0001020918-18-000004.txt : 20180427 0001020918-18-000004.hdr.sgml : 20180427 20180427121106 ACCESSION NUMBER: 0001020918-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180427 DATE AS OF CHANGE: 20180427 EFFECTIVENESS DATE: 20180427 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: 18782095 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 true 0001020918 XXXXXXXX 03-31-2018 03-31-2018 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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TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 417 9532 SH DFND 0 0 9532 TENCENT HLDGS LTD ADR ADR 88032q109 424 7965 SH DFND 0 0 7965 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 377 2895 SH DFND 0 0 2895 UNILEVER PLC SPON ADR NEW ADR 904767704 394 7088 SH DFND 0 0 7088 VALE S A ADR ADR 91912E105 307 24150 SH DFND 0 0 24150 ADVISORS SER TR POPLAR FRST CO MF 00770x535 8667 327054 SH DFND 0 0 327054 ALLIANCEBERNSTEIN HIGH ADVISOR MF 01859m408 214 24771 SH DFND 0 0 24771 AMER INTL GRW & INC CL F-1 SHS MF 45956t402 247 7032 SH DFND 0 0 7032 AMERICAN BALANCED FD CL F MF 024071409 1724 64568 SH DFND 0 0 64568 AMERICAN BALANCED FD CL F3 MF 024071771 745 27891 SH DFND 0 0 27891 AMERICAN BALANCED FD SHS F-2 C MF 024071821 742 27802 SH DFND 0 0 27802 AMERICAN BALANCED FUND CL A MF 024071102 643 24074 SH DFND 0 0 24074 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 10006 881603 SH DFND 0 0 881603 AMERICAN FDS PORTFOLIO BALANCE MF 02630q106 412 28017 SH DFND 0 0 28017 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 519 35231 SH DFND 0 0 35231 AMERICAN FDS PORTFOLIO GLOBL G MF 02630r567 245 14410 SH DFND 0 0 14410 AMERICAN FDS PORTFOLIO GROWTH MF 02630r351 216 14413 SH DFND 0 0 14413 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 705 46882 SH DFND 0 0 46882 AMERICAN FDS RETIREMEN RETIRMN MF 02631l718 181 15790 SH DFND 0 0 15790 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 364 25228 SH DFND 0 0 25228 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 605 53311 SH DFND 0 0 53311 AMERICAN FUNDS INC CL F-1 MF 02630f407 536 47194 SH DFND 0 0 47194 AMERICAN HIGH-INCOME M SHS CL MF 026545608 227 14446 SH DFND 0 0 14446 BLACKROCK FDS III LIFPT2025 IN MF 066923848 298 22693 SH DFND 0 0 22693 BRANDES INVT TR EMRGN MKT VAL MF 105262752 748 76741 SH DFND 0 0 76741 CALAMOS INVT TR NEW GLBL CONV MF 128120722 123 11123 SH DFND 0 0 11123 CAPITAL INCOME BLDR FD CL F MF 140193400 4463 73751 SH DFND 0 0 73751 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 1644 27166 SH DFND 0 0 27166 CAPITAL INCOME BLDR IN SHS CL MF 140194101 5013 82879 SH DFND 0 0 82879 CAPITAL INCOME BUILDERS FD SH MF 140193103 500 8266 SH DFND 0 0 8266 CAPITAL WORLD GRW&INCM CL F MF 140543406 1831 35916 SH DFND 0 0 35916 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 866 16978 SH DFND 0 0 16978 DFA INVT DIMENSIONS GR EMER MK MF 233203421 232 9841 SH DFND 0 0 9841 DFA INVT DIMENSIONS GR EMERGIN MF 233203785 286 9227 SH DFND 0 0 9227 DNP SELECT INCOME FD INC COM MF 23325P104 297 28873 SH DFND 0 0 28873 EATON VANCE GROWTH TR ATL CAPT MF 277902698 239 7035 SH DFND 0 0 7035 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 381 6729 SH DFND 0 0 6729 FRANKLIN CUSTODIAN FDS INCOME MF 353496631 48 20989 SH DFND 0 0 20989 FUNDAMENTAL INVESTORS CL F3 MF 360802771 324 5254 SH DFND 0 0 5254 FUNDAMENTAL INVS INC CL F MF 360802409 213 3450 SH DFND 0 0 3450 GABELLI ASSET FD SH BEN INT MF 362395105 273 4683 SH DFND 0 0 4683 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 2109 157961 SH DFND 0 0 157961 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 3744 245506 SH DFND 0 0 245506 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4483 1106839 SH DFND 0 0 1106839 