CIK: 0001041773 · Show all filings
Period: Q1 2017 (← Previous) (Next →)
Filing Date: May 15, 2017
Total Value ($000): $289,282 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| ADI | ANALOG DEVICES INC | 968,100 | $79,336 | 27.4% | — | — | Put | 032654105 |
| ADI | ANALOG DEVICES INC | 968,100 | $79,336 | 27.4% | — | — | Call | 032654105 |
| SHY | ISHARES TR | 189,492 | $16,016 | 5.5% | $84.45 | — | 1-3 YR TR BD ETF | 464287457 |
| IGSB | ISHARES TR | 144,843 | $15,242 | 5.3% | $104.94 | — | 1-3 YR CR BD ETF | 464288646 |
| ACWI | ISHARES TR | 195,089 | $12,341 | 4.3% | $59.57 | — | MSCI ACWI ETF | 464288257 |
| — | JPMORGAN CHASE & CO | 356,902 | $11,528 | 4.0% | $31.65 | — | ALERIAN ML ETN | 46625H365 |
| SPY | SPDR S&P 500 ETF TR | 38,591 | $9,098 | 3.1% | $225.26 | — | TR UNIT | 78462F103 |
| EMB | ISHARES TR | 77,471 | $8,808 | 3.0% | $112.03 | — | JP MOR EM MK ETF | 464288281 |
| — | TPG SPECIALTY LENDING INC | 394,089 | $8,035 | 2.8% | $18.71 | — | NOTE 4.500%12/1 | 87265KAB8 |
| — | TPG SPECIALTY LENDING INC | 394,089 | $8,035 | 2.8% | $18.71 | — | COM | 87265K102 |
| AVXL | ANAVEX LIFE SCIENCES CORP | 968,100 | $5,557 | 1.9% | — | — | Put | 032797300 |
| DJP | BARCLAYS BK PLC | 217,460 | $5,115 | 1.8% | $24.13 | — | DJUBS CMDT ETN36 | 06738C778 |
| MS | MORGAN STANLEY | 91,638 | $3,926 | 1.4% | $34.36 | 0.0% | COM NEW | 617446448 |
| IVV | ISHARES TR | 11,046 | $2,621 | 0.9% | $226.53 | — | CORE S&P500 ETF | 464287200 |
| GLD | SPDR GOLD TRUST | 22,023 | $2,615 | 0.9% | $117.19 | — | GOLD SHS | 78463V107 |
| AGG | ISHARES TR | 19,736 | $2,141 | 0.7% | $108.48 | — | CORE US AGGBD ET | 464287226 |
| EEM | ISHARES TR | 52,396 | $2,064 | 0.7% | $35.67 | — | MSCI EMG MKT ETF | 464287234 |
| IYR | ISHARES TR | 14,107 | $1,107 | 0.4% | $76.95 | — | U.S. REAL ES ETF | 464287739 |
| AAPL | APPLE INC | 7,629 | $1,096 | 0.4% | $28.12 | +8.2% | COM | 037833100 |
| EFA | ISHARES TR | 13,870 | $864 | 0.3% | $57.75 | — | MSCI EAFE ETF | 464287465 |
| AIG | AMERICAN INTL GROUP INC | 13,587 | $848 | 0.3% | $51.16 | 0.0% | COM NEW | 026874784 |
| PFE | PFIZER INC | 17,642 | $604 | 0.2% | $21.07 | +1.6% | COM | 717081103 |
| — | AV HOMES INC | 36,271 | $597 | 0.2% | $16.46 | — | COM | 00234P102 |
| META | FACEBOOK INC | 4,153 | $590 | 0.2% | $132.71 | 0.0% | CL A | 30303M102 |
| C | CITIGROUP INC | 9,681 | $579 | 0.2% | $40.63 | +10.0% | COM NEW | 172967424 |
| CHTR | CHARTER COMMUNICATIONS INC N | 1,660 | $543 | 0.2% | $318.52 | 0.0% | CL A | 16119P108 |
| QSR | RESTAURANT BRANDS INTL INC | 9,005 | $502 | 0.2% | $46.13 | +13.5% | COM | 76131D103 |
| HYG | ISHARES TR | 5,255 | $461 | 0.2% | $86.59 | — | IBOXX HI YD ETF | 464288513 |
