0001020918-22-000002.txt : 20220124 0001020918-22-000002.hdr.sgml : 20220124 20220124092258 ACCESSION NUMBER: 0001020918-22-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220124 DATE AS OF CHANGE: 20220124 EFFECTIVENESS DATE: 20220124 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: 22547711 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 12-31-2021 12-31-2021 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. Drake Chicago IL 10-12-2021 0 572 1289312 false INFORMATION TABLE 2 inftable.xml 3M CO COM COM 88579Y101 1759 9905 SH DFND 0 0 9905 ABBOTT LABS COM 002824100 4399 31257 SH DFND 0 0 31257 ABBVIE INC COM COM 00287Y109 20291 149860 SH DFND 0 0 149860 ABCELLERA BIOLOGICS IN COM COM 00288u106 372 26000 SH DFND 0 0 26000 ACADEMY SPORTS & OUTDOORS INC COM 00402l107 662 15075 SH DFND 0 0 15075 ACCENTURE PLC IRELAND CL A COM g1151c101 280 675 SH DFND 0 0 675 ADOBE SYS INC COM 00724F101 248 438 SH DFND 0 0 438 ADVANCE AUTO PARTS INC COM COM 00751Y106 1235 5148 SH SOLE 5148 0 0 ADVANCE AUTO PARTS INC COM COM 00751Y106 101 422 SH DFND 0 0 422 ADVANCED MICRO DEVICES COM 007903107 689 4785 SH DFND 0 0 4785 AFFILIATED MNGRS GRP COM COM 008252108 756 4593 SH SOLE 4593 0 0 AFFILIATED MNGRS GRP COM COM 008252108 35 211 SH DFND 0 0 211 ALBEMARLE CORP COM COM 012653101 970 4150 SH DFND 0 0 4150 ALLOGENE THERAPEUTICS COM COM 019770106 161 10800 SH DFND 0 0 10800 ALLSTATE CORP COM COM 020002101 3876 32946 SH DFND 0 0 32946 ALLY FINL INC COM COM 02005n100 1613 33870 SH SOLE 33870 0 0 ALLY FINL INC COM COM 02005n100 138 2893 SH DFND 0 0 2893 ALPHABET CLASS-C SHARE COM 02079k107 286 99 SH SOLE 99 0 0 ALPHABET CLASS-C SHARE COM 02079k107 18085 6250 SH DFND 0 0 6250 ALPHABET INC CL A COM 02079k305 1376 475 SH SOLE 475 0 0 ALPHABET INC CL A COM 02079k305 19706 6802 SH DFND 0 0 6802 ALTRIA GROUP INC COM 02209S103 1390 29339 SH DFND 0 0 29339 AMAZON COM INC COM COM 023135106 5742 1722 SH DFND 0 0 1722 AMBIT BIOSCIENCE CONT VAL-POSS COM 023cvr996 0 24590 SH DFND 0 0 24590 AMCOR PLC REGISTERED SHS COM g0250x107 692 57655 SH DFND 0 0 57655 AMEREN CORP COM COM 023608102 1540 17305 SH DFND 0 0 17305 AMERICAN ELECTRIC POWER COM 025537101 493 5541 SH DFND 0 0 5541 AMERICAN EXPRESS CO COM 025816109 1164 7114 SH SOLE 7114 0 0 AMERICAN EXPRESS CO COM 025816109 473 2889 SH DFND 0 0 2889 AMERICAN INTL GROUP INC COM NE COM 026874784 9486 166827 SH DFND 0 0 166827 AMERICAN TOWER REIT COM COM 03027x100 5782 19767 SH DFND 0 0 19767 AMERIPRISE FINL INC COM COM 03076c106 236 783 SH DFND 0 0 783 AMERISOURCEBERGEN CORP COM COM 03073e105 917 6903 SH DFND 0 0 6903 AMGEN INC COM 031162100 15862 70508 SH DFND 0 100 70408 AMMO INC COM COM 00175j107 109 20000 SH DFND 0 0 20000 AMN HEALTHCARE SRVCS COM COM 001744101 737 6026 SH SOLE 6026 0 0 AMN HEALTHCARE SRVCS COM COM 001744101 150 1227 SH DFND 0 0 1227 ANNALY CAP MGMT INC COM COM 035710409 6465 826666 SH DFND 0 1500 825166 AON PLC REG SHS COM g0403h108 3204 10659 SH DFND 0 0 10659 APOLLO GLOBAL MGMT INC NEW COM 03769m106 27 379 SH SOLE 379 0 0 APOLLO GLOBAL MGMT INC NEW COM 03769m106 886 12235 SH DFND 0 0 12235 APPLE COMPUTER INC COM 037833100 1213 6832 SH SOLE 6832 0 0 APPLE COMPUTER INC COM 037833100 61666 347275 SH DFND 0 0 347275 APPLIED MATERIALS INC COM 038222105 3618 22989 SH DFND 0 0 22989 ARES CAP CORP COM COM 04010l103 690 32565 SH DFND 0 0 32565 ASSOCIATED BANCORP COM 045487105 497 22000 SH DFND 0 0 22000 AT&T INC COM COM 00206r102 3047 123854 SH DFND 0 0 123854 ATHENE HOLDING LTD COM g0684d107 1819 21829 SH SOLE 21829 0 0 ATHENE HOLDING LTD COM g0684d107 165 1979 SH DFND 0 0 1979 ATHIRA PHARMA INC COM COM 04746l104 249 19100 SH DFND 0 0 19100 ATLASSIAN CORP PLC CL A COM g06242104 200 525 SH DFND 0 0 525 AUTOLIV INC COM COM 052800109 264 2550 SH DFND 0 0 2550 AUTOMATIC DATA PROCESSING COM 053015103 272 1103 SH DFND 0 0 1103 BANCORP INC DEL COM COM 05969a105 287 11334 SH DFND 0 0 11334 BANK OF AMER CORP COM 060505104 6930 155756 SH DFND 0 0 155756 BANK OF NEW YORK MELLON CORP C COM 064058100 708 12197 SH DFND 0 0 12197 BARRICK GOLD CORP COM 067901108 798 42025 SH DFND 0 0 42025 BAXTER INTERNATIONAL INC COM 071813109 1912 22278 SH DFND 0 0 22278 BENGUET CORP CL B COM 081851206 1 10000 SH DFND 0 0 10000 BERKSHIRE HATHAWAY INC CL B COM 084670702 19798 66214 SH DFND 0 0 66214 BERKSHIRE HATHAWAY INC DEL COM 084670108 901 2 SH DFND 0 0 2 BEYONDSPRING INC SHS COM g10830100 57 12500 SH DFND 0 0 12500 BIOHAVEN PHARMACTL HLD COM COM g11196105 1426 10350 SH DFND 0 0 10350 BIOMARIN PHARMACEUTICA COM COM 09061G101 1286 14554 SH DFND 0 0 14554 BITWISE CRYPTO INDUSTRY INNOV COM 301505624 990 47130 SH DFND 0 0 47130 BLACKROCK INC CL A COM 09247X101 233 254 SH DFND 0 0 254 BLACKSTONE GROUP INC COM CL A COM 09260d107 14114 109078 SH DFND 0 0 109078 BLACKSTONE