CIK: 0001041773 · Show all filings
Period: Q2 2017 (← Previous) (Next →)
Filing Date: Aug 9, 2017
Total Value ($000): $305,806 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| ADI | ANALOG DEVICES INC | 932,000 | $72,510 | 23.7% | — | — | Call | 032654105 |
| ADI | ANALOG DEVICES INC | 932,000 | $72,510 | 23.7% | — | — | Put | 032654105 |
| ACWI | ISHARES TR | 208,807 | $13,675 | 4.5% | $59.96 | — | MSCI ACWI ETF | 464288257 |
| IGSB | ISHARES TR | 115,704 | $12,185 | 4.0% | $104.94 | — | 1-3 YR CR BD ETF | 464288646 |
| SHY | ISHARES TR | 142,835 | $12,068 | 3.9% | $84.45 | — | 1-3 YR TR BD ETF | 464287457 |
| — | JPMORGAN CHASE & CO | 359,078 | $10,665 | 3.5% | $31.65 | — | ALERIAN ML ETN | 46625H365 |
| SPY | SPDR S&P 500 ETF TR | 43,761 | $10,581 | 3.5% | $227.22 | — | TR UNIT | 78462F103 |
| EMB | ISHARES TR | 80,007 | $9,150 | 3.0% | $112.10 | — | JP MOR EM MK ETF | 464288281 |
| — | TPG SPECIALTY LENDING INC | 354,799 | $7,256 | 2.4% | $18.71 | — | COM | 87265K102 |
| — | TPG SPECIALTY LENDING INC | 354,799 | $7,256 | 2.4% | $18.71 | — | NOTE 4.500%12/1 | 87265KAB8 |
| EEM | ISHARES TR | 161,298 | $6,676 | 2.2% | $39.53 | — | MSCI EMG MKT ETF | 464287234 |
| EFA | ISHARES TR | 82,180 | $5,358 | 1.8% | $63.94 | — | MSCI EAFE ETF | 464287465 |
| AVXL | ANAVEX LIFE SCIENCES CORP | 932,000 | $4,958 | 1.6% | — | — | Put | 032797300 |
| DJP | BARCLAYS BK PLC | 216,740 | $4,913 | 1.6% | $24.13 | — | DJUBS CMDT ETN36 | 06738C778 |
| MS | MORGAN STANLEY | 91,319 | $4,069 | 1.3% | $34.36 | -2.4% | COM NEW | 617446448 |
| GLD | SPDR GOLD TRUST | 26,396 | $3,115 | 1.0% | $117.33 | — | GOLD SHS | 78463V107 |
| IVV | ISHARES TR | 11,047 | $2,689 | 0.9% | $226.53 | — | CORE S&P500 ETF | 464287200 |
| AGG | ISHARES TR | 23,497 | $2,573 | 0.8% | $108.65 | — | CORE US AGGBD ET | 464287226 |
| IVW | ISHARES TR | 11,518 | $1,576 | 0.5% | $136.83 | — | S&P 500 GRWT ETF | 464287309 |
| WHR | WHIRLPOOL CORP | 8,112 | $1,554 | 0.5% | $182.93 | 0.0% | COM | 963320106 |
| HYG | ISHARES TR | 17,562 | $1,552 | 0.5% | $87.84 | — | IBOXX HI YD ETF | 464288513 |
| HON | HONEYWELL INTL INC | 10,328 | $1,377 | 0.5% | $98.75 | 0.0% | COM | 438516106 |
| IVE | ISHARES TR | 12,291 | $1,290 | 0.4% | $104.95 | — | S&P 500 VAL ETF | 464287408 |
| VGK | VANGUARD INTL EQUITY INDEX F | 22,607 | $1,247 | 0.4% | $55.16 | — | FTSE EUROPE ETF | 922042874 |
| JPM | JPMORGAN CHASE & CO | 12,503 | $1,143 | 0.4% | $68.54 | 0.0% | COM | 46625H100 |
| IYR | ISHARES TR | 14,118 | $1,126 | 0.4% | $76.95 | — | U.S. REAL ES ETF | 464287739 |
| CSCO | CISCO SYS INC | 35,436 | $1,109 | 0.4% | $25.06 | 0.0% | COM | 17275R102 |
| — | BLACKSTONE GROUP L P | 32,981 | $1,100 | 0.4% | $33.35 | — | COM UNIT LTD | 09253U108 |
