0001020918-15-000006.txt : 20150722 0001020918-15-000006.hdr.sgml : 20150722 20150722163108 ACCESSION NUMBER: 0001020918-15-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150722 DATE AS OF CHANGE: 20150722 EFFECTIVENESS DATE: 20150722 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: 151000228 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 06-30-2015 06-30-2015 ROTHSCHILD INVESTMENT CORP /IL

311 S WACKER DR SUITE 6500 CHICAGO IL 60606

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INC COM COM 88830r101 728 49450 SH DFND 0 0 49450 TOLL BROTHERS INC COM COM 889478103 8737 228775 SH DFND 0 0 228775 TORONTO DOMINION BK COM NEW COM 891160509 676 15900 SH DFND 0 0 15900 TOWERS WATSON & CO CL A COM 891894107 700 5562 SH DFND 0 0 5562 TOWN SPORTS INTL HLDGS COM COM 89214a102 3073 1059804 SH DFND 0 0 1059804 TRANSCANADA CORP COM COM 89353d107 279 6860 SH DFND 0 0 6860 TRAVELERS COS INC COM COM 89417E109 440 4557 SH DFND 0 0 4557 UNION PACIFIC CORPORATION COM 907818108 345 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 266 12900 SH DFND 0 0 12900 UNITED TECHNOLOGIES CORP COM 913017109 2675 24111 SH DFND 0 0 24111 UNIVERSAL DISPLAY CORP COM COM 91347P105 2580 49865 SH DFND 0 0 49865 UNIVERSAL HEALTH RLTY INCOME S COM 91359E105 386 8300 SH DFND 0 0 8300 UNIVERSAL HLTH SVCS CL B COM 913903100 2842 20000 SH DFND 0 0 20000 US BANCORP DEL COM COM 902973304 1415 32611 SH DFND 0 0 32611 V F CORP COM COM 918204108 279 4000 SH DFND 0 0 4000 VALMONT INDS INC COM COM 920253101 238 2005 SH DFND 0 0 2005 VANGUARD INDEX TR STK MRK VIPE COM 922908769 253 2368 SH DFND 0 0 2368 VANGUARD INTL EQTY IDX ALLWRLD COM 922042775 1096 22565 SH DFND 0 0 22565 VANGUARD INTL EQTY IDX GLB EX COM 922042676 362 6527 SH DFND 0 0 6527 VANGUARD SCOTTSDALE FD MORTG-B COM 92206c771 317 6000 SH DFND 0 0 6000 VANGUARD SPECIALIZED DIV APP E COM 921908844 1990 25325 SH DFND 0 0 25325 VANTAGE DRILLING COMPA ORD SHS COM g93205113 3 15000 SH DFND 0 0 15000 VECTOR GROUP LTD COM COM 92240M108 840 35809 SH DFND 0 0 35809 VEEVA SYS INC CL A COM COM 922475108 451 16100 SH DFND 0 0 16100 VENTAS INC COM COM 92276F100 495 7965 SH DFND 0 0 7965 VERIZON COMMUNICATIONS COM COM 92343v104 9427 202254 SH DFND 0 0 202254 VISA INC COM CL A COM 92826c839 3300 49150 SH DFND 0 0 49150 VISHAY INTERTECHNOLOGY COM 928298108 1244 106485 SH DFND 0 0 106485 VODAFONE GROUP PLC NEW COM 92857w308 1656 45434 SH DFND 0 0 45434 W P CAREY, INC COM 92936u109 299 5066 SH DFND 0 0 5066 WABTEC CORPORATION COM 929740108 712 7556 SH DFND 0 0 7556 WAL MART STORES INC COM 931142103 2542 35843 SH DFND 0 0 35843 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 3625 42934 SH DFND 0 0 42934 WALT DISNEY PRODUCTIONS COM 254687106 1796 