0001161722-18-000006.txt : 20180119 0001161722-18-000006.hdr.sgml : 20180119 20180119144519 ACCESSION NUMBER: 0001161722-18-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180119 DATE AS OF CHANGE: 20180119 EFFECTIVENESS DATE: 20180119 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HOLLENCREST CAPITAL MANAGEMENT CENTRAL INDEX KEY: 0001161722 IRS NUMBER: 954121065 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 18537034 BUSINESS ADDRESS: STREET 1: 100 BAYVIEW CIRCLE, SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 9498237744 MAIL ADDRESS: STREET 1: 100 BAYVIEW CIRCLE, SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: HOLLENCREST SECURITIES LLC DATE OF NAME CHANGE: 20030729 FORMER COMPANY: FORMER CONFORMED NAME: RND RESOURCES INC DATE OF NAME CHANGE: 20011031 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001161722 XXXXXXXX 12-31-2017 12-31-2017 HOLLENCREST CAPITAL MANAGEMENT

100 BAYVIEW CIRCLE, SUITE 500 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-06753 N Michelle Noe 8184814982 Michelle Noe Newport Beach CA 01-19-2018 0 524 763 false INFORMATION TABLE 2 inftable.xml 1/100 BERKSHIRE HTWY CLA 100 S COM 084990175 2678 900 SH SOLE 900 0 0 1/100000TH SPECTRUM GRP FRACTI COM jeh63m206 0 48467 SH OTR 0 0 48467 3M COMPANY COM 88579y101 149 634 SH SOLE 634 0 0 3M COMPANY COM 88579y101 153 650 SH OTR 0 0 650 ABBOTT LABORATORIES COM 002824100 76 1330 SH SOLE 1330 0 0 ABBOTT LABORATORIES COM 002824100 340 5956 SH OTR 0 0 5956 ABBVIE INC COM 00287y109 231 2391 SH SOLE 2391 0 0 ABBVIE INC COM 00287y109 93 963 SH OTR 0 0 963 ACADIA PHARMACEUTL COM 004225108 211 7000 SH SOLE 7000 0 0 ACADIA PHARMACEUTL COM 004225108 30 985 SH OTR 0 0 985 AIA GROUP LTD ORDF COM y002a1105 152 17800 SH SOLE 17800 0 0 ALACER GOLD CORP F COM 010679108 195 109650 SH SOLE 109650 0 0 ALACER GOLD CORP F COM 010679108 520 293410 SH OTR 0 0 293410 ALCOA CORP COM 013872106 239 4444 SH OTR 0 0 4444 ALPHABET INC. CLASS A COM 02079k305 692 657 SH SOLE 657 0 0 ALPHABET INC. CLASS A COM 02079k305 335 318 SH OTR 0 0 318 ALPHABET INC. CLASS C COM 02079k107 1256 1200 SH SOLE 1200 0 0 ALPHABET INC. CLASS C COM 02079k107 294 281 SH OTR 0 0 281 ALTABA INCORPORATED COM 021346101 513 7343 SH SOLE 7343 0 0 ALTRIA GROUP INC COM 02209s103 685 9594 SH SOLE 9594 0 0 ALTRIA GROUP INC COM 02209s103 967 13536 SH OTR 0 0 13536 AMAZON COM INC COM 023135106 1702 1455 SH SOLE 1445 0 10 AMAZON COM INC COM 023135106 8412 7193 SH OTR 0 0 7193 AMERICAN INTL GROUP COM 026874784 249 4183 SH SOLE 4183 0 0 AMERICAN INTL GROUP COM 026874784 0 1 SH OTR 0 0 1 AMGEN INC. COM 031162100 579 3332 SH SOLE 3332 0 0 AMGEN INC. 