0001332905-14-000012.txt : 20141113 0001332905-14-000012.hdr.sgml : 20141113 20141113095208 ACCESSION NUMBER: 0001332905-14-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141113 DATE AS OF CHANGE: 20141113 EFFECTIVENESS DATE: 20141113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RMB Capital Management, LLC CENTRAL INDEX KEY: 0001332905 IRS NUMBER: 593792751 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11714 FILM NUMBER: 141216582 BUSINESS ADDRESS: STREET 1: 115 S. LASALLE ST. STREET 2: 34TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 BUSINESS PHONE: (312) 993-5800 MAIL ADDRESS: STREET 1: 115 S. LASALLE ST. STREET 2: 34TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60603 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001332905 XXXXXXXX 09-30-2014 09-30-2014 RMB Capital Management, LLC

115 S. LASALLE ST. 34TH FLOOR CHICAGO IL 60603

13F HOLDINGS REPORT 028-11714 N Lisa M Tamburini 312-870-5685 Lisa M Tamburini Chicago IL 11-13-2014 8 652 1641519 false 1 0001027760 028-05920 DELAWARE CAPITAL MANAGEMENT INC 18 0000105692 028-01204 WHV Investment Management, Inc. 19 0001456133 028-13404 Convergence Investment Partners, LLC 20 0001207017 028-10469 LAZARD ASSET MANAGEMENT LLC 6 0001056823 028-06986 HORIZON ASSET MANAGEMENT LLC 8 0001015079 028-05620 BRANDES INVESTMENT PARTNERS, LP 32 0001109426 028-05621 SANTA BARBARA ASSET MANAGEMENT, LLC 31 0001009262 028-05358 LATEEF INVESTMENT MANAGEMENT, L.P. INFORMATION TABLE 2 inftable11.11.2014.xml INFORMATION TABLE A X A SPONSORED ADR F SPONSORE ADR 054536107 150 6075 SH OTR 18 0 0 6075 A X A SPONSORED ADR F SPONSORE ADR 054536107 137 5576 SH OTR 19 5576 0 0 AAC TECH HLDGS INC ADR F UNSPO ADR 000304105 174 3000 SH SOLE 3000 0 0 AAC TECH HLDGS INC ADR F UNSPO ADR 000304105 1874 32263 SH OTR 20 0 0 32263 ABB LTD ADR F SPONSORED ADR 1 ADR 000375204 2908 129742 SH OTR 01 0 0 129742 ABB LTD ADR F SPONSORED ADR 1 ADR 000375204 365 16281 SH OTR 19 16281 0 0 AGRIC BK OF CHINA ADR F UNSPON ADR 00850m102 112 10141 SH SOLE 10141 0 0 AGRIC BK OF CHINA ADR F UNSPON ADR 00850m102 1197 108099 SH OTR 20 0 0 108099 AMBEV SA ADR EACH REPRORD SPON ADR 02319v103 127 19418 SH OTR 19 19418 0 0 AMBEV SA ADR EACH REPRORD SPON ADR 02319v103 21 3254 SH OTR 20 0 0 3254 ANHEUSER BUSCH INBEV SA/NV-SPO ADR 03524A108 222 2000 SH OTR 19 2000 0 0 ANHUI CONCH CEM CO ADR F UNSPO ADR 035243104 178 11122 SH SOLE 11122 0 0 ANHUI CONCH CEM CO ADR F UNSPO ADR 035243104 1921 120312 SH OTR 20 0 0 120312 BAIDU INC ADR F SPONSORED ADR ADR 056752108 299 1370 SH SOLE 1370 0 0 BAIDU INC ADR F SPONSORED ADR ADR 056752108 3269 14979 SH OTR 20 0 0 14979 BAIDU INC ADR F SPONSORED ADR ADR 056752108 62 285 SH OTR 19 285 0 0 BANCO BRADESCO NEW ADR F SPONS ADR 059460303 187 13115 SH SOLE 13115 0 0 BANCO BRADESCO NEW ADR F SPONS ADR 059460303 2007 140847 SH OTR 20 0 0 140847 BANCO BRADESCO NEW ADR F SPONS ADR 059460303 42 2928 SH OTR 19 2928 0 0 BANCO SANTANDER SA ADR F SPONS ADR 05964h105 7 763 SH SOLE 763 0 0 BANCO SANTANDER SA ADR F SPONS ADR 05964h105 2073 218184 SH OTR 01 0 0 218184 BANCO SANTANDER SA ADR F SPONS ADR 05964h105 150 15786 SH OTR 19 15786 0 0 