0001020918-22-000004.txt : 20220418
0001020918-22-000004.hdr.sgml : 20220418
20220418090501
ACCESSION NUMBER: 0001020918-22-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220331
FILED AS OF DATE: 20220418
DATE AS OF CHANGE: 20220418
EFFECTIVENESS DATE: 20220418
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: 22831127
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
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0001020918
XXXXXXXX
03-31-2022
03-31-2022
ROTHSCHILD INVESTMENT CORP /IL
311 S WACKER DR
SUITE 6500
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-05772
N
Bradley C. Drake
Executive Vice President
312-983-8956
Bradley C. Drake
Chicago
IL
04-18-2022
0
580
1272509
false
INFORMATION TABLE
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inftable.xml
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COM
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ABCELLERA BIOLOGICS IN COM
COM
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COM
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422
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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EXICURE INC COM
COM
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COM
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0
40117
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FORTIVE CORP COM
COM
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COM
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FREEPORT-MCMORAN, INC
COM
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COM
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GALAXY DIGITAL HLDGS L SHS
COM
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GALLAGHER ARTHUR J & CO
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GALWAY METALS INC COM NEW
COM
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GENERAL DYNAMICS
COM
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GENERAL ELECTRIC CO
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GENERAL MILLS INC
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GENERAL MTRS CO COM
COM
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GILEAD SCIENCES INC COM
COM
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GLAXO SMITHKLINE PLC SPONS ADR
COM
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GLOBUS MED INC CL A
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GOHEALTH INC COM CL A
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GOLD STD VENTURES CORP COM
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GOLDMAN SACHS BDC INC SHS
COM
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GOLDMAN SACHS GROUP COM
COM
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GRAINGER W W INC
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GRAINGER W W INC
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GRAYSCALE BITCOIN CASH COM
COM
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GRAYSCALE BITCOIN TR BTC SHS
COM
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GRAYSCALE ETHEREUM TR SHS
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GRAYSCALE LITECOIN TR LTC SHS
COM
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GREEN THUMB INDUSTRIES SUB VTG
COM
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HALLIBURTON COMPANY
COM
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HANES BRANDS INC COM
COM
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HILTON WORLDWIDE HLDGS COM
COM
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HOME DEPOT INC
COM
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HONEYWELL INTL
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HUNTSMAN CORP COM
COM
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ILLINOIS TOOL WORKS
COM
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ILLUMINA INC COM
COM
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INTEGRA RESOURCES CORP
COM
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INTEL CORPORATION
COM
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INTERNATIONAL BUSINESS MACHINE
COM
459200101
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INTERNATIONAL PAPER CO
COM
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DFND
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INTUITIVE SURGICAL INC COM NEW
COM
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INVESCO ETF TR II S&P 500 LOW
COM
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INVESCO ETF TR S&P 500 EQUAL W
COM
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INVESCO LTD SHS
COM
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INVITATION HOMES INC COM
COM
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ISHARES INC MSCI JAPAN
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ISHARES SILVER TRUST ISHARES
COM
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ISHARES TR CONSER ALLOC ETF
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ISHARES TR DJ SEL DIV INX
COM
464287168
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ISHARES TR FTSE XINHAU HK CHIN
COM
464287184
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ISHARES TR GRWT ALLOCAT ETF
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464289867
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ISHARES TR MSCI EAFE IDX
COM
464287465
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ISHARES TR RUSL 2000 GROW
COM
464287648
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ISHARES TR RUSSELL MIDCAP
COM
464287499
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ISHARES TR RUSSELL1000GRW
COM
464287614
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ISHARES TR S&P SMLCAP 600
COM
464287804
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J P MORGAN CHASE & CO COM
COM
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JOHNSON & JOHNSON
COM
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100
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KBR INC COM
COM
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KBR INC COM
COM
48242w106
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KELLOGG COMPANY
COM
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KIMBERLY CLARK CORP
COM
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KINDER MORGAN INC DEL COM
COM
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KKR & CO INC CL A
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KLA CORP COM
COM
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KORE MNG LTD COM
COM
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KRAFT HEINZ CO COM
COM
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KROGER CO
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KROGER CO
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LABRADOR GOLD CORP COM
COM
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LAZARD LTD SHS A
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LIBERTY GOLD CORP COM
COM
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LILLY ELI & COMPANY
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LINCOLN NATL CORP IND COM
COM
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LINDE PLC
COM
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LION ONE METALS LTD COM
COM
536216104
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LOCKHEED MARTIN CORP
COM
539830109
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LOWES COS INC COM
COM
548661107
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LUMENTUM HLDGS INC COM
COM
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LUMENTUM HLDGS INC COM
COM
55024u109
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LYONDELLBASELL INDUSTR SHS - A
COM
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M D C HLDGS INC COM
COM
552676108
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MACERICH CO COM
COM
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MACYS INC COM
COM
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MAPLETREE INDUSTRIAL T UNT RL
COM
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MARATHON PETE CORP COM
COM
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MARRIOTT INTL INC COM
COM
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MARVELL TECH GROUP LTD ORD
COM
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MASTERCARD INC COM
COM
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MATADOR MINING LTD SHS
COM
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MCDONALDS CORPORATION
COM
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MCDONALDS CORPORATION
COM
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MEDICAL PPTYS TR INC COM
COM
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MEDTRONIC PLC SHS
COM
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MERCK & COMPANY INC.
