$1.84 Billion is the total value of RMB Capital Management, LLC's 520 reported holdings in Q3 2016. The portfolio turnover from Q2 2016 to Q3 2016 was 54.9% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| SPY | Sell | SPDR S&P 500 ETF TRput | $143,191,000 | -15.0% | 662,000 | -17.7% | 7.78% | -11.6% |
| IWM | Sell | ISHARES TRput | $39,251,000 | -59.5% | 316,000 | -62.5% | 2.13% | -57.8% |
| COO | Sell | COOPER COS INC | $24,379,000 | +0.7% | 135,996 | -3.6% | 1.32% | +4.7% |
| PCLN | Sell | PRICELINE GRP INC | $24,361,000 | +14.5% | 16,555 | -2.9% | 1.32% | +19.1% |
| JOF | Sell | JAPAN SMALLER CAPTLZTN FD IN | $23,991,000 | +2.9% | 2,274,020 | -4.6% | 1.30% | +7.1% |
| V | Buy | VISA INC | $23,764,000 | +31.6% | 287,352 | +18.0% | 1.29% | +36.9% |
| CWST | Sell | CASELLA WASTE SYS INCcl a | $23,457,000 | -8.7% | 2,277,392 | -30.4% | 1.28% | -5.0% |
| GWR | Buy | GENESEE & WYO INCcl a | $23,354,000 | +17.1% | 338,711 | +0.1% | 1.27% | +21.8% |
| ALGN | Sell | ALIGN TECHNOLOGY INC | $22,312,000 | +9.5% | 237,992 | -5.9% | 1.21% | +13.9% |
| INFO | New | IHS MARKIT LTD | $21,485,000 | – | 572,176 | +100.0% | 1.17% | – |
| GOOGL | Buy | ALPHABET INCcap stk cl a | $21,228,000 | +35.1% | 26,402 | +18.2% | 1.15% | +40.6% |
| URI | Sell | UNITED RENTALS INC | $20,645,000 | +1.5% | 263,025 | -13.2% | 1.12% | +5.6% |
| GOOG | Buy | ALPHABET INCcap stk cl c | $20,626,000 | +33.0% | 26,536 | +18.4% | 1.12% | +38.2% |
| DISCK | Buy | DISCOVERY COMMUNICATNS NEW | $20,597,000 | +17.9% | 782,855 | +6.9% | 1.12% | +22.7% |
| ADS | Buy | ALLIANCE DATA SYSTEMS CORP | $18,473,000 | +120.5% | 86,110 | +101.4% | 1.00% | +129.2% |
| AAPL | Buy | APPLE INC | $18,461,000 | +45.7% | 163,297 | +23.2% | 1.00% | +51.5% |
| XLF | Sell | SELECT SECTOR SPDR TRput | $18,296,000 | -62.0% | 948,000 | -55.0% | 0.99% | -60.5% |
| EOG | Sell | EOG RES INC | $18,166,000 | +10.8% | 187,836 | -4.5% | 0.99% | +15.2% |
| DHR | Sell | DANAHER CORP DEL | $17,634,000 | -23.4% | 224,951 | -1.3% | 0.96% | -20.3% |
| CTSH | Buy | COGNIZANT TECHNOLOGY SOLUTIOcl a | $17,178,000 | -7.5% | 360,041 | +11.0% | 0.93% | -3.7% |
| NVR | Sell | NVR INC | $17,020,000 | -9.9% | 10,379 | -2.1% | 0.92% | -6.3% |
| DXJ | Buy | WISDOMTREE TRjapn hedge eqt | $16,853,000 | +12.9% | 392,749 | +2.1% | 0.92% | +17.4% |
| CVS | Buy | CVS HEALTH CORP | $16,416,000 | +52.7% | 184,468 | +64.3% | 0.89% | +58.7% |
| TJX | Sell | TJX COS INC NEW | $16,386,000 | -5.5% | 219,123 | -2.4% | 0.89% | -1.7% |
| AAP | Sell | ADVANCE AUTO PARTS INC | $16,290,000 | -9.8% | 109,244 | -2.2% | 0.88% | -6.2% |
| SERV | Buy | SERVICEMASTER GLOBAL HLDGS I | $15,956,000 | -5.9% | 473,766 | +11.2% | 0.87% | -2.1% |
| BDX | Buy | BECTON DICKINSON & CO | $15,711,000 | +26.2% | 87,413 | +19.1% | 0.85% | +31.4% |
| NEO | Sell | NEOGENOMICS INC | $15,609,000 | -5.4% | 1,898,916 | -7.5% | 0.85% | -1.6% |
| NDSN | Sell | NORDSON CORP | $15,377,000 | -5.4% | 154,343 | -20.6% | 0.84% | -1.5% |
| BNCN | Sell | BNC BANCORP | $14,541,000 | -10.5% | 597,913 | -16.4% | 0.79% | -6.9% |
| SLB | Buy | SCHLUMBERGER LTD | $14,433,000 | +13.7% | 183,540 | +14.3% | 0.78% | +18.4% |
| CLB | Sell | CORE LABORATORIES N V | $14,426,000 | -11.1% | 128,428 | -1.9% | 0.78% | -7.4% |
| PNC | New | PNC FINL SVCS GROUP INCput | $14,234,000 | – | 158,000 | +100.0% | 0.77% | – |
| AMT | Sell | AMERICAN TOWER CORP NEW | $14,086,000 | -4.4% | 124,296 | -4.2% | 0.77% | -0.5% |
| MIDD | Sell | MIDDLEBY CORP | $13,985,000 | +3.4% | 113,131 | -3.6% | 0.76% | +7.5% |
| FRC | Sell | FIRST REP BK SAN FRANCISCO C | $13,773,000 | +7.0% | 178,610 | -2.8% | 0.75% | +11.5% |
| MCHP | Sell | MICROCHIP TECHNOLOGY INC | $13,538,000 | +17.9% | 217,858 | -3.7% | 0.74% | +22.7% |
| XBKS | New | XENITH BANKSHARES INC NEW | $13,362,000 | – | 5,784,341 | +100.0% | 0.73% | – |
| UNP | Sell | UNION PAC CORP | $13,187,000 | +9.9% | 135,216 | -1.7% | 0.72% | +14.4% |
| MS | Buy | MORGAN STANLEY | $13,138,000 | +51.7% | 409,799 | +23.0% | 0.71% | +58.0% |
| CME | Sell | CME GROUP INC | $13,031,000 | +4.4% | 124,677 | -2.7% | 0.71% | +8.6% |
| ACN | Buy | ACCENTURE PLC IRELAND | $12,783,000 | +27.2% | 104,637 | +17.9% | 0.70% | +32.4% |
| ACBI | Buy | ATLANTIC CAP BANCSHARES INC | $12,614,000 | +21.9% | 842,084 | +17.6% | 0.69% | +26.8% |
| WST | Sell | WEST PHARMACEUTICAL SVSC INC | $12,282,000 | -4.2% | 164,858 | -2.5% | 0.67% | -0.3% |
| UNF | Sell | UNIFIRST CORP MASS | $12,020,000 | +2.7% | 91,160 | -9.9% | 0.65% | +6.7% |
| LBYYQ | Buy | LIBBEY INC | $11,782,000 | +12.4% | 660,052 | +0.0% | 0.64% | +16.8% |
| AMGN | Buy | AMGEN INC | $11,760,000 | +49.8% | 70,499 | +36.6% | 0.64% | +55.9% |
| CVX | Buy | CHEVRON CORP NEW | $11,476,000 | +15.5% | 111,504 | +17.6% | 0.62% | +20.2% |
| LOW | Sell | LOWES COS INC | $11,368,000 | -10.7% | 157,436 | -2.1% | 0.62% | -7.1% |
| CMA | Buy | COMERICA INCput | $11,214,000 | +258.7% | 237,000 | +211.8% | 0.61% | +274.2% |
| ALL | Buy | ALLSTATE CORPput | $10,930,000 | +105.6% | 158,000 | +107.9% | 0.59% | +113.7% |
| PSTB | Sell | PARK STERLING CORP | $10,874,000 | +10.5% | 1,339,207 | -3.5% | 0.59% | +15.0% |
| MMC | Sell | MARSH & MCLENNAN COS INC | $10,627,000 | -4.5% | 158,034 | -2.8% | 0.58% | -0.7% |
| TBK | New | TRIUMPH BANCORP INC | $10,527,000 | – | 530,572 | +100.0% | 0.57% | – |
| JPM | Sell | JPMORGAN CHASE & COput | $10,522,000 | -62.9% | 158,000 | -65.4% | 0.57% | -61.4% |
| WSO | Sell | WATSCO INC | $10,230,000 | -2.1% | 72,608 | -2.2% | 0.56% | +1.8% |
| USB | Sell | US BANCORP DELput | $10,164,000 | -17.1% | 237,000 | -22.0% | 0.55% | -13.9% |
| AXP | Sell | AMERICAN EXPRESS COput | $10,118,000 | -27.0% | 158,000 | -30.7% | 0.55% | -24.0% |
| ITW | Sell | ILLINOIS TOOL WKS INC | $9,502,000 | +12.4% | 79,292 | -2.3% | 0.52% | +16.7% |
| LION | Buy | FIDELITY SOUTHERN CORP NEW | $9,501,000 | +67.2% | 516,655 | +42.4% | 0.52% | +73.7% |
| BK | Sell | BANK NEW YORK MELLON CORPput | $9,453,000 | -54.3% | 237,000 | -55.5% | 0.51% | -52.4% |
| GNMK | Sell | GENMARK DIAGNOSTICS INC | $9,462,000 | -6.3% | 801,865 | -30.9% | 0.51% | -2.7% |
| AZPN | New | ASPEN TECHNOLOGY INC | $9,461,000 | – | 202,191 | +100.0% | 0.51% | – |
| BMY | Buy | BRISTOL MYERS SQUIBB CO | $9,428,000 | +0.5% | 174,848 | +37.1% | 0.51% | +4.5% |
| USB | Sell | US BANCORP DEL | $9,396,000 | +4.9% | 219,070 | -1.3% | 0.51% | +9.2% |
