0001020918-15-000004.txt : 20150428 0001020918-15-000004.hdr.sgml : 20150428 20150428161530 ACCESSION NUMBER: 0001020918-15-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150428 DATE AS OF CHANGE: 20150428 EFFECTIVENESS DATE: 20150428 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: 15798788 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 true false 0001020918 XXXXXXXX 03-31-2015 03-31-2015 ROTHSCHILD INVESTMENT CORP /IL

311 S WACKER DR SUITE 6500 CHICAGO IL 60606

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INC COM COM 889478103 9036 229685 SH DFND 0 0 229685 TORONTO DOMINION BK COM NEW COM 891160509 681 15900 SH DFND 0 0 15900 TOTAL S A SPONSORED ADR COM 89151E109 247 4981 SH DFND 0 0 4981 TOWN SPORTS INTL HLDGS COM COM 89214a102 5010 735670 SH DFND 0 0 735670 TRANSCANADA CORP COM COM 89353d107 293 6860 SH DFND 0 0 6860 TRAVELERS COS INC COM COM 89417E109 483 4468 SH DFND 0 0 4468 TYCO INTL LTD NEW COM g91442106 1034 24004 SH DFND 0 0 24004 UNION PACIFIC CORPORATION COM 907818108 392 3616 SH DFND 0 0 3616 UNITED PARCEL SERVICE CL B COM 911312106 530 5468 SH DFND 0 0 5468 UNITED STATES STEEL GROUP COM COM 912909108 351 14400 SH DFND 0 0 14400 UNITED TECHNOLOGIES CORP COM 913017109 2525 21547 SH DFND 0 0 21547 UNIVERSAL DISPLAY CORP COM COM 91347P105 3374 72175 SH DFND 0 0 72175 UNIVERSAL HEALTH RLTY INCOME S COM 91359E105 467 8300 SH DFND 0 0 8300 UNIVERSAL HLTH SVCS CL B COM 913903100 2943 25000 SH DFND 0 0 25000 US BANCORP DEL COM COM 902973304 1407 32211 SH DFND 0 0 32211 V F CORP COM COM 918204108 301 4000 SH DFND 0 0 4000 VALMONT INDS INC COM COM 920253101 261 2120 SH DFND 0 0 2120 VANGUARD INDEX FDS COM 922908363 1914 10115 SH DFND 0 0 10115 VANGUARD INDEX TR STK MRK VIPE COM 922908769 1438 13406 SH DFND 0 0 13406 VANGUARD SCOTTSDALE FD MORTG-B COM 92206c771 321 6000 SH DFND 0 0 6000 VANGUARD SPECIALIZED DIV APP E COM 921908844 2132 26490 SH DFND 0 0 26490 VANGUARD WORLD FD MEGA GRWTH I COM 921910816 232 2786 SH DFND 0 0 2786 VANTAGE DRILLING COMPA ORD SHS COM g93205113 5 15000 SH DFND 0 0 15000 VECTOR GROUP LTD COM COM 92240M108 787 35809 SH DFND 0 0 35809 VEEVA SYS INC CL A COM COM 922475108 469 18375 SH DFND 0 0 18375 VENTAS INC COM COM 92276F100 669 9165 SH DFND 0 0 9165 VERIZON COMMUNICATIONS COM COM 92343v104 9995 205529 SH DFND 0 0 205529 VISA INC COM CL A COM 92826c839 3277 50100 SH DFND 0 0 50100 VISHAY INTERTECHNOLOGY COM 928298108 1434 103760 SH DFND 0 0 103760 VODAFONE GROUP PLC NEW COM 92857w308 1512 46254 SH DFND 0 0 46254 WAL MART STORES INC COM 931142103 2706 32905 SH DFND 0 0 32905 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 4089 48284 SH