BANCOLOMBIA S A ADR F 1 ADR RE ADR 05968l102 255 4496 SH SOLE 4496 0 0 BANCOLOMBIA S A ADR F 1 ADR RE ADR 05968l102 2750 48483 SH OTR 20 0 0 48483 BANCOLOMBIA S A ADR F 1 ADR RE ADR 05968l102 2 39 SH OTR 19 39 0 0 BASF SE ADR F SPONSORED ADR 1 ADR 055262505 6 66 SH SOLE 66 0 0 BASF SE ADR F SPONSORED ADR 1 ADR 055262505 259 2822 SH OTR 18 0 0 2822 BASF SE ADR F SPONSORED ADR 1 ADR 055262505 167 1824 SH OTR 19 1824 0 0 BG GROUP PLC ADR F SPONSORED A ADR 055434203 1215 65720 SH OTR 01 0 0 65720 BG GROUP PLC ADR F SPONSORED A ADR 055434203 55 2957 SH OTR 19 2957 0 0 BHP BILLITON LTD SPONSORED ADR ADR 088606108 5 85 SH SOLE 85 0 0 BHP BILLITON LTD SPONSORED ADR ADR 088606108 545 9255 SH OTR 18 0 0 9255 BHP BILLITON LTD SPONSORED ADR ADR 088606108 178 3027 SH OTR 19 3027 0 0 BP PLC ADR (CNV INTO 6ORD USD0 ADR 055622104 195 4443 SH SOLE 4443 0 0 BP PLC ADR (CNV INTO 6ORD USD0 ADR 055622104 2140 48684 SH OTR 01 0 0 48684 BP PLC ADR (CNV INTO 6ORD USD0 ADR 055622104 113 2574 SH OTR 19 2574 0 0 BP PLC ADR (CNV INTO 6ORD USD0 ADR 055622104 4 90 SH OTR 08 0 0 90 BRITISH AMERN TOB PLC SPONSORE ADR 110448107 382 3377 SH OTR 18 0 0 3377 BRITISH AMERN TOB PLC SPONSORE ADR 110448107 125 1102 SH OTR 19 1102 0 0 CANON INC ADR EACH REP1 ORD NP ADR 138006309 1999 61353 SH OTR 01 0 0 61353 CANON INC ADR EACH REP1 ORD NP ADR 138006309 98 3011 SH OTR 19 3011 0 0 CANON INC ADR EACH REP1 ORD NP ADR 138006309 7 230 SH OTR 08 0 0 230 CHINA MERCHANTS BK ADR F UNSPO ADR 16950t102 69 8021 SH SOLE 8021 0 0 CHINA MERCHANTS BK ADR F UNSPO ADR 16950t102 735 85918 SH OTR 20 0 0 85918 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 1315 22390 SH OTR 01 0 0 22390 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 185 3143 SH OTR 19 3143 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 29 498 SH OTR 20 0 0 498 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 4 70 SH OTR 08 0 0 70 CHINA NATL MATLS CO ADRF UNSPO ADR 16948e100 99 21434 SH SOLE 21434 0 0 CHINA NATL MATLS CO ADRF UNSPO ADR 16948e100 1055 228955 SH OTR 20 0 0 228955 CHINA ST CONST INTL ADRF UNSPO ADR 16948h103 286 3853 SH SOLE 3853 0 0 CHINA ST CONST INTL ADRF UNSPO ADR 16948h103 3097 41684 SH OTR 20 0 0 41684 CYRELA BRAZIL RLTY ADR F SPONS ADR 23282c401 146 29009 SH SOLE 29009 0 0 CYRELA BRAZIL RLTY ADR F SPONS ADR 23282c401 1584 314248 SH OTR 20 0 0 314248 CYRELA BRAZIL RLTY ADR F SPONS ADR 23282c401 3 694 SH OTR 19 694 0 0 DAIMLER AG ADR F SPONSORED ADR ADR 233825108 10 135 SH SOLE 135 0 0 DAIMLER AG ADR F SPONSORED ADR ADR 233825108 1179 15372 SH OTR 01 0 0 15372 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 2322 153153 SH OTR 01 0 0 153153 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 59 3913 SH OTR 19 3913 0 0 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 3 175 SH OTR 08 0 0 175 DIAGEO PLC NEW ADR F SPONSORED ADR 25243q205 8416 72932 SH SOLE 72932 0 0 DIAGEO PLC NEW ADR F SPONSORED ADR 25243q205 378 3271 SH OTR 18 0 0 3271 DIAGEO PLC NEW ADR F SPONSORED ADR 25243q205 99 859 SH OTR 19 859 0 0 ENI ADR EACH REP 2 ORDEUR1(MGT ADR 26874r108 1815 38404 SH OTR 01 0 0 38404 ENI ADR EACH REP 2 ORDEUR1(MGT ADR 26874r108 76 