GENESIS WEALTH ADVISORS, LLC
Adviser information for GENESIS WEALTH ADVISORS, LLC last updated from Form ADV on January 23rd, 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 | Massachusetts, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 578 | $177.0M |
| Non-Discretionary | 0 | $0 |
| Total | 578 | $177.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 186 | $62.8M |
| HNW Individuals | 47 | $110.0M |
| 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 | <5 | $816,788 |
| Charitable organizations | <5 | $2.3M |
| 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 | <5 | $1.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
400 WASHINGTON STREETSUITE 308
BRAINTREE
MA
United States
Monday - Friday, 9:00AM TO 4:00PM
Tel: 781-344-1023, Fax: 781-344-1179
Chief Compliance Officer
DANIEL J. DUVAL
CHIEF TECHNOLOGY OFFICER
400 WASHINGTON STREET
SUITE 308
BRAINTREE
MA
United States
Tel:
781-344-1023
Fax:
781-344-1179
D*****@******************M
(Full email address available in API data)
Regulatory Contact
PAUL DUVAL
PRESIDENT
400 WASHINGTON STREET
SUITE 308
BRAINTREE
MA
United States
Tel:
781-344-1023
Fax:
781-344-1179
P***@******************M
(Full email address available in API data)
Industry Affiliates
| ARTHUR DEBENEDICTIS, CPA | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DUVAL, PAUL, FRANCIS | Individual | – | PRESIDENT | 06/2011 | > 75% |
| DE PEYSTER, NICHOLAS, L.M. | Individual | – | CIO & MANAGING DIRECTOR | 06/2011 | < 5% |
| DUVAL, DANIEL, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2019 | 5-10% |
| STONE, PAUL, FLOYD | Individual | – | MANAGER, BUSINESS DEVELOPMENT | 07/2019 | 5-10% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 24th, 2015 for period ending June 30th, 2015
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| Fairpoint Communications Inc No Stockholder Equity 01/24/2011 | Common Stock | 0 | 1K | – |
| Friede Goldman Halter Inc No Stockholders Equity 01/13/04 | Common Stock | 0 | 500 | – |
| Greenland Corp | Common Stock | 0 | 40 | – |
| Homebanc Corp Ga | Common Stock | 0 | 2K | – |
| Migratec Inc | Common Stock | 0 | 9K | – |
| Superior Bancorp Com New | Common Stock | 0 | 2K | – |
| Viseon Inc | Common Stock | 0 | 12K | – |
| Yarc Sys Inc | Common Stock | 0 | 5K | – |
| Apple Inc | Common Stock | 492K | 4K | – |
| Acadia Pharmaceuticals Inc | Common Stock | 38K | 900 | – |
| Ishares Msci Acwi Etf | Common Stock | 5M | 81K | – |
| Automatic Data Processing Inc | Common Stock | 32K | 400 | – |
| Adt Corp Com | Common Stock | 167 | 5 | – |
| Ishares Core Total Us Bond Market Etf | Common Stock | 6M | 52K | – |
| Alps Etf Tr Alerian Mlp Etf | Common Stock | 130K | 8K | – |
| Amazon.Com Inc | Common Stock | 12K | 28 | – |
| Alpine Total Dynamic Dividend Fund Com Sbi Npv New | Common Stock | 1K | 125 | – |
| Ares Capital Corp Com Stk Usd0.001 | Common Stock | 56K | 3K | – |
| American Wtr Wks Co Inc New Com | Common Stock | 4K | 82 | – |
| Alpine Global Premier Pptys Fd Com Shs Of Ben Int | Common Stock | 1K | 189 | – |
| Boeing Co | Common Stock | 277K | 2K | – |
| Bank Of America Corp | Common Stock | 75K | 4K | – |
| Bayer Ag Spon Adr-Each Repr 1 Ord Npv | Common Stock | 2K | 12 | – |
| Blackrock Enhanced Equity Divid Tr Com | Common Stock | 20K | 3K | – |
| Blackrock Multi Sector Income Tr Com | Common Stock | 43K | 3K | – |
| Powershares Exchange Traded Fd Tr Ii Senior Ln Port Nyse Arca Inc | Common Stock | 214K | 9K | – |
| Bristol Myers Squibb | Common Stock | 208K | 3K | – |
| Vanguard Bd Index Fd Inc Total Bd Market Etf | Common Stock | 4K | 50 | – |
| Blackrock NY Mun Income Tr Sh Ben It | Common Stock | 15K | 1K | – |
| Blackrock Global Opportunities Equity Tr | Common Stock | 3K | 230 | – |
| Pimco Etf Trust Total Return Exchg-Traded Fd | Common Stock | 64K | 600 | – |
| Broadridge Financial Solutions Llc | Common Stock | 11K | 225 | – |
| Berkshire Hathaway Inc Del Cl B New | Common Stock | 33K | 242 | – |
| Brookline Bancorp Inc Del Com | Common Stock | 113K | 10K | – |
| Guggenheim Bulletshares 2016 Corporate Bond | Common Stock | 56K | 2K | – |
| Guggenheim Bulletshares 2017 Corporate Bond | Common Stock | 304K | 13K | – |
| Claymore Exchange Traded Fd Trust Guggenheim Bulletshares 2018 | Common Stock | 10M | 456K | – |
| Claymore Exchange Traded Fd Tr Guggenheim Bulletshares 2022 Corp Bd Etf | Common Stock | 87K | 4K | – |
| Claymore Exchange- Traded Fd Tr Guggenheim Bulletshares 2015 High Yield Corp Bd | Common Stock | 39K | 2K | – |
| Claymore Exchange Traded Fd Trust Guggenheim Bltshrs 2016 High Yield Cp | Common Stock | 58K | 2K | – |
