0001020918-16-000012.txt : 20160426 0001020918-16-000012.hdr.sgml : 20160426 20160426120111 ACCESSION NUMBER: 0001020918-16-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160426 DATE AS OF CHANGE: 20160426 EFFECTIVENESS DATE: 20160426 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: 161591023 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 03-31-2016 03-31-2016 ROTHSCHILD INVESTMENT CORP /IL

311 S WACKER DR SUITE 6500 CHICAGO IL 60606

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DFND 0 0 2689 VANGUARD INTL EQTY IDX ALLWRLD COM 922042775 974 22565 SH DFND 0 0 22565 VANGUARD INTL EQTY IDX GLB EX COM 922042676 349 6527 SH DFND 0 0 6527 VANGUARD INTL EQUITY I TT WRLD COM 922042742 459 7950 SH DFND 0 0 7950 VANGUARD SCOTTSDALE FD INT-TER COM 92206c870 352 4045 SH DFND 0 0 4045 VANGUARD SPECIALIZED DIV APP E COM 921908844 2573 31672 SH DFND 0 0 31672 VANTAGE DRILLING COMPA ORD SHS COM g93205113 0 15000 SH DFND 0 0 15000 VAPORBRANDS INTL INC COM COM 922105101 2 305400 SH DFND 0 0 305400 VECTOR GROUP LTD COM COM 92240M108 854 37396 SH DFND 0 0 37396 VENTAS INC COM COM 92276F100 558 8865 SH DFND 0 0 8865 VERIZON COMMUNICATIONS COM COM 92343v104 10821 200086 SH DFND 0 0 200086 VIACOM INC CLASS B COM NEW COM 92553p201 1561 37810 SH DFND 0 0 37810 VISA INC COM CL A COM 92826c839 3996 52244 SH DFND 0 0 52244 VISHAY INTERTECHNOLOGY COM 928298108 911 74620 SH DFND 0 0 74620 VODAFONE GROUP PLC NEW COM 92857w308 1235 38547 SH DFND 0 0 38547 W P CAREY, INC COM 92936u109 390 6266 SH DFND 0 0 6266 WAL MART STORES INC COM 931142103 4249 62034 SH DFND 0 0 62034 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 3501 41554 SH DFND 0 0 41554 WALT DISNEY PRODUCTIONS COM 254687106 2244 22594 SH DFND 0 0 22594 WASATCH PHARMACEUTICAL COM PAR COM 936902501 0 10001 SH DFND 0 0 10001 WASTE MGMT INC COM COM 94106L109 1224 20738 SH DFND 0 0 20738 WEC ENERGY GROUP INC COM COM 92939u106 1660 27629 SH DFND 0 0 27629 WELLS FARGO & COMPANY COM 949746101 846 17486 SH DFND 0 0 17486 WEST CORP COM COM 952355204 1691 74100 SH DFND 0 0 74100 WESTERN DIGITAL CORP COM 958102105 334 7065 SH DFND 0 0 7065 WEYERHAEUSER CO COM 962166104 245 7897 SH DFND 0 0 7897 WHOLE FOODS MKT INC COM COM 966837106 735 23625 SH DFND 0 0 23625 WILLIS TWRS WATSON PLC LKD TO COM g96629103 663 5585 SH DFND 0 0 5585 WISDOMTREE INVTS INC COM COM 97717p104 1634 142946 SH DFND 0 0 142946 WISDOMTREE TR EMERGING MKTS YL COM 97717w315 1362 39109 SH DFND 0 0 39109 WISDOMTREE TR EUROPE HEDGED EQ COM 97717x701 2320 44675 SH DFND 0 0 44675 WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 286 7565 SH DFND 0 0 7565 WISDOMTREE TRUST INTL LRGCAP D COM 97717w794 284 6775 SH DFND 0 0 6775 WISDOMTREE TRUST JAPN HEDGE EQ COM 97717W851 4657 106547 SH DFND 0 0 106547 WOOLWORTHS HLDGS LTD SPON GDR COM 98088r505 93 15523 SH DFND 0 0 15523 WP GLIMCHER INC. COM 92939N102 308 32502 SH DFND 0 0 32502 WYNN RESORTS LTD COM COM 983134107 1180 12626 SH DFND 0 0 12626 ZIMMER BIOMET HOLDINGS INC COM 98956P102 6514 61094 SH DFND 0 0 61094 ZIOPHARM ONCOLOGY INC COM COM 98973p101 82 11000 SH DFND 0 0 11000 AIA GROUP LTD SPONSORED ADR ADR 001317205 380 16762 SH DFND 0 0 16762 AIR LIQUIDE ADR ADR 