$1.51 Billion is the total value of RMB Capital Management, LLC's 612 reported holdings in Q3 2015. The portfolio turnover from Q2 2015 to Q3 2015 was 66.6% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| DHR | Sell | DANAHER CORP DEL COM | $27,178,000 | -9.7% | 318,957 | -9.3% | 1.80% | -8.0% |
| JOF | Buy | JAPAN SMALLER CAPTLZTNFD INC Cetf | $27,038,000 | -5.6% | 2,658,584 | +0.2% | 1.80% | -3.8% |
| ANSS | Sell | ANSYS INC | $23,338,000 | -6.0% | 264,781 | -2.7% | 1.55% | -4.2% |
| LBYYQ | Sell | LIBBEY INC | $21,597,000 | -23.2% | 662,267 | -2.7% | 1.43% | -21.8% |
| TJX | Sell | TJX COS INC NEW COM | $21,071,000 | -10.2% | 295,025 | -16.8% | 1.40% | -8.5% |
| AAP | Sell | ADVANCE AUTO PARTS INC | $20,933,000 | +8.5% | 110,448 | -8.8% | 1.39% | +10.6% |
| NEO | Sell | NEOGENOMICS INC | $20,728,000 | -9.0% | 3,617,414 | -14.0% | 1.38% | -7.2% |
| EEM | Buy | ISHARES MSCI EMERGING MARKETSetf | $20,688,000 | +1038.0% | 631,108 | +1275.4% | 1.37% | +1063.6% |
| DISCK | Buy | DISCOVERY COMMUNICATIONS SERIE | $20,221,000 | -21.3% | 832,497 | +0.7% | 1.34% | -19.9% |
| IHS | Sell | IHS INC | $19,895,000 | -14.3% | 171,509 | -5.0% | 1.32% | -12.7% |
| FRC | Sell | FIRST REPUBLIC BANK | $19,643,000 | -11.5% | 312,935 | -11.1% | 1.30% | -9.8% |
| EMC | Sell | E M C CORP MASS COM | $19,608,000 | -9.7% | 811,553 | -1.4% | 1.30% | -8.0% |
| WST | Sell | WEST PHARMACEUTICAL SVCS INC | $19,120,000 | -11.6% | 353,285 | -5.1% | 1.27% | -9.9% |
| HOG | Sell | HARLEY DAVIDSON INC | $18,792,000 | -5.2% | 342,293 | -2.7% | 1.25% | -3.5% |
| URI | Buy | UNITED RENTALS INC COM | $18,504,000 | +1.9% | 308,136 | +48.7% | 1.23% | +3.8% |
| GWR | Buy | GENESEE & WYO INC CL A | $18,331,000 | -8.5% | 310,274 | +18.0% | 1.22% | -6.7% |
| V | Sell | VISA INC CL A SHRS | $17,764,000 | -0.1% | 255,008 | -3.7% | 1.18% | +1.8% |
| GOOG | New | ALPHABET INC-CL C | $17,506,000 | – | 28,774 | +100.0% | 1.16% | – |
| CWST | Sell | CASELLA WASTE SYSTEMS INC CLAS | $17,099,000 | +0.6% | 2,948,116 | -2.7% | 1.14% | +2.4% |
| GOOGL | Sell | GOOGLE INC CL A | $16,661,000 | +12.5% | 26,100 | -4.8% | 1.11% | +14.7% |
| COO | Sell | COOPER COS INC COM NEW | $16,501,000 | -17.8% | 110,852 | -1.7% | 1.10% | -16.2% |
| NDSN | Sell | NORDSON CORP COM | $15,657,000 | -19.7% | 248,763 | -0.6% | 1.04% | -18.2% |
| DXJ | Buy | WISDOMTREE JAPAN HEDGED EQUITYetf | $15,555,000 | -14.7% | 319,661 | +0.3% | 1.03% | -13.0% |
| CLR | Buy | CONTINENTAL RESOURCES INC | $15,442,000 | -3.5% | 533,047 | +41.2% | 1.02% | -1.7% |
| VRTS | Buy | VIRTUS INVT PARTNERS INC COM | $15,267,000 | -6.2% | 151,914 | +23.5% | 1.01% | -4.4% |
| AAPL | Buy | APPLE INC | $13,935,000 | +14.7% | 126,337 | +30.5% | 0.92% | +16.9% |
| CME | Sell | CME GROUP INC CLASS A | $13,727,000 | -2.3% | 148,017 | -2.0% | 0.91% | -0.4% |
| ACN | Sell | ACCENTURE PLC CL A F | $13,669,000 | -2.8% | 139,110 | -4.3% | 0.91% | -1.0% |
| AMT | Sell | AMERICAN TOWER CORP REIT | $13,641,000 | -7.5% | 155,052 | -1.9% | 0.90% | -5.8% |
| NVR | New | N V R INC | $13,341,000 | – | 8,747 | +100.0% | 0.89% | – |
| BDX | Sell | BECTON DICKINSON&CO | $13,222,000 | -9.2% | 99,667 | -3.1% | 0.88% | -7.5% |
| MJN | Buy | MEAD JOHNSON NUTRITION CO COM | $13,119,000 | -21.9% | 186,353 | +0.2% | 0.87% | -20.4% |
| UNP | Buy | UNION PACIFIC CORP | $13,109,000 | -3.0% | 148,278 | +4.6% | 0.87% | -1.2% |
| LOW | Sell | LOWES COMPANIES INC | $12,668,000 | -3.2% | 183,810 | -6.0% | 0.84% | -1.4% |
| SLB | Sell | SCHLUMBERGER LTD F | $12,484,000 | -20.6% | 181,019 | -0.8% | 0.83% | -19.0% |
| ARG | Sell | AIRGAS INC COM | $12,398,000 | -17.1% | 138,785 | -1.9% | 0.82% | -15.6% |
| YDKN | Buy | YADKIN FINANCIAL CO | $12,073,000 | +36.1% | 561,819 | +32.7% | 0.80% | +38.6% |
| CVS | Sell | CVS HEALTH CORP | $11,650,000 | -10.2% | 120,747 | -2.4% | 0.77% | -8.6% |
| MOS | Buy | MOSAIC CO/THE | $11,539,000 | +54.3% | 370,917 | +132.4% | 0.77% | +57.3% |
| LABL | Sell | MULTI-COLOR CORP COM | $11,366,000 | +19.2% | 148,590 | -0.5% | 0.75% | +21.4% |
| New | PUT XLF 10/16/15 22 SEC | $11,137,000 | – | 491,500 | +100.0% | 0.74% | – | |
| UNF | Buy | UNIFIRST CORP/MA | $10,805,000 | -3.8% | 101,160 | +0.7% | 0.72% | -2.0% |
| USB | Sell | U S BANCORP | $10,149,000 | -7.3% | 247,472 | -1.9% | 0.67% | -5.5% |
| M | Sell | MACYS INC | $10,031,000 | -24.1% | 195,451 | -0.2% | 0.67% | -22.6% |
| MMC | Sell | MARSH & MC LENNAN CO | $9,760,000 | -32.6% | 186,915 | -26.8% | 0.65% | -31.3% |
| MS | New | MORGAN STANLEY | $9,586,000 | – | 304,329 | +100.0% | 0.64% | – |
| KN | Buy | KNOWLES CORP | $9,574,000 | +4.2% | 519,482 | +2.4% | 0.64% | +6.4% |
| MCHP | New | MICROCHIP TECHNOLOGY | $9,052,000 | – | 210,076 | +100.0% | 0.60% | – |
| AWK | Sell | AMERICAN WATER WORKS | $8,991,000 | +8.9% | 163,239 | -3.8% | 0.60% | +11.0% |
| BMY | Sell | BRISTOL-MYERS SQUIBB | $8,934,000 | -13.5% | 150,910 | -2.8% | 0.59% | -11.9% |
| CVX | Sell | CHEVRON CORPORATION | $8,904,000 | -19.5% | 112,882 | -1.6% | 0.59% | -18.0% |
| WOOD | Sell | ISHARES TR GL TIMB FOREETFetf | $8,836,000 | -55.9% | 198,518 | -48.0% | 0.59% | -55.1% |
| BA | Buy | BOEING CO | $8,757,000 | +5.3% | 66,878 | +11.6% | 0.58% | +7.2% |
| RPM | Sell | RPM INTERNATIONAL | $8,599,000 | -15.9% | 205,284 | -1.7% | 0.57% | -14.3% |
| CELG | Sell | CELGENE CORP | $8,527,000 | -7.8% | 78,831 | -1.4% | 0.57% | -6.1% |
| GNMK | Buy | GENMARK DIAGNOSTICS INC | $8,485,000 | -12.5% | 1,078,127 | +0.7% | 0.56% | -10.9% |
| NYLDA | New | NRG YIELD INC CL A NEW | $8,409,000 | – | 754,208 | +100.0% | 0.56% | – |
| DEO | Buy | DIAGEO PLC F ADR 1 ADR REPS 4adr | $8,364,000 | -7.1% | 77,593 | +0.0% | 0.56% | -5.3% |
| AMLP | New | ALPS ALERIAN MLP ETFetf | $8,267,000 | – | 662,450 | +100.0% | 0.55% | – |
| New | PUT XLF 10/16/15 21.50 | $8,248,000 | – | 364,000 | +100.0% | 0.55% | – | |
| LMCK | New | LIBERTY MEDIA CORP - C | $8,202,000 | – | 238,043 | +100.0% | 0.54% | – |
| NWSA | New | NEWS CORP - CLASS A | $8,134,000 | – | 644,544 | +100.0% | 0.54% | – |
| BFB | Buy | BROWN-FORMAN CORP-CLASS B | $8,058,000 | +7.0% | 83,160 | +10.7% | 0.54% | +9.2% |
| SEAS | Buy | SEAWORLD ENTERTAINMENT INC | $8,005,000 | +29.1% | 449,487 | +33.7% | 0.53% | +31.4% |
| LNKD | Buy | LINKEDIN CORP COM CL A | $7,978,000 | -7.2% | 41,958 | +0.8% | 0.53% | -5.4% |
| BRLXF | Buy | BORALEX INC COM | $7,896,000 | +13.3% | 619,307 | +18.0% | 0.52% | +15.4% |
| ITW | Sell | ILLINOIS TOOL WORKS | $7,865,000 | -11.2% | 95,558 | -1.0% | 0.52% | -9.5% |
| AFL | Sell | AFLAC INC | $7,725,000 | -7.7% | 132,891 | -1.2% | 0.51% | -5.9% |
| New | USO 10/16/2015 P 13.5 | $7,252,000 | – | 494,000 | +100.0% | 0.48% | – | |
| SANW | Buy | S&W SEED CO | $7,192,000 | +31.5% | 1,563,458 | +39.5% | 0.48% | +34.0% |
| ASBB | Buy | ASB BANCORP INC | $6,938,000 | +24.7% | 276,970 | +7.9% | 0.46% | +27.3% |
| SOCB | Sell | SOUTHCOAST FINANCIAL CORP | $6,671,000 | +54.2% | 500,474 | -1.6% | 0.44% | +57.1% |
| KS | Buy | KAPSTONE PAPER AND PACKAGING | $6,674,000 | -19.1% | 404,237 | +13.3% | 0.44% | -17.5% |
| BEN | Buy | FRANKLIN RESOURCES | $6,644,000 | -21.7% | 178,304 | +3.1% | 0.44% | -20.1% |
| BDE | Sell | BLACK DIAMOND INC | $6,275,000 | -36.0% | 999,170 | -5.9% | 0.42% | -34.7% |
| NBBC | Buy | NEWBRIDGE BANCORP CLASS A NO P | $6,262,000 | +293.1% | 734,069 | +311.4% | 0.42% | +300.0% |
| FSGI | Buy | FIRST SEC GROUP INC COM NEW C/ | $6,273,000 | +11.3% | 2,519,287 | +9.5% | 0.42% | +13.4% |
| OZRK | New | BANK OF THE OZARKS INC | $6,165,000 | – | 140,880 | +100.0% | 0.41% | – |