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41290 SH OTR 0 0 41290 WORKHORSE GROUP INC COM 98138j206 26 10000 SH OTR 0 0 10000 XILINX INC COM 983919101 552 8182 SH SOLE 8182 0 0 XILINX INC COM 983919101 165 2442 SH OTR 0 0 2442 AEGON N V F SPONSORED ADR 1 AD ADR 007924103 4 575 SH SOLE 0 0 575 AEGON N V F SPONSORED ADR 1 AD ADR 007924103 180 28500 SH OTR 0 0 28500 ALLIANZ SE F SPONSORED ADR 1 A ADR 018805101 155 6757 SH SOLE 6757 0 0 ALLIANZ SE F SPONSORED ADR 1 A ADR 018805101 689 30000 SH OTR 0 0 30000 BAIDU INC F SPONSORED ADR 1 AD ADR 056752108 388 1658 SH SOLE 1658 0 0 BAIDU INC F SPONSORED ADR 1 AD ADR 056752108 50 212 SH OTR 0 0 212 BAYER AG F SPONSORED ADR 1 ADR ADR 072730302 746 24000 SH OTR 0 0 24000 BP PLC F SPONSORED ADR 1 ADR R ADR 055622104 444 10556 SH SOLE 10556 0 0 BP PLC F SPONSORED ADR 1 ADR R ADR 055622104 291 6930 SH OTR 0 0 6930 C K HUTCHISON HOLDIN F SPONSOR ADR 12562y100 140 11145 SH SOLE 11145 0 0 C K HUTCHISON HOLDIN F SPONSOR ADR 12562y100 19 1475 SH OTR 0 0 1475 DEUTSCHE TELEKOM AG F SPONSORE ADR 251566105 60 3411 SH SOLE 3411 0 0 DEUTSCHE TELEKOM AG F SPONSORE ADR 251566105 433 24500 SH OTR 0 0 24500 ENEL SOCIETA PER AZIONI ADR ADR 29265W207 108 17673 SH SOLE 17673 0 0 KINGFISHER ADR ADR 495724403 111 11762 SH SOLE 11762 0 0 LLOYDS BANKING GROUP PLC ADR ADR 539439109 166 44396 SH SOLE 44396 0 0 PORSCHE AUTOMOBIL HO F SPONSOR ADR 73328p106 773 92700 SH OTR 0 0 92700 SIEMENS A G F SPONSORED ADR 1 ADR 826197501 970 14000 SH OTR 0 0 14000 TAIWAN SEMICONDUCTR F SPONSORE ADR 874039100 261 6578 SH SOLE 6578 0 0 TAIWAN SEMICONDUCTR F SPONSORE ADR 874039100 11895 300000 SH OTR 0 0 300000 TESCO PLC SPONS ADR ADR 881575302 124 14562 SH SOLE 14162 0 400 TESCO PLC SPONS ADR ADR 881575302 4 525 SH OTR 0 0 525 ALPS ALERIAN MLP ETF INDEX CEF 00162q866 340 31505 SH SOLE 31505 0 0 ALPS ALERIAN MLP ETF INDEX CEF 00162q866 14 1299 SH OTR 0 0 1299 DIREXION DAILY S&P 500 BULL 3X INDEX CEF 25459w862 222 5000 SH SOLE 5000 0 0 ENERGY SELECT SECTOR SPDR ETF INDEX CEF 81369y506 518 7165 SH SOLE 7165 0 0 ENERGY SELECT SECTOR SPDR ETF INDEX CEF 81369y506 306 4237 SH OTR 0 0 4237 GLOBAL X MSCI GREECE ETF INDEX CEF 37950e366 20 1900 SH SOLE 1900 0 0 GLOBAL X MSCI GREECE ETF INDEX CEF 37950e366 629 61210 SH OTR 0 0 61210 IQ HEDGE MULTI-STRATEGY TRACKE INDEX CEF 45409b107 511 16794 SH SOLE 16794 0 0 IQ HEDGE MULTI-STRATEGY TRACKE INDEX CEF 45409b107 83 2728 SH OTR 0 0 2728 ISHARES CORE MSCI EMERGING ETF INDEX CEF 46434g103 2282 40102 SH SOLE 40102 0 0 ISHARES CORE MSCI EMERGING ETF INDEX CEF 46434g103 59 1041 SH OTR 0 0 1041 ISHARES CORE S&P 500 ETF INDEX CEF 464287200 9924 36913 SH SOLE 18550 0 18363 ISHARES CORE S&P SMALL CAP ETF INDEX CEF 464287804 7627 99301 SH SOLE 98643 0 658 ISHARES CORE S&P SMALL CAP ETF INDEX CEF 464287804 1326 17257 SH OTR 0 0 17257 ISHARES CORE S&P US GROWTH ETF INDEX CEF 464287671 7133 132666 SH SOLE 79744 0 52922 ISHARES CORE S&P US GROWTH ETF INDEX CEF 464287671 698 12980 SH OTR 0 0 12980 ISHARES MSCI BRAZIL ETF INDEX CEF 464286400 485 12000 SH SOLE 12000 0 0 ISHARES MSCI BRAZIL ETF INDEX CEF 464286400 809 20000 SH OTR 0 0 20000 ISHARES MSCI EAFE ETF INDEX CEF 464287465 1767 25130 SH SOLE 13929 0 11201 ISHARES MSCI EAFE ETF INDEX CEF 464287465 1468 20877 SH OTR 0 0 20877 ISHARES MSCI EMERGING MARKETS INDEX CEF 464287234 222 4712 SH OTR 0 0 4712 ISHARES MSCI EUROZONE ETF INDEX CEF 464286608 11620 267861 SH SOLE 266485 0 1376 ISHARES MSCI