DFND 0 0 48284 WALT DISNEY PRODUCTIONS COM 254687106 1658 15808 SH DFND 0 0 15808 WASTE MGMT INC COM COM 94106L109 1066 19660 SH DFND 0 0 19660 WELLS FARGO & COMPANY COM 949746101 1160 21326 SH DFND 0 0 21326 WEST CORP COM COM 952355204 2280 67600 SH DFND 0 0 67600 WEYERHAEUSER CO COM 962166104 696 21001 SH DFND 0 0 21001 WHOLE FOODS MKT INC COM COM 966837106 447 8575 SH DFND 0 0 8575 WILLIAMS COS INC DEL COM COM 969457100 1039 20539 SH DFND 0 0 20539 WINTRUST FINL CORP COM COM 97650W108 230 4815 SH DFND 0 0 4815 WISDOMTREE INVTS INC COM COM 97717p104 372 17338 SH DFND 0 0 17338 WISDOMTREE TR EMERGING MKTS YL COM 97717w315 2599 61142 SH DFND 0 0 61142 WISDOMTREE TR EUROPE HEDGED EQ COM 97717x701 4182 63237 SH DFND 0 0 63237 WISDOMTREE TRUST DEFA FD COM 97717w703 214 4140 SH DFND 0 0 4140 WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 962 21757 SH DFND 0 0 21757 WISDOMTREE TRUST INDIA ERNGS F COM 97717w422 210 9204 SH DFND 0 0 9204 WISDOMTREE TRUST INTL LRGCAP D COM 97717w794 292 6000 SH DFND 0 0 6000 WISDOMTREE TRUST JAPN HEDGE EQ COM 97717W851 1508 27366 SH DFND 0 0 27366 WOOLWORTHS HLDGS LTD SPON GDR COM 98088r505 110 15496 SH DFND 0 0 15496 WP GLIMCHER INC. COM 92939N102 547 32899 SH DFND 0 0 32899 WYNN RESORTS LTD COM COM 983134107 691 5490 SH DFND 0 0 5490 ZIMMER HOLDINGS INC COM 98956P102 399 3392 SH DFND 0 0 3392 AIA GROUP LTD SPONSORED ADR ADR 001317205 459 18249 SH DFND 0 0 18249 AIR LIQUIDE ADR ADR 009126202 371 14404 SH DFND 0 0 14404 AKBANK TURK ANONM SIRK ADR ADR 009719501 105 17759 SH DFND 0 0 17759 ALIBABA GROUP HLDG LTD SPONSOR ADR 01609w102 639 7680 SH DFND 0 0 7680 ALLIANZ SE SP ADR 1/10 SH ADR 018805101 1059 60935 SH DFND 0 0 60935 AMBEV S A SPONSORED ADR ADR 02319v103 171 29737 SH DFND 0 0 29737 ANHEUSER BUSCH INBEV SPONSORED ADR 03524a108 677 5555 SH DFND 0 0 5555 ARM HLDGS PLC SPONSORED ADR ADR 042068106 277 5614 SH DFND 0 0 5614 ATLAS COPCO SP ADR A NEW ADR 049255706 227 7005 SH DFND 0 0 7005 BAIDU COM INC SPON ADR REP A ADR 056752108 1028 4934 SH DFND 0 0 4934 BANCO BILBAO VIZ ARGNT SPONSOR ADR 05946K101 183 18196 SH DFND 0 0 18196 BANCO DO BRASIL S A SPONSORED ADR 059578104 162 22558 SH DFND 0 0 22558 BAYERISCHE MOTOREN WER ADR ADR 072743206 301 7212 SH DFND 0 0 7212 BB SEGURIDADE PARTICIP SPONSOR ADR 05541j103 129 12496 SH DFND 0 0 12496 BG PLC ADR FIN INST N ADR 055434203 228 18541 SH DFND 0 0 18541 CANON INC ADR ADR 138006309 1961 55435 SH DFND 0 0 55435 CHINA CONSTR BK CORP ADR ADR 168919108 284 17092 SH DFND 0 0 17092 CHINA MOBILE HONG KONG SPONSOR ADR 16941m109 227 3484 SH DFND 0 0 3484 CIELO S A SPONSORED ADR ADR 171778202 146 10227 SH DFND 0 0 10227 COMMERCIAL