0001037763-16-000007.txt : 20161116
0001037763-16-000007.hdr.sgml : 20161116
20161116162022
ACCESSION NUMBER: 0001037763-16-000007
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161116
DATE AS OF CHANGE: 20161116
EFFECTIVENESS DATE: 20161116
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: OPTIMUM INVESTMENT ADVISORS
CENTRAL INDEX KEY: 0001037763
IRS NUMBER: 363673834
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06296
FILM NUMBER: 162002637
BUSINESS ADDRESS:
STREET 1: 33 N. LA SALLE
STREET 2: SUITE 3700
CITY: CHICAGO
STATE: IL
ZIP: 60602
BUSINESS PHONE: 3127821515
MAIL ADDRESS:
STREET 1: 33 N. LA SALLE
STREET 2: SUITE 3700
CITY: CHICAGO
STATE: IL
ZIP: 60602
FORMER COMPANY:
FORMER CONFORMED NAME: GRAVER BOKHOF GOODWILL & SULLIVAN L P/IL
DATE OF NAME CHANGE: 19990329
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001037763
XXXXXXXX
09-30-2016
09-30-2016
OPTIMUM INVESTMENT ADVISORS
33 N. LA SALLE
SUITE 3700
CHICAGO
IL
60602
13F HOLDINGS REPORT
028-06296
N
Joyce S Taylor
Vice President of Administration
312-456-3325
Joyce S. Taylor
Chicago
IL
11-16-2016
0
287
266075
false
INFORMATION TABLE
2
optimum9302016.xml
ISHARES TR
CORE S&P MCP ETF
464287507
213
1375
SH
SOLE
0
0
1375
ISHARES TR
RUS 1000 GRW ETF
464287614
2035
19533
SH
SOLE
0
0
19533
ISHARES TR
RUSSELL 2000 ETF
464287655
301
2425
SH
SOLE
0
0
2425
ISHARES TR
CORE RUSSELL VAL
464287663
300
6500
SH
SOLE
0
0
6500
SPDR S&P 500 ETF TR
TR UNIT
78462F103
7004
32382
SH
SOLE
0
0
32382
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
365
7444
SH
SOLE
0
0
7444
ADOBE SYS INC
COM
00724F101
3154
29055
SH
SOLE
0
0
29055
AMAZON COM INC
COM
023135106
1588
1897
SH
SOLE
0
0
1897
BRISTOL MYERS SQUIBB CO
COM
110122108
3294
61099
SH
SOLE
0
0
61099
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
734
5082
SH
SOLE
0
0
5082
BOEING CO
COM
097023105
1216
9232
SH
SOLE
0
0
9232
POWERSHARES INDIA ETF TR
INDIA PORT
73935L100
262
12660
SH
SOLE
0
0
12660
SYNOPSYS INC
COM
871607107
312
5250
SH
SOLE
0
0
5250
TEVA PHARMACEUTICAL INDS LTD
ADR
881624209
443
9619
SH
SOLE
0
0
9619
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
364
3068
SH
SOLE
0
0
3068
AMGEN INC
COM
031162100
1207
7234
SH
SOLE
0
0
7234
ABBOTT LABS
COM
002824100
1072
25348
SH
SOLE
0
0
25348
ANADARKO PETE CORP
COM
032511107
734
11591
SH
SOLE
0
0
11591
BP PLC
SPONSORED ADR
055622104
727
20672
SH
SOLE
0
0
20672
BROCADE COMMUNICATIONS SYS I
COM NEW
111621306
454
