0001600151-15-000001.txt : 20150211 0001600151-15-000001.hdr.sgml : 20150211 20150211121927 ACCESSION NUMBER: 0001600151-15-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150211 DATE AS OF CHANGE: 20150211 EFFECTIVENESS DATE: 20150211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Arete Wealth Advisors, LLC CENTRAL INDEX KEY: 0001600151 IRS NUMBER: 261314502 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15999 FILM NUMBER: 15598039 BUSINESS ADDRESS: STREET 1: 1699 E WOODFIELD RD STREET 2: SUITE 565 CITY: SCHAUMBURG STATE: IL ZIP: 60173 BUSINESS PHONE: 847-658-8366 MAIL ADDRESS: STREET 1: 1699 E WOODFIELD RD STREET 2: SUITE 565 CITY: SCHAUMBURG STATE: IL ZIP: 60173 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001600151 XXXXXXXX 12-31-2014 12-31-2014 Arete Wealth Advisors, LLC
1699 E WOODFIELD RD SUITE 565 SCHAUMBURG IL 60173
13F HOLDINGS REPORT 028-15999 N
Joshua Rogers President 847-658-8366 Joshua Rogers Schaumburg IL 02-11-2015 0 142 141696 false
INFORMATION TABLE 2 13fawa123114.xml ACHILLION PHARMACEUTICALS IN COM 00448Q201 159 13000 SH SOLE 0 0 13000 ADVENT CLAY CONV SEC INC FD COM 007639107 412 65350 SH SOLE 0 0 65350 ADVENT CLAYMORE CV SECS & IN COM 00764C109 514 31437 SH SOLE 0 0 31437 AMAZON COM INC COM 023135106 200 646 SH SOLE 0 0 646 AMER RLTY CAP HEALTHCAR TR I COM 02917R108 923 77556 SH SOLE 0 0 77556 AMERICAN APPAREL INC COM 023850100 83 80640 SH SOLE 0 0 80640 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 4237 172107 SH SOLE 0 0 172107 AMERICAN INTL GROUP INC COM NEW 026874784 12018 214565 SH SOLE 0 0 214565 AMERICAN RLTY CAP PPTYS INC COM 02917T104 392 43357 SH SOLE 0 0 43357 AMGEN INC COM 031162100 365 2290 SH SOLE 0 0 2290 ANNALY CAP MGMT INC COM 035710409 166 15312 SH SOLE 0 0 15312 APACHE CORP COM 037411105 549 8754 SH SOLE 0 0 8754 APPLE INC COM 037833100 6643 60179 SH SOLE 0 0 60179 AT&T INC COM 00206R102 314 9352 SH SOLE 0 0 9352 BANCORPSOUTH INC COM 059692103 354 15713 SH SOLE 0 0 15713 BANK OF AMERICA CORPORATION *W EXP 01/16/201 060505146 2003 284550 SH SOLE 0 0 284550 BANK OF AMERICA CORPORATION COM 060505104 19868 1110549 SH SOLE 0 0 1110549 BARCLAYS BANK PLC ADR PFD SR 5 06739H362 1294 49603 SH SOLE 0 0 49603 BARRICK GOLD CORP COM 067901108 355 32978 SH SOLE 0 0 32978 BERKSHIRE HATHAWAY INC DEL CL A 084670108 904 4 SH SOLE 0 0 4 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1624 10818 SH SOLE 0 0 10818 BLACKROCK MUNIVEST FN INC COM 09253R105 278 28098 SH SOLE 0 0 28098 BLACKROCK RES & COMM STRAT T SHS 09257A108 704 72470 SH SOLE 0 0 72470 BLOCK H & R INC COM 093671105 268 7954 SH SOLE 0 0 7954 BROOKDALE SR LIVING INC COM 112463104 241 6583 SH SOLE 0 0 6583 CASELLA WASTE SYS INC CL A 147448104 61 15000 SH SOLE 0 0 15000 CASEYS GEN STORES INC COM 147528103 900 9961 SH SOLE 0 0 9961 CATERPILLAR INC DEL COM 149123101 257 2810 SH SOLE 0 0 2810 CELGENE CORP COM 151020104 383 3426 SH SOLE 0 0 3426 CHESAPEAKE ENERGY CORP COM 165167107 2077 106134 SH SOLE 0 0 106134 CISCO SYS INC COM 17275R102 1516 54506 SH SOLE 0 0 54506 CLOUGH GLOBAL EQUITY FD COM 18914C100 671 46329 SH SOLE 0 0 46329 CME GROUP INC COM 12572Q105 1379 15550 SH SOLE 0 0 15550 COCA COLA CO COM 191216100 453 10721 SH SOLE 0 0 10721 COHEN & STEERS INFRASTRUCTUR COM 19248A109 568 24996 SH SOLE 0 0 24996 COLUMBIA PPTY TR INC COM NEW 198287203 320 12606 SH SOLE 0 0 12606 CONOCOPHILLIPS COM 20825C104 232 3356 SH SOLE 0 0 3356 CREDIT SUISSE ASSET MGMT INC COM 224916106 172 52280 SH SOLE 0 0 52280 