0001020918-21-000006.txt : 20210719 0001020918-21-000006.hdr.sgml : 20210719 20210719150236 ACCESSION NUMBER: 0001020918-21-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210719 DATE AS OF CHANGE: 20210719 EFFECTIVENESS DATE: 20210719 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: 211097737 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 06-30-2021 06-30-2021 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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VISA INC COM CL A COM 92826c839 836 3577 SH SOLE 3577 0 0 VISA INC COM CL A COM 92826c839 6564 28075 SH DFND 0 0 28075 VONTIER CORP. COM 928881101 7618 233836 SH DFND 0 300 233536 WAL MART STORES INC COM 931142103 5200 36875 SH DFND 0 0 36875 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 289 5498 SH SOLE 5498 0 0 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 9554 181604 SH DFND 0 0 181604 WALT DISNEY PRODUCTIONS COM 254687106 625 3558 SH SOLE 3558 0 0 WALT DISNEY PRODUCTIONS COM 254687106 11584 65903 SH DFND 0 0 65903 WASTE MGMT INC COM COM 94106L109 11718 83631 SH DFND 0 0 83631 WEC ENERGY GROUP INC COM COM 92939u106 2715 30523 SH DFND 0 0 30523 WELLS FARGO & COMPANY COM 949746101 2107 46523 SH DFND 0 0 46523 WESTAIM CORP COM NEW COM 956909303 43 20000 SH DFND 0 0 20000 WILLIAMS COS INC DEL COM COM 969457100 330 12415 SH DFND 0 0 12415 WILLSCOT MOBIL MINI HL COM CL COM 971378104 381 13659 SH SOLE 13659 0 0 WILLSCOT MOBIL MINI HL COM CL COM 971378104 30 1087 SH DFND 0 0 1087 WINTRUST FINL CORP COM COM 97650W108 152 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 336 4201 SH SOLE 4201 0 0 YETI HLDGS INC COM COM 98585x104 121 1317 SH SOLE 1317 0 0 YETI HLDGS INC COM COM 98585x104 9726 105925 SH DFND 0 0 105925 YUM BRANDS INC COM COM 988498101 224 1945 SH DFND 0 0 1945 ZEBRA TECHNOLOGIES CP CL A COM 989207105 244 460 SH SOLE 460 0 0 ZEBRA TECHNOLOGIES CP CL A COM 989207105 659 1244 SH DFND 0 0 1244 ZIMMER BIOMET HOLDINGS INC COM 98956P102 447 2780 SH DFND 0 0 2780 ZOETIS INC CL A COM 98978v103 419 2249 SH DFND 0 0 2249 ALIBABA GROUP HLDG LTD SPONSOR ADR 01609w102 2520 11111 SH DFND 0 0 11111 LEGAL & GEN GROUP PLC SPONSORE ADR 52463h103 462 25709 SH DFND 0 0 25709 LI AUTO INC SPONSORED ADS ADR 50202m102 292 8345 SH DFND 0 0 8345 RIO TINTO PLC SPONSORED ADR ADR 767204100 201 2400 SH DFND 0 0 2400 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 350 7441 SH DFND 0 0 7441 ROYAL DUTCH SHELL B ADR 780259107 240 6182 SH DFND 0 0 6182 SAFRAN S A SPON ADR ADR 786584102 478 13755 SH DFND 0 0 13755 SANOFI SPONSORED ADR ADR 80105n105 342 6493 SH DFND 0 0 6493 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 552 4598 SH DFND 0 0 4598 TAKEDA PHARMACEUTICAL CO. LTD ADR 874060205 554 32906 SH DFND 0 0 32906 TENCENT HLDGS LTD ADR ADR 88032q109 3662 48627 SH DFND 0 0 48627 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 209 1195 SH DFND 0 0 1195 TRIP COM GROUP LTD ADS ADR 89677q107 744 20975 SH DFND 0 0 20975 VOLKSWAGEN AG UNSPONSRED ADR ADR 928662600 421 12795 SH DFND 0 0 12795 BLACKSTONE REAL ESTATE INC TR RE per092613 3164 254966 SH DFND 0 0 254966 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 472 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 2288 94800 SH DFND 0 0 94800 JVM PRFD EQTY FD - 2020 SERIES LP 670cc1024 50 50000 SH DFND 0 0 50000 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 3375 69000 SH DFND 0 250 68750 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 