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Form 13F-HR ROTHSCHILD INVESTMENT For: Dec 31

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January 24, 2022 9:23 AM EST

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 12-31-2021
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: ROTHSCHILD INVESTMENT CORP /IL
Address: 311 S WACKER DR
SUITE 6500
CHICAGO , IL60606
Form 13F File Number: 028-05772

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Bradley C. Drake
Title: Executive Vice President
Phone: 312-983-8956
Signature, Place, and Date of Signing:
Bradley C. Drake Chicago , IL 10-12-2021
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 572
Form 13F Information Table Value Total: 1,289,312
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
3M CO COM COM 88579Y101 1,759 9,905 SH DFND 0 0 9,905
ABBOTT LABS COM 002824100 4,399 31,257 SH DFND 0 0 31,257
ABBVIE INC COM COM 00287Y109 20,291 149,860 SH DFND 0 0 149,860
ABCELLERA BIOLOGICS IN COM COM 00288u106 372 26,000 SH DFND 0 0 26,000
ACADEMY SPORTS & OUTDOORS INC COM 00402l107 662 15,075 SH DFND 0 0 15,075
ACCENTURE PLC IRELAND CL A COM g1151c101 280 675 SH DFND 0 0 675
ADOBE SYS INC COM 00724F101 248 438 SH DFND 0 0 438
ADVANCE AUTO PARTS INC COM COM 00751Y106 1,235 5,148 SH SOLE 5,148 0 0
ADVANCE AUTO PARTS INC COM COM 00751Y106 101 422 SH DFND 0 0 422
ADVANCED MICRO DEVICES COM 007903107 689 4,785 SH DFND 0 0 4,785
AFFILIATED MNGRS GRP COM COM 008252108 756 4,593 SH SOLE 4,593 0 0
AFFILIATED MNGRS GRP COM COM 008252108 35 211 SH DFND 0 0 211
ALBEMARLE CORP COM COM 012653101 970 4,150 SH DFND 0 0 4,150
ALLOGENE THERAPEUTICS COM COM 019770106 161 10,800 SH DFND 0 0 10,800
ALLSTATE CORP COM COM 020002101 3,876 32,946 SH DFND 0 0 32,946
ALLY FINL INC COM COM 02005n100 1,613 33,870 SH SOLE 33,870 0 0
ALLY FINL INC COM COM 02005n100 138 2,893 SH DFND 0 0 2,893
ALPHABET CLASS-C SHARE COM 02079k107 286 99 SH SOLE 99 0 0
ALPHABET CLASS-C SHARE COM 02079k107 18,085 6,250 SH DFND 0 0 6,250
ALPHABET INC CL A COM 02079k305 1,376 475 SH SOLE 475 0 0
ALPHABET INC CL A COM 02079k305 19,706 6,802 SH DFND 0 0 6,802
ALTRIA GROUP INC COM 02209S103 1,390 29,339 SH DFND 0 0 29,339
AMAZON COM INC COM COM 023135106 5,742 1,722 SH DFND 0 0 1,722
AMBIT BIOSCIENCE CONT VAL-POSS COM 023cvr996 0 24,590 SH DFND 0 0 24,590
AMCOR PLC REGISTERED SHS COM g0250x107 692 57,655 SH DFND 0 0 57,655
AMEREN CORP COM COM 023608102 1,540 17,305 SH DFND 0 0 17,305
AMERICAN ELECTRIC POWER COM 025537101 493 5,541 SH DFND 0 0 5,541
AMERICAN EXPRESS CO COM 025816109 1,164 7,114 SH SOLE 7,114 0 0
AMERICAN EXPRESS CO COM 025816109 473 2,889 SH DFND 0 0 2,889