| CMCO | Buy | COLUMBUS MCKINNON CORP/NY | $6,075,000 | -26.8% | 334,519 | +0.7% | 0.40% | -25.5% |
| FARM | Buy | FARMER BROS CO | $5,854,000 | +16.8% | 214,813 | +0.7% | 0.39% | +19.0% |
| AMERIS BANCORP RESTRICTED | $5,750,000 | +13.7% | 200,000 | 0.0% | 0.38% | +16.1% | ||
| BNCN | Buy | BNC BANCORP | $5,650,000 | +16.8% | 254,161 | +1.6% | 0.38% | +19.0% |
| MXL | Buy | MAXLINEAR INC CLASS A | $5,553,000 | +50.7% | 446,346 | +46.6% | 0.37% | +53.8% |
| LE | Buy | LANDS' END INC | $5,473,000 | +74.7% | 202,628 | +60.6% | 0.36% | +77.9% |
| DOOR | Buy | MASONITE INTERNATIONAL CORP | $5,470,000 | -4.5% | 90,291 | +10.5% | 0.36% | -2.7% |
| SUN BANCORP INC COM NEW RESTRI | $5,436,000 | -0.3% | 283,286 | 0.0% | 0.36% | +1.7% | ||
| New | PUT KRE 10/16/15 38 SPD | $5,397,000 | – | 131,000 | +100.0% | 0.36% | – | |
| Sell | CENTRUE FINANCIAL CORPORATION | $5,332,000 | +4.7% | 313,654 | -0.0% | 0.35% | +6.6% | |
| HTBI | HOMETRUST BANCSHARES INC COM | $5,011,000 | +10.7% | 270,125 | 0.0% | 0.33% | +12.9% | |
| TBK | Buy | TRIUMPH BANCORP INC COM | $5,000,000 | +38.2% | 297,590 | +8.1% | 0.33% | +40.7% |
| Buy | CAPSTONE INFRASTRUCTURE CORP C | $4,809,000 | +31.3% | 1,160,900 | +17.6% | 0.32% | +33.5% | |
| VALEP | New | VALE S A ADR REPSTG PFDpfd | $4,657,000 | – | 1,390,180 | +100.0% | 0.31% | – |
| SFST | Buy | SOUTHERN FIRST BANCSHARES | $4,507,000 | +17.4% | 219,950 | +2.6% | 0.30% | +19.6% |
| ACFC | ATLANTIC COAST FINANCIAL CORPO | $4,497,000 | +24.3% | 813,199 | 0.0% | 0.30% | +26.7% | |
| ORRF | Buy | ORRSTOWN FINANCIAL SERVICES IN | $4,398,000 | +5.8% | 260,852 | +1.6% | 0.29% | +7.7% |
| BNK | Buy | C1 FINANCIAL INC COM | $3,943,000 | +115.1% | 207,005 | +118.8% | 0.26% | +120.2% |
| AVK | New | Advent Claymore Convertible Secef | $3,930,000 | – | 298,428 | +100.0% | 0.26% | – |
| ISBC | Sell | INVESTORS BANCORP | $3,894,000 | -47.3% | 315,589 | -47.5% | 0.26% | -46.4% |
| TFI | New | SPDR Nuveen Barclays Municipaletf | $3,832,000 | – | 158,922 | +100.0% | 0.25% | – |
| RLOGQ | Buy | RAND LOGISTICS INC | $3,772,000 | -34.8% | 1,796,091 | +0.7% | 0.25% | -33.7% |
| New | PUT SCHW OCT 27.00000 10/16/20 | $3,770,000 | – | 132,000 | +100.0% | 0.25% | – | |
| AVNU | New | AVENUE FINANCIAL HOLDINGS INC | $3,750,000 | – | 284,055 | +100.0% | 0.25% | – |
| New | PROFESSIONALHOLDING CORP CLASS | $3,730,000 | – | 339,073 | +100.0% | 0.25% | – | |
| DFS | Buy | DISCOVER FINANCIAL SERVICES | $3,683,000 | +943.3% | 70,858 | +1055.7% | 0.24% | +960.9% |
| HMPR | Buy | HAMPTON RDS BANKSHARES INC | $3,539,000 | +27.8% | 1,862,637 | +39.9% | 0.24% | +30.6% |
| NRZ | Buy | NEW RESIDENTIAL INVESTMENT COR | $3,522,000 | -0.6% | 268,817 | +15.6% | 0.23% | +1.3% |
| BKMU | Buy | BANK MUTUAL CORPORATION | $3,529,000 | +3.9% | 459,457 | +3.7% | 0.23% | +5.9% |
| EGL | Buy | ENGILITY HLDGS INC | $3,515,000 | +102.7% | 136,330 | +97.8% | 0.23% | +106.2% |
| FSB | Buy | FRANKLIN FINANCIAL NETWORK INC | $3,438,000 | +3.2% | 153,811 | +5.9% | 0.23% | +5.1% |
| New | PUT WFC 10/16/15 50 WEL | $3,389,000 | – | 66,000 | +100.0% | 0.22% | – | |
| UCBI | New | UNITED COMMUNITY BANKS INC | $3,364,000 | – | 164,558 | +100.0% | 0.22% | – |
| SONA | New | SOUTHERN NATL BANCORP VA INC C | $3,335,000 | – | 295,350 | +100.0% | 0.22% | – |
| EBS | Buy | EMERGENT BIOSOLUTION | $3,316,000 | -6.9% | 116,380 | +7.6% | 0.22% | -5.2% |
| LKQ | Sell | LKQ CORP | $3,220,000 | -30.3% | 113,538 | -25.7% | 0.21% | -28.9% |
| CSTM | Buy | CONSTELLIUM NV F CLASS A | $3,194,000 | +208.9% | 527,109 | +502.9% | 0.21% | +216.4% |
| ICAD | Buy | ICAD INC | $3,179,000 | +6.3% | 935,037 | +1.3% | 0.21% | +8.2% |
| SGBK | Sell | STONEGATE BANK | $3,171,000 | -14.1% | 99,672 | -19.9% | 0.21% | -12.9% |
| NVS | Sell | NOVARTIS AG F ADR 1 ADR REPS 1adr | $3,102,000 | -9.4% | 33,744 | -3.0% | 0.21% | -7.6% |
| IBDRY | Sell | IBERDROLA S A F ADR 1 ADR REPSadr | $3,088,000 | -11.3% | 116,281 | -10.0% | 0.20% | -9.7% |
| NGG | Buy | NATIONAL GRID PLC F ADR 1 ADRadr | $3,025,000 | +28.1% | 43,448 | +18.8% | 0.20% | +30.5% |
| HLI | New | HOULIHAN LOKEY INC CLASS A COM | $3,020,000 | – | 138,520 | +100.0% | 0.20% | – |
| JAXB | JACKSONVILLE BANCORP INC | $2,942,000 | +27.4% | 196,928 | 0.0% | 0.20% | +30.0% | |
| New | PUT PNC 10/16/15 85 PNC | $2,899,000 | – | 32,500 | +100.0% | 0.19% | – | |
| BANC | Buy | BANC OF CALIFORNIA INC | $2,879,000 | -3.5% | 234,600 | +8.1% | 0.19% | -1.5% |
| LBRDK | New | LIBERTY BROADBAND-C | $2,881,000 | – | 56,305 | +100.0% | 0.19% | – |
| ABCW | Buy | ANCHOR BANCORP WISCONSIN INC C | $2,856,000 | +94.8% | 67,061 | +73.7% | 0.19% | +97.9% |
| SNY | Sell | SANOFI SPOND F ADR 1 ADR REPSadr | $2,821,000 | -5.5% | 59,427 | -1.4% | 0.19% | -3.6% |
| AVD | Buy | AMERICAN VANGUARD CO | $2,820,000 | -10.6% | 243,969 | +6.7% | 0.19% | -9.2% |
| AHONY | Sell | KONINKLIJKE AHOLD NV F ADR 1 Aadr | $2,809,000 | +3.0% | 144,497 | -0.8% | 0.19% | +4.5% |
| Sell | SARTORIUS STEDIM ORD Fadr | $2,785,000 | -17.6% | 9,378 | -23.5% | 0.18% | -15.9% | |
| FLL | Buy | FULL HOUSE RESORTS INC | $2,756,000 | -12.5% | 1,887,619 | +0.1% | 0.18% | -10.7% |
| New | PUT USB 10/16/15 41 US | $2,707,000 | – | 66,000 | +100.0% | 0.18% | – | |
| New | PUT USB OCT 40.50000 10/16/201 | $2,707,000 | – | 66,000 | +100.0% | 0.18% | – | |
| ABB | Buy | ABB LTD F ADR 1 ADR REPS 1 ORDadr | $2,712,000 | -4.6% | 153,489 | +12.7% | 0.18% | -2.7% |
| NSRGY | Sell | NESTLE SA F ADR 1 ADR REPS 1 Oadr | $2,703,000 | +1.2% | 36,060 | -2.5% | 0.18% | +2.9% |
| New | PUT KRE 10/16/15 39 SPD | $2,699,000 | – | 65,500 | +100.0% | 0.18% | – | |
| New | PUT KRE 10/16/15 35 SPD | $2,699,000 | – | 65,500 | +100.0% | 0.18% | – | |
| AER | Sell | ***AERCAP HOLDINGS NV | $2,662,000 | -27.6% | 69,600 | -13.3% | 0.18% | -25.9% |
| BREW | Buy | CRAFT BREW ALLIANCE INC | $2,673,000 | -16.2% | 335,444 | +16.3% | 0.18% | -14.9% |
| HMC | Sell | HONDA MOTOR CO LTD F ADR 1 ADRadr | $2,616,000 | -8.6% | 87,480 | -1.0% | 0.17% | -6.5% |
| CSQ | Buy | Calamos Strategic Total Returncef | $2,606,000 | +419.1% | 280,563 | +513.3% | 0.17% | +424.2% |
| GSK | Sell | GLAXOSMITHKLINE PLC F ADR 1 ADadr | $2,584,000 | -8.8% | 67,196 | -1.2% | 0.17% | -6.5% |
| TLMR | New | TALMER BANCORP INC COM CL A | $2,529,000 | – | 151,890 | +100.0% | 0.17% | – |
| UL | Sell | UNILEVER PLC F ADR 1 ADR REPSadr | $2,514,000 | -5.3% | 61,662 | -0.2% | 0.17% | -3.5% |
| New | PUT/ABY@20 | $2,498,000 | – | 150,000 | +100.0% | 0.17% | – | |
| SLCT | Buy | SELECT BANCORP INC COM | $2,411,000 | +28.7% | 329,376 | +24.8% | 0.16% | +31.1% |
| BDJ | New | BLACKROCK ENHANCED EQUITYDIVIDcef | $2,404,000 | – | 333,856 | +100.0% | 0.16% | – |
| SAP | Sell | SAP SPONSORED F ADR 1 ADR REPSadr | $2,354,000 | -8.3% | 36,338 | -0.6% | 0.16% | -6.6% |
| PGC | PEAPACK-GLADSTONE FINANCIAL CO | $2,350,000 | -4.7% | 111,010 | 0.0% | 0.16% | -3.1% | |
| MNSB | MAINSTREET BANK | $2,344,000 | +13.6% | 202,271 | 0.0% | 0.16% | +16.4% | |
| FFWM | New | FIRST FOUNDATION INC | $2,355,000 | – | 103,425 | +100.0% | 0.16% | – |
| BLD | New | TOPBUILD CORPORATION | $2,337,000 | – | 75,454 | +100.0% | 0.16% | – |
| New | PUT BBT 10/16/15 33 BB& | $2,332,000 | – | 65,500 | +100.0% | 0.16% | – | |
| FCCO | Buy | FIRST COMMUNITY CORPORATION | $2,334,000 | +2.6% | 188,530 | +1.1% | 0.16% | +4.7% |
| New | PUT BBT 10/16/15 34 BB& | $2,332,000 | – | 65,500 | +100.0% | 0.16% | – | |
| TAK | Buy | TAKEDA PHARMA CO F ADR 1 ADR Radr | $2,327,000 | +4.9% | 106,394 | +15.9% | 0.15% | +6.9% |