1613 SH OTR 19 1613 0 0 ENI ADR EACH REP 2 ORDEUR1(MGT ADR 26874r108 7 140 SH OTR 08 0 0 140 ENSCO PLC CLASS A ADR G3157S106 242 5870 SH OTR 18 0 0 5870 ESTACIO PARTICIPACO ADRF 1SPON ADR 297319105 225 21627 SH SOLE 21627 0 0 ESTACIO PARTICIPACO ADRF 1SPON ADR 297319105 2417 232433 SH OTR 20 0 0 232433 EXXARO RESOURCES ADR F SPONSOR ADR 30231d109 189 16603 SH SOLE 16603 0 0 EXXARO RESOURCES ADR F SPONSOR ADR 30231d109 2032 178887 SH OTR 20 0 0 178887 GDF SUEZ SPON ADR ADR 36160B105 762 30379 SH OTR 01 0 0 30379 GDF SUEZ SPON ADR ADR 36160B105 169 6756 SH OTR 19 6756 0 0 GDF SUEZ SPON ADR ADR 36160B105 4 160 SH OTR 08 0 0 160 GERDAU SA SPONS ADR F SPONSORE ADR 373737105 199 41498 SH SOLE 41498 0 0 GERDAU SA SPONS ADR F SPONSORE ADR 373737105 2147 447369 SH OTR 20 0 0 447369 GERDAU SA SPONS ADR F SPONSORE ADR 373737105 19 4006 SH OTR 19 4006 0 0 GLAXOSMITHKLINE PLC SPONS ADR ADR 37733W105 32 698 SH SOLE 698 0 0 GLAXOSMITHKLINE PLC SPONS ADR ADR 37733W105 2716 59085 SH OTR 01 0 0 59085 GLAXOSMITHKLINE PLC SPONS ADR ADR 37733W105 170 3691 SH OTR 19 3691 0 0 GLAXOSMITHKLINE PLC SPONS ADR ADR 37733W105 8 180 SH OTR 08 0 0 180 GOL LINHAS AEREAS ADR F SPONSO ADR 38045r107 2221 461830 SH SOLE 461830 0 0 GRUPO FINANCIERO BANORTES A B ADR 40052p107 228 7122 SH SOLE 7122 0 0 GRUPO FINANCIERO BANORTES A B ADR 40052p107 2475 77298 SH OTR 20 0 0 77298 HDFC BANK LIMITED ADR F SPONSO ADR 40415f101 241 5176 SH SOLE 5176 0 0 HDFC BANK LIMITED ADR F SPONSO ADR 40415f101 2576 55299 SH OTR 20 0 0 55299 HDFC BANK LIMITED ADR F SPONSO ADR 40415f101 49 1043 SH OTR 19 1043 0 0 HENDERSON LAND DEVELOPMENTCO S ADR 425166303 0 14 SH SOLE 14 0 0 HENDERSON LAND DEVELOPMENTCO S ADR 425166303 142 21940 SH OTR 19 21940 0 0 HONDA MOTOR CO LTD ADR F SPONS ADR 438128308 1318 38438 SH OTR 01 0 0 38438 HONDA MOTOR CO LTD ADR F SPONS ADR 438128308 150 4387 SH OTR 19 4387 0 0 HONDA MOTOR CO LTD ADR F SPONS ADR 438128308 7 210 SH OTR 08 0 0 210 HSBC HLDGS PLC ADR NEW F SPONS ADR 404280406 15 300 SH SOLE 300 0 0 HSBC HLDGS PLC ADR NEW F SPONS ADR 404280406 252 4953 SH OTR 19 4953 0 0 HSBC HLDGS PLC ADR NEW F SPONS ADR 404280406 2 40 SH OTR 08 0 0 40 IBERDROLA S A ADR F SPONSORED ADR 450737101 1 29 SH SOLE 29 0 0 IBERDROLA S A ADR F SPONSORED ADR 450737101 3658 127660 SH OTR 01 0 0 127660 IBERDROLA S A ADR F SPONSORED ADR 450737101 59 2050 SH OTR 19 2050 0 0 ICICI BANK LTD ADR F SPONSORED ADR 45104g104 266 5425 SH SOLE 5425 0 0 ICICI BANK LTD ADR F SPONSORED ADR 45104g104 2856 58164 SH OTR 20 0 0 58164 ICICI BANK LTD ADR F SPONSORED ADR 45104g104 40 810 SH OTR 19 810 0 0 KAO CORP NEW ADR F SPONSORED A ADR 485537302 2088 53551 SH OTR 01 0 0 53551 KAO CORP NEW ADR F SPONSORED A ADR 485537302 50 1294 SH OTR 19 1294 0 0 KONINKLIJKE AHOLD NV SPONADR E ADR 500467105 2425 149724 SH OTR 01 0 0 149724 KONINKLIJKE AHOLD NV SPONADR E ADR 500467105 42 2610 SH OTR 19 2610 0 0 KONINKLIJKE AHOLD NV SPONADR E ADR 500467105 5 299 SH OTR 08 0 0 299 KONINKLIJKE PHILIPS N V NY REG ADR 500472303 212 6691 SH OTR 19 6691 0 0 LLOYDS BANKING GROUP PLC SPONS ADR 539439109 10 1987 SH SOLE 1987 0 0 LLOYDS BANKING GROUP PLC SPONS ADR 539439109 122 24169 SH