Q2 2023
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HMN | New | HORACE MANN EDUCATORS CORP N | $383 | – | 10,000 | – | 100.00% | – |
Q4 2022
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HMN | Exit | HORACE MANN EDUCATORS CORP N | $0 | – | -10,000 | – | -0.54% | – |
| PFF | Exit | ISHARES TRpfd and incm sec | $0 | – | -216,500 | – | -10.45% | – |
| VT | Exit | VANGUARD INTL EQUITYindex f tt wrld st etf | $0 | – | -740,382 | – | -89.01% | – |
Q2 2022
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VT | New | VANGUARD INTL EQUITYindex f tt wrld st etf | $63,184,000 | – | 740,382 | – | 89.39% | – |
| PFF | New | ISHARES TRpfd and incm sec | $7,119,000 | – | 216,500 | – | 10.07% | – |
| HMN | New | HORACE MANN EDUCATORS CORP N | $384,000 | – | 10,000 | – | 0.54% | – |
Q4 2021
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| ARNC | Exit | ARCONIC CORPORATION | $0 | – | -427 | – | -0.00% | – |
| HWM | Exit | HOWMET AEROSPACE INC | $0 | – | -1,710 | – | -0.01% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.01% | – |
| NCLH | Exit | NORWEGIAN CRUISE LINE HLDG L | $0 | – | -3,321 | – | -0.02% | – |
| Exit | BOOKING HOLDINGS INCnote 0.750% 5/0 | $0 | – | -150,000 | – | -0.04% | – | |
| Exit | ARES CAPITAL CORPnote 4.625% 3/0 | $0 | – | -450,000 | – | -0.08% | – | |
| Exit | FORTIVE CORPnote 0.875% 2/1 | $0 | – | -550,000 | – | -0.09% | – | |
| Exit | KAMAN CORPnote 3.250% 5/0 | $0 | – | -650,000 | – | -0.11% | – | |
| Exit | KNOWLES CORPnote 3.250%11/0 | $0 | – | -650,000 | – | -0.11% | – | |
| Exit | LUMENTUM HLDGS INCnote 0.500%12/1 | $0 | – | -800,000 | – | -0.15% | – | |
| Exit | MERITOR INCnote 3.250%10/1 | $0 | – | -870,000 | – | -0.15% | – | |
| Exit | HOPE BANCORP INCnote 2.000% 5/1 | $0 | – | -950,000 | – | -0.16% | – | |
| Exit | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $0 | – | -900,000 | – | -0.16% | – | |
| Exit | HANNON ARMSTRONG SUST INFR Cnote 8/1 | $0 | – | -800,000 | – | -0.16% | – | |
| Exit | VISHAY INTERTECHNOLOGY INCnote 2.250% 6/1 | $0 | – | -950,000 | – | -0.16% | – | |
| Exit | MICROCHIP TECHNOLOGY INC.note 0.125%11/1 | $0 | – | -900,000 | – | -0.17% | – | |
| Exit | FTI CONSULTING INCnote 2.000% 8/1 | $0 | – | -750,000 | – | -0.18% | – | |
| Exit | ARES CAPITAL CORPnote 3.750% 2/0 | $0 | – | -1,000,000 | – | -0.18% | – | |
| Exit | ILLUMINA INCnote 8/1 | $0 | – | -1,250,000 | – | -0.24% | – | |
| Exit | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $0 | – | -1,250,000 | – | -0.25% | – | |
| Exit | EURONET WORLDWIDE INCnote 0.750% 3/1 | $0 | – | -1,400,000 | – | -0.26% | – | |
| Exit | WESTERN DIGITAL CORP.note 1.500% 2/0 | $0 | – | -1,550,000 | – | -0.26% | – | |
| Exit | WELLPOINT INCnote 2.750%10/1 | $0 | – | -300,000 | – | -0.26% | – | |
| Exit | PIONEER NAT RES COnote 0.250% 5/1 | $0 | – | -1,200,000 | – | -0.32% | – | |
| IWB | Exit | ISHARES TRrus 1000 etf | $0 | – | -20,923 | – | -0.84% | – |
| VV | Exit | VANGUARD INDEX FDSlarge cap etf | $0 | – | -25,483 | – | -0.85% | – |
| PFF | Exit | ISHARES TRpfd and incm sec | $0 | – | -216,500 | – | -1.40% | – |
| SPLG | Exit | SPDR SER TRportfolio s&p500 | $0 | – | -199,584 | – | -1.68% | – |
| SPTM | Exit | SPDR SER TRportfoli s&p1500 | $0 | – | -271,975 | – | -2.40% | – |
| SPY | Exit | SPDR S&P 500 ETF TRtr unit | $0 | – | -36,109 | – | -2.58% | – |
| SCHX | Exit | SCHWAB STRATEGIC TRus lrg cap etf | $0 | – | -152,583 | – | -2.64% | – |
| IVV | Exit | ISHARES TRcore s&p500 etf | $0 | – | -39,795 | – | -2.85% | – |
| VOO | Exit | VANGUARD INDEX FDS | $0 | – | -44,154 | – | -2.90% | – |
| SCHB | Exit | SCHWAB STRATEGIC TRus brd mkt etf | $0 | – | -178,000 | – | -3.08% | – |
| ITOT | Exit | ISHARES TRcore s&p ttl stk | $0 | – | -199,895 | – | -3.27% | – |
| VTI | Exit | VANGUARD INDEX FDStotal stk mkt | $0 | – | -93,094 | – | -3.44% | – |
| IDEV | Exit | ISHARES TRcore msci intl | $0 | – | -425,689 | – | -4.74% | – |
| HMN | Exit | HORACE MANN EDUCATORS CORP N | $0 | – | -818,614 | – | -5.42% | – |
| VXUS | Exit | VANGUARD STAR FDSvg tl intl stk f | $0 | – | -782,081 | – | -8.24% | – |
| IXUS | Exit | ISHARES TRcore msci total | $0 | – | -1,213,087 | – | -14.34% | – |
| VT | Exit | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $0 | – | -2,111,652 | – | -35.80% | – |
Q3 2021
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| HMN | New | HORACE MANN EDUCATORS CORP N | $32,573,000 | – | 818,614 | – | 5.42% | – |
| PFF | Sell | ISHARES TRpfd and incm sec | $8,402,000 | -50.7% | 216,500 | -50.0% | 1.40% | -51.1% |
| Buy | WESTERN DIGITAL CORP.note 1.500% 2/0 | $1,559,000 | +4.6% | 1,550,000 | +10.7% | 0.26% | +4.0% | |
| New | MICROCHIP TECHNOLOGY INC.note 0.125%11/1 | $1,013,000 | – | 900,000 | – | 0.17% | – | |
| New | VISHAY INTERTECHNOLOGY INCnote 2.250% 6/1 | $981,000 | – | 950,000 | – | 0.16% | – | |
| Sell | FORTIVE CORPnote 0.875% 2/1 | $548,000 | -58.0% | 550,000 | -57.7% | 0.09% | -58.6% | |
| AEPPL | Exit | AMERICAN ELEC PWR CO INCunit 08/01/2021 | $0 | – | -16,000 | – | -0.13% | – |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -38,122 | – | -0.16% | – |
| Exit | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $0 | – | -700,000 | – | -0.22% | – | |
| Exit | PRICELINE GRP INCnote 0.900% 9/1 | $0 | – | -1,620,000 | – | -0.30% | – | |
| ICSH | Exit | ISHARES TRblackrock ultra | $0 | – | -109,000 | – | -0.93% | – |
Q2 2021
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VT | New | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $218,788,000 | – | 2,111,652 | – | 36.78% | – |
| IXUS | New | ISHARES TRcore msci total | $88,919,000 | – | 1,213,087 | – | 14.95% | – |
| VXUS | New | VANGUARD STAR FDSvg tl intl stk f | $51,367,000 | – | 782,081 | – | 8.63% | – |
| IDEV | New | ISHARES TRcore msci intl | $28,713,000 | – | 425,689 | – | 4.83% | – |
| VTI | New | VANGUARD INDEX FDStotal stk mkt | $20,743,000 | – | 93,094 | – | 3.49% | – |
| ITOT | New | ISHARES TRcore s&p ttl stk | $19,742,000 | – | 199,895 | – | 3.32% | – |
| SCHB | New | SCHWAB STRATEGIC TRus brd mkt etf | $18,561,000 | – | 178,000 | – | 3.12% | – |
| VOO | New | VANGUARD INDEX FDS | $17,375,000 | – | 44,154 | – | 2.92% | – |
| IVV | New | ISHARES TRcore s&p500 etf | $17,109,000 | – | 39,795 | – | 2.88% | – |
| PFF | New | ISHARES TRpfd and incm sec | $17,032,000 | – | 433,000 | – | 2.86% | – |
| SCHX | New | SCHWAB STRATEGIC TRus lrg cap etf | $15,864,000 | – | 152,583 | – | 2.67% | – |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $15,457,000 | – | 36,109 | – | 2.60% | – |
| SPTM | New | SPDR SER TRportfoli s&p1500 | $14,407,000 | – | 271,975 | – | 2.42% | – |
| SPLG | New | SPDR SER TRportfolio s&p500 | $10,045,000 | – | 199,584 | – | 1.69% | – |
| ICSH | New | ISHARES TRblackrock ultra | $5,507,000 | – | 109,000 | – | 0.93% | – |
| VV | New | VANGUARD INDEX FDSlarge cap etf | $5,116,000 | – | 25,483 | – | 0.86% | – |
| IWB | New | ISHARES TRrus 1000 etf | $5,065,000 | – | 20,923 | – | 0.85% | – |
| New | PIONEER NAT RES COnote 0.250% 5/1 | $1,905,000 | – | 1,200,000 | – | 0.32% | – | |
| New | PRICELINE GRP INCnote 0.900% 9/1 | $1,767,000 | – | 1,620,000 | – | 0.30% | – | |
| New | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $1,639,000 | – | 1,250,000 | – | 0.28% | – | |
| New | WELLPOINT INCnote 2.750%10/1 | $1,624,000 | – | 300,000 | – | 0.27% | – | |
| New | ILLUMINA INCnote 8/1 | $1,592,000 | – | 1,250,000 | – | 0.27% | – | |
| New | EURONET WORLDWIDE INCnote 0.750% 3/1 | $1,592,000 | – | 1,400,000 | – | 0.27% | – | |
| New | WESTERN DIGITAL CORP.note 1.500% 2/0 | $1,490,000 | – | 1,400,000 | – | 0.25% | – | |
