0001600151-18-000005.txt : 20181114 0001600151-18-000005.hdr.sgml : 20181114 20181114151700 ACCESSION NUMBER: 0001600151-18-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 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: 181183090 BUSINESS ADDRESS: STREET 1: 1101 W LAKE ST STREET 2: 1ST FLOOR CITY: CHICAGO STATE: IL ZIP: 60607 BUSINESS PHONE: 312-940-3684 MAIL ADDRESS: STREET 1: 1101 W LAKE ST STREET 2: 1ST FLOOR CITY: CHICAGO STATE: IL ZIP: 60607 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001600151 XXXXXXXX 09-30-2018 09-30-2018 Arete Wealth Advisors, LLC

1101 W LAKE ST 1ST FLOOR CHICAGO IL 60607

13F HOLDINGS REPORT 028-15999 N Joshua Rogers 312-940-3684 Joshua Rogers Chicago IL 11-14-2018 0 362 450708 false INFORMATION TABLE 2 13fawa093018.xml AU OPTRONICS CORP SPONSORED ADR 002255107 102 24318 SH SOLE 0 0 24318 ABBOTT LABS COM 002824100 604 8231 SH SOLE 0 0 8231 ALIGN TECHNOLOGY INC COM 016255101 1126 2879 SH SOLE 0 0 2879 ALLIANT ENERGY CORP COM 018802108 220 5163 SH SOLE 0 0 5163 ALLSTATE CORP COM 020002101 331 3356 SH SOLE 0 0 3356 AMAZON COM INC COM 023135106 2816 1406 SH SOLE 0 0 1406 AMERICAN ELEC PWR INC COM 025537101 240 3392 SH SOLE 0 0 3392 AMERICAN EXPRESS CO COM 025816109 852 8003 SH SOLE 0 0 8003 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 2543 173939 SH SOLE 0 0 173939 AMERICAN INTL GROUP INC COM NEW 026874784 801 15044 SH SOLE 0 0 15044 AMGEN INC COM 031162100 4370 21082 SH SOLE 0 0 21082 ANNALY CAP MGMT INC COM 035710409 109 10647 SH SOLE 0 0 10647 APPLE INC COM 037833100 12547 55573 SH SOLE 0 0 55573 ARCHER DANIELS MIDLAND CO COM 039483102 736 14635 SH 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218 1337 SH SOLE 0 0 1337 UNITED STATES ANTIMONY CORP COM 911549103 113 132500 SH SOLE 0 0 132500 UNITED TECHNOLOGIES CORP COM 913017109 954 6821 SH SOLE 0 0 6821 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 3090 27913 SH SOLE 0 0 27913 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 333 4263 SH SOLE 0 0 4263 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 348 4421 SH SOLE 0 0 4421 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 3089 71362 SH SOLE 0 0 71362 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 591 6789 SH SOLE 0 0 6789 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 1023 9122 SH SOLE 0 0 9122 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 897 17237 SH SOLE 0 0 17237 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2653 64697 SH SOLE 0 0 64697 VEEVA SYS INC CL A COM 922475108 1158 10639 SH SOLE 0 0 10639 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 755 14941 SH SOLE 0 0 14941 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 7986 29904 SH 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13720 AMERICAN FIN TR INC COM CLASS A 02607T109 467 30575 SH SOLE 0 0 30575 AMERICOLD RLTY TR COM 03064D108 327 13085 SH SOLE 0 0 13085 ARES CAP CORP COM 04010L103 373 21707 SH SOLE 0 0 21707 ARES COML REAL ESTATE CORP COM 04013V108 288 20633 SH SOLE 0 0 20633 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 458 19278 SH SOLE 0 0 19278 BARCLAYS BANK PLC ADR PFD SR 5 06739H362 875 33602 SH SOLE 0 0 33602 BLACKROCK INC COM 09247X101 268 569 SH SOLE 0 0 569 BLACKROCK HEALTH SCIENCES TR COM 09250W107 543 12756 SH SOLE 0 0 12756 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1025 26929 SH SOLE 0 0 26929 BLACKROCK MUNI INTER DR FD I COM 09253X102 747 57096 SH SOLE 0 0 57096 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 1895 170114 SH SOLE 0 0 170114 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 468 29452 SH SOLE 0 0 29452 BLACKROCK SCIENCE & TECH TR SHS 09258G104 531 14953 SH SOLE 0 0 14953 BRANDYWINEGBL GLBAL INM OPRT COM 10537L104 638 58463 SH SOLE 0 0 58463 BROADRIDGE FINL SOLUTIONS IN COM 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MUN ETF 33739N108 252 4829 SH SOLE 0 0 4829 FLEXSHARES TR MORNSTAR UPSTR 33939L407 4095 121008 SH SOLE 