0001020918-17-000006.txt : 20170721 0001020918-17-000006.hdr.sgml : 20170721 20170721114832 ACCESSION NUMBER: 0001020918-17-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170721 DATE AS OF CHANGE: 20170721 EFFECTIVENESS DATE: 20170721 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: 17975950 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 06-30-2017 06-30-2017 ROTHSCHILD INVESTMENT CORP /IL

311 S WACKER DR SUITE 6500 CHICAGO IL 60606

13F HOLDINGS REPORT 028-05772 N Bradley C. Drake 312-983-8956 Bradley C. 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VANGUARD INDEX FDS REIT ETF COM 922908553 209 2506 SH DFND 0 0 2506 VANGUARD INDEX TR STK MRK VIPE COM 922908769 1062 8533 SH DFND 0 0 8533 VANGUARD INTL EQTY IDX ALLWRLD COM 922042775 1129 22565 SH DFND 0 0 22565 VANGUARD INTL EQTY IDX GLB EX COM 922042676 369 6565 SH DFND 0 0 6565 VANGUARD INTL EQUITY I TT WRLD COM 922042742 317 4700 SH DFND 0 0 4700 VANGUARD SPECIALIZED DIV APP E COM 921908844 4556 49167 SH DFND 0 0 49167 VANTAGE DRILLING COMPA ORD SHS COM g93205113 0 15000 SH DFND 0 0 15000 VECTOR GROUP LTD COM COM 92240M108 826 38757 SH DFND 0 0 38757 VENTAS INC COM COM 92276F100 696 10015 SH DFND 0 0 10015 VERIZON COMMUNICATIONS COM COM 92343v104 9708 217381 SH DFND 0 0 217381 VIACOM INC CLASS B COM NEW COM 92553p201 473 14080 SH DFND 0 0 14080 VISA INC COM CL A COM 92826c839 8247 87936 SH DFND 0 0 87936 VISHAY INTERTECHNOLOGY COM 928298108 397 23920 SH DFND 0 0 23920 VODAFONE GROUP PLC NEW COM 92857w308 628 21866 SH DFND 0 0 21866 W P CAREY, INC COM 92936u109 235 3566 SH DFND 0 0 3566 WAL MART STORES INC COM 931142103 3722 49184 SH DFND 0 0 49184 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 3130 39967 SH DFND 0 0 39967 WALT DISNEY PRODUCTIONS COM 254687106 3117 29340 SH DFND 0 0 29340 WASHINGTON PRIME GROUP NEW COM COM 93964w108 185 22152 SH DFND 0 0 22152 WASTE MGMT INC COM COM 94106L109 1299 17707 SH DFND 0 0 17707 WEC ENERGY GROUP INC COM COM 92939u106 1612 26260 SH DFND 0 0 26260 WELLS FARGO & COMPANY COM 949746101 1488 26851 SH DFND 0 0 26851 WEYERHAEUSER CO COM 962166104 265 7897 SH DFND 0 0 7897 WHIRLPOOL CORP COM 963320106 1200 6263 SH DFND 0 0 6263 WILLIAMS SONOMA INC COM COM 969904101 508 10480 SH DFND 0 0 10480 WISDOMTREE INVTS INC COM COM 97717p104 1642 161421 SH DFND 0 0 161421 WISDOMTREE TR EMERGING MKTS YL COM 97717w315 1241 30271 SH DFND 0 0 30271 WISDOMTREE TR EUROPE HEDGED EQ COM 97717x701 2058 33022 SH DFND 0 0 33022 WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 268 5860 SH DFND 0 0 5860 WISDOMTREE TRUST JAPN HEDGE EQ COM 97717W851 3689 70950 SH DFND 0 0 70950 WOOLWORTHS HLDGS LTD SPON GDR COM 98088r505 78 16031 SH DFND 0 0 16031 ZEBRA TECHNOLOGIES CP CL A COM 989207105 456 4535 SH DFND 0 0 4535 ZIMMER BIOMET HOLDINGS INC COM 98956P102 8933 69574 SH DFND 0 0 69574 ZYNERBA PHARMACEUTICAL COM COM 98986x109 968 57070 SH DFND 0 0 57070 AIA GROUP LTD SPONSORED ADR ADR 001317205 238 8113 SH DFND 0 0 8113 AKBANK TURK ANONM SIRK ADR ADR 009719501 94 16743 SH DFND 0 0 16743 ALIBABA