| New | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $1,330,000 | – | 700,000 | – | 0.22% | – | |
| New | FORTIVE CORPnote 0.875% 2/1 | $1,306,000 | – | 1,300,000 | – | 0.22% | – | |
| New | FTI CONSULTING INCnote 2.000% 8/1 | $1,071,000 | – | 750,000 | – | 0.18% | – | |
| New | ARES CAPITAL CORPnote 3.750% 2/0 | $1,048,000 | – | 1,000,000 | – | 0.18% | – | |
| New | HANNON ARMSTRONG SUST INFR Cnote 8/1 | $990,000 | – | 800,000 | – | 0.17% | – | |
| New | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $950,000 | – | 900,000 | – | 0.16% | – | |
| New | HOPE BANCORP INCnote 2.000% 5/1 | $937,000 | – | 950,000 | – | 0.16% | – | |
| CPTA | New | CAPITALA FIN CORP | $936,000 | – | 38,122 | – | 0.16% | – |
| New | MERITOR INCnote 3.250%10/1 | $931,000 | – | 870,000 | – | 0.16% | – | |
| New | LUMENTUM HLDGS INCnote 0.500%12/1 | $862,000 | – | 800,000 | – | 0.14% | – | |
| AEPPL | New | AMERICAN ELEC PWR CO INCunit 08/01/2021 | $787,000 | – | 16,000 | – | 0.13% | – |
| New | KNOWLES CORPnote 3.250%11/0 | $724,000 | – | 650,000 | – | 0.12% | – | |
| New | KAMAN CORPnote 3.250% 5/0 | $688,000 | – | 650,000 | – | 0.12% | – | |
| New | ARES CAPITAL CORPnote 4.625% 3/0 | $493,000 | – | 450,000 | – | 0.08% | – | |
| New | BOOKING HOLDINGS INCnote 0.750% 5/0 | $212,000 | – | 150,000 | – | 0.04% | – | |
| NCLH | New | NORWEGIAN CRUISE LINE HLDG L | $98,000 | – | 3,321 | – | 0.02% | – |
| HWM | New | HOWMET AEROSPACE INC | $59,000 | – | 1,710 | – | 0.01% | – |
| RFP | New | RESOLUTE FST PRODS INC | $54,000 | – | 4,425 | – | 0.01% | – |
| ARNC | New | ARCONIC CORPORATION | $15,000 | – | 427 | – | 0.00% | – |
| NRG | New | NRG ENERGY INC | $5,000 | – | 118 | – | 0.00% | – |
Q4 2020
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| ARNC | Exit | ARCONIC CORPORATION | $0 | – | -427 | – | -0.00% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.00% | – |
| HWM | Exit | HOWMET AEROSPACE INC | $0 | – | -1,710 | – | -0.01% | – |
| NCLH | Exit | NORWEGIAN CRUISE LINE HLDG L | $0 | – | -3,321 | – | -0.01% | – |
| Exit | ILLUMINA INCnote 8/1 | $0 | – | -290,000 | – | -0.07% | – | |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -38,122 | – | -0.08% | – |
| Exit | KNOWLES CORPnote 3.250%11/0 | $0 | – | -375,000 | – | -0.09% | – | |
| Exit | KAMAN CORPnote 3.250% 5/0 | $0 | – | -400,000 | – | -0.09% | – | |
| Exit | VERINT SYS INCnote 1.500% 6/0 | $0 | – | -600,000 | – | -0.13% | – | |
| Exit | HOPE BANCORP INCnote 2.000% 5/1 | $0 | – | -950,000 | – | -0.17% | – | |
| AEPPL | Exit | AMERICAN ELEC PWR CO INCunit 03/15/2022 | $0 | – | -16,000 | – | -0.17% | – |
| Exit | STARWOOD PPTY TR INCnote 4.375% 4/0 | $0 | – | -825,000 | – | -0.17% | – | |
| Exit | MERITOR INCnote 3.250%10/1 | $0 | – | -870,000 | – | -0.20% | – | |
| Exit | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $0 | – | -900,000 | – | -0.20% | – | |
| Exit | FTI CONSULTING INCnote 2.000% 8/1 | $0 | – | -750,000 | – | -0.20% | – | |
| Exit | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $0 | – | -700,000 | – | -0.20% | – | |
| Exit | TWITTER INCnote 0.250% 6/1 | $0 | – | -850,000 | – | -0.20% | – | |
| Exit | ILLUMINA INCnote 0.500% 6/1 | $0 | – | -810,000 | – | -0.23% | – | |
| Exit | WELLPOINT INCnote 2.750%10/1 | $0 | – | -300,000 | – | -0.25% | – | |
| Exit | MACQUARIE INFRASTRUCTURE CORnote 2.000%10/0 | $0 | – | -1,400,000 | – | -0.28% | – | |
| Exit | FORTIVE CORPnote 0.875% 2/1 | $0 | – | -1,300,000 | – | -0.28% | – | |
| Exit | WESTERN DIGITAL CORP.note 1.500% 2/0 | $0 | – | -1,400,000 | – | -0.29% | – | |
| Exit | EURONET WORLDWIDE INCnote 0.750% 3/1 | $0 | – | -1,400,000 | – | -0.29% | – | |
| Exit | NUANCE COMMUNICATIONS INCnote 1.250% 4/0 | $0 | – | -800,000 | – | -0.31% | – | |
| WFCPRL | Exit | WELLS FARGO CO NEWperp pfd cnv a | $0 | – | -1,100 | – | -0.32% | – |
| Exit | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $0 | – | -1,250,000 | – | -0.35% | – | |
| BACPRL | Exit | BK OF AMERICA CORP7.25%cnv pfd l | $0 | – | -1,140 | – | -0.37% | – |
| Exit | PRICELINE GRP INCnote 0.900% 9/1 | $0 | – | -1,620,000 | – | -0.38% | – | |
| Exit | NOVELLUS SYS INCnote 2.625% 5/1 | $0 | – | -200,000 | – | -0.45% | – | |
| IWB | Exit | ISHARES TRrus 1000 etf | $0 | – | -24,512 | – | -1.00% | – |
| VV | Exit | VANGUARD INDEX FDSlarge cap etf | $0 | – | -29,854 | – | -1.01% | – |
| SPLG | Exit | SPDR SER TRportfolio s&p500 | $0 | – | -233,817 | – | -2.00% | – |
| SPTM | Exit | SPDR SER TRportfoli s&p1500 | $0 | – | -318,625 | – | -2.83% | – |
| ITOT | Exit | ISHARES TRcore s&p ttl stk | $0 | – | -186,199 | – | -3.05% | – |
| SPY | Exit | SPDR S&P 500 ETF TRtr unit | $0 | – | -42,302 | – | -3.07% | – |
| SCHB | Exit | SCHWAB STRATEGIC TRus brd mkt etf | $0 | – | -178,212 | – | -3.08% | – |
| SCHX | Exit | SCHWAB STRATEGIC TRus lrg cap etf | $0 | – | -178,755 | – | -3.13% | – |
| IVV | Exit | ISHARES TRcore s&p500 etf | $0 | – | -46,510 | – | -3.39% | – |
| VOO | Exit | VANGUARD INDEX FDS | $0 | – | -51,727 | – | -3.45% | – |
| VTI | Exit | VANGUARD INDEX FDStotal stk mkt | $0 | – | -94,801 | – | -3.50% | – |
| IDEV | Exit | ISHARES TRcore msci intl | $0 | – | -425,689 | – | -4.98% | – |
| VXUS | Exit | VANGUARD STAR FDSvg tl intl stk f | $0 | – | -746,835 | – | -8.45% | – |
| IXUS | Exit | ISHARES TRcore msci total | $0 | – | -1,135,946 | – | -14.37% | – |
| VT | Exit | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $0 | – | -2,111,652 | – | -36.93% | – |
Q3 2020
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VTI | Sell | VANGUARD INDEX FDStotal stk mkt | $16,146,000 | -18.4% | 94,801 | -25.0% | 3.50% | -16.6% |
| VOO | Sell | VANGUARD INDEX FDS | $15,914,000 | -18.6% | 51,727 | -25.0% | 3.45% | -16.8% |
| IVV | Sell | ISHARES TRcore s&p500 etf | $15,630,000 | -18.6% | 46,510 | -25.0% | 3.39% | -16.9% |
| SCHX | Sell | SCHWAB STRATEGIC TRus lrg cap etf | $14,413,000 | -18.4% | 178,755 | -25.0% | 3.13% | -16.6% |
| SCHB | Sell | SCHWAB STRATEGIC TRus brd mkt etf | $14,193,000 | -18.7% | 178,212 | -25.0% | 3.08% | -17.0% |
| SPY | Sell | SPDR S&P 500 ETF TRtr unit | $14,167,000 | -18.6% | 42,302 | -25.0% | 3.07% | -16.8% |
| ITOT | Sell | ISHARES TRcore s&p ttl stk | $14,056,000 | -18.5% | 186,199 | -25.0% | 3.05% | -16.7% |
| SPTM | Sell | SPDR SER TRportfoli s&p1500 | $13,029,000 | -18.9% | 318,625 | -25.0% | 2.83% | -17.1% |
| SPLG | Sell | SPDR SER TRportfolio s&p500 | $9,201,000 | -18.6% | 233,817 | -25.0% | 2.00% | -16.8% |
| VV | Sell | VANGUARD INDEX FDSlarge cap etf | $4,670,000 | -18.0% | 29,854 | -25.0% | 1.01% | -16.2% |
| IWB | Sell | ISHARES TRrus 1000 etf | $4,587,000 | -18.3% | 24,512 | -25.0% | 1.00% | -16.5% |
| Buy | FTI CONSULTING INCnote 2.000% 8/1 | $924,000 | +20.9% | 750,000 | +25.0% | 0.20% | +23.5% | |
| CPTA | New | CAPITALA FIN CORP | $359,000 | – | 38,122 | – | 0.08% | – |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -228,737 | – | -0.13% | – |
Q2 2020
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VT | New | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $157,952,000 | – | 2,111,652 | – | 33.53% | – |
| IXUS | New | ISHARES TRcore msci total | $61,932,000 | – | 1,135,946 | – | 13.15% | – |
| VXUS | New | VANGUARD STAR FDSvg tl intl stk f | $36,722,000 | – | 746,835 | – | 7.80% | – |
| IDEV | New | ISHARES TRcore msci intl | $21,757,000 | – | 425,689 | – | 4.62% | – |
| VTI | New | VANGUARD INDEX FDStotal stk mkt | $19,793,000 | – | 126,449 | – | 4.20% | – |
| VOO | New | VANGUARD INDEX FDS | $19,551,000 | – | 68,979 | – | 4.15% | – |
| IVV | New | ISHARES TRcore s&p500 etf | $19,213,000 | – | 62,038 | – | 4.08% | – |
| SCHX | New | SCHWAB STRATEGIC TRus lrg cap etf | $17,663,000 | – | 238,368 | – | 3.75% | – |
