Chief Compliance Officer

0001085146-17-000398.txt : 20170209 0001085146-17-000398.hdr.sgml : 20170209 20170209171000 ACCESSION NUMBER: 0001085146-17-000398 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170209 DATE AS OF CHANGE: 20170209 EFFECTIVENESS DATE: 20170209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Brown Advisory Securities, LLC CENTRAL INDEX KEY: 0001389479 IRS NUMBER: 753014089 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12353 FILM NUMBER: 17588450 BUSINESS ADDRESS: STREET 1: 901 SOUTH BOND STREET, SUITE 400 CITY: BALTIMORE STATE: MD ZIP: 21231-3340 BUSINESS PHONE: (410) 537-5502 MAIL ADDRESS: STREET 1: 901 SOUTH BOND STREET, SUITE 400 CITY: BALTIMORE STATE: MD ZIP: 21231-3340 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001389479 XXXXXXXX 12-31-2016 12-31-2016 Brown Advisory Securities, LLC

901 SOUTH BOND STREET, SUITE 400 BALTIMORE MD 21231-3340

13F HOLDINGS REPORT 028-12353 N Brett D. Rogers Chief Compliance Officer 410 537-5486 /s/ Brett D. Rogers Baltimore MD 02-06-2017 0 332 366810 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y101191010689SHDFND 0010689ABBOTT LABSCOM002824100140836511SHDFND 0036511ABBVIE INCCOM00287Y109283545230SHDFND 0045230ACCENTURE PLC IRELANDSHS CLASS AG1151C101358530571SHDFND 0030571ACNB CORPCOM00086810952316746SHDFND 0016746ACUITY BRANDS INCCOM00508Y1023471504SHDFND 001504ADOBE SYS INCCOM00724F1014474347SHDFND 004347ADVANCE AUTO PARTS INCCOM00751Y1062421435SHDFND 001435AETNA INC NEWCOM00817Y1084353524SHDFND 003524AFLAC INCCOM0010551022523594SHDFND 003594AIR LEASE CORPNOTE 3.875%12/000912XAK01411000PRNDFND 0011000AIR PRODS & CHEMS INCCOM0091581064553176SHDFND 003176AKAMAI TECHNOLOGIES INCCOM00971T1014546770SHDFND 006770ALIBABA GROUP HLDG LTDSPONSORED ADS01609W10293510614SHDFND 0010614ALLERGAN PLCSHSG0177J1085692708SHDFND 002708ALPHABET INCCAP STK CL C02079K10746836064SHDFND 006064ALPHABET INCCAP STK CL A02079K30574539385SHDFND 009385ALTRIA GROUP INCCOM02209S103175225868SHDFND 0025868AMAZON COM INCCOM023135106936312506SHDFND 0012506AMERICAN EXPRESS COCOM02581610986911725SHDFND 0011725AMERICAN TOWER CORP NEWCOM03027X100220920922SHDFND 0020922AMGEN INCCOM031162100182512505SHDFND 0012505AMPHENOL CORP NEWCL A0320951013765609SHDFND 005609ANADARKO PETE CORPCOM0325111076148791SHDFND 008791ANNALY CAP MGMT INCCOM03571040911011027SHDFND 0011027ANTARES PHARMA INCCOM036642106641275000SHDFND 00275000ANTHEM INCCOM0367521032111475SHDFND 001475APACHE CORPCOM0374111055228233SHDFND 008233APPLE INCCOM03783310015832136522SHDFND 00136522ARALEZ PHARMACEUTICALS INCCOM03852X10029166000SHDFND 0066000ARGAN