| AMZN | Buy | AMAZON COM INC | $8,723,000 | +2887.3% | 10,418 | +2453.4% | 0.47% | +3060.0% |
| KS | KAPSTONE PAPER & PACKAGING C | $8,575,000 | +45.4% | 453,237 | 0.0% | 0.47% | +51.3% | |
| M | Sell | MACYS INC | $8,543,000 | -10.5% | 230,587 | -18.8% | 0.46% | -7.0% |
| SFST | Sell | SOUTHERN FIRST BANCSHARES IN | $8,348,000 | +9.6% | 302,675 | -4.3% | 0.45% | +14.1% |
| AMTD | Buy | TD AMERITRADE HLDG CORPput | $8,352,000 | +286.0% | 237,000 | +211.8% | 0.45% | +301.8% |
| DEO | Sell | DIAGEO P L Cspon adr new | $8,258,000 | +2.7% | 71,159 | -0.1% | 0.45% | +6.9% |
| FBK | New | FB FINL CORP | $8,263,000 | – | 409,460 | +100.0% | 0.45% | – |
| ABCB | Sell | AMERIS BANCORP | $7,774,000 | +11.9% | 222,434 | -4.9% | 0.42% | +16.5% |
| OCFC | Buy | OCEANFIRST FINL CORP | $7,634,000 | +151.7% | 396,344 | +137.4% | 0.42% | +162.7% |
| COWN | Sell | COWEN GROUP INC NEWcl a | $7,603,000 | +21.6% | 2,094,366 | -0.8% | 0.41% | +26.3% |
| RPM | Sell | RPM INTL INC | $7,541,000 | +6.9% | 140,383 | -0.6% | 0.41% | +11.1% |
| BBT | Sell | BB&T CORPput | $7,450,000 | -54.1% | 197,500 | -56.7% | 0.40% | -52.2% |
| BRKB | Buy | BERKSHIRE HATHAWAY INC DELcl b new | $7,412,000 | +83.3% | 51,308 | +83.7% | 0.40% | +91.0% |
| RBA | New | RITCHIE BROS AUCTIONEERS | $7,360,000 | – | 209,858 | +100.0% | 0.40% | – |
| ZION | Sell | ZIONS BANCORPORATIONput | $7,353,000 | -3.8% | 237,000 | -22.0% | 0.40% | +0.3% |
| RDSA | New | ROYAL DUTCH SHELL PLCspons adr a | $7,170,000 | – | 143,180 | +100.0% | 0.39% | – |
| EQBK | Buy | EQUITY BANCSHARES INC | $7,147,000 | +20.7% | 275,503 | +3.0% | 0.39% | +25.6% |
| CAH | New | CARDINAL HEALTH INC | $7,078,000 | – | 91,095 | +100.0% | 0.38% | – |
| BREW | Sell | CRAFT BREW ALLIANCE INC | $7,090,000 | +47.8% | 376,523 | -9.6% | 0.38% | +53.4% |
| SANW | Buy | S&W SEED CO | $7,026,000 | +23.4% | 1,377,596 | +5.5% | 0.38% | +28.6% |
| RIO | Sell | RIO TINTO PLCsponsored adr | $6,774,000 | -2.9% | 202,814 | -9.0% | 0.37% | +0.8% |
| ORRF | Sell | ORRSTOWN FINL SVCS INC | $6,729,000 | -0.9% | 340,704 | -9.4% | 0.37% | +3.1% |
| LBRDA | Buy | LIBERTY BROADBAND CORP | $6,693,000 | +882.8% | 95,396 | +732.4% | 0.36% | +911.1% |
| KRE | Sell | SPDR SERIES TRUSTput | $6,678,000 | -88.0% | 158,000 | -89.1% | 0.36% | -87.5% |
| ASBB | Sell | ASB BANCORP INC N C | $6,273,000 | -7.7% | 238,970 | -13.7% | 0.34% | -3.9% |
| SONA | Sell | SOUTHERN NATL BANCORP OF VA | $6,217,000 | -1.0% | 476,365 | -7.8% | 0.34% | +3.0% |
| XLF | New | SELECT SECTOR SPDR TRcall | $6,099,000 | – | 316,000 | +100.0% | 0.33% | – |
| EVBN | Sell | EVANS BANCORP INC | $6,001,000 | +1.7% | 219,400 | -8.4% | 0.33% | +5.8% |
| CMCO | COLUMBUS MCKINNON CORP N Y | $5,968,000 | +26.1% | 334,519 | 0.0% | 0.32% | +31.2% | |
| CFCB | CENTRUE FINL CORP NEW | $5,897,000 | +8.0% | 313,654 | 0.0% | 0.32% | +12.6% | |
| OLBK | Sell | OLD LINE BANCSHARES INC | $5,662,000 | +4.9% | 286,976 | -4.3% | 0.31% | +9.2% |
| COF | New | CAPITAL ONE FINL CORPput | $5,675,000 | – | 79,000 | +100.0% | 0.31% | – |
| HTBI | HOMETRUST BANCSHARES INC | $5,585,000 | 0.0% | 301,904 | 0.0% | 0.30% | +4.1% | |
| CNOB | CONNECTONE BANCORP INC NEW | $5,590,000 | +15.1% | 309,513 | 0.0% | 0.30% | +19.7% | |
| DOOR | Buy | MASONITE INTL CORP NEW | $5,526,000 | -5.7% | 88,891 | +0.3% | 0.30% | -2.0% |
| SEAS | Buy | SEAWORLD ENTMT INC | $5,500,000 | +11.1% | 407,987 | +18.1% | 0.30% | +15.4% |
| KN | Sell | KNOWLES CORP | $5,454,000 | -25.3% | 388,193 | -27.3% | 0.30% | -22.5% |
| HEOP | Sell | HERITAGE OAKS BANCORP | $5,404,000 | -8.6% | 659,027 | -11.5% | 0.29% | -4.9% |
| YDKN | Sell | YADKIN FINL CORP | $5,381,000 | -72.0% | 204,680 | -73.3% | 0.29% | -70.9% |
| MOS | MOSAIC CO NEW | $5,332,000 | -6.6% | 218,000 | 0.0% | 0.29% | -2.7% | |
| XL | New | XL GROUP LTDput | $5,314,000 | – | 158,000 | +100.0% | 0.29% | – |
| KBE | Sell | SPDR SERIES TRUSTput | $5,274,000 | -54.5% | 158,000 | -58.4% | 0.29% | -52.6% |
| ACFC | ATLANTIC COAST FINL CORP | $5,226,000 | +5.9% | 825,547 | 0.0% | 0.28% | +10.1% | |
| OPB | Buy | OPUS BK IRVINE CALIF | $5,200,000 | +246.2% | 147,010 | +230.9% | 0.28% | +262.8% |
| IFN | Buy | INDIA FD INC | $5,084,000 | +432.4% | 204,508 | +420.5% | 0.28% | +452.0% |
| SGBK | STONEGATE BK FT LAUDERDALE F | $5,056,000 | +4.6% | 149,804 | 0.0% | 0.28% | +8.7% | |
| SCHW | Sell | SCHWAB CHARLES CORP NEWput | $4,988,000 | -13.6% | 158,000 | -30.7% | 0.27% | -10.3% |
| ICAD | ICAD INC | $4,862,000 | -0.4% | 935,037 | 0.0% | 0.26% | +3.5% | |
| HZN | Sell | HORIZON GLOBAL CORP | $4,797,000 | +33.1% | 240,668 | -24.2% | 0.26% | +38.8% |
| SPY | Buy | SPDR S&P 500 ETF TRtr unit | $4,743,000 | +44.7% | 21,930 | +40.2% | 0.26% | +50.9% |
| AIG | New | AMERICAN INTL GROUP INCput | $4,688,000 | – | 79,000 | +100.0% | 0.26% | – |
| FFWM | Buy | FIRST FNDTN INC | $4,611,000 | +39.5% | 186,915 | +21.6% | 0.25% | +45.1% |
| RCL | Buy | ROYAL CARIBBEAN CRUISES LTD | $4,377,000 | +12.1% | 58,400 | +0.5% | 0.24% | +16.7% |
| EBS | Buy | EMERGENT BIOSOLUTIONS INC | $4,241,000 | +40.2% | 134,506 | +25.0% | 0.23% | +46.2% |
| CSTM | Sell | CONSTELLIUM NVcl a | $4,114,000 | +50.7% | 571,340 | -1.8% | 0.22% | +56.6% |
| CBPX | Sell | CONTINENTAL BLDG PRODS INC | $4,103,000 | -10.1% | 195,493 | -4.8% | 0.22% | -6.7% |
| IIM | Buy | INVESCO VALUE MUN INCOME TR | $4,097,000 | +133.3% | 250,255 | +153.0% | 0.22% | +142.4% |
| FARM | Sell | FARMER BROS CO | $4,071,000 | -34.8% | 114,513 | -41.2% | 0.22% | -32.2% |
| SLCT | Buy | SELECT BANCORP INC NEW | $4,018,000 | +4.2% | 502,230 | +5.2% | 0.22% | +7.9% |
| UA | Sell | UNDER ARMOUR INCcl c | $4,010,000 | -47.1% | 118,439 | -43.1% | 0.22% | -44.9% |
| EXPE | Sell | EXPEDIA INC DEL | $3,876,000 | +6.1% | 33,208 | -3.4% | 0.21% | +10.5% |
| SNBC | Buy | SUN BANCORP INC | $3,890,000 | +61.9% | 168,684 | +45.1% | 0.21% | +67.5% |
| ZG | Buy | ZILLOW GROUP INCcl a | $3,820,000 | +45.6% | 110,892 | +54.9% | 0.21% | +51.8% |
| CCOI | New | COGENT COMMUNICATIONS HLDGS | $3,769,000 | – | 102,392 | +100.0% | 0.20% | – |
| WMB | New | WILLIAMS COS INC DEL | $3,688,000 | – | 120,000 | +100.0% | 0.20% | – |
| HRB | New | BLOCK H & R INCput | $3,658,000 | – | 158,000 | +100.0% | 0.20% | – |
| AIRM | Buy | AIR METHODS CORP | $3,641,000 | -4.0% | 115,628 | +9.3% | 0.20% | 0.0% |
| HD | Buy | HOME DEPOT INC | $3,619,000 | +807.0% | 28,123 | +800.5% | 0.20% | +838.1% |
