Market Value394,105,000
Total Holdings121
File Date2013-11-06
Original Filing (Click here)

All hedge funds or institutions that manage over $100M are required by the SEC to file quarterly reports on their holdings. These reports are called 13F reports. However, the filings are required the following quarter from the reporting period, which means that by the time the filing is made (and we see them), the information could be five months old.

For funds with long term positions that make few trades, the holdings might closely resemble their current holdings, even after several months. However, for funds that have high turnover, the holdings data we see might differ significantly from their current holdings. Institutions are required to report CALL and PUT options, and those positions are identified in the table. However, they are not required to report short positions.

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Security Imputed
Share Price
Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
(USD x1000)
Current Value
(USD x1000)
Change
(Percent)
RIVERROCK LP / (000000000)
ADT / ADT Inc.
AFL / Aflac Incorporated
AMLP / ALPS ETF Trust - Alerian MLP ETF
T / AT&T Inc.
ABT / Abbott Laboratories
ABBV / AbbVie Inc.
FAX / Abrdn Asia-Pacific Income Fund Inc
ACCELRYS INC COM / (00430U103)
ADBE / Adobe Inc.
ADES / Advanced Emissions Solutions, Inc.
AET / Aetna, Inc.
AMG / Affiliated Managers Group, Inc.
AEM / Agnico Eagle Mines Limited
AIRM / Air Methods Corp.
APD / Air Products and Chemicals, Inc.
018490100 / Allergan plc
LNT / Alliant Energy Corporation
ALL / The Allstate Corporation
MO / Altria Group, Inc.
AMZN / Amazon.com, Inc.
AMX / América Móvil, S.A.B. de C.V. - Depositary Receipt (Common Stock)
AXP / American Express Company
AMP / Ameriprise Financial, Inc.
AMGN / Amgen Inc.
APH / Amphenol Corporation
US0325111070 / Anadarko Petroleum Corp.
ADI / Analog Devices, Inc.
BUD / Anheuser-Busch InBev SA/NV - Depositary Receipt (Common Stock)
US0373471012 / Anworth Mortgage Asset Corp.
APA / APA Corporation
AINV / Apollo Investment Corporation
AAPL / Apple Inc.
ASCMB / Ascent Capital Group, Inc.
ADSK / Autodesk, Inc.
ADP / Automatic Data Processing, Inc.
US0549371070 / BB&T Corp.
BP / BP p.l.c. - Depositary Receipt (Common Stock)
BHI / Baker Hughes Inc.
BANCO RIO DE LA PLATA SA SPON / (059644104)
BAC / Bank of America Corporation
BK / The Bank of New York Mellon Corporation
DJP / iPath Bloomberg Commodity Index Total Return ETN - Structured Product
BARCLAYS BK PLC IPTH NAT GAS / (06740P239)
BAX / Baxter International Inc.
07317Q956 / Baytex Energy Trust
BEAM / Beam Therapeutics Inc.
BDX / Becton, Dickinson and Company
BBBY / Bed Bath & Beyond, Inc.
BRK.A / Berkshire Hathaway Inc.
BRK.B / Berkshire Hathaway Inc.
BHP / BHP Group Limited - Depositary Receipt (Common Stock)
BKN / BlackRock Investment Quality Municipal Trust Inc.
BFK / BlackRock Municipal Income Trust
US09248T1097 / Blackrock Strategic Municipal Trust
BLE / BlackRock Municipal Income Trust II
BLACKROCK HIGH INCOME SHS SHS / ETF (09250E107)
MVF / BlackRock MuniVest Fund, Inc.
MVT / BlackRock MuniVest Fund II, Inc.
MYD / BlackRock MuniYield Fund, Inc.
BWP / Boardwalk Pipeline Partners L.P
BA / The Boeing Company
US1011191053 / Boston Private Financial Hldg Inc
BXP / Boston Properties, Inc.
BMY / Bristol-Myers Squibb Company
BF.B / Brown-Forman Corporation
US1182301010 / Buckeye Partners, L.P.
CBZ / CBIZ, Inc.
IGR / CBRE Global Real Estate Income Fund
CI / The Cigna Group
CME / CME Group Inc.
CVS / CVS Health Corporation
COF / Capital One Financial Corporation
CRR / Carbo Ceramics Inc.
CAT / Caterpillar Inc.
CE / Celanese Corporation
CELG / Celgene Corp.
CENTRAL EUROPEAN SATELITE CORP / (153455993)
LUMN / Lumen Technologies, Inc.
CPHD / Cepheid
/ Ceres, Inc.
CSBR / Champions Oncology, Inc.
