0001020918-17-000002.txt : 20170123 0001020918-17-000002.hdr.sgml : 20170123 20170123135045 ACCESSION NUMBER: 0001020918-17-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170123 DATE AS OF CHANGE: 20170123 EFFECTIVENESS DATE: 20170123 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: 17540507 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 true false 0001020918 XXXXXXXX 12-31-2016 12-31-2016 ROTHSCHILD INVESTMENT CORP /IL

311 S WACKER DR SUITE 6500 CHICAGO IL 60606

13F HOLDINGS REPORT 028-05772 N Bradley C. Drake 312-983-8956 Bradley C. 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VANGUARD INDEX TR STK MRK VIPE COM 922908769 743 6443 SH DFND 0 0 6443 VANGUARD INTL EQTY IDX ALLWRLD COM 922042775 997 22565 SH DFND 0 0 22565 VANGUARD INTL EQTY IDX GLB EX COM 922042676 324 6527 SH DFND 0 0 6527 VANGUARD INTL EQUITY I TT WRLD COM 922042742 546 8950 SH DFND 0 0 8950 VANGUARD SPECIALIZED DIV APP E COM 921908844 3613 42422 SH DFND 0 0 42422 VANTAGE DRILLING COMPA ORD SHS COM g93205113 0 15000 SH DFND 0 0 15000 VECTOR GROUP LTD COM COM 92240M108 893 39254 SH DFND 0 0 39254 VENTAS INC COM COM 92276F100 564 9015 SH DFND 0 0 9015 VERIZON COMMUNICATIONS COM COM 92343v104 10609 198753 SH DFND 0 0 198753 VIACOM INC CLASS B COM NEW COM 92553p201 684 19495 SH DFND 0 0 19495 VISA INC COM CL A COM 92826c839 5475 70172 SH DFND 0 0 70172 VISHAY INTERTECHNOLOGY COM 928298108 442 27260 SH DFND 0 0 27260 VODAFONE GROUP PLC NEW COM 92857w308 992 40608 SH DFND 0 0 40608 W P CAREY, INC COM 92936u109 293 4966 SH DFND 0 0 4966 WAL MART STORES INC COM 931142103 3099 44834 SH DFND 0 0 44834 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 3455 41746 SH DFND 0 0 41746 WALT DISNEY PRODUCTIONS COM 254687106 2688 25788 SH DFND 0 0 25788 WASHINGTON PRIME GROUP NEW COM COM 93964w108 258 24802 SH DFND 0 0 24802 WASTE MGMT INC COM COM 94106L109 1306 18424 SH DFND 0 0 18424 WEC ENERGY GROUP INC COM COM 92939u106 1571 26779 SH DFND 0 0 26779 WELLS FARGO & COMPANY COM 949746101 1475 26756 SH DFND 0 0 26756 WEST CORP COM COM 952355204 1515 61200 SH DFND 0 0 61200 WEYERHAEUSER CO COM 962166104 238 7897 SH DFND 0 0 7897 WILLIAMS COS INC DEL COM COM 969457100 237 7614 SH DFND 0 0 7614 WILLIAMS SONOMA INC COM COM 969904101 559 11550 SH DFND 0 0 11550 WILLIS TWRS WATSON PLC LKD TO COM g96629103 337 2760 SH DFND 0 0 2760 WISDOMTREE INVTS INC COM COM 97717p104 1934 173606 SH DFND 0 0 173606 WISDOMTREE TR EMERGING MKTS YL COM 97717w315 1160 31071 SH DFND 0 0 31071 WISDOMTREE TR EUROPE HEDGED EQ COM 97717x701 2122 36975 SH DFND 0 0 36975 WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 244 6238 SH DFND 0 0 6238 WISDOMTREE TRUST JAPN HEDGE EQ COM 97717W851 3915 79025 SH DFND 0 0 79025 WOOLWORTHS HLDGS LTD SPON GDR COM 98088r505 82 16031 SH DFND 0 0 16031 ZEBRA TECHNOLOGIES CP CL A COM 989207105 290 3385 SH DFND 0 0 3385 ZIMMER BIOMET HOLDINGS INC COM 98956P102 6376 61784 SH DFND 0 0 61784 ZYNERBA PHARMACEUTICAL COM COM 98986x109 365 23395 SH DFND 0 0 23395 AIA GROUP LTD SPONSORED ADR ADR 001317205 