AMERICAN INTL GROUP INC COM NE COM 026874784 9,486 166,827 SH DFND 0 0 166,827
AMERICAN TOWER REIT COM COM 03027x100 5,782 19,767 SH DFND 0 0 19,767
AMERIPRISE FINL INC COM COM 03076c106 236 783 SH DFND 0 0 783
AMERISOURCEBERGEN CORP COM COM 03073e105 917 6,903 SH DFND 0 0 6,903
AMGEN INC COM 031162100 15,862 70,508 SH DFND 0 100 70,408
AMMO INC COM COM 00175j107 109 20,000 SH DFND 0 0 20,000
AMN HEALTHCARE SRVCS COM COM 001744101 737 6,026 SH SOLE 6,026 0 0
AMN HEALTHCARE SRVCS COM COM 001744101 150 1,227 SH DFND 0 0 1,227
ANNALY CAP MGMT INC COM COM 035710409 6,465 826,666 SH DFND 0 1,500 825,166
AON PLC REG SHS COM g0403h108 3,204 10,659 SH DFND 0 0 10,659
APOLLO GLOBAL MGMT INC NEW COM 03769m106 27 379 SH SOLE 379 0 0
APOLLO GLOBAL MGMT INC NEW COM 03769m106 886 12,235 SH DFND 0 0 12,235
APPLE COMPUTER INC COM 037833100 1,213 6,832 SH SOLE 6,832 0 0
APPLE COMPUTER INC COM 037833100 61,666 347,275 SH DFND 0 0 347,275
APPLIED MATERIALS INC COM 038222105 3,618 22,989 SH DFND 0 0 22,989
ARES CAP CORP COM COM 04010l103 690 32,565 SH DFND 0 0 32,565
ASSOCIATED BANCORP COM 045487105 497 22,000 SH DFND 0 0 22,000
AT&T INC COM COM 00206r102 3,047 123,854 SH DFND 0 0 123,854
ATHENE HOLDING LTD COM g0684d107 1,819 21,829 SH SOLE 21,829 0 0
ATHENE HOLDING LTD COM g0684d107 165 1,979 SH DFND 0 0 1,979
ATHIRA PHARMA INC COM COM 04746l104 249 19,100 SH DFND 0 0 19,100
ATLASSIAN CORP PLC CL A COM g06242104 200 525 SH DFND 0 0 525
AUTOLIV INC COM COM 052800109 264 2,550 SH DFND 0 0 2,550
AUTOMATIC DATA PROCESSING COM 053015103 272 1,103 SH DFND 0 0 1,103
BANCORP INC DEL COM COM 05969a105 287 11,334 SH DFND 0 0 11,334
BANK OF AMER CORP COM 060505104 6,930 155,756 SH DFND 0 0 155,756
BANK OF NEW YORK MELLON CORP C COM 064058100 708 12,197 SH DFND 0 0 12,197
BARRICK GOLD CORP COM 067901108 798 42,025 SH DFND 0 0 42,025
BAXTER INTERNATIONAL INC COM 071813109 1,912 22,278 SH DFND 0 0 22,278
BENGUET CORP CL B COM 081851206 1 10,000 SH DFND 0 0 10,000
BERKSHIRE HATHAWAY INC CL B COM 084670702 19,798 66,214 SH DFND 0 0 66,214
BERKSHIRE HATHAWAY INC DEL COM 084670108 901 2 SH DFND 0 0 2
BEYONDSPRING INC SHS COM g10830100 57 12,500 SH DFND 0 0 12,500
BIOHAVEN PHARMACTL HLD COM COM g11196105 1,426 10,350 SH DFND 0 0 10,350
BIOMARIN PHARMACEUTICA COM COM 09061G101 1,286 14,554 SH DFND 0 0 14,554
BITWISE CRYPTO INDUSTRY INNOV COM 301505624 990 47,130 SH DFND 0 0 47,130
BLACKROCK INC CL A COM 09247X101 233 254 SH DFND 0 0 254
BLACKSTONE GROUP INC COM CL A COM 09260d107 14,114 109,078 SH DFND 0 0 109,078
BLACKSTONE GSO STRATEG COM SHS COM 09257r101 348 25,780 SH DFND 0 0 25,780
BLACKSTONE MTG TR INC COM CL A COM 09257w100 466 15,225 SH DFND 0 0 15,225
