The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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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 |
SPECIAL OPPORTUNITIES FD INC | COM | 84741T104 | 38,291 | 2,483,218 | SH | SOLE | 2,483,218 | 0 | 0 | ||
WESTERN ASSET VAR RT STRG FD | COM | 957667108 | 25,599 | 1,549,605 | SH | SOLE | 1,549,605 | 0 | 0 | ||
MFS GOVT MKTS INCOME TR | SH BEN INT | 552939100 | 15,883 | 2,836,321 | SH | SOLE | 2,836,321 | 0 | 0 | ||
TCW STRATEGIC INCOME FUND IN | COM | 872340104 | 21,539 | 3,981,290 | SH | SOLE | 3,981,290 | 0 | 0 | ||
EATON VANCE SH TM DR DIVR IN | COM | 27828V104 | 21,059 | 1,453,317 | SH | SOLE | 1,453,317 | 0 | 0 | ||
DIVERSIFIED REAL ASSET INC F | COM SHS | 25533B108 | 31,239 | 1,725,916 | SH | SOLE | 1,725,916 | 0 | 0 | ||
ZWEIG TOTAL RETURN FD INC | COM NEW | 989837208 | 33,741 | 2,466,480 | SH | SOLE | 2,466,480 | 0 | 0 | ||
BLACKROCK DEFINED OPPRTY CR | COM | 09255Q105 | 8,440 | 637,251 | SH | SOLE | 637,251 | 0 | 0 | ||
BLACKSTONE GSO FLTING RTE FU | COM | 09256U105 | 18,342 | 1,063,285 | SH | SOLE | 1,063,285 | 0 | 0 | ||
BLACKROCK ENHANCED GOVT FD I | COM | 09255K108 | 7,038 | 506,997 | SH | SOLE | 506,997 | 0 | 0 | ||
MFS CHARTER INCOME TR | SH BEN INT | 552727109 | 26,693 | 3,033,271 | SH | SOLE | 3,033,271 | 0 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 66,748 | 4,958,985 | SH | SOLE | 4,958,985 | 0 | 0 | ||
MFS MULTIMARKET INCOME TR | SH BEN INT | 552737108 | 21,811 | 3,434,819 | SH | SOLE | 3,434,819 | 0 | 0 | ||
PUTNAM PREMIER INCOME TR | SH BEN INT | 746853100 | 31,493 | 5,975,866 | SH | SOLE | 5,975,866 | 0 | 0 | ||
EATON VANCE RISK MNGD DIV EQ | COM | 27829G106 | 31,057 | 2,870,371 | SH | SOLE | 2,870,371 | 0 | 0 | ||
MFS INTER INCOME TR | SH BEN INT | 55273C107 | 24,155 | 4,960,032 | SH | SOLE | 4,960,032 | 0 | 0 | ||
ZWEIG FD | COM NEW | 989834205 | 11,300 | 734,704 | SH | SOLE | 734,704 | 0 | 0 | ||
TRI CONTL CORP | COM | 895436103 | 42,273 | 1,948,953 | SH | SOLE | 1,948,953 | 0 | 0 | ||
BLACKSTONE GSO LNG SHRT CR I | COM SHS BN INT | 09257D102 | 6,318 | 391,462 | SH | SOLE | 391,462 | 0 | 0 | ||
BLACKROCK ENHANCED EQT DIV T | COM | 09251A104 | 38,997 | 4,749,962 | SH | SOLE | 4,749,962 | 0 | 0 | ||
MADISON STRTG SECTOR PREM FD | COM | 558268108 | 1,698 | 141,055 | SH | SOLE | 141,055 | 0 | 0 | ||
ROYCE VALUE TR INC | COM | 780910105 | 23,492 | 1,640,468 | SH | SOLE | 1,640,468 | 0 | 0 | ||
ELLSWORTH GROWTH & INCOME FD | COM | 289074106 | 2,301 | 262,622 | SH | SOLE | 262,622 | 0 | 0 | ||
ALLIANCEBERNSTEIN INCOME FUN | COM | 01881E101 | 33,404 | 4,326,952 | SH | SOLE | 4,326,952 | 0 | 0 | ||
POLONIA BACORP INC MD | COM | 73158Q109 | 748 | 56,951 | SH | SOLE | 56,951 | 0 | 0 | ||
BLACKROCK GLOBAL OPP EQTY TR | COM | 092501105 | 16,364 | 1,178,971 | SH | SOLE | 1,178,971 | 0 | 0 | ||
ISHARES TR | S&P 100 ETF | 464287101 | 73,314 | 812,251 | SH | SOLE | 812,251 | 0 | 0 | ||
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 16,657 | 2,852,165 | SH | SOLE | 2,852,165 | 0 | 0 | ||
NUVEEN MULTI MKT INCOME FD | COM | 67075J107 | 903 | 119,200 | SH | SOLE | 119,200 | 0 | 0 | ||
WESTERN ASSET GLOBAL CP DEFI | COM | 95790C107 | 3,026 | 171,034 | SH | SOLE | 171,034 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 18,175 | 1,263,041 | SH | SOLE | 1,263,041 | 0 | 0 | ||
ROYCE GLOBAL VALUE TR INC | COM | 78081T104 | 826 | 102,636 | SH | SOLE | 102,636 | 0 | 0 | ||
NUVEEN S&P 500 DYN OVERWRITE | COM | 6706EW100 | 2,264 | 162,045 | SH | SOLE | 162,045 | 0 | 0 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 2,232 | 136,766 | SH | SOLE | 136,766 | 0 | 0 | ||
EATON VANCE TX MGD DIV EQ IN | COM | 27828N102 | 14,204 | 1,251,449 | SH | SOLE | 1,251,449 | 0 | 0 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 3,428 | 200,793 | SH | SOLE | 200,793 | 0 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 4,592 | 290,820 | SH | SOLE | 290,820 | 0 | 0 