COM
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MERITOR INC COM
COM
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META PLATFORMS INC CL A
COM
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METLIFE INC COM
COM
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MGM RESORTS INTERNATIONAL
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MICROCHIP TECHNOLOGY COM
COM
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MICROCHIP TECHNOLOGY COM
COM
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MICROSOFT CORP
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MICROSTRATEGY INC CL A NEW
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MONDELEZ INTL INC CL A
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MONETA GOLD INC COM
COM
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MONTAGE GOLD CORP COM
COM
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MORGAN STANLEY COM NEW
COM
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MOTOROLA SOLUTIONS INC COM NEW
COM
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NEW MTN FIN CORP COM
COM
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NEW RESIDENTIAL INVT CORP COM
COM
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NEWCORE GOLD LTD COM
COM
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NEWELL BRAND INC.
COM
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NEXTERA ENERGY INC COM
COM
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NIKE INC CLASS B
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NISOURCE INC. COM
COM
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NORFOLK SOUTHERN CORP
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NORTHERN TRUST CORPORATION
COM
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NORTHROP GRUMMAN CORP COM
COM
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NOVARTIS A G SPONSORED ADR
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NOVO NORDISK
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NU HLDGS LTD ORD SHS CL A
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NUCOR CORP
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NVIDIA CORP COM
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OCCIDENTAL PETE CORP
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OLD REP INTL CORP
COM
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OLD SECOND BANCORP INC COM
COM
680277100
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OLLIES BARGAIN OUTLET COM
COM
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OLLIES BARGAIN OUTLET COM
COM
681116109
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ONEOK INC NEW COM
COM
682680103
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OPENDOOR TECHNOLOGIES INC COM
COM
683712103
167
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ORACLE SYS CORP
COM
68389X105
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ORACLE SYS CORP
COM
68389X105
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0
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OSHKOSH TRUCK CORP
COM
688239201
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OSHKOSH TRUCK CORP
COM
688239201
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OSINO RES CORP COM
COM
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OTIS WORLDWIDE CORP COM
COM
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OZOP ENERGY SOLUTIONS COM
COM
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PACIRA BIOSCIENCES COM
COM
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PACIRA BIOSCIENCES COM
COM
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PALANTIR TECHNOLOGIES CL A
COM
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PALO ALTO NETWORKS INC COM
COM
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PARAMOUNT GLOBAL CLASS B
COM
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PARKER HANNIFIN CORP COM
COM
701094104
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1000
PAYPAL INC COM
COM
70450y103
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PENN NATL GAMING INC COM
COM
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PEPSICO INC
COM
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PEPSICO INC
COM
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PETMED EXPRESS INC COM
COM
716382106
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PFIZER INC
COM
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PHILIP MORRIS INTL INC COM
COM
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PHILLIPS 66 COM
COM
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PINNACLE FINL PARTNERS COM