0 0 121008 GLOBAL X FDS GLBL X MLP ETF 37950E473 1631 170795 SH SOLE 0 0 170795 GOLDMAN SACHS GROUP INC COM 38141G104 208 930 SH SOLE 0 0 930 GOLUB CAP BDC INC COM 38173M102 259 13817 SH SOLE 0 0 13817 GUGGENHEIM ENHNCD EQTY INCM COM 40167B100 174 19751 SH SOLE 0 0 19751 HIGHLAND FLOATNG RATE OPPRT SHS BEN INT 43010E404 10355 671503 SH SOLE 0 0 671503 HOST HOTELS & RESORTS INC COM 44107P104 349 16519 SH SOLE 0 0 16519 HOWARD HUGHES CORP COM 44267D107 221 1783 SH SOLE 0 0 1783 IDEXX LABS INC COM 45168D104 248 992 SH SOLE 0 0 992 INDEXIQ ETF TR IQ CHAIKIN US 45409B396 492 17425 SH SOLE 0 0 17425 INVESCO ACTIVELY MANAGD ETF S&P500 DOWNSID 46090A705 356 12016 SH SOLE 0 0 12016 INVESCO ACTIVELY MANAGD ETF ULTRA SHRT DUR 46090A887 1098 21871 SH SOLE 0 0 21871 INVESCO SR INCOME TR COM 46131H107 2599 604371 SH SOLE 0 0 604371 INVESCO DYNAMIC CR OPP FD COM 46132R104 277 24141 SH SOLE 0 0 24141 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 467 3885 SH SOLE 0 0 3885 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1360 12731 SH SOLE 0 0 12731 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 469 3953 SH SOLE 0 0 3953 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 213 14873 SH SOLE 0 0 14873 INVESCO EXCHNG TRADED FD TR EMRNG MKT SVRG 46138E784 1044 38693 SH SOLE 0 0 38693 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 602 25970 SH SOLE 0 0 25970 IRON MTN INC NEW COM 46284V101 552 15979 SH SOLE 0 0 15979 ISHARES TR CORE HIGH DV ETF 46429B663 387 4276 SH SOLE 0 0 4276 ISHARES TR USA MOMENTUM FCT 46432F396 667 5605 SH SOLE 0 0 5605 ISHARES TR CORE MSCI EAFE 46432F842 338 5276 SH SOLE 0 0 5276 ISHARES INC MSCI JPN ETF NEW 46434G822 378 6277 SH SOLE 0 0 6277 ISHARES TR 0-5YR HI YL CP 46434V407 521 11065 SH SOLE 0 0 11065 ISHARES TR CORE DIV GRWTH 46434V621 1963 52969 SH SOLE 0 0 52969 ISHARES TR GLOBAL REIT ETF 46434V647 362 14371 SH SOLE 0 0 14371 JPMORGAN CHASE & CO COM 46625H100 2675 23703 SH SOLE 0 0 23703 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 242 8820 SH SOLE 0 0 8820 KKR & CO INC CL A 48251W104 296 10863 SH SOLE 0 0 10863 MASTERCARD INCORPORATED CL A 57636Q104 597 2680 SH SOLE 0 0 2680 MERCK & CO INC COM 58933Y105 2488 35076 SH SOLE 0 0 35076 NETFLIX INC COM 64110L106 1432 3827 SH SOLE 0 0 3827 NEW YORK CMNTY CAP TR V UNIT 11/01/2051 64944P307 1877 38136 SH SOLE 0 0 38136 NEXTERA ENERGY INC COM 65339F101 401 2395 SH SOLE 0 0 2395 NEXPOINT STRATEGIC OPORTUNT COM NEW 65340G205 837 37358 SH SOLE 0 0 37358 NVIDIA CORP COM 67066G104 880 3133 SH SOLE 0 0 3133 NUVEEN ENHANCED MUN CREDIT O COM SH BEN INT 67070X101 793 55009 SH SOLE 0 0 55009 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 209 26284 SH SOLE 0 0 26284 OAKTREE SPECIALTY LENDING CO COM 67401P108 219 44103 SH SOLE 0 0 44103 ORACLE CORP COM 68389X105 3940 76409 SH SOLE 0 0 76409 PRA HEALTH SCIENCES INC COM 69354M108 1126 10215 SH SOLE 0 0 10215 PAYPAL HLDGS INC COM 70450Y103 1439 16379 SH SOLE 0 0 16379 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 3660 36374 SH SOLE 0 0 36374 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 295 2900 SH SOLE 0 0 2900 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 252 10439 SH SOLE 0 0 10439 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 502 20449 SH SOLE 0 0 20449 PRINCIPAL FINL GROUP INC COM 74251V102 249 4248 SH SOLE 0 0 4248 RETAIL PPTYS AMER INC CL A 76131V202 262 21513 SH SOLE 0 0 21513 SPDR S&P 500 ETF TR TR UNIT 78462F103 2624 9027 SH SOLE 0 0 9027 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 235 2427 SH SOLE 0 0 2427 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 1059 22260 SH SOLE 0 0 22260 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 253 7371 SH SOLE 0 0 7371 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2413 78434 SH SOLE 0 0 78434 SPDR SERIES TRUST BLOMBRG BRC INTR 78464A375 995 29869 SH SOLE 0 0 29869 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 427 11175 SH SOLE 0 0 