| SCHB | New | SCHWAB STRATEGIC TRus brd mkt etf | $17,465,000 | – | 237,715 | – | 3.71% | – |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $17,400,000 | – | 56,426 | – | 3.69% | – |
| ITOT | New | ISHARES TRcore s&p ttl stk | $17,246,000 | – | 248,359 | – | 3.66% | – |
| SPTM | New | SPDR SER TRportfoli s&p1500 | $16,057,000 | – | 425,000 | – | 3.41% | – |
| SPLG | New | SPDR SER TRportfolio s&p500 | $11,303,000 | – | 311,817 | – | 2.40% | – |
| VV | New | VANGUARD INDEX FDSlarge cap etf | $5,694,000 | – | 39,819 | – | 1.21% | – |
| IWB | New | ISHARES TRrus 1000 etf | $5,613,000 | – | 32,694 | – | 1.19% | – |
| New | NOVELLUS SYS INCnote 2.625% 5/1 | $2,029,000 | – | 200,000 | – | 0.43% | – | |
| New | PRICELINE GRP INCnote 0.900% 9/1 | $1,721,000 | – | 1,620,000 | – | 0.36% | – | |
| New | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $1,551,000 | – | 1,250,000 | – | 0.33% | – | |
| BACPRL | New | BK OF AMERICA CORP7.25%cnv pfd l | $1,531,000 | – | 1,140 | – | 0.32% | – |
| WFCPRL | New | WELLS FARGO CO NEWperp pfd cnv a | $1,427,000 | – | 1,100 | – | 0.30% | – |
| New | EURONET WORLDWIDE INCnote 0.750% 3/1 | $1,354,000 | – | 1,400,000 | – | 0.29% | – | |
| New | WESTERN DIGITAL CORP.note 1.500% 2/0 | $1,321,000 | – | 1,400,000 | – | 0.28% | – | |
| New | FORTIVE CORPnote 0.875% 2/1 | $1,273,000 | – | 1,300,000 | – | 0.27% | – | |
| New | MACQUARIE INFRASTRUCTURE CORnote 2.000%10/0 | $1,221,000 | – | 1,400,000 | – | 0.26% | – | |
| New | ILLUMINA INCnote 0.500% 6/1 | $1,203,000 | – | 810,000 | – | 0.26% | – | |
| New | NUANCE COMMUNICATIONS INCnote 1.250% 4/0 | $1,107,000 | – | 800,000 | – | 0.24% | – | |
| New | WELLPOINT INCnote 2.750%10/1 | $1,102,000 | – | 300,000 | – | 0.23% | – | |
| New | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $879,000 | – | 900,000 | – | 0.19% | – | |
| New | MERITOR INCnote 3.250%10/1 | $876,000 | – | 870,000 | – | 0.19% | – | |
| New | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $847,000 | – | 700,000 | – | 0.18% | – | |
| New | TWITTER INCnote 0.250% 6/1 | $803,000 | – | 850,000 | – | 0.17% | – | |
| New | STARWOOD PPTY TR INCnote 4.375% 4/0 | $784,000 | – | 825,000 | – | 0.17% | – | |
| AEPPL | New | AMERICAN ELEC PWR CO INCunit 03/15/2022 | $778,000 | – | 16,000 | – | 0.16% | – |
| New | HOPE BANCORP INCnote 2.000% 5/1 | $773,000 | – | 950,000 | – | 0.16% | – | |
| New | FTI CONSULTING INCnote 2.000% 8/1 | $764,000 | – | 600,000 | – | 0.16% | – | |
| CPTA | New | CAPITALA FIN CORP | $602,000 | – | 228,737 | – | 0.13% | – |
| New | VERINT SYS INCnote 1.500% 6/0 | $599,000 | – | 600,000 | – | 0.13% | – | |
| New | KNOWLES CORPnote 3.250%11/0 | $397,000 | – | 375,000 | – | 0.08% | – | |
| New | KAMAN CORPnote 3.250% 5/0 | $383,000 | – | 400,000 | – | 0.08% | – | |
| New | ILLUMINA INCnote 8/1 | $314,000 | – | 290,000 | – | 0.07% | – | |
| NCLH | New | NORWEGIAN CRUISE LINE HLDG L | $55,000 | – | 3,321 | – | 0.01% | – |
| HWM | New | HOWMET AEROSPACE INC | $27,000 | – | 1,710 | – | 0.01% | – |
| RFP | New | RESOLUTE FST PRODS INC | $9,000 | – | 4,425 | – | 0.00% | – |
| ARNC | New | ARCONIC CORPORATION | $6,000 | – | 427 | – | 0.00% | – |
| NRG | New | NRG ENERGY INC | $4,000 | – | 118 | – | 0.00% | – |
Q4 2019
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.00% | – |
| L100PS | Exit | ARCONIC INC | $0 | – | -1,710 | – | -0.01% | – |
| NCLH | Exit | NORWEGIAN CRUISE LINE HLDG L | $0 | – | -3,321 | – | -0.02% | – |
| Exit | PATTERN ENERGY GROUP INCnote 4.000% 7/1 | $0 | – | -350,000 | – | -0.05% | – | |
| Exit | VERINT SYS INCnote 1.500% 6/0 | $0 | – | -400,000 | – | -0.06% | – | |
| Exit | HOPE BANCORP INCnote 2.000% 5/1 | $0 | – | -450,000 | – | -0.06% | – | |
| Exit | KAMAN CORPnote 3.250% 5/0 | $0 | – | -400,000 | – | -0.07% | – | |
| Exit | KNOWLES CORPnote 3.250%11/0 | $0 | – | -375,000 | – | -0.07% | – | |
| Exit | FTI CONSULTING INCnote 2.000% 8/1 | $0 | – | -600,000 | – | -0.11% | – | |
| Exit | NUANCE COMMUNICATIONS INCnote 1.250% 4/0 | $0 | – | -800,000 | – | -0.11% | – | |
| Exit | NABORS INDS INC NEWnote 0.750% 1/1 | $0 | – | -1,300,000 | – | -0.12% | – | |
| Exit | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $0 | – | -700,000 | – | -0.12% | – | |
| Exit | CHENIERE ENERGY INCnote 4.250% 3/1 | $0 | – | -1,100,000 | – | -0.12% | – | |
| Exit | STARWOOD PPTY TR INCnote 4.375% 4/0 | $0 | – | -825,000 | – | -0.12% | – | |
| Exit | MERITOR INCnote 3.250%10/1 | $0 | – | -870,000 | – | -0.12% | – | |
| Exit | WESTERN DIGITAL CORPnote 1.500% 2/0 | $0 | – | -900,000 | – | -0.13% | – | |
| AEPPL | Exit | AMERICAN ELEC PWR CO INCunit 03/15/2022 | $0 | – | -16,000 | – | -0.13% | – |
| Exit | ALZA CORPsdcv 7/2 | $0 | – | -500,000 | – | -0.13% | – | |
| Exit | TWITTER INCnote 0.250% 6/1 | $0 | – | -850,000 | – | -0.13% | – | |
| Exit | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $0 | – | -900,000 | – | -0.13% | – | |
| Exit | WORKDAY INCnote 0.250%10/0 | $0 | – | -700,000 | – | -0.13% | – | |
| Exit | ANTHEM INCnote 2.750%10/1 | $0 | – | -300,000 | – | -0.15% | – | |
| Exit | ILLUMINA INCnote 0.500% 6/1 | $0 | – | -810,000 | – | -0.16% | – | |
| Exit | MACQUARIE INFRASTRUCTURE CORnote 2.000%10/0 | $0 | – | -1,400,000 | – | -0.19% | – | |
| BACPRL | Exit | BANK AMER CORP7.25%cnv pfd l | $0 | – | -900 | – | -0.20% | – |
| Exit | PRICELINE GRP INCnote 0.900% 9/1 | $0 | – | -1,200,000 | – | -0.20% | – | |
| Exit | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $0 | – | -1,250,000 | – | -0.21% | – | |
| Exit | NOVELLUS SYS INCnote 2.625% 5/1 | $0 | – | -225,000 | – | -0.24% | – | |
| WFCPRL | Exit | WELLS FARGO CO NEWperp pfd cnv a | $0 | – | -1,100 | – | -0.24% | – |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -228,737 | – | -0.28% | – |
| IWB | Exit | ISHARES TRrus 1000 etf | $0 | – | -32,694 | – | -0.78% | – |
| VV | Exit | VANGUARD INDEX FDSlarge cap etf | $0 | – | -39,819 | – | -0.79% | – |
| SPLG | Exit | SPDR SERIES TRUSTportfolio lr etf | $0 | – | -311,817 | – | -1.58% | – |
| SPTM | Exit | SPDR SERIES TRUSTportfolio tl stk | $0 | – | -425,000 | – | -2.28% | – |
| ITOT | Exit | ISHARES TRcore s&p ttl stk | $0 | – | -248,359 | – | -2.43% | – |
| SPY | Exit | SPDR S&P 500 ETF TRtr unit | $0 | – | -56,426 | – | -2.44% | – |
| SCHB | Exit | SCHWAB STRATEGIC TRus brd mkt etf | $0 | – | -237,715 | – | -2.46% | – |
| SCHX | Exit | SCHWAB STRATEGIC TRus lrg cap etf | $0 | – | -238,368 | – | -2.47% | – |
| IVV | Exit | ISHARES TRcore s&p500 etf | $0 | – | -62,038 | – | -2.70% | – |
| VEA | Exit | VANGUARD TAX MANAGED INTL FDftse dev mkt etf | $0 | – | -454,410 | – | -2.72% | – |
| VOO | Exit | VANGUARD INDEX FDS | $0 | – | -68,979 | – | -2.74% | – |
| IDEV | Exit | ISHARES TRcore msci intl | $0 | – | -425,689 | – | -3.39% | – |
| VCIT | Exit | VANGUARD SCOTTSDALE FDSint-term corp | $0 | – | -295,329 | – | -3.93% | – |
| IEMG | Exit | ISHARES INCcore msci emkt | $0 | – | -621,625 | – | -4.45% | – |
| VT | Exit | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $0 | – | -675,277 | – | -7.37% | – |
| SPLB | Exit | SPDR SERIES TRUSTportfolio ln cor | $0 | – | -1,693,634 | – | -7.44% | – |
| VTI | Exit | VANGUARD INDEX FDStotal stk mkt | $0 | – | -433,293 | – | -9.54% | – |
| IGLB | Exit | ISHARES TRlng tr crprt bd | $0 | – | -1,045,000 | – | -10.16% | – |
| IXUS | Exit | ISHARES TRcore msci total | $0 | – | -1,311,432 | – | -11.05% | – |
| VCLT | Exit | VANGUARD SCOTTSDALE FDSlg-term cor bd | $0 | – | -1,046,419 | – | -15.44% | – |
Q3 2019
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VT | Sell | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $50,524,000 | -10.5% | 675,277 | -10.1% | 7.37% | -11.3% |
