CIK: 0001041773 · Show all filings
Period: Q3 2017 (← Previous) (Next →)
Filing Date: Nov 15, 2017
Total Value ($000): $320,455 (94.4% shares, 5.6% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| ADI | ANALOG DEVICES INC | 905,100 | $77,992 | 24.3% | — | — | Call | 032654105 |
| ADI | ANALOG DEVICES INC | 905,100 | $77,992 | 24.3% | — | — | Put | 032654105 |
| ACWI | ISHARES TR | 204,690 | $14,087 | 4.4% | $59.96 | — | MSCI ACWI ETF | 464288257 |
| SPY | SPDR SP 500 ETF TR | 52,392 | $13,162 | 4.1% | $231.17 | — | TR UNIT | 78462F103 |
| SHY | ISHARES TR | 125,152 | $10,569 | 3.3% | $84.45 | — | 1 3 YR TREAS BD | 464287457 |
| IGSB | ISHARES TR | 97,057 | $10,225 | 3.2% | $104.94 | — | 1 3 YR CR BD ETF | 464288646 |
| — | JPMORGAN CHASE CO | 354,786 | $10,012 | 3.1% | $31.65 | — | ALERIAN ML ETN | 46625H365 |
| EEM | ISHARES TR | 210,717 | $9,442 | 2.9% | $40.77 | — | MSCI EMG MKT ETF | 464287234 |
| EMB | ISHARES TR | 76,761 | $8,937 | 2.8% | $112.10 | — | JPMORGAN USD EMG | 464288281 |
| EFA | ISHARES TR | 121,962 | $8,352 | 2.6% | $65.42 | — | MSCI EAFE ETF | 464287465 |
| — | TPG SPECIALTY LENDING INC | 338,881 | $7,103 | 2.2% | $18.71 | — | NOTE 4500121 | 87265KAB8 |
| — | TPG SPECIALTY LENDING INC | 338,881 | $7,103 | 2.2% | $18.71 | — | COM | 87265K102 |
| DJP | BARCLAYS BK PLC | 271,717 | $6,320 | 2.0% | $23.95 | — | DJUBS CMDT ETN36 | 06738C778 |
| MS | MORGAN STANLEY | 91,379 | $4,402 | 1.4% | $34.36 | +5.5% | COM NEW | 617446448 |
| AVXL | ANAVEX LIFE SCIENCES CORP | 905,100 | $3,747 | 1.2% | — | — | Put | 032797300 |
| GLD | SPDR GOLD TRUST | 24,482 | $2,977 | 0.9% | $117.33 | — | GOLD SHS | 78463V107 |
| IVV | ISHARES TR | 11,069 | $2,800 | 0.9% | $226.53 | — | CORE SP500 ETF | 464287200 |
| AGG | ISHARES TR | 19,925 | $2,184 | 0.7% | $108.65 | — | CORE US AGGBD ET | 464287226 |
| IVW | ISHARES TR | 11,518 | $1,652 | 0.5% | $136.83 | — | SP 500 GRWT ETF | 464287309 |
| WHR | WHIRLPOOL CORP | 8,112 | $1,496 | 0.5% | $182.93 | -2.3% | COM | 963320106 |
| HON | HONEYWELL INTL INC | 10,076 | $1,428 | 0.4% | $98.75 | +5.7% | COM | 438516106 |
| IVE | ISHARES TR | 12,291 | $1,326 | 0.4% | $104.95 | — | SP 500 VAL ETF | 464287408 |
| GILD | GILEAD SCIENCES INC | 14,602 | $1,183 | 0.4% | $48.32 | +15.8% | COM | 375558103 |
| CSCO | CISCO SYS INC | 35,121 | $1,181 | 0.4% | $25.06 | -1.4% | COM | 17275R102 |
| JPM | JPMORGAN CHASE CO | 12,326 | $1,177 | 0.4% | $68.54 | +7.5% | COM | 46625H100 |
| IYR | ISHARES TR | 14,624 | $1,168 | 0.4% | $77.05 | — | US REAL ES ETF | 464287739 |
| VGK | VANGUARD INTL EQUITY INDEX F | 19,511 | $1,138 | 0.4% | $55.16 | — | FTSE EUROPE ETF | 922042874 |
