0001020918-19-000007.txt : 20190711 0001020918-19-000007.hdr.sgml : 20190711 20190711151821 ACCESSION NUMBER: 0001020918-19-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190711 DATE AS OF CHANGE: 20190711 EFFECTIVENESS DATE: 20190711 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: 19951084 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 06-30-2019 06-30-2019 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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0 0 32350 SANOFI SPONSORED ADR ADR 80105n105 269 6220 SH DFND 0 0 6220 SIEMENS A G SPONSORED ADR ADR 826197501 273 4581 SH DFND 0 0 4581 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 411 10488 SH DFND 0 0 10488 TAKEDA PHARMACEUTICAL CO. LTD ADR 874060205 577 32614 SH DFND 0 0 32614 TENCENT HLDGS LTD ADR ADR 88032q109 1770 39102 SH DFND 0 0 39102 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 309 2495 SH DFND 0 0 2495 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 623 20960 SH DFND 0 0 20960 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1711 59250 SH DFND 0 0 59250 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 3155 49300 SH DFND 0 0 49300 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 307 12600 SH DFND 0 0 12600 ADVISORS SER TR POPLAR FRST CO MF 00770x535 7349 288766 SH DFND 0 0 288766 AMCAP FD INC CL F 3 MF 023375777 238 7359 SH DFND 0 0 7359 AMER FDS RET INC PORTF ENCHANC MF 02631l528 194 16610 SH DFND 0 0 16610 AMERICAN BALANCED FD SHS F-2 C MF 024071821 723 26457 SH DFND 0 0 26457 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 6439 613794 SH DFND 0 0 613794 AMERICAN FDS GRWTH & INC PORTF MF 02630r351 328 21780 SH DFND 0 0 21780 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 415 27581 SH DFND 0 0 27581 AMERICAN FDS PORTFOLIO GBL GRO MF 02630r344 282 16666 SH DFND 0 0 16666 AMERICAN FDS PORTFOLIO GLOBL G MF 02630r567 272 16022 SH DFND 0 0 16022 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 618 40952 SH DFND 0 0 40952 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 512 34570 SH DFND 0 0 34570 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 994 94861 SH DFND 0 0 94861 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 1144 27425 SH DFND 0 0 27425 BLACKROCK FDS III LIFPT2025 IN MF 066923848 320 23373 SH DFND 0 0 23373 BRANDES INVT TR EMRGN MKT VAL MF 105262752 413 45752 SH DFND 0 0 45752 CALAMOS INVT TR NEW GLBL CONV MF 128120722 128 11762 SH DFND 0 0 11762 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 8418 137823 SH DFND 0 0 137823 CAPITAL INCOME BLDR IN SHS CL MF 140194101 4951 81092 SH DFND 0 0 81092 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 990 20283 SH DFND 0 0 20283 CAPITAL WORLD GRWTH AND INC FD MF 140543117 2511 51418 SH DFND 0 0 51418 DFA INVT DIMENSIONS GR EMER MK MF 233203421 273 13024 SH DFND 0 0 13024 DFA INVT DIMENSIONS GR EMERGIN MF 233203785 265 9463 SH DFND 0 0 9463 DNP SELECT INCOME FD INC COM MF 23325P104 347 29373 SH DFND 0 0 29373 DODGE & COX STK FD COM MF 256219106 804 4297 SH DFND 0 0 4297 EATON VANCE GROWTH TR ATL CAPT MF 277902698 283 7502 SH DFND 0 0 7502 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 439 8334 SH DFND 0 0 8334 FIRST EAGLE FDS INC GLOBAL FD MF 32008f606 217 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 873 14728 SH DFND 0 0 14728 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1765 147097 SH DFND 0 0 147097 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 4055 276623 SH DFND 0 0 276623 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4168 1180811 SH DFND 0 0 1180811 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 3411 234114 SH DFND 0 0 234114 INCOME FD AMER INC CL