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 422 150824 SH SOLE 0 0 150824 DANAHER CORP DEL COM 235851102 219 2557 SH SOLE 0 0 2557 DEERE & CO COM 244199105 247 2795 SH SOLE 0 0 2795 DELTA AIR LINES INC DEL COM NEW 247361702 1740 35366 SH SOLE 0 0 35366 DEVON ENERGY CORP NEW COM 25179M103 242 3952 SH SOLE 0 0 3952 DIGITAL RLTY TR INC COM 253868103 1658 25004 SH SOLE 0 0 25004 DREYFUS STRATEGIC MUN BD FD COM 26202F107 685 86000 SH SOLE 0 0 86000 EATON VANCE RISK MNGD DIV EQ COM 27829G106 1136 106554 SH SOLE 0 0 106554 EATON VANCE TXMGD GL BUYWR O COM 27829C105 661 60009 SH SOLE 0 0 60009 ENCANA CORP COM 292505104 726 52309 SH SOLE 0 0 52309 ETFS PALLADIUM TR SH BEN INT 26923A106 952 12282 SH SOLE 0 0 12282 EXCO RESOURCES INC COM 269279402 920 424095 SH SOLE 0 0 424095 EXXON MOBIL CORP COM 30231G102 258 2787 SH SOLE 0 0 2787 FIVE STAR QUALITY CARE INC COM 33832D106 56 13595 SH SOLE 0 0 13595 FORD MTR CO DEL COM PAR $0.01 345370860 343 22140 SH SOLE 0 0 22140 FS INVT CORP COM 302635107 10449 1052314 SH SOLE 0 0 1052314 GENERAL ELECTRIC CO COM 369604103 241 9526 SH SOLE 0 0 9526 GLOBAL X FDS SILVER MNR ETF 37950E853 116 12540 SH SOLE 0 0 12540 GOLDMAN SACHS GROUP INC COM 38141G104 256 1319 SH SOLE 0 0 1319 GREEN BRICK PARTNERS INC COM 392709101 373 45442 SH SOLE 0 0 45442 GREENHUNTER RES INC COM 39530A104 8 11000 SH SOLE 0 0 11000 HEARTLAND EXPRESS INC COM 422347104 903 33446 SH SOLE 0 0 33446 HUNT J B TRANS SVCS INC COM 445658107 1611 19124 SH SOLE 0 0 19124 ILLUMINA INC COM 452327109 1380 7477 SH SOLE 0 0 7477 INTERNATIONAL BUSINESS MACHS COM 459200101 787 4908 SH SOLE 0 0 4908 INVESCO DYNAMIC CR OPP FD COM 46132R104 131 11093 SH SOLE 0 0 11093 INVESCO MUNI INCOME OPP TRST COM 46132X101 279 39915 SH SOLE 0 0 39915 ISHARES INTERM CR BD ETF 464288638 318 2911 SH SOLE 0 0 2911 ISHARES U.S. PFD STK ETF 464288687 320 8115 SH SOLE 0 0 8115 ISHARES CORE TOTUSBD ETF 464287226 458 4160 SH SOLE 0 0 4160 ISHARES GLOBAL FINLS ETF 464287333 503 8911 SH SOLE 0 0 8911 ISHARES TIPS BD ETF 464287176 536 4785 SH SOLE 0 0 4785 ISHARES GLOBAL TECH ETF 464287291 547 5768 SH SOLE 0 0 5768 ISHARES GLOB HLTHCRE ETF 464287325 559 5613 SH SOLE 0 0 5613 ISHARES S&P MC 400VL ETF 464287705 696 5445 SH SOLE 0 0 5445 ISHARES S&P 500 VAL ETF 464287408 722 7703 SH SOLE 0 0 7703 ISHARES S&P 500 GRWT ETF 464287309 841 7540 SH SOLE 0 0 7540 ISHARES TR 20+ YR TR BD ETF 464287432 487 3868 SH SOLE 0 0 3868 JOHNSON & JOHNSON COM 478160104 211 2022 SH SOLE 0 0 2022 JPMORGAN CHASE & CO COM 46625H100 436 6973 SH SOLE 0 0 6973 KITE RLTY GROUP TR COM NEW 49803T300 203 7071 SH SOLE 0 0 7071 LEGG MASON BW GLB INC OPP FD COM 52469B100 1220 72998 SH SOLE 0 0 72998 LEUCADIA NATL CORP COM 527288104 2181 97297 SH SOLE 0 0 97297 LEVY ACQUISITION CORP *W EXP 11/19/201 52748T112 12 32750 SH SOLE 0 0 32750 LEVY ACQUISITION CORP UNIT 99/99/9999 52748T203 185 18400 SH SOLE 0 0 18400 LEVY ACQUISITION CORP COM 52748T104 371 38200 SH SOLE 0 0 38200 LIBERATOR MEDICAL HLDGS INC COM 53012L108 64 22000 SH SOLE 0 0 22000 LINKEDIN CORP COM CL A 53578A108 1690 7355 SH SOLE 0 0 7355 MICRON TECHNOLOGY INC COM 595112103 1934 55249 SH SOLE 0 0 55249 MONOGRAM RESIDENTIAL TR INC COM 60979P105 2686 290093 SH SOLE 0 0 290093 NEW YORK REIT INC COM 64976L109 640 60402 SH SOLE 0 0 60402 NOVAGOLD RES INC COM NEW 66987E206 671 227389 SH SOLE 0 0 227389 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 196 22385 SH SOLE 0 0 22385 NUVEEN GLOBAL EQUITY INCOME COM 6706EH103 185 14250 SH SOLE 