0001020918-18-000006.txt : 20180724 0001020918-18-000006.hdr.sgml : 20180724 20180724102853 ACCESSION NUMBER: 0001020918-18-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180724 DATE AS OF CHANGE: 20180724 EFFECTIVENESS DATE: 20180724 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: 18965830 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 06-30-2018 06-30-2018 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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9532 SH DFND 0 0 9532 TENCENT HLDGS LTD ADR ADR 88032q109 671 13347 SH DFND 0 0 13347 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 373 2895 SH DFND 0 0 2895 UNILEVER PLC SPON ADR NEW ADR 904767704 323 5845 SH DFND 0 0 5845 ADVISORS SER TR POPLAR FRST CO MF 00770x535 9199 341350 SH DFND 0 0 341350 ALLIANCEBERNSTEIN HIGH ADVISOR MF 01859m408 210 25062 SH DFND 0 0 25062 AMER INTL GRW & INC CL F-1 SHS MF 45956t402 237 7112 SH DFND 0 0 7112 AMERICAN BALANCED FD CL F MF 024071409 1584 58408 SH DFND 0 0 58408 AMERICAN BALANCED FD SHS F-2 C MF 024071821 1246 45938 SH DFND 0 0 45938 AMERICAN BALANCED FUND CL A MF 024071102 650 23944 SH DFND 0 0 23944 AMERICAN DEV WRLD GRWTH INC CL MF 02630f407 481 47610 SH DFND 0 0 47610 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 8064 797597 SH DFND 0 0 797597 AMERICAN FDS GLOBAL BA CL F3 MF 02629w775 333 10419 SH DFND 0 0 10419 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 524 35398 SH DFND 0 0 35398 AMERICAN FDS PORTFOLIO GLOBL G MF 02630r567 362 21037 SH DFND 0 0 21037 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 715 46913 SH DFND 0 0 46913 AMERICAN FDS RETIREMEN RETIRMN MF 02631l718 182 15883 SH DFND 0 0 15883 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 369 25228 SH DFND 0 0 25228 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 579 57262 SH DFND 0 0 57262 AMERICAN HIGH-INCOME M SHS CL MF 026545608 230 14586 SH DFND 0 0 14586 BLACKROCK FDS III LIFPT2025 IN MF 066923848 300 22766 SH DFND 0 0 22766 BRANDES INVT TR EMRGN MKT VAL MF 105262752 632 72872 SH DFND 0 0 72872 CALAMOS INVT TR NEW GLBL CONV MF 128120722 124 11145 SH DFND 0 0 11145 CAPITAL INCOME BLDR FD CL F MF 140193400 4211 70265 SH DFND 0 0 70265 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 1486 24795 SH DFND 0 0 24795 CAPITAL INCOME BLDR IN SHS CL MF 140194101 5452 91031 SH DFND 0 0 91031 CAPITAL INCOME BUILDERS FD SH MF 140193103 497 8293 SH DFND 0 0 8293 CAPITAL WORLD GRW&INCM CL F MF 140543406 1832 36144 SH DFND 0 0 36144 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 1018 20052 SH DFND 0 0 20052 CAPITAL WORLD GRWTH AND INC FD MF 140543117 230 4524 SH DFND 0 0 4524 DFA INVT DIMENSIONS GR EMER MK MF 233203421 237 11197 SH DFND 0 0 11197 DFA INVT DIMENSIONS GR EMERGIN MF 233203785 260 9263 SH DFND 0 0 9263 DNP SELECT INCOME FD INC COM MF 23325P104 311 28873 SH DFND 0 0 28873 DODGE & COX STK FD COM MF 256219106 302 1496 SH DFND 0 0 1496 EATON VANCE GROWTH TR ATL CAPT MF 277902698 248 7035 SH DFND 0 0 7035 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 417 7811 SH DFND 0 0 7811 FRANKLIN CUSTODIAN FDS INCOME MF 353496631 49 21279 SH DFND 0 0 21279 FUNDAMENTAL INVESTORS CL F3 MF 360802771 382 6099 SH DFND 0 0 6099 FUNDAMENTAL INVS INC CL F MF 360802409 218 3482 SH DFND 0 0 3482 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 2464 198410 SH DFND 0 0 198410 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 3932 256999 SH DFND 0 0 256999 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4419 1104868 SH DFND 0 0 1104868 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 3403 218282 SH DFND 0 0 218282 INCOME FD AMER INC CL F-2 MF 453320822 216 9507 SH DFND 0 0 9507 INCOME FD AMER INC CL F3 MF 453320772 318 14021 SH DFND 0 0 14021 