Chief Compliance Officer

0001569886-15-000006.txt : 20151110 0001569886-15-000006.hdr.sgml : 20151110 20151106163157 ACCESSION NUMBER: 0001569886-15-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151106 DATE AS OF CHANGE: 20151106 EFFECTIVENESS DATE: 20151106 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Risk Paradigm Group, LLC CENTRAL INDEX KEY: 0001569886 IRS NUMBER: 273609298 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16891 FILM NUMBER: 151212351 BUSINESS ADDRESS: STREET 1: 5900 SOUTHWEST PARKWAY STREET 2: BUILDING 5, SUITE 500 CITY: AUSTIN STATE: TX ZIP: 78735 BUSINESS PHONE: (866) 726-5150 MAIL ADDRESS: STREET 1: 5900 SOUTHWEST PARKWAY STREET 2: BUILDING 5, SUITE 500 CITY: AUSTIN STATE: TX ZIP: 78735 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001569886 XXXXXXXX 09-30-2015 09-30-2015 Risk Paradigm Group, LLC

5900 SOUTHWEST PARKWAY BUILDING 5, SUITE 500 AUSTIN TX 78735

13F HOLDINGS REPORT 028-16891 N Brandon Lamb Chief Compliance Officer 781-916-8176 Brandon Lamb Burlington MA 11-06-2015 0 443 48466471 false INFORMATION TABLE 2 13FTable2015Q3.xml AGL Resources Inc common stock 001204106 27407 449 SH SOLE 27407 0 0 AU Optronics Corp common stock 002255107 654 221 SH SOLE 654 0 0 AVX Corp common stock 002444107 3731 285 SH SOLE 3731 0 0 Aberdeen Asia-Pacific Income common stock 003009107 9603 2134 SH SOLE 9603 0 0 Acadia Realty Trust common stock 004239109 752 25 SH SOLE 752 0 0 Air Products & Chemicals Inc common stock 009158106 34702 272 SH SOLE 34702 0 0 Alexandria Real Estate Equities Inc common stock 015271109 1439 17 SH SOLE 1439 0 0 Aluminum Corporation of China Limited common stock 022276109 737 95 SH SOLE 737 0 0 Amazon.com Inc common stock 023135106 4607 9 SH SOLE 4607 0 0 American Electric Power Co Inc common stock 025537101 33093 582 SH SOLE 33093 0 0 American Intl Group Inc Wt Exp 011921 warrant 026874156 2406 106 SH SOLE 2406 0 0 American 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America Corporation preferred stock 060505682 2154 2 SH SOLE 2154 0 0 Bank Montreal Que Com common stock 063671101 5455 100 SH SOLE 5455 0 0 Bank N S Halifax Com common stock 064149107 19483 442 SH SOLE 19483 0 0 Barrick Gold Corp Com common stock 067901108 3034 477 SH SOLE 3034 0 0 Berkshire Hathaway Inc common stock 084670702 277100 2125 SH SOLE 277100 0 0 BHP Billiton Ltd common stock 088606108 21849 691 SH SOLE 21849 0 0 BlackRock Credit Allocation Inc common stock 092508100 2154 177 SH SOLE 2154 0 0 Boeing Co common stock 097023105 14797 113 SH SOLE 14797 0 0 Boston Properties Inc common stock 101121101 1421 12 SH SOLE 1421 0 0 Bristol-Myers Squibb Company common stock 110122108 11248 190 SH SOLE 11248 0 0 British American Tobacco PLC common stock 110448107 77496 704 SH SOLE 77496 0 0 CBL & Associates Properties Inc common stock 124830100 344 25 SH SOLE 344 0 0 CVR Partners LP common stock 126633106 1870 200 SH SOLE 1870 0 0 Calamos Strategic Total Return common stock 128125101 5509 593 SH SOLE 5509 0 0 Campbell Soup