Managing Director

0000891092-17-007186.txt : 20171005 0000891092-17-007186.hdr.sgml : 20171005 20171005113624 ACCESSION NUMBER: 0000891092-17-007186 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171005 DATE AS OF CHANGE: 20171005 EFFECTIVENESS DATE: 20171005 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Crow Point Partners, LLC CENTRAL INDEX KEY: 0001384305 IRS NUMBER: 205509493 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12447 FILM NUMBER: 171123678 BUSINESS ADDRESS: STREET 1: 25 RECREATION PARK DRIVE STREET 2: SUITE 206 CITY: HINGHAM STATE: MA ZIP: 02043 BUSINESS PHONE: 781-545-5900 MAIL ADDRESS: STREET 1: 25 RECREATION PARK DRIVE STREET 2: SUITE 206 CITY: HINGHAM STATE: MA ZIP: 02043 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001384305 XXXXXXXX 09-30-2017 09-30-2017 false Crow Point Partners, LLC

25 Recreation Park Drive Suite 206 Hingham MA 02043

13F HOLDINGS REPORT 028-12447 N Peter DeCaprio Managing Director 781-875-3185 /s/ Peter DeCaprio Hingham MA 10-05-2017 0 237 624588 INFORMATION TABLE 2 infotable.xml Adjustable Rate Mortgage Trust 2005-5 6A22 1.79722 25-SEP-2035 BOND 007036LY0 77 78764 PRN SOLE 78764 0 0 Ameriquest Mortgage Securities 2003-11 AF6 5.64 25-DEC-2033 BOND 03072SLU7 5 4994 PRN SOLE 4994 0 0 Banc of America Funding 2006-2 Trust 2A18 5.75 25-MAR-2036 BOND 05949QAZ8 16 16823 PRN SOLE 16823 0 0 Countrywide Home Loans Asset-Backed Certificates Series 2002-S4 A5 5.216 25-OCT-2017 BOND 126671UD6 70 70457 PRN SOLE 70457 0 0 Citigroup Commercial Mortgage Trust 2008-C7 AMA 6.227363 10-DEC-2049 BOND 17313KAJ0 0 0 PRN SOLE 0 0 0 Dash II A1L 1.81 15-SEP-2035 BOND 25513TAA1 0 95918 PRN SOLE 95918 0 0 Equity One Mortgage Pass Through Trust 2003-4 M1 5.869 25-OCT-2034 BOND 294751DF6 28 29217 PRN SOLE 29217 0 0 Fremont Home Loan Trust 2005-B M4 1.94222 25-APR-2035 BOND 35729PJY7 89 93438 PRN SOLE 93438 0 0 GSAMP Trust 2005-SEA2 A1 1.58722 25-JAN-2045 BOND 362341TM1 33 33208 PRN SOLE 33208 0 0 JP Morgan Chase Commercial Mortgage Securities Trust 2012-CIBX A3 3.1388 15-JUN-2045 BOND 46637WAC7 312 307277 PRN SOLE 307277 0 0 Morgan Stanley Capital I Trust 2006-IQ11 AJ 6.282432 15-MAY-2016 BOND 617453AV7 69 68700 PRN SOLE 68700 0 0 Nomura Asset Acceptance Corporation Alternative Loan Trust Series 2005-AR2 2A2 3.692546 25-MAY-2035 BOND 65535VKD9 3 3456 PRN SOLE 3456 0 0 Option One Mortgage Loan Trust 2005-1 A4 2.03722 25-FEB-2035 BOND 68389FGJ7 17 17129 PRN SOLE 17129 0 0 RASC Series 2003-KS4 Trust AI6 3.87 25-JUN-2033 BOND 76110WRQ1 26 25592 PRN SOLE 25592 0 0 RASC Series 2004-KS2 Trust AI6 4.3 25-MAR-2034 BOND 76110WWG7 5 4870 PRN SOLE 4870 0 0 RAMP Series 2005-RS1 Trust AI6 4.713 25-NOV-2034 BOND 76112BHY9 10 9901 PRN SOLE 9901 0 0 Safeway Inc. EQUITY 786CVR209 0 750000 SH SOLE 0 0 750000 Safeway Inc. EQUITY 786CVR308 0 750000 SH SOLE 0 0 750000 Structured Asset