0001040197-17-000002.txt : 20170131
0001040197-17-000002.hdr.sgml : 20170131
20170131122012
ACCESSION NUMBER: 0001040197-17-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170131
DATE AS OF CHANGE: 20170131
EFFECTIVENESS DATE: 20170131
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: MAI Capital Management
CENTRAL INDEX KEY: 0001040197
IRS NUMBER: 611495162
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06392
FILM NUMBER: 17560077
BUSINESS ADDRESS:
STREET 1: 1360 E. NINTH STREET #1100
CITY: CLEVELAND
STATE: OH
ZIP: 44114
BUSINESS PHONE: 216-436-3500
MAIL ADDRESS:
STREET 1: 1360 E. NINTH STREET #1100
CITY: CLEVELAND
STATE: OH
ZIP: 44114
FORMER COMPANY:
FORMER CONFORMED NAME: MAI Wealth Advisors
DATE OF NAME CHANGE: 20080620
FORMER COMPANY:
FORMER CONFORMED NAME: MCCORMACK ADVISORS INTERNATIONAL
DATE OF NAME CHANGE: 20010216
FORMER COMPANY:
FORMER CONFORMED NAME: INVESTMENT ADVISORS INTERNATIONAL INC/OH
DATE OF NAME CHANGE: 19990322
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001040197
XXXXXXXX
12-31-2016
12-31-2016
MAI Capital Management
1360 E. NINTH STREET #1100
CLEVELAND
OH
44114
13F HOLDINGS REPORT
028-06392
N
Bryan Gregorich
Operations Supervisor
216-920-4965
Bryan Gregorich
Cleveland
OH
01-31-2017
0
445
1375251
false
INFORMATION TABLE
2
inftable.xml
3M Company
CS
88579Y101
1651
9245
SH
SOLE
184
0
9061
A T & T Corp New
CS
00206R102
2531
59503
SH
SOLE
1165
0
58338
Abbott Laboratories
CS
002824100
10801
281209
SH
SOLE
8006
0
273203
AbbVie Inc.
CS
00287Y109
2440
38961
SH
SOLE
1180
0
37781
Accenture PLC Cl A
CS
G1151C101
1545
13190
SH
SOLE
500
0
12690
Acuity Brands Inc
CS
00508Y102
956
4140
SH
SOLE
890
0
3250
Adobe Systems
CS
00724F101
3586
34831
SH
SOLE
3786
0
31045
Aegon N.V. Adr
CS
007924103
117
21129
SH
SOLE
19004
0
2125
Aercap Holdings NV
CS
N00985106
295
7098
SH
SOLE
2974
0
4124
Aetna Inc.
CS
00817Y108
383
3092
SH
SOLE
495
0
2597
Affiliated Managers
CS
008252108
367
2525
SH
SOLE
375
0
2150
Air Products & Chemicals Inc
CS
009158106
339
2358
SH
SOLE
0
0
2358
Akamai Tech
CS
00971T101
1474
22111
SH
SOLE
3430
0
18681
Albemarle Corp
CS
012653101
384
4460
SH
SOLE
1292
0
3168
Alexandria Real Estate Equitie
CS
015271109
340
3063
SH
SOLE
1213
0
1850
Alexion Pharmaceuticals Inc
CS
015351109
576
4710
SH
SOLE
1948
0
2762
Allergan PLC
CS
G0177J108
288
1372
SH
SOLE
0
0
1372
Allstate Corp
CS
020002101
593
8000
SH
SOLE
2517
0
5483
Alphabet Inc Class A
CS
02079k305
3292
4154
SH
SOLE
474
0
3680
Alphabet Inc Class C
CS
02079k107
7014
9087
SH
SOLE
861
0
8226
Altria Group Inc.
CS
02209S103
7211
106634
SH
SOLE
5852
0
100782
Alyn Corp
CS
022611107
0
160000
SH
SOLE
0
0
160000
Amazon.com
CS
023135106
3244
4326
SH
SOLE
573
0
3753
America Movil SA de CV ADR Ser
CS
02364W105
762
60600
SH
SOLE
0
0
60600
American Campus Communities
CS
024835100
291
5845
SH
SOLE
2445
0
3400
American International Group
CS
026874784
254
3892
SH
SOLE
545
0
3347
American Tower
CS
03027X100
2273
21508
SH
SOLE
1716
0
19792
Ameriprise Financial Inc
CS
03076C106
311
2805
SH
SOLE
1132
0
1673
Ametek Inc
CS
031100100
1194
24564
SH
SOLE
675
0
23889
Amgen Inc
CS
031162100
10983
75117
SH
SOLE
2378
0
72739
Amphenol Corp
CS
032095101
693
10319
SH
SOLE
4273
0
6046
Anadarko Pete Co.
CS
032511107
337
4837
SH
SOLE
1802
0
3035
Ansys Inc
CS
03662Q105
314
3400
SH
SOLE
1407
0
1993
Apple Inc
CS
037833100
19879
171641
SH
SOLE
5553
0
166088
Aramark
CS
03852u106
225
6299
SH
SOLE
2529
0
3770
Archer Daniels Midland Co.
