0001020918-14-000004.txt : 20140428
0001020918-14-000004.hdr.sgml : 20140428
20140428155131
ACCESSION NUMBER: 0001020918-14-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140331
FILED AS OF DATE: 20140428
DATE AS OF CHANGE: 20140428
EFFECTIVENESS DATE: 20140428
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROTHSCHILD INVESTMENT CORP /IL
CENTRAL INDEX KEY: 0001020918
IRS NUMBER: 362708660
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05772
FILM NUMBER: 14789334
BUSINESS ADDRESS:
STREET 1: 311 SOUTH WACKER DRIVE
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3129838900
MAIL ADDRESS:
STREET 1: 311 S WACKER DR
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001020918
XXXXXXXX
03-31-2014
03-31-2014
ROTHSCHILD INVESTMENT CORP /IL
311 S WACKER DR
SUITE 6500
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-05772
N
Bradley C. Drake
Vice President
312-983-8956
Bradley C. Drake
Chicago
IL
04-28-2014
0
414
740122
false
INFORMATION TABLE
2
inftable.xml
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87208
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87208
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COM
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3665
27016
SH
DFND
0
0
27016
ABBOTT LABS
COM
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3470
90117
SH
DFND
0
0
90117
ABBVIE INC COM
COM
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12243
238181
SH
DFND
0
0
238181
ABRAXAS PETE CORP COM
COM
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79
20000
SH
DFND
0
0
20000
ACCENTURE PLC IRELAND CL A
COM
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427
5350
SH
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5350
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COM
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66
12100
SH
DFND
0
0
12100
AEGON N V ORD AMER REG
COM
007924103
172
18683
SH
DFND
0
0
18683
AGCO CORP
COM
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1774
32160
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DFND
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0
32160
AGL RES INC
COM
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227
4637
SH
DFND
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AIR PRODUCTS & CHEMICALS
COM
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2000
SH
DFND
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ALASKA AIR GROUP INC
COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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AQUA AMERICA INC COM
COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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SH
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COM
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COM
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COM
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COM
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COM
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COM
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0
56250
JOHNSON & JOHNSON
COM
478160104
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KB HOME COM
COM
48666K109
308
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KEYCORP NEW COM
COM
493267108
167
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KIMBERLY CLARK CORP
COM
494368103
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KINDER MORGAN ENERGY PTNRS LP
COM
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KINDER MORGAN INC DEL COM
COM
49456b101
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KKR FINANCIAL HLDGS LLC COM
COM
48248a306
250
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KOHLS CORP
COM
500255104
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KRAFT FOODS GROUP INC COM
COM
50076q106
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KROGER CO
COM
501044101
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LAREDO PETROLEUM INC COM
COM
516806106
224
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LAS VEGAS SANDS CORP COM
COM
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LEVY ACQUISITION CORP UNIT 1 0
COM
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LIFE TIME FITNESS INC COM
COM
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LILLY ELI & COMPANY
COM
532457108
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LINCOLN NATL CORP IND COM
COM
534187109
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LKQ CORP COM
COM
501889208
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LOCKHEED MARTIN CORP
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539830109
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LOWES COS INC COM
COM
548661107
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LUXOTTICA GROUP
COM
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MAGNA INTERNATIONAL, INC.
COM
559222401
568
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MASTERCARD INC COM
COM
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MCDONALDS CORPORATION
COM
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MCKENZIE BAY INTL LTD COM
COM
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MEDTRONIC INC
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MEMORIAL PRODTN PAR LP COM U R
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MERCK & COMPANY INC.
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METLIFE INC COM
COM
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MICROS SYS
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MICROSOFT CORP
COM
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MILLER INDS
COM
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MONDELEZ INTL INC CL A
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609207105
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MONSANTO CO NEW COM
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MONSTER WORLDWIDE INC COM
COM
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MORGAN STANLEY COM NEW
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MVC CAPITAL INC COM
COM
553829102
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MYLAN LABS INC
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NAVIOS MARITIME HLDGS COM
COM
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NEW MTN FIN CORP COM
COM
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NEWELL RUBBERMAID INC.
