0001085146-16-003457.txt : 20160415 0001085146-16-003457.hdr.sgml : 20160415 20160414192112 ACCESSION NUMBER: 0001085146-16-003457 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160415 DATE AS OF CHANGE: 20160414 EFFECTIVENESS DATE: 20160415 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Round Table Services, LLC CENTRAL INDEX KEY: 0001375664 IRS NUMBER: 223671237 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12173 FILM NUMBER: 161572867 BUSINESS ADDRESS: STREET 1: 319 LENOX AVENUE CITY: WESTFIELD STATE: NJ ZIP: 07090 BUSINESS PHONE: 9087897310 MAIL ADDRESS: STREET 1: 319 LENOX AVENUE CITY: WESTFIELD STATE: NJ ZIP: 07090 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001375664 XXXXXXXX 03-31-2016 03-31-2016 false Round Table Services, LLC

319 LENOX AVENUE WESTFIELD NJ 07090

13F HOLDINGS REPORT 028-12173 N Ushir Shah 908-789-7310 /s/ Ushir Shah Westfield NJ 04-13-2016 0 117 160088 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ACCENTURE PLC IRELAND SHS CLASS A G1151C101 239 2068 SH DFND 0 0 2068 ADVANCE AUTO PARTS INC COM 00751Y106 492 3066 SH DFND 0 0 3066 ADVENT CLAY CONV SEC INC FD COM 007639107 291 53600 SH DFND 0 0 53600 ADVENT CLAYMORE CV SECS & IN COM 00764C109 194 14700 SH DFND 0 0 14700 ALLIANZGI NFJ DIVID INT & PR COM 01883A107 177 14400 SH DFND 0 0 14400 ALPHABET INC CAP STK CL A 02079K305 908 1190 SH DFND 0 0 1190 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 190 33900 SH DFND 0 0 33900 ALPINE TOTAL DYNAMIC DIVID F COM SH BEN INT N 021060207 141 18800 SH DFND 0 0 18800 ALTRIA GROUP INC COM 02209S103 206 3281 SH DFND 0 0 3281 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 172 10345 SH DFND 0 0 10345 APPLE INC COM 037833100 1966 24477 SH DFND 0 0 24477 ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 141 13800 SH DFND 0 0 13800 AT&T INC COM 00206R102 477 12170 SH DFND 0 0 12170 ATHENAHEALTH INC COM 04685W103 440 3168 SH DFND 0 0 3168 BERKSHIRE HATHAWAY INC DEL CL A 084670108 3629 17 SH DFND 0 0 17 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1661 11705 SH DFND 0 0 11705 BLACKROCK RES & COMM STRAT T SHS 09257A108 141 19500 SH DFND 0 0 19500 BOULDER GROWTH & INCOME FD I COM 101507101 203 25800 SH DFND 0 0 25800 BRISTOL MYERS SQUIBB CO COM 110122108 206 3226 SH DFND 0 0 3226 BROOKFIELD GLOBL LISTED INFR COM SHS 11273Q109 184 16200 SH DFND 0 0 16200 CALAMOS GBL DYN INCOME FUND COM 12811L107 193 27400 SH DFND 0 0 27400 CALPINE CORP COM NEW 131347304 1221 80500 SH DFND 0 0 80500 CISCO SYS INC COM 17275R102 861 30235 SH DFND 0 0 30235 CLAYMORE EXCHANGE TRD FD TR GUGG TIMBER ETF 18383Q879 333 14427 SH DFND 0 0 14427 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 166 17300 SH DFND 0 0 17300 CONSOLIDATED EDISON INC COM 209115104 291 3800 SH DFND 0 0 3800 COPART INC COM 217204106 584 14333 SH DFND 0 0 14333 CUSHING RENAISSANCE FD COM 231647108 175 12500 SH DFND 0 0 12500 DECKERS OUTDOOR CORP COM 243537107 303 5053 SH DFND 0 0 5053 DELAWARE ENHANCED