0001020918-23-000002.txt : 20230119 0001020918-23-000002.hdr.sgml : 20230119 20230119140242 ACCESSION NUMBER: 0001020918-23-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230119 DATE AS OF CHANGE: 20230119 EFFECTIVENESS DATE: 20230119 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: 23536982 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 X0202 13F-HR LIVE false true false 0001020918 XXXXXXXX 12-31-2022 12-31-2022 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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100105 ZEBRA TECHNOLOGIES CP CL A COM 989207105 314 1225 SH DFND 0 0 1225 ZIMMER BIOMET HOLDINGS INC COM 98956P102 1250 9805 SH DFND 0 0 9805 BRITISH AMERN TOB PLC SPONSORE ADR 110448107 208 5200 SH DFND 0 0 5200 LEGAL & GEN GROUP PLC SPONSORE ADR 52463h103 763 50509 SH DFND 0 0 50509 RIO TINTO PLC SPONSORED ADR ADR 767204100 481 6755 SH DFND 0 0 6755 ROCHE HLDG LTD SPONSORED ADR ADR 771195104 258 6600 SH DFND 0 0 6600 SAFRAN S A SPON ADR ADR 786584102 596 19075 SH DFND 0 0 19075 SHELL PLC SPONSORED ADR REPSTG ADR 780259305 368 6464 SH DFND 0 0 6464 TAIWAN SEMICONDUCTOR SPONSORED ADR 874039100 365 4903 SH DFND 0 0 4903 TAKEDA PHARMACEUTICAL CO. LTD ADR 874060205 473 30322 SH DFND 0 0 30322 TENCENT HLDGS LTD ADR ADR 88032q109 687 16210 SH DFND 0 0 16210 TRIP COM GROUP LTD ADS ADR 89677q107 452 13150 SH DFND 0 0 13150 BLACKSTONE REAL ESTATE INC TR RE per092613 10388 698199 SH DFND 0 0 698199 CRESSET DIVERSIFIED QOZ FD II LP 225cc5215 250 250000 SH DFND 0 0 250000 CRESSET DIVERSIFIED QOZ FUND I LP 225LP5211 531 530960 SH DFND 0 0 530960 CRESSET DIVERSIFIED QOZ FUND L LP 225lp5112 235 234626 SH DFND 0 0 234626 ENTERPRISE PRODS PARTNERS LP C LP 293792107 5646 234086 SH DFND 0 0 234086 ICAPITAL BTAS VIII US ACCESS F LP 448lp2292 106 114248 SH DFND 0 0 114248 ICAPITAL-BCP ASIA II ACCESS FD LP 415cc5132 169 168917 SH DFND 0 0 168917 JVM MULTIFAMILY PREMIER FD 5 L LP 625cc5252 50 50000 SH DFND 0 0 50000 MAGELLAN MIDSTREAM PARTNERS LP LP 559080106 3443 68566 SH DFND 0 0 68566 MPLX LP COM UNIT REPSTG LTD PT LP 55336v100 263 8022 SH DFND 0 0 8022 PLAINS ALL AM PIPELINE UNIT LT LP 726503105 118 10000 SH DFND 0 0 10000 ADVISORS SER TR POPLAR FRST CO MF 00770x535 6138 223277 SH DFND 0 0 223277 AMCAP FD INC CL F 3 MF 023375777 324 10656 SH DFND 0 0 10656 AMER FDS RET INC PORTF ENCHANC MF 02631l528 230 19663 SH DFND 0 0 19663 AMERICAN BALANCED FD SHS F-2 C MF 024071821 759 26409 SH DFND 0 0 26409 AMERICAN DEV WRLD GRWTH&INC FD MF 02630f506 3557 377175 SH DFND 0 0 377175 AMERICAN FDS PORTFOLIO BALANCE MF 02630y224 452 29840 SH DFND 0 0 29840 AMERICAN FDS PORTFOLIO GBL GRO MF 02630r344 331 19813 SH DFND 0 0 19813 AMERICAN FDS PORTFOLIO GRW & I MF 02630r609 620 40952 SH DFND 0 0 40952 AMERICAN FDS RETIREMEN RTRMT C MF 02631l544 443 40652 SH DFND 0 0 40652 AMERICAN FDS RETIREMEN RTRMT M MF 02631l536 212 18958 SH DFND 0 0 18958 AMERICAN FDS TARGET DA 2030 TR MF 