GSO STRATEG COM SHS COM 09257r101 348 25780 SH DFND 0 0 25780 BLACKSTONE MTG TR INC COM CL A COM 09257w100 466 15225 SH DFND 0 0 15225 BLOCK INC CL A COM 852234103 4620 28602 SH DFND 0 0 28602 BOEING COMPANY COM 097023105 13228 65706 SH DFND 0 0 65706 BORG WARNER AUTOMOTIVE INC COM COM 099724106 2103 46650 SH DFND 0 0 46650 BP PLC SPONSORED ADR COM 055622104 2315 86929 SH DFND 0 0 86929 BRINKER INTERNATIONAL INC COM 109641100 306 8367 SH DFND 0 0 8367 BRISTOL MYERS SQUIBB CO COM 110122108 479 7681 SH SOLE 7681 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 4018 64444 SH DFND 0 0 64444 BROADCOM INC COM COM 11135f101 2844 4274 SH DFND 0 0 4274 BUNGE LIMITED COM COM g16962105 1829 19590 SH DFND 0 0 19590 CALERES INC COM COM 129500104 531 23419 SH SOLE 23419 0 0 CALERES INC COM COM 129500104 103 4535 SH DFND 0 0 4535 CAMBRIA ETF TR SHSHLD YIELD ET COM 132061201 1325 20500 SH DFND 0 0 20500 CAMDEN PPTY TR SH BEN INT COM 133131102 204 1140 SH DFND 0 0 1140 CANADIAN NAT RES LTD COM COM 136385101 630 14911 SH SOLE 14911 0 0 CANADIAN NAT RES LTD COM COM 136385101 13 315 SH DFND 0 0 315 CANADIAN NATL RY CO COM COM 136375102 3999 32550 SH DFND 0 0 32550 CARA THERAPEUTICS INC COM COM 140755109 596 48900 SH DFND 0 0 48900 CARNIVAL CORP COM 143658300 276 13725 SH DFND 0 0 13725 CARRIER GLOBAL CORP COM COM 14448c104 334 6159 SH DFND 0 0 6159 CATERPILLAR TRACTOR COM 149123101 1131 5470 SH DFND 0 0 5470 CBOE HLDGS INC COM COM 12503m108 1669 12800 SH DFND 0 0 12800 CERIDIAN HCM HLDG INC COM COM 15677j108 264 2531 SH DFND 0 0 2531 CHARGEPOINT HLDGS INC CL A COM 15961r105 383 20100 SH DFND 0 0 20100 CHARTER COMMUNICATIONS INC NEW COM 16119p108 565 866 SH SOLE 866 0 0 CHARTER COMMUNICATIONS INC NEW COM 16119p108 66 101 SH DFND 0 0 101 CHEVRON CORP NEW COM COM 166764100 19 161 SH SOLE 161 0 0 CHEVRON CORP NEW COM COM 166764100 16190 137962 SH DFND 0 0 137962 CHIPOTLE MEXICAN GRILL CL A COM 169656105 262 150 SH DFND 0 0 150 CIENA CORP NEW COM 171779309 2324 30192 SH SOLE 30192 0 0 CIENA CORP NEW COM 171779309 161 2089 SH DFND 0 0 2089 CINTAS CORP COM COM 172908105 211 476 SH DFND 0 0 476 CISCO SYS INC COM 17275R102 31 495 SH SOLE 495 0 0 CISCO SYS INC COM 17275R102 12745 201113 SH DFND 0 0 201113 CITIGROUP INC COM COM 172967424 675 11184 SH DFND 0 0 11184 COCA COLA COMPANY COM 191216100 805 13595 SH SOLE 13595 0 0 COCA COLA COMPANY COM 191216100 1135 19173 SH DFND 0 0 19173 COHEN & STEERS QTY RLY COM COM 19247L106 701 38500 SH DFND 0 0 38500 COHU INC COM COM 192576106 939 24640 SH SOLE 24640 0 0 COHU INC COM COM 192576106 124 3256 SH DFND 0 0 3256 COINBASE GLOBAL INC COM CL A COM 19260q107 553 2190 SH DFND 0 0 2190 COLGATE PALMOLIVE COMPANY COM 194162103 460 5396 SH DFND 0 0 5396 COLONY BANKCORP INC CDT-COM COM 19623p101 194 11356 SH DFND 0 0 11356 COMCAST CORPORATION CLASS A COM 20030n101 554 10999 SH DFND 0 0 10999 COMPUGEN LTD ORD COM m25722105 1931 449101 SH DFND 0 0 449101 CONAGRA BRANDS INC COM COM 205887102 289 8454 SH DFND 0 0 8454 CONOCOPHILLIPS COM 20825C104 3221 44624 SH DFND 0 0 44624 CONSOLIDATED EDISON NEW YORK COM 209115104 2622 30727 SH DFND 0 0 30727 CORNING INC COM 219350105 750 20145 SH SOLE 20145 0 0 CORNING INC COM 219350105 2294 61630 SH DFND 0 0 61630 CORTEVA INC COM COM 22052l104 253 5349 SH DFND 0 0 5349 COSTCO WHOLESALE CORP-NEW COM 22160K105 17571 30951 SH DFND 0 0 30951 COTERRA ENERGY INC COM COM 127097103 990 52086 SH SOLE 52086 0 0 COTERRA ENERGY INC COM COM 127097103 83 4387 SH DFND 0 0 4387 COURSERA INC COM COM 22266m104 525 21475 SH DFND 0 0 21475 CRESCO LABS INC SUB VTG SHS COM 22587m106 256 38400 SH DFND 0 0 38400 CROWN CASTLE INTL CORP NEW COM COM 22822v101 24 116 SH SOLE 116 0 0 CROWN CASTLE INTL CORP NEW COM COM 22822v101 201 965 SH DFND 0 0 965 CUMMINS ENGINE CO INC COM 231021106 2727 12501 SH DFND 0 0 12501 CUSTOMERS BANCORP INC COM COM 23204G100 377 5764 SH SOLE 5764 0 0 CVS HEALTH CORPORATION COM 126650100 12115 117444 SH DFND 0 0 117444 DANAHER CORP DEL COM COM 235851102 1265 3844 SH DFND 0 0 3844 DARDEN RESTAURANTS, INC. COM 237194105 1146 7605 SH DFND 0 0 7605 DAVITA HEALTHCARE PARTNERS, IN COM 23918k108 1558 13695 SH DFND 0 0 13695 DEERE & COMPANY COM 244199105 2414 7040 SH DFND 0 0 7040 DENTSPLY SIRONA INC COM COM 24906p109 543 9725 SH DFND 0 0 9725 DEVON ENERGY CORP NEW COM COM 25179M103 198 4500 SH SOLE 4500 0 0 DEVON ENERGY CORP NEW COM COM 25179M103 112 2532 SH DFND 0 0 2532 DIAMONDBACK ENERGY INC COM COM 25278x109 1277 11840 SH SOLE 11840 0 0 DIAMONDBACK ENERGY INC COM COM 25278x109 263 2441 SH DFND 0 0 2441 DIEBOLD INC COM COM 253651103 933 103079 SH DFND 0 0 103079 DIGITAL RLTY TR INC COM COM 253868103 707 4000 SH SOLE 4000 0 0 DIGITAL RLTY TR INC COM COM 253868103 19 107 SH DFND 0 0 107 DIMECO INC COM COM 25432w104 222 6000 SH DFND 0 0 6000 