Current Holdings (from 13F, 13D)

InvestorCrow Point Partners, LLC
Portfolio Value$ 624,588,000
Current Positions214
Opened Positions5
Closed Positions74

Crow Point Partners, LLC has disclosed 214 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 624,588,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed). Crow Point Partners, LLC's top holdings are Edison International (NYSE:EIX) , Shenandoah Telecommunications Co. (NASDAQ:SHEN) , PNM Resources, Inc. (NYSE:PNM) , Eversource Energy (NYSE:ES) , and NextEra Energy, Inc. (NYSE:NEE) . Crow Point Partners, LLC's new positions include FirstEnergy Corp. (NYSE:FE) , Annaly Capital Management, Inc. (NYSE:NLY.PRF) , iShares PHLX Semiconductor ETF (NASDAQ:SOXX) , Schwab U.S. Broad Market ETF (NYSE:SCHB) , and Oasis Midstream Partners LP (NYSE:OMP) .


All Crow Point Partners, LLC holdings are listed in the following table. This data is sourced from 13D/13G, and 13F filings. Green rows indicate new positions. Red rows indicate closed positions.

This 13F was filed on 2017-10-05. Click the link icon to see the full transaction history.

Reporting PeriodFormSecurity Imputed
Share Price
Prev SharesCurrent SharesChange
(Percent)
Prev Value ($K)Current Value ($K)Change
(Percent)
2017‑09‑30 13F-HR SPDR Bloomberg Barclays 1-3 Month T-Bill ETF / EQUITY (78464A680) 45.74 36,053 1,649
2017‑09‑30 13F-HR BDX / Becton Dickinson & Co. 193.70 4,868 1,048 -78.47 941 203 -78.43
2017‑09‑30 13F-HR BABA / Alibaba Group Holding Limited 170.60 2,027 762 -62.41 285 130 -54.39
2017‑09‑30 13F-HR IDA / IDACORP, Inc. 88.56 25,000 25,000 0.00 2,140 2,214 3.46
2017‑09‑30 13F-HR ICE / Intercontinental Exchange, Inc. 68.47 13,467 6,981 -48.16 887 478 -46.11
2017‑09‑30 13F-HR HTZ / Hertz Global Holdings, Inc. 23.69 4,727 112
2017‑09‑30 13F-HR HUBS / HubSpot, Inc. 81.31 578 47
2017‑09‑30 13F-HR IBB / iShares Nasdaq Biotechnology ETF 330.19 1,060 350
2017‑09‑30 13F-HR IEF / iShares 7-10 Year Treasury Bond ETF 106.68 3,712 396
2017‑09‑30 13F-HR XLE / SPDR Energy Select Sector ETF 68.44 5,000 7,423 48.46 323 508 57.28
2017‑09‑30 13F-HR WDR / Waddell & Reed Financial, Inc. 19.91 17,263 15,473 -10.37 331 308 -6.95
2017‑09‑30 13F-HR WHLRD / Wheeler Real Estate Investment Trust, Inc., 8.75% Series D Cumulative Convertible Preferred Stock 22.45 200,000 200,000 0.00 4,638 4,490 -3.19
2017‑09‑30 13F-HR EEFT / Euronet Worldwide, Inc. 93.98 8,628 1,479 -82.86 749 139 -81.44
2017‑09‑30 13F-HR ETR / Entergy Corp. 76.00 1,000 1,000 0.00 77 76 -1.30
2017‑09‑30 13F-HR AMZN / Amazon.com, Inc. 959.06 44 171 288.64 43 164 281.40
2017‑09‑30 13F-HR NJR / New Jersey Resources Corp. 42.50 400 400 0.00 16 17 6.25
2017‑09‑30 13F-HR ALE / ALLETE, Inc. 77.80 10,000 10,000 0.00 722 778 7.76
2017‑09‑30 13F-HR T / AT & T, Inc. 39.04 150,000 150,000 0.00 5,643 5,856 3.77
2017‑09‑30 13F-HR JBLU / JetBlue Airways Corp. 27,814 0 -100.00 636 0 -100.00
2017‑09‑30 13F-HR LYB / LyondellBasell Industries NV 891 0 -100.00 75 0 -100.00
2017‑09‑30 13F-HR ARH.PRC / Arch Capital Group Ltd. 1,847 0 -100.00 174 0 -100.00
2017‑09‑30 13F-HR FTSL / First Trust Senior Loan Fund ETF 11,612 0 -100.00 562 0 -100.00
2017‑09‑30 13F-HR OHI / Omega HealthCare Investors, Inc. 1,644 0 -100.00 54 0 -100.00
2017‑09‑30 13F-HR Alabama Power Company 5 Cum Pfd Registered Shs A / EQUITY (010392462) 25.71 140,000 3,599
2017‑09‑30 13F-HR GREENHUNTER WATER WARRANTS / EQUITY (395990708) 0.00 96,112 0
2017‑09‑30 13F-HR ACM / AECOM 37.04 2,754 102
2017‑09‑30 13F-HR ADI / Analog Devices, Inc. 85.89 1,630 140
2017‑09‑30 13F-HR AB / AllianceBernstein Holding L.P. 24.26 4,068 5,564 36.77 95 135 42.11
2017‑09‑30 13F-HR AMTD / TD AmeriTrade Holding Corp. 48.87 2,087 102