OTR 19 24169 0 0 LOCALIZA RENT A CAR ADRF SPONS ADR 53956w300 149 10389 SH SOLE 10389 0 0 LOCALIZA RENT A CAR ADRF SPONS ADR 53956w300 1636 113933 SH OTR 20 0 0 113933 MITSUBISHI UFJ FINL ADRF SPONS ADR 606822104 109 19498 SH OTR 19 19498 0 0 MITSUBISHI UFJ FINL ADRF SPONS ADR 606822104 5 845 SH OTR 08 0 0 845 MIZUHO FINANCIAL GROUPADR EACH ADR 60687y109 60 16669 SH OTR 19 16669 0 0 NATIONAL GRID PLC ADR F SPONSO ADR 636274300 0 2 SH SOLE 2 0 0 NATIONAL GRID PLC ADR F SPONSO ADR 636274300 2613 36358 SH OTR 01 0 0 36358 NATIONAL GRID PLC ADR F SPONSO ADR 636274300 156 2164 SH OTR 19 2164 0 0 NESTLE S A REG B ADR F 1 ADR R ADR 641069406 29 400 SH SOLE 400 0 0 NESTLE S A REG B ADR F 1 ADR R ADR 641069406 2130 28973 SH OTR 01 0 0 28973 NESTLE S A REG B ADR F 1 ADR R ADR 641069406 536 7286 SH OTR 18 0 0 7286 NESTLE S A REG B ADR F 1 ADR R ADR 641069406 282 3836 SH OTR 19 3836 0 0 NEW ORIENTAL ED ADR F SPONSORE ADR 647581107 67 2885 SH SOLE 2885 0 0 NEW ORIENTAL ED ADR F SPONSORE ADR 647581107 715 30824 SH OTR 20 0 0 30824 NOKIA CORP ADR 654902204 60 7103 SH SOLE 7103 0 0 NOKIA CORP ADR 654902204 69 8181 SH OTR 19 8181 0 0 NOMURA HOLDINGS INC. ADREACH R ADR 65535h208 20 3340 SH SOLE 3340 0 0 NOMURA HOLDINGS INC. ADREACH R ADR 65535h208 70 11818 SH OTR 19 11818 0 0 NOVARTIS A G SPON ADR F SPONSO ADR 66987v109 42 451 SH SOLE 451 0 0 NOVARTIS A G SPON ADR F SPONSO ADR 66987v109 3739 39716 SH OTR 01 0 0 39716 NOVARTIS A G SPON ADR F SPONSO ADR 66987v109 799 8490 SH OTR 18 0 0 8490 NOVARTIS A G SPON ADR F SPONSO ADR 66987v109 386 4099 SH OTR 19 4099 0 0 NOVO-NORDISK A S ADR ADR 670100205 14 300 SH SOLE 300 0 0 NOVO-NORDISK A S ADR ADR 670100205 33 692 SH OTR 32 0 0 692 NOVO-NORDISK A S ADR ADR 670100205 157 3289 SH OTR 19 3289 0 0 NTT DOCOMO INC ADR F SPONSORED ADR 62942m201 885 52897 SH OTR 01 0 0 52897 NTT DOCOMO INC ADR F SPONSORED ADR 62942m201 63 3757 SH OTR 19 3757 0 0 OAO GAZPROM SPON ADR F SPONSOR ADR 368287207 68 9733 SH OTR 19 9733 0 0 OAO GAZPROM SPON ADR F SPONSOR ADR 368287207 19 2783 SH OTR 20 0 0 2783 OAO GAZPROM SPON ADR F SPONSOR ADR 368287207 2 340 SH OTR 08 0 0 340 ORANGE ADR EACH REPR 1ORD EUR4 ADR 684060106 2082 141260 SH OTR 01 0 0 141260 ORANGE ADR EACH REPR 1ORD EUR4 ADR 684060106 44 2988 SH OTR 19 2988 0 0 ORANGE ADR EACH REPR 1ORD EUR4 ADR 684060106 5 330 SH OTR 08 0 0 330 PANASONIC CORP ADR-EACHCNV INT ADR 69832a205 141 11840 SH OTR 19 11840 0 0 PETROLEO BRASILEIRO SAPETROBRA ADR 71654v101 220 14756 SH SOLE 14756 0 0 PETROLEO BRASILEIRO SAPETROBRA ADR 71654v101 2381 159893 SH OTR 20 0 0 159893 PETROLEO BRASILEIRO SAPETROBRA ADR 71654v101 35 2384 SH OTR 19 2384 0 0 PETROLEO BRASILEIRO SAPETROBRA ADR 71654v101 5 310 SH OTR 08 0 0 310 PETROLEUM GEO SERVICESASA ADS ADR 716599105 317 50000 SH SOLE 50000 0 0 PING AN ISNURANCE ADR F SPONSO ADR 72341e304 170 11336 SH SOLE 11336 0 0 PING AN ISNURANCE ADR F SPONSO ADR 72341e304 1832 122013 SH OTR 20 0 0 122013 PT BANK RAKYAT ADR F UNSPONSOR ADR 69366x100 168 9819 SH SOLE 9819 0 0 PT BANK RAKYAT ADR F UNSPONSOR ADR 69366x100 1797 105021 SH OTR 20 0 0 105021 PURE TECHNOLOGIES LTD F ADR 745915108 1812 250620 SH SOLE 250620 0 0 QBE