BLOCK INC CL A COM 852234103 4,620 28,602 SH DFND 0 0 28,602
BOEING COMPANY COM 097023105 13,228 65,706 SH DFND 0 0 65,706
BORG WARNER AUTOMOTIVE INC COM COM 099724106 2,103 46,650 SH DFND 0 0 46,650
BP PLC SPONSORED ADR COM 055622104 2,315 86,929 SH DFND 0 0 86,929
BRINKER INTERNATIONAL INC COM 109641100 306 8,367 SH DFND 0 0 8,367
BRISTOL MYERS SQUIBB CO COM 110122108 479 7,681 SH SOLE 7,681 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 4,018 64,444 SH DFND 0 0 64,444
BROADCOM INC COM COM 11135f101 2,844 4,274 SH DFND 0 0 4,274
BUNGE LIMITED COM COM g16962105 1,829 19,590 SH DFND 0 0 19,590
CALERES INC COM COM 129500104 531 23,419 SH SOLE 23,419 0 0
CALERES INC COM COM 129500104 103 4,535 SH DFND 0 0 4,535
CAMBRIA ETF TR SHSHLD YIELD ET COM 132061201 1,325 20,500 SH DFND 0 0 20,500
CAMDEN PPTY TR SH BEN INT COM 133131102 204 1,140 SH DFND 0 0 1,140
CANADIAN NAT RES LTD COM COM 136385101 630 14,911 SH SOLE 14,911 0 0
CANADIAN NAT RES LTD COM COM 136385101 13 315 SH DFND 0 0 315
CANADIAN NATL RY CO COM COM 136375102 3,999 32,550 SH DFND 0 0 32,550
CARA THERAPEUTICS INC COM COM 140755109 596 48,900 SH DFND 0 0 48,900
CARNIVAL CORP COM 143658300 276 13,725 SH DFND 0 0 13,725
CARRIER GLOBAL CORP COM COM 14448c104 334 6,159 SH DFND 0 0 6,159
CATERPILLAR TRACTOR COM 149123101 1,131 5,470 SH DFND 0 0 5,470
CBOE HLDGS INC COM COM 12503m108 1,669 12,800 SH DFND 0 0 12,800
CERIDIAN HCM HLDG INC COM COM 15677j108 264 2,531 SH DFND 0 0 2,531
CHARGEPOINT HLDGS INC CL A COM 15961r105 383 20,100 SH DFND 0 0 20,100
CHARTER COMMUNICATIONS INC NEW COM 16119p108 565 866 SH SOLE 866 0 0
CHARTER COMMUNICATIONS INC NEW COM 16119p108 66 101 SH DFND 0 0 101
CHEVRON CORP NEW COM COM 166764100 19 161 SH SOLE 161 0 0
CHEVRON CORP NEW COM COM 166764100 16,190 137,962 SH DFND 0 0 137,962
CHIPOTLE MEXICAN GRILL CL A COM 169656105 262 150 SH DFND 0 0 150
CIENA CORP NEW COM 171779309 2,324 30,192 SH SOLE 30,192 0 0
CIENA CORP NEW COM 171779309 161 2,089 SH DFND 0 0 2,089
CINTAS CORP COM COM 172908105 211 476 SH DFND 0 0 476
CISCO SYS INC COM 17275R102 31 495 SH SOLE 495 0 0
CISCO SYS INC COM 17275R102 12,745 201,113 SH DFND 0 0 201,113
CITIGROUP INC COM COM 172967424 675 11,184 SH DFND 0 0 11,184
COCA COLA COMPANY COM 191216100 805 13,595 SH SOLE 13,595 0 0
COCA COLA COMPANY COM 191216100 1,135 19,173 SH DFND 0 0 19,173
COHEN & STEERS QTY RLY COM COM 19247L106 701 38,500 SH DFND 0 0 38,500
COHU INC COM COM 192576106 939 24,640 SH SOLE 24,640 0 0
COHU INC COM COM 192576106 124 3,256 SH DFND 0 0 3,256
COINBASE GLOBAL INC COM CL A COM 19260q107 553 2,190 SH DFND 0 0 2,190
COLGATE PALMOLIVE COMPANY COM 194162103 460 5,396 SH DFND 0 0 5,396
