0001600151-17-000002.txt : 20170214 0001600151-17-000002.hdr.sgml : 20170214 20170214125125 ACCESSION NUMBER: 0001600151-17-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17606046 BUSINESS ADDRESS: STREET 1: 1101 W LAKE ST STREET 2: 1ST FLOOR CITY: CHICAGO STATE: IL ZIP: 60607 BUSINESS PHONE: 312-940-3684 MAIL ADDRESS: STREET 1: 1101 W LAKE ST STREET 2: 1ST FLOOR CITY: CHICAGO STATE: IL ZIP: 60607 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001600151 XXXXXXXX 12-31-2016 12-31-2016 Arete Wealth Advisors, LLC
1101 W LAKE ST 1ST FLOOR CHICAGO IL 60607
13F HOLDINGS REPORT 028-15999 N
Joshua Rogers President 312-940-3684 Joshua Rogers Chicago IL 02-14-2017 0 186 216573 false
INFORMATION TABLE 2 13fawa123116.xml ABBOTT LABS COM 002824100 201 5241 SH SOLE 0 0 5241 AEGON N V NY REGISTRY SH 007924103 97 17583 SH SOLE 0 0 17583 AGNICO EAGLE MINES LTD COM 008474108 660 15725 SH SOLE 0 0 15725 AMAZON COM INC COM 023135106 2895 3861 SH SOLE 0 0 3861 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 12537 534400 SH SOLE 0 0 534400 AMERICAN INTL GROUP INC COM NEW 026874784 5732 87773 SH SOLE 0 0 87773 AMGEN INC COM 031162100 1097 7506 SH SOLE 0 0 7506 ANNALY CAP MGMT INC COM 035710409 315 31622 SH SOLE 0 0 31622 APPLE INC COM 037833100 4085 35274 SH SOLE 0 0 35274 ARCHER DANIELS MIDLAND CO COM 039483102 444 9737 SH SOLE 0 0 9737 BANK OF AMERICA CORPORATION COM 060505104 12616 570874 SH SOLE 0 0 570874 BARRICK GOLD CORP COM 067901108 2171 135874 SH SOLE 0 0 135874 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1221 5 SH SOLE 0 0 5 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2971 18228 SH SOLE 0 0 18228 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 486 42030 SH SOLE 0 0 42030 BLACKROCK CR ALLCTN INC TR COM 092508100 495 38193 SH SOLE 0 0 38193 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 1940 352125 SH SOLE 0 0 352125 BOEING CO COM 097023105 341 2192 SH SOLE 0 0 2192 CF INDS HLDGS INC COM 125269100 5354 170081 SH SOLE 0 0 170081 CASEYS GEN STORES INC COM 147528103 1187 9982 SH SOLE 0 0 9982 CATERPILLAR INC DEL COM 149123101 2954 31856 SH SOLE 0 0 31856 CELGENE CORP COM 151020104 2951 25497 SH SOLE 0 0 25497 CHEVRON CORP NEW COM 166764100 280 2375 SH SOLE 0 0 2375 CHROMADEX CORP COM NEW 171077407 215 65093 SH SOLE 0 0 65093 CITIGROUP INC COM NEW 172967424 240 4033 SH SOLE 0 0 4033 COCA COLA CO COM 191216100 202 4871 SH SOLE 0 0 4871 COLUMBIA PPTY TR INC COM NEW 198287203 207 9582 SH SOLE 0 0 9582 DANAHER CORP DEL COM 235851102 227 2915 SH SOLE 0 0 2915 DEL TACO RESTAURANTS INC COM 245496104 268 18994 SH SOLE 0 0 18994 DISNEY WALT CO COM DISNEY 254687106 288 2765 SH SOLE 0 0 2765 DOW CHEM CO COM 260543103 218 3811 SH SOLE 0 0 3811 DU PONT E I DE NEMOURS & CO COM 263534109 301 4101 SH SOLE 0 0 4101 FS INVT CORP COM 302635107 7811 758320 SH SOLE 0 0 758320 FIDELITY TOTAL BD ETF 316188309 893 17934 SH SOLE 0 0 17934 FIRST TR ENHANCED EQTY INC F COM 337318109 2055 152075 SH SOLE 0 0 152075 FORD MTR CO DEL COM PAR $0.01 345370860 209 17259 SH SOLE 0 0 17259 GDL FUND COM SH BEN IT 361570104 118 11950 SH SOLE 0 0 11950 GENERAL ELECTRIC CO COM 369604103 828 26210 SH SOLE 0 0 26210 GILEAD SCIENCES INC COM 375558103 611 8538 SH SOLE 0 0 8538 GLOBAL NET LEASE INC COM 379378102 