INTL BK EGY SPONSOR ADR 201712304 132 17944 SH DFND 0 0 17944 COMPANHIA ENERGETICA DE MINAS ADR 204409601 105 25706 SH DFND 0 0 25706 CSL LTD SPONSORED ADR ADR 12637n204 233 6626 SH DFND 0 0 6626 DASSAULT SYS S A SPONSORED ADR ADR 237545108 433 6381 SH DFND 0 0 6381 DBS GROUP HLDGS LTD SPONSORED ADR 23304y100 202 3400 SH DFND 0 0 3400 DEUTSCHE LUFTHANSA A G SPONSOR ADR 251561304 1541 109690 SH DFND 0 0 109690 FANUC CORPORATION ADR ADR 307305102 455 12483 SH DFND 0 0 12483 FUCHS PETROLUB SE ADR ADR 35952q106 134 13470 SH DFND 0 0 13470 GAZPROM O A O SPON ADR ADR 368287207 130 27626 SH DFND 0 0 27626 GLENCORE PLC ADR ADR 37827x100 1380 162950 SH DFND 0 0 162950 HONG KONG EXCHANGES & ADR ADR 43858f109 200 8173 SH DFND 0 0 8173 ICICI BK LTD ADR ADR 45104g104 296 28550 SH DFND 0 0 28550 ITAU UNIBANCO BANCO MU SPONS A ADR 465562106 185 16734 SH DFND 0 0 16734 LOCALIZA RENT A CAR SPONSORED ADR 53956w300 177 15439 SH DFND 0 0 15439 LOREAL CO ADR ADR 502117203 333 9054 SH DFND 0 0 9054 MITSUBISHI UFJ FNL GP SPONSORE ADR 606822104 177 28500 SH DFND 0 0 28500 MIZUHO FINL GROUP INC SPONSORE ADR 60687y109 76 21435 SH DFND 0 0 21435 MOBILE TELESYS OJSC SPONSORED ADR 607409109 105 10421 SH DFND 0 0 10421 MTN GROUP LTD SPONS ADR ADR 62474m108 181 10676 SH DFND 0 0 10676 NTT DOCOMO INC SPONS ADR ADR 62942m201 2939 168590 SH DFND 0 0 168590 PPC LT ADR ADR 69354a104 52 17168 SH DFND 0 0 17168 PT ASTRA INTL TBK ADR ADR 69367x109 170 12928 SH DFND 0 0 12928 PT BK MANDIRI PERSERO ADR ADR 69367u105 200 21006 SH DFND 0 0 21006 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 369 10691 SH DFND 0 0 10691 ROYAL BK SCOTLAND GRP SPONS AD ADR 780097689 528 52330 SH DFND 0 0 52330 ROYAL DUTCH SHELL PLC SPONS AD ADR 780259206 260 4367 SH DFND 0 0 4367 SAFRAN S A SPON ADR ADR 786584102 476 27300 SH DFND 0 0 27300 SANOFI SPONSORED ADR ADR 80105n105 406 8219 SH DFND 0 0 8219 SAP AE SPONSORED ADR ADR 803054204 343 4751 SH DFND 0 0 4751 SBERBANK OF RUSSIA SPONS ADR ADR 80585y308 135 30911 SH DFND 0 0 30911 SCHNEIDER ELECTRIC SE ADR 80687P106 265 17082 SH DFND 0 0 17082 SHIRE PHARMCTL GRP PLC SPONSOR ADR 82481r106 1987 8303 SH DFND 0 0 8303 SYSMEX CORP ADR ADR 87184p109 433 15584 SH DFND 0 0 15584 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 915 38983 SH DFND 0 0 38983 TATA MTRS LTD SPONSORED ADR ADR 876568502 484 10750 SH DFND 0 0 10750 TURKIYE GARANTI BK AS SPONSORE ADR 900148701 159 48352 SH DFND 0 0 48352 UNICHARM CORP SPONSORED ADR ADR 90460M204 364 69243 SH DFND 0 0 69243 UNILEVER PLC SPON ADR NEW ADR 904767704 254 6081 SH DFND 0 0 6081 WAL-MART DE MEXICO S A ADR SR ADR 93114W107 384 15388 SH DFND 0 0 15388 WPP PLC NEW