Co common stock 134429109 8007 158 SH SOLE 8007 0 0 Canon Inc common stock 138006309 1072 37 SH SOLE 1072 0 0 Care Cap Pptys Inc common stock 141624106 14193 431 SH SOLE 14193 0 0 Caterpillar Inc common stock 149123101 32680 500 SH SOLE 32680 0 0 Celgene Corp common stock 151020104 32451 300 SH SOLE 32451 0 0 CenturyLink Inc common stock 156700106 1482 59 SH SOLE 1482 0 0 Chesapeake Energy Corp common stock 165167107 1964 268 SH SOLE 1964 0 0 Chevron Corp common stock 166764100 321278 4073 SH SOLE 321278 0 0 Chubb Corp common stock 171232101 12265 100 SH SOLE 12265 0 0 Chuy's Holdings Inc common stock 171604101 50978 1795 SH SOLE 50978 0 0 Cincinnati Financial Corp common stock 172062101 3067 57 SH SOLE 3067 0 0 Citigroup Inc common stock 172967424 9972 201 SH SOLE 9972 0 0 ClearBridge Energy MLP common stock 184692101 25339 1463 SH SOLE 25339 0 0 Clorox Co common stock 189054109 54530 472 SH SOLE 54530 0 0 Coach Inc common stock 189754104 15796 546 SH SOLE 15796 0 0 Coca-Cola Co common stock 191216100 45456 1133 SH SOLE 45456 0 0 Coeur Mining Inc common stock 192108504 1551 550 SH SOLE 1551 0 0 Colgate-Palmolive Co common stock 194162103 19038 300 SH SOLE 19038 0 0 Community Trust Bancorp Inc common stock 204149108 3089 87 SH SOLE 3089 0 0 Consolidated Edison Inc common stock 209115104 228493 3418 SH SOLE 228493 0 0 Corning Inc common stock 219350105 3801 222 SH SOLE 3801 0 0 Crestwood Equity Partners LP common stock 226344109 559 245 SH SOLE 559 0 0 Crestwood Midstream Partners LP common stock 226378107 649 105 SH SOLE 649 0 0 CubeSmart common stock 229663109 1116 41 SH SOLE 1116 0 0 DCT Industrial Trust Inc common stock 233153204 2625 78 SH SOLE 2625 0 0 Deere & Co common stock 244199105 2812 38 SH SOLE 2812 0 0 Diamondrock Hospitality Co common stock 252784301 641 58 SH SOLE 641 0 0 Digital Realty Trust Inc common stock 253868103 1110 17 SH SOLE 1110 0 0 Walt Disney Co common stock 254687106 19111 187 SH SOLE 19111 0 0 DoubleLine Income Solutions common stock 258622109 4720 273 SH SOLE 4720 0 0 Dow Chemical Co common stock 260543103 93916 2215 SH SOLE 93916 0 0 Dreyfus Strategic Municipals common stock 261932107 32720 4000 SH SOLE 32720 0 0 E I du Pont de Nemours & Company common stock 263534109 14846 308 SH SOLE 14846 0 0 Duke Realty Corp common stock 264411505 6591 346 SH SOLE 6591 0 0 EMC Corp common stock 268648102 28678 1187 SH SOLE 28678 0 0 Emerson Electric Co common stock 291011104 16961 384 SH SOLE 16961 0 0 Enerplus Corp common stock 292766102 1555 320 SH SOLE 1555 0 0 Enterprise Products Partners LP common stock 293792107 535923 21523 SH SOLE 535923 0 0 Essex Property Trust Inc common stock 297178105 3575 16 SH SOLE 3575 0 0 Fidelity MSCI Financials ETF common stock 316092501 220829 8191 SH SOLE 220829 0 0 Fidelity MSCI Health Care ETF common stock 316092600 209848 6599 SH SOLE 209848 0 0 Fidelity MSCI Utilities ETF common stock 316092865 37581 1363 SH SOLE 37581 0 0 Fidus Investment Corp 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SOLE 