EUROZONE ETF INDEX CEF 464286608 3094 71320 SH OTR 0 0 71320 ISHARES MSCI GERMANY ETF INDEX CEF 464286806 7396 224000 SH OTR 0 0 224000 ISHARES MSCI ITALY CAPPED ETF INDEX CEF 46434g830 118 3873 SH SOLE 3873 0 0 ISHARES MSCI ITALY CAPPED ETF INDEX CEF 46434g830 309 10150 SH OTR 0 0 10150 ISHARES MSCI TURKEY ETF INDEX CEF 464286715 739 17000 SH OTR 0 0 17000 ISHARES RUSSELL 1000 ETF INDEX CEF 464287622 3170 21334 SH OTR 0 0 21334 ISHARES RUSSELL 1000 GROWTH ET INDEX CEF 464287614 88 650 SH SOLE 650 0 0 ISHARES RUSSELL 1000 GROWTH ET INDEX CEF 464287614 3589 26649 SH OTR 0 0 26649 ISHARES RUSSELL 2000 ETF INDEX CEF 464287655 1095 7180 SH SOLE 7180 0 0 ISHARES RUSSELL 2000 ETF INDEX CEF 464287655 335 2200 SH OTR 0 0 2200 ISHARES RUSSELL 2000 GROWTH ET INDEX CEF 464287648 567 3035 SH OTR 0 0 3035 ISHARES RUSSELL 3000 ETF INDEX CEF 464287689 1037 6558 SH OTR 0 0 6558 ISHARES RUSSELL MID CAP ETF INDEX CEF 464287499 2124 10206 SH SOLE 5103 0 5103 ISHARES RUSSELL MID CAP ETF INDEX CEF 464287499 291 1400 SH OTR 0 0 1400 ISHARES RUSSELL MID CAP GROWTH INDEX CEF 464287481 197 1637 SH SOLE 1637 0 0 ISHARES RUSSELL MID CAP GROWTH INDEX CEF 464287481 20 162 SH OTR 0 0 162 ISHARES S&P 100 ETF INDEX CEF 464287101 2986 25169 SH OTR 0 0 25169 ISHARES S&P 500 GROWTH ETF INDEX CEF 464287309 271 1775 SH SOLE 1775 0 0 ISHARES S&P 500 GROWTH ETF INDEX CEF 464287309 70 460 SH OTR 0 0 460 ISHARES SELECT DIVIDEND ETF IV INDEX CEF 464287168 1886 19132 SH SOLE 9566 0 9566 ISHARES SELECT DIVIDEND ETF IV INDEX CEF 464287168 39 396 SH OTR 0 0 396 POWERSHARES QQQ TRUST SRS 1 ET INDEX CEF 73935a104 57212 367307 SH SOLE 359514 0 7793 POWERSHARES QQQ TRUST SRS 1 ET INDEX CEF 73935a104 6081 39044 SH OTR 0 0 39044 POWERSHARES S&P 500 LOW VOLAT INDEX CEF 73937b779 12685 265718 SH SOLE 261157 0 4561 POWERSHARES S&P 500 LOW VOLAT INDEX CEF 73937b779 880 18436 SH OTR 0 0 18436 PROSHARES ULTRASHORT FTSE EURO INDEX CEF 74348a434 682 22000 SH OTR 0 0 22000 SCHWAB INTERNATIONAL EQUITY ET INDEX CEF 808524805 290 8499 SH SOLE 8499 0 0 SCHWAB INTERNATIONAL EQUITY ET INDEX CEF 808524805 2 45 SH OTR 0 0 45 SCHWAB US BROAD MARKET ETF INDEX CEF 808524102 1129 17505 SH SOLE 17505 0 0 SCHWAB US BROAD MARKET ETF INDEX CEF 808524102 101 1570 SH OTR 0 0 1570 SCHWAB US LARGE CAP ETF INDEX CEF 808524201 1157 18137 SH SOLE 18137 0 0 SCHWAB US LARGE CAP ETF INDEX CEF 808524201 84 1324 SH OTR 0 0 1324 SELECT SECTOR HEALTH CARE SPDR INDEX CEF 81369y209 14622 176856 SH SOLE 173385 0 3471 SELECT SECTOR HEALTH CARE SPDR INDEX CEF 81369y209 1215 14700 SH OTR 0 0 14700 SELECT SECTOR UTI SELECT SPDR INDEX CEF 81369y886 1117 21206 SH SOLE 21206 0 0 SELECT STR FINANCIAL SELECT SP INDEX CEF 81369y605 7998 286568 SH SOLE 284750 0 1818 SELECT STR FINANCIAL SELECT SP INDEX CEF 81369y605 1005 35993 SH OTR 0 0 35993 SPDR EURO STOXX 50 ETF INDEX CEF 78463x202 1058 26000 SH OTR 0 0 26000 SPDR FUND CONSUMER DISCRE SELE INDEX CEF 81369y407 359 3637 SH SOLE 3637 0 0 SPDR FUND CONSUMER DISCRE SELE INDEX CEF 81369y407 30 300 SH OTR 0 0 300 SPDR S&P 500 ETF INDEX CEF 