| Claymore Exchange Traded Fd Trust Guggenheim Bltshrs 2017 High Yld Cp Bd | Common Stock | 59K | 2K | – |
| Claymore Exchange Traded Fd Trust Guggenheim Bltshrs 2018 High Yld Cp Bd | Common Stock | 58K | 2K | – |
| Citigroup Inc Com New | Common Stock | 12K | 218 | – |
| Caterpillar Inc | Common Stock | 44K | 520 | – |
| Church & Dwight Inc | Common Stock | 57K | 705 | – |
| Ishares Intermediate Credit Bond Etf | Common Stock | 6M | 53K | – |
| Comcast Corp New Cl A | Common Stock | 19K | 318 | – |
| Conocophillips | Common Stock | 43K | 699 | – |
| Costco Wholesale Corp | Common Stock | 13K | 95 | – |
| Cisco Sys Inc | Common Stock | 2K | 75 | – |
| Guggenheim Spinoff Etf | Common Stock | 54K | 1K | – |
| Ishares 1-3 Year Credit Bond Etf | Common Stock | 331K | 3K | – |
| Centurylink Inc | Common Stock | 1K | 50 | – |
| Chevron Corp New | Common Stock | 212K | 2K | – |
| Dassault Systemes Spons Adr Repr 1 Ord Eur1 | Common Stock | 51K | 704 | – |
| Powershares Db Commodity Index Tracking Fd Unit Ben Int | Common Stock | 38K | 2K | – |
| First Horizon National Corporation Frac | Common Stock | 0 | 182K | – |
| Du Pont EI De Nemours & Co | Common Stock | 290K | 5K | – |
| Wisdomtree Emerg Mkts Equity Income Fund | Common Stock | 3M | 63K | – |
| Disney Walt Co | Common Stock | 135K | 1K | – |
| Blackrock Debt Strategies Fd Inc Com | Common Stock | 13K | 4K | – |
| Ishares Inc Emerging Markets Div Etf | Common Stock | 8K | 185 | – |
| Enterprise Bancorp Inc Mass Cdt Com | Common Stock | 17K | 725 | – |
| Consolidated Edison Hldg Co Inc | Common Stock | 129K | 2K | – |
| Ishares Msci Emerging Markets Etf | Common Stock | 1M | 33K | – |
| Ishares Msci Eafe Etf | Common Stock | 7M | 106K | – |
| Equifax Inc | Common Stock | 5K | 50 | – |
| Ishares Msci Ireland Capped Etf | Common Stock | 131K | 3K | – |
| Wisdomtree Tr Emerging Markets Local Debt Fd | Common Stock | 2K | 63 | – |
| Eaton Vance Short Duration Diversified | Common Stock | 6K | 425 | – |
| Eaton Vance Ltd Duration Income Fd | Common Stock | 265K | 20K | – |
| Ishares Msci Singapore Etf | Common Stock | 21K | 2K | – |
| Eaton Vance Tax Managed Global Diversified Equity Income Fd Com | Common Stock | 4K | 375 | – |
| Ishares Msci South Africa Etf | Common Stock | 11K | 175 | – |
| Ford Mtr Co Del Com | Common Stock | 89K | 6K | – |
| Facebook Inc Com Usd0.000006 Cl A | Common Stock | 101K | 1K | – |
| Spdr Index Shs Fds Euro Stoxx 50 Etf | Common Stock | 39K | 1K | – |
| Ishares Trust Floating Rate Bd Etf | Common Stock | 191K | 4K | – |
| Frontier Communications Corp Com | Common Stock | 8K | 2K | – |
| Cambria Fgn Shareh Cambria Fgn Shareholder Yld Etf | Common Stock | 2M | 83K | – |
| General Electric Co | Common Stock | 237K | 9K | – |
| Spdr Gold Tr Gold Shs | Common Stock | 381K | 3K | – |
| General Motors Co Com Usd0.01 Isin #Us37045v1008 Sedol #B3smt78 | Common Stock | 3K | 103 | – |
| Google Inc Cl C | Common Stock | 60K | 115 | – |
| Google Inc Cl A | Common Stock | 59K | 110 | – |
| Genuine Parts Co | Common Stock | 45K | 500 | – |
| Halliburton Co Holding Co Frmly Halliburton Co | Common Stock | 30K | 700 | – |
| Western Asset High Income Fd Ii Inc Com | Common Stock | 754 | 100 | – |
| Hkt Trust And Hkt Ltd Share Stapled | Common Stock | 7 | 6 | – |
| Ishares Iboxx High Yield Corporate Bond Etf | Common Stock | 242K | 3K | – |
| Horizon Bank | Common Stock | 300 | 3K | – |
| Ishares Gold Trust Ishares | Common Stock | 35K | 3K | – |
| Ishares Tr Mar 2016 Corp Term Etf | Common Stock | 34K | 333 | – |
| Ishares Tr Mar 2018 Corp Term Etf | Common Stock | 39K | 383 | – |
| Ishares Tr Mar 2020 Corp Term Etf | Common Stock | 35K | 333 | – |
| Ishares Tr Mar 2023 Corp Term Etf | Common Stock | 22K | 215 | – |
| Intl Business Mach | Common Stock | 147K | 903 | – |
| Powershares S&P International Developed High Quality Portfolio | Common Stock | 28K | 1K | – |
| Ishares 7-10 Year Treasury Bond Etf | Common Stock | 210K | 2K | – |
| Ishares Trust Core Msci Eafe Etf | Common Stock | 5M | 92K | – |
| Ishares 3-7 Year Treasury Bond Etf | Common Stock | 4M | 35K | – |
| Ishares Inc Core Msci Emerging Mkts Etf | Common Stock | 811K | 17K | – |
| Ing Global Equity Divid & Prem Oppty Fd Com | Common Stock | 3K | 375 | – |
| Imaging Diagnostic Systems Inc Npv | Common Stock | 0 | 29 | – |
| Independent Bank Cp Mass | Common Stock | 9K | 200 | – |
| Intel Corp | Common Stock | 133K | 4K | – |
| Ipg Photonics Corp Com | Common Stock | 34K | 400 | – |
| Iron Mountain Inc Del | Common Stock | 465 | 15 | – |
| Ishares S&P 500 Value Etf | Common Stock | 17K | 180 | – |
| Ishares Core S&P 500 Etf | Common Stock | 16M | 76K | – |