| New | AKAMAI TECHNOLOGIES INCnote 0.125% 5/0 | $1,431,000 | – | 1,250,000 | – | 0.21% | – | |
| New | TWITTER INCnote 0.250% 6/1 | $900,000 | – | 850,000 | – | 0.13% | – | |
| New | WESTERN DIGITAL CORPnote 1.500% 2/0 | $871,000 | – | 900,000 | – | 0.13% | – | |
| Buy | MERITOR INCnote 3.250%10/1 | $851,000 | +120.5% | 870,000 | +135.1% | 0.12% | +117.5% | |
| New | FTI CONSULTING INCnote 2.000% 8/1 | $730,000 | – | 600,000 | – | 0.11% | – | |
| New | KNOWLES CORPnote 3.250%11/0 | $480,000 | – | 375,000 | – | 0.07% | – | |
| New | HOPE BANCORP INCnote 2.000% 5/1 | $416,000 | – | 450,000 | – | 0.06% | – | |
| FSNNQ | Exit | FUSION CONNECT INC | $0 | – | -60,370 | – | 0.00% | – |
| Exit | SPIRIT RLTY CAP INC NEWnote 3.750% 5/1 | $0 | – | -415,000 | – | -0.06% | – | |
| Exit | TEVA PHARMACEUTICAL FIN LLCdbcv 0.250% 2/0 | $0 | – | -850,000 | – | -0.11% | – | |
| Exit | CEMEX SAB DE CVnote 3.720% 3/1 | $0 | – | -800,000 | – | -0.12% | – |
Q2 2019
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VCLT | New | VANGUARD SCOTTSDALE FDSlg-term cor bd | $101,367,000 | – | 1,046,419 | – | 14.92% | – |
| IXUS | New | ISHARES TRcore msci total | $76,902,000 | – | 1,311,432 | – | 11.32% | – |
| IGLB | New | ISHARES TRlng tr crprt bd | $66,619,000 | – | 1,045,000 | – | 9.80% | – |
| VTI | New | VANGUARD INDEX FDStotal stk mkt | $65,033,000 | – | 433,293 | – | 9.57% | – |
| VT | New | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $56,466,000 | – | 751,277 | – | 8.31% | – |
| SPLB | New | SPDR SERIES TRUSTportfolio ln cor | $48,692,000 | – | 1,693,634 | – | 7.17% | – |
| IEMG | New | ISHARES INCcore msci emkt | $31,976,000 | – | 621,625 | – | 4.71% | – |
| VCIT | New | VANGUARD SCOTTSDALE FDSint-term corp | $26,535,000 | – | 295,329 | – | 3.91% | – |
| IDEV | New | ISHARES TRcore msci intl | $23,332,000 | – | 425,689 | – | 3.43% | – |
| VEA | New | VANGUARD TAX MANAGED INTL FDftse dev mkt etf | $18,953,000 | – | 454,410 | – | 2.79% | – |
| VOO | New | VANGUARD INDEX FDS | $18,566,000 | – | 68,979 | – | 2.73% | – |
| IVV | New | ISHARES TRcore s&p500 etf | $18,286,000 | – | 62,038 | – | 2.69% | – |
| SCHB | New | SCHWAB STRATEGIC TRus brd mkt etf | $16,766,000 | – | 237,715 | – | 2.47% | – |
| SCHX | New | SCHWAB STRATEGIC TRus lrg cap etf | $16,731,000 | – | 238,368 | – | 2.46% | – |
| ITOT | New | ISHARES TRcore s&p ttl stk | $16,548,000 | – | 248,359 | – | 2.44% | – |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $16,533,000 | – | 56,426 | – | 2.43% | – |
| SPTM | New | SPDR SERIES TRUSTportfolio tl stk | $15,496,000 | – | 425,000 | – | 2.28% | – |
| SPLG | New | SPDR SERIES TRUSTportfolio lr etf | $10,770,000 | – | 311,817 | – | 1.58% | – |
| VV | New | VANGUARD INDEX FDSlarge cap etf | $5,364,000 | – | 39,819 | – | 0.79% | – |
| IWB | New | ISHARES TRrus 1000 etf | $5,322,000 | – | 32,694 | – | 0.78% | – |
| CPTA | New | CAPITALA FIN CORP | $2,162,000 | – | 228,737 | – | 0.32% | – |
| WFCPRL | New | WELLS FARGO CO NEWperp pfd cnv a | $1,502,000 | – | 1,100 | – | 0.22% | – |
| New | PRICELINE GRP INCnote 0.900% 9/1 | $1,373,000 | – | 1,200,000 | – | 0.20% | – | |
| New | NOVELLUS SYS INCnote 2.625% 5/1 | $1,306,000 | – | 225,000 | – | 0.19% | – | |
| New | ILLUMINA INCnote 0.500% 6/1 | $1,249,000 | – | 810,000 | – | 0.18% | – | |
| BACPRL | New | BANK AMER CORP7.25%cnv pfd l | $1,234,000 | – | 900 | – | 0.18% | – |
| New | MACQUARIE INFRASTRUCTURE CORnote 2.000%10/0 | $1,234,000 | – | 1,400,000 | – | 0.18% | – | |
| New | ANTHEM INCnote 2.750%10/1 | $1,171,000 | – | 300,000 | – | 0.17% | – | |
| New | WORKDAY INCnote 0.250%10/0 | $1,048,000 | – | 700,000 | – | 0.15% | – | |
| New | ALZA CORPsdcv 7/2 | $957,000 | – | 500,000 | – | 0.14% | – | |
| New | NABORS INDS INC NEWnote 0.750% 1/1 | $928,000 | – | 1,300,000 | – | 0.14% | – | |
| New | HERCULES CAPITAL INCdbcv 4.375% 2/0 | $900,000 | – | 900,000 | – | 0.13% | – | |
| New | CHENIERE ENERGY INCnote 4.250% 3/1 | $861,000 | – | 1,100,000 | – | 0.13% | – | |
| New | ON SEMICONDUCTOR CORPnote 1.625%10/1 | $853,000 | – | 700,000 | – | 0.13% | – | |
| AEPPL | New | AMERICAN ELEC PWR CO INCunit 03/15/2022 | $856,000 | – | 16,000 | – | 0.13% | – |
| New | STARWOOD PPTY TR INCnote 4.375% 4/0 | $836,000 | – | 825,000 | – | 0.12% | – | |
| New | CEMEX SAB DE CVnote 3.720% 3/1 | $798,000 | – | 800,000 | – | 0.12% | – | |
| New | NUANCE COMMUNICATIONS INCnote 1.250% 4/0 | $784,000 | – | 800,000 | – | 0.12% | – | |
| New | TEVA PHARMACEUTICAL FIN LLCdbcv 0.250% 2/0 | $777,000 | – | 850,000 | – | 0.11% | – | |
| New | KAMAN CORPnote 3.250% 5/0 | $469,000 | – | 400,000 | – | 0.07% | – | |
| New | VERINT SYS INCnote 1.500% 6/0 | $429,000 | – | 400,000 | – | 0.06% | – | |
| New | SPIRIT RLTY CAP INC NEWnote 3.750% 5/1 | $422,000 | – | 415,000 | – | 0.06% | – | |
| New | MERITOR INCnote 3.250%10/1 | $386,000 | – | 370,000 | – | 0.06% | – | |
| New | PATTERN ENERGY GROUP INCnote 4.000% 7/1 | $353,000 | – | 350,000 | – | 0.05% | – | |
| NCLH | New | NORWEGIAN CRUISE LINE HLDG L | $178,000 | – | 3,321 | – | 0.03% | – |
| L100PS | New | ARCONIC INC | $44,000 | – | 1,710 | – | 0.01% | – |
| RFP | New | RESOLUTE FST PRODS INC | $32,000 | – | 4,425 | – | 0.01% | – |
| NRG | New | NRG ENERGY INC | $4,000 | – | 118 | – | 0.00% | – |
| FSNNQ | New | FUSION CONNECT INC | $3,000 | – | 60,370 | – | 0.00% | – |
Q4 2018
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| L100PS | Exit | ARCONIC INC | $0 | – | -1,710 | – | -0.01% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.01% | – |
| NCLH | Exit | NORWEGIAN CRUISE LINE HLDG L | $0 | – | -3,321 | – | -0.04% | – |
| BACPRL | Exit | BANK AMER CORP7.25%cnv pfd l | $0 | – | -250 | – | -0.06% | – |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -228,737 | – | -0.36% | – |
| IWB | Exit | ISHARES TRrus 1000 etf | $0 | – | -32,694 | – | -0.96% | – |
| VV | Exit | VANGUARD INDEX FDSlarge cap etf | $0 | – | -39,819 | – | -0.96% | – |
| SPLG | Exit | SPDR SERIES TRUSTportfolio lr etf | $0 | – | -311,817 | – | -1.93% | – |
| SPTM | Exit | SPDR SERIES TRUSTportfolio tl stk | $0 | – | -425,000 | – | -2.79% | – |
| SPY | Exit | SPDR S&P 500 ETF TRtr unit | $0 | – | -56,426 | – | -2.97% | – |
| ITOT | Exit | ISHARES TRcore s&p ttl stk | $0 | – | -248,359 | – | -3.00% | – |
| SCHX | Exit | SCHWAB STRATEGIC TRus lrg cap etf | $0 | – | -238,368 | – | -3.00% | – |
| SCHB | Exit | SCHWAB STRATEGIC TRus brd mkt etf | $0 | – | -237,715 | – | -3.03% | – |
| IVV | Exit | ISHARES TRcore s&p500 etf | $0 | – | -62,038 | – | -3.29% | – |
| VOO | Exit | VANGUARD INDEX FDS | $0 | – | -68,979 | – | -3.34% | – |
| VEA | Exit | VANGUARD TAX MANAGED INTL FDftse dev mkt etf | $0 | – | -454,410 | – | -3.56% | – |
| IDEV | Exit | ISHARES TRcore msci intl | $0 | – | -425,689 | – | -4.38% | – |
| IEMG | Exit | ISHARES INCcore msci emkt | $0 | – | -621,625 | – | -5.83% | – |
| VCLT | Exit | VANGUARD SCOTTSDALE FDSlg-term cor bd | $0 | – | -451,000 | – | -7.19% | – |
| VCIT | Exit | VANGUARD SCOTTSDALE FDSint-term corp | $0 | – | -715,317 | – | -10.83% | – |
| VTI | Exit | VANGUARD INDEX FDStotal stk mkt | $0 | – | -433,293 | – | -11.75% | – |
| IXUS | Exit | ISHARES TRcore msci total | $0 | – | -1,311,432 | – | -14.34% | – |
| VT | Exit | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $0 | – | -1,190,432 | – | -16.36% | – |
Q3 2018
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VT | New | VANGUARD INTL EQUITY INDEX Ftt wrld st etf | $90,270,000 | – | 1,190,432 | – | 16.36% | – |
| IXUS | New | ISHARES TRcore msci total | $79,092,000 | – | 1,311,432 | – | 14.34% | – |