02631v500 620 42675 SH DFND 0 0 42675 AMERICAN FDS TARGET DA 2045 TR MF 02631v807 246 15151 SH DFND 0 0 15151 AMERICAN FDS TARGET DA 2050 TR MF 02631v880 291 18332 SH DFND 0 0 18332 AMERICAN FDS TARGT DAT 2025 TR MF 02631v401 491 36439 SH DFND 0 0 36439 AMERICAN FUNDS DEV WLD GRWTH & MF 02630f779 927 98438 SH DFND 0 0 98438 AMERICAN MUTUAL FUND CLASS F3 MF 027681774 1261 26060 SH DFND 0 0 26060 CAPITAL INCOME BLDR FD CL F 3 MF 140193780 14338 227762 SH DFND 0 0 227762 CAPITAL INCOME BLDR IN SHS CL MF 140194101 3815 60636 SH DFND 0 0 60636 CAPITAL WORLD GRW&INCM CL F-2 MF 140543828 869 16866 SH DFND 0 0 16866 CAPITAL WORLD GRWTH AND INC FD MF 140543117 2408 46704 SH DFND 0 0 46704 COLUMBIA ACORN FUND CL Z MF 197199409 131 14567 SH DFND 0 0 14567 COLUMBIA FDS SER TR CAPTAL ALL MF 19766b224 220 22896 SH DFND 0 0 22896 COLUMBIA FDS SER TR I DIVIDEND MF 19766m840 358 12151 SH DFND 0 0 12151 DNP SELECT INCOME FD INC COM MF 23325P104 1005 89289 SH DFND 0 0 89289 DODGE & COX STK FD COM MF 256219106 986 4573 SH DFND 0 0 4573 EATON VANCE GROWTH TR ATL CAPT MF 277902698 280 8198 SH DFND 0 0 8198 EURO PAC GROWTH FD CL F 3 MF 298706110 265 5389 SH DFND 0 0 5389 FIDELITY 500 INDEX FUND MF 315911750 2187 16431 SH DFND 0 0 16431 FUNDAMENTAL INVESTORS CL F3 MF 360802771 2338 38832 SH DFND 0 0 38832 GABELLI UTIL TR COM MF 36240A101 392 52199 SH DFND 0 0 52199 GRANDEUR PEAK EMERGING MKTS OP MF 31761R401 4755 389789 SH DFND 0 0 389789 GRANDEUR PEAK GLBL MICRO CAP F MF 31761r732 1025 83498 SH DFND 0 0 83498 GRANDEUR PEAK GLBL STALWARTS C MF 31761r773 4342 302777 SH DFND 0 0 302777 GRANDEUR PEAK GLOBAL OPP FD IN MF 317609360 5000 1501608 SH DFND 0 0 1501608 GRANDEUR PEAK INTL STALWARTS C MF 31761r757 3123 196431 SH DFND 0 0 196431 INCOME FD AMER INC CL F3 MF 453320772 2233 98755 SH DFND 0 0 98755 INTERNATIONAL GROWTH I CL F 3 MF 45956t774 230 7233 SH DFND 0 0 7233 INTERNATIONAL GRW & IN CL F-2 MF 45956t501 208 6517 SH DFND 0 0 6517 INVESCO GLBL HEALTH CARE FUND MF 00141v820 428 11855 SH DFND 0 0 11855 INVESCO/OPP GLBL STRAT INC FD MF 00143K756 86 28315 SH DFND 0 0 28315 INVESCO/OPP INTL SM MID CO FD MF 00900W555 263 6743 SH DFND 0 0 6743 INVESCO/OPP INTL SMALL MID CO MF 00900W530 418 10768 SH DFND 0 0 10768 INVESCO/OPP STEELPATH MLP INC MF 00143K285 50 10119 SH DFND 0 0 10119 INVESCO/OPP STEELPATH MLP SEL4 MF 00143K228 199 29326 SH DFND 0 0 29326 INVESTMENT CO AMER CL F3 MF 461308777 630 15288 SH DFND 0 0 15288 MUTUAL FD SER TR ALPHACENTRIC MF 62827m144 1406 154979 SH DFND 0 0 154979 NEW PERSPECTIVE FD INC CL F3 MF 648018778 1411 29829 SH DFND 0 0 29829 NEW WORLD FD INC NEW CL F3 MF 649280773 983 14793 SH DFND 0 0 14793 POPLAR FOREST PARTNERS INSTITU MF 00768d798 13507 272488 SH DFND 0 0 272488 ROWE T PRICE ST TAX FR COM MF 779576107 129 14058 SH DFND 0 0 14058 SMALLCAP WORLD FD INC CL F3 MF 831681770 292 5093 SH DFND 0 0 5093 SMEAD FDS TR VALUE FD CL Y MF 83178c709 348 5264 SH DFND 0 0 5264 THE