| HYG | ISHARES TR | 12,538 | $1,113 | 0.3% | $87.84 | — | IBOXX HI YD ETF | 464288513 |
| T | ATT INC | 28,312 | $1,109 | 0.3% | $15.92 | -2.0% | COM | 00206R102 |
| SLB | SCHLUMBERGER LTD | 15,835 | $1,105 | 0.3% | $55.82 | -7.1% | COM | 806857108 |
| — | BLACKSTONE GROUP L P | 32,981 | $1,101 | 0.3% | $33.35 | — | COM UNIT LTD | 09253U108 |
| AAPL | APPLE INC | 6,383 | $984 | 0.3% | $28.12 | +28.6% | COM | 037833100 |
| BND | VANGUARD BD INDEX FD INC | 12,008 | $984 | 0.3% | $81.86 | — | TOTAL BND MRKT | 921937835 |
| HEZU | ISHARES TR | 29,569 | $890 | 0.3% | $29.30 | — | CUR HD EURZN ETF | 46434V639 |
| VWO | VANGUARD INTL EQUITY INDEX F | 20,312 | $885 | 0.3% | $40.84 | — | FTSE EMR MKT ETF | 922042858 |
| MGA | MAGNA INTL INC | 14,480 | $773 | 0.2% | $33.47 | +12.2% | COM | 559222401 |
| — | EXA CORP | 30,870 | $746 | 0.2% | $15.35 | — | COM | 300614500 |
| META | FACEBOOK INC | 4,153 | $710 | 0.2% | $133.06 | +24.5% | CL A | 30303M102 |
| — | POWERSHARES ETF TR II | 26,232 | $684 | 0.2% | $25.96 | — | CALI MUNI ETF | 73936T441 |
| — | NUVEEN FLOATING RATE INCOME | 57,810 | $677 | 0.2% | $11.71 | — | COM | 67072T108 |
| C | CITIGROUP INC | 9,051 | $658 | 0.2% | $40.63 | +27.8% | COM NEW | 172967424 |
| UNP | UNION PAC CORP | 5,553 | $644 | 0.2% | $90.11 | -1.1% | COM | 907818108 |
| BIIB | BIOGEN INC | 2,007 | $628 | 0.2% | $264.42 | +12.0% | COM | 09062X103 |
| IJH | ISHARES TR | 3,491 | $625 | 0.2% | $173.88 | — | CORE SP MCP ETF | 464287507 |
| — | AV HOMES INC | 36,271 | $622 | 0.2% | $16.46 | — | COM | 00234P102 |
| XLF | SELECT SECTOR SPDR TR | 23,888 | $618 | 0.2% | $24.68 | — | SBI INTFINL | 81369Y605 |
| STPZ | PIMCO ETF TR | 11,376 | $594 | 0.2% | $52.13 | — | 15 US TIP IDX | 72201R205 |
| VZ | VERIZON COMMUNICATIONS INC | 11,997 | $594 | 0.2% | $29.53 | +2.4% | COM | 92343V104 |
| CHTR | CHARTER COMMUNICATIONS INC N | 1,616 | $587 | 0.2% | $318.52 | +16.9% | CL A | 16119P108 |
| COP | CONOCOPHILLIPS | 11,612 | $581 | 0.2% | $35.49 | -2.9% | COM | 20825C104 |
| QSR | RESTAURANT BRANDS INTL INC | 9,047 | $578 | 0.2% | $46.13 | +34.0% | COM | 76131D103 |
| JNJ | JOHNSON JOHNSON | 4,208 | $547 | 0.2% | $100.38 | +4.6% | COM | 478160104 |
| SHV | ISHARES TR | 4,540 | $501 | 0.2% | $110.35 | — | SHORT TREAS BD | 464288679 |
| — | RAYTHEON CO | 2,590 | $483 | 0.2% | $141.89 | — | COM NEW | 755111507 |
| BAC | BANK AMER CORP | 18,203 | $461 | 0.1% | $19.38 | +3.0% | COM | 060505104 |
| — | BANK AMER CORP | 18,203 | $461 | 0.1% | $23.58 | — | 725CNV PFD L | 060505682 |
| SUB | ISHARES TR | 4,148 | $440 | 0.1% | $105.83 | — | SHRT NAT MUN ETF | 464288158 |
| — | SUMMIT MATLS INC | 13,354 | $428 | 0.1% | $28.91 | — | CL A | 86614U100 |