| COST | New | COSTCO WHSL CORP NEW | $3,622,000 | – | 23,748 | +100.0% | 0.20% | – |
| MXL | Sell | MAXLINEAR INCcl a | $3,601,000 | -9.3% | 177,643 | -19.6% | 0.20% | -5.8% |
| BFB | Buy | BROWN FORMAN CORPcl b | $3,613,000 | -42.4% | 76,167 | +21.1% | 0.20% | -40.2% |
| HOMB | New | HOME BANCSHARES INC | $3,590,000 | – | 172,500 | +100.0% | 0.20% | – |
| GLO | Buy | CLOUGH GLOBAL OPPORTUNITIESsh ben int | $3,556,000 | +619.8% | 367,696 | +594.1% | 0.19% | +642.3% |
| KMI | Sell | KINDER MORGAN INC DEL | $3,536,000 | +15.4% | 152,860 | -6.6% | 0.19% | +20.0% |
| WFC | Sell | WELLS FARGO & CO NEWput | $3,498,000 | -75.7% | 79,000 | -74.0% | 0.19% | -74.7% |
| TRUP | Buy | TRUPANION INC | $3,503,000 | +113.3% | 207,279 | +67.2% | 0.19% | +120.9% |
| BWFG | BANKWELL FINL GROUP INC | $3,458,000 | +7.4% | 145,950 | 0.0% | 0.19% | +11.9% | |
| FLL | FULL HOUSE RESORTS INC | $3,379,000 | -11.4% | 1,887,619 | 0.0% | 0.18% | -7.5% | |
| HIG | New | HARTFORD FINL SVCS GROUP INCput | $3,383,000 | – | 79,000 | +100.0% | 0.18% | – |
| ADX | Sell | ADAMS DIVERSIFIED EQUITY FD | $3,326,000 | -15.5% | 252,963 | -18.5% | 0.18% | -12.1% |
| PYPL | Sell | PAYPAL HLDGS INC | $3,271,000 | +9.5% | 79,838 | -2.4% | 0.18% | +14.1% |
| HDSN | Sell | HUDSON TECHNOLOGIES INC | $3,256,000 | +16.8% | 489,690 | -36.7% | 0.18% | +21.2% |
| FBMS | FIRST BANCSHARES INC MS | $3,227,000 | +10.6% | 168,950 | 0.0% | 0.18% | +15.1% | |
| FB | Buy | FACEBOOK INCcl a | $3,219,000 | +451.2% | 25,095 | +390.9% | 0.18% | +464.5% |
| PBNC | Buy | PARAGON COML CORP | $3,063,000 | +56.6% | 84,416 | +51.0% | 0.17% | +62.7% |
| RL | Buy | RALPH LAUREN CORPcl a | $3,034,000 | +125.7% | 30,000 | +100.0% | 0.16% | +135.7% |
| CARO | CAROLINA FINL CORP NEW | $3,035,000 | +19.6% | 135,865 | 0.0% | 0.16% | +24.1% | |
| WFBI | Buy | WASHINGTONFIRST BANKSHARES I | $3,020,000 | +18.4% | 122,703 | +4.0% | 0.16% | +23.3% |
| TFI | Sell | SPDR SER TRnuvn brcly muni | $3,016,000 | -24.9% | 60,231 | -24.1% | 0.16% | -21.9% |
| UTG | New | REAVES UTIL INCOME FD | $2,993,000 | – | 97,940 | +100.0% | 0.16% | – |
| COTY | New | COTY INC | $2,983,000 | – | 126,919 | +100.0% | 0.16% | – |
| FCCO | Sell | FIRST CMNTY CORP S C | $2,948,000 | +3.9% | 187,164 | -7.7% | 0.16% | +8.1% |
| JPM | Buy | JPMORGAN CHASE & CO | $2,931,000 | +962.0% | 44,016 | +888.5% | 0.16% | +1035.7% |
| EW | New | EDWARDS LIFESCIENCES CORP | $2,893,000 | – | 24,000 | +100.0% | 0.16% | – |
| SBCF | SEACOAST BKG CORP FLA | $2,870,000 | -0.9% | 178,348 | 0.0% | 0.16% | +3.3% | |
| BEN | New | FRANKLIN RES INCput | $2,810,000 | – | 79,000 | +100.0% | 0.15% | – |
| UBNK | Buy | UNITED FINL BANCORP INC NEW | $2,763,000 | +1409.8% | 199,673 | +1312.8% | 0.15% | +1400.0% |
| WFC | Buy | WELLS FARGO & CO NEW | $2,754,000 | +407.2% | 62,197 | +441.9% | 0.15% | +435.7% |
| VZ | New | VERIZON COMMUNICATIONS INC | $2,736,000 | – | 52,642 | +100.0% | 0.15% | – |
| STT | Sell | STATE STR CORPput | $2,750,000 | -32.9% | 39,500 | -48.0% | 0.15% | -30.4% |
| PGTI | Sell | PGT INC | $2,724,000 | -22.8% | 255,289 | -25.5% | 0.15% | -19.6% |
| DOW | Sell | DOW CHEM CO | $2,688,000 | +0.5% | 51,855 | -3.6% | 0.15% | +4.3% |
| FISI | FINANCIAL INSTNS INC | $2,687,000 | +4.0% | 99,124 | 0.0% | 0.15% | +8.1% | |
| GAM | Buy | GENERAL AMERN INVS INC | $2,666,000 | +354.2% | 81,648 | +329.0% | 0.14% | +367.7% |
| NDAQ | Sell | NASDAQ INCput | $2,668,000 | -45.7% | 39,500 | -48.0% | 0.14% | -43.6% |
| DXLG | Sell | DESTINATION XL GROUP INC | $2,655,000 | -9.0% | 613,192 | -3.9% | 0.14% | -5.3% |
| SBUX | Buy | STARBUCKS CORP | $2,651,000 | +405.9% | 48,974 | +433.8% | 0.14% | +433.3% |
| TROW | New | PRICE T ROWE GROUP INCput | $2,627,000 | – | 39,500 | +100.0% | 0.14% | – |
| CSTE | Sell | CAESARSTONE LTD | $2,586,000 | -6.8% | 68,574 | -14.1% | 0.14% | -2.8% |
| HON | Buy | HONEYWELL INTL INC | $2,599,000 | +848.5% | 22,290 | +845.7% | 0.14% | +907.1% |
| LE | Sell | LANDS END INC NEW | $2,574,000 | -22.6% | 177,528 | -12.4% | 0.14% | -19.5% |
| STBZ | Buy | STATE BK FINL CORP | $2,500,000 | +13.6% | 109,571 | +1.4% | 0.14% | +18.3% |
| UNH | Buy | UNITEDHEALTH GROUP INC | $2,485,000 | +521.2% | 17,754 | +526.7% | 0.14% | +542.9% |
| FBNC | FIRST BANCORP N C | $2,359,000 | +12.5% | 119,213 | 0.0% | 0.13% | +16.4% | |
| FHI | New | FEDERATED INVS INC PAput | $2,341,000 | – | 79,000 | +100.0% | 0.13% | – |
| EFA | Buy | ISHARES TRmsci eafe etf | $2,288,000 | +50.7% | 38,692 | +42.3% | 0.12% | +57.0% |
| CMG | Sell | CHIPOTLE MEXICAN GRILL INC | $2,270,000 | +0.1% | 5,359 | -4.8% | 0.12% | +3.4% |
| TFSL | Sell | TFS FINL CORP | $2,245,000 | -13.7% | 126,050 | -16.6% | 0.12% | -10.3% |
| EMF | New | TEMPLETON EMERGING MKTS FD I | $2,224,000 | – | 176,104 | +100.0% | 0.12% | – |
| REGN | New | REGENERON PHARMACEUTICALS | $2,218,000 | – | 5,518 | +100.0% | 0.12% | – |
| BGY | Buy | BLACKROCK INTL GRWTH & INC T | $2,202,000 | +2723.1% | 371,343 | +2652.1% | 0.12% | +2900.0% |
| CUK | Buy | CARNIVAL PLCadr | $2,173,000 | +70.3% | 44,285 | +55.6% | 0.12% | +76.1% |
| UNTY | Buy | UNITY BANCORP INC | $2,139,000 | +10.9% | 166,875 | +10.0% | 0.12% | +14.9% |
| PSGLQ | Sell | PERFORMANCE SPORTS GROUP LTD | $2,091,000 | -8.9% | 515,000 | -32.7% | 0.11% | -5.0% |
| LABL | Sell | MULTI COLOR CORP | $2,095,000 | +3.4% | 31,740 | -0.7% | 0.11% | +7.5% |
| PFMT | Buy | PERFORMANT FINL CORP | $2,105,000 | +97.8% | 713,639 | +8.6% | 0.11% | +103.6% |
| NOC | New | NORTHROP GRUMMAN CORP | $2,076,000 | – | 9,702 | +100.0% | 0.11% | – |
| XRAY | Sell | DENTSPLY SIRONA INC | $2,049,000 | -6.8% | 34,485 | -2.7% | 0.11% | -3.5% |
| VIAB | Buy | VIACOM INC NEWcl b | $2,029,000 | +116.5% | 53,277 | +135.7% | 0.11% | +124.5% |
| SAMG | SILVERCREST ASSET MGMT GROUPcl a | $2,012,000 | -3.0% | 169,504 | 0.0% | 0.11% | +0.9% | |
| AVD | AMERICAN VANGUARD CORP | $1,927,000 | +6.3% | 120,000 | 0.0% | 0.10% | +10.5% | |
| HEIA | Sell | HEICO CORP NEWcl a | $1,880,000 | +11.2% | 31,077 | -1.4% | 0.10% | +15.9% |
| PTY | Sell | PIMCO CORPORATE & INCOME OPP | $1,858,000 | -31.3% | 127,165 | -33.7% | 0.10% | -28.4% |
| CMCSA | Buy | COMCAST CORP NEWcl a | $1,814,000 | +268.7% | 27,344 | +262.4% | 0.10% | +280.8% |
| CWB | Buy | SPDR SERIES TRUSTbrc cnv secs etf | $1,749,000 | +448.3% | 37,728 | +418.0% | 0.10% | +458.8% |
| HTBK | HERITAGE COMMERCE CORP | $1,733,000 | +3.9% | 158,448 | 0.0% | 0.09% | +8.0% | |