| VTI | Buy | VANGUARD INDEX FDStotal stk mkt | $64,842,000 | +265.2% | 433,293 | +242.7% | 11.75% | +47.2% |
| VCIT | New | VANGUARD SCOTTSDALE FDSint-term corp | $59,750,000 | – | 715,317 | – | 10.83% | – |
| VCLT | New | VANGUARD SCOTTSDALE FDSlg-term cor bd | $39,683,000 | – | 451,000 | – | 7.19% | – |
| IEMG | Buy | ISHARES INCcore msci emkt | $32,188,000 | +15.8% | 621,625 | +17.4% | 5.83% | -53.3% |
| IDEV | Sell | ISHARES TRcore msci intl | $24,158,000 | -44.5% | 425,689 | -45.2% | 4.38% | -77.6% |
| VEA | New | VANGUARD TAX MANAGED INTL FDftse dev mkt etf | $19,662,000 | – | 454,410 | – | 3.56% | – |
| FSNN | Exit | FUSION TELECOMM INTL INC | $0 | – | -90,555 | – | -0.16% | – |
Q2 2018
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| IDEV | New | ISHARES TRcore msci intl | $43,512,000 | – | 777,000 | – | 19.57% | – |
| IEMG | New | ISHARES INCcore msci emkt | $27,800,000 | – | 529,425 | – | 12.50% | – |
| VTI | New | VANGUARD INDEX FDStotal stk mkt | $17,757,000 | – | 126,449 | – | 7.99% | – |
| VOO | New | VANGUARD INDEX FDS | $17,211,000 | – | 68,979 | – | 7.74% | – |
| IVV | New | ISHARES TRcore s&p500 etf | $16,939,000 | – | 62,038 | – | 7.62% | – |
| SCHB | New | SCHWAB STRATEGIC TRus brd mkt etf | $15,687,000 | – | 237,715 | – | 7.06% | – |
| ITOT | New | ISHARES TRcore s&p ttl stk | $15,527,000 | – | 248,359 | – | 6.98% | – |
| SCHX | New | SCHWAB STRATEGIC TRus lrg cap etf | $15,492,000 | – | 238,368 | – | 6.97% | – |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $15,307,000 | – | 56,426 | – | 6.88% | – |
| SPTM | New | SPDR SERIES TRUSTportfolio tl stk | $14,446,000 | – | 425,000 | – | 6.50% | – |
| SPLG | New | SPDR SERIES TRUSTportfolio lr etf | $9,941,000 | – | 311,817 | – | 4.47% | – |
| IWB | New | ISHARES TRrus 1000 etf | $4,969,000 | – | 32,694 | – | 2.24% | – |
| VV | New | VANGUARD INDEX FDSlarge cap etf | $4,968,000 | – | 39,819 | – | 2.23% | – |
| CPTA | New | CAPITALA FIN CORP | $1,899,000 | – | 228,737 | – | 0.85% | – |
| FSNN | New | FUSION TELECOMM INTL INC | $357,000 | – | 90,555 | – | 0.16% | – |
| BACPRL | New | BANK AMER CORP7.25%cnv pfd l | $313,000 | – | 250 | – | 0.14% | – |
| NCLH | New | NORWEGIAN CRUISE LINE HLDGS | $157,000 | – | 3,321 | – | 0.07% | – |
| RFP | New | RESOLUTE FST PRODS INC | $46,000 | – | 4,425 | – | 0.02% | – |
| L100PS | New | ARCONIC INC | $29,000 | – | 1,710 | – | 0.01% | – |
| NRG | New | NRG ENERGY INC | $4,000 | – | 118 | – | 0.00% | – |
Q4 2017
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.01% | – |
| AA | Exit | ALCOA CORP | $0 | – | -570 | – | -0.01% | – |
| L100PS | Exit | ARCONIC INC | $0 | – | -1,710 | – | -0.02% | – |
| NCLH | Exit | NORWEGIAN CRUISE LINE HLDGS | $0 | – | -3,321 | – | -0.08% | – |
| FSNN | Exit | FUSION TELECOMM INTL INC | $0 | – | -90,555 | – | -0.12% | – |
| BACPRL | Exit | BANK AMER CORP7.25%cnv pfd l | $0 | – | -250 | – | -0.15% | – |
| CIT | Exit | CIT GROUP INC | $0 | – | -7,026 | – | -0.16% | – |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -228,737 | – | -1.02% | – |
| BY | Exit | BYLINE BANCORP INC | $0 | – | -218,266 | – | -2.18% | – |
| LQD | Exit | ISHARES TRiboxx inv cp etf | $0 | – | -75,000 | – | -4.27% | – |
| SPY | Exit | SPDR S&P 500 ETF TRtr unit | $0 | – | -56,426 | – | -6.65% | – |
| SCHX | Exit | SCHWAB STRATEGIC TRus lrg cap etf | $0 | – | -238,368 | – | -6.72% | – |
| ITOT | Exit | ISHARES TRcore s&p ttl stk | $0 | – | -248,359 | – | -6.72% | – |
| SCHB | Exit | SCHWAB STRATEGIC TRus brd mkt etf | $0 | – | -237,715 | – | -6.80% | – |
| VOO | Exit | VANGUARD INDEX FDS | $0 | – | -68,979 | – | -7.47% | – |
| VTI | Exit | VANGUARD INDEX FDStotal stk mkt | $0 | – | -296,710 | – | -18.04% | – |
| IVV | Exit | ISHARES TRcore s&p500 etf | $0 | – | -333,293 | – | -39.57% | – |
Q3 2017
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| ITOT | Sell | ISHARES TRcore s&p ttl stk | $14,313,000 | +3.9% | 248,359 | -0.1% | 6.72% | +0.4% |
| SCHX | Sell | SCHWAB STRATEGIC TRus lrg cap etf | $14,312,000 | +3.9% | 238,368 | -0.1% | 6.72% | +0.4% |
Q2 2017
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| IVV | New | ISHARES TRcore s&p500 etf | $81,127,000 | – | 333,293 | – | 39.40% | – |
| VTI | New | VANGUARD INDEX FDStotal stk mkt | $36,926,000 | – | 296,710 | – | 17.93% | – |
| VOO | New | VANGUARD INDEX FDS | $15,317,000 | – | 68,979 | – | 7.44% | – |
| SCHB | New | SCHWAB STRATEGIC TRus brd mkt etf | $13,897,000 | – | 237,715 | – | 6.75% | – |
| SCHX | New | SCHWAB STRATEGIC TRus lrg cap etf | $13,780,000 | – | 238,532 | – | 6.69% | – |
| ITOT | New | ISHARES TRcore s&p ttl stk | $13,776,000 | – | 248,581 | – | 6.69% | – |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $13,644,000 | – | 56,426 | – | 6.63% | – |
| LQD | New | ISHARES TRiboxx inv cp etf | $9,038,000 | – | 75,000 | – | 4.39% | – |
| BY | New | BYLINE BANCORP INC | $4,376,000 | – | 218,266 | – | 2.12% | – |
| CPTA | New | CAPITALA FIN CORP | $2,976,000 | – | 228,737 | – | 1.44% | – |
| CIT | New | CIT GROUP INC | $342,000 | – | 7,026 | – | 0.17% | – |
| BACPRL | New | BANK AMER CORP7.25%cnv pfd l | $316,000 | – | 250 | – | 0.15% | – |
| NCLH | New | NORWEGIAN CRUISE LINE HLDGS | $180,000 | – | 3,321 | – | 0.09% | – |
| FSNN | New | FUSION TELECOMM INTL INC | $131,000 | – | 90,555 | – | 0.06% | – |
| L100PS | New | ARCONIC INC | $39,000 | – | 1,710 | – | 0.02% | – |
| RFP | New | RESOLUTE FST PRODS INC | $19,000 | – | 4,425 | – | 0.01% | – |
| AA | New | ALCOA CORP | $19,000 | – | 570 | – | 0.01% | – |
| NRG | New | NRG ENERGY INC | $2,000 | – | 118 | – | 0.00% | – |
Q4 2016
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| ABDC | Exit | ALCENTRA CAP CORP | $0 | – | 0 | – | 0.00% | – |
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.01% | – |
| AA | Exit | ALCOA INC | $0 | – | -5,131 | – | -0.03% | – |
| NCLH | Exit | NORWEGIAN CRUISE LINE HLDGS | $0 | – | -3,321 | – | -0.08% | – |
| FSNN | Exit | FUSION TELECOMM INTL INC | $0 | – | -90,555 | – | -0.09% | – |
| CIT | Exit | CIT GROUP INC | $0 | – | -7,026 | – | -0.15% | – |
| BACPRL | Exit | BANK AMER CORP7.25%cnv pfd l | $0 | – | -250 | – | -0.18% | – |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -226,247 | – | -1.77% | – |
| VWO | Exit | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $0 | – | -127,000 | – | -2.85% | – |
| ITOT | Exit | ISHARES TRcore s&p ttl stk | $0 | – | -104,602 | – | -3.09% | – |
| VOO | Exit | VANGUARD INDEX FDS | $0 | – | -44,685 | – | -5.30% | – |
| LQD | Exit | ISHARES TRiboxx inv cp etf | $0 | – | -75,000 | – | -5.51% | – |
| SPY | Exit | SPDR S&P 500 ETF TRtr unit | $0 | – | -56,523 | – | -7.29% | – |
| SCHB | Exit | SCHWAB STRATEGIC TRus brd mkt etf | $0 | – | -238,251 | – | -7.44% | – |
| IVV | Exit | ISHARES TRcore s&p500 etf | $0 | – | -62,066 | – | -8.05% | – |
| EFA | Exit | ISHARES TRmsci eafe etf | $0 | – | -244,000 | – | -8.61% | – |
| VTI | Exit | VANGUARD INDEX FDStotal stk mkt | $0 | – | -746,222 | – | -49.55% | – |
Q3 2016
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| ITOT | Buy | ISHARES TRcore s&p ttl stk | $5,181,000 | +4.0% | 104,602 | +100.0% | 3.09% | +7.7% |
| ABDC | Sell | ALCENTRA CAP CORP | $0 | -100.0% | 0 | -100.0% | 0.00% | -100.0% |
| MET | Exit | METLIFE INC | $0 | – | -10 | – | 0.00% | – |
| FSFR | Exit | FIFTH STR SR FLOATNG RATE CO | $0 | – | -400,098 | – | -1.83% | – |
Q2 2016
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VTI | New | VANGUARD INDEX FDStotal stk mkt | $79,965,000 | – | 746,222 | – | 46.03% | – |
| EFA | New | ISHARES TRmsci eafe etf | $13,620,000 | – | 244,000 | – | 7.84% | – |