CS
039483102
2626
57523
SH
SOLE
0
0
57523
Automatic Data Processing
CS
053015103
256
2487
SH
SOLE
0
0
2487
Avangrid Inc
CS
05351w103
716
18907
SH
SOLE
0
0
18907
B/E Aerospace, Inc
CS
073302101
734
12200
SH
SOLE
2500
0
9700
Baidu ADR
CS
056752108
2781
16914
SH
SOLE
623
0
16291
Bank of America Corp
CS
060505104
8998
407129
SH
SOLE
21277
0
385852
Banner Corp
CS
06652v208
247
4430
SH
SOLE
0
0
4430
Barclays Plc Adr
CS
06738E204
114
10358
SH
SOLE
9316
0
1042
Baxter International
CS
071813109
494
11146
SH
SOLE
765
0
10381
Berkshire Hathaway
CS
084670108
976
4
SH
SOLE
0
0
4
Berkshire Hathaway Class B
CS
084670702
4102
25167
SH
SOLE
1154
0
24013
Biogen Inc
CS
09062X103
1181
4166
SH
SOLE
81
0
4085
Biolife Solutions Inc
CS
09062w204
24
14881
SH
SOLE
0
0
14881
Blackrock Inc
CS
09247X101
2254
5923
SH
SOLE
499
0
5424
Boeing Company
CS
097023105
13485
86620
SH
SOLE
3899
0
82721
Booz Allen Hamilton Holding
CS
099502106
208
5775
SH
SOLE
1065
0
4710
BorgWarner
CS
099724106
268
6803
SH
SOLE
2849
0
3954
BP Amoco PLC ADR
CS
055622104
206
5503
SH
SOLE
4602
0
901
Bristol-Myers Squibb
CS
110122108
475
8124
SH
SOLE
500
0
7624
Cadence Design Systems
CS
127387108
264
10467
SH
SOLE
4383
0
6084
Cambrex Corp
CS
132011107
856
15860
SH
SOLE
3600
0
12260
Camden Property Trust
CS
133131102
595
7077
SH
SOLE
1300
0
5777
Cardinal Health Inc.
CS
14149Y108
6345
88168
SH
SOLE
1458
0
86710
Carter's Inc
CS
146229109
658
7620
SH
SOLE
1600
0
6020
Caterpillar Inc
CS
149123101
221
2385
SH
SOLE
170
0
2215
Cedar Fair LP
CS
150185106
298
4647
SH
SOLE
295
0
4352
Celgene Corp.
CS
151020104
653
5641
SH
SOLE
0
0
5641
Centrus Energy Corp
CS
15643u104
82
12783
SH
SOLE
40
0
12743
Charter Communications Inc
CS
16119p108
1253
4351
SH
SOLE
39
0
4312
Chesapeake Energy Corp.
CS
165167107
83
11884
SH
SOLE
0
0
11884
Chevron Corporation
CS
166764100
6898
58605
SH
SOLE
3364
0
55241
China Mobile ADR
CS
16941M109
492
9385
SH
SOLE
1916
0
7469
Chromadex Corporation
CS
171077407
35
10667
SH
SOLE
0
0
10667
Chubb Ltd
CS
h1467j104
11181
84625
SH
SOLE
2879
0
81746
Church & Dwight Co
CS
171340102
810
18338
SH
SOLE
3740
0
14598
Cintas Inc.
CS
172908105
1148
9938
SH
SOLE
2200
0
7738
Cisco Systems
CS
17275R102
10054
332685
SH
SOLE
9272
0
323413
Citigroup
CS
172967424
3151
53026
SH
SOLE
1131
0
51895
Citizens Financial Group
CS
174610105
399
11192
SH
SOLE
1572
0
9620
Citrix Systems Inc
CS
177376100
950
10636
SH
SOLE
600
0
10036
Clean Harbors Inc
CS
184496107
203
3653
SH
SOLE
1531
0
2122
Coca-Cola Co.
CS
191216100
372
8967
SH
SOLE
1246
0
7721
Cocrystal Pharma Inc
CS
19188j102
33
85000
SH
SOLE
0
0
85000
Cognex Corp.
CS
192422103
1249
19640
SH
SOLE
4350
0
15290
Cognizant Technology Solutions
CS
192446102
2799
49961
SH
SOLE
5435
0
44526
Colgate Palmolive
CS
194162103
1170
17882
SH
SOLE
435
0
17447
Comcast Corp. Cl A
CS
20030n101
16062
232610
SH
SOLE
7431
0
225179
Commscope Holding Co.
CS
20337X109
244
6560
SH
SOLE
0
0
6560
Compagnie de Saint-Gobain ADR
CS
204280309
100
10733
SH
SOLE
9652
0
1081
ConocoPhillips
CS
20825C104
366
7295
SH
SOLE
160
0
7135
Cooper Companies
CS
216648402
1111
6350
SH
SOLE
1743
0
4607
Core Laboratories N.V.
CS
N22717107
561
4675
SH
SOLE
925
0
3750
Corning, Inc.
CS
219350105
411
16937
SH
SOLE
500
0
16437
Costco Wholesale Corp
CS
22160K105
4640
28981
SH
SOLE
3605
0
25376
Credit Agricole SA
CS
225313105
76
12201
SH
SOLE
10974
0
1227
CSRA Inc.
CS
12650t104
305
9585
SH
SOLE
4014
0
5571
CVS Health Corp.
CS
126650100
7839
99345
SH
SOLE
1985
0
97360
Danaher Corp.
CS
235851102
1758
22585
SH
SOLE
3973
0
18612
Darling Ingredients, Inc.
CS
237266101
181
13982
SH
SOLE
5857
0
8125
DaVita Healthcare Partners Inc
CS
23918K108
418
6511
SH
SOLE
2694
0
3817
Deere & Co
CS
244199105
715
6936
SH
SOLE
450
0
6486
Dell Technologies Inc.
CS
24703l103
358
6521
SH
SOLE
44
0
6477
DENTSPLY Sirona Inc.
CS
24906p109
228
3943
SH
SOLE
1616
0
2327
Dexcom Inc
CS
252131107
417
6983
SH
SOLE
2890
0
4093
Diageo PLC ADR
CS
25243Q205
9586
92229
SH
SOLE
2728
0
89501
Disney, Walt Co.
CS
254687106
5936
56953
SH
SOLE
1103
0
55850
DNB Financial Corp
CS
233237106
511
18007
SH
SOLE
0
0
18007
Dollar General Corp.
