SHEAFF BROCK INVESTMENT ADVISORS, LLC
Adviser information for SHEAFF BROCK INVESTMENT ADVISORS, LLC last updated from Form ADV on March 26th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Indiana, United States |
Employees
| Total Number of Employees | 25 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 19 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,998 | $1.4B |
| Non-Discretionary | 0 | $0 |
| Total | 1,998 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 476 | $154.7M |
| HNW Individuals | 378 | $1.1B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 11 | $35.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 22 | $94.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
8801 RIVER CROSSING BLVDSUITE 100
INDIANAPOLIS
IN
United States
Monday - Friday, 8:30AM - 5PM
Tel: 317-705-5700, Fax: 317-705-5110
Chief Compliance Officer
AUDREY L. BRUCH
8801 RIVER CROSSING BLVD
SUITE 100
INDIANAPOLIS
IN
United States
Tel:
317-705-5700
Fax:
317-705-5110
A******@**************M
(Full email address available in API data)
Regulatory Contact
BRAD STARK
COMPLIANCE MANAGER
8801 RIVER CROSSING BLVD
SUITE 100
INDIANAPOLIS
IN
United States
Tel:
317-705-5700
Fax:
317-705-5110
B****@**************M
(Full email address available in API data)
Industry Affiliates
| INNOVATIVE PORTFOLIOS LLC | Other investment adviser, including financial planners |
| SALZINGER SHEAFF BROCK, LLC | Other investment adviser, including financial planners |
| SBAUER FUNDS, LLC | Other investment adviser, including financial planners |
| TREVI GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| TRUST ADVISORS | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GILREATH, DAVID, SHEAFF | Individual | – | MEMBER | 10/2001 | < 5% |
| BROCK, RONALD, ROBERT | Individual | – | MEMBER/CHIEF FINANCIAL OFFICER | 10/2001 | < 5% |
| SHEAFF BROCK CAPITAL MANAGEMENT, LLC | Domestic Entity | – | HOLDING CO | 04/2012 | > 75% |
| GILREATH, DAVID, SHEAFF | Individual | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | OWNER/MEMBER | 04/2012 | 50-75% |
| BROCK, RONALD, ROBERT | Individual | SHEAFF BROCK CAPITAL MANAGEMENT, LLC | OWNER/MEMBER | 04/2012 | 50-75% |
| BRUCH, AUDREY, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2016 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| APPLE INC | COM | 116M | 551K | – |
| NVIDIA CORPORATION | COM | 88M | 716K | – |
| ELI LILLY & CO | COM | 31M | 34K | – |
| MICROSOFT CORP | COM | 29M | 64K | – |
| AMAZON COM INC | COM | 21M | 111K | – |
| LISTED FD TR | DIVIDEND PERFMRS | 18M | 1M | – |
| ORACLE CORP | COM | 17M | 122K | – |
| MERCK & CO INC | COM | 15M | 117K | – |
| INVESCO QQQ TR | UNIT SER 1 | 15M | 30K | – |
| META PLATFORMS INC | CL A | 14M | 29K | – |
| KLA CORP | COM NEW | 14M | 17K | – |
| BROADCOM INC | COM | 14M | 9K | – |
| QUALCOMM INC | COM | 13M | 67K | – |
| HOME DEPOT INC | COM | 13M | 39K | – |
| IRON MTN INC DEL | COM | 12M | 139K | – |
| ALPHABET INC | CAP STK CL A | 12M | 66K | – |