GROUP HLDG LTD SPONSOR ADR 01609w102 731 5186 SH DFND 0 0 5186 AMBEV S A SPONSORED ADR ADR 02319v103 150 27292 SH DFND 0 0 27292 AMERICA MOVIL SA DE CV SPON AD ADR 02364w105 249 15664 SH DFND 0 0 15664 BAIDU COM INC SPON ADR REP A ADR 056752108 1115 6234 SH DFND 0 0 6234 BANCO BILBAO VIZ ARGNT SPONSOR ADR 05946K101 176 21101 SH DFND 0 0 21101 BANCO DO BRASIL S A SPONSORED ADR 059578104 169 20762 SH DFND 0 0 20762 BANCO MACRO SA SPON ADR B ADR 05961w105 219 2377 SH DFND 0 0 2377 BAYER A G SPONSORED ADR ADR 072730302 267 2059 SH DFND 0 0 2059 BB SEGURIDADE PARTICIP SPONSOR ADR 05541j103 136 15711 SH DFND 0 0 15711 BRIDGESTONE CORP ADR ADR 108441205 227 10505 SH DFND 0 0 10505 CANON INC ADR ADR 138006309 524 15400 SH DFND 0 0 15400 CHINA CONSTR BK CORP ADR ADR 168919108 304 19495 SH DFND 0 0 19495 CIELO S A SPONSORED ADR ADR 171778202 179 23865 SH DFND 0 0 23865 COMMERCIAL INTL BK EGY SPONSOR ADR 201712304 93 20354 SH DFND 0 0 20354 DEUTSCHE LUFTHANSA A G SPONSOR ADR 251561304 1865 81775 SH DFND 0 0 81775 ENSCO PLC SHS CL A ADR g3157s106 133 25700 SH DFND 0 0 25700 GAZPROM PJSC SPON ADR ADR 368287207 60 15004 SH DFND 0 0 15004 KB FINANCIAL GROUP INC SPONSOR ADR 48241a105 239 4727 SH DFND 0 0 4727 KIMBERLY CLRK DE MEX SPON ADR ADR 494386204 107 10074 SH DFND 0 0 10074 LOCALIZA RENT A CAR SPONSORED ADR 53956w300 209 15197 SH DFND 0 0 15197 MOBILE TELESYS OJSC SPONSORED ADR 607409109 129 15395 SH DFND 0 0 15395 MS&AD INS GROUP HLDGS ADR ADR 553491101 1766 105115 SH DFND 0 0 105115 NATIONAL BK GREECE SA SPN ADR ADR 633643804 44 109799 SH DFND 0 0 109799 PT ASTRA INTL TBK ADR ADR 69367x109 189 13918 SH DFND 0 0 13918 PT BK MANDIRI PERSERO ADR ADR 69367u105 200 20469 SH DFND 0 0 20469 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 340 10703 SH DFND 0 0 10703 ROYAL DUTCH SHELL B ADR 780259107 294 5403 SH DFND 0 0 5403 ROYAL DUTCH SHELL PLC SPONS AD ADR 780259206 215 4035 SH DFND 0 0 4035 SAFRAN S A SPON ADR ADR 786584102 684 29680 SH DFND 0 0 29680 SANOFI SPONSORED ADR ADR 80105n105 322 6727 SH DFND 0 0 6727 SAP AE SPONSORED ADR ADR 803054204 221 2115 SH DFND 0 0 2115 SBERBANK OF RUSSIA SPONS ADR ADR 80585y308 190 18314 SH DFND 0 0 18314 SHIRE PHARMCTL GRP PLC SPONSOR ADR 82481r106 1698 10273 SH DFND 0 0 10273 STANDARD BK GROUP LTD SPONSORE ADR 853118206 116 10512 SH DFND 0 0 10512 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 1519 43455 SH DFND 0 0 43455 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 355 3376 SH DFND 0 0 3376 TURK TELEKOMUNIKASYON ADR ADR 90011q100 41 11616 SH DFND 0 0 11616 TURKIYE GARANTI BK AS SPONSORE ADR 900148701 60 21426 SH DFND 0 0 21426 UNILEVER PLC SPON ADR NEW ADR 904767704 943 17428 SH DFND 0 0 17428 VODACOM GROUP HLDGS SPONSORED ADR 92858d200 130 10279 SH DFND 0 0 10279 WEICHAI PWR CO LTD ADR ADR 948597109 172 11732 SH DFND 0 0 11732 ADVISORS SER TR POPLAR FRST CO MF 00770x535 8053 306997 SH DFND 0 0 306997 ALLIANCEBERNSTEIN HIGH ADVISOR MF 01859m408 120 13449 SH DFND 0 0 13449 AMER INTL GRW & INC CL F-1 SHS MF 45956t402 652 20348 SH DFND 0 0 20348 