0001020918-14-000008.txt : 20141024
0001020918-14-000008.hdr.sgml : 20141024
20141024163236
ACCESSION NUMBER: 0001020918-14-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141024
DATE AS OF CHANGE: 20141024
EFFECTIVENESS DATE: 20141024
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROTHSCHILD INVESTMENT CORP /IL
CENTRAL INDEX KEY: 0001020918
IRS NUMBER: 362708660
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05772
FILM NUMBER: 141172800
BUSINESS ADDRESS:
STREET 1: 311 SOUTH WACKER DRIVE
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3129838900
MAIL ADDRESS:
STREET 1: 311 S WACKER DR
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001020918
XXXXXXXX
09-30-2014
09-30-2014
ROTHSCHILD INVESTMENT CORP /IL
311 S WACKER DR
SUITE 6500
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-05772
N
Bradley C. Drake
Executive Vice President
312-983-8956
Bradley C. Drake
Chicago
IL
10-24-2014
0
493
821414
false
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COM
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32013
ISHARES MSCI UK ETF (DE) SHARE
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ISHARES TR MSCI EMERG MKT
COM
464287234
236
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COM
464287655
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COM
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JACOBS ENGR GROUP INC COM
COM
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JETBLUE AWYS CORP COM
COM
477143101
350
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JOHNSON & JOHNSON
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478160104
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KIMBERLY CLARK CORP
COM
494368103
272
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KINDER MORGAN ENERGY PTNRS LP
COM
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KINDER MORGAN INC DEL COM
COM
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KING DIGITAL ENTMT PLC ORD SHS
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KOHLS CORP
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COM
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KROGER CO
COM
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LAREDO PETROLEUM INC COM
COM
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LAS VEGAS SANDS CORP COM
COM
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LEVY ACQUISITION CORP UNIT 1 0
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LIFE TIME FITNESS INC COM
COM
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LILLY ELI & COMPANY
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MERCK & COMPANY INC.
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METLIFE INC COM
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MILLER INDS
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COM
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NISOURCE INC. COM
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NORFOLK SOUTHERN CORP
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NORTHERN TRUST CORPORATION
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NORTHROP GRUMMAN CORP COM
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NUCOR CORP
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OCCIDENTAL PETE CORP
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ON ASSIGNMENT INC COM
COM
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ORACLE SYS CORP
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PEPSICO INC
COM
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PETMED EXPRESS INC COM
COM
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PFIZER INC
COM
717081103
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PHILIP MORRIS INTL INC COM
COM
718172109
