0001020918-16-000014.txt : 20160721 0001020918-16-000014.hdr.sgml : 20160721 20160721152418 ACCESSION NUMBER: 0001020918-16-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160721 DATE AS OF CHANGE: 20160721 EFFECTIVENESS DATE: 20160721 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: 161777364 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 06-30-2016 06-30-2016 ROTHSCHILD INVESTMENT CORP /IL

311 S WACKER DR SUITE 6500 CHICAGO IL 60606

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0 24744 WASTE MGMT INC COM COM 94106L109 1368 20638 SH DFND 0 0 20638 WEC ENERGY GROUP INC COM COM 92939u106 1793 27462 SH DFND 0 0 27462 WELLS FARGO & COMPANY COM 949746101 1261 26653 SH DFND 0 0 26653 WEST CORP COM COM 952355204 1449 73700 SH DFND 0 0 73700 WESTERN DIGITAL CORP COM 958102105 540 11422 SH DFND 0 0 11422 WEYERHAEUSER CO COM 962166104 245 8217 SH DFND 0 0 8217 WHOLE FOODS MKT INC COM COM 966837106 497 15525 SH DFND 0 0 15525 WILLIS TWRS WATSON PLC LKD TO COM g96629103 570 4584 SH DFND 0 0 4584 WISDOMTREE INVTS INC COM COM 97717p104 1845 188431 SH DFND 0 0 188431 WISDOMTREE TR EMERGING MKTS YL COM 97717w315 1291 36442 SH DFND 0 0 36442 WISDOMTREE TR EUROPE HEDGED EQ COM 97717x701 2015 39874 SH DFND 0 0 39874 WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 288 7430 SH DFND 0 0 7430 WISDOMTREE TRUST INTL LRGCAP D COM 97717w794 280 6760 SH DFND 0 0 6760 WISDOMTREE TRUST JAPN HEDGE EQ COM 97717W851 4069 104935 SH DFND 0 0 104935 WOOLWORTHS HLDGS LTD SPON GDR COM 98088r505 88 15523 SH DFND 0 0 15523 WP GLIMCHER INC. COM 92939N102 364 32502 SH DFND 0 0 32502 WYNN RESORTS LTD COM COM 983134107 607 6701 SH DFND 0 0 6701 ZIMMER BIOMET HOLDINGS INC COM 98956P102 7330 60894 SH DFND 0 0 60894 ZIOPHARM ONCOLOGY INC COM COM 98973p101 81 14750 SH DFND 0 0 14750 AIA GROUP LTD SPONSORED ADR ADR 001317205 401 16762 SH DFND 0 0 16762 AIR LIQUIDE ADR ADR 009126202 249 11903 SH DFND 0 0 11903 AKBANK TURK ANONM SIRK ADR ADR 009719501 102 17759 SH DFND 0 0 17759 ALLIANZ SE SP ADR 1/10 SH ADR 018805101 673 47425 SH DFND 0 0 47425 AMBEV S A SPONSORED ADR ADR 02319v103 171 29003 SH DFND 0 0 29003 AMERICA MOVIL SA DE CV SPON AD ADR 02364w105 165 13452 SH DFND 0 0 13452 ANHEUSER BUSCH INBEV SPONSORED ADR 03524a108 731 5551 SH DFND 0 0 5551 ARM HLDGS PLC SPONSORED ADR ADR 042068106 321 7058 SH DFND 0 0 7058 BAIDU COM INC SPON ADR REP A ADR 056752108 1126 6820 SH DFND 0 0 6820 BANCO BILBAO VIZ ARGNT SPONSOR ADR 05946K101 95 16556 SH DFND 0 0 16556 BANCO DO BRASIL S A SPONSORED ADR 059578104 117 22074 SH DFND 0 0 22074 BB SEGURIDADE PARTICIP SPONSOR ADR 05541j103 106 12127 SH DFND 0 0 12127 CANON INC ADR ADR 138006309 1192 41665 SH DFND 0 0 41665 CHINA CONSTR BK CORP ADR ADR 168919108 255 19283 SH DFND 0 0 19283 CHINA MOBILE HONG KONG SPONSOR ADR 16941m109 218 3766 SH DFND 0 0 3766 CIELO S A SPONSORED ADR ADR 171778202 160 15156 SH DFND 0 0 15156 COLOPLAST A/S ADR ADR 19624y101 103 13841 SH