78462f103 102833 385344 SH SOLE 381332 0 4012 SPDR S&P 500 ETF INDEX CEF 78462f103 13156 49298 SH OTR 0 0 49298 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 3305 34976 SH SOLE 34884 0 92 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 890 9417 SH OTR 0 0 9417 SPDR S&P TRANSPORTATION ETF INDEX CEF 78464a532 1263 19390 SH SOLE 19390 0 0 TECHNOLOGY SELECT SECTOR SPDR INDEX CEF 81369y803 15553 243211 SH SOLE 239697 0 3514 TECHNOLOGY SELECT SECTOR SPDR INDEX CEF 81369y803 1187 18556 SH OTR 0 0 18556 VANECK VECTORS CHINAAMC CSI 30 INDEX CEF 92189f759 337 6972 SH OTR 0 0 6972 VANECK VECTORS GOLD MINERS ETF INDEX CEF 92189f106 116 5000 SH SOLE 5000 0 0 VANECK VECTORS GOLD MINERS ETF INDEX CEF 92189f106 482 20745 SH OTR 0 0 20745 VANECK VECTORS JR GOLD MINERS INDEX CEF 92189f791 171 5000 SH SOLE 5000 0 0 VANECK VECTORS JR GOLD MINERS INDEX CEF 92189f791 1502 44000 SH OTR 0 0 44000 VANGUARD DIVIDEND APPRECIATION INDEX CEF 921908844 3289 32234 SH SOLE 32234 0 0 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 12188 265485 SH SOLE 262269 0 3216 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 3489 75998 SH OTR 0 0 75998 VANGUARD HIGH DIVIDEND YIELD E INDEX CEF 921946406 245 2860 SH SOLE 2860 0 0 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908736 2790 19836 SH SOLE 19836 0 0 VANGUARD MEGA CAP GROWTH ETF INDEX CEF 921910816 900 8085 SH SOLE 8085 0 0 VANGUARD S&P 500 ETF INDEX CEF 922908363 1223 4985 SH OTR 0 0 4985 VANGUARD S&P MID CAP 400 ETF INDEX CEF 921932885 3069 24000 SH OTR 0 0 24000 VANGUARD S&P MID CAP 400 VALUE INDEX CEF 921932844 2922 24000 SH OTR 0 0 24000 VANGUARD SMALL CAP GROWTH ETF INDEX CEF 922908595 190 1181 SH SOLE 1181 0 0 VANGUARD SMALL CAP GROWTH ETF INDEX CEF 922908595 161 1000 SH OTR 0 0 1000 VANGUARD TOTAL STOCK MARKET ET INDEX CEF 922908769 72 526 SH SOLE 526 0 0 VANGUARD TOTAL STOCK MARKET ET INDEX CEF 922908769 2341 17056 SH OTR 0 0 17056 VANGUARD VALUE ETF INDEX CEF 922908744 12833 120703 SH SOLE 119046 0 1657 VANGUARD VALUE ETF INDEX CEF 922908744 895 8418 SH OTR 0 0 8418 WISDOMTREE EUROPE HEDGED EQTY INDEX CEF 97717x701 2256 35409 SH SOLE 35409 0 0 WISDOMTREE EUROPE HEDGED EQTY INDEX CEF 97717x701 19 300 SH OTR 0 0 300 WISDOMTREE JAPAN HEDGED EQUITY INDEX CEF 97717w851 7899 133142 SH SOLE 130631 0 2511 WISDOMTREE JAPAN HEDGED EQUITY INDEX CEF 97717w851 723 12179 SH OTR 0 0 12179 WISDOMTREE US DIV EX FINANCAL INDEX CEF 97717w406 636 7200 SH SOLE 7200 0 0 ISHARES 1-3 YEAR CREDIT BOND E ETF 464288646 6392 61140 SH SOLE 59016 0 2124 ISHARES 1-3 YEAR CREDIT BOND E ETF 464288646 681 6510 SH OTR 0 0 6510 ISHARES CORE US AGGREGATE BOND ETF 464287226 4122 37703 SH SOLE 20263 0 17440 ISHARES EM HGHYL BD ETF ETF 464286285 249 4978 SH SOLE 4978 0 0 ISHARES FLOATING RATE BOND ETF ETF 46429b655 456 8967 SH SOLE 8967 0 0 ISHARES FLOATING RATE BOND ETF ETF 46429b655 163 3215 SH OTR 0 0 3215 ISHARES IBOXX INVT GRADE BOND ETF 464287242 2849 23441 SH SOLE 13154 0 10287 ISHARES IBOXX INVT GRADE BOND ETF 464287242 161 1328 SH OTR 0 0 1328 ISHARES S&P U S