DISCOVER FINL SVCS INC COM 254709108 262 2263 SH DFND 0 0 2263 DISCOVERY COMMUNICATIONS INC C COM 25470f104 2374 100832 SH DFND 0 0 100832 DOLLAR GENERAL CORP COM 256677105 928 3934 SH SOLE 3934 0 0 DOLLAR GENERAL CORP COM 256677105 675 2863 SH DFND 0 0 2863 DOLLAR TREE INC COM COM 256746108 606 4310 SH SOLE 4310 0 0 DOLLAR TREE INC COM COM 256746108 289 2060 SH DFND 0 0 2060 DOMINION ENERGY INC COM COM 25746u109 1866 23758 SH DFND 0 0 23758 DOMINOS PIZZA INC COM COM 25754a201 2878 5100 SH DFND 0 0 5100 DOW INC COM COM 260557103 11269 198679 SH DFND 0 200 198479 DRAFTKINGS INC COM CL A COM 26142r104 6285 228788 SH DFND 0 0 228788 DTE ENERGY CO COM COM 233331107 208 1736 SH DFND 0 0 1736 DUKE ENERGY COMPANY COM 26441C204 4289 40883 SH DFND 0 0 40883 DUPONT DE NEMOURS INC COM COM 26614n102 645 7990 SH DFND 0 0 7990 EATON CORP PLC SHS COM g29183103 2724 15761 SH DFND 0 0 15761 EBAY INC COM COM 278642103 3040 45712 SH DFND 0 0 45712 EDISON INTERNATIONAL COM 281020107 676 9900 SH DFND 0 0 9900 EDWARDS LIFESCIENCES COM COM 28176e108 2060 15899 SH DFND 0 0 15899 ELECTRONIC ARTS COM 285512109 967 7335 SH DFND 0 0 7335 EMERSON ELECTRIC CO COM 291011104 1245 13387 SH DFND 0 0 13387 ENBRIDGE INC COM COM 29250n105 601 15364 SH DFND 0 0 15364 EQUINIX INC COM NEW COM 29444U700 595 703 SH DFND 0 0 703 EQUITABLE HLDGS IN COM COM 29452e101 375 11425 SH DFND 0 0 11425 ESSENTIAL UTILS INC COM COM 29670g102 1265 23555 SH DFND 0 0 23555 ETHAN ALLEN INTERIORS COM COM 297602104 481 18310 SH DFND 0 0 18310 EWELLNESS HEALTHCARE C COM NEW COM 30051d205 0 150000 SH DFND 0 0 150000 EXELON CORP COM 30161N101 2666 46148 SH DFND 0 0 46148 EXICURE INC COM COM 30205m101 2 10000 SH DFND 0 0 10000 EXPEDIA INC DEL COM COM 30212P303 835 4622 SH DFND 0 0 4622 EXXON MOBIL CORP COM COM 30231G102 2574 42071 SH DFND 0 0 42071 F5 NETWORKS INC COM COM 315616102 444 1815 SH DFND 0 0 1815 FACEBOOK INC CL A COM 30303m102 5960 17720 SH DFND 0 0 17720 FAMILY ZONE CYBER SAFE SHS COM q3689d105 34 77000 SH DFND 0 0 77000 FEDEX CORP COM 31428X106 545 2108 SH SOLE 2108 0 0 FEDEX CORP COM 31428X106 3409 13179 SH DFND 0 0 13179 FIFTH THIRD BANCORP COM 316773100 1217 27950 SH DFND 0 0 27950 FIRST N B ANCHRAG ALAS COM COM 32112j106 2056 8866 SH DFND 0 0 8866 FIRST TRUST ETF II HLTH CARE A COM 33734x143 310 2500 SH DFND 0 0 2500 FLEXPOINT SENSOR SYS COM NEW COM 33938w206 3 56000 SH DFND 0 0 56000 FLUOR CORP NEW COM 343412102 1060 42807 SH DFND 0 0 42807 FORD MOTOR COMPANY COM 345370860 661 31829 SH DFND 0 0 31829 FORTIVE CORP COM COM 34959j108 378 4957 SH DFND 0 0 4957 FULLER H B CO COM COM 359694106 1406 17360 SH SOLE 17360 0 0 FULLER H B CO COM COM 359694106 132 1635 SH DFND 0 0 1635 GABELLI UTIL TR COM COM 36240A101 430 52199 SH DFND 0 0 52199 GALAXY DIGITAL HLDGS L SHS COM g37092106 264 14720 SH DFND 0 0 14720 GALLAGHER ARTHUR J & CO COM 363576109 501 2951 SH DFND 0 0 2951 GENERAL DYNAMICS COM 369550108 11358 54481 SH DFND 0 50 54431 GENERAL ELECTRIC CO COM 369604301 1144 12111 SH DFND 0 0 12111 GENERAL MILLS INC COM 370334104 341 5064 SH DFND 0 0 5064 GENERAL MTRS CO COM COM 37045v100 1619 27614 SH DFND 0 0 27614 GILEAD SCIENCES INC COM COM 375558103 414 5704 SH DFND 0 0 5704 GLAXO SMITHKLINE PLC SPONS ADR COM 37733w105 2108 47800 SH DFND 0 0 47800 GLOBUS MED INC CL A COM 379577208 294 4074 SH SOLE 4074 0 0 GLOBUS MED INC CL A COM 379577208 26 362 SH DFND 0 0 362 GOHEALTH INC COM CL A COM 38046w105 253 66800 SH DFND 0 0 66800 GOLDMAN SACHS BDC INC SHS COM 38147u107 260 13593 SH DFND 0 0 13593 GOLDMAN SACHS GROUP COM COM 38141G104 1855 4850 SH DFND 0 0 4850 GRAINGER W W INC COM 384802104 1092 2107 SH SOLE 2107 0 0 GRAINGER W W INC COM 384802104 101 194 SH DFND 0 0 194 GRAYSCALE BITCOIN TR BTC SHS COM 389637109 7957 232311 SH DFND 0 0 232311 GRAYSCALE ETHEREUM TR SHS COM 389638107 9905 306099 SH DFND 0 0 306099 GREEN THUMB INDUSTRIES SUB VTG COM 39342l108 1057 47700 SH DFND 0 0 47700 HALLIBURTON COMPANY COM 406216101 295 12900 SH DFND 0 0 12900 HANES BRANDS INC COM COM 410345102 573 34248 SH DFND 0 0 34248 HOME DEPOT INC COM 437076102 6246 15050 SH DFND 0 0 15050 HONEYWELL INTL COM 438516106 12700 60907 SH DFND 0 200 60707 HUNTSMAN CORP COM COM 447011107 346 9910 SH DFND 0 0 9910 I3 VERTICALS INC COM CL A COM 46571y107 278 12200 SH DFND 0 0 12200 ILLINOIS TOOL WORKS COM 452308109 14407 58376 SH DFND 0 0 58376 ILLUMINA INC COM COM 452327109 282 741 SH DFND 0 0 741 INTEL CORPORATION COM 458140100 4835 93874 SH DFND 0 0 93874 INTERNATIONAL BUSINESS MACHINE COM 459200101 3089 23108 SH DFND 0 0 23108 INTERNATIONAL PAPER CO COM 460146103 658 14009 SH DFND 0 0 14009 INTUITIVE SURGICAL INC COM NEW COM 46120e602 1228 3417 SH DFND 0 0 3417 INVESCO ETF TR II S&P 500 LOW COM 46138E354 554 8075 SH DFND 0 0 8075 INVESCO ETF TR S&P 500 EQUAL W COM 