| Ishares S&P 500 Growth Etf | Common Stock | 52K | 454 | – |
| Ishares Russell 1000 Value Etf | Common Stock | 522K | 5K | – |
| Ishares Russell 1000 Growth Etf | Common Stock | 352K | 4K | – |
| Ishares Russell 2000 Etf | Common Stock | 2M | 18K | – |
| Ishares Russell 2000 Value Etf | Common Stock | 117K | 1K | – |
| Ishares Russell 2000 Growth Etf | Common Stock | 22K | 145 | – |
| Ishares Russell Midcap Growth | Common Stock | 15K | 150 | – |
| Ishares Russell Midcap Value Etf | Common Stock | 14K | 190 | – |
| Ishares US Real Estate Etf | Common Stock | 152K | 2K | – |
| Johnson & Johnson | Common Stock | 2M | 19K | – |
| Jpmorgan Chase & Co | Common Stock | 282K | 4K | – |
| Keycorp New | Common Stock | 11K | 760 | – |
| Kushner Locke Co No Stockholders Equity 02/01/2010 | Common Stock | 0 | 533 | – |
| Coca Cola Co | Common Stock | 98K | 3K | – |
| Kraft Foods Group Inc Com Npv | Common Stock | 33K | 393 | – |
| Kapstone Paper & Packaging Corp | Common Stock | 14K | 600 | – |
| Lilly Eli & Co | Common Stock | 88K | 1K | – |
| Cheniere Energy Inc New | Common Stock | 62K | 900 | – |
| Lo Jack Corp | Common Stock | 172 | 50 | – |
| Ishares Iboxx Investment Grade Corporate Bond Etf | Common Stock | 90K | 775 | – |
| Level 3 Communications Inc Com Usd0.01 | Common Stock | 421 | 8 | – |
| Marco Cmnty Bancorp Inc | Common Stock | 0 | 50K | – |
| Mcdonalds Corp | Common Stock | 40K | 420 | – |
| Mondelez Intl Inc Com | Common Stock | 49K | 1K | – |
| Spdr S&P Midcap 400 Etf Tr Unit Ser 1 Standard & Poors Dep Rcpt | Common Stock | 2M | 9K | – |
| Metlife Inc Com | Common Stock | 44K | 777 | – |
| Vanguard World Fd Mega Cap Growth Etf | Common Stock | 13K | 155 | – |
| Macquarie Infrastructure Co Llc Membership Int | Common Stock | 28K | 334 | – |
| 3M Company | Common Stock | 123K | 799 | – |
| Mallinckrodt Plc Ordinary Usd | Common Stock | 117 | 1 | – |
| Altria Group Inc | Common Stock | 243K | 5K | – |
| Merck & Co Inc New Com | Common Stock | 333K | 6K | – |
| Microsoft Corp | Common Stock | 104K | 2K | – |
| Manitowoc Inc | Common Stock | 25K | 1K | – |
| Ishares 2015 Amt-Free Muni Term Etf | Common Stock | 2K | 37 | – |
| Ishares 2016 Amt-Free Muni Term Etf | Common Stock | 102K | 4K | – |
| Ishares 2017 Amt-Free Muni Term Etf | Common Stock | 2K | 74 | – |
| Ishares 2018 Amt-Free Muni Term Etf | Common Stock | 139K | 5K | – |
| Nextera Energy Inc Com | Common Stock | 10K | 100 | – |
| Neuberger Berman High Yield Strategies Fd Com | Common Stock | 174K | 15K | – |
| Nisource Inc | Common Stock | 6K | 142 | – |
| Nestle Sa Spon Adr Each Repr 1 Com Chf0.10 | Common Stock | 42K | 581 | – |
| Tortoise Mlp Fund Inc Com Usd0.001 | Common Stock | 14K | 678 | – |
| Northeast Utilities | Common Stock | 146K | 3K | – |
| Powershares Global Exchange Traded Global Clean Energy Portfolio | Common Stock | 18K | 1K | – |
| Powershares Exchange Traded Fd Tr Dynamic Biotechnology & Genome Portfolio | Common Stock | 18K | 300 | – |
| Pimco Dynamic Credit Income Fund Com Shs | Common Stock | 179K | 9K | – |
| PCCW Limited | Common Stock | 89 | 150 | – |
| PowerShares Golbal Exchange Traded Fd Tr Ftse Rafi Developed Markets Ex US Small Port | Common Stock | 138K | 5K | – |
| Public Service Enterprise Group Inc | Common Stock | 28K | 712 | – |
| Powershares Exchange Traded Fds Tst High Yield Eqty Dividend Achievers Port | Common Stock | 7K | 567 | – |
| Market Vectors Etf Trust Pfd Secs Ex Finls Etf | Common Stock | 76K | 4K | – |
| Powershares Etf Traded Fd Tr Water Res Port | Common Stock | 6K | 250 | – |
| Powershares Inter Dvd Achiev Powershares Inter Dvdfunds | Common Stock | 3M | 162K | – |
| Polaris Inds Inc | Common Stock | 32K | 215 | – |
| Powershares Exchange Traded Fd Tr Dynamic Buyback Achievers Port | Common Stock | 49K | 1K | – |
| Pentair Ltd Com Usd0.16 3/4 | Common Stock | 137 | 2 | – |
| Pinnacle West Cap Cp | Common Stock | 7K | 117 | – |
| Pepco Hldgs Inc | Common Stock | 12K | 450 | – |
| Potash Corp Of Saskatchewan Com | Common Stock | 15K | 500 | – |
| Ppl Corp | Common Stock | 9K | 300 | – |
| Powershares Exchange Traded Fds Tst Ftse Rafi Us 1500 Small-Mid Portfolio | Common Stock | 141K | 1K | – |
| Prudential Finl Inc | Common Stock | 33K | 374 | – |
| Prospect Cap Corp | Common Stock | 26K | 4K | – |
| Phillips 66 Com | Common Stock | 61K | 753 | – |
| Powershares Dynamic Mrkt Portfolio Exch Traded Fund | Common Stock | 93K | 1K | – |
| Powershares Qqq Tr Unit Ser 1 | Common Stock | 1M | 12K | – |
| Reynolds Amern Inc | Common Stock | 86K | 1K | – |
| Guggenheim S&P Midcap 400 Pure Growth Etf | Common Stock | 221K | 2K | – |