CS
256677105
239
3232
SH
SOLE
1355
0
1877
Dorman Products
CS
258278100
1140
15608
SH
SOLE
3715
0
11893
Dover Corp.
CS
260003108
200
2674
SH
SOLE
1093
0
1581
Dow Chemical
CS
260543103
2171
37934
SH
SOLE
500
0
37434
Dr Pepper Snapple Group
CS
26138E109
290
3201
SH
SOLE
435
0
2766
DTE Energy
CS
233331107
408
4145
SH
SOLE
1433
0
2712
Duke Energy Corp.
CS
26441C204
469
6044
SH
SOLE
4603
0
1441
Eaton Corporation
CS
G29183103
750
11172
SH
SOLE
300
0
10872
Ecolabs Inc.
CS
278865100
691
5895
SH
SOLE
2376
0
3519
Edison International Inc.
CS
281020107
308
4285
SH
SOLE
1605
0
2680
Envision Healthcare Corp
CS
29414d100
312
4935
SH
SOLE
2037
0
2898
EOG Resources
CS
26875P101
261
2581
SH
SOLE
350
0
2231
Eplus Inc
CS
294268107
230
2000
SH
SOLE
0
0
2000
EQT Corp
CS
26884L109
515
7876
SH
SOLE
1912
0
5964
Equifax Inc.
CS
294429105
867
7329
SH
SOLE
1425
0
5904
Equinix Corp
CS
29444U700
351
982
SH
SOLE
663
0
319
Estee Lauder
CS
518439104
1578
20627
SH
SOLE
4104
0
16523
ETRADE Fin Corp.
CS
269246401
247
7137
SH
SOLE
2991
0
4146
Everi Holdings Inc
CS
30034t103
65
29797
SH
SOLE
7111
0
22686
Eversource Energy
CS
30040W108
242
4383
SH
SOLE
3444
0
939
Exelon Corp.
CS
30161N101
1575
44393
SH
SOLE
3443
0
40950
Express Scripts Holding Co.
CS
30219G108
868
12618
SH
SOLE
375
0
12243
Exxon Mobil Corp
CS
30231G102
10228
113312
SH
SOLE
2799
0
110513
F5 Networks
CS
315616102
969
6696
SH
SOLE
1400
0
5296
Facebook
CS
30303M102
2060
17908
SH
SOLE
3001
0
14907
Factset Research Systems
CS
303075105
698
4271
SH
SOLE
950
0
3321
Fairmount Santrol Holdings Inc
CS
30555q108
476
40362
SH
SOLE
0
0
40362
Farmers National Banc Corp
CS
309627107
280
19717
SH
SOLE
0
0
19717
Fedex
CS
31428X106
259
1390
SH
SOLE
425
0
965
Fidelity National Information
CS
31620M106
292
3860
SH
SOLE
1616
0
2244
Fidelity Natl Finl Inc New
CS
31620r303
6511
191733
SH
SOLE
8876
0
182857
First Atlantic Holdings Inc
CS
337651103
169
15190
SH
SOLE
0
0
15190
Fleet Financial Group
CS
339041105
429
3030
SH
SOLE
1254
0
1776
Fluor Corp.
CS
343412102
245
4657
SH
SOLE
1536
0
3121
Footlocker Inc
CS
344849104
651
9185
SH
SOLE
2050
0
7135
Ford Motor Company
CS
345370860
169
13964
SH
SOLE
0
0
13964
Fortive Corporation
CS
34959j108
795
14825
SH
SOLE
3923
0
10902
G-III Apparel Group
CS
36237H101
445
15065
SH
SOLE
3350
0
11715
General Dynamics
CS
369550108
1159
6712
SH
SOLE
1253
0
5459
General Electric Company
CS
369604103
15630
494630
SH
SOLE
17747
0
476883
General Mills Inc
CS
370334104
250
4054
SH
SOLE
490
0
3564
Genpact Ltd
CS
G3922B107
1032
42417
SH
SOLE
12965
0
29452
Gentex Corp
CS
371901109
249
12670
SH
SOLE
0
0
12670
Gilead Sciences Inc
CS
375558103
1432
19998
SH
SOLE
601
0
19397
Grand Central Silver Mines
CS
384906202
0
17000
SH
SOLE
0
0
17000
Gray Television
CS
389375106
121
11170
SH
SOLE
2600
0
8570
Grupo Financiero Banorte SAB d
CS
P49501201
130
26240
SH
SOLE
0
0
26240
Hain Celestial Group
CS
405217100
1068
27364
SH
SOLE
6389
0
20975
Halliburton Company
CS
406216101
263
4855
SH
SOLE
0
0
4855
Hancock Holding Co
CS
410120109
280
6487
SH
SOLE
2814
0
3673
Harley Davidson Inc.
CS
412822108
1152
19752
SH
SOLE
1610
0
18142
Hartford Financial Services Gr
CS
416515104
300
6291
SH
SOLE
2635
0
3656
Hasbro Inc
CS
418056107
702
9030
SH
SOLE
2000
0
7030
HD Supply Hldgs Inc.
CS
40416m105
303
7125
SH
SOLE
0
0
7125
Henry Jack and Associates Inc
CS
426281101
918
10341
SH
SOLE
2278
0
8063
Henry Schein
CS
806407102
856
5640
SH
SOLE
1225
0
4415
Heritage Commerce Corp
CS
426927109
315
21858
SH
SOLE
0
0
21858
Home Depot, Inc.
CS
437076102
12729
94935
SH
SOLE
2766
0
92169
Honeywell International, Inc.
CS
438516106
8113
70034
SH
SOLE
2830
0
67203
Host Hotels and Resorts
CS
44107P104
235
12447
SH
SOLE
5209
0
7238
Huntington Bancshares
CS
446150104
157
11901
SH
SOLE
0
0
11901
Illinois Tool Works
CS
452308109
242
1979
SH
SOLE
0
0
1979
Imageware Systems Inc.