| VEA | VANGUARD TAX MANAGED INTL FDftse dev mkt etf | $1,665,000 | +5.8% | 44,497 | 0.0% | 0.09% | +11.0% | |
| CGNX | Sell | COGNEX CORP | $1,683,000 | +20.6% | 31,840 | -1.7% | 0.09% | +24.7% |
| PEP | Buy | PEPSICO INC | $1,659,000 | +229.2% | 15,259 | +221.0% | 0.09% | +246.2% |
| EOI | New | EATON VANCE ENHANCED EQ INC | $1,644,000 | – | 129,923 | +100.0% | 0.09% | – |
| NHLD | Sell | NATIONAL HOLDINGS CORP | $1,604,000 | -14.3% | 495,087 | -20.6% | 0.09% | -11.2% |
| NAD | New | NUVEEN QUALITY MUNCP INCOME | $1,579,000 | – | 104,762 | +100.0% | 0.09% | – |
| IVW | ISHARES TRs&p 500 grwt etf | $1,574,000 | +4.4% | 12,938 | 0.0% | 0.09% | +8.9% | |
| CVCO | New | CAVCO INDS INC DEL | $1,557,000 | – | 15,721 | +100.0% | 0.08% | – |
| AMG | AFFILIATED MANAGERS GROUP | $1,571,000 | +2.8% | 10,856 | 0.0% | 0.08% | +6.2% | |
| ASTE | Sell | ASTEC INDS INC | $1,552,000 | +5.6% | 25,925 | -1.0% | 0.08% | +9.1% |
| TY | Buy | TRI CONTL CORP | $1,516,000 | +163.2% | 70,909 | +152.7% | 0.08% | +173.3% |
| MSF | Buy | MORGAN STANLEY EMER MKTS FD | $1,476,000 | +135.4% | 101,425 | +114.5% | 0.08% | +142.4% |
| KF | Buy | KOREA FD | $1,435,000 | +182.5% | 39,869 | +153.7% | 0.08% | +188.9% |
| PBIB | PORTER BANCORP INC | $1,436,000 | +6.6% | 886,164 | 0.0% | 0.08% | +11.4% | |
| IDSY | Sell | I D SYSTEMS INC | $1,376,000 | -22.7% | 278,449 | -24.8% | 0.08% | -19.4% |
| SHBI | Sell | SHORE BANCSHARES INC | $1,375,000 | -15.2% | 116,750 | -15.4% | 0.08% | -11.8% |
| RLOGQ | RAND LOGISTICS INC | $1,373,000 | -26.2% | 1,806,091 | 0.0% | 0.08% | -22.7% | |
| AT | Buy | ATLANTIC PWR CORP | $1,358,000 | +9.5% | 550,000 | +10.0% | 0.07% | +13.8% |
| ABMD | Buy | ABIOMED INC | $1,317,000 | +18.1% | 10,240 | +0.4% | 0.07% | +24.1% |
| BDC | Sell | BELDEN INC | $1,288,000 | +7.3% | 18,674 | -6.0% | 0.07% | +11.1% |
| FSS | Buy | FEDERAL SIGNAL CORP | $1,263,000 | +3.9% | 95,279 | +0.9% | 0.07% | +7.8% |
| AET | New | AETNA INC NEW | $1,253,000 | – | 10,857 | +100.0% | 0.07% | – |
| FMNB | New | FARMERS NATL BANC CORP | $1,247,000 | – | 115,640 | +100.0% | 0.07% | – |
| VRSK | Sell | VERISK ANALYTICS INC | $1,258,000 | -0.1% | 15,478 | -0.3% | 0.07% | +3.0% |
| GE | Buy | GENERAL ELECTRIC CO | $1,224,000 | +348.4% | 41,309 | +375.7% | 0.07% | +378.6% |
| VKI | New | INVESCO ADVANTAGE MUNICIPALsh ben int | $1,193,000 | – | 97,032 | +100.0% | 0.06% | – |
| RNDB | New | RANDOLPH BANCORP INC | $1,192,000 | – | 87,425 | +100.0% | 0.06% | – |
| WLL | Buy | WHITING PETE CORP NEW | $1,197,000 | +17.0% | 136,950 | +23.9% | 0.06% | +22.6% |
| AEF | Buy | ABERDEEN CHILE FD INC | $1,161,000 | +151.3% | 185,208 | +150.3% | 0.06% | +162.5% |
| BECN | Sell | BEACON ROOFING SUPPLY INC | $1,166,000 | -15.8% | 27,725 | -8.9% | 0.06% | -12.5% |
| EOD | Buy | WELLS FARGO GLOBAL DIVIDENDwf global oppty | $1,142,000 | +356.8% | 196,584 | +369.2% | 0.06% | +376.9% |
| APF | New | MORGAN STANLEY ASIA PAC FD I | $1,134,000 | – | 75,140 | +100.0% | 0.06% | – |
| MSFT | Buy | MICROSOFT CORP | $1,134,000 | +120.2% | 19,700 | +95.9% | 0.06% | +129.6% |
| MMT | Buy | MFS MULTIMARKET INCOME TRsh ben int | $1,118,000 | +8.8% | 183,511 | +8.1% | 0.06% | +13.0% |
| BOE | New | BLACKROCK GLOBAL OPP EQTY TR | $1,092,000 | – | 89,135 | +100.0% | 0.06% | – |
| HIO | Buy | WESTERN ASSET HIGH INCM OPP | $1,063,000 | +808.5% | 210,540 | +781.7% | 0.06% | +866.7% |
| DSU | New | BLACKROCK DEBT STRAT FD INC | $1,044,000 | – | 285,973 | +100.0% | 0.06% | – |
| LVS | Sell | LAS VEGAS SANDS CORP | $1,042,000 | +25.7% | 18,123 | -5.0% | 0.06% | +32.6% |
| BKMU | Sell | BANK MUTUAL CORP NEW | $1,030,000 | -70.8% | 134,169 | -70.8% | 0.06% | -69.6% |
| MFD | Sell | MACQUARIE FT TR GB INF UT DI | $1,028,000 | -18.9% | 81,523 | -20.1% | 0.06% | -15.2% |
| SEAS | SEAWORLD ENTMT INCcall | $1,011,000 | -6.0% | 75,000 | 0.0% | 0.06% | -1.8% | |
| ROL | Buy | ROLLINS INC | $996,000 | +14.7% | 34,000 | +14.7% | 0.05% | +20.0% |
| VBTX | VERITEX HLDGS INC | $989,000 | +8.6% | 56,890 | 0.0% | 0.05% | +12.5% | |
| PEBK | Buy | PEOPLES BANCORP N C INC | $988,000 | +7.6% | 47,044 | +0.5% | 0.05% | +12.5% |
| TKF | Buy | TURKISH INVT FD INC | $958,000 | +498.8% | 119,039 | +536.8% | 0.05% | +550.0% |
| EVN | New | EATON VANCE MUNI INCOME TRUSsh ben int | $949,000 | – | 66,673 | +100.0% | 0.05% | – |
| EEA | New | EUROPEAN EQUITY FUND | $950,000 | – | 120,309 | +100.0% | 0.05% | – |
| SOR | New | SOURCE CAP INC | $943,000 | – | 25,674 | +100.0% | 0.05% | – |
| IWM | Sell | ISHARES TRrussell 2000 etf | $890,000 | -5.1% | 7,163 | -12.3% | 0.05% | -2.0% |
| IIF | New | MORGAN STANLEY INDIA INVS FD | $872,000 | – | 30,662 | +100.0% | 0.05% | – |
| E103PS | Sell | WESTERN ASSET EMRG MKT INCM | $869,000 | -12.8% | 75,515 | -17.9% | 0.05% | -9.6% |
| JNJ | Buy | JOHNSON & JOHNSON | $858,000 | +17.5% | 7,263 | +20.7% | 0.05% | +23.7% |
| SAP | Sell | SAP SEspon adr | $850,000 | -53.9% | 9,312 | -62.1% | 0.05% | -52.1% |
| GF | New | NEW GERMANY FD INC | $840,000 | – | 58,507 | +100.0% | 0.05% | – |
| PBP | Buy | POWERSHARES GLOBAL ETF FDs&p 500 buywrt | $838,000 | +118.8% | 39,830 | +115.7% | 0.05% | +130.0% |
| AWF | Buy | ALLIANCEBERNSTEIN GBL HGH IN | $852,000 | +3.0% | 67,578 | +0.4% | 0.05% | +7.0% |
| ABB | Sell | ABB LTDsponsored adr | $852,000 | -59.0% | 37,849 | -63.9% | 0.05% | -57.8% |
| GHY | New | PRUDENTIAL GLB SHT DUR HG YL | $830,000 | – | 54,942 | +100.0% | 0.04% | – |
| BAC | Sell | BANK AMER CORP | $824,000 | +13.7% | 52,646 | -3.7% | 0.04% | +18.4% |
| EVV | Sell | EATON VANCE LTD DUR INCOME F | $814,000 | -10.7% | 59,361 | -12.5% | 0.04% | -8.3% |
| XOM | Buy | EXXON MOBIL CORP | $785,000 | +37.7% | 8,996 | +47.9% | 0.04% | +43.3% |
| INB | Buy | COHEN & STEERS GLOBAL INC BL | $785,000 | +326.6% | 88,280 | +318.5% | 0.04% | +330.0% |
| GLV | Buy | CLOUGH GLOBAL DIVND AND INC | $766,000 | +158.8% | 63,153 | +149.2% | 0.04% | +180.0% |
| UL | Sell | UNILEVER PLCspon adr new | $772,000 | -61.6% | 16,281 | -61.2% | 0.04% | -60.0% |
| KBE | Buy | SPDR SERIES TRUSTs&p bk etf | $768,000 | +25500.0% | 22,999 | +22014.4% | 0.04% | – |
| RVSB | New | RIVERVIEW BANCORP INC | $753,000 | – | 140,000 | +100.0% | 0.04% | – |
| CENTA | Sell | CENTRAL GARDEN & PET COcl a non-vtg | $752,000 | -51.2% | 30,338 | -57.3% | 0.04% | -49.4% |
| NGG | Sell | NATIONAL GRID PLCspon adr new | $748,000 | -61.8% | 10,526 | -60.1% | 0.04% | -59.8% |