46137V357 254 1562 SH DFND 0 0 1562 INVESCO LTD SHS COM g491bt108 1884 81845 SH DFND 0 0 81845 INVITATION HOMES INC COM COM 46187w107 12711 280354 SH DFND 0 0 280354 ISHARES INC MSCI JAPAN COM 46434g822 298 4450 SH DFND 0 0 4450 ISHARES SILVER TRUST ISHARES COM 46428q109 230 10687 SH DFND 0 0 10687 ISHARES TR CONSER ALLOC ETF COM 464289883 1324 33100 SH DFND 0 0 33100 ISHARES TR DJ SEL DIV INX COM 464287168 203 1654 SH DFND 0 0 1654 ISHARES TR FTSE XINHAU HK CHIN COM 464287184 851 23270 SH DFND 0 0 23270 ISHARES TR GRWT ALLOCAT ETF COM 464289867 285 5000 SH DFND 0 0 5000 ISHARES TR MSCI EAFE IDX COM 464287465 2043 25964 SH DFND 0 0 25964 ISHARES TR NASDQ BIO INDX COM 464287556 229 1500 SH DFND 0 0 1500 ISHARES TR RUSL 2000 GROW COM 464287648 235 801 SH DFND 0 0 801 ISHARES TR RUSSELL MIDCAP COM 464287499 264 3176 SH DFND 0 0 3176 ISHARES TR RUSSELL1000GRW COM 464287614 7435 24330 SH DFND 0 0 24330 ISHARES TR S&P SMLCAP 600 COM 464287804 527 4600 SH DFND 0 0 4600 J P MORGAN CHASE & CO COM COM 46625h100 25246 159429 SH DFND 0 0 159429 JOHNSON & JOHNSON COM 478160104 18573 108569 SH DFND 0 100 108469 JONES LANG LASALLE INC COM COM 48020q107 215 800 SH DFND 0 0 800 KBR INC COM COM 48242w106 1308 27460 SH SOLE 27460 0 0 KBR INC COM COM 48242w106 125 2620 SH DFND 0 0 2620 KELLOGG COMPANY COM 487836108 1215 18855 SH DFND 0 0 18855 KIMBERLY CLARK CORP COM 494368103 1309 9160 SH DFND 0 0 9160 KINDER MORGAN INC DEL COM COM 49456b101 1105 69649 SH DFND 0 0 69649 KKR & CO INC CL A COM 48251w104 4079 54752 SH DFND 0 0 54752 KLA CORP COM COM 482480100 670 1558 SH DFND 0 0 1558 KRAFT HEINZ CO COM COM 500754106 1389 38681 SH DFND 0 0 38681 KROGER CO COM 501044101 28 608 SH SOLE 608 0 0 KROGER CO COM 501044101 507 11208 SH DFND 0 0 11208 LAZARD LTD SHS A COM g54050102 353 8100 SH DFND 0 0 8100 LILLY ELI & COMPANY COM 532457108 3549 12847 SH DFND 0 0 12847 LINCOLN NATL CORP IND COM COM 534187109 468 6860 SH DFND 0 0 6860 LINDE PLC COM g5494j103 2889 8338 SH DFND 0 0 8338 LOCKHEED MARTIN CORP COM 539830109 4587 12905 SH DFND 0 0 12905 LOWES COS INC COM COM 548661107 288 1114 SH DFND 0 0 1114 LUMENTUM HLDGS INC COM COM 55024u109 1597 15096 SH SOLE 15096 0 0 LUMENTUM HLDGS INC COM COM 55024u109 150 1421 SH DFND 0 0 1421 LYONDELLBASELL INDUSTR SHS - A COM N53745100 3258 35330 SH DFND 0 0 35330 MACERICH CO COM COM 554382101 199 11495 SH DFND 0 0 11495 MACYS INC COM COM 55616p104 789 30130 SH DFND 0 0 30130 MARRIOTT INTL INC COM COM 571903202 781 4729 SH DFND 0 0 4729 MARVELL TECH GROUP LTD ORD COM 573874104 2500 28572 SH DFND 0 0 28572 MASCO CORP COM COM 574599106 223 3175 SH DFND 0 0 3175 MASTERCARD INC COM COM 57636q104 523 1455 SH DFND 0 0 1455 MCDONALDS CORPORATION COM 580135101 877 3270 SH SOLE 3270 0 0 MCDONALDS CORPORATION COM 580135101 5803 21648 SH DFND 0 0 21648 MEDICAL PPTYS TR INC COM COM 58463j304 662 28000 SH DFND 0 0 28000 MEDTRONIC PLC SHS COM g5960l103 1315 12711 SH DFND 0 0 12711 MERCK & COMPANY INC. COM 58933y105 5466 71324 SH DFND 0 0 71324 MERITOR INC COM COM 59001k100 607 24489 SH DFND 0 0 24489 METLIFE INC COM COM 59156r108 5433 86945 SH DFND 0 0 86945 MGM RESORTS INTERNATIONAL COM 552953101 1389 30955 SH DFND 0 0 30955 MICROCHIP TECHNOLOGY COM COM 595017104 1347 15473 SH SOLE 15473 0 0 MICROCHIP TECHNOLOGY COM COM 595017104 91 1046 SH DFND 0 0 1046 MICROSOFT CORP COM 594918104 23908 71088 SH DFND 0 0 71088 MICROSTRATEGY INC CL A NEW COM 594972408 436 800 SH DFND 0 0 800 MIRUM PHARMACEUTICALS COM COM 604749101 247 15500 SH DFND 0 0 15500 MODERNA INC COM COM 60770k107 211 830 SH DFND 0 0 830 MONDELEZ INTL INC CL A COM 609207105 573 8648 SH DFND 0 0 8648 MORGAN STANLEY COM NEW COM 617446448 476 4851 SH DFND 0 0 4851 MOTOROLA SOLUTIONS INC COM NEW COM 620076307 406 1496 SH DFND 0 0 1496 NATIONAL STORAGE AFFILIATES TR COM 637870106 182 2634 SH SOLE 2634 0 0 NATIONAL STORAGE AFFILIATES TR COM 637870106 69 1000 SH DFND 0 0 1000 NEW MTN FIN CORP COM COM 647551100 329 24044 SH DFND 0 0 24044 NEW RESIDENTIAL INVT CORP COM COM 64828t201 537 50114 SH DFND 0 0 50114 NEWELL BRAND INC. COM 651229106 536 24524 SH DFND 0 0 24524 NEXTERA ENERGY INC COM COM 65339F101 1426 15278 SH DFND 0 0 15278 NIKE INC CLASS B COM 654106103 1508 9046 SH DFND 0 0 9046 NISOURCE INC. COM COM 65473p105 1345 48729 SH DFND 0 0 48729 NORFOLK SOUTHERN CORP COM 655844108 3507 11780 SH DFND 0 0 11780 NORTHERN TRUST CORPORATION COM 665859104 616 5147 SH DFND 0 0 5147 NORTHROP GRUMMAN CORP COM COM 666807102 802 2072 SH DFND 0 0 2072 NOVARTIS A G SPONSORED ADR COM 66987V109 1402 16025 SH DFND 0 0 16025 NOVO NORDISK COM 670100205 1667 14885 SH DFND 0 0 14885 NUCOR CORP COM 670346105 4646 40700 SH DFND 0 0 40700 NVIDIA CORP COM COM 67066G104 15539 52835 SH DFND 0 0 52835 OCCIDENTAL PETE CORP COM 674599105 247 8535 SH DFND 0 0 