CS
45245s108
69
51636
SH
SOLE
0
0
51636
Immune Therapeutics Inc
CS
45252a107
1
12500
SH
SOLE
0
0
12500
Ingredion Inc
CS
457187102
205
1641
SH
SOLE
688
0
953
Int'l Business Machines Corp.
CS
459200101
1812
10915
SH
SOLE
504
0
10411
Intel Corp
CS
458140100
14131
389615
SH
SOLE
19628
0
369987
Intercontinental Exchange, Inc
CS
45866f104
2394
42437
SH
SOLE
2435
0
40002
International Flavors & Fragra
CS
459506101
820
6961
SH
SOLE
1530
0
5431
International Power Group Ltd
CS
46018A100
0
20000
SH
SOLE
0
0
20000
Intuitive Surgical Inc
CS
46120E602
639
1008
SH
SOLE
415
0
593
IPG Photonics Corp Com
CS
44980x109
799
8095
SH
SOLE
1775
0
6320
J B Hunt Transport Services In
CS
445658107
812
8364
SH
SOLE
1765
0
6599
Johnson & Johnson
CS
478160104
17457
151527
SH
SOLE
5533
0
145994
Johnson Controls Intl. PLC
CS
g51502105
315
7645
SH
SOLE
376
0
7269
JPMorgan Chase & Co.
CS
46625H100
18302
212103
SH
SOLE
9544
0
202559
Kar Auction Services Inc
CS
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284
6654
SH
SOLE
2705
0
3949
Kinder Morgan, Inc.
CS
49456B101
7060
340921
SH
SOLE
8190
0
332731
Kohls Corp.
CS
500255104
251
5077
SH
SOLE
0
0
5077
L-3 Communications
CS
502413107
304
2000
SH
SOLE
0
0
2000
Lennox International Inc
CS
526107107
1054
6881
SH
SOLE
1525
0
5356
Level 3 Communications
CS
52729N308
357
6327
SH
SOLE
357
0
5970
Liberty Broadband Corporation
CS
530307305
341
4606
SH
SOLE
0
0
4606
Liberty Global PLC Cl A
CS
G5480U104
281
9195
SH
SOLE
0
0
9195
Liberty Global PLC Cl C
CS
G5480U120
603
20319
SH
SOLE
0
0
20319
Liberty Media Corp A SiriusXM
CS
531229409
315
9114
SH
SOLE
0
0
9114
Liberty Media Corp C
CS
531229607
612
18028
SH
SOLE
0
0
18028
Lilly, Eli Co
CS
532457108
520
7076
SH
SOLE
2272
0
4804
LKQ
CS
501889208
233
7607
SH
SOLE
3187
0
4420
Lockheed Martin
CS
539830109
410
1639
SH
SOLE
125
0
1514
Lowe's Cos.
CS
548661107
1615
22702
SH
SOLE
2730
0
19972
M & T Bank
CS
55261F104
331
2117
SH
SOLE
850
0
1267
Manhattan Associates
CS
562750109
588
11090
SH
SOLE
2650
0
8440
Marathon Petroleum Corp
CS
56585A102
5141
102105
SH
SOLE
4647
0
97458
Masco Corp
CS
574599106
689
21805
SH
SOLE
5100
0
16705
McDonalds Corp
CS
580135101
2505
20579
SH
SOLE
500
0
20079
McKesson HBOC Corp.
CS
58155Q103
739
5263
SH
SOLE
0
0
5263
Mead Johnson Nutrition
CS
582839106
2038
28796
SH
SOLE
3462
0
25334
Medtronic Plc
CS
g5960l103
10874
152666
SH
SOLE
5526
0
147140
Mercer International
CS
588056101
131
12311
SH
SOLE
3031
0
9280
Merck & Co
CS
58933Y105
3323
56442
SH
SOLE
3481
0
52961
Metlife Inc.
CS
59156R108
7214
133863
SH
SOLE
5811
0
128052
Metro AG
CS
59160r102
92
13862
SH
SOLE
12465
0
1397
Mettler-Toledo International
CS
592688105
1010
2413
SH
SOLE
535
0
1878
Microchip Technology
CS
595017104
277
4316
SH
SOLE
1625
0
2691
Microsoft Corporation
CS
594918104
15306
246318
SH
SOLE
8114
0
238204
Middleby Corp.
CS
596278101
978
7590
SH
SOLE
1650
0
5940
Molson Coors Brewing Co
CS
60871R209
503
5174
SH
SOLE
120
0
5054
Mondelez Intl Inc Com
CS
609207105
7544
170189
SH
SOLE
5596
0
164593
Monolithic Power Systems
CS
609839105
832
10155
SH
SOLE
2225
0
7930
Monsanto Co.
CS
61166W101
406
3856
SH
SOLE
0
0
3856
Nestle SA ADR
CS
641069406
624
8700
SH
SOLE
0
0
8700
Netflix Inc.
CS
64110L106
220
1774
SH
SOLE
93
0
1681
Newfield Exploration Co
CS
651290108
273
6750
SH
SOLE
2828
0
3922
NextEra Energy
CS
65339F101
11738
98255
SH
SOLE
2515
0
95740
Nike Inc.