143 12600 SH DFND 0 0 12600 ADVISORS SER TR POPLAR FRST CO MF 00770x535 6623 202716 SH DFND 0 0 202716 AMCAP FD INC CL F 3 MF 023375777 261 6095 SH DFND 0 0 6095 AMER FDS RET INC PORTF ENCHANC MF 02631l528 244 17924 SH DFND 0 0 17924 AMERICAN BALANCED FD SHS F-2 C MF 024071821 948 29055 SH DFND 0 0 29055 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 6740 497069 SH DFND 0 0 497069 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 496 26868 SH DFND 0 0 26868 AMERICAN FDS PORTFOLIO GBL GRO MF 02630r344 492 20173 SH DFND 0 0 20173 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 776 40952 SH DFND 0 0 40952 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 697 38421 SH DFND 0 0 38421 AMERICAN FDS TARGET DA 2045 TR MF 02631v807 374 17727 SH DFND 0 0 17727 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 1685 124263 SH DFND 0 0 124263 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 1362 27182 SH DFND 0 0 27182 BLACKROCK FDS III LIFPT2025 IN MF 066923848 399 24287 SH DFND 0 0 24287 BLAIR WILLIAM SM MID CAP GRWTH MF 093001295 362 9535 SH DFND 0 0 9535 BRANDES INVT TR EMRGN MKT VAL MF 105262752 183 19463 SH DFND 0 0 19463 CAPITAL INCOME BLDR FD CL F MF 140193400 212 3107 SH DFND 0 0 3107 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 13023 190652 SH DFND 0 0 190652 CAPITAL INCOME BLDR IN SHS CL MF 140194101 5196 76100 SH DFND 0 0 76100 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 1257 19383 SH DFND 0 0 19383 CAPITAL WORLD GRWTH AND INC FD MF 140543117 3565 54926 SH DFND 0 0 54926 COLUMBIA ACORN FUND CL Z MF 197199409 219 12766 SH DFND 0 0 12766 COLUMBIA FDS SER TR CAPTAL ALL MF 19766b224 259 20090 SH DFND 0 0 20090 COLUMBIA FDS SER TR I DIVIDEND MF 19766m840 596 19835 SH DFND 0 0 19835 COLUMBIA FDS SER TR I DIVIDND MF 19766m865 205 6829 SH DFND 0 0 6829 DNP SELECT INCOME FD INC COM MF 23325P104 519 49671 SH DFND 0 0 49671 DODGE & COX STK FD COM MF 256219106 1218 5084 SH DFND 0 0 5084 EATON VANCE GROWTH TR ATL CAPT MF 277902698 312 7262 SH DFND 0 0 7262 EURO PAC GROWTH FD CL F 3 MF 298706110 356 5024 SH DFND 0 0 5024 EUROPACIFIC GROWTH FD SHS CL F MF 29875e100 241 3414 SH DFND 0 0 3414 FIDELITY 500 INDEX FUND MF 315911750 1577 10543 SH DFND 0 0 10543 FIDELITY COMWLTH TR NASD COMP MF 315912709 754 4130 SH DFND 0 0 4130 FUNDAMENTAL INVESTORS CL F3 MF 360802771 2276 29821 SH DFND 0 0 29821 GENERAL MONEY MKT FD CL A MF 370375107 12 11520 SH DFND 0 0 11520 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 7268 379315 SH DFND 0 0 379315 GRANDEUR PEAK GLBL MICRO CAP F MF 31761r732 2423 116939 SH DFND 0 0 116939 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 7291 291524 SH DFND 0 0 291524 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 7805 1338733 SH DFND 0 0 1338733 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 5410 208885 SH DFND 0 0 208885 HARRIS ASSOC INVT TR OAKMARK I MF 413838202 264 8886 SH DFND 0 0 8886 INCOME FD AMER INC CL F3 MF 453320772 2284 88551 SH DFND 0 0 88551 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 420 10111 SH DFND 0 0 10111 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 245 5889 SH DFND 0 0 5889 INVESCO GLBL HEALTH CARE FUND MF 00141v820 461 9499 SH DFND 0 0 9499 INVESCO/OPP GLBL STRAT INC FD MF 00143K756 97 26847 SH DFND 0 0 26847 INVESCO/OPP INTL SM MID CO FD MF 00900W555 396 6743 SH DFND 0 0 6743 INVESCO/OPP INTL SMALL MID CO MF 00900W530 936 