0001020918-20-000004.txt : 20200416 0001020918-20-000004.hdr.sgml : 20200416 20200416094851 ACCESSION NUMBER: 0001020918-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200416 DATE AS OF CHANGE: 20200416 EFFECTIVENESS DATE: 20200416 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: 20795366 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 03-31-2020 03-31-2020 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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293523 STATE STREET BOSTON CORP COM 857477103 400 7500 SH DFND 0 0 7500 STRATEGIC EDUC INC COM COM 86272c103 210 1500 SH DFND 0 0 1500 STRYKER CORP COM 863667101 644 3870 SH DFND 0 0 3870 SUNCOR ENERGY INC COM NEW COM 867224107 158 10000 SH DFND 0 0 10000 SYNEOS HEALTH INC CL A COM 87166B102 248 6291 SH SOLE 6291 0 0 SYSCO CORP COM 871829107 3963 86856 SH DFND 0 0 86856 TAPESTRY INC COM COM 876030107 939 72500 SH SOLE 72500 0 0 TAPESTRY INC COM COM 876030107 108 8372 SH DFND 0 0 8372 TARGET CORP COM COM 87612E106 2275 24470 SH DFND 0 0 24470 TE CONNECTIVITY LTD COM H84989104 674 10707 SH DFND 0 0 10707 TEGNA INC COM 87901j105 612 56351 SH DFND 0 0 56351 THE CHARLES SCHWAB CORP COM 808513105 605 18010 SH DFND 0 0 18010 THERMO FISHER SCIENTIFIC COM 883556102 4434 15634 SH SOLE 15634 0 0 THERMO FISHER SCIENTIFIC COM 883556102 13790 48624 SH DFND 0 0 48624 TILLYS INC CL A COM 886885102 458 111000 SH DFND 0 0 111000 TJX COMPANIES INC (NEW) COM 872540109 4685 97986 SH DFND 0 0 97986 TOWN SPORTS INTL HLDGS COM COM 89214a102 191 382025 SH DFND 0 0 382025 TPI COMPOSITES INC COM COM 87266J104 179 12080 SH SOLE 12080 0 0 TRAVELERS COS INC COM COM 89417E109 318 3201 SH DFND 0 0 3201 TRINET GROUP INC COM COM 896288107 1131 30034 SH SOLE 30034 0 0 TRISTATE CAP HLDGS INC COM COM 89678F100 130 13448 SH SOLE 13448 0 0 TRULIEVE CANNABIS CORP COM COM 89788c104 183 19950 SH DFND 0 0 19950 UBER TECHNOLOGIES INC COM COM 90353t100 624 22350 SH DFND 0 0 22350 UMPQUA HLDGS CORP COM COM 904214103 319 29287 SH SOLE 29287 0 0 UNION PACIFIC CORPORATION COM 907818108 508 3601 SH DFND 0 0 3601 UNITED PARCEL SERVICE CL B COM 911312106 7079 75773 SH DFND 0 0 75773 UNITED STATES OIL FUND UNITS COM 91232n108 51 12000 SH DFND 0 0 12000 UNITED TECHNOLOGIES CORP COM 913017109 766 8120 SH DFND 0 0 8120 UNITEDHEALTH GRP INC COM 91324p102 1897 7607 SH SOLE 7607 0 0 UNITEDHEALTH GRP INC COM 91324p102 177 711 SH DFND 0 0 711 UNIVERSAL DISPLAY CORP COM COM 91347P105 468 3555 SH DFND 0 0 3555 UNIVERSAL HEALTH RLTY INCOME S COM 91359E105 635 6300 SH DFND 0 0 6300 UNIVERSAL HLTH SVCS CL B COM 913903100 991 10000 SH DFND 0 0 10000 US BANCORP DEL COM COM 902973304 486 14117 SH DFND 0 0 14117 VANGUARD INDEX FDS COM 922908363 330 1393 SH DFND 0 0 1393 VANGUARD INDEX FDS EXTEND MKT COM 922908652 2299 25395 SH DFND 0 0 25395 VANGUARD INDEX FDS GROWTH ETF COM 922908736 3839 24500 SH DFND 0 0 24500 VANGUARD INDEX FDS REIT ETF COM 922908553 980 14025 SH DFND 0 0 14025 VANGUARD INDEX FDS VALUE ETF COM 922908744 675 7575 SH DFND 0 0 7575 VANGUARD INTL EQUITY I