| TKOMY | Sell | TOKIO MARINE HLDGS F ADR 1 ADRadr | $2,310,000 | -10.9% | 61,992 | -0.8% | 0.15% | -9.5% |
| EXG | New | Eaton Vance Tax-Managed Globalcef | $2,294,000 | – | 276,431 | +100.0% | 0.15% | – |
| BP | Buy | BP PLC F ADR 1 ADR REPS 6 ORDadr | $2,264,000 | +5.9% | 74,083 | +38.5% | 0.15% | +7.9% |
| CBPX | New | CONTINENTAL BLDG PRO | $2,257,000 | – | 109,873 | +100.0% | 0.15% | – |
| FBMS | Buy | FIRST BANCSHARES INC-MISS | $2,261,000 | +6.0% | 129,435 | +1.0% | 0.15% | +7.9% |
| DTEGY | Sell | DEUTSCHE TELEKOM AG F ADR 1 ADadr | $2,261,000 | -11.8% | 127,529 | -14.3% | 0.15% | -10.2% |
| RCL | New | ROYAL CARIBBEAN CRUI F | $2,222,000 | – | 24,943 | +100.0% | 0.15% | – |
| DXLG | Buy | DESTINATION XL GROUP | $2,171,000 | +24.2% | 373,639 | +7.1% | 0.14% | +26.3% |
| AIRM | Buy | AIR METHODS CORP | $2,166,000 | +25.6% | 63,546 | +52.3% | 0.14% | +28.6% |
| TLSNY | Sell | TELIASONERA AB F ADR 1 ADR REP | $2,157,000 | -8.9% | 200,862 | -0.2% | 0.14% | -7.1% |
| HZN | New | HORIZON GLOBAL CORPO | $2,121,000 | – | 240,503 | +100.0% | 0.14% | – |
| EFA | Sell | ISHARES MSCI EAFE ETFetf | $2,116,000 | -34.3% | 36,923 | -27.2% | 0.14% | -33.3% |
| New | PUT/USO@14 | $2,092,000 | – | 142,500 | +100.0% | 0.14% | – | |
| NHLD | Buy | NATIONAL HOLDINGS CORPORATION | $2,092,000 | +3.2% | 760,755 | +34.7% | 0.14% | +5.3% |
| SBCF | SEACOAST BANKING CORPORATION O | $2,064,000 | -7.1% | 140,633 | 0.0% | 0.14% | -5.5% | |
| New | PUT XLF 10/16/15 21 SEC | $2,062,000 | – | 91,000 | +100.0% | 0.14% | – | |
| PFMT | Buy | PERFORMANT FINANCIAL CORPORATI | $2,068,000 | -5.7% | 854,362 | +26.3% | 0.14% | -4.2% |
| TXTR | Buy | TEXTURA CORP | $2,051,000 | +22.6% | 79,384 | +32.1% | 0.14% | +24.8% |
| AMG | Buy | AFFILIATED MANAGERS GROUP | $2,038,000 | -20.0% | 11,920 | +2.3% | 0.14% | -18.7% |
| RDSB | New | ROYAL DUTCH SHELL F ADR 1 ADRadr | $1,971,000 | – | 41,513 | +100.0% | 0.13% | – |
| TSM | Sell | TAIWAN SEMICONDUCTR F ADR 1 ADadr | $1,973,000 | -15.1% | 95,097 | -7.1% | 0.13% | -13.2% |
| HDSN | Buy | HUDSON TECHNOLOGIES | $1,963,000 | +4.9% | 661,011 | +23.3% | 0.13% | +6.6% |
| TEVA | Sell | TEVA PHARMACEUTICAL INDUSTRIESadr | $1,916,000 | -24.3% | 33,954 | -20.7% | 0.13% | -23.0% |
| SHBI | Buy | SHORE BANCSHARES INC | $1,919,000 | +6.3% | 197,391 | +3.1% | 0.13% | +7.6% |
| EVBN | Buy | EVANS BANCORP INC NEW | $1,917,000 | +4.7% | 77,290 | +2.4% | 0.13% | +6.7% |
| New | ABY US 10/16/15 P 20 | $1,898,000 | – | 114,000 | +100.0% | 0.13% | – | |
| New | PUT SCHW 10/16/15 26 CHA | $1,885,000 | – | 66,000 | +100.0% | 0.12% | – | |
| TEF | Sell | TELEFONICA SA ADR EA REPR1 ORDadr | $1,862,000 | -15.7% | 154,667 | -0.5% | 0.12% | -13.9% |
| LOB | New | LIVE OAK BANCSHARES INC COM | $1,875,000 | – | 95,490 | +100.0% | 0.12% | – |
| HEIA | HEICO CORP NEW CL A ISIN#US422 | $1,848,000 | -10.6% | 40,701 | 0.0% | 0.12% | -8.9% | |
| UOVEY | Buy | UTD OVERSEAS BK F ADR 1 ADR REadr | $1,850,000 | -6.3% | 70,900 | +23.0% | 0.12% | -4.7% |
| BECN | Sell | BEACON ROOFING SUPPL | $1,832,000 | -38.7% | 56,395 | -37.3% | 0.12% | -37.4% |
| MSGS | New | MADISON SQUARE GARDE CLASS A | $1,821,000 | – | 25,247 | +100.0% | 0.12% | – |
| NTRS | Sell | NORTHERN TR CORP COM | $1,824,000 | -11.4% | 26,758 | -0.6% | 0.12% | -9.7% |
| VRSK | Sell | VERISK ANALYTICS INC | $1,763,000 | +1.6% | 23,854 | -0.0% | 0.12% | +3.5% |
| CAJ | Sell | CANON INC F ADR 1 ADR REPS 1 Oadr | $1,770,000 | -11.0% | 61,106 | -0.4% | 0.12% | -10.0% |
| MN | New | MANNING & NAPIER INC CL A | $1,752,000 | – | 238,020 | +100.0% | 0.12% | – |
| TSCDY | Sell | TESCO PLC F ADR 1 ADR REPS 3 Oadr | $1,721,000 | -17.0% | 206,745 | -0.0% | 0.11% | -15.6% |
| SBCP | SUNSHINE BANCORP INC COM | $1,697,000 | -6.8% | 122,940 | 0.0% | 0.11% | -5.0% | |
| CINF | Sell | CINCINNATI FINL CORP | $1,696,000 | +7.2% | 31,530 | -0.0% | 0.11% | +9.7% |
| CVCO | New | CAVCO INDUSTRIES INC | $1,693,000 | – | 24,868 | +100.0% | 0.11% | – |
| AEL | New | AMERICAN EQUITY INVESTMENT LIF | $1,686,000 | – | 72,330 | +100.0% | 0.11% | – |
| AAL | Buy | AMERICAN AIRLS GROUP | $1,670,000 | +118.3% | 43,002 | +124.6% | 0.11% | +122.0% |
| CARE | Buy | CARTER BK & TR MARTINSVILLE VA | $1,677,000 | +3.3% | 133,134 | +3.4% | 0.11% | +4.7% |
| CMCSA | Buy | COMCAST CORP NEW CL A | $1,636,000 | +31.1% | 28,768 | +38.6% | 0.11% | +34.6% |
| CHCT | Buy | COMMUNITY HEALTHCARE TRUST INC | $1,628,000 | +70.6% | 102,420 | +106.7% | 0.11% | +74.2% |
| STBZ | New | STATE BANK FINANCIAL CORPORATI | $1,613,000 | – | 77,992 | +100.0% | 0.11% | – |
| HTBK | Sell | HERITAGE COMMERCE CORP | $1,609,000 | -12.7% | 141,848 | -26.1% | 0.11% | -10.8% |
| PGTI | New | PGT INC | $1,614,000 | – | 131,448 | +100.0% | 0.11% | – |
| GLQ | New | Clough Global Equity Fundcef | $1,605,000 | – | 126,742 | +100.0% | 0.11% | – |
| SGAPY | Sell | SINGAPORE TLCM F ADR 1 ADR REPadr | $1,597,000 | -19.8% | 63,124 | -0.9% | 0.11% | -18.5% |
| KCG | New | KCG HOLDINGS INC CLASS A | $1,580,000 | – | 144,040 | +100.0% | 0.10% | – |
| VEA | VANGUARD FTSE DEVELOPED MARKET | $1,564,000 | -10.1% | 43,892 | 0.0% | 0.10% | -8.0% | |
| USG | Sell | U S G CORPORATION | $1,546,000 | -58.4% | 58,088 | -56.6% | 0.10% | -57.4% |
| E | Sell | ENI S P A SPON F ADR 1 ADR REPadr | $1,539,000 | -12.8% | 49,050 | -1.1% | 0.10% | -11.3% |
| PSGLQ | New | PERFORMANCE SPORTS GROUP LTD | $1,543,000 | – | 115,000 | +100.0% | 0.10% | – |
| New | PUT PFG 10/16/15 47 PRI | $1,538,000 | – | 32,500 | +100.0% | 0.10% | – | |
| SYT | Sell | SYNGENTA AG F ADR 1 ADR REPS 0adr | $1,528,000 | -22.4% | 23,950 | -0.7% | 0.10% | -21.1% |
| ERC | Buy | Wells Fargo Advantage Multi-Secef | $1,506,000 | +307.0% | 132,692 | +353.7% | 0.10% | +316.7% |
| FISI | FINANCIAL INSTITUTIONS INC COM | $1,475,000 | -0.3% | 59,524 | 0.0% | 0.10% | +2.1% | |
| PSF | Buy | Cohen & Steers Select Preferrecef | $1,463,000 | +94.5% | 62,803 | +101.2% | 0.10% | +98.0% |
| MLVF | Buy | MALVERN BANCORP INC COM | $1,449,000 | +18.5% | 92,571 | +12.3% | 0.10% | +20.0% |
| CHW | Buy | Calamos Global Dynamic Incomecef | $1,449,000 | +965.4% | 208,190 | +1205.8% | 0.10% | +966.7% |
| HEOP | Buy | HERITAGE OAKS BANCORP COM | $1,447,000 | +2.4% | 181,796 | +1.3% | 0.10% | +4.3% |
| IVW | Sell | ISHARES S&P 500 GROWTHETFetf | $1,446,000 | -5.4% | 13,410 | -0.1% | 0.10% | -4.0% |
| KCRPY | Sell | KAO CORP F ADR 1 ADR REPS 1 ORadr | $1,434,000 | -3.9% | 31,782 | -0.9% | 0.10% | -2.1% |
| SAMG | Buy | SILVERCREST ASSET MANAGEMENT G | $1,430,000 | -5.9% | 132,303 | +22.4% | 0.10% | -4.0% |
| CHL | Sell | CHINA MOBILE LTD F ADR 1 ADR Radr | $1,405,000 | -9.7% | 23,624 | -2.7% | 0.09% | -7.9% |
| CGNX | COGNEX CORP COM | $1,402,000 | -28.5% | 40,795 | 0.0% | 0.09% | -27.3% | |
| SDPB | Buy | SAN DIEGO PRIVATE BANK CA | $1,381,000 | +14.6% | 92,781 | +13.8% | 0.09% | +17.9% |
| New | Anglo Pacific Group | $1,387,000 | – | 1,202,408 | +100.0% | 0.09% | – | |
| ASTE | Buy | ASTEC INDS INC | $1,366,000 | -19.5% | 40,770 | +0.5% | 0.09% | -18.0% |
| ZURVY | Sell | ZURICH INSURANCE GP F ADR 1 ADadr | $1,358,000 | -21.5% | 55,456 | -2.3% | 0.09% | -20.4% |
| SVNDY | Sell | SEVEN & I HLDG CO F ADR 1 ADRadr | $1,361,000 | -36.5% | 59,915 | -39.9% | 0.09% | -35.7% |
| New | PUT CMA 10/16/15 40 COM | $1,336,000 | – | 32,500 | +100.0% | 0.09% | – | |
| RDSA | Sell | ROYAL DUTCH SHELL-SPON ADR-Aadr | $1,320,000 | -17.3% | 27,847 | -0.6% | 0.09% | -15.4% |
| SNBC | SUN BANCORP INC COM NEW | $1,313,000 | -0.3% | 68,434 | 0.0% | 0.09% | +1.2% | |