322 14309 SH DFND 0 0 14309 AIR LIQUIDE ADR ADR 009126202 226 10174 SH DFND 0 0 10174 AKBANK TURK ANONM SIRK ADR ADR 009719501 73 16743 SH DFND 0 0 16743 ALLIANZ SE SP ADR 1/10 SH ADR 018805101 692 41978 SH DFND 0 0 41978 AMBEV S A SPONSORED ADR ADR 02319v103 134 27292 SH DFND 0 0 27292 AMERICA MOVIL SA DE CV SPON AD ADR 02364w105 126 10018 SH DFND 0 0 10018 BAIDU COM INC SPON ADR REP A ADR 056752108 883 5369 SH DFND 0 0 5369 BANCO BILBAO VIZ ARGNT SPONSOR ADR 05946K101 253 37307 SH DFND 0 0 37307 BANCO DO BRASIL S A SPONSORED ADR 059578104 173 20762 SH DFND 0 0 20762 BAYER A G SPONSORED ADR ADR 072730302 374 3591 SH DFND 0 0 3591 BB SEGURIDADE PARTICIP SPONSOR ADR 05541j103 97 11360 SH DFND 0 0 11360 CANON INC ADR ADR 138006309 499 17715 SH DFND 0 0 17715 CHINA CONSTR BK CORP ADR ADR 168919108 296 19495 SH DFND 0 0 19495 CIELO S A SPONSORED ADR ADR 171778202 170 19888 SH DFND 0 0 19888 COMMERCIAL INTL BK EGY SPONSOR ADR 201712304 79 21889 SH DFND 0 0 21889 DASSAULT SYS S A SPONSORED ADR ADR 237545108 371 4854 SH DFND 0 0 4854 DEUTSCHE LUFTHANSA A G SPONSOR ADR 251561304 1275 98885 SH DFND 0 0 98885 FANUC CORPORATION ADR ADR 307305102 318 19105 SH DFND 0 0 19105 FRESENIUS MED CARE AG SPONSORE ADR 358029106 206 4885 SH DFND 0 0 4885 FUCHS PETROLUB SE ADR ADR 35952q106 109 10434 SH DFND 0 0 10434 GAZPROM PJSC SPON ADR ADR 368287207 76 15004 SH DFND 0 0 15004 ICICI BK LTD ADR ADR 45104g104 101 13462 SH DFND 0 0 13462 ITAU UNIBANCO BANCO MU SPONS A ADR 465562106 160 15594 SH DFND 0 0 15594 KIMBERLY CLRK DE MEX SPON ADR ADR 494386204 90 10074 SH DFND 0 0 10074 LOCALIZA RENT A CAR SPONSORED ADR 53956w300 148 14474 SH DFND 0 0 14474 LOREAL CO ADR ADR 502117203 249 6851 SH DFND 0 0 6851 MITSUBISHI UFJ FNL GP SPONSORE ADR 606822104 62 10000 SH DFND 0 0 10000 MOBILE TELESYS OJSC SPONSORED ADR 607409109 140 15395 SH DFND 0 0 15395 MS&AD INS GROUP HLDGS ADR ADR 553491101 1809 117365 SH DFND 0 0 117365 NASPERS LTD SPON ADR N SHS ADR 631512100 214 14660 SH DFND 0 0 14660 NATIONAL BK GREECE SA SPN ADR ADR 633643804 39 145245 SH DFND 0 0 145245 PPC LTD ADR ADR 69354a203 11 16151 SH DFND 0 0 16151 PT ASTRA INTL TBK ADR ADR 69367x109 170 13918 SH DFND 0 0 13918 PT BK MANDIRI PERSERO ADR ADR 69367u105 168 19876 SH DFND 0 0 19876 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 457 16029 SH DFND 0 0 16029 ROYAL DUTCH SHELL B ADR 780259107 456 7860 SH DFND 0 0 7860 ROYAL DUTCH SHELL PLC SPONS AD ADR 780259206 247 4538 SH DFND 0 0 4538 SAFRAN S A SPON ADR ADR 786584102 547 30430 SH DFND 0 0 30430 SANOFI SPONSORED ADR ADR 80105n105 285 7052 SH DFND 0 0 7052 SAP AE SPONSORED ADR ADR 803054204 324 3743 SH DFND 0 0 3743 SBERBANK OF RUSSIA SPONS ADR ADR 80585y308 266 22986 SH DFND 0 0 22986 SHIRE PHARMCTL GRP PLC SPONSOR ADR 82481r106 1870 10973 SH DFND 0 0 10973 STANDARD BK GROUP LTD SPONSORE ADR 853118206 116 10512 SH DFND 0 0 10512 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 1052 36603 SH DFND 0 0 36603 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 469 4001 SH DFND 0 0 4001 TURK