SecurityAZN / AstraZeneca Plc (046353108)
Institutional Owners654 (147 N-Q Owners)
Institutional Shares389,497,378 (ex. N-Q)
Institutional Value$ 15,534,424,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

AZN / AstraZeneca Plc Institutional Ownership

AstraZeneca Plc (NYSE:AZN) has 654 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 389,497,378 shares. Largest shareholders include Wellington Management Group LLP, Dodge & Cox, Primecap Management Co/ca/, Bank Of America Corp /de/, Price T Rowe Associates Inc /md/, FMR LLC / Fidelity, Fisher Asset Management, LLC, Capital International Investors, Epoch Investment Partners, Inc., and Capital World Investors.
AstraZeneca Plc (NYSE:AZN) ownership structure shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

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File DateFormInvestor Opt Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-05-02 13F-HR HENNESSY ADVISORS INC 177,600 0 -100.00 6,163 0 -100.00
2018-05-15 13F-HR Hilltop Holdings Inc. 37,186 37,811 1.68 1,290 1,321 2.40
2018-04-19 13F-HR VALLEY NATIONAL ADVISERS INC 616 616 0.00 21 22 4.76
2018-05-15 13F-HR GLENMEDE TRUST CO NA 412,454 412,454 0.00 14,311 14,311 0.00
2018-02-28 N-Q Metropolitan West Funds (see advisory)
2018-03-30 N-Q Amg Funds Iv (see advisory)
2018-05-11 13F-HR Cutler Group LP Call 64,200 50,000 -22.12 104 98 -5.77
2018-05-04 13F-HR Asset Planning Services, Ltd. 300 300 0.00 10 10 0.00
2018-05-11 13F-HR Harbor Advisors LLC 12,000 12,000 0.00 416 420 0.96
2018-04-19 13F-HR Janney Capital Management LLC 652,766 648,261 -0.69 22,651 22,670 0.08
2018-05-09 13F-HR ALTFEST L J & CO INC 19,532 0 -100.00 678 0 -100.00
2018-05-15 13F-HR Weiss Multi-Strategy Advisers LLC 116,000 140,000 20.69 4,025 4,896 21.64
2018-05-04 13F-HR D.A. DAVIDSON & CO. 18,509 19,662 6.23 642 688 7.17
2018-03-05 13F-HR/A NORGES BANK 300,771 300,771 0.00 9,366 10,437 11.43
2018-04-23 13F-HR Financial Architects, Inc 2,236 3,986 78.26 77 140 81.82
2018-05-14 13F-HR GUARDIAN CAPITAL ADVISORS LP 103,600 97,960 -5.44 3,672 3,558 -3.10
2018-05-03 13F-HR Bancorpsouth Bank 6,204 0 -100.00 215 0 -100.00
2018-05-14 13F-HR Commonwealth Equity Services, Llc. 120,748 124,863 3.41 4,190 4,366 4.20
2018-03-29 N-Q Deutsche Market Trust (see advisory)
2018-03-01 N-Q Manager Directed Portfolios (see advisory)
2018-04-27 N-Q Alps Etf Trust (see advisory)
2018-05-03 13F-HR WRAPMANAGER INC 49,072 43,095 -12.18 1,703 1,507 -11.51
2018-05-10 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 55,825 58,600 4.97 1,938 2,050 5.78
2018-04-25 N-Q Federated Equity Funds (see advisory)
2018-03-29 N-Q Ishares U.s. Etf Trust (see advisory)
2018-02-07 13F-HR Pinkerton Retirement Specialists, LLC 79,579 81,333 2.20 2,726 2,878 5.58
2018-05-15 13F-HR American Financial Network Advisory Services Llc 250 0 -100.00 9 0 -100.00
2018-04-17 13F-HR INGALLS & SNYDER LLC 24,921 24,921 0.00 865 871 0.69
2018-02-14 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 910,483 861,083 -5.43 30,847 29,880 -3.13
2018-04-26 13F-HR SIMPLEX TRADING, LLC Call 795 217 -72.70 161 36 -77.64
2018-05-03 13F-HR ADIRONDACK TRUST CO 385 320 -16.88 13 11 -15.38
2018-05-11 13F-HR Buckingham Capital Management, Inc. 25,287 25,818 2.10 877 903 2.96
2018-02-27 N-Q Franklin Custodian Funds (see advisory)
2018-05-15 13F-HR GEODE CAPITAL MANAGEMENT, LLC 41,937 47,362 12.94 1,455 1,656 13.81
2018-01-30 N-Q 360 Funds (see advisory)
2018-05-16 13F-HR Braun-bostich & Associates Inc. 1,615 1,615 0.00 56 56 0.00
2018-02-12 13F-HR Heritage Trust Co 184 0 -100.00 6 0 -100.00
2018-05-15 13F-HR Feltz WealthPLAN Inc. 37,781 1,321
2018-05-15 13F-HR BANK OF AMERICA CORP /DE/ 43,188,262 40,281,193 -6.73 1,498,634 1,408,633 -6.01
2018-04-30 13F-HR JOHNSTON ASSET MANAGEMENT CORP 1,012,255 1,242,882 22.78 35,125 43,464 23.74
2018-05-21 13F-HR Front Row Advisors Llc 36 36 0.00 1 1 0.00
2018-05-10 13F-HR DUBUQUE BANK & TRUST CO 209 209 0.00 7 7 0.00
2018-05-08 13F-HR Pacific Center for Financial Services 350 350 0.00 12 12 0.00
2018-05-15 13F-HR BARCLAYS PLC Put 393,800 151,500 -61.53 13,665 5,298 -61.23
2018-05-07 13F-HR Garrison Financial Corp 18,569 18,569 0.00 644 649 0.78
2018-05-09 13F-HR NORTHERN TRUST CORP 2,276,113 2,388,024 4.92 78,981 83,509 5.73
2018-04-17 13F-HR FOX RUN MANAGEMENT, L.L.C. 0 24,262 0 848
2018-05-01 13F-HR WEDBUSH SECURITIES INC 8,625 8,358 -3.10 299 292 -2.34
2018-04-09 13F-HR BLB&B Advisors, LLC 54,849 59,711 8.86 1,903 2,088 9.72
2018-02-07 13F-HR Camarda Financial Advisors, LLC 266 0 -100.00 9 0 -100.00
2018-05-15 13F-HR GOLDMAN SACHS GROUP INC Put 357,900 7,700 -97.85 12,419 269 -97.83
2018-02-02 13F-HR ROCKEFELLER FINANCIAL SERVICES INC 500 910 82.00 17 32 88.24
2018-05-08 13F-HR CLIFFORD SWAN INVESTMENT COUNSEL LLC 17,410 17,410 0.00 604 609 0.83
2018-05-14 13F-HR GREEN SQUARE CAPITAL LLC 5,773 12,675 119.56 200 443 121.50
2018-05-02 13F-HR WELLS FARGO & COMPANY/MN 4,301,237 3,886,709 -9.64 149,253 135,919 -8.93
2018-05-01 13F-HR SUMMIT SECURITIES GROUP, LLC 0 38,400 0 1,343
2018-05-15 13F-HR Walleye Trading LLC Call 133,100 39,200 -70.55 4,618 1,371 -70.31
2018-05-03 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 26,303 25,247 -4.01 913 883 -3.29
2018-04-20 13F-HR Cable Hill Partners, LLC 5,770 5,700 -1.21 205 201 -1.95
2018-04-17 13F-HR FIRST FINANCIAL CORP /IN/ 1,760 1,760 0.00 61 62 1.64
2018-05-11 13F-HR Fiera Capital Corp 5,967 8,211 37.61 207 287 38.65
2018-04-23 13F-HR Cascade Investment Advisors, Inc. 778 778 0.00 26,996 27,207 0.78
2018-04-26 N-Q Federated Total Return Series Inc (see advisory)
2018-01-31 13F-HR HUSSMAN STRATEGIC ADVISORS, INC. 2,000 0 -100.00 68 0 -100.00
2018-05-07 13F-HR ETRADE Capital Management LLC 119,183 110,282 -7.47 4,136 3,857 -6.75
2018-03-29 N-Q Eaton Vance Tax Advantaged Global Dividend Income Fund (see advisory)
2018-05-15 13F-HR BALYASNY ASSET MANAGEMENT LLC Call 0 1,125,000 0 39,341
2018-02-16 13F-HR/A Commonwealth Equity Services, Inc 116,162 121,702 4.77 3,960 4,123 4.12
2018-05-15 13F-HR Opus Point Partners Management, LLC 120,000 0 -100.00 4,164 0 -100.00
2018-03-28 N-Q Neuberger Berman Alternative Funds (see advisory)
2018-04-02 N-Q American Beacon Funds (see advisory)
2018-04-18 13F-HR Creative Planning 36,414 36,590 0.48 1,264 1,280 1.27
2018-05-15 13F-HR BARCLAYS PLC 191,955 146,219 -23.83 6,661 5,113 -23.24
2018-05-04 13F-HR M&T BANK CORP 317,119 306,309 -3.41 11,003 10,712 -2.64
2018-05-09 13F-HR GABELLI FUNDS LLC 199,000 194,000 -2.51 6,905 6,784 -1.75
2018-04-24 N-Q Dbx Etf Trust (see advisory)
2018-03-29 N-Q Franklin Investors Securities Trust (see advisory)
2018-05-03 13F-HR HUDSON CANYON INVESTMENT COUNSELORS LLC 420 15
2018-02-14 13F-HR THRIVENT FINANCIAL FOR LUTHERANS 548 0 -100.00 18 0 -100.00
2018-02-28 N-Q Gps Funds I (see advisory)
2018-02-12 13F-HR BRANDES INVESTMENT PARTNERS, LP 241,197 0 -100.00 8,172 0 -100.00
2018-05-15 13F-HR Capital World Investors 4,478,584 7,006,544 56.45 155,407 245,019 57.66
2017-12-29 N-Q Income Fund Of America (see advisory)
2018-05-15 13F-HR JANE STREET GROUP, LLC Call 0 20,000 0 699
2018-05-09 13F-HR KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC 412,535 374,620 -9.19 14,315 13,101 -8.48
2018-05-14 13F-HR Veritable, L.P. 7,127 8,035 12.74 247 281 13.77
2018-05-04 13F-HR Quantitative Systematic Strategies LLC 50,590 42,628 -15.74 1,755 1,491 -15.04