| ABBVIE INC | COM | 11M | 63K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 10M | 19K | – |
| PROLOGIS INC. | COM | 9M | 83K | – |
| LOCKHEED MARTIN CORP | COM | 9M | 20K | – |
| AMERICAN EXPRESS CO | COM | 9M | 40K | – |
| CISCO SYS INC | COM | 9M | 183K | – |
| HUBBELL INC | COM | 9M | 24K | – |
| UNITEDHEALTH GROUP INC | COM | 9M | 17K | – |
| ONEOK INC NEW | COM | 9M | 105K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 9M | 28K | – |
| PARKER-HANNIFIN CORP | COM | 8M | 17K | – |
| ALPHABET INC | CAP STK CL C | 8M | 46K | – |
| ADVANCED MICRO DEVICES INC | COM | 8M | 51K | – |
| EXXON MOBIL CORP | COM | 8M | 71K | – |
| PROCTER AND GAMBLE CO | COM | 8M | 48K | – |
| TEXAS INSTRS INC | COM | 8M | 41K | – |
| CUMMINS INC | COM | 8M | 28K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 8M | 20K | – |
| ALLISON TRANSMISSION HLDGS I | COM | 8M | 102K | – |
| TRUIST FINL CORP | COM | 8M | 199K | – |
| PENSKE AUTOMOTIVE GRP INC | COM | 7M | 50K | – |
| THE CIGNA GROUP | COM | 7M | 22K | – |
| GENERAL DYNAMICS CORP | COM | 7M | 25K | – |
| PEPSICO INC | COM | 7M | 43K | – |
| INGREDION INC | COM | 7M | 59K | – |
| SALESFORCE INC | COM | 7M | 26K | – |
| LISTED FD TR | PREFERRED PLUS | 7M | 664K | – |
| JPMORGAN CHASE & CO. | COM | 6M | 32K | – |
| NETFLIX INC | COM | 6M | 9K | – |
| BROADRIDGE FINL SOLUTIONS IN | COM | 6M | 32K | – |
| KROGER CO | COM | 6M | 116K | – |
| CME GROUP INC | COM | 6M | 29K | – |
| PPG INDS INC | COM | 6M | 45K | – |
| UNITED PARCEL SERVICE INC | CL B | 6M | 41K | – |
| AMERICAN FINL GROUP INC OHIO | COM | 5M | 44K | – |
| CHEVRON CORP NEW | COM | 5M | 34K | – |
| TARGET CORP | COM | 5M | 35K | – |
| TESLA INC | COM | 5M | 25K | – |
| GALLAGHER ARTHUR J & CO | COM | 5M | 19K | – |
| GLOBE LIFE INC | COM | 5M | 57K | – |
| COSTCO WHSL CORP NEW | COM | 4M | 5K | – |
| HONEYWELL INTL INC | COM | 4M | 21K | – |
| PHILIP MORRIS INTL INC | COM | 4M | 43K | – |
| TRICO BANCSHARES | COM | 4M | 110K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 4M | 16K | – |
| 3M CO | COM | 4M | 42K | – |
| ADOBE INC | COM | 4M | 7K | – |
| TRAVELERS COMPANIES INC | COM | 4M | 19K | – |
| ALTRIA GROUP INC | COM | 4M | 83K | – |
| BANK AMERICA CORP | COM | 4M | 92K | – |
| COCA COLA CO | COM | 4M | 57K | – |
| FORD MTR CO DEL | COM | 4M | 285K | – |
| ARISTA NETWORKS INC | COM | 4M | 10K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3M | 7K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 3M | 8K | – |
| WALMART INC | COM | 3M | 48K | – |
| MICRON TECHNOLOGY INC | COM | 3M | 25K | – |
| AMETEK INC | COM | 3M | 19K | – |
| MASTERCARD INCORPORATED | CL A | 3M | 7K | – |
| MARVELL TECHNOLOGY INC | COM | 3M | 43K | – |
| MCDONALDS CORP | COM | 3M | 12K | – |
| VISA INC | COM CL A | 3M | 11K | – |
| BOEING CO | COM | 3M | 15K | – |
| INTEL CORP | COM | 3M | 87K | – |
| JOHNSON & JOHNSON | COM | 3M | 18K | – |
| GLOBUS MED INC | CL A | 3M | 39K | – |
| DISNEY WALT CO | COM | 3M | 26K | – |
| SYNOPSYS INC | COM | 3M | 4K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 3M | 15K | – |