2017‑09‑30 13F-HR NLY.PRF / Annaly Capital Management, Inc. 25.55 40,000 1,022
2017‑09‑30 13F-HR AWR / American States Water Co. (Holding Co.) 49.52 9,733 482
2017‑09‑30 13F-HR AON / Aon Plc 146.55 0 464 0 68
2017‑09‑30 13F-HR CHT / Chunghwa Telecom Co. Ltd. 33.84 495,249 326,013 -34.17 17,418 11,032 -36.66
2017‑09‑30 13F-HR BTI / British American Tobacco p.l.c. 0.00 1 0
2017‑09‑30 13F-HR BX / Blackstone Group L.P. (The) 33.29 7,000 233
2017‑09‑30 13F-HR CCI / Crown Castle International Corp. 100.67 1,500 151
2017‑09‑30 13F-HR CAR / Avis Budget Group, Inc. 38.19 0 2,802 0 107
2017‑09‑30 13F-HR CACI / CACI International, Inc. 139.67 5,969 4,353 -27.07 743 608 -18.17
2017‑09‑30 13F-HR CHKP / Check Point Software Technologies Ltd. 112.42 2,904 4,928 69.70 318 554 74.21
2017‑09‑30 13F-HR COST / Costco Wholesale Corp. 164.12 2,157 354
2017‑09‑30 13F-HR CPRT / Copart, Inc. 34.23 5,784 198
2017‑09‑30 13F-HR iShares Core U.S. Credit Bond ETF / EQUITY (464288620) 112.17 3,566 400
2017‑09‑30 13F-HR CVLT / CommVault Systems, Inc. 61.12 4,696 287
2017‑09‑30 13F-HR CWT / California Water Service Group 37.83 13,031 493
2017‑09‑30 13F-HR DBO / PowerShares DB Oil Fund 8.81 62,285 549
2017‑09‑30 13F-HR ProShares Ultra Oil & Gas / EQUITY (74347R719) 35.15 3,727 131
2017‑09‑30 13F-HR United States Short Oil Fund LP / EQUITY (912613205) 66.19 5,152 341
2017‑09‑30 13F-HR DATA / Tableau Software, Inc. 74.64 8,624 1,956 -77.32 533 146 -72.61
2017‑09‑30 13F-HR CMCSA / Comcast Corp. 37.82 450,200 450,200 0.00 17,499 17,027 -2.70
2017‑09‑30 13F-HR EIX / Edison International 77.57 485,000 485,000 0.00 37,908 37,621 -0.76
2017‑09‑30 13F-HR EDV / Vanguard Extended Duration Treasury ETF 116.59 3,328 388
2017‑09‑30 13F-HR Connecticut Light & Power Co 5.28 Cum.Red.Pfd Shs Series 1967 / EQUITY (207597782) 51.17 12,000 12,000 0.00 609 614 0.82
2017‑09‑30 13F-HR EEM / iShares MSCI Emerging Markets ETF 43.90 934 41
2017‑09‑30 13F-HR EYNOP / Entergy New Orleans, 4.36% Series Cumulative Preferred Stock 102.53 5,530 567
2017‑09‑30 13F-HR FE / FirstEnergy Corp. 30.07 300,000 9,021
2017‑09‑30 13F-HR FDC / First Data Corporation 17.87 42,373 20,317 -52.05 781 363 -53.52
2017‑09‑30 13F-HR GXP / Great Plains Energy, Inc. 30.38 310,000 310,000 0.00 9,052 9,418 4.04
2017‑09‑30 13F-HR GST-B / Gastar Exploration Inc. 10.75% Series B Preferred 18.15 56,900 56,900 0.00 1,102 1,033 -6.26
2017‑09‑30 13F-HR GPJ / Georgia Power Co. 100.28 44,043 31,662 -28.11 4,466 3,175 -28.91
2017‑09‑30 13F-HR First Trust Nasdaq Semiconductor ETF / EQUITY (33738R811) 27.40 146 4
2017‑09‑30 13F-HR Gladstone Capital Corp 6 Cum Red Pfd Registered Shs Series -2024- / EQUITY (376535506) 25.20 25,000 630
2017‑09‑30 13F-HR Global Medical REIT Inc 7.5 Cum Conv Red Perp Pfd Registered Shs Series A / EQUITY (37957W203) 24.86 70,000 1,740
2017‑09‑30 13F-HR Global Net Lease Inc Cum Red Preferred Registered Shs Series A / EQUITY (379378300) 25.00 10,000 250
2017‑09‑30 13F-HR Georgia Power Co 5 Notes 2017-01.10.77 Global Series 2017A / EQUITY (373334440) 25.12 50,000 1,256
2017‑09‑30 13F-HR HACK / PureFunds ISE Cyber Security ETF 29.93 5,846 175
2017‑09‑30 13F-HR IHF / iShares U.S. Healthcare Providers ETF 146.84 1,185 174
2017‑09‑30 13F-HR ITA / iShares U.S. Aerospace & Defense ETF 178.84 2,874 514
2017‑09‑30 13F-HR IWV / iShares Russell 3000 ETF 148.76 1,768 263
2017‑09‑30 13F-HR IYW / iShares U.S. Technology ETF 148.78 2,339 348
2017‑09‑30 13F-HR NUGT / Direxion Daily Gold Miners Bull 3x Shares 84.00 1,000 84
2017‑09‑30 13F-HR Tierra XP Latin America Real Estate ETF / EQUITY (26924G508) 31.37 44,658 1,401
2017‑09‑30 13F-HR LNT / Alliant Energy Corp. 41.70 588,000 588,000 0.00 23,785 24,520 3.09