8535 OLD REP INTL CORP COM 680223104 1462 59485 SH DFND 0 0 59485 OLD SECOND BANCORP INC COM COM 680277100 415 33000 SH DFND 0 0 33000 OLLIES BARGAIN OUTLET COM COM 681116109 720 14070 SH SOLE 14070 0 0 OLLIES BARGAIN OUTLET COM COM 681116109 55 1068 SH DFND 0 0 1068 OMNICELL INC COM COM 68213N109 205 1135 SH SOLE 1135 0 0 ONEOK INC NEW COM COM 682680103 429 7300 SH DFND 0 0 7300 ORACLE SYS CORP COM 68389X105 642 7360 SH SOLE 7360 0 0 ORACLE SYS CORP COM 68389X105 7351 84288 SH DFND 0 0 84288 ORGANON & CO COM 68622v106 360 11807 SH DFND 0 0 11807 OSHKOSH TRUCK CORP COM 688239201 307 2723 SH SOLE 2723 0 0 OSHKOSH TRUCK CORP COM 688239201 253 2249 SH DFND 0 0 2249 OTIS WORLDWIDE CORP COM COM 68902v107 288 3303 SH DFND 0 0 3303 OZOP ENERGY SOLUTIONS COM COM 692732209 0 12500 SH DFND 0 0 12500 PACIRA BIOSCIENCES COM COM 695127100 497 8260 SH SOLE 8260 0 0 PACIRA BIOSCIENCES COM COM 695127100 40 663 SH DFND 0 0 663 PALANTIR TECHNOLOGIES CL A COM 69608a108 901 49500 SH DFND 0 0 49500 PALO ALTO NETWORKS INC COM COM 697435105 18079 32472 SH DFND 0 0 32472 PARKER HANNIFIN CORP COM COM 701094104 321 1010 SH DFND 0 0 1010 PAYPAL INC COM COM 70450y103 733 3886 SH DFND 0 0 3886 PENN NATL GAMING INC COM COM 707569109 2199 42416 SH DFND 0 0 42416 PEPSICO INC COM 713448108 973 5600 SH SOLE 5600 0 0 PEPSICO INC COM 713448108 1530 8808 SH DFND 0 0 8808 PETMED EXPRESS INC COM COM 716382106 560 22150 SH DFND 0 0 22150 PFIZER INC COM 717081103 9919 167980 SH DFND 0 200 167780 PHILIP MORRIS INTL INC COM COM 718172109 1529 16097 SH DFND 0 0 16097 PHILLIPS 66 COM COM 718546104 3660 50508 SH DFND 0 0 50508 PINNACLE FINL PARTNERS COM COM 72346q104 600 6287 SH SOLE 6287 0 0 PINNACLE FINL PARTNERS COM COM 72346q104 61 640 SH DFND 0 0 640 PINNACLE WEST CAPITAL CORP USD COM 723484101 2024 28670 SH DFND 0 0 28670 PIONEER NAT RES CO COM COM 723787107 655 3602 SH SOLE 3602 0 0 PIONEER NAT RES CO COM COM 723787107 150 826 SH DFND 0 0 826 PITNEY BOWES INC COM 724479100 645 97215 SH DFND 0 0 97215 PNC FINANCIAL CORP COM 693475105 811 4043 SH SOLE 4043 0 0 PNC FINANCIAL CORP COM 693475105 329 1641 SH DFND 0 0 1641 POLARIS INDS INC COM 731068102 259 2355 SH DFND 0 0 2355 POSEIDA THERAPEUTICS I COM COM 73730p108 82 12000 SH DFND 0 0 12000 PPL CORPORATION COM 69351T106 1716 57100 SH DFND 0 0 57100 PRECISION ASSESSMENT COM COM 74018g109 0 40000 SH DFND 0 0 40000 PRICE T ROWE GROUP INC COM COM 74144t108 704 3581 SH DFND 0 0 3581 PROCTER & GAMBLE CO COM 742718109 3979 24326 SH DFND 0 0 24326 PUBLIC STORAGE INC COM COM 74460D109 12155 32452 SH DFND 0 75 32377 QRS MUSIC TECHNOLOGIES COM COM 74726W107 1 18333 SH DFND 0 0 18333 QUALCOMM INC COM 747525103 13159 71960 SH DFND 0 0 71960 QUOTIENT TECHNOLOGY IN COM COM 749119103 486 65482 SH SOLE 65482 0 0 QUOTIENT TECHNOLOGY IN COM COM 749119103 42 5694 SH DFND 0 0 5694 RAYTHEON TECHNOLOGIES CORP COM 75513e101 1833 21303 SH DFND 0 0 21303 REAL BRANDS INC COM COM 75584q108 0 10000 SH DFND 0 0 10000 REGENERON PHARMA INC COM COM 75886f107 423 670 SH DFND 0 0 670 RESTAURANT BRANDS INTL INC COM COM 76131d103 257 4235 SH DFND 0 0 4235 RIVIAN AUTOMOTIVE INC COM CL A COM 76954a103 283 2725 SH DFND 0 0 2725 ROBLOX CORP CL A COM 771049103 443 4295 SH DFND 0 0 4295 SADDLE RANCH MEDIA INC COM COM 786239103 0 50000 SH DFND 0 0 50000 SALESFORCE.COM INC COM COM 79466l302 10601 41713 SH DFND 0 0 41713 SCHWEITZER-MAUDUIT INTL INC CO COM 808541106 925 30948 SH SOLE 30948 0 0 SCHWEITZER-MAUDUIT INTL INC CO COM 808541106 74 2471 SH DFND 0 0 2471 SEAGATE TECHNOLOGY PLC SHS COM g7997r103 1962 17365 SH DFND 0 0 17365 SECTOR SPIDER TR TECHNOLOGY COM 81369Y803 568 3267 SH DFND 0 0 3267 SEMPRA ENERGY COM COM 816851109 272 2056 SH DFND 0 0 2056 SENSIENT TECH CORP COM COM 81725T100 280 2800 SH DFND 0 0 2800 SHERWIN WILLIAMS CO COM 824348106 882 2505 SH DFND 0 0 2505 SILVERGATE CAP CORP CL A COM 82837p408 928 6260 SH DFND 0 0 6260 SIMON PPTY GROUP INC COM COM 828806109 519 3248 SH DFND 0 0 3248 SKECHERS U S A INC CL A COM 830566105 296 6816 SH SOLE 6816 0 0 SKECHERS U S A INC CL A COM 830566105 29 661 SH DFND 0 0 661 SMILEDIRECTCLUB INC CL A COM 83192h106 24 10000 SH DFND 0 0 10000 SNAP INC CL A COM 83304a106 252 5350 SH DFND 0 0 5350 SOUTHERN COMPANY COM 842587107 2387 34812 SH DFND 0 0 34812 SPDR DOW JONES INDL AVG ETF COM 78467x109 528 1452 SH DFND 0 0 1452 SPDR SER TR S&P HOMEBUILDERS E COM 78464a888 686 8000 SH DFND 0 0 8000 SPDR SERIES TRUST S&P REGL BKG COM 78464a698 1851 26123 SH DFND 0 0 26123 SPIRIT AEROSYS HLDGS I COM CL COM 848574109 1045 24250 SH DFND 0 0 24250 SPROTT FOCUS TR INC COM COM 85208j109 164 19118 SH DFND 0 0 19118 SPX FLOW INC COM COM 78469x107 1079 12472 SH SOLE 12472 0 0 SPX FLOW INC COM COM 78469x107 100 1159 SH DFND 0 0 1159 STANLEY BLACK & DECKER COM COM 854502101 780 4137 SH