| SIMON PPTY GROUP INC NEW | COM | 3M | 17K | – |
| LOWES COS INC | COM | 3M | 12K | – |
| CADENCE DESIGN SYSTEM INC | COM | 2M | 8K | – |
| SIRIUS XM HOLDINGS INC | COM | 2M | 867K | – |
| CATERPILLAR INC | COM | 2M | 7K | – |
| CINTAS CORP | COM | 2M | 3K | – |
| FORTINET INC | COM | 2M | 39K | – |
| LPL FINL HLDGS INC | COM | 2M | 8K | – |
| PURE STORAGE INC | CL A | 2M | 35K | – |
| DIGITAL RLTY TR INC | COM | 2M | 15K | – |
| MEDPACE HLDGS INC | COM | 2M | 5K | – |
| GRAINGER W W INC | COM | 2M | 2K | – |
| CARLISLE COS INC | COM | 2M | 5K | – |
| TRACTOR SUPPLY CO | COM | 2M | 8K | – |
| VERIZON COMMUNICATIONS INC | COM | 2M | 52K | – |
| EMCOR GROUP INC | COM | 2M | 6K | – |
| PFIZER INC | COM | 2M | 74K | – |
| ALLSTATE CORP | COM | 2M | 13K | – |
| SOUTHERN CO | COM | 2M | 27K | – |
| TOPBUILD CORP | COM | 2M | 5K | – |
| WELLTOWER INC | COM | 2M | 19K | – |
| GARTNER INC | COM | 2M | 4K | – |
| TRADEWEB MKTS INC | CL A | 2M | 18K | – |
| PROSHARES TR | ULTRAPRO QQQ | 2M | 26K | – |
| MONDELEZ INTL INC | CL A | 2M | 29K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 2M | 8K | – |
| EAGLE MATLS INC | COM | 2M | 9K | – |
| LIBERTY ALL STAR EQUITY FD | SH BEN INT | 2M | 274K | – |
| OLD DOMINION FREIGHT LINE IN | COM | 2M | 10K | – |
| WORKDAY INC | CL A | 2M | 8K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 2M | 59K | – |
| ENERGY TRANSFER L P | COM UT LTD PTN | 2M | 103K | – |
| ISHARES TR | PFD AND INCM SEC | 2M | 53K | – |
| LINCOLN ELEC HLDGS INC | COM | 2M | 9K | – |
| REALTY INCOME CORP | COM | 2M | 31K | – |
| VEEVA SYS INC | CL A COM | 2M | 9K | – |
| BOOKING HOLDINGS INC | COM | 2M | 403 | – |
| SUPER MICRO COMPUTER INC | COM | 2M | 2K | – |
| SENSIENT TECHNOLOGIES CORP | COM | 2M | 21K | – |
| OMEGA HEALTHCARE INVS INC | COM | 2M | 46K | – |
| CELSIUS HLDGS INC | COM NEW | 2M | 27K | – |
| GE AEROSPACE | COM NEW | 1M | 9K | – |
| PAYPAL HLDGS INC | COM | 1M | 25K | – |
| ALEXANDRIA REAL ESTATE EQ IN | COM | 1M | 12K | – |
| WASTE MGMT INC DEL | COM | 1M | 7K | – |
| EXLSERVICE HOLDINGS INC | COM | 1M | 44K | – |
| TJX COS INC NEW | COM | 1M | 13K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 1M | 33K | – |
| IDEXX LABS INC | COM | 1M | 3K | – |
| AT&T INC | COM | 1M | 70K | – |
| SNAP ON INC | COM | 1M | 5K | – |
| CROWDSTRIKE HLDGS INC | CL A | 1M | 3K | – |
| LENNAR CORP | CL A | 1M | 9K | – |
| PALO ALTO NETWORKS INC | COM | 1M | 4K | – |
| VANGUARD INDEX FDS | LARGE CAP ETF | 1M | 5K | – |
| INVITATION HOMES INC | COM | 1M | 35K | – |
| PUBLIC STORAGE OPER CO | COM | 1M | 4K | – |
| AMERICAN TOWER CORP NEW | COM | 1M | 6K | – |
| HEALTHPEAK PROPERTIES INC | COM | 1M | 64K | – |
| AVALONBAY CMNTYS INC | COM | 1M | 6K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 1M | 16K | – |
| WELLS FARGO CO NEW | COM | 1M | 20K | – |
| ISHARES TR | MSCI USA MMENTM | 1M | 6K | – |
| EASTGROUP PPTYS INC | COM | 1M | 7K | – |
| VICI PPTYS INC | COM | 1M | 42K | – |
| EQUINIX INC | COM | 1M | 2K | – |
