0001020918-21-000004.txt : 20210415 0001020918-21-000004.hdr.sgml : 20210415 20210415110204 ACCESSION NUMBER: 0001020918-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210415 DATE AS OF CHANGE: 20210415 EFFECTIVENESS DATE: 20210415 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: 21827692 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 03-31-2021 03-31-2021 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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55350 VERIZON COMMUNICATIONS COM COM 92343v104 9822 168908 SH DFND 0 0 168908 VIATRIS INC COM COM 92556v106 364 26080 SH DFND 0 24 26056 VIR BIOTECHNOLOGY INC COM COM 92764n102 2125 41450 SH DFND 0 0 41450 VISA INC COM CL A COM 92826c839 757 3577 SH SOLE 3577 0 0 VISA INC COM CL A COM 92826c839 5850 27629 SH DFND 0 0 27629 WAL MART STORES INC COM 931142103 4971 36598 SH DFND 0 0 36598 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 302 5498 SH SOLE 5498 0 0 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 9587 174634 SH DFND 0 0 174634 WALT DISNEY PRODUCTIONS COM 254687106 657 3558 SH SOLE 3558 0 0 WALT DISNEY PRODUCTIONS COM 254687106 14466 78397 SH DFND 0 0 78397 WASTE MGMT INC COM COM 94106L109 10875 84286 SH DFND 0 0 84286 WEC ENERGY GROUP INC COM COM 92939u106 2868 30644 SH DFND 0 0 30644 WELLS FARGO & COMPANY COM 949746101 1791 45850 SH DFND 0 0 45850 WESTAIM CORP COM NEW COM 956909303 43 20000 SH DFND 0 0 20000 WILLIAMS COS INC DEL COM COM 969457100 294 12415 SH DFND 0 0 12415 WILLIS TWRS WATSON PLC LKD TO COM g96629103 266 1163 SH DFND 0 0 1163 WILLSCOT MOBIL MINI HL COM CL COM 971378104 390 14063 SH SOLE 14063 0 0 WILLSCOT MOBIL MINI HL COM CL COM 971378104 30 1087 SH DFND 0 0 1087 WINTRUST FINL CORP COM COM 97650W108 153 2012 SH SOLE 2012 0 0 WINTRUST FINL CORP COM COM 97650W108 131 1731 SH DFND 0 0 1731 WNS HOLDINGS LTD SPON ADR COM 92932M101 301 4158 SH SOLE 4158 0 0 YETI HLDGS INC COM COM 98585x104 95 1317 SH SOLE 1317 0 0 YETI HLDGS INC COM COM 98585x104 9526 131925 SH DFND 0 0 131925 YUM BRANDS INC COM COM 988498101 237 2195 SH DFND 0 0 2195 ZEBRA TECHNOLOGIES CP CL A COM 989207105 236 486 SH SOLE 486 0 0 ZEBRA TECHNOLOGIES CP CL A COM 989207105 628 1294 SH DFND 0 0 1294 ZIMMER BIOMET HOLDINGS INC COM 98956P102 429 2678 SH DFND 0 0 2678 ZOETIS INC CL A COM 98978v103 323 2050 SH DFND 0 0 2050 ALIBABA GROUP HLDG LTD SPONSOR ADR 01609w102 2235 9856 SH DFND 0 0 9856 LI AUTO INC SPONSORED ADS ADR 50202m102 216 8635 SH DFND 0 0 8635 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 280 6900 SH DFND 0 0 6900 ROYAL DUTCH SHELL B ADR 780259107 228 6182 SH DFND 0 0 6182 SAFRAN S A SPON ADR ADR 786584102 407 11955 SH DFND 0 0 11955 SANOFI SPONSORED ADR ADR 80105n105 299 6045 SH DFND 0 0 6045 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 447 3781 SH DFND 0 0 3781 TAKEDA PHARMACEUTICAL CO. LTD ADR 874060205 628 34410 SH DFND 0 0 34410 TENCENT HLDGS LTD ADR ADR 88032q109 3804 47667 SH DFND 0 0 47667 TRIP COM GROUP LTD ADS ADR 89677q107 841 21225 SH DFND 0 0 21225 BLACKSTONE REAL ESTATE INC TR RE per092613 2338 198352 SH DFND 0 0 198352 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 405 10134 SH DFND 0 0 10134 CRESSET DIVERSIFIED QOZ FUND L LP 225lp5112 250 250000 SH DFND 0 0 250000 ENTERPRISE PRODS PARTNERS LP C LP 293792107 2065 93800 SH DFND 0 0 93800 JVM PRFD EQTY FD - 2020 SERIES LP 670cc1024 50 50000 SH DFND 0 0 50000 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 