| HEZU | ISHARES TR | 37,376 | $1,095 | 0.4% | $29.30 | — | CUR HD EURZN ETF | 46434V639 |
| SLB | SCHLUMBERGER LTD | 15,942 | $1,050 | 0.3% | $55.82 | 0.0% | COM | 806857108 |
| T | AT&T INC | 27,839 | $1,050 | 0.3% | $15.92 | 0.0% | COM | 00206R102 |
| AAPL | APPLE INC | 7,184 | $1,035 | 0.3% | $28.12 | +22.0% | COM | 037833100 |
| GILD | GILEAD SCIENCES INC | 14,602 | $1,034 | 0.3% | $48.32 | 0.0% | COM | 375558103 |
| VWO | VANGUARD INTL EQUITY INDEX F | 24,532 | $1,002 | 0.3% | $40.84 | — | FTSE EMR MKT ETF | 922042858 |
| BND | VANGUARD BD INDEX FD INC | 12,008 | $983 | 0.3% | $81.86 | — | TOTAL BND MRKT | 921937835 |
| EWJ | ISHARES INC | 16,740 | $898 | 0.3% | $53.64 | — | MSCI JPN ETF NEW | 46434G822 |
| AIG | AMERICAN INTL GROUP INC | 13,560 | $848 | 0.3% | $51.16 | -2.7% | COM NEW | 026874784 |
| — | AV HOMES INC | 36,271 | $727 | 0.2% | $16.46 | — | COM | 00234P102 |
| — | POWERSHARES ETF TR II | 26,232 | $681 | 0.2% | $25.96 | — | CALI MUNI ETF | 73936T441 |
| MGA | MAGNA INTL INC | 14,480 | $671 | 0.2% | $33.47 | 0.0% | COM | 559222401 |
| META | FACEBOOK INC | 4,252 | $642 | 0.2% | $133.06 | +11.0% | CL A | 30303M102 |
| C | CITIGROUP INC | 9,320 | $623 | 0.2% | $40.63 | +14.3% | COM NEW | 172967424 |
| UNP | UNION PAC CORP | 5,638 | $614 | 0.2% | $90.11 | 0.0% | COM | 907818108 |
| XLF | SELECT SECTOR SPDR TR | 24,757 | $611 | 0.2% | $24.68 | — | SBI INT-FINL | 81369Y605 |
| IJH | ISHARES TR | 3,491 | $607 | 0.2% | $173.88 | — | CORE S&P MCP ETF | 464287507 |
| STPZ | PIMCO ETF TR | 11,376 | $593 | 0.2% | $52.13 | — | 1-5 US TIP IDX | 72201R205 |
| QSR | RESTAURANT BRANDS INTL INC | 9,026 | $565 | 0.2% | $46.13 | +27.7% | COM | 76131D103 |
| JNJ | JOHNSON & JOHNSON | 4,208 | $557 | 0.2% | $100.38 | 0.0% | COM | 478160104 |
| BIIB | BIOGEN INC | 2,007 | $545 | 0.2% | $264.42 | 0.0% | COM | 09062X103 |
| CHTR | CHARTER COMMUNICATIONS INC N | 1,616 | $544 | 0.2% | $318.52 | +4.7% | CL A | 16119P108 |
| VZ | VERIZON COMMUNICATIONS INC | 11,933 | $533 | 0.2% | $29.53 | 0.0% | COM | 92343V104 |
| COP | CONOCOPHILLIPS | 11,825 | $520 | 0.2% | $35.49 | 0.0% | COM | 20825C104 |
| KBE | SPDR SERIES TRUST | 11,233 | $489 | 0.2% | $43.53 | — | S&P BK ETF | 78464A797 |
| BAC | BANK AMER CORP | 18,366 | $446 | 0.1% | $19.38 | -1.4% | COM | 060505104 |
| — | BANK AMER CORP | 18,366 | $446 | 0.1% | $23.58 | — | 7.25%CNV PFD L | 060505682 |
| SUB | ISHARES TR | 4,148 | $439 | 0.1% | $105.83 | — | SHRT NAT MUN ETF | 464288158 |
| — | EXA CORP | 30,870 | $426 | 0.1% | $15.35 | — | COM | 300614500 |
| AGN 5.5 03/01/18 A | ALLERGAN PLC | 1,731 | $421 | 0.1% | $238.70 | — | PFD CONV SER A | G0177J116 |