2017‑09‑30 13F-HR MDLZ / Mondelez International, Inc. 40.53 5,374 4,096 -23.78 232 166 -28.45
2017‑09‑30 13F-HR PDPR / Marathon Group Corp. 55.32 2,314 128
2017‑09‑30 13F-HR NFLX / Netflix, Inc. 182.43 1,036 189
2017‑09‑30 13F-HR OMP / Oasis Midstream Partners LP 17.00 35,000 595
2017‑09‑30 13F-HR OKTA / Okta, Inc. 28.97 9,560 277
2017‑09‑30 13F-HR OSTK / Overstock.com, Inc. 29.09 6,600 192
2017‑09‑30 13F-HR Pennsylvania Real Estate Investment Trust 6.875 Cum Red Perp Registered Pfd Shs Series D / EQUITY (709102701) 25.00 5,000 125
2017‑09‑30 13F-HR PowerShares Dynamic Semiconductors Portfolio / EQUITY (73935X781) 48.92 6,133 300
2017‑09‑30 13F-HR QLD / ProShares Ultra QQQ 63.37 4,876 309
2017‑09‑30 13F-HR SCHB / Schwab U.S. Broad Market ETF 60.68 11,652 707
2017‑09‑30 13F-HR SCHE / Schwab Emerging Markets Equity ETF 26.60 18,045 480
2017‑09‑30 13F-HR SCHF / Schwab International Equity ETF 33.27 12,264 408
2017‑09‑30 13F-HR SCHH / Schwab U.S. REIT ETF 41.25 1,988 82
2017‑09‑30 13F-HR SCO / ProShares UltraShort Blrg CrdOil 33.71 13,616 459
2017‑09‑30 13F-HR SC / Santander Consumer USA Holdings Inc. 15.22 5,848 89
2017‑09‑30 13F-HR ProShares Short S&P500 / EQUITY (74347B425) 32.25 5,674 183
2017‑09‑30 13F-HR SJW / SJW Corp. 57.37 6,502 373
2017‑09‑30 13F-HR SOXX / iShares PHLX Semiconductor ETF 157.29 5,175 814
2017‑09‑30 13F-HR ProShares UltraPro Short QQQ / EQUITY (74348A160) 27.40 10,000 274
2017‑09‑30 13F-HR Spirit Realty 6 Series A Cum Red Pref / EQUITY (84860W201) 25.00 10,000 250
2017‑09‑30 13F-HR SRPT / Sarepta Therapeutics, Inc. 47.27 952 45
2017‑09‑30 13F-HR TCF Financial Corp Deposit Shs Repr 1/1000th Non-Cum Pfd Shs Series C / EQUITY (872275300) 25.40 10,000 254
2017‑09‑30 13F-HR Carlyle Group LP 5.875 Non Cum Red Perp Pfd Units Series A / EQUITY (14309L201) 25.20 2,500 63
2017‑09‑30 13F-HR TLH / iShares 10-20 Year Treasury Bond ETF 136.44 2,895 395
2017‑09‑30 13F-HR TLO / SPDR Barclays Long Term Treasury ETF 71.91 5,479 394
2017‑09‑30 13F-HR TLT / iShares 20+ Year Treasury Bond ETF 124.44 4,251 529
2017‑09‑30 13F-HR TriplePoint Venture Growth BDC Corp 5.75 Notes 2017-15.07.22 Global / EQUITY (89677Y308) 25.19 37,000 932
2017‑09‑30 13F-HR ProShares UltraPro QQQ / EQUITY (74347X831) 111.93 2,037 228
2017‑09‑30 13F-HR TSLA / Tesla Motors, Inc. 340.00 100 34
2017‑09‑30 13F-HR VGIT / Vanguard Intermediate-Term Government Bond Index Fund 64.80 6,142 398
2017‑09‑30 13F-HR VNQ / Vanguard REIT ETF 82.75 568 47
2017‑09‑30 13F-HR VOO / Vanguard S&P 500 ETF 229.66 1,180 271
2017‑09‑30 13F-HR VOX / Vanguard Telecommunications Services ETF 92.68 205 19
2017‑09‑30 13F-HR VPU / Vanguard Utilities ETF 117.05 3,836 449
2017‑09‑30 13F-HR VTI / Vanguard Total Stock Market Index Fund 128.97 3,055 394
2017‑09‑30 13F-HR WTR / Aqua America, Inc. 33.20 16,748 556
2017‑09‑30 13F-HR XLV / SPDR Health Care Select Sector ETF 81.00 642 52
2017‑09‑30 13F-HR VZ / Verizon Communications, Inc. 49.41 142,758 141,291 -1.03 6,340 6,981 10.11
2017‑09‑30 13F-HR ES / Eversource Energy 60.57 505,000 505,000 0.00 30,654 30,588 -0.22
2017‑09‑30 13F-HR NEE / NextEra Energy, Inc. 146.99 200,000 200,000 0.00 27,994 29,398 5.02
2017‑09‑30 13F-HR TMK / Torchmark Corp. 25.37 0 41,981 0 1,065
2017‑09‑30 13F-HR PCG / PG&E Corp. 68.05 200,000 125,000 -37.50 13,220 8,506 -35.66
2017‑09‑30 13F-HR LQD / iShares iBoxx $ Investment Grade Corporate Bond ETF 121.14 237 11,606 4,797.05 29 1,406 4,748.28
2017‑09‑30 13F-HR AHP / Ashford Hospitality Prime, Inc. 20.19 47,100 47,100 0.00 944 951 0.74
2017‑09‑30 13F-HR MSFT / Microsoft Corp. 73.91 3,040 2,422 -20.33 208 179 -13.94
2017‑09‑30 13F-HR EXC / Exelon Corp. 37.40 66,000 366,000 454.55 2,365 13,688 478.77