INCCOM04010E1092753897SHDFND 003897ASTRONICS CORPCOM04643310838911500SHDFND 0011500AT&T INCCOM00206R102311873128SHDFND 0073128ATHERSYS INCCOM04744L1061510130SHDFND 0010130ATLAS AIR WORLDWIDE HLDGS INNOTE 2.250% 6/0049164BH81919000PRNDFND 0019000AUTODESK INCCOM0527691063344508SHDFND 004508AUTOMATIC DATA PROCESSING INCOM0530151036296110SHDFND 006110AVALONBAY CMNTYS INCCOM0534841015893323SHDFND 003323AVERY DENNISON CORPCOM0536111094165880SHDFND 005880BAIDU INCSPON ADR REP A05675210816159817SHDFND 009817BANK AMER CORPCOM06050510469531418SHDFND 0031418BB&T CORPCOM0549371072795939SHDFND 005939BERKSHIRE HATHAWAY INC DELCL A0846701082441SHDFND 001BERKSHIRE HATHAWAY INC DELCL B NEW084670702462128368SHDFND 0028368BIOMARIN PHARMACEUTICAL INCNOTE 0.750%10/109061GAE11817000PRNDFND 0017000BOEING COCOM0970231056504177SHDFND 004177BP PLCSPONSORED ADR05562210460116033SHDFND 0016033BRIGHT HORIZONS FAM SOL IN DCOM1091941006509224SHDFND 009224BRISTOL MYERS SQUIBB COCOM110122108136223223SHDFND 0023223BROOKFIELD ASSET MGMT INCCL A LTD VT SH11258510481824789SHDFND 0024789BROOKFIELD INFRAST PARTNERSLP INT UNITG1625210180223940SHDFND 0023940CANADIAN NATL RY COCOM1363751025928797SHDFND 008797CANADIAN PAC RY LTDCOM13645T1002741917SHDFND 001917CAPITAL BK FINL CORPCL A COM1397941012366000SHDFND 006000CARMAX INCCOM1431301024977721SHDFND 007721CATERPILLAR INC DELCOM1491231019199881SHDFND 009881CEDAR FAIR L PDEPOSITRY UNIT1501851062173372SHDFND 003372CELGENE CORPCOM1510201046305440SHDFND 005440CHART INDS INCNOTE 2.000% 8/016115QAC41212000PRNDFND 0012000CHEVRON CORP NEWCOM166764100248921136SHDFND 0021136CHUBB LIMITEDCOMH1467J1045464121SHDFND 004121CIGNA CORPORATIONCOM1255091096364778SHDFND 004778CINCINNATI BELL INC NEWPFD CV DEP1/20171871403104421327SHDFND 0021327CISCO SYS INCCOM17275R102220773105SHDFND 0073105CLOROX CO DELCOM1890541095744787SHDFND 004787COCA COLA COCOM191216100188445398SHDFND 0045398COGNIZANT TECHNOLOGY SOLUTIOCL A19244610263811370SHDFND 0011370COLGATE PALMOLIVE COCOM19416210383712805SHDFND 0012805COMCAST CORP NEWCL A20030N1014116037SHDFND 006037CONOCOPHILLIPSCOM20825C1042454911SHDFND 004911COSTCO WHSL CORP NEWCOM22160K105183411465SHDFND 0011465CROWN CASTLE INTL CORP NEWCOM22822V1014715436SHDFND 005436CVS HEALTH CORPCOM126650100158720027SHDFND 0020027DANAHER CORP DELCOM235851102256933016SHDFND 0033016DANAHER CORP DELNOTE 1/2235851AF93311000PRNDFND 0011000DAVITA INCCOM23918K108220834421SHDFND 0034421DEERE & COCOM2441991057247015SHDFND 007015DIAGEO P L CSPON ADR NEW25243Q2054324160SHDFND 004160DISNEY WALT COCOM DISNEY254687106299328806SHDFND 0028806DOLLAR GEN CORP NEWCOM2566771054265745SHDFND 