SOLE 4137 0 0 STANLEY BLACK & DECKER COM COM 854502101 2495 13229 SH DFND 0 0 13229 STARBUCKS CORP COM COM 855244109 2865 24495 SH DFND 0 0 24495 STARWOOD PPTY TR INC COM COM 85571b105 2852 117373 SH DFND 0 0 117373 STATE STREET BOSTON CORP COM 857477103 738 7932 SH DFND 0 0 7932 STRYKER CORP COM 863667101 9249 34586 SH DFND 0 0 34586 SYNEOS HEALTH INC CL A COM 87166B102 221 2151 SH SOLE 2151 0 0 SYSCO CORP COM 871829107 10007 127402 SH DFND 0 0 127402 TARGET CORP COM COM 87612E106 2115 9138 SH DFND 0 0 9138 TE CONNECTIVITY LTD COM H84989104 1638 10150 SH DFND 0 0 10150 TECNOGLASS INC SHS COM g87264100 641 24487 SH SOLE 24487 0 0 TECNOGLASS INC SHS COM g87264100 57 2195 SH DFND 0 0 2195 TEGNA INC COM 87901j105 1057 56951 SH DFND 0 0 56951 TESLA MTRS INC COM COM 88160R101 1057 1000 SH DFND 0 0 1000 THERMO FISHER SCIENTIFIC COM 883556102 6245 9360 SH SOLE 9360 0 0 THERMO FISHER SCIENTIFIC COM 883556102 13592 20370 SH DFND 0 0 20370 TILLYS INC CL A COM 886885102 411 25500 SH DFND 0 0 25500 TJX COMPANIES INC (NEW) COM 872540109 7726 101759 SH DFND 0 0 101759 TOWN SPORTS INTL HLDGS COM COM 89214a102 0 68072 SH DFND 0 0 68072 TRACTOR SUPPLY CO COM COM 892356106 323 1355 SH SOLE 1355 0 0 TRACTOR SUPPLY CO COM COM 892356106 47 199 SH DFND 0 0 199 TRISTATE CAP HLDGS INC COM COM 89678F100 218 7210 SH SOLE 7210 0 0 TRUIST FINL CORP COM COM 89832q109 8962 153061 SH DFND 0 0 153061 TRULIEVE CANNABIS CORP COM SUB COM 89788c104 471 18100 SH DFND 0 0 18100 UBER TECHNOLOGIES INC COM COM 90353t100 1897 45235 SH DFND 0 0 45235 ULTA SALON COSM & FRAG COM COM 90384s303 884 2145 SH DFND 0 0 2145 ULTRA CLEAN HLDGS INC COM COM 90385v107 652 11365 SH SOLE 11365 0 0 ULTRA CLEAN HLDGS INC COM COM 90385v107 100 1736 SH DFND 0 0 1736 UMBRA APPLIED TECHNOLO COM COM 90419p100 4 250000 SH DFND 0 0 250000 UNION PACIFIC CORPORATION COM 907818108 11061 43907 SH DFND 0 0 43907 UNITED PARCEL SERVICE CL B COM 911312106 1037 4838 SH DFND 0 0 4838 UNITEDHEALTH GRP INC COM 91324p102 1198 2385 SH SOLE 2385 0 0 UNITEDHEALTH GRP INC COM 91324p102 340 677 SH DFND 0 0 677 UNITY SOFTWARE INC COM COM 91332u101 276 1930 SH DFND 0 0 1930 UNIVERSAL DISPLAY CORP COM COM 91347P105 1386 8400 SH DFND 0 0 8400 UNIVERSAL HEALTH RLTY INCOME S COM 91359E105 562 9445 SH DFND 0 0 9445 US BANCORP DEL COM COM 902973304 18 325 SH SOLE 325 0 0 US BANCORP DEL COM COM 902973304 877 15612 SH DFND 0 0 15612 UWM HOLDINGS CORPORATI COM CL COM 91823b109 219 36940 SH DFND 0 0 36940 VANGUARD INDEX FDS COM 922908363 1537 3520 SH DFND 0 0 3520 VANGUARD INDEX FDS EXTEND MKT COM 922908652 8088 44230 SH DFND 0 0 44230 VANGUARD INDEX FDS GROWTH ETF COM 922908736 3035 9459 SH DFND 0 0 9459 VANGUARD INDEX FDS MID CAP ETF COM 922908629 251 985 SH DFND 0 0 985 VANGUARD INDEX FDS REIT ETF COM 922908553 1600 13795 SH DFND 0 0 13795 VANGUARD INDEX FDS SMALL CP ET COM 922908751 226 1000 SH DFND 0 0 1000 VANGUARD INDEX FDS VALUE ETF COM 922908744 340 2309 SH DFND 0 0 2309 VANGUARD INTL EQUITY I TT WRLD COM 922042742 816 7600 SH DFND 0 0 7600 VANGUARD SPECIALIZED DIV APP E COM 921908844 10874 63311 SH DFND 0 0 63311 VANGUARD WHITEHALL FDS HIGH DI COM 921946406 696 6207 SH DFND 0 0 6207 VANGUARD WORLD FDS INF TECH ET COM 92204a702 275 601 SH DFND 0 0 601 VANGUARD WORLD FDS UTILITIES E COM 92204a876 558 3565 SH DFND 0 0 3565 VECTOR GROUP LTD COM COM 92240M108 180 15645 SH DFND 0 0 15645 VECTRUS INC COM COM 92242t101 353 7711 SH SOLE 7711 0 0 VECTRUS INC COM COM 92242t101 34 742 SH DFND 0 0 742 VENTAS INC COM COM 92276F100 2936 57432 SH DFND 0 200 57232 VERIZON COMMUNICATIONS COM COM 92343v104 9022 173628 SH DFND 0 0 173628 VIACOMCBS INC CL B COM 92556h206 271 8987 SH DFND 0 0 8987 VIATRIS INC COM COM 92556v106 961 71049 SH DFND 0 24 71025 VICARIOUS SURGICAL INC COM CL COM 92561v109 553 52105 SH SOLE 52105 0 0 VICARIOUS SURGICAL INC COM CL COM 92561v109 17 1612 SH DFND 0 0 1612 VICTORY CAP HLDGS INC COM CL A COM 92645B103 286 7839 SH SOLE 7839 0 0 VIR BIOTECHNOLOGY INC COM COM 92764n102 1614 38550 SH DFND 0 0 38550 VISA INC COM CL A COM 92826c839 775 3577 SH SOLE 3577 0 0 VISA INC COM CL A COM 92826c839 5695 26280 SH DFND 0 0 26280 VISTA OUTDOOR INC COM COM 928377100 662 14375 SH DFND 0 0 14375 VONTIER CORP. COM 928881101 9414 306358 SH DFND 0 300 306058 WAL MART STORES INC COM 931142103 4269 29506 SH DFND 0 0 29506 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 287 5498 SH SOLE 5498 0 0 WALGREEN BOOTS ALLIANCE INC CO COM 931427108 8958 171746 SH DFND 0 0 171746 WALT DISNEY PRODUCTIONS COM 254687106 526 3398 SH SOLE 3398 0 0 WALT DISNEY PRODUCTIONS COM 254687106 7762 50113 SH DFND 0 0 50113 WASTE MGMT INC COM COM 94106L109 13624 81629 SH DFND 0 0 81629 WEC ENERGY GROUP INC COM COM 92939u106 2959 30485 SH DFND 0 0 30485 WELLS FARGO & COMPANY COM 949746101 1582 32973 