0001020918-19-000005.txt : 20190418 0001020918-19-000005.hdr.sgml : 20190418 20190418093026 ACCESSION NUMBER: 0001020918-19-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190418 DATE AS OF CHANGE: 20190418 EFFECTIVENESS DATE: 20190418 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: 19754746 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 03-31-2019 03-31-2019 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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LTD ADR 874060205 685 33620 SH DFND 0 0 33620 TENCENT HLDGS LTD ADR ADR 88032q109 1559 33912 SH DFND 0 0 33912 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 294 2495 SH DFND 0 0 2495 UNILEVER PLC SPON ADR NEW ADR 904767704 273 4738 SH DFND 0 0 4738 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 1168 40440 SH DFND 0 0 40440 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1736 59650 SH DFND 0 0 59650 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 2977 49100 SH DFND 0 0 49100 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 309 12600 SH DFND 0 0 12600 ADVISORS SER TR POPLAR FRST CO MF 00770x535 8604 340626 SH DFND 0 0 340626 AMCAP FD INC CL F 3 MF 023375777 231 7326 SH DFND 0 0 7326 AMER FDS RET INC PORTF ENCHANC MF 02631l528 189 16501 SH DFND 0 0 16501 AMERICAN BALANCED FD SHS F-2 C MF 024071821 812 30345 SH DFND 0 0 30345 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 6592 641884 SH DFND 0 0 641884 AMERICAN FDS GRWTH & INC PORTF MF 02630r351 226 15347 SH DFND 0 0 15347 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 510 34808 SH DFND 0 0 34808 AMERICAN FDS PORTFOLIO GBL GRO MF 02630r344 283 17333 SH DFND 0 0 17333 AMERICAN FDS PORTFOLIO GLOBL G MF 02630r567 365 22309 SH DFND 0 0 22309 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 698 47259 SH DFND 0 0 47259 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 428 29808 SH DFND 0 0 29808 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 1022 99653 SH DFND 0 0 99653 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 1113 27386 SH DFND 0 0 27386 BLACKROCK FDS III LIFPT2025 IN MF 066923848 312 23373 SH DFND 0 0 23373 BRANDES INVT TR EMRGN MKT VAL MF 105262752 538 62036 SH DFND 0 0 62036 CALAMOS INVT TR NEW GLBL CONV MF 128120722 125 11743 SH DFND 0 0 11743 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 8116 134334 SH DFND 0 0 134334 CAPITAL INCOME BLDR IN SHS CL MF 140194101 5059 83776 SH DFND 0 0 83776 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 961 20130 SH DFND 0 0 20130 CAPITAL WORLD GRWTH AND INC FD MF 140543117 2445 51160 SH DFND 0 0 51160 DFA INVT DIMENSIONS GR EMER MK MF 233203421 297 14248 SH DFND 0 0 14248 DFA INVT DIMENSIONS GR EMERGIN MF 233203785 263 9416 SH DFND 0 0 9416 DNP SELECT INCOME FD INC COM MF 23325P104 310 26873 SH DFND 0 0 26873 DODGE & COX STK FD COM MF 256219106 753 4104 SH DFND 0 0 4104 EATON VANCE GROWTH TR ATL CAPT MF 277902698 259 7502 SH DFND 0 0 7502 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 423 8324 SH DFND 0 0 8324 FIRST EAGLE FDS INC GLOBAL FD MF 32008f606 209 3728 SH DFND 0 0 3728 FRANKLIN CUSTODIAN FDS INCOME MF 353496631 51 22072 SH DFND 0 0 22072 FUNDAMENTAL INVESTORS CL F3 MF 360802771 720 12343 SH DFND 0 0 12343 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1767 151144 SH DFND 0 0 151144 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 3687 260762 SH DFND 0 0 260762 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4059 1200926 SH DFND 0 0 1200926 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 3332 237161 SH DFND 0 0 237161 INCOME FD AMER INC CL F3 MF 453320772 1272 57655 SH DFND 0 0 57655 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 