CS
654106103
4746
93375
SH
SOLE
3657
0
89718
Norfolk Southern
CS
655844108
499
4620
SH
SOLE
0
0
4620
Northrop Grumman Corp
CS
666807102
266
1145
SH
SOLE
0
0
1145
Nugene International Inc
CS
67052f102
5
14000
SH
SOLE
0
0
14000
NVR Inc
CS
62944T105
1263
757
SH
SOLE
0
0
757
Nxp Semiconductors Nv
CS
n6596x109
635
6477
SH
SOLE
2682
0
3795
Occidental Petroleum
CS
674599105
7742
108685
SH
SOLE
2702
0
105983
Olin
CS
680665205
224
8761
SH
SOLE
3671
0
5090
Omnicom Group
CS
681919106
928
10907
SH
SOLE
777
0
10130
Oracle Corp
CS
68389X105
3156
82086
SH
SOLE
775
0
81311
P P & L Resources Inc
CS
69351T106
491
14419
SH
SOLE
2496
0
11923
Palo Alto Networks Inc.
CS
697435105
489
3908
SH
SOLE
0
0
3908
Palo Alto Networks Inc.
CS
697435105
375
3000
SH
Put
SOLE
0
0
3000
Panasonic Adr
CS
69832A205
141
13820
SH
SOLE
12430
0
1390
Parexel International Corp.
CS
699462107
778
11845
SH
SOLE
2645
0
9200
Parker-Hannifin
CS
701094104
1098
7840
SH
SOLE
569
0
7271
Patterson Companies Inc.
CS
703395103
310
7547
SH
SOLE
3047
0
4500
PayPal Holdings, Inc
CS
70450y103
1175
29772
SH
SOLE
6389
0
23383
PepsiCo, Inc.
CS
713448108
12103
115673
SH
SOLE
4354
0
111319
Petrofac Ltd.
CS
716473103
54
10039
SH
SOLE
9028
0
1011
Pfizer Inc
CS
717081103
4495
138396
SH
SOLE
25072
0
113324
Philip Morris Int'l
CS
718172109
1281
14005
SH
SOLE
0
0
14005
Phillips 66
CS
718546104
537
6210
SH
SOLE
0
0
6210
Pinnacle West Capital Corp.
CS
723484101
337
4325
SH
SOLE
1695
0
2630
Pioneer Natural Resources
CS
723787107
252
1397
SH
SOLE
585
0
812
PRA Group, Inc.
CS
69354n106
344
8800
SH
SOLE
1000
0
7800
Preferred Bank
CS
740367404
422
8043
SH
SOLE
0
0
8043
Priceline Group Inc.
CS
741503403
4051
2763
SH
SOLE
141
0
2622
Procter & Gamble
CS
742718109
12179
144848
SH
SOLE
5070
0
139778
Profire Energy
CS
74316x101
35
25000
SH
SOLE
0
0
25000
PVH Corp
CS
693656100
405
4493
SH
SOLE
348
0
4145
Qorvo Inc
CS
74736K101
248
4696
SH
SOLE
1966
0
2730
Qualcomm Incorporated
CS
747525103
10201
156453
SH
SOLE
4372
0
152081
Quest Diagnostics Inc
CS
74834L100
401
4362
SH
SOLE
1261
0
3101
Raymond James Financial
CS
754730109
792
11436
SH
SOLE
2185
0
9251
Raytheon Company
CS
755111507
10211
71911
SH
SOLE
2482
0
69429
Regal Beloit Corp
CS
758750103
278
4008
SH
SOLE
1661
0
2347
Regions Financial Corp
CS
7591EP100
250
17384
SH
SOLE
0
0
17384
Reinsurance Group of America I
CS
759351604
302
2401
SH
SOLE
1005
0
1396
ResMed Inc
CS
761152107
856
13800
SH
SOLE
3000
0
10800
RingCentral, Inc.
CS
76680r206
103
5000
SH
SOLE
0
0
5000
RingCentral, Inc.
CS
76680r206
103
5000
SH
Put
SOLE
0
0
5000
Riverview Bancorp Inc
CS
769397100
258
36815
SH
SOLE
0
0
36815
Robert Half International
CS
770323103
645
13230
SH
SOLE
2875
0
10355
Roper Industries
CS
776696106
2097
11453
SH
SOLE
1752
0
9701
Royal Dutch Shell Plc Spon ADR
CS
780259206
319
5862
SH
SOLE
0
0
5862
Salesforce.com
CS
79466L302
638
9326
SH
SOLE
3069
0
6257
SAP SE Spon ADR
CS
803054204
489
5652
SH
SOLE
1503
0
4149
SBA Communications
CS
78410g104
517
5008
SH
SOLE
2073
0
2935
Scana Corp.
CS
80589M102
227
3100
SH
SOLE
0
0
3100
Schlumberger Limited
CS
806857108
4049
48233
SH
SOLE
1465
0
46768
Scripps Networks Interactive I
CS
811065101
665
9315
SH
SOLE
1750
0
7565
Sherwin Williams Company
CS
824348106
2952
10984
SH
SOLE
115
0
10869
Shire plc ADR
CS
82481R106
288
1691
SH
SOLE
112
0
1579
Signature Bank NY
CS
82669G104
1138
7576
SH
SOLE
2073
0
5503
Snap-On Inc
CS
833034101
870
5080
SH
SOLE
1125
0
3955
Southern Company
CS
842587107
225
4579
SH
SOLE
505
0
4074
Spectra Energy
CS
847560109
297
7230
SH
SOLE
1670
0
5560
Spirit Aerosystems
CS
848574109
408
7000
SH
SOLE
0
0
7000
Starbucks Corp
CS
855244109
1935
34852
SH
SOLE
6052
0
28800
State Street Corp.
CS
857477103
1748
22485
SH
SOLE
658
0
21827
Stericycle Inc
CS
858912108
261
3388
SH
SOLE
1419
0
1969
Sterling Bancorp Del
CS
85917a100
333
14218
SH
SOLE
0
0
14218
Stryker Corp.
CS
863667101
698
5826
SH
SOLE
85
0
5741
SVB Finl Group
CS
78486Q101
382
2224
SH
SOLE
879
0
1345
Synopsys Inc
CS
871607107
1266
21505
SH
SOLE
5444
0
16061
T. Rowe Price Associates Inc
CS
74144T108
964
12805
SH
SOLE
750
0
12055
Target
CS
87612E106
7326
101423
SH
SOLE
3053
0
98370
TCF Financial Corp.