009126202 343 15232 SH DFND 0 0 15232 AKBANK TURK ANONM SIRK ADR ADR 009719501 101 17759 SH DFND 0 0 17759 ALIBABA GROUP HLDG LTD SPONSOR ADR 01609w102 220 2780 SH DFND 0 0 2780 ALLIANZ SE SP ADR 1/10 SH ADR 018805101 789 48446 SH DFND 0 0 48446 AMBEV S A SPONSORED ADR ADR 02319v103 150 29003 SH DFND 0 0 29003 AMERICA MOVIL SA DE CV SPON AD ADR 02364w105 216 13881 SH DFND 0 0 13881 ANHEUSER BUSCH INBEV SPONSORED ADR 03524a108 692 5551 SH DFND 0 0 5551 ARM HLDGS PLC SPONSORED ADR ADR 042068106 308 7058 SH DFND 0 0 7058 BAIDU COM INC SPON ADR REP A ADR 056752108 1201 6292 SH DFND 0 0 6292 BANCO BILBAO VIZ ARGNT SPONSOR ADR 05946K101 108 16556 SH DFND 0 0 16556 BANCO DO BRASIL S A SPONSORED ADR 059578104 122 22074 SH DFND 0 0 22074 BAYERISCHE MOTOREN WER ADR ADR 072743206 201 6556 SH DFND 0 0 6556 BB SEGURIDADE PARTICIP SPONSOR ADR 05541j103 99 12127 SH DFND 0 0 12127 CANON INC ADR ADR 138006309 1403 47065 SH DFND 0 0 47065 CHINA CONSTR BK CORP ADR ADR 168919108 246 19283 SH DFND 0 0 19283 CIELO S A SPONSORED ADR ADR 171778202 124 12631 SH DFND 0 0 12631 COLOPLAST A/S ADR ADR 19624y101 105 13841 SH DFND 0 0 13841 COMMERCIAL INTL BK EGY SPONSOR ADR 201712304 96 22199 SH DFND 0 0 22199 DASSAULT SYS S A SPONSORED ADR ADR 237545108 424 5336 SH DFND 0 0 5336 DEUTSCHE LUFTHANSA A G SPONSOR ADR 251561304 1729 106835 SH DFND 0 0 106835 FANUC CORPORATION ADR ADR 307305102 381 14689 SH DFND 0 0 14689 FUCHS PETROLUB SE ADR ADR 35952q106 138 12288 SH DFND 0 0 12288 GAZPROM PJSC SPON ADR ADR 368287207 98 22626 SH DFND 0 0 22626 HSBC HLDGS PLC SPON ADR NEW ADR 404280406 223 7152 SH DFND 0 0 7152 ITAU UNIBANCO BANCO MU SPONS A ADR 465562106 144 16714 SH DFND 0 0 16714 KIMBERLY CLRK DE MEX SPON ADR ADR 494386204 124 10175 SH DFND 0 0 10175 LOCALIZA RENT A CAR SPONSORED ADR 53956w300 129 15439 SH DFND 0 0 15439 LOREAL CO ADR ADR 502117203 297 8268 SH DFND 0 0 8268 MITSUBISHI UFJ FNL GP SPONSORE ADR 606822104 85 18600 SH DFND 0 0 18600 MIZUHO FINL GROUP INC SPONSORE ADR 60687y109 37 12435 SH DFND 0 0 12435 MOBILE TELESYS OJSC SPONSORED ADR 607409109 85 10560 SH DFND 0 0 10560 MS&AD INS GROUP HLDGS ADR ADR 553491101 1914 137165 SH DFND 0 0 137165 NASPERS LTD SPON ADR N SHS ADR 631512100 245 17490 SH DFND 0 0 17490 NATIONAL BK GREECE SA SPN ADR ADR 633643804 38 133429 SH DFND 0 0 133429 P T TELEKOM INDONESIA SPONSORE ADR 715684106 215 4234 SH DFND 0 0 4234 PPC LT ADR ADR 69354a104 28 17168 SH DFND 0 0 17168 PT ASTRA INTL TBK ADR ADR 69367x109 162 14849 SH DFND 0 0 14849 PT BK MANDIRI PERSERO ADR ADR 69367u105 176 22630 SH DFND 0 0 22630 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 343 11093 SH DFND 0 0 11093 ROYAL DUTCH SHELL B ADR 780259107 436 8861 SH DFND 0 0 8861 ROYAL DUTCH SHELL PLC SPONS AD ADR 780259206 219 4518 SH DFND 0 0 4518 SAFRAN S A SPON ADR ADR 786584102 511 29200 SH DFND 0 0 29200 SANLAM LTD SPONSORED ADR ADR 80104q208 93 10023 SH DFND 0 0 10023 SANOFI SPONSORED ADR ADR 80105n105 299 7436 SH DFND 0 0 7436 SAP AE SPONSORED ADR ADR 803054204 352 4383 SH DFND 0 0 4383 SBERBANK OF RUSSIA SPONS ADR ADR 80585y308 175 25156 SH DFND 0 0 25156 SHIRE PHARMCTL GRP PLC SPONSOR ADR 82481r106 1272 7400 SH DFND 0 0 7400 STANDARD BK GROUP LTD SPONSORE