0001020918-22-000008.txt : 20221021 0001020918-22-000008.hdr.sgml : 20221021 20221021160934 ACCESSION NUMBER: 0001020918-22-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221021 DATE AS OF CHANGE: 20221021 EFFECTIVENESS DATE: 20221021 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: 221323874 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 09-30-2022 09-30-2022 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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LTD ADR 874060205 397 30619 SH DFND 0 0 30619 TENCENT HLDGS LTD ADR ADR 88032q109 877 25945 SH DFND 0 0 25945 TOTALENERGIES SE SPONS ADR ADR 89151e109 312 6700 SH DFND 0 0 6700 TRIP COM GROUP LTD ADS ADR 89677q107 403 14750 SH DFND 0 0 14750 BLACKSTONE REAL ESTATE INC TR RE per092613 9172 607602 SH DFND 0 0 607602 CRESSET DIVERSIFIED QOZ FD II LP 225cc5215 250 250000 SH DFND 0 0 250000 CRESSET DIVERSIFIED QOZ FUND I LP 225LP5211 533 533085 SH DFND 0 0 533085 CRESSET DIVERSIFIED QOZ FUND L LP 225lp5112 236 236166 SH DFND 0 0 236166 ENTERPRISE PRODS PARTNERS LP C LP 293792107 5347 224836 SH DFND 0 0 224836 ICAPITAL BTAS VIII US ACCESS F LP 448lp2292 64 64052 SH DFND 0 0 64052 ICAPITAL BTAS VIII US ACCESS F LP 448cc1140 48 47507 SH DFND 0 0 47507 JVM P5 REIT HOLDCO LLC CAP CAL LP 670cc1008 50 50000 SH DFND 0 0 50000 JVM PFD EQUITY FUND - 2020 SR LP 670lp0022 50 50000 SH DFND 0 0 50000 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 3044 64066 SH DFND 0 0 64066 PLAINS ALL AM PIPELINE UNIT LT 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MF 02631v401 458 34934 SH DFND 0 0 34934 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 945 112096 SH DFND 0 0 112096 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 1192 26464 SH DFND 0 0 26464 BLACKROCK FDS II STRG OPP INST MF 09260b382 105 11408 SH DFND 0 0 11408 BLAIR WILLIAM SM MID CAP GRWTH MF 093001295 257 10473 SH DFND 0 0 10473 BRANDES INVT TR EMRGN MKT VAL MF 105262752 76 12728 SH DFND 0 0 12728 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 12839 223790 SH DFND 0 0 223790 CAPITAL INCOME BLDR IN SHS CL MF 140194101 3516 61318 SH DFND 0 0 61318 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 768 16771 SH DFND 0 0 16771 CAPITAL WORLD GRWTH AND INC FD MF 140543117 2250 49099 SH DFND 0 0 49099 COLUMBIA ACORN FUND CL Z MF 197199409 126 14567 SH DFND 0 0 14567 COLUMBIA FDS SER TR CAPTAL ALL MF 19766b224 206 22700 SH DFND 0 0 22700 COLUMBIA FDS SER TR I DIVIDEND MF 19766m840 315 11867 SH DFND 0 0 11867 DFA INVT DIMENSIONS GR SDUR RR MF 25239y576 107 10639 SH DFND 0 0 10639 DNP SELECT INCOME FD INC COM MF 23325P104 925 89289 SH DFND 0 0 89289 DODGE & COX STK FD COM MF 256219106 1000 5048 SH DFND 0 0 5048 EATON VANCE GROWTH TR ATL CAPT MF 277902698 251 7447 SH DFND 0 0 7447 EURO PAC GROWTH FD CL F 3 MF 298706110 280 6392 SH DFND 0 0 6392 FIDELITY 500 INDEX FUND MF 315911750 2081 16661 SH DFND 0 0 16661 FUNDAMENTAL INVESTORS CL F3 MF 360802771 2163 38983 SH DFND 0 0 38983 GABELLI UTIL TR COM MF 36240A101 360 52199 SH DFND 0 0 52199 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 4618 397040 SH DFND 0 0 397040 GRANDEUR PEAK GLBL MICRO CAP F MF 31761r732 1323 121295 SH DFND 0 0 121295 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 4315 319155 SH DFND 0 0 319155 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 4784 1563449 SH DFND 0 0 1563449 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 2977 208611 SH DFND 0 0 208611 INCOME FD AMER INC CL F3 MF 453320772 1965 91504 SH DFND 0 0 91504 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 252 9178 SH DFND 0 0 9178 INVESCO GLBL HEALTH CARE FUND MF 00141v820 386 11855 SH DFND 0 0 11855 INVESCO/OPP GLBL STRAT INC FD MF 00143K756 80 28007 SH