49177
SH
SOLE
0
0
49177
ALTRIA GROUP INC
COM
02209S103
1176
18604
SH
SOLE
0
0
18604
FEDEX CORP
COM
31428X106
1339
7665
SH
SOLE
0
0
7665
INTEL CORP
COM
458140100
3970
105162
SH
SOLE
0
0
105162
ILLINOIS TOOL WKS INC
COM
452308109
834
6958
SH
SOLE
0
0
6958
NOKIA CORP
SPONSORED ADR
654902204
69
12000
SH
SOLE
0
0
12000
NEWELL BRANDS INC
COM
651229106
283
5383
SH
SOLE
0
0
5383
ORACLE CORP
COM
68389X105
1307
33277
SH
SOLE
0
0
33277
DU PONT E I DE NEMOURS & CO
COM
263534109
879
13132
SH
SOLE
0
0
13132
QUALCOMM INC
COM
747525103
1701
24830
SH
SOLE
0
0
24830
DISNEY WALT CO
COM DISNEY
254687106
1196
12880
SH
SOLE
0
0
12880
HONEYWELL INTL INC
COM
438516106
319
2739
SH
SOLE
0
0
2739
SHERWIN WILLIAMS CO
COM
824348106
458
1654
SH
SOLE
0
0
1654
US BANCORP DEL
COM NEW
902973304
2161
50387
SH
SOLE
0
0
50387
JOHNSON & JOHNSON
COM
478160104
1732
14661
SH
SOLE
0
0
14661
MEDTRONIC PLC
SHS
G5960L103
360
4168
SH
SOLE
0
0
4168
PFIZER INC
COM
717081103
1093
32269
SH
SOLE
0
0
32269
EXELON CORP
COM
30161N101
430
12927
SH
SOLE
0
0
12927
KROGER CO
COM
501044101
482
16250
SH
SOLE
0
0
16250
LOWES COS INC
COM
548661107
627
8678
SH
SOLE
0
0
8678
ISHARES TR
MSCI EAFE ETF
464287465
454
7674
SH
SOLE
0
0
7674
CHEVRON CORP NEW
COM
166764100
1676
16281
SH
SOLE
0
0
16281
MICROSOFT CORP
COM
594918104
2251
39084
SH
SOLE
0
0
39084
UNITED PARCEL SERVICE INC
CL B
911312106
263
2405
SH
SOLE
0
0
2405
AT&T INC
COM
00206R102
4080
100477
SH
SOLE
0
0
100477
CISCO SYS INC
COM
17275R102
2927
92262
SH
SOLE
0
0
92262
INTERNATIONAL BUSINESS MACHS
COM
459200101
1151
7243
SH
SOLE
0
0
7243
COCA COLA CO
COM
191216100
501
11829
SH
SOLE
0
0
11829
LOCKHEED MARTIN CORP
COM
539830109
632
2635
SH
SOLE
0
0
2635
PEPSICO INC
COM
713448108
1032
9486
SH
SOLE
0
0
9486
STRYKER CORP
COM
863667101
399
3431
SH
SOLE
0
0
3431
JOHNSON CTLS INTL PLC
SHS
G51502105
395
8480
SH
SOLE
0
0
8480
VERIZON COMMUNICATIONS INC
COM
92343V104
2137
41102
SH
SOLE
0
0
41102
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
661
34249
SH
SOLE
0
0
34249
SELECT SECTOR SPDR TR
SBI INT-INDS
81369Y704
492
8430
SH
SOLE
0
0
8430
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
254
5325
SH
SOLE
0
0
5325
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
605
8392
SH
SOLE
0
0
8392
SELECT SECTOR SPDR TR
SBI CONS DISCR
81369Y407
238
2970
SH
SOLE
0
0
2970
WALGREENS BOOTS ALLIANCE INC
COM
931427108
1928
23918
SH
SOLE
0
0
23918
DEERE & CO
COM
244199105
1125
13184
SH
SOLE
0
0
13184