| Spdr Index Shs Fds Dj Wilshire Global Real Estate Etf | Common Stock | 39K | 845 | – |
| Spdr Ser Tr Dj Wilshire Reit Etf | Common Stock | 115K | 1K | – |
| Safety Ins Group Inc | Common Stock | 94K | 2K | – |
| Sally Beauty Hldgs Inc Com | Common Stock | 199K | 6K | – |
| Starbucks Corp | Common Stock | 21K | 388 | – |
| Spdr Ser Tr Spdr Spdr Barclays Short Term Corp Bd Etf Formerl Lehman Short Term | Common Stock | 296K | 10K | – |
| Spectra Energy Corp Com | Common Stock | 3K | 100 | – |
| Sirius Xm Hldgs Inc Com | Common Stock | 2K | 500 | – |
| Smucker JM Co New | Common Stock | 9K | 79 | – |
| Schlumberger Limited Com Usd0.01 | Common Stock | 30K | 347 | – |
| Spdr S&P 500 Etf Trust Unit Ser 1 S&P | Common Stock | 3M | 17K | – |
| Cambria Etf Trust Shareholder Yield Etf | Common Stock | 3M | 94K | – |
| Sysco Corp | Common Stock | 1K | 30 | – |
| AT&T Inc Com | Common Stock | 455K | 13K | – |
| Transamerica Income Shs Inc | Common Stock | 92K | 5K | – |
| True Corporation Pcl Thb10 (Alien Market) | Common Stock | 300 | 890 | – |
| Toronto-Dominion Bank Com | Common Stock | 9K | 206 | – |
| Te Connectivity Ltd Com Chf0.57 | Common Stock | 707 | 11 | – |
| Ishares Tips Bond Etf | Common Stock | 1M | 11K | – |
| Tjx Companies Inc | Common Stock | 16K | 242 | – |
| Ishares 20+ Year Treasury Bond Etf | Common Stock | 22K | 186 | – |
| Teekay Tankers Ltd Com Stk Usd0.01 | Common Stock | 29K | 4K | – |
| Transcanada Corporation Com | Common Stock | 8K | 200 | – |
| Travelers Cos Inc Com | Common Stock | 803 | 8 | – |
| Tractor Supply Co | Common Stock | 12K | 134 | – |
| Time Warner Cable Inc Com | Common Stock | 356 | 2 | – |
| Twitter Inc Com Usd0.000005 | Common Stock | 4K | 100 | – |
| Time Warner Inc New Com New | Common Stock | 33K | 378 | – |
| Texas Instruments Inc | Common Stock | 8K | 159 | – |
| Tyco International Ltd(Switzerland) Shs | Common Stock | 423 | 11 | – |
| Unitedhealth Group | Common Stock | 64K | 521 | – |
| United Parcel Svc Inc Cl B | Common Stock | 5K | 56 | – |
| U S Liquids Inc | Common Stock | 0 | 1K | – |
| United Stationers Inc | Common Stock | 16K | 400 | – |
| Cohen & Steers Infrastructure Fd Inc Com | Common Stock | 122K | 6K | – |
| Reaves Util Income Fd Com Sh Ben Int | Common Stock | 280K | 10K | – |
| Vanguard Index Fds Vanguard Small Cap Vipers Formerly Vanguard Index Tr | Common Stock | 7K | 60 | – |
| Vanguard Specialized Portfolios Div Appreciation Index Fd Viper Shs | Common Stock | 144K | 2K | – |
| Vanguard Intl Equity Index Fds Ftse Emerging Mkts Etf | Common Stock | 4M | 95K | – |
| Verizon Communications | Common Stock | 393K | 8K | – |
| Walter Invt Mgmt Corp Com | Common Stock | 1K | 61 | – |
| World Gaming Plc Spon Adr Ea Repr 1 Ord Shs | Common Stock | 0 | 200 | – |
| Walmart Stores Inc | Common Stock | 4K | 50 | – |
| Sector Spdr Tr Shs Ben Int Industrial | Common Stock | 18K | 324 | – |
| Sector Spdr Tr Shs Ben Int Consumer Staples | Common Stock | 190K | 4K | – |
| Sector Spdr Tr Shs Ben Int Utilities | Common Stock | 145K | 4K | – |
| Select Sector Spdr Tr Health Care Formerly Consumer Svcs To 06/24/2002 | Common Stock | 196K | 3K | – |
| Exxon Mobil Corp | Common Stock | 730K | 9K | – |
| Yum Brands Inc | Common Stock | 118K | 1K | – |
| Procter And Gamble Co | Common Stock | 260K | 3K | – |
| American Intl Group Inc Com New | Common Stock | 10K | 168 | – |
| Vodafone Group Spon Adr Rep 10 Ord Shs (Post Rev Split) | Common Stock | 19K | 526 | – |
| Doubleline Income Solutions Fd Com Usd0.00001 | Common Stock | 298K | 15K | – |
| Franco Nevada Corp Com | Common Stock | 10K | 206 | – |
| Royal Gold Inc Com Usd0.01 Isin #Us7802871084 Sedol #2430553 | Common Stock | 9K | 150 | – |
| Calamos Global Dynamic Income Fd Com Sh Of Ben Int | Common Stock | 27K | 3K | – |
| Oxford Lane Cap Corp | Common Stock | 15K | 1K | – |
| Sector Spdr Tr Shs Ben Int Financial | Common Stock | 106K | 4K | – |
| Cheniere Energy Partners Lp Hldgs Com Npv | Common Stock | 35K | 2K | – |
| Ishares JP Morgan Usd Emerging Markets Bond Etf | Common Stock | 687K | 6K | – |
| Putnam Premier Inc Tr Sh Ben Int | Common Stock | 34K | 7K | – |
| Global X Funds Global X Superincome Pfd Etf | Common Stock | 41K | 3K | – |
| Canadian Natural Resources Ltd Com | Common Stock | 21K | 756 | – |
| Time Inc Com Usd0.01 | Common Stock | 23 | 1 | – |
| Barclays Bank Plc Ipath Etn 10/22/37 Dj Ubs Livestock Sub Puttable Not Rated | Common Stock | 15K | 570 | – |
| Select Sector Spdr Tr Shs Ben Int Materials | Common Stock | 4K | 76 | – |
| Sector Spdr Tr Shs Ben Int Energy | Common Stock | 12K | 157 | – |
| CSX Corp | Common Stock | 12K | 353 | – |