F3 MF 453320772 1299 57768 SH DFND 0 0 57768 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 686 20660 SH DFND 0 0 20660 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 366 10994 SH DFND 0 0 10994 INVESCO GLBL HEALTH CARE FUND MF 00141v820 364 9359 SH DFND 0 0 9359 INVESCO/OPP GLBL STRAT INC FD MF 00143K756 94 25028 SH DFND 0 0 25028 INVESCO/OPP INTL SM MID CO FD MF 00900W555 323 6743 SH DFND 0 0 6743 INVESCO/OPP INTL SMALL MID CO MF 00900W530 670 14042 SH DFND 0 0 14042 INVESCO/OPP STEELPATH MLP INC MF 00143K285 142 24458 SH DFND 0 0 24458 INVESCO/OPP STEELPATH MLP SEL4 MF 00143K228 228 29326 SH DFND 0 0 29326 INVESTMENT CO AMER CL F3 MF 461308777 473 12396 SH DFND 0 0 12396 MARKETFIELD FUND CLASS I MF 89834e245 183 11231 SH DFND 0 0 11231 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 778 62078 SH DFND 0 0 62078 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1199 26775 SH DFND 0 0 26775 NEW WORLD FD INC NEW CL F3 MF 649280773 394 5809 SH DFND 0 0 5809 POPLAR FOREST PARTNERS INSTITU MF 00768d798 11840 280707 SH DFND 0 0 280707 ROWE T PRICE DIVID GRW COM MF 779546100 379 7666 SH DFND 0 0 7666 SEQUOIA FD INC COM MF 817418106 259 1675 SH DFND 0 0 1675 SMALLCAP WORLD FD INC CL F3 MF 831681770 411 7213 SH DFND 0 0 7213 THE GROWTH FD OF AMERICA CL F3 MF 399874775 588 11676 SH DFND 0 0 11676 VANGUARD INDEX FDS GRW INDEX A MF 922908660 483 5744 SH DFND 0 0 5744 VANGUARD INDEX FDS TOT STKIDX MF 922908728 514 7032 SH DFND 0 0 7032 VANGUARD INDEX TR 500 INDEX AD MF 922908710 1050 3869 SH DFND 0 0 3869 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 286 3479 SH DFND 0 0 3479 YORKTOWN MID CAP FD INSTITUTIO MF 028837664 478 58910 SH DFND 0 0 58910 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 915 22510 SH DFND 0 0 22510 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 4257 36494 SH DFND 0 0 36494 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 7149 38284 SH DFND 0 0 38284 ISHARES TR MSCI EMERG MKT EXCH 464287234 948 22095 SH DFND 0 0 22095 ISHARES TR RUSSELL 2000 EXCH 464287655 9338 60052 SH DFND 0 0 60052 ISHARES TR RUSSELL1000VAL EXCH 464287598 4381 34438 SH DFND 0 0 34438 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 2626 95146 SH DFND 0 0 95146 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 4684 15987 SH DFND 0 0 15987 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 14215 40088 SH DFND 0 0 40088 SPIDER GOLD TR SHS EXCH 78463V107 800 6005 SH DFND 0 0 6005 VANECK VECTORS ETF TR VIDEO GA EXCH 92189f114 248 7450 SH DFND 0 0 7450 VANGUARD FTSE DEVELOPED MKTS E EXCH 921943858 1723 41300 SH DFND 0 0 41300 VANGUARD INDEX TR STK MRK VIPE EXCH 922908769 721 4803 SH DFND 0 0 4803 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1220 27325 SH DFND 0 0 27325 WISDOMTREE TR EUROPE HEDGED EQ EXCH 97717x701 426 6442 SH DFND 0 0 6442 WISDOMTREE TRUST DEFA FD EXCH 97717w703 386 7560 SH DFND 0 0 7560 ALLIANZ FDS ALGI INCMGRINST BAL MF 018920512 353 30969 SH DFND 0 0 30969 AMERICAN BALANCED FD CL F3 BAL MF 024071771 4362 159678 SH DFND 0 0 159678 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 830 65747 SH DFND 0 0 65747 AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 571 17418 SH DFND 0 0 17418 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 746 49722 SH DFND 0 0 49722 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 687 31667 SH DFND 0 0 31667 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 334 34162 SH DFND 0 0 34162 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 582 55123 SH DFND 0 0 55123 ROYCE VALUE TR INC COM CLE FDS 780910105 3048 218955 SH DFND 0 0 218955 TEMPLETON DRAGON FUND INC CLE INTL 88018T101 570 29650 SH DFND 0 0 29650