CVX / Chevron Corporation
CMG / Chipotle Mexican Grill, Inc.
CB / Chubb Limited
CHD / Church & Dwight Co., Inc.
CSCO / Cisco Systems, Inc.
CITIGROUP CAP XVII TRUPS 6.35% / PFD (17311H209)
CLX / The Clorox Company
TPR / Tapestry, Inc.
CBKLP / CoBank ACB - 6.125% PRF PERPETUAL USD - Ser G
COBZ / CoBiz Financial, Inc.
KO / The Coca-Cola Company
CGNX / Cognex Corporation
SCU / Sculptor Capital Management Inc - Class A
UTF / Cohen & Steers Infrastructure Fund, Inc
CL / Colgate-Palmolive Company
CMCSA / Comcast Corporation
CMCSA / Comcast Corporation
COP / ConocoPhillips
ED / Consolidated Edison, Inc.
COST / Costco Wholesale Corporation
COTY / Coty Inc.
DWS MUN INCOME TR COM / (23338M106)
DE / Deere & Company
DML / Denison Mines Corp.
DKS / DICK'S Sporting Goods, Inc.
DIS / The Walt Disney Company
DFS / Discover Financial Services
DISCA / Discovery Inc - Class A
DISCK / Warner Bros.Discovery Inc - Series C
DTV / DTE Energy Company
DCI / Donaldson Company, Inc.
DOV / Dover Corporation
DOW / Dow Inc.
DOWNEY FINL CORP COM / (261018105)
DRD / DRDGOLD Limited - Depositary Receipt (Common Stock)
DOW / Dow Inc.
DUK / Duke Energy Corporation
EGA EMERGING GLOBAL SHS TR EGS / (268461779)
EMC / Global X Funds - Global X Emerging Markets Great Consumer ETF
US2782651036 / Eaton Vance Corp.
ECL / Ecolab Inc.
EW / Edwards Lifesciences Corporation
EMR / Emerson Electric Co.
EGN / Energen Corp.
EXC / Exelon Corporation
ESRX / Express Scripts Holding Co.
XOM / Exxon Mobil Corporation
FMC / FMC Corporation
META / Meta Platforms, Inc.
FDS / FactSet Research Systems Inc.
FAST / Fastenal Company
FETIX / Federated Enhanced Treasury Income Fund
FDX / FedEx Corporation
FFIV / F5, Inc.
FINOVA GROUP INC COM / (317928109)
C.WSA / Citigroup, Inc.
AG / First Majestic Silver Corp.
FTA / First Trust Exchange-Traded AlphaDEX Fund - First Trust Large Cap Value AlphaDEX Fund
FLS / Flowserve Corporation
F / Ford Motor Company
FC / Franklin Covey Co.
FCX / Freeport-McMoRan Inc.
FTR / Frontier Communications Corp.
GD / General Dynamics Corporation
GE / General Electric Company
GIS / General Mills, Inc.
GILD / Gilead Sciences, Inc.
GSK / GSK plc - Depositary Receipt (Common Stock)
GS / The Goldman Sachs Group, Inc.
GOOGL / Alphabet Inc.
GWW / W.W. Grainger, Inc.
GMCR / Keurig Green Mountain, Inc.
HAL / Halliburton Company
LHX / L3Harris Technologies, Inc.
HIG / The Hartford Insurance Group, Inc.
HNR / Harvest Natural Resources, Inc.
HEI / HEICO Corporation
HPQ / HP Inc.
HFC / HollyFrontier Corp
HD / The Home Depot, Inc.
HMC / Honda Motor Co., Ltd. - Depositary Receipt (Common Stock)
HON / Honeywell International Inc.
HRL / Hormel Foods Corporation
HBCO / Hungarian Broadcasting Corp.
ITW / Illinois Tool Works Inc.
QAI / New York Life Investments ETF Trust - NYLI Hedge Multi-Strategy Tracker ETF
GRES / IndexIQ ETF Trust - IQ Global Resources ETF
ING / ING Groep N.V. - Depositary Receipt (Common Stock)
INTC / Intel Corporation
INTERCONTINENTALEXCHANGE INC C / (45865V100)
IBM / International Business Machines Corporation
IPG / The Interpublic Group of Companies, Inc.