15738 SH DFND 0 0 15738 WASTE MGMT INC COM COM 94106L109 911 19660 SH DFND 0 0 19660 WEC ENERGY GROUP INC COM COM 92939u106 1240 27579 SH DFND 0 0 27579 WELLS FARGO & COMPANY COM 949746101 1332 23693 SH DFND 0 0 23693 WEST CORP COM COM 952355204 2350 78070 SH DFND 0 0 78070 WEYERHAEUSER CO COM 962166104 666 21151 SH DFND 0 0 21151 WHOLE FOODS MKT INC COM COM 966837106 887 22500 SH DFND 0 0 22500 WILLIAMS COS INC DEL COM COM 969457100 1179 20539 SH DFND 0 0 20539 WISDOMTREE INVTS INC COM COM 97717p104 381 17338 SH DFND 0 0 17338 WISDOMTREE TR EMERGING MKTS YL COM 97717w315 3953 91016 SH DFND 0 0 91016 WISDOMTREE TR EUROPE HEDGED EQ COM 97717x701 4186 67967 SH DFND 0 0 67967 WISDOMTREE TRUST DEFA FD COM 97717w703 207 4065 SH DFND 0 0 4065 WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 937 21592 SH DFND 0 0 21592 WISDOMTREE TRUST INTL LRGCAP D COM 97717w794 323 6775 SH DFND 0 0 6775 WISDOMTREE TRUST JAPN HEDGE EQ COM 97717W851 1552 27129 SH DFND 0 0 27129 WOOLWORTHS HLDGS LTD SPON GDR COM 98088r505 127 15496 SH DFND 0 0 15496 WP GLIMCHER INC. COM 92939N102 445 32899 SH DFND 0 0 32899 WYNN RESORTS LTD COM COM 983134107 659 6675 SH DFND 0 0 6675 ZIMMER BIOMET HOLDINGS INC COM 98956P102 371 3392 SH DFND 0 0 3392 AIA GROUP LTD SPONSORED ADR ADR 001317205 478 18249 SH DFND 0 0 18249 AIR LIQUIDE ADR ADR 009126202 364 14404 SH DFND 0 0 14404 AKBANK TURK ANONM SIRK ADR ADR 009719501 103 17759 SH DFND 0 0 17759 ALIBABA GROUP HLDG LTD SPONSOR ADR 01609w102 1517 18445 SH DFND 0 0 18445 ALLIANZ SE SP ADR 1/10 SH ADR 018805101 949 60935 SH DFND 0 0 60935 AMBEV S A SPONSORED ADR ADR 02319v103 181 29737 SH DFND 0 0 29737 ANHEUSER BUSCH INBEV SPONSORED ADR 03524a108 682 5655 SH DFND 0 0 5655 ARM HLDGS PLC SPONSORED ADR ADR 042068106 277 5614 SH DFND 0 0 5614 BAIDU COM INC SPON ADR REP A ADR 056752108 1317 6617 SH DFND 0 0 6617 BANCO BILBAO VIZ ARGNT SPONSOR ADR 05946K101 180 18196 SH DFND 0 0 18196 BANCO DO BRASIL S A SPONSORED ADR 059578104 175 22558 SH DFND 0 0 22558 BAYERISCHE MOTOREN WER ADR ADR 072743206 263 7212 SH DFND 0 0 7212 BB SEGURIDADE PARTICIP SPONSOR ADR 05541j103 138 12496 SH DFND 0 0 12496 BG PLC ADR FIN INST N ADR 055434203 309 18541 SH DFND 0 0 18541 CANON INC ADR ADR 138006309 1777 54835 SH DFND 0 0 54835 CHINA CONSTR BK CORP ADR ADR 168919108 312 17092 SH DFND 0 0 17092 CHINA MOBILE HONG KONG SPONSOR ADR 16941m109 223 3484 SH DFND 0 0 3484 CIELO S A SPONSORED ADR ADR 171778202 174 12272 SH DFND 0 0 12272 COMMERCIAL INTL BK EGY SPONSOR ADR 201712304 133 17944 SH DFND 0 0 17944 COMPANHIA ENERGETICA DE MINAS ADR 204409601 79 20706 SH DFND 0 0 20706 CSL LTD SPONSORED ADR ADR 12637n204 220 6626 SH DFND 0 0 6626 DASSAULT SYS S A SPONSORED ADR ADR 237545108 493 6783 