BANK AMER CORP
COM
060505104
460
29410
SH
SOLE
0
0
29410
STARBUCKS CORP
COM
855244109
1256
23203
SH
SOLE
0
0
23203
EXXON MOBIL CORP
COM
30231G102
1686
19312
SH
SOLE
0
0
19312
AFLAC INC
COM
001055102
289
4023
SH
SOLE
0
0
4023
WAL-MART STORES INC
COM
931142103
766
10617
SH
SOLE
0
0
10617
UNION PAC CORP
COM
907818108
2264
23218
SH
SOLE
0
0
23218
BORGWARNER INC
COM
099724106
326
9260
SH
SOLE
0
0
9260
CARDINAL HEALTH INC
COM
14149Y108
201
2591
SH
SOLE
0
0
2591
TARGET CORP
COM
87612E106
826
12031
SH
SOLE
0
0
12031
CAPITAL ONE FINL CORP
COM
14040H105
352
4905
SH
SOLE
0
0
4905
COSTCO WHSL CORP NEW
COM
22160K105
2603
17065
SH
SOLE
0
0
17065
LILLY ELI & CO
COM
532457108
662
8243
SH
SOLE
0
0
8243
CVS HEALTH CORP
COM
126650100
323
3630
SH
SOLE
0
0
3630
SCHLUMBERGER LTD
COM
806857108
1751
22261
SH
SOLE
0
0
22261
DANAHER CORP DEL
COM
235851102
1092
13934
SH
SOLE
0
0
13934
MCKESSON CORP
COM
58155Q103
451
2707
SH
SOLE
0
0
2707
MERCK & CO INC
COM
58933Y105
836
13400
SH
SOLE
0
0
13400
MORGAN STANLEY
COM NEW
617446448
387
12070
SH
SOLE
0
0
12070
NOVARTIS A G
SPONSORED ADR
66987V109
291
3688
SH
SOLE
0
0
3688
RAYTHEON CO
COM NEW
755111507
208
1526
SH
SOLE
0
0
1526
FIFTH THIRD BANCORP
COM
316773100
554
27060
SH
SOLE
0
0
27060
PROCTER AND GAMBLE CO
COM
742718109
1305
14538
SH
SOLE
0
0
14538
GENERAL ELECTRIC CO
COM
369604103
2818
95123
SH
SOLE
0
0
95123
KIMBERLY CLARK CORP
COM
494368103
460
3647
SH
SOLE
0
0
3647
GILEAD SCIENCES INC
COM
375558103
6093
77014
SH
SOLE
0
0
77014
GOLDMAN SACHS GROUP INC
COM
38141G104
1322
8197
SH
SOLE
0
0
8197
HOME DEPOT INC
COM
437076102
637
4954
SH
SOLE
0
0
4954
INGERSOLL-RAND PLC
SHS
G47791101
231
3405
SH
SOLE
0
0
3405
MCDONALDS CORP
COM
580135101
974
8439
SH
SOLE
0
0
8439
NIKE INC
CL B
654106103
1535
29149
SH
SOLE
0
0
29149
JPMORGAN CHASE & CO
COM
46625H100
2605
39126
SH
SOLE
0
0
39126
SIRIUS XM HLDGS INC
COM
82968B103
534
128000
SH
SOLE
0
0
128000
MATTEL INC
COM
577081102
1305
43100
SH
SOLE
0
0
43100
PRICELINE GRP INC
COM NEW
741503403
630
428
SH
SOLE
0
0
428
RED HAT INC
COM
756577102
206
2550
SH
SOLE
0
0
2550
ST JUDE MED INC
COM
790849103
223
2790
SH
SOLE
0
0
2790
WELLS FARGO & CO NEW
COM
949746101
455
10275
SH
SOLE
0
0
10275
ISHARES TR
1-3 YR TR BD ETF
464287457
458
5385
SH
SOLE
0
0
5385
ISHARES TR
7-10 Y TR BD ETF
464287440
631
5637
SH
SOLE
0
0
5637
ISHARES TR
20 YR TR BD ETF
464287432
550
4000
SH
SOLE
0
0
4000
ISHARES TR
IBOXX INV CP ETF
464287242
9373
76091
SH
SOLE