005745DOMINION RES INC VA NEWCOM25746U109113214796SHDFND 0014796DOUBLELINE OPPORTUNISTIC CRCOM25862310727111700SHDFND 0011700DOW CHEM COCOM26054310361610837SHDFND 0010837DU PONT E I DE NEMOURS & COCOM263534109103814118SHDFND 0014118DUKE ENERGY CORP NEWCOM NEW26441C204150219350SHDFND 0019350EASTERLY GOVT PPTYS INCCOM27616P10374437162SHDFND 0037162EATON CORP PLCSHSG291831033274872SHDFND 004872EATON VANCE TAX MNGD GBL DVCOM27829F1089912340SHDFND 0012340EATON VANCE TX MGD DIV EQ INCOM27828N10210610245SHDFND 0010245ECLIPSE RES CORPCOM27890G1005320000SHDFND 0020000ECOLAB INCCOM2788651006155248SHDFND 005248EDWARDS LIFESCIENCES CORPCOM28176E1083193429SHDFND 003429EMERSON ELEC 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INT36465A1095310150SHDFND 0010150GAMESTOP CORP NEWCL A36467W10983332968SHDFND 0032968GENERAL DYNAMICS CORPCOM369550108206411936SHDFND 0011936GENERAL ELECTRIC COCOM3696041036709212434SHDFND 00212434GENERAL MLS INCCOM37033410472111674SHDFND 0011674GENERAL MTRS COCOM37045V1002055963SHDFND 005963GILEAD SCIENCES INCCOM37555810390412580SHDFND 0012580GOLDMAN SACHS GROUP INCCOM38141G1043411406SHDFND 001406GOLUB CAP BDC INCCOM38173M10283545498SHDFND 0045498GRAINGER W W INCCOM384802104228986SHDFND 00986GRAMERCY PPTY TRCOM38500210066972823SHDFND 0072823HAMILTON BANCORP INC MDCOM40701510614310000SHDFND 0010000HANCOCK JOHN PFD INCOME FD ICOM41021P10321712098SHDFND 0012098HCP INCCOM40414L1092026755SHDFND 006755HD SUPPLY HLDGS INCCOM40416M105152835845SHDFND 0035845HEALTHSOUTH CORPDEBT 2.000%12/0421924BL41715000PRNDFND 0015000HELIX ENERGY SOLUTIONS GRP INOTE 4.250% 5/042330PAH01818000PRNDFND 0018000HEXCEL CORP NEWCOM42829110855510771SHDFND 0010771HOLOGIC INCCOM4364401013558872SHDFND 008872HOLOGIC INCDEBT 2.000% 3/0436440AC51512000PRNDFND 0012000HOME DEPOT INCCOM437076102137910272SHDFND 0010272HONEYWELL INTL INCCOM4385161066285435SHDFND 005435HORIZON TECHNOLOGY FIN CORPCOM44045A10223322050SHDFND 0022050HUBBELL INCCOM4435106072041750SHDFND 001750HUNTINGTON BANCSHARES INCCOM44615010413610626SHDFND 0010626ICON PLCSHSG4705A1005417200SHDFND 007200ILLINOIS TOOL WKS INCCOM4523081093032478SHDFND 002478ILLUMINA INCNOTE 0.500% 6/1452327AH21919000PRNDFND 0019000INGERSOLL-RAND PLCSHSG477911014275693SHDFND 005693INPHI CORPNOTE 1.125%12/045772FAB32015000PRNDFND 0015000INTEL CORPCOM458140100321488510SHDFND 0088510INTERNATIONAL BUSINESS MACHSCOM459200101309818686SHDFND 0018686INTUITIVE SURGICAL INCCOM NEW46120E60214042216SHDFND 002216IONIS PHARMACEUTICALS INCCOM4622221003246790SHDFND 006790ISHARESMSCI PAC JP ETF4642866652055185SHDFND 005185ISHARES GOLD TRUSTISHARES46428510542238020SHDFND 