SH DFND 0 0 6783 DBS GROUP HLDGS LTD SPONSORED ADR 23304y100 209 3400 SH DFND 0 0 3400 DEUTSCHE LUFTHANSA A G SPONSOR ADR 251561304 1472 114215 SH DFND 0 0 114215 FANUC CORPORATION ADR ADR 307305102 426 12483 SH DFND 0 0 12483 FUCHS PETROLUB SE ADR ADR 35952q106 143 13470 SH DFND 0 0 13470 GAZPROM O A O SPON ADR ADR 368287207 119 22626 SH DFND 0 0 22626 GLENCORE PLC ADR ADR 37827x100 1329 165375 SH DFND 0 0 165375 ICICI BK LTD ADR ADR 45104g104 297 28550 SH DFND 0 0 28550 ITAU UNIBANCO BANCO MU SPONS A ADR 465562106 183 16734 SH DFND 0 0 16734 LOCALIZA RENT A CAR SPONSORED ADR 53956w300 153 15439 SH DFND 0 0 15439 LOREAL CO ADR ADR 502117203 323 9054 SH DFND 0 0 9054 MITSUBISHI UFJ FNL GP SPONSORE ADR 606822104 206 28500 SH DFND 0 0 28500 MIZUHO FINL GROUP INC SPONSORE ADR 60687y109 54 12435 SH DFND 0 0 12435 MOBILE TELESYS OJSC SPONSORED ADR 607409109 102 10421 SH DFND 0 0 10421 MS&AD INS GROUP HLDGS ADR ADR 553491101 2456 157625 SH DFND 0 0 157625 MTN GROUP LTD SPONS ADR ADR 62474m108 201 10676 SH DFND 0 0 10676 NTT DOCOMO INC SPONS ADR ADR 62942m201 3106 162365 SH DFND 0 0 162365 PPC LT ADR ADR 69354a104 50 17168 SH DFND 0 0 17168 PT ASTRA INTL TBK ADR ADR 69367x109 164 15467 SH DFND 0 0 15467 PT BK MANDIRI PERSERO ADR ADR 69367u105 182 24088 SH DFND 0 0 24088 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 395 11268 SH DFND 0 0 11268 ROYAL BK SCOTLAND GRP SPONS AD ADR 780097689 570 51530 SH DFND 0 0 51530 ROYAL DUTCH SHELL PLC SPONS AD ADR 780259206 272 4768 SH DFND 0 0 4768 SAFRAN S A SPON ADR ADR 786584102 444 26200 SH DFND 0 0 26200 SANOFI SPONSORED ADR ADR 80105n105 423 8536 SH DFND 0 0 8536 SAP AE SPONSORED ADR ADR 803054204 343 4888 SH DFND 0 0 4888 SBERBANK OF RUSSIA SPONS ADR ADR 80585y308 140 26411 SH DFND 0 0 26411 SCHNEIDER ELECTRIC SE ADR 80687P106 236 17082 SH DFND 0 0 17082 SHIRE PHARMCTL GRP PLC SPONSOR ADR 82481r106 2005 8303 SH DFND 0 0 8303 SVENSKA HANDELSBANKEN ADR ADR 86959c103 122 16686 SH DFND 0 0 16686 SYSMEX CORP ADR ADR 87184p109 468 15706 SH DFND 0 0 15706 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 825 36334 SH DFND 0 0 36334 TATA MTRS LTD SPONSORED ADR ADR 876568502 403 11679 SH DFND 0 0 11679 TURKIYE GARANTI BK AS SPONSORE ADR 900148701 151 48352 SH DFND 0 0 48352 UNICHARM CORP SPONSORED ADR ADR 90460M204 309 65003 SH DFND 0 0 65003 UNILEVER PLC SPON ADR NEW ADR 904767704 317 7388 SH DFND 0 0 7388 WAL-MART DE MEXICO S A ADR SR ADR 93114W107 376 15388 SH DFND 0 0 15388 WOODSIDE PETE LTD SPONSORED AD ADR 980228308 1576 59900 SH DFND 0 0 59900 WPP PLC NEW ADR ADR 92937a102 428 3793 SH DFND 0 0 3793 SAN JUAN BASIN RTY TR UNIT BEN RYLT TR 798241105 148 13800 SH DFND 0 0 13800 ADVISORS SER TR POPLAR FRST CO MF 00770x535 1881 74417 