| DUKE ENERGY CORP NEW | COM NEW | 1M | 12K | – |
| MID-AMER APT CMNTYS INC | COM | 1M | 8K | – |
| APPLIED MATLS INC | COM | 1M | 5K | – |
| ARES CAPITAL CORP | COM | 1M | 56K | – |
| COPT DEFENSE PROPERTIES | SHS BEN INT | 1M | 46K | – |
| LAM RESEARCH CORP | COM | 1M | 1K | – |
| CSX CORP | COM | 1M | 33K | – |
| REGIONS FINANCIAL CORP NEW | COM | 1M | 52K | – |
| GE HEALTHCARE TECHNOLOGIES I | COMMON STOCK | 1M | 13K | – |
| AXON ENTERPRISE INC | COM | 1M | 4K | – |
| PROSHARES TR | PSHS ULT S&P 500 | 1M | 13K | – |
| CITIGROUP INC | COM NEW | 1M | 16K | – |
| MARATHON PETE CORP | COM | 1M | 6K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 1M | 4K | – |
| VALERO ENERGY CORP | COM | 1M | 6K | – |
| DELL TECHNOLOGIES INC | CL C | 1M | 7K | – |
| LABCORP HOLDINGS INC | COM SHS | 996K | 5K | – |
| MADRIGAL PHARMACEUTICALS INC | COM | 981K | 4K | – |
| MARRIOTT INTL INC NEW | CL A | 943K | 4K | – |
| BLACKROCK MUN INCOME TR | SH BEN INT | 943K | 92K | – |
| OLD REP INTL CORP | COM | 942K | 31K | – |
| JACOBS SOLUTIONS INC | COM | 937K | 7K | – |
| DIREXION SHS ETF TR | DLY ENRGY BULL2X | 937K | 14K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 894K | 2K | – |
| AGNC INVT CORP | COM | 891K | 93K | – |
| NEXTERA ENERGY INC | COM | 888K | 13K | – |
| MORGAN STANLEY | COM NEW | 882K | 9K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 868K | 849 | – |
| DEERE & CO | COM | 866K | 2K | – |
| DISCOVER FINL SVCS | COM | 859K | 7K | – |
| NIKE INC | CL B | 845K | 11K | – |
| CONOCOPHILLIPS | COM | 844K | 7K | – |
| MEDTRONIC PLC | SHS | 844K | 11K | – |
| AMPHENOL CORP NEW | CL A | 829K | 12K | – |
| MPLX LP | COM UNIT REP LTD | 828K | 19K | – |
| GODADDY INC | CL A | 824K | 6K | – |
| MERCADOLIBRE INC | COM | 820K | 499 | – |
| SCORPIO TANKERS INC | SHS | 813K | 10K | – |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 810K | 13K | – |
| SELECT SECTOR SPDR TR | ENERGY | 780K | 9K | – |
| VANGUARD WORLD FD | MEGA CAP INDEX | 779K | 4K | – |
| COLGATE PALMOLIVE CO | COM | 774K | 8K | – |
| ISHARES TR | CORE S&P MCP ETF | 763K | 13K | – |
| EATON VANCE TAX-MANAGED GLOB | COM | 758K | 90K | – |
| STEEL DYNAMICS INC | COM | 757K | 6K | – |
| ZSCALER INC | COM | 752K | 4K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 740K | 8K | – |
| DIREXION SHS ETF TR | DLY SMCAP BULL3X | 738K | 20K | – |
| ISHARES TR | RUSSELL 2000 ETF | 732K | 4K | – |
| J P MORGAN EXCHANGE TRADED F | NASDAQ EQT PREM | 732K | 13K | – |
| E L F BEAUTY INC | COM | 722K | 3K | – |
| KRAFT HEINZ CO | COM | 713K | 22K | – |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 710K | 15K | – |
| PROSHARES TR | PSHS ULTRA QQQ | 699K | 7K | – |
| STARBUCKS CORP | COM | 693K | 9K | – |
| AUTONATION INC | COM | 680K | 4K | – |
| BLACKSTONE INC | COM | 680K | 5K | – |
| MOTOROLA SOLUTIONS INC | COM NEW | 680K | 2K | – |
| WILLIAMS COS INC | COM | 679K | 16K | – |
| PNC FINL SVCS GROUP INC | COM | 666K | 4K | – |
| METLIFE INC | COM | 664K | 9K | – |