| EUFN | ISHARES | 18,232 | $428 | 0.1% | $20.29 | — | MSCI EURO FL ETF | 464289180 |
| EWJ | ISHARES INC | 7,648 | $426 | 0.1% | $53.64 | — | MSCI JPN ETF NEW | 46434G822 |
| SYF | SYNCHRONY FINL | 13,099 | $407 | 0.1% | $24.36 | 0.0% | COM | 87165B103 |
| — | APOLLO GLOBAL MGMT LLC | 13,439 | $405 | 0.1% | $26.42 | — | CL A SHS | 037612306 |
| — | QUINTILES IMS HOLDINGS INC | 4,123 | $392 | 0.1% | $95.08 | — | COM | 74876Y101 |
| MSFT | MICROSOFT CORP | 5,217 | $389 | 0.1% | $57.84 | +15.3% | COM | 594918104 |
| CMF | ISHARES TR | 3,257 | $386 | 0.1% | $117.59 | — | CALIF MUN BD ETF | 464288356 |
| — | ALPS ETF TR | 34,340 | $385 | 0.1% | $11.97 | — | ALERIAN MLP | 00162Q866 |
| EWG | ISHARES INC | 11,000 | $357 | 0.1% | $26.45 | — | MSCI GERMANY ETF | 464286806 |
| AMZN | AMAZON COM INC | 365 | $351 | 0.1% | $39.57 | +24.1% | COM | 023135106 |
| — | GRAMERCY PPTY TR | 11,569 | $350 | 0.1% | $26.28 | — | COM NEW | 385002308 |
| EEMV | ISHARES INC | 6,000 | $349 | 0.1% | $58.17 | — | MIN VOL EMRG MKT | 464286533 |
| AGN 5.5 03/01/18 A | ALLERGAN PLC | 1,693 | $347 | 0.1% | $238.70 | — | PFD CONV SER A | G0177J116 |
| — | ALLERGAN PLC | 1,693 | $347 | 0.1% | $238.70 | — | SHS | G0177J108 |
| XLY | SELECT SECTOR SPDR TR | 3,462 | $312 | 0.1% | $89.55 | — | SBI CONS DISCR | 81369Y407 |
| VOD | VODAFONE GROUP PLC NEW | 10,447 | $297 | 0.1% | $26.42 | — | SPONSORED ADR | 92857W308 |
| SPGI | SP GLOBAL INC | 1,888 | $295 | 0.1% | $114.76 | +23.0% | COM | 78409V104 |
| BUD | ANHEUSER BUSCH INBEV SANV | 2,467 | $294 | 0.1% | $105.74 | — | SPONSORED ADR | 03524A108 |
| — | GENERAL ELECTRIC CO | 11,823 | $286 | 0.1% | $24.19 | — | COM | 369604103 |
| KBE | SPDR SERIES TRUST | 5,479 | $247 | 0.1% | $43.53 | — | SP BK ETF | 78464A797 |
| PFE | PFIZER INC | 6,868 | $245 | 0.1% | $21.07 | +5.6% | COM | 717081103 |
| VLRS | CONTROLADORA VUELA CIA DE AV | 19,100 | $227 | 0.1% | $11.88 | — | SPON ADR RP 10 | 21240E105 |
| — | OAKTREE CAP GROUP LLC | 4,800 | $226 | 0.1% | $45.21 | — | UNIT CL A | 674001201 |
| IWM | ISHARES TR | 1,522 | $226 | 0.1% | $135.20 | — | RUSSELL 2000 ETF | 464287655 |
| GOOG | ALPHABET INC | 234 | $224 | 0.1% | $38.66 | +19.6% | CAP STK CL C | 02079K107 |
| JD | JD COM INC | 5,717 | $218 | 0.1% | $39.18 | — | SPON ADR CL A | 47215P106 |
| PEP | PEPSICO INC | 1,956 | $218 | 0.1% | $79.36 | +12.7% | COM | 713448108 |
| — | NVIDIA CORP | 1,213 | $217 | 0.1% | $178.90 | — | NOTE 1000120 | 67066GAC8 |
| NVDA | NVIDIA CORP | 1,213 | $217 | 0.1% | $4.11 | 0.0% | COM | 67066G104 |
| LMT | LOCKHEED MARTIN CORP | 700 | $217 | 0.1% | $238.57 | 0.0% | COM | 539830109 |
| — | VALEANT PHARMACEUTICALS INTL | 14,250 | $204 | 0.1% | $14.35 | — | COM | 91911K102 |