| FWONK | New | LIBERTY MEDIA CORP DELAWARE | $755,000 | – | 26,833 | +100.0% | 0.04% | – |
| GSK | Sell | GLAXOSMITHKLINE PLCsponsored adr | $750,000 | -61.8% | 17,378 | -61.6% | 0.04% | -60.2% |
| ARDC | Buy | ARES DYNAMIC CR ALLOCATION F | $745,000 | +46.1% | 50,171 | +35.1% | 0.04% | +48.1% |
| BTZ | Sell | BLACKROCK CR ALLCTN INC TR | $731,000 | -71.1% | 54,736 | -71.9% | 0.04% | -69.7% |
| TSM | Sell | TAIWAN SEMICONDUCTOR MFG LTDsponsored adr | $738,000 | -55.1% | 24,136 | -61.5% | 0.04% | -53.5% |
| DV | Buy | DEVRY ED GROUP INC | $738,000 | +33.7% | 32,000 | +3.4% | 0.04% | +37.9% |
| ERC | New | WELLS FARGO MULTI SECTOR INCwf mlt sectr inc | $715,000 | – | 55,149 | +100.0% | 0.04% | – |
| MO | Sell | ALTRIA GROUP INC | $719,000 | -13.7% | 11,375 | -5.8% | 0.04% | -11.4% |
| EEM | Sell | ISHARES TRmsci emg mkt etf | $720,000 | -19.5% | 19,219 | -26.1% | 0.04% | -17.0% |
| AOD | Sell | ALPINE TOTAL DYNAMIC DIVID F | $697,000 | -75.0% | 91,326 | -76.2% | 0.04% | -74.0% |
| SNY | Sell | SANOFIsponsored adr | $696,000 | -58.6% | 18,222 | -54.7% | 0.04% | -56.8% |
| IVV | ISHARES TRcore s&p500 etf | $694,000 | +3.3% | 3,192 | 0.0% | 0.04% | +8.6% | |
| ECYT | ENDOCYTE INC | $673,000 | -3.7% | 217,885 | 0.0% | 0.04% | 0.0% | |
| NVS | Sell | NOVARTIS A Gsponsored adr | $668,000 | -60.4% | 8,455 | -58.6% | 0.04% | -59.1% |
| BP | Sell | BP PLCsponsored adr | $665,000 | -61.8% | 18,937 | -61.3% | 0.04% | -60.4% |
| HMC | Sell | HONDA MOTOR LTD | $653,000 | -56.5% | 22,581 | -61.9% | 0.04% | -55.1% |
| LYG | Sell | LLOYDS BANKING GROUP PLCsponsored adr | $652,000 | -49.3% | 227,131 | -47.5% | 0.04% | -47.8% |
| RDSB | Sell | ROYAL DUTCH SHELL PLCspon adr b | $625,000 | -64.1% | 11,841 | -61.9% | 0.03% | -62.6% |
| ACXM | ACXIOM CORP | $628,000 | +21.2% | 23,556 | 0.0% | 0.03% | +25.9% | |
| PCYO | PURECYCLE CORP | $614,000 | +21.8% | 107,000 | 0.0% | 0.03% | +26.9% | |
| HYT | Buy | BLACKROCK CORPOR HI YLD FD I | $608,000 | +239.7% | 56,218 | +228.4% | 0.03% | +266.7% |
| GDV | New | GABELLI DIVD & INCOME TR | $582,000 | – | 30,274 | +100.0% | 0.03% | – |
| HYG | Sell | ISHARES TRiboxx hi yd etf | $583,000 | -70.8% | 6,676 | -71.7% | 0.03% | -69.2% |
| MDY | Sell | SPDR S&P MIDCAP 400 ETF TRutser1 s&pdcrp | $569,000 | +0.5% | 2,016 | -3.0% | 0.03% | +3.3% |
| SYT | Sell | SYNGENTA AGsponsored adr | $549,000 | -56.3% | 6,269 | -61.6% | 0.03% | -54.5% |
| ASG | Buy | LIBERTY ALL-STAR GROWTH FD I | $548,000 | +453.5% | 127,206 | +428.1% | 0.03% | +500.0% |
| DNIF | Buy | DIVIDEND & INCOME FUND | $544,000 | +71.1% | 48,547 | +66.0% | 0.03% | +76.5% |
| USA | Sell | LIBERTY ALL STAR EQUITY FDsh ben int | $561,000 | -62.8% | 108,361 | -63.9% | 0.03% | -62.0% |
| GIM | New | TEMPLETON GLOBAL INCOME FD | $540,000 | – | 86,602 | +100.0% | 0.03% | – |
| LAQ | New | ABERDEEN LATIN AMER EQTY FD | $517,000 | – | 24,344 | +100.0% | 0.03% | – |
| TEF | Sell | TELEFONICA S Asponsored adr | $509,000 | -59.7% | 50,430 | -62.1% | 0.03% | -57.6% |
| JQC | New | NUVEEN CR STRATEGIES INCM FD | $517,000 | – | 61,014 | +100.0% | 0.03% | – |
| EIM | New | EATON VANCE MUN BD FD | $494,000 | – | 36,299 | +100.0% | 0.03% | – |
| ORCL | Sell | ORACLE CORP | $470,000 | -5.6% | 11,977 | -1.7% | 0.03% | 0.0% |
| T | Buy | AT&T INC | $472,000 | -2.7% | 11,644 | +3.9% | 0.03% | +4.0% |
| LOB | Sell | LIVE OAK BANCSHARES INC | $479,000 | -77.3% | 33,234 | -77.7% | 0.03% | -76.4% |
| E | Sell | ENI S P Asponsored adr | $454,000 | -66.4% | 15,723 | -62.3% | 0.02% | -64.8% |
| CAJ | Sell | CANON INCsponsored adr | $469,000 | -60.2% | 16,129 | -60.8% | 0.02% | -59.0% |
| VIG | Buy | VANGUARD SPECIALIZED PORTFOLdiv app etf | $466,000 | +14.5% | 5,557 | +13.7% | 0.02% | +19.0% |
| PFE | Sell | PFIZER INC | $454,000 | -13.5% | 13,387 | -10.2% | 0.02% | -7.4% |
| NSC | NORFOLK SOUTHERN CORP | $435,000 | +14.2% | 4,477 | 0.0% | 0.02% | +20.0% | |
| CELG | Sell | CELGENE CORP | $450,000 | +1.4% | 4,308 | -4.3% | 0.02% | +4.3% |
| DIS | Buy | DISNEY WALT CO | $449,000 | +3.2% | 4,831 | +8.5% | 0.02% | +4.3% |
| PPR | Buy | VOYA PRIME RATE TRsh ben int | $439,000 | +128.6% | 83,198 | +121.6% | 0.02% | +140.0% |
| KR | KROGER CO | $444,000 | -19.4% | 14,976 | 0.0% | 0.02% | -17.2% | |
| IWV | Sell | ISHARES TRrussell 3000 etf | $423,000 | -50.6% | 3,298 | -52.3% | 0.02% | -48.9% |
| VGM | New | INVESCO TR INVT GRADE MUNS | $431,000 | – | 30,560 | +100.0% | 0.02% | – |
| IYF | Buy | ISHARES TRu.s. finls etf | $415,000 | +9.5% | 4,606 | +4.3% | 0.02% | +15.0% |
| PFF | Sell | ISHARES TRu.s. pfd stk etf | $410,000 | -92.0% | 10,374 | -91.9% | 0.02% | -91.7% |
| NEA | Sell | NUVEEN AMT FREE QLTY MUN INC | $413,000 | -85.3% | 28,320 | -84.9% | 0.02% | -85.0% |
| CHL | Sell | CHINA MOBILE LIMITEDsponsored adr | $397,000 | -56.8% | 6,456 | -59.3% | 0.02% | -54.2% |
| DFS | Buy | DISCOVER FINL SVCS | $404,000 | +5.8% | 7,143 | +0.1% | 0.02% | +10.0% |
| MXF | New | MEXICO FD INC | $399,000 | – | 25,028 | +100.0% | 0.02% | – |
| RQI | New | COHEN & STEERS QUALITY RLTY | $394,000 | – | 29,579 | +100.0% | 0.02% | – |
| 3106PS | Sell | DELPHI AUTOMOTIVE PLC | $381,000 | +11.4% | 5,345 | -2.1% | 0.02% | +16.7% |
| QQQX | New | NUVEEN NASDAQ 100 DYNAMIC OV | $361,000 | – | 19,065 | +100.0% | 0.02% | – |
| CART | New | CAROLINA TR BANCSHARES INC | $367,000 | – | 60,184 | +100.0% | 0.02% | – |
| BIT | Buy | BLACKROCK MULTI-SECTOR INC T | $364,000 | +70.9% | 21,305 | +65.8% | 0.02% | +81.8% |
| NVG | New | NUVEEN ENHANCED AMT FREE MUN | $342,000 | – | 21,268 | +100.0% | 0.02% | – |
| DCMYY | Sell | NTT DOCOMO INCspons adr | $350,000 | -63.7% | 13,787 | -61.3% | 0.02% | -62.0% |
| LMT | Sell | LOCKHEED MARTIN CORP | $341,000 | -5.8% | 1,422 | -2.5% | 0.02% | 0.0% |
| VWO | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $348,000 | +6.7% | 9,248 | 0.0% | 0.02% | +11.8% | |
| MHN | Sell | BLACKROCK MUNIHLDGS NY QLTY | $331,000 | -50.0% | 22,270 | -48.4% | 0.02% | -48.6% |
| SPTI | SPDR SERIES TRUSTbrclys inter etf | $340,000 | -0.6% | 5,540 | 0.0% | 0.02% | 0.0% | |
| HHY | New | BROOKFIELD HIGH INCOME FD IN | $329,000 | – | 44,959 | +100.0% | 0.02% | – |
| MHF | Buy | WESTERN ASSET MUN HI INCM FD | $333,000 | +12.1% | 41,947 | +16.4% | 0.02% | +12.5% |
| VAL | VALSPAR CORP | $325,000 | -1.8% | 3,062 | 0.0% | 0.02% | +5.9% | |
| TWN | New | TAIWAN FD INC | $315,000 | – | 18,185 | +100.0% | 0.02% | – |