0038020ISHARES SILVER TRUSTISHARES46428Q10934622905SHDFND 0022905ISHARES TRSELECT DIVID ETF464287168429748502SHDFND 0048502ISHARES TRTIPS BD ETF4642871768707683SHDFND 007683ISHARES TRCORE S&P500 ETF464287200409518217SHDFND 0018217ISHARES TRCORE US AGGBD ET464287226556251501SHDFND 0051501ISHARES TRMSCI EMG MKT ETF46428723487925000SHDFND 0025000ISHARES TRIBOXX INV CP ETF4642872425154391SHDFND 004391ISHARES TR20 YR TR BD ETF464287432413334627SHDFND 0034627ISHARES TR1-3 YR TR BD ETF464287457109112906SHDFND 0012906ISHARES TRMSCI EAFE ETF4642874653966855SHDFND 006855ISHARES TRCORE S&P MCP ETF464287507290517545SHDFND 0017545ISHARES TRNASDQ BIOTEC ETF464287556223840SHDFND 00840ISHARES TRRUS 1000 VAL ETF464287598121010817SHDFND 0010817ISHARES TRS&P MC 400GR ETF4642876067884318SHDFND 004318ISHARES TRRUS 1000 GRW ETF464287614112810763SHDFND 0010763ISHARES TRRUS 2000 GRW ETF4642876483142036SHDFND 002036ISHARES TRRUSSELL 2000 ETF4642876555494078SHDFND 004078ISHARES TRU.S. UTILITS ETF4642876972592133SHDFND 002133ISHARES TRS&P MC 400VL ETF4642877055583837SHDFND 003837ISHARES TRCORE S&P SCP ETF464287804297721617SHDFND 0021617ISHARES TRSP SMCP600GR ETF4642878873572364SHDFND 002364ISHARES TREAFE SML CP ETF4642882733286626SHDFND 006626ISHARES TRNATIONAL MUN ETF4642884148597932SHDFND 007932ISHARES TRIBOXX HI YD ETF4642885132492873SHDFND 002873ISHARES TRUS CREDIT BD ETF4642886204824401SHDFND 004401ISHARES TR1-3 YR CR BD ETF4642886462942796SHDFND 002796ISHARES TR10-20 YR TRS ETF4642886534653499SHDFND 003499ISHARES TR3-7 YR TR BD ETF4642886616155015SHDFND 005015ISHARES TRCORE HIGH DV ETF46429B663114613930SHDFND 0013930ISHARES TRCORE MSCITOTAL46432F834134226584SHDFND 0026584JOHNSON & JOHNSONCOM478160104727163070SHDFND 0063070JPMORGAN CHASE & COCOM46625H100446051627SHDFND 0051627KAYNE ANDERSON MLP INVT COCOM48660610628814585SHDFND 0014585KIMBERLY CLARK CORPCOM4943681034323787SHDFND 003787KINDER MORGAN INC DELCOM49456B101106151471SHDFND 0051471KRAFT HEINZ COCOM5007541067848971SHDFND 008971LAM RESEARCH CORPNOTE 1.250% 5/1512807AL22212000PRNDFND 0012000LAUDER ESTEE COS INCCL A5184391042323039SHDFND 003039LIBERTY MEDIA CORP DELAWARENOTE 1.375%10/1531229AB82019000PRNDFND 0019000LILLY ELI & COCOM5324571085717749SHDFND 007749LOCKHEED MARTIN CORPCOM5398301093251302SHDFND 001302LOWES COS INCCOM5486611074165923SHDFND 005923M & T BK CORPCOM55261F1049626159SHDFND 006159MACQUARIE INFRASTRUCTURE CORNOTE 2.875% 7/155608BAA32119000PRNDFND 0019000MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP5590801066078036SHDFND 008036MARKEL CORPCOM570535104618684SHDFND 00684MASIMO CORPCOM5747951002443650SHDFND 