| LION | FIDELITY SOUTHERN CORP NEW | $1,286,000 | +21.2% | 60,838 | 0.0% | 0.08% | +23.2% | |
| PSTB | Buy | PARK STERLING CORP COM | $1,280,000 | -3.3% | 188,260 | +2.4% | 0.08% | -1.2% |
| DV | Sell | DEVRY EDUCATION GROUP INC | $1,283,000 | -79.8% | 47,150 | -77.8% | 0.08% | -79.5% |
| EVV | Buy | Eaton Vance Limited Duration Icef | $1,282,000 | +87.7% | 101,098 | +99.4% | 0.08% | +93.2% |
| CLH | Sell | CLEAN HBRS INC | $1,266,000 | -18.6% | 28,800 | -0.5% | 0.08% | -16.8% |
| IDSY | Buy | ID SYSTEMS INC | $1,261,000 | -47.0% | 392,858 | +0.7% | 0.08% | -45.8% |
| PCI | New | PIMCO Dynamic Credit Income Fucef | $1,252,000 | – | 68,513 | +100.0% | 0.08% | – |
| PBIB | Sell | PORTER BANCORP INC | $1,249,000 | -23.0% | 886,164 | -13.1% | 0.08% | -21.7% |
| New | PUT/EXLP@15 | $1,232,000 | – | 75,000 | +100.0% | 0.08% | – | |
| AZSEY | New | ALLIANZ SE F ADR 1 ADR REPS 0.adr | $1,213,000 | – | 77,509 | +100.0% | 0.08% | – |
| GLO | New | CLOUGH GLOBAL OPPORTUNITIESFDcef | $1,223,000 | – | 114,291 | +100.0% | 0.08% | – |
| FCVA | FIRST CAPITAL BANCORP INC | $1,199,000 | +12.8% | 250,746 | 0.0% | 0.08% | +15.9% | |
| SAN | Sell | BANCO SANTANDER SA F ADR 1 ADRadr | $1,203,000 | -26.9% | 227,825 | -3.0% | 0.08% | -25.2% |
| EMD | Buy | Western Asset Emerging Marketscef | $1,204,000 | +252.0% | 90,406 | +295.5% | 0.08% | +263.6% |
| ABCB | Buy | AMERIS BANCORP COM | $1,197,000 | +28.0% | 41,650 | +12.7% | 0.08% | +29.5% |
| NFJ | Sell | AllianzGI NFJ Dividend Interescef | $1,162,000 | -42.7% | 90,947 | -32.2% | 0.08% | -41.7% |
| DDAIY | Sell | DAIMLER AG F ADR 1 ADR REPS 1adr | $1,146,000 | -22.5% | 15,824 | -2.7% | 0.08% | -20.8% |
| VPV | Sell | Invesco Pennsylvania Value Muncef | $1,152,000 | -83.4% | 93,976 | -83.7% | 0.08% | -83.2% |
| RNST | New | RENASANT CORPORATION | $1,131,000 | – | 34,440 | +100.0% | 0.08% | – |
| BDC | Buy | BELDEN INC | $1,131,000 | -29.7% | 24,230 | +22.4% | 0.08% | -28.6% |
| XOM | Buy | EXXON MOBIL CORP | $1,104,000 | +15.5% | 14,853 | +29.3% | 0.07% | +17.7% |
| BTZ | Buy | BLACKROCK CREDIT ALLOCATION INcef | $1,103,000 | +406.0% | 90,652 | +427.4% | 0.07% | +421.4% |
| FBNC | Buy | FIRST BANCORP-TROY N.C. | $1,096,000 | +4.1% | 64,476 | +2.2% | 0.07% | +5.8% |
| BIT | New | BlackRock Multi-Sector Incomecef | $1,098,000 | – | 69,877 | +100.0% | 0.07% | – |
| ACP | New | AVENUE INCOME CREDIT STRATEGIEcef | $1,069,000 | – | 83,224 | +100.0% | 0.07% | – |
| BWFG | Buy | BANKWELL FINL GROUP INC COM | $1,062,000 | +132.9% | 58,110 | +127.0% | 0.07% | +133.3% |
| EAD | Buy | Wells Fargo Advantage Income Ocef | $1,049,000 | +68.9% | 138,631 | +84.5% | 0.07% | +75.0% |
| EOD | Sell | Wells Fargo Advantage Global Dcef | $1,054,000 | -55.0% | 178,406 | -47.3% | 0.07% | -54.2% |
| OAKV | Buy | OAK VIEW NATIONAL BANK | $1,037,000 | +77.0% | 208,400 | +78.5% | 0.07% | +81.6% |
| VOD | Sell | VODAFONE GROUP F ADR 1 ADR REPadr | $1,037,000 | -14.3% | 32,674 | -1.6% | 0.07% | -12.7% |
| WLL | Buy | WHITING PETE CORP NEW COM | $1,010,000 | -38.9% | 66,121 | +34.3% | 0.07% | -38.0% |
| RWEOY | Sell | RWE AG ORD F ADR 1 ADR REPS 1adr | $1,002,000 | -47.5% | 88,445 | -0.5% | 0.07% | -46.0% |
| LVS | Sell | LAS VEGAS SANDS CORP COM | $991,000 | -30.2% | 26,092 | -3.4% | 0.07% | -29.0% |
| ECYT | Sell | ENDOCYTE INC COM USD0.001 | $996,000 | -12.9% | 217,485 | -1.2% | 0.07% | -10.8% |
| NBTB | NBT BANCORP INC | $991,000 | +2.9% | 36,780 | 0.0% | 0.07% | +4.8% | |
| AFT | New | APOLLO SENIOR FLOATINGRATE FDcef | $988,000 | – | 62,993 | +100.0% | 0.07% | – |
| SSWPRD | New | SEASPAN CORP 7.95% NEW MONEY Ppfd | $976,000 | – | 42,426 | +100.0% | 0.06% | – |
| LADR | Buy | LADDER CAPITAL CORP CL A | $957,000 | -15.2% | 66,831 | +2.8% | 0.06% | -12.3% |
| COWN | Buy | COWEN GROUP INC CLASS A | $953,000 | +22.8% | 208,954 | +72.3% | 0.06% | +23.5% |
| EHI | Buy | Western Asset Global High Incocef | $948,000 | +76.2% | 105,673 | +103.1% | 0.06% | +80.0% |
| BRGYY | Sell | BG GROUP PLC F ADR 1 ADR REPSadr | $937,000 | -14.1% | 65,061 | -0.6% | 0.06% | -12.7% |
| IWV | Sell | ISHARES RUSSELL 3000ETFetf | $941,000 | -13.9% | 8,260 | -6.3% | 0.06% | -12.7% |
| New | PUT/EVEP@7E | $918,000 | – | 153,000 | +100.0% | 0.06% | – | |
| TWI | Buy | TITAN INTERNATIONAL INC | $910,000 | -24.4% | 137,650 | +22.9% | 0.06% | -23.1% |
| HPS | New | HANCOCK JOHN PFD INC MEFD IIIcef | $892,000 | – | 53,566 | +100.0% | 0.06% | – |
| TTE | Sell | TOTAL S A F ADR 1 ADR REPS 1 Oadr | $884,000 | -51.0% | 19,768 | -46.1% | 0.06% | -49.6% |
| DCMYY | Sell | NTT DOCOMO INC F ADR 1 ADR REPadr | $891,000 | -12.8% | 52,835 | -1.1% | 0.06% | -11.9% |
| DNIF | Buy | Dividend and Income Fundcef | $885,000 | +47.3% | 81,588 | +91.9% | 0.06% | +51.3% |
| TOELY | Sell | TOKYO ELECTRON LTD F ADR 1 ADRadr | $852,000 | -27.3% | 72,730 | -1.8% | 0.06% | -25.0% |
| AGC | Buy | ADVENT CLAYMORE CONVERTIBLE SEcef | $825,000 | +678.3% | 152,598 | +819.3% | 0.06% | +685.7% |
| IVH | Buy | Ivy High Income Opportunitiescef | $826,000 | -12.0% | 63,672 | +1.3% | 0.06% | -9.8% |
| JPMPRDCL | New | JPMORGAN CHASE 5.5% NEW MONEYpfd | $810,000 | – | 33,537 | +100.0% | 0.05% | – |
| BACPRICL | New | BANK AMER CORP DEP 6.625%12/31pfd | $801,000 | – | 31,344 | +100.0% | 0.05% | – |
| PPEHF | Sell | PURE TECHNOLOGIES Fadr | $802,000 | -47.4% | 208,458 | -20.6% | 0.05% | -46.5% |
| New | VNR 10/16/2015 P 9 | $760,000 | – | 100,000 | +100.0% | 0.05% | – | |
| PTY | New | PIMCO Corporate & Income Opporcef | $741,000 | – | 55,702 | +100.0% | 0.05% | – |
| IWM | Buy | iShares Russell 2000 ETFetf | $724,000 | +75.3% | 6,626 | +100.1% | 0.05% | +77.8% |
| HPF | New | John Hancock Preferred Incomecef | $728,000 | – | 38,101 | +100.0% | 0.05% | – |
| BRKB | Sell | BERKSHIRE HATHAWAY INC DE CL | $703,000 | -5.8% | 5,387 | -1.7% | 0.05% | -4.1% |
| KMI | Sell | KINDER MORGAN INC DE | $695,000 | -28.4% | 25,111 | -0.7% | 0.05% | -27.0% |
| CII | New | BLACKROCK ENHANCED CAP& INCOMEcef | $694,000 | – | 52,871 | +100.0% | 0.05% | – |
| PSBPRUCL | New | PS BUSINESS PKS INC CALIFDEP Spfd | $679,000 | – | 28,479 | +100.0% | 0.04% | – |
| GCV | Buy | Gabelli Convertible and Incomecef | $657,000 | +800.0% | 135,241 | +986.9% | 0.04% | +780.0% |
| RNP | New | Cohen & Steers REIT and Prefercef | $647,000 | – | 37,308 | +100.0% | 0.04% | – |
| AFB | New | AllianceBernstein National Muncef | $651,000 | – | 48,993 | +100.0% | 0.04% | – |
| CBS | New | CBS CORP-CLASS B NON VOTING | $632,000 | – | 15,836 | +100.0% | 0.04% | – |
| New | PUT/EXH@17. | $630,000 | – | 35,000 | +100.0% | 0.04% | – | |
| CHI | New | Calamos Convertible Opportunitcef | $620,000 | – | 62,740 | +100.0% | 0.04% | – |
| IVV | ISHARES CORE S&P 500 ETFetf | $607,000 | -7.0% | 3,149 | 0.0% | 0.04% | -7.0% | |
| NMI | New | Nuveen Municipal Income Fund Icef | $603,000 | – | 56,253 | +100.0% | 0.04% | – |
| VTA | New | Invesco Dynamic Credit Opportucef | $585,000 | – | 55,340 | +100.0% | 0.04% | – |
| WFC | Buy | WELLS FARGO & CO | $594,000 | -6.0% | 11,555 | +2.9% | 0.04% | -4.9% |
| NHS | New | Neuberger Berman High Yield Stcef | $586,000 | – | 57,507 | +100.0% | 0.04% | – |
| PFD | New | Flaherty & Crumrine Preferredcef | $580,000 | – | 46,269 | +100.0% | 0.04% | – |
| AMGN | Sell | AMGEN INCORPORATED | $595,000 | -10.3% | 4,303 | -0.4% | 0.04% | -9.3% |
| BGH | New | BABSON CAP GLB SHT DURHGHYLD Ccef | $583,000 | – | 33,594 | +100.0% | 0.04% | – |
| DLRPRG | New | DIGITAL REALTY 5.875% NEW MONEpfd | $571,000 | – | 24,328 | +100.0% | 0.04% | – |