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PHILLIPS 66 COM
COM
718546104
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PINNACLE WEST CAPITAL CORP USD
COM
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PITNEY BOWES INC
COM
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PORTOLA PHARMACEUTICAL COM
COM
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POTBELLY CORP COM
COM
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POWERSHARES ETF TRUST DYNA BUY
COM
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POWERSHARES ETF TRUST FTSE RAF
COM
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POWERSHARES ETF TRUST PRVT EQT
COM
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POWERSHARES QQQ TR UNIT SER 1
COM
73935A104
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PPG INDS INC COM
COM
693506107
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PPL CORPORATION
COM
69351T106
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PRAXAIR INC
COM
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PRICE T ROWE GROUP INC COM
COM
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PROCTER & GAMBLE CO
COM
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PROGRESSIVE CORP OHIO
COM
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PROSHARES TR ULTSHT RUSS2000
COM
74348a319
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PURECYCLE CORP COM NEW
COM
746228303
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QRS MUSIC TECHNOLOGIES COM
COM
74726W107
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QUALCOMM INC
COM
747525103
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QUICKLOGIC CORP COM
COM
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RAYTHEON CO
COM
755111507
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REVENUESHARES ETF TR SMALL CAP
COM
761396308
537
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ROUNDYS INC COM
COM
779268101
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0
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ROYCE FOCUS TR COM
COM
78080n108
318
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RSTK STD BANCSHARES INC HICKOR
COM
853993442
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RUSHNET INC COM
COM
782074108
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SAN JUAN BASIN RTY TR UNIT BEN
COM
798241105
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SCHLUMBERGER
COM
806857108
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SCRIPPS NETWORKS INTERACTIVE I
COM
811065101
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SELECT SECTOR SPDR TR SBI INT-
COM
81369y605
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SEMPRA ENERGY COM
COM
816851109
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SHIRE LTD SHS
COM
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SOLAZYME INC COM
COM
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SOUTHERN COMPANY
COM
842587107
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SPDR S&P 500 ETF TR UNIT SER 1
COM
78462F103
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SPDR S&P MIDCAP 400 ETF TR UNI
COM
78467y107
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SPDR SER TR S&P HOMEBUILDERS E
COM
78464a888
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SPDR SERIES TRUST S&P REGL BKG
COM
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SPIDER GOLD TR SHS
COM
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STANLEY BLACK & DECKER COM
COM
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STAPLES INC COM
COM
855030102
660
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STARBUCKS CORP COM
COM
855244109
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STARWOOD PPTY TR INC COM
COM