| Entravision Communications Corp Cl A | Common Stock | 33K | 4K | – |
| Mastercard Inc Cl A | Common Stock | 94K | 1K | – |
| Market Vectors Etf Trust Fallen Angel Usd Bd Etf | Common Stock | 65K | 2K | – |
| Blackstone Gso Long Short Credit Income Fd Com Shs Of Ben Int | Common Stock | 100K | 6K | – |
| Central Securities Corp | Common Stock | 46K | 2K | – |
| Cognex Corp | Common Stock | 5K | 100 | – |
| Discover Finl Svcs | Common Stock | 27K | 474 | – |
| Oracle Corporation | Common Stock | 14K | 346 | – |
| Vanguard Long Term Corporate Bond Etf | Common Stock | 41K | 482 | – |
| Ishares Tr Intl Developed Real Estate Etf | Common Stock | 38K | 1K | – |
| Ishares Core S&P Mid-Cap Etf | Common Stock | 5K | 34 | – |
| Ishares Core S&P Small-Cap Etf | Common Stock | 99K | 844 | – |
| Ishares Trust Intl Inflation-Lkd Bd Etf | Common Stock | 5K | 111 | – |
| Ishares Mortgage Real Estate Capped Etf | Common Stock | 108K | 10K | – |
| Powershares Global Exchange Traded High Yield Usd Bd Portfolio | Common Stock | 38K | 2K | – |
| Synthetic Biologics Inc Com Usd0.001 | Common Stock | 214K | 75K | – |
| Cdk Global Inc Com Usd0.001 Wi | Common Stock | 5K | 99 | – |
| Spdr Index Shs Fds S&P Bric 40 Etf | Common Stock | 43K | 2K | – |
| Wisdomtree Tr Emerging Currency Fd | Common Stock | 386K | 21K | – |
| Ishares S&P Gsci Commodity Indexed Tr | Common Stock | 195K | 9K | – |
| Akamai Tech | Common Stock | 2K | 25 | – |
| Abercrombie & Fitch Co Cl A | Common Stock | 5K | 223 | – |
| Ascena Retail Group Inc Com | Common Stock | 433 | 26 | – |
| Wisdomtree Tr Defa Fd | Common Stock | 346K | 7K | – |
| Ebay Inc | Common Stock | 34K | 565 | – |
| First Bancorp Inc Me Com | Common Stock | 62K | 3K | – |
| Templeton Global Income Fd Inc Delaware | Common Stock | 84K | 12K | – |
| Hewlett-Packard Co De | Common Stock | 22K | 737 | – |
| Ishares S&P Midcap 400 Value Etf | Common Stock | 75K | 580 | – |
| Illinois Tool Works | Common Stock | 65K | 710 | – |
| Ishares Global Financials Etf | Common Stock | 36K | 625 | – |
| Ishares Global Healthcare Etf | Common Stock | 39K | 360 | – |
| Ishares Global Tech Etf | Common Stock | 37K | 385 | – |
| Ishares Global Telecom Etf | Common Stock | 35K | 560 | – |
| Ishares Msci Usa Esg Select Etf | Common Stock | 36K | 425 | – |
| Limited Brands Inc Com Usd0.50 | Common Stock | 28K | 323 | – |
| Mcgraw Hill Financial Inc | Common Stock | 20K | 200 | – |
| Oge Energy Corp Holding Co | Common Stock | 17K | 600 | – |
| Powershares Exchange Traded Fds Tst Wilder Hill Clean Energy P/F | Common Stock | 2K | 450 | – |
| Pepsico Inc | Common Stock | 317K | 3K | – |
| Pfizer Inc | Common Stock | 71K | 2K | – |
| Proshares Ultrashort Lehman Bros 7-10 Yr Proshares | Common Stock | 54K | 2K | – |
| Toyota Motor Corp Adr-Each Rep 2 Ord Npv Lvliii(Spon) | Common Stock | 3K | 25 | – |
| United Natural Foods Inc | Common Stock | 41K | 650 | – |
| United Technologies Corp | Common Stock | 61K | 548 | – |
| Vanguard Intl Equity Index Fds Total World Stk Index Fd Etf Shs | Common Stock | 3M | 42K | – |
| Vanguard Index Fds Vanguard Total Stk Mkt Etf | Common Stock | 86K | 800 | – |
| Zimmer Hldgs Inc | Common Stock | 22K | 200 | – |
| Aflac Inc | Common Stock | 53K | 850 | – |
| Fastenal Co | Common Stock | 22K | 527 | – |
| Corning Inc | Common Stock | 8K | 405 | – |
| Powershares Exch Traded Fd Tr Ii Preferred Portfolio | Common Stock | 23K | 2K | – |
| Visa Inc Com Cl A | Common Stock | 25K | 372 | – |
| Wex Inc Com Usd0.01 | Common Stock | 11K | 100 | – |
| Abbvie Inc Com Usd0.01 | Common Stock | 87K | 1K | – |
| Abbott Laboratories | Common Stock | 64K | 1K | – |
| Adobe Sys Inc | Common Stock | 31K | 378 | – |
| Delta Air Lines Inc Del Com New | Common Stock | 6K | 156 | – |
| Wisdomtree Tr Total Divid Fd | Common Stock | 37K | 500 | – |
| Directv Com Usd0.01 | Common Stock | 5K | 50 | – |
| Estee Lauder Companies Inc Cl A | Common Stock | 19K | 224 | – |
| Eastman Chem Co | Common Stock | 7K | 90 | – |
| Eqt Corp Com | Common Stock | 16K | 200 | – |
| Flextronics International Com Usd0.01 | Common Stock | 14K | 1K | – |
| Agl Res Inc | Common Stock | 34K | 730 | – |
| Home Depot Inc | Common Stock | 110K | 990 | – |
| Helmerich & Payne | Common Stock | 7K | 100 | – |
| Medtronic Plc | Common Stock | 35K | 468 | – |
| Nike Inc Class B | Common Stock | 29K | 267 | – |
| Office Depot Inc | Common Stock | 8K | 950 | – |
| Philip Morris Intl Inc Com | Common Stock | 49K | 605 | – |
| Pioneer Natural Resources Co | Common Stock | 8K | 58 | – |
| Qualcomm Inc | Common Stock | 25K | 398 | – |
| Taiwan Semiconductor Manufacturing Ads Each Cnv Into 5 Ord Twd10 | Common Stock | 12K | 550 | – |