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 203 6098 SH DFND 0 0 6098 INTERNATIONAL GRW & IN CL A SH MF 45956t105 229 6889 SH DFND 0 0 6889 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 356 10712 SH DFND 0 0 10712 INVESCO GLBL HLTH CARE FD CL A MF 00141T106 212 5770 SH DFND 0 0 5770 INVESTMENT CO AMER CL F MF 461308405 380 9435 SH DFND 0 0 9435 MARKETFIELD FUND CLASS I MF 89834e245 247 14721 SH DFND 0 0 14721 MASSACHUSETTS INVS TR SH BEN I MF 575736103 401 12373 SH DFND 0 0 12373 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 797 64802 SH DFND 0 0 64802 NEW PERSPECTIVE FD INC CL F3 MF 648018778 656 14536 SH DFND 0 0 14536 NEW PERSPECTIVE FD INC COM CL MF 648018109 367 8141 SH DFND 0 0 8141 OPPENHEIMER INTL S CO CL A MF 68380u100 1012 19252 SH DFND 0 0 19252 OPPENHEIMER STEELPATH MLP INC MF 858268600 149 25332 SH DFND 0 0 25332 OPPENHEIMER STEELPTH MLP SEL 4 MF 858268105 239 30358 SH DFND 0 0 30358 OPPENHEIMER STRATEG FD INCOME MF 68380K102 88 23594 SH DFND 0 0 23594 PIMCO FDS STOCKSPL SM INST MF 72201f797 122 10804 SH DFND 0 0 10804 PIONEER MLT-ASST ULTRASHT INC MF 72388e605 200 20055 SH DFND 0 0 20055 POPLAR FOREST PARTNERS FD CL A MF 00768D814 897 18088 SH DFND 0 0 18088 POPLAR FOREST PARTNERS INSTITU MF 00768d798 15437 310720 SH DFND 0 0 310720 ROWE T PRICE DIVID GRW COM MF 779546100 324 7404 SH DFND 0 0 7404 SEQUOIA FD INC COM MF 817418106 236 1305 SH DFND 0 0 1305 THE GROWTH FD OF AMERICA CL F3 MF 399874775 415 7669 SH DFND 0 0 7669 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 266 3127 SH DFND 0 0 3127 YORKTOWN MID CAP FD INSTITUTIO MF 028837664 1064 98986 SH DFND 0 0 98986 COLUMBIA ETF TR II EMRG MARKET EXCH 19762b509 393 16141 SH DFND 0 0 16141 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 570 13268 SH DFND 0 0 13268 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 1976 17549 SH DFND 0 0 17549 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 5747 33480 SH DFND 0 0 33480 ISHARES TR RUSSELL 2000 EXCH 464287655 5462 33352 SH DFND 0 0 33352 ISHARES TR RUSSELL1000VAL EXCH 464287598 544 4483 SH DFND 0 0 4483 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 3173 119314 SH DFND 0 0 119314 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 14241 40112 SH DFND 0 0 40112 SPIDER GOLD TR SHS EXCH 78463V107 255 2150 SH DFND 0 0 2150 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1076 25100 SH DFND 0 0 25100 WISDOMTREE TR EUROPE HEDGED EQ EXCH 97717x701 1823 28867 SH DFND 0 0 28867 WISDOMTREE TRUST DEFA FD EXCH 97717w703 268 5085 SH DFND 0 0 5085 ALLIANZ FDS ALGI INCMGRINST BAL MF 018920512 330 28140 SH DFND 0 0 28140 AMERICAN BALANCED FD CL F3 BAL MF 024071771 696 25650 SH DFND 0 0 25650 AMERICAN FDS GRWTH & INC PORTF BAL MF 02630r351 221 14491 SH DFND 0 0 14491 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 506 34207 SH DFND 0 0 34207 FRANKLIN INCOME FD CL A BAL MF 353496300 52 22699 SH DFND 0 0 22699 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 1415 49570 SH DFND 0 0 49570 ENBRIDGE ENERGY PRTNRS COM LP 29250r106 333 30500 SH DFND 0 0 30500 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1799 65026 SH DFND 0 0 65026 KKR & CO INC CL A LP 48251w104 1137 45748 SH DFND 0 0 45748 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 2632 38100 SH DFND 0 0 38100 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 298 12600 SH DFND 0 0 12600 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 766 34436 SH DFND 0 0 34436 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 409 34662 SH DFND 0 0 34662 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 657 62536 SH DFND 0 0 62536 ROYCE VALUE TR INC COM CLE FDS 780910105 3171 200724 SH DFND 0 0 200724 TEMPLETON DRAGON FUND INC CLE INTL 88018T101 421 19740 SH DFND 0 0 19740