0001600151-15-000002.txt : 20150515 0001600151-15-000002.hdr.sgml : 20150515 20150514204111 ACCESSION NUMBER: 0001600151-15-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150515 DATE AS OF CHANGE: 20150514 EFFECTIVENESS DATE: 20150515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Arete Wealth Advisors, LLC CENTRAL INDEX KEY: 0001600151 IRS NUMBER: 261314502 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15999 FILM NUMBER: 15865063 BUSINESS ADDRESS: STREET 1: 1699 E WOODFIELD RD STREET 2: SUITE 565 CITY: SCHAUMBURG STATE: IL ZIP: 60173 BUSINESS PHONE: 847-658-8366 MAIL ADDRESS: STREET 1: 1699 E WOODFIELD RD STREET 2: SUITE 565 CITY: SCHAUMBURG STATE: IL ZIP: 60173 13F-HR 1 primary_doc.xml 13F-HR LIVE false false true 0001600151 XXXXXXXX 03-31-2015 03-31-2015 Arete Wealth Advisors, LLC

1699 E WOODFIELD RD SUITE 565 SCHAUMBURG IL 60173

13F HOLDINGS REPORT 028-15999 N Joshua Rogers 847-658-8366 Joshua Rogers Schaumburg IL 05-14-2015 0 154 154990 false INFORMATION TABLE 2 13fawa033115.xml AMERICAN APPAREL INC COM 023850100 57 80640 SH SOLE 0 0 80640 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 3798 173585 SH SOLE 0 0 173585 AMERICAN INTL GROUP INC COM NEW 026874784 15146 276441 SH SOLE 0 0 276441 ANNALY CAP MGMT INC COM 035710409 252 24222 SH SOLE 0 0 24222 APPLE INC COM 037833100 8993 72350 SH SOLE 0 0 72350 APPLE INC CALL 037833900 262 49 SH Call SOLE 0 0 49 BANK OF AMERICA CORPORATION COM 060505104 16691 1084556 SH SOLE 0 0 1084556 BANK OF AMERICA CORPORATION *W EXP 01/16/201 060505146 1720 293000 SH SOLE 0 0 293000 BARRICK GOLD CORP COM 067901108 1065 97166 SH SOLE 0 0 97166 BERKSHIRE HATHAWAY INC DEL CL A 084670108 870 4 SH SOLE 0 0 4 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1478 10241 SH SOLE 0 0 10241 BLOCK H & R INC COM 093671105 257 8001 SH SOLE 0 0 8001 CASELLA WASTE SYS INC CL A 147448104 83 15000 SH SOLE 0 0 15000 CASEYS GEN STORES INC COM 147528103 899 9976 SH SOLE 0 0 9976 CATERPILLAR INC DEL COM 149123101 225 2815 SH SOLE 0 0 2815 CELGENE CORP COM 151020104 392 3426 SH SOLE 0 0 3426 CHESAPEAKE ENERGY CORP COM 165167107 1235 87213 SH SOLE 0 0 87213 COLUMBIA PPTY TR INC COM NEW 198287203 332 12304 SH SOLE 0 0 12304 CREDIT SUISSE ASSET MGMT INC COM 224916106 169 52280 SH SOLE 0 0 52280 DANAHER CORP DEL COM 235851102 309 3638 SH SOLE 0 0 3638 DIGITAL RLTY TR INC COM 253868103 1690 25629 SH SOLE 0 0 25629 EXCO RESOURCES INC COM 269279402 349 190473 SH SOLE 0 0 190473 ENCANA CORP COM 292505104 303 27202 SH SOLE 0 0 27202 FS INVT CORP COM 302635107 11300 1115495 SH SOLE 0 0 1115495 FORD MTR CO DEL COM PAR $0.01 345370860 256 16010 SH SOLE 0 0 16010 GENERAL ELECTRIC CO COM 369604103 567 22846 SH SOLE 0 0 22846 HEARTLAND EXPRESS INC COM 422347104 795 33446 SH SOLE 0 0 33446 INTERNATIONAL BUSINESS MACHS COM 459200101 789 