2018-03-30 N-Q Fidelity Advisor Series Viii (see advisory)
2018-05-10 13F-HR Tortoise Investment Management, LLC 228 228 0.00 8 8 0.00
2018-05-04 13F-HR SECURITY NATIONAL TRUST CO 1,014 1,014 0.00 35 35 0.00
2018-05-09 13F-HR OPPENHEIMER ASSET MANAGEMENT INC. 424,389 461,805 8.82 14,378 16,149 12.32
2018-05-09 13F-HR ENVESTNET ASSET MANAGEMENT INC 646,306 236,982 -63.33 22,426 8,305 -62.97
2018-05-15 13F-HR/A Sabby Management, LLC Put 7,511 8,380 11.57 26,063 29,305 12.44
2018-04-27 13F-HR Hudock Capital Group, LLC 6,715 6,092 -9.28 233 213 -8.58
2018-05-11 13F-HR SCHRODER INVESTMENT MANAGEMENT GROUP 968 34
2018-04-25 13F-HR FIRST INTERSTATE BANK 4,720 4,720 0.00 164 165 0.61
2018-04-16 13F-HR Raymond James Financial Services Advisors, Inc. 171,382 202,631 18.23 5,947 7,086 19.15
2018-04-05 13F-HR RAYMOND JAMES TRUST N.A. 64,387 68,068 5.72 2,234 2,380 6.54
2018-05-02 13F-HR Paulson Wealth Management Inc. 1,115 0 -100.00 39 0 -100.00
2018-03-28 N-Q Alger Funds (see advisory)
2018-05-02 13F-HR HL FINANCIAL SERVICES LLC 7,180 7,002 -2.48 249 245 -1.61
2018-02-02 13F-HR Barnett & Company, Inc. 162 0 -100.00 5 0 -100.00
2018-05-01 13F-HR Alpha Omega Wealth Management LLC 500 500 0.00 17 17 0.00
2018-05-14 13F-HR MONETA GROUP INVESTMENT ADVISORS LLC 1,200 42
2018-05-08 13F-HR BURNEY CO/ 109,995 105,390 -4.19 3,817 3,685 -3.46
2018-05-15 13F-HR Telemetry Investments, L.L.C. Call 25,000 25,000 0.00 868 874 0.69
2018-03-29 N-Q Wilmington Funds (see advisory)
2018-04-11 13F-HR Taylor Wealth Management Partners 300 300 0.00 10 10 0.00
2018-05-15 13F-HR/A Sabby Management, LLC Call 14,946 14,645 -2.01 51,863 51,214 -1.25
2018-05-18 13F-HR TRUST CO OF VERMONT 2,370 2,370 0.00 82 83 1.22
2018-04-06 13F-HR Kistler-Tiffany Companies, LLC 100 100 0.00 3 3 0.00
2018-04-17 13F-HR Monument Capital Management 10 10 0.00 0 0
2018-05-15 13F-HR Paloma Partners Management Co 0 5,953 0 208
2018-05-15 13F-HR RPg Family Wealth Advisory, LLC 1,280 1,280 0.00 44,416 44,761 0.78
2018-03-29 N-Q Nushares Etf Trust (see advisory)
2018-05-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 602,932 821,007 36.17 20,922 28,711 37.23
2018-04-10 13F-HR Hartford Financial Management Inc. 70 70 0.00 2 2 0.00
2018-03-23 N-Q Professionally Managed Portfolios (see advisory)
2018-05-15 13F-HR AVALON ADVISORS, LLC 51,325 58,711 14.39 1,781 2,053 15.27
2018-02-12 13F-HR NINE MASTS CAPITAL Ltd Call 184 47
2018-01-24 13F-HR HOWE & RUSLING INC 1,718 0 -100.00 58 0 -100.00
2018-04-19 13F-HR Cribstone Capital Management, LLC 350 350 0.00 12 12 0.00
2018-04-04 13F-HR CENTRAL TRUST Co 2,791 2,268 -18.74 97 79 -18.56
2018-05-15 13F-HR/A LOGAN CAPITAL MANAGEMENT INC 26,040 24,746 -4.97 904 866 -4.20
2018-05-15 13F-HR LPL Financial LLC 179,134 416,625 132.58 6,216 14,569 134.38
2018-05-09 13F-HR GFS Advisors, LLC 23,325 14,100 -39.55 809 493 -39.06
2018-05-14 13F-HR PROFUND ADVISORS LLC 55,600 30,700 -44.78 1,929 1,074 -44.32
2018-04-05 13F-HR Edge Wealth Management LLC 1,043 1,043 0.00 36 36 0.00
2018-05-11 13F-HR SEI INVESTMENTS CO 1,037,860 334,917 -67.73 36,405 11,711 -67.83
2018-05-15 13F-HR We Are One Seven, Llc 17,885 16,608 -7.14 621 581 -6.44
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 1,450,800 734,100 -49.40 50,343 25,672 -49.01
2018-05-15 13F-HR TWO SIGMA SECURITIES, LLC Call 6,700 105,500 1,474.63 232 3,689 1,490.09
2018-02-28 N-Q Morgan Stanley Institutional Fund Trust (see advisory)
2018-05-10 13F-HR FRANKLIN RESOURCES INC 990,767 990,203 -0.06 34,380 34,627 0.72
2018-04-20 13F-HR First Bank & Trust 55,597 55,949 0.63 1,929 1,956 1.40
2018-04-10 13F-HR Tower View Investment Management & Research Llc 750 0 -100.00 26 0 -100.00
2018-03-29 N-Q Aim Investment Funds (invesco Investment Funds) (see advisory)
2018-02-12 13F-HR NINE MASTS CAPITAL Ltd Put 184 13
2018-05-07 13F-HR GRIMES & COMPANY, INC. 8,848 10,849 22.62 307 380 23.78
2018-05-15 13F-HR Wellington Management Group LLP Call 1,264 0 -100.00 702 0 -100.00
2018-05-15 13F-HR Bank of New York Mellon Corp 220,883 187,202 -15.25 7,665 6,547 -14.59
2018-05-15 13F-HR Intellectus Partners, LLC 200 200 0.00 7 7 0.00
2018-05-15 13F-HR Sofinnova Ventures Inc 21,832 763
2018-04-30 13F-HR EXANE DERIVATIVES Put 0 610 0 9,200
2018-02-23 N-Q Tekla World Healthcare Fund (see advisory)
2018-02-28 N-Q Prudential Investment Portfolios, Inc. (see advisory)
2018-05-14 13F-HR Pin Oak Investment Advisors Inc 701 606 -13.55 24 21 -12.50
2018-02-05 13F-HR BANK HAPOALIM BM 29,315 0 -100.00 993 0 -100.00
2018-02-12 13F-HR HRT FINANCIAL LLC 6,506 0 -100.00 220 0 -100.00
2018-05-02 13F-HR Creative Financial Designs Inc /adv 500 0 -100.00 17 0 -100.00
2018-02-13 13F-HR PRIMECAP MANAGEMENT CO/CA/ 43,435,530 46,012,634 5.93 1,471,596 1,596,638 8.50
2018-03-29 N-Q Russell Investment Co (see advisory)
2018-05-14 13F-HR PROSPECTOR PARTNERS LLC 59,800 59,800 0.00 2,075 2,091 0.77
2018-05-01 13F-HR AMERICAN NATIONAL INSURANCE CO /TX/ 26,350 26,350 0.00 914 921 0.77
2018-05-11 13F-HR Leisure Capital Management 7,769 7,642 -1.63 270 267 -1.11
2018-05-15 13F-HR Kazazian Asset Management, LLC 13,012 13,012 0.00 452 455 0.66
2018-05-09 13F-HR FEDERATED INVESTORS INC /PA/ 5,334,968 4,259,726 -20.15 185,123 148,962 -19.53
2018-05-15 13F-HR ELLINGTON MANAGEMENT GROUP LLC 0 21,400 0 748
2018-05-08 13F-HR Advisornet Financial, Inc 2,032 2,032 0.00 71 71 0.00
2018-04-17 13F-HR RELIANCE TRUST CO OF DELAWARE 8,414 7,638 -9.22 292 267 -8.56
2018-05-11 13F-HR CITIGROUP INC Call 453,400 316,900 -30.11 15,733 11,082 -29.56
2018-05-01 13F-HR WHITTIER TRUST CO 1,000 5,200 420.00 35 182 420.00
2018-05-15 13F-HR TRUSTMARK NATIONAL BANK TRUST DEPARTMENT 14,005 10,505 -24.99 486 367 -24.49
2018-03-29 N-Q Hennessy Funds Trust (see advisory)
2018-04-19 13F-HR CKW FINANCIAL GROUP 3,000 3,000 0.00 104 104 0.00
2018-04-26 13F-HR Lenox Wealth Management, Inc. 49 467 853.06 2 16 700.00
2018-01-29 13F-HR/A BAILARD, INC. 80,000 0 -100.00 4,387 0 -100.00
2018-05-10 13F-HR Mirae Asset Global Investments Co., Ltd. 226,257 262,774 16.14 7,851 9,189 17.04
2018-05-10 13F-HR/A Fisher Asset Management, LLC 11,917,332 12,544,159 5.26 413,531 438,669 6.08
2018-02-26 N-Q Allianz Funds Multi-strategy Trust (see advisory)
2018-05-09 13F-HR Investors Research Corp 7,966 7,966 0.00 276 279 1.09
2018-05-01 13F-HR COMMERZBANK AKTIENGESELLSCHAFT /FI 43,656 43,656 0.00 1,515 1,527 0.79
2018-02-23 N-Q Tekla Healthcare Opportunities Fund (see advisory)
2018-01-26 N-Q Worldwide Health Sciences Portfolio (see advisory)
2018-05-15 13F-HR MEITAV DASH INVESTMENTS LTD 10,000 10,000 0.00 341 350 2.64
2018-05-15 13F-HR Voya Investment Management LLC 2,588,041 2,567,120 -0.81 89,805 89,772 -0.04
2018-05-15 13F-HR JANE STREET GROUP, LLC Put 0 35,800 0 1,252
2018-04-17 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. 10,931 10,731 -1.83 379 375 -1.06
2018-03-29 N-Q Mainstay Funds Trust (see advisory)
2018-01-31 13F-HR Resources Investment Advisors, Inc. 0 273 0 9
2018-05-15 13F-HR 1832 Asset Management L.P. 150 150 0.00 5 5 0.00
2018-04-16 13F-HR Santori & Peters, Inc. 116 0 -100.00 3 0 -100.00
2018-02-06 13F-HR AE Wealth Management LLC 21,978 21,989 0.05 745 763 2.42
2018-04-11 13F-HR INVESTORS ASSET MANAGEMENT OF GEORGIA INC /GA/ /ADV 20,015 20,015 0.00 695 700 0.72
2018-05-11 13F-HR SOUTH STATE Corp 65,587 2,293
2018-05-09 13F-HR Candriam Luxembourg S.C.A. 21,200 0 -100.00 736 0 -100.00