COM
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PINNACLE FINL PARTNERS COM
COM
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PINNACLE WEST CAPITAL CORP USD
COM
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PIONEER NAT RES CO COM
COM
723787107
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PIONEER NAT RES CO COM
COM
723787107
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PITNEY BOWES INC
COM
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PNC FINANCIAL CORP
COM
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PNC FINANCIAL CORP
COM
693475105
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POLARIS INDS INC
COM
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POSEIDA THERAPEUTICS I COM
COM
73730p108
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PPL CORPORATION
COM
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PRECISION ASSESSMENT COM
COM
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PRICE T ROWE GROUP INC COM
COM
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PROBE METALS INC COM
COM
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PROCTER & GAMBLE CO
COM
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PUBLIC STORAGE INC COM
COM
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PULTE GROUP
COM
745867101
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QRS MUSIC TECHNOLOGIES COM
COM
74726W107
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0
0
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QUALCOMM INC
COM
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QUOTIENT TECHNOLOGY IN COM
COM
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QUOTIENT TECHNOLOGY IN COM
COM
749119103
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RAYTHEON TECHNOLOGIES CORP
COM
75513e101
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REAL BRANDS INC COM
COM
75584q108
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REGENERON PHARMA INC COM
COM
75886f107
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RESTAURANT BRANDS INTL INC COM
COM
76131d103
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REVIVAL GOLD INC COM
COM
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RIO2 LTD NEW COM
COM
767217102
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ROBLOX CORP CL A
COM
771049103
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SALESFORCE.COM INC COM
COM
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SCHLUMBERGER
COM
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SCHWEITZER-MAUDUIT INTL INC CO
COM
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SCHWEITZER-MAUDUIT INTL INC CO
COM
808541106
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SEAGATE TECHNOLOGY PLC SHS
COM
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SEMPRA ENERGY COM
COM
816851109
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SENSIENT TECH CORP COM
COM
81725T100
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SHERWIN WILLIAMS CO
COM
824348106
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SILVER TIGER METALS IN COM
COM
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SILVERGATE CAP CORP CL A
COM
82837p408
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0
6685
SIMON PPTY GROUP INC COM
COM
828806109
355
2698
SH
DFND
0
0
2698
SKECHERS U S A INC CL A
COM
830566105
295
7232
SH
SOLE
7232
0
0
SKECHERS U S A INC CL A
COM
830566105
27
661
SH
DFND
0
0
661
SMILEDIRECTCLUB INC CL A
COM
83192h106
39
15000
SH
DFND
0
0
15000
SOUTHERN COMPANY
COM
842587107
2519
34737
SH
DFND
0
0
34737
SPDR DOW JONES INDL AVG ETF
COM
78467x109
495
1427
SH
DFND
0
0
1427
SPDR SER TR S&P HOMEBUILDERS E
COM
78464a888
506
8000
SH
DFND
0
0
8000
SPDR SERIES TRUST S&P REGL BKG
COM
78464a698
1800
26123
SH
DFND
0
0
26123
SPIRIT AEROSYS HLDGS I COM CL
COM
848574109
1171
23950
SH
DFND
0
0
23950
SPROTT FOCUS TR INC COM
COM
85208j109
219
24199
SH
DFND
0
0
24199
STANLEY BLACK & DECKER COM
COM
854502101
578
4137
SH
SOLE
4137
0
0
STANLEY BLACK & DECKER COM
COM
854502101
1898
13579
SH
DFND
0
0
13579
STARBUCKS CORP COM
COM
855244109
2191
24087
SH
DFND
0
0
24087
STARWOOD PPTY TR INC COM
COM
85571b105
2837
117373
SH
DFND
0
0
117373
STATE STREET BOSTON CORP
COM
857477103
685
7866
SH
DFND
0
0
7866
STRYKER CORP
COM
863667101
9166
34286
SH
DFND
0
0
34286
SYNCHRONY FINL COM
COM
87165b103
258
7400
SH
DFND
0
0
7400
SYSCO CORP
COM
871829107
10399
127362
SH
DFND
0
0
127362
TARGET CORP COM
COM
87612E106
1931
9097
SH
DFND
0
0
9097
TE CONNECTIVITY LTD
COM
H84989104
1327
10129
SH
DFND
0
0
10129
TECNOGLASS INC SHS
COM
g87264100
644
25522
SH
SOLE
25522