IAU / iShares Gold Trust
EWZ / iShares, Inc. - iShares MSCI Brazil ETF
EPP / iShares, Inc. - iShares MSCI Pacific ex Japan ETF
ISHARES MSCI USA ETF / (464286699)
EWG / iShares, Inc. - iShares MSCI Germany ETF
DVY / iShares Trust - iShares Select Dividend ETF
TIP / iShares Trust - iShares TIPS Bond ETF
IVV / iShares Trust - iShares Core S&P 500 ETF
AGG / iShares Trust - iShares Core U.S. Aggregate Bond ETF
EEM / iShares, Inc. - iShares MSCI Emerging Markets ETF
IVW / iShares Trust - iShares S&P 500 Growth ETF
ILF / iShares Trust - iShares Latin America 40 ETF
IVE / iShares Trust - iShares S&P 500 Value ETF
IEF / iShares Trust - iShares 7-10 Year Treasury Bond ETF
SHY / iShares Trust - iShares 1-3 Year Treasury Bond ETF
EFA / iShares Trust - iShares MSCI EAFE ETF
IWR / iShares Trust - iShares Russell Mid-Cap ETF
IJH / iShares Trust - iShares Core S&P Mid-Cap ETF
ICF / iShares Trust - iShares Select U.S. REIT ETF
IWD / iShares Trust - iShares Russell 1000 Value ETF
IJK / iShares Trust - iShares S&P Mid-Cap 400 Growth ETF
IWF / iShares Trust - iShares Russell 1000 Growth ETF
IWB / iShares Trust - iShares Russell 1000 ETF
IWN / iShares Trust - iShares Russell 2000 Value ETF
IWO / iShares Trust - iShares Russell 2000 Growth ETF
IWM / iShares Trust - iShares Russell 2000 ETF
IWV / iShares Trust - iShares Russell 3000 ETF
IJJ / iShares Trust - iShares S&P Mid-Cap 400 Value ETF
IYR / iShares Trust - iShares U.S. Real Estate ETF
IYE / iShares Trust - iShares U.S. Energy ETF
IYJ / iShares Trust - iShares U.S. Industrials ETF
IYF / iShares Trust - iShares U.S. Financials ETF
IJR / iShares Trust - iShares Core S&P Small-Cap ETF
IYK / iShares Trust - iShares U.S. Consumer Staples ETF
IJS / iShares Trust - iShares S&P Small-Cap 600 Value ETF
IJT / iShares Trust - iShares S&P Small-Cap 600 Growth ETF
AAXJ / iShares Trust - iShares MSCI All Country Asia ex Japan ETF
SCZ / iShares Trust - iShares MSCI EAFE Small-Cap ETF
MUB / iShares Trust - iShares National Muni Bond ETF
GVI / iShares Trust - iShares Intermediate Government/Credit Bond ETF
ITB / iShares Trust - iShares U.S. Home Construction ETF
IHF / iShares Trust - iShares U.S. Healthcare Providers ETF
MCHI / iShares Trust - iShares MSCI China ETF
ISTB / iShares Trust - iShares Core 1-5 Year USD Bond ETF
J / Jacobs Solutions Inc.
JPM / JPMorgan Chase & Co.
J / Jacobs Solutions Inc.
JNJ / Johnson & Johnson
JCI / Johnson Controls International plc
K / Kellanova
KMB / Kimberly-Clark Corporation
KMP /
PHG / Koninklijke Philips N.V. - Depositary Receipt (Common Stock)
KRFT /
LVMUY / LVMH Moët Hennessy - Louis Vuitton, Société Européenne - Depositary Receipt (Common Stock)
EL / The Estée Lauder Companies Inc.
QRTEA / Qurate Retail Inc - Series A
FWONA / Formula One Group
LLY / Eli Lilly and Company
LQDT / Liquidity Services, Inc.
LYG / Lloyds Banking Group plc - Depositary Receipt (Common Stock)
LMT / Lockheed Martin Corporation
LOW / Lowe's Companies, Inc.
MSM / MSC Industrial Direct Co., Inc.
MFD / Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund
MRO / Marathon Oil Corporation
MARKET VECTORS ETF TR GOLD MIN / (57060U100)
MARKET VECTORS ETF TR EM LC CU / (57060U522)
MARKET VECTORS ETF TR JR GOLD / (57060U589)
MMC / Marsh & McLennan Companies, Inc.
MA / Mastercard Incorporated
MAT / Mattel, Inc.
MCD / McDonald's Corporation
MWV /
MDT / Medtronic plc
MRK / Merck & Co., Inc.
MERRILL LYNCH CAP TR II PFD GD / PFD (59024T203)
XCXEX / MFS High Income Municipal Trust
MSFT / Microsoft Corporation
MDLZ / Mondelez International, Inc.
61166W101 / Monsanto Co.
MS / Morgan Stanley
NOV / NOV Inc.
NSRGY / Nestlé S.A. - Depositary Receipt (Common Stock)
NEE / NextEra Energy, Inc.
NKE / NIKE, Inc.
JWN / Nordstrom, Inc.