0 0 14250 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 275 20122 SH SOLE 0 0 20122 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 280 19777 SH SOLE 0 0 19777 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 1072 128722 SH SOLE 0 0 128722 PENNANTPARK INVT CORP COM 708062104 630 66080 SH SOLE 0 0 66080 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 788 7818 SH SOLE 0 0 7818 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 1673 44077 SH SOLE 0 0 44077 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 852 8250 SH SOLE 0 0 8250 PROCTOR & GAMBLE CO COM 742718109 325 3566 SH SOLE 0 0 3566 PROSHARES TR PSHS ULTSH 20YRS 74347B201 370 7970 SH SOLE 0 0 7970 PROSHARES TR PSHS ULTRUSS2000 74347R842 1392 15390 SH SOLE 0 0 15390 PROSHARES TR PSHS ULTRA QQQ 74347R206 1931 14120 SH SOLE 0 0 14120 PROSPECT CAPITAL CORPORATION COM 74348T102 127 15400 SH SOLE 0 0 15400 RETAIL PPTYS AMER INC CL A 76131V202 588 35209 SH SOLE 0 0 35209 SALEM COMMUNICATIONS CORP DE CL A 794093104 137 17495 SH SOLE 0 0 17495 SAMSON OIL & GAS LTD SPON ADR 796043107 2 10000 SH SOLE 0 0 10000 SANDISK CORP COM 80004C101 1252 12783 SH SOLE 0 0 12783 SANDRIDGE ENERGY INC COM 80007P307 25 13627 SH SOLE 0 0 13627 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 757 16021 SH SOLE 0 0 16021 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 961 19820 SH SOLE 0 0 19820 SHERWIN WILLIAMS CO COM 824348106 205 780 SH SOLE 0 0 780 SKYWORKS SOLUTIONS INC COM 83088M102 1371 18860 SH SOLE 0 0 18860 SM ENERGY CO COM 78454L100 1815 47041 SH SOLE 0 0 47041 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 537 11245 SH SOLE 0 0 11245 SPDR S&P 500 ETF TR TR UNIT 78462F103 1534 7461 SH SOLE 0 0 7461 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 846 3206 SH SOLE 0 0 3206 SPDR SERIES TRUST S&P REGL BKG 78464A698 259 6354 SH SOLE 0 0 6354 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 333 3466 SH SOLE 0 0 3466 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 565 14639 SH SOLE 0 0 14639 SPIRIT RLTY CAP INC NEW COM 84860W102 357 29988 SH SOLE 0 0 29988 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 116 18800 SH SOLE 0 0 18800 STANDARD PAC CORP NEW COM 85375C101 101 13863 SH SOLE 0 0 13863 STARBUCKS CORP COM 855244109 1358 16555 SH SOLE 0 0 16555 SUNOPTA INC COM 8676EP108 164 13850 SH SOLE 0 0 13850 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 401 12750 SH SOLE 0 0 12750 TORTOISE MLP FD INC COM 89148B101 544 19471 SH SOLE 0 0 19471 UBS AG LONDON BRH 2X LEV LNG LKD 90267B765 215 10050 SH SOLE 0 0 10050 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 706 30265 SH SOLE 0 0 30265 US BANCORP DEL COM NEW 902973304 309 6876 SH SOLE 0 0 6876 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 532 6277 SH SOLE 0 0 6277 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 544 6806 SH SOLE 0 0 6806 VANGUARD INDEX FDS REIT ETF 922908553 1279 15791 SH SOLE 0 0 15791 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1353 14331 SH SOLE 0 0 14331 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 384 8201 SH SOLE 0 0 8201 VERIZON COMMUNICATIONS INC COM 92343V104 323 6895 SH SOLE 0 0 6895 VISA INC COM CL A 92826C839 257 980 SH SOLE 0 0 980 WELLS FARGO & CO NEW COM 949746101 226 4127 SH SOLE 0 0 4127 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 225 25345 SH SOLE 0 0 25345 WESTERN ASSET EMRG MKT DEBT COM 95766A101 718 45552 SH SOLE 0 0 45552 WPX ENERGY INC COM 98212B103 1154 99249 SH SOLE 0 0 99249