0
0
76091
FORD MTR CO DEL
COM PAR $0.01
345370860
769
63700
SH
SOLE
0
0
63700
UNITEDHEALTH GROUP INC
COM
91324P102
4817
34405
SH
SOLE
0
0
34405
SOUTHWEST AIRLS CO
COM
844741108
532
13668
SH
SOLE
0
0
13668
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
271
2215
SH
SOLE
0
0
2215
ZIMMER BIOMET HLDGS INC
COM
98956P102
204
1567
SH
SOLE
0
0
1567
UNITED TECHNOLOGIES CORP
COM
913017109
2336
22989
SH
SOLE
0
0
22989
3M CO
COM
88579Y101
432
2450
SH
SOLE
0
0
2450
COMCAST CORP NEW
CL A
20030N101
203
3054
SH
SOLE
0
0
3054
BRINKER INTL INC
COM
109641100
458
9078
SH
SOLE
0
0
9078
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
270
2427
SH
SOLE
0
0
2427
WELLTOWER INC
COM
95040Q104
265
3546
SH
SOLE
0
0
3546
DUKE ENERGY CORP NEW
COM NEW
26441C204
712
8890
SH
SOLE
0
0
8890
CONOCOPHILLIPS
COM
20825C104
292
6719
SH
SOLE
0
0
6719
APPLE INC
COM
037833100
8211
72634
SH
SOLE
0
0
72634
ALLSTATE CORP
COM
020002101
838
12110
SH
SOLE
0
0
12110
LAM RESEARCH CORP
COM
512807108
364
3845
SH
SOLE
0
0
3845
SPDR SERIES TRUST
S&P 500 VALUE
78464A508
440
4275
SH
SOLE
0
0
4275
CATERPILLAR INC DEL
COM
149123101
1100
12393
SH
SOLE
0
0
12393
KINDER MORGAN INC DEL
COM
49456B101
394
17019
SH
SOLE
0
0
17019
ISHARES TR
MSCI EMG MKT ETF
464287234
272
7257
SH
SOLE
0
0
7257
RYDEX ETF TRUST
GUG S&P500 EQ WT
78355W106
285
3410
SH
SOLE
0
0
3410
CHUBB LIMITED
COM
H1467J104
1522
12111
SH
SOLE
0
0
12111
HALLIBURTON CO
COM
406216101
372
8299
SH
SOLE
0
0
8299
ROSS STORES INC
COM
778296103
1076
16730
SH
SOLE
0
0
16730
ON SEMICONDUCTOR CORP
COM
682189105
530
43000
SH
SOLE
0
0
43000
AON PLC
SHS CL A
G0408V102
259
2300
SH
SOLE
0
0
2300
AMERICAN EXPRESS CO
COM
025816109
221
3445
SH
SOLE
0
0
3445
FLUOR CORP NEW
COM
343412102
254
4940
SH
SOLE
0
0
4940
BLOCK H & R INC
COM
093671105
452
19512
SH
SOLE
0
0
19512
OLD REP INTL CORP
COM
680223104
771
43750
SH
SOLE
0
0
43750
OCCIDENTAL PETE CORP DEL
COM
674599105
211
2895
SH
SOLE
0
0
2895
ARCHER DANIELS MIDLAND CO
COM
039483102
833
19757
SH
SOLE
0
0
19757
MFS INTER INCOME TR
SH BEN INT
55273C107
62
13683
SH
SOLE
0
0
13683
EXPRESS SCRIPTS HLDG CO
COM
30219G108
442
6271
SH
SOLE
0
0
6271
DOW CHEM CO
COM
260543103
219
4220
SH
SOLE
0
0
4220
ALLERGAN PLC
SHS
G0177J108
1645
7143
SH
SOLE
0
0
7143
SOUTHERN CO
COM
842587107
888
17313
SH
SOLE
0
0
17313
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
480
12744
SH
SOLE
0
0
12744
PAYCHEX INC
COM
704326107
295
5100
SH
SOLE
0
0
5100
ANNALY CAP MGMT INC