COM
651229106
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NEWMONT MNG CORP
COM
651639106
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NEXTERA ENERGY INC COM
COM
65339F101
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NIKE INC CLASS B
COM
654106103
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NISOURCE INC. COM
COM
65473p105
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NOBLE CORP PLC SHS
COM
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NORFOLK SOUTHERN CORP
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655844108
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NORTHERN TRUST CORPORATION
COM
665859104
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NORTHROP GRUMMAN CORP COM
COM
666807102
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NOVARTIS A G SPONSORED ADR
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NUCOR CORP
COM
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OCCIDENTAL PETE CORP
COM
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OIL SVC HOLDRS TR DEPOSTRY RCP
COM
57060u191
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ON ASSIGNMENT INC COM
COM
682159108
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0
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ORACLE SYS CORP
COM
68389X105
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0
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OUTERWALL INC COM
COM
690070107
634
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0
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PEPSICO INC
COM
713448108
1886
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DFND
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0
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PETMED EXPRESS INC COM
COM
716382106
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DFND
0
0
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PFIZER INC
COM
717081103
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DFND
0
0
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PHILIP MORRIS INTL INC COM
COM
718172109
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DFND
0
0
21356
PHILLIPS 66 COM
COM
718546104
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DFND
0
0
19584
PINNACLE WEST CAPITAL CORP USD
COM
723484101
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DFND
0
0
11860
PITNEY BOWES INC
COM
724479100
897
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DFND
0
0
34500
PLAINS ALL AM PIPELINE UNIT LT
COM
726503105
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DFND
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0
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PORTOLA PHARMACEUTICAL COM
COM
737010108
447
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0
17260
POWERSHARES ETF TRUST FTSE RAF
COM
73935x583
542
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DFND
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0
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POWERSHARES ETF TRUST PRVT EQT
COM
73935x195
217
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DFND
0
0
17900
POWERSHARES QQQ TR UNIT SER 1
COM
73935A104
205
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DFND
0
0
2338
PPG INDS INC COM
COM
693506107
987
5100
SH
DFND
0
0
5100
PPL CORPORATION
COM
69351T106
517
15600
SH
DFND
0
0
15600
PRAXAIR INC
COM
74005P104
1074
8200
SH
DFND
0
0
8200
PROCTER & GAMBLE CO
COM
742718109
10989
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SH
DFND
0
0
136346
PURECYCLE CORP COM NEW
COM
746228303
298
49200
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DFND
0
0
49200
QRS MUSIC TECHNOLOGIES COM
COM
74726W107
9
25000
SH
DFND
0
0
25000
QUALCOMM INC
COM
747525103
21534
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DFND
0
0
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QUESTCOR PHARMACEUTICAL COM
COM
74835y101
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DFND
0
0
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QUICKLOGIC CORP COM
COM
74837p108
383
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DFND
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0
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RAYTHEON CO
COM
755111507
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DFND
0
0
13091
REALOGY HLDGS CORP COM
COM
75605y106
449
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DFND
0
0
10325
REPUBLIC SVCS INC CL A
COM
760759100
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DFND
0
0
24475
ROUNDYS INC COM
COM
779268101
126
18300
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DFND
0
0
18300
ROYAL BK CDA MONTREAL COM
COM
780087102
320
4850
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DFND
0
0
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ROYCE FOCUS TR COM
COM