Securities Corporation Mortgage Loan Trust 2006-WF1 M2 1.57722 25-FEB-2036 BOND 863576FJ8 373 400000 PRN SOLE 400000 0 0 SASC 2006-AM1 A4 Mtge BOND 86359XAD5 176 179500 PRN SOLE 179500 0 0 Washington Mutual Mortgage Pass-Through Certificates Series 2003-S12 2A 4.75 25-NOV-2018 BOND 92922FHP6 5 5080 PRN SOLE 5080 0 0 Washington Mutual Mortgage Pass-Through Certificates WMALT Series 2006-7 A1A 6.086 25-SEP-2036 BOND 93935HAA5 20 37375 PRN SOLE 37375 0 0 Crow Point Alternative Income Fund EQUITY 66538B610 4743 573554 SH SOLE 573554 0 0 Apple Inc. EQUITY 037833100 153 1000 SH SOLE 1000 0 0 Alabama Power Company 5 Cum Pfd Registered Shs A EQUITY 010392462 3599 140000 SH SOLE 0 0 140000 AllianceBernstein Holding L.P. EQUITY 01881G106 135 5564 SH SOLE 5564 0 0 GREENHUNTER WATER WARRANTS EQUITY 395990708 0 96112 SH SOLE 0 0 96112 AECOM EQUITY 00766T100 102 2754 SH SOLE 2754 0 0 Analog Devices Inc. EQUITY 032654105 140 1630 SH SOLE 1630 0 0 Automatic Data Processing Inc. EQUITY 053015103 182 1666 SH SOLE 1666 0 0 American Electric Power Company Inc. EQUITY 025537101 20798 295000 SH SOLE 0 0 295000 Armada Hoffler Properties Inc. EQUITY 04208T108 69 5000 SH SOLE 0 0 5000 Ashford Hospitality Prime Inc 5 1/2 Cum Conv Pfd Shs Series B EQUITY 044102507 951 47100 SH SOLE 0 0 47100 Arlington Asset Investment Corp. 6.625 01-MAY-2023 EQUITY 041356304 2496 100040 SH SOLE 0 0 100040 Alabama Power Company 6 1/2 Non Cum Pfd Shs EQUITY 010392470 2636 104573 SH SOLE 0 0 104573 Alabama Power Company Non Cumulative Pfd Shs EQUITY 010392488 1532 61087 SH SOLE 0 0 61087 ALLETE Inc. EQUITY 018522300 778 10000 SH SOLE 0 0 10000 Affiliated Managers Group Inc. EQUITY 008252108 192 1013 SH SOLE 1013 0 0 TD Ameritrade Holding Corporation EQUITY 87236Y108 102 2087 SH SOLE 2087 0 0 Amazon.com Inc. EQUITY 023135106 164 171 SH SOLE 171 0 0 Annaly Capital Management Inc Cum Conv Red Pfd Registered Shs Series F EQUITY 035710870 1022 40000 SH SOLE 0 0 40000 Aon plc EQUITY G0408V102 68 464 SH SOLE 464 0 0 Preferred Apartment Communities Inc. EQUITY 74039L103 5655 300000 SH SOLE 0 0 300000 American Water Works Company Inc. EQUITY 030420103 16898 208333 SH SOLE 8333 0 200000 American States Water Company EQUITY 029899101 482 9733 SH SOLE 9733 0 0 Alibaba Group Holding Ltd. Sponsored ADR EQUITY 01609W102 130 762 SH SOLE 762 0 0 BreitBurn Energy Partners L.P. 8.625 15-OCT-2020 BOND 106777AB1 291 4180000 PRN SOLE 0 0 4180000 Becton Dickinson and Company EQUITY 075887109 203 1048 SH SOLE 1048 0 0 SPDR Bloomberg Barclays 1-3 Month T-Bill ETF EQUITY 78464A680 1649 36053 SH SOLE 36053 0 0 Bank of America Corp Deposit Shs Repr 1/1000th Non-Cum Pfd Shs Series -CC- EQUITY 060505286 49 1900 SH SOLE 1900 0 0 Brown & Brown Inc. EQUITY 115236101 429 8885 SH SOLE 8885 0 0 British American Tobacco PLC Sponsored ADR EQUITY 110448107 0 1 SH SOLE 1 0 0 Blackstone Group L.P. EQUITY 