660 20455 SH DFND 0 0 20455 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 352 10887 SH DFND 0 0 10887 INVESCO GLBL HEALTH CARE FUND MF 00141v820 353 9359 SH DFND 0 0 9359 INVESTMENT CO AMER CL F3 MF 461308777 492 13098 SH DFND 0 0 13098 MARKETFIELD FUND CLASS I MF 89834e245 237 14721 SH DFND 0 0 14721 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 797 64799 SH DFND 0 0 64799 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1237 28837 SH DFND 0 0 28837 NEW WORLD FD INC NEW CL F3 MF 649280773 379 5809 SH DFND 0 0 5809 OPPENHEIMER GLBL STRAT INC FD MF 68380K706 91 24665 SH DFND 0 0 24665 OPPENHEIMER INTL SM MID CO FD MF 68380u605 309 6743 SH DFND 0 0 6743 OPPENHEIMER INTL SMALL INT SML MF 68380u506 642 14042 SH DFND 0 0 14042 OPPENHEIMER STEELPATH MLP INC MF 858268774 147 24458 SH DFND 0 0 24458 OPPENHEIMER STEELPATH MLP SEL4 MF 858268790 234 29326 SH DFND 0 0 29326 PIMCO FDS STOCKSPL SM INST MF 72201f797 114 12010 SH DFND 0 0 12010 POPLAR FOREST PARTNERS INSTITU MF 00768d798 12521 296068 SH DFND 0 0 296068 ROWE T PRICE DIVID GRW COM MF 779546100 357 7639 SH DFND 0 0 7639 SEQUOIA FD INC COM MF 817418106 246 1622 SH DFND 0 0 1622 SMALLCAP WORLD FD INC CL F3 MF 831681770 394 7213 SH DFND 0 0 7213 THE GROWTH FD OF AMERICA CL F3 MF 399874775 571 11747 SH DFND 0 0 11747 VANGUARD INDEX FDS GRW INDEX A MF 922908660 463 5744 SH DFND 0 0 5744 VANGUARD INDEX FDS TOT STKIDX MF 922908728 224 3180 SH DFND 0 0 3180 VANGUARD INDEX TR 500 INDEX AD MF 922908710 544 2080 SH DFND 0 0 2080 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 276 3329 SH DFND 0 0 3329 WASHINGTON MUT INVS FD CL F3 MF 939330775 213 4728 SH DFND 0 0 4728 YORKTOWN MID CAP FD INSTITUTIO MF 028837664 642 75234 SH DFND 0 0 75234 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 653 16115 SH DFND 0 0 16115 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 3301 29114 SH DFND 0 0 29114 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 6853 38144 SH DFND 0 0 38144 ISHARES TR MSCI EMERG MKT EXCH 464287234 1979 46120 SH DFND 0 0 46120 ISHARES TR RUSSELL 2000 EXCH 464287655 9193 60052 SH DFND 0 0 60052 ISHARES TR RUSSELL1000VAL EXCH 464287598 3247 26290 SH DFND 0 0 26290 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 2585 100560 SH DFND 0 0 100560 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 4241 15014 SH DFND 0 0 15014 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 13846 40088 SH DFND 0 0 40088 SPIDER GOLD TR SHS EXCH 78463V107 717 5880 SH DFND 0 0 5880 VANECK VECTORS ETF TR VIDEO GA EXCH 92189f114 236 7450 SH DFND 0 0 7450 VANGUARD INDEX TR STK MRK VIPE EXCH 922908769 695 4803 SH DFND 0 0 4803 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 944 21525 SH DFND 0 0 21525 WISDOMTREE TR EUROPE HEDGED EQ EXCH 97717x701 412 6442 SH DFND 0 0 6442 WISDOMTREE TRUST DEFA FD EXCH 97717w703 364 7185 SH DFND 0 0 7185 ALLIANZ FDS ALGI INCMGRINST BAL MF 018920512 344 30380 SH DFND 0 0 30380 AMERICAN BALANCED FD CL F3 BAL MF 024071771 4172 155952 SH DFND 0 0 155952 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 752 60476 SH DFND 0 0 60476 AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 509 15785 SH DFND 0 0 15785 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 591 40346 SH DFND 0 0 40346 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 703 32667 SH DFND 0 0 32667 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 334 34162 SH DFND 0 0 34162 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 595 59123 SH DFND 0 0 59123 ROYCE VALUE TR INC COM CLE FDS 780910105 3088 224399 SH DFND 0 0 224399 TEMPLETON DRAGON FUND INC CLE INTL 88018T101 693 34850 SH DFND 0 0 34850