| — | ALLERGAN PLC | 1,731 | $421 | 0.1% | $238.70 | — | SHS | G0177J108 |
| — | RAYTHEON CO | 2,590 | $418 | 0.1% | $141.89 | — | COM NEW | 755111507 |
| — | ALPS ETF TR | 34,340 | $411 | 0.1% | $11.97 | — | ALERIAN MLP | 00162Q866 |
| EUFN | ISHARES | 18,232 | $400 | 0.1% | $20.29 | — | MSCI EURO FL ETF | 464289180 |
| AMZN | AMAZON COM INC | 399 | $386 | 0.1% | $39.57 | +20.6% | COM | 023135106 |
| — | SUMMIT MATLS INC | 13,354 | $386 | 0.1% | $28.91 | — | CL A | 86614U100 |
| CMF | ISHARES TR | 3,257 | $383 | 0.1% | $117.59 | — | CALIF MUN BD ETF | 464288356 |
| MSFT | MICROSOFT CORP | 5,373 | $370 | 0.1% | $57.84 | +7.7% | COM | 594918104 |
| VB | VANGUARD INDEX FDS | 2,711 | $367 | 0.1% | $135.37 | — | SMALL CP ETF | 922908751 |
| — | APOLLO GLOBAL MGMT LLC | 13,439 | $355 | 0.1% | $26.42 | — | CL A SHS | 037612306 |
| XLY | SELECT SECTOR SPDR TR | 3,942 | $353 | 0.1% | $89.55 | — | SBI CONS DISCR | 81369Y407 |
| — | GRAMERCY PPTY TR | 11,569 | $344 | 0.1% | $26.28 | — | COM NEW | 385002308 |
| EWG | ISHARES | 11,000 | $333 | 0.1% | $26.45 | — | MSCI GERMANY ETF | 464286806 |
| — | WELLS FARGO & CO | 5,518 | $306 | 0.1% | $55.64 | — | MTNF 1/2 | 94986RPJ4 |
| — | WELLS FARGO & CO | 5,518 | $306 | 0.1% | $55.64 | — | MTNF 6/0 | 94986RQF1 |
| — | WELLS FARGO & CO | 5,518 | $306 | 0.1% | $55.64 | — | MTNF 6/1 | 94986RQH7 |
| — | WELLS FARGO & CO | 5,518 | $306 | 0.1% | $55.64 | — | MTNF 1/2 | 94986RQJ3 |
| — | WELLS FARGO & CO | 5,518 | $306 | 0.1% | $55.64 | — | MTNF 0.125% 2/2 | 94986RVY4 |
| WFC | WELLS FARGO CO NEW | 5,518 | $306 | 0.1% | $44.36 | -4.9% | COM | 949746101 |
| — | WELLS FARGO CO NEW | 5,518 | $306 | 0.1% | $55.64 | — | PERP PFD CNV A | 949746804 |
| — | WELLS FARGO & CO | 5,518 | $306 | 0.1% | $55.64 | — | MTNF 0.125% 3/1 | 94986RTK7 |
| VOD | VODAFONE GROUP PLC NEW | 10,447 | $300 | 0.1% | $26.42 | — | SPONSORED ADR | 92857W308 |
| BUD | ANHEUSER BUSCH INBEV SA/NV | 2,511 | $277 | 0.1% | $105.74 | — | SPONSORED ADR | 03524A108 |
| SPGI | S&P GLOBAL INC | 1,888 | $276 | 0.1% | $114.76 | +12.0% | COM | 78409V104 |
| — | VALEANT PHARMACEUTICALS INTL | 14,250 | $247 | 0.1% | $14.35 | — | COM | 91911K102 |
| PFE | PFIZER INC | 7,218 | $242 | 0.1% | $21.07 | +2.5% | COM | 717081103 |
| GOOG | ALPHABET INC | 253 | $230 | 0.1% | $38.66 | +17.5% | CAP STK CL C | 02079K107 |
| PEP | PEPSICO INC | 1,951 | $225 | 0.1% | $79.36 | +11.1% | COM | 713448108 |
| JD | JD COM INC | 5,717 | $224 | 0.1% | $39.18 | — | SPON ADR CL A | 47215P106 |
| — | OAKTREE CAP GROUP LLC | 4,800 | $224 | 0.1% | $45.21 | — | UNIT CL A | 674001201 |
| IWM | ISHARES TR | 1,487 | $210 | 0.1% | $134.89 | — | RUSSELL 2000 ETF | 464287655 |