CS
872275102
230
11731
SH
SOLE
4905
0
6826
Tesco ADR
CS
881575302
92
12037
SH
SOLE
10825
0
1212
Tesla Motors
CS
88160r101
276
1290
SH
SOLE
0
0
1290
Teva Pharmaceutical Inds
CS
881624209
887
24479
SH
SOLE
3133
0
21346
Texas Roadhouse
CS
882681109
938
19438
SH
SOLE
4050
0
15388
The Wendy's Company
CS
95058W100
239
17700
SH
SOLE
0
0
17700
Thermo Fisher Scientific Inc
CS
883556102
269
1906
SH
SOLE
325
0
1581
Time Warner Inc
CS
887317303
9795
101469
SH
SOLE
3657
0
97812
Tivo Corp.
CS
88870p106
350
16760
SH
SOLE
132
0
16628
TransCanada Corp
CS
89353d107
802
17761
SH
SOLE
1838
0
15923
Travelers Companies Inc
CS
89417E109
1176
9608
SH
SOLE
500
0
9108
Treehouse Foods Inc
CS
89469A104
378
5235
SH
SOLE
2193
0
3042
TripAdvisor
CS
896945201
447
9647
SH
SOLE
3988
0
5659
UDR Inc
CS
902653104
315
8646
SH
SOLE
0
0
8646
Under Armour Inc
CS
904311206
244
9706
SH
SOLE
4017
0
5689
Union Pacific Corp
CS
907818108
575
5550
SH
SOLE
320
0
5230
United Parcel Service Inc.
CS
911312106
3478
30342
SH
SOLE
1882
0
28460
United States Steel Corp
CS
912909108
241
7307
SH
SOLE
0
0
7307
United States Steel Corp
CS
912909108
238
7200
SH
Put
SOLE
0
0
7200
United Technologies
CS
913017109
2524
23022
SH
SOLE
0
0
23022
UnitedHealth Group Inc
CS
91324P102
12846
80270
SH
SOLE
2309
0
77961
UNUM Corp.
CS
91529Y106
331
7544
SH
SOLE
3160
0
4384
Valvoline Inc
CS
92047w101
230
10703
SH
SOLE
4485
0
6218
VCA, Inc.
CS
918194101
799
11635
SH
SOLE
2500
0
9135
Verizon Communications
CS
92343V104
8883
166413
SH
SOLE
4978
0
161435
VF Corp.
CS
918204108
216
4055
SH
SOLE
555
0
3500
Visa Inc Cl A
CS
92826C839
5684
72852
SH
SOLE
5699
0
67153
Vodafone Group PLC
CS
92857W308
219
8975
SH
SOLE
2586
0
6389
Vonage Holdings Corporation
CS
92886T201
125
18249
SH
SOLE
4476
0
13773
Vulcan Materials
CS
929160109
1158
9249
SH
SOLE
0
0
9249
Wabtec
CS
929740108
467
5625
SH
SOLE
2329
0
3296
Wal-Mart Stores Inc
CS
931142103
317
4580
SH
SOLE
483
0
4097
Walgreen Boots Alliance Inc
CS
931427108
454
5486
SH
SOLE
195
0
5291
WellCare Health Plans
CS
94946T106
280
2040
SH
SOLE
40
0
2000
Wells Fargo & Company
CS
949746101
12042
218502
SH
SOLE
7594
0
210908
Weyerhauser Corporation
CS
962166104
5176
172028
SH
SOLE
5825
0
166203
Williams Companies, Inc.
CS
969457100
585
18798
SH
SOLE
0
0
18798
Xcerra Corp
CS
98400j108
86
11286
SH
SOLE
2557
0
8729
Xilinx Inc
CS
983919101
1627
26950
SH
SOLE
0
0
26950
Xylem Inc
CS
98419M100
246
4977
SH
SOLE
1833
0
3144
Yum China Holdings Inc
CS
98850p109
316
12097
SH
SOLE
0
0
12097
Yum! Brands Inc.
CS
988498101
782
12353
SH
SOLE
0
0
12353
Zagg Inc.