SH DFND 0 0 74417 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 670 20936 SH DFND 0 0 20936 AMERICAN BALANCED FD CL F MF 024071409 1424 58003 SH DFND 0 0 58003 AMERICAN BALANCED FD COM MF 024071102 666 27106 SH DFND 0 0 27106 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 1605 158236 SH DFND 0 0 158236 AMERICAN HIGH-INCOME M SHS CL MF 026545608 199 12979 SH DFND 0 0 12979 CAPITAL INCOME BLDR FD CL F MF 140193400 4023 68586 SH DFND 0 0 68586 CAPITAL INCOME BLDR IN SHS CL MF 140194101 282 4808 SH DFND 0 0 4808 CAPITAL INCOME BUILDERS FD SH MF 140193103 474 8077 SH DFND 0 0 8077 CAPITAL WORLD GRW&INCM CL F MF 140543406 1538 32900 SH DFND 0 0 32900 CLAYMORE ETF TR ZACKS MDCAP CR MF 18383m720 636 12500 SH DFND 0 0 12500 COLUMBIA ACORN FUND CL Z MF 197199409 388 11975 SH DFND 0 0 11975 DFA INVT DIMENSION GRP INTL SM MF 233203736 238 11684 SH DFND 0 0 11684 DFA INVT DIMENSION GRP US CORE MF 233203397 2183 122801 SH DFND 0 0 122801 DFA INVT DIMENSIONS GR TX MNG MF 233203561 295 11270 SH DFND 0 0 11270 DIMENSIONAL INVT GROUP GL ALL MF 25434d633 134 10490 SH DFND 0 0 10490 DOUBLELINE FDS TR FLEX INCME I MF 258620798 326 32554 SH DFND 0 0 32554 EUROPACIFIC GROWTH FUND CLASS MF 298706102 596 11825 SH DFND 0 0 11825 FIDELITY ADVISOR SER I LEV CO MF 315805424 1239 21020 SH DFND 0 0 21020 FIDELITY ADVISOR VII HEALTH CA MF 315918847 1511 34601 SH DFND 0 0 34601 FIDELITY INVT TR JAPAN FD MF 315910885 526 43127 SH DFND 0 0 43127 FIRST EAGLE GLOBAL FUND CLASS MF 32008f507 364 6823 SH DFND 0 0 6823 FORESTER FDS INC DISCOVERY FD MF 34623p100 338 24535 SH DFND 0 0 24535 FRANKLIN CUSTODIAN FDS INCOME MF 353496805 27 11479 SH DFND 0 0 11479 FRANKLIN INCOME FD CLASS A MF 353496300 63 27056 SH DFND 0 0 27056 FUNDAMENTAL INVS INC CL F MF 360802409 312 5936 SH DFND 0 0 5936 FUNDAMENTAL INVS INC COM MF 360802102 245 4651 SH DFND 0 0 4651 FUNDVANTAGE TR GTM ENRT INSTL MF 360873129 957 80841 SH DFND 0 0 80841 GABELLI ASSET FD SH BEN INT MF 362395105 373 5640 SH DFND 0 0 5640 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1451 131033 SH DFND 0 0 131033 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 5158 1486479 SH DFND 0 0 1486479 GROWTH FD AMER INC MF 399874106 231 5170 SH DFND 0 0 5170 GROWTH FD AMER INC CL F MF 399874403 351 7895 SH DFND 0 0 7895 INTERNATIONAL GRW & IN CL A SH MF 45956t105 205 6405 SH DFND 0 0 6405 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 317 9896 SH DFND 0 0 9896 INVESCO GLBL HLTH CARE FD CL A MF 00141T106 389 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 222 6038 SH DFND 0 0 6038 LATEEF FUND CLASS I MF 360873301 305 21071 SH DFND 0 0 21071 MAINSTAY MARKETFIELD FD CL I MF 56064b852 4584 287934 SH DFND 0 0 287934 MASSACHUSETTS INVS TR