2018-02-08 13F-HR Global Financial Private Capital, LLC 765,148 0 -100.00 25,923 0 -100.00
2018-04-23 N-Q Legg Mason Partners Equity Trust (see advisory)
2018-04-27 13F-HR ENTERPRISE FINANCIAL SERVICES CORP 512 786 53.52 18 27 50.00
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ Put 2,000 0 -100.00 68 0 -100.00
2018-02-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 14,249,816 14,620,254 2.60 482,784 507,323 5.08
2018-05-15 13F-HR BROOKSIDE CAPITAL MANAGEMENT LLC Call 0 3,600 0 480
2018-05-04 13F-HR D'Orazio & Associates, Inc. 135 5
2018-05-14 13F-HR York Capital Management Global Advisors, LLC 0 1,616,863 0 56,542
2018-02-27 N-Q Massmutual Premier Funds (see advisory)
2018-05-15 13F-HR NEXTHERA CAPITAL LP Call 466,600 0 -100.00 16,191 0 -100.00
2018-05-04 13F-HR Financial Gravity Companies, Inc. 124 74 -40.32 4 3 -25.00
2018-05-04 13F-HR WETHERBY ASSET MANAGEMENT INC 37,809 39,836 5.36 1,312 1,393 6.17
2018-05-08 13F-HR COUNTRY TRUST BANK 200 200 0.00 7 7 0.00
2018-02-28 N-Q Pacific Funds Series Trust (see advisory)
2018-05-11 13F-HR Argent Trust Co 15,967 13,847 -13.28 554 484 -12.64
2018-05-10 13F-HR Stratos Wealth Partners, LTD. 3,729 4,047 8.53 129 142 10.08
2018-05-11 13F-HR BNP PARIBAS ARBITRAGE, SA Put 90,400 25,000 -72.35 3,136,880 874,250 -72.13
2018-02-26 N-Q Allianzgi Institutional Multi-series Trust (see advisory)
2018-02-28 N-Q Wisdomtree Trust (see advisory)
2018-05-03 13F-HR SG Americas Securities, LLC 0 29,922 0 1,046
2018-05-14 13F-HR Gryphon Financial Partners Llc 707 707 0.00 25 25 0.00
2018-04-26 13F-HR SIMPLEX TRADING, LLC Put 199 206 3.52 7 34 385.71
2018-01-24 13F-HR Sg3 Management, Llc Call 0 0 0 0
2018-05-15 13F-HR BARCLAYS PLC Call 87,100 27,800 -68.08 3,022 972 -67.84
2018-05-15 13F-HR BROOKSIDE CAPITAL MANAGEMENT LLC 166,862 641,872 284.67 5,790 22,446 287.67
2018-05-14 13F-HR/A CITADEL ADVISORS LLC Call 252,100 374,400 48.51 8,748 13,093 49.67
2018-04-10 13F-HR Gradient Investments LLC 100 684 584.00 3 24 700.00
2018-05-15 13F-HR Wellington Management Group LLP 60,148,393 61,598,076 2.41 2,087,150 2,154,085 3.21
2018-05-03 13F-HR Carnick & Kubik Group, LLC 17,842 0 -100.00 619 0 -100.00
2018-04-20 13F-HR FIRST MANHATTAN CO 8,400 4,800 -42.86 291 167 -42.61
2018-05-11 13F-HR CITIGROUP INC 383,181 169,722 -55.71 13,296 5,935 -55.36
2018-04-20 13F-HR Seacrest Wealth Management, Llc 11,931 11,735 -1.64 414 410 -0.97
2018-04-27 N-Q Fidelity Concord Street Trust (see advisory)
2018-02-27 N-Q Northern Lights Fund Trust (see advisory)
2018-01-30 13F-HR JFS WEALTH ADVISORS, LLC 202 0 -100.00 7 0 -100.00
2018-02-13 13F-HR 180 Wealth Advisors, Llc 46,177 1,602
2018-04-26 13F-HR Winslow, Evans & Crocker, Inc. 622 622 0.00 21,584 21,752 0.78
2018-05-10 13F-HR Hanson & Doremus Investment Management 32,960 35,831 8.71 1,144 1,253 9.53
2018-05-14 13F-HR SENZAR ASSET MANAGEMENT, LLC 757,710 26,497
2018-02-15 13F-HR ADVISORS MANAGEMENT GROUP INC /ADV 7,479 7,479 0.00 253 260 2.77
2018-04-11 13F-HR First Capital Advisors Group, LLC. 424 15
2018-04-23 13F-HR REGENTATLANTIC CAPITAL LLC 15,670 15,644 -0.17 544 547 0.55
2018-05-16 13F-HR Private Capital Group, Llc 10,777 8,557 -20.60 374 299 -20.05
2018-04-19 13F-HR Janney Montgomery Scott LLC 343,245 352,847 2.80 11,911 12,339 3.59
2018-01-25 N-Q Putnam Investment Funds (see advisory)
2018-05-16 13F-HR ASSETMARK, INC 7,036 6,530 -7.19 244 228 -6.56
2018-05-04 13F-HR MITCHELL CAPITAL MANAGEMENT CO 8,000 13,103 63.79 278 458 64.75
2018-02-14 13F-HR National Planning Corp 10,527 0 -100.00 357 0 -100.00
2018-05-02 13F-HR FTB Advisors, Inc. 6,512 6,533 0.32 227 234 3.08
2018-03-30 N-Q Fidelity Salem Street Trust (see advisory)
2018-05-10 13F-HR TODD ASSET MANAGEMENT LLC 32,701 33,315 1.88 1,135 1,165 2.64
2018-05-15 13F-HR Sterling Capital Management LLC 7,420 7,669 3.36 257 268 4.28
2018-05-09 13F-HR OPTIMUM INVESTMENT ADVISORS 0 1,000 0 35
2018-04-25 N-Q Pioneer Series Trust Viii (see advisory)
2018-05-15 13F-HR SUSQUEHANNA FUNDAMENTAL INVESTMENTS, LLC 87,000 3,042
2018-05-01 13F-HR Lester Murray Antman Dba Simplyrich 16,930 16,930 0.00 587 592 0.85
2018-05-07 13F-HR MONTAG A & ASSOCIATES INC 9,400 9,400 0.00 326 329 0.92
2018-04-30 13F-HR CIBC Asset Management Inc 136,450 108,945 -20.16 4,735 3,810 -19.54
2018-05-14 13F-HR WILLIAM BLAIR INVESTMENT MANAGEMENT, LLC 146,734 174,749 19.09 5,092 6,111 20.01
2018-05-11 13F-HR HSBC HOLDINGS PLC 47,975 148,542 209.62 1,665 5,194 211.95
2018-05-15 13F-HR UNITED CAPITAL FINANCIAL ADVISERS, LLC 13,177 17,915 35.96 449 627 39.64
2018-02-27 13F-HR Rikoon Group, LLC 35,500 34,950 -1.55 1,203 1,213 0.83
2018-05-02 13F-HR Parkside Financial Bank & Trust 7,687 7,380 -3.99 267 258 -3.37
2018-05-15 13F-HR Aevitas Wealth Management, Inc. 61 181 196.72 2 6 200.00
2018-05-15 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 180,901 405,745 124.29 6,277 14,189 126.05
2018-05-11 13F-HR Cutler Group LP Put 6,800 6,800 0.00 10 6 -40.00
2018-04-18 13F-HR Integral Derivatives, LLC Call 23,500 0 -100.00 815 0 -100.00
2018-04-27 N-Q Fidelity Rutland Square Trust Ii (see advisory)
2018-05-15 13F-HR Parallax Volatility Advisers, L.P. Call 298,000 18,000 -93.96 10,341 629 -93.92
2018-05-09 13F-HR Cetera Advisor Networks LLC 6,352 5,852 -7.87 217 200 -7.83
2018-05-15 13F-HR Quantitative Investment Management, LLC 360,600 231,500 -35.80 12,512 8,095 -35.30
2018-03-01 N-Q Causeway Capital Management Trust (see advisory)
2018-04-20 N-Q Blackrock Funds (see advisory)
2018-04-23 13F-HR Kiley Juergens Wealth Management, Llc 876 0 -100.00 30 0 -100.00
2018-01-26 N-Q Fidelity Select Portfolios (see advisory)
2018-04-12 13F-HR Integrated Investment Consultants, LLC 0 404 0 14
2018-04-16 13F-HR Crossmark Global Holdings, Inc. 122,001 96,599 -20.82 4,233 3,378 -20.20
2018-01-26 N-Q Fidelity Puritan Trust (see advisory)
2018-02-14 13F-HR Zions Bancorporation 38,852 0 -100.00 1,317 0 -100.00
2018-04-02 N-Q Primecap Odyssey Funds (see advisory)
2018-04-18 13F-HR Cordasco Financial Network 3,668 3,668 0.00 127 128 0.79
2018-04-16 13F-HR LVM CAPITAL MANAGEMENT LTD/MI 8,800 8,800 0.00 305 308 0.98
2018-05-11 13F-HR Delpha Capital Management, Llc 4,372 0 -100.00 152 0 -100.00
2018-05-15 13F-HR TimesSquare Capital Management, LLC 98,740 125,330 26.93 3,426 4,383 27.93
2018-05-09 13F-HR SECTOR GAMMA AS 896,771 806,035 -10.12 31,118 28,187 -9.42
2018-05-14 13F-HR Epoch Investment Partners, Inc. 9,016,879 8,664,526 -3.91 312,886 302,998 -3.16
2018-05-14 13F-HR RAYMOND JAMES & ASSOCIATES Call 18,400 18,500 0.54 1 1 0.00
2018-05-15 13F-HR SALEM INVESTMENT COUNSELORS INC 2,000 1,300 -35.00 69 45 -34.78
2018-05-14 13F-HR Schafer Cullen Capital Management Inc 4,379,275 4,463,045 1.91 151,961 156,073 2.71
2018-05-14 13F-HR AMERIPRISE FINANCIAL INC 3,162,053 2,993,826 -5.32 110,208 104,917 -4.80
2018-05-18 N-Q State Farm Variable Product Trust (see advisory)
2018-05-08 13F-HR Aperio Group, LLC 816,590 904,584 10.78 28,336 31,633 11.64
2018-05-10 13F-HR SMITHFIELD TRUST CO 1,328 1,238 -6.78 46 43 -6.52
2018-05-15 13F-HR MORGENS WATERFALL VINTIADIS & CO INC 12,200 427
2018-05-15 13F-HR PUTNAM INVESTMENTS LLC 4,397,355 4,394,562 -0.06 152,588 153,678 0.71
2018-03-29 N-Q NEW WORLD FUND INC (see advisory)
2018-05-11 13F-HR MML INVESTORS SERVICES, LLC 80,293 68,904 -14.18 2,786 2,410 -13.50
2018-05-04 13F-HR Rossmore Private Capital 410 0 -100.00 14,227 0 -100.00