CS
98884u108
71
10012
SH
SOLE
2472
0
7540
Zions Bancorp
CS
989701107
354
8223
SH
SOLE
3056
0
5167
Blackstone Mortgage Trust
RE
09257w100
284
9442
SH
SOLE
3955
0
5487
Brixmor Property Group
RE
11120u105
257
10514
SH
SOLE
4407
0
6107
Cedar Realty Trust Inc
RE
150602209
96
14772
SH
SOLE
3308
0
11464
Gramercy Property Trust
RE
385002308
312
34000
SH
SOLE
0
0
34000
Northern Funds Global RE Index
RE
665162541
133
13717
SH
SOLE
0
0
13717
NorthStar Asset Mgmt Group Inc
RE
66705y104
324
21735
SH
SOLE
0
0
21735
NorthStar Realty Finance Corp
RE
66704r803
249
16419
SH
SOLE
0
0
16419
Progressive Interchange LLC
RE
742995871
50
50000
SH
SOLE
0
0
50000
Retail Properties of America
RE
76131V202
427
27824
SH
SOLE
0
0
27824
Vanguard REIT Viper Index Seri
RE
922908553
554
6712
SH
SOLE
0
0
6712
Kinder Morgan Warrants Exp 5/2
WT
49456b119
0
10015
SH
SOLE
0
0
10015
Barclays S&P 500 due 7/26/17
SE
06741upv0
7257
6300000
SH
SOLE
990000
0
5310000
Barclays Spx Mid Note due 01-2
SE
06741ugh1
4201
3525000
SH
SOLE
130000
0
3395000
GS EEM Nt due 12/6/18
SE
40054kdn3
10672
9965000
SH
SOLE
405000
0
9560000
GS Russell 2000 Idx Due 5/20
SE
40054kpk6
6109
5935000
SH
SOLE
890000
0
5045000
GS S&P 400 Mid Nt due 4/9/19
SE
40054klz7
6301
6030000
SH
SOLE
50000
0
5980000
JPM EAFE Nt due 4/10/2019
SE
46646ey63
3868
3915000
SH
SOLE
250000
0
3665000
JPM Russell 2000 Nt due 4/10/1
SE
46646er95
2727
2620000
SH
SOLE
25000
0
2595000
JPM S&P 500 Nt due 12/6/18
SE
46646efz0
15000
14515000
SH
SOLE
610000
0
13905000
JPM S&P 500 Nt due 4/10/19
SE
46646er87
8283
8145000
SH
SOLE
475000
0
7670000
Morgan Stanley SPX due 2/8/18
SE
61761jx20
4804
4230000
SH
SOLE
125000
0
4105000
MS EEM Note due 03-13-17
SE
61761jll1
1847
1955000
SH
SOLE
155000
0
1800000
MS EEM Nt due 4/8/19
SE
61768cau1
4643
4945000
SH
SOLE
100000
0
4845000
MS EFA Nt Due 12/8/18
SE
61761j3a5
9602
9630000
SH
SOLE
450000
0
9180000
MS Euro 50 Note Due 9-22-17
SE
61761jxu8
1521
1595000
SH
SOLE
25000
0
1570000
MS EURO STOXX 50 due 2/8/18
SE
61761jw96
2380
2175000
SH
SOLE
100000
0
2075000
MS Int'l Note Due 5/11/17
SE
61761jzc6
5576
5725000
SH
SOLE
200000
0
5525000
MS XLE Note Due 5-19-17
SE
61761jut4
6251
6500000
SH
SOLE
100000
0
6400000
Antero Midstream Partners LP
ML
03673l103
2229
72197
SH
SOLE
6240
0
65957
Dominion Midstream Partners
ML
257454108
5797
196184
SH
SOLE
6095
0
190089
Enbridge Energy
ML
29250R106
408
16000
SH
SOLE
0
0
16000
Energy Transfer Equity LP
ML
29273V100
4056
210024
SH
SOLE
12000
0
198024
Enterprise Products Ptnrs
ML
293792107
10652
393950
SH
SOLE
24142
0
369808
EQT GP Holdings LP
ML
26885j103
698
27694
SH
SOLE
145
0
27549
EQT Midstream Partners, LP
ML
26885b100
8713
113626
SH
SOLE
10295
0
103331
Genesis Energy LP
ML
371927104
3106
86229
SH
SOLE
5012
0
81217
JPMorgan Alerian MLP Index
ML
46625H365
10560
334057
SH
SOLE
17577
0
316480
Magellan Midstream Ptnrs LP
ML
559080106
11251
148767
SH
SOLE
8368
0
140399
MPLX LP
ML
55336V100
4852
140160
SH
SOLE
5247
0
134913
Nextera Energy Partners Lp
ML
65341b106
2803
109748
SH
SOLE
7338
0
102410
Phillips 66 Partners LP Common
ML
718549207
2679
55087
SH
SOLE
3977
0
51110
Plains All Amern Pipeline
ML
726503105
436
13505
SH
SOLE
0
0
13505
Plains Group Holdings LP Cla
ML
72651a207
613
17662
SH
SOLE
0
0
17662
Shell Midstream Partners LP
ML
822634101
3394
116666
SH
SOLE
4035
0
112631
Spectra Energy Prtns
ML
84756N109
2116
46150
SH
SOLE
5116
0
41034
Sunoco Logistics Ptnrs
ML
86764L108
3677
153093
SH
SOLE
8962
0
144131
T C Pipelines
ML
87233Q108
974
16548
SH
SOLE
2498
0
14050
Tallgrass Energy LP
ML
874696107
717
26767
SH
SOLE
113
0
26654
Targa Resources Prtns Com St
ML
87612G101
3319
59196
SH
SOLE
4910
0
54286
Tesoro Logistics LP
ML
88160T107
3229
63544
SH
SOLE
117
0
63427
UBS E-TRACS Alerian MLP Infras
ML
902641646
23421
824401
SH
SOLE
41526
0
782875
Valero Energy Partners LP
ML
91914j102
7281
164468
SH
SOLE
12157
0
152311
Western Gas Equity Partners LP
ML
95825R103
4723
111515
SH
SOLE
2358
0
109157
Western Gas Partners
ML
958254104
4553
77486
SH
SOLE
10061
0
67425
Williams Partners LP
ML
96949l105
3689
96996
SH
SOLE
8478
0
88518
Deutsche X Tracks MSCI EAFE
EE
233051200
9872
351820
SH
SOLE
37276
0
314544
Diamonds Trust Series 1
EE
78467X109
697
3531
SH
SOLE
2667
0
864