2017‑09‑30 13F-HR APTS / Preferred Apartment Communities, Inc. 18.85 300,000 300,000 0.00 4,788 5,655 18.11
2017‑09‑30 13F-HR MAA / Mid-America Apartment Communities, Inc. 105.92 5,168 3,427 -33.69 546 363 -33.52
2017‑09‑30 13F-HR SHEN / Shenandoah Telecommunications Co. 37.75 940,000 940,000 0.00 28,482 35,485 24.59
2017‑09‑30 13F-HR TBT / ProShares UltraShort 20+ Yr Tsy 35.67 1,200 5,804 383.67 43 207 381.40
2017‑09‑30 13F-HR FB / Facebook, Inc. 168.76 937 3,585 282.60 142 605 326.06
2017‑09‑30 13F-HR SBNB / Scorpio Tankers Inc. 24.50 40,000 40,000 0.00 969 980 1.14
2017‑09‑30 13F-HR MIME / Mimecast Limited 28.36 10,492 8,287 -21.02 281 235 -16.37
2017‑09‑30 13F-HR USCR / U.S. Concrete, Inc. 74.00 1,875 1,000 -46.67 147 74 -49.66
2017‑09‑30 13F-HR CUDA / Barracuda Networks, Inc. 24.05 9,042 17,548 94.07 205 422 105.85
2017‑09‑30 13F-HR SRE / Sempra Energy 114.58 219,900 219,900 0.00 24,847 25,196 1.40
2017‑09‑30 13F-HR NuStar Energy LP Cum Red Perp Pfd Units Series A / EQUITY (67058H201) 26.83 35,000 35,000 0.00 916 939 2.51
2017‑09‑30 13F-HR Citigroup Commercial Mortgage Trust 2008-C7 AMA 6.227363 10-DEC-2049 / BOND (17313KAJ0) 0.00 0 0
2017‑09‑30 13F-HR PYPL / PayPal Holdings, Inc. 64.00 2,494 1,703 -31.72 133 109 -18.05
2017‑09‑30 13F-HR PNM / PNM Resources, Inc. 41.00 775,000 775,000 0.00 29,838 31,775 6.49
2017‑09‑30 13F-HR AWK / American Water Works Co., Inc. 81.11 200,000 208,333 4.17 15,620 16,898 8.18
2017‑09‑30 13F-HR CNP / CenterPoint Energy, Inc. 29.15 300,000 300,000 0.00 8,238 8,745 6.15
2017‑09‑30 13F-HR TTWO / Take-Two Interactive Software, Inc. 101.50 1,775 798 -55.04 129 81 -37.21
2017‑09‑30 13F-HR NOW / ServiceNow, Inc. 116.47 1,320 249 -81.14 140 29 -79.29
2017‑09‑30 13F-HR FISV / Fiserv, Inc. 128.09 630 2,186 246.98 77 280 263.64
2017‑09‑30 13F-HR DRUA / Dominion Resources, Inc. 77.03 260,300 260,300 0.00 20,059 20,051 -0.04
2017‑09‑30 13F-HR NWE / NorthWestern Corp. 57.42 102,411 102,411 0.00 6,275 5,880 -6.29
2017‑09‑30 13F-HR CMS / CMS Energy Corp. 46.35 600,000 600,000 0.00 27,798 27,810 0.04
2017‑09‑30 13F-HR CMA / Comerica, Inc. 76.00 5,103 1,000 -80.40 371 76 -79.51
2017‑09‑30 13F-HR AIW / Arlington Asset Investment Corp., 6.625% Senior Notes due 5/1/2023 24.95 100,040 100,040 0.00 2,440 2,496 2.30
2017‑09‑30 13F-HR SJI / South Jersey Industries, Inc. 34.81 325,400 325,400 0.00 11,148 11,327 1.61
2017‑09‑30 13F-HR PEG / Public Service Enterprise Group, Inc. 46.15 250,000 250,000 0.00 10,730 11,538 7.53
2017‑09‑30 13F-HR RASC Series 2003-KS4 Trust AI6 3.87 25-JUN-2033 / BOND (76110WRQ1) 0.00 26 26 0.00
2017‑09‑30 13F-HR VRNT / Verint Systems, Inc. 42.23 4,555 5,091 11.77 187 215 14.97
2017‑09‑30 13F-HR AHH / Armada Hoffler Properites, Inc. 13.80 5,000 5,000 0.00 65 69 6.15
2017‑09‑30 13F-HR FRC / First Republic Bank (San Francisco, California) 103.33 5,232 1,500 -71.33 526 155 -70.53
2017‑09‑30 13F-HR GE CAPITAL MTG SERVICES INC. / BOND (36157RD85) 0.00 3 3 0.00
2017‑09‑30 13F-HR ADP / Automatic Data Processing, Inc. 109.24 2,481 1,666 -32.85 252 182 -27.78
2017‑09‑30 13F-HR GLD / SPDR Gold Shares 122.12 700 3,521 403.00 83 430 418.07
2017‑09‑30 13F-HR LMRK / Landmark Infrastructure Partners LP 17.00 10,000 10,000 0.00 160 170 6.25
2017‑09‑30 13F-HR AMG / Affiliated Managers Group, Inc. 189.54 2,018 1,013 -49.80 333 192 -42.34
2017‑09‑30 13F-HR BRO / Brown & Brown, Inc. 48.28 6,418 8,885 38.44 280 429 53.21
2017‑09‑30 13F-HR XOP / SPDR S&P Oil & Gas Exploration & Production ETF 34.24 5,600 8,529 52.30 178 292 64.04
2017‑09‑30 13F-HR MA / MasterCard Incorporated 140.20 81,255 80,709 -0.67 9,873 11,315 14.61
2017‑09‑30 13F-HR HDS / Hd Supply Inc. 36.11 13,017 13,959 7.24 398 504 26.63