003650MASTERCARD INCORPORATEDCL A57636Q104614859562SHDFND 0059562MCCORMICK & CO INCCOM VTG579780107126313571SHDFND 0013571MCCORMICK & CO INCCOM NON VTG579780206185119844SHDFND 0019844MCDONALDS CORPCOM5801351019707965SHDFND 007965MCKESSON CORPCOM58155Q1035003572SHDFND 003572MELCO CROWN ENTMT LTDADR58546410029618600SHDFND 0018600MERCK & CO INCCOM58933Y105451376493SHDFND 0076493METLIFE INCCOM59156R108134925041SHDFND 0025041MFS HIGH INCOME MUN TRSH BEN INT59318D1045010145SHDFND 0010145MICROCHIP TECHNOLOGY INCCOM59501710487813724SHDFND 0013724MICROCHIP TECHNOLOGY INCNOTE 1.625% 2/1595017AD62015000PRNDFND 0015000MICROSOFT CORPCOM5949181047628122881SHDFND 00122881MOLINA HEALTHCARE INCDBCV 1.625% 8/160855RAD21715000PRNDFND 0015000MONDELEZ INTL INCCL A609207105190743029SHDFND 0043029NETFLIX INCCOM64110L1066945600SHDFND 005600NEWELL BRANDS INCCOM6512291062836343SHDFND 006343NEWPARK RES INCNOTE 4.000%10/0651718AC21717000PRNDFND 0017000NEXTERA ENERGY INCCOM65339F1015544627SHDFND 004627NIELSEN HLDGS PLCSHS EURG6518L1082335568SHDFND 005568NIKE INCCL B6541061032875646SHDFND 005646NORFOLK SOUTHERN CORPCOM6558441082332155SHDFND 002155NORTHERN TR CORPCOM6658591042893249SHDFND 003249NOVARTIS A GSPONSORED ADR66987V1094576279SHDFND 006279NUANCE COMMUNICATIONS INCNOTE 2.750%11/067020YAF72020000PRNDFND 0020000NUSTAR GP HOLDINGS LLCUNIT RESTG LLC67059L1022839905SHDFND 009905NUVEEN MARYLAND QLT MUN INCCOM67061Q10714811977SHDFND 0011977NUVEEN MUN VALUE FD INCCOM67092810037739302SHDFND 0039302NXP SEMICONDUCTORS N VCOMN6596X1095936034SHDFND 006034NYMOX PHARMACEUTICAL CORPCOMP733981027528000SHDFND 0028000OCCIDENTAL PETE CORP DELCOM67459910574510519SHDFND 0010519OLIN CORPCOM PAR $168066520526310370SHDFND 0010370ORACLE CORPCOM68389X1053268512SHDFND 008512PALO ALTO NETWORKS INCCOM6974351052572032SHDFND 002032PAYPAL HLDGS INCCOM70450Y103230658298SHDFND 0058298PEPSICO INCCOM713448108420940251SHDFND 0040251PFIZER INCCOM717081103182456190SHDFND 0056190PHILIP MORRIS INTL INCCOM718172109156017090SHDFND 0017090PHILLIPS 66COM718546104107012394SHDFND 0012394PNC FINL SVCS GROUP INCCOM69347510511259617SHDFND 009617POWERSHARES ETF TR IIPFD PORTFOLIO73936T56544030999SHDFND 0030999POWERSHARES ETF TR IIS&P500 LOW VOL73937B77954313067SHDFND 0013067POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X15350111955SHDFND 0011955POWERSHARES QQQ TRUSTUNIT SER 173935A1049968380SHDFND 008380PPG INDS INCCOM6935061072122245SHDFND 002245PRICE T ROWE GROUP INCCOM74144T108197326128SHDFND 0026128PRICELINE GRP INCCOM NEW741503403993678SHDFND 00678PROCTER AND GAMBLE COCOM742718109736987612SHDFND 0087612PROOFPOINT INCDBCV 0.750% 