DFND 0 0 13841 COMMERCIAL INTL BK EGY SPONSOR ADR 201712304 100 22199 SH DFND 0 0 22199 CSL LTD SPONSORED ADR ADR 12637n204 209 4997 SH DFND 0 0 4997 DASSAULT SYS S A SPONSORED ADR ADR 237545108 405 5336 SH DFND 0 0 5336 DEUTSCHE LUFTHANSA A G SPONSOR ADR 251561304 1282 109560 SH DFND 0 0 109560 FANUC CORPORATION ADR ADR 307305102 443 16502 SH DFND 0 0 16502 FUCHS PETROLUB SE ADR ADR 35952q106 120 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 240 7652 SH DFND 0 0 7652 ITAU UNIBANCO BANCO MU SPONS A ADR 465562106 158 16714 SH DFND 0 0 16714 KIMBERLY CLRK DE MEX SPON ADR ADR 494386204 119 10175 SH DFND 0 0 10175 LOCALIZA RENT A CAR SPONSORED ADR 53956w300 166 15439 SH DFND 0 0 15439 LOREAL CO ADR ADR 502117203 335 8768 SH DFND 0 0 8768 MITSUBISHI UFJ FNL GP SPONSORE ADR 606822104 82 18600 SH DFND 0 0 18600 MIZUHO FINL GROUP INC SPONSORE ADR 60687y109 35 12435 SH DFND 0 0 12435 MOBILE TELESYS OJSC SPONSORED ADR 607409109 136 16401 SH DFND 0 0 16401 MS&AD INS GROUP HLDGS ADR ADR 553491101 1785 139715 SH DFND 0 0 139715 NASPERS LTD SPON ADR N SHS ADR 631512100 263 17211 SH DFND 0 0 17211 NATIONAL BK GREECE SA SPN ADR ADR 633643804 28 133429 SH DFND 0 0 133429 P T TELEKOM INDONESIA SPONSORE ADR 715684106 219 3563 SH DFND 0 0 3563 PPC LTD ADR ADR 69354a203 19 17168 SH DFND 0 0 17168 PT ASTRA INTL TBK ADR ADR 69367x109 166 14849 SH DFND 0 0 14849 PT BK MANDIRI PERSERO ADR ADR 69367u105 163 22630 SH DFND 0 0 22630 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 430 13085 SH DFND 0 0 13085 ROYAL DUTCH SHELL B ADR 780259107 496 8861 SH DFND 0 0 8861 ROYAL DUTCH SHELL PLC SPONS AD ADR 780259206 255 4624 SH DFND 0 0 4624 SAFRAN S A SPON ADR ADR 786584102 488 28840 SH DFND 0 0 28840 SANLAM LTD SPONSORED ADR ADR 80104q208 83 10023 SH DFND 0 0 10023 SANOFI SPONSORED ADR ADR 80105n105 307 7336 SH DFND 0 0 7336 SAP AE SPONSORED ADR ADR 803054204 316 4216 SH DFND 0 0 4216 SBERBANK OF RUSSIA SPONS ADR ADR 80585y308 220 25156 SH DFND 0 0 25156 SHIRE PHARMCTL GRP PLC SPONSOR ADR 82481r106 1959 10642 SH DFND 0 0 10642 STANDARD BK GROUP LTD SPONSORE ADR 853118206 97 11077 SH DFND 0 0 11077 SYSMEX CORP ADR ADR 87184p109 239 7028 SH DFND 0 0 7028 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 1184 45129 SH DFND 0 0 45129 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 370 3701 SH DFND 0 0 3701 TURKIYE GARANTI BK AS SPONSORE ADR 900148701 116 43827 SH DFND 0 0 43827 UNILEVER PLC SPON ADR NEW ADR 904767704 421 8791 SH DFND 0 0 8791 VIPSHOP HLDGS LTD SPONSORED AD ADR 92763w103 329 29480 SH DFND 0 0 29480 WEICHAI PWR CO LTD ADR ADR 948597109 103 12524 SH DFND 0 0 12524 WOODSIDE PETE LTD SPONSORED AD ADR 980228308 564 28200 SH DFND 0 0 28200 WPP PLC NEW ADR ADR 92937a102 348 3332 SH DFND 0 0 3332 DEL TACO REST INC EXP 6/30/20 WARR 245496112 26 15533 SH DFND 0 0 15533 ADVISORS SER TR POPLAR FRST CO MF 00770x535 3289 134864 SH DFND 0 0 134864 AMER INTL GRW & INC CL F-1 SHS MF 45956t402 588 