2017‑09‑30 13F-HR CLDT / Chatham Lodging Trust 21.32 900,000 300,000 -66.67 18,216 6,396 -64.89
2017‑09‑30 13F-HR EQT / EQT Corp. 65.07 75,000 75,000 0.00 4,426 4,880 10.26
2017‑09‑30 13F-HR BAC.PRC / Bank of America Corp. 6.20% Preferred Perpetual Series CC 25.79 1,900 1,900 0.00 49 49 0.00
2017‑09‑30 13F-HR V / Visa, Inc. 104.58 270,000 270,000 0.00 25,493 28,237 10.76
2017‑09‑30 13F-HR NVDA / NVIDIA Corp. 175.79 593 3,436 479.43 87 604 594.25
2017‑09‑30 13F-HR MKTX / MarketAxess Holdings, Inc. 183.11 2,512 1,622 -35.43 511 297 -41.88
2017‑09‑30 13F-HR NDAQ / Nasdaq, Inc. 77.65 5,119 4,765 -6.92 366 370 1.09
2017‑09‑30 13F-HR JKHY / Henry (JACK) & Associates, Inc. 102.19 369 274 -25.75 38 28 -26.32
2017‑09‑30 13F-HR VWO / Vanguard FTSE Emerging Markets ETF 43.12 0 8,929 0 385
2017‑09‑30 13F-HR DOC / Physicians Realty Trust 17.79 175,000 175,000 0.00 3,463 3,113 -10.11
2017‑09‑30 13F-HR AEP / American Electric Power Company, Inc. 70.50 295,000 295,000 0.00 20,532 20,798 1.30
2017‑09‑30 13F-HR AAPL / Apple, Inc. 153.00 500 1,000 100.00 72 153 112.50
2017‑09‑30 13F-HR MDURP / MDU Resources Group, Inc. 26.00 500 500 0.00 13 13 0.00
2017‑09‑30 13F-HR SBUX / Starbucks Corp. 54.53 6,208 8,491 36.78 362 463 27.90
2017‑09‑30 13F-HR WRB / Berkley (W.R.) Corp. 66.74 3,307 4,630 40.01 229 309 34.93
2017‑09‑30 13F-HR Just Energy Group PFD A / EQUITY (48213W200) 25.18 315,000 315,000 0.00 7,933 7,933 0.00
2017‑09‑30 13F-HR NOC / Northrop Grumman Corp. 284.55 2,170 1,592 -26.64 553 453 -18.08
2017‑09‑30 13F-HR VNTV / Vantiv, Inc. 70.95 9,527 4,031 -57.69 601 286 -52.41
2017‑09‑30 13F-HR PFPT / Proofpoint, Inc. 87.86 8,782 7,444 -15.24 757 654 -13.61
2017‑09‑30 13F-HR SRNE / Sorrento Therapeutics, Inc. 1.71 97,536 44,565 -54.31 200 76 -62.00
2017‑09‑30 13F-HR INN / Summit Hotel Properties, Inc. 15.99 125,000 125,000 0.00 2,331 1,999 -14.24
2017‑09‑30 13F-HR DSXN / Diana Shipping inc. 25.35 127,830 125,928 -1.49 3,203 3,192 -0.34
2017‑09‑30 13F-HR C / Citigroup, Inc. 72.64 14,891 12,858 -13.65 997 934 -6.32
2017‑09‑30 13F-HR CBOE / CBOE Holdings, Inc. 106.91 1,179 608 -48.43 107 65 -39.25
2017‑09‑30 13F-HR RTN / Raytheon Co. 184.05 3,706 2,320 -37.40 595 427 -28.24
2017‑09‑30 13F-HR EFA / iShares MSCI EAFE ETF 0 0 0 0
2017‑09‑30 13F-HR GM / General Motors Company 40.70 0 2,359 0 96
2017‑09‑30 13F-HR SCG / SCANA Corp. 51.00 50,000 50,000 0.00 3,380 2,550 -24.56
2017‑09‑30 13F-HR LMT / Lockheed Martin Corp. 309.01 1,915 1,288 -32.74 530 398 -24.91
2017‑09‑30 13F-HR SPKE / Spark Energy, Inc. 15.10 1,022,954 1,015,718 -0.71 20,203 15,337 -24.09
2017‑09‑30 13F-HR Banc of America Funding 2006-2 Trust 2A18 5.75 25-MAR-2036 / BOND (05949QAZ8) 0.00 16 16 0.00
2017‑09‑30 13F-HR CORR / CorEnergy Infrastructure Trust, Inc. 34.78 18,000 18,000 0.00 604 626 3.64
2017‑09‑30 13F-HR CPK / Chesapeake Utilities Corp. 80.00 300 300 0.00 23 24 4.35
2017‑09‑30 13F-HR MS / Morgan Stanley 48.15 4,477 3,323 -25.78 200 160 -20.00
2017‑09‑30 13F-HR NEWT / Newtek Business Services Corp. 17.70 30,000 30,000 0.00 491 531 8.15
2017‑09‑30 13F-HR Alabama Power Company 6 1/2 Non Cum Pfd Shs / EQUITY (010392470) 25.21 71,988 104,573 45.26 1,861 2,636 41.64
2017‑09‑30 13F-HR ETFC / E*TRADE Financial, Inc. 43.20 20,136 7,639 -62.06 759 330 -56.52
2017‑09‑30 13F-HR CME / CME Group, Inc. 135.89 5,390 5,909 9.63 674 803 19.14
2017‑09‑30 13F-HR KRP / Kimbell Royalty Partners, LP 15.80 213,000 213,000 0.00 3,540 3,365 -4.94
2017‑09‑30 13F-HR SSNC / SS&C Technologies Holdings, Inc. 39.82 3,778 6,604 74.80 143 263 83.92
2017‑09‑30 13F-HR APO / Apollo Global Management LLC 3,640 0 -100.00 96 0 -100.00
2017‑09‑30 13F-HR GSAMP Trust 2005-SEA2 A1 1.58722 25-JAN-2045 / BOND (362341TM1) 0.00 33 33 0.00