| Unilever Plc Ads-Ea Repr 1 Ord Gpb0.03111 | Common Stock | 9K | 200 | – |
| Union Pacific Corp | Common Stock | 105K | 1K | – |
| Vanguard Intl Equity Index Fd Inc Ftse All-World Ex-Us Index Fd Etf Shs | Common Stock | 49K | 1K | – |
| Wells Fargo & Co New | Common Stock | 105K | 2K | – |
| Wpp Plc Adr Each Repr 5 Ord | Common Stock | 34K | 300 | – |
| Western Union Co Com | Common Stock | 5K | 250 | – |
| Xl Group Plc Shs | Common Stock | 9K | 250 | – |
| Gilead Sciences Inc | Common Stock | 151K | 1K | – |
| Allegion Plc Cim Usd0.01 | Common Stock | 7K | 120 | – |
| Astrazeneca Adr Each Rep 1 Ord Usd0.25(Mgt) | Common Stock | 3K | 50 | – |
| Continental Res Inc Okla Com | Common Stock | 89K | 2K | – |
| Davita Inc Com | Common Stock | 16K | 200 | – |
| Honda Motor Co Adr-Each Cnv Into 1 Ord Npv | Common Stock | 3K | 100 | – |
| Ingersoll-Rand Plc Shs Usd1 | Common Stock | 24K | 360 | – |
| Nortel Networks Corporation Com Npv | Common Stock | 1 | 480 | – |
| Southwestern Energy Co Delaware | Common Stock | 7K | 325 | – |
| Global X Fds Global X Superdividend U S Etf | Common Stock | 280K | 11K | – |
| Global X Funds Global X Hedge Fd Top Eq Hldgs Idx Etf | Common Stock | 95K | 4K | – |
| Proshares Tr Short 20+ Yr Treasury | Common Stock | 34K | 1K | – |
| Ace Limited Ord Chf26.01 | Common Stock | 14K | 133 | – |
| Bhp Billiton Limited Adr Each Rep 2 Ord Npv(Mgt) | Common Stock | 6K | 138 | – |
| Clorox Co Del | Common Stock | 22K | 215 | – |
| Cognizant Tech Solutions Corp | Common Stock | 24K | 400 | – |
| EMC Corp Mass | Common Stock | 27K | 1K | – |
| Exelon Corp | Common Stock | 6K | 175 | – |
| Idexx Labs Corp | Common Stock | 26K | 400 | – |
| Ishares Transportation Average Etf | Common Stock | 14K | 100 | – |
| Novartis Ag Adr-Each Repr 1 Chf0.5(Regd) | Common Stock | 26K | 264 | – |
| Transocean Limited Com Chf15 | Common Stock | 2K | 125 | – |
| Cimarex Energy Co | Common Stock | 27K | 241 | – |
| Alcatel-Lucent Spon Adr Rep 1 Eur2 Ser A | Common Stock | 3 | 1 | – |
| Bp Plc Adr (Cnv Into 6 Ord Usd0.25 Shs) | Common Stock | 5K | 134 | – |
| Citrix Systems Inc | Common Stock | 2K | 29 | – |
| Gaiam Inc | Common Stock | 32 | 5 | – |
| Krispy Kreme Doughnuts Inc | Common Stock | 674 | 35 | – |
| Kinder Morgan Inc Delaware Com Usd0.01 | Common Stock | 155K | 4K | – |
| Alliant Energy Corp | Common Stock | 6K | 100 | – |
| Marathon Petroleum Corp Com Usd0.01 | Common Stock | 42K | 800 | – |
| Marathon Oil Corp | Common Stock | 20K | 750 | – |
| Park Natl Corp | Common Stock | 17K | 200 | – |
| Western Asset Global Corp Defined Opportunity Fd Inc Com | Common Stock | 55K | 3K | – |
| Valero Energy Corp | Common Stock | 69K | 1K | – |
| Ishares US Financials Etf | Common Stock | 14K | 158 | – |
| Ishares US Healthcare Etf | Common Stock | 6K | 35 | – |
| Ishares US Technology Etf | Common Stock | 5K | 50 | – |
| Ishares US Telecommunication Etf | Common Stock | 5K | 165 | – |
| Comerica Inc | Common Stock | 10K | 192 | – |
| Ishares Msci Thailand Capped Etf | Common Stock | 4K | 60 | – |
| Spdr Index Shares Funds Spdr Msci Acwi Imi Etf | Common Stock | 56K | 845 | – |
| Ishares US Etf Trust Enhanced US Small Cap Etf | Common Stock | 31K | 950 | – |
| Guggenheim S&P 500 Pure Value Etf | Common Stock | 23K | 422 | – |
| Spdr Index Shs Fds S&P China Etf | Common Stock | 151K | 2K | – |
| Guggenheim S&P Midcap 400 Pure Value Etf | Common Stock | 80K | 1K | – |
| Ishares Emerging Mkts Infrastructure Etf | Common Stock | 9K | 280 | – |
| Ishares Russell Midcap Etf | Common Stock | 37K | 215 | – |
| Wisdomtree Tr Europe Smallcap Divid Fd Isin #Us97717w8698 Sedol #B17ff65 | Common Stock | 80K | 1K | – |
| Spdr Ser Tr S&P Divid Etf | Common Stock | 56K | 735 | – |
| Meridian Bancorp Inc Md Com Isin #Us58958u1034 Sedol #Bpn6139 | Common Stock | 268K | 20K | – |
| Constant Contact Inc Com | Common Stock | 86K | 3K | – |
| Ishares U S Energy Etf | Common Stock | 4K | 100 | – |
| Ptc Inc Com | Common Stock | 6K | 140 | – |
| Idera Pharmaceuticals Inc Com New | Common Stock | 22K | 6K | – |
| Powershares Db Multi Sector Commodity Tr Power Shares Db Oil Fd Com Unit | Common Stock | 4K | 300 | – |
| Blackrock Inc | Common Stock | 42K | 120 | – |
| Cpfl Energia Sa Spon Adr Ea Rep 2 Ord Npv | Common Stock | 14K | 1K | – |
| Cia Saneamento Basico De Sao Paulo Spons Adr Each Repr 1 Com Npv | Common Stock | 9K | 2K | – |
| Simpson Manufacturing Co Inc Com Isin #Us8290731053 Sedol #2809250 | Common Stock | 9K | 250 | – |
| Mast Therapeutics Inc Com Usd0.001 | Common Stock | 5K | 10K | – |
| Zogenix Inc Com Usd0.001 | Common Stock | 17K | 10K | – |