6/1743424AD51615000PRNDFND 0015000QUALCOMM INCCOM747525103408562569SHDFND 0062569QUINTILES IMS HOLDINGS INCCOM74876Y1013084049SHDFND 004049RED HAT INCNOTE 0.250%10/0756577AD41917000PRNDFND 0017000REGIONS FINL CORP NEWCOM7591EP10018012512SHDFND 0012512REYNOLDS AMERICAN INCCOM7617131062344181SHDFND 004181RITE AID CORPCOM7677541049711760SHDFND 0011760RYDEX ETF TRUSTGUG S&P500 EQ WT78355W106676278078SHDFND 0078078RYDEX ETF TRUSTGUG S&P500EQWTFI78355W85848313096SHDFND 0013096S&P GLOBAL INCCOM78409V1045114744SHDFND 004744SALESFORCE COM INCCOM79466L302204429754SHDFND 0029754SALESFORCE COM INCNOTE 0.250% 4/079466LAD61816000PRNDFND 0016000SALIENT MIDSTREAM & MLP FDSH BEN INT79471V10520314851SHDFND 0014851SBA COMMUNICATIONS CORPCOM78388J1065885673SHDFND 005673SCHLUMBERGER LTDCOM806857108355642387SHDFND 0042387SCHWAB CHARLES CORP NEWCOM8085131055791146694SHDFND 00146694SCHWAB STRATEGIC TRUS BRD MKT ETF808524102250146160SHDFND 0046160SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y5066118099SHDFND 008099SELECT SECTOR SPDR TRSBI INT-FINL81369Y6052229540SHDFND 009540SELECT SECTOR SPDR TRTECHNOLOGY81369Y8032344836SHDFND 004836SERVICENOW INCNOTE 11/081762PAB81816000PRNDFND 0016000SIRIUS XM HLDGS INCCOM82968B1036815313SHDFND 0015313SOUTHERN COCOM8425871072775586SHDFND 005586SPDR GOLD TRUSTGOLD SHS78463V1072642411SHDFND 002411SPDR INDEX SHS FDSS&P EMKTSC ETF78463X7563568883SHDFND 008883SPDR S&P 500 ETF TRTR UNIT78462F10316057178SHDFND 007178SPDR SERIES TRUSTBLOMBERG BRC SRT78464A47447515486SHDFND 0015486SPDR SERIES TRUSTS&P DIVID ETF78464A7636067101SHDFND 007101SPDR SERIES TRUSTS&P BIOTECH78464A8702644460SHDFND 004460SPECTRA ENERGY CORPCOM847560109135433024SHDFND 0033024STARBUCKS CORPCOM855244109321357895SHDFND 0057895STERICYCLE INCCOM8589121083144080SHDFND 004080STRYKER CORPCOM863667101152812754SHDFND 0012754SUNTRUST BKS INCCOM86791410355910166SHDFND 0010166SYSCO CORPCOM8718291073045542SHDFND 005542TARGET CORPCOM87612E1065297357SHDFND 007357TELEFLEX INCNOTE 3.875% 8/0879369AA43513000PRNDFND 0013000TEVA PHARMACEUTICAL FIN LLCDBCV 0.250% 2/088163VAE91312000PRNDFND 0012000TEXAS INSTRS INCCOM8825081042843896SHDFND 003896THERMO FISHER SCIENTIFIC INCCOM8835561023422439SHDFND 002439TJX COS INC NEWCOM8725401092353094SHDFND 003094TRANSDIGM GROUP INCCOM8936411005472198SHDFND 002198TRAVELERS COMPANIES INCCOM89417E1092542082SHDFND 002082TRIPADVISOR INCCOM8969452013467473SHDFND 007473TRUSTCO BK CORP N YCOM89834910510612120SHDFND 0012120TWITTER INCCOM90184L10230418700SHDFND 0018700UBS AG JERSEY BRHCMCI ETN 3890264177833223429SHDFND 0023429ULTIMATE SOFTWARE GROUP INCCOM90385D1072981639SHDFND 