – |
| ALTRIA GROUP INC | COM | 13K | 207K | – |
| MONSANTO CO NEW | COM | 1K | 13K | – |
| MARATHON PETE CORP | COM | 4K | 68K | – |
| MERCK & CO INC | COM | 3K | 44K | – |
| MORGAN STANLEY | COM NEW | 1K | 31K | – |
| MICROSOFT CORP | COM | 1K | 20K | – |
| M & T BK CORP | COM | 907 | 6K | – |
| MGIC INVT CORP WIS | COM | 586 | 47K | – |
| VAIL RESORTS INC | COM | 1K | 5K | – |
| MICRON TECHNOLOGY INC | COM | 382 | 10K | – |
| MURPHY OIL CORP | COM | 802 | 30K | – |
| MAXIM INTEGRATED PRODS INC | COM | 296 | 6K | – |
| MYLAN N V | SHS EURO | 1K | 37K | – |
| NIELSEN HLDGS PLC | SHS EUR | 2K | 37K | – |
| NORTHROP GRUMMAN CORP | COM | 548 | 2K | – |
| NORFOLK SOUTHERN CORP | COM | 225 | 2K | – |
| NETAPP INC | COM | 1K | 26K | – |
| NUCOR CORP | COM | 1K | 22K | – |
| NU SKIN ENTERPRISES INC | CL A | 2K | 25K | – |
| TWENTY FIRST CENTY FOX INC | CL A | 1K | 55K | – |
| NEW YORK CMNTY BANCORP INC | COM | 2K | 144K | – |
| OWENS CORNING NEW | COM | 646 | 8K | – |
| OFFICE DEPOT INC | COM | 56 | 12K | – |
| ONEOK INC NEW | COM | 1K | 20K | – |
| OWENS & MINOR INC NEW | COM | 959 | 33K | – |
| OLD REP INTL CORP | COM | 1K | 76K | – |
| O REILLY AUTOMOTIVE INC NEW | COM | 883 | 4K | – |
| PAYCHEX INC | COM | 373 | 6K | – |
| PEOPLES UNITED FINANCIAL INC | COM | 2K | 102K | – |
| PBF ENERGY INC | CL A | 427 | 15K | – |
| PITNEY BOWES INC | COM | 11K | 808K | – |
| PACCAR INC | COM | 239 | 3K | – |
| PG&E CORP | COM | 203 | 3K | – |
| PRICELINE GRP INC | COM NEW | 2K | 840 | – |
| PATTERSON COMPANIES INC | COM | 797 | 21K | – |
| PEPSICO INC | COM | 838 | 8K | – |
| PINNACLE FOODS INC DEL | COM | 833 | 15K | – |
| PFIZER INC | COM | 14K | 406K | – |
| PRINCIPAL FINL GROUP INC | COM | 645 | 10K | – |
| PROCTER AND GAMBLE CO | COM | 473 | 5K | – |
| PULTE GROUP INC | COM | 265 | 10K | – |
| PACKAGING CORP AMER | COM | 898 | 8K | – |
| PHILIP MORRIS INTL INC | COM | 12K | 112K | – |
| PNC FINL SVCS GROUP INC | COM | 2K | 18K | – |
| PNM RES INC | COM | 210 | 5K | – |
| PORTLAND GEN ELEC CO | COM NEW | 204 | 4K | – |
| PPL CORP | COM | 12K | 304K | – |
| PRUDENTIAL FINL INC | COM | 2K | 15K | – |
| PHILLIPS 66 | COM | 3K | 32K | – |
| PAYPAL HLDGS INC | COM | 365 | 6K | – |
| RYDER SYS INC | COM | 1K | 15K | – |
| EVEREST RE GROUP LTD | COM | 2K | 10K | – |
| REGIONS FINL CORP NEW | COM | 3K | 191K | – |
| REINSURANCE GROUP AMER INC | COM NEW | 2K | 13K | – |
| REGAL ENTMT GROUP | CL A | 198 | 12K | – |
| RENAISSANCERE HOLDINGS LTD | COM | 865 | 6K | – |
| REALPAGE INC | COM | 228 | 6K | – |
| RELIANCE STEEL & ALUMINUM CO | COM | 797 | 10K | – |
| REPUBLIC SVCS INC | COM | 1K | 15K | – |
| RAYTHEON CO | COM NEW | 1K | 6K | – |
