0001020918-19-000002.txt : 20190128 0001020918-19-000002.hdr.sgml : 20190128 20190128104203 ACCESSION NUMBER: 0001020918-19-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190128 DATE AS OF CHANGE: 20190128 EFFECTIVENESS DATE: 20190128 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: 19544133 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 12-31-2018 12-31-2018 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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DFND 0 0 343776 AMCAP FD INC CL F 3 MF 023375777 205 7326 SH DFND 0 0 7326 AMER FDS RET INC PORTF ENCHANC MF 02631l528 176 16396 SH DFND 0 0 16396 AMERICAN BALANCED FD SHS F-2 C MF 024071821 752 30218 SH DFND 0 0 30218 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 6071 646583 SH DFND 0 0 646583 AMERICAN FDS GLOBAL BA CL F3 MF 02629w775 469 15701 SH DFND 0 0 15701 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 469 34701 SH DFND 0 0 34701 AMERICAN FDS PORTFOLIO GBL GRO MF 02630r344 249 17333 SH DFND 0 0 17333 AMERICAN FDS PORTFOLIO GLOBL G MF 02630r567 322 22309 SH DFND 0 0 22309 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 635 47231 SH DFND 0 0 47231 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 393 29808 SH DFND 0 0 29808 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 933 99494 SH DFND 0 0 99494 AMERICAN HIGH-INCOME M SHS CL MF 026545608 233 14868 SH DFND 0 0 14868 AMERICAN MUTUAL FUND CL A MF 027681105 764 20374 SH DFND 0 0 20374 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 261 6962 SH DFND 0 0 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FRANKLIN CUSTODIAN FDS INCOME MF 353496631 46 21863 SH DFND 0 0 21863 FUNDAMENTAL INVESTORS CL F3 MF 360802771 675 12914 SH DFND 0 0 12914 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1566 151144 SH DFND 0 0 151144 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 3036 249844 SH DFND 0 0 249844 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 3624 1224246 SH DFND 0 0 1224246 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 2900 237161 SH DFND 0 0 237161 GROWTH FD AMER INC CL A MF 399874106 279 6527 SH DFND 0 0 6527 INCOME FD AMER INC CL F3 MF 453320772 477 23134 SH DFND 0 0 23134 INCOME FUND AMERICA CL A MF 453320103 686 33250 SH DFND 0 0 33250 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 594 20325 SH DFND 0 0 20325 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 316 10821 SH DFND 0 0 10821 INVESCO GLBL HEALTH CARE FUND MF 00141v820 315 9359 SH DFND 0 0 9359 INVESTMENT CO AMER CL F3 MF 461308777 370 10925 SH DFND 0 0 10925 MARKETFIELD FUND CLASS I MF 89834e245 223 14721 SH DFND 0 0 14721 MFS MASSACHUSETTS INVESTORS TR MF 575736400 330 12708 SH DFND 0 0 12708 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 780 64081 SH DFND 0 0 64081 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1045 27758 SH DFND 0 0 27758 NEW WORLD FD INC NEW CL F3 MF 649280773 333 5809 SH DFND 0 0 5809 OPPENHEIMER GLBL STRAT INC FD MF 68380K706 87 24294 SH DFND 0 0 24294 OPPENHEIMER INTL SM MID CO FD MF 68380u605 271 6743 SH DFND 0 0 6743 OPPENHEIMER INTL SMALL INT SML MF 68380u506 563 14042 SH DFND 0 0 14042 OPPENHEIMER STEELPATH MLP INC MF 858268774 126 24458 SH DFND 0 0 24458 OPPENHEIMER STEELPATH MLP SEL4 MF 858268790 213 29326 SH DFND 0 0 29326 PIMCO FDS STOCKSPL SM INST MF 72201f797 99 11944 SH DFND 0 0 11944 POPLAR FOREST PARTNERS INSTITU MF 00768d798 11176 299293 SH DFND 0 0 299293 ROWE T PRICE DIVID GRW COM MF 779546100 316 7614 SH DFND 0 0 7614 SEQUOIA FD INC COM MF 817418106 214 1622 SH DFND 0 0 1622 SMALLCAP WORLD FD INC CL F3 MF 831681770 200 4236 SH DFND 0 0 4236 THE GROWTH FD OF AMERICA CL F3 MF 399874775 468 10962 SH DFND 0 0 10962 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 267 3329 SH DFND 0 0 3329 WASHINGTON MUT INVS FD COM MF 939330106 614 14951 SH DFND 0 0 14951 YORKTOWN MID CAP FD INSTITUTIO MF 028837664 570 75234 SH DFND 0 0 75234 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 556 14825 SH DFND 0 0 14825 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 2594 25544 SH DFND 0 0 25544 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 5826 37769 SH DFND 0 0 37769 ISHARES TR RUSSELL 2000 EXCH 464287655 8108 60552 SH DFND 0 0 60552 ISHARES TR RUSSELL1000VAL EXCH 464287598 2824 25428 SH DFND 0 0 25428 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 2541 106673 SH DFND 0 0 106673 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 3529 14121 SH DFND 0 0 14121 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 12136 40098 SH DFND 0 0 40098 SPIDER GOLD TR SHS EXCH 78463V107 729 6010 SH DFND 0 0 6010 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 856 21325 SH DFND 0 0 21325 WISDOMTREE TR EUROPE HEDGED EQ EXCH 97717x701 915 16218 SH DFND 0 0 16218 WISDOMTREE TRUST DEFA FD EXCH 97717w703 260 5585 SH DFND 0 0 5585 ALLIANZ FDS ALGI INCMGRINST BAL MF 018920512 338 32255 SH DFND 0 0 32255 AMERICAN BALANCED FD CL F3 BAL MF 024071771 3807 152946 SH DFND 0 0 152946 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 711 60816 SH DFND 0 0 60816 AMERICAN FDS GRWTH & INC PORTF BAL MF 02630r351 205 15273 SH DFND 0 0 15273 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 519 38469 SH DFND 0 0 38469 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 620 33436 SH DFND 0 0 33436 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 330 34662 SH DFND 0 0 34662 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 525 59123 SH DFND 0 0 59123 ROYCE VALUE TR INC COM CLE FDS 780910105 2594 219862 SH DFND 0 0 219862 TEMPLETON DRAGON FUND INC CLE INTL 88018T101 592 34850 SH DFND 0 0 34850 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 1283 46950 SH DFND 0 0 46950 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1474 59950 SH DFND 0 0 59950 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 2802 49100 SH DFND 0 0 49100 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 253 12600 SH DFND 0 0 12600