ADR ADR 92937a102 431 3790 SH DFND 0 0 3790 SAN JUAN BASIN RTY TR UNIT BEN RYLT TR 798241105 165 13800 SH DFND 0 0 13800 ADVISORS SER TR POPLAR FRST CO MF 00770x535 851 34205 SH DFND 0 0 34205 ALLIANZ GI SHRT DURATION HI IN MF 01880b603 245 15763 SH DFND 0 0 15763 AMER INTL GRW & INC CL F-1 SHS MF 45956t402 672 20863 SH DFND 0 0 20863 AMERICAN BALANCED FD CL F MF 024071409 1430 57829 SH DFND 0 0 57829 AMERICAN BALANCED FD COM MF 024071102 668 27006 SH DFND 0 0 27006 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 655 63559 SH DFND 0 0 63559 CAPITAL INCOME BLDR FD CL F MF 140193400 4046 68062 SH DFND 0 0 68062 CAPITAL INCOME BLDR IN SHS CL MF 140194101 235 3949 SH DFND 0 0 3949 CAPITAL INCOME BUILDERS FD SH MF 140193103 479 8059 SH DFND 0 0 8059 CAPITAL WORLD GRW&INCM CL F MF 140543406 1548 32911 SH DFND 0 0 32911 CLAYMORE ETF TR ZACKS MDCAP CR MF 18383m720 641 12500 SH DFND 0 0 12500 COLUMBIA ACORN FUND CL Z MF 197199409 398 11975 SH DFND 0 0 11975 DFA INVT DIMENSION GRP US CORE MF 233203397 669 37519 SH DFND 0 0 37519 EUROPACIFIC GROWTH FUND CLASS MF 298706102 590 11825 SH DFND 0 0 11825 FIDELITY ADVISOR SER I LEV CO MF 315805424 1226 21020 SH DFND 0 0 21020 FIDELITY ADVISOR VII HEALTH CA MF 315918847 1476 34261 SH DFND 0 0 34261 FIDELITY INVT TR JAPAN FD MF 315910885 517 43127 SH DFND 0 0 43127 FIRST EAGLE GLOBAL FUND CLASS MF 32008f507 371 6913 SH DFND 0 0 6913 FORESTER FDS INC DISCOVERY FD MF 34623p100 335 24535 SH DFND 0 0 24535 FRANKLIN CUSTODIAN FDS INCOME MF 353496805 27 11352 SH DFND 0 0 11352 FRANKLIN INCOME FD CLASS A MF 353496300 65 27056 SH DFND 0 0 27056 FUNDAMENTAL INVS INC CL F MF 360802409 364 6992 SH DFND 0 0 6992 FUNDAMENTAL INVS INC COM MF 360802102 242 4638 SH DFND 0 0 4638 FUNDVANTAGE TR GTM ENRT INSTL MF 360873129 990 78849 SH DFND 0 0 78849 GABELLI ASSET FD SH BEN INT MF 362395105 372 5640 SH DFND 0 0 5640 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1399 131033 SH DFND 0 0 131033 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4905 1486479 SH DFND 0 0 1486479 GROWTH FD AMER INC CL F MF 399874403 346 7895 SH DFND 0 0 7895 HARDING LOEVNER FDS FR EMRG MK MF 412295867 138 16294 SH DFND 0 0 16294 INCOME FUND AMERICA MF 453320103 416 19220 SH DFND 0 0 19220 INTERNATIONAL GRW & IN CL A SH MF 45956t105 204 6341 SH DFND 0 0 6341 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 315 9791 SH DFND 0 0 9791 INVESCO GLBL HLTH CARE FD CL A MF 00141T106 378 8113 SH DFND 0 0 8113 INVESCO TREASURERS SER TR PREM MF 00142W868 12 11604 SH DFND 0 0 11604 INVESTMENT CO AMER CL F MF 461308405 224 6095 SH DFND 0 0 6095 LATEEF FUND CLASS I MF 360873301 305 21071 SH DFND 0 0 21071 