2018-04-18 13F-HR Cornerstone Advisors, Inc. 178 338 89.89 6 12 100.00
2018-03-26 N-Q Legg Mason Etf Investment Trust (see advisory)
2018-03-01 N-Q First Trust Exchange-traded Fund Ii (see advisory)
2018-04-02 N-Q John Hancock Investment Trust (see advisory)
2017-12-21 N-Q Blackrock Funds Ii (see advisory)
2018-05-10 13F-HR JP Morgan Chase & Co 171,756 183,270 6.70 5,960 6,409 7.53
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 415,126 630,713 51.93 14,404 22,055 53.12
2018-05-11 13F-HR Cutler Group LP 688 3,088 348.84 23 107 365.22
2018-04-20 N-Q Fdp Series, Inc. (see advisory)
2018-04-11 13F-HR Country Club Trust Company, n.a. 5,920 0 -100.00 206 0 -100.00
2018-05-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 37,904 46,852 23.61 1,318 1,638 24.28
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 882,500 1,030,700 16.79 30,623 36,044 17.70
2018-05-08 13F-HR SIGNATUREFD, LLC 9,603 11,657 21.39 333 408 22.52
2018-05-11 13F-HR/A KEATING INVESTMENT COUNSELORS INC 258,160 248,660 -3.68 8,958 8,696 -2.92
2018-01-25 N-Q Federated Institutional Trust (see advisory)
2018-04-26 N-Q Federated Income Securities Trust (see advisory)
2018-03-21 N-Q Innovator Etfs Trust (see advisory)
2018-04-27 N-Q Ab Global Risk Allocation Fund, Inc. (see advisory)
2018-04-20 13F-HR BB&T CORP 164,156 176,223 7.35 5,697 6,163 8.18
2018-05-11 13F-HR M&R CAPITAL MANAGEMENT INC 687 687 0.00 23 24 4.35
2018-05-02 13F-HR DREMAN VALUE MANAGEMENT, L L C 180 180 0.00 6 6 0.00
2018-05-04 13F-HR BECKER CAPITAL MANAGEMENT INC 1,524,917 1,589,632 4.24 52,915 55,589 5.05
2018-04-26 N-Q Putnam Funds Trust (see advisory)
2018-04-11 13F-HR GOFEN & GLOSSBERG LLC /IL/ 53,569 49,221 -8.12 1,859 1,721 -7.42
2018-04-27 N-Q Valic Co I (see advisory)
2017-12-28 N-Q Fidelity Advisor Series Vii (see advisory)
2018-03-29 N-Q Eaton Vance Mutual Funds Trust (see advisory)
2018-05-03 13F-HR Cowen Prime Services LLC 53,520 67,440 26.01 1,857 2,358 26.98
2018-05-15 13F-HR One Wealth Advisors, Llc 1,785 0 -100.00 62 0 -100.00
2018-01-26 N-Q Intermediate Bond Fund Of America (see advisory)
2018-04-03 13F-HR GENESEE VALLEY TRUST CO 6,685 6,825 2.09 232 227 -2.16
2018-04-26 13F-HR CWM, LLC 1,114 1,114 0.00 39 39 0.00
2018-05-14 13F-HR IHT Wealth Management, LLC 16,485 16,013 -2.86 587 556 -5.28
2018-03-29 N-Q Washington Mutual Investors Fund (see advisory)
2018-05-15 13F-HR BALYASNY ASSET MANAGEMENT LLC 952,592 968,205 1.64 33,055 33,858 2.43
2018-03-29 N-Q CAPITAL INCOME BUILDER (see advisory)
2018-05-15 13F-HR CAPITAL INTERNATIONAL SARL 132,650 145,350 9.57 4,603 5,083 10.43
2018-02-14 13F-HR Integral Derivatives, LLC Put 7,500 0 -100.00 254 0 -100.00
2018-05-15 13F-HR Capital International Investors 9,966,410 9,432,915 -5.35 345,834 329,869 -4.62
2018-05-15 13F-HR People's United Financial, Inc. 25,144 29,473 17.22 872 1,030 18.12
2018-05-15 13F-HR WOLVERINE ASSET MANAGEMENT LLC 0 5,985 0 209
2018-05-15 13F-HR Walleye Trading LLC Put 129,900 155,100 19.40 4,508 5,424 20.32
2018-05-17 13F-HR Atlantic Trust Group, LLC 11,570 2,289 -80.22 402 80 -80.10
2018-05-15 13F-HR WOLVERINE ASSET MANAGEMENT LLC Call 26,800 0 -100.00 929 0 -100.00
2018-05-15 13F-HR HPM Partners LLC 33,094 23,184 -29.95 1,148 811 -29.36
2018-04-25 13F-HR PEOPLES FINANCIAL SERVICES CORP. 226 226 0.00 8 8 0.00
2018-04-17 13F-HR NAPLES GLOBAL ADVISORS, LLC 30,133 30,383 0.83 1,046 1,062 1.53
2018-04-06 13F-HR Lowe fs, LLC 100 100 0.00 3 3 0.00
2018-02-12 13F-HR BROWN ADVISORY INC 9,941 345
2018-05-16 13F-HR Israel Discount Bank of New York 225 225 0.00 8 8 0.00
2018-02-13 13F-HR Corient Capital Partners, LLC 150,994 157,435 4.27 5,116 5,463 6.78
2018-05-07 13F-HR Strategic Wealth Advisors Group,Inc. 18,494 646
2018-05-09 13F-HR Twin Tree Management, LP Put 263,700 71,100 -73.04 9,150 2,486 -72.83
2018-04-25 13F-HR OLD SECOND NATIONAL BANK OF AURORA 355 355 0.00 12 12 0.00
2018-05-07 13F-HR Columbia Asset Management 17,304 17,304 0.00 600 605 0.83
2018-04-23 13F-HR Clean Yield Group 5,900 0 -100.00 205 0 -100.00
2018-05-15 13F-HR Premier Asset Managment LLC 31,225 32,875 5.28 1,084 1,150 6.09
2018-05-11 13F-HR CULLEN/FROST BANKERS, INC. 9,423 330
2018-04-18 13F-HR WealthTrust-Arizona, LLC 120 120 0.00 4 4 0.00
2018-05-15 13F-HR UBS Group AG Put 111,100 49,100 -55.81 3,855 1,717 -55.46
2018-02-05 13F-HR Mascoma Wealth Management LLC 8,000 0 -100.00 271 0 -100.00
2018-05-04 13F-HR Point View Wealth Management, Inc. 19,343 19,343 0.00 671 676 0.75
2018-04-30 13F-HR ROPES WEALTH ADVISORS LLC 400 454 13.50 14 16 14.29
2018-04-04 13F-HR DAVENPORT & Co LLC 11,424 12,138 6.25 396,413 424,466 7.08
2018-01-29 13F-HR Bollard Group LLC 44,466 44,466 0.00 1,507 1,543 2.39
2018-05-11 13F-HR HAP Trading, LLC 18,625 49,249 164.42 646 1,722 166.56
2018-05-03 13F-HR Jacobi Capital Management LLC 2,275 8,024 252.70 81 278 243.21
2018-04-16 13F-HR Town & Country Bank & Trust CO dba First Bankers Trust CO 50,594 48,727 -3.69 1,756 1,704 -2.96
2018-03-28 N-Q Voya Mutual Funds (see advisory)
2018-05-15 13F-HR Delek Group, Ltd. 128,500 0 -100.00 4,453 0 -100.00
2018-05-07 13F-HR SYNOVUS FINANCIAL CORP 9,417 5,319 -43.52 327 186 -43.12
2018-05-10 13F-HR FRED ALGER MANAGEMENT INC 27,000 56,860 110.59 937 1,988 112.17
2018-05-02 13F-HR HOWLAND CAPITAL MANAGEMENT LLC 22,000 22,000 0.00 763 769 0.79
2018-05-11 13F-HR OPPENHEIMER FUNDS INC 133,213 133,244 0.02 4,622 4,660 0.82
2018-05-15 13F-HR GOLDMAN SACHS GROUP INC 3,097,422 3,896,345 25.79 107,481 136,255 26.77
2018-05-14 13F-HR Allianz Asset Management AG 96,395 91,815 -4.75 3,345 3,211 -4.01
2018-05-09 13F-HR Rockefeller Capital Management L.p. 910 32
2018-04-30 13F-HR HUNTINGTON NATIONAL BANK 3,884 3,384 -12.87 135 118 -12.59
2018-05-15 13F-HR Crestline Management, LP 65,868 2,303
2018-02-27 N-Q Massmutual Select Funds (see advisory)
2018-02-27 N-Q Putnam Asset Allocation Funds (see advisory)
2018-05-15 13F-HR Advisor Group, Inc. 77,304 68,608 -11.25 2,682 2,398 -10.59
2018-02-28 N-Q Fidelity Central Investment Portfolios Llc (see advisory)
2018-05-15 13F-HR STATE STREET CORP 247,312 256,253 3.62 8,582 8,961 4.42
2018-05-18 13F-HR/A OLD REPUBLIC INTERNATIONAL CORP 1,253,000 1,253,000 0.00 43,479 43,817 0.78
2018-03-29 N-Q Fidelity Covington Trust (see advisory)
2018-04-12 13F-HR Signature Wealth Management Group 473 340 -28.12 16 12 -25.00
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 37,600 298,104 692.83 1,305 10,425 698.85
2018-04-23 13F-HR Factorial Partners, Llc 32,400 35,900 10.80 1,124,280 1,255,423 11.66
2018-03-01 N-Q Janus Investment Fund (see advisory)
2018-05-07 13F-HR Massey, Quick & Co., LLC 150 0 -100.00 5 0 -100.00
2018-05-08 13F-HR RIVERHEAD CAPITAL MANAGEMENT LLC 9,500 9,500 0.00 330 332 0.61
2018-04-24 N-Q State Farm Associates Funds Trusts (see advisory)
2017-12-28 N-Q Fidelity Securities Fund (see advisory)
2018-02-28 N-Q Iva Fiduciary Trust (see advisory)
2018-04-27 13F-HR Garner Asset Management Corp 9,185 8,640 -5.93 319 302 -5.33
2018-02-14 13F-HR TEACHERS ADVISORS INC 925,986 991,956 7.12 31,372 34,421 9.72
2018-03-29 N-Q Powershares Exchange-traded Fund Trust Ii (see advisory)
2018-05-09 13F-HR Lee Financial CORP 34 2,136 6,182.35 1 75 7,400.00
2018-01-26 N-Q Eaton Vance Growth Trust (see advisory)
2018-05-15 13F-HR Man Group plc 189,321 6,620
2018-05-10 13F-HR BESSEMER GROUP INC 4,254 2,831 -33.45 148 99 -33.11