| Cambria Etf Trust Cambria Global Momentum Etf | Common Stock | 760K | 31K | – |
| Southern Co | Common Stock | 31K | 744 | – |
| Barclays Bank Plc Ipath Gs Crude Oil Total Ret Index Etn Due 08/14/2036 Puttable | Common Stock | 29K | 2K | – |
| Alpha Architect Etf Tr Valueshares U S Quantitative Value Etf | Common Stock | 26K | 987 | – |
| Southwest Airlns Co | Common Stock | 10K | 300 | – |
| Invesco Sr Income Tr Com | Common Stock | 98K | 22K | – |
| Invesco Dynamic Cr Opp Fd Com | Common Stock | 319K | 28K | – |
| Safeway Casa Ley Cvr | Common Stock | 0 | 302 | – |
| Safeway Pdc Llc Cvr | Common Stock | 0 | 302 | – |
| Xenia Hotels &Resorts Inc Com Isin #Us9840171030 Sedol #Bvv6cy1 | Common Stock | 53K | 2K | – |
| Cohen &Steers Closed End Oppo Com Isin #Us19248p1066 Sedol #B1hmmj8 | Common Stock | 73K | 6K | – |
| Cvs Health Corp Com | Common Stock | 35K | 334 | – |
| Intl Paper Co | Common Stock | 21K | 444 | – |
| Wisdomtree Trust Japan Smallcap Isin #Us97717w5215 Sedol #Bbt3q97 | Common Stock | 308K | 9K | – |
| Claymore Exchange Traded Fd Trust Guggenheim Bulletshares 2019 | Common Stock | 3M | 155K | – |
| New Amer High Income Fd Inc Com New | Common Stock | 249K | 28K | – |
| Nuveen Credit Strategies Income Fund | Common Stock | 257K | 30K | – |
| Godaddy Inc Cl A Isin #Us3802371076 Sedol #Bwfrfc6 | Common Stock | 8K | 300 | – |
| Franklin Ltd Duration Inc Tr Com Isin #Us35472t1016 Sedol #2353995 | Common Stock | 140K | 12K | – |
| Invesco High Income Trust Ii Com Stk Npv Isin #Us46131f1012 Sedol #2945648 | Common Stock | 43K | 3K | – |
| Ishares Trust Core Msci Europe Isin #Us46434v7385 Sedol #Bn90wn8 | Common Stock | 15K | 320 | – |
| Alcoa Inc Isin #Us0138171014 | Common Stock | 7K | 600 | – |
| Blackrock Corporate High Yield Fd Inc Com | Common Stock | 152K | 14K | – |
| Guggenheim S&P Smallcap 600 Pure Value Etf | Common Stock | 55K | 854 | – |
| Ishares Msci South Korea Capped Etf | Common Stock | 32K | 576 | – |
| Target Corp Com Isin #Us87612e1064 Sedol #2259101 | Common Stock | 46K | 565 | – |
| Ishares Msci Eafe Small-Cap Etf | Common Stock | 38K | 750 | – |
| First Tr Us Ipo Index Fd Shs | Common Stock | 26K | 475 | – |
| Under Armour Inc Cl A | Common Stock | 37K | 440 | – |
| Spdr Index Shs Fds S&P Russia Etf | Common Stock | 118K | 7K | – |
| Wisdomtree Tr Intl Smallcap Divid Fd Isin #Us97717w7609 Sedol #B17fg17 | Common Stock | 48K | 802 | – |
| Allergan PLC Usd0.0001 | Common Stock | 6K | 21 | – |
| American Elec Pwr Co | Common Stock | 5K | 85 | – |
| Aetna Inc New Com | Common Stock | 12K | 95 | – |
| Allstate Corp | Common Stock | 7K | 110 | – |
| Affiliated Managers Group | Common Stock | 3K | 16 | – |
| Ansys Inc | Common Stock | 5K | 56 | – |
| Anthem Inc Com Isin #Us0367521038 Sedol #Bsphgl4 | Common Stock | 12K | 76 | – |
| Aon Plc Com Usd0.01 Cl A | Common Stock | 6K | 63 | – |
| Amphenol Corp Cl A | Common Stock | 5K | 80 | – |
| Autozone Inc Nev | Common Stock | 4K | 6 | – |
| Biogen Inc Com Isin #Us09062x1037 Sedol #2455965 | Common Stock | 7K | 18 | – |
| Ball Corp | Common Stock | 6K | 90 | – |
| Brocade Communications Sys Inc Com New Isin #Us1116213067 Sedol #2422174 | Common Stock | 2K | 203 | – |
| Cf Inds Hldgs Inc Com | Common Stock | 6K | 100 | – |
| Capital One Financial Corp | Common Stock | 6K | 70 | – |
| Dollar Gen Corp New Com | Common Stock | 7K | 95 | – |
| Danaher Corp | Common Stock | 7K | 78 | – |
| Amdocs Ltd Ord Gbp0.01 | Common Stock | 4K | 75 | – |
| Dr Pepper Snapple Group Inc Com | Common Stock | 7K | 90 | – |
| Electronic Arts | Common Stock | 9K | 132 | – |
| F5 Networks Inc Com Isin #Us3156161024 Sedol #2427599 | Common Stock | 1K | 9 | – |
| Fidelity National Information Services Inc | Common Stock | 2K | 40 | – |
| Fiserv Inc | Common Stock | 5K | 55 | – |
| Gamestop Corp New Cl A Isin #Us36467w1099 Sedol #B0llft5 | Common Stock | 4K | 94 | – |
| Goldman Sachs Group Inc | Common Stock | 1K | 5 | – |
| Hess Corp Com Isin #Us42809h1077 Sedol #2023748 | Common Stock | 7K | 111 | – |
| Intuitive Surgical Inc Com New | Common Stock | 5K | 11 | – |
| Itt Corporation Com Usd1.00 | Common Stock | 5K | 127 | – |
| Kimberly Clark Corp | Common Stock | 2K | 22 | – |
| Kroger Co Com Isin #Us5010441013 Sedol #2497406 | Common Stock | 5K | 69 | – |
| Kohls Corp Com Isin #Us5002551043 Sedol #2496113 | Common Stock | 5K | 85 | – |
| L-3 Communications Hldgs Inc | Common Stock | 5K | 48 | – |
| Lockheed Martin Corp | Common Stock | 7K | 38 | – |
| Lyondellbasell Industries N V Com Usd0.01 Class A | Common Stock | 7K | 71 | – |
| Mobileye Nv Eur0.01 | Common Stock | 2K | 44 | – |