ADR 853118206 100 11077 SH DFND 0 0 11077 SVENSKA HANDELSBANKEN ADR ADR 86959c103 97 15236 SH DFND 0 0 15236 SYSMEX CORP ADR ADR 87184p109 306 9781 SH DFND 0 0 9781 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 985 37591 SH DFND 0 0 37591 TURKIYE GARANTI BK AS SPONSORE ADR 900148701 128 43827 SH DFND 0 0 43827 UNICHARM CORP SPONSORED ADR ADR 90460M204 139 31852 SH DFND 0 0 31852 UNILEVER PLC SPON ADR NEW ADR 904767704 316 6991 SH DFND 0 0 6991 VIPSHOP HLDGS LTD SPONSORED AD ADR 92763w103 466 36181 SH DFND 0 0 36181 WEICHAI PWR CO LTD ADR ADR 948597109 112 12524 SH DFND 0 0 12524 WOODSIDE PETE LTD SPONSORED AD ADR 980228308 642 32125 SH DFND 0 0 32125 WPP PLC NEW ADR ADR 92937a102 403 3458 SH DFND 0 0 3458 DEL TACO REST INC EXP 6/30/20 WARR 245496112 40 15533 SH DFND 0 0 15533 ADVISORS SER TR POPLAR FRST CO MF 00770x535 2122 89665 SH DFND 0 0 89665 AMER INTL GRW & INC CL F-1 SHS MF 45956t402 593 21066 SH DFND 0 0 21066 AMERICAN BALANCED FD CL F MF 024071409 1411 58483 SH DFND 0 0 58483 AMERICAN BALANCED FD COM MF 024071102 686 28422 SH DFND 0 0 28422 AMERICAN BALANCED FD SHS F-2 C MF 024071821 269 11144 SH DFND 0 0 11144 AMERICAN DEV WRLD GRWTH & INC MF 02630f100 200 22484 SH DFND 0 0 22484 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 4252 478238 SH DFND 0 0 478238 AMERICAN FDS MONEY MKT CL F-1 MF 02630u404 41 40535 SH DFND 0 0 40535 AMERICAN FUNDS INC CL F-1 MF 02630f407 191 21489 SH DFND 0 0 21489 AMERICAN HIGH-INCOME M SHS CL MF 026545608 211 13359 SH DFND 0 0 13359 ARTISAN PTRNS FDS INC INTL FD MF 04314h675 237 8575 SH DFND 0 0 8575 CAPITAL INCOME BLDR FD CL F MF 140193400 3958 68818 SH DFND 0 0 68818 CAPITAL INCOME BLDR IN SHS CL MF 140194101 252 4382 SH DFND 0 0 4382 CAPITAL INCOME BUILDERS FD SH MF 140193103 423 7354 SH DFND 0 0 7354 CAPITAL WORLD GRW&INCM CL F MF 140543406 1345 31139 SH DFND 0 0 31139 CLAYMORE ETF TR ZACKS MDCAP CR MF 18383m720 610 12500 SH DFND 0 0 12500 DFA INVT DIMENSION GRP INTL SM MF 233203736 282 15289 SH DFND 0 0 15289 DFA INVT DIMENSION GRP US CORE MF 233203397 2771 167836 SH DFND 0 0 167836 DFA INVT DIMENSIONS GR TX MNG MF 233203561 280 11434 SH DFND 0 0 11434 DFA INVT DIMENSIONS GR WRUS CR MF 25239y592 179 18860 SH DFND 0 0 18860 DIMENSIONAL INVT GROUP GL ALL MF 25434d633 272 21375 SH DFND 0 0 21375 DOUBLELINE FDS TR FLEX INCME I MF 258620798 361 37840 SH DFND 0 0 37840 EUROPACIFIC GROWTH FUND CLASS MF 298706102 524 11825 SH DFND 0 0 11825 FEDERATED EQUITY FDS KAUFMANN MF 314172644 61 12601 SH DFND 0 0 12601 FEDERATED WORLD INVT S FED INT MF 31428u623 231 7935 SH DFND 0 0 7935 FIDELITY ADVISOR SER I LEV CO MF 315805424 607 11816 SH DFND 0 0 11816 FIDELITY ADVISOR VII HEALTH CA MF 315918847 1297 38299 SH DFND 0 0 38299 FIDELITY CONTRA FUND MF 316071109 238 2467 SH DFND 0 0 2467 FORESTER FDS INC DISCOVERY FD MF 34623p100 335 24600 SH DFND 0 0 24600 FRANKLIN CUSTODIAN FDS INCOME MF 353496805 25 11858 SH DFND 0 0 11858 FRANKLIN INCOME FD CLASS A MF 353496300 153 72395 SH DFND 0 0 72395 FUNDAMENTAL INVS INC CL F MF 360802409 314 6185 SH DFND 0 0 6185 FUNDVANTAGE TR GTM ENRT INSTL MF 360873129 946 81934 SH DFND 0 0 81934 GABELLI ASSET FD SH BEN INT MF 362395105 321 5772 SH DFND 0 0 