TT WRLD COM 922042742 502 8000 SH DFND 0 0 8000 VANGUARD SPECIALIZED DIV APP E COM 921908844 5033 48685 SH DFND 0 0 48685 VANGUARD WHITEHALL FDS HIGH DI COM 921946406 248 3505 SH DFND 0 0 3505 VECTOR GROUP LTD COM COM 92240M108 426 45175 SH DFND 0 0 45175 VENTAS INC COM COM 92276F100 1283 47875 SH DFND 0 0 47875 VERIZON COMMUNICATIONS COM COM 92343v104 7066 131513 SH DFND 0 0 131513 VICTORY CAP HLDGS INC COM CL A COM 92645B103 387 23659 SH SOLE 23659 0 0 VISA INC COM CL A COM 92826c839 1653 10258 SH SOLE 10258 0 0 VISA INC COM CL A COM 92826c839 7003 43464 SH DFND 0 0 43464 WAL MART STORES INC COM 931142103 907 7987 SH SOLE 7987 0 0 WAL MART STORES INC COM 931142103 4004 35240 SH DFND 0 0 35240 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 560 12241 SH SOLE 12241 0 0 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 4587 100258 SH DFND 0 0 100258 WALT DISNEY PRODUCTIONS COM 254687106 1057 10937 SH SOLE 10937 0 0 WALT DISNEY PRODUCTIONS COM 254687106 5709 59097 SH DFND 0 0 59097 WASHINGTON PRIME GROUP NEW COM COM 93964w108 14 17616 SH DFND 0 0 17616 WASTE CONNECTIONS INC (ONTARIO COM 94106b101 2302 30000 SH DFND 0 0 30000 WASTE MGMT INC COM COM 94106L109 8742 94448 SH DFND 0 0 94448 WEC ENERGY GROUP INC COM COM 92939u106 2176 24690 SH DFND 0 0 24690 WELLS FARGO & COMPANY COM 949746101 987 34383 SH DFND 0 0 34383 WILLIAMS COS INC DEL COM COM 969457100 224 15865 SH DFND 0 0 15865 WINTRUST FINL CORP COM COM 97650W108 195 5929 SH SOLE 5929 0 0 WINTRUST FINL CORP COM COM 97650W108 1224 37261 SH DFND 0 0 37261 WNS HOLDINGS LTD SPON ADR COM 92932M101 733 17061 SH SOLE 17061 0 0 WORLD GOLD TR SPDR GLD MINIS COM 98149e204 157 10000 SH DFND 0 0 10000 WPX ENERGY INC COM COM 98212B103 64 21031 SH DFND 0 0 21031 YETI HLDGS INC COM COM 98585x104 169 8682 SH SOLE 8682 0 0 YETI HLDGS INC COM COM 98585x104 3469 177701 SH DFND 0 0 177701 ZEBRA TECHNOLOGIES CP CL A COM 989207105 49 265 SH SOLE 265 0 0 ZEBRA TECHNOLOGIES CP CL A COM 989207105 237 1290 SH DFND 0 0 1290 ZIMMER BIOMET HOLDINGS INC COM 98956P102 354 3498 SH DFND 0 0 3498 ZOETIS INC CL A COM 98978v103 241 2050 SH DFND 0 0 2050 ALIBABA GROUP HLDG LTD SPONSOR ADR 01609w102 1191 6124 SH DFND 0 0 6124 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 212 5221 SH DFND 0 0 5221 ROYAL DUTCH SHELL B ADR 780259107 257 7882 SH DFND 0 0 7882 SAFRAN S A SPON ADR ADR 786584102 656 30075 SH DFND 0 0 30075 SANOFI SPONSORED ADR ADR 80105n105 272 6220 SH DFND 0 0 6220 SIEMENS A G SPONSORED ADR ADR 826197501 234 5581 SH DFND 0 0 5581 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 368 7697 SH DFND 0 0 7697 TAKEDA PHARMACEUTICAL CO. LTD ADR 874060205 499 32870 SH DFND 0 0 32870 TENCENT HLDGS LTD ADR ADR 88032q109 1934 39402 SH DFND 0 0 39402 TRIP COM GROUP LTD ADS ADR 89677q107 558 23794 SH DFND 0 0 23794 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 199 10700 SH DFND 0 0 10700 CRESSET DIVERSIFIED QOZ FUND L LP 225cc5124 250 250000 SH DFND 0 0 250000 ENTERPRISE PRODS PARTNERS LP C LP 293792107 1090 76228 SH DFND 0 0 76228 JVM