Chief Compliance Officer

0001412575-18-000006.txt : 20181029 0001412575-18-000006.hdr.sgml : 20181029 20181029162715 ACCESSION NUMBER: 0001412575-18-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181029 DATE AS OF CHANGE: 20181029 EFFECTIVENESS DATE: 20181029 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AVIANCE CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001412575 IRS NUMBER: 205833107 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14439 FILM NUMBER: 181144523 BUSINESS ADDRESS: STREET 1: 501 NORTH CATTLEMEN DRIVE CITY: SARASOTA STATE: FL ZIP: 34232 BUSINESS PHONE: 941-441-1635 MAIL ADDRESS: STREET 1: 501 NORTH CATTLEMEN DRIVE CITY: SARASOTA STATE: FL ZIP: 34232 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001412575 XXXXXXXX 09-30-2018 09-30-2018 AVIANCE CAPITAL MANAGEMENT, LLC

501 NORTH CATTLEMEN DRIVE SARASOTA FL 34232

13F HOLDINGS REPORT 028-14439 N TERESA A. KONCICK Chief Compliance Officer 941-441-1912 TERESA A. KONCICK Sarasota FL 10-29-2018 1 212 1019420 false 1 0001704642 Global Financial Private Capital, LLC INFORMATION TABLE 2 acm3q18.xml Apple Inc COM 037833100 2627 11636 SH OTR 1 0 11636 0 AbbVie Inc COM 00287Y109 7 73 SH OTR 1 0 73 0 Two Rds Shared Tr Anfield Unvl Etf COM 90214Q766 18180 1814312 SH OTR 1 0 1814312 0 iShares Core US Aggregate Bond COM 464287226 3059 28993 SH OTR 1 0 28993 0 Astec Industries Inc COM 046224101 96 1898 SH OTR 1 0 1898 0 Activision Blizzard Inc COM 00507V109 348 4188 SH OTR 1 0 4188 0 Broadcom Inc Com COM 11135F101 5271 21365 SH OTR 1 0 21365 0 American Water Works Co Inc COM 030420103 87 988 SH OTR 1 0 988 0 Astrazeneca Plc Each Ads Representing 1/2 Of An Ordinary Share ADR 046353108 316 7986 SH OTR 1 0 7986 0 Boeing Co COM 097023105 609 1638 SH OTR 1 0 1638 0 VanEck Vectors Biotech ETF COM 92189F726 1333 9798 SH OTR 1 0 9798 0 Bce Inc Com New ADR 05534B760 3035 74894 SH OTR 1 0 74894 0 B&G Foods Inc COM 05508R106 42 1521 SH OTR 1 0 1521 0 Bhp Billiton Ltd ADR 088606108 739 14824 SH OTR 1 0 14824 0 Invesco Senior Loan ETF COM 46138G508 6561 283173 SH OTR 1 0 283173 0 Virtus Newfleet Dynamic Credit ETF COM 92790A207 67979 2782392 SH OTR 1 0 2782392 0 BP PLC ADR ADR 055622104 21106 457838 SH OTR 1 0 457838 0 Cal-Maine Foods Inc COM 128030202 121 2513 SH OTR 1 0 2513 0 Calix Inc COM 13100M509 415 51289 SH OTR 1 0 51289 0 Crown Castle International Corp COM 22822V101 20774 186599 SH OTR 1 0 186599 0 Compugen Ltd ADR M25722105 151 39309 SH OTR 1 0 39309 0 China Mobile Ltd ADR 16941M109 55 1125 SH OTR 1 0 1125 0 First Trust NASDAQ Cybersecurity ETF COM 33734X846 890 31212 SH OTR 1 0 31212 0 SPDR ICE