2018-04-13 13F-HR Lenox Wealth Advisors, Inc. 987 2,352 138.30 34 82 141.18
2018-04-06 13F-HR Eqis Capital Management, Inc. 13,856 12,409 -10.44 481 434 -9.77
2018-02-08 13F-HR OAK ASSOCIATES LTD /OH/ 0 54,900 0 1,905
2018-05-04 13F-HR LSV ASSET MANAGEMENT 107,200 107,200 0.00 3,719 3,748 0.78
2018-05-15 13F-HR Risk Paradigm Group, LLC 2,200 2,200 0.00 76,340 76,934 0.78
2018-04-27 13F-HR Berkeley Capital Partners, LLC 46,197 38,405 -16.87 1,603 1,343 -16.22
2018-05-08 13F-HR Pictet North America Advisors SA 264,729 278,434 5.18 18,339 19,121 4.26
2018-05-11 13F-HR Omnia Family Wealth, LLC 1,740 1,740 0.00 60 61 1.67
2018-05-15 13F-HR SCOTIA CAPITAL INC. 5,816 203
2018-05-14 13F-HR Capital Analysts, Inc. 17,171 18 -99.90 1,226 1 -99.92
2018-02-15 13F-HR Fieldpoint Private Securities, LLC 2,643 0 -100.00 90 0 -100.00
2018-04-10 13F-HR Lourd Capital, LLC 22,793 22,367 -1.87 791 782 -1.14
2018-02-09 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 316,751 0 -100.00 10,681 0 -100.00
2018-05-08 13F-HR SKBA CAPITAL MANAGEMENT LLC 225,070 224,570 -0.22 7,810 7,853 0.55
2018-05-15 13F-HR Tower Research Capital LLC (TRC) 10,498 0 -100.00 364 0 -100.00
2018-05-14 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 733,582 67,809 -90.76 25,455 2,371 -90.69
2018-03-14 13F-HR/A CREDIT SUISSE AG/ 26,715 33,095 23.88 905 1,148 26.85
2018-05-15 13F-HR Grantham, Mayo, Van Otterloo & Co. LLC 33,000 29,200 -11.52 1,145 1,021 -10.83
2018-04-23 13F-HR World Asset Management Inc 143,024 100,656 -29.62 4,963 3,520 -29.08
2018-04-24 13F-HR Burt Wealth Advisors 1,554 1,554 0.00 54 54 0.00
2018-02-09 13F-HR SUFFOLK CAPITAL MANAGEMENT LLC 359,120 0 -100.00 12,167 0 -100.00
2018-05-11 13F-HR Gemmer Asset Management LLC 202 7
2018-05-15 13F-HR TWO SIGMA SECURITIES, LLC 47,845 1,673
2017-12-28 N-Q Fidelity Devonshire Trust (see advisory)
2018-05-11 13F-HR PINNACLE ASSOCIATES LTD 12,226 10,223 -16.38 424 357 -15.80
2018-05-15 13F-HR Horizon Kinetics LLC 31,083 30,483 -1.93 1,078 1,066 -1.11
2018-05-15 13F-HR Voya Financial Advisors, Inc. 37,355 38,333 2.62 1,274 1,347 5.73
2018-04-23 N-Q Lmp Capital & Income Fund Inc. (see advisory)
2018-02-09 13F-HR LEVIN CAPITAL STRATEGIES, L.P. 6,000 0 -100.00 203 0 -100.00
2018-02-13 13F-HR CREDIT AGRICOLE S A 4,000 0 -100.00 136 0 -100.00
2018-05-18 13F-HR Moors & Cabot, Inc. 12,376 12,516 1.13 427 438 2.58
2018-03-29 N-Q Tax-managed International Equity Portfolio (see advisory)
2018-05-04 13F-HR NTV ASSET MANAGEMENT LLC 8,000 7,500 -6.25 278 262 -5.76
2018-05-15 13F-HR GOLDMAN SACHS GROUP INC Call 34,800 144,700 315.80 1,208 5,060 318.87
2018-05-14 13F-HR HENDERSON GROUP PLC 718,337 729,615 1.57 24,926 25,515 2.36
2018-02-08 13F-HR Trexquant Investment LP 19,057 0 -100.00 646 0 -100.00
2018-05-16 N-Q Dodge & Cox Funds (see advisory)
2018-05-08 13F-HR Dorsey & Whitney Trust CO LLC 7,722 8,717 12.89 268 305 13.81
2018-02-14 13F-HR Kendall Capital Management 16,015 556
2018-01-26 N-Q Short-term Bond Fund Of America (see advisory)
2018-05-14 13F-HR RAYMOND JAMES & ASSOCIATES 4,290,362 3,877,233 -9.63 148,875 135,587 -8.93
2018-05-11 13F-HR BNP PARIBAS ARBITRAGE, SA Call 33,200 28,200 -15.06 1,152,040 986,154 -14.40
2018-05-15 13F-HR TWO SIGMA ADVISERS, LP 365,100 157,800 -56.78 12,669 5,518 -56.44
2018-02-14 13F-HR CAPITAL INTERNATIONAL INC /CA/ 16,900 0 -100.00 573 0 -100.00
2018-05-04 13F-HR Whitnell & Co. 146 146 0.00 5 5 0.00
2018-05-04 13F-HR Ariel Capital Advisors, LLC 10,500 10,500 0.00 364 367 0.82
2018-05-15 13F-HR PEAK6 Investments, L.P. Put 119,700 124,000 3.59 4,154 4,336 4.38
2018-03-30 N-Q Fidelity Investment Trust (see advisory)
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. 26,583 0 -100.00 922 0 -100.00
2018-02-14 13F-HR Belpointe Asset Management Llc 9,117 11,207 22.92 309 389 25.89
2018-05-15 13F-HR PEAK6 Investments, L.P. 0 49,148 0 1,719
2018-05-09 13F-HR/A JNBA Financial Advisors 300 300 0.00 10 10 0.00
2018-05-15 13F-HR WOLVERINE TRADING, LLC Call 0 71,600 0 2,504
2018-05-14 13F-HR MONETARY MANAGEMENT GROUP INC 5,500 5,500 0.00 191 192 0.52
2018-05-07 13F-HR Nicholas Hoffman & Company, LLC. 29,399 29,210 -0.64 1,020 1,021 0.10
2018-05-15 13F-HR DEUTSCHE BANK AG\ 419,390 485,467 15.76 14,551 16,975 16.66
2018-05-11 13F-HR Parisi Gray Wealth Management 308 190 -38.31 11 7 -36.36
2018-05-10 13F-HR TORONTO DOMINION BANK 13,394 12,878 -3.85 465 450 -3.23
2018-05-15 13F-HR YorkBridge Wealth Partners, LLC 3,724 3,724 0.00 126 135 7.14
2018-05-10 13F-HR Stockman Asset Management 113,570 116,447 2.53 3,941 4,072 3.32
2018-05-10 13F-HR Bruderman Asset Management, LLC 0 697 0 24
2018-05-08 13F-HR THOMPSON SIEGEL & WALMSLEY LLC 1,360 1,360 0.00 47 48 2.13
2018-02-27 N-Q John Hancock Funds Iii (see advisory)
2018-05-09 13F-HR Twin Tree Management, LP 0 279,119 0 9,761
2018-04-26 13F-HR TOMPKINS FINANCIAL CORP 1,314 1,314 0.00 45 46 2.22
2018-04-20 13F-HR Steward Partners Investment Advisory, Llc 14,830 16,215 9.34 514 567 10.31
2018-01-23 N-Q Schwab Investments (see advisory)
2018-02-22 13F-HR Wagner Wealth Management, Llc 0 14
2018-05-15 13F-HR Princeton Portfolio Strategies Group LLC 27,476 961
2018-05-11 13F-HR SevenBridge Financial Group, LLC 1,665 1,665 0.00 58 58 0.00
2018-04-09 13F-HR First PREMIER Bank 1,180 1,180 0.00 41 41 0.00
2018-03-29 N-Q Global Income Builder Portfolio (see advisory)
2018-02-01 13F-HR Nationwide Fund Advisors 53,300 0 -100.00 1,806 0 -100.00
2018-02-09 13F-HR Proficio Capital Partners LLC 2,160 2,269 5.05 73 79 8.22
2018-04-25 13F-HR BOSTON FINANCIAL MANGEMENT INC /MA 114,802 103,032 -10.25 3,984 3,603 -9.56
2018-01-02 N-Q Advisors Series Trust (see advisory)
2018-03-01 N-Q Spdr Index Shares Funds (formerly Streettracks Index Shares Funds) (see advisory)
2018-05-15 13F-HR CAPITAL INTERNATIONAL LTD /CA/ 62,100 60,900 -1.93 2,155 2,130 -1.16
2018-05-15 13F-HR NEXTHERA CAPITAL LP 0 484,000 0 16,925
2018-04-30 13F-HR EXANE DERIVATIVES Call 50 0 -100.00 36,500 0 -100.00
2018-02-13 13F-HR MACKENZIE FINANCIAL CORP 13,947 21,501 54.16 473 746 57.72
2018-05-14 13F-HR CYPRESS ASSET MANAGEMENT INC/TX 6,175 0 -100.00 214 0 -100.00
2018-05-15 13F-HR Capital Bank & Trust Co 1,711,101 1,755,617 2.60 59,375 61,394 3.40
2018-04-26 13F-HR BEACON INVESTMENT ADVISORY SERVICES, INC. 21,348 24,748 15.93 741 865 16.73
2018-04-24 13F-HR ZWJ INVESTMENT COUNSEL INC 79,331 204,536 157.83 2,753 7,153 159.83
2018-03-29 N-Q Goldman Sachs Trust Ii (see advisory)
2018-03-27 N-Q Indexiq Etf Trust (see advisory)
2018-05-08 13F-HR ATHENA CAPITAL ADVISORS LLC 162,919 162,600 -0.20 5,653 5,686 0.58
2018-04-20 13F-HR Mps Loria Financial Planners, Llc 8,704 8,814 1.26 302 308 1.99
2018-02-14 13F-HR Acorn Wealth Advisors, Llc 244 9
2018-04-09 13F-HR EASTERN BANK 11,700 11,700 0.00 406 409 0.74
2018-01-26 N-Q Eaton Vance Special Investment Trust (see advisory)
2018-05-09 13F-HR Oakworth Capital, Inc. 400 400 0.00 13 14 7.69
2018-05-15 13F-HR GUGGENHEIM CAPITAL LLC 149,720 58,689 -60.80 5,196 2,052 -60.51
2018-05-10 13F-HR Elkfork Partners LLC 18,258 18,258 0.00 634 638 0.63
2018-05-10 13F-HR Vantage Investment Advisors, LLC 500 2,000 300.00 0 137
2018-05-10 13F-HR TCW GROUP INC 26,250 28,100 7.05 911 983 7.90
2018-04-12 13F-HR Legacy Financial Advisors, Inc. 1,146 1,146 0.00 39 42 7.69
2018-04-27 N-Q Fidelity Commonwealth Trust (see advisory)
2018-03-15 N-Q Tcw Funds Inc (see advisory)