0
0
TECNOGLASS INC SHS
COM
g87264100
55
2195
SH
DFND
0
0
2195
TEGNA INC
COM
87901j105
1276
56951
SH
DFND
0
0
56951
TESLA MTRS INC COM
COM
88160R101
1056
980
SH
DFND
0
0
980
TEXAS PACIFIC LAND
COM
88262p102
338
250
SH
DFND
0
0
250
THERMO FISHER SCIENTIFIC
COM
883556102
5528
9360
SH
SOLE
9360
0
0
THERMO FISHER SCIENTIFIC
COM
883556102
11931
20200
SH
DFND
0
0
20200
TILLYS INC CL A
COM
886885102
239
25500
SH
DFND
0
0
25500
TJX COMPANIES INC (NEW)
COM
872540109
6059
100009
SH
DFND
0
0
100009
TOWN SPORTS INTL HLDGS COM
COM
89214a102
0
68072
SH
DFND
0
0
68072
TRACTOR SUPPLY CO COM
COM
892356106
408
1748
SH
SOLE
1748
0
0
TRACTOR SUPPLY CO COM
COM
892356106
46
199
SH
DFND
0
0
199
TROILUS GOLD CORP COM NEW
COM
896887106
24
26400
SH
DFND
0
0
26400
TRUIST FINL CORP COM
COM
89832q109
8610
151849
SH
DFND
0
0
151849
TRULIEVE CANNABIS CORP COM SUB
COM
89788c104
381
18100
SH
DFND
0
0
18100
UBER TECHNOLOGIES INC COM
COM
90353t100
1608
45072
SH
DFND
0
0
45072
ULTA SALON COSM & FRAG COM
COM
90384s303
814
2045
SH
DFND
0
0
2045
ULTRA CLEAN HLDGS INC COM
COM
90385v107
511
12050
SH
SOLE
12050
0
0
ULTRA CLEAN HLDGS INC COM
COM
90385v107
74
1736
SH
DFND
0
0
1736
UNION PACIFIC CORPORATION
COM
907818108
11929
43661
SH
DFND
0
0
43661
UNITED PARCEL SERVICE CL B
COM
911312106
1035
4827
SH
DFND
0
0
4827
UNITEDHEALTH GRP INC
COM
91324p102
1216
2385
SH
SOLE
2385
0
0
UNITEDHEALTH GRP INC
COM
91324p102
339
665
SH
DFND
0
0
665
UNITY SOFTWARE INC COM
COM
91332u101
229
2305
SH
DFND
0
0
2305
UNIVERSAL DISPLAY CORP COM
COM
91347P105
1397
8366
SH
DFND
0
0
8366
UNIVERSAL HEALTH RLTY INCOME S
COM
91359E105
551
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DFND
0
0
9445
US BANCORP DEL COM
COM
902973304
17
325
SH
SOLE
325
0
0
US BANCORP DEL COM
COM
902973304
820
15430
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DFND
0
0
15430
UWM HOLDINGS CORPORATI COM CL
COM
91823b109
201
44440
SH
DFND
0
0
44440
VANGUARD INDEX FDS
COM
922908363
1579
3803
SH
DFND
0
0
3803
VANGUARD INDEX FDS EXTEND MKT
COM
922908652
7837
47310
SH
DFND
0
0
47310
VANGUARD INDEX FDS GROWTH ETF
COM
922908736
3112
10819
SH
DFND
0
0
10819
VANGUARD INDEX FDS MID CAP ETF
COM
922908629
234
985
SH
DFND
0
0
985
VANGUARD INDEX FDS REIT ETF
COM
922908553
1505
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SH
DFND
0
0
13890
VANGUARD INDEX FDS SMALL CP ET
COM
922908751
213
1000
SH
DFND
0
0
1000
VANGUARD INDEX FDS VALUE ETF
COM
922908744
341
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DFND
0
0
2309
VANGUARD INTL EQUITY I TT WRLD
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922042742
770
7600
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DFND
0
0
7600
VANGUARD SPECIALIZED DIV APP E
COM
921908844
10605
65400
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DFND
0
0
65400
VANGUARD WHITEHALL FDS HIGH DI
COM
921946406
820
7307
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DFND
0
0
7307
VANGUARD WORLD FDS INF TECH ET
COM
92204a702
250
601
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DFND
0
0
601
VANGUARD WORLD FDS UTILITIES E
COM
92204a876
553
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DFND
0
0
3415
VECTOR GROUP LTD COM
COM
92240M108
188
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SH
DFND
0
0
15645
VECTRUS INC COM
COM
92242t101
296
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0
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VECTRUS INC COM
COM
92242t101
27
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0
0
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VENTAS INC COM
COM
92276F100
3461
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0
200
55832
VERIZON COMMUNICATIONS COM
COM
92343v104
9340
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SH
DFND
0
0
183347
VIATRIS INC COM
COM
92556v106
726
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DFND
0
24
66727
VICARIOUS SURGICAL INC COM CL
COM
92561v109
547
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SH
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108029
0
0
VICARIOUS SURGICAL INC COM CL
COM
92561v109
19
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0
0
3716
VIR BIOTECHNOLOGY INC COM
COM
92764n102
958
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DFND
0
0
37250
VISA INC COM CL A
COM
92826c839
793
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0
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VISA INC COM CL A
COM
92826c839
5819
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0
0
26241
VISTA OUTDOOR INC COM
COM
928377100
479
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SH
DFND
0
0
13425
VONTIER CORP.