INS GROUP ADR NEW F SPONSO ADR 74728g605 476 46656 SH OTR 01 0 0 46656 R W E AG SPON ADR F 1 ADR REP ADR 74975e303 1639 42044 SH OTR 01 0 0 42044 REED ELSEVIER NEW ADR F SPONSO ADR 758204200 1872 41434 SH OTR 01 0 0 41434 REED ELSEVIER NEW ADR F SPONSO ADR 758204200 37 810 SH OTR 19 810 0 0 RIO TINTO PLC SPONSORED ADR ADR 767204100 615 12505 SH OTR 18 0 0 12505 RIO TINTO PLC SPONSORED ADR ADR 767204100 138 2807 SH OTR 19 2807 0 0 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 314 8491 SH OTR 19 8491 0 0 ROYAL DUTCH SHELL A ADRF SPONS ADR 780259206 167 2200 SH SOLE 2200 0 0 ROYAL DUTCH SHELL A ADRF SPONS ADR 780259206 1941 25497 SH OTR 01 0 0 25497 ROYAL DUTCH SHELL A ADRF SPONS ADR 780259206 121 1589 SH OTR 19 1589 0 0 S A P SE ADR F SPONSORED ADR 1 ADR 803054204 10 135 SH SOLE 135 0 0 S A P SE ADR F SPONSORED ADR 1 ADR 803054204 1872 25937 SH OTR 01 0 0 25937 S A P SE ADR F SPONSORED ADR 1 ADR 803054204 94 1300 SH OTR 19 1300 0 0 SANDS CHINA LTD ADR F UNSPONSO ADR 80007r105 134 2574 SH SOLE 2574 0 0 SANDS CHINA LTD ADR F UNSPONSO ADR 80007r105 1457 27932 SH OTR 20 0 0 27932 SANOFI SPON ADR ADR 80105N105 18 315 SH SOLE 315 0 0 SANOFI SPON ADR ADR 80105N105 2798 49578 SH OTR 01 0 0 49578 SANOFI SPON ADR ADR 80105N105 231 4101 SH OTR 19 4101 0 0 SANOFI SPON ADR ADR 80105N105 7 130 SH OTR 08 0 0 130 SARTORIUS STEDIM ORD F ADR f8005v111 4179 25003 SH SOLE 25003 0 0 SBERBANK ADR F SPONSORED ADR 1 ADR 80585y308 180 23527 SH SOLE 23527 0 0 SBERBANK ADR F SPONSORED ADR 1 ADR 80585y308 1979 259071 SH OTR 20 0 0 259071 SBERBANK ADR F SPONSORED ADR 1 ADR 80585y308 47 6185 SH OTR 19 6185 0 0 SEVEN & I HLDG CO ADR F UNSPON ADR 81783h105 2018 26014 SH OTR 01 0 0 26014 SIEMENS A G SPONSORED ADR ISIN ADR 826197501 10 83 SH SOLE 83 0 0 SIEMENS A G SPONSORED ADR ISIN ADR 826197501 750 6299 SH OTR 19 6299 0 0 SINGAPORE TLCM ADR NEW F SPONS ADR 82929r304 1938 65042 SH OTR 01 0 0 65042 SINGAPORE TLCM ADR NEW F SPONS ADR 82929r304 45 1512 SH OTR 19 1512 0 0 STANDARD BK GRP NEW ADRF SPONS ADR 853118206 147 12701 SH SOLE 12701 0 0 STANDARD BK GRP NEW ADRF SPONS ADR 853118206 1585 137063 SH OTR 20 0 0 137063 TAIWAN SEMICONDUCTR ADRF SPONS ADR 874039100 425 21072 SH SOLE 21072 0 0 TAIWAN SEMICONDUCTR ADRF SPONS ADR 874039100 1900 94159 SH OTR 01 0 0 94159 TAIWAN SEMICONDUCTR ADRF SPONS ADR 874039100 4629 229396 SH OTR 20 0 0 229396 TAIWAN SEMICONDUCTR ADRF SPONS ADR 874039100 68 3383 SH OTR 19 3383 0 0 TAKEDA PHARMACEUTICALCO LTDSPO ADR 874060205 2033 93540 SH OTR 01 0 0 93540 TAKEDA PHARMACEUTICALCO LTDSPO ADR 874060205 53 2430 SH OTR 19 2430 0 0 TAKEDA PHARMACEUTICALCO LTDSPO ADR 874060205 4 170 SH OTR 08 0 0 170 TATA MOTORS LTD ADR F SPONSORE ADR 876568502 292 6680 SH SOLE 6680 0 0 TATA MOTORS LTD ADR F SPONSORE ADR 876568502 3152 72116 SH OTR 20 0 0 72116 TATA MOTORS LTD ADR F SPONSORE ADR 876568502 52 1187 SH OTR 19 1187 0 0 TAV HAVALIMANLARI ADR F UNSPON ADR 876704107 299 9314 SH SOLE 9314 0 0 TAV HAVALIMANLARI ADR F UNSPON ADR 876704107 3236 100823 SH OTR 20 0 0 100823 TECHTRONIC INDS CO ADR F 1 ADR ADR 87873r101 191 13240 SH SOLE 13240 0 0 TECHTRONIC INDS CO ADR F 1 ADR ADR 87873r101 2060 142528 