2018-05-10 13F-HR KINGS POINT CAPITAL MANAGEMENT 1,000 1,000 0.00 35 35 0.00
2018-04-18 13F-HR Versant Capital Management, Inc 565 19
2018-05-07 13F-HR HIGH POINTE CAPITAL MANAGEMENT LLC 17,060 18,340 7.50 592 641 8.28
2018-05-15 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 100 0 -100.00 3 0 -100.00
2018-02-12 13F-HR Pinnacle Wealth Planning Services, Inc. 2,922 101
2018-04-09 13F-HR CONTRAVISORY INVESTMENT MANAGEMENT, INC. 19 0 -100.00 1 0 -100.00
2018-02-15 13F-HR PVG ASSET MANAGEMENT CORP 69,965 0 -100.00 2,370,414 0 -100.00
2018-02-09 13F-HR Virtu Financial LLC 0 7,084 0 246
2018-05-11 13F-HR Yorktown Management & Research Co Inc 10,000 38,800 288.00 347 1,357 291.07
2018-03-16 13F-HR Aurora Financial Advisors, Llc 12,114 420
2018-05-15 13F-HR HONKAMP KRUEGER FINANCIAL SERVICES INC /ADV 3,028 105
2018-04-24 13F-HR Mercer Capital Advisers, Inc. 300 300 0.00 10 10 0.00
2018-05-07 13F-HR THORNBURG INVESTMENT MANAGEMENT INC 433,223 15,150
2018-05-15 13F-HR HBK INVESTMENTS L P 23,400 0 -100.00 812 0 -100.00
2018-02-13 13F-HR BANK OF NOVA SCOTIA TRUST CO 2,781 0 -100.00 94 0 -100.00
2018-04-23 13F-HR Capital Advisors, Ltd. LLC 2,316 2,316 0.00 80 81 1.25
2018-03-27 N-Q PRINCIPAL FUNDS INC (see advisory)
2018-05-14 13F-HR DODGE & COX 56,530,979 54,530,179 -3.54 1,961,625 1,906,920 -2.79
2018-05-01 13F-HR COMERICA BANK 187,204 181,451 -3.07 6,713 6,424 -4.31
2018-02-14 13F-HR Vident Investment Advisory, LLC 33,983 37,505 10.36 1,151 1,301 13.03
2018-05-15 13F-HR Advisors Asset Management, Inc. 92,903 89,222 -3.96 3,224 2,961 -8.16
2018-02-28 N-Q Fidelity Destiny Portfolios (see advisory)
2018-05-14 13F-HR CONTINENTAL ADVISORS LLC 98,300 98,300 0.00 3,411 3,438 0.79
2018-02-28 N-Q Seasons Series Trust (see advisory)
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. Put 144,200 36,200 -74.90 5,004 1,266 -74.70
2018-05-08 13F-HR Parallel Advisors, LLC 9,264 10,230 10.43 321 358 11.53
2018-05-01 13F-HR Prime Capital Investment Advisors, Llc 2,180 2,180 0.00 76 76 0.00
2018-02-14 13F-HR BOKF, NA 80,221 98,031 22.20 2,718 3,401 25.13
2018-05-15 13F-HR Parallax Volatility Advisers, L.P. Put 0 400 0 14
2018-05-03 13F-HR ADVISOR PARTNERS LLC 6,236 9,615 54.19 221 336 52.04
2018-05-09 13F-HR IFP Advisors, Inc 9,236 9,708 5.11 320 339 5.94
2018-02-13 13F-HR Huber Capital Management LLC 27,500 27,500 0.00 932 954 2.36
2018-05-10 13F-HR Winfield Associates, Inc. 790 0 -100.00 28 0 -100.00
2018-04-30 13F-HR Glassman Wealth Services 189 189 0.00 7 7 0.00
2018-05-10 13F-HR First Personal Financial Services 4,103 3,578 -12.80 142 126 -11.27
2018-05-15 13F-HR WOLVERINE TRADING, LLC Put 0 65,400 0 2,287
2018-02-09 13F-HR Timber Hill LLC 7,912 0 -100.00 268 0 -100.00
2018-04-26 13F-HR ESSEX INVESTMENT MANAGEMENT CO LLC 54,078 1,891
2018-05-03 13F-HR QCI ASSET MANAGEMENT INC/NY 1,155 1,155 0.00 40 40 0.00
2018-03-29 N-Q Capital Group Private Client Services Funds (see advisory)
2018-02-28 N-Q Sunamerica Equity Funds (see advisory)
2018-05-02 13F-HR WESTPORT ASSET MANAGEMENT INC 10,000 10,000 0.00 341 350 2.64
2018-02-14 13F-HR Patriot Financial Group Insurance Agency, LLC 117 117 0.00 4 4 0.00
2018-05-09 13F-HR PARK CIRCLE Co 114,400 114,400 0.00 3,970 4,003 0.83
2018-02-15 13F-HR BB&T SECURITIES, LLC 299,569 298,995 -0.19 10,149 10,375 2.23
2018-05-15 13F-HR D. E. Shaw & Co., Inc. 13,218 10,810 -18.22 459 378 -17.65
2018-05-09 13F-HR Neumann Capital Management, LLC 5,829 5,829 0.00 202 204 0.99
2018-05-15 13F-HR Edge Advisors, Llc 150 0 -100.00 5 0 -100.00
2018-05-15 13F-HR UBS Group AG Call 0 25,000 0 874
2018-05-15 13F-HR HIGHLAND CAPITAL MANAGEMENT LP 0 40,000 0 1,399
2018-05-14 13F-HR Nuveen Asset Management, LLC 7,068 0 -100.00 245 0 -100.00
2018-05-10 13F-HR BLUESTEIN R H & CO 16,400 15,325 -6.55 569 536 -5.80
2018-04-18 13F-HR REGIONS FINANCIAL CORP 23,898 24,371 1.98 829 852 2.77
2018-04-25 N-Q Deutsche Securities Trust (see advisory)
2018-05-14 13F-HR/A CITADEL ADVISORS LLC 28,521 243,327 753.15 990 8,509 759.49
2018-05-07 13F-HR Sawtooth Asset Management, Inc. 25,614 22,282 -13.01 888 779 -12.27
2018-05-07 13F-HR Johnson Financial Group, Inc. 310 310 0.00 11 11 0.00
2018-05-11 13F-HR Sigma Planning Corp 8,305 8,959 7.87 288 313 8.68
2018-05-15 13F-HR Ativo Capital Management LLC 7,900 7,900 0.00 274 276 0.73
2018-05-01 13F-HR Hanson McClain, Inc. 100 100 0.00 3 3 0.00
2018-05-09 13F-HR BANQUE PICTET & CIE SA 265,979 279,684 5.15 18,426 19,207 4.24
2018-04-26 N-Q Federated World Investment Series Inc (see advisory)
2018-04-17 13F-HR Aries Wealth Management 10,030 10,030 0.00 355 368 3.66
2018-05-10 13F-HR QUADRANT CAPITAL GROUP LLC 5,296 6,178 16.65 173 203 17.34
2018-05-14 13F-HR Wealthcare Advisory Partners LLC 5,607 4,482 -20.06 195 157 -19.49
2018-05-04 13F-HR Opus Capital Group, LLC 11,150 11,150 0.00 387 390 0.78
2018-05-14 13F-HR SRS Capital Advisors, Inc. 596 1,287 115.94 20 45 125.00
2018-03-01 N-Q Sei Institutional International Trust (see advisory)
2018-05-10 13F-HR Mainstay Capital Management Llc /adv 219 218 -0.46 8 7 -12.50
2018-05-15 13F-HR BALYASNY ASSET MANAGEMENT LLC Put 0 43,000 0 1,504
2018-04-23 13F-HR Advisory Services Network, LLC 6,319 7,319 15.83 219 256 16.89
2018-04-17 13F-HR Oliver Luxxe Assets LLC 110,859 0 -100.00 3,847 0 -100.00
2018-01-26 N-Q Voya International High Dividend Equity Income Fund (see advisory)
2018-03-27 N-Q Prudential Investment Portfolios 2 (see advisory)
2018-05-14 13F-HR/A CITADEL ADVISORS LLC Put 170,000 123,700 -27.24 5,899 4,326 -26.67
2018-03-29 N-Q Financial Investors Trust (see advisory)
2018-04-25 13F-HR Epstein & White Financial Llc 15,107 13,673 -9.49 552 501 -9.24
2018-05-09 13F-HR CANANDAIGUA NATIONAL BANK & TRUST CO 7,833 274
2018-05-15 13F-HR AMP Capital Investors Ltd 20,014 18,649 -6.82 694 655 -5.62
2018-05-09 13F-HR Glen Harbor Capital Management LLC 15,036 15,036 0.00 522 526 0.77
2018-03-01 N-Q Rivernorth Funds (see advisory)
2018-04-27 N-Q Ab Cap Fund, Inc. (see advisory)
2018-05-14 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 22,245 22,693 2.01 772 793 2.72
2018-04-30 13F-HR ATRIA INVESTMENTS LLC 33,495 36,578 9.20 1,162 1,279 10.07
2018-05-02 13F-HR Fulton Bank, N.A. 79,666 72,099 -9.50 2,764 2,521 -8.79
2018-04-17 13F-HR New England Research & Management, Inc. 7,407 6,007 -18.90 257 210 -18.29
2018-03-29 N-Q American Mutual Fund (see advisory)
2018-05-14 13F-HR SANDERS MORRIS HARRIS INC. 9,000 9,000 0.00 312 315 0.96
2018-05-11 13F-HR Azimuth Capital Management LLC 111,715 101,716 -8.95 3,877 3,557 -8.25
2018-02-02 13F-HR Cedar Wealth Management, LLC 600 0 -100.00 20 0 -100.00
2018-03-01 N-Q Forum Funds Ii (see advisory)
2018-02-07 13F-HR HUNTINGTON ASSET ADVISORS, INC. 19,820 0 -100.00 672 0 -100.00
2018-05-15 13F-HR HighTower Advisors, LLC 131,918 123,976 -6.02 4,569 4,326 -5.32
2018-04-25 13F-HR RDL FINANCIAL INC 19,998 22,358 11.80 694 782 12.68
2018-05-15 N-Q Bridge Builder Trust (see advisory)
2018-05-14 13F-HR Renaissance Technologies LLC 103,900 1,031,000 892.30 3,605 36,054 900.11
2018-04-06 13F-HR BREMER TRUST NATIONAL ASSOCIATION 8,142 7,834 -3.78 283 274 -3.18
2018-05-14 13F-HR Tekla Capital Management LLC 442,600 442,600 0.00 15,358 15,478 0.78
2018-02-09 13F-HR Baird Financial Group, Inc. 53,521 53,126 -0.74 1,813 1,843 1.65
2018-03-09 13F-HR/A Trust Co 400 0 -100.00 14 0 -100.00
2018-05-04 13F-HR Sandy Spring Bank 5,323 4,790 -10.01 185 168 -9.19