BofAML Crossover Corp Bd ETF COM 78468R606 801 31331 SH OTR 1 0 31331 0 Canadian National Railway Co ADR 136375102 2788 31049 SH OTR 1 0 31049 0 ConocoPhillips COM 20825C104 642 8289 SH OTR 1 0 8289 0 Salesforce.com Inc COM 79466L302 484 3041 SH OTR 1 0 3041 0 Cisco Systems Inc COM 17275R102 75 1536 SH OTR 1 0 1536 0 Virtus Cumberland Municipal Bond ETF COM 26923G871 7365 301598 SH OTR 1 0 301598 0 Chevron Corp COM 166764100 5508 45045 SH OTR 1 0 45045 0 Dominion Resources Inc COM 25746U109 12050 171457 SH OTR 1 0 171457 0 Deere & Co COM 244199105 132 877 SH OTR 1 0 877 0 WisdomTree SmallCap Dividend ETF COM 97717W604 5 177 SH OTR 1 0 177 0 WisdomTree Japan SmallCap Dividend ETF COM 97717W836 867 11211 SH OTR 1 0 11211 0 SPDR Dow Jones Industrial Average ETF COM 78467X109 41554 157165 SH OTR 1 0 157165 0 Walt Disney Co COM 254687106 349 2987 SH OTR 1 0 2987 0 iPath Bloomberg Cmdty TR ETN COM 06738C778 1912 80486 SH OTR 1 0 80486 0 Duke Energy Corp COM 26441C204 11741 146729 SH OTR 1 0 146729 0 iShares Select Dividend COM 464287168 4267 42770 SH OTR 1 0 42770 0 DowDuPont Inc COM 26078J100 46 720 SH OTR 1 0 720 0 Electronic Arts Inc COM 285512109 292 2423 SH OTR 1 0 2423 0 Emergent BioSolutions Inc COM 29089Q105 322 4897 SH OTR 1 0 4897 0 iShares MSCI EAFE COM 464287465 2874 42272 SH OTR 1 0 42272 0 iShares JPMorgan USD Emerg Markets Bond COM 464288281 8 76 SH OTR 1 0 76 0 First Trust North Amer Engy InfrasETF COM 33738D101 4 167 SH OTR 1 0 167 0 EV Enhanced Equity Income II COM 278277108 421 23857 SH OTR 1 0 23857 0 iShares MSCI Japan COM 46434G822 2 34 SH OTR 1 0 34 0 First Trust NYSE Arca Biotech ETF COM 33733E203 10399 65615 SH OTR 1 0 65615 0 Freeport-McMoRan Inc COM 35671D857 130 9322 SH OTR 1 0 9322 0 First Trust Dow Jones Internet ETF COM 33733E302 2765 19532 SH OTR 1 0 19532 0 First Trust TCWOpportunistic Fxd Inc ETF COM 33740F805 3790 77364 SH OTR 1 0 77364 0 Fluor Corp COM 343412102 168 2897 SH OTR 1 0 2897 0 First Trust Managed Municipal ETF COM 33739N108 4 77 SH OTR 1 0 77 0 FMC Corp COM 302491303 183 2100 SH OTR 1 0 2100 0 First Trust Preferred Sec & Inc ETF COM 33739E108 14956 783037 SH OTR 1 0 783037 0 First Trust Instl Pref Secs and Inc ETF COM 33739P855 354 18630 SH OTR 1 0 18630 0 First Trust BuyWrite Income ETF COM 33738R308 5386 230946 SH OTR 1 0 230946 0 First Trust Senior Loan ETF COM 33738D309 10565 219870 SH OTR 1 0 219870 0 First Trust Dorsey Wright Focus 5 ETF COM 33738R605 1962 63483 SH OTR 1 0 63483 0 First Trust Value Line Dividend ETF COM 33734H106 5 143 SH OTR 1 0 143 0 First Trust Materials AlphaDEX ETF COM 33734X168 107 2593 SH OTR 1 0 2593 0 General