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STARWOOD WAYPOINT RESIDENTIAL
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STATE STREET BOSTON CORP
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STRYKER CORP
COM
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SUNTRUST BKS INC COM
COM
867914103
279
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SYSCO CORP
COM
871829107
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TARGET CORP COM
COM
87612E106
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TE CONNECTIVITY LTD
COM
H84989104
633
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TEARLAB CORP COM
COM
878193101
35
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TECO ENERGY INC COM
COM
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TELETECH HOLDING
COM
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TERANGA GOLD CORP CDA COM
COM
880797105
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TEREX CORP NEW COM
COM
880779103
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TEVA PHARMACEUTICAL
COM
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THERMO FISHER SCIENTIFIC
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883556102
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TIFFANY & CO
COM
886547108
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TILLYS INC CL A
COM
886885102
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TIME WARNER CABLE INC COM
COM
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TIME WARNER INC
COM
887317303
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TITAN MACHY INC COM
COM
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TOLL BROTHERS INC COM
COM
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TORONTO DOMINION BK COM NEW
COM
891160509
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COM
89151E109
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TOWN SPORTS INTL HLDGS COM
COM
89214a102
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0
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TRANSOCEAN LTD ZUG NAMEN AKT
COM
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TRAVELERS COS INC COM
COM
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TRIBUNE MEDIA COMPANY
COM
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TWENTY FIRST CENTY FOX CL A
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TYCO INTL LTD NEW
COM
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UGI CORP NEW COM
COM
902681105
251
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UNION PACIFIC CORPORATION
COM
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UNITED PARCEL SERVICE CL B
COM
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537
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UNITED TECHNOLOGIES CORP
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913017109
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UNIVERSAL DISPLAY CORP COM
COM
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UNIVERSAL HEALTH RLTY INCOME S
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91359E105
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UNIVERSAL HLTH SVCS CL B
COM
913903100
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US BANCORP DEL COM
COM
902973304
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V F CORP COM
COM
918204108
267
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VALMONT INDS INC COM
COM
920253101
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COM
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COM
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COM
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COM
922908769
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COM
