0001600151-19-000004.txt : 20191113 0001600151-19-000004.hdr.sgml : 20191113 20191113160624 ACCESSION NUMBER: 0001600151-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191113 DATE AS OF CHANGE: 20191113 EFFECTIVENESS DATE: 20191113 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: 191213984 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 09-30-2019 09-30-2019 Arete Wealth Advisors, LLC

1101 W LAKE ST 1ST FLOOR CHICAGO IL 60607

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INVESCO ACTIVELY MANAGD ETF ULTRA SHRT DUR 46090A887 2658 52725 SH SOLE 0 0 52725 INTUITIVE SURGICAL INC COM NEW 46120E602 208 386 SH SOLE 0 0 386 INVESCO DYNAMIC CR OPP FD COM 46132R104 115 10442 SH SOLE 0 0 10442 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 444 3751 SH SOLE 0 0 3751 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 343 3178 SH SOLE 0 0 3178 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 504 3591 SH SOLE 0 0 3591 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 550 4663 SH SOLE 0 0 4663 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 262 4306 SH SOLE 0 0 4306 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 303 20167 SH SOLE 0 0 20167 INVESCO EXCHNG TRADED FD TR S&P ULTRA DIVIDE 46138G656 1969 52233 SH SOLE 0 0 52233 ISHARES TR US TREAS BD ETF 46429B267 278 10568 SH SOLE 0 0 10568 ISHARES TR FLTG RATE BD ETF 46429B655 202 3969 SH SOLE 0 0 3969 ISHARES TR CORE HIGH DV ETF 46429B663 723 7679 SH SOLE 0 0 7679 ISHARES TR MSCI MIN VOL ETF 46429B697 264 4125 SH SOLE 0 0 4125 ISHARES TR 0-5 YR TIPS ETF 46429B747 255 2546 SH SOLE 0 0 2546 ISHARES US ETF TR SHT MAT BD ETF 46431W507 10651 211577 SH SOLE 0 0 211577 ISHARES TR USA MOMENTUM FCT 46432F396 300 2512 SH SOLE 0 0 2512 ISHARES TR CORE MSCI EAFE 46432F842 501 8204 SH SOLE 0 0 8204 ISHARES INC CORE MSCI EMKT 46434G103 637 12997 SH SOLE 0 0 12997 ISHARES TR 0-5YR HI YL CP 46434V407 620 13326 SH SOLE 0 0 13326 ISHARES TR CORE DIV GRWTH 46434V621 1963 50152 SH SOLE 0 0 50152 ISHARES TR GLOBAL REIT ETF 46434V647 863 30716 SH SOLE 0 0 30716 JPMORGAN CHASE & CO COM 46625H100 3177 26992 SH SOLE 0 0 26992 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 214 9213 SH SOLE 0 0 9213 KKR & CO INC CL A 48251W104 401 14944 SH SOLE 0 0 14944 KEYSIGHT TECHNOLOGIES INC COM 49338L103 1014 10428 SH SOLE 0 0 10428 KINDER MORGAN INC DEL COM 49456B101 545 26444 SH SOLE 0 0 26444 MARATHON PETE CORP COM 56585A102 435 7159 SH SOLE 0 0 7159 MASTERCARD INCORPORATED CL A 57636Q104 699 2574 SH SOLE 0 0 2574 MERCK & CO INC COM 58933Y105 3011 35763 SH SOLE 0 0 35763 NIO INC SPON ADS 62914V106 20 13000 SH SOLE 0 0 13000 NETFLIX INC COM 64110L106 651 2434 SH SOLE 0 0 2434 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 241 15387 SH SOLE 0 0 15387 NEW YORK CMNTY CAP TR V UNIT 11/01/2051 64944P307 1293 25862 SH SOLE 0 0 25862 NEXTERA ENERGY INC COM 65339F101 1521 6529 SH SOLE 0 0 6529 NOVARTIS A G SPONSORED ADR 66987V109 714 8221 SH SOLE 0 0 8221 NVIDIA CORP COM 67066G104 510 2931 SH SOLE 0 0 2931 NUVEEN ENHANCED MUN CREDIT O COM SH BEN INT 