09253U108 233 7000 SH SOLE 7000 0 0 CACI International Inc Class A EQUITY 127190304 608 4353 SH SOLE 4353 0 0 Avis Budget Group Inc. EQUITY 053774105 107 2802 SH SOLE 2802 0 0 CBOE Holdings Inc. EQUITY 12503M108 65 608 SH SOLE 608 0 0 Crown Castle International Corp EQUITY 22822V101 151 1500 SH SOLE 0 0 1500 Condor Hospitality Trust Inc. EQUITY 20676Y403 4940 475000 SH SOLE 0 0 475000 Crow Point Defined Risk Global Equity Income Fund CL I EQUITY 66538A562 646 75118 SH SOLE 75118 0 0 Check Point Software Technologies Ltd. EQUITY M22465104 554 4928 SH SOLE 4928 0 0 Chunghwa Telecom Co. Ltd Sponsored ADR EQUITY 17133Q502 11032 326013 SH SOLE 0 0 326013 Chatham Lodging Trust EQUITY 16208T102 6396 300000 SH SOLE 0 0 300000 Comerica Incorporated EQUITY 200340107 76 1000 SH SOLE 1000 0 0 Comcast Corporation Class A EQUITY 20030N101 17027 450200 SH SOLE 0 0 450200 CME Group Inc. Class A EQUITY 12572Q105 803 5909 SH SOLE 5909 0 0 CMS Energy Corporation EQUITY 125896100 27810 600000 SH SOLE 0 0 600000 CenterPoint Energy Inc. EQUITY 15189T107 8745 300000 SH SOLE 0 0 300000 Connecticut Light & Power Co 5.28 Cum.Red.Pfd Shs Series 1967 EQUITY 207597782 614 12000 SH SOLE 0 0 12000 CorEnergy Infrastructure Trust Inc. EQUITY 21870U502 626 18000 SH SOLE 0 0 18000 Costco Wholesale Corporation EQUITY 22160K105 354 2157 SH SOLE 2157 0 0 Chesapeake Utilities Corporation EQUITY 165303108 24 300 SH SOLE 0 0 300 Copart Inc. EQUITY 217204106 198 5784 SH SOLE 5784 0 0 iShares Core U.S. Credit Bond ETF EQUITY 464288620 400 3566 SH SOLE 3566 0 0 Barracuda Networks Inc. EQUITY 068323104 422 17548 SH SOLE 17548 0 0 CommVault Systems Inc. EQUITY 204166102 287 4696 SH SOLE 4696 0 0 California Water Service Group EQUITY 130788102 493 13031 SH SOLE 13031 0 0 Citigroup Inc EQUITY 172967424 934 12858 SH SOLE 12858 0 0 Tableau Software Inc. Class A EQUITY 87336U105 146 1956 SH SOLE 1956 0 0 PowerShares DB Oil Fund EQUITY 73936B507 549 62285 SH SOLE 62285 0 0 DDR Corp Deposit Shs Repr 1/20th 6.375 Cum Red Pfd Registered Shs A EQUITY 23317H870 166 6500 SH SOLE 0 0 6500 ProShares Ultra Oil & Gas EQUITY 74347R719 131 3727 SH SOLE 3727 0 0 United States Short Oil Fund LP EQUITY 912613205 341 5152 SH SOLE 5152 0 0 Physicians Realty Trust EQUITY 71943U104 3113 175000 SH SOLE 0 0 175000 Diana Shipping Inc 8 1/2 Notes 2015-15.5.20 Sr EQUITY Y2066G120 3192 125928 SH SOLE 0 0 125928 Dominion Energy Inc EQUITY 25746U109 20051 260300 SH SOLE 0 0 260300 Eagle Point Credit Company Inc 7.75 Pfd Registered Shs 2016-30.10.26 Series B EQUITY 269809307 131 5000 SH SOLE 0 0 5000 Vanguard Extended Duration Treasury ETF EQUITY 921910709 388 3328 SH SOLE 3328 0 0 Euronet Worldwide Inc. EQUITY 298736109 139 1479 SH SOLE 1479 0 0 iShares MSCI Emerging Markets ETF EQUITY 464287234 41 934 SH SOLE 934 0 0 iShares MSCI EAFE ETF EQUITY 464287465 0 0 SH SOLE 0 0 0 Edison