AMERICAN BALANCED FD CL F MF 024071409 1549 59264 SH DFND 0 0 59264 AMERICAN BALANCED FD CL F3 MF 024071771 599 22893 SH DFND 0 0 22893 AMERICAN BALANCED FD SHS F-2 C MF 024071821 288 11013 SH DFND 0 0 11013 AMERICAN BALANCED FUND CLASS A MF 024071102 693 26504 SH DFND 0 0 26504 AMERICAN DEV WRLD GRWTH & INC MF 02630f100 227 21974 SH DFND 0 0 21974 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 8916 864828 SH DFND 0 0 864828 AMERICAN FDS EMERGING CL F 3 MF 02631f778 216 20862 SH DFND 0 0 20862 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 266 19462 SH DFND 0 0 19462 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 434 42093 SH DFND 0 0 42093 AMERICAN FUNDS INC CL F-1 MF 02630f407 419 40663 SH DFND 0 0 40663 AMERICAN HIGH-INCOME M SHS CL MF 026545608 220 14034 SH DFND 0 0 14034 AMERICAN MUTUAL FUND CL A MF 027681105 217 5580 SH DFND 0 0 5580 BRANDES INVT TR EMRGN MKT VAL MF 105262752 677 76961 SH DFND 0 0 76961 CALAMOS INVT TR NEW GLBL CONV MF 128120722 115 10724 SH DFND 0 0 10724 CAPITAL INCOME BLDR FD CL F MF 140193400 4145 67614 SH DFND 0 0 67614 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 1159 18916 SH DFND 0 0 18916 CAPITAL INCOME BLDR IN SHS CL MF 140194101 2790 45550 SH DFND 0 0 45550 CAPITAL INCOME BUILDERS FD SH MF 140193103 611 9961 SH DFND 0 0 9961 CAPITAL WORLD GRW&INCM CL F MF 140543406 1616 33058 SH DFND 0 0 33058 CAPITAL WORLD GRW&INCM COM CL MF 140543109 294 5994 SH DFND 0 0 5994 CLAYMORE ETF TR ZACKS MDCAP CR MF 18383m720 633 10500 SH DFND 0 0 10500 DFA INVT DIMENSION GRP US CORE MF 233203397 1332 67779 SH DFND 0 0 67779 DIMENSIONAL INVT GROUP GL ALL MF 25434d633 274 20789 SH DFND 0 0 20789 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 292 5640 SH DFND 0 0 5640 EUROPACIFIC GROWTH FUND CLASS MF 298706102 693 13342 SH DFND 0 0 13342 FEDERATED EQUITY FDS KAUFMANN MF 314172644 78 13911 SH DFND 0 0 13911 FIDELITY ADVISOR SER I LEV CO MF 315805424 607 11624 SH DFND 0 0 11624 FIDELITY ADVISOR VII HEALTH CA MF 315918847 1728 41538 SH DFND 0 0 41538 FINANCIAL INVS TR GRANDEUR INS MF 31761r757 2079 154714 SH DFND 0 0 154714 FRANKLIN CUSTODIAN FDS INCOME MF 353496631 47 20170 SH DFND 0 0 20170 FRANKLIN INCOME FD CLASS A MF 353496300 74 31752 SH DFND 0 0 31752 FUNDAMENTAL INVESTORS CL F3 MF 360802771 228 3872 SH DFND 0 0 3872 FUNDAMENTAL INVS INC CL F MF 360802409 319 5421 SH DFND 0 0 5421 FUNDVANTAGE TR GTM ENRT INSTL MF 360873129 519 39642 SH DFND 0 0 39642 GABELLI ASSET FD SH BEN INT MF 362395105 345 5915 SH DFND 0 0 5915 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1509 126742 SH DFND 0 0 126742 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 5563 1491397 SH DFND 0 0 1491397 GRANDEUR PEAK STALWARTS INSTL MF 31761r773 2387 181222 SH DFND 0 0 181222 GROWTH FD AMER INC CL A MF 399874106 297 6279 SH DFND 0 0 6279 INTERNATIONAL GRW & IN CL A SH MF 45956t105 216 6733 SH DFND 0 0 6733 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 335 10447 SH DFND 0 0 10447 INVESCO GLBL HLTH CARE FD CL A MF 00141T106 310 8240 SH DFND 0 0 8240 INVESCO