2017‑09‑30 13F-HR EMB / iShares JPMorgan USD Emerging Markets Bond Fund 2,893 0 -100.00 331 0 -100.00
2017‑09‑30 13F-HR RAI / Reynolds American, Inc. (Holding Co.) 1,675 0 -100.00 109 0 -100.00
2017‑09‑30 13F-HR SIR / Select Income REIT 2,154 0 -100.00 52 0 -100.00
2017‑09‑30 13F-HR AAN / Aaron's, Inc. 5,837 0 -100.00 228 0 -100.00
2017‑09‑30 13F-HR Connecticut Light & Power Co 6.56 Cum.Pfd Shs Series -1968- / EQUITY (207597774) 12,000 0 -100.00 661 0 -100.00
2017‑09‑30 13F-HR EFC / Ellington Financial LLC 3,424 0 -100.00 56 0 -100.00
2017‑09‑30 13F-HR GAIN / Gladstone Investment Corp. 15,000 0 -100.00 140 0 -100.00
2017‑09‑30 13F-HR KLAC / KLA-Tencor Corp. 523 0 -100.00 48 0 -100.00
2017‑09‑30 13F-HR MFA / MFA Financial, Inc. 12,445 0 -100.00 105 0 -100.00
2017‑09‑30 13F-HR NGL Energy Partners LP Cum Red Perp Pfd Units B / EQUITY (62913M206) 8,200 0 -100.00 203 0 -100.00
2017‑09‑30 13F-HR YLCO / GLOBAL X FDS 2,200 0 -100.00 74 0 -100.00
2017‑09‑30 13F-HR SRLN / SPDR Blackstone / GSO Senior Loan ETF 21,198 0 -100.00 1,004 0 -100.00
2017‑09‑30 13F-HR WMT / Wal-Mart Stores, Inc. 641 0 -100.00 49 0 -100.00
2017‑09‑30 13F-HR JNK / SPDR Barclays High Yield Bond ETF 11,607 0 -100.00 431 0 -100.00
2017‑09‑30 13F-HR LUKOY / PJSC Lukoil 2,539 0 -100.00 122 0 -100.00
2017‑09‑30 13F-HR Global Indemnity Ltd Notes -15.04.47 / EQUITY (G3933F139) 25,000 0 -100.00 632 0 -100.00
2017‑09‑30 13F-HR GREENHUNTER WATER WARRANTS / EQUITY (ACI06TGH1) 96,112 0 -100.00 0 0
2017‑09‑30 13F-HR AIG / American International Group, Inc. 3,357 0 -100.00 213 0 -100.00
2017‑09‑30 13F-HR AET / Aetna, Inc. 525 0 -100.00 80 0 -100.00
2017‑09‑30 13F-HR AIC / Arlington Asset Investment Corp., 6.75% Senior Notes due 3/15/2025 3,000 0 -100.00 72 0 -100.00
2017‑09‑30 13F-HR AMGN / Amgen Inc. 388 0 -100.00 67 0 -100.00
2017‑09‑30 13F-HR BAP / Credicorp Ltd. 300 0 -100.00 54 0 -100.00
2017‑09‑30 13F-HR BHI / Baker Hughes Inc. 8,000 0 -100.00 428 0 -100.00
2017‑09‑30 13F-HR BLX / Banco Latinoamericano de Comercio Exterior S.A. 1,959 0 -100.00 54 0 -100.00
2017‑09‑30 13F-HR CFR / Cullen/Frost Bankers, Inc. 7,694 0 -100.00 724 0 -100.00
2017‑09‑30 13F-HR CLNS / Colony NorthStar, Inc. 4,462 0 -100.00 62 0 -100.00
2017‑09‑30 13F-HR CIM / Chimera Investment Corp. 2,530 0 -100.00 47 0 -100.00
2017‑09‑30 13F-HR CMI / Cummins, Inc. 598 0 -100.00 96 0 -100.00
2017‑09‑30 13F-HR CorEnergy Infrastructure Trust Inc Deposit Shs Repr 1/100th 7 3/8 Cum Red Perp Pfd Series A / EQUITY (21870U304) 67,602 0 -100.00 1,684 0 -100.00
2017‑09‑30 13F-HR Entergy Arkansas Inc 4.875 Bonds 2016-01.09.66 1st Mtg / EQUITY (29364D100) 242,000 0 -100.00 5,832 0 -100.00
2017‑09‑30 13F-HR HA / Hawaiian Holdings, Inc. 13,496 0 -100.00 624 0 -100.00
2017‑09‑30 13F-HR HST / Host Hotels & Resorts, Inc. 3,023 0 -100.00 56 0 -100.00
2017‑09‑30 13F-HR KO / Coca Cola Co. 1,016 0 -100.00 46 0 -100.00
2017‑09‑30 13F-HR MAT / Mattel, Inc. 1,756 0 -100.00 37 0 -100.00
2017‑09‑30 13F-HR MCD / McDonald's Corp. 465 0 -100.00 71 0 -100.00
2017‑09‑30 13F-HR LVS / Las Vegas Sands Corp. 844 0 -100.00 54 0 -100.00
2017‑09‑30 13F-HR MIC / Macquarie Infrastructure Company LLC 370 0 -100.00 29 0 -100.00
2017‑09‑30 13F-HR MDT / Medtronic plc 3,351 0 -100.00 297 0 -100.00
2017‑09‑30 13F-HR PFE / Pfizer, Inc. 1,436 0 -100.00 48 0 -100.00
2017‑09‑30 13F-HR PFF / iShares U.S. Preferred Stock ETF 13,315 0 -100.00 520 0 -100.00
2017‑09‑30 13F-HR SPLS / Staples, Inc. 4,597 0 -100.00 46 0 -100.00
2017‑09‑30 13F-HR TKR / Timken Co. (THE) 1,918 0 -100.00 87 0 -100.00
2017‑09‑30 13F-HR YEXT / Yext, Inc. 4,000 0 -100.00 52 0 -100.00
2017‑09‑30 13F-HR VOD / Vodafone Group Plc 2,049 0 -100.00 59 0 -100.00