COM
928881101
7733
304558
SH
DFND
0
300
304258
WAL MART STORES INC
COM
931142103
4335
29107
SH
DFND
0
0
29107
WALGREEN BOOTS ALLIANCE INC CO
COM
931427108
7467
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SH
DFND
0
0
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WALT DISNEY PRODUCTIONS
COM
254687106
7042
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DFND
0
0
51344
WASTE MGMT INC COM
COM
94106L109
12862
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SH
DFND
0
0
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WEC ENERGY GROUP INC COM
COM
92939u106
3009
30148
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DFND
0
0
30148
WELLS FARGO & COMPANY
COM
949746101
1631
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SH
DFND
0
0
33649
WESTAIM CORP COM NEW
COM
956909303
38
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DFND
0
0
20000
WHIRLPOOL CORP
COM
963320106
641
3708
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DFND
0
0
3708
WILLSCOT MOBIL MINI HL COM CL
COM
971378104
529
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SOLE
13531
0
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WILLSCOT MOBIL MINI HL COM CL
COM
971378104
43
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0
0
1087
WINTRUST FINL CORP COM
COM
97650W108
120
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WINTRUST FINL CORP COM
COM
97650W108
161
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0
0
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WISDOMTREE TR US DIVD GRWTH FD
COM
97717x669
335
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DFND
0
0
5264
WNS HOLDINGS LTD SPON ADR
COM
92932M101
255
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WOLFSPEED INC COM
COM
977852102
1412
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0
0
12400
WORLD GOLD TR SPDR GLD MINISHS
COM
98149e303
276
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0
0
7175
YETI HLDGS INC COM
COM
98585x104
51
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0
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YETI HLDGS INC COM
COM
98585x104
6334
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0
0
105605
YUM BRANDS INC COM
COM
988498101
231
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0
0
1945
ZEBRA TECHNOLOGIES CP CL A
COM
989207105
521
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DFND
0
0
1260
ZIMMER BIOMET HOLDINGS INC
COM
98956P102
936
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DFND
0
0
7317
ALIBABA GROUP HLDG LTD SPONSOR
ADR
01609w102
518
4759
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DFND
0
0
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FLUTTER ENTMT PLC UNSPONSORED
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344044102
674
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DFND
0
0
11750
LEGAL & GEN GROUP PLC SPONSORE
ADR
52463h103
1124
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DFND
0
0