COLONY BANKCORP INC CDT-COM COM 19623p101 194 11,356 SH DFND 0 0 11,356
COMCAST CORPORATION CLASS A COM 20030n101 554 10,999 SH DFND 0 0 10,999
COMPUGEN LTD ORD COM m25722105 1,931 449,101 SH DFND 0 0 449,101
CONAGRA BRANDS INC COM COM 205887102 289 8,454 SH DFND 0 0 8,454
CONOCOPHILLIPS COM 20825C104 3,221 44,624 SH DFND 0 0 44,624
CONSOLIDATED EDISON NEW YORK COM 209115104 2,622 30,727 SH DFND 0 0 30,727
CORNING INC COM 219350105 750 20,145 SH SOLE 20,145 0 0
CORNING INC COM 219350105 2,294 61,630 SH DFND 0 0 61,630
CORTEVA INC COM COM 22052l104 253 5,349 SH DFND 0 0 5,349
COSTCO WHOLESALE CORP-NEW COM 22160K105 17,571 30,951 SH DFND 0 0 30,951
COTERRA ENERGY INC COM COM 127097103 990 52,086 SH SOLE 52,086 0 0
COTERRA ENERGY INC COM COM 127097103 83 4,387 SH DFND 0 0 4,387
COURSERA INC COM COM 22266m104 525 21,475 SH DFND 0 0 21,475
CRESCO LABS INC SUB VTG SHS COM 22587m106 256 38,400 SH DFND 0 0 38,400
CROWN CASTLE INTL CORP NEW COM COM 22822v101 24 116 SH SOLE 116 0 0
CROWN CASTLE INTL CORP NEW COM COM 22822v101 201 965 SH DFND 0 0 965
CUMMINS ENGINE CO INC COM 231021106 2,727 12,501 SH DFND 0 0 12,501
CUSTOMERS BANCORP INC COM COM 23204G100 377 5,764 SH SOLE 5,764 0 0
CVS HEALTH CORPORATION COM 126650100 12,115 117,444 SH DFND 0 0 117,444
DANAHER CORP DEL COM COM 235851102 1,265 3,844 SH DFND 0 0 3,844
DARDEN RESTAURANTS, INC. COM 237194105 1,146 7,605 SH DFND 0 0 7,605
DAVITA HEALTHCARE PARTNERS, IN COM 23918k108 1,558 13,695 SH DFND 0 0 13,695
DEERE & COMPANY COM 244199105 2,414 7,040 SH DFND 0 0 7,040
DENTSPLY SIRONA INC COM COM 24906p109 543 9,725 SH DFND 0 0 9,725
DEVON ENERGY CORP NEW COM COM 25179M103 198 4,500 SH SOLE 4,500 0 0
DEVON ENERGY CORP NEW COM COM 25179M103 112 2,532 SH DFND 0 0 2,532
DIAMONDBACK ENERGY INC COM COM 25278x109 1,277 11,840 SH SOLE 11,840 0 0
DIAMONDBACK ENERGY INC COM COM 25278x109 263 2,441 SH DFND 0 0 2,441
DIEBOLD INC COM COM 253651103 933 103,079 SH DFND 0 0 103,079
DIGITAL RLTY TR INC COM COM 253868103 707 4,000 SH SOLE 4,000 0 0
DIGITAL RLTY TR INC COM COM 253868103 19 107 SH DFND 0 0 107
DIMECO INC COM COM 25432w104 222 6,000 SH DFND 0 0 6,000
DISCOVER FINL SVCS INC COM 254709108 262 2,263 SH DFND 0 0 2,263
DISCOVERY COMMUNICATIONS INC C COM 25470f104 2,374 100,832 SH DFND 0 0 100,832
DOLLAR GENERAL CORP COM 256677105 928 3,934 SH SOLE 3,934 0 0
DOLLAR GENERAL CORP COM 256677105 675 2,863 SH DFND 0 0 2,863
DOLLAR TREE INC COM COM 256746108 606 4,310 SH SOLE 4,310 0 0
DOLLAR TREE INC COM COM 256746108 289 2,060 SH DFND 0 0 2,060
DOMINION ENERGY INC COM COM 25746u109 1,866 23,758 SH DFND 0 0 23,758