2317 295934 SH SOLE 0 0 295934 GREEN BRICK PARTNERS INC COM 392709101 356 35442 SH SOLE 0 0 35442 ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 393 6553 SH SOLE 0 0 6553 INTEL CORP COM 458140100 315 8677 SH SOLE 0 0 8677 INTERNATIONAL BUSINESS MACHS COM 459200101 386 2327 SH SOLE 0 0 2327 ISHARES GOLD TRUST ISHARES 464285105 253 22872 SH SOLE 0 0 22872 ISHARES TIPS BD ETF 464287176 835 7380 SH SOLE 0 0 7380 ISHARES CORE TOTUSBD ETF 464287226 2211 20458 SH SOLE 0 0 20458 ISHARES GLOBAL TECH ETF 464287291 388 3527 SH SOLE 0 0 3527 ISHARES GLOB HLTHCRE ETF 464287325 366 3864 SH SOLE 0 0 3864 ISHARES GLOBAL FINLS ETF 464287333 352 6093 SH SOLE 0 0 6093 ISHARES S&P 500 VAL ETF 464287408 256 2530 SH SOLE 0 0 2530 ISHARES TR MSCI EAFE ETF 464287465 698 12089 SH SOLE 0 0 12089 ISHARES CORE S&P MCP ETF 464287507 1128 6824 SH SOLE 0 0 6824 ISHARES TR RUS 1000 VAL ETF 464287598 675 6022 SH SOLE 0 0 6022 ISHARES TR RUS 1000 GRW ETF 464287614 297 2833 SH SOLE 0 0 2833 ISHARES TR RUS 2000 VAL ETF 464287630 2626 22080 SH SOLE 0 0 22080 ISHARES S&P MC 400VL ETF 464287705 892 6145 SH SOLE 0 0 6145 ISHARES CORE S&P SCP ETF 464287804 1465 10654 SH SOLE 0 0 10654 ISHARES TR U.S. BAS MTL ETF 464287838 210 2522 SH SOLE 0 0 2522 ISHARES TR SP SMCP600VL ETF 464287879 1062 7587 SH SOLE 0 0 7587 ISHARES NAT AMT FREE BD 464288414 354 3271 SH SOLE 0 0 3271 ISHARES INTERM CR BD ETF 464288638 307 2834 SH SOLE 0 0 2834 ISHARES U.S. PFD STK ETF 464288687 1269 34093 SH SOLE 0 0 34093 JOHNSON & JOHNSON COM 478160104 478 4146 SH SOLE 0 0 4146 KEMPHARM INC COM 488445107 2510 850785 SH SOLE 0 0 850785 L-3 COMMUNICATIONS HLDGS INC COM 502424104 2781 18281 SH SOLE 0 0 18281 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 2074 401942 SH SOLE 0 0 401942 MICROSOFT CORP COM 594918104 535 8608 SH SOLE 0 0 8608 NEW GOLD INC CDA COM 644535106 1841 526106 SH SOLE 0 0 526106 NEW SR INVT GROUP INC COM 648691103 292 29800 SH SOLE 0 0 29800 NORTHWEST BANCSHARES INC MD COM 667340103 187 10375 SH SOLE 0 0 10375 NUVEEN AMT FREE QLTY MUN INC COM 670657105 595 44623 SH SOLE 0 0 44623 PENNANTPARK INVT CORP COM 708062104 385 50226 SH SOLE 0 0 50226 PEPSICO INC COM 713448108 269 2575 SH SOLE 0 0 2575 PFIZER INC COM 717081103 375 11555 SH SOLE 0 0 11555 PROCTOR & GAMBLE CO COM 742718109 694 8251 SH SOLE 0 0 8251 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 264 8100 SH SOLE 0 0 8100 SILVER WHEATON CORP COM 828336107 2435 126021 SH SOLE 0 0 126021 SOUTHERN CO COM 842587107 326 6628 SH SOLE 0 0 6628 STARBUCKS CORP COM 855244109 264 4758 SH SOLE 0 0 4758 TEMPLETON GLOBAL INCOME FD COM 880198106 1125 173653 SH SOLE 0 0 173653 US BANCORP DEL COM NEW 902973304 263 5128 SH SOLE 0 0 5128 UNITED STATES STL CORP NEW COM 912909108 3196 96829 SH SOLE 0 0 96829 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 702 8237 SH SOLE 0 0 8237 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 885 10657 SH SOLE 0 0 10657 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 944 11877 SH SOLE 0 0 11877 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 476 13020 SH SOLE 0 0 13020 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 201 2653 SH SOLE 0 0 2653 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 492 11144 SH SOLE 0 0 11144 