2922 67400 SH DFND 0 250 67150 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 115 12600 SH DFND 0 0 12600 ADVISORS SER TR POPLAR FRST CO MF 00770x535 6258 203563 SH DFND 0 0 203563 AMCAP FD INC CL F 3 MF 023375777 237 5767 SH DFND 0 0 5767 AMER FDS RET INC PORTF ENCHANC MF 02631l528 233 17826 SH DFND 0 0 17826 AMERICAN BALANCED FD SHS F-2 C MF 024071821 899 28795 SH DFND 0 0 28795 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 6593 509880 SH DFND 0 0 509880 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 472 26767 SH DFND 0 0 26767 AMERICAN FDS PORTFOLIO GBL GRO MF 02630r344 465 20485 SH DFND 0 0 20485 AMERICAN FDS PORTFOLIO GLOBL G MF 02630r567 240 10530 SH DFND 0 0 10530 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 735 40952 SH DFND 0 0 40952 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 679 39261 SH DFND 0 0 39261 AMERICAN FDS TARGET DA 2045 TR MF 02631v807 351 17727 SH DFND 0 0 17727 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 1482 114675 SH DFND 0 0 114675 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 1300 27152 SH DFND 0 0 27152 BLACKROCK FDS III LIFPT2025 IN MF 066923848 383 24221 SH DFND 0 0 24221 BLAIR WILLIAM SM MID CAP GRWTH MF 093001295 348 9535 SH DFND 0 0 9535 BRANDES INVT TR EMRGN MKT VAL MF 105262752 174 19463 SH DFND 0 0 19463 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 11217 170729 SH DFND 0 0 170729 CAPITAL INCOME BLDR IN SHS CL MF 140194101 5147 78387 SH DFND 0 0 78387 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 1189 19273 SH DFND 0 0 19273 CAPITAL WORLD GRWTH AND INC FD MF 140543117 2813 45548 SH DFND 0 0 45548 COLUMBIA ACORN FUND CL Z MF 197199409 212 12502 SH DFND 0 0 12502 COLUMBIA FDS SER TR I DIVD INC MF 19765n278 564 20148 SH DFND 0 0 20148 COLUMBIA FDS SER TR II PRT BLD MF 19766g611 277 19336 SH DFND 0 0 19336 COLUMBIA FDS SER TR LF GL BAL MF 19765h792 246 18107 SH DFND 0 0 18107 DNP SELECT INCOME FD INC COM MF 23325P104 456 46171 SH DFND 0 0 46171 DODGE & COX STK FD COM MF 256219106 1149 5205 SH DFND 0 0 5205 DREYFUS LIQUID ASSETS FUND CLA MF 262015100 12 11520 SH DFND 0 0 11520 EATON VANCE GROWTH TR ATL CAPT MF 277902698 296 7262 SH DFND 0 0 7262 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 227 3304 SH DFND 0 0 3304 FIDELITY 500 INDEX FUND MF 315911750 1422 10292 SH DFND 0 0 10292 FIDELITY COMWLTH TR NASD COMP MF 315912709 1286 7724 SH DFND 0 0 7724 FRANKLIN CUSTODIAN FDS INCOME MF 353496631 54 22072 SH DFND 0 0 22072 FUNDAMENTAL INVESTORS CL F3 MF 360802771 1961 26751 SH DFND 0 0 26751 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 6378 374070 SH DFND 0 0 374070 GRANDEUR PEAK GLBL MICRO CAP F MF 31761r732 2262 117708 SH DFND 0 0 117708 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 6490 296756 SH DFND 0 0 296756 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 7039 1345938 SH DFND 0 0 1345938 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 4683 208885 SH DFND 0 0 208885 HARRIS ASSOC INVT TR OAKMARK I MF 413838202 253 8886 SH DFND 0 0 8886 INCOME FD AMER INC CL F3 MF 453320772 1747 70491 SH DFND 0 0 70491 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 408 10205 SH DFND 0 0 10205 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 234 5837 SH DFND 0 0 5837 INVESCO GLBL HEALTH CARE FUND MF 00141v820 427 9499 SH DFND 0 0 9499 INVESCO/OPP GLBL STRAT INC FD MF 00143K756 97 26649 SH DFND 0 0 26649 INVESCO/OPP INTL SM MID CO FD MF 00900W555 