78080n108
318
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DFND
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0
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RSTK STD BANCSHARES INC HICKOR
COM
853993442
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DFND
0
0
104086
RUSHNET INC COM
COM
782074108
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0
0
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SAN JUAN BASIN RTY TR UNIT BEN
COM
798241105
642
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DFND
0
0
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SCHLUMBERGER
COM
806857108
952
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DFND
0
0
9766
SCRIPPS NETWORKS INTERACTIVE I
COM
811065101
5781
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DFND
0
0
76150
SEADRILL LIMITED SHS
COM
g7945e105
202
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DFND
0
0
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SELECT SECTOR SPDR TR SBI INT-
COM
81369y605
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0
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SEMPRA ENERGY COM
COM
816851109
202
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0
0
2083
SENSIENT TECH CORP COM
COM
81725T100
200
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DFND
0
0
3550
SHIRE LTD SHS
COM
g8124v108
221
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DFND
0
0
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SIMON PPTY GROUP INC COM
COM
828806109
391
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DFND
0
0
2383
SOLAZYME INC COM
COM
83415t101
218
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SH
DFND
0
0
18750
SPDR S&P 500 ETF TR UNIT SER 1
COM
78462F103
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DFND
0
0
5691
SPDR S&P MIDCAP 400 ETF TR UNI
COM
78467y107
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DFND
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0
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SPDR SER TR S&P HOMEBUILDERS E
COM
78464a888
957
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0
0
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SPDR SERIES TRUST S&P REGL BKG
COM
78464a698
554
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DFND
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0
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SPIDER GOLD TR SHS
COM
78463V107
494
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DFND
0
0
4000
STANLEY BLACK & DECKER COM
COM
854502101
5466
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DFND
0
0
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STAPLES INC COM
COM
855030102
561
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SH
DFND
0
0
49475
STARBUCKS CORP COM
COM
855244109
856
11670
SH
DFND
0
0
11670
STARWOOD PPTY TR INC COM
COM
85571b105
5081
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DFND
0
0
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STARWOOD WAYPOINT RESIDENTIAL
COM
85571w109
1018
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DFND
0
0
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STATE STREET BOSTON CORP
COM
857477103
598
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DFND
0
0
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STRYKER CORP
COM
863667101
905
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DFND
0
0
11110
SUNTRUST BKS INC COM
COM
867914103
292
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SH
DFND
0
0
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SYSCO CORP
COM
871829107
3694
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DFND
0
0
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TARGET CORP COM
COM
87612E106
747
12348
SH
DFND
0
0
12348
TAYLOR CAP GROUP COM
COM
876851106
427
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DFND
0
0
17860
TE CONNECTIVITY LTD
COM
H84989104
1519
25225
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0
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TEARLAB CORP COM
COM
878193101
178
26400
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0
26400
TECO ENERGY INC COM
COM
872375100
1489
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0
0
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TELETECH HOLDING
COM
879939106
1961
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SH
DFND
0
0
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TERANGA GOLD CORP CDA COM
COM
880797105
8
10857
SH
DFND
0
0
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TEREX CORP NEW COM
COM
880779103
822
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0
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TEVA PHARMACEUTICAL
COM
881624209
565
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THERMO FISHER SCIENTIFIC
COM
883556102