PFD FUND S&P U ETF 464288687 815 21417 SH SOLE 21417 0 0 ISHARES S&P U S PFD FUND S&P U ETF 464288687 11 300 SH OTR 0 0 300 ISHARES TIPS BOND ETF ETF 464287176 3267 28640 SH SOLE 14320 0 14320 PIMCO 0-5 YEAR HIGH YLD BND ID ETF 72201r783 7212 71779 SH SOLE 70718 0 1061 PIMCO 0-5 YEAR HIGH YLD BND ID ETF 72201r783 540 5375 SH OTR 0 0 5375 PIMCO ACTIVE BOND ETF ETF 72201r775 7700 72643 SH SOLE 70882 0 1761 PIMCO ACTIVE BOND ETF ETF 72201r775 519 4895 SH OTR 135 0 0 PIMCO ENHANCED SHRT MATURTY AC ETF 72201r833 1163 11452 SH SOLE 11452 0 0 PIMCO ENHANCED SHRT MATURTY AC ETF 72201r833 487 4795 SH OTR 0 0 4795 POWERSHARES FINANCIAL PREFERRE ETF 73935x229 597 31655 SH SOLE 31655 0 0 POWERSHARES INTL CORPORATE BON ETF 73936q835 407 14760 SH SOLE 12390 0 2370 POWERSHARES INTL CORPORATE BON ETF 73936q835 75 2720 SH OTR 0 0 2720 POWERSHARES SENIOR LOAN ETF ETF 73936q769 1085 47073 SH SOLE 47073 0 0 POWERSHARES SENIOR LOAN ETF ETF 73936q769 126 5465 SH OTR 0 0 5465 SPDR BLMBRG BRCLY SHT TRM HGH ETF 78468r408 4025 146045 SH SOLE 145945 0 100 SPDR BLMBRG BRCLY SHT TRM HGH ETF 78468r408 241 8757 SH OTR 0 0 8757 SPDR DOUBLELINE TTL RTRN TTCL ETF 78467v848 4570 93949 SH SOLE 89506 0 4443 SPDR DOUBLELINE TTL RTRN TTCL ETF 78467v848 323 6637 SH OTR 0 0 6637 VANGUARD EMERGING MARKT GOVT B ETF 921946885 333 4153 SH SOLE 4153 0 0 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 4171 52600 SH SOLE 52117 0 483 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 155 1957 SH OTR 0 0 1957 VANGUARD TOTAL INTERNATIONAL B ETF 92203j407 1785 32834 SH SOLE 32758 0 76 VANGUARD TOTAL INTERNATIONAL B ETF 92203j407 122 2238 SH OTR 0 0 2238 ISHARES CALIFORNIA MUNI BOND E IDX MUNI FIX INC 464288356 202 3411 SH SOLE 3411 0 0 APOLLO GLOBAL MGMT LP LP 037612306 468 13973 SH OTR 0 0 13973 BLACKSTONE GROUP LP LP LP 09253u108 551 17200 SH SOLE 17200 0 0 BLACKSTONE GROUP LP LP LP 09253u108 1134 35402 SH OTR 0 0 35402 CARLYLE GROUP LP LP 14309l102 204 8923 SH OTR 0 0 8923 KKR & CO LP LP LP 48248m102 706 33500 SH SOLE 33500 0 0 KKR & CO LP LP LP 48248m102 381 18091 SH OTR 0 0 18091 POPE RESOURCES DEP LP LP 732857107 1367 19597 SH OTR 0 0 19597 Riverside Foxmoor Associates LP 000000000 0 85953 SH OTR 0 0 85953 WILLIAMS PARTNERS LP LP LP 96949l105 7855 202549 SH OTR 0 0 202549 FARM CREDIT BANK O 0PFD DUE 1 PFD 30767e307 1904 1600 SH SOLE 1600 0 0 HILLMAN GRP 11.6PFD DUE 09/30 PFD 43162l206 392 11402 SH OTR 0 0 11402 Security Etch Intl Sr-B Red/Cv PFD 000000000 0 20000 SH OTR 0 0 20000 TABERNA PREFERRED .01807/05/2 PFD 87330l200 0 2000000 SH SOLE 0 0 500000 ALLIANCEBERNSTEIN NTNL M NON-TAX CEF 01864u106 202 15040 SH SOLE 15040 0 0 BLACKOCK MUNIHOLDINGS IN NON-TAX CEF 09254p108 318 21760 SH SOLE 21760 0 0 BLACKOCK MUNIHOLDINGS IN NON-TAX CEF 09254p108 93 6380 SH OTR 0 0 6380 BLACKROCK CALIFORNIA MUN NON-TAX CEF 09248e102 113 8200 SH SOLE 8200 0 0 BLACKROCK CALIFORNIA MUN NON-TAX CEF 09248e102 74 5400 SH OTR 0 0 5400 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09248f109 436 30920 SH SOLE 29590 0 1330 