COM
035710409
738
70295
SH
SOLE
0
0
70295
WESTERN DIGITAL CORP
COM
958102105
368
6290
SH
SOLE
0
0
6290
VALERO ENERGY CORP NEW
COM
91913Y100
660
12449
SH
SOLE
0
0
12449
TRACTOR SUPPLY CO
COM
892356106
405
6015
SH
SOLE
0
0
6015
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
202
720
SH
SOLE
0
0
720
LENNOX INTL INC
COM
526107107
203
1290
SH
SOLE
0
0
1290
D R HORTON INC
COM
23331A109
533
17660
SH
SOLE
0
0
17660
ISHARES TR
CORE US AGGBD ET
464287226
202
1800
SH
SOLE
0
0
1800
W P CAREY INC
COM
92936U109
458
7100
SH
SOLE
0
0
7100
BIOGEN INC
COM
09062X103
423
1352
SH
SOLE
0
0
1352
LABORATORY CORP AMER HLDGS
COM NEW
50540R409
1035
7525
SH
SOLE
0
0
7525
ISHARES TR
SELECT DIVID ETF
464287168
3174
37038
SH
SOLE
0
0
37038
ISHARES TR
TIPS BD ETF
464287176
324
2780
SH
SOLE
0
0
2780
SUNTRUST BKS INC
COM
867914103
1004
22916
SH
SOLE
0
0
22916
NORTHERN TR CORP
COM
665859104
359
5279
SH
SOLE
0
0
5279
CARNIVAL CORP
UNIT 99/99/9999
143658300
1577
32294
SH
SOLE
0
0
32294
CLOROX CO DEL
COM
189054109
562
4487
SH
SOLE
0
0
4487
DARDEN RESTAURANTS INC
COM
237194105
1110
18102
SH
SOLE
0
0
18102
AIR PRODS & CHEMS INC
COM
009158106
350
2330
SH
SOLE
0
0
2330
PTC INC
COM
69370C100
213
4800
SH
SOLE
0
0
4800
SHIRE PLC
SPONSORED ADR
82481R106
514
2653
SH
SOLE
0
0
2653
LENNAR CORP
CL A
526057104
254
6000
SH
SOLE
0
0
6000
V F CORP
COM
918204108
483
8610
SH
SOLE
0
0
8610
APOLLO INVT CORP
COM
03761U106
438
75475
SH
SOLE
0
0
75475
EATON CORP PLC
SHS
G29183103
1125
17120
SH
SOLE
0
0
17120
COGNIZANT TECHNOLOGY SOLUTIO
CL A
192446102
846
17740
SH
SOLE
0
0
17740
STANLEY BLACK & DECKER INC
COM
854502101
214
1739
SH
SOLE
0
0
1739
REYNOLDS AMERICAN INC
COM
761713106
400
8482
SH
SOLE
0
0
8482
PULTE GROUP INC
COM
745867101
872
43500
SH
SOLE
0
0
43500
SANOFI
SPONSORED ADR
80105N105
217
5695
SH
SOLE
0
0
5695
WHIRLPOOL CORP
COM
963320106
1113
6861
SH
SOLE
0
0
6861
ENTERPRISE PRODS PARTNERS L
COM
293792107
1669
60422
SH
SOLE
0
0
60422
METLIFE INC
COM
59156R108
682
15348
SH
SOLE
0
0
15348
NUVEEN PFD INCOME OPPRTNY FD
COM
67073B106
646
64495
SH
SOLE
0
0
64495
YUM BRANDS INC
COM
988498101
1963
21614
SH
SOLE
0
0
21614
AMPHENOL CORP NEW
CL A
032095101
952
14668
SH
SOLE
0
0
14668
AETNA INC NEW
COM
00817Y108
2961
25651
SH
SOLE
0
0
25651
DAVITA INC
COM
23918K108
688
10420
SH
SOLE
0
0
10420
ALPHABET INC
CAP STK CL A
02079K305
614
764
SH
SOLE
0
0
764
SPDR GOLD TRUST
GOLD SHS
78463V107
1931
15369
SH
SOLE
0
0
15369
CBRE GROUP INC