3396
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SH
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0
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TIFFANY & CO
COM
886547108
584
6775
SH
DFND
0
0
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TILLYS INC CL A
COM
886885102
2545
217532
SH
DFND
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0
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TIME WARNER CABLE INC COM
COM
88732j207
888
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SH
DFND
0
0
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TIME WARNER INC
COM
887317303
1673
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SH
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0
0
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TITAN MACHY INC COM
COM
88830r101
578
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SH
DFND
0
0
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TOLL BROTHERS INC COM
COM
889478103
7871
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DFND
0
0
219235
TORONTO DOMINION BK COM NEW
COM
891160509
803
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SH
DFND
0
0
17100
TOTAL S A SPONSORED ADR
COM
89151E109
1281
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SH
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0
0
19525
TRAVELERS COS INC COM
COM
89417E109
282
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SH
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0
0
3319
TRIBUNE CO NEW CL A
COM
896047503
1669
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DFND
0
0
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UGI CORP NEW COM
COM
902681105
223
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0
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UNION PACIFIC CORPORATION
COM
907818108
331
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0
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UNITED PARCEL SERVICE CL B
COM
911312106
628
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0
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UNITED TECHNOLOGIES CORP
COM
913017109
5096
43618
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0
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UNIVERSAL HEALTH RLTY INCOME S
COM
91359E105
414
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0
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UNIVERSAL HLTH SVCS CL B
COM
913903100
2462
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0
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US BANCORP DEL COM
COM
902973304
1460
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0
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V F CORP COM
COM
918204108
248
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SH
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VALMONT INDS INC COM
COM
920253101
287
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COM
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VANTAGE DRILLING COMPA ORD SHS
COM
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VECTOR GROUP LTD COM
COM
92240M108
730
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VEEVA SYS INC CL A COM
COM
922475108
415
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VENTAS INC COM
COM
92276F100
433
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VERIZON COMMUNICATIONS COM
COM
92343v104
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VISA INC COM CL A
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VISHAY INTERTECHNOLOGY
COM
928298108
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VODAFONE GROUP PLC NEW
COM
92857w308
375
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WAL MART STORES INC
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931142103
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WALGREEN COMPANY
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WALT DISNEY PRODUCTIONS
COM
254687106
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WASTE MGMT INC COM
COM
94106L109
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WELLS FARGO & COMPANY
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WESTERN UN CO COM
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959802109
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WEYERHAEUSER CO
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COM
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COM
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WORLD OIL RES LTD SHS
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COM
98956P102
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CANON INC ADR
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CNOOC LTD SPONS ADR
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ENSCO PLC SHS CL A