GROWTH FD OF AMERICA CL F3 MF 399874775 1714 34648 SH DFND 0 0 34648 VANGUARD INDEX FDS TOT STKIDX MF 922908728 628 6744 SH DFND 0 0 6744 VANGUARD INDEX TR 500 INDEX AD MF 922908710 541 1527 SH DFND 0 0 1527 VANGUARD SPECIALIZED HEALTHCAR MF 921908885 420 4670 SH DFND 0 0 4670 VANGUARD VALUE INDX FD ADM SHS MF 922908678 315 5751 SH DFND 0 0 5751 WASHINGTON MUT INVS FD CL F3 MF 939330775 488 9388 SH DFND 0 0 9388 ARK ETF TR GENOMIC REV ETF EXCH 00214q302 2486 88045 SH DFND 0 0 88045 BONDBLOXX ETF TRUST BLOOMBERG EXCH 09789c853 539 10920 SH SOLE 10920 0 0 CAMBRIA ETF TR CAMBRIA FGN SHR EXCH 132061300 1421 58550 SH DFND 0 0 58550 CAMBRIA ETF TR SHSHLD YIELD ET EXCH 132061201 5164 87065 SH DFND 0 0 87065 CAPITAL GROUP DIVIDEND VALUE E EXCH 14020w106 371 15740 SH DFND 0 0 15740 INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 876 21088 SH DFND 0 0 21088 INVESCO ETF TR II FTSE RAFI EM EXCH 46138E727 6378 361996 SH DFND 0 0 361996 INVESCO ETF TR II RUSSELL 1000 EXCH 46138E420 701 17446 SH DFND 0 0 17446 INVESCO ETF TR S&P 500 PURE VA EXCH 46137V258 6268 80379 SH DFND 0 0 80379 INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 15934 102703 SH DFND 0 0 102703 INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 997 3744 SH DFND 0 0 3744 ISHARES TR DJ HOME CONSTN EXCH 464288752 2244 37020 SH DFND 0 0 37020 ISHARES TR MSCI EMERG MKT EXCH 464287234 279 7357 SH DFND 0 0 7357 ISHARES TR NORTH AMERN NAT EXCH 464287374 1151 28305 SH DFND 0 0 28305 ISHARES TR RUSSELL 2000 EXCH 464287655 1282 7352 SH DFND 0 0 7352 ISHARES TR RUSSELL1000VAL EXCH 464287598 4237 27937 SH DFND 0 0 27937 NORTHERN LTS FD TR IV R3 GBL D EXCH 66538h195 1852 83400 SH DFND 0 0 83400 SCHWAB STRATEGIC TR US DIVIDEN EXCH 808524797 357 4729 SH DFND 0 0 4729 SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 399 11662 SH DFND 0 0 11662 SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 10356 27081 SH DFND 0 0 27081 SPIDER GOLD TR SHS EXCH 78463V107 471 2778 SH DFND 0 0 2778 VANECK VECTORS ETF TR VIDEO GA EXCH 92189f114 566 13215 SH DFND 0 0 13215 VANGUARD INDEX FDS TOTAL STK M EXCH 922908769 567 2967 SH DFND 0 0 2967 WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 847 23755 SH DFND 0 0 23755 AMERICAN BALANCED FD CL F3 BAL MF 024071771 9087 316062 SH DFND 0 0 316062 AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 1392 114753 SH DFND 0 0 114753 AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 723 22262 SH DFND 0 0 22262 AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 905 59840 SH DFND 0 0 59840 VIRTUS ALLIANZGI INCM GR INST BAL MF 92837n535 147 14105 SH DFND 0 0 14105 EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 266 34222 SH DFND 0 0 34222 ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 345 39925 SH DFND 0 0 39925 ROYCE VALUE TR INC COM CLE FDS 780910105 1866 140725 SH DFND 0 0 140725 VIRTUS ALLIANZGI EQUITY & CONV CLE FDS 92841m101 562 30818 SH DFND 0 0 30818