4922 SH SOLE 0 0 4922 ISHARES TIPS BD ETF 464287176 618 5443 SH SOLE 0 0 5443 ISHARES CORE TOTUSBD ETF 464287226 724 6498 SH SOLE 0 0 6498 ISHARES GLOBAL TECH ETF 464287291 570 5880 SH SOLE 0 0 5880 ISHARES S&P 500 GRWT ETF 464287309 859 7540 SH SOLE 0 0 7540 ISHARES GLOB HLTHCRE ETF 464287325 621 5757 SH SOLE 0 0 5757 ISHARES GLOBAL FINLS ETF 464287333 519 9107 SH SOLE 0 0 9107 ISHARES S&P 500 VAL ETF 464287408 669 7228 SH SOLE 0 0 7228 ISHARES CORE S&P MCP ETF 464287507 1033 6799 SH SOLE 0 0 6799 ISHARES S&P MC 400VL ETF 464287705 713 5445 SH SOLE 0 0 5445 ISHARES INTERM CR BD ETF 464288638 322 2911 SH SOLE 0 0 2911 LEUCADIA NATL CORP COM 527288104 1520 68194 SH SOLE 0 0 68194 PENNANTPARK INVT CORP COM 708062104 597 66280 SH SOLE 0 0 66280 SALEM COMMUNICATIONS CORP DE CL A 794093104 109 17684 SH SOLE 0 0 17684 US BANCORP DEL COM NEW 902973304 222 5094 SH SOLE 0 0 5094 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 542 6283 SH SOLE 0 0 6283 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 549 6814 SH SOLE 0 0 6814 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 442 9079 SH SOLE 0 0 9079 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1263 13265 SH SOLE 0 0 13265 WELLS FARGO & CO NEW COM 949746101 224 4127 SH SOLE 0 0 4127 NOVAGOLD RES INC COM NEW 66987E206 680 229889 SH SOLE 0 0 229889 AT&T INC COM 00206R102 298 9129 SH SOLE 0 0 9129 ACHILLION PHARMACEUTICALS IN COM 00448Q201 128 13000 SH SOLE 0 0 13000 ADVENT CLAYMORE CV SECS & IN COM 00764C109 590 34172 SH SOLE 0 0 34172 AMERICAN RLTY CAP PPTYS INC COM 02917T104 376 38576 SH SOLE 0 0 38576 BARCLAYS BANK PLC ADR PFD SR 5 06739H362 1259 47910 SH SOLE 0 0 47910 BLACKROCK RES & COMM STRAT T SHS 09257A108 640 67275 SH SOLE 0 0 67275 CISCO SYS INC COM 17275R102 505 18352 SH SOLE 0 0 18352 CLOUGH GLOBAL EQUITY FD COM 18914C100 737 49021 SH SOLE 0 0 49021 COHEN & STEERS INFRASTRUCTUR COM 19248A109 604 26581 SH SOLE 0 0 26581 CONOCOPHILLIPS COM 20825C104 203 3256 SH SOLE 0 0 3256 ETFS PALLADIUM TR SH BEN INT 26923A106 876 12282 SH SOLE 0 0 12282 EATON VANCE TXMGD GL BUYWR O COM 27829C105 711 60297 SH SOLE 0 0 60297 EATON VANCE RISK MNGD DIV EQ COM 27829G106 1373 126863 SH SOLE 0 0 126863 EXXON MOBIL CORP COM 30231G102 311 3659 SH SOLE 0 0 3659 GLOBAL X FDS SILVER MNR ETF 37950E853 105 12540 SH SOLE 0 0 12540 GOOGLE INC CL A 38259P508 1668 3007 SH SOLE 0 0 3007 GREENHUNTER RES INC COM 39530A104 8 11000 SH SOLE 0 0 11000 HOWARD HUGHES CORP COM 44267D107 227 1463 SH SOLE 0 0 1463 INVESCO DYNAMIC CR OPP FD COM 46132R104 126 10537 SH SOLE 0 0 10537 INVESCO MUNI INCOME OPP TRST COM 46132X101 341 48105 SH SOLE 0 0 48105 JPMORGAN CHASE & CO COM 46625H100 397 6553 SH SOLE 0 0 6553 LEGG MASON BW GLB INC OPP FD COM 52469B100 1426 89521 SH SOLE 0 0 89521 LEVY ACQUISITION CORP COM 52748T104 502 38200 SH