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COM
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COM
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VECTOR GROUP LTD COM
COM
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VEEVA SYS INC CL A COM
COM
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VENTAS INC COM
COM
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WALGREEN COMPANY
COM
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WALT DISNEY PRODUCTIONS
COM
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WASTE MGMT INC COM
COM
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WELLS FARGO & COMPANY
COM
949746101
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WEST CORP COM
COM
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WESTERN UN CO COM
COM
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WEYERHAEUSER CO
COM
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WHOLE FOODS MKT INC COM
COM
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WILLIAMS COS INC DEL COM
COM
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WINTRUST FINL CORP COM
COM
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WISDOMTREE INVTS INC COM
COM
97717p104
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COM
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COM
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COM
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COM
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WISDOMTREE TRUST INDIA ERNGS F
COM
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WISDOMTREE TRUST INTL LRGCAP D
COM
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COM
97717W851
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COM
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WORLD OIL RES LTD SHS
COM
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COM
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ZIMMER HOLDINGS INC
COM
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AIA GROUP LTD SPONSORED ADR
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AIR LIQUIDE ADR
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AKBANK TURK ANONM SIRK ADR
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009719501
116
17759
SH
DFND
0
0
17759
ALIBABA GROUP HLDG LTD SPONSOR
ADR
01609w102
355
4000
SH
DFND
0
0
4000
ALLIANZ SE SP ADR 1/10 SH
ADR
018805101
517
31859
SH
DFND
0
0
31859
AMBEV S A SPONSORED ADR
ADR
02319v103
168
25573
SH
DFND
0
0
25573
AMERICA MOVIL SA DE CV SPON AD
ADR
02364w105
269
10690
SH
DFND
0
0
10690
ANHEUSER BUSCH INBEV SPONSORED
ADR
03524a108
542
4886
SH
DFND
0
0
4886
ARM HLDGS PLC SPONSORED ADR
ADR
042068106
249
5692
SH
DFND
0
0
5692
ATLAS COPCO SP ADR A NEW
ADR
049255706
203
7066
SH
DFND
0
0
7066
BAIDU COM INC SPON ADR REP A
ADR
056752108
585
2681
SH
DFND
0
0
2681
BANCO BILBAO VIZ ARGNT SPONSOR
ADR
05946K101
220
18358
SH
DFND
0
0
18358
BANCO DO BRASIL S A SPONSORED
ADR
059578104
224
21514
SH
DFND
0
0
21514
BAYERISCHE MOTOREN WER ADR
ADR
072743206
260
7276
SH
DFND
0
0
7276
BB SEGURIDADE PARTICIP SPONSOR
ADR
05541j103
164
12496
SH
DFND
0
0
12496
BG PLC ADR FIN INST N
ADR
055434203
228
12363
SH
DFND
0
0
12363
CANON INC ADR
ADR
138006309
1992
61135
SH
DFND
0
0
61135
CHINA CONSTR BK CORP ADR
ADR
168919108
239
17092
SH
DFND
0
0
17092
CHINA MOBILE HONG KONG SPONSOR
ADR
16941m109
232
3956
SH
DFND
0
0
3956
CIELO S A SPONSORED ADR
ADR
171778202
166
10227
SH
DFND
0
0
10227
CNOOC LTD SPONS ADR
ADR
126132109
297
1720
SH
DFND
0
0
1720
COMMERCIAL INTL BK EGY SPONSOR
ADR
201712304
128
17944
SH
DFND
0
0
17944
COMPANHIA ENERGETICA DE MINAS
ADR
204409601
116
18637
SH
DFND
0
0
18637
CSL LTD SPONSORED ADR
ADR
12637n204
220
6786
SH
DFND
0
0
6786
DASSAULT SYS S A SPONSORED ADR
ADR
237545108
434
6754
SH
DFND
0
0