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RIO TINTO PLC SPONSORED ADR
ADR
767204100
418
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DFND
0
0
5200
ROCHE HLDG LTD SPONSORED ADR
ADR
771195104
368
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DFND
0
0
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SAFRAN S A SPON ADR
ADR
786584102
498
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DFND
0
0
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SANOFI SPONSORED ADR
ADR
80105n105
310
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DFND
0
0
6045
SHELL PLC SPONSORED ADR REPSTG
ADR
780259305
459
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SH
DFND
0
0
8350
TAIWAN SEMICONDUCTOR SPONSORED
ADR
874039100
425
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DFND
0
0
4078
TAKEDA PHARMACEUTICAL CO. LTD
ADR
874060205
443
30919
SH
DFND
0
0
30919
TENCENT HLDGS LTD ADR
ADR
88032q109
1660
35770
SH
DFND
0
0
35770
TOTALENERGIES SE SPONS ADR
ADR
89151e109
346
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SH
DFND
0
0
6850
TOYOTA MOTOR CORP SP ADR REP2C
ADR
892331307
215
1195
SH
DFND
0
0
1195
TRIP COM GROUP LTD ADS
ADR
89677q107
371
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SH
DFND
0
0
16030
VOLKSWAGEN AG UNSPONSRED ADR
ADR
928662600
462
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SH
DFND
0
0
18725
BLACKSTONE REAL ESTATE INC TR
RE
per092613
6929
473261
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DFND
0
0
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ALLIANCEBERNSTEIN HLDGS LP UNI
LP
01881g106
496
10550
SH
DFND
0
0
10550
CRESSET DIVERSIFIED QOZ FD II
LP
225cc5215
800
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SH
DFND
0
0
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CRESSET DIVERSIFIED QOZ FUND L
LP
225lp5112
237
237227
SH
DFND
0
0
237227
ENTERPRISE PRODS PARTNERS LP C
LP
293792107
5819
225466
SH
DFND
0
0
225466
JVM PFD EQUITY FUND - 2020 SR
LP
670lp0022
50
50000
SH
DFND
0
0
50000
MAGELLAN MIDSTREAM PARTNERS LP
LP
559080106
3154
64266
SH
DFND
0
250
64016
PLAINS ALL AM PIPELINE UNIT LT
LP
726503105
136
12600
SH
DFND
0
0
12600
ADVISORS SER TR POPLAR FRST CO
MF
00770x535
7069
228691
SH
DFND
0
0
228691
AMCAP FD INC CL F 3
MF
023375777
249
6211
SH
DFND
0
0
6211
AMER FDS RET INC PORTF ENCHANC
MF
02631l528
248
18660
SH
DFND
0
0
18660
AMERICAN BALANCED FD SHS F-2 C
MF
024071821
1038
32458
SH
DFND
0
0
32458
AMERICAN DEV WRLD GRWTH&INC FD
MF
02630f506
4797
452591
SH
DFND
0
0
452591
AMERICAN FDS PORTFOLIO BALANCE
MF
02630y224
496
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SH
DFND
0
0
28179
AMERICAN FDS PORTFOLIO GBL GRO
MF
02630r344
394
18291
SH
DFND
0
0
18291
AMERICAN FDS PORTFOLIO GRW & I
MF
02630r609
736
40952
SH
DFND
0
0
40952
AMERICAN FDS TARGET DA 2030 TR
MF
02631v500
688
40905
SH
DFND
0
0
40905
AMERICAN FDS TARGET DA 2045 TR
MF
02631v807
214
10857
SH
DFND
0
0
10857
AMERICAN FDS TARGET DA 2050 TR
MF
02631v880
293
15063
SH
DFND
0
0
15063
AMERICAN FUNDS DEV WLD GRWTH &