DOMINOS PIZZA INC COM COM 25754a201 2,878 5,100 SH DFND 0 0 5,100
DOW INC COM COM 260557103 11,269 198,679 SH DFND 0 200 198,479
DRAFTKINGS INC COM CL A COM 26142r104 6,285 228,788 SH DFND 0 0 228,788
DTE ENERGY CO COM COM 233331107 208 1,736 SH DFND 0 0 1,736
DUKE ENERGY COMPANY COM 26441C204 4,289 40,883 SH DFND 0 0 40,883
DUPONT DE NEMOURS INC COM COM 26614n102 645 7,990 SH DFND 0 0 7,990
EATON CORP PLC SHS COM g29183103 2,724 15,761 SH DFND 0 0 15,761
EBAY INC COM COM 278642103 3,040 45,712 SH DFND 0 0 45,712
EDISON INTERNATIONAL COM 281020107 676 9,900 SH DFND 0 0 9,900
EDWARDS LIFESCIENCES COM COM 28176e108 2,060 15,899 SH DFND 0 0 15,899
ELECTRONIC ARTS COM 285512109 967 7,335 SH DFND 0 0 7,335
EMERSON ELECTRIC CO COM 291011104 1,245 13,387 SH DFND 0 0 13,387
ENBRIDGE INC COM COM 29250n105 601 15,364 SH DFND 0 0 15,364
EQUINIX INC COM NEW COM 29444U700 595 703 SH DFND 0 0 703
EQUITABLE HLDGS IN COM COM 29452e101 375 11,425 SH DFND 0 0 11,425
ESSENTIAL UTILS INC COM COM 29670g102 1,265 23,555 SH DFND 0 0 23,555
ETHAN ALLEN INTERIORS COM COM 297602104 481 18,310 SH DFND 0 0 18,310
EWELLNESS HEALTHCARE C COM NEW COM 30051d205 0 150,000 SH DFND 0 0 150,000
EXELON CORP COM 30161N101 2,666 46,148 SH DFND 0 0 46,148
EXICURE INC COM COM 30205m101 2 10,000 SH DFND 0 0 10,000
EXPEDIA INC DEL COM COM 30212P303 835 4,622 SH DFND 0 0 4,622
EXXON MOBIL CORP COM COM 30231G102 2,574 42,071 SH DFND 0 0 42,071
F5 NETWORKS INC COM COM 315616102 444 1,815 SH DFND 0 0 1,815
FACEBOOK INC CL A COM 30303m102 5,960 17,720 SH DFND 0 0 17,720
FAMILY ZONE CYBER SAFE SHS COM q3689d105 34 77,000 SH DFND 0 0 77,000
FEDEX CORP COM 31428X106 545 2,108 SH SOLE 2,108 0 0
FEDEX CORP COM 31428X106 3,409 13,179 SH DFND 0 0 13,179
FIFTH THIRD BANCORP COM 316773100 1,217 27,950 SH DFND 0 0 27,950
FIRST N B ANCHRAG ALAS COM COM 32112j106 2,056 8,866 SH DFND 0 0 8,866
FIRST TRUST ETF II HLTH CARE A COM 33734x143 310 2,500 SH DFND 0 0 2,500
FLEXPOINT SENSOR SYS COM NEW COM 33938w206 3 56,000 SH DFND 0 0 56,000
FLUOR CORP NEW COM 343412102 1,060 42,807 SH DFND 0 0 42,807
FORD MOTOR COMPANY COM 345370860 661 31,829 SH DFND 0 0 31,829
FORTIVE CORP COM COM 34959j108 378 4,957 SH DFND 0 0 4,957
FULLER H B CO COM COM 359694106 1,406 17,360 SH SOLE 17,360 0 0
FULLER H B CO COM COM 359694106 132 1,635 SH DFND 0 0 1,635
GABELLI UTIL TR COM COM 36240A101 430 52,199 SH DFND 0 0 52,199
GALAXY DIGITAL HLDGS L SHS COM g37092106 264 14,720 SH DFND 0 0 14,720
GALLAGHER ARTHUR J & CO COM 363576109 501 2,951 SH DFND 0 0 2,951
GENERAL DYNAMICS COM 369550108 11,358 54,481 SH DFND 0 50 54,431
GENERAL ELECTRIC CO COM 369604301 1,144 12,111 SH DFND 0 0 12,111