6754
ENSCO PLC SHS CL A
ADR
g3157s106
688
16645
SH
DFND
0
0
16645
FANUC CORPORATION ADR
ADR
307305102
386
12814
SH
DFND
0
0
12814
FUCHS PETROLUB SE ADR
ADR
35952q106
129
13548
SH
DFND
0
0
13548
GAZPROM O A O SPON ADR
ADR
368287207
154
22126
SH
DFND
0
0
22126
ICICI BK LTD ADR
ADR
45104g104
283
5758
SH
DFND
0
0
5758
ITAU UNIBANCO BANCO MU SPONS A
ADR
465562106
339
24448
SH
DFND
0
0
24448
JGC CORP ADR
ADR
466140100
240
4402
SH
DFND
0
0
4402
LOCALIZA RENT A CAR SPONSORED
ADR
53956w300
222
15439
SH
DFND
0
0
15439
LOREAL CO ADR
ADR
502117203
290
9133
SH
DFND
0
0
9133
MITSUBISHI UFJ FNL GP SPONSORE
ADR
606822104
140
25000
SH
DFND
0
0
25000
MIZUHO FINL GROUP INC SPONSORE
ADR
60687y109
110
30875
SH
DFND
0
0
30875
MOBILE TELESYS OJSC SPONSORED
ADR
607409109
156
10421
SH
DFND
0
0
10421
MTN GROUP LTD SPONS ADR
ADR
62474m108
227
10767
SH
DFND
0
0
10767
NINTENDO LTD
ADR
654445303
588
43275
SH
DFND
0
0
43275
NTT DOCOMO INC SPONS ADR
ADR
62942m201
2966
177175
SH
DFND
0
0
177175
PPC LT ADR
ADR
69354a104
85
16151
SH
DFND
0
0
16151
PT ASTRA INTL TBK ADR
ADR
69367x109
150
12928
SH
DFND
0
0
12928
PT BK MANDIRI PERSERO ADR
ADR
69367u105
174
21006
SH
DFND
0
0
21006
ROCHE HLDG LTD SPONSORED ADR
ADR
771195104
408
11020
SH
DFND
0
0
11020
ROLLS ROYCE HOLDINGS P SPONSOR
ADR
775781206
414
5295
SH
DFND
0
0
5295
ROYAL BK SCOTLAND GRP SPONS AD
ADR
780097689
648
54330
SH
DFND
0
0
54330
ROYAL DUTCH SHELL PLC SPONS AD
ADR
780259206
302
3967
SH
DFND
0
0
3967
SANOFI SPONSORED ADR
ADR
80105n105
342
6069
SH
DFND
0
0
6069
SAP AE SPONSORED ADR
ADR
803054204
346
4788
SH
DFND
0
0
4788
SBERBANK OF RUSSIA SPONS ADR
ADR
80585y308
202
26411
SH
DFND
0
0
26411
SCHNEIDER ELECTRIC SE
ADR
80687P106
265
17235
SH
DFND
0
0
17235
SHIRE PHARMCTL GRP PLC SPONSOR
ADR
82481r106
2085
8050
SH
DFND
0
0
8050
SYSMEX CORP ADR
ADR
87184p109
317
15770
SH
DFND
0
0
15770
TAIWAN SEMICONDUCTOR SPONSORED
ADR
874039100
851
42152
SH
DFND
0
0
42152
TATA MTRS LTD SPONSORED ADR
ADR
876568502
341
7800
SH
DFND
0
0
7800
TURKIYE GARANTI BK AS SPONSORE
ADR
900148701
171
48807
SH
DFND
0
0
48807
UNICHARM CORP SPONSORED ADR
ADR
90460M204
317
23283
SH
DFND
0
0
23283
UNILEVER PLC SPON ADR NEW
ADR
904767704
261
6237
SH
DFND
0
0
6237
WAL-MART DE MEXICO S A ADR SR
ADR
93114W107
398
15832
SH
DFND
0
0
15832
WPP PLC NEW ADR
ADR
92937a102
384
3823
SH
DFND
0
0
3823
YPF SOCIEDAD ANONIMA SPON ADR
ADR
984245100
213
5763
SH
DFND
0
0
5763
ALPS/CORE CMDTY MGMT SM STRAT
MF
317609667
1361
137489
SH
DFND
0
0
137489
AMER INTL GRW & INC CL F-1 SHS
MF
45956t402
692
20176
SH
DFND
0
0
20176
AMERICAN BALANCED FD CL F
MF
024071409
1265
49743
SH
DFND
0
0
49743
AMERICAN BALANCED FD COM
MF
024071102
645
25352
SH
DFND
0
0
25352
BLAIR WILLIAM MUT FDS INTL GRW
MF
093001402
506
19538
SH
DFND
0
0
19538
CAPITAL INCOME BLDR FD CL F
MF
140193400
3962
66391
SH
DFND
0
0
66391
CAPITAL INCOME BUILDERS FD SH
MF
140193103
478
8008
SH
DFND
0
0
8008
CAPITAL WORLD GRW&INCM CL F
MF
140543406
1548
33416
SH
DFND
0
0
33416
CLAYMORE ETF TR ZACKS MDCAP CR
MF
18383m720
604
12500
SH
DFND
0
0
12500
COLUMBIA ACORN FUND CL Z
MF
197199409
666
18784
SH
DFND
0
0
18784
EATON VANCE GLBL MCRABSL RTN I
MF
277923728
1024
109320
SH
DFND
0
0
109320
EATON VANCE GROWTH TR ATL CAPT
MF
277902698
1137
47241
SH
DFND
0
0
47241
EUROPACIFIC GROWTH FUND CLASS
MF
298706102
575
11825
SH
DFND
0
0
11825
FIDELITY ADVISOR SER I LEV CO
MF
315805424
1222
21863
SH
DFND
0
0
21863
FIDELITY ADVISOR VII HEALTH CA
MF
315918847
1049
28421
SH
DFND
0
0
28421
FIDELITY INVT TR JAPAN FD
MF
315910885
446
38391
SH
DFND
0
0
38391
FIRST EAGLE GLOBAL FUND CLASS
MF
32008f507
363
6582
SH
DFND
0
0
6582
FORESTER FDS INC DISCOVERY FD
MF
34623p100
327
22706
SH
DFND
0
0
22706
FRANKLIN CUSTODIAN FDS INCOME
MF
353496805
28
11106
SH
DFND
0
0
11106
FRANKLIN INCOME FD CLASS A
MF