Electric Co COM 369604103 123 10938 SH OTR 1 0 10938 0 SPDR Gold Shares COM 78463V107 817 7248 SH OTR 1 0 7248 0 GlaxoSmithKline PLC ADR ADR 37733W105 6537 162724 SH OTR 1 0 162724 0 ETFMG Prime Cyber Security ETF COM 26924G201 1949 48579 SH OTR 1 0 48579 0 The Home Depot Inc COM 437076102 533 2575 SH OTR 1 0 2575 0 HD Supply Holdings Inc COM 40416M105 136 3177 SH OTR 1 0 3177 0 Wisdomtree Europe Hedged Equity ETF COM 97717X701 1125 17789 SH OTR 1 0 17789 0 iShares Currency Hedged MSCI Emerg Mkts COM 46434G509 2938 115982 SH OTR 1 0 115982 0 iShares Currency Hedged MSCI Eurozone COM 46434V639 2097 70695 SH OTR 1 0 70695 0 Highlands REIT Inc Unit Trusts 43110A104 2 5013 SH OTR 1 0 5013 0 VanEck Vectors High-Yield Municipal ETF COM 92189F361 268 8605 SH OTR 1 0 8605 0 iShares iBoxx $ High Yield Corporate Bd COM 464288513 4 44 SH OTR 1 0 44 0 First Trust Tactical High Yield ETF COM 33738D408 73597 1540013 SH OTR 1 0 1540013 0 SPDR Nuveen S&P High Yield Muni Bd ETF COM 78464A284 1962 34866 SH OTR 1 0 34866 0 BlackRock Corp High Yield COM 09255P107 1 107 SH OTR 1 0 107 0 InvenTrust Properties Corp. Unit Trusts 46124J102 22 7157 SH OTR 1 0 7157 0 iShares Gold Trust COM 464285105 1309 114544 SH OTR 1 0 114544 0 iShares Nasdaq Biotechnology COM 464287556 18029 147849 SH OTR 1 0 147849 0 International Business Machines Corp COM 459200101 11632 76925 SH OTR 1 0 76925 0 iShares North American Tech COM 464287549 3650 17435 SH OTR 1 0 17435 0 iShares Core S&P Mid-Cap COM 464287507 770 3826 SH OTR 1 0 3826 0 iShares Core S&P Small-Cap COM 464287804 960 11010 SH OTR 1 0 11010 0 Intel Corp COM 458140100 8354 176646 SH OTR 1 0 176646 0 iShares US Aerospace & Defense ETF COM 464288760 10067 46516 SH OTR 1 0 46516 0 BlueStar TA-BIGITech Israel Tech ETF COM 26924G870 135 3737 SH OTR 1 0 3737 0 Illinois Tool Works Inc COM 452308109 105 746 SH OTR 1 0 746 0 iShares Core S&P 500 COM 464287200 12439 42492 SH OTR 1 0 42492 0 iShares Russell 1000 COM 464287622 2 12 SH OTR 1 0 12 0 iShares Global Energy ETF COM 464287341 1755 46532 SH OTR 1 0 46532 0 iShares Global Financials ETF COM 464287333 3235 49120 SH OTR 1 0 49120 0 iShares Global Telecom ETF COM 464287275 6949 120060 SH OTR 1 0 120060 0 iShares US Consumer Services COM 464287580 3029 14306 SH OTR 1 0 14306 0 Jabil Inc COM 466313103 147 5427 SH OTR 1 0 5427 0 JPMorgan Chase & Co COM 46625H100 256 2268 SH OTR 1 0 2268 0 iShares Global Utilities ETF COM 464288711 1217 24726 SH OTR 1 0 24726 0 SPDR S&P Regional Banking ETF COM 78464A698 24786 417137 SH OTR 1 0 417137 0 iShares Global Consumer Staples COM 464288737 707 14065 SH OTR 1 0 14065 0 L Brands