| IVV | New | ISHARES TRcore s&p500 etf | $13,065,000 | – | 62,066 | – | 7.52% | – |
| SCHB | New | SCHWAB STRATEGIC TRus brd mkt etf | $11,984,000 | – | 238,251 | – | 6.90% | – |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $11,840,000 | – | 56,523 | – | 6.82% | – |
| LQD | New | ISHARES TRiboxx inv cp etf | $9,205,000 | – | 75,000 | – | 5.30% | – |
| ABDC | New | ALCENTRA CAP CORP | $8,752,000 | – | 720,349 | – | 5.04% | – |
| VOO | New | VANGUARD INDEX FDS | $8,588,000 | – | 44,685 | – | 4.94% | – |
| ITOT | New | ISHARES TRcore s&p ttl stk | $4,982,000 | – | 52,301 | – | 2.87% | – |
| VWO | New | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $4,474,000 | – | 127,000 | – | 2.58% | – |
| FSFR | New | FIFTH STR SR FLOATNG RATE CO | $3,185,000 | – | 400,098 | – | 1.83% | – |
| CPTA | New | CAPITALA FIN CORP | $3,167,000 | – | 226,247 | – | 1.82% | – |
| BACPRL | New | BANK AMER CORP7.25%cnv pfd l | $299,000 | – | 250 | – | 0.17% | – |
| CIT | New | CIT GROUP INC | $225,000 | – | 7,026 | – | 0.13% | – |
| FSNN | New | FUSION TELECOMM INTL INC | $167,000 | – | 90,555 | – | 0.10% | – |
| NCLH | New | NORWEGIAN CRUISE LINE HLDGS | $132,000 | – | 3,321 | – | 0.08% | – |
| AA | New | ALCOA INC | $48,000 | – | 5,131 | – | 0.03% | – |
| RFP | New | RESOLUTE FST PRODS INC | $23,000 | – | 4,425 | – | 0.01% | – |
| NRG | New | NRG ENERGY INC | $2,000 | – | 118 | – | 0.00% | – |
| MET | New | METLIFE INC | $0 | – | 10 | – | 0.00% | – |
Q4 2015
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.02% | – |
| FSNN | Exit | FUSION TELECOMM INTL INC | $0 | – | -90,555 | – | -0.08% | – |
| NCLH | Exit | NORWEGIAN CRUISE LINE HLDGS | $0 | – | -3,321 | – | -0.09% | – |
| BACPRL | Exit | BANK AMER CORP7.25%cnv pfd l | $0 | – | -250 | – | -0.12% | – |
| CIT | Exit | CIT GROUP INC | $0 | – | -7,026 | – | -0.13% | – |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -215,476 | – | -1.29% | – |
| FSFR | Exit | FIFTH STR SR FLOATNG RATE CO | $0 | – | -390,000 | – | -1.57% | – |
| VWO | Exit | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $0 | – | -127,000 | – | -1.93% | – |
| ITOT | Exit | ISHARES TRcore s&p ttl stk | $0 | – | -52,301 | – | -2.11% | – |
| LQD | Exit | ISHARES TRiboxx inv cp etf | $0 | – | -75,000 | – | -4.00% | – |
| ABDC | Exit | ALCENTRA CAP CORP | $0 | – | -855,555 | – | -4.56% | – |
| BCSPRCCL | Exit | BARCLAYS BANK PLCads7.75%pfd s4 | $0 | – | -520,000 | – | -6.18% | – |
| EFA | Exit | ISHARES TRmsci eafe etf | $0 | – | -244,000 | – | -6.43% | – |
| VOO | Exit | VANGUARD INDEX FDS | $0 | – | -88,185 | – | -7.13% | – |
| IVV | Exit | ISHARES TRcore s&p500 etf | $0 | – | -343,760 | – | -30.47% | – |
| VTI | Exit | VANGUARD INDEX FDStotal stk mkt | $0 | – | -746,222 | – | -33.89% | – |
Q3 2015
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VTI | Sell | VANGUARD INDEX FDStotal stk mkt | $73,667,000 | -17.0% | 746,222 | -10.1% | 33.89% | -6.5% |
| VOO | Sell | VANGUARD INDEX FDS | $15,495,000 | -12.9% | 88,185 | -6.4% | 7.13% | -1.8% |
| ABDC | Sell | ALCENTRA CAP CORP | $9,916,000 | -14.4% | 855,555 | -6.2% | 4.56% | -3.5% |
| FSNN | New | FUSION TELECOMM INTL INC | $170,000 | – | 90,555 | – | 0.08% | – |
Q2 2015
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| VTI | New | VANGUARD INDEX FDStotal stk mkt | $88,797,000 | – | 829,722 | – | 36.25% | – |
| IVV | New | ISHARES TRcore s&p500 etf | $71,234,000 | – | 343,760 | – | 29.08% | – |
| VOO | New | VANGUARD INDEX FDS | $17,786,000 | – | 94,185 | – | 7.26% | – |
| EFA | New | ISHARES TRmsci eafe etf | $15,492,000 | – | 244,000 | – | 6.32% | – |
| BCSPRCCL | New | BARCLAYS BANK PLCads7.75%pfd s4 | $13,473,000 | – | 520,000 | – | 5.50% | – |
| ABDC | New | ALCENTRA CAP CORP | $11,583,000 | – | 912,081 | – | 4.73% | – |
| LQD | New | ISHARES TRiboxx inv cp etf | $8,679,000 | – | 75,000 | – | 3.54% | – |
| VWO | New | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $5,192,000 | – | 127,000 | – | 2.12% | – |
| ITOT | New | ISHARES TRcore s&p ttl stk | $4,940,000 | – | 52,301 | – | 2.02% | – |
| FSFR | New | FIFTH STR SR FLOATNG RATE CO | $3,596,000 | – | 390,000 | – | 1.47% | – |
| CPTA | New | CAPITALA FIN CORP | $3,361,000 | – | 215,476 | – | 1.37% | – |
| CIT | New | CIT GROUP INC | $327,000 | – | 7,026 | – | 0.13% | – |
| BACPRL | New | BANK AMER CORP7.25%cnv pfd l | $278,000 | – | 250 | – | 0.11% | – |
| NCLH | New | NORWEGIAN CRUISE LINE HLDGS | $186,000 | – | 3,321 | – | 0.08% | – |
| RFP | New | RESOLUTE FST PRODS INC | $50,000 | – | 4,425 | – | 0.02% | – |
| NRG | New | NRG ENERGY INC | $3,000 | – | 118 | – | 0.00% | – |
Q4 2014
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.02% | – |
| BACPRL | Exit | BANK AMER CORP7.25%cnv pfd l | $0 | – | -250 | – | -0.09% | – |
| CIT | Exit | CIT GROUP INC | $0 | – | -7,026 | – | -0.10% | – |
| GILD | Exit | GILEAD SCIENCES INC | $0 | – | -3,500 | – | -0.12% | – |
| WFC | Exit | WELLS FARGO & CO NEW | $0 | – | -15,000 | – | -0.24% | – |
| DIS | Exit | DISNEY WALT CO | $0 | – | -11,500 | – | -0.32% | – |
| DEO | Exit | DIAGEO P L Cspon adr new | $0 | – | -11,600 | – | -0.42% | – |
| NVS | Exit | NOVARTIS A Gsponsored adr | $0 | – | -14,300 | – | -0.42% | – |
| UNP | Exit | UNION PAC CORP | $0 | – | -13,000 | – | -0.44% | – |
| CP | Exit | CANADIAN PAC RY LTD | $0 | – | -6,900 | – | -0.45% | – |
| APD | Exit | AIR PRODS & CHEMS INC | $0 | – | -12,000 | – | -0.49% | – |
| KRFT | Exit | KRAFT FOODS GROUP INC | $0 | – | -28,333 | – | -0.50% | – |
| EL | Exit | LAUDER ESTEE COS INCcl a | $0 | – | -21,400 | – | -0.50% | – |
| AAPL | Exit | APPLE INC | $0 | – | -16,800 | – | -0.53% | – |
| BUD | Exit | ANHEUSER BUSCH INBEV SA/NVsponsored adr | $0 | – | -16,200 | – | -0.57% | – |
| CMCSA | Exit | COMCAST CORP NEWcl a | $0 | – | -35,000 | – | -0.59% | – |
| FCX | Exit | FREEPORT-MCMORAN INCcl b | $0 | – | -60,000 | – | -0.62% | – |
| TWC | Exit | TIME WARNER CABLE INC | $0 | – | -14,000 | – | -0.63% | – |
| MRK | Exit | MERCK & CO INC NEW | $0 | – | -35,000 | – | -0.66% | – |
| BLK | Exit | BLACKROCK INC | $0 | – | -6,500 | – | -0.67% | – |
| PSX | Exit | PHILLIPS 66 | $0 | – | -27,500 | – | -0.70% | – |
| PX | Exit | PRAXAIR INC | $0 | – | -18,000 | – | -0.73% | – |
| TXN | Exit | TEXAS INSTRS INC | $0 | – | -50,000 | – | -0.75% | – |
| ABT | Exit | ABBOTT LABS | $0 | – | -60,000 | – | -0.79% | – |
| TGT | Exit | TARGET CORP | $0 | – | -42,000 | – | -0.83% | – |
| INTC | Exit | INTEL CORP | $0 | – | -80,000 | – | -0.88% | – |
| ADP | Exit | AUTOMATIC DATA PROCESSING IN | $0 | – | -35,000 | – | -0.92% | – |
| MDLZ | Exit | MONDELEZ INTL INCcl a | $0 | – | -85,000 | – | -0.92% | – |
| WAG | Exit | WALGREEN CO | $0 | – | -50,000 | – | -0.94% | – |
| CAT | Exit | CATERPILLAR INC DEL | $0 | – | -31,000 | – | -0.97% | – |
| OXY | Exit | OCCIDENTAL PETE CORP DEL | $0 | – | -32,500 | – | -0.99% | – |
| WMT | Exit | WAL-MART STORES INC | $0 | – | -43,000 | – | -1.04% | – |
| WPZ | Exit | WILLIAMS PARTNERS L P | $0 | – | -65,000 | – | -1.09% | – |
| ABBV | Exit | ABBVIE INC | $0 | – | -60,000 | – | -1.09% | – |
| CPTA | Exit | CAPITALA FIN CORP | $0 | – | -215,476 | – | -1.20% | – |
| JPM | Exit | JPMORGAN CHASE & CO | $0 | – | -64,000 | – | -1.22% | – |
| PEP | Exit | PEPSICO INC | $0 | – | -45,000 | – | -1.32% | – |
| COP | Exit | CONOCOPHILLIPS | $0 | – | -55,000 | – | -1.33% | – |
| IBM | Exit | INTERNATIONAL BUSINESS MACHS | $0 | – | -23,000 | – | -1.38% | – |
| FSFR | Exit | FIFTH STR SR FLOATNG RATE CO | $0 | – | -390,000 | – | -1.45% | – |
| MCD | Exit | MCDONALDS CORP | $0 | – | -53,000 | – | -1.58% | – |
| PG | Exit | PROCTER & GAMBLE CO | $0 | – | -60,400 | – | -1.60% | – |