SOLE 0 0 38200 LEVY ACQUISITION CORP *W EXP 11/19/201 52748T112 134 32750 SH SOLE 0 0 32750 LEVY ACQUISITION CORP UNIT 99/99/9999 52748T203 284 18400 SH SOLE 0 0 18400 LIBERATOR MEDICAL HLDGS INC COM 53012L108 77 22000 SH SOLE 0 0 22000 NEW YORK REIT INC COM 64976L109 810 77585 SH SOLE 0 0 77585 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 1242 143394 SH SOLE 0 0 143394 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 1008 9927 SH SOLE 0 0 9927 PROSHARES TR PSHS ULTSH 20YRS 74347B201 320 7874 SH SOLE 0 0 7874 RETAIL PPTYS AMER INC CL A 76131V202 567 35440 SH SOLE 0 0 35440 SPDR S&P 500 ETF TR TR UNIT 78462F103 4669 22620 SH SOLE 0 0 22620 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 581 11685 SH SOLE 0 0 11685 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 587 14956 SH SOLE 0 0 14956 SPDR SERIES TRUST S&P REGL BKG 78464A698 260 6379 SH SOLE 0 0 6379 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 896 3232 SH SOLE 0 0 3232 SANDRIDGE ENERGY INC COM 80007P307 18 10035 SH SOLE 0 0 10035 SPIRIT RLTY CAP INC NEW COM 84860W102 362 29688 SH SOLE 0 0 29688 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 122 18800 SH SOLE 0 0 18800 STANDARD PAC CORP NEW COM 85375C101 125 13863 SH SOLE 0 0 13863 SUNOPTA INC COM 8676EP108 151 13850 SH SOLE 0 0 13850 VERIZON COMMUNICATIONS INC COM 92343V104 699 14366 SH SOLE 0 0 14366 VISA INC COM CL A 92826C839 256 3920 SH SOLE 0 0 3920 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 224 25345 SH SOLE 0 0 25345 WESTERN ASSET EMRG MKT DEBT COM 95766A101 707 44851 SH SOLE 0 0 44851 WPX ENERGY INC COM 98212B103 4677 427943 SH SOLE 0 0 427943 ADVENT CLAY CONV SEC INC FD COM 007639107 437 65230 SH SOLE 0 0 65230 BLACKROCK MUNIVEST FN INC COM 09253R105 341 33548 SH SOLE 0 0 33548 BROOKDALE SR LIVING INC COM 112463104 249 6583 SH SOLE 0 0 6583 DREYFUS STRATEGIC MUN BD FD COM 26202F107 924 114256 SH SOLE 0 0 114256 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 754 11251 SH SOLE 0 0 11251 KITE RLTY GROUP TR COM NEW 49803T300 203 7206 SH SOLE 0 0 7206 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 334 24274 SH SOLE 0 0 24274 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 338 23821 SH SOLE 0 0 23821 NUVEEN GLOBAL EQUITY INCOME COM 6706EH103 184 14250 SH SOLE 0 0 14250 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 190 20905 SH SOLE 0 0 20905 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 673 25981 SH SOLE 0 0 25981 PROCTOR & GAMBLE CO COM 742718109 293 3581 SH SOLE 0 0 3581 TORTOISE MLP FD INC COM 89148B101 1379 57324 SH SOLE 0 0 57324 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 690 31275 SH SOLE 0 0 31275 AMGEN INC COM 031162100 359 2290 SH SOLE 0 0 2290 COCA COLA CO COM 191216100 435 10721 SH SOLE 0 0 10721 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 