| MGU | Sell | MACQUARIE GLBL INFRA TOTL RE | $314,000 | -55.1% | 14,401 | -56.0% | 0.02% | -54.1% |
| KBWB | POWERSHARES ETF TR IIkbw bk port | $321,000 | +9.2% | 8,800 | 0.0% | 0.02% | +13.3% | |
| NID | New | NUVEEN INTER DURATION MN TMF | $311,000 | – | 22,452 | +100.0% | 0.02% | – |
| BNJ | New | BLACKROCK N J MUN INCOME TRsh ben int | $305,000 | – | 18,912 | +100.0% | 0.02% | – |
| NIE | New | ALLIANZGI EQUITY & CONV INCO | $315,000 | – | 16,842 | +100.0% | 0.02% | – |
| MCK | Sell | MCKESSON CORP | $315,000 | -11.8% | 1,891 | -1.3% | 0.02% | -10.5% |
| DSL | Sell | DOUBLELINE INCOME SOLUTIONS | $302,000 | -61.8% | 15,777 | -63.3% | 0.02% | -61.0% |
| BTT | Sell | BLACKROCK MUN 2030 TAR TERM | $295,000 | -32.2% | 12,176 | -32.3% | 0.02% | -30.4% |
| CII | New | BLACKROCK ENH CAP & INC FD I | $300,000 | – | 21,759 | +100.0% | 0.02% | – |
| BDE | Sell | BLACK DIAMOND INC | $301,000 | -77.9% | 58,569 | -82.2% | 0.02% | -77.5% |
| NLSN | Sell | NIELSEN HLDGS PLC | $289,000 | -1.0% | 5,384 | -4.1% | 0.02% | +6.7% |
| SAN | Sell | BANCO SANTANDER SAadr | $290,000 | -54.5% | 65,779 | -59.6% | 0.02% | -51.5% |
| BND | New | VANGUARD BD INDEX FD INCtotal bnd mrkt | $301,000 | – | 3,580 | +100.0% | 0.02% | – |
| MCR | Buy | MFS CHARTER INCOME TRsh ben int | $289,000 | +186.1% | 33,431 | +180.3% | 0.02% | +220.0% |
| NXP | Buy | NUVEEN SELECT TAX FREE INCMsh ben int | $278,000 | +51.9% | 18,172 | +53.8% | 0.02% | +50.0% |
| IGA | New | VOYA GLBL ADV & PREM OPP FD | $269,000 | – | 26,588 | +100.0% | 0.02% | – |
| MRK | Buy | MERCK & CO INC | $279,000 | +15.3% | 4,465 | +6.2% | 0.02% | +15.4% |
| BIIB | New | BIOGEN INC | $252,000 | – | 805 | +100.0% | 0.01% | – |
| PG | Buy | PROCTER AND GAMBLE CO | $253,000 | +21.6% | 2,820 | +14.5% | 0.01% | +27.3% |
| TTE | Sell | TOTAL S Asponsored adr | $256,000 | -60.4% | 5,375 | -60.1% | 0.01% | -58.8% |
| AFL | Sell | AFLAC INC | $259,000 | -4.8% | 3,606 | -4.2% | 0.01% | 0.0% |
| ANTM | Sell | ANTHEM INC | $263,000 | -5.7% | 2,100 | -1.2% | 0.01% | -6.7% |
| VCV | New | INVESCO CALIF VALUE MUN INC | $258,000 | – | 18,714 | +100.0% | 0.01% | – |
| AGD | New | ALPINE GLOBAL DYNAMIC DIVD F | $258,000 | – | 29,710 | +100.0% | 0.01% | – |
| PMM | New | PUTNAM MANAGED MUN INCOM TR | $266,000 | – | 33,372 | +100.0% | 0.01% | – |
| MFM | New | MFS MUN INCOME TRsh ben int | $230,000 | – | 30,743 | +100.0% | 0.01% | – |
| PSF | New | COHEN & STEERS SLT PFD INCM | $241,000 | – | 8,990 | +100.0% | 0.01% | – |
| MQT | New | BLACKROCK MUNIY QUALITY FD I | $245,000 | – | 17,287 | +100.0% | 0.01% | – |
| QQQ | New | POWERSHARES QQQ TRUSTunit ser 1 | $236,000 | – | 1,987 | +100.0% | 0.01% | – |
| UPS | Buy | UNITED PARCEL SERVICE INCcl b | $224,000 | +8.7% | 2,049 | +6.9% | 0.01% | +9.1% |
| MHI | New | PIONEER MUN HIGH INCOME TR | $222,000 | – | 16,833 | +100.0% | 0.01% | – |
| MAV | Sell | PIONEER MUN HIGH INCOME ADV | $223,000 | -24.7% | 17,022 | -19.0% | 0.01% | -20.0% |
| PM | Buy | PHILIP MORRIS INTL INC | $226,000 | -3.0% | 2,326 | +1.5% | 0.01% | 0.0% |
| MON | New | MONSANTO CO NEW | $224,000 | – | 2,189 | +100.0% | 0.01% | – |
| SCZ | ISHARES TReafe sml cp etf | $221,000 | +8.9% | 4,210 | 0.0% | 0.01% | +9.1% | |
| IMS | New | IMS HEALTH HLDGS INC | $220,000 | – | 7,023 | +100.0% | 0.01% | – |
| HOLX | New | HOLOGIC INC | $212,000 | – | 5,449 | +100.0% | 0.01% | – |
| AMOV | New | AMERICA MOVIL SAB DE CV | $226,000 | – | 19,808 | +100.0% | 0.01% | – |
| GILD | Sell | GILEAD SCIENCES INC | $220,000 | -7.9% | 2,783 | -3.0% | 0.01% | 0.0% |
| FHY | Sell | FIRST TR STRATEGIC HIGH INC | $228,000 | -52.8% | 18,466 | -54.3% | 0.01% | -52.0% |
| FPF | New | FIRST TR INTER DUR PFD & IN | $221,000 | – | 9,451 | +100.0% | 0.01% | – |
| ADSK | New | AUTODESK INC | $219,000 | – | 3,029 | +100.0% | 0.01% | – |
| ECF | Sell | ELLSWORTH GROWTH & INCOME FD | $228,000 | -40.8% | 27,819 | -43.0% | 0.01% | -40.0% |
| EVJ | New | EATON VANCE NJ MUNI INCOME Tsh ben int | $217,000 | – | 15,614 | +100.0% | 0.01% | – |
| VCF | Buy | DELAWARE INV CO MUN INC FD I | $214,000 | +13.2% | 14,003 | +16.4% | 0.01% | +20.0% |
| CHTR | New | CHARTER COMMUNICATIONS INC Ncl a | $218,000 | – | 807 | +100.0% | 0.01% | – |
| CAT | New | CATERPILLAR INC DEL | $226,000 | – | 2,550 | +100.0% | 0.01% | – |
| VFL | New | DELAWARE INVT NAT MUNI INC Fsh ben int | $199,000 | – | 14,138 | +100.0% | 0.01% | – |
| TRV | Sell | TRAVELERS COMPANIES INC | $203,000 | -5.1% | 1,775 | -1.2% | 0.01% | 0.0% |
| HPS | New | HANCOCK JOHN PFD INCOME FD I | $211,000 | – | 10,901 | +100.0% | 0.01% | – |
| SYK | New | STRYKER CORP | $206,000 | – | 1,768 | +100.0% | 0.01% | – |
| ICE | New | INTERCONTINENTAL EXCHANGE IN | $207,000 | – | 768 | +100.0% | 0.01% | – |
| NWL | Sell | NEWELL BRANDS INC | $209,000 | -14.3% | 3,973 | -21.0% | 0.01% | -15.4% |
| NTRS | Buy | NORTHERN TR CORP | $201,000 | +4.1% | 2,958 | +1.6% | 0.01% | +10.0% |
| NXJ | New | NUVEEN NJ DIV ADVANTAGE MUN | $202,000 | – | 13,636 | +100.0% | 0.01% | – |
| BA | Sell | BOEING CO | $210,000 | -97.3% | 1,592 | -97.4% | 0.01% | -97.3% |
| OMC | New | OMNICOM GROUP INC | $205,000 | – | 2,406 | +100.0% | 0.01% | – |
| PSX | New | PHILLIPS 66 | $209,000 | – | 2,597 | +100.0% | 0.01% | – |
| PNF | New | PIMCO NY MUNICIPAL INCOME FD | $209,000 | – | 15,703 | +100.0% | 0.01% | – |
| PFN | Sell | PIMCO INCOME STRATEGY FUND I | $194,000 | -86.0% | 20,311 | -86.5% | 0.01% | -84.7% |
| NIQ | Sell | NUVEEN INT DUR QUAL MUN TRM | $188,000 | -34.5% | 13,589 | -34.8% | 0.01% | -33.3% |
| BAF | New | BLACKROCK MUNI INCOME INV QL | $175,000 | – | 11,115 | +100.0% | 0.01% | – |
| PCF | New | PUTMAN HIGH INCOME SEC FUND | $193,000 | – | 24,060 | +100.0% | 0.01% | – |
| ISL | New | ABERDEEN ISRAEL FUND INC | $176,000 | – | 10,690 | +100.0% | 0.01% | – |
| DMF | New | DREYFUS MUN INCOME INC | $192,000 | – | 19,954 | +100.0% | 0.01% | – |
| VPV | New | INVESCO PA VALUE MUN INCOME | $157,000 | – | 11,590 | +100.0% | 0.01% | – |
| CXH | New | MFS INVT GRADE MUN TRsh ben int | $161,000 | – | 15,495 | +100.0% | 0.01% | – |
| MNE | New | BLACKROCK MUNI N Y INTER DUR | $173,000 | – | 11,254 | +100.0% | 0.01% | – |
| AFB | Sell | ALLIANCEBERNSTEIN NATL MUNI | $164,000 | -74.8% | 11,162 | -74.1% | 0.01% | -73.5% |
| CGO | New | CALAMOS GLOBAL TOTAL RETURN | $172,000 | – | 15,010 | +100.0% | 0.01% | – |
| FSBC | New | FSB BANCORP INC | $165,000 | – | 13,200 | +100.0% | 0.01% | – |