61994 0 0 iShares US Oil&Gas Explor&Prodtn common stock 464288851 5545 100 SH SOLE 5545 0 0 JA Solar Holdings Co ADR common stock 466090206 1248 160 SH SOLE 1248 0 0 JetBlue Airways Corp common stock 477143101 5154 200 SH SOLE 5154 0 0 Johnson & Johnson common stock 478160104 151320 1621 SH SOLE 151320 0 0 Kellogg Co common stock 487836108 13310 200 SH SOLE 13310 0 0 Kimberly-Clark Corp common stock 494368103 43616 400 SH SOLE 43616 0 0 Kinross Gold Corp common stock 496902404 344 200 SH SOLE 344 0 0 Leggett & Platt Inc common stock 524660107 2846 69 SH SOLE 2846 0 0 Linn Energy LLC common stock 536020100 538 200 SH SOLE 538 0 0 Lloyds Banking Group PLC common stock 539439109 1467 319 SH SOLE 1467 0 0 Macerich Co common stock 554382101 2766 36 SH SOLE 2766 0 0 McDonald's Corp common stock 580135101 132818 1348 SH SOLE 132818 0 0 Mercury Systems Inc common stock 589378108 3182 200 SH SOLE 3182 0 0 Microsoft Corp common stock 594918104 96929 2190 SH SOLE 96929 0 0 Middlesex Water Co common stock 596680108 3123 131 SH SOLE 3123 0 0 Mondelez International Inc common stock 609207105 155966 3725 SH SOLE 155966 0 0 Morgan Stanley common stock 617446448 12285 390 SH SOLE 12285 0 0 National Grid PLC common stock 636274300 172613 2479 SH SOLE 172613 0 0 Nike Inc common stock 654106103 12297 100 SH SOLE 12297 0 0 Niska Gas Storage Partners LLC common stock 654678101 2563 824 SH SOLE 2563 0 0 Nortel Inversora SA common stock 656567401 15 1 SH SOLE 15 0 0 Northern Tier Energy LP common stock 665826103 11400 500 SH SOLE 11400 0 0 Northwest Natural Gas common stock 667655104 32730 714 SH SOLE 32730 0 0 Nuveen Long/Short Commodity TR common stock 670731108 32000 2000 SH SOLE 32000 0 0 Oi SA common stock 670851401 41 57 SH SOLE 41 0 0 Oil-Dri Corp of America common stock 677864100 11450 500 SH SOLE 11450 0 0 Old Republic International Corporation common stock 680223104 3003 192 SH SOLE 3003 0 0 PepsiCo Inc common stock 713448108 79589 844 SH SOLE 79589 0 0 Pfizer Inc common stock 717081103 149763 4768 SH SOLE 149763 0 0 Philip Morris International Inc common stock 718172109 99242 1251 SH SOLE 99242 0 0 Phillips 66 common stock 718546104 25972 338 SH SOLE 25972 0 0 Piedmont Natural Gas Co common stock 720186105 3206 80 SH SOLE 3206 0 0 Piedmont Office Realty Trust Inc common stock 720190206 465 26 SH SOLE 465 0 0 Plum Creek Timber Co Inc common stock 729251108 4346 110 SH SOLE 4346 0 0 Post Properties Inc common stock 737464107 699 12 SH SOLE 699 0 0 Procter & Gamble Co common stock 742718109 124384 1729 SH SOLE 124384 0 0 Public Service Enterprise Group Inc common stock 744573106 40347 957 SH SOLE 40347 0 0 Randgold Resources Ltd common stock 752344309 8864 150 SH SOLE 8864 0 0 Rayonier Inc common stock 754907103 508 23 SH SOLE 508 0 0 Raytheon Co common stock 755111507 6556 60 SH SOLE 6556 0 0 Reynolds American Inc common stock 761713106 82918 1873 SH SOLE 82918 0 0 Rite Aid Corp common stock 767754104 9105 1500 SH SOLE 9105 0 0 Rockwell Automation Inc 