GBL DIV & COM 246060107 174 19000 SH DFND 0 0 19000 DIVIDEND & INCOME FUND COM NEW 25538A204 192 17200 SH DFND 0 0 17200 DUFF & PHELPS GLB UTL INC FD COM 26433C105 369 23200 SH DFND 0 0 23200 DUKE REALTY CORP COM NEW 264411505 682 30271 SH DFND 0 0 30271 EBAY INC COM 278642103 404 16931 SH DFND 0 0 16931 ENTERPRISE PRODS PARTNERS L COM 293792107 200 8140 SH DFND 0 0 8140 EXXON MOBIL CORP COM 30231G102 389 4655 SH DFND 0 0 4655 FIDELITY NATL INFORMATION SV COM 31620M106 341 5388 SH DFND 0 0 5388 FORUM ENERGY TECHNOLOGIES IN COM 34984V100 1868 141550 SH DFND 0 0 141550 GDL FUND COM SH BEN IT 361570104 344 34300 SH DFND 0 0 34300 GENERAL ELECTRIC CO COM 369604103 225 7082 SH DFND 0 0 7082 HARRIS & HARRIS GROUP INC COM 413833104 65 39141 SH DFND 0 0 39141 HOUGHTON MIFFLIN HARCOURT CO COM 44157R109 277 13908 SH DFND 0 0 13908 INNERWORKINGS INC COM 45773Y105 86 10849 SH DFND 0 0 10849 INOVIO PHARMACEUTICALS INC COM NEW 45773H201 640 73500 SH DFND 0 0 73500 INTERNATIONAL BUSINESS MACHS COM 459200101 245 1614 SH DFND 0 0 1614 ISHARES TR S&P 100 ETF 464287101 4534 49627 SH DFND 0 0 49627 ISHARES TR SELECT DIVID ETF 464287168 3391 41520 SH DFND 0 0 41520 ISHARES TR CORE S&P500 ETF 464287200 3072 14866 SH DFND 0 0 14866 ISHARES TR CORE US AGGBD ET 464287226 582 5254 SH DFND 0 0 5254 ISHARES TR MSCI EMG MKT ETF 464287234 1582 46192 SH DFND 0 0 46192 ISHARES TR MSCI EAFE ETF 464287465 290 5079 SH DFND 0 0 5079 ISHARES TR RUS MID-CAP ETF 464287499 9682 59428 SH DFND 0 0 59428 ISHARES TR RUS 1000 VAL ETF 464287598 4306 43577 SH DFND 0 0 43577 ISHARES TR RUS 1000 GRW ETF 464287614 2811 28168 SH DFND 0 0 28168 ISHARES TR RUS 1000 ETF 464287622 14789 129647 SH DFND 0 0 129647 ISHARES TR RUS 2000 GRW ETF 464287648 1051 7926 SH DFND 0 0 7926 ISHARES TR RUSSELL 2000 ETF 464287655 5396 48776 SH DFND 0 0 48776 ISHARES TR CORE US VAL ETF 464287663 246 1914 SH DFND 0 0 1914 ISHARES TR RUSSELL 3000 ETF 464287689 1544 12776 SH DFND 0 0 12776 ISHARES TR U.S. ENERGY ETF 464287796 1326 38126 SH DFND 0 0 38126 ISHARES TR CORE S&P SCP ETF 464287804 6323 56166 SH DFND 0 0 56166 ISHARES TR EUROPE ETF 464287861 4200 107379 SH DFND 0 0 107379 ISHARES TR MSCI AC ASIA ETF 464288182 1625 29737 SH DFND 0 0 29737 ISHARES TR MSCI ACWI EX US 464288240 1337 33871 SH DFND 0 0 33871 ISHARES TR U.S. PFD STK ETF 464288687 222 5700 SH DFND 0 0 5700 ISHARES TR CORE MSCI EURO 46434V738 3725 90670 SH DFND 0 0 90670 JOHNSON & JOHNSON COM 478160104 473 4374 SH DFND 0 0 4374 JPMORGAN CHASE & CO COM 46625H100 525 8868 SH DFND 0 0 8868 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 5063 186898 SH DFND 0 0 186898 KELLOGG CO COM 487836108 696 9093 SH DFND 0 0 9093 KINDER MORGAN INC DEL COM 49456B101 967 54170 SH DFND 0 0 54170 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 5 140000 SH DFND 0 0 140000 KOPIN CORP COM 500600101 294 177000 SH DFND 0 0 177000 LAZARD WORLD DIVID & INCOME COM 521076109 183 20300 SH DFND 0 0 20300 LEGG MASON BW GLB INC OPP FD