| STRYKER CORPORATION | COM | 663K | 2K | – |
| AFLAC INC | COM | 656K | 7K | – |
| VANGUARD INDEX FDS | MID CAP ETF | 647K | 3K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 637K | 1K | – |
| HUMANA INC | COM | 633K | 2K | – |
| ESSENTIAL PPTYS RLTY TR INC | COM | 625K | 23K | – |
| M & T BK CORP | COM | 624K | 4K | – |
| RYMAN HOSPITALITY PPTYS INC | COM | 621K | 6K | – |
| LULULEMON ATHLETICA INC | COM | 618K | 2K | – |
| ABBOTT LABS | COM | 614K | 6K | – |
| POLARIS INC | COM | 609K | 8K | – |
| PHILLIPS 66 | COM | 607K | 4K | – |
| ISHARES TR | SELECT DIVID ETF | 601K | 5K | – |
| DOW INC | COM | 598K | 11K | – |
| GETTY RLTY CORP NEW | COM | 586K | 22K | – |
| AMGEN INC | COM | 574K | 2K | – |
| US BANCORP DEL | COM NEW | 573K | 14K | – |
| VERTEX PHARMACEUTICALS INC | COM | 571K | 1K | – |
| GLOBAL PMTS INC | COM | 571K | 6K | – |
| ZOETIS INC | CL A | 568K | 3K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 567K | 3K | – |
| JOHNSON CTLS INTL PLC | SHS | 563K | 8K | – |
| WEC ENERGY GROUP INC | COM | 562K | 7K | – |
| APPLE HOSPITALITY REIT INC | COM NEW | 554K | 38K | – |
| COMPASS DIVERSIFIED | SH BEN INT | 549K | 25K | – |
| PIMCO ETF TR | ENHAN SHRT MA AC | 545K | 5K | – |
| SCHWAB CHARLES CORP | COM | 545K | 7K | – |
| HUNT J B TRANS SVCS INC | COM | 544K | 3K | – |
| KINDER MORGAN INC DEL | COM | 536K | 27K | – |
| YUM BRANDS INC | COM | 536K | 4K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 534K | 7K | – |
| ARM HOLDINGS PLC | SPONSORED ADS | 524K | 3K | – |
| TOWNEBANK PORTSMOUTH VA | COM | 518K | 19K | – |
| QUANTA SVCS INC | COM | 518K | 2K | – |
| DIREXION SHS ETF TR | DLY FIN BULL NEW | 509K | 5K | – |
| PACCAR INC | COM | 494K | 5K | – |
| EATON VANCE TAX-MANAGED GLOB | COM | 491K | 59K | – |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 488K | 7K | – |
| ENBRIDGE INC | COM | 480K | 13K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 480K | 3K | – |
| AMERICA MOVIL SAB DE CV | SPON ADS RP CL B | 480K | 28K | – |
| UNION PAC CORP | COM | 479K | 2K | – |
| SPDR SER TR | PRTFLO S&P500 GW | 474K | 6K | – |
| NOVO-NORDISK A S | ADR | 474K | 3K | – |
| SEAGATE TECHNOLOGY HLDNGS PL | ORD SHS | 461K | 4K | – |
| BP PLC | SPONSORED ADR | 461K | 13K | – |
| D R HORTON INC | COM | 459K | 3K | – |
| DIREXION SHS ETF TR | DAILY S&P BIOTCH | 454K | 4K | – |
| BEST BUY INC | COM | 440K | 5K | – |
| ARCHER DANIELS MIDLAND CO | COM | 436K | 7K | – |
| MAIN STR CAP CORP | COM | 436K | 9K | – |
| NORFOLK SOUTHN CORP | COM | 433K | 2K | – |
| ZIMMER BIOMET HOLDINGS INC | COM | 430K | 4K | – |
| PUTNAM MANAGED MUN INCOME TR | COM | 426K | 69K | – |
| CINCINNATI FINL CORP | COM | 425K | 4K | – |
| CVS HEALTH CORP | COM | 425K | 7K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 424K | 2K | – |
| BOSTON SCIENTIFIC CORP | COM | 418K | 5K | – |
| RIVERNORTH OPPORTUNITIES FD | COM | 417K | 34K | – |
| SHIFT4 PMTS INC | CL A | 414K | 6K | – |
| CENTENE CORP DEL | COM | 411K | 6K | – |
| RTX CORPORATION | COM | 410K | 4K | – |