21135 SH DFND 0 0 21135 AMERICAN BALANCED FD CL F MF 024071409 1447 58759 SH DFND 0 0 58759 AMERICAN BALANCED FD COM MF 024071102 666 27035 SH DFND 0 0 27035 AMERICAN BALANCED FD SHS F-2 C MF 024071821 277 11265 SH DFND 0 0 11265 AMERICAN DEV WRLD GRWTH & INC MF 02630f100 206 22690 SH DFND 0 0 22690 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 5110 563401 SH DFND 0 0 563401 AMERICAN FDS MONEY MKT CL F-1 MF 02630u404 41 40535 SH DFND 0 0 40535 AMERICAN FUNDS INC CL F-1 MF 02630f407 343 37822 SH DFND 0 0 37822 AMERICAN HIGH-INCOME M SHS CL MF 026545608 219 13493 SH DFND 0 0 13493 ARTISAN PTRNS FDS INC INTL FD MF 04314h675 234 8575 SH DFND 0 0 8575 BRANDES INVT TR EMRGN MKT VAL MF 105262752 468 63187 SH DFND 0 0 63187 CAPITAL INCOME BLDR FD CL F MF 140193400 4054 68957 SH DFND 0 0 68957 CAPITAL INCOME BLDR IN SHS CL MF 140194101 322 5472 SH DFND 0 0 5472 CAPITAL INCOME BUILDERS FD SH MF 140193103 496 8429 SH DFND 0 0 8429 CAPITAL WORLD GRW&INCM CL F MF 140543406 1335 30744 SH DFND 0 0 30744 CLAYMORE ETF TR ZACKS MDCAP CR MF 18383m720 543 10700 SH DFND 0 0 10700 DFA INVT DIMENSION GRP INTL SM MF 233203736 228 12920 SH DFND 0 0 12920 DFA INVT DIMENSION GRP US CORE MF 233203397 2586 154188 SH DFND 0 0 154188 DFA INVT DIMENSIONS GR TX MNG MF 233203561 290 11486 SH DFND 0 0 11486 DFA INVT DIMENSIONS GR WRUS CR MF 25239y592 160 17119 SH DFND 0 0 17119 DIMENSIONAL INVT GROUP GL ALL MF 25434d633 275 21422 SH DFND 0 0 21422 DOUBLELINE FDS TR FLEX INCME I MF 258620798 369 38199 SH DFND 0 0 38199 EUROPACIFIC GROWTH FUND CLASS MF 298706102 532 12069 SH DFND 0 0 12069 FEDERATED EQUITY FDS KAUFMANN MF 314172644 65 12601 SH DFND 0 0 12601 FEDERATED WORLD INVT S FED INT MF 31428u623 216 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 1367 38194 SH DFND 0 0 38194 FIDELITY CONTRA FUND MF 316071109 239 2467 SH DFND 0 0 2467 FORESTER FDS INC DISCOVERY FD MF 34623p100 331 24600 SH DFND 0 0 24600 FRANKLIN CUSTODIAN FDS INCOME MF 353496805 27 12009 SH DFND 0 0 12009 FRANKLIN INCOME FD CLASS A MF 353496300 179 82086 SH DFND 0 0 82086 FUNDAMENTAL INVS INC CL F MF 360802409 324 6246 SH DFND 0 0 6246 FUNDVANTAGE TR GTHM ABS RTR IN MF 360873137 247 19928 SH DFND 0 0 19928 FUNDVANTAGE TR GTM ENRT INSTL MF 360873129 682 60078 SH DFND 0 0 60078 GABELLI ASSET FD SH BEN INT MF 362395105 331 5772 SH DFND 0 0 5772 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1301 129416 SH DFND 0 0 129416 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4556 1513536 SH DFND 0 0 1513536 GROWTH FD AMER INC MF 399874106 258 6231 SH DFND 0 0 6231 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 284 10196 SH DFND 0 0 10196 INVESCO GLBL HLTH CARE FD CL A MF 00141T106 323 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 356 10072 SH DFND 0 0 10072 INVESTMENT COMPANY OF AMERICA MF 461308108 245 6906 SH DFND 0 0 6906 LATEEF FUND CLASS I MF 360873301 279 25774 SH DFND 0 0 25774 MARKETFIELD FUND CLASS I MF 89834e245 