MULTI-FAMILY PREMIER FUND LP 756lp7578 3350 3 SH DFND 0 0 3 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 2257 61850 SH DFND 0 0 61850 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 67 12600 SH DFND 0 0 12600 AB CAP FD INC GBL CR EQT ADV MF 01878t244 112 10069 SH DFND 0 0 10069 ADVISORS SER TR POPLAR FRST CO MF 00770x535 5147 265154 SH DFND 0 0 265154 AMCAP FD INC CL F 3 MF 023375777 212 7633 SH DFND 0 0 7633 AMER FDS RET INC PORTF ENCHANC MF 02631l528 179 17259 SH DFND 0 0 17259 AMERICAN BALANCED FD SHS F-2 C MF 024071821 687 27423 SH DFND 0 0 27423 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 4417 525265 SH DFND 0 0 525265 AMERICAN FDS GRWTH & INC PORTF MF 02630r351 195 14941 SH DFND 0 0 14941 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 352 26001 SH DFND 0 0 26001 AMERICAN FDS PORTFOLIO GBL GRO MF 02630r344 286 20329 SH DFND 0 0 20329 AMERICAN FDS PORTFOLIO GLOBL G MF 02630r567 147 10426 SH DFND 0 0 10426 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 536 40952 SH DFND 0 0 40952 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 476 35906 SH DFND 0 0 35906 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 739 87922 SH DFND 0 0 87922 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 976 27613 SH DFND 0 0 27613 BLACKROCK FDS III LIFPT2025 IN MF 066923848 301 23921 SH DFND 0 0 23921 BLACKSTONE GSO FLOATNG RATE CL MF 09258t106 438 23076 SH DFND 0 0 23076 BLAIR WILLIAM SM MID CAP GRWTH MF 093001295 261 12155 SH DFND 0 0 12155 BLUEROCK TOTAL INC REAL EST FD MF 09630D407 1556 50363 SH DFND 0 0 50363 BRANDES INVT TR EMRGN MKT VAL MF 105262752 111 18163 SH DFND 0 0 18163 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 8238 155552 SH DFND 0 0 155552 CAPITAL INCOME BLDR IN SHS CL MF 140194101 4192 79187 SH DFND 0 0 79187 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 792 19169 SH DFND 0 0 19169 CAPITAL WORLD GRWTH AND INC FD MF 140543117 1968 47559 SH DFND 0 0 47559 DNP SELECT INCOME FD INC COM MF 23325P104 278 28421 SH DFND 0 0 28421 DODGE & COX STK FD COM MF 256219106 771 5727 SH DFND 0 0 5727 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 305 7102 SH DFND 0 0 7102 FIDELITY COMWLTH TR NASD COMP MF 315912709 747 7724 SH DFND 0 0 7724 FIDELITY CONCORD STR T 500 IDX MF 315911750 899 9985 SH DFND 0 0 9985 FRANKLIN CUSTODIAN FDS INCOME MF 353496631 43 22072 SH DFND 0 0 22072 FUNDAMENTAL INVESTORS CL F3 MF 360802771 846 17325 SH DFND 0 0 17325 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 1343 136479 SH DFND 0 0 136479 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 3010 247106 SH DFND 0 0 247106 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 3483 1244071 SH DFND 0 0 1244071 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 2616 210434 SH DFND 0 0 210434 INCOME FD AMER INC CL F3 MF 453320772 1327 68810 SH DFND 0 0 68810 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 526 19683 SH DFND 0 0 19683 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 299 11206 SH DFND 0 0 11206 INVESCO GLBL