DFND 0 0 28007 INVESCO/OPP INTL SM MID CO FD MF 00900W555 228 6743 SH DFND 0 0 6743 INVESCO/OPP INTL SMALL MID CO MF 00900W530 360 10714 SH DFND 0 0 10714 INVESCO/OPP STEELPATH MLP INC MF 00143K285 66 14532 SH DFND 0 0 14532 INVESCO/OPP STEELPATH MLP SEL4 MF 00143K228 179 29326 SH DFND 0 0 29326 INVESTMENT CO AMER CL F3 MF 461308777 568 14804 SH DFND 0 0 14804 INVESTMENT MANAGERS SE WCM FCS MF 461418444 190 10942 SH DFND 0 0 10942 LORD ABBETT INVT TR INCOME FD MF 543916365 24 10081 SH DFND 0 0 10081 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 1447 154397 SH DFND 0 0 154397 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1254 27535 SH DFND 0 0 27535 NEW WORLD FD INC NEW CL F3 MF 649280773 898 14683 SH DFND 0 0 14683 POPLAR FOREST PARTNERS INSTITU MF 00768d798 11942 258705 SH DFND 0 0 258705 PRUDENTIAL INVT PTFLOS PRUD HI MF 74440y884 73 16336 SH DFND 0 0 16336 ROWE T PRICE ST TAX FR COM MF 779576107 124 13952 SH DFND 0 0 13952 SMALLCAP WORLD FD INC CL F3 MF 831681770 270 5081 SH DFND 0 0 5081 SMEAD FDS TR VALUE FD CL Y MF 83178c709 306 5154 SH DFND 0 0 5154 THE GROWTH FD OF AMERICA CL F3 MF 399874775 1723 34121 SH DFND 0 0 34121 VANGUARD INDEX FDS TOT STKIDX MF 922908728 493 5643 SH DFND 0 0 5643 VANGUARD INDEX TR 500 INDEX AD MF 922908710 584 1766 SH DFND 0 0 1766 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 375 4584 SH DFND 0 0 4584 VANGUARD VALUE INDX FD ADM SHS MF 922908678 241 5017 SH DFND 0 0 5017 WASHINGTON MUT INVS FD CL F3 MF 939330775 463 9769 SH DFND 0 0 9769 CAMBRIA ETF TR SHSHLD YIELD ET EXCH 132061201 3296 62660 SH DFND 0 0 62660 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 836 23837 SH DFND 0 0 23837 INVESCO ETF TR II FTSE RAFI EM EXCH 46138E727 6359 393001 SH DFND 0 0 393001 INVESCO ETF TR II RUSSELL 1000 EXCH 46138E420 680 18403 SH DFND 0 0 18403 INVESCO ETF TR S&P 500 PURE VA EXCH 46137V258 5510 78889 SH DFND 0 0 78889 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 12143 87505 SH DFND 0 0 87505 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 1043 3903 SH DFND 0 0 3903 ISHARES TR DJ HOME CONSTN EXCH 464288752 2078 39940 SH DFND 0 0 39940 ISHARES TR MSCI EMERG MKT EXCH 464287234 272 7798 SH DFND 0 0 7798 ISHARES TR NORTH AMERN NAT EXCH 464287374 1244 35795 SH DFND 0 0 35795 ISHARES TR RUSSELL 2000 EXCH 464287655 1563 9479 SH DFND 0 0 9479 ISHARES TR RUSSELL1000VAL EXCH 464287598 4017 29537 SH DFND 0 0 29537 SCHWAB STRATEGIC TR US DIVIDEN EXCH 808524797 314 4729 SH DFND 0 0 4729 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 363 11949 SH DFND 0 0 11949 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 9534 26692 SH DFND 0 0 26692 SPIDER GOLD TR SHS EXCH 78463V107 476 3078 SH DFND 0 0 3078 VANECK VECTORS ETF TR VIDEO GA EXCH 92189f114 547 13485 SH DFND 0 0 13485 VANGUARD INDEX FDS TOTAL STK M EXCH 922908769 530 2952 SH DFND 0 0 2952 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 773 23755 SH DFND 0 0 23755 AMERICAN BALANCED FD CL F3 BAL MF 024071771 8304 310204 SH DFND 0 0 310204 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 1330 115011 SH DFND 0 0 115011 AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 679 22879 SH DFND 0 0 22879 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 832 57073 SH DFND 0 0 57073 VIRTUS ALLIANZGI INCM GR INST BAL MF 92837n535 142 13820 SH DFND 0 0 13820 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 259 34222 SH DFND 0 0 34222 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 315 39339 SH DFND 0 0 39339 ROYCE VALUE TR INC COM CLE FDS 780910105 3931 313259 SH DFND 0 0 313259 VIRTUS ALLIANZGI EQUITY & CONV CLE FDS 92841m101 646 31818 SH DFND 0 0 31818 BLACKROCK CORP HI YLD RT EXP 1 RGHTS 09255l114 0 32536 SH DFND 0 0 32536