GENERAL MILLS INC COM 370334104 341 5,064 SH DFND 0 0 5,064
GENERAL MTRS CO COM COM 37045v100 1,619 27,614 SH DFND 0 0 27,614
GILEAD SCIENCES INC COM COM 375558103 414 5,704 SH DFND 0 0 5,704
GLAXO SMITHKLINE PLC SPONS ADR COM 37733w105 2,108 47,800 SH DFND 0 0 47,800
GLOBUS MED INC CL A COM 379577208 294 4,074 SH SOLE 4,074 0 0
GLOBUS MED INC CL A COM 379577208 26 362 SH DFND 0 0 362
GOHEALTH INC COM CL A COM 38046w105 253 66,800 SH DFND 0 0 66,800
GOLDMAN SACHS BDC INC SHS COM 38147u107 260 13,593 SH DFND 0 0 13,593
GOLDMAN SACHS GROUP COM COM 38141G104 1,855 4,850 SH DFND 0 0 4,850
GRAINGER W W INC COM 384802104 1,092 2,107 SH SOLE 2,107 0 0
GRAINGER W W INC COM 384802104 101 194 SH DFND 0 0 194
GRAYSCALE BITCOIN TR BTC SHS COM 389637109 7,957 232,311 SH DFND 0 0 232,311
GRAYSCALE ETHEREUM TR SHS COM 389638107 9,905 306,099 SH DFND 0 0 306,099
GREEN THUMB INDUSTRIES SUB VTG COM 39342l108 1,057 47,700 SH DFND 0 0 47,700
HALLIBURTON COMPANY COM 406216101 295 12,900 SH DFND 0 0 12,900
HANES BRANDS INC COM COM 410345102 573 34,248 SH DFND 0 0 34,248
HOME DEPOT INC COM 437076102 6,246 15,050 SH DFND 0 0 15,050
HONEYWELL INTL COM 438516106 12,700 60,907 SH DFND 0 200 60,707
HUNTSMAN CORP COM COM 447011107 346 9,910 SH DFND 0 0 9,910
I3 VERTICALS INC COM CL A COM 46571y107 278 12,200 SH DFND 0 0 12,200
ILLINOIS TOOL WORKS COM 452308109 14,407 58,376 SH DFND 0 0 58,376
ILLUMINA INC COM COM 452327109 282 741 SH DFND 0 0 741
INTEL CORPORATION COM 458140100 4,835 93,874 SH DFND 0 0 93,874
INTERNATIONAL BUSINESS MACHINE COM 459200101 3,089 23,108 SH DFND 0 0 23,108
INTERNATIONAL PAPER CO COM 460146103 658 14,009 SH DFND 0 0 14,009
INTUITIVE SURGICAL INC COM NEW COM 46120e602 1,228 3,417 SH DFND 0 0 3,417
INVESCO ETF TR II S&P 500 LOW COM 46138E354 554 8,075 SH DFND 0 0 8,075
INVESCO ETF TR S&P 500 EQUAL W COM 46137V357 254 1,562 SH DFND 0 0 1,562
INVESCO LTD SHS COM g491bt108 1,884 81,845 SH DFND 0 0 81,845
INVITATION HOMES INC COM COM 46187w107 12,711 280,354 SH DFND 0 0 280,354
ISHARES INC MSCI JAPAN COM 46434g822 298 4,450 SH DFND 0 0 4,450
ISHARES SILVER TRUST ISHARES COM 46428q109 230 10,687 SH DFND 0 0 10,687
ISHARES TR CONSER ALLOC ETF COM 464289883 1,324 33,100 SH DFND 0 0 33,100
ISHARES TR DJ SEL DIV INX COM 464287168 203 1,654 SH DFND 0 0 1,654
ISHARES TR FTSE XINHAU HK CHIN COM 464287184 851 23,270 SH DFND 0 0 23,270
ISHARES TR GRWT ALLOCAT ETF COM 464289867 285 5,000 SH DFND 0 0 5,000
ISHARES TR MSCI EAFE IDX COM 464287465 2,043 25,964 SH DFND 0 0 25,964
ISHARES TR NASDQ BIO INDX COM 464287556 229 1,500 SH DFND 0 0 1,500
ISHARES TR RUSL 2000 GROW COM 464287648 235 801 SH DFND 0 0 801
ISHARES TR RUSSELL MIDCAP COM 464287499 264 3,176 SH DFND 0 0 3,176