TELEKOMUNIKASYON ADR ADR 90011q100 34 11616 SH DFND 0 0 11616 TURKIYE GARANTI BK AS SPONSORE ADR 900148701 78 37547 SH DFND 0 0 37547 UNILEVER PLC SPON ADR NEW ADR 904767704 617 15166 SH DFND 0 0 15166 WEICHAI PWR CO LTD ADR ADR 948597109 144 11732 SH DFND 0 0 11732 WOODSIDE PETE LTD SPONSORED AD ADR 980228308 287 12775 SH DFND 0 0 12775 WPP PLC NEW ADR ADR 92937a102 279 2523 SH DFND 0 0 2523 ADVISORS SER TR POPLAR FRST CO MF 00770x535 5677 216756 SH DFND 0 0 216756 AMER INTL GRW & INC CL F-1 SHS MF 45956t402 600 21198 SH DFND 0 0 21198 AMERICAN BALANCED FD CL F MF 024071409 1545 62309 SH DFND 0 0 62309 AMERICAN BALANCED FD COM MF 024071102 558 22507 SH DFND 0 0 22507 AMERICAN BALANCED FD SHS F-2 C MF 024071821 270 10879 SH DFND 0 0 10879 AMERICAN DEV WRLD GRWTH & INC MF 02630f100 196 21775 SH DFND 0 0 21775 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 5770 639643 SH DFND 0 0 639643 AMERICAN FDS MONEY MKT CL F-1 MF 02630u404 41 40535 SH DFND 0 0 40535 AMERICAN FUNDS INC CL F-1 MF 02630f407 407 45107 SH DFND 0 0 45107 AMERICAN HIGH-INCOME M SHS CL MF 026545608 210 13753 SH DFND 0 0 13753 BRANDES INVT TR EMRGN MKT VAL MF 105262752 562 71880 SH DFND 0 0 71880 CAPITAL INCOME BLDR FD CL F MF 140193400 4018 69709 SH DFND 0 0 69709 CAPITAL INCOME BLDR IN SHS CL MF 140194101 1010 17534 SH DFND 0 0 17534 CAPITAL INCOME BUILDERS FD SH MF 140193103 531 9209 SH DFND 0 0 9209 CAPITAL WORLD GRW&INCM CL F MF 140543406 1418 32414 SH DFND 0 0 32414 CLAYMORE ETF TR ZACKS MDCAP CR MF 18383m720 582 10700 SH DFND 0 0 10700 DE GRP GLOBL & INTL FD EMER MK MF 245914841 180 12444 SH DFND 0 0 12444 DFA INVT DIMENSION GRP US CORE MF 233203397 1246 66934 SH DFND 0 0 66934 DIMENSIONAL INVT GROUP GL ALL MF 25434d633 269 20883 SH DFND 0 0 20883 EUROPACIFIC GROWTH FUND CLASS MF 298706102 543 12041 SH DFND 0 0 12041 FEDERATED EQUITY FDS KAUFMANN MF 314172644 68 13911 SH DFND 0 0 13911 FIDELITY ADVISOR SER I LEV CO MF 315805424 568 11656 SH DFND 0 0 11656 FIDELITY ADVISOR VII HEALTH CA MF 315918847 1426 41485 SH DFND 0 0 41485 FINANCIAL INVS TR GRANDEUR INS MF 31761r773 391 34308 SH DFND 0 0 34308 FINANCIAL INVS TR GRANDEUR INS MF 31761r757 185 16362 SH DFND 0 0 16362 FRANKLIN INCOME FD CLASS A MF 353496300 73 31752 SH DFND 0 0 31752 FUNDAMENTAL INVS INC CL F MF 360802409 333 6121 SH DFND 0 0 6121 FUNDVANTAGE TR GTM ENRT INSTL MF 360873129 499 39642 SH DFND 0 0 39642 GABELLI ASSET FD SH BEN INT MF 362395105 315 5915 SH DFND 0 0 5915 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1338 130044 SH DFND 0 0 130044 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4796 1498757 SH DFND 0 0 1498757 GROWTH FD AMER INC MF 399874106 276 6564 SH DFND 0 0 6564 HARRIS ASSOC INVT TR OAKMARK I MF 413838202 203 8960 SH DFND 0 0 8960 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 292 10307 SH DFND 0 0 10307 INVESCO GLBL HLTH CARE FD CL A MF 00141T106 271 8240 SH DFND 0 0 8240 INVESCO TREASURERS SER TR PREM MF 00142W868 12 11604 SH DFND 0 0 11604 INVESTMENT CO AMER CL F MF 461308405 402 11109 SH DFND 0 0 11109 LATEEF