| FRGI | Sell | FIESTA RESTAURANT GROUP | $551,000 | -87.4% | 12,134 | -86.1% | 0.04% | -87.0% |
| HHY | Buy | Brookfield High Income Fund In | $550,000 | +310.4% | 75,402 | +358.8% | 0.04% | +311.1% |
| BPFH | New | BOSTON PRIVATE FINL HLDGS INC | $549,000 | – | 46,950 | +100.0% | 0.04% | – |
| KR | Buy | KROGER CO COM | $540,000 | -0.6% | 14,976 | +99.8% | 0.04% | +2.9% |
| PSBPRVCL | New | PS BUSINESS PARKS INCCALIF 5.7pfd | $541,000 | – | 22,718 | +100.0% | 0.04% | – |
| FHY | Sell | First Trust Strategic High Inccef | $531,000 | -36.7% | 46,144 | -27.2% | 0.04% | -36.4% |
| ABBV | Buy | ABBVIE INC | $529,000 | -19.0% | 9,725 | +0.2% | 0.04% | -18.6% |
| SBUX | Sell | STARBUCKS CORP | $521,000 | +5.7% | 9,160 | -0.5% | 0.04% | +9.4% |
| PCYO | PURECYCLE CORP COM NEW ISIN#US | $530,000 | -4.7% | 107,000 | 0.0% | 0.04% | -2.8% | |
| BGY | New | BLACKROCK INTL GROWTH& INCOMEcef | $510,000 | – | 83,963 | +100.0% | 0.03% | – |
| Buy | FIRST REP BANK 6.7% NEW MONEYpfd | $516,000 | +9.1% | 20,046 | +9.6% | 0.03% | +9.7% | |
| MCN | New | Madison Covered Call & Equitycef | $485,000 | – | 68,504 | +100.0% | 0.03% | – |
| GGE | New | Guggenheim Enhanced Equity Strcef | $476,000 | – | 31,963 | +100.0% | 0.03% | – |
| VNOPRL | Sell | VORNADO RLTY TST 5.4% NEW MONEpfd | $475,000 | -26.5% | 21,140 | -26.9% | 0.03% | -23.8% |
| Sell | KESKO OYJ-A SHS | $483,000 | -38.5% | 14,883 | -37.4% | 0.03% | -37.3% | |
| PCN | New | PIMCO Corporate & Income Stratcef | $477,000 | – | 36,318 | +100.0% | 0.03% | – |
| NSC | Sell | NORFOLK SOUTHERN CORP COM | $447,000 | -12.7% | 5,847 | -0.2% | 0.03% | -9.1% |
| PFE | Buy | PFIZER INCORPORATED | $454,000 | -3.0% | 14,447 | +3.5% | 0.03% | 0.0% |
| PG | Sell | PROCTER & GAMBLE | $455,000 | -9.5% | 6,329 | -1.5% | 0.03% | -9.1% |
| AIF | Buy | APOLLO TACTICAL INCOMEFD INC Ccef | $454,000 | +53.9% | 31,347 | +67.7% | 0.03% | +57.9% |
| FLC | New | FLAHERTY & CRUMRINE TOTALRETURcef | $452,000 | – | 24,258 | +100.0% | 0.03% | – |
| ORCL | Sell | ORACLE CORPORATION | $433,000 | -10.7% | 11,977 | -0.5% | 0.03% | -9.4% |
| JNJ | Buy | JOHNSON & JOHNSON | $419,000 | +13.2% | 4,488 | +18.2% | 0.03% | +16.7% |
| MDT | Sell | MEDTRONIC PLC F | $419,000 | -20.9% | 6,269 | -12.3% | 0.03% | -20.0% |
| QBIEY | Sell | QBE INSURANCE GROUP F ADR 1 ADadr | $405,000 | -14.2% | 44,753 | -0.5% | 0.03% | -12.9% |
| PEP | Buy | PEPSICO INCORPORATED | $410,000 | +4.9% | 4,348 | +3.9% | 0.03% | +8.0% |
| HD | Sell | HOME DEPOT INC | $411,000 | +3.3% | 3,560 | -0.6% | 0.03% | +3.8% |
| MCK | Sell | MCKESSON CORPORATION | $406,000 | -18.0% | 2,195 | -0.4% | 0.03% | -15.6% |
| EOI | New | Eaton Vance Enhanced Equity Incef | $405,000 | – | 34,022 | +100.0% | 0.03% | – |
| FB | Buy | FACEBOOK INC CLASS A | $398,000 | +16.7% | 4,426 | +11.5% | 0.03% | +18.2% |
| PBRA | Buy | PETROLEO BRASILEIRO F ADR 1 ADadr | $386,000 | +282.2% | 104,894 | +748.0% | 0.03% | +271.4% |
| MGU | New | Macquarie Global Infrastructurcef | $394,000 | – | 20,455 | +100.0% | 0.03% | – |
| JPW | New | Nuveen Flexible Investment Inccef | $393,000 | – | 26,461 | +100.0% | 0.03% | – |
| HQH | New | H & Q HEALTHCARE FD SHBEN INTcef | $372,000 | – | 13,471 | +100.0% | 0.02% | – |
| New | Porter Bank Series Fpfd | $368,000 | – | 1,405 | +100.0% | 0.02% | – | |
| GLD | Sell | SPDR GOLD TRUST ETFetf | $357,000 | -98.1% | 3,338 | -98.0% | 0.02% | -98.1% |
| GIM | New | TEMPLETON GLOBAL INCOMEFD INCcef | $357,000 | – | 58,666 | +100.0% | 0.02% | – |
| VIG | VANGUARD DIV APPRCIATIONetf | $360,000 | -6.2% | 4,887 | 0.0% | 0.02% | -4.0% | |
| RMRM | Sell | RMR Real Estate Income Fundcef | $353,000 | -10.2% | 19,555 | -7.8% | 0.02% | -11.5% |
| GE | Sell | GENERAL ELECTRIC COMPANY | $348,000 | -7.0% | 13,813 | -1.9% | 0.02% | -4.2% |
| SYK | Sell | STRYKER CORP | $344,000 | -1.7% | 3,651 | -0.2% | 0.02% | 0.0% |
| DIS | Sell | WALT DISNEY CO | $342,000 | -10.9% | 3,345 | -0.6% | 0.02% | -8.0% |
| XBKS | New | XENITH BANKSHARES INC | $339,000 | – | 53,020 | +100.0% | 0.02% | – |
| MSFT | Buy | MICROSOFT CORP | $345,000 | +1.2% | 7,801 | +0.7% | 0.02% | +4.5% |
| New | WLT1/15/2016P2016 | $348,000 | – | 4,350,900 | +100.0% | 0.02% | – | |
| WHR | Sell | WHIRLPOOL CORP | $351,000 | -29.7% | 2,388 | -17.2% | 0.02% | -30.3% |
| IFF | Sell | INTL FLAVORS& FRAGRA | $333,000 | -97.6% | 3,225 | -97.5% | 0.02% | -97.6% |
| PFO | Sell | FLAHERTY & CRUMRINE PFDINCOMEcef | $328,000 | -35.4% | 31,948 | -33.1% | 0.02% | -33.3% |
| BAM | Sell | BROOKFIELD ASSET MGMT F D VTG | $307,000 | -50.6% | 9,775 | -45.2% | 0.02% | -51.2% |
| TWC | Sell | TIME WARNER CABLE INC COM | $298,000 | -20.1% | 1,659 | -20.7% | 0.02% | -16.7% |
| BLW | Sell | BLACKROCK LTD DURATIONINCOME Tcef | $295,000 | -25.7% | 20,440 | -22.0% | 0.02% | -23.1% |
| PSAPRTCL | Sell | PUBLIC STORAGE 5.75% NEW MONEYpfd | $307,000 | -73.7% | 12,301 | -74.4% | 0.02% | -73.7% |
| BIF | New | Boulder Growth & Income Fund Icef | $299,000 | – | 40,129 | +100.0% | 0.02% | – |
| VGI | New | Virtus Global Multi-Sector Inccef | $308,000 | – | 21,530 | +100.0% | 0.02% | – |
| T | Sell | AT&T INC | $296,000 | -9.8% | 9,085 | -1.5% | 0.02% | -4.8% |
| VIAB | Sell | VIACOM INC-CLASS B | $292,000 | -96.8% | 6,760 | -95.3% | 0.02% | -96.9% |
| TSN | Sell | TYSON FOODS INC CL A | $284,000 | +0.7% | 6,587 | -0.4% | 0.02% | +5.6% |
| SRCL | STERICYCLE INC COM | $291,000 | +4.3% | 2,087 | 0.0% | 0.02% | +5.6% | |
| STT | Sell | STATE STREET CORP | $281,000 | -13.0% | 4,186 | -0.4% | 0.02% | -9.5% |
| WIW | New | Western Asset/Claymore Inflaticef | $287,000 | – | 27,600 | +100.0% | 0.02% | – |
| CNI | Sell | CANADIAN NATL RY CO | $292,000 | -7.0% | 5,143 | -5.5% | 0.02% | -5.0% |
| JTD | New | Nuveen Tax-Advantaged Dividendcef | $273,000 | – | 20,195 | +100.0% | 0.02% | – |
| ABT | Sell | ABBOTT LABORATORIES | $270,000 | -34.5% | 6,721 | -19.9% | 0.02% | -33.3% |
| WEC | New | WEC ENERGY GROUP INC COM | $275,000 | – | 5,265 | +100.0% | 0.02% | – |
| DCOM | New | DIME COMMUNITY BANCSHARES | $274,000 | – | 16,220 | +100.0% | 0.02% | – |
| VWO | Sell | VANGUARD FTSE EMERGING MARKETSetf | $274,000 | -22.2% | 8,268 | -4.1% | 0.02% | -21.7% |
| New | GREAT-WEST LIFEC 5.15% NEW MONpfd | $252,000 | – | 8,200 | +100.0% | 0.02% | – | |
| SPY | Sell | SPDR S&P 500 ETF @etf | $255,000 | -94.2% | 1,332 | -93.8% | 0.02% | -94.1% |
| SIEGY | Sell | SIEMENS A G - ADRadr | $256,000 | -37.6% | 2,863 | -29.8% | 0.02% | -37.0% |
| New | CORPORATE CAP TR INC COM | $255,000 | – | 24,362 | +100.0% | 0.02% | – | |
| WBA | Sell | WALGREENS BOOTS ALLIANCEINC | $257,000 | -2.7% | 3,095 | -0.9% | 0.02% | 0.0% |
| MPA | Sell | BlackRock MuniYield Pennsylvancef | $239,000 | -53.4% | 17,637 | -53.8% | 0.02% | -51.5% |
| New | EVEP 10/16/15 P 7 | $240,000 | – | 40,000 | +100.0% | 0.02% | – | |
| REGN | REGENERON PHARMACEUTICALS | $241,000 | -8.7% | 518 | 0.0% | 0.02% | -5.9% | |
| New | Porter Bank Series Epfd | $235,000 | – | 885 | +100.0% | 0.02% | – | |
| FFA | New | First Trust Enhanced Equity Incef | $243,000 | – | 19,525 | +100.0% | 0.02% | – |
| NEWT | Sell | NEWTEK BUSINESS SERVICES CORP | $234,000 | -54.4% | 14,220 | -50.9% | 0.02% | -51.5% |
| BIIB | Sell | BIOGEN INC COM ISIN#US09062X10 | $235,000 | -28.4% | 805 | -0.7% | 0.02% | -23.8% |
| HHC | Buy | HOWARD HUGHES CORP COM ISIN#US | $238,000 | -19.9% | 2,072 | +0.2% | 0.02% | -15.8% |
| IBM | Sell | IBM CORP | $238,000 | -14.4% | 1,639 | -4.1% | 0.02% | -11.1% |