CL A
12504L109
604
21580
SH
SOLE
0
0
21580
MADISON CVRED CALL & EQ STR
COM
557437100
100
12798
SH
SOLE
0
0
12798
NORDSTROM INC
COM
655664100
310
5975
SH
SOLE
0
0
5975
CELANESE CORP DEL
COM SER A
150870103
1070
16069
SH
SOLE
0
0
16069
VANGUARD INDEX FDS
REIT ETF
922908553
695
8018
SH
SOLE
0
0
8018
PACKAGING CORP AMER
COM
695156109
228
2800
SH
SOLE
0
0
2800
FIDUCIARY CLAYMORE MLP OPP F
COM
31647Q106
822
52110
SH
SOLE
0
0
52110
CANADIAN NATL RY CO
COM
136375102
352
5379
SH
SOLE
0
0
5379
VANGUARD INDEX FDS
SMALL CP ETF
922908751
242
1983
SH
SOLE
0
0
1983
DYCOM INDS INC
COM
267475101
262
3200
SH
SOLE
0
0
3200
NUVEEN MUN VALUE FD INC
COM
670928100
1207
113988
SH
SOLE
0
0
113988
TOTAL SYS SVCS INC
COM
891906109
250
5300
SH
SOLE
0
0
5300
CREDIT SUISSE ASSET MGMT INC
COM
224916106
63
20000
SH
SOLE
0
0
20000
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
626
4754
SH
SOLE
0
0
4754
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
2288
8495
SH
SOLE
0
0
8495
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
111
10000
SH
SOLE
0
0
10000
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
449
5317
SH
SOLE
0
0
5317
SAUL CTRS INC
COM
804395101
273
4100
SH
SOLE
0
0
4100
HOLOGIC INC
COM
436440101
1564
40282
SH
SOLE
0
0
40282
ISHARES GOLD TRUST
ISHARES
464285105
468
36885
SH
SOLE
0
0
36885
THERMO FISHER SCIENTIFIC INC
COM
883556102
375
2360
SH
SOLE
0
0
2360
BLACKROCK CORE BD TR
SHS BEN INT
09249E101
164
11513
SH
SOLE
0
0
11513
FIRST TR VALUE LINE DIVID IN
SHS
33734H106
474
17545
SH
SOLE
0
0
17545
SILICON MOTION TECHNOLOGY CO
SPONSORED ADR
82706C108
287
5550
SH
SOLE
0
0
5550
SMITH A O
COM
831865209
247
2505
SH
SOLE
0
0
2505
VCA INC
COM
918194101
360
5140
SH
SOLE
0
0
5140
NUVEEN FLOATING RATE INCOME
COM
67072T108
463
42000
SH
SOLE
0
0
42000
VANGUARD WORLD FDS
INF TECH ETF
92204A702
407
3385
SH
SOLE
0
0
3385
ISHARES SILVER TRUST
ISHARES
46428Q109
249
13680
SH
SOLE
0
0
13680
KAYNE ANDERSON MLP INVT CO
COM
486606106
545
26437
SH
SOLE
0
0
26437
VANGUARD WORLD FDS
CONSUM DIS ETF
92204A108
690
5490
SH
SOLE
0
0
5490
MASTERCARD INCORPORATED
CL A
57636Q104
3057
30035
SH
SOLE
0
0
30035
WISDOMTREE TR
EUROPE SMCP DV
97717W869
306
5530
SH
SOLE
0
0
5530
WISDOMTREE TR
LARGECAP DIVID
97717W307
1278
16598
SH
SOLE
0
0
16598
WISDOMTREE TR
SMALLCAP DIVID
97717W604
1932
25690
SH
SOLE
0
0
25690
NUVEEN ENHANCED MUN CREDIT O
COM SH BEN INT
67070X101
249
15831
SH
SOLE
0
0
15831
NUVEEN AMT FREE QLTY MUN INC
COM