16021 SH DFND 0 0 16021 INVESCO/OPP STEELPATH MLP INC MF 00143K285 67 14532 SH DFND 0 0 14532 INVESCO/OPP STEELPATH MLP SEL4 MF 00143K228 182 29326 SH DFND 0 0 29326 INVESTMENT CO AMER CL F3 MF 461308777 757 15173 SH DFND 0 0 15173 LORD ABBETT INVT TR INCOME FD MF 543916365 30 10081 SH DFND 0 0 10081 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 2001 171495 SH DFND 0 0 171495 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1804 26930 SH DFND 0 0 26930 NEW WORLD FD INC NEW CL F3 MF 649280773 1252 12918 SH DFND 0 0 12918 POPLAR FOREST PARTNERS INSTITU MF 00768d798 13297 234972 SH DFND 0 0 234972 PRUDENTIAL WRLD FD IN JNSON GL MF 743969685 231 4761 SH DFND 0 0 4761 ROWE PRICE NEW HORIZON FD CL I MF 779562206 212 2333 SH DFND 0 0 2333 SEQUOIA FD INC COM MF 817418106 361 1875 SH DFND 0 0 1875 SMALLCAP WORLD FD INC CL F3 MF 831681770 283 3139 SH DFND 0 0 3139 SMEAD FDS TR VALUE FD CL Y MF 83178c709 300 4525 SH DFND 0 0 4525 THE GROWTH FD OF AMERICA CL F3 MF 399874775 1805 24043 SH DFND 0 0 24043 VANGUARD INDEX FDS TOT STKIDX MF 922908728 447 4117 SH DFND 0 0 4117 VANGUARD INDEX TR 500 INDEX AD MF 922908710 1029 2595 SH DFND 0 0 2595 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 409 4138 SH DFND 0 0 4138 WASHINGTON MUT INVS FD CL F3 MF 939330775 598 10727 SH DFND 0 0 10727 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 1264 26260 SH DFND 0 0 26260 INVESCO ETF TR II FTSE RAFI EM EXCH 46138E727 9177 393027 SH DFND 0 0 393027 INVESCO ETF TR II RUSSELL 1000 EXCH 46138E420 1055 23094 SH DFND 0 0 23094 INVESCO ETF TR S&P 500 PURE VA EXCH 46137V258 4462 57815 SH DFND 0 0 57815 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 11509 71786 SH DFND 0 0 71786 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 3192 9005 SH DFND 0 0 9005 ISHARES TR DJ HOME CONSTN EXCH 464288752 1724 24910 SH DFND 0 0 24910 ISHARES TR MSCI EMERG MKT EXCH 464287234 701 12706 SH DFND 0 0 12706 ISHARES TR NORTH AMERN NAT EXCH 464287374 1127 37045 SH DFND 0 0 37045 ISHARES TR RUSSELL 2000 EXCH 464287655 1308 5701 SH DFND 0 0 5701 ISHARES TR RUSSELL1000VAL EXCH 464287598 3672 23147 SH DFND 0 0 23147 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 329 8968 SH DFND 0 0 8968 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 9658 22562 SH DFND 0 0 22562 SPDR S&P MIDCAP 400 ETF TR UNI EXCH 78467y107 879 1790 SH DFND 0 0 1790 SPIDER GOLD TR SHS EXCH 78463V107 590 3560 SH DFND 0 0 3560 VANECK VECTORS ETF TR VIDEO GA EXCH 92189f114 1143 15745 SH DFND 0 0 15745 VANGUARD INDEX TR STK MRK VIPE EXCH 922908769 2068 9281 SH DFND 0 0 9281 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1379 30180 SH DFND 0 0 30180 WISDOMTREE TRUST DEFA FD EXCH 97717w703 289 5310 SH DFND 0 0 5310 AMERICAN BALANCED FD CL F3 BAL MF 024071771 7239 221851 SH DFND 0 0 221851 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 1035 75100 SH DFND 0 0 75100 AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 689 17489 SH DFND 0 0 17489 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 838 45410 SH DFND 0 0 45410 VIRTUS ALLIANZGI INCM GR INST BAL MF 92837n535 498 36020 SH DFND 0 0 36020 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 375 34472 SH DFND 0 0 34472 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 540 36078 SH DFND 0 0 36078 ROYCE VALUE TR INC COM CLE FDS 780910105 5117 269760 SH DFND 0 0 269760 VIRTUS ALLIANZGI EQUITY & CONV CLE FDS 92841m101 1034 34177 SH DFND 0 0 34177