5772 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1254 129416 SH DFND 0 0 129416 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4500 1495148 SH DFND 0 0 1495148 GROWTH FD AMER INC MF 399874106 251 6231 SH DFND 0 0 6231 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 284 10093 SH DFND 0 0 10093 INVESCO GLBL HLTH CARE FD CL A MF 00141T106 312 9381 SH DFND 0 0 9381 INVESCO TREASURERS SER TR PREM MF 00142W868 12 11604 SH DFND 0 0 11604 INVESTMENT CO AMER CL F MF 461308405 340 9949 SH DFND 0 0 9949 LATEEF FUND CLASS I MF 360873301 302 26731 SH DFND 0 0 26731 MARKETFIELD FUND CLASS I MF 89834e245 3739 264261 SH DFND 0 0 264261 MASSACHUSETTS INVS TR SH BEN I MF 575736103 334 12373 SH DFND 0 0 12373 NEW PERSPECTIVE FD INC COM MF 648018109 428 12182 SH DFND 0 0 12182 NICHOLAS FD INC COM MF 653735100 270 4365 SH DFND 0 0 4365 NORTHERN LTS FD TR II PCS COMD MF 66538f868 181 26473 SH DFND 0 0 26473 NUVEEN INVT TR NWQ MULTI VL R MF 67064y768 476 19757 SH DFND 0 0 19757 OPPENHEIMER INTL S CO CL A MF 68380u100 1845 50773 SH DFND 0 0 50773 OPPENHEIMER STEELPATH MLP INC MF 858268600 152 23950 SH DFND 0 0 23950 OPPENHEIMER STEELPTH MLP SELEC MF 858268105 1187 139352 SH DFND 0 0 139352 OPPENHEIMER STRATEG FD INCOME MF 68380K102 82 21478 SH DFND 0 0 21478 PIMCO SMALL CAPS STKSPL AR STG MF 72201f698 369 49023 SH DFND 0 0 49023 PIONEER MLT-ASST ULTRASHT INC MF 72388e605 249 25050 SH DFND 0 0 25050 POPLAR FOREST OUTLIERS FD INST MF 00770x550 297 13804 SH DFND 0 0 13804 POPLAR FOREST PARTNERS FD CL A MF 00768D814 897 21449 SH DFND 0 0 21449 POPLAR FOREST PARTNERS INSTITU MF 00768d798 10239 243792 SH DFND 0 0 243792 ROWE PRICE NEW HORI FD COM MF 779562107 632 15530 SH DFND 0 0 15530 ROWE PRICE NEW INCM FD COM MF 779570100 102 10648 SH DFND 0 0 10648 ROWE T PRICE DIVID GRW COM MF 779546100 228 6506 SH DFND 0 0 6506 T ROWE PRICE MEDIA & TELECOMMU MF 741454102 376 5401 SH DFND 0 0 5401 VANGUARD INDEX FDS TOT STKIDX MF 922908728 500 9797 SH DFND 0 0 9797 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 254 3075 SH DFND 0 0 3075 WASHINGTON MUT INVS FD CL F MF 939330403 205 5283 SH DFND 0 0 5283 ISHARES INC CORE MSCI EMKT EXCH 46434G103 207 4971 SH DFND 0 0 4971 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 632 34718 SH DFND 0 0 34718 EATON VANCE ENHCD EQT COM CLE FDS 278274105 422 33684 SH DFND 0 0 33684 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 393 37254 SH DFND 0 0 37254 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 120 16265 SH DFND 0 0 16265 ROYCE VALUE TR INC COM CLE FDS 780910105 2096 178954 SH DFND 0 0 178954 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 2020 86234 SH DFND 0 0 86234 DISCOVERY GLOBAL OPPORTUNITY P LP 254lp3798 1283 1283091 SH DFND 0 0 1283091 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1789 72668 SH DFND 0 0 72668 JPMORGAN CHASE & CO ALERIAN ML LP 46625h365 474 17500 SH DFND 0 0 17500 KKR & CO LP DEL COM UNITS LP 48248m102 1458 99231 SH DFND 0 0 99231 MEMORIAL PRODTN PAR LP COM U R LP 586048100 101 47650 SH DFND 0 0 47650 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 1962 93575 SH DFND 0 0 93575 SKYBRIDGE MULTI-ADV HEDGE FD L LP 830lp0011 1273 1165 SH DFND 0 0 1165