670657105
541
37057
SH
SOLE
0
0
37057
HANESBRANDS INC
COM
410345102
265
10504
SH
SOLE
0
0
10504
LAMAR ADVERTISING CO NEW
CL A
512816109
1297
19857
SH
SOLE
0
0
19857
ARES CAP CORP
COM
04010L103
1378
88881
SH
SOLE
0
0
88881
PROSPECT CAPITAL CORPORATION
COM
74348T102
373
46000
SH
SOLE
0
0
46000
TICC CAPITAL CORP
COM
87244T109
175
30000
SH
SOLE
0
0
30000
VANGUARD INDEX FDS
MCAP GR IDXVIP
922908538
1041
9787
SH
SOLE
0
0
9787
VANGUARD INDEX FDS
MCAP VL IDXVIP
922908512
300
3205
SH
SOLE
0
0
3205
EATON VANCE TAX MNGD GBL DV
COM
27829F108
126
14500
SH
SOLE
0
0
14500
POWERSHARES ETF TRUST
FINL PFD PTFL
73935X229
824
43260
SH
SOLE
0
0
43260
ISHARES TR
IBOXX HI YD ETF
464288513
5477
62761
SH
SOLE
0
0
62761
ISHARES TR
1-3 YR CR BD ETF
464288646
1062
10045
SH
SOLE
0
0
10045
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
492
5850
SH
SOLE
0
0
5850
HERCULES CAPITAL INC
COM
427096508
1037
76500
SH
SOLE
0
0
76500
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
991
38815
SH
SOLE
0
0
38815
ISHARES TR
U.S. PFD STK ETF
464288687
872
22088
SH
SOLE
0
0
22088
BANK NEW YORK MELLON CORP
COM
064058100
516
12930
SH
SOLE
0
0
12930
ISHARES TR
NATIONAL MUN ETF
464288414
697
6182
SH
SOLE
0
0
6182
PENNANTPARK INVT CORP
COM
708062104
226
30000
SH
SOLE
0
0
30000
ISHARES TR
JP MOR EM MK ETF
464288281
234
1995
SH
SOLE
0
0
1995
BROOKFIELD INFRAST PARTNERS
LP INT UNIT
G16252101
282
8131
SH
SOLE
0
0
8131
SPDR SERIES TRUST
BRC HGH YLD BD
78464A417
804
21900
SH
SOLE
0
0
21900
FIRST TR EXCHANGE TRADED FD
HLTH CARE ALPH
33734X143
598
9835
SH
SOLE
0
0
9835
VISA INC
COM CL A
92826C839
520
6283
SH
SOLE
0
0
6283
PHILIP MORRIS INTL INC
COM
718172109
201
2069
SH
SOLE
0
0
2069
ORION ENERGY SYSTEMS INC
COM
686275108
53
40000
SH
SOLE
0
0
40000
VANECK VECTORS ETF TR
AMT FREE INT ETF
92189F544
630
25623
SH
SOLE
0
0
25623
TRIANGLE CAP CORP
COM
895848109
615
31212
SH
SOLE
0
0
31212
POWERSHARES ETF TR II
PFD PORTFOLIO
73936T565
3117
206033
SH
SOLE
0
0
206033
POWERSHARES ETF TR II
FDM HG YLD RAFI
73936T557
4441
235350
SH
SOLE
0
0
235350
MEDALLION FINL CORP
COM
583928106
253
60000
SH
SOLE
0
0
60000
FIFTH STREET FINANCE CORP
COM
31678A103
349
60000
SH
SOLE
0
0
60000
FIRST TR NASDAQ100 TECH INDE
SHS
337345102
1001
19665
SH
SOLE
0
0
19665
BLACKROCK CAPITAL INVESTMENT
COM
092533108
825
99695
SH
SOLE
0
0
99695
BROADCOM LTD
SHS
Y09827109
445
2582
SH
SOLE
0
0
2582
SPDR SERIES TRUST
WELLS FG PFD ETF
78464A292
805
17695
SH
SOLE
0
0
17695