Inc COM 501797104 1 49 SH OTR 1 0 49 0 Lockheed Martin Corp COM 539830109 1227 3548 SH OTR 1 0 3548 0 Cheniere Energy Inc COM 16411R208 295 4252 SH OTR 1 0 4252 0 Lowe's Companies Inc COM 548661107 1 9 SH OTR 1 0 9 0 Las Vegas Sands Corp COM 517834107 506 8532 SH OTR 1 0 8532 0 Mastercard Inc A COM 57636Q104 1790 8039 SH OTR 1 0 8039 0 SPDR S&P MidCap 400 ETF COM 78467Y107 851 2317 SH OTR 1 0 2317 0 AdvisorShares Newfleet Mult-Sect Inc ETF COM 00768Y727 38410 803015 SH OTR 1 0 803015 0 Global X MLP ETF COM 37950E473 23888 2501387 SH OTR 1 0 2501387 0 IQ Merger Arbitrage ETF COM 45409B800 1029 32383 SH OTR 1 0 32383 0 VanEck Vectors Mortgage REIT Income ETF COM 92189F452 214 8905 SH OTR 1 0 8905 0 Marathon Petroleum Corp COM 56585A102 312 3907 SH OTR 1 0 3907 0 Microsoft Corp COM 594918104 736 6439 SH OTR 1 0 6439 0 MasTec Inc COM 576323109 97 2181 SH OTR 1 0 2181 0 Nabors Industries Ltd COM G6359F103 50 8162 SH OTR 1 0 8162 0 Norwegian Cruise Line Holdings Ltd COM G66721104 52 902 SH OTR 1 0 902 0 NextEra Energy Inc COM 65339F101 4840 28878 SH OTR 1 0 28878 0 Virtus Newfleet Multi-Sect Bd ETF COM 26923G707 78936 3264359 SH OTR 1 0 3264359 0 Netflix Inc COM 64110L106 144 385 SH OTR 1 0 385 0 National Grid PLC ADR ADR 636274409 737 14210 SH OTR 1 0 14210 0 Annaly Capital Management Inc COM 035710409 8687 849207 SH OTR 1 0 849207 0 ProShares S&P 500 Dividend Aristocrats COM 74348A467 4 55 SH OTR 1 0 55 0 New Residential Invt Corp Com New COM 64828T201 9025 506447 SH OTR 1 0 506447 0 Newell Brands Inc COM 651229106 132 6523 SH OTR 1 0 6523 0 iShares S&P 100 COM 464287101 1472 11357 SH OTR 1 0 11357 0 Occidental Petroleum Corp COM 674599105 5038 61312 SH OTR 1 0 61312 0 Invesco S&P 500 BuyWrite ETF COM 46137V399 817 36003 SH OTR 1 0 36003 0 Public Service Enterprise Group Inc COM 744573106 3 56 SH OTR 1 0 56 0 Pfizer Inc COM 717081103 175 3980 SH OTR 1 0 3980 0 iShares US Preferred Stock ETF COM 464288687 6824 183778 SH OTR 1 0 183778 0 VanEck Vectors Pref Secs ex Fincls ETF COM 92189F429 3553 182928 SH OTR 1 0 182928 0 Invesco Financial Preferred ETF COM 46137V621 595 32703 SH OTR 1 0 32703 0 Invesco Water Resources ETF COM 46137V142 55 1733 SH OTR 1 0 1733 0 Invesco NASDAQ Internet ETF COM 46137V530 259 1920 SH OTR 1 0 1920 0 PPL Corp COM 69351T106 4657 159160 SH OTR 1 0 159160 0 Invesco Global Listed Private Equity ETF COM 46137V589 1248 101498 SH OTR 1 0 101498 0 First Trust NASDAQ ABA Community Bk ETF COM 33736Q104 131 2456 SH OTR 1 0 2456 0 IQ Hedge Multi-Strategy Tracker ETF COM 45409B107 1123 36554 SH OTR 1 0 36554 0 QUALCOMM Inc COM 747525103 11983 166356 SH OTR 1 0 166356 