SH OTR 20 0 0 142528 TELEFONICA SA ADR EA REPR1 ORD ADR 879382208 2420 157466 SH OTR 01 0 0 157466 TELEFONICA SA ADR EA REPR1 ORD ADR 879382208 62 4025 SH OTR 19 4025 0 0 TENARIS S A ADR F SPONSORED AD ADR 88031m109 628 13795 SH OTR 18 0 0 13795 TENARIS S A ADR F SPONSORED AD ADR 88031m109 8 172 SH OTR 19 172 0 0 TESCO PLC SPON ADR ISIN#US8815 ADR 881575302 1917 211719 SH OTR 01 0 0 211719 TESCO PLC SPON ADR ISIN#US8815 ADR 881575302 37 4089 SH OTR 19 4089 0 0 TESCO PLC SPON ADR ISIN#US8815 ADR 881575302 6 630 SH OTR 08 0 0 630 TEVA PHARM INDS LTD ADRF SPONS ADR 881624209 105 1949 SH SOLE 1949 0 0 TEVA PHARM INDS LTD ADRF SPONS ADR 881624209 2623 48796 SH OTR 01 0 0 48796 TEVA PHARM INDS LTD ADRF SPONS ADR 881624209 82 1530 SH OTR 19 1530 0 0 TMK OAO ADR F SPONSORED ADR 1 ADR 87260r300 238 26616 SH SOLE 26616 0 0 TMK OAO ADR F SPONSORED ADR 1 ADR 87260r300 2574 287282 SH OTR 20 0 0 287282 TOKIO MARINE HOLDINGSINC ADR E ADR 889094108 2344 75580 SH OTR 01 0 0 75580 TOKIO MARINE HOLDINGSINC ADR E ADR 889094108 5 147 SH OTR 08 0 0 147 TOKYO ELECTRON LTD ADR F UNSPO ADR 889110102 1280 78454 SH OTR 01 0 0 78454 TOTAL S A ADR F 1 ADR REP 1 OR ADR 89151e109 2863 44422 SH OTR 01 0 0 44422 TOTAL S A ADR F 1 ADR REP 1 OR ADR 89151e109 124 1920 SH OTR 19 1920 0 0 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 13 110 SH SOLE 110 0 0 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 457 3885 SH OTR 19 3885 0 0 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 5 40 SH OTR 08 0 0 40 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 2 21 SH OTR 01 0 0 21 UNILEVER N V NY SHS NEWF N Y R ADR 904784709 1 21 SH SOLE 21 0 0 UNILEVER N V NY SHS NEWF N Y R ADR 904784709 299 7523 SH OTR 18 0 0 7523 UNILEVER N V NY SHS NEWF N Y R ADR 904784709 92 2326 SH OTR 19 2326 0 0 UNILEVER N V NY SHS NEWF N Y R ADR 904784709 7 170 SH OTR 08 0 0 170 UNILEVER PLC ADR NEW F SPONSOR ADR 904767704 2649 63226 SH OTR 01 0 0 63226 UNILEVER PLC ADR NEW F SPONSOR ADR 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ADRF SPONS ADR 989825104 1692 56761 SH OTR 01 0 0 56761 ZURICH INSURANCE GP ADRF SPONS ADR 989825104 97 3245 SH OTR 19 3245 0 0 A F L A C INC COM 001055102 8237 141405 SH SOLE 141405 0 0 A F L A C INC COM 001055102 65 1114 SH OTR 19 1114 0 0 ABRAXAS PETROLEUM CORP NEVADA COM 003830106 2015 381547 SH SOLE 381547 0 0 ACCENTURE PLC CL A F COM g1151c101 12092 148697 SH SOLE 148697 0 0 ACCENTURE PLC CL A F COM g1151c101 34 417 SH OTR 32 0 0 417 ACCENTURE PLC CL A F COM g1151c101 87 1074 SH OTR 31 0 0 1074 ADVANCE AUTO PARTS INCCOM COM 00751y106 21588 165678 SH SOLE 165678 0 0 AFFILIATED MANAGERS GROUP COM 008252108 3028 15113 SH SOLE 15113 0 0 AGRIUM INC F COM 008916108 249 2795 SH OTR 18 0 0 2795 AGRIUM INC F COM 008916108 36 407 SH OTR 19 407 0 0 AIRGAS INC COM COM 009363102 16562 149683 SH SOLE 149683 0 0 AMERICAN TOWER CORP REIT COM 03027x100 11804 126070 SH SOLE 126070 0 0 AMERICAN VANGUARD CP COM 030371108 1142 101925 SH SOLE 101925 0 0 AMERICAN WATER WORKS CO COM 030420103 8622 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06 0 0 21392 WEST PHARMACEUTICAL SVCS INC COM 955306105 9367 209266 