| SCZ | ISHARES TR EAFE SML CPETF | $219,000 | -6.4% | 4,577 | 0.0% | 0.02% | 0.0% | |
| AMZN | New | AMAZON COM INC | $232,000 | – | 453 | +100.0% | 0.02% | – |
| NIE | New | ALLIANZGI EQUITY &CONVINCOME Ccef | $232,000 | – | 13,496 | +100.0% | 0.02% | – |
| HTD | Sell | John Hancock Tax-Advantaged Dicef | $226,000 | -62.1% | 11,514 | -62.1% | 0.02% | -61.5% |
| ANTM | Sell | ANTHEM INC COM | $228,000 | -15.6% | 1,631 | -0.7% | 0.02% | -16.7% |
| EMR | Sell | EMERSON ELECTRIC COMPANY | $225,000 | -98.0% | 5,086 | -97.5% | 0.02% | -98.0% |
| FIF | New | FIRST TR ENERGY INFRASTRCTRFDcef | $232,000 | – | 14,510 | +100.0% | 0.02% | – |
| AHTPRECL | New | ASHFORD HOSPITALITY PFDpfd | $211,000 | – | 8,202 | +100.0% | 0.01% | – |
| HEQ | New | JOHN HANCOCK HEDGED EQUITY & Icef | $214,000 | – | 14,848 | +100.0% | 0.01% | – |
| NXQ | New | Nuveen Select Tax-Free Income2cef | $211,000 | – | 16,109 | +100.0% | 0.01% | – |
| JRS | New | NUVEEN REAL ESTATE INCOMEFD COcef | $218,000 | – | 21,723 | +100.0% | 0.01% | – |
| NQP | Sell | Nuveen Pennsylvania Investmentcef | $209,000 | -21.7% | 15,946 | -21.3% | 0.01% | -17.6% |
| PPC | Sell | PILGRIMS PRIDE CORP | $215,000 | -10.0% | 10,361 | -0.5% | 0.01% | -12.5% |
| PFN | New | PIMCO Income Strategy Fund IIcef | $214,000 | – | 24,228 | +100.0% | 0.01% | – |
| FMO | New | FIDUCIARY / CLAYMORE MLPOPPORTcef | $214,000 | – | 13,670 | +100.0% | 0.01% | – |
| SWK | New | STANLEY BLACK & DECKER INC | $208,000 | – | 2,143 | +100.0% | 0.01% | – |
| CRDB | New | CRAWFORD & CO -CL B | $214,000 | – | 38,061 | +100.0% | 0.01% | – |
| TM | Sell | TOYOTA MOTOR CORP F ADR 1 ADRadr | $204,000 | -34.2% | 1,741 | -24.7% | 0.01% | -30.0% |
| CAT | Sell | CATERPILLAR INC | $215,000 | -23.2% | 3,290 | -0.5% | 0.01% | -22.2% |
| BGX | Buy | BLACKSTONE GSO LNG SHRTCR INCcef | $211,000 | +30.2% | 14,842 | +41.5% | 0.01% | +27.3% |
| MUJ | Sell | BLACKROCK MUNIHOLDINGSN J QUALcef | $205,000 | -84.6% | 15,132 | -85.0% | 0.01% | -83.9% |
| UNH | Buy | UNITEDHEALTH GROUP INC COM | $210,000 | -2.3% | 1,812 | +3.0% | 0.01% | 0.0% |
| NXJ | New | Nuveen New Jersey Dividend Advcef | $194,000 | – | 15,161 | +100.0% | 0.01% | – |
| GPM | New | Guggenheim Enhanced Equity Inccef | $190,000 | – | 26,366 | +100.0% | 0.01% | – |
| MHE | New | BLACKROCK MASS TAX-EXEMPTTR COcef | $189,000 | – | 14,560 | +100.0% | 0.01% | – |
| CSX | CSX CORP | $202,000 | -17.6% | 7,500 | 0.0% | 0.01% | -18.8% | |
| CGO | New | CALAMOS GLOBAL TOTAL RETURNFDcef | $197,000 | – | 17,666 | +100.0% | 0.01% | – |
| GLV | New | CLOUGH GLOBAL ALLOCATIONFD COMcef | $201,000 | – | 15,348 | +100.0% | 0.01% | – |
| MNP | New | WESTERN ASST MN PRT FDINC COMcef | $203,000 | – | 13,598 | +100.0% | 0.01% | – |
| PGSVY | PETROLEUM GEO SERVICESASA ADSadr | $192,000 | -28.4% | 50,000 | 0.0% | 0.01% | -23.5% | |
| PDT | Sell | John Hancock Premium Dividendcef | $185,000 | -26.9% | 14,728 | -23.9% | 0.01% | -25.0% |
| ARDC | New | Ares Dynamic Credit Allocationcef | $183,000 | – | 13,135 | +100.0% | 0.01% | – |
| MHF | Sell | Western Asset Municipal High Icef | $166,000 | -19.8% | 22,947 | -20.6% | 0.01% | -15.4% |
| EVJ | New | EATON VANCE NJ MUNI INCcef | $170,000 | – | 14,242 | +100.0% | 0.01% | – |
| VMM | New | Delaware Investments Minnesotacef | $154,000 | – | 11,696 | +100.0% | 0.01% | – |
| HNW | New | Pioneer Diversified High Incomcef | $155,000 | – | 10,487 | +100.0% | 0.01% | – |
| OIA | Sell | INVESCO MUN INCOME OPPORTUNITIcef | $144,000 | -72.3% | 21,314 | -72.5% | 0.01% | -70.6% |
| INB | New | COHEN & STEERS GLOBALINCOME BLcef | $144,000 | – | 15,149 | +100.0% | 0.01% | – |
| MSP | New | Madison Strategic Sector Premicef | $150,000 | – | 14,030 | +100.0% | 0.01% | – |
| VCV | New | Invesco California Value Municcef | $143,000 | – | 11,348 | +100.0% | 0.01% | – |
| IGD | Sell | Voya Global Equity Dividend ancef | $129,000 | -62.9% | 18,526 | -56.5% | 0.01% | -60.9% |
| WEN | Sell | WENDYS COMPANY (THE) COMUSD0.1 | $122,000 | -49.6% | 14,030 | -34.7% | 0.01% | -50.0% |
| MMT | New | MFS MULTIMARKET INCOMETR SH BEcef | $124,000 | – | 22,240 | +100.0% | 0.01% | – |
| Sell | DEUTSCHE BK AG LONDONBRH TRIGGpfd | $121,000 | -48.5% | 13,000 | -43.5% | 0.01% | -46.7% | |
| EGDW | EDGEWATER BANCORP INCCOM | $118,000 | +2.6% | 10,000 | 0.0% | 0.01% | +14.3% | |
| MFM | New | MFS Municipal Income Trustcef | $99,000 | – | 15,471 | +100.0% | 0.01% | – |
| ECF | New | ELLSWORTH GROWTH &INCOMEFD L Ccef | $112,000 | – | 14,363 | +100.0% | 0.01% | – |
| NSL | New | Nuveen Senior Income Fundcef | $87,000 | – | 14,663 | +100.0% | 0.01% | – |
| New | CNL LIFESTYLE PROPERTIES INC | $90,000 | – | 17,395 | +100.0% | 0.01% | – | |
| FC HOLDINGS INC CL E CONV PFDpfd | $94,000 | 0.0% | 20,000 | 0.0% | 0.01% | 0.0% | ||
| LOR | Sell | Lazard World Dividend & Incomecef | $95,000 | -77.4% | 10,430 | -71.1% | 0.01% | -77.8% |
| MUFG | Buy | MITSUBISHI UFJ FINL F ADR 1 ADadr | $90,000 | -14.3% | 14,736 | +1.5% | 0.01% | -14.3% |
| NCV | New | ALLIANZGI CONV & INCOMEFD COMcef | $85,000 | – | 14,561 | +100.0% | 0.01% | – |
| NOK | Sell | NOKIA CORPadr | $75,000 | -17.6% | 11,026 | -16.7% | 0.01% | -16.7% |
| LYG | Sell | LLOYDS BANKING GROUP PLC ADRadr | $80,000 | -15.8% | 17,372 | -0.5% | 0.01% | -16.7% |
| IID | New | Voya International High Dividecef | $79,000 | – | 12,420 | +100.0% | 0.01% | – |
| VALE | Sell | VALE SA ADR F SPONSORED ADR 1adr | $57,000 | -97.4% | 13,487 | -96.3% | 0.00% | -97.2% |
| CART | CAROLINA TR BK LINCOLNTON NORT | $57,000 | +9.6% | 10,184 | 0.0% | 0.00% | +33.3% | |
| FC HOLDINGS INC CONTRA CUSIP | $47,000 | 0.0% | 100,000 | 0.0% | 0.00% | 0.0% | ||
| New | PUT AMTD 10/16/15 31 TD | $40,000 | – | 66,000 | +100.0% | 0.00% | – | |
| DHY | Sell | Credit Suisse High Yield Bondcef | $41,000 | -94.6% | 17,931 | -93.9% | 0.00% | -94.0% |
| CIF | New | MFS Intermediate High Income Fcef | $40,000 | – | 17,414 | +100.0% | 0.00% | – |
| GGB | Sell | GERDAU SA SPONS ADR EACHREP 1adr | $14,000 | -77.4% | 10,590 | -58.7% | 0.00% | -75.0% |
| Sell | HEARUSA INC XXX ESCROW PENDING | $0 | – | 323,553 | -2.7% | 0.00% | – | |
| AMERICAN INTL GROUP INCWTS EXPwt | $0 | – | 207,685 | 0.0% | 0.00% | – | ||
| FIRST HORIZON FRACTIONAL SHS 1 | $0 | – | 442,506 | 0.0% | 0.00% | – | ||
| FIBROGEN INC SERIES FCONV PFDpfd | $0 | – | 25,000 | 0.0% | 0.00% | – | ||
| Exit | COSCO INTERNATIONAL HLDGS HKD0 | $0 | – | -10,000 | -100.0% | 0.00% | – | |
| Exit | BOSIDENG INTERNATIONAL HL DGS | $0 | – | -32,000 | -100.0% | 0.00% | – | |
| Exit | SINOTRANS SHIPPING LTD NPV ISI | $0 | – | -16,500 | -100.0% | 0.00% | – | |
| New | RTS CEF DIVIDEND & INCOME CONTrt | $0 | – | 15,693 | +100.0% | 0.00% | – | |
| New | COLLATERAL DELV TO WELLSFARGO | $0 | – | 3,654,872 | +100.0% | 0.00% | – | |
| Exit | PUT XLF JUL 24.00000 07/17/201 | $0 | – | -640 | -100.0% | -0.00% | – | |
| Exit | PUT COF JUL 85.00000 07/17/201 | $0 | – | -320 | -100.0% | -0.00% | – | |
| Exit | PUT STT JUL 72.50000 07/17/201 | $0 | – | -320 | -100.0% | -0.00% | – | |
| Exit | PUT BBT JUL 39.00000 07/17/201 | $0 | – | -645 | -100.0% | -0.00% | – | |
| Exit | PUT STT JUL 75.00000 07/17/201 | $0 | – | -320 | -100.0% | -0.00% | – | |
| Exit | PUT MS JUL 37.50000 07/17/2015 | $0 | – | -640 | -100.0% | -0.00% | – | |
| Exit | PUT BK JUL 41.50000 07/17/2015 | $0 | – | -645 | -100.0% | -0.00% | – | |
| Exit | PUT SCHW JUL 32.00000 07/17/20 | $0 | – | -645 | -100.0% | -0.00% | – | |
| Exit | PUT ZION JUL 31.00000 07/17/20 | $0 | – | -965 | -100.0% | -0.00% | – | |