361 6743 SH DFND 0 0 6743 INVESCO/OPP INTL SMALL MID CO MF 00900W530 854 16021 SH DFND 0 0 16021 INVESCO/OPP STEELPATH MLP INC MF 00143K285 57 14532 SH DFND 0 0 14532 INVESCO/OPP STEELPATH MLP SEL4 MF 00143K228 157 29326 SH DFND 0 0 29326 INVESTMENT CO AMER CL F3 MF 461308777 650 13737 SH DFND 0 0 13737 LORD ABBETT INVT TR INCOME FD MF 543916365 30 10081 SH DFND 0 0 10081 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 2054 178439 SH DFND 0 0 178439 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1687 27275 SH DFND 0 0 27275 NEW WORLD FD INC NEW CL F3 MF 649280773 999 11266 SH DFND 0 0 11266 POPLAR FOREST PARTNERS INSTITU MF 00768d798 12371 234514 SH DFND 0 0 234514 PRUDENTIAL WRLD FD IN JNSON GL MF 743969685 207 4761 SH DFND 0 0 4761 SEQUOIA FD INC COM MF 817418106 360 1954 SH DFND 0 0 1954 SMALLCAP WORLD FD INC CL F3 MF 831681770 282 3384 SH DFND 0 0 3384 THE GROWTH FD OF AMERICA CL F3 MF 399874775 1079 15575 SH DFND 0 0 15575 VANGUARD INDEX FDS TOT STKIDX MF 922908728 423 4207 SH DFND 0 0 4207 VANGUARD INDEX TR 500 INDEX AD MF 922908710 853 2326 SH DFND 0 0 2326 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 370 4138 SH DFND 0 0 4138 WASHINGTON MUT INVS FD CL F3 MF 939330775 543 10023 SH DFND 0 0 10023 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 1259 27235 SH DFND 0 0 27235 INVESCO ETF TR II FTSE RAFI EM EXCH 46138E727 7837 347985 SH DFND 0 0 347985 INVESCO ETF TR II RUSSELL 1000 EXCH 46138E420 991 23075 SH DFND 0 0 23075 INVESCO ETF TR S&P 500 PURE VA EXCH 46137V258 3214 43440 SH DFND 0 0 43440 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 10358 68293 SH DFND 0 0 68293 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 2492 7810 SH DFND 0 0 7810 ISHARES TR DJ HOME CONSTN EXCH 464288752 1691 24910 SH DFND 0 0 24910 ISHARES TR MSCI EMERG MKT EXCH 464287234 645 12095 SH DFND 0 0 12095 ISHARES TR NORTH AMERN NAT EXCH 464287374 754 27345 SH DFND 0 0 27345 ISHARES TR RUSSELL 2000 EXCH 464287655 4121 18654 SH DFND 0 0 18654 ISHARES TR RUSSELL1000VAL EXCH 464287598 3457 22811 SH DFND 0 0 22811 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 305 8967 SH DFND 0 0 8967 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 8556 21588 SH DFND 0 0 21588 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 852 1790 SH DFND 0 0 1790 SPIDER GOLD TR SHS EXCH 78463V107 646 4040 SH DFND 0 0 4040 VANECK VECTORS ETF TR VIDEO GA EXCH 92189f114 1076 15745 SH DFND 0 0 15745 VANGUARD INDEX TR STK MRK VIPE EXCH 922908769 1923 9306 SH DFND 0 0 9306 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1339 30180 SH DFND 0 0 30180 WISDOMTREE TRUST DEFA FD EXCH 97717w703 313 5960 SH DFND 0 0 5960 AMERICAN BALANCED FD CL F3 BAL MF 024071771 5944 190385 SH DFND 0 0 190385 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 995 74699 SH DFND 0 0 74699 AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 660 17429 SH DFND 0 0 17429 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 816 46319 SH DFND 0 0 46319 VIRTUS ALLIANZGI INCM GR INST BAL MF 92837n535 520 39156 SH DFND 0 0 39156 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 356 34472 SH DFND 0 0 34472 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 513 36078 SH DFND 0 0 36078 ROYCE VALUE TR INC COM CLE FDS 780910105 4712 260166 SH DFND 0 0 260166 VIRTUS ALLIANZGI EQUITY & CONV CLE FDS 92841m101 957 34177 SH DFND 0 0 34177 GABELLI UTILITY TR RTS EXPIRE RGHTS 36240a168 1 11648 SH DFND 0 0 11648