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09248f109 2972 210926 SH OTR 0 0 210926 BLACKROCK MUNIHLDG CALIF NON-TAX CEF 09254l107 120 8445 SH SOLE 8445 0 0 BLACKROCK MUNIHLDG CALIF NON-TAX CEF 09254l107 97 6805 SH OTR 0 0 6805 BLACKROCK MUNIHOLDINGS C NON-TAX CEF 09253n104 171 10370 SH SOLE 10370 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254n103 494 33666 SH SOLE 33666 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254n103 5787 394749 SH OTR 0 0 394749 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254m105 594 40153 SH SOLE 40153 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254m105 1837 124173 SH OTR 0 0 124173 BLACKROCK MUNIYIELD CF NON-TAX CEF 09253w104 153 10530 SH SOLE 10530 0 0 BLACKROCK MUNIYIELD CF NON-TAX CEF 09253w104 95 6570 SH OTR 0 0 6570 BLACKROCK MUNIYIELD QUAL NON-TAX CEF 09254e103 307 22260 SH SOLE 22260 0 0 BLACKROCK MUNIYIELD QUAL NON-TAX CEF 09254e103 92 6655 SH OTR 0 0 6655 BLACKROCK MUNIYLD QUALIT NON-TAX CEF 09254g108 165 12630 SH SOLE 12630 0 0 DEUTSCHE MUNI INCOME TR NON-TAX CEF 25160c106 234 19660 SH SOLE 19660 0 0 DREYFUS STRATEGIC MUNICI NON-TAX CEF 26202f107 237 27740 SH SOLE 27740 0 0 DREYFUS STRATEGIC MUNICI NON-TAX CEF 261932107 229 26460 SH SOLE 26460 0 0 EATON VANCE CALIF MUNICI NON-TAX CEF 27828a100 116 10090 SH SOLE 10090 0 0 INVESCO ADVANTAGE MUNI INCOME NON-TAX CEF 46132e103 43 3800 SH SOLE 3800 0 0 INVESCO ADVANTAGE MUNI INCOME NON-TAX CEF 46132e103 102 8930 SH OTR 0 0 8930 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 155 12310 SH SOLE 12310 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 37 2962 SH OTR 0 0 2962 INVESCO MUNI OPPORTUNITY TRUST NON-TAX CEF 46132c107 152 12270 SH SOLE 12270 0 0 INVESCO MUNICIPAL TRUST NON-TAX CEF 46131j103 150 12000 SH SOLE 12000 0 0 INVESCO TRUST FOR INVT GRADE M NON-TAX CEF 46131m106 142 10760 SH SOLE 10760 0 0 INVESCO TRUST FOR INVT GRADE M NON-TAX CEF 46131m106 100 7560 SH OTR 0 0 7560 INVESCO VALUE MUNI INCM TRUST NON-TAX CEF 46132p108 171 11500 SH SOLE 11500 0 0 NUVEEN AMT FREE MNCPL CR NON-TAX CEF 67071l106 343 22239 SH SOLE 21065 0 1174 NUVEEN AMT FREE QUALITY NON-TAX CEF 670657105 673 48938 SH SOLE 48938 0 0 NUVEEN AMT FREE QUALITY NON-TAX CEF 670657105 51 3700 SH OTR 0 0 3700 NUVEEN CLIFORNIA QULTY M NON-TAX CEF 67066y105 843 58906 SH SOLE 56766 0 2140 NUVEEN CLIFORNIA QULTY M NON-TAX CEF 67066y105 34 2391 SH OTR 0 0 2391 NUVEEN ENHANCED MUNICIPA NON-TAX CEF 67074m101 313 22020 SH SOLE 20860 0 1160 NUVEEN ENHANCED MUNICIPA NON-TAX CEF 67074m101 95 6715 SH OTR 0 0 6715 NUVEEN MUNI HIGH INC OPP NON-TAX CEF 670682103 315 23140 SH SOLE 23140 0 0 NUVEEN QUALITY MUNICIPAL NON-TAX CEF 67066v101 701 49840 SH SOLE 49840 0 0 NUVEN CALIFOR AMT FREE Q NON-TAX CEF 670651108 176 11449 SH SOLE 11449 0 0 NUVEN CALIFOR AMT FREE Q NON-TAX CEF 670651108 0 17 SH OTR 0 0 17 PIMCO CALIFOR MUNI INCM NON-TAX CEF 72201c109 147 14040 SH SOLE 12400 0 1640 PIMCO MUNICIPAL INCOME C NON-TAX CEF 72200r107 239 18413 SH OTR 0 0 18413 PIMCO MUNICIPAL INCOME I NON-TAX CEF 72200w106 352 26745 SH SOLE 