SH SOLE 209266 0 0 WESTERN UNION CO COM COM 959802109 4657 290363 SH SOLE 290363 0 0 WHITING PETE CORP NEWCOM COM 966387102 1965 25341 SH SOLE 25341 0 0 YADKIN FINANCIAL CORPORATION C COM 984305102 6975 384070 SH SOLE 384070 0 0 YANDEX N V CL A F CLASS A COM n97284108 245 8799 SH SOLE 8799 0 0 YANDEX N V CL A F CLASS A COM n97284108 2637 94891 SH OTR 20 0 0 94891 QBE INSURANCE GROUP NPV ISIN#A COM q78063114 494 48386 SH SOLE 48386 0 0 CAPSTONE INFRASTRUCTURE CORP C COM B3RZ3G5 3710 799081 SH SOLE 799081 0 0 ACCESS CO LTD NPV ISIN#JP31080 COM j0005l108 2396 443900 SH SOLE 443900 0 0 Alpine Electronics Inc COM j01134105 1444 87640 SH SOLE 87640 0 0 AMUSE INC NPV ISIN#JP312450000 COM j0142s107 4593 160930 SH SOLE 160930 0 0 ARGO GRAPHICS NPV ISIN#JP31261 COM zz7244796 4060 224540 SH SOLE 224540 0 0 BANDAI NAMCO HOLDINGSINC NPV I COM j48454102 1066 41520 SH SOLE 41520 0 0 CENTURY TOKYO LEASING CORP COM j05607106 660 24820 SH SOLE 24820 0 0 DENSO CORP NPV ISIN#JP35515000 COM j12075107 1403 30440 SH SOLE 30440 0 0 DIC CORP COM j1280g103 1285 572940 SH SOLE 572940 0 0 DTS CORPORATION NPV ISIN#JP354 COM j11907102 1440 68800 SH SOLE 68800 0 0 EIKEN CHEMICAL CO LTD COM j12831103 2181 127500 SH SOLE 127500 0 0 FAITH INC NPV ISIN#JP380269000 COM j1334k100 3895 421680 SH SOLE 421680 0 0 Futaba Corp Chiba COM j16758112 1085 72200 SH SOLE 72200 0 0 GS YUASA CORP COM j1770l109 1132 194300 SH SOLE 194300 0 0 INF DEVELOPMNT COM J2388G102 615 70600 SH SOLE 70600 0 0 JAPAN HOTEL REIT INVESTMENT COM J2761Q107 847 1391 SH SOLE 1391 0 0 KABU.COM SECURITIES COLTD NPV COM j29719101 1198 245160 SH SOLE 245160 0 0 KATO SANGYO CO NPV ISIN#JP3213 COM j3104n108 1802 85890 SH SOLE 85890 0 0 KING CO LTD NPV ISIN#JP3261200 COM j32878100 1476 367000 SH SOLE 367000 0 0 KOEI TECMO HOLDINGS COLTD NPV COM j8239a103 1545 95710 SH SOLE 95710 0 0 KOSE CORPORATION NPV ISIN#JP32 COM j3622s100 1551 36510 SH SOLE 36510 0 0 LIXIL GROUP CORP COM j3893w103 1161 54340 SH SOLE 54340 0 0 MARUZEN CO LTD NPV ISIN#JP3875 COM j40734105 1470 158000 SH SOLE 158000 0 0 MEDIKIT COM J4187P101 410 13100 SH SOLE 13100 0 0 MITSUI KNOWLEDGE INDUSTRY CO COM 041679662 2120 911500 SH SOLE 911500 0 0 OPT INC COM j61659108 3724 532500 SH SOLE 532500 0 0 OTSUKA CORPORATION NPV ISIN#JP COM j6243l115 1202 30226 SH SOLE 30226 0 0 PRONEXUS INC NPV ISIN#JP311900 COM j6415x103 2068 293320 SH SOLE 293320 0 0 SEVEN BANK COM J7164A104 1224 300220 SH SOLE 300220 0 0 SHOBUNSHA PUBLICATIONS INC COM j7447q108 390 60600 SH SOLE 60600 0 0 SOFT99 CORPORATION NPV ISIN#JP COM j7596y100 1273 205600 SH SOLE 205600 0 0 SOFTBANK CORP NPV ISIN#JP34361 COM j75963108 1188 16950 SH SOLE 16950 0 0 SOFTCREATE HOLDINGS CORPNPV IS COM zzc17u3n4 548 61200 SH SOLE 61200 0 0 SOTSU CO LTD NPV ISIN#JP343250 COM j76556109 660 20900 SH SOLE 20900 0 0 SRA HOLDINGS INC NPV ISIN#JP31 COM j7659s107 2671 177920 SH SOLE 177920 0 0 TOEI ANIMATION NPV ISIN#JP3560 COM j84453109 3535 135760 SH SOLE 135760 0 0 TOHOKUSHINSHA FILM CORPORATION COM j8514f108 1730 225800 SH SOLE 225800 0 0 ZUKEN INC NPV ISIN#JP341200000 COM j98974108 2712 269150 SH SOLE 269150 0 0 Boralex Inc COM 09950m300 5894 448537 