MF
02630f779
1426
134505
SH
DFND
0
0
134505
AMERICAN MUTUAL FUND CLASS F3
MF
027681774
1299
24541
SH
DFND
0
0
24541
BLACKROCK FDS II STRG OPP INST
MF
09260b382
110
11235
SH
DFND
0
0
11235
BLACKROCK FDS III LIFPT2025 IN
MF
066923848
381
24334
SH
DFND
0
0
24334
BLAIR WILLIAM SM MID CAP GRWTH
MF
093001295
329
10473
SH
DFND
0
0
10473
BRANDES INVT TR EMRGN MKT VAL
MF
105262752
95
12455
SH
DFND
0
0
12455
CAPITAL INCOME BLDR FD CL F 3
MF
140193780
14223
207915
SH
DFND
0
0
207915
CAPITAL INCOME BLDR IN SHS CL
MF
140194101
5309
77638
SH
DFND
0
0
77638
CAPITAL WORLD GRW&INCM CL F-2
MF
140543828
1103
18839
SH
DFND
0
0
18839
CAPITAL WORLD GRWTH AND INC FD
MF
140543117
3485
59453
SH
DFND
0
0
59453
COLUMBIA ACORN FUND CL Z
MF
197199409
166
14177
SH
DFND
0
0
14177
COLUMBIA FDS SER TR CAPTAL ALL
MF
19766b224
251
21512
SH
DFND
0
0
21512
COLUMBIA FDS SER TR I DIVIDEND
MF
19766m840
637
20387
SH
DFND
0
0
20387
DNP SELECT INCOME FD INC COM
MF
23325P104
1055
89289
SH
DFND
0
0
89289
DODGE & COX STK FD COM
MF
256219106
1253
5104
SH
DFND
0
0
5104
EATON VANCE GROWTH TR ATL CAPT
MF
277902698
293
7447
SH
DFND
0
0
7447
EURO PAC GROWTH FD CL F 3
MF
298706110
362
6357
SH
DFND
0
0
6357
FIDELITY 500 INDEX FUND
MF
315911750
531
3364
SH
DFND
0
0
3364
FUNDAMENTAL INVESTORS CL F3
MF
360802771
2375
33293
SH
DFND
0
0
33293
GABELLI UTIL TR COM
MF
36240A101
373
52199
SH
DFND
0
0
52199
GRANDEUR PEAK EMERGING MKTS OP
MF
31761R401
6005
415256
SH
DFND
0
0
415256
GRANDEUR PEAK GLBL MICRO CAP F
MF
31761r732
2007
135597
SH
DFND
0
0
135597
GRANDEUR PEAK GLBL STALWARTS C
MF
31761r773
6453
333817
SH
DFND
0
0
333817
GRANDEUR PEAK GLOBAL OPP FD IN
MF
317609360
6711
1586638
SH
DFND
0
0
1586638
GRANDEUR PEAK INTL STALWARTS C
MF
31761r757
4485
217804
SH
DFND
0
0
217804
HARRIS ASSOC INVT TR OAKMARK I
MF
413838202
208
8119
SH
DFND
0
0
8119
INCOME FD AMER INC CL F3
MF
453320772
2219
87652
SH
DFND
0
0
87652
INTERNATIONAL GROWTH I CL F 3
MF
45956t774
286
8005
SH
DFND
0
0
8005
INTERNATIONAL GRW & IN CL F-2
MF
45956t501
223
6260
SH
DFND
0
0
6260
INVESCO GLBL HEALTH CARE FUND
MF
00141v820
453
11855
SH
DFND
0
0
11855
INVESCO/OPP GLBL STRAT INC FD
MF
00143K756
92
27496
SH
DFND
0
0
27496
INVESCO/OPP INTL SM MID CO FD
MF
00900W555
318
6743
SH
DFND
0
0
6743
INVESCO/OPP INTL SMALL MID CO
MF
00900W530
848
18114
SH
DFND
0
0
18114
INVESCO/OPP STEELPATH MLP INC
MF
00143K285
70
14532
SH
DFND
0
0
14532
INVESCO/OPP STEELPATH MLP SEL4
MF
00143K228
198
29326
SH
DFND
0
0
29326
INVESTMENT CO AMER CL F3
MF
461308777
633
12874
SH
DFND
0
0
12874
INVESTMENT MANAGERS SE WCM FCS
MF
461418444
250
10942
SH
DFND
0
0
10942
LORD ABBETT INVT TR INCOME FD
MF
543916365
27
10081
SH
DFND
0
0
10081
MUTUAL FD SER TR ALPHACENTRIC
MF
62827m144
2007
174690
SH
DFND
0
0
174690
NEW PERSPECTIVE FD INC CL F3
MF
648018778
1529
25567
SH
DFND
0
0
25567
NEW WORLD FD INC NEW CL F3
MF
649280773
1196
15509
SH
DFND
0
0
15509
NEW WORLD FUND CLASS F-2
MF
649280823
253
3293
SH
DFND
0
0
3293
POPLAR FOREST PARTNERS INSTITU
MF