SH DFND 0 0 32973 WESTAIM CORP COM NEW COM 956909303 40 20000 SH DFND 0 0 20000 WHIRLPOOL CORP COM 963320106 835 3558 SH DFND 0 0 3558 WILLSCOT MOBIL MINI HL COM CL COM 971378104 553 13540 SH SOLE 13540 0 0 WILLSCOT MOBIL MINI HL COM CL COM 971378104 44 1087 SH DFND 0 0 1087 WINTRUST FINL CORP COM COM 97650W108 187 2055 SH SOLE 2055 0 0 WINTRUST FINL CORP COM COM 97650W108 157 1731 SH DFND 0 0 1731 WISDOMTREE TR US DIVD GRWTH FD COM 97717x669 358 5433 SH DFND 0 0 5433 WNS HOLDINGS LTD SPON ADR COM 92932M101 357 4052 SH SOLE 4052 0 0 WOLFSPEED INC COM COM 977852102 1352 12100 SH DFND 0 0 12100 WORLD GOLD TR SPDR GLD MINIS COM 98149e204 237 13050 SH DFND 0 0 13050 YETI HLDGS INC COM COM 98585x104 109 1317 SH SOLE 1317 0 0 YETI HLDGS INC COM COM 98585x104 8822 106505 SH DFND 0 0 106505 YUM BRANDS INC COM COM 988498101 270 1945 SH DFND 0 0 1945 ZEBRA TECHNOLOGIES CP CL A COM 989207105 726 1220 SH DFND 0 0 1220 ZIMMER BIOMET HOLDINGS INC COM 98956P102 379 2985 SH DFND 0 0 2985 ALIBABA GROUP HLDG LTD SPONSOR ADR 01609w102 828 6971 SH DFND 0 0 6971 FLUTTER ENTMT PLC UNSPONSORED ADR 344044102 957 12015 SH DFND 0 0 12015 LEGAL & GEN GROUP PLC SPONSORE ADR 52463h103 1105 53609 SH DFND 0 0 53609 LI AUTO INC SPONSORED ADS ADR 50202m102 252 7865 SH DFND 0 0 7865 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 385 7441 SH DFND 0 0 7441 SAFRAN S A SPON ADR ADR 786584102 487 15905 SH DFND 0 0 15905 SANOFI SPONSORED ADR ADR 80105n105 303 6045 SH DFND 0 0 6045 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 479 3978 SH DFND 0 0 3978 TAKEDA PHARMACEUTICAL CO. LTD ADR 874060205 421 30919 SH DFND 0 0 30919 TENCENT HLDGS LTD ADR ADR 88032q109 2139 36695 SH DFND 0 0 36695 TOTALENERGIES SE SPONS ADR ADR 89151e109 339 6850 SH DFND 0 0 6850 TOYOTA MOTOR CORP SP ADR REP2C ADR 892331307 221 1195 SH DFND 0 0 1195 TRIP COM GROUP LTD ADS ADR 89677q107 398 16175 SH DFND 0 0 16175 VOLKSWAGEN AG UNSPONSRED ADR ADR 928662600 578 19780 SH DFND 0 0 19780 BLACKSTONE REAL ESTATE INC TR RE per092613 5770 410301 SH DFND 0 0 410301 ALLIANCEBERNSTEIN HLDGS LP UNI LP 01881g106 515 10550 SH DFND 0 0 10550 CRESSET DIVERSIFIED QOZ FD II LP 225cc5215 800 800000 SH DFND 0 0 800000 CRESSET DIVERSIFIED QOZ FUND L LP 225lp5112 239 239252 SH DFND 0 0 239252 ENTERPRISE PRODS PARTNERS LP C LP 293792107 4975 226566 SH DFND 0 0 226566 JVM PFD EQUITY FUND - 2020 SR LP 670lp0022 50 50000 SH DFND 0 0 50000 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 3031 65266 SH DFND 0 250 65016 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 118 12600 SH DFND 0 0 12600 ADVISORS SER TR POPLAR FRST CO MF 00770x535 6985 231143 SH DFND 0 0 231143 AMCAP FD INC CL F 3 MF 023375777 284 6211 SH DFND 0 0 6211 AMER FDS RET INC PORTF ENCHANC MF 02631l528 257 18561 SH DFND 0 0 18561 AMERICAN BALANCED FD SHS F-2 C MF 024071821 981 29350 SH DFND 0 0 29350 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 5875 471498 SH DFND 0 0 471498 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 521 28082 SH DFND 0 0 28082 AMERICAN FDS PORTFOLIO GBL GRO MF 02630r344 488 20108 SH DFND 0 0 20108 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 785 40952 SH DFND 0 0 40952 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 728 40911 SH DFND 0 0 40911 AMERICAN FDS TARGET DA 2045 TR MF 02631v807 231 10857 SH DFND 0 0 10857 AMERICAN FDS TARGET DA 2050 TR MF 02631v880 279 13256 SH DFND 0 0 13256 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 1643 131935 SH DFND 0 0 131935 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 1303 24520 SH DFND 0 0 24520 BLACKROCK FDS II MLTAST INC IN MF 09256h336 220 19403 SH DFND 0 0 19403 BLACKROCK FDS II STRG OPP INST MF 09260b382 113 11182 SH DFND 0 0 11182 BLACKROCK FDS III LIFPT2025 IN MF 066923848 403 24248 SH DFND 0 0 24248 BLAIR WILLIAM SM MID CAP GRWTH MF 093001295 364 10473 SH DFND 0 0 10473 BNY MELLON INVT GRADE SHORT TE MF 05600g107 168 16495 SH DFND 0 0 16495 BRANDES INVT TR EMRGN MKT VAL MF 105262752 106 12327 SH DFND 0 0 12327 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 14425 205692 SH DFND 0 0 205692 CAPITAL INCOME BLDR IN SHS CL MF 140194101 5320 75898 SH DFND 0 0 75898 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 1193 18765 SH DFND 0 0 18765 CAPITAL WORLD GRWTH AND INC FD MF 140543117 3763 59131 SH DFND 0 0 59131 COLUMBIA ACORN FUND CL Z MF 197199409 202 14177 SH DFND 0 0 14177 COLUMBIA FDS SER TR CAPTAL ALL MF 19766b224 267 21461 SH DFND 0 0 21461 COLUMBIA FDS SER TR I DIVIDEND MF 19766m840 654 20293 SH DFND 0 0 20293 DNP SELECT INCOME FD INC COM MF 23325P104 971 89289 SH DFND 0 0 89289 DODGE & COX STK FD COM MF 256219106 1232 5025 SH DFND 0 0 5025 EATON VANCE GROWTH TR ATL CAPT MF 277902698 307 7447 SH DFND 0 0 7447 EURO PAC GROWTH FD CL F 3 MF 298706110 412 