TWO HBRS INVT CORP
COM
90187B101
187
21906
SH
SOLE
0
0
21906
VANGUARD SCOTTSDALE FDS
LG-TERM COR BD
92206C813
209
2183
SH
SOLE
0
0
2183
WISDOMTREE TR
EUROPE HEDGED EQ
97717X701
324
6028
SH
SOLE
0
0
6028
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
120
11000
SH
SOLE
0
0
11000
PROSHARES TR
ULTRAPRO SH NW14
74348A418
223
16700
SH
SOLE
0
0
16700
POWERSHARES ETF TR II
BUILD AMER ETF
73937B407
620
19759
SH
SOLE
0
0
19759
MAIN STREET CAPITAL CORP
COM
56035L104
1085
31605
SH
SOLE
0
0
31605
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
920
18115
SH
SOLE
0
0
18115
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
452
8135
SH
SOLE
0
0
8135
NXP SEMICONDUCTORS N V
COM
N6596X109
592
5800
SH
SOLE
0
0
5800
WISDOMTREE TR
EM LCL DEBT FD
97717X867
2500
65655
SH
SOLE
0
0
65655
ALPS ETF TR
ALERIAN MLP
00162Q866
419
33031
SH
SOLE
0
0
33031
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
402
2025
SH
SOLE
0
0
2025
LEAR CORP
COM NEW
521865204
374
3089
SH
SOLE
0
0
3089
ELLINGTON FINANCIAL LLC
COM
288522303
665
39883
SH
SOLE
0
0
39883
NUVEEN BUILD AMER BD OPPTNY
COM
67074Q102
465
20400
SH
SOLE
0
0
20400
POWERSHARES ETF TRUST II
SENIOR LN PORT
73936Q769
1649
71037
SH
SOLE
0
0
71037
PENNANTPARK FLOATING RATE CA
COM
70806A106
635
47968
SH
SOLE
0
0
47968
NUVEEN DIVERSIFIED COMMODTY
COM UT BEN INT
67074P104
171
18902
SH
SOLE
0
0
18902
POWERSHARES ETF TR II
S&P500 LOW VOL
73937B779
239
5755
SH
SOLE
0
0
5755
FIDUS INVT CORP
COM
316500107
177
11265
SH
SOLE
0
0
11265
BANK AMER CORP
*W EXP 10/28/201
060505153
1
10000
SH
SOLE
0
0
10000
ISHARES TR
CORE US TR BD
46429B267
217
8310
SH
SOLE
0
0
8310
FACEBOOK INC
CL A
30303M102
2588
20173
SH
SOLE
0
0
20173
MPLX LP
COM UNIT REP LTD
55336V100
225
6653
SH
SOLE
0
0
6653
FLEETMATICS GROUP PLC
COM
G35569105
330
5500
SH
SOLE
0
0
5500
ABBVIE INC
COM
00287Y109
3229
51196
SH
SOLE
0
0
51196
NEUBERGER BERMAN MLP INCOME
COM
64129H104
621
66969
SH
SOLE
0
0
66969
FIRST TR EXCHANGE TRADED FD
FIRST TR TA HIYL
33738D408
623
12805
SH
SOLE
0
0
12805
DOUBLELINE INCOME SOLUTIONS
COM
258622109
504
26312
SH
SOLE
0
0
26312
WISDOMTREE TR
US QTLY DIV GRT
97717X669
663
20530
SH
SOLE
0
0
20530
PHYSICIANS RLTY TR
COM
71943U104
315
14606
SH
SOLE
0
0
14606
ALPHABET INC
CAP STK CL C
02079K107
1776
2285
SH
SOLE
0
0
2285
KRAFT HEINZ CO
COM
500754106
309
3451
SH
SOLE
0
0
3451
HUBBELL INC
COM
443510607
228
2115
SH
SOLE
0
0
2115
FORTIVE CORP
COM
34959J108
284
5585
SH
SOLE
0
0
5585