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common stock 828336107 10148 845 SH SOLE 10148 0 0 Simon Property Group Inc common stock 828806109 5144 28 SH SOLE 5144 0 0 Sinclair Broadcast Group Inc common stock 829226109 2861 113 SH SOLE 2861 0 0 Southern Co common stock 842587107 121629 2721 SH SOLE 121629 0 0 Spectra Energy Corp common stock 847560109 24851 946 SH SOLE 24851 0 0 Stanley Black & Decker Inc Corp Unit preferred stock 854502309 3744 28 SH SOLE 3744 0 0 State Street Corp common stock 857477103 21238 316 SH SOLE 21238 0 0 STMicroelectronics NV common stock 861012102 1930 283 SH SOLE 1930 0 0 Sysco Corp common stock 871829107 2923 75 SH SOLE 2923 0 0 TECO Energy Inc common stock 872375100 7878 300 SH SOLE 7878 0 0 Telefonica SA common stock 879382208 397 33 SH SOLE 397 0 0 Templeton Emerging Markets Income common stock 880192109 8430 870 SH SOLE 8430 0 0 Textron Inc common stock 883203101 6662 177 SH SOLE 6662 0 0 Thompson Creek Metals Co Inc common stock 884768102 136 311 SH SOLE 136 0 0 Time Inc common stock 887228104 4801 252 SH SOLE 4801 0 0 Time Warner Inc common stock 887317303 53419 777 SH SOLE 53419 0 0 Toronto Dominion Bk Ont Com New common stock 891160509 3942 100 SH SOLE 3942 0 0 UDR Inc common stock 902653104 2620 76 SH SOLE 2620 0 0 U.S. Bancorp preferred stock 902973833 14360 500 SH SOLE 14360 0 0 Under Armour Inc common stock 904311107 19356 200 SH SOLE 19356 0 0 Unilever PLC common stock 904767704 3670 90 SH SOLE 3670 0 0 Unilever NV common stock 904784709 12060 300 SH SOLE 12060 0 0 United Bankshares Inc common stock 909907107 3115 82 SH SOLE 3115 0 0 United Development Funding IV common stock 910187103 642910 36529 SH SOLE 642910 0 0 United Fire Group Inc common stock 910340108 15387 439 SH SOLE 15387 0 0 United Parcel Service Inc common stock 911312106 15297 155 SH SOLE 15297 0 0 United Technologies Corp common stock 913017109 37109 417 SH SOLE 37109 0 0 Universal Corp common stock 913456109 2974 60 SH SOLE 2974 0 0 Vanguard Short-Term Infl-Prot Secs ETF common stock 922020805 278620 5759 SH SOLE 278620 0 0 Vanguard FTSE Europe ETF common stock 922042874 32656 664 SH SOLE 32656 0 0 Veritiv Corp common stock 923454102 37 1 SH SOLE 37 0 0 VMWare Inc common stock 928563402 179641 2280 SH SOLE 179641 0 0 Vornado Realty Trust common stock 929042109 1537 17 SH SOLE 1537 0 0 Wells Fargo & Co common stock 949746101 37126 723 SH SOLE 37126 0 0 Wells Fargo & Co preferred stock 949746804 5840 5 SH SOLE 5840 0 0 Wells Fargo & Co preferred stock 949746879 8905 323 SH SOLE 8905 0 0 Weyerhaeuser Co common stock 962166104 1968 72 SH SOLE 1968 0 0 Zweig Total Return common stock 989837208 651 57 SH SOLE 651 0 0 CDK Global Inc common stock 12508E101 6928 145 SH SOLE 6928 0 0 HCI Group Inc common stock 40416E103 15004 387 SH SOLE 15004 0 0 Flah&Crum Pref Income Opps common stock 33848E106 12940 1260 SH SOLE 12940 0 0 Target Corp common stock 87612E106 41926 533 SH SOLE 41926 0 0 Travelers Companies Inc common stock 89417E109 15726 158 SH SOLE 15726 0 0 Alerian