67070X101 904 55679 SH SOLE 0 0 55679 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 104 13866 SH SOLE 0 0 13866 O REILLY AUTOMOTIVE INC NEW COM 67103H107 546 1371 SH SOLE 0 0 1371 OAKTREE SPECIALTY LENDING CO COM 67401P108 267 51512 SH SOLE 0 0 51512 ONCOCYTE CORPORATION COM 68235C107 26 12500 SH SOLE 0 0 12500 ORACLE CORP COM 68389X105 684 12431 SH SOLE 0 0 12431 OUTFRONT MEDIA INC COM 69007J106 206 7408 SH SOLE 0 0 7408 PGIM ETF TR ULTRA SHORT 69344A107 556 11073 SH SOLE 0 0 11073 PAYCOM SOFTWARE INC COM 70432V102 825 3940 SH SOLE 0 0 3940 PAYPAL HLDGS INC COM 70450Y103 1551 14972 SH SOLE 0 0 14972 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 3916 39256 SH SOLE 0 0 39256 PIMCO DYNAMIC INCOME FD SHS 72201Y101 226 6943 SH SOLE 0 0 6943 PIMCO INCOME OPPORTUNITY FUND COM 72202B100 203 7636 SH SOLE 0 0 7636 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 418 17075 SH SOLE 0 0 17075 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 523 24655 SH SOLE 0 0 24655 PRINCIPAL FINL GROUP INC COM 74251V102 313 5473 SH SOLE 0 0 5473 RETAIL PPTYS AMER INC CL A 76131V202 266 21588 SH SOLE 0 0 21588 SPDR S&P 500 ETF TR TR UNIT 78462F103 23036 77624 SH SOLE 0 0 77624 SPDR GOLD TRUST GOLD SHS 78463V107 1083 7797 SH SOLE 0 0 7797 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 438 8445 SH SOLE 0 0 8445 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 265 9011 SH SOLE 0 0 9011 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2964 100947 SH SOLE 0 0 100947 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 2042 38930 SH SOLE 0 0 38930 SPDR SERIES TRUST BLOMBRG BRC INTR 78464A375 1021 28930 SH SOLE 0 0 28930 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 1160 29840 SH SOLE 0 0 29840 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 293 9490 SH SOLE 0 0 9490 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 857 26816 SH SOLE 0 0 26816 SPDR SERIES TRUST BLOMBERG INTL TR 78464A516 421 14661 SH SOLE 0 0 14661 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 4746 160130 SH SOLE 0 0 160130 SPDR SERIES TRUST BLMBRG BRC INTRM 78464A672 1171 37461 SH SOLE 0 0 37461 SPDR SERIES TRUST S&P REGL BKG 78464A698 221 4185 SH SOLE 0 0 4185 SPDR SERIES TRUST S&P DIVID ETF 78464A763 739 7203 SH SOLE 0 0 7203 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 6499 176895 SH SOLE 0 0 176895 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 1107 32677 SH SOLE 0 0 32677 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 3246 93147 SH SOLE 0 0 93147 SPDR SERIES TRUST S&P BIOTECH 78464A870 336 4405 SH SOLE 0 0 4405 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 5878 133342 SH SOLE 0 0 133342 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 241 5209 SH SOLE 0 0 5209 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 3541 13156 SH SOLE 0 0 13156 SPDR SER TR BLOMBERG BRC INV 78468R200 308 10024 SH SOLE 0 0 10024 SPDR SER TR BLOOMBERG SRT TR 78468R408 390 14435 SH SOLE 0 0 14435 SPDR SER TR SPDR BLOOMBERG 78468R663 5895 64360 SH SOLE 0 0 64360 SPDR SER TR NUVEEN BLMBRG SR 