| MUJ | New | BLACKROCK MUNIHLDGS NJ QLTY | $174,000 | – | 11,097 | +100.0% | 0.01% | – |
| EIA | Sell | EATON VANCE CALIF MUN BD FD | $158,000 | -24.0% | 12,127 | -20.9% | 0.01% | -18.2% |
| MN | Sell | MANNING & NAPIER INCcl a | $138,000 | -90.1% | 19,522 | -86.6% | 0.01% | -89.0% |
| LCM | New | ADVENT CLAYMORE ENH GRW & IN | $144,000 | – | 17,187 | +100.0% | 0.01% | – |
| EXG | New | EATON VANCE TAX MNGD GBL DV | $131,000 | – | 15,143 | +100.0% | 0.01% | – |
| CSQ | New | CALAMOS STRATEGIC TOTL RETN | $118,000 | – | 11,515 | +100.0% | 0.01% | – |
| COF | New | CAPITAL ONE FINL CORP | $113,000 | – | 1,567 | +100.0% | 0.01% | – |
| GCH | New | ABERDEEN GTR CHINA FD INC | $102,000 | – | 11,202 | +100.0% | 0.01% | – |
| NUV | Sell | NUVEEN MUN VALUE FD INC | $113,000 | -78.2% | 10,687 | -77.7% | 0.01% | -77.8% |
| NOK | Sell | NOKIA CORPsponsored adr | $70,000 | -6.7% | 12,171 | -7.6% | 0.00% | 0.0% |
| BPI | New | BRIDGEPOINT ED INC | $69,000 | – | 10,100 | +100.0% | 0.00% | – |
| VALE | New | VALE S Aadr | $65,000 | – | 11,783 | +100.0% | 0.00% | – |
| SDRL | New | SEADRILL LIMITED | $51,000 | – | 21,700 | +100.0% | 0.00% | – |
| AIG | New | AMERICAN INTL GROUP INC | $60,000 | – | 1,005 | +100.0% | 0.00% | – |
| UTSI | Sell | UTSTARCOM HOLDINGS CORP | $35,000 | -23.9% | 17,000 | -28.6% | 0.00% | 0.0% |
| GURE | Sell | GULF RESOURCES INC | $37,000 | -26.0% | 17,088 | -47.6% | 0.00% | -33.3% |
| STT | Sell | STATE STR CORP | $45,000 | +25.0% | 652 | -2.5% | 0.00% | 0.0% |
| BEN | New | FRANKLIN RES INC | $11,000 | – | 300 | +100.0% | 0.00% | – |
| FHI | New | FEDERATED INVS INC PAcl b | $18,000 | – | 596 | +100.0% | 0.00% | – |
| AIGWS | Exit | AMERICAN INTL GROUP INC*w exp 01/19/202 | $0 | – | -207,685 | -100.0% | 0.00% | – |
| AXP | AMERICAN EXPRESS CO | $6,000 | 0.0% | 92 | 0.0% | 0.00% | – | |
| CMA | Exit | COMERICA INC | $0 | – | -30 | -100.0% | 0.00% | – |
| XLF | Sell | SELECT SECTOR SPDR TRsbi int-finl | $7,000 | -76.7% | 348 | -73.5% | 0.00% | -100.0% |
| SCHW | SCHWAB CHARLES CORP NEW | $8,000 | +33.3% | 238 | 0.0% | 0.00% | – | |
| PNC | New | PNC FINL SVCS GROUP INC | $1,000 | – | 13 | +100.0% | 0.00% | – |
| BBT | Exit | BB&T CORP | $0 | – | -68 | -100.0% | 0.00% | – |
| ZION | Exit | ZIONS BANCORPORATION | $0 | – | -27 | -100.0% | 0.00% | – |
| TROW | New | PRICE T ROWE GROUP INC | $1,000 | – | 11 | +100.0% | 0.00% | – |
| BK | Exit | BANK NEW YORK MELLON CORP | $0 | – | -35 | -100.0% | 0.00% | – |
| FHN | Exit | FIRST HORIZON NATL CORP | $0 | – | -442,506 | -100.0% | 0.00% | – |
| ALL | Exit | ALLSTATE CORP | $0 | – | -46 | -100.0% | 0.00% | – |
| NNA | Exit | NAVIOS MARITIME ACQUIS CORP | $0 | – | -28,900 | -100.0% | -0.00% | – |
| DAC | Exit | DANAOS CORPORATION | $0 | – | -14,400 | -100.0% | -0.00% | – |
| CIK | Exit | CREDIT SUISSE ASSET MGMT INC | $0 | – | -22,179 | -100.0% | -0.00% | – |
| WEN | Exit | WENDYS CO | $0 | – | -10,792 | -100.0% | -0.01% | – |
| JEQ | Exit | ABERDEEN JAPAN EQUITY FD INC | $0 | – | -14,200 | -100.0% | -0.01% | – |
| LDF | Exit | LATIN AMERN DISCOVERY FD INC | $0 | – | -12,541 | -100.0% | -0.01% | – |
| NHS | Exit | NEUBERGER BERMAN HGH YLD FD | $0 | – | -12,009 | -100.0% | -0.01% | – |
| WEA | Exit | WESTERN ASSET PREMIER BD FD | $0 | – | -12,014 | -100.0% | -0.01% | – |
| NKG | Exit | NUVEEN GA DIV ADV MUN FD 2 | $0 | – | -10,733 | -100.0% | -0.01% | – |
| SGF | Exit | ABERDEEN SINGAPORE FD INC | $0 | – | -16,041 | -100.0% | -0.01% | – |
| MZF | Exit | MANAGED DURATION INVT GRD FU | $0 | – | -11,567 | -100.0% | -0.01% | – |
| NBO | Exit | NEUBERGER BERMAN NY INT MUN | $0 | – | -11,817 | -100.0% | -0.01% | – |
| KTF | Exit | DEUTSCHE MUN INCOME | $0 | – | -11,490 | -100.0% | -0.01% | – |
| NCB | Exit | NUVEEN CALIF MUNICPAL VALU F | $0 | – | -10,790 | -100.0% | -0.01% | – |
| BLW | Exit | BLACKROCK LTD DURATION INC T | $0 | – | -13,068 | -100.0% | -0.01% | – |
| JMT | Exit | NUVEEN MTG OPPTY TERM FD 2 | $0 | – | -9,143 | -100.0% | -0.01% | – |
| LDP | Exit | COHEN & STEERS LTD DUR PFD I | $0 | – | -9,000 | -100.0% | -0.01% | – |
| NCA | Exit | NUVEEN CALIF MUN VALUE FD | $0 | – | -18,271 | -100.0% | -0.01% | – |
| WYNN | Exit | WYNN RESORTS LTD | $0 | – | -2,221 | -100.0% | -0.01% | – |
| LOR | Exit | LAZARD WORLD DIVID & INCOME | $0 | – | -23,631 | -100.0% | -0.01% | – |
| IWD | Exit | ISHARES TRrus 1000 val etf | $0 | – | -1,946 | -100.0% | -0.01% | – |
| DG | Exit | DOLLAR GEN CORP NEW | $0 | – | -2,317 | -100.0% | -0.01% | – |
| NEE | Exit | NEXTERA ENERGY INC | $0 | – | -1,623 | -100.0% | -0.01% | – |
| EIV | Exit | EATON VANCE MUN BD FD II | $0 | – | -17,069 | -100.0% | -0.01% | – |
| PCK | Exit | PIMCO CALIF MUN INCOME FD II | $0 | – | -20,820 | -100.0% | -0.01% | – |
| NPP | Exit | NUVEEN PERFORMANCE PLUS MUN | $0 | – | -14,822 | -100.0% | -0.01% | – |
| EMC | Exit | E M C CORP MASS | $0 | – | -9,389 | -100.0% | -0.01% | – |
| KSM | Exit | DEUTSCHE STRATEGIC MUN INCOM | $0 | – | -17,735 | -100.0% | -0.01% | – |
| NPV | Exit | NUVEEN VA PREM INCOME MUN FD | $0 | – | -16,728 | -100.0% | -0.01% | – |
| WEC | Exit | WEC ENERGY GROUP INC | $0 | – | -3,756 | -100.0% | -0.01% | – |
| EFF | Exit | EATON VANCE FLTG RATE INCOM | $0 | – | -16,637 | -100.0% | -0.01% | – |
| CHI | Exit | CALAMOS CONV OPP AND INC FDsh ben int | $0 | – | -27,848 | -100.0% | -0.01% | – |
| VLT | Exit | INVESCO HIGH INCOME TR II | $0 | – | -19,014 | -100.0% | -0.01% | – |
| AGC | Exit | ADVENT CLAY CONV SEC INC FD | $0 | – | -49,755 | -100.0% | -0.01% | – |
| PZC | Exit | PIMCO CALIF MUN INCOME FD II | $0 | – | -21,900 | -100.0% | -0.01% | – |
| HYB | Exit | NEW AMER HIGH INCOME FD INC | $0 | – | -30,245 | -100.0% | -0.01% | – |
| CEV | Exit | EATON VANCE CA MUNI INCOME Tsh ben int | $0 | – | -19,323 | -100.0% | -0.01% | – |
| BFO | Exit | BLACKROCK FLA MUN 2020 TERM | $0 | – | -18,507 | -100.0% | -0.02% | – |
| NRK | Exit | NUVEEN NY AMT FREE MUN INCOM | $0 | – | -20,777 | -100.0% | -0.02% | – |
| XLU | Exit | SELECT SECTOR SPDR TRsbi int-utils | $0 | – | -5,810 | -100.0% | -0.02% | – |
| FRA | Exit | BLACKROCK FLOAT RATE OME STR | $0 | – | -23,675 | -100.0% | -0.02% | – |
| GLD | Exit | SPDR GOLD TRUST | $0 | – | -2,382 | -100.0% | -0.02% | – |
| EOT | Exit | EATON VANCE NATL MUN OPPORT | $0 | – | -14,282 | -100.0% | -0.02% | – |
| SBI | Exit | WESTERN ASSET INTM MUNI FD I | $0 | – | -30,286 | -100.0% | -0.02% | – |