| ISHARES TR | CORE DIV GRWTH | 408K | 7K | – |
| LAS VEGAS SANDS CORP | COM | 403K | 9K | – |
| KIMBERLY-CLARK CORP | COM | 399K | 3K | – |
| SERVICENOW INC | COM | 398K | 506 | – |
| ISHARES TR | S&P MC 400GR ETF | 396K | 4K | – |
| PROGRESSIVE CORP | COM | 395K | 2K | – |
| AIR PRODS & CHEMS INC | COM | 393K | 2K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 393K | 2K | – |
| ISHARES TR | S&P SML 600 GWT | 390K | 3K | – |
| AIRBNB INC | COM CL A | 390K | 3K | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 387K | 32K | – |
| EBAY INC. | COM | 386K | 7K | – |
| VEECO INSTRS INC DEL | COM | 383K | 8K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 379K | 686 | – |
| SPDR GOLD TR | GOLD SHS | 379K | 2K | – |
| ANNALY CAPITAL MANAGEMENT IN | COM NEW | 374K | 20K | – |
| COMCAST CORP NEW | CL A | 373K | 10K | – |
| FREEPORT-MCMORAN INC | CL B | 371K | 8K | – |
| OREILLY AUTOMOTIVE INC | COM | 370K | 350 | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 368K | 2K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 367K | 14K | – |
| HUNTINGTON BANCSHARES INC | COM | 367K | 28K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 365K | 5K | – |
| SHOPIFY INC | CL A | 362K | 5K | – |
| VANGUARD WORLD FD | INF TECH ETF | 362K | 627 | – |
| CORE & MAIN INC | CL A | 358K | 7K | – |
| DRAFTKINGS INC NEW | COM CL A | 353K | 9K | – |
| ARISTA NETWORKS INC | CALL | 350K | – | – |
| TRI CONTL CORP | COM | 348K | 11K | – |
| HALOZYME THERAPEUTICS INC | COM | 346K | 7K | – |
| THE TRADE DESK INC | COM CL A | 343K | 4K | – |
| VANGUARD WORLD FD | MEGA GRWTH IND | 339K | 1K | – |
| OXFORD LANE CAP CORP | COM | 335K | 62K | – |
| SOUTHWEST AIRLS CO | COM | 333K | 12K | – |
| XYLEM INC | COM | 333K | 2K | – |
| CROCS INC | COM | 332K | 2K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 329K | 4K | – |
| COPART INC | COM | 329K | 6K | – |
| FOOT LOCKER INC | COM | 329K | 13K | – |
| ISHARES TR | CORE S&P500 ETF | 328K | 599 | – |
| CONSTELLATION BRANDS INC | CL A | 327K | 1K | – |
| LINDE PLC | SHS | 324K | 739 | – |
| VANGUARD INDEX FDS | SM CP VAL ETF | 322K | 2K | – |
| NORTHROP GRUMMAN CORP | COM | 311K | 714 | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 311K | 5K | – |
| PEMBINA PIPELINE CORP | COM | 308K | 8K | – |
| ISHARES TR | IBOXX INV CP ETF | 307K | 3K | – |
| GE VERNOVA INC | COM | 305K | 2K | – |
| SHELL PLC | SPON ADS | 305K | 4K | – |
| PREFERRED BK LOS ANGELES CA | COM NEW | 302K | 4K | – |
| NUVEEN S&P 500 DYNAMIC OVERW | COM | 298K | 18K | – |
| INVESCO EXCH TRADED FD TR II | PFD ETF | 294K | 25K | – |
| INMODE LTD | SHS | 294K | 16K | – |
| KITE RLTY GROUP TR | COM NEW | 293K | 13K | – |
| MODERNA INC | COM | 293K | 2K | – |
| DTE ENERGY CO | COM | 289K | 3K | – |
| GRACO INC | COM | 287K | 4K | – |
| ISHARES TR | CORE 1 5 YR USD | 284K | 6K | – |
| SELECT SECTOR SPDR TR | INDL | 280K | 2K | – |
| BLACKSTONE SECD LENDING FD | COMMON STOCK | 280K | 9K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 278K | 2K | – |