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 3197 204683 SH DFND 0 0 204683 INCOME FD AMER INC CL F-2 MF 453320822 215 9456 SH DFND 0 0 9456 INCOME FD AMER INC CL F3 MF 453320772 317 13950 SH DFND 0 0 13950 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 212 6022 SH DFND 0 0 6022 INTERNATIONAL GRW & IN CL A SH MF 45956t105 239 6809 SH DFND 0 0 6809 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 372 10582 SH DFND 0 0 10582 INVESTMENT CO AMER CL F MF 461308405 394 9943 SH DFND 0 0 9943 MARKETFIELD FUND CLASS I MF 89834e245 290 16402 SH DFND 0 0 16402 MASSACHUSETTS INVS TR SH BEN I MF 575736103 396 12373 SH DFND 0 0 12373 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 745 60846 SH DFND 0 0 60846 NEW PERSPECTIVE FD INC CL F3 MF 648018778 641 14536 SH DFND 0 0 14536 NEW PERSPECTIVE FD INC COM CL MF 648018109 359 8141 SH DFND 0 0 8141 OPPENHEIMER INTL S CO CL A MF 68380u100 978 19252 SH DFND 0 0 19252 OPPENHEIMER STEELPATH MLP INC MF 858268600 141 25332 SH DFND 0 0 25332 OPPENHEIMER STEELPTH MLP SEL 4 MF 858268105 227 30358 SH DFND 0 0 30358 OPPENHEIMER STRATEG FD INCOME MF 68380K102 90 23301 SH DFND 0 0 23301 PIONEER MLT-ASST ULTRASHT INC MF 72388e605 200 20055 SH DFND 0 0 20055 POPLAR FOREST OUTLIERS FD INST MF 00770x550 1025 41563 SH DFND 0 0 41563 POPLAR FOREST PARTNERS FD CL A MF 00768D814 1066 21899 SH DFND 0 0 21899 POPLAR FOREST PARTNERS INSTITU MF 00768d798 14981 307488 SH DFND 0 0 307488 PUTNAM FDS TR SHT DUR INCM CL MF 74676P698 2392 237778 SH DFND 0 0 237778 ROWE T PRICE DIVID GRW COM MF 779546100 317 7378 SH DFND 0 0 7378 SEQUOIA FD INC COM MF 817418106 223 1298 SH DFND 0 0 1298 THE GROWTH FD OF AMERICA CL F3 MF 399874775 316 6202 SH DFND 0 0 6202 VANGUARD INDEX FDS TOT STKIDX MF 922908728 688 10417 SH DFND 0 0 10417 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 258 3048 SH DFND 0 0 3048 COLUMBIA ETF TR II EMRG MARKET EXCH 19762b509 1680 63428 SH DFND 0 0 63428 ISHARES MSCI BRAZIL EXCH 464286400 2309 51440 SH DFND 0 0 51440 ISHARES TR RUSSELL 2000 EXCH 464287655 5064 33352 SH DFND 0 0 33352 ISHARES TR RUSSELL1000VAL EXCH 464287598 358 2988 SH DFND 0 0 2988 POWERSHARES ETF TRUST FTSE RAF EXCH 73935x583 1686 15299 SH DFND 0 0 15299 POWERSHARES QQQ TR UNIT SER 1 EXCH 73935A104 5369 33530 SH DFND 0 0 33530 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 3342 121234 SH DFND 0 0 121234 SPDR INDEX SHS FDS DJ EURSTX50 EXCH 78463x202 352 8750 SH DFND 0 0 8750 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 13707 40112 SH DFND 0 0 40112 SPIDER GOLD TR SHS EXCH 78463V107 270 2150 SH DFND 0 0 2150 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1215 25400 SH DFND 0 0 25400 WISDOMTREE TR EUROPE HEDGED EQ EXCH 97717x701 1852 29527 SH DFND 0 0 29527 WISDOMTREE TRUST JAPN HEDGE EQ EXCH 97717W851 1120 20000 SH DFND 0 0 20000 ALLIANZ FDS ALGI INCMGRINST BAL MF 018920512 321 27571 SH DFND 0 0 27571 FRANKLIN INCOME FD CL A BAL MF 353496300 52 22699 SH DFND 0 0 22699 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 1398 52070 SH DFND 0 0 52070 ENBRIDGE ENERGY PRTNRS COM LP 29250r106 294 30500 SH DFND 0 0 30500 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1592 65026 SH DFND 0 0 65026 KKR & CO LP DEL COM UNITS LP 48248m102 929 45748 SH DFND 0 0 45748 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 2223 38100 SH DFND 0 0 38100 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 278 12600 SH DFND 0 0 12600 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 693 33518 SH DFND 0 0 33518 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 420 36362 SH DFND 0 0 36362 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 689 62836 SH DFND 0 0 62836 ROYCE VALUE TR INC COM CLE FDS 780910105 2930 188292 SH DFND 0 0 188292