6357 SH DFND 0 0 6357 FIDELITY SECS FD FD ADV RE INS MF 316389444 218 15885 SH DFND 0 0 15885 FUNDAMENTAL INVESTORS CL F3 MF 360802771 2448 32246 SH DFND 0 0 32246 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 6930 427501 SH DFND 0 0 427501 GRANDEUR PEAK GLBL MICRO CAP F MF 31761r732 2437 135597 SH DFND 0 0 135597 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 7856 331497 SH DFND 0 0 331497 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 7986 1572078 SH DFND 0 0 1572078 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 5762 225943 SH DFND 0 0 225943 HARRIS ASSOC INVT TR OAKMARK I MF 413838202 252 8958 SH DFND 0 0 8958 INCOME FD AMER INC CL F3 MF 453320772 2271 87919 SH DFND 0 0 87919 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 319 8127 SH DFND 0 0 8127 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 245 6237 SH DFND 0 0 6237 INVESCO GLBL HEALTH CARE FUND MF 00141v820 494 11855 SH DFND 0 0 11855 INVESCO/OPP GLBL STRAT INC FD MF 00143K756 97 27278 SH DFND 0 0 27278 INVESCO/OPP INTL SM MID CO FD MF 00900W555 384 6743 SH DFND 0 0 6743 INVESCO/OPP INTL SMALL MID CO MF 00900W530 1025 18114 SH DFND 0 0 18114 INVESCO/OPP STEELPATH MLP INC MF 00143K285 63 14532 SH DFND 0 0 14532 INVESCO/OPP STEELPATH MLP SEL4 MF 00143K228 175 29326 SH DFND 0 0 29326 INVESTMENT CO AMER CL F3 MF 461308777 660 12756 SH DFND 0 0 12756 INVESTMENT MANAGERS SE WCM FCS MF 461418444 303 10942 SH DFND 0 0 10942 LORD ABBETT INVT TR INCOME FD MF 543916365 30 10081 SH DFND 0 0 10081 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 2125 174610 SH DFND 0 0 174610 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1752 26389 SH DFND 0 0 26389 NEW WORLD FD INC NEW CL F3 MF 649280773 1227 14263 SH DFND 0 0 14263 NEW WORLD FUND CLASS F-2 MF 649280823 282 3293 SH DFND 0 0 3293 POPLAR FOREST PARTNERS INSTITU MF 00768d798 13618 260981 SH DFND 0 0 260981 PRUDENTIAL WRLD FD IN JNSON GL MF 743969685 240 5234 SH DFND 0 0 5234 ROWE PRICE NEW HORIZON FD CL I MF 779562206 212 2746 SH DFND 0 0 2746 ROWE T PRICE ST TAX FR COM MF 779576107 146 13901 SH DFND 0 0 13901 SEQUOIA FD INC COM MF 817418106 386 2087 SH DFND 0 0 2087 SMALLCAP WORLD FD INC CL F3 MF 831681770 298 3645 SH DFND 0 0 3645 SMEAD FDS TR VALUE FD CL Y MF 83178c709 392 5651 SH DFND 0 0 5651 THE GROWTH FD OF AMERICA CL F3 MF 399874775 1660 22338 SH DFND 0 0 22338 VANGUARD CHESTER FDS TGT RETIR MF 92202e409 403 19816 SH DFND 0 0 19816 VANGUARD INDEX FDS TOT STKIDX MF 922908728 485 4124 SH DFND 0 0 4124 VANGUARD INDEX TR 500 INDEX AD MF 922908710 1531 3481 SH DFND 0 0 3481 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 424 4422 SH DFND 0 0 4422 WASHINGTON MUT INVS FD CL F3 MF 939330775 660 10923 SH DFND 0 0 10923 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 1210 25535 SH DFND 0 0 25535 INVESCO ETF TR II FTSE RAFI EM EXCH 46138E727 9407 429732 SH DFND 0 0 429732 INVESCO ETF TR II RUSSELL 1000 EXCH 46138E420 1095 23125 SH DFND 0 0 23125 INVESCO ETF TR S&P 500 PURE VA EXCH 46137V258 5367 66400 SH DFND 0 0 66400 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 13763 80156 SH DFND 0 0 80156 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 3487 8765 SH DFND 0 0 8765 ISHARES TR DJ HOME CONSTN EXCH 464288752 2393 28860 SH DFND 0 0 28860 ISHARES TR MSCI EMERG MKT EXCH 464287234 556 11391 SH DFND 0 0 11391 ISHARES TR NORTH AMERN NAT EXCH 464287374 1128 35825 SH DFND 0 0 35825 ISHARES TR RUSSELL 2000 EXCH 464287655 1259 5661 SH DFND 0 0 5661 ISHARES TR RUSSELL1000VAL EXCH 464287598 4213 25089 SH DFND 0 0 25089 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 350 8970 SH DFND 0 0 8970 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 9505 20012 SH DFND 0 0 20012 SPIDER GOLD TR SHS EXCH 78463V107 509 2978 SH DFND 0 0 2978 VANECK VECTORS ETF TR VIDEO GA EXCH 92189f114 1046 15785 SH DFND 0 0 15785 VANGUARD INDEX FDS TOTAL STK M EXCH 922908769 734 3041 SH DFND 0 0 3041 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1244 28705 SH DFND 0 0 28705 WISDOMTREE TRUST DEFA FD EXCH 97717w703 287 5310 SH DFND 0 0 5310 AMERICAN BALANCED FD CL F3 BAL MF 024071771 8257 246846 SH DFND 0 0 246846 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 1078 77331 SH DFND 0 0 77331 AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 719 18711 SH DFND 0 0 18711 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 880 47490 SH DFND 0 0 47490 VIRTUS ALLIANZGI INCM GR INST BAL MF 92837n535 519 37168 SH DFND 0 0 37168 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 386 34472 SH DFND 0 0 34472 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 577 43996 SH DFND 0 0 43996 ROYCE VALUE TR INC COM CLE FDS 780910105 5749 293488 SH DFND 0 0 293488 VIRTUS ALLIANZGI EQUITY & CONV CLE FDS 92841m101 999 33158 SH DFND 0 0 33158