| Exit | PUT AXP JUL 77.50000 07/17/201 | $0 | – | -320 | -100.0% | -0.00% | – | |
| Exit | PUT CMA JUL 49.00000 07/17/201 | $0 | – | -645 | -100.0% | -0.00% | – | |
| MFG | Exit | MIZUHO FINL GROUP INCSPONSOREDadr | $0 | – | -11,833 | -100.0% | -0.00% | – |
| Exit | PUT BBT JUL 40.00000 07/17/201 | $0 | – | -645 | -100.0% | -0.00% | – | |
| Exit | PUT CMA JUL 50.00000 07/17/201 | $0 | – | -645 | -100.0% | -0.00% | – | |
| Exit | PUT WFC JUL 55.50000 07/17/201 | $0 | – | -645 | -100.0% | -0.00% | – | |
| Exit | PUT USB JUL 43.50000 07/17/201 | $0 | – | -640 | -100.0% | -0.00% | – | |
| Exit | PUT KRE JUL 44.00000 07/17/201 | $0 | – | -645 | -100.0% | -0.00% | – | |
| TMKXY | Exit | TMK OAO SPONSORED ADR ISIN#US8adr | $0 | – | -11,339 | -100.0% | -0.00% | – |
| Exit | PUT USB JUL 44.00000 07/17/201 | $0 | – | -645 | -100.0% | -0.00% | – | |
| OGZPY | Exit | GAZPROM PJSC F ADR 1 ADR REPSadr | $0 | – | -10,313 | -100.0% | -0.00% | – |
| YDUQY | Exit | ESTACIO PARTICIPACO ADRF 1SPONadr | $0 | – | -10,552 | -100.0% | -0.00% | – |
| Exit | PUT KRE JUL 43.00000 07/17/201 | $0 | – | -1,290 | -100.0% | -0.00% | – | |
| Exit | PUT MS JUL 39.00000 07/17/2015 | $0 | – | -645 | -100.0% | -0.00% | – | |
| SBRCY | Exit | SBERBANK OF RUSSIA SPONADR EACadr | $0 | – | -11,703 | -100.0% | -0.00% | – |
| Exit | HENDERSON LAND DEVELOPMENTCO H | $0 | – | -10,116 | -100.0% | -0.00% | – | |
| Exit | REITMANS (CANADA) LTD | $0 | – | -11,330 | -100.0% | -0.01% | – | |
| PMM | Exit | PUTNAM MANAGED MUN INCOMTR COMcef | $0 | – | -12,580 | -100.0% | -0.01% | – |
| Exit | PUT XLF JUL 25.00000 07/17/201 | $0 | – | -1,290 | -100.0% | -0.01% | – | |
| Exit | PUT JPM JUL 67.50000 07/17/201 | $0 | – | -645 | -100.0% | -0.01% | – | |
| ABEV | Exit | AMBEV SA SPONSORED ADR ISIN#USadr | $0 | – | -14,096 | -100.0% | -0.01% | – |
| KMM | Exit | DEUTSCHE MULTI-MKT INCOMETR SHcef | $0 | – | -13,080 | -100.0% | -0.01% | – |
| ASX | Exit | ADVANCED SEMICONDUCTORENGR SPOadr | $0 | – | -15,730 | -100.0% | -0.01% | – |
| FUND | Exit | SPROTT FOCUS TRUST INCcef | $0 | – | -17,520 | -100.0% | -0.01% | – |
| EIA | Exit | EATON VANCE CALIF MUNICIPALBONcef | $0 | – | -11,392 | -100.0% | -0.01% | – |
| KTF | Exit | DEUTSCHE MUN INCOME COM ISIN#Ucef | $0 | – | -10,660 | -100.0% | -0.01% | – |
| WFTIQ | Exit | WEATHERFORD INTL PLC ORDSHS IS | $0 | – | -10,705 | -100.0% | -0.01% | – |
| MIY | Exit | BLACKROCK MUNIYIELD MICHQUALITcef | $0 | – | -11,524 | -100.0% | -0.01% | – |
| BTA | Exit | BLACKROCK LONG-TERM MUNIADVNTcef | $0 | – | -14,227 | -100.0% | -0.01% | – |
| IQI | Exit | INVESCO QUALITY MUN INCOMETR Ccef | $0 | – | -12,499 | -100.0% | -0.01% | – |
| MYF | Exit | BLACKROCK MUNIYIELD INVESTMENTcef | $0 | – | -11,458 | -100.0% | -0.01% | – |
| JTA | Exit | NUVEEN TX ADV TOTAL RETSTRGY Ccef | $0 | – | -13,521 | -100.0% | -0.01% | – |
| DEX | Exit | DELAWARE ENHANCED GLOBALDIVIDcef | $0 | – | -16,135 | -100.0% | -0.01% | – |
| DWA | Exit | DREAMWORKS ANIMATION SKGINC CL | $0 | – | -7,582 | -100.0% | -0.01% | – |
| PHIKQ | Exit | PHI INC | $0 | – | -6,844 | -100.0% | -0.01% | – |
| NLYPRCCL | Exit | ANNALY CAP MGMT INC 7.625%12/3pfd | $0 | – | -8,490 | -100.0% | -0.01% | – |
| AN | Exit | AUTONATION INC | $0 | – | -3,197 | -100.0% | -0.01% | – |
| BBN | Exit | BLACKROCK BUILD AMER BDTR SHScef | $0 | – | -11,094 | -100.0% | -0.01% | – |
| NUO | Exit | NUVEEN OHIO QUALITY INCOMEMUNcef | $0 | – | -14,825 | -100.0% | -0.01% | – |
| 3106PS | Exit | DELPHI AUTOMOTIVE PLC SHS | $0 | – | -2,528 | -100.0% | -0.01% | – |
| EVO | Exit | EATON VANCE OH MUNI INCcef | $0 | – | -16,195 | -100.0% | -0.01% | – |
| CP | Exit | CANADIAN PAC RAILWAY F | $0 | – | -1,341 | -100.0% | -0.01% | – |
| MYL | Exit | MYLAN N V SHS EURO | $0 | – | -3,193 | -100.0% | -0.01% | – |
| RHHBY | Exit | ROCHE HLDG LTD SPONSORED ADRadr | $0 | – | -6,125 | -100.0% | -0.01% | – |
| PEIPRACL | Exit | PENN REIT 8.25% SERIES Apfd | $0 | – | -8,400 | -100.0% | -0.02% | – |
| CBA | Exit | CLEARBRIDGE AMERN ENERGMLP FD | $0 | – | -16,969 | -100.0% | -0.02% | – |
| NMPRH | Exit | NAVIOS MARITIME HOLDINGS PFDpfd | $0 | – | -12,308 | -100.0% | -0.02% | – |
| Exit | Porter Bank Series Epfd | $0 | – | -885 | -100.0% | -0.02% | – | |
| COP | Exit | CONOCOPHILLIPS | $0 | – | -3,642 | -100.0% | -0.02% | – |
| AMP | Exit | AMERIPRISE FINL INC COM | $0 | – | -1,811 | -100.0% | -0.02% | – |
| STRZA | Exit | STARZ COM SER A | $0 | – | -5,104 | -100.0% | -0.02% | – |
| JPM | Exit | JPMORGAN CHASE & CO | $0 | – | -3,496 | -100.0% | -0.02% | – |
| AGD | Exit | ALPINE GLOBAL DYNAMICDIVIDENDcef | $0 | – | -23,978 | -100.0% | -0.02% | – |
| CEV | Exit | EATON VANCE CAL MUNI INCOMEcef | $0 | – | -19,051 | -100.0% | -0.02% | – |
| GEQ | Exit | GUGGENHEIM EQL WGT EHNDEQTY INcef | $0 | – | -13,515 | -100.0% | -0.02% | – |
| HIX | Exit | SALOMON BROS HIGH INCOME FDcef | $0 | – | -33,522 | -100.0% | -0.02% | – |
| BBF | Exit | BLACKROCK MUNICIPAL INCOMEINVEcef | $0 | – | -17,985 | -100.0% | -0.02% | – |
| BLE | Exit | BLACKROCK MUN INCOME TRIIcef | $0 | – | -17,895 | -100.0% | -0.02% | – |
| STARPRE | Exit | ISTAR FINL INC 7.875008%12/31/pfd | $0 | – | -10,539 | -100.0% | -0.02% | – |
| VPL | Exit | VANGUARD INTL EQUITY INDEXFDSetf | $0 | – | -4,211 | -100.0% | -0.02% | – |
| IWD | Exit | ISHARES TR RUS 1000 VAL ETFetf | $0 | – | -2,604 | -100.0% | -0.02% | – |
| PREPRECL | Exit | PARTNERRE PFDpfd | $0 | – | -10,577 | -100.0% | -0.02% | – |
| MVT | Exit | BLACKROCK MUNIVEST FDII INC COcef | $0 | – | -18,209 | -100.0% | -0.02% | – |
| BPOPN | Exit | POPULAR CAP TR I GTD MONTHLYINpfd | $0 | – | -13,895 | -100.0% | -0.02% | – |
| EPI | Exit | WisdomTree India Earnings Fundetf | $0 | – | -13,236 | -100.0% | -0.02% | – |
| EVT | Exit | EATON VANCE TAX ADVT DIVINCM Ccef | $0 | – | -15,803 | -100.0% | -0.02% | – |
| DMB | Exit | DREYFUS MUN BD INFRASTRUCTUREFcef | $0 | – | -28,349 | -100.0% | -0.02% | – |
| APF | Exit | MORGAN STANLEY ASIA PACFD INCcef | $0 | – | -21,113 | -100.0% | -0.02% | – |
| BFK | Exit | BLACKROCK MUN INCOME TRSH BENcef | $0 | – | -24,989 | -100.0% | -0.02% | – |
| Exit | GASTAR EXPLORATION 10.75%12/31pfd | $0 | – | -13,621 | -100.0% | -0.02% | – | |
| GDV | Exit | GABELLI DIVD &INCOME TRCOM ISIcef | $0 | – | -16,597 | -100.0% | -0.02% | – |
| EWW | Exit | ISHARES MSCI MEXICO CAPPEDINVEetf | $0 | – | -6,111 | -100.0% | -0.02% | – |
| JAH | Exit | JARDEN CORP | $0 | – | -7,198 | -100.0% | -0.02% | – |
| METR | Exit | METRO BANCORP INC PA COM STK | $0 | – | -13,933 | -100.0% | -0.02% | – |
| Exit | USO 10/16/15 P 18 | $0 | – | -4,940 | -100.0% | -0.02% | – | |
| Exit | Porter Bank Series Fpfd | $0 | – | -1,405 | -100.0% | -0.02% | – | |
| NBW | Exit | NEUBERGER BERMAN CA INTMUN FDcef | $0 | – | -24,564 | -100.0% | -0.02% | – |
| DKTCL | Exit | DEUTSCHE BK CONTINGNTCAP TR Vpfd | $0 | – | -13,663 | -100.0% | -0.02% | – |
| HTY | Exit | HANCOCK JOHN INVT TR TAXADVANTcef | $0 | – | -37,486 | -100.0% | -0.02% | – |
| JTP | Exit | NUVEEN QUALITY PFD INCOMEFDcef | $0 | – | -49,553 | -100.0% | -0.03% | – |
| FCO | Exit | ABERDEEN GLOBAL INCOMEFD INC Ccef | $0 | – | -45,960 | -100.0% | -0.03% | – |
| NVX | Exit | NUVEEN CALIF DIVID ADVANTAGEMUcef | $0 | – | -30,050 | -100.0% | -0.03% | – |
| BNJ | Exit | BLACKROCK N J MUN INCOMETR SHcef | $0 | – | -29,307 | -100.0% | -0.03% | – |
| Exit | S&W Co. Warrants Exp. 6/30/202wt | $0 | – | -169,999 | -100.0% | -0.03% | – | |
| NUW | Exit | NUVEEN AMT-FREE MUN VALUEFD COcef | $0 | – | -26,327 | -100.0% | -0.03% | – |