| VWO | Exit | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $0 | – | -127,000 | – | -1.67% | – |
| MO | Exit | ALTRIA GROUP INC | $0 | – | -120,000 | – | -1.74% | – |
| EPD | Exit | ENTERPRISE PRODS PARTNERS L | $0 | – | -150,000 | – | -1.91% | – |
| JNJ | Exit | JOHNSON & JOHNSON | $0 | – | -65,000 | – | -2.18% | – |
| PAA | Exit | PLAINS ALL AMERN PIPELINE Lunit ltd partn | $0 | – | -130,000 | – | -2.41% | – |
| CVX | Exit | CHEVRON CORP NEW | $0 | – | -65,000 | – | -2.45% | – |
| KO | Exit | COCA COLA CO | $0 | – | -200,000 | – | -2.69% | – |
| LQD | Exit | ISHARES TRiboxx inv cp etf | $0 | – | -75,000 | – | -2.80% | – |
| TCPC | Exit | TCP CAP CORP | $0 | – | -566,625 | – | -2.87% | – |
| PM | Exit | PHILIP MORRIS INTL INC | $0 | – | -120,000 | – | -3.16% | – |
| XOM | Exit | EXXON MOBIL CORP | $0 | – | -110,000 | – | -3.26% | – |
| BCSPRCCL | Exit | BARCLAYS BANK PLCads7.75%pfd s4 | $0 | – | -520,000 | – | -4.24% | – |
| BKLN | Exit | POWERSHARES ETF TRUST IIsenior ln port | $0 | – | -600,000 | – | -4.60% | – |
| EFA | Exit | ISHARES TRmsci eafe etf | $0 | – | -244,000 | – | -4.94% | – |
| VOO | Exit | VANGUARD INDEX FDS | $0 | – | -190,000 | – | -10.82% | – |
| IVV | Exit | ISHARES TRcore s&p500 etf | $0 | – | -258,000 | – | -16.13% | – |
Q3 2014
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| TCPC | Sell | TCP CAP CORP | $9,106,000 | -32.5% | 566,625 | -23.6% | 2.87% | -31.3% |
| EPD | Buy | ENTERPRISE PRODS PARTNERS L | $6,045,000 | +2.9% | 150,000 | +100.0% | 1.91% | +5.0% |
| BUD | New | ANHEUSER BUSCH INBEV SA/NVsponsored adr | $1,796,000 | – | 16,200 | – | 0.57% | – |
| UNP | Buy | UNION PAC CORP | $1,409,000 | +28.4% | 13,000 | +18.2% | 0.44% | +30.6% |
Q2 2014
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| IVV | New | ISHAREScore s&p500 etf | $50,826,000 | – | 258,000 | – | 15.73% | – |
| VOO | New | VANGUARD INDEX FDS | $34,092,000 | – | 190,000 | – | 10.55% | – |
| EFA | New | ISHARESmsci eafe etf | $16,682,000 | – | 244,000 | – | 5.16% | – |
| BKLN | New | POWERSHARES ETF TRUST IIsenior ln port | $14,922,000 | – | 600,000 | – | 4.62% | – |
| TCPC | New | TCP CAP CORP | $13,498,000 | – | 741,225 | – | 4.18% | – |
| BCSPRCCL | New | BARCLAYS BANK PLCads7.75%pfd s4 | $13,400,000 | – | 520,000 | – | 4.15% | – |
| XOM | New | EXXON MOBIL CORP | $11,075,000 | – | 110,000 | – | 3.43% | – |
| PM | New | PHILIP MORRIS INTL INC | $10,117,000 | – | 120,000 | – | 3.13% | – |
| LQD | New | ISHARESiboxx inv cp etf | $8,945,000 | – | 75,000 | – | 2.77% | – |
| CVX | New | CHEVRON CORP NEW | $8,486,000 | – | 65,000 | – | 2.63% | – |
| KO | New | COCA COLA CO | $8,472,000 | – | 200,000 | – | 2.62% | – |
| PAA | New | PLAINS ALL AMERN PIPELINE Lunit ltd partn | $7,807,000 | – | 130,000 | – | 2.42% | – |
| JNJ | New | JOHNSON & JOHNSON | $6,800,000 | – | 65,000 | – | 2.10% | – |
| EPD | New | ENTERPRISE PRODS PARTNERS L | $5,872,000 | – | 75,000 | – | 1.82% | – |
| VWO | New | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $5,478,000 | – | 127,000 | – | 1.70% | – |
| FSFR | New | FIFTH STR SR FLOATNG RATE CO | $5,472,000 | – | 390,000 | – | 1.69% | – |
| MCD | New | MCDONALDS CORP | $5,339,000 | – | 53,000 | – | 1.65% | – |
| MO | New | ALTRIA GROUP INC | $5,033,000 | – | 120,000 | – | 1.56% | – |
| PG | New | PROCTER & GAMBLE CO | $4,747,000 | – | 60,400 | – | 1.47% | – |
| COP | New | CONOCOPHILLIPS | $4,715,000 | – | 55,000 | – | 1.46% | – |
| IBM | New | INTERNATIONAL BUSINESS MACHS | $4,169,000 | – | 23,000 | – | 1.29% | – |
| CPTA | New | CAPITALA FIN CORP | $4,070,000 | – | 215,476 | – | 1.26% | – |
| PEP | New | PEPSICO INC | $4,020,000 | – | 45,000 | – | 1.24% | – |
| WAG | New | WALGREEN CO | $3,707,000 | – | 50,000 | – | 1.15% | – |
| JPM | New | JPMORGAN CHASE & CO | $3,688,000 | – | 64,000 | – | 1.14% | – |
| WPZ | New | WILLIAMS PARTNERS L P | $3,529,000 | – | 65,000 | – | 1.09% | – |
| ABBV | New | ABBVIE INC | $3,386,000 | – | 60,000 | – | 1.05% | – |
| CAT | New | CATERPILLAR INC DEL | $3,369,000 | – | 31,000 | – | 1.04% | – |
| OXY | New | OCCIDENTAL PETE CORP DEL | $3,335,000 | – | 32,500 | – | 1.03% | – |
| WMT | New | WAL-MART STORES INC | $3,228,000 | – | 43,000 | – | 1.00% | – |
| MDLZ | New | MONDELEZ INTL INCcl a | $3,197,000 | – | 85,000 | – | 0.99% | – |
| ADP | New | AUTOMATIC DATA PROCESSING IN | $2,775,000 | – | 35,000 | – | 0.86% | – |
| INTC | New | INTEL CORP | $2,472,000 | – | 80,000 | – | 0.76% | – |
| ABT | New | ABBOTT LABS | $2,454,000 | – | 60,000 | – | 0.76% | – |
| TGT | New | TARGET CORP | $2,434,000 | – | 42,000 | – | 0.75% | – |
| TXN | New | TEXAS INSTRS INC | $2,390,000 | – | 50,000 | – | 0.74% | – |
| PX | New | PRAXAIR INC | $2,391,000 | – | 18,000 | – | 0.74% | – |
| PSX | New | PHILLIPS 66 | $2,212,000 | – | 27,500 | – | 0.68% | – |
| FCX | New | FREEPORT-MCMORAN COPPER & GO | $2,190,000 | – | 60,000 | – | 0.68% | – |
| BLK | New | BLACKROCK INC | $2,077,000 | – | 6,500 | – | 0.64% | – |
| TWC | New | TIME WARNER CABLE INC | $2,062,000 | – | 14,000 | – | 0.64% | – |
| MRK | New | MERCK & CO INC NEW | $2,025,000 | – | 35,000 | – | 0.63% | – |
| CMCSA | New | COMCAST CORP NEWcl a | $1,879,000 | – | 35,000 | – | 0.58% | – |
| KRFT | New | KRAFT FOODS GROUP INC | $1,699,000 | – | 28,333 | – | 0.53% | – |
| EL | New | LAUDER ESTEE COS INCcl a | $1,589,000 | – | 21,400 | – | 0.49% | – |
| AAPL | New | APPLE INC | $1,561,000 | – | 16,800 | – | 0.48% | – |
| APD | New | AIR PRODS & CHEMS INC | $1,543,000 | – | 12,000 | – | 0.48% | – |
| DEO | New | DIAGEO P L Cspon adr new | $1,476,000 | – | 11,600 | – | 0.46% | – |
| NVS | New | NOVARTIS A Gsponsored adr | $1,295,000 | – | 14,300 | – | 0.40% | – |
| CP | New | CANADIAN PAC RY LTD | $1,250,000 | – | 6,900 | – | 0.39% | – |
| UNP | New | UNION PAC CORP | $1,097,000 | – | 11,000 | – | 0.34% | – |
| DIS | New | DISNEY WALT CO | $986,000 | – | 11,500 | – | 0.30% | – |
| WFC | New | WELLS FARGO & CO NEW | $788,000 | – | 15,000 | – | 0.24% | – |
| CIT | New | CIT GROUP INC | $321,000 | – | 7,026 | – | 0.10% | – |
| BACPRL | New | BANK OF AMERICA CORPORATION7.25%cnv pfd l | $293,000 | – | 250 | – | 0.09% | – |
| GILD | New | GILEAD SCIENCES INC | $290,000 | – | 3,500 | – | 0.09% | – |
| RFP | New | RESOLUTE FST PRODS INC | $74,000 | – | 4,425 | – | 0.02% | – |
| NRG | New | NRG ENERGY INC | $4,000 | – | 118 | – | 0.00% | – |
Q4 2013
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| NRG | Exit | NRG ENERGY INC | $0 | – | -118 | – | -0.00% | – |
| RFP | Exit | RESOLUTE FST PRODS INC | $0 | – | -4,425 | – | -0.02% | – |
| BACPRL | Exit | BANK OF AMERICA CORPORATION7.25%cnv pfd l | $0 | – | -250 | – | -0.09% | – |
| CIT | Exit | CIT GROUP INC | $0 | – | -7,026 | – | -0.11% | – |
| DIS | Exit | DISNEY WALT CO | $0 | – | -11,500 | – | -0.25% | – |
| CP | Exit | CANADIAN PAC RY LTD | $0 | – | -6,900 | – | -0.28% | – |
| NVS | Exit | NOVARTIS A Gsponsored adr | $0 | – | -14,300 | – | -0.36% | – |
| AAPL | Exit | APPLE INC | $0 | – | -2,400 | – | -0.38% | – |
| APD | Exit | AIR PRODS & CHEMS INC | $0 | – | -12,000 | – | -0.42% | – |
| DEO | Exit | DIAGEO P L Cspon adr new | $0 | – | -11,600 | – | -0.49% | – |
| KRFT | Exit | KRAFT FOODS GROUP INC | $0 | – | -28,333 | – | -0.49% | – |
| EL | Exit | LAUDER ESTEE COS INCcl a | $0 | – | -21,400 | – | -0.50% | – |
| TWC | Exit | TIME WARNER CABLE INC | $0 | – | -14,000 | – | -0.52% | – |
| CMCSA | Exit | COMCAST CORP NEWcl a | $0 | – | -35,000 | – | -0.52% | – |
| PSX | Exit | PHILLIPS 66 | $0 | – | -27,500 | – | -0.53% | – |
| MRK | Exit | MERCK & CO INC NEW | $0 | – | -35,000 | – | -0.55% | – |