| SANDERSON FARMS INC | COM | 2K | 13K | – |
| SANMINA CORPORATION | COM | 219 | 6K | – |
| SCANA CORP NEW | COM | 1K | 22K | – |
| SILGAN HOLDINGS INC | COM | 218 | 7K | – |
| SYNOPSYS INC | COM | 943 | 12K | – |
| SONOCO PRODS CO | COM | 1K | 28K | – |
| SPIRIT AEROSYSTEMS HLDGS INC | COM CL A | 210 | 3K | – |
| SUNTRUST BKS INC | COM | 1K | 17K | – |
| STEEL DYNAMICS INC | COM | 2K | 58K | – |
| STATE STR CORP | COM | 1K | 12K | – |
| CONSTELLATION BRANDS INC | CL A | 816 | 4K | – |
| SABRA HEALTH CARE REIT INC | COM | 485 | 22K | – |
| SYSCO CORP | COM | 740 | 14K | – |
| AT&T INC | COM | 13K | 335K | – |
| TECH DATA CORP | COM | 730 | 8K | – |
| TARGET CORP | COM | 2K | 27K | – |
| HANOVER INS GROUP INC | COM | 700 | 7K | – |
| TIFFANY & CO NEW | COM | 226 | 2K | – |
| TAYLOR MORRISON HOME CORP | CL A | 747 | 34K | – |
| TARGA RES CORP | COM | 828 | 18K | – |
| TRUSTMARK CORP | COM | 265 | 8K | – |
| TRAVELERS COMPANIES INC | COM | 1K | 9K | – |
| ANDEAVOR | COM | 231 | 2K | – |
| TORO CO | COM | 241 | 4K | – |
| TAKE-TWO INTERACTIVE SOFTWAR | COM | 1K | 15K | – |
| TUPPERWARE BRANDS CORP | COM | 2K | 25K | – |
| TIME WARNER INC | COM NEW | 864 | 8K | – |
| TEXAS INSTRS INC | COM | 1K | 15K | – |
| DOMTAR CORP | COM NEW | 1K | 32K | – |
| UNIVERSAL HLTH SVCS INC | CL B | 833 | 8K | – |
| UMPQUA HLDGS CORP | COM | 2K | 99K | – |
| UNITED NAT FOODS INC | COM | 746 | 18K | – |
| UNITEDHEALTH GROUP INC | COM | 1K | 7K | – |
| UNUM GROUP | COM | 1K | 29K | – |
| UNION PAC CORP | COM | 406 | 4K | – |
| UNITED PARCEL SERVICE INC | CL B | 2K | 16K | – |
| US BANCORP DEL | COM NEW | 1K | 23K | – |
| US FOODS HLDG CORP | COM | 202 | 8K | – |
| U S G CORP | COM NEW | 809 | 25K | – |
| VISA INC | COM CL A | 1K | 10K | – |
| VARIAN MED SYS INC | COM | 488 | 5K | – |
| VALERO ENERGY CORP NEW | COM | 4K | 52K | – |
| VALLEY NATL BANCORP | COM | 271 | 23K | – |
| VMWARE INC | CL A COM | 1K | 10K | – |
| VALIDUS HOLDINGS LTD | COM SHS | 265 | 5K | – |
| VISHAY INTERTECHNOLOGY INC | COM | 604 | 32K | – |
| VECTREN CORP | COM | 911 | 14K | – |
| VERIZON COMMUNICATIONS INC | COM | 12K | 235K | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 906 | 12K | – |
| WELLCARE HEALTH PLANS INC | COM | 2K | 12K | – |
| WESTERN DIGITAL CORP | COM | 264 | 3K | – |
| WELLS FARGO CO NEW | COM | 2K | 33K | – |
| ANTHEM INC | COM | 1K | 7K | – |
| WASTE MGMT INC DEL | COM | 1K | 13K | – |
| WILLIAMS COS INC DEL | COM | 906 | 30K | – |
| WAL-MART STORES INC | COM | 3K | 33K | – |
| WESTROCK CO | COM | 391 | 7K | – |
| WATSCO INC | COM | 314 | 2K | – |
| WESTERN UN CO | COM | 2K | 91K | – |
| UNITED STATES STL CORP NEW | COM | 869 | 34K | – |