| Mckesson Corp | Common Stock | 5K | 21 | – |
| Mead Johnson Nutrition Co Com | Common Stock | 4K | 43 | – |
| Monster Beverage Corp Usd0.005 Isin #Us6117401017 Sedol #B6x2h81 | Common Stock | 5K | 37 | – |
| Murphy Oil Corp | Common Stock | 2K | 50 | – |
| Servicenow Inc Com Usd0.001 | Common Stock | 2K | 23 | – |
| Priceline Group Inc The | Common Stock | 5K | 4 | – |
| Partnerre Com Usd1 | Common Stock | 2K | 19 | – |
| Quintiles Transnational | Common Stock | 4K | 61 | – |
| Ross Stores Inc Com Isin #Us7782961038 Sedol #2746711 | Common Stock | 3K | 66 | – |
| Raytheon Co Com New | Common Stock | 5K | 56 | – |
| Sherwin Williams Co | Common Stock | 7K | 25 | – |
| Sm Energy Co Com | Common Stock | 2K | 42 | – |
| Ugi Corp New Com Isin #Us9026811052 Sedol #2910118 | Common Stock | 1K | 33 | – |
| Us Bancorp Del Com New | Common Stock | 7K | 167 | – |
| Xerox Corp | Common Stock | 4K | 346 | – |
| South32 Ltd Spon Adr Ea Repr 5 Ord | Common Stock | 369 | 55 | – |
| Talen Energy Corp Com | Common Stock | 634 | 37 | – |
| Zillow Group Inc Cl A Isin #Us98954m1018 Sedol #Bvyjbr3 | Common Stock | 9K | 100 | – |
| Northern Tr Corp | Common Stock | 15K | 200 | – |
| Ishares Core Us Growth Etf | Common Stock | 10K | 120 | – |
| Ishares Core Us Value Etf | Common Stock | 19K | 140 | – |
| Colucid Pharmaceuticals Inc Com | Common Stock | 480 | 54 | – |
| Cnl Lifestyle Properties Inc | ETFs | 40K | 8K | – |
| Echelon Ventures Lp | ETFs | 25K | 25K | – |
| New York Insd Muns Incm Tr Ut Ser 118 Semi Ann | ETFs | 4K | 40 | – |
| Alliancebernstein Hldg LP Unit Ltd Partnership Interests | ETFs | 30K | 1K | – |
| Blackstone Group LP Com Unit Repstg Ltd Partnership Int | ETFs | 223K | 5K | – |
| Calumet Specialty Prods Partners LP Common Units Repstg Ltd Partner Int | ETFs | 17K | 650 | – |
| Ddr Corp Com | ETFs | 231 | 15 | – |
| Targa Res Partners Lp Com Unit Ltd Partnership Int | ETFs | 32K | 839 | – |
| New York Mtg Tr Inc Com Par $.02 | ETFs | 1K | 134 | – |
| Omega Healthcare Invs Inc | ETFs | 33K | 960 | – |
| Spectra Energy Partners Lp | ETFs | 13K | 283 | – |
| Sun Cmntys Inc | ETFs | 33K | 530 | – |
| Direct Lending Income Fund LP | ETFs | 214K | 214K | – |
| WP Carey Inc Com | ETFs | 27K | 450 | – |
| Inland Real Estate Income Trust Inc | ETFs | 113K | 11K | – |
| Colony Finl Inc Com | ETFs | 45K | 2K | – |
| Business Development Corporation Of America | ETFs | 136K | 12K | – |
| Two Hbrs Invt Corp | ETFs | 34K | 4K | – |
| Sunoco Logistics Partners L P Com Unit | ETFs | 20K | 518 | – |
| American Tower Corporation Isin #Us03027x1000 Sedol #B7fbfl2 | ETFs | 5K | 52 | – |
| Marco Community Bancorp Inc Ser B Pref Florida | Preferred Stock | 0 | 5 | – |
| Capstead Mtg Corp Pfd Ser E 7.50% 12/31/2049 | Preferred Stock | 162K | 7K | – |
| Hatteras Finl Corp Cum Redeemable Pfd Ser A 7.625% 12/31/2049 | Preferred Stock | 251K | 11K | – |
| Mfa Finl Inc Pfd Ser B 7.50% Exp 12/31/2049 | Preferred Stock | 254K | 11K | – |
| Annaly Cap Mgmt Inc 7.875% Pfd Ser A | Preferred Stock | 45K | 2K | – |
| Annaly Cap Mgmt Inc Pfd Ser D % 7.5% 12/31/2049 | Preferred Stock | 207K | 9K | – |
| Nustar Logistics LP Sub Nt Fixed To Fltg Rate 7.625% 01/15/2043 | Preferred Stock | 241K | 9K | – |
| Stifel Financial Corp Sr Nt 5.375% 01/31/2022 | Preferred Stock | 41K | 2K | – |
| Royal Bk Scotland 7.25% Ser H Non Cum Dlr Pref Shs | Preferred Stock | 10K | 400 | – |
| Arbor Rlty Tr Inc Sr Nt | Preferred Stock | 106K | 4K | – |
| American Cap Agy Corp Cum Redeemable Pfd Ser A 8.00% 12/31/2049 | Preferred Stock | 116K | 5K | – |
| Ares Cap Corp Sr Nt 5.875% 10/01/2022 | Preferred Stock | 42K | 2K | – |
| Colony Finl Inc Cum Red Perp Pfd Ser A % 8.5% 12/31/2049 | Preferred Stock | 97K | 4K | – |
| Morgan Stanley Cap Tr Viii Gtd Cap Secs 6.45% 04/15/2067 | Preferred Stock | 204K | 8K | – |
| Northstar Rlty Fin Corp Cum Redeemable Pfd Ser D | Preferred Stock | 85K | 3K | – |
| Partnerre Pfd | Preferred Stock | 52K | 2K | – |
| Triangle Cap Corp Sr Nt 6.375% 12/15/2022 | Preferred Stock | 146K | 6K | – |
| Tortoise Energy Infrastructure Corp 00.00% 05/01/2018 Pfd | Preferred Stock | 63K | 6K | – |
| Hercules Technology Growth | Preferred Stock | 76K | 3K | – |
| Northstar Realty Fin 8.75% 12/31/2049 Pfd | Preferred Stock | 50K | 2K | – |
| Anworth Mortgage Asset Cp Pfd Ser C 7.625% Isin #Us0373474081 Sedol #Bv0lx11 | Preferred Stock | 225K | 9K | – |
| Annaly Cap Mgmt Inc 7.625% 12/31/2049 Pfd | Preferred Stock | 72K | 3K | – |
| American Intl Group Inc Wt Exp 01/19/2021 | Warrants | 360 | 13 | – |
| Kinder Morgan Inc Del Wt Exp Pur Cl P Com Exp 05/25/2017 | Warrants | 143 | 53 | – |