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GAZPROM O A O SPON ADR
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INFOSYS TECH LTD SPONSORED ADR
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NINTENDO LTD
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654445303
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SH
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NTT DOCOMO INC SPONS ADR
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REPSOL S.A.
ADR
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534
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780097689
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ROYAL DUTCH SHELL PLC SPONS AD
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SANOFI SPONSORED ADR
ADR
80105n105
314
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SHIRE PHARMCTL GRP PLC SPONSOR
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TATA MTRS LTD SPONSORED ADR
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276
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WAL-MART DE MEXICO S A ADR SR
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330
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AMERICAN BALANCED FD COM
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024071102
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DFND
0
0
8011
CAPITAL WORLD GRW&INCM CL F
MF
140543406
1626
35501
SH
DFND
0
0
35501
CLAYMORE ETF TR ZACKS MDCAP CR
MF
18383m720
579
12500
SH
DFND
0
0
12500
COLUMBIA ACORN FUND CL Z
MF
197199409
701
18784
SH
DFND
0
0
18784
EATON VANCE GROWTH TR ATL CAPT
MF
277902698
215
8885
SH
DFND
0
0
8885
EUROPACIFIC GROWTH FUND CLASS
MF
298706102
607
12300
SH
DFND
0
0
12300
FIDELITY ADVISOR SER I LEV CO
MF
315805424
1189
21909
SH
DFND
0
0
21909
FIDELITY ADVISOR VII HEALTH CA
MF
315918847
850
23706
SH
DFND
0
0
23706
FIDELITY INVT TR JAPAN FD
MF
315910885
384
33890
SH
DFND
0
0
33890
FIRST EAGLE GLOBAL FUND CLASS
MF
32008f507
340
6160
SH
DFND
0
0
6160
FRANKLIN CUSTODIAN FDS INCOME
MF
353496805
27
10874
SH
DFND
0
0
10874
FRANKLIN INCOME FD CLASS A
MF
353496300
67
27056
SH
DFND
0
0
27056
FUNDAMENTAL INVS INC CL F
MF
360802409
353
6855
SH
DFND
0
0
6855
FUNDAMENTAL INVS INC COM
MF
360802102
219
4255
SH
DFND
0
0
4255
GABELLI ASSET FD SH BEN INT
MF
362395105
369
5596
SH
DFND
0
0
5596
GRANDEUR PEAK EMERGING MKTS OP
MF
31761R401
679
64785
SH
DFND
0
0
64785
GRANDEUR PEAK GLOBAL OPP FD IN
MF
317609360
5095
1498657
SH
DFND
0
0
1498657
GROWTH FD AMER INC CL F
MF
399874403
482
11165
SH
DFND
0
0
11165
INCOME FUND AMERICA
MF
453320103
467
22225
SH
DFND
0
0
22225
INTERNATIONAL GRW & IN CL F-2
MF
45956t501
325
9243
SH
DFND
0
0
9243
INVESTMENT CO AMER CL F
MF
461308405
201
5390
SH
DFND
0
0
5390
MAINSTAY MARKETFIELD FD CL I
MF
56064b852
5252
288864
SH
DFND
0
0
288864
MASSACHUSETTS INVS TR SH BEN I
MF
575736103
348
12373
SH
DFND
0
0
12373
NEW PERSPECTIVE FD INC COM
MF
648018109
409
10856
SH
DFND
0
0
10856
OPPENHEIMER DEVLNG MKT CL A
MF
683974109
947
25351
SH
DFND
0
0
25351
OPPENHEIMER INTL S CO CL A
MF
68380u100
872
25945
SH
DFND
0
0
25945
OPPENHEIMER STEELPATH MLP INC
MF
858268600
204
18793
SH
DFND
0
0
18793
OPPENHEIMER STEELPTH MLP SELEC
MF
858268105
935
75413
SH
DFND
0
0
75413
OPPENHEIMER STRATEG FD INCOME
MF
68380K102
82
19682
SH
DFND
0
0
19682
PIMCO SMALL CAPS STKSPL AR STG
MF
72201f698
498
51147
SH
DFND
0
0
51147
POPLAR FOREST PARTNERS FD CL A
MF
00768D814
1659
37067
SH
DFND
0
0
37067
POPLAR FOREST PARTNERS INSTITU
MF
00768d798
13215
294314
SH
DFND
0
0
294314
ROWE PRICE NEW HORI FD COM
MF
779562107
605
12854
SH
DFND
0
0
12854
SEQUOIA FD INC COM
MF
817418106
226
996
SH
DFND
0
0
996
T ROWE PRICE MEDIA & TELECOMMU
MF
741454102
312
4580
SH
DFND
0
0
4580
TEMPLETON GLOBAL INVT EMRG MKT
MF
88019r732
248
21325
SH
DFND
0
0
21325
TEMPLETON GLOBAL INVT FRNTR MK
MF
88019r674
325
17954
SH
DFND
0
0
17954
VANGUARD INDEX FDS TOT STKIDX
MF
922908728
465
9804
SH
DFND
0
0
9804
VANGUARD INTL EQTY IDX EURO ST
MF
922042833
515
18071
SH
DFND
0
0
18071
VANGUARD SPECIALIZED DIV APRID
MF
921908851
342
11342
SH
DFND
0
0
11342
VANGUARD SPECIALIZED HEALTHCAR
MF
921908885
209
2542
SH
DFND
0
0
2542
ALPS ETF TR BARRONS 400 ETF
EXCH
00162q726
203
6675
SH
DFND
0
0
6675
VANGUARD FTSE EUROPE ETF
EXCH
922042874
233
3945
SH
DFND
0
0
3945
ALLIANZGI EQUITY & CONVERTIBLE
CLE FDS
018829101
764
39296
SH
DFND
0
0
39296
EATON VANCE TXMG GLOBAL OPPORT
CLE FDS
27829c105
775
64016
SH
DFND
0
0
64016
ROYCE GLOBAL VALUE TR INC COM
CLE FDS
78081t104
245
27278
SH
DFND
0
0
27278
ROYCE MICRO CAP TR INC
CLE FDS
780915104
573
46820
SH
DFND
0
0
46820
ROYCE VALUE TR INC COM
CLE FDS
780910105
2378
151153
SH
DFND
0
0
151153
THAI FD INC COM
CLE INTL
882904105
182
16782
SH
DFND
0
0
16782
ALLIANCEBERNSTEIN HLDGS LP UNI
LP
01881g106
2156
86355
SH
DFND
0
0
86355
KKR & CO LP DEL COM UNITS
LP
48248m102
1503
65800
SH
DFND
0
0
65800