| UNIVERSAL DISPLAY CORP | COM | 273K | 1K | – |
| ISHARES TR | CRE U S REIT ETF | 273K | 5K | – |
| NEUROCRINE BIOSCIENCES INC | COM | 271K | 2K | – |
| GLOBAL X FDS | NASDAQ 100 COVER | 271K | 15K | – |
| COLUMBIA SELIGM PREM TECH GR | COM | 269K | 8K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 266K | 654 | – |
| SPDR SER TR | PORTFOLIO S&P500 | 264K | 4K | – |
| BANK NEW YORK MELLON CORP | COM | 264K | 4K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 261K | 7K | – |
| ISHARES TR | CORE US AGGBD ET | 261K | 3K | – |
| DYNATRACE INC | COM NEW | 257K | 6K | – |
| ISHARES U S ETF TR | BLACKROCK SH DUR | 252K | 5K | – |
| GLOBAL X FDS | GLOBAL X URANIUM | 249K | 9K | – |
| FEDEX CORP | COM | 247K | 825 | – |
| LTC PPTYS INC | COM | 247K | 7K | – |
| TWILIO INC | CL A | 245K | 4K | – |
| ISHARES TR | CORE S&P TTL STK | 243K | 2K | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 241K | 3K | – |
| ISHARES TR | U.S. TECH ETF | 241K | 2K | – |
| FIDELITY COVINGTON TRUST | MSCI INFO TECH I | 240K | 1K | – |
| TARGA RES CORP | COM | 240K | 2K | – |
| CORNING INC | COM | 239K | 6K | – |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 239K | 2K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 238K | 4K | – |
| EATON VANCE ENHANCED EQUITY | COM | 235K | 12K | – |
| C3 AI INC | CL A | 233K | 8K | – |
| WESTERN DIGITAL CORP. | COM | 233K | 3K | – |
| CLEVELAND-CLIFFS INC NEW | COM | 233K | 15K | – |
| ICON PLC | SHS | 232K | 740 | – |
| INTERNATIONAL PAPER CO | COM | 232K | 5K | – |
| COCA COLA CONS INC | COM | 231K | 213 | – |
| TAKE-TWO INTERACTIVE SOFTWAR | COM | 230K | 1K | – |
| VANECK ETF TRUST | BDC INCOME ETF | 228K | 13K | – |
| ISHARES TR | CORE S&P SCP ETF | 227K | 2K | – |
| OMNICOM GROUP INC | COM | 227K | 3K | – |
| ATLASSIAN CORPORATION | CL A | 227K | 1K | – |
| SUNOCO LP/SUNOCO FIN CORP | COM UT REP LP | 226K | 4K | – |
| CONSOL ENERGY INC NEW | COM | 224K | 2K | – |
| ISHARES TR | 0-3 MNTH TREASRY | 224K | 2K | – |
| CAMPBELL SOUP CO | COM | 223K | 5K | – |
| COTERRA ENERGY INC | COM | 221K | 8K | – |
| GILEAD SCIENCES INC | COM | 220K | 3K | – |
| DEVON ENERGY CORP NEW | COM | 219K | 5K | – |
| EUROSEAS LTD | SHS | 218K | 6K | – |
| SPDR SER TR | PORTFOLIO S&P600 | 218K | 5K | – |
| BRITISH AMERN TOB PLC | SPONSORED ADR | 217K | 7K | – |
| ETSY INC | COM | 216K | 4K | – |
| PRUDENTIAL FINL INC | COM | 214K | 2K | – |
| RITHM CAPITAL CORP | COM NEW | 214K | 20K | – |
| CARMAX INC | COM | 214K | 3K | – |
| PUTNAM MASTER INTER INCOME T | SH BEN INT | 214K | 66K | – |
| CARNIVAL CORP | UNIT 99/99/9999 | 214K | 11K | – |
| BLACKROCK FLOATING RATE INCO | COM | 214K | 17K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 212K | 796 | – |
| AUTOZONE INC | COM | 207K | 70 | – |
| FISERV INC | COM | 206K | 1K | – |
| CASEYS GEN STORES INC | COM | 206K | 540 | – |
| RIVIAN AUTOMOTIVE INC | COM CL A | 206K | 15K | – |
| FORTUNE BRANDS INNOVATIONS I | COM | 205K | 3K | – |
| EATON VANCE TAX MNGED BUY WR | COM | 204K | 14K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 203K | 1K | – |