001639UNDER ARMOUR INCCL A904311107143249098SHDFND 0049098UNDER ARMOUR INCCL C904311206172168165SHDFND 0068165UNILEVER N VN Y SHS NEW90478470954213201SHDFND 0013201UNILEVER PLCSPON ADR NEW9047677043428444SHDFND 008444UNION PAC CORPCOM9078181083263143SHDFND 003143UNITED PARCEL SERVICE INCCL B91131210610218908SHDFND 008908UNITED TECHNOLOGIES CORPCOM9130171097466809SHDFND 006809UNITEDHEALTH GROUP INCCOM91324P1027874938SHDFND 004938UNIVERSAL DISPLAY CORPCOM91347P105107019000SHDFND 0019000US BANCORP DELCOM NEW9029733042264394SHDFND 004394VALERO ENERGY CORP NEWCOM91913Y1002593790SHDFND 003790VANECK VECTORS ETF TRGOLD MINERS ETF92189F10683539980SHDFND 0039980VANECK VECTORS ETF TRPFD SECS EX FINL92189F42928214529SHDFND 0014529VANECK VECTORS ETF TRAMT FREE INT ETF92189F54440917528SHDFND 0017528VANGUARD INDEX FDSREIT ETF922908553257331146SHDFND 0031146VANGUARD INDEX FDSMID CAP ETF9229086297215484SHDFND 005484VANGUARD INDEX FDSTOTAL STK MKT9229087696926000SHDFND 006000VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4093023814SHDFND 003814VANGUARD SCOTTSDALE FDSVNG RUS2000GRW92206C6232792500SHDFND 002500VANGUARD SPECIALIZED PORTFOLDIV APP ETF921908844109412837SHDFND 0012837VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF9219438582175964SHDFND 005964VANGUARD WORLD FDSHEALTH CAR ETF92204A5042221754SHDFND 001754VERINT SYS INCNOTE 1.500% 6/092343XAA81718000PRNDFND 0018000VERISK ANALYTICS INCCOM92345Y1066668251SHDFND 008251VERIZON COMMUNICATIONS INCCOM92343V104457085712SHDFND 0085712VISA INCCOM CL A92826C839512265633SHDFND 0065633VOYA FINL INCCOM9290891002747000SHDFND 007000W P CAREY INCCOM92936U10973412337SHDFND 0012337WABASH NATL CORPNOTE 3.375% 5/0929566AH01512000PRNDFND 0012000WALGREENS BOOTS ALLIANCE INCCOM9314271083624378SHDFND 004378WAL-MART STORES INCCOM9311421036168910SHDFND 008910WASTE CONNECTIONS INCCOM94106B101100412725SHDFND 0012725WEATHERFORD INTL LTDNOTE 5.875% 7/0947075AH02019000PRNDFND 0019000WEBMD HEALTH CORPNOTE 1.500%12/094770VAK81715000PRNDFND 0015000WELLS FARGO & CO NEWCOM949746101268048505SHDFND 0048505WELLTOWER INCCOM95040Q1044787173SHDFND 007173WESTERN ASSET MUN HI INCM FDCOM95766N10339655404SHDFND 0055404WILLIS TOWERS WATSON PUB LTDSHSG966291032652166SHDFND 002166WISDOMTREE INVTS INCCOM97717P10414413050SHDFND 0013050WISDOMTREE TREMG MKTS SMCAP97717W28164816548SHDFND 0016548WISDOMTREE TREUROPE HEDGED EQ97717X7012834929SHDFND 004929XENIA HOTELS & RESORTS INCCOM98401710393448033SHDFND 0048033XILINX INCNOTE 2.625% 6/1983919AF82512000PRNDFND 0012000XPO LOGISTICS INCNOTE 4.500%10/0983793AA83011000PRNDFND 0011000YUM BRANDS INCCOM9884981014827618SHDFND 007618