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1159 32405 SH SOLE 0 0 32405 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 6459 31462 SH SOLE 0 0 31462 VANGUARD INDEX FDS REIT ETF 922908553 256 3106 SH SOLE 0 0 3106 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1469 14350 SH SOLE 0 0 14350 VANGUARD INDEX FDS GROWTH ETF 922908736 228 2050 SH SOLE 0 0 2050 VANGUARD INDEX FDS VALUE ETF 922908744 227 2441 SH SOLE 0 0 2441 VIRTU FINL INC CL A 928254101 499 31275 SH SOLE 0 0 31275 WELLS FARGO & CO NEW COM 949746101 495 8977 SH SOLE 0 0 8977 WEST CORP COM 952355204 300 12100 SH SOLE 0 0 12100 XENIA HOTELS & RESORTS INC COM 984017103 818 42139 SH SOLE 0 0 42139 XEROX CORP COM 984121103 394 45109 SH SOLE 0 0 45109 U S SILICA HLDGS INC COM 90346E103 3569 62976 SH SOLE 0 0 62976 NOVAGOLD RES INC COM NEW 66987E206 649 142388 SH SOLE 0 0 142388 AALS ETF TR ALERIAN MLP 00162Q866 6348 503774 SH SOLE 0 0 503774 AT&T INC COM 00206R102 554 13030 SH SOLE 0 0 13030 ABBVIE INC COM 00287Y109 584 9318 SH SOLE 0 0 9318 ADVENT CLAYMORE CV SECS & IN COM 00764C109 1705 116126 SH SOLE 0 0 116126 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 585 44270 SH SOLE 0 0 44270 ALPHABET INC CAP STK CL C 02079K107 607 787 SH SOLE 0 0 787 ALPHABET INC CAP STK CL A 02079K305 3192 4028 SH SOLE 0 0 4028 ALTRIA GROUP INC COM 02209S103 263 3885 SH SOLE 0 0 3885 APOLLO COML REAL EST FIN INC COM 03762U105 276 16630 SH SOLE 0 0 16630 ATHERSYS INC COM 04744L106 21 13849 SH SOLE 0 0 13849 BARCLAYS BANK PLC ADR PFD SR 5 06739H362 868 33976 SH SOLE 0 0 33976 BLACKROCK MUNI INTER DR FD I COM 09253X102 590 42722 SH SOLE 0 0 42722 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 281 24758 SH SOLE 0 0 24758 CA INC COM 12673P105 494 15551 SH SOLE 0 0 15551 CANADIAN PAC RY LTD COM 13645T100 2730 19120 SH SOLE 0 0 19120 CISCO SYS INC COM 17275R102 1342 44397 SH SOLE 0 0 44397 CLAYMORE EXCHANGE TRD FD TR GUGG ENH SHT DUR 18383M654 978 19505 SH SOLE 0 0 19505 COHEN & STEERS INFRASTRUCTUR COM 19248A109 625 32306 SH SOLE 0 0 32306 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 49 15099 SH SOLE 0 0 15099 CREDIT SUISSE AG NASSAU BRH VEL SH 3X LG NAT 22539T324 672 14541 SH SOLE 0 0 14541 DREYFUS STRATEGIC MUN BD FD COM 26202F107 2139 266082 SH SOLE 0 0 266082 EOG RES INC COM 26875P101 6169 61022 SH SOLE 0 0 61022 EATON VANCE TX MNG BY WRT OP COM 27828Y108 184 12415 SH SOLE 0 0 12415 EXXON MOBIL CORP COM 30231G102 1140 12625 SH SOLE 0 0 12625 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 360 13317 SH SOLE 0 0 13317 GAMESTOP CORP NEW CL A 36467W109 339 13410 SH SOLE 0 0 13410 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 409 10610 SH SOLE 0 0 10610 GLOBAL X FDS GLBL X MLP ETF 37950E473 219 18917 SH SOLE 0 0 18917 GOLDMAN SACHS GROUP INC COM 38141G104 2267 9466 SH SOLE 0 0 9466 GUGGENHEIM ENHNCD EQTY INCM COM 40167B100 197 24685 SH SOLE 0 0 24685 INDEPENDENCE RLTY TR INC COM 45378A106 807 90500 SH SOLE 0 0 90500 INVESCO SR INCOME TR COM 46131H107 1461 314887 SH SOLE 0 0 314887 ISHARES SILVER TRUST ISHARES 46428Q109 165 10952 SH SOLE 0 0 10952 ISHARES TR CORE HIGH DV ETF 46429B663 295 3589 SH SOLE 0 0 3589 ISHARES TR USA MIN VOL ETF 46429B697 860 19012 SH SOLE 0 0 19012 ISHARES TR CORE DIV GRWTH 46434V621 1647 56998 SH