ISHARES TR RUSSELL1000GRW COM 464287614 7,435 24,330 SH DFND 0 0 24,330
ISHARES TR S&P SMLCAP 600 COM 464287804 527 4,600 SH DFND 0 0 4,600
J P MORGAN CHASE & CO COM COM 46625h100 25,246 159,429 SH DFND 0 0 159,429
JOHNSON & JOHNSON COM 478160104 18,573 108,569 SH DFND 0 100 108,469
JONES LANG LASALLE INC COM COM 48020q107 215 800 SH DFND 0 0 800
KBR INC COM COM 48242w106 1,308 27,460 SH SOLE 27,460 0 0
KBR INC COM COM 48242w106 125 2,620 SH DFND 0 0 2,620
KELLOGG COMPANY COM 487836108 1,215 18,855 SH DFND 0 0 18,855
KIMBERLY CLARK CORP COM 494368103 1,309 9,160 SH DFND 0 0 9,160
KINDER MORGAN INC DEL COM COM 49456b101 1,105 69,649 SH DFND 0 0 69,649
KKR & CO INC CL A COM 48251w104 4,079 54,752 SH DFND 0 0 54,752
KLA CORP COM COM 482480100 670 1,558 SH DFND 0 0 1,558
KRAFT HEINZ CO COM COM 500754106 1,389 38,681 SH DFND 0 0 38,681
KROGER CO COM 501044101 28 608 SH SOLE 608 0 0
KROGER CO COM 501044101 507 11,208 SH DFND 0 0 11,208
LAZARD LTD SHS A COM g54050102 353 8,100 SH DFND 0 0 8,100
LILLY ELI & COMPANY COM 532457108 3,549 12,847 SH DFND 0 0 12,847
LINCOLN NATL CORP IND COM COM 534187109 468 6,860 SH DFND 0 0 6,860
LINDE PLC COM g5494j103 2,889 8,338 SH DFND 0 0 8,338
LOCKHEED MARTIN CORP COM 539830109 4,587 12,905 SH DFND 0 0 12,905
LOWES COS INC COM COM 548661107 288 1,114 SH DFND 0 0 1,114
LUMENTUM HLDGS INC COM COM 55024u109 1,597 15,096 SH SOLE 15,096 0 0
LUMENTUM HLDGS INC COM COM 55024u109 150 1,421 SH DFND 0 0 1,421
LYONDELLBASELL INDUSTR SHS - A COM N53745100 3,258 35,330 SH DFND 0 0 35,330
MACERICH CO COM COM 554382101 199 11,495 SH DFND 0 0 11,495
MACYS INC COM COM 55616p104 789 30,130 SH DFND 0 0 30,130
MARRIOTT INTL INC COM COM 571903202 781 4,729 SH DFND 0 0 4,729
MARVELL TECH GROUP LTD ORD COM 573874104 2,500 28,572 SH DFND 0 0 28,572
MASCO CORP COM COM 574599106 223 3,175 SH DFND 0 0 3,175
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METLIFE INC COM COM 59156r108 5,433 86,945 SH DFND 0 0 86,945
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PUBLIC STORAGE INC COM COM 74460D109 12,155 32,452 SH DFND 0 75 32,377
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QUALCOMM INC COM 747525103 13,159 71,960 SH DFND 0 0 71,960
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POPLAR FOREST PARTNERS INSTITU MF 00768d798 13,618 260,981 SH DFND 0 0 260,981
PRUDENTIAL WRLD FD IN JNSON GL MF 743969685 240 5,234 SH DFND 0 0 5,234
ROWE PRICE NEW HORIZON FD CL I MF 779562206 212 2,746 SH DFND 0 0 2,746
ROWE T PRICE ST TAX FR COM MF 779576107 146 13,901 SH DFND 0 0 13,901
SEQUOIA FD INC COM MF 817418106 386 2,087 SH DFND 0 0 2,087