2017‑09‑30 13F-HR CLPR / Clipper Realty Inc. 100,000 0 -100.00 1,250 0 -100.00
2017‑09‑30 13F-HR STWD / Starwood Property Trust Inc. 3,605 0 -100.00 81 0 -100.00
2017‑09‑30 13F-HR ADM / Archer-Daniels-Midland Co. 1,595 0 -100.00 65 0 -100.00
2017‑09‑30 13F-HR F / Ford Motor Co. 8,700 0 -100.00 97 0 -100.00
2017‑09‑30 13F-HR ADS / Alliance Data Systems Corp. 1,676 0 -100.00 433 0 -100.00
2017‑09‑30 13F-HR CTU / Qwest Corporation, 7.00% Notes due 7/1/2052 5,578 0 -100.00 141 0 -100.00
2017‑09‑30 13F-HR HPT / Hospitality Properties Trust 2,046 0 -100.00 61 0 -100.00
2017‑09‑30 13F-HR INPAP / International Paper Company 1,293 0 -100.00 72 0 -100.00
2017‑09‑30 13F-HR SLRC / Solar Capital Ltd. 3,948 0 -100.00 86 0 -100.00
2017‑09‑30 13F-HR IRM / Iron Mountain Incorporated. (REIT) 1,352 0 -100.00 46 0 -100.00
2017‑09‑30 13F-HR TSM / Taiwan Semiconductor Manufacturing Co. Ltd. 2,268 0 -100.00 79 0 -100.00
2017‑09‑30 13F-HR HYG / iShares iBoxx $ High Yield Corporate Bond ETF 10,148 0 -100.00 895 0 -100.00
2017‑09‑30 13F-HR IBKCP / IBERIABANK Corp. 6,922 0 -100.00 566 0 -100.00
2017‑09‑30 13F-HR ELR / SPDR Series Trust 21,577 0 -100.00 603 0 -100.00
2017‑09‑30 13F-HR PRU / Prudential Financial, Inc. 743 0 -100.00 81 0 -100.00
2017‑09‑30 13F-HR Hersha Hospitality Trust 6.50 Cum Red Registered Pfd Shs Series E / EQUITY (427825708) 10,000 0 -100.00 247 0 -100.00
2017‑09‑30 13F-HR BPOP / Popular, Inc. 1,337 0 -100.00 56 0 -100.00
2017‑09‑30 13F-HR PM / Philip Morris International, Inc. 467 0 -100.00 55 0 -100.00
2017‑09‑30 13F-HR JNJ / Johnson & Johnson 810 0 -100.00 107 0 -100.00
2017‑09‑30 13F-HR VGR / Vector Group, Ltd. 2,334 0 -100.00 50 0 -100.00
2017‑09‑30 13F-HR BA / Boeing Company (The) 431 0 -100.00 85 0 -100.00
2017‑09‑30 13F-HR EMM / SPDR Series Trust 4,745 0 -100.00 269 0 -100.00
2017‑09‑30 13F-HR BOCA / Banc of California, Inc. 8,187 0 -100.00 177 0 -100.00
2017‑09‑30 13F-HR JP Morgan Chase Commercial Mortgage Securities Trust 2012-CIBX A3 3.1388 15-JUN-2045 / BOND (46637WAC7) 0.00 312 312 0.00
2017‑09‑30 13F-HR Perma-Pipe International Holdings Inc / EQUITY (714167103) 8.79 166,500 183,117 9.98 1,324 1,610 21.60
2017‑09‑30 13F-HR Fremont Home Loan Trust 2005-B M4 1.94222 25-APR-2035 / BOND (35729PJY7) 0.00 89 89 0.00
2017‑09‑30 13F-HR Structured Asset Securities Corporation Mortgage Loan Trust 2006-WF1 M2 1.57722 25-FEB-2036 / BOND (863576FJ8) 0.00 373 373 0.00
2017‑09‑30 13F-HR Countrywide Home Loans Asset-Backed Certificates Series 2002-S4 A5 5.216 25-OCT-2017 / BOND (126671UD6) 0.00 70 70 0.00
2017‑09‑30 13F-HR Medley LLC 6 7/8 Notes 2016-15.08.26 / EQUITY (58503Y105) 24.51 120,000 120,000 0.00 2,897 2,941 1.52
2017‑09‑30 13F-HR Frontier Communications Corporation Class B / EQUITY (35906A306) 12.31 4,095,419 136,075 -96.68 4,853 1,675 -65.49
2017‑09‑30 13F-HR SASC 2006-AM1 A4 Mtge / BOND (86359XAD5) 0.00 176 176 0.00
2017‑09‑30 13F-HR Crow Point Alternative Income Fund / EQUITY (66538B610) 8.27 537,190 573,554 6.77 4,426 4,743 7.16
2017‑09‑30 13F-HR Dash II A1L 1.81 15-SEP-2035 / BOND (25513TAA1) 0.00 0 0
2017‑09‑30 13F-HR Ameriquest Mortgage Securities 2003-11 AF6 5.64 25-DEC-2033 / BOND (03072SLU7) 0.00 5 5 0.00
2017‑09‑30 13F-HR Scorpio Tankers Inc 8.25 Notes 2017-01.06.19 Global / EQUITY (Y7542C122) 25.31 160,000 160,000 0.00 4,032 4,050 0.45
2017‑09‑30 13F-HR Option One Mortgage Loan Trust 2005-1 A4 2.03722 25-FEB-2035 / BOND (68389FGJ7) 0.00 17 17 0.00
2017‑09‑30 13F-HR Morgan Stanley Capital I Trust 2006-IQ11 AJ 6.282432 15-MAY-2016 / BOND (617453AV7) 0.00 69 69 0.00
2017‑09‑30 13F-HR First Republic Bank Deposit Shs Repr 1/40th Non Cum Perp Pfd Shs Series H / EQUITY (33616C811) 25.20 5,000 5,000 0.00 124 126 1.61