TREASURERS SER TR PREM MF 00142W868 12 11604 SH DFND 0 0 11604 INVESTMENT CO AMER CL F MF 461308405 423 10900 SH DFND 0 0 10900 LATEEF FUND CLASS I MF 360873301 198 19532 SH DFND 0 0 19532 MARKETFIELD FUND CLASS I MF 89834e245 1749 113818 SH DFND 0 0 113818 MASSACHUSETTS INVS TR SH BEN I MF 575736103 383 12373 SH DFND 0 0 12373 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 377 32017 SH DFND 0 0 32017 NEW PERSPECTIVE FD INC CL F3 MF 648018778 459 11089 SH DFND 0 0 11089 NEW PERSPECTIVE FD INC COM CL MF 648018109 481 11642 SH DFND 0 0 11642 NICHOLAS FD INC COM MF 653735100 249 4042 SH DFND 0 0 4042 NORTHERN LTS FD TR II PCS COMD MF 66538f868 229 31636 SH DFND 0 0 31636 NUVEEN INVT TR NWQ MULTI VL R MF 67064y768 585 19958 SH DFND 0 0 19958 OPPENHEIMER INTL S CO CL A MF 68380u100 2513 55601 SH DFND 0 0 55601 OPPENHEIMER STEELPATH MLP INC MF 858268600 213 29898 SH DFND 0 0 29898 OPPENHEIMER STEELPTH MLP SELEC MF 858268105 1420 158668 SH DFND 0 0 158668 OPPENHEIMER STRATEG FD INCOME MF 68380K102 89 22542 SH DFND 0 0 22542 PIMCO SMALL CAPS STKSPL AR STG MF 72201f698 718 72930 SH DFND 0 0 72930 PIONEER MLT-ASST ULTRASHT INC MF 72388e605 201 20055 SH DFND 0 0 20055 POPLAR FOREST OUTLIERS FD INST MF 00770x550 1980 84405 SH DFND 0 0 84405 POPLAR FOREST PARTNERS FD CL A MF 00768D814 1180 23806 SH DFND 0 0 23806 POPLAR FOREST PARTNERS INSTITU MF 00768d798 14325 288284 SH DFND 0 0 288284 ROWE PRICE NEW HORI FD COM MF 779562107 837 16411 SH DFND 0 0 16411 ROWE T PRICE DIVID GRW COM MF 779546100 293 7237 SH DFND 0 0 7237 SEQUOIA FD INC COM MF 817418106 226 1281 SH DFND 0 0 1281 T ROWE PRICE MEDIA & TELECOMMU MF 741454102 452 5077 SH DFND 0 0 5077 VANGUARD INDEX FDS TOT STKIDX MF 922908728 625 10317 SH DFND 0 0 10317 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 260 2913 SH DFND 0 0 2913 ETF SER SOLUTIONS VIDENTCORE E EXCH 26922a503 380 12750 SH DFND 0 0 12750 ISHARES INC MSCI EMU INDEX EXCH 464286608 1241 30774 SH DFND 0 0 30774 OPPENHEIMER REV WEIGHT MID CAP EXCH 68386c203 312 5545 SH DFND 0 0 5545 SPDR INDEX SHS FDS DJ EURSTX50 EXCH 78463x202 1479 38450 SH DFND 0 0 38450 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 1393 58900 SH DFND 0 0 58900 DISCOVERY GLOBAL OPPORTUNITY P LP 254lp3798 1330 1330400 SH DFND 0 0 1330400 ENBRIDGE ENERGY PRTNRS COM LP 29250r106 1084 67750 SH DFND 0 0 67750 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1877 69298 SH DFND 0 0 69298 JPMORGAN CHASE & CO ALERIAN ML LP 46625h365 1017 34250 SH DFND 0 0 34250 KKR & CO LP DEL COM UNITS LP 48248m102 2670 143548 SH DFND 0 0 143548 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 1465 20550 SH DFND 0 0 20550 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 2626 99975 SH DFND 0 0 99975 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 662 33518 SH DFND 0 0 33518 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 434 38112 SH DFND 0 0 38112 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 245 25487 SH DFND 0 0 25487 ROYCE VALUE TR INC COM CLE FDS 780910105 2946 201901 SH DFND 0 0 201901