International EQUITY 281020107 37621 485000 SH SOLE 0 0 485000 EQT Corporation EQUITY 26884L109 4880 75000 SH SOLE 0 0 75000 Eversource Energy EQUITY 30040W108 30588 505000 SH SOLE 0 0 505000 E TRADE Financial Corporation EQUITY 269246401 330 7639 SH SOLE 7639 0 0 Entergy Corporation EQUITY 29364G103 76 1000 SH SOLE 0 0 1000 WF Utility and Telecommunications Fund Class A EQUITY 94985D483 361 17089 SH SOLE 17089 0 0 Exelon Corporation EQUITY 30161N101 13688 366000 SH SOLE 0 0 366000 Entergy New Orleans Inc 4.36 Cum.Pfd Shs EQUITY 29364P202 567 5530 SH SOLE 0 0 5530 Facebook Inc. Class A EQUITY 30303M102 605 3585 SH SOLE 3585 0 0 First Data Corporation Class A EQUITY 32008D106 363 20317 SH SOLE 20317 0 0 FirstEnergy Corp. EQUITY 337932107 9021 300000 SH SOLE 0 0 300000 Fiserv Inc. EQUITY 337738108 280 2186 SH SOLE 2186 0 0 First Republic Bank EQUITY 33616C100 155 1500 SH SOLE 1500 0 0 First Republic Bank Deposit Shs Repr 1/40th Non Cum Perp Pfd Shs Series H EQUITY 33616C811 126 5000 SH SOLE 0 0 5000 Frontier Communications Corporation Class B EQUITY 35906A306 1675 136075 SH SOLE 2742 0 133333 First Trust Nasdaq Semiconductor ETF EQUITY 33738R811 4 146 SH SOLE 146 0 0 Georgia Power Co Non Cum Pfd Shs Series -2007A EQUITY 373334119 3175 31662 SH SOLE 0 0 31662 Gladstone Capital Corp 6 Cum Red Pfd Registered Shs Series -2024- EQUITY 376535506 630 25000 SH SOLE 0 0 25000 GE CAPITAL MTG SERVICES INC. BOND 36157RD85 3 2511 PRN SOLE 2511 0 0 SPDR Gold Trust EQUITY 78463V107 430 3521 SH SOLE 3521 0 0 Global Medical REIT Inc 7.5 Cum Conv Red Perp Pfd Registered Shs Series A EQUITY 37957W203 1740 70000 SH SOLE 0 0 70000 General Motors Company EQUITY 37045V100 96 2359 SH SOLE 2359 0 0 Global Net Lease Inc Cum Red Preferred Registered Shs Series A EQUITY 379378300 250 10000 SH SOLE 0 0 10000 Georgia Power Co 5 Notes 2017-01.10.77 Global Series 2017A EQUITY 373334440 1256 50000 SH SOLE 0 0 50000 GreenHunter Resources Inc 10 Cum Pfd Shs Series C EQUITY 39530A203 4 61786 SH SOLE 0 0 61786 Gastar Exploration Inc Cum Pfd Shs Series B EQUITY 36729P306 1033 56900 SH SOLE 0 0 56900 Great Plains Energy Incorporated EQUITY 391164100 9418 310000 SH SOLE 0 0 310000 ETFMG Prime Cyber Security ETF EQUITY 26924G201 175 5846 SH SOLE 5846 0 0 HD Supply Holdings Inc. EQUITY 40416M105 504 13959 SH SOLE 13959 0 0 Hertz Global Holdings Inc. EQUITY 42806J106 112 4727 SH SOLE 4727 0 0 HubSpot Inc. EQUITY 443573100 47 578 SH SOLE 578 0 0 iShares NASDAQ Biotechnology ETF EQUITY 464287556 350 1060 SH SOLE 1060 0 0 Intercontinental Exchange Inc. EQUITY 45866F104 478 6981 SH SOLE 6981 0 0 IDACORP Inc. EQUITY 451107106 2214 25000 SH SOLE 0 0 25000 iShares 7-10 Year Treasury Bond ETF EQUITY 464287440 396 3712 SH SOLE 3712 0 0 iShares U.S. Healthcare Providers ETF EQUITY 464288828 174 1185 SH SOLE 1185 0 0 Summit Hotel Properties Inc. EQUITY 866082100 