Guggenheim Insider Sentiment E
EE
18383M209
271
5500
SH
SOLE
0
0
5500
Guggenheim S&P Healthcare Equa
EE
78355W841
7928
54329
SH
SOLE
3011
0
51318
iShares FTSE/Xinhua China25 In
EE
464287184
576
16601
SH
SOLE
0
0
16601
iShares Goldman Sachs Nat Res
EE
464287374
625
17393
SH
SOLE
4500
0
12893
iShares MSCI EAFE Index
EE
464287465
19856
343954
SH
SOLE
24340
0
319614
iShares MSCI Emerg Mkts Indx F
EE
464287234
8083
230883
SH
SOLE
29708
0
201175
iShares MSCI South Korea Index
EE
464286772
347
6527
SH
SOLE
5871
0
656
iShares NASDAQ Biotech Index
EE
464287556
1165
4390
SH
SOLE
0
0
4390
iShares Russell 1000
EE
464287622
968
7782
SH
SOLE
2800
0
4982
iShares Russell 1000 Growth In
EE
464287614
14540
138606
SH
SOLE
14861
0
123745
iShares Russell 1000 Value Ind
EE
464287598
9687
86466
SH
SOLE
11490
0
74976
iShares Russell 2000 Growth In
EE
464287648
6929
45012
SH
SOLE
3115
0
41897
iShares Russell 2000 Index
EE
464287655
22585
167484
SH
SOLE
11643
0
155841
iShares Russell 2000 Value Ind
EE
464287630
6518
54802
SH
SOLE
4527
0
50275
iShares Russell Mid Cap Growth
EE
464287481
415
4261
SH
SOLE
0
0
4261
iShares Russell Mid Cap Index
EE
464287499
1194
6676
SH
SOLE
0
0
6676
iShares Russell Mid Cap Value
EE
464287473
1169
14541
SH
SOLE
1050
0
13491
iShares S&P Global Technology
EE
464287291
352
3200
SH
SOLE
0
0
3200
iShares US Home Construction
EE
464288752
1230
44775
SH
SOLE
3750
0
41025
JP Morgan Diversified Return I
EE
46641q209
212
4341
SH
SOLE
0
0
4341
Powershares Dynamic Port
EE
73935x666
1774
63654
SH
SOLE
6992
0
56662
PowerShares QQQ
EE
73935A104
17611
148641
SH
SOLE
18782
0
129859
SPDR Energy Index
EE
81369Y506
902
11981
SH
SOLE
260
0
11721
SPDR Euro STOXX 50 ETF
EE
78463X202
5397
161310
SH
SOLE
13664
0
147646
SPDR Financial Index
EE
81369Y605
350
15070
SH
SOLE
0
0
15070
SPDR S&P 500 ETF
EE
78462F103
88452
395704
SH
SOLE
46895
0
348809
SPDR S&P Dividend ETF
EE
78464A763
21586
252291
SH
SOLE
27295
0
224996
SPDR S&P Int'l Small Cap Fd
EE
78463X871
702
24192
SH
SOLE
0
0
24192
SPDR S&P Mid Cap 400 ETF
EE
78467Y107
65067
215646
SH
SOLE
18895
0
196751
SPDR STOXX Europe 50 ETF
EE
78463X103
463
15500
SH
SOLE
5700
0
9800
SPDR Utilities Index
EE
81369Y886
211
4344
SH
SOLE
0
0
4344
Vaneck Vectors ETF TR
EE
92189f106
2646
126481
SH
SOLE
250
0
126231
Vaneck Vectors ETF TR
EE
92189f700
809
15765
SH
SOLE
1200
0
14565
Vanguard FTSE All-World Ex-US
EE
922042775
483
10942
SH
SOLE
0
0
10942
Vanguard FTSE Developed Market
EE
921943858
3270
89491
SH
SOLE
2372
0
87119
Vanguard FTSE Emerging Markets
EE
922042858
8283
231492
SH
SOLE
21588
0
209904
Vanguard Growth ETF
EE
922908736
398
3568
SH
SOLE
0
0
3568
Vanguard Information Technolog
EE
92204A702
446
3672
SH
SOLE
350
0
3322
Vanguard Small Cap Value Fund
EE
922908611
234
1933
SH
SOLE
0
0
1933
Vanguard Total Stock Market ET
EE
922908769
1383
11989
SH
SOLE
0
0
11989
WisdomTree Dividend Ex-Finl ET
EE
97717W406
205
2552
SH
SOLE
0
0
2552
WisdomTree Emerging Mkts SmCp
EE
97717W281
255
6526
SH
SOLE
500
0
6026
WisdomTree Int'l Small Cap Div
EE
97717W760
3766
62745
SH
SOLE
2007
0
60738
Wisdomtree Midcap Dividend
EE
97717w505
1928
20432
SH
SOLE
2095
0
18337
iShares Core MSCI EAFE
EZ
46432f842
9156
170717
SH
SOLE
12080
0
158637
iShares Core MSCI Emerging Mkt
EZ
46434g103
14774
348034
SH
SOLE
24030
0
324004
iShares Dow Jones US RE Index
EZ
464287739
1530
19892
SH
SOLE
0
0
19892
iShares MSCI EAFE Small Cap In
EZ
464288273
4878
97880
SH
SOLE
7431
0
90448
iShares S&P 500 Growth
EZ
464287309
5152
42299
SH
SOLE
12464
0
29835
iShares S&P 500 Index
EZ
464287200
34461
153168
SH
SOLE
7225
0
145943
iShares S&P Barra Value Index
EZ
464287408
5432
53581
SH
SOLE
7000
0
46581
iShares S&P Mid Cap 400 Growth
EZ
464287606
15073
82730
SH
SOLE
5783
0
76947
iShares S&P Mid Cap Barra Valu
EZ
464287705
13312
91676
SH
SOLE
3632
0
88044
iShares S&P Mid Cap Index
EZ
464287507
24254
146694
SH
SOLE
12413
0
134281
iShares S&P Small Cap 600 Grow
EZ
464287887
1456
9708
SH
SOLE
3900
0
5808
iShares S&P Small Cap 600 Valu
EZ
464287879
942
6730
SH
SOLE
2932
0
3798
iShares S&P Small Cap Index
EZ
464287804
10461
76072
SH
SOLE
7673
0
68399
iShares Select Dividend ETF
EZ
464287168
3605
40702
SH
SOLE
2190
0
38512
Ishares Trust High Dividend Eq
EZ
46429B663
270
3277
SH
SOLE
0
0
3277