NSC / Norfolk Southern Corporation
ES / Eversource Energy
NVS / Novartis AG - Depositary Receipt (Common Stock)
NVO / Novo Nordisk A/S - Depositary Receipt (Common Stock)
NUAN / Nuance Communications Inc
NXP / Nuveen Select Tax-Free Income Portfolio
NPP / Nuveen Performance Plus Municipal Fund, Inc.
XNPMX / Nuveen Premium Income Municipal
NVDA / NVIDIA Corporation
JFR / Nuveen Floating Rate Income Fund
ORLY / O'Reilly Automotive, Inc.
OXY / Occidental Petroleum Corporation
OII / Oceaneering International, Inc.
OMC / Omnicom Group Inc.
OKE / ONEOK, Inc.
OKS / ONEOK Partners, L.P.
ORCL / Oracle Corporation
US6934758326 / PNC Financial Services Group, Inc., 5.375% Dep Shares Non-cumul Preferred Stock, Ser Q
PPG / PPG Industries, Inc.
PNRA / Panera Bread Co.
PAYX / Paychex, Inc.
BTU / Peabody Energy Corporation
PGF / Invesco Exchange-Traded Fund Trust - Invesco Financial Preferred ETF
PEP / PepsiCo, Inc.
PRGO / Perrigo Company plc
PBR.A / Petróleo Brasileiro S.A. - Petrobras - Depositary Receipt (Common Stock)
PETM /
PFE / Pfizer Inc.
PM / Philip Morris International Inc.
PSX / Phillips 66
PML / PIMCO Municipal Income Fund II
PHK / PIMCO High Income Fund
HYS / PIMCO ETF Trust - PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
PXD / Pioneer Natural Resources Company
PIPR / Piper Sandler Companies
PII / Polaris Inc.
PLCM / Polycom, Inc.
POWERSHARES QQQ TRUST UNIT SER / (73935A104)
DBC / Invesco DB Commodity Index Tracking Fund
POWERSHARES ETF TRUST DWA TECH / (73935X153)
POWERSHARES ETF TRUST WATER RE / (73935X575)
DBP / Invesco DB Multi-Sector Commodity Trust - Invesco DB Precious Metals Fund
POWERSHARES ETF TRUST II DWA E / (73936Q207)
PSAU / PowerShares Global Gold and Precious Metals Portfolio
POWERSHARES ETF TR II S&P500 L / (73937B779)
74005P104 / Praxair, Inc.
PCP / Precision Castparts Corporation
PREFERRED PLUS TR QWS-1 TR CTF / (740434873)
TROW / T. Rowe Price Group, Inc.
BKNG / Booking Holdings Inc.
PFG / Principal Financial Group, Inc.
PRA / ProAssurance Corporation
PG / The Procter & Gamble Company
PVTB / PrivateBancorp, Inc.
PRU / Prudential Financial, Inc.
PRUDENTIAL SECTOR FDS INC JNS / (74441P858)
QCOM / QUALCOMM Incorporated
DGX / Quest Diagnostics Incorporated
REEMF / Rare Element Resources Ltd.
O / Realty Income Corporation
ROK / Rockwell Automation, Inc.
RDS.A / Shell Plc - ADR (Representing Ordinary Shares - Class A)
RGLD / Royal Gold, Inc.
RMS / Rydex ETF Trust
SPY / SPDR S&P 500 ETF
GLD / SPDR Gold Trust
RWX / SPDR Index Shares Funds - SPDR Dow Jones International Real Estate ETF
JNK / SPDR Series Trust - SPDR Bloomberg High Yield Bond ETF
SPDR SERIES TRUST NUVN BRCLY M / (78464A458)
SPSB / SPDR Series Trust - SPDR Portfolio Short Term Corporate Bond ETF
RWR / SPDR Series Trust - SPDR Dow Jones REIT ETF
SDY / SPDR Series Trust - SPDR S&P Dividend ETF
MDY / SPDR S&P MidCap 400 ETF Trust
SBR / Sabine Royalty Trust
STJ / St. Jude Medical, Inc.
SNY / Sanofi - Depositary Receipt (Common Stock)
SASOF / Sasol Limited
SLB / Schlumberger Limited
XLE / The Select Sector SPDR Trust - The Energy Select Sector SPDR Fund
XLF / The Select Sector SPDR Trust - The Financial Select Sector SPDR Fund
XLI / The Select Sector SPDR Trust - The Industrial Select Sector SPDR Fund
XLK / The Select Sector SPDR Trust - The Technology Select Sector SPDR Fund
SIAL / Sigma-Aldrich Corporation
WPM / Wheaton Precious Metals Corp.