| BLK | Exit | BLACKROCK INC | $0 | – | -6,500 | – | -0.58% | – |
| INTC | Exit | INTEL CORP | $0 | – | -80,000 | – | -0.61% | – |
| FCX | Exit | FREEPORT-MCMORAN COPPER & GO | $0 | – | -60,000 | – | -0.66% | – |
| ABT | Exit | ABBOTT LABS | $0 | – | -60,000 | – | -0.66% | – |
| TXN | Exit | TEXAS INSTRS INC | $0 | – | -50,000 | – | -0.67% | – |
| PX | Exit | PRAXAIR INC | $0 | – | -18,000 | – | -0.72% | – |
| ADP | Exit | AUTOMATIC DATA PROCESSING IN | $0 | – | -35,000 | – | -0.84% | – |
| WAG | Exit | WALGREEN CO | $0 | – | -49,600 | – | -0.88% | – |
| MDLZ | Exit | MONDELEZ INTL INCcl a | $0 | – | -85,000 | – | -0.88% | – |
| ABBV | Exit | ABBVIE INC | $0 | – | -60,000 | – | -0.89% | – |
| TGT | Exit | TARGET CORP | $0 | – | -42,000 | – | -0.89% | – |
| CAT | Exit | CATERPILLAR INC DEL | $0 | – | -36,000 | – | -0.99% | – |
| OXY | Exit | OCCIDENTAL PETE CORP DEL | $0 | – | -32,500 | – | -1.01% | – |
| WMT | Exit | WAL-MART STORES INC | $0 | – | -43,000 | – | -1.05% | – |
| JPM | Exit | JPMORGAN CHASE & CO | $0 | – | -64,000 | – | -1.10% | – |
| WPZ | Exit | WILLIAMS PARTNERS L P | $0 | – | -65,000 | – | -1.14% | – |
| PEP | Exit | PEPSICO INC | $0 | – | -45,000 | – | -1.18% | – |
| COP | Exit | CONOCOPHILLIPS | $0 | – | -55,000 | – | -1.27% | – |
| MO | Exit | ALTRIA GROUP INC | $0 | – | -120,000 | – | -1.36% | – |
| IBM | Exit | INTERNATIONAL BUSINESS MACHS | $0 | – | -23,000 | – | -1.41% | – |
| PG | Exit | PROCTER & GAMBLE CO | $0 | – | -60,400 | – | -1.51% | – |
| EPD | Exit | ENTERPRISE PRODS PARTNERS L | $0 | – | -75,000 | – | -1.52% | – |
| VWO | Exit | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $0 | – | -127,000 | – | -1.69% | – |
| MCD | Exit | MCDONALDS CORP | $0 | – | -53,000 | – | -1.69% | – |
| FSFR | Exit | FIFTH STR SR FLOATNG RATE CO | $0 | – | -400,000 | – | -1.79% | – |
| JNJ | Exit | JOHNSON & JOHNSON | $0 | – | -65,000 | – | -1.87% | – |
| PAA | Exit | PLAINS ALL AMERN PIPELINE Lunit ltd partn | $0 | – | -130,000 | – | -2.27% | – |
| KO | Exit | COCA COLA CO | $0 | – | -200,000 | – | -2.51% | – |
| CVX | Exit | CHEVRON CORP NEW | $0 | – | -65,000 | – | -2.62% | – |
| XOM | Exit | EXXON MOBIL CORP | $0 | – | -110,000 | – | -3.13% | – |
| PM | Exit | PHILIP MORRIS INTL INC | $0 | – | -120,000 | – | -3.44% | – |
| TCPC | Exit | TCP CAP CORP | $0 | – | -741,225 | – | -3.98% | – |
| BCSPRCCL | Exit | BARCLAYS BANK PLCads7.75%pfd s4 | $0 | – | -520,000 | – | -4.35% | – |
| EFA | Exit | ISHARESmsci eafe etf | $0 | – | -244,000 | – | -5.16% | – |
| IGIB | Exit | ISHARESinterm cr bd etf | $0 | – | -223,467 | – | -7.99% | – |
| IVV | Exit | ISHAREScore s&p500 etf | $0 | – | -146,000 | – | -8.17% | – |
| BKLN | Exit | POWERSHARES ETF TRUST IIsenior ln port | $0 | – | -1,200,000 | – | -9.81% | – |
| LQD | Exit | ISHARESiboxx inv cp etf | $0 | – | -325,000 | – | -12.22% | – |
Q3 2013
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| LQD | Sell | ISHARESiboxx inv cp etf | $36,894,000 | -56.7% | 325,000 | -56.7% | 12.22% | -57.3% |
| IVV | New | ISHAREScore s&p500 etf | $24,659,000 | – | 146,000 | – | 8.17% | – |
| EFA | New | ISHARESmsci eafe etf | $15,567,000 | – | 244,000 | – | 5.16% | – |
| FSFR | New | FIFTH STR SR FLOATNG RATE CO | $5,416,000 | – | 400,000 | – | 1.79% | – |
| VWO | New | VANGUARD INTL EQUITY INDEX Fftse emr mkt etf | $5,097,000 | – | 127,000 | – | 1.69% | – |
| CMCSA | Buy | COMCAST CORP NEWcl a | $1,579,000 | +40.1% | 35,000 | +29.6% | 0.52% | +38.4% |
| NVS | Buy | NOVARTIS A Gsponsored adr | $1,097,000 | +318.7% | 14,300 | +286.5% | 0.36% | +312.5% |
| RFP | Buy | RESOLUTE FST PRODS INC | $58,000 | +9.4% | 4,425 | +10.8% | 0.02% | +5.6% |
Q2 2013
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| LQD | New | ISHARES TRiboxx inv cpbd | $85,238,000 | – | 750,000 | – | 28.62% | – |
| BKLN | New | POWERSHARES ETF TRUST IIsenior ln port | $29,700,000 | – | 1,200,000 | – | 9.97% | – |
| IGIB | New | ISHARES TRbarclys inter cr | $24,071,000 | – | 223,467 | – | 8.08% | – |
| BCSPRCCL | New | BARCLAYS BANK PLCads7.75%pfd s4 | $13,130,000 | – | 520,000 | – | 4.41% | – |
| TCPC | New | TCP CAP CORP | $12,430,000 | – | 741,225 | – | 4.17% | – |
| PM | New | PHILIP MORRIS INTL INC | $10,394,000 | – | 120,000 | – | 3.49% | – |
| XOM | New | EXXON MOBIL CORP | $9,939,000 | – | 110,000 | – | 3.34% | – |
| KO | New | COCA COLA CO | $8,022,000 | – | 200,000 | – | 2.69% | – |
| CVX | New | CHEVRON CORP NEW | $7,692,000 | – | 65,000 | – | 2.58% | – |
| PAA | New | PLAINS ALL AMERN PIPELINE Lunit ltd partn | $7,255,000 | – | 130,000 | – | 2.44% | – |
| JNJ | New | JOHNSON & JOHNSON | $5,581,000 | – | 65,000 | – | 1.87% | – |
| MCD | New | MCDONALDS CORP | $5,247,000 | – | 53,000 | – | 1.76% | – |
| EPD | New | ENTERPRISE PRODS PARTNERS L | $4,661,000 | – | 75,000 | – | 1.56% | – |
| PG | New | PROCTER & GAMBLE CO | $4,650,000 | – | 60,400 | – | 1.56% | – |
| IBM | New | INTERNATIONAL BUSINESS MACHS | $4,396,000 | – | 23,000 | – | 1.48% | – |
| MO | New | ALTRIA GROUP INC | $4,199,000 | – | 120,000 | – | 1.41% | – |
| PEP | New | PEPSICO INC | $3,681,000 | – | 45,000 | – | 1.24% | – |
| JPM | New | JPMORGAN CHASE & CO | $3,379,000 | – | 64,000 | – | 1.14% | – |
| WPZ | New | WILLIAMS PARTNERS L P | $3,354,000 | – | 65,000 | – | 1.13% | – |
| COP | New | CONOCOPHILLIPS | $3,328,000 | – | 55,000 | – | 1.12% | – |
| WMT | New | WAL-MART STORES INC | $3,203,000 | – | 43,000 | – | 1.08% | – |
| CAT | New | CATERPILLAR INC DEL | $2,970,000 | – | 36,000 | – | 1.00% | – |
| OXY | New | OCCIDENTAL PETE CORP DEL | $2,900,000 | – | 32,500 | – | 0.97% | – |
| TGT | New | TARGET CORP | $2,892,000 | – | 42,000 | – | 0.97% | – |
| ABBV | New | ABBVIE INC | $2,480,000 | – | 60,000 | – | 0.83% | – |
| MDLZ | New | MONDELEZ INTL INCcl a | $2,425,000 | – | 85,000 | – | 0.81% | – |
| ADP | New | AUTOMATIC DATA PROCESSING IN | $2,410,000 | – | 35,000 | – | 0.81% | – |
| WAG | New | WALGREEN CO | $2,192,000 | – | 49,600 | – | 0.74% | – |
| ABT | New | ABBOTT LABS | $2,093,000 | – | 60,000 | – | 0.70% | – |
| PX | New | PRAXAIR INC | $2,073,000 | – | 18,000 | – | 0.70% | – |
| INTC | New | INTEL CORP | $1,938,000 | – | 80,000 | – | 0.65% | – |
| TXN | New | TEXAS INSTRS INC | $1,743,000 | – | 50,000 | – | 0.58% | – |
| BLK | New | BLACKROCK INC | $1,670,000 | – | 6,500 | – | 0.56% | – |
| FCX | New | FREEPORT-MCMORAN COPPER & GO | $1,657,000 | – | 60,000 | – | 0.56% | – |
| MRK | New | MERCK & CO INC NEW | $1,626,000 | – | 35,000 | – | 0.55% | – |
| PSX | New | PHILLIPS 66 | $1,620,000 | – | 27,500 | – | 0.54% | – |
| KRFT | New | KRAFT FOODS GROUP INC | $1,583,000 | – | 28,333 | – | 0.53% | – |
| TWC | New | TIME WARNER CABLE INC | $1,575,000 | – | 14,000 | – | 0.53% | – |
| EL | New | LAUDER ESTEE COS INCcl a | $1,407,000 | – | 21,400 | – | 0.47% | – |
| DEO | New | DIAGEO P L Cspon adr new | $1,333,000 | – | 11,600 | – | 0.45% | – |
| CMCSA | New | COMCAST CORP NEWcl a | $1,127,000 | – | 27,000 | – | 0.38% | – |
| APD | New | AIR PRODS & CHEMS INC | $1,099,000 | – | 12,000 | – | 0.37% | – |
| AAPL | New | APPLE INC | $952,000 | – | 2,400 | – | 0.32% | – |
| CP | New | CANADIAN PAC RY LTD | $838,000 | – | 6,900 | – | 0.28% | – |
| DIS | New | DISNEY WALT CO | $726,000 | – | 11,500 | – | 0.24% | – |
| CIT | New | CIT GROUP INC | $327,000 | – | 7,026 | – | 0.11% | – |
| BACPRL | New | BANK OF AMERICA CORPORATION7.25%cnv pfd l | $277,000 | – | 250 | – | 0.09% | – |
| NVS | New | NOVARTIS A Gsponsored adr | $262,000 | – | 3,700 | – | 0.09% | – |
| RFP | New | RESOLUTE FST PRODS INC | $53,000 | – | 3,993 | – | 0.02% | – |
| NRG | New | NRG ENERGY INC | $3,000 | – | 118 | – | 0.00% | – |