1999 125000 SH SOLE 0 0 125000 iShares U.S. Aerospace & Defense ETF EQUITY 464288760 514 2874 SH SOLE 2874 0 0 iShares Russell 3000 ETF EQUITY 464287689 263 1768 SH SOLE 1768 0 0 iShares U.S. Technology ETF EQUITY 464287721 348 2339 SH SOLE 2339 0 0 Just Energy Group PFD A EQUITY 48213W200 7933 315000 SH SOLE 0 0 315000 Jack Henry & Associates Inc. EQUITY 426281101 28 274 SH SOLE 274 0 0 Kimbell Royalty Partners LP EQUITY 49435R102 3365 213000 SH SOLE 0 0 213000 Direxion Daily S&P Biotech Bull 3X Shares EQUITY 25490K323 84 1000 SH SOLE 1000 0 0 Tierra XP Latin America Real Estate ETF EQUITY 26924G508 1401 44658 SH SOLE 44658 0 0 Legg Mason Inc. 6 3/8 Notes 2016-15.3.56 EQUITY 524901501 11 400 SH SOLE 400 0 0 Landmark Infrastructure Partners LP EQUITY 51508J108 170 10000 SH SOLE 0 0 10000 Lockheed Martin Corporation EQUITY 539830109 398 1288 SH SOLE 1288 0 0 Alliant Energy Corp EQUITY 018802108 24520 588000 SH SOLE 0 0 588000 iShares iBoxx $ Investment Grade Corporate Bond ETF EQUITY 464287242 1406 11606 SH SOLE 11606 0 0 Mid-America Apartment Communities Inc. EQUITY 59522J103 363 3427 SH SOLE 3427 0 0 Mastercard Incorporated Class A EQUITY 57636Q104 11315 80709 SH SOLE 709 0 80000 Medley LLC 6 7/8 Notes 2016-15.08.26 EQUITY 58503Y105 2941 120000 SH SOLE 0 0 120000 Mondelez International Inc. Class A EQUITY 609207105 166 4096 SH SOLE 4096 0 0 Maiden Holdings Ltd 6.7 Red Pfd Registered Shs Series D EQUITY G5753U146 126 5000 SH SOLE 0 0 5000 MDU Resources Group Inc. EQUITY 552690109 13 500 SH SOLE 0 0 500 Mimecast Limited EQUITY G14838109 235 8287 SH SOLE 8287 0 0 MarketAxess Holdings Inc. EQUITY 57060D108 297 1622 SH SOLE 1622 0 0 Marathon Petroleum Corporation EQUITY 56585A102 128 2314 SH SOLE 2314 0 0 Microsoft Corporation EQUITY 594918104 179 2422 SH SOLE 2422 0 0 Morgan Stanley EQUITY 617446448 160 3323 SH SOLE 3323 0 0 Nasdaq Inc. EQUITY 631103108 370 4765 SH SOLE 4765 0 0 NextEra Energy Inc. EQUITY 65339F101 29398 200000 SH SOLE 0 0 200000 Newtek Business Services Corp. EQUITY 652526203 531 30000 SH SOLE 0 0 30000 Netflix Inc. EQUITY 64110L106 189 1036 SH SOLE 1036 0 0 New Jersey Resources Corporation EQUITY 646025106 17 400 SH SOLE 0 0 400 Navios Maritime Holdings Inc 8 5/8 Cum Red Perp Pfd Shs Sponsored American Deposit Receipt Repr 1/100th 8 5/8 CRPP-H EQUITY 63938Y308 935 59000 SH SOLE 0 0 59000 Northrop Grumman Corporation EQUITY 666807102 453 1592 SH SOLE 1592 0 0 ServiceNow Inc. EQUITY 81762P102 29 249 SH SOLE 249 0 0 NuStar Energy LP Cum Red Perp Pfd Units Series A EQUITY 67058H201 939 35000 SH SOLE 0 0 35000 NSTAR Electric Company 4.78 Pfd Shs EQUITY 67021C305 901 8830 SH SOLE 0 0 8830 NVIDIA Corporation EQUITY 67066G104 604 3436 SH SOLE 3436 0 0 NorthWestern Corporation EQUITY 668074305 5880 102411 SH SOLE 0 0 102411 Okta Inc. Class A EQUITY 679295105 277 9560 SH SOLE 9560 0 0 Oasis Midstream