353496300
67
27056
SH
DFND
0
0
27056
FUNDAMENTAL INVS INC CL F
MF
360802409
365
6764
SH
DFND
0
0
6764
FUNDAMENTAL INVS INC COM
MF
360802102
231
4277
SH
DFND
0
0
4277
GABELLI ASSET FD SH BEN INT
MF
362395105
369
5596
SH
DFND
0
0
5596
GRANDEUR PEAK EMERGING MKTS OP
MF
31761R401
1745
156780
SH
DFND
0
0
156780
GRANDEUR PEAK GLOBAL OPP FD IN
MF
317609360
4927
1457782
SH
DFND
0
0
1457782
GROWTH FD AMER INC CL F
MF
399874403
356
7836
SH
DFND
0
0
7836
HARDING LOEVNER FDS FR EMRG MK
MF
412295867
171
17382
SH
DFND
0
0
17382
INCOME FUND AMERICA
MF
453320103
479
22331
SH
DFND
0
0
22331
INTERNATIONAL GRW & IN CL F-2
MF
45956t501
322
9393
SH
DFND
0
0
9393
INVESCO GLBL HLTH CARE FD CL A
MF
00141T106
331
7271
SH
DFND
0
0
7271
INVESCO TREASURERS SER TR PREM
MF
00142W868
12
11604
SH
DFND
0
0
11604
INVESTMENT CO AMER CL F
MF
461308405
249
6277
SH
DFND
0
0
6277
LATEEF FUND CLASS I
MF
360873301
365
25139
SH
DFND
0
0
25139
MAINSTAY MARKETFIELD FD CL I
MF
56064b852
5362
318214
SH
DFND
0
0
318214
MASSACHUSETTS INVS TR SH BEN I
MF
575736103
357
12373
SH
DFND
0
0
12373
MERGER FD SH BEN INT
MF
589509108
1011
61920
SH
DFND
0
0
61920
NEUBERGER BERMAN INCOM STRG IN
MF
64128k751
1635
145083
SH
DFND
0
0
145083
NEW PERSPECTIVE FD INC COM
MF
648018109
395
10351
SH
DFND
0
0
10351
NICHOLAS FD INC COM
MF
653735100
227
3476
SH
DFND
0
0
3476
NUVEEN INVT TR NWQ MULTI VL R
MF
67064y768
551
21310
SH
DFND
0
0
21310
NUVEEN SYMPHONY CR OPP FD CL I
MF
67066d739
467
21030
SH
DFND
0
0
21030
OPPENHEIMER DEVLNG MKT CL A
MF
683974109
1042
26851
SH
DFND
0
0
26851
OPPENHEIMER INTL S CO CL A
MF
68380u100
921
28444
SH
DFND
0
0
28444
OPPENHEIMER STEELPATH MLP INC
MF
858268600
220
18793
SH
DFND
0
0
18793
OPPENHEIMER STEELPTH MLP SELEC
MF
858268105
1241
92357
SH
DFND
0
0
92357
OPPENHEIMER STRATEG FD INCOME
MF
68380K102
83
20137
SH
DFND
0
0
20137
PIMCO SMALL CAPS STKSPL AR STG
MF
72201f698
484
52233
SH
DFND
0
0
52233
POPLAR FOREST PARTNERS FD CL A
MF
00768D814
1650
35101
SH
DFND
0
0
35101
POPLAR FOREST PARTNERS INSTITU
MF
00768d798
13091
277231
SH
DFND
0
0
277231
ROWE PRICE NEW HORI FD COM
MF
779562107
590
12854
SH
DFND
0
0
12854
SEQUOIA FD INC COM
MF
817418106
223
1007
SH
DFND
0
0
1007
T ROWE PRICE MEDIA & TELECOMMU
MF
741454102
360
5011
SH
DFND
0
0
5011
TEMPLETON GLOBAL INVT EMRG MKT
MF
88019r732
250
19477
SH
DFND
0
0
19477
TEMPLETON GLOBAL INVT FRNTR MK
MF
88019r674
341
17954
SH
DFND
0
0
17954
VANGUARD INDEX FDS TOT STKIDX
MF
922908728
486
9865
SH
DFND
0
0
9865
VANGUARD INTL EQTY IDX EURO ST
MF
922042833
540
20194
SH
DFND
0
0
20194
VANGUARD SPECIALIZED DIV APRID
MF
921908851
353
11453
SH
DFND
0
0
11453
VANGUARD SPECIALIZED HEALTHCAR
MF
921908885
228
2542
SH
DFND
0
0
2542
GLOBAL X FDS GLB X SUPERDIV
EXCH
37950E549
404
16870
SH
DFND
0
0
16870
MARKET VECTORS ETF TR BRAZL SM
EXCH
57060u613
205
7700
SH
DFND
0
0
7700
VANGUARD FTSE EUROPE ETF
EXCH
922042874
228
4124
SH
DFND
0
0
4124
ALLIANZGI EQUITY & CONVERTIBLE
CLE FDS
018829101
763
38396
SH
DFND
0
0
38396
EATON VANCE ENHCD EQT COM
CLE FDS
278274105
549
40000
SH
DFND
0
0
40000
EATON VANCE TXMG GLOBAL OPPORT
CLE FDS
27829c105
717
59004
SH
DFND
0
0
59004
ROYCE GLOBAL VALUE TR INC COM
CLE FDS
78081t104
353
40518
SH
DFND
0
0
40518
ROYCE MICRO CAP TR INC
CLE FDS
780915104
566
48108
SH
DFND
0
0
48108
ROYCE VALUE TR INC COM
CLE FDS
780910105
2239
154416
SH
DFND
0
0
154416
ALLIANCEBERNSTEIN HLDGS LP UNI
LP
01881g106
2221
85385
SH
DFND
0
0
85385
DISCOVERY GLOBAL OPPORTUNITY P
LP
254lp3798
1238
1238221
SH
DFND
0
0
1238221
KKR & CO LP DEL COM UNITS
LP
48248m102
1857
83261
SH
DFND
0
0
83261
MEMORIAL PRODTN PAR LP COM U R
LP
586048100
880
40000
SH
DFND
0
0
40000
PLAINS ALL AM PIPELINE UNIT LT
LP
726503105
2005
34065
SH
DFND
0
0
34065
SKYBRIDGE MULTI-ADV HEDGE FD L
LP
830lp0011
1366
1032
SH
DFND
0
0
1032