26745 0 0 PIMCO MUNICIPAL INCOME I NON-TAX CEF 72201a103 138 11910 SH SOLE 11910 0 0 WESTERN ASST MNGD MUNCPL NON-TAX CEF 95766m105 447 31780 SH SOLE 31780 0 0 WESTERN ASST MNGD MUNCPL NON-TAX CEF 95766m105 92 6520 SH OTR 0 0 6520 BLACKROCK TAXABL MUNI BN TAXABLE MUNI CEF 09248x100 442 19075 SH SOLE 19075 0 0 BLACKROCK TAXABL MUNI BN TAXABLE MUNI CEF 09248x100 197 8484 SH OTR 0 0 8484 1/100000 INSIGHT SEL INC TAXABLE CEF efh81w105 0 49520 SH OTR 0 0 49520 BLACKROCK FLOAT RATE INC TAXABLE CEF 09255x100 223 16140 SH SOLE 16140 0 0 BLACKROCK FLOAT RATE INC TAXABLE CEF 09255x100 30 2164 SH OTR 0 0 2164 BLACKROCK LIMITED DURATI TAXABLE CEF 09249w101 162 10212 SH SOLE 10212 0 0 CALAMOS CONVERTIBLE AND TAXABLE CEF 12811p108 87 7340 SH SOLE 7340 0 0 CALAMOS CONVERTIBLE AND TAXABLE CEF 12811p108 43 3625 SH OTR 0 0 3625 CALAMOS CONVERTIBLE OPPO TAXABLE CEF 128117108 838 74875 SH SOLE 74875 0 0 CALAMOS CONVERTIBLE OPPO TAXABLE CEF 128117108 88 7900 SH OTR 0 0 7900 DOUBLELINE INCOME SOLUTI TAXABLE CEF 258622109 278 13790 SH SOLE 13790 0 0 DOUBLELINE INCOME SOLUTI TAXABLE CEF 258622109 469 23250 SH OTR 0 0 23250 EATON VANCE LIMITED DURA TAXABLE CEF 27828h105 83 6089 SH SOLE 3855 0 2234 EATON VANCE LIMITED DURA TAXABLE CEF 27828h105 183 13420 SH OTR 0 0 13420 FIRST TRUST INT DUR PRF TAXABLE CEF 33718w103 338 13868 SH SOLE 13868 0 0 IVY HIGH INCOME OPPORTUN TAXABLE CEF 465893105 160 10585 SH SOLE 10585 0 0 NUVEEN PREF AND INCM SEC TAXABLE CEF 67072c105 154 15089 SH SOLE 15089 0 0 NUVEEN PREFERRED INCOME TAXABLE CEF 67073b106 223 21587 SH SOLE 21587 0 0 NUVEEN PREFERRED INCOME TAXABLE CEF 67073b106 100 9649 SH OTR 0 0 9649 NUVEEN SENIOR INCOME CF TAXABLE CEF 67067y104 65 10000 SH OTR 0 0 10000 PIMCO CORPORATE OPPORTUN TAXABLE CEF 72201b101 209 12713 SH SOLE 12713 0 0 PIMCO CORPORATE OPPORTUN TAXABLE CEF 72201b101 502 30475 SH OTR 0 0 30475 PIMCO DYNMC CRDT AND MRT TAXABLE CEF 72202d106 132 5888 SH SOLE 5888 0 0 PIMCO DYNMC CRDT AND MRT TAXABLE CEF 72202d106 285 12700 SH OTR 0 0 12700 PIMCO INCOME OPPORTUNITY TAXABLE CEF 72202b100 158 6101 SH SOLE 6101 0 0 PIMCO INCOME OPPORTUNITY TAXABLE CEF 72202b100 86 3300 SH OTR 0 0 3300 PIMCO INCOME STRATEGY II TAXABLE CEF 72201j104 168 16144 SH SOLE 16144 0 0 PIMCO INCOME STRATEGY II TAXABLE CEF 72201j104 30 2833 SH OTR 0 0 2833 WELLS FARGO INCOME OPPOR TAXABLE CEF 94987b105 161 19197 SH SOLE 11300 0 7897 WELLS FARGO INCOME OPPOR TAXABLE CEF 94987b105 3 300 SH OTR 0 0 300 WELLS FARGO MULTI SECTOR TAXABLE CEF 94987d101 37 2795 SH SOLE 1098 0 1697 WELLS FARGO MULTI SECTOR TAXABLE CEF 94987d101 102 7844 SH OTR 0 0 7844 WESTERN ASST HIGH INCM I TAXABLE CEF 95766j102 85 12160 SH SOLE 12160 0 0 BLACKROCK ENHANCED EQUIT CEFS 09251a104 473 51271 SH OTR 0 0 51271 BLACKROCK ENHANCED GLOBA CEFS 092501105 50 4000 SH SOLE 4000 0 0 BLACKROCK ENHANCED GLOBA CEFS 092501105 1149 91873 SH OTR 0 0 91873 BLACKROCK ENHANCED INTER CEFS 092524107 545 83568 SH OTR 0 0 83568 BLACKROCK ENHCD CAPITL A CEFS 09256a109 256 15600 SH SOLE 15600 0 0 CLOUGH GLOBAL OPPORTUNIT CEFS 18914e106 135 