| EXXON MOBIL CORP | COM | 3K | 36K | – |
| XEROX CORP | COM NEW | 3K | 86K | – |
| ZIONS BANCORPORATION | COM | 1K | 22K | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 888 | 5K | – |
| JD COM INC | SPON ADR CL A | 707 | 18K | – |
| SHIRE PLC | SPONSORED ADR | 842 | 5K | – |
| SPDR GOLD TRUST | GOLD SHS | 1K | 9K | – |
| ISHARES TR | 20 YR TR BD ETF | 499 | 4K | – |
| GAP INC DEL | COM | 0 | 0 | – |
| ABBVIE INC | COM | 0 | 0 | – |
| BEST BUY INC | COM | 0 | 0 | – |
| GAP INC DEL | COM | 0 | 0 | – |
| MYLAN N V | SHS EURO | 0 | 0 | – |
| ALLERGAN PLC | SHS | 0 | 0 | – |
| BEST BUY INC | COM | 0 | 0 | – |
| FACEBOOK INC | CL A | 0 | 0 | – |
| CARNIVAL CORP | UNIT 99/99/9999 | 1K | 22K | – |
| AGNC INVT CORP | COM | 1K | 54K | – |
| APPLE HOSPITALITY REIT INC | COM NEW | 539 | 28K | – |
| CBL & ASSOC PPTYS INC | COM | 479 | 57K | – |
| OUTFRONT MEDIA INC | COM | 1K | 47K | – |
| CHIMERA INVT CORP | COM NEW | 1K | 67K | – |
| CORESITE RLTY CORP | COM | 444 | 4K | – |
| CAMDEN PPTY TR | SH BEN INT | 11K | 116K | – |
| COLUMBIA PPTY TR INC | COM NEW | 933 | 43K | – |
| DUKE REALTY CORP | COM NEW | 215 | 7K | – |
| EPR PPTYS | COM SH BEN INT | 2K | 24K | – |
| EQUITY RESIDENTIAL | SH BEN INT | 323 | 5K | – |
| EMPIRE ST RLTY TR INC | CL A | 1K | 55K | – |
| ESSEX PPTY TR INC | COM | 200 | 789 | – |
| FRANKLIN STREET PPTYS CORP | COM | 377 | 35K | – |
| GAMING & LEISURE PPTYS INC | COM | 1K | 30K | – |
| HOSPITALITY PPTYS TR | COM SH BEN INT | 1K | 51K | – |
| HOST HOTELS & RESORTS INC | COM | 270 | 15K | – |
| KITE RLTY GROUP TR | COM NEW | 563 | 28K | – |
| LASALLE HOTEL PPTYS | COM SH BEN INT | 2K | 57K | – |
| LIBERTY PPTY TR | SH BEN INT | 10K | 253K | – |
| LEXINGTON REALTY TRUST | COM | 402 | 39K | – |
| MID AMER APT CMNTYS INC | COM | 10K | 98K | – |
| MFA FINL INC | COM | 589 | 67K | – |
| ANNALY CAP MGMT INC | COM | 1K | 92K | – |
| NEW RESIDENTIAL INVT CORP | COM NEW | 425 | 25K | – |
| CORPORATE OFFICE PPTYS TR | SH BEN INT | 1K | 31K | – |
| PIEDMONT OFFICE REALTY TR IN | COM CL A | 1K | 51K | – |
| PARK HOTELS RESORTS INC | COM | 267 | 10K | – |
| PROLOGIS INC | COM | 236 | 4K | – |
| PS BUSINESS PKS INC CALIF | COM | 1K | 8K | – |
| RLJ LODGING TR | COM | 1K | 55K | – |
| SUNSTONE HOTEL INVS INC NEW | COM | 268 | 17K | – |
| SELECT INCOME REIT | COM SH BEN INT | 568 | 24K | – |
| SENIOR HSG PPTYS TR | SH BEN INT | 1K | 70K | – |
| SPIRIT RLTY CAP INC NEW | COM | 1K | 164K | – |
| STARWOOD PPTY TR INC | COM | 339 | 16K | – |
| SUN CMNTYS INC | COM | 618 | 7K | – |
| WASHINGTON PRIME GROUP NEW | COM | 523 | 63K | – |
| XENIA HOTELS & RESORTS INC | COM | 269 | 13K | – |