SPG / Simon Property Group, Inc.
SJM / The J. M. Smucker Company
SIMA / SIM Acquisition Corp. I
SOR / Source Capital
SO / The Southern Company
LUV / Southwest Airlines Co.
SWN / Southwestern Energy Company
SWK / Stanley Black & Decker, Inc.
SBUX / Starbucks Corporation
LGF.A / Lions Gate Entertainment Corp.
STT / State Street Corporation
SF / Stifel Financial Corp.
SYK / Stryker Corporation
SVB CAP II PFD TR GTD 7% / PFD (86959H201)
SYY / Sysco Corporation
TJX / The TJX Companies, Inc.
TLFA / Tandy Leather Factory Inc
TGT / Target Corporation
TECH / Bio-Techne Corporation
EMF / Templeton Emerging Markets Fund
TEVA / Teva Pharmaceutical Industries Limited - Depositary Receipt (Common Stock)
TXN / Texas Instruments Incorporated
TMO / Thermo Fisher Scientific Inc.
DDD / 3D Systems Corporation
MMM / 3M Company
TD / The Toronto-Dominion Bank
/ Total S.A.
TRV / The Travelers Companies, Inc.
ULSGF / UBS AG
USB / U.S. Bancorp
USA / Liberty All-Star Equity Fund
904784709 / Unilever N.V.
UNP / Union Pacific Corporation
UPS / United Parcel Service, Inc.
RTX / RTX Corporation
UNH / UnitedHealth Group Incorporated
UEC / Uranium Energy Corp.
VFC / V.F. Corporation
VGELX / Vanguard Specialized Funds - Vanguard Energy Fund Admiral Class
VIG / Vanguard Specialized Funds - Vanguard Dividend Appreciation ETF
BSV / Vanguard Bond Index Funds - Vanguard Short-Term Bond ETF
VBMFX / Vanguard Bond Index Funds - Vanguard Bond Index Fund Total Bond Market Index Fund
VEA / Vanguard Tax-Managed Funds - Vanguard FTSE Developed Markets ETF
VT / Vanguard International Equity Index Funds - Vanguard Total World Stock ETF
VWO / Vanguard International Equity Index Funds - Vanguard FTSE Emerging Markets ETF
VGK / Vanguard International Equity Index Funds - Vanguard FTSE Europe ETF
VDE / Vanguard World Fund - Vanguard Energy ETF
VECO / Veeco Instruments Inc.
VNQ / Vanguard Specialized Funds - Vanguard Real Estate ETF
VTI / Vanguard Index Funds - Vanguard Total Stock Market ETF
VZ / Verizon Communications Inc.
V / Visa Inc.
VODPF / Vodafone Group Public Limited Company
WMT / Walmart Inc.
WAG /
WRE / Washington Real Estate Investment Trust
WCN / Waste Connections, Inc.
WAT / Waters Corporation
WSO / Watsco, Inc.
ANTM / Anthem Inc
WFC / Wells Fargo & Company
WU / The Western Union Company
WPRT / Westport Fuel Systems Inc.
WY / Weyerhaeuser Company
WFM / Whole Foods Market, Inc.
WETF / Wisdomtree Investments Inc
DTD / WisdomTree Trust - WisdomTree U.S. Total Dividend Fund
DHS / WisdomTree Trust - WisdomTree U.S. High Dividend Fund
DGS / WisdomTree Trust - WisdomTree Emerging Markets SmallCap Dividend Fund
DEM / WisdomTree Trust - WisdomTree Emerging Markets High Dividend Fund
DES / WisdomTree Trust - WisdomTree U.S. SmallCap Dividend Fund
DOO / WisdomTree Trust - WisdomTree International Dividend Ex-Financials Fund
DOL / WisdomTree Trust - WisdomTree International LargeCap Dividend Fund
DXJ / WisdomTree Trust - WisdomTree Japan Hedged Equity Fund
ALD / WisdomTree Asia Local Debt Fund
XEL / Xcel Energy Inc.
AABA / Altaba Inc
YUM / Yum! Brands, Inc.
BMWYY / Bayerische Motoren Werke Aktiengesellschaft - Depositary Receipt (Common Stock)
ACN / Accenture plc
COV /
ETN / Eaton Corporation plc
ESV / Ensco plc
DEO / Diageo plc - Depositary Receipt (Common Stock)
LBTYA / Liberty Global Ltd.
LBTYK / Liberty Global Ltd.
TNP /
PNR / Pentair plc
TEL / TE Connectivity plc
TELECOM ITALIA MEDIA SPA SHS / (T92765170)
COCA COLA HELLENIC BOTTLING CO / (X1435J154)