MLP ETF common stock 00162Q866 65121 5218 SH SOLE 65121 0 0 At&T Inc common stock 00206R102 61739 1895 SH SOLE 61739 0 0 AbbVie Inc common stock 00287Y109 2775 51 SH SOLE 2775 0 0 Alibaba Group Holding Ltd common stock 01609W102 5897 100 SH SOLE 5897 0 0 AllianceBernstein Glb High Inc common stock 01879R106 7085 640 SH SOLE 7085 0 0 Altria Group Inc common stock 02209S103 130451 2398 SH SOLE 130451 0 0 American Capital Agency Corp common stock 02503X105 26461 1415 SH SOLE 26461 0 0 American Capital Ltd common stock 02503Y103 1909 157 SH SOLE 1909 0 0 American Tower Corp common stock 03027X100 4311 49 SH SOLE 4311 0 0 Anheuser-Busch Inbev SA common stock 03524A108 4997 47 SH SOLE 4997 0 0 Banco Santander Brasil SA/Brazil common stock 05967A107 318 101 SH SOLE 318 0 0 BankUnited Inc common stock 06652K103 14014 392 SH SOLE 14014 0 0 iPath Bloomberg Platinum SubTR ETN common stock 06739H255 5595 300 SH SOLE 5595 0 0 Barclays Bank PLC preferred stock 06739H362 5174 200 SH SOLE 5174 0 0 Barclays Bank PLC preferred stock 06739H776 12032 470 SH SOLE 12032 0 0 Biogen Inc common stock 09062X103 6420 22 SH SOLE 6420 0 0 Blackstone Group LP common stock 09253U108 20459 646 SH SOLE 20459 0 0 BlackRock Debt Strategies Fund common stock 09255R103 15117 4526 SH SOLE 15117 0 0 BlackRock Float Rate Strat common stock 09255X100 5719 442 SH SOLE 5719 0 0 Blackstone/GSO LS Credit Income common stock 09257D102 6968 489 SH SOLE 6968 0 0 Blackstone/GSO Strategic Credit common stock 09257R101 4164 293 SH SOLE 4164 0 0 CVR Refining LP common stock 12663P107 1147 60 SH SOLE 1147 0 0 Calamos Convertible & High Income common stock 12811P108 65 6 SH SOLE 65 0 0 Capstead Mortgage Corp common stock 14067E506 9890 1000 SH SOLE 9890 0 0 Centrais Eletricas Brasileiras SA common stock 15234Q207 129 100 SH SOLE 129 0 0 Chart Inds Inc convertible bond 16115QAC4 6117 7000 SH SOLE 6117 0 0 Cheniere Energy Partners LP common stock 16411Q101 5268 200 SH SOLE 5268 0 0 Chesapeake Energy Corp Conv To25.5951 Shs Per 1M 2.75%11/15/2035-2015 convertible bond 165167BW6 1968 2000 SH SOLE 1968 0 0 Cisco Systems Inc common stock 17275R102 15094 575 SH SOLE 15094 0 0 Put (slv) Ishares Silver Tr Jan 15 16 $12 (100 Shs) put 1882619MI 69 3 SH SOLE 69 0 0 ConocoPhillips common stock 20825C104 111555 2326 SH SOLE 111555 0 0 Cornerstone Strategic Value common stock 21924B302 7891 502 SH SOLE 7891 0 0 Cornerstone Total Return common stock 21924U300 4018 250 SH SOLE 4018 0 0 Corporate Property Associates 17 - Global Inc common stock 22003D102 48600 5000 SH SOLE 48600 0 0 Put (aapl) 2apple Inc Oct 16 15 $110 (100 Shs) put 2238299XV 280 1 SH SOLE 280 0 0 DDR Corp common stock 23317H102 2046 133 SH SOLE 2046 0 0 Danaher Corp 0.000% Conv To7.2676 Shares Per 1M01/22/2021-2006 convertible bond 235851AF9 12322 5000 SH SOLE 12322 0 0 Deutsche Strategic Muni Income common stock 25159F102 11858 930 SH SOLE 11858 0 0 Direxion Daily 7-10 Yr Trs Bear 3X ETF common stock 25459W557 977 60 SH SOLE 977 0 0 Direxion Daily 20+ Yr Trsy Bear 