589 212664 SH SOLE 0 0 212664 DEERE & CO COM 244199105 271 3094 SH SOLE 0 0 3094 DELTA AIR LINES INC DEL COM NEW 247361702 1624 36128 SH SOLE 0 0 36128 GOLDMAN SACHS GROUP INC COM 38141G104 252 1340 SH SOLE 0 0 1340 ISHARES U.S. PFD STK ETF 464288687 423 10546 SH SOLE 0 0 10546 LINKEDIN CORP COM CL A 53578A108 1838 7355 SH SOLE 0 0 7355 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 705 18580 SH SOLE 0 0 18580 SHERWIN WILLIAMS CO COM 824348106 222 780 SH SOLE 0 0 780 SKYWORKS SOLUTIONS INC COM 83088M102 1856 18887 SH SOLE 0 0 18887 STARBUCKS CORP COM 855244109 1612 17033 SH SOLE 0 0 17033 VANGUARD INDEX FDS REIT ETF 922908553 254 3017 SH SOLE 0 0 3017 CME GROUP INC COM 12572Q105 1513 15972 SH SOLE 0 0 15972 FIVE STAR QUALITY CARE INC COM 33832D106 60 13595 SH SOLE 0 0 13595 GREEN BRICK PARTNERS INC COM 392709101 376 45442 SH SOLE 0 0 45442 ILLUMINA INC COM 452327109 1388 7477 SH SOLE 0 0 7477 HUNT J B TRANS SVCS INC COM 445658107 209 2446 SH SOLE 0 0 2446 UBS AG LONDON BRH 2X LEV LNG LKD 90267B765 241 10950 SH SOLE 0 0 10950 PROSPECT CAPITAL CORPORATION COM 74348T102 195 23200 SH SOLE 0 0 23200 MONOGRAM RESIDENTIAL TR INC COM 60979P105 1920 206003 SH SOLE 0 0 206003 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 413 4083 SH SOLE 0 0 4083 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 431 12550 SH SOLE 0 0 12550 ABBOTT LABS COM 002824100 571 12315 SH SOLE 0 0 12315 ABBVIE INC COM 00287Y109 983 16787 SH SOLE 0 0 16787 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1052 12641 SH SOLE 0 0 12641 DIREXION SHS ETF TR ALL CP INSIDER 25459Y769 273 3846 SH SOLE 0 0 3846 GOLDMAN SACHS MLP ENERGY REN COM 38148G107 148 10650 SH SOLE 0 0 10650 GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 244 11501 SH SOLE 0 0 11501 ISHARES GOLD TRUST ISHARES 464285105 116 10108 SH SOLE 0 0 10108 ISHARES MSCI JAPAN ETF 464286848 826 65955 SH SOLE 0 0 65955 ISHARES TR MSCI EAFE ETF 464287465 1276 19889 SH SOLE 0 0 19889 ISHARES TR NASDQ BIOTEC ETF 464287556 476 1386 SH SOLE 0 0 1386 ISHARES TR RUS 2000 GRW ETF 464287648 412 2719 SH SOLE 0 0 2719 ISHARES TR RUSSELL 2000 ETF 464287655 2844 22868 SH SOLE 0 0 22868 LOEWS CORP COM 540424108 459 11243 SH SOLE 0 0 11243 OAKTREE CAP GROUP LLC UNIT CL A 674001201 336 6495 SH SOLE 0 0 6495 PFIZER INC COM 717081103 221 6344 SH SOLE 0 0 6344 RCS CAP CORP COM CL A 74937W102 114 10562 SH SOLE 0 0 10562 SALESFORCE COM INC COM 79466L302 1191 17825 SH SOLE 0 0 17825 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1481 19658 SH SOLE 0 0 19658 SELECT INCOME REIT COM SH BEN INT 81618T100 656 26295 SH SOLE 0 0 26295 UNITED DEV FDG IV COM 910187103 449 25662 SH SOLE 0 0 25662 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 459 2427 SH SOLE 0 0 2427 XENIA HOTELS & RESORTS INC COM 984017103 963 42533 SH SOLE 0 0 42533