| — | BANK AMER CORP | 18,491 | $436 | 0.2% | $23.58 | — | 7.25%CNV PFD L | 060505682 |
| BAC | BANK AMER CORP | 18,491 | $436 | 0.2% | $19.38 | 0.0% | COM | 060505104 |
| — | RAYTHEON CO | 2,755 | $420 | 0.1% | $141.89 | — | COM NEW | 755111507 |
| — | ALLERGAN PLC | 1,726 | $412 | 0.1% | $238.70 | — | SHS | G0177J108 |
| AGN 5.5 03/01/18 A | ALLERGAN PLC | 1,726 | $412 | 0.1% | $238.70 | — | PFD CONV SER A | G0177J116 |
| — | EXA CORP | 30,870 | $392 | 0.1% | $15.35 | — | COM | 300614500 |
| EUFN | ISHARES | 18,232 | $370 | 0.1% | $20.29 | — | MSCI EURO FL ETF | 464289180 |
| MSFT | MICROSOFT CORP | 5,373 | $354 | 0.1% | $57.84 | 0.0% | COM | 594918104 |
| AMZN | AMAZON COM INC | 381 | $338 | 0.1% | $39.18 | +6.4% | COM | 023135106 |
| — | COLONY NORTHSTAR INC | 25,293 | $327 | 0.1% | $12.93 | — | CL A COM | 19625W104 |
| — | COLONY CAP INC | 25,293 | $327 | 0.1% | $12.93 | — | NOTE 3.875% 1/1 | 19624RAB2 |
| — | COLONY CAP INC | 25,293 | $327 | 0.1% | $12.93 | — | NOTE 5.000% 4/1 | 19624RAA4 |
| EWG | ISHARES | 11,000 | $316 | 0.1% | $26.45 | — | MSCI GERMANY ETF | 464286806 |
| — | WELLS FARGO & CO | 5,518 | $307 | 0.1% | $55.64 | — | MTNF 0.125% 2/2 | 94986RVY4 |
| — | WELLS FARGO & CO | 5,518 | $307 | 0.1% | $55.64 | — | MTNF 1/2 | 94986RQJ3 |
| — | WELLS FARGO & CO | 5,518 | $307 | 0.1% | $55.64 | — | MTNF 0.125% 3/1 | 94986RTK7 |
| WFC | WELLS FARGO & CO NEW | 5,518 | $307 | 0.1% | $44.36 | 0.0% | COM | 949746101 |
| — | WELLS FARGO & CO NEW | 5,518 | $307 | 0.1% | $55.64 | — | PERP PFD CNV A | 949746804 |
| — | WELLS FARGO & CO | 5,518 | $307 | 0.1% | $55.64 | — | MTNF 1/2 | 94986RPJ4 |
| — | WELLS FARGO & CO | 5,518 | $307 | 0.1% | $55.64 | — | MTNF 6/0 | 94986RQF1 |
| — | WELLS FARGO & CO | 5,518 | $307 | 0.1% | $55.64 | — | MTNF 6/1 | 94986RQH7 |
| — | GRAMERCY PPTY TR | 11,569 | $304 | 0.1% | $26.28 | — | COM NEW | 385002308 |
| VOD | VODAFONE GROUP PLC NEW | 10,447 | $276 | 0.1% | $26.42 | — | SPONSORED ADR | 92857W308 |
| BUD | ANHEUSER BUSCH INBEV SA/NV | 2,443 | $268 | 0.1% | $105.61 | — | SPONSORED ADR | 03524A108 |
| SPGI | S&P GLOBAL INC | 1,888 | $247 | 0.1% | $114.76 | 0.0% | COM | 78409V104 |
| GOOG | ALPHABET INC | 295 | $245 | 0.1% | $38.66 | +5.3% | CAP STK CL C | 02079K107 |
| PEP | PEPSICO INC | 2,105 | $235 | 0.1% | $79.36 | +3.2% | COM | 713448108 |
| — | OAKTREE CAP GROUP LLC | 4,800 | $217 | 0.1% | $45.21 | — | UNIT CL A | 674001201 |
| IWM | ISHARES TR | 1,487 | $204 | 0.1% | $134.89 | — | RUSSELL 2000 ETF | 464287655 |
| — | DISCOVER FINL SVCS | 2,936 | $201 | 0.1% | $72.21 | — | COM | 254709108 |
| — | VALEANT PHARMACEUTICALS INTL | 14,250 | $157 | 0.1% | $14.35 | — | COM | 91911K102 |