HEALTH CARE FUND MF 00141v820 348 9715 SH DFND 0 0 9715 INVESCO/OPP GLBL STRAT INC FD MF 00143K756 80 25841 SH DFND 0 0 25841 INVESCO/OPP INTL SM MID CO FD MF 00900W555 254 6743 SH DFND 0 0 6743 INVESCO/OPP INTL SMALL MID CO MF 00900W530 553 14747 SH DFND 0 0 14747 INVESCO/OPP STEELPATH MLP INC MF 00143K285 27 14532 SH DFND 0 0 14532 INVESCO/OPP STEELPATH MLP SEL4 MF 00143K228 83 29326 SH DFND 0 0 29326 INVESTMENT CO AMER CL F3 MF 461308777 386 12114 SH DFND 0 0 12114 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 521 63825 SH DFND 0 0 63825 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1112 28779 SH DFND 0 0 28779 NEW WORLD FD INC NEW CL F3 MF 649280773 411 7489 SH DFND 0 0 7489 POPLAR FOREST PARTNERS INSTITU MF 00768d798 7330 250772 SH DFND 0 0 250772 ROWE T PRICE DIVID GRW COM MF 779546100 337 7785 SH DFND 0 0 7785 SEQUOIA FD INC COM MF 817418106 214 1745 SH DFND 0 0 1745 THE GROWTH FD OF AMERICA CL F3 MF 399874775 525 12102 SH DFND 0 0 12102 VANGUARD INDEX FDS TOT STKIDX MF 922908728 488 7782 SH DFND 0 0 7782 VANGUARD INDEX TR 500 INDEX AD MF 922908710 283 1188 SH DFND 0 0 1188 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 293 3854 SH DFND 0 0 3854 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 865 28525 SH DFND 0 0 28525 INVESCO ETF TR II FTSE RAFI EM EXCH 46138E727 1106 71680 SH DFND 0 0 71680 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 4169 45105 SH DFND 0 0 45105 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 7710 40494 SH DFND 0 0 40494 ISHARES TR MSCI EMERG MKT EXCH 464287234 381 11161 SH DFND 0 0 11161 ISHARES TR RUSSELL 2000 EXCH 464287655 6435 56219 SH DFND 0 0 56219 ISHARES TR RUSSELL1000VAL EXCH 464287598 3572 36011 SH DFND 0 0 36011 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 1756 84326 SH DFND 0 0 84326 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 5279 20481 SH DFND 0 0 20481 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 10568 40200 SH DFND 0 0 40200 SPIDER GOLD TR SHS EXCH 78463V107 631 4265 SH DFND 0 0 4265 VANGUARD INDEX TR STK MRK VIPE EXCH 922908769 656 5088 SH DFND 0 0 5088 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1008 31260 SH DFND 0 0 31260 WISDOMTREE TRUST DEFA FD EXCH 97717w703 251 6345 SH DFND 0 0 6345 ALLIANZ FDS ALGI INCMGRINST BAL MF 018920512 362 37002 SH DFND 0 0 37002 AMERICAN BALANCED FD CL F3 BAL MF 024071771 4305 171730 SH DFND 0 0 171730 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 769 68417 SH DFND 0 0 68417 AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 518 17466 SH DFND 0 0 17466 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 687 50867 SH DFND 0 0 50867 ALLIANZGI EQUITY & CONVERTIBLE CLE FDS 018829101 673 36177 SH DFND 0 0 36177 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 268 35872 SH DFND 0 0 35872 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 322 40098 SH DFND 0 0 40098 ROYCE VALUE TR INC COM CLE FDS 780910105 2205 227995 SH DFND 0 0 227995 TEMPLETON DRAGON FUND INC CLE INTL 88018T101 285 16690 SH DFND 0 0 16690