2018-05-01 13F-HR Plante Moran Financial Advisors, LLC 1,484 4,109 176.89 51 144 182.35
2018-05-11 13F-HR Compagnie Odier SCA 313 140 -55.27 11 5 -54.55
2018-05-15 13F-HR CRAWFORD INVESTMENT COUNSEL INC 601,862 1,615,981 168.50 20,885 56,511 170.58
2018-05-15 13F-HR First City Capital Management, Inc. 19,230 19,230 0.00 667 672 0.75
2018-05-11 13F-HR VAN ECK ASSOCIATES CORP 419,190 371,391 -11.40 14,546 12,988 -10.71
2018-05-09 13F-HR BlackRock Inc. 6,377,522 6,626,120 3.90 221,300 231,715 4.71
2018-05-11 13F-HR HAP Trading, LLC Call 104,100 16,300 -84.34 51 19 -62.75
2018-01-29 N-Q Saratoga Advantage Trust (see advisory)
2018-05-15 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 17,159 13,758 -19.82 595 481 -19.16
2018-04-17 13F-HR Calton & Associates, Inc. 5,025 0 -100.00 181 0 -100.00
2018-05-15 13F-HR FIFTH THIRD BANCORP 49,155 42,096 -14.36 1,706 1,472 -13.72
2018-02-15 13F-HR Archford Capital Strategies, LLC 74,792 26,810 -64.15 2,534 930 -63.30
2018-02-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 2,035,262 11,390 -99.44 70,624 789 -98.88
2018-05-15 13F-HR National Asset Management, Inc. 13,030 6,923 -46.87 453 243 -46.36
2018-05-11 13F-HR First Allied Advisory Services, Inc. 23,845 21,559 -9.59 825 752 -8.85
2018-05-01 13F-HR Checchi Capital Advisers, LLC 16,022 15,589 -2.70 556 545 -1.98
2018-04-12 13F-HR CITY HOLDING CO 323 323 0.00 11 11 0.00
2018-05-15 13F-HR Jefferies Group LLC 83,599 70,335 -15.87 2,901 2,460 -15.20
2018-02-14 13F-HR Squarepoint Ops LLC 31,204 0 -100.00 1,057 0 -100.00
2018-05-03 13F-HR Community Bank, N.A. 238 238 0.00 8 8 0.00
2018-05-21 13F-HR MASSMUTUAL TRUST CO FSB/ADV 4,884 0 -100.00 384,371 0 -100.00
2018-05-21 13F-HR Summit Trail Advisors, Llc 16,320 301,993 1,750.45 578 302 -47.75
2018-05-18 13F-HR CIBC World Markets Inc. 36,325 86,349 137.71 1,260 3,020 139.68
2018-03-01 N-Q Sei Institutional Managed Trust (see advisory)
2018-04-23 13F-HR CAPITAL ONE, NATIONAL ASSOCIATION 6,853 6,912 0.86 238 242 1.68
2018-02-15 13F-HR Bb&t Investment Services, Inc. 23,136 28,035 21.17 782 964 23.27
2018-03-29 N-Q Advisors' Inner Circle Fund (see advisory)
2018-02-27 N-Q Vaneck Vectors Etf Trust (see advisory)
2018-05-15 13F-HR Redmile Group, LLC 2,021,600 0 -100.00 70,150 0 -100.00
2018-04-02 N-Q John Hancock Tax-advantaged Global Shareholder Yield Fund (see advisory)
2018-02-14 13F-HR FORESTERS INVESTMENT MANAGEMENT COMPANY, INC. 8,240 0 -100.00 279 0 -100.00
2018-02-14 13F-HR MORGAN STANLEY 2,306,408 2,438,510 5.73 78,141 84,615 8.29
2018-04-02 N-Q John Hancock Exchange-traded Fund Trust (see advisory)
2018-03-01 N-Q Pimco Funds (see advisory)
2018-03-28 N-Q Prudential World Fund, Inc. (see advisory)
2018-02-27 N-Q Northern Funds (see advisory)
2018-05-04 13F-HR ASPIRIANT, LLC 7,500 262
2018-05-08 13F-HR US BANCORP \DE\ 64,561 70,212 8.75 2,240 2,455 9.60
2018-05-03 13F-HR Texas Yale Capital Corp. 17,580 17,215 -2.08 610 602 -1.31
2018-02-26 N-Q Legg Mason Global Asset Management Trust (see advisory)
2018-05-15 13F-HR AVIANCE CAPITAL MANAGEMENT, LLC 0 81 0 3
2018-04-02 N-Q Dunham Funds (see advisory)
2018-04-27 13F-HR COURIER CAPITAL CORP 9,937 9,937 0.00 345 347 0.58
2018-02-13 13F-HR SOUTHPORT MANAGEMENT, L.L.C. 20,000 0 -100.00 678 0 -100.00
2018-02-28 N-Q State Street Institutional Funds (see advisory)
2018-05-15 13F-HR WOLVERINE TRADING, LLC 0 20,880 0 730
2018-05-15 13F-HR SAMLYN CAPITAL, LLC 439,954 504,610 14.70 15,266 17,647 15.60
2018-05-15 13F-HR Independent Advisor Alliance 6,162 0 -100.00 219 0 -100.00
2018-02-02 13F-HR MEEDER ASSET MANAGEMENT INC 3,079 0 -100.00 104 0 -100.00
2018-03-29 N-Q Mainstay Funds (see advisory)
2018-05-11 13F-HR MACQUARIE GROUP LTD 510,800 354,023 -30.69 17,725 12,380 -30.16
2018-05-15 13F-HR BLAIR WILLIAM & CO/IL 239,192 295,033 23.35 8,300 10,317 24.30
2018-04-02 N-Q Pioneer Equity Income Fund (see advisory)
2018-05-15 13F-HR CAPITAL GUARDIAN TRUST CO 1,214,382 1,433,441 18.04 42,139 50,127 18.96
2017-12-27 N-Q Pioneer Series Trust Iv (see advisory)
2018-05-09 13F-HR Twin Tree Management, LP Call 182,500 0 -100.00 6,333 0 -100.00
2017-12-21 N-Q Blackrock Equity Dividend Fund (see advisory)
2018-05-10 13F-HR Taylor Hoffman Wealth Management 2,445 2,445 0.00 85 86 1.18
2018-01-19 13F-HR Saratoga Research & Investment Management 600 0 -100.00 20 0 -100.00
2018-05-15 13F-HR Point72 Asset Management, L.P. 925,200 2,905,535 214.04 32,104 101,607 216.49
2018-05-01 13F-HR OPPENHEIMER & CO INC 29,482 36,338 23.25 1,022 1,270 24.27
2018-02-01 13F-HR Clear Perspective Advisors, LLC 75 0 -100.00 3 0 -100.00
2018-05-02 13F-HR FDx Advisors, Inc. 156,322 90,242 -42.27 5,424 3,156 -41.81
2018-05-11 13F-HR STIFEL FINANCIAL CORP 452,420 465,644 2.92 15,696 16,277 3.70
2018-03-29 N-Q Eaton Vance Nextshares Trust (see advisory)
2018-03-20 N-Q Commonwealth International Series Trust (see advisory)
2018-04-27 N-Q American Funds Corporate Bond Fund (see advisory)
2018-02-12 13F-HR Holowesko Partners Ltd. 1,898,000 1,526,000 -19.60 64,304 52,952 -17.65
2018-02-12 13F-HR FMR LLC / Fidelity 8,347,058 12,688,839 52.02 282,798 440,301 55.69
2018-05-15 13F-HR Jefferies Group LLC Call 24,000 74,100 208.75 833 2,591 211.04
2018-02-09 13F-HR SUNTRUST BANKS INC 566,504 560,682 -1.03 19,191 19,454 1.37
2018-05-04 13F-HR Pathway Financial Advisors Llc 100 100 0.00 3 3 0.00
2018-04-30 13F-HR GREENLEAF TRUST 15,164 16,450 8.48 526 575 9.32
2018-05-07 13F-HR Focused Wealth Management, Inc 26,288 29,347 11.64 912 1,026 12.50
2018-05-15 13F-HR TWO SIGMA SECURITIES, LLC Put 122,400 4,280
2018-05-15 13F-HR Jefferies Group LLC Put 101,800 113,800 11.79 3,532 3,980 12.68
2018-02-28 N-Q Franklin Templeton Etf Trust (see advisory)
2018-05-15 13F-HR Atlantic Trust, LLC 2,380 2,380 0.00 83 83 0.00
2018-05-15 13F-HR HBK Sorce Advisory LLC 6,306 6,066 -3.81 219 212 -3.20
2018-05-15 13F-HR FARALLON CAPITAL MANAGEMENT LLC 3,765,000 3,565,000 -5.31 130,646 124,668 -4.58
2018-05-08 13F-HR LS Investment Advisors, LLC 1,340 1,340 0.00 46 47 2.17
2018-04-06 13F-HR Carroll Financial Associates, Inc. 573 2,573 349.04 19 89 368.42
2018-05-07 13F-HR AMERICAN INTERNATIONAL GROUP INC 2,000,000 2,000,000 0.00 1,976 1,932 -2.23
2018-02-13 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 24,512 0 -100.00 830 0 -100.00
2018-04-25 13F-HR Daniel Devine & Co 37,400 37,400 0.00 1,298 1,308 0.77
2018-05-03 13F-HR INTRUST BANK NA 13,400 10,681 -20.29 465 374 -19.57
2018-04-26 13F-HR DELTA ASSET MANAGEMENT LLC/TN 100 3
2018-05-15 13F-HR Sws Partners 428 0 -100.00 15 0 -100.00
2018-05-15 13F-HR MILLENNIUM MANAGEMENT LLC 1,401,152 2,152,762 53.64 48,620 75,282 54.84
2018-05-15 13F-HR PIONEER INVESTMENT MANAGEMENT INC 1,170,419 1,165,717 -0.40 40,614 40,765 0.37
2018-05-14 13F-HR Icon Wealth Partners, Llc 17,020 15,171 -10.86 591 531 -10.15
2018-04-03 13F-HR PRIVATE TRUST CO NA 8,941 10,146 13.48 310 354 14.19
2018-05-10 13F-HR BRINKER CAPITAL INC 32,813 35,730 8.89 1,139 1,249 9.66
2018-01-30 13F-HR WRIGHT INVESTORS SERVICE INC 14,999 0 -100.00 508 0 -100.00
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. Call 275,500 235,600 -14.48 9,560 8,239 -13.82
2018-03-29 N-Q Ishares Trust (see advisory)
2018-05-01 13F-HR CHUBB LTD 500,000 500,000 0.00 17,350 17,485 0.78
2018-02-27 N-Q Doubleline Funds Trust (see advisory)
2018-05-15 13F-HR Cubist Systematic Strategies, LLC 7,083 26,325 271.66 246 921 274.39