3489 250832 SH DFND 0 0 250832 MASSACHUSETTS INVS TR SH BEN I MF 575736103 341 12373 SH DFND 0 0 12373 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 250 22762 SH DFND 0 0 22762 NEW PERSPECTIVE FD INC COM MF 648018109 431 12182 SH DFND 0 0 12182 NICHOLAS FD INC COM MF 653735100 275 4414 SH DFND 0 0 4414 NORTHERN LTS FD TR II PCS COMD MF 66538f868 202 26473 SH DFND 0 0 26473 NUVEEN INVT TR NWQ MULTI VL R MF 67064y768 474 19757 SH DFND 0 0 19757 OPPENHEIMER INTL S CO CL A MF 68380u100 1875 51373 SH DFND 0 0 51373 OPPENHEIMER STEELPATH MLP INC MF 858268600 174 22703 SH DFND 0 0 22703 OPPENHEIMER STEELPTH MLP SELEC MF 858268105 1369 145629 SH DFND 0 0 145629 OPPENHEIMER STRATEG FD INCOME MF 68380K102 84 21676 SH DFND 0 0 21676 PIMCO SMALL CAPS STKSPL AR STG MF 72201f698 384 48627 SH DFND 0 0 48627 PIONEER MLT-ASST ULTRASHT INC MF 72388e605 249 25050 SH DFND 0 0 25050 POPLAR FOREST OUTLIERS FD INST MF 00770x550 303 13804 SH DFND 0 0 13804 POPLAR FOREST PARTNERS FD CL A MF 00768D814 1014 23635 SH DFND 0 0 23635 POPLAR FOREST PARTNERS INSTITU MF 00768d798 10624 246500 SH DFND 0 0 246500 PRUDENTIAL SHRT TRM CP BD FD C MF 74441r508 119 10627 SH DFND 0 0 10627 ROWE PRICE NEW HORI FD COM MF 779562107 665 15530 SH DFND 0 0 15530 ROWE PRICE NEW INCM FD COM MF 779570100 104 10716 SH DFND 0 0 10716 ROWE T PRICE DIVID GRW COM MF 779546100 238 6528 SH DFND 0 0 6528 ROYCE FD VALUE FD INVT MF 780905220 95 10526 SH DFND 0 0 10526 SUNAMERICA SERIES INC FCUSD DI MF 86704f203 174 10505 SH DFND 0 0 10505 T ROWE PRICE MEDIA & TELECOMMU MF 741454102 380 5259 SH DFND 0 0 5259 VANGUARD INDEX FDS TOT STKIDX MF 922908728 513 9829 SH DFND 0 0 9829 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 268 3075 SH DFND 0 0 3075 WASHINGTON MUT INVS FD CL F MF 939330403 202 5049 SH DFND 0 0 5049 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 638 34718 SH DFND 0 0 34718 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 392 37692 SH DFND 0 0 37692 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 124 16265 SH DFND 0 0 16265 ROYCE VALUE TR INC COM CLE FDS 780910105 2277 193441 SH DFND 0 0 193441 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 2010 86257 SH DFND 0 0 86257 DISCOVERY GLOBAL OPPORTUNITY P LP 254lp3798 1258 1258014 SH DFND 0 0 1258014 ENBRIDGE ENERGY PRTNRS COM LP 29250r106 1572 67750 SH DFND 0 0 67750 ENTERPRISE PRODS PARTNERS LP C LP 293792107 2150 73468 SH DFND 0 0 73468 JPMORGAN CHASE & CO ALERIAN ML LP 46625h365 701 22050 SH DFND 0 0 22050 KKR & CO LP DEL COM UNITS LP 48248m102 1312 106331 SH DFND 0 0 106331 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 1600 21050 SH DFND 0 0 21050 MEMORIAL PRODTN PAR LP COM U R LP 586048100 91 47650 SH DFND 0 0 47650 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 2605 94775 SH DFND 0 0 94775 SKYBRIDGE MULTI-ADV HEDGE FD L LP 830lp0011 408 371 SH DFND 0 0 371 SANOFI CONTINGENT VALUE RT EXP RGHTS 80105n113 4 15000 SH DFND 0 0 15000