COM 52469B100 204 16500 SH DFND 0 0 16500 LEXICON PHARMACEUTICALS INC COM NEW 528872302 258 21611 SH DFND 0 0 21611 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 143 28700 SH DFND 0 0 28700 MADISON SQUARE GARDEN CO NEW CL A 55825T103 414 2487 SH DFND 0 0 2487 MARKET VECTORS ETF TR EMKT HIYLD BD 57061R403 690 30087 SH DFND 0 0 30087 MOLSON COORS BREWING CO CL B 60871R209 446 4638 SH DFND 0 0 4638 MORGAN STANLEY EMER MKTS DEB COM 61744H105 310 35300 SH DFND 0 0 35300 NEW MTN FIN CORP COM 647551100 14443 1142617 SH DFND 0 0 1142617 NORWEGIAN CRUISE LINE HLDGS SHS G66721104 455 8238 SH DFND 0 0 8238 NUVEEN REAL ASSET INC & GROW COM 67074Y105 180 11700 SH DFND 0 0 11700 PEOPLES UNITED FINANCIAL INC COM 712704105 161 10135 SH DFND 0 0 10135 PFIZER INC COM 717081103 743 25057 SH DFND 0 0 25057 PIMCO ETF TR TTL RTN ACTV ETF 72201R775 225 2130 SH DFND 0 0 2130 PIONEER FLOATING RATE TR COM 72369J102 1558 139263 SH DFND 0 0 139263 PLAINS GP HLDGS L P SHS A REP LTPN 72651A108 87 10000 SH DFND 0 0 10000 PRINCIPAL REAL ESTATE INCOME SHS BEN INT 74255X104 172 10400 SH DFND 0 0 10400 PROCTER & GAMBLE CO COM 742718109 685 8322 SH DFND 0 0 8322 RETROPHIN INC COM 761299106 820 60000 SH DFND 0 0 60000 RMR REAL ESTATE INCOME FUND COM 76970B101 322 16700 SH DFND 0 0 16700 ROYCE GLOBAL VALUE TR INC COM 78081T104 181 24600 SH DFND 0 0 24600 ROYCE VALUE TR INC COM 780910105 144 12270 SH DFND 0 0 12270 SEACOR HOLDINGS INC COM 811904101 236 4341 SH DFND 0 0 4341 SPDR S&P 500 ETF TR TR UNIT 78462F103 2794 13595 SH DFND 0 0 13595 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 3384 12880 SH DFND 0 0 12880 SPROTT FOCUS TR INC COM 85208J109 199 32600 SH DFND 0 0 32600 STONE HBR EMERG MKTS TL INC COM 86164W100 155 12532 SH DFND 0 0 12532 TEKLA WORLD HEALTHCARE FD BEN INT SHS 87911L108 164 11700 SH DFND 0 0 11700 TELIGENT INC NEW COM 87960W104 76 15577 SH DFND 0 0 15577 UBS AG LONDON BRH ETRAC ALER MLP 90267B682 8357 491884 SH DFND 0 0 491884 UNION PAC CORP COM 907818108 386 4856 SH DFND 0 0 4856 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 255 1351 SH DFND 0 0 1351 VANGUARD INDEX FDS REIT ETF 922908553 5169 61682 SH DFND 0 0 61682 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 3546 82169 SH DFND 0 0 82169 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1883 54440 SH DFND 0 0 54440 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 705 8810 SH DFND 0 0 8810 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 3512 97882 SH DFND 0 0 97882 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 983 7267 SH DFND 0 0 7267 VOYA INFRASTRUCTURE INDLS & COM 92912X101 131 10500 SH DFND 0 0 10500 WESTERN ASSET EMRG MKT INCM COM 95766E103 281 27400 SH DFND 0 0 27400 WESTERN ASSET WORLDWIDE INCO COM 957668106 183 17600 SH DFND 0 0 17600 WISDOMTREE TR LARGECAP DIVID 97717W307 434 5910 SH DFND 0 0 5910 WISDOMTREE TR WSDM EMKTBD FD 97717X784 991 14760 SH DFND 0 0 14760 ZOETIS INC CL A 98978V103 697 15721 SH DFND 0 0 15721