11175 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 298 8271 SH SOLE 0 0 8271 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 606 20087 SH SOLE 0 0 20087 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 412 13228 SH SOLE 0 0 13228 SPDR SERIES TRUST BLOMBERG INTL TR 78464A516 308 11255 SH SOLE 0 0 11255 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1840 66394 SH SOLE 0 0 66394 SPDR SERIES TRUST BLMBRG BRC INTRM 78464A672 873 15001 SH SOLE 0 0 15001 SPDR SERIES TRUST S&P DIVID ETF 78464A763 323 3303 SH SOLE 0 0 3303 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 14118 390001 SH SOLE 0 0 390001 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 1103 30503 SH SOLE 0 0 30503 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 2895 84985 SH SOLE 0 0 84985 SPDR SERIES TRUST S&P BIOTECH 78464A870 707 7378 SH SOLE 0 0 7378 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 4539 95862 SH SOLE 0 0 95862 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 2526 9553 SH SOLE 0 0 9553 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 224 611 SH SOLE 0 0 611 SPDR SER TR BLOMBERG BRC INV 78468R200 235 7639 SH SOLE 0 0 7639 SPDR SER TR BLOOMBERG SRT TR 78468R408 302 10930 SH SOLE 0 0 10930 SPDR SER TR SPDR BLOOMBERG 78468R663 1358 14826 SH SOLE 0 0 14826 SPDR SER TR NUVEEN BLMBRG SR 78468R739 498 10445 SH SOLE 0 0 10445 SPDR SER TR PORTFOLIO SM ETF 78468R853 7728 232488 SH SOLE 0 0 232488 SALESFORCE COM INC COM 79466L302 486 3054 SH SOLE 0 0 3054 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 247 2105 SH SOLE 0 0 2105 SELECT SECTOR SPDR TR ENERGY 81369Y506 623 8223 SH SOLE 0 0 8223 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 455 8639 SH SOLE 0 0 8639 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 97 18200 SH SOLE 0 0 18200 TELEFONICA BRASIL SA SPONSORED ADR 87936R106 104 10640 SH SOLE 0 0 10640 3M CO COM 88579Y101 4412 20938 SH SOLE 0 0 20938 TIER REIT INC COM NEW 88650V208 215 8935 SH SOLE 0 0 8935 TORTOISE MLP FD INC COM 89148B101 4192 260700 SH SOLE 0 0 260700 22ND CENTY GROUP INC COM 90137F103 32 11500 SH SOLE 0 0 11500 UNITEDHEALTH GROUP INC COM 91324P102 389 1463 SH SOLE 0 0 1463 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 235 12684 SH SOLE 0 0 12684 VANECK VECTORS ETF TR EMERGING MKTS HI 92189F353 231 10078 SH SOLE 0 0 10078 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 264 4833 SH SOLE 0 0 4833 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 276 3983 SH SOLE 0 0 3983 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 339 1881 SH SOLE 0 0 1881 VANGUARD WORLD FDS INF TECH ETF 92204A702 573 2829 SH SOLE 0 0 2829 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 835 10678 SH SOLE 0 0 10678 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 495 3661 SH SOLE 0 0 3661 VEREIT INC COM 92339V100 409 56457 SH SOLE 0 0 56457 VERIZON COMMUNICATIONS INC COM 92343V104 1899 35574 SH SOLE 0 0 35574 VISA INC COM CL A 92826C839 1119 7458 SH SOLE 0 0 7458 W P CAREY INC COM 92936U109 336 5227 SH SOLE 0 0 5227 WASTE MGMT INC DEL COM 94106L109 558 6177 SH SOLE 0 0 6177 WISDOMTREE TR EMG MKTS SMCAP 97717W281 258 5661 SH SOLE 0 0 5661 WISDOMTREE TR US MIDCAP DIVID 97717W505 463 12550 SH SOLE 0 0 12550 WISDOMTREE TR JPN SCAP HDG EQT 97717W521 337 7462 SH SOLE 0 0 7462 WISDOMTREE TR US MIDCP EARNING 97717W570 365 8820 SH SOLE 0 0 8820 WISDOMTREE TR JAPN HEDGE EQT 97717W851 2902 50080 SH SOLE 0 0 50080 WISDOMTREE TR DYNAMIC LNG EQ 97717X313 7541 212900 SH SOLE 0 0 212900 WISDOMTREE TR BARCLYS YLD AGGR 97717X511 892 18454 SH SOLE 0 0 18454 WISDOMTREE TR CBOE S&P 500 97717X560 7722 252016 SH SOLE 0 0 252016 ZOETIS INC CL A 98978V103 213 2330 SH SOLE 0 0 2330 BANK OF NT BUTTERFIELD&SON L SHS NEW G0772R208 241 4641 SH SOLE 0 0 4641 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 894 5255 SH SOLE 0 0 5255 MEDTRONIC PLC SHS G5960L103 608 6177 SH SOLE 0 0 6177 FERRARI N V COM N3167Y103 1133 8273 SH SOLE 0 0 8273