78468R739 624 12743 SH SOLE 0 0 12743 SPDR SERIES TRUST PRTFLO S&P500 HI 78468R788 554 14584 SH SOLE 0 0 14584 SPDR SER TR SSGA US LRG ETF 78468R804 3378 30302 SH SOLE 0 0 30302 SPDR SER TR PORTFOLIO SM ETF 78468R853 1862 62059 SH SOLE 0 0 62059 SALESFORCE COM INC COM 79466L302 205 1380 SH SOLE 0 0 1380 SELECT SECTOR SPDR TR ENERGY 81369Y506 284 4811 SH SOLE 0 0 4811 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 360 12850 SH SOLE 0 0 12850 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 286 3552 SH SOLE 0 0 3552 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 545 8429 SH SOLE 0 0 8429 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 114 18200 SH SOLE 0 0 18200 SPROUTS FMRS MKT INC COM 85208M102 266 13757 SH SOLE 0 0 13757 STARWOOD PPTY TR INC COM 85571B105 209 8624 SH SOLE 0 0 8624 TESLA MTRS INC COM 88160R101 369 1530 SH SOLE 0 0 1530 3M CO COM 88579Y101 2750 16743 SH SOLE 0 0 16743 TORTOISE MLP FD INC COM 89148B101 7036 572519 SH SOLE 0 0 572519 TORTOISE ENERGY INDEPENDENC COM 89148K101 1533 371247 SH SOLE 0 0 371247 UNITEDHEALTH GROUP INC COM 91324P102 1432 6594 SH SOLE 0 0 6594 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 3391 126924 SH SOLE 0 0 126924 VANECK VECTORS ETF TR INVT GRADE FLTG 92189F486 227 8976 SH SOLE 0 0 8976 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 249 4233 SH SOLE 0 0 4233 VANGUARD WORLD FDS ENERGY ETF 92204A306 247 3172 SH SOLE 0 0 3172 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 257 3675 SH SOLE 0 0 3675 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 338 2015 SH SOLE 0 0 2015 VANGUARD WORLD FDS INF TECH ETF 92204A702 555 2574 SH SOLE 0 0 2574 VANGUARD WORLD FDS UTILITIES ETF 92204A876 892 6212 SH SOLE 0 0 6212 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1229 15159 SH SOLE 0 0 15159 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 406 3337 SH SOLE 0 0 3337 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 400 4383 SH SOLE 0 0 4383 VEREIT INC COM 92339V100 1008 103250 SH SOLE 0 0 103250 VERIZON COMMUNICATIONS INC COM 92343V104 2416 40025 SH SOLE 0 0 40025 VERISK ANALYTICS INC COM 92345Y106 1122 7094 SH SOLE 0 0 7094 VISA INC COM CL A 92826C839 4275 24854 SH SOLE 0 0 24854 W P CAREY INC COM 92936U109 455 5231 SH SOLE 0 0 5231 WEC ENERGY GROUP INC COM 92939U106 238 2506 SH SOLE 0 0 2506 WASTE MGMT INC DEL COM 94106L109 422 3670 SH SOLE 0 0 3670 WISDOMTREE TR EMG MKTS SMCAP 97717W281 263 5926 SH SOLE 0 0 5926 WISDOMTREE TR US MIDCAP DIVID 97717W505 316 8700 SH SOLE 0 0 8700 WISDOMTREE TR US MIDCP EARNING 97717W570 379 9598 SH SOLE 0 0 9598 WISDOMTREE TR US QTLR DIV GRT 97717X669 228 5064 SH SOLE 0 0 5064 ZOETIS INC CL A 98978V103 1395 11200 SH SOLE 0 0 11200 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2731 14199 SH SOLE 0 0 14199 EATON CORP PLC SHS G29183103 264 3180 SH SOLE 0 0 3180 LINDE PLC COM G5494J103 570 2941 SH SOLE 0 0 2941 MEDTRONIC PLC SHS G5960L103 2181 20080 SH SOLE 0 0 20080 CHUBB LIMITED COM H1467J104 796 4932 SH SOLE 0 0 4932 TE CONNECTIVITY LTD REG SHS H84989104 227 2437 SH SOLE 0 0 2437