0001020918-18-000008.txt : 20181017 0001020918-18-000008.hdr.sgml : 20181017 20181017113556 ACCESSION NUMBER: 0001020918-18-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181017 DATE AS OF CHANGE: 20181017 EFFECTIVENESS DATE: 20181017 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: 181125743 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 09-30-2018 09-30-2018 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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21037 SH DFND 0 0 21037 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 733 46935 SH DFND 0 0 46935 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 388 25902 SH DFND 0 0 25902 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 1332 134442 SH DFND 0 0 134442 AMERICAN HIGH-INCOME M SHS CL MF 026545608 231 14727 SH DFND 0 0 14727 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 315 7355 SH DFND 0 0 7355 BLACKROCK FDS III LIFPT2025 IN MF 066923848 308 22934 SH DFND 0 0 22934 BRANDES INVT TR EMRGN MKT VAL MF 105262752 624 73382 SH DFND 0 0 73382 CALAMOS INVT TR NEW GLBL CONV MF 128120722 126 11186 SH DFND 0 0 11186 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 6352 105224 SH DFND 0 0 105224 CAPITAL INCOME BLDR IN SHS CL MF 140194101 5460 90491 SH DFND 0 0 90491 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 971 18995 SH DFND 0 0 18995 CAPITAL WORLD GRWTH AND INC FD MF 140543117 2247 43910 SH DFND 0 0 43910 DFA INVT DIMENSIONS GR EMER MK MF 233203421 293 14146 SH DFND 0 0 14146 DFA INVT DIMENSIONS GR EMERGIN MF 233203785 260 9356 SH DFND 0 0 9356 DNP SELECT INCOME FD INC COM MF 23325P104 320 28873 SH DFND 0 0 28873 DODGE & COX STK FD COM MF 256219106 331 1546 SH DFND 0 0 1546 EATON VANCE GROWTH TR ATL CAPT MF 277902698 268 7035 SH DFND 0 0 7035 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 414 7811 SH DFND 0 0 7811 FRANKLIN CUSTODIAN FDS INCOME MF 353496847 30 13118 SH DFND 0 0 13118 FRANKLIN CUSTODIAN FDS INCOME MF 353496631 50 21567 SH DFND 0 0 21567 FUNDAMENTAL INVESTORS CL F3 MF 360802771 778 11907 SH DFND 0 0 11907 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 2264 198410 SH DFND 0 0 198410 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 3818 254881 SH DFND 0 0 254881 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4353 1104868 SH DFND 0 0 1104868 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 3376 223880 SH DFND 0 0 223880 INCOME FD AMER INC CL F3 MF 453320772 524 22612 SH DFND 0 0 22612 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 670 20264 SH DFND 0 0 20264 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 357 10792 SH DFND 0 0 10792 INVESCO GLBL HEALTH CARE FUND MF 00141v820 362 8645 SH DFND 0 0 8645 INVESTMENT CO AMER CL F3 MF 461308777 457 10862 SH DFND 0 0 10862 MARKETFIELD FUND CLASS I MF 89834e245 248 14721 SH DFND 0 0 14721 MFS MASSACHUSETTS INVESTORS TR MF 575736400 429 12708 SH DFND 0 0 12708 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 814 65529 SH DFND 0 0 65529 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1274 27160 SH DFND 0 0 27160 NEW WORLD FD INC NEW CL F3 MF 649280773 362 5652 SH DFND 0 0 5652 OPPENHEIMER GLBL STRAT INC FD MF 68380K706 89 24027 SH DFND 0 0 24027 OPPENHEIMER INTL SM MID CO FD MF 68380u605 363 6743 SH DFND 0 0 6743 OPPENHEIMER INTL SMALL INT SML MF 68380u506 678 12631 SH DFND 0 0 12631 OPPENHEIMER STEELPATH MLP INC MF 858268774 155 24458 SH DFND 0 0 24458 OPPENHEIMER STEELPATH MLP SEL4 MF 858268790 246 29326 SH DFND 0 0 29326 PIMCO FDS STOCKSPL SM INST MF 72201f797 126 10869 SH DFND 0 0 10869 PIONEER MLT-ASST ULTRASHT INC MF 72388e605 200 20055 SH DFND 0 0 20055 POPLAR FOREST PARTNERS INSTITU MF 00768d798 17042 322823 SH DFND 0 0 322823 ROWE T PRICE DIVID GRW COM MF 779546100 348 7447 SH DFND 0 0 7447 SEQUOIA FD INC COM MF 817418106 245 1305 SH DFND 0 0 1305 SMALLCAP WORLD FD INC CL F3 MF 831681770 242 3992 SH DFND 0 0 3992 THE GROWTH FD OF AMERICA CL F3 MF 399874775 641 11287 SH DFND 0 0 11287 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 301 3127 SH DFND 0 0 3127 YORKTOWN MID CAP FD INSTITUTIO MF 028837664 1081 98986 SH DFND 0 0 98986 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 490 11325 SH DFND 0 0 11325 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 2286 19249 SH DFND 0 0 19249 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 7013 37749 SH DFND 0 0 37749 ISHARES TR RUSSELL 2000 EXCH 464287655 5621 33352 SH DFND 0 0 33352 ISHARES TR RUSSELL1000VAL EXCH 464287598 720 5688 SH DFND 0 0 5688 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 3222 116819 SH DFND 0 0 116819 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 14734 40098 SH DFND 0 0 40098 SPIDER GOLD TR SHS EXCH 78463V107 461 4085 SH DFND 0 0 4085 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1044 23900 SH DFND 0 0 23900 WISDOMTREE TR EUROPE HEDGED EQ EXCH 97717x701 1802 28497 SH DFND 0 0 28497 WISDOMTREE TRUST DEFA FD EXCH 97717w703 298 5610 SH DFND 0 0 5610 ALLIANZ FDS ALGI INCMGRINST BAL MF 018920512 380 31694 SH DFND 0 0 31694 AMERICAN BALANCED FD CL F3 BAL MF 024071771 3495 125166 SH DFND 0 0 125166 AMERICAN FDS GRWTH & INC PORTF BAL MF 02630r351 227 14549 SH DFND 0 0 14549 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 527 35055 SH DFND 0 0 35055 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 790 34436 SH DFND 0 0 34436 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 417 34662 SH DFND 0 0 34662 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 636 60516 SH DFND 0 0 60516 ROYCE VALUE TR INC COM CLE FDS 780910105 3584 219203 SH DFND 0 0 219203 TEMPLETON DRAGON FUND INC CLE INTL 88018T101 672 33700 SH DFND 0 0 33700 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 1462 48020 SH DFND 0 0 48020 ENBRIDGE ENERGY PRTNRS COM LP 29250r106 335 30500 SH DFND 0 0 30500 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1842 64126 SH DFND 0 0 64126 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 2560 37800 SH DFND 0 0 37800 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 315 12600 SH DFND 0 0 12600