Partners LP EQUITY 67420T206 595 35000 SH SOLE 0 0 35000 Overstock.com Inc. EQUITY 690370101 192 6600 SH SOLE 6600 0 0 PG&E Corporation EQUITY 69331C108 8506 125000 SH SOLE 0 0 125000 Public Service Enterprise Group Inc EQUITY 744573106 11538 250000 SH SOLE 0 0 250000 Pennsylvania Real Estate Investment Trust 6.875 Cum Red Perp Registered Pfd Shs Series D EQUITY 709102701 125 5000 SH SOLE 0 0 5000 Proofpoint Inc. EQUITY 743424103 654 7444 SH SOLE 7444 0 0 PNM Resources Inc. EQUITY 69349H107 31775 775000 SH SOLE 0 0 775000 Perma-Pipe International Holdings Inc EQUITY 714167103 1610 183117 SH SOLE 0 0 183117 PowerShares Dynamic Semiconductors Portfolio EQUITY 73935X781 300 6133 SH SOLE 6133 0 0 PayPal Holdings Inc EQUITY 70450Y103 109 1703 SH SOLE 1703 0 0 ProShares Ultra QQQ EQUITY 74347R206 309 4876 SH SOLE 4876 0 0 Recon Capital NASDAQ 100 Covered Call ETF EQUITY 44053G108 510 21500 SH SOLE 0 0 21500 Raytheon Company EQUITY 755111507 427 2320 SH SOLE 2320 0 0 Saratoga Investment Corp 6.75 Notes 2016-30.12.23 EQUITY 80349A406 5186 200000 SH SOLE 0 0 200000 Safe Bulkers Inc 8 Cum Red Perp Pfd Shs Series D EQUITY Y7388L137 1091 50000 SH SOLE 0 0 50000 Scorpio Tankers Inc. 6.75 15-MAY-2020 EQUITY 80918T109 980 40000 SH SOLE 0 0 40000 Starbucks Corporation EQUITY 855244109 463 8491 SH SOLE 8491 0 0 SCE Trust VI 5 Cum Red Pfd Secs Series L EQUITY 78410V200 2699 107972 SH SOLE 0 0 107972 SCANA Corporation EQUITY 80589M102 2550 50000 SH SOLE 0 0 50000 Schwab U.S. Broad Market ETF EQUITY 808524102 707 11652 SH SOLE 11652 0 0 Schwab Emerging Markets Equity ETF EQUITY 808524706 480 18045 SH SOLE 18045 0 0 Schwab International Equity ETF EQUITY 808524805 408 12264 SH SOLE 12264 0 0 Schwab U.S. REIT ETF EQUITY 808524847 82 1988 SH SOLE 1988 0 0 ProShares UltraShort Bloomberg Crude Oil EQUITY 74347W668 459 13616 SH SOLE 13616 0 0 Santander Consumer USA Holdings Inc. EQUITY 80283M101 89 5848 SH SOLE 5848 0 0 Shenandoah Telecommunications Company EQUITY 82312B106 35485 940000 SH SOLE 0 0 940000 ProShares Short S&P500 EQUITY 74347B425 183 5674 SH SOLE 5674 0 0 South Jersey Industries Inc. EQUITY 838518108 11327 325400 SH SOLE 0 0 325400 SJW Group EQUITY 784305104 373 6502 SH SOLE 6502 0 0 Scorpio Bulkers Inc 7 1/2 Notes 2014-15.9.19 Sr EQUITY Y7546A114 2622 105000 SH SOLE 0 0 105000 iShares PHLX Semiconductor ETF EQUITY 464287523 814 5175 SH SOLE 5175 0 0 Spark Energy Inc. Class A EQUITY 846511103 15337 1015718 SH SOLE 0 0 1015718 ProShares UltraPro Short QQQ EQUITY 74348A160 274 10000 SH SOLE 10000 0 0 Spirit Realty 6 Series A Cum Red Pref EQUITY 84860W201 250 10000 SH SOLE 0 0 10000 Sempra Energy EQUITY 816851109 25196 219900 SH SOLE 0 0 219900 Sorrento Therapeutics Inc. EQUITY 83587F202 76 44565 SH SOLE 44565 0 0 Sarepta Therapeutics Inc. EQUITY 803607100 45 952 SH SOLE 952 0 0 SS&C Technologies Holdings Inc. EQUITY 