3X ETF common stock 25459Y678 2008 73 SH SOLE 2008 0 0 Dominion Resources Inc common stock 25746U109 7038 100 SH SOLE 7038 0 0 Duff&Phelps Global Utility Income common stock 26433C105 11991 792 SH SOLE 11991 0 0 Duke Energy Corporation common stock 26441C204 132226 1838 SH SOLE 132226 0 0 Eni SpA common stock 26874R108 910 29 SH SOLE 910 0 0 Energy Transfer Partners LP common stock 29273R109 13964 340 SH SOLE 13964 0 0 Energy Transfer Equity LP common stock 29273V100 45782 2200 SH SOLE 45782 0 0 EnLink Midstream Partners LP common stock 29336U107 304247 19305 SH SOLE 304247 0 0 Entergy Corp common stock 29364G103 26040 400 SH SOLE 26040 0 0 Equity Residential common stock 29476L107 2178 29 SH SOLE 2178 0 0 Eversource Energy common stock 30040W108 50620 1000 SH SOLE 50620 0 0 Exact Sciences Corp common stock 30063P105 5397 300 SH SOLE 5397 0 0 Exelon Corp common stock 30161N101 14850 500 SH SOLE 14850 0 0 Exxon Mobil Corporation common stock 30231G102 517104 6955 SH SOLE 517104 0 0 Facebook Inc common stock 30303M102 26970 300 SH SOLE 26970 0 0 PureFunds ISE Cyber Security ETF common stock 30304R407 5050 200 SH SOLE 5050 0 0 Fibria Celulose SA common stock 31573A109 5424 400 SH SOLE 5424 0 0 First Trust Senior FR Income II common stock 33733U108 11637 925 SH SOLE 11637 0 0 First Trust Utilities AlphaDEX ETF common stock 33734X184 2262027 99957 SH SOLE 2262027 0 0 First Trust STOXX European Sel Div ETF common stock 33735T109 977 82 SH SOLE 977 0 0 Multi-Asset Diversified Income ETF common stock 33738R100 1930 105 SH SOLE 1930 0 0 First Trust MLP & Energy Inc Fund common stock 33739B104 1590 100 SH SOLE 1590 0 0 Fitbit Inc Cl A common stock 33812L102 6219 165 SH SOLE 6219 0 0 Flowserve Corp common stock 34354P105 741 18 SH SOLE 741 0 0 Freeport-McMoRan Inc common stock 35671D857 21221 2190 SH SOLE 21221 0 0 GAMCO Glb Gold Natural Res & Income common stock 36465A109 16901 3387 SH SOLE 16901 0 0 General Motors Co common stock 37045V100 22395 746 SH SOLE 22395 0 0 GlaxoSmithKline PLC common stock 37733W105 49293 1282 SH SOLE 49293 0 0 Global X SuperDividend ETF common stock 37950E549 1965 100 SH SOLE 1965 0 0 Global X Lithium ETF common stock 37950E762 1626 175 SH SOLE 1626 0 0 Global X Silver Miners ETF common stock 37950E853 5304 821 SH SOLE 5304 0 0 Goldman Sachs Group Inc preferred stock 38145G209 14970 600 SH SOLE 14970 0 0 Green Bancorp Inc common stock 39260X100 13397 1169 SH SOLE 13397 0 0 HCP Inc common stock 40414L109 14602 392 SH SOLE 14602 0 0 Halyard Health Inc common stock 40650V100 28 1 SH SOLE 28 0 0 Host Hotels & Resorts Inc common stock 44107P104 2292 145 SH SOLE 2292 0 0 Informa PLC common stock 45672B305 2024 119 SH SOLE 2024 0 0 Intel Corp Conv To 31.7162 ShsPer 1M 2.95% 12/15/2035 convertible bond 458140AD2 8501 7000 SH SOLE 8501 0 0 Invesco Mortgage Capital Inc common stock 46131B100 26561 2170 SH SOLE 26561 0 0 Invesco Senior Income Trust common stock 46131H107 7240 1732 SH SOLE 7240 0 0 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