2018-04-26 N-Q Federated Investment Series Funds Inc (see advisory)
2018-05-15 13F-HR Alyeska Investment Group, L.P. 2,357,230 0 -100.00 81,796 0 -100.00
2018-01-25 13F-HR Moloney Securities Asset Management, LLC 6,351 0 -100.00 215 0 -100.00
2018-02-14 13F-HR NWQ INVESTMENT MANAGEMENT COMPANY, LLC 577,875 595,499 3.05 19,578 20,664 5.55
2018-05-10 13F-HR NGAM ADVISORS, L.P. 542,440 567,594 4.64 18,822 19,849 5.46
2018-05-03 13F-HR BANK OF HAWAII 97,709 98,590 0.90 3,391 3,448 1.68
2018-05-17 13F-HR McKinley Carter Wealth Services, Inc. 960 34
2018-04-26 13F-HR SIMPLEX TRADING, LLC 0 82,264 0 2,876
2018-01-26 N-Q Fidelity Commonwealth Trust Ii (see advisory)
2018-05-14 13F-HR Itau Unibanco Holding S.A. 2,958 11,005 272.04 103 385 273.79
2018-03-29 N-Q Advisors' Inner Circle Fund Iii (see advisory)
2018-02-14 13F-HR ROYAL BANK OF CANADA Call 16,000 0 -100.00 542 0 -100.00
2018-05-15 13F-HR venBio Select Advisor LLC 750,300 750,300 0.00 26,035 26,238 0.78
2018-05-11 13F-HR TD ASSET MANAGEMENT INC 1,054,009 1,058,905 0.46 36,574 37,030 1.25
2018-04-16 13F-HR Strategic Wealth Partners, Ltd. 260 9
2018-05-01 13F-HR WHITTIER TRUST CO OF NEVADA INC 10,955 9,255 -15.52 380 324 -14.74
2018-01-30 13F-HR Roble, Belko & Company, Inc 520 520 0.00 18 18 0.00
2018-01-16 13F-HR NEXT Financial Group, Inc 3,274 0 -100.00 113 0 -100.00
2018-04-12 13F-HR Advocacy Wealth Management Services, LLC 1,000 1,000 0.00 35 35 0.00
2018-05-15 13F-HR Invesco Ltd. 803,634 1,812,112 125.49 27,886 63,369 127.24
2018-05-15 13F-HR UBS Group AG 2,901,237 2,839,906 -2.11 100,672 99,311 -1.35
2018-04-12 13F-HR Valeo Financial Advisors, Llc 4,540 6,223 37.07 158 218 37.97
2018-04-27 N-Q Fidelity Advisor Series I (see advisory)
2018-05-07 13F-HR COCONUT GROVE BANK 17,385 19,358 11.35 603 677 12.27
2018-04-26 13F-HR Ifg Advisory, Llc 10,336 8,350 -19.21 358 291 -18.72
2018-03-01 N-Q Nuveen Investment Trust V (see advisory)
2018-05-14 13F-HR FCA CORP /TX 8,000 8,000 0.00 278 280 0.72
2018-05-15 13F-HR KEYBANK NATIONAL ASSOCIATION/OH 82,080 80,949 -1.38 2,848 2,831 -0.60
2018-04-05 13F-HR CATAWBA CAPITAL MANAGEMENT /VA 31,365 31,185 -0.57 1,088 1,091 0.28
2018-04-12 13F-HR ACADIAN ASSET MANAGEMENT LLC 607,664 5,374 -99.12 21,083 188 -99.11
2018-05-08 13F-HR AR ASSET MANAGEMENT INC 8,000 8,000 0.00 278 280 0.72
2018-01-25 N-Q Putnam Global Health Care Fund (see advisory)
2018-05-15 13F-HR TWO SIGMA INVESTMENTS LLC 886,691 1,484,373 67.41 30,768 51,909 68.71
2018-05-11 13F-HR CITIGROUP INC Put 319,700 375,500 17.45 11,094 13,131 18.36
2018-05-14 13F-HR ALLIANCEBERNSTEIN L.P. 0 75,072 0 2,625
2018-04-12 13F-HR Bogart Wealth, Llc 27 27 0.00 1 1 0.00
2018-05-11 13F-HR Russell Investments Group, Ltd. 657,385 432,042 -34.28 22,410 15,090 -32.66
2018-05-11 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 461,548 471,373 2.13 16,016 16,483 2.92
2018-05-15 13F-HR JANE STREET GROUP, LLC 17,181 41,910 143.93 596 1,466 145.97
2018-04-30 13F-HR Truewealth Llc 130 130 0.00 5 5 0.00
2018-03-28 N-Q Putnam Global Equity Fund (see advisory)
2018-05-15 13F-HR Balentine LLC 1,488 0 -100.00 52 0 -100.00
2018-04-10 13F-HR Norway Savings Bank 250 0 -100.00 9 0 -100.00
2018-01-26 N-Q Monteagle Funds (see advisory)
2018-04-30 13F-HR Moisand Fitzgerald Tamayo, LLC 436 346 -20.64 15 12 -20.00
2018-05-07 13F-HR MUFG Americas Holdings Corp 6,128 5,940 -3.07 213 208 -2.35
2018-01-29 N-Q Goldman Sachs Etf Trust (see advisory)
2018-04-04 13F-HR Vigilant Capital Management, LLC 800 1,008 26.00 28 35 25.00
2018-05-07 13F-HR COMERICA SECURITIES INC 18,853 16,272 -13.69 654 569 -13.00
2018-05-09 13F-HR Saturna Capital CORP 6,000 6,000 0.00 208 210 0.96
2018-02-15 13F-HR HighPoint Advisor Group LLC 10,321 10,550 2.22 352 359 1.99
2017-12-29 N-Q Sunamerica Series Trust (see advisory)
2018-05-11 13F-HR Patten Group, Inc. 1,378 1,050 -23.80 48 37 -22.92
2018-02-14 13F-HR Bdo Wealth Advisors, Llc 915 917 0.22 31 32 3.23
2018-05-15 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 2,183 20,659 846.36 76 722 850.00
2018-04-26 N-Q Columbia Funds Series Trust I (see advisory)
2018-05-15 13F-HR PEAK6 Investments, L.P. Call 244,500 50,000 -79.55 8,484 1,749 -79.38
2018-03-23 N-Q Blackrock Long-horizon Equity Fund (see advisory)
2018-05-15 13F-HR Frontier Wealth Management LLC 33,972 34,519 1.61 1,179 1,207 2.37
2018-05-11 13F-HR BNP PARIBAS ARBITRAGE, SA 10,959 3,528 -67.81 380,277 123,374 -67.56
2018-05-14 13F-HR CANADA PENSION PLAN INVESTMENT BOARD 1,284,400 2,305,600 79.51 44,569 80,627 80.90
2018-02-15 13F-HR Cullen Capital Management, LLC 1,763,196 1,764,486 0.07 59,737 61,228 2.50
2018-05-08 13F-HR Neuberger Berman Group LLC 184,551 196,890 6.69 6,403 6,885 7.53
2018-05-04 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 24,524 21,524 -12.23 851 753 -11.52
2018-05-11 13F-HR DIMENSIONAL FUND ADVISORS LP 2,601,457 2,633,247 1.22 90,271 92,085 2.01
2018-05-10 13F-HR Avestar Capital, Llc 1,405 1,126 -19.86 46 36 -21.74
2018-02-14 13F-HR Nuveen Fund Advisors, LLC 43,095 37,496 -12.99 1,460 1,301 -10.89
2018-05-08 13F-HR O'SHAUGHNESSY ASSET MANAGEMENT, LLC 48,746 0 -100.00 1,691 0 -100.00
2018-04-20 13F-HR LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 998 998 0.00 35 35 0.00
2018-05-09 13F-HR Cambridge Investment Research Advisors, Inc. 47,368 52,667 11.19 1,644 1,842 12.04
2018-05-15 13F-HR A.R.T. Advisors, LLC 9,800 140,600 1,334.69 340 4,916 1,345.88
2018-04-25 13F-HR Searle & Co. 35,650 35,650 0.00 1,237 1,247 0.81
2018-05-15 13F-HR Bluefin Trading, LLC 6,300 6,400 1.59 219 224 2.28
2018-05-10 13F-HR Flinton Capital Management LLC 8,592 8,592 0.00 298 300 0.67
2018-05-15 13F-HR Clearbridge Investments, LLC 309,859 308,150 -0.55 10,752 10,776 0.22
2018-05-18 13F-HR/A ROYAL BANK OF CANADA 2,938,669 2,866,728 -2.45 101,971 100,250 -1.69
2018-05-09 13F-HR Private Advisor Group, LLC 52,071 18,015 -65.40 1,835 630 -65.67
2018-04-25 N-Q Federated Fixed Income Securities Inc (see advisory)
2018-04-23 13F-HR FLAGSHIP HARBOR ADVISORS, LLC 6,379 6,225 -2.41 227 216 -4.85
2018-05-09 13F-HR/A Meadow Creek Investment Management LLC 11,814 11,814 0.00 410 413 0.73
2018-02-09 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 432 671 55.32 14,636 23,284 59.09
2018-05-07 13F-HR Arlington Capital Management, Inc. 69,380 2,426
2018-05-15 13F-HR Adage Capital Partners GP LLC 2,100,000 1,950,000 -7.14 72,870 68,192 -6.42
2018-05-03 13F-HR COMMERCE BANK 11,548 9,945 -13.88 400 347 -13.25
2018-04-24 13F-HR Rehmann Capital Advisory Group 3,104 109
2018-05-18 N-Q State Farm Mutual Fund Trust (see advisory)
2018-03-29 13F-HR/A Marshall Wace North America L.P. 35,976 0 -100.00 1,223 0 -100.00
2018-05-15 13F-HR Virtue Capital Management, Llc 550 594 8.00 19 21 10.53
2018-04-18 13F-HR Hexavest Inc. 545 545 0.00 19 19 0.00
2018-05-15 13F-HR PointState Capital LP 287,300 10,047
2018-01-26 N-Q Brinker Capital Destinations Trust (see advisory)
2018-03-29 N-Q Winton Diversified Opportunities Fund (see advisory)
2018-05-01 13F-HR Fruth Investment Management 7,900 7,900 0.00 274 276 0.73
2018-05-14 13F-HR GUARDIAN CAPITAL LP 159,256 156,688 -1.61 5,526 5,479 -0.85
2018-04-18 13F-HR Tiaa, Fsb 27,087 254,003 837.73 940 8,882 844.89

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( AZN / AstraZeneca Plc ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

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CUSIP: 046353108