| NBH | Exit | NEUBERGER BERMAN INTER MUNI | $0 | – | -19,607 | -100.0% | -0.02% | – |
| CSI | Exit | CUTWATER SELECT INCOME FD | $0 | – | -17,311 | -100.0% | -0.02% | – |
| MUI | Exit | BLACKROCK MUNI INTER DR FD I | $0 | – | -23,350 | -100.0% | -0.02% | – |
| CART | Exit | CAROLINA TR BK LINCOLNTON NC | $0 | – | -60,184 | -100.0% | -0.02% | – |
| BCV | Exit | BANCROFT FUND LTD | $0 | – | -20,645 | -100.0% | -0.02% | – |
| GGT | Exit | GABELLI MULTIMEDIA TR INC | $0 | – | -53,980 | -100.0% | -0.02% | – |
| JPW | Exit | NUVEEN FLEXIBLE INVT INCOME | $0 | – | -25,156 | -100.0% | -0.02% | – |
| PAI | Exit | WESTERN ASSET INCOME FD | $0 | – | -28,897 | -100.0% | -0.02% | – |
| JHS | Exit | HANCOCK JOHN INCOME SECS TR | $0 | – | -28,782 | -100.0% | -0.02% | – |
| VOD | Exit | VODAFONE GROUP PLC NEWspnsr adr | $0 | – | -14,408 | -100.0% | -0.02% | – |
| TTF | Exit | THAI FD INC | $0 | – | -55,684 | -100.0% | -0.02% | – |
| BWG | Exit | LEGG MASON BW GLB INC OPP FD | $0 | – | -34,440 | -100.0% | -0.02% | – |
| NPM | Exit | NUVEEN PREM INCOME MUN FD 2 | $0 | – | -29,827 | -100.0% | -0.02% | – |
| MSD | Exit | MORGAN STANLEY EMER MKTS DEB | $0 | – | -49,691 | -100.0% | -0.02% | – |
| NRO | Exit | NEUBERGER BERMAN RE ES SEC F | $0 | – | -80,500 | -100.0% | -0.02% | – |
| BKK | Exit | BLACKROCK MUN 2020 TERM TR | $0 | – | -28,573 | -100.0% | -0.02% | – |
| DVY | Exit | ISHARES TRselect divid etf | $0 | – | -5,527 | -100.0% | -0.02% | – |
| SAR | Exit | SARATOGA INVT CORP | $0 | – | -30,886 | -100.0% | -0.03% | – |
| NNY | Exit | NUVEEN NY MUN VALUE FD | $0 | – | -50,484 | -100.0% | -0.03% | – |
| MMU | Exit | WESTERN ASST MNGD MUN FD INC | $0 | – | -34,297 | -100.0% | -0.03% | – |
| TEI | Exit | TEMPLETON EMERG MKTS INCOME | $0 | – | -50,071 | -100.0% | -0.03% | – |
| GDO | Exit | WESTERN ASSET GLOBAL CP DEFI | $0 | – | -31,616 | -100.0% | -0.03% | – |
| QGEN | Exit | QIAGEN NV | $0 | – | -25,666 | -100.0% | -0.03% | – |
| HMST | Exit | HOMESTREET INC | $0 | – | -27,797 | -100.0% | -0.03% | – |
| ZF | Exit | ZWEIG FD | $0 | – | -49,937 | -100.0% | -0.03% | – |
| MBB | Exit | ISHARES TRmbs etf | $0 | – | -5,700 | -100.0% | -0.03% | – |
| NEV | Exit | NUVEEN ENHANCED MUN VALUE FD | $0 | – | -41,317 | -100.0% | -0.04% | – |
| IHD | Exit | VOYA EMERGING MKTS HIGH DIVI | $0 | – | -95,323 | -100.0% | -0.04% | – |
| ERIC | Exit | ERICSSONadr b sek 10 | $0 | – | -96,525 | -100.0% | -0.04% | – |
| VNQ | Exit | VANGUARD INDEX FDSreit etf | $0 | – | -8,309 | -100.0% | -0.04% | – |
| IBB | Exit | ISHARES TRnasdq biotec etf | $0 | – | -3,077 | -100.0% | -0.04% | – |
| NFJ | Exit | ALLIANZGI NFJ DIVID INT & PR | $0 | – | -63,341 | -100.0% | -0.04% | – |
| PJP | Exit | POWERSHARES ETF TRUSTdyn phrma port | $0 | – | -12,911 | -100.0% | -0.04% | – |
| PFL | Exit | PIMCO INCOME STRATEGY FUND | $0 | – | -80,471 | -100.0% | -0.04% | – |
| OSBC | Exit | OLD SECOND BANCORP INC ILL | $0 | – | -122,370 | -100.0% | -0.04% | – |
| SHPG | Exit | SHIRE PLCsponsored adr | $0 | – | -4,867 | -100.0% | -0.05% | – |
| CCJ | Exit | CAMECO CORP | $0 | – | -81,710 | -100.0% | -0.05% | – |
| USG | Exit | U S G CORP | $0 | – | -34,171 | -100.0% | -0.05% | – |
| RMRM | Exit | RMR REAL ESTATE INCOME FUND | $0 | – | -44,698 | -100.0% | -0.05% | – |
| BGB | Exit | BLACKSTONE GSO STRATEGIC CR | $0 | – | -66,297 | -100.0% | -0.05% | – |
| MYN | Exit | BLACKROCK MUNIYIELD NY QLTY | $0 | – | -66,256 | -100.0% | -0.05% | – |
| ENLC | Exit | ENLINK MIDSTREAM LLCcall | $0 | – | -59,000 | -100.0% | -0.05% | – |
| NZF | Exit | NUVEEN ENHANCED MUN CREDIT O | $0 | – | -63,052 | -100.0% | -0.05% | – |
| CHCT | Exit | COMMUNITY HEALTHCARE TR INC | $0 | – | -49,684 | -100.0% | -0.06% | – |
| NBTB | Exit | NBT BANCORP INC | $0 | – | -36,780 | -100.0% | -0.06% | – |
| FRGI | Exit | FIESTA RESTAURANT GROUP INC | $0 | – | -50,134 | -100.0% | -0.06% | – |
| AHTPRECL | Exit | ASHFORD HOSPITALITY TR INC9% cum pfd ser e | $0 | – | -44,120 | -100.0% | -0.06% | – |
| GLQ | Exit | CLOUGH GLOBAL EQUITY FD | $0 | – | -107,039 | -100.0% | -0.06% | – |
| ETY | Exit | EATON VANCE TX MGD DIV EQ IN | $0 | – | -114,791 | -100.0% | -0.06% | – |
| GRFS | Exit | GRIFOLS S Asp adr rep b nvt | $0 | – | -74,994 | -100.0% | -0.06% | – |
| IQI | Exit | INVESCO QUALITY MUNI INC TRS | $0 | – | -92,259 | -100.0% | -0.07% | – |
| HTD | Exit | HANCOCK JOHN TAX-ADV DIV INC | $0 | – | -53,434 | -100.0% | -0.07% | – |
| MLVF | Exit | MALVERN BANCORP INC | $0 | – | -92,571 | -100.0% | -0.08% | – |
| PEBO | Exit | PEOPLES BANCORP INC | $0 | – | -69,909 | -100.0% | -0.08% | – |
| LILAK | Exit | LIBERTY GLOBAL PLC | $0 | – | -52,620 | -100.0% | -0.09% | – |
| PGC | Exit | PEAPACK-GLADSTONE FINL CORP | $0 | – | -103,868 | -100.0% | -0.10% | – |
| EAD | Exit | WELLS FARGO INCOME OPPORTUNIwf inc oppty fd | $0 | – | -254,645 | -100.0% | -0.10% | – |
| RNP | Exit | COHEN & STEERS REIT & PFD IN | $0 | – | -107,454 | -100.0% | -0.12% | – |
| UBSH | Exit | UNION BANKSHARES CORP NEW | $0 | – | -100,820 | -100.0% | -0.13% | – |
| TSLX | Exit | TPG SPECIALTY LENDING INC | $0 | – | -175,752 | -100.0% | -0.15% | – |
| CFG | Exit | CITIZENS FINL GROUP INCcall | $0 | – | -152,000 | -100.0% | -0.16% | – |
| AKAM | Exit | AKAMAI TECHNOLOGIES INC | $0 | – | -55,711 | -100.0% | -0.16% | – |
| FSD | Exit | FIRST TR HIGH INCOME L/S FD | $0 | – | -223,322 | -100.0% | -0.17% | – |
| IVZ | Exit | INVESCO LTDcall | $0 | – | -152,000 | -100.0% | -0.20% | – |
| NTRS | Exit | NORTHERN TR CORPput | $0 | – | -76,000 | -100.0% | -0.26% | – |
| LBTYA | Exit | LIBERTY GLOBAL PLC | $0 | – | -179,871 | -100.0% | -0.27% | – |
| AFL | Exit | AFLAC INCput | $0 | – | -76,000 | -100.0% | -0.29% | – |
| AJX | Exit | GREAT AJAX CORP | $0 | – | -402,800 | -100.0% | -0.29% | – |
| BRKA | Exit | BERKSHIRE HATHAWAY INC DELcl a | $0 | – | -30 | -100.0% | -0.34% | – |
| TGI | Exit | TRIUMPH GROUP INC NEW | $0 | – | -449,904 | -100.0% | -0.38% | – |
| LB | Exit | L BRANDS INC | $0 | – | -142,889 | -100.0% | -0.50% | – |
| HMPR | Exit | HAMPTON ROADS BANKSHARES INC | $0 | – | -5,516,087 | -100.0% | -0.52% | – |
| ANSS | Exit | ANSYS INC | $0 | – | -166,451 | -100.0% | -0.79% | – |
| IHS | Exit | IHS INCcl a | $0 | – | -166,373 | -100.0% | -1.00% | – |
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/A filed 2016-11-17
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.