0 Invesco QQQ Trust COM 46090E103 8639 46501 SH OTR 1 0 46501 0 First Trust NASDAQ-100-Tech Sector ETF COM 337345102 3 35 SH OTR 1 0 35 0 Royal Dutch Shell PLC ADR 780259107 19791 279021 SH OTR 1 0 279021 0 First Trust Rising Dividend Achiev ETF COM 33738R506 6 187 SH OTR 1 0 187 0 iShares Mortgage Real Estate ETF COM 46435G342 509 11674 SH OTR 1 0 11674 0 Rio Tinto PLC ADR ADR 767204100 10478 205371 SH OTR 1 0 205371 0 Invesco S&P 500 Pure Growth ETF COM 46137V266 4335 36051 SH OTR 1 0 36051 0 Invesco S&P 500 Equal Weight ETF COM 46137V357 4 34 SH OTR 1 0 34 0 Raytheon Co COM 755111507 64 308 SH OTR 1 0 308 0 ALPS Medical Breakthroughs ETF COM 00162Q593 240 6091 SH OTR 1 0 6091 0 Southern Copper Corp ADR 84265V105 101 2333 SH OTR 1 0 2333 0 Charles Schwab Corp COM 808513105 133 2707 SH OTR 1 0 2707 0 SolarEdge Technologies Inc ADR 83417M104 212 5630 SH OTR 1 0 5630 0 iShares 0-5 Year High Yield Corp Bd ETF COM 46434V407 9 186 SH OTR 1 0 186 0 SK Telecom Co Ltd ADR 78440P108 5111 183311 SH OTR 1 0 183311 0 Tanger Factory Outlet Centers Inc COM 875465106 10 450 SH OTR 1 0 450 0 Skechers USA Inc COM 830566105 53 1883 SH OTR 1 0 1883 0 First Trust Cloud Computing ETF COM 33734X192 6408 112972 SH OTR 1 0 112972 0 Schlumberger Ltd COM 806857108 51 833 SH OTR 1 0 833 0 VanEck Vectors Semiconductor ETF COM 92189F676 671 6306 SH OTR 1 0 6306 0 Sony Corp ADR 835699307 2265 37343 SH OTR 1 0 37343 0 Sanofi ADR 80105N105 1134 25382 SH OTR 1 0 25382 0 Southern Co COM 842587107 7446 170779 SH OTR 1 0 170779 0 Global X SuperIncome Preferred ETF COM 37950E333 6866 576527 SH OTR 1 0 576527 0 Simon Property Group Inc COM 828806109 14705 83198 SH OTR 1 0 83198 0 SPDR S&P 500 ETF COM 78462F103 16425 56498 SH OTR 1 0 56498 0 SPDR Blackstone / GSO Senior Loan ETF COM 78467V608 12933 273127 SH OTR 1 0 273127 0 Stag Industrial Inc COM 85254J102 4394 159779 SH OTR 1 0 159779 0 Seagate Technology PLC COM G7945M107 74 1562 SH OTR 1 0 1562 0 AT&T Inc COM 00206R102 10575 314922 SH OTR 1 0 314922 0 ProShares Short 20 Year Treasury COM 74347X849 599 25599 SH OTR 1 0 25599 0 ProShares Short 7-10 Year Treasury COM 74348A608 89 3024 SH OTR 1 0 3024 0 Target Corp COM 87612E106 3 33 SH OTR 1 0 33 0 iShares TIPS Bond COM 464287176 2280 20609 SH OTR 1 0 20609 0 Total Sa ADR 89151E109 18935 294062 SH OTR 1 0 294062 0 SPDR DoubleLine Total Return Tact ETF COM 78467V848 2014 42625 SH OTR 1 0 42625 0 Tyson Foods Inc Class A COM 902494103 48 804 SH OTR 1 0 804 0 Two Harbors Investment Corp COM 90187B408 137 9187 SH OTR 1 0 9187 0 Ulta Salon Cosmetics & Fragrance Inc COM 90384S303 359 1274 SH OTR 1 0 1274 0 UnitedHealth