MAINSTAY MARKETFIELD FD CL I MF 56064b852 4694 289560 SH DFND 0 0 289560 MASSACHUSETTS INVS TR SH BEN I MF 575736103 361 12373 SH DFND 0 0 12373 NEW PERSPECTIVE FD INC COM MF 648018109 437 11508 SH DFND 0 0 11508 NICHOLAS FD INC COM MF 653735100 295 4126 SH DFND 0 0 4126 NORTHERN LTS FD TR II PCS COMD MF 66538f868 186 21108 SH DFND 0 0 21108 NUVEEN INVT TR NWQ MULTI VL R MF 67064y768 561 21510 SH DFND 0 0 21510 OPPENHEIMER DEVLNG MKT CL A MF 683974109 914 26099 SH DFND 0 0 26099 OPPENHEIMER INTL S CO CL A MF 68380u100 1281 37097 SH DFND 0 0 37097 OPPENHEIMER STEELPATH MLP INC MF 858268600 242 23519 SH DFND 0 0 23519 OPPENHEIMER STEELPTH MLP SELEC MF 858268105 1207 102480 SH DFND 0 0 102480 OPPENHEIMER STRATEG FD INCOME MF 68380K102 84 20593 SH DFND 0 0 20593 PIMCO SMALL CAPS STKSPL AR STG MF 72201f698 699 74016 SH DFND 0 0 74016 POPLAR FOREST OUTLIERS FD INST MF 00770x550 257 10192 SH DFND 0 0 10192 POPLAR FOREST PARTNERS FD CL A MF 00768D814 1290 29443 SH DFND 0 0 29443 POPLAR FOREST PARTNERS INSTITU MF 00768d798 12458 283269 SH DFND 0 0 283269 ROWE PRICE NEW HORI FD COM MF 779562107 671 14413 SH DFND 0 0 14413 SEQUOIA FD INC COM MF 817418106 257 1016 SH DFND 0 0 1016 T ROWE PRICE MEDIA & TELECOMMU MF 741454102 397 5919 SH DFND 0 0 5919 TEMPLETON GLOBAL INVT EMRG MKT MF 88019r732 248 20257 SH DFND 0 0 20257 VANGUARD EUROPEAN STK INDX FD MF 922042809 586 8648 SH DFND 0 0 8648 VANGUARD INDEX FDS TOT STKIDX MF 922908728 505 9655 SH DFND 0 0 9655 VANGUARD INDEX TR 500 INDEX AD MF 922908710 239 1255 SH DFND 0 0 1255 VANGUARD SPECIALIZED DIV APRID MF 921908851 374 11578 SH DFND 0 0 11578 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 271 2849 SH DFND 0 0 2849 GLOBAL X FDS GLB X SUPERDIV EXCH 37950E549 378 16315 SH DFND 0 0 16315 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 761 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 703 59254 SH DFND 0 0 59254 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 466 57901 SH DFND 0 0 57901 ROYCE MICRO CAP TR INC CLE FDS 780915104 556 56776 SH DFND 0 0 56776 ROYCE VALUE TR INC COM CLE FDS 780910105 2601 181630 SH DFND 0 0 181630 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 2912 94320 SH DFND 0 0 94320 DISCOVERY GLOBAL OPPORTUNITY P LP 254lp3798 1249 1248784 SH DFND 0 0 1248784 KKR & CO LP DEL COM UNITS LP 48248m102 2157 94581 SH DFND 0 0 94581 MARKWEST ENERGY PARTNR UNIT LT LP 570759100 661 10000 SH DFND 0 0 10000 MEMORIAL PRODTN PAR LP COM U R LP 586048100 772 47650 SH DFND 0 0 47650 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 2240 45920 SH DFND 0 0 45920 SKYBRIDGE MULTI-ADV HEDGE FD L LP 830lp0011 1534 1233 SH DFND 0 0 1233