| SIMPLIFY EXCHANGE TRADED FUN | VOLATILITY PREM | 202K | 9K | – |
| CROWN CASTLE INC | COM | 200K | 2K | – |
| EMERSON ELEC CO | COM | 200K | 2K | – |
| BLACKROCK MUNI INCOME TR II | COM | 200K | 18K | – |
| NUVEEN DOW 30 DYNMC OVERWRT | SHS | 188K | 13K | – |
| MEDALLION FINL CORP | COM | 184K | 24K | – |
| PUTNAM PREMIER INCOME TR | SH BEN INT | 183K | 51K | – |
| BLACKROCK LONG-TERM MUN ADVA | COM | 182K | 18K | – |
| SONOS INC | COM | 177K | 12K | – |
| MFS MULTIMARKET INCOME TR | SH BEN INT | 176K | 38K | – |
| GABELLI EQUITY TR INC | COM | 174K | 33K | – |
| BROOKDALE SR LIVING INC | COM | 171K | 25K | – |
| EATON VANCE RISK-MANAGED DIV | COM | 170K | 19K | – |
| PGIM GLOBAL HIGH YIELD FD FO | COM | 166K | 14K | – |
| ABRDN TOTAL DYNAMIC DIVIDEND | COM SH BEN INT | 164K | 19K | – |
| NUVEEN S&P 500 BUY-WRITE INC | COM | 159K | 12K | – |
| NUVEEN QUALITY MUNCP INCOME | COM | 155K | 13K | – |
| BLACKROCK ENHANCED EQUITY DI | COM | 153K | 19K | – |
| PROSPECT CAP CORP | COM | 151K | 27K | – |
| ARBOR REALTY TRUST INC | COM | 147K | 10K | – |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 146K | 12K | – |
| PIMCO HIGH INCOME FD | COM SHS | 143K | 30K | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 128K | 11K | – |
| WESTERN ASSET HIGH YIELD DEF | COM | 128K | 11K | – |
| VODAFONE GROUP PLC NEW | SPONSORED ADR | 126K | 14K | – |
| PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 123K | 12K | – |
| HORIZON TECHNOLOGY FIN CORP | COM | 123K | 10K | – |
| VALE S A | SPONSORED ADS | 116K | 10K | – |
| NUVEEN MUN VALUE FD INC | COM | 114K | 13K | – |
| TCW STRATEGIC INCOME FD INC | COM | 109K | 23K | – |
| BANCO SANTANDER S.A. | ADR | 108K | 23K | – |
| ALLSPRING INCOME OPPORTUNIT | INC OPPTY FD | 107K | 16K | – |
| CORNERSTONE STRATEGIC VALUE | COM | 106K | 14K | – |
| LIBERTY ALL-STAR GROWTH FD I | COM | 104K | 20K | – |
| READY CAPITAL CORP | COM | 98K | 12K | – |
| WARNER BROS DISCOVERY INC | COM SER A | 97K | 13K | – |
| DNP SELECT INCOME FD INC | COM | 90K | 11K | – |
| COMPANHIA PARANAENSE DE ENER | SPON ADS | 87K | 13K | – |
| GABELLI MULTIMEDIA TR INC | COM | 78K | 15K | – |
| SOUNDHOUND AI INC | CLASS A COM | 73K | 18K | – |
| ANAVEX LIFE SCIENCES CORP | COM NEW | 64K | 15K | – |
| NUVEEN MULTI-MKT INCOME FD | COM | 60K | 10K | – |
| VIRTUS TOTAL RETURN FD INC | COM | 55K | 10K | – |
| CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 54K | 10K | – |
| MFS HIGH INCOME MUN TR | SH BEN INT | 48K | 13K | – |
| ORASURE TECHNOLOGIES INC | COM | 43K | 10K | – |
| BP PRUDHOE BAY RTY TR | UNIT BEN INT | 42K | 17K | – |
| NOVAGOLD RES INC | COM NEW | 36K | 11K | – |
| TILRAY BRANDS INC | COM | 33K | 20K | – |
| BIOAFFINITY TECHNOLOGIES INC | COMMON STOCK | 32K | 15K | – |
| CREDIT SUISSE HIGH YIELD BD | SH BEN INT | 30K | 15K | – |
| BIOVIE INC | CL A NEW | 21K | 51K | – |
| UPSTART HLDGS INC | NOTE 0.250% 8/1 | 8K | 10K | – |
| GABELLI MULTIMEDIA TR INC | RIGHT 07/22/2024 | 0 | 15K | – |