| Exit | RWE AG-NON VTG PREF | $0 | – | -27,107 | -100.0% | -0.03% | – | |
| DSL | Exit | DOUBLELINE INCOME SOLUTIONSFDcef | $0 | – | -23,570 | -100.0% | -0.03% | – |
| JCE | Exit | NUVEEN CORE EQUITY ALPHAFUND Ccef | $0 | – | -31,441 | -100.0% | -0.03% | – |
| DMF | Exit | DREYFUS MUN INCOME INCCOMcef | $0 | – | -57,149 | -100.0% | -0.03% | – |
| DHF | Exit | DREYFUS HIGH YIELD STRATEGIESScef | $0 | – | -155,674 | -100.0% | -0.03% | – |
| AKOA | Exit | EMBOTELLADORA ANDINA SASPON ADadr | $0 | – | -35,765 | -100.0% | -0.04% | – |
| RMT | Exit | ROYCE MICRO-CAP TR INCCOM ISINcef | $0 | – | -60,696 | -100.0% | -0.04% | – |
| NEV | Exit | NUVEEN ENHANCED MUN VALUEFD COcef | $0 | – | -40,339 | -100.0% | -0.04% | – |
| NATI | Exit | NATIONAL INSTRUMENTS CORP COM | $0 | – | -19,974 | -100.0% | -0.04% | – |
| MCA | Exit | BLACKROCK MUNIYIELD CALIFQUALIcef | $0 | – | -42,049 | -100.0% | -0.04% | – |
| ARMF | Exit | ARES MULTI STRATEGY CRFD INC Ccef | $0 | – | -33,243 | -100.0% | -0.04% | – |
| KIO | Exit | KKR INCOME OPPORTUNITIESFD COM | $0 | – | -42,127 | -100.0% | -0.04% | – |
| BHK | Exit | BLACKROCK CORE BD TR SHSBEN INcef | $0 | – | -53,458 | -100.0% | -0.04% | – |
| PCQ | Exit | PIMCO CALIF MUN INCOMEFDcef | $0 | – | -48,210 | -100.0% | -0.04% | – |
| BUI | Exit | BLACKROCK UTIL & INFRASTRCTUREcef | $0 | – | -37,782 | -100.0% | -0.04% | – |
| ETO | Exit | EATON VANCE TX ADV GLBDIV OP Ccef | $0 | – | -31,536 | -100.0% | -0.05% | – |
| EVM | Exit | EATON VANCE CALIF MUNICIPALBONcef | $0 | – | -64,874 | -100.0% | -0.05% | – |
| Exit | GREAT WEST LIFECO INC PFD ISINpfd | $0 | – | -28,016 | -100.0% | -0.05% | – | |
| DTKCL | Exit | DEUTSCHE BK CONTGNT CAPTR IIIpfd | $0 | – | -31,411 | -100.0% | -0.06% | – |
| NEEPRI | Exit | NEXTERA ENERGY CAP HLDGSINC SUpfd | $0 | – | -37,767 | -100.0% | -0.06% | – |
| CTR | Exit | CLEARBRIDGE ENERGY MLPTR FD COcef | $0 | – | -46,609 | -100.0% | -0.06% | – |
| NIO | Exit | NUVEEN MUN OPPORTUNITYFD INCcef | $0 | – | -64,287 | -100.0% | -0.06% | – |
| VLT | Exit | INVESCO HIGH INCOME TRUSTII COcef | $0 | – | -61,200 | -100.0% | -0.06% | – |
| ZTR | Exit | ZWEIG TOTAL RETURN FUNDINC COMcef | $0 | – | -70,685 | -100.0% | -0.06% | – |
| GOL | Exit | GOL LINHAS AEREAS IN F ADR 1 Aadr | $0 | – | -396,048 | -100.0% | -0.06% | – |
| NCOM | Exit | NATIONAL COMM CORP COM | $0 | – | -40,000 | -100.0% | -0.07% | – |
| KBE | Exit | SPDR SER TR S&PBK ETF | $0 | – | -28,394 | -100.0% | -0.07% | – |
| HYG | Exit | iShares iBoxx $ High Yield Corcef | $0 | – | -12,141 | -100.0% | -0.07% | – |
| SMM | Exit | SALIENT MIDSTREAM &MLPFD SH BEcef | $0 | – | -61,826 | -100.0% | -0.08% | – |
| CTXS | Exit | CITRIX SYS INC COM | $0 | – | -17,876 | -100.0% | -0.08% | – |
| XLU | Exit | SELECT SECTOR UTI SELECT SPDRetf | $0 | – | -32,130 | -100.0% | -0.09% | – |
| AXAS | Exit | ABRAXAS PETROLEUM CO | $0 | – | -478,155 | -100.0% | -0.09% | – |
| RRC | Exit | RANGE RES CORP COM | $0 | – | -29,224 | -100.0% | -0.09% | – |
| HBOS | Exit | HERITAGE FINANCIAL GROUP INC | $0 | – | -48,497 | -100.0% | -0.10% | – |
| EROC | Exit | Eagle Rock Energy Partners | $0 | – | -650,000 | -100.0% | -0.11% | – |
| KBH | Exit | KB HOME | $0 | – | -103,623 | -100.0% | -0.11% | – |
| EMO | Exit | CLEARBRIDGE ENERGY MLPOPPORTUNcef | $0 | – | -92,309 | -100.0% | -0.11% | – |
| BDSI | Exit | BIODELIVERY SCI INTL | $0 | – | -216,904 | -100.0% | -0.11% | – |
| SWHC | Exit | SMITH & WESSON HLDG | $0 | – | -108,799 | -100.0% | -0.12% | – |
| FPL | Exit | FST TR NEW OPPORT MLP&ENE FD Ccef | $0 | – | -117,162 | -100.0% | -0.12% | – |
| JPS | Exit | NUVEEN QUALITY PFD INCOMEFD 2cef | $0 | – | -229,083 | -100.0% | -0.13% | – |
| ISD | Exit | PRUDENTIAL SHT DURATIONHG YLDcef | $0 | – | -163,183 | -100.0% | -0.16% | – |
| KMF | Exit | KAYNE ANDERSON MIDSTREAMENERGYcef | $0 | – | -88,460 | -100.0% | -0.17% | – |
| FXI | Exit | ISHARES CHINA LARGE CAPETFetf | $0 | – | -60,340 | -100.0% | -0.18% | – |
| CSV | Exit | CARRIAGE SERVICES | $0 | – | -118,048 | -100.0% | -0.18% | – |
| GHY | Exit | PRUDENTIAL GLOBAL SHORT DURATIcef | $0 | – | -200,224 | -100.0% | -0.20% | – |
| Exit | SSAB AB - B SHARES | $0 | – | -769,609 | -100.0% | -0.22% | – | |
| JMF | Exit | NUVEEN ENERGY MLP TOTLRTRNFD Ccef | $0 | – | -215,417 | -100.0% | -0.23% | – |
| CCL | Exit | CARNIVAL CORP PAIRED CTF | $0 | – | -72,209 | -100.0% | -0.23% | – |
| IIM | Exit | INVESCO VALUE MUN INCOMETR COMcef | $0 | – | -256,538 | -100.0% | -0.24% | – |
| NTG | Exit | TORTOISE MLP FD INC COMcef | $0 | – | -189,425 | -100.0% | -0.26% | – |
| KYE | Exit | KAYNE ANDERSON ENERGYTOTAL RETcef | $0 | – | -222,667 | -100.0% | -0.31% | – |
| NWS | Exit | NEWS CORP NEW COM USD0.01CL B | $0 | – | -375,088 | -100.0% | -0.35% | – |
| VIA | Exit | VIACOM INC NEW CL A ISIN#US925 | $0 | – | -89,766 | -100.0% | -0.38% | – |
| Exit | BANK OF THE CAROLINAS CORPORAT | $0 | – | -44,935,688 | -100.0% | -0.40% | – | |
| 2206PS | Exit | PALMETTO BANCSHARES INC COM NE | $0 | – | -402,866 | -100.0% | -0.52% | – |
| Exit | PUT/WLT @ 2 E | $0 | – | -43,519 | -100.0% | -0.52% | – | |
| WRT | Exit | WINTHROP REALTY TRUST PFD USD1pfd | $0 | – | -363,780 | -100.0% | -0.60% | – |
| PLL | Exit | PALL CORP COM | $0 | – | -113,207 | -100.0% | -0.92% | – |
| GOOG | Exit | GOOGLE INC CL C | $0 | – | -36,290 | -100.0% | -1.23% | – |
Other managers
Other managers that, in addition to the filing manager(s), that filed the EDGAR filing(s):
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2015-11-12
Signatures
The EDGAR filing(s) were signed by:
Top long-term holdings
| Name | Quarters owned | Latest quarter owned | Max weighting |
|---|---|---|---|
| DANAHER CORPORATION | 42 | Q3 2023 | 2.3% |
| VISA INC CL A SHRS | 42 | Q3 2023 | 2.3% |
| COOPER COS INC NEW | 42 | Q3 2023 | 1.7% |
| APPLE INC COM | 42 | Q3 2023 | 2.2% |
| TJX COS INC NEW COM | 42 | Q3 2023 | 1.7% |
| NORDSON CORP COM | 42 | Q3 2023 | 1.5% |
| SPDR S&P 500 ETF TRUST | 42 | Q3 2023 | 2.0% |
| BECTON DICKINSON&CO | 42 | Q3 2023 | 1.0% |
| LOWES COS INC | 42 | Q3 2023 | 1.0% |
| CME GROUP INC CLASS A | 42 | Q3 2023 | 1.0% |
View RMB Capital Management, LLC's complete holdings history.
Latest significant ownerships (13-D/G)
| Filed | Shares | Percentage | |
|---|---|---|---|
| Bank7 Corp.Sold out | February 12, 2021 | 0 | 0.0% |
| BayCom CorpSold out | February 12, 2021 | 0 | 0.0% |
| Business First Bancshares, Inc. | February 12, 2021 | 134,916 | 1.0% |
| EQUITY BANCSHARES INC | February 12, 2021 | 500,000 | 3.4% |
| Esquire Financial Holdings, Inc.Sold out | February 12, 2021 | 0 | 0.0% |
| FB Financial Corp | February 12, 2021 | 281,345 | 0.6% |
| FIRST BANCSHARES INC /MS/ | February 12, 2021 | 350,000 | 2.0% |
| First Western Financial Inc | February 12, 2021 | 50,000 | 0.6% |
| Howard Bancorp Inc | February 12, 2021 | 518,448 | 2.8% |
| Live Oak Bancshares, Inc. | February 12, 2021 | 376,500 | 1.1% |
View RMB Capital Management, LLC's complete significant-ownership history.
Latest filings
| Type | Filed |
|---|---|
| 13F-HR | 2024-02-14 |
| 13F-HR | 2023-11-13 |
| 13F-HR | 2023-08-11 |
| 13F-HR | 2023-05-11 |
| 13F-HR | 2023-02-14 |
| 13F-HR | 2022-11-14 |
| 13F-HR/A | 2022-08-16 |
| 13F-HR | 2022-08-01 |
| 13F-HR | 2022-05-06 |
| 13F-HR | 2022-01-26 |
View RMB Capital Management, LLC's complete filings history.
All filings
- Holdings (13F-HR)
- Significant ownership (13-D/G)
- Insider transactions (4, 5, 6)
- Events (8-K)
- Shareholder votes (proxy)
View complete filings history.