FUND CLASS I MF 360873301 178 19532 SH DFND 0 0 19532 MARKETFIELD FUND CLASS I MF 89834e245 2578 179167 SH DFND 0 0 179167 MASSACHUSETTS INVS TR SH BEN I MF 575736103 346 12373 SH DFND 0 0 12373 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 210 18561 SH DFND 0 0 18561 NEW PERSPECTIVE FD INC COM MF 648018109 391 11076 SH DFND 0 0 11076 NICHOLAS FD INC COM MF 653735100 276 4522 SH DFND 0 0 4522 NORTHERN LTS FD TR II PCS COMD MF 66538f868 245 31636 SH DFND 0 0 31636 NUVEEN INVT TR NWQ MULTI VL R MF 67064y768 535 19958 SH DFND 0 0 19958 OPPENHEIMER INTL S CO CL A MF 68380u100 1969 53204 SH DFND 0 0 53204 OPPENHEIMER STEELPATH MLP INC MF 858268600 227 29328 SH DFND 0 0 29328 OPPENHEIMER STEELPTH MLP SELEC MF 858268105 1421 149265 SH DFND 0 0 149265 OPPENHEIMER STRATEG FD INCOME MF 68380K102 86 22083 SH DFND 0 0 22083 PIMCO FDS PAC INVT MGM HIGH YI MF 693390841 142 16077 SH DFND 0 0 16077 PIMCO SMALL CAPS STKSPL AR STG MF 72201f698 583 62565 SH DFND 0 0 62565 PIONEER MLT-ASST ULTRASHT INC MF 72388e605 200 20055 SH DFND 0 0 20055 POPLAR FOREST OUTLIERS FD INST MF 00770x550 888 37451 SH DFND 0 0 37451 POPLAR FOREST PARTNERS FD CL A MF 00768D814 1200 23806 SH DFND 0 0 23806 POPLAR FOREST PARTNERS INSTITU MF 00768d798 12680 251241 SH DFND 0 0 251241 ROWE PRICE NEW HORI FD COM MF 779562107 711 16411 SH DFND 0 0 16411 ROWE PRICE NEW INCM FD COM MF 779570100 102 10848 SH DFND 0 0 10848 ROWE T PRICE DIVID GRW COM MF 779546100 281 7561 SH DFND 0 0 7561 SEQUOIA FD INC COM MF 817418106 206 1278 SH DFND 0 0 1278 SUNAMERICA SERIES INC FCUSD DI MF 86704f203 185 10781 SH DFND 0 0 10781 T ROWE PRICE MEDIA & TELECOMMU MF 741454102 397 5347 SH DFND 0 0 5347 THORNBURG INVT TR INV INCM BLD MF 885215467 278 13830 SH DFND 0 0 13830 VANGUARD INDEX FDS TOT STKIDX MF 922908728 575 10250 SH DFND 0 0 10250 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 221 2834 SH DFND 0 0 2834 WASHINGTON MUT INVS FD CL F MF 939330403 207 5079 SH DFND 0 0 5079 ETF SER SOLUTIONS VIDENTCORE E EXCH 26922a503 264 9120 SH DFND 0 0 9120 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 640 34718 SH DFND 0 0 34718 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 391 38862 SH DFND 0 0 38862 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 168 20934 SH DFND 0 0 20934 ROYCE VALUE TR INC COM CLE FDS 780910105 2674 199720 SH DFND 0 0 199720 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 1868 79673 SH DFND 0 0 79673 DISCOVERY GLOBAL OPPORTUNITY P LP 254lp3798 1436 1436110 SH DFND 0 0 1436110 ENBRIDGE ENERGY PRTNRS COM LP 29250r106 1733 68000 SH DFND 0 0 68000 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1894 70058 SH DFND 0 0 70058 JPMORGAN CHASE & CO ALERIAN ML LP 46625h365 947 29950 SH DFND 0 0 29950 KKR & CO LP DEL COM UNITS LP 48248m102 2223 144452 SH DFND 0 0 144452 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 1554 20550 SH DFND 0 0 20550 MEMORIAL PRODTN PAR LP COM U R LP 586048100 2 17550 SH DFND 0 0 17550 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 3076 95275 SH DFND 0 0 95275