SMALLCAP WORLD FD INC CL F3 MF 831681770 298 3,645 SH DFND 0 0 3,645
SMEAD FDS TR VALUE FD CL Y MF 83178c709 392 5,651 SH DFND 0 0 5,651
THE GROWTH FD OF AMERICA CL F3 MF 399874775 1,660 22,338 SH DFND 0 0 22,338
VANGUARD CHESTER FDS TGT RETIR MF 92202e409 403 19,816 SH DFND 0 0 19,816
VANGUARD INDEX FDS TOT STKIDX MF 922908728 485 4,124 SH DFND 0 0 4,124
VANGUARD INDEX TR 500 INDEX AD MF 922908710 1,531 3,481 SH DFND 0 0 3,481
VANGUARD SPECIALIZED HEALTHCAR MF 921908885 424 4,422 SH DFND 0 0 4,422
WASHINGTON MUT INVS FD CL F3 MF 939330775 660 10,923 SH DFND 0 0 10,923
INVESCO ETF TR II FTSE RAFI DE EXCH 46138E743 1,210 25,535 SH DFND 0 0 25,535
INVESCO ETF TR II FTSE RAFI EM EXCH 46138E727 9,407 429,732 SH DFND 0 0 429,732
INVESCO ETF TR II RUSSELL 1000 EXCH 46138E420 1,095 23,125 SH DFND 0 0 23,125
INVESCO ETF TR S&P 500 PURE VA EXCH 46137V258 5,367 66,400 SH DFND 0 0 66,400
INVESCO ETF TRUST FTSE RAFI US EXCH 46137V613 13,763 80,156 SH DFND 0 0 80,156
INVESCO QQQ TR UNIT SER 1 EXCH 46090E103 3,487 8,765 SH DFND 0 0 8,765
ISHARES TR DJ HOME CONSTN EXCH 464288752 2,393 28,860 SH DFND 0 0 28,860
ISHARES TR MSCI EMERG MKT EXCH 464287234 556 11,391 SH DFND 0 0 11,391
ISHARES TR NORTH AMERN NAT EXCH 464287374 1,128 35,825 SH DFND 0 0 35,825
ISHARES TR RUSSELL 2000 EXCH 464287655 1,259 5,661 SH DFND 0 0 5,661
ISHARES TR RUSSELL1000VAL EXCH 464287598 4,213 25,089 SH DFND 0 0 25,089
SELECT SECTOR SPDR TR SBI INT- EXCH 81369y605 350 8,970 SH DFND 0 0 8,970
SPDR S&P 500 ETF TR UNIT SER 1 EXCH 78462F103 9,505 20,012 SH DFND 0 0 20,012
SPIDER GOLD TR SHS EXCH 78463V107 509 2,978 SH DFND 0 0 2,978
VANECK VECTORS ETF TR VIDEO GA EXCH 92189f114 1,046 15,785 SH DFND 0 0 15,785
VANGUARD INDEX FDS TOTAL STK M EXCH 922908769 734 3,041 SH DFND 0 0 3,041
WISDOMTREE TR EMERGING MKTS YL EXCH 97717w315 1,244 28,705 SH DFND 0 0 28,705
WISDOMTREE TRUST DEFA FD EXCH 97717w703 287 5,310 SH DFND 0 0 5,310
AMERICAN BALANCED FD CL F3 BAL MF 024071771 8,257 246,846 SH DFND 0 0 246,846
AMERICAN FDS CONSERVATIVE GRWT BAL MF 02630q205 1,078 77,331 SH DFND 0 0 77,331
AMERICAN FDS GLOBAL BA CL F3 BAL MF 02629w775 719 18,711 SH DFND 0 0 18,711
AMERICAN FDS MODERATE GRWTH & BAL MF 02630q106 880 47,490 SH DFND 0 0 47,490
VIRTUS ALLIANZGI INCM GR INST BAL MF 92837n535 519 37,168 SH DFND 0 0 37,168
EATON VANCE TXMG GLOBAL OPPORT CLE FDS 27829c105 386 34,472 SH DFND 0 0 34,472
ROYCE GLOBAL VALUE TR INC COM CLE FDS 78081t104 577 43,996 SH DFND 0 0 43,996
ROYCE VALUE TR INC COM CLE FDS 780910105 5,749 293,488 SH DFND 0 0 293,488
VIRTUS ALLIANZGI EQUITY & CONV CLE FDS 92841m101 999 33,158 SH DFND 0 0 33,158

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