00768d798
14266
262682
SH
DFND
0
0
262682
PRUDENTIAL WRLD FD IN JNSON GL
MF
743969685
245
6395
SH
DFND
0
0
6395
ROWE T PRICE ST TAX FR COM
MF
779576107
134
13739
SH
DFND
0
0
13739
SEQUOIA FD INC COM
MF
817418106
338
2087
SH
DFND
0
0
2087
SMALLCAP WORLD FD INC CL F3
MF
831681770
252
3645
SH
DFND
0
0
3645
SMEAD FDS TR VALUE FD CL Y
MF
83178c709
394
5651
SH
DFND
0
0
5651
THE GROWTH FD OF AMERICA CL F3
MF
399874775
1985
29898
SH
DFND
0
0
29898
VANGUARD INDEX FDS SMCP INDEX
MF
922908686
245
2407
SH
DFND
0
0
2407
VANGUARD INDEX FDS TOT STKIDX
MF
922908728
656
5920
SH
DFND
0
0
5920
VANGUARD INDEX TR 500 INDEX AD
MF
922908710
1045
2498
SH
DFND
0
0
2498
VANGUARD SPECIALIZED HEALTHCAR
MF
921908885
411
4584
SH
DFND
0
0
4584
VANGUARD VALUE INDX FD ADM SHS
MF
922908678
539
9350
SH
DFND
0
0
9350
WASHINGTON MUT INVS FD CL F3
MF
939330775
425
7204
SH
DFND
0
0
7204
CAMBRIA ETF TR SHSHLD YIELD ET
EXCH
132061201
2216
34670
SH
DFND
0
0
34670
INVESCO ETF TR II FTSE RAFI DE
EXCH
46138E743
1142
24760
SH
DFND
0
0
24760
INVESCO ETF TR II FTSE RAFI EM
EXCH
46138E727
8794
422367
SH
DFND
0
0
422367
INVESCO ETF TR II RUSSELL 1000
EXCH
46138E420
965
20747
SH
DFND
0
0
20747
INVESCO ETF TR S&P 500 PURE VA
EXCH
46137V258
6876
80285
SH
DFND
0
0
80285
INVESCO ETF TRUST FTSE RAFI US
EXCH
46137V613
14005
81969
SH
DFND
0
0
81969
INVESCO QQQ TR UNIT SER 1
EXCH
46090E103
3173
8751
SH
DFND
0
0
8751
ISHARES TR DJ HOME CONSTN
EXCH
464288752
1704
28750
SH
DFND
0
0
28750
ISHARES TR MSCI EMERG MKT
EXCH
464287234
478
10598
SH
DFND
0
0
10598
ISHARES TR NORTH AMERN NAT
EXCH
464287374
1449
35825
SH
DFND
0
0
35825
ISHARES TR RUSSELL 2000
EXCH
464287655
1043
5079
SH
DFND
0
0
5079
ISHARES TR RUSSELL1000VAL
EXCH
464287598
4288
25832
SH
DFND
0
0
25832
SELECT SECTOR SPDR TR SBI INT-
EXCH
81369y605
411
10721
SH
DFND
0
0
10721
SPDR S&P 500 ETF TR UNIT SER 1
EXCH
78462F103
10715
23725
SH
DFND
0
0
23725
SPIDER GOLD TR SHS
EXCH
78463V107
538
2978
SH
DFND
0
0
2978
VANECK VECTORS ETF TR VIDEO GA
EXCH
92189f114
910
15660
SH
DFND
0
0
15660
VANGUARD INDEX FDS TOTAL STK M
EXCH
922908769
692
3041
SH
DFND
0
0
3041
WISDOMTREE TR EMERGING MKTS YL
EXCH
97717w315
1256
28705
SH
DFND
0
0
28705
WISDOMTREE TRUST DEFA FD
EXCH
97717w703
280
5310
SH
DFND
0
0
5310
AMERICAN BALANCED FD CL F3
BAL MF
024071771
8150
254696
SH
DFND
0
0
254696
AMERICAN FDS CONSERVATIVE GRWT
BAL MF
02630q205
1048
77780
SH
DFND
0
0
77780
AMERICAN FDS GLOBAL BA CL F3
BAL MF
02629w775
680
18772
SH
DFND
0
0
18772
AMERICAN FDS MODERATE GRWTH &
BAL MF
02630q106
836
47608
SH
DFND
0
0
47608
VIRTUS ALLIANZGI INCM GR INST
BAL MF
92837n535
392
30628
SH
DFND
0
0
30628
EATON VANCE TXMG GLOBAL OPPORT
CLE FDS
27829c105
352
34472
SH
DFND
0
0
34472
ROYCE GLOBAL VALUE TR INC COM
CLE FDS
78081t104
482
42472
SH
DFND
0
0
42472
ROYCE VALUE TR INC COM
CLE FDS
780910105
5284
311003
SH
DFND
0
0
311003
VIRTUS ALLIANZGI EQUITY & CONV
CLE FDS
92841m101
900
33158
SH
DFND
0
0
33158
GABELLI UTIL TR SUBSCRIPTION R
RGHTS
36240a176
10
52255
SH
DFND
0
0
52255