SOLE 0 0 56998 JPMORGAN CHASE & CO COM 46625H100 605 7012 SH SOLE 0 0 7012 MEDLEY CAP CORP COM 58503F106 215 28620 SH SOLE 0 0 28620 MERCK & CO INC COM 58933Y105 784 13317 SH SOLE 0 0 13317 METLIFE INC COM 59156R108 496 9203 SH SOLE 0 0 9203 NETFLIX INC COM 64110L106 270 2178 SH SOLE 0 0 2178 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 258 16385 SH SOLE 0 0 16385 NORTHSTAR REALTY EUROPE CORP COM 66706L101 135 10763 SH SOLE 0 0 10763 NVIDIA CORP COM 67066G104 307 2874 SH SOLE 0 0 2874 NUVEEN ENHANCED MUN CREDIT O COM SH BEN INT 67070X101 608 42973 SH SOLE 0 0 42973 NUVEEN PREFERRED SECURITIES COM 67072C105 1144 122923 SH SOLE 0 0 122923 OCLARO INC COM NEW 67555N206 2571 287316 SH SOLE 0 0 287316 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 2357 23606 SH SOLE 0 0 23606 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 215 2122 SH SOLE 0 0 2122 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 650 18735 SH SOLE 0 0 18735 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 576 4862 SH SOLE 0 0 4862 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 429 18347 SH SOLE 0 0 18347 POWERSHARES ETF TR II SOVEREIGN DEBT 73936T573 587 20757 SH SOLE 0 0 20757 PRINCIPAL FINL GROUP INC COM 74251V102 298 5157 SH SOLE 0 0 5157 PROSHARES TR SHORT S&P 500 NE 74347B425 428 11717 SH SOLE 0 0 11717 PROSPECT CAPITAL CORPORATION COM 74348T102 145 17353 SH SOLE 0 0 17353 PRUDENTIAL SHT DURATION HG Y COM 74442F107 416 26877 SH SOLE 0 0 26877 RETAIL PPTYS AMER INC CL A 76131V202 540 35255 SH SOLE 0 0 35255 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 758 8754 SH SOLE 0 0 8754 SPDR S&P 500 ETF TR TR UNIT 78462F103 1653 7394 SH SOLE 0 0 7394 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 325 6925 SH SOLE 0 0 6925 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 330 9048 SH SOLE 0 0 9048 SPDR SERIES TRUST S&P REGL BKG 78464A698 3422 61576 SH SOLE 0 0 61576 SPDR SERIES TRUST S&P DIVID ETF 78464A763 215 2509 SH SOLE 0 0 2509 SELECT INCOME REIT COM SH BEN INT 81618T100 675 26799 SH SOLE 0 0 26799 SPIRIT RLTY CAP INC NEW COM 84860W102 198 18248 SH SOLE 0 0 18248 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 118 19465 SH SOLE 0 0 19465 SUNOPTA INC COM 8676EP108 155 21950 SH SOLE 0 0 21950 3M CO COM 88579Y101 238 1336 SH SOLE 0 0 1336 TIER REIT INC COM NEW 88650V208 188 10827 SH SOLE 0 0 10827 TORTOISE MLP FD INC COM 89148B101 2980 156169 SH SOLE 0 0 156169 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 428 25525 SH SOLE 0 0 25525 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 4924 235394 SH SOLE 0 0 235394 VANGUARD WORLD FDS INF TECH ETF 92204A702 288 2370 SH SOLE 0 0 2370 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 454 4202 SH SOLE 0 0 4202 VEREIT INC COM 92339V100 539 63714 SH SOLE 0 0 63714 VERIZON COMMUNICATIONS INC COM 92343V104 470 8798 SH SOLE 0 0 8798 VISA INC COM CL A 92826C839 327 4192 SH SOLE 0 0 4192 WESTERN ASSET EMRG MKT DEBT COM 95766A101 493 33495 SH SOLE 0 0 33495 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 254 2167 SH SOLE 0 0 2167 CORE LABORATORIES N V COM N22717107 3222 26838 SH SOLE 0 0 26838 FRANKS INTL N V COM N33462107 148 12054 SH SOLE 0 0 12054 SEADRILL PARTNERS LLC COMUNIT REP LB Y7545W109 72 17129 SH SOLE 0 0 17129