78467J100 263 6604 SH SOLE 6604 0 0 ProShares UltraShort 20 Year Treasury EQUITY 74347B201 207 5804 SH SOLE 5804 0 0 TCF Financial Corp Deposit Shs Repr 1/1000th Non-Cum Pfd Shs Series C EQUITY 872275300 254 10000 SH SOLE 0 0 10000 Carlyle Group LP 5.875 Non Cum Red Perp Pfd Units Series A EQUITY 14309L201 63 2500 SH SOLE 0 0 2500 iShares 10-20 Year Treasury Bond ETF EQUITY 464288653 395 2895 SH SOLE 2895 0 0 SPDR Bloomberg Barclays Long Term Treasury ETF EQUITY 78464A664 394 5479 SH SOLE 5479 0 0 iShares 20 Year Treasury Bond ETF EQUITY 464287432 529 4251 SH SOLE 4251 0 0 Torchmark 5.875 Junior Sub Deb EQUITY 891027302 1065 41981 SH SOLE 0 0 41981 Tsakos Energy Navigation Ltd Cum Red Perp Pfd Registered Shs Series E EQUITY G9108L157 257 10000 SH SOLE 0 0 10000 TriplePoint Venture Growth BDC Corp 5.75 Notes 2017-15.07.22 Global EQUITY 89677Y308 932 37000 SH SOLE 0 0 37000 ProShares UltraPro QQQ EQUITY 74347X831 228 2037 SH SOLE 2037 0 0 Tesla Inc EQUITY 88160R101 34 100 SH SOLE 100 0 0 Take-Two Interactive Software Inc. EQUITY 874054109 81 798 SH SOLE 798 0 0 AT&T Inc. EQUITY 00206R102 5856 150000 SH SOLE 0 0 150000 Union Electric Co USD 4.56 Cum.Red.Pfd Shs EQUITY 906548607 1005 10000 SH SOLE 0 0 10000 U.S. Concrete Inc. EQUITY 90333L201 74 1000 SH SOLE 1000 0 0 Vanguard Intermediate-Term Government Bond ETF EQUITY 92206C706 398 6142 SH SOLE 6142 0 0 Vanguard REIT ETF EQUITY 922908553 47 568 SH SOLE 568 0 0 Vantiv Inc. Class A EQUITY 92210H105 286 4031 SH SOLE 4031 0 0 Vanguard S&P 500 ETF EQUITY 922908363 271 1180 SH SOLE 1180 0 0 Vanguard Telecommunication Services ETF EQUITY 92204A884 19 205 SH SOLE 205 0 0 Vanguard Utilities ETF EQUITY 92204A876 449 3836 SH SOLE 3836 0 0 Verint Systems Inc. EQUITY 92343X100 215 5091 SH SOLE 5091 0 0 Validus Holdings Ltd Deposit Shs Repr 1/1000th Non-Cum Pfd Registered Shs Series B EQUITY 91915W300 252 10000 SH SOLE 0 0 10000 Vanguard Total Stock Market ETF EQUITY 922908769 394 3055 SH SOLE 3055 0 0 Vanguard FTSE Emerging Markets ETF EQUITY 922042858 385 8929 SH SOLE 8929 0 0 Verizon Communications Inc. EQUITY 92343V104 6981 141291 SH SOLE 0 0 141291 Visa Inc. Class A EQUITY 92826C839 28237 270000 SH SOLE 0 0 270000 Waddell & Reed Financial Inc. Class A EQUITY 930059100 308 15473 SH SOLE 15473 0 0 Wheeler Real Estate Investment Trust Inc. Cum Conv Pfd Shs Series D EQUITY 963025606 4490 200000 SH SOLE 0 0 200000 W. R. Berkley Corporation EQUITY 084423102 309 4630 SH SOLE 4630 0 0 Aqua America Inc. EQUITY 03836W103 556 16748 SH SOLE 16748 0 0 Energy Select Sector SPDR Fund EQUITY 81369Y506 508 7423 SH SOLE 7423 0 0 Health Care Select Sector SPDR Fund EQUITY 81369Y209 52 642 SH SOLE 642 0 0 SPDR S&P Oil & Gas Exploration & Production ETF EQUITY 78464A730 292 8529 SH SOLE 8529 0 0 Scorpio Tankers Inc 8.25 Notes 2017-01.06.19 Global EQUITY Y7542C122 4050 160000 SH SOLE 0 0 160000