2017‑09‑30 13F-HR Condor Hospitality Trust Inc. / EQUITY (20676Y403) 10.40 475,000 475,000 0.00 5,011 4,940 -1.42
2017‑09‑30 13F-HR RASC Series 2004-KS2 Trust AI6 4.3 25-MAR-2034 / BOND (76110WWG7) 0.00 5 5 0.00
2017‑09‑30 13F-HR Equity One Mortgage Pass Through Trust 2003-4 M1 5.869 25-OCT-2034 / BOND (294751DF6) 0.00 28 28 0.00
2017‑09‑30 13F-HR Adjustable Rate Mortgage Trust 2005-5 6A22 1.79722 25-SEP-2035 / BOND (007036LY0) 0.00 77 77 0.00
2017‑09‑30 13F-HR RAMP Series 2005-RS1 Trust AI6 4.713 25-NOV-2034 / BOND (76112BHY9) 0.00 10 10 0.00
2017‑09‑30 13F-HR DDR Corp Deposit Shs Repr 1/20th 6.375 Cum Red Pfd Registered Shs A / EQUITY (23317H870) 25.54 6,500 6,500 0.00 169 166 -1.78
2017‑09‑30 13F-HR Safeway Inc. / EQUITY (786CVR308) 0.00 750,000 750,000 0.00 0 0
2017‑09‑30 13F-HR Saratoga Investment Corp 6.75 Notes 2016-30.12.23 / EQUITY (80349A406) 25.93 200,000 200,000 0.00 5,182 5,186 0.08
2017‑09‑30 13F-HR Nomura Asset Acceptance Corporation Alternative Loan Trust Series 2005-AR2 2A2 3.692546 25-MAY-2035 / BOND (65535VKD9) 0.00 3 3 0.00
2017‑09‑30 13F-HR Safeway Inc. / EQUITY (786CVR209) 0.00 750,000 750,000 0.00 0 0
2017‑09‑30 13F-HR Safe Bulkers Inc 8 Cum Red Perp Pfd Shs Series D / EQUITY (Y7388L137) 21.82 50,000 50,000 0.00 949 1,091 14.96
2017‑09‑30 13F-HR Washington Mutual Mortgage Pass-Through Certificates Series 2003-S12 2A 4.75 25-NOV-2018 / BOND (92922FHP6) 0.00 5 5 0.00
2017‑09‑30 13F-HR WF Utility and Telecommunications Fund Class A / EQUITY (94985D483) 21.12 5,194 17,089 229.01 108 361 234.26
2017‑09‑30 13F-HR Crow Point Defined Risk Global Equity Income Fund CL I / EQUITY (66538A562) 8.60 40,356 75,118 86.14 341 646 89.44
2017‑09‑30 13F-HR NSTAR Electric Company 4.78 Pfd Shs / EQUITY (67021C305) 102.04 8,830 8,830 0.00 892 901 1.01
2017‑09‑30 13F-HR Union Electric Co USD 4.56 Cum.Red.Pfd Shs / EQUITY (906548607) 100.50 10,000 10,000 0.00 985 1,005 2.03
2017‑09‑30 13F-HR Washington Mutual Mortgage Pass-Through Certificates WMALT Series 2006-7 A1A 6.086 25-SEP-2036 / BOND (93935HAA5) 0.00 20 20 0.00
2017‑09‑30 13F-HR GreenHunter Resources Inc 10 Cum Pfd Shs Series C / EQUITY (39530A203) 0.06 61,786 61,786 0.00 4 4 0.00
2017‑09‑30 13F-HR Validus Holdings Ltd Deposit Shs Repr 1/1000th Non-Cum Pfd Registered Shs Series B / EQUITY (91915W300) 25.20 10,000 10,000 0.00 252 252 0.00
2017‑09‑30 13F-HR Navios Maritime Holdings Inc 8 5/8 Cum Red Perp Pfd Shs Sponsored American Deposit Receipt Repr 1/100th 8 5/8 CRPP-H / EQUITY (63938Y308) 15.85 59,000 59,000 0.00 910 935 2.75
2017‑09‑30 13F-HR Tsakos Energy Navigation Ltd Cum Red Perp Pfd Registered Shs Series E / EQUITY (G9108L157) 25.70 10,000 10,000 0.00 252 257 1.98
2017‑09‑30 13F-HR Maiden Holdings Ltd 6.7 Red Pfd Registered Shs Series D / EQUITY (G5753U146) 25.20 5,000 5,000 0.00 126 126 0.00
2017‑09‑30 13F-HR Recon Capital NASDAQ 100 Covered Call ETF / EQUITY (44053G108) 23.72 29,785 21,500 -27.82 704 510 -27.56
2017‑09‑30 13F-HR BreitBurn Energy Partners L.P. 8.625 15-OCT-2020 / BOND (106777AB1) 0.00 815 291 -64.29
2017‑09‑30 13F-HR Legg Mason Inc. 6 3/8 Notes 2016-15.3.56 / EQUITY (524901501) 27.50 400 400 0.00 11 11 0.00
2017‑09‑30 13F-HR Scorpio Bulkers Inc 7 1/2 Notes 2014-15.9.19 Sr / EQUITY (Y7546A114) 24.97 105,000 105,000 0.00 2,562 2,622 2.34
2017‑09‑30 13F-HR SCE Trust VI 5 Cum Red Pfd Secs Series L / EQUITY (78410V200) 25.00 75,000 107,972 43.96 1,871 2,699 44.25
2017‑09‑30 13F-HR Eagle Point Credit Company Inc 7.75 Pfd Registered Shs 2016-30.10.26 Series B / EQUITY (269809307) 26.20 5,000 5,000 0.00 130 131 0.77
2017‑09‑30 13F-HR Alabama Power Company Non Cumulative Pfd Shs / EQUITY (010392488) 25.08 47,588 61,087 28.37 1,233 1,532 24.25