SH SOLE 448537 0 0 CASELLA WASTE SYSTEMS INC CLAS COM 147448104 3135 814193 SH SOLE 814193 0 0 Forbes Energy Services COM 345143101 695 172490 SH SOLE 172490 0 0 INVESCO BOND FUND MUTUAL FUND COM 46132l107 5609 301868 SH SOLE 301868 0 0 Nuveen Select Quality Muni Fun COM 2532299 1099 80400 SH SOLE 80400 0 0 CHS INC CUMVPFD 8% PFD 12542r209 985 32712 SH SOLE 32712 0 0 ISHARES CORE S&P 500ETF ETF 464287200 590 2975 SH SOLE 2975 0 0 ISHARES RUS 1000 VAL ETF ETF 464287598 212 2115 SH SOLE 2115 0 0 ISHARES RUSSELL 2000 INDEX FUN ETF 464287655 624 5711 SH SOLE 5711 0 0 ISHARES RUSSELL 3000ETF ETF 464287689 4682 40089 SH SOLE 40089 0 0 ISHARES S&P 500 GROWTHETF ETF 464287309 1434 13429 SH SOLE 13429 0 0 SPDR S&P 500 ETF TRUST ETF 78462F103 317 1608 SH SOLE 1608 0 0 VANGUARD DIV APPRCIATION ETF 921908844 376 4887 SH SOLE 4887 0 0 VANGUARD FTSE EMERGING MARKETS ETF 922042858 357 8568 SH SOLE 8568 0 0 ALERIAN MLP ETF ETF 00162q866 1027 53571 SH SOLE 53571 0 0 ISHARES MSCI EAFE INDEX FUND ETF 464287465 16002 249558 SH SOLE 249558 0 0 ISHARES MSCI EMERGINGMARKETS E ETF 464287234 11115 267443 SH SOLE 267443 0 0 ISHARES S&P GLOBAL TIMBER & FO ETF 464288174 20891 423740 SH SOLE 423740 0 0 JAPAN SMALLER CAPTLZTN FD INC ETF 47109U104 24111 2488259 SH SOLE 2488259 0 0 VANGUARD REIT INDEX ETF ETF 922908553 984 13688 SH SOLE 13688 0 0 WISDOMTREE TRUST JAPANHEDGE EQ ETF 97717w851 36424 696173 SH SOLE 696173 0 0 FC HOLDINGS INC CL E CONV PFD PFD 302995154 94 20000 SH SOLE 20000 0 0 WINTHROP REALTY TRUST PFD 976391607 8502 325865 SH SOLE 325865 0 0 AMERICAN INTL GROUP INCWTS EXP WT acg874152 0 207685 SH SOLE 207685 0 0 WTS PORTER BANCORP INC WT PUR WT 736233115 0 43478 SH SOLE 43478 0 0 Elizabeth Arden, Inc. PUT rden4886 374 291900 SH SOLE 291900 0 0 Walter Energy Inc. PUT wlt160115 7233 3091400 SH SOLE 3091400 0 0 WLT 1/15/16 P 5 PUT wlt160115 648 277200 SH SOLE 277200 0 0 PUT USB OCT 42.00000 10/18/20 PUT 8GPBMZ0 4183 100000 SH SOLE 100000 0 0 PUT ACE OCT 100.0000 10/18/201 PUT 8C10099 2621 25000 SH SOLE 25000 0 0 PUT ALL OCT 60.00000 10/18/201 PUT 8GDYBZ4 4602 75000 SH SOLE 75000 0 0 PUT AXP OCT 85.00000 10/18/201 PUT 8GDYZH2 2188 25000 SH SOLE 25000 0 0 PUT BK OCT 39.00000 10/18/2014 PUT 8E09642 426 25000 SH SOLE 25000 0 0 PUT CMA OCT 48.00000 10/18/201 PUT 8GFBVV4 1246 25000 SH SOLE 25000 0 0 PUT MS OCT 34.00000 10/18/2014 PUT 9GFMKS4 3457 100000 SH SOLE 100000 0 0 PUT RNR OCT 100.0000 10/18/201 PUT 9GFQPM3 1499 15000 SH SOLE 15000 0 0 PUT SCHW OCT 26.00000 10/18/20 PUT 8GQFJJ9 1763 60000 SH SOLE 60000 0 0 PUT TRV OCT 92.50000 10/18/201 PUT 8GFTMR3 4697 50000 SH SOLE 50000 0 0 PUT WFC OCT 49.00000 10/18/201 PUT 8GFWJD3 2593 50000 SH SOLE 50000 0 0 PUT WFC OCT 50.00000 10/18/201 PUT 8GFWJD5 1296 25000 SH SOLE 25000 0 0 PUT XL OCT 32.00000 10/18/2014 PUT 8GFWVW1 1658 50000 SH SOLE 50000 0 0 PUT XLF OCT 23.00000 10/18/201 PUT 8GMQTN8 4634 200000 SH SOLE 200000 0 0 HYG 10/18/14 P 90.5 PUT hyg141018 2868 31200 SH SOLE 31200 0 0 SPY 10/18/14 P 195 PUT spy141018 7545 38300 SH SOLE 38300 0 0 WLT 10/18/14 C 3.5 CALL wlt141018 983 420200 SH SOLE 420200 0 0 WLT 10/18/14 C 4 CALL wlt141081 194 83300 SH SOLE 833 0 0