SH BEN I MF 575736103 360 12373 SH DFND 0 0 12373 NEW PERSPECTIVE FD INC COM MF 648018109 439 11478 SH DFND 0 0 11478 NICHOLAS FD INC COM MF 653735100 300 4262 SH DFND 0 0 4262 NORTHERN LTS FD TR II PCS COMD MF 66538f868 248 26473 SH DFND 0 0 26473 NUVEEN INVT TR NWQ MULTI VL R MF 67064y768 557 21510 SH DFND 0 0 21510 OPPENHEIMER DEVLNG MKT CL A MF 683974109 946 26796 SH DFND 0 0 26796 OPPENHEIMER INTL S CO CL A MF 68380u100 1392 38281 SH DFND 0 0 38281 OPPENHEIMER STEELPATH MLP INC MF 858268600 223 22964 SH DFND 0 0 22964 OPPENHEIMER STEELPTH MLP SELEC MF 858268105 1215 107201 SH DFND 0 0 107201 OPPENHEIMER STRATEG FD INCOME MF 68380K102 84 20822 SH DFND 0 0 20822 PIMCO SMALL CAPS STKSPL AR STG MF 72201f698 702 74259 SH DFND 0 0 74259 POPLAR FOREST OUTLIERS FD INST MF 00770x550 252 10192 SH DFND 0 0 10192 POPLAR FOREST PARTNERS FD CL A MF 00768D814 1320 29320 SH DFND 0 0 29320 POPLAR FOREST PARTNERS INSTITU MF 00768d798 11385 251821 SH DFND 0 0 251821 ROWE PRICE NEW HORI FD COM MF 779562107 680 14413 SH DFND 0 0 14413 ROWE PRICE NEW INCM FD COM MF 779570100 149 15743 SH DFND 0 0 15743 SEQUOIA FD INC COM MF 817418106 262 1026 SH DFND 0 0 1026 T ROWE PRICE MEDIA & TELECOMMU MF 741454102 411 5919 SH DFND 0 0 5919 TEMPLETON GLOBAL INVT EMRG MKT MF 88019r732 259 20257 SH DFND 0 0 20257 VANGUARD EUROPEAN STK INDX FD MF 922042809 738 10937 SH DFND 0 0 10937 VANGUARD INDEX FDS TOT STKIDX MF 922908728 505 9685 SH DFND 0 0 9685 VANGUARD INDEX TR 500 INDEX AD MF 922908710 240 1261 SH DFND 0 0 1261 VANGUARD SPECIALIZED DIV APRID MF 921908851 366 11638 SH DFND 0 0 11638 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 282 2849 SH DFND 0 0 2849 GLOBAL X FDS GLB X SUPERDIV EXCH 37950E549 423 19084 SH DFND 0 0 19084 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 731 37896 SH DFND 0 0 37896 EATON VANCE ENHCD EQT COM CLE FDS 278274105 442 33684 SH DFND 0 0 33684 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 700 59254 SH DFND 0 0 59254 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 465 56006 SH DFND 0 0 56006 ROYCE MICRO CAP TR INC CLE FDS 780915104 480 52054 SH DFND 0 0 52054 ROYCE VALUE TR INC COM CLE FDS 780910105 2622 190131 SH DFND 0 0 190131 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 2788 94420 SH DFND 0 0 94420 DISCOVERY GLOBAL OPPORTUNITY P LP 254lp3798 6465 6464541 SH DFND 0 0 6464541 KKR & CO LP DEL COM UNITS LP 48248m102 2161 94581 SH DFND 0 0 94581 MARKWEST ENERGY PARTNR UNIT LT LP 570759100 843 14950 SH DFND 0 0 14950 MEMORIAL PRODTN PAR LP COM U R LP 586048100 708 47650 SH DFND 0 0 47650 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 2697 61895 SH DFND 0 0 61895 SKYBRIDGE MULTI-ADV HEDGE FD L LP 830lp0011 1578 1233 SH DFND 0 0 1233