12400 SH OTR 0 0 12400 COHEN MLP INCOME AND ENE CEFS 19249b106 205 19980 SH SOLE 17900 0 2080 EATON VANCE RISK MAN DIV CEFS 27829g106 109 11350 SH SOLE 11350 0 0 EATON VANCE RISK MAN DIV CEFS 27829g106 67 7000 SH OTR 0 0 7000 EATON VNCE MGD GLBL BUY CEFS 27829c105 275 23100 SH SOLE 23100 0 0 FIDUCIARY/CLAYMORE MLP O CEFS 31647q106 384 29185 SH SOLE 29185 0 0 JOHN HANCOCK PREMIUM DIV CEFS 41013t105 308 18000 SH SOLE 18000 0 0 MORGAN STANLEY ASIA PACI CEFS 61744u106 644 35000 SH OTR 0 0 35000 ROYCE VALUE CF CEFS 780910105 170 10500 SH SOLE 10500 0 0 VOYA GLOBAL EQUITY DVD P CEFS 92912t100 105 13600 SH SOLE 13600 0 0 SPROTT PHYSICAL GOLD & S COMMOD TXBLE CEF 85208r101 3650 272400 SH OTR 0 0 272400 SPROTT PHYSICAL GOLD ETV COMMOD TXBLE CEF 85207h104 841 79394 SH OTR 0 0 79394 FIRST TRUST NORTH AMERICAN ENE ETFS 33738d101 1016 41351 SH SOLE 41351 0 0 FIRST TRUST NORTH AMERICAN ENE ETFS 33738d101 7 300 SH OTR 0 0 300 VANECK VECTORS RUSSIA ETF ETFS 92189f403 2497 117735 SH OTR 0 0 117735 ISHARES GOLD ETF ETF 464285105 58 4629 SH SOLE 4629 0 0 ISHARES GOLD ETF ETF 464285105 188 15000 SH OTR 0 0 15000 ISHARES SILVER TRUST ETF ETF 46428q109 13 840 SH SOLE 840 0 0 ISHARES SILVER TRUST ETF ETF 46428q109 164 10255 SH OTR 0 0 10255 SPDR GOLD SHARES ETF ETF 78463v107 321 2596 SH SOLE 2596 0 0 SPDR GOLD SHARES ETF ETF 78463v107 215 1735 SH OTR 0 0 1735 EATON VANCE TAX ADVANTAG CEFS 27828g107 1234 53023 SH SOLE 51223 0 1800 EATON VANCE TAX ADVANTAG CEFS 27828g107 256 11005 SH OTR 1800 0 11005 EATON VANCE TAX MAN GL D CEFS 27829f108 99 10600 SH SOLE 10600 0 0 EATON VANCE TX ADVNT GLB CEFS 27828u106 598 23545 SH SOLE 23545 0 0 EATON VANCE TX ADVNT GLB CEFS 27828u106 294 11562 SH OTR 0 0 11562 GABELLI EQUITY CF CEFS 362397101 313 50638 SH SOLE 50638 0 0 GABELLI EQUITY CF CEFS 362397101 1022 165174 SH OTR 0 0 165174 NUVEEN TAX ADVNTGD DIVDN CEFS 67073g105 263 14970 SH SOLE 14970 0 0 Q L T INC WTS F WARRANTS EXP U WT 746992171 0 30000 SH OTR 0 0 30000 Q L T INC WTS F WARRANTS EXP U WT 746992189 0 30000 SH OTR 0 0 30000 ALTAIR - CLO EQUITY FUND ETF 000000000 75 79176 SH OTR 0 0 79176 ALTAIR - DIRECT LENDINGFUND LL ETF zzc99d246 154 118049 SH OTR 0 0 118049 ALTAIR - GOLUB CAPITAL VIIILP ETF 92299q117 222 221387 SH OTR 0 0 221387 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 114 94410 SH OTR 0 0 94410 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 114 94410 SH OTR 0 0 94410 ALTAIR - SECONDARIES FUND ETF 000000000 43 25743 SH OTR 0 0 25743 ALTAIR - SENIOR HOUSING FUND I ETF 021LU1558 73 74744 SH OTR 0 0 74744 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 109 93587 SH OTR 0 0 93587 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 273 233968 SH OTR 0 0 233968 ISHARES COHEN AND STEERS REIT ETF 464287564 2164 21360 SH SOLE 20988 0 372 ISHARES COHEN AND STEERS REIT ETF 464287564 177 1748 SH OTR 0 0 1748 ISHARES US REAL ESTATE ETF ETF 464287739 567 7000 SH SOLE 7000 0 0 VANGUARD REIT ETF ETF 922908553 1614 19449 SH SOLE 19129 0 320 VANGUARD REIT ETF ETF 922908553 62 750 SH OTR 0 0 750