Group Inc COM 91324P102 486 1827 SH OTR 1 0 1827 0 Visa Inc Class A COM 92826C839 1546 10299 SH OTR 1 0 10299 0 Vanguard Small-Cap ETF COM 922908751 1851 11384 SH OTR 1 0 11384 0 Vanguard FTSE Developed Markets ETF COM 921943858 1047 24197 SH OTR 1 0 24197 0 Vanguard FTSE All-World ex-US ETF COM 922042775 5 90 SH OTR 1 0 90 0 Vanguard Intmdt-Term Trs ETF COM 92206C706 3989 64243 SH OTR 1 0 64243 0 Vanguard Long-Term Treasury ETF COM 92206C847 2286 31675 SH OTR 1 0 31675 0 Vulcan Materials Co COM 929160109 46 412 SH OTR 1 0 412 0 VMware Inc COM 928563402 2 13 SH OTR 1 0 13 0 Vanguard Global ex-US Real Estate ETF COM 922042676 1023 18220 SH OTR 1 0 18220 0 Vanguard Mid-Cap ETF COM 922908629 1763 10737 SH OTR 1 0 10737 0 Vodafone Group PLC ADR ADR 92857W308 5957 274495 SH OTR 1 0 274495 0 Invesco Variable Rate Preferred ETF COM 46138G870 589 23673 SH OTR 1 0 23673 0 Vanguard Total Stock Market ETF COM 922908769 15 100 SH OTR 1 0 100 0 Vanguard FTSE Emerging Markets ETF COM 922042858 475 11597 SH OTR 1 0 11597 0 Vanguard High Dividend Yield ETF COM 921946406 5780 66372 SH OTR 1 0 66372 0 Verizon Communications Inc COM 92343V104 29578 554002 SH OTR 1 0 554002 0 Western Digital Corp COM 958102105 5266 89951 SH OTR 1 0 89951 0 Welltower Inc Com COM 95040Q104 11540 179420 SH OTR 1 0 179420 0 Wells Fargo & Co COM 949746101 545 10372 SH OTR 1 0 10372 0 Wal-Mart Stores Inc COM 931142103 718 7645 SH OTR 1 0 7645 0 WisdomTree Managed Futures Strategy ETF COM 97717W125 1059 25980 SH OTR 1 0 25980 0 United States Steel Corp COM 912909108 92 3022 SH OTR 1 0 3022 0 SPDR S&P Homebuilders ETF COM 78464A888 717 18657 SH OTR 1 0 18657 0 Materials Select Sector SPDR ETF COM 81369Y100 2064 35626 SH OTR 1 0 35626 0 Select Sector Spdr Tr Communication COM 81369Y852 398 8131 SH OTR 1 0 8131 0 Select Sector Spdr Trust Shs Ben Int Energy COM 81369Y506 9183 121242 SH OTR 1 0 121242 0 Financial Select Sector SPDR ETF COM 81369Y605 20019 725860 SH OTR 1 0 725860 0 Technology Select Sector SPDR ETF COM 81369Y803 5759 76449 SH OTR 1 0 76449 0 Consumer Staples Select Sector SPDR ETF COM 81369Y308 3 53 SH OTR 1 0 53 0 Select Sector Spdr Trust The Utilities Select Sector Spdr Trust COM 81369Y886 5988 113725 SH OTR 1 0 113725 0 Select Sector Spdr Trust The Health Care Select Sector Spdr Fund COM 81369Y209 4 45 SH OTR 1 0 45 0 Select Sector Spdr Fund Shs Ben Consumer Discretionary COM 81369Y407 24784 211429 SH OTR 1 0 211429 0 Exxon Mobil Corp COM 30231G102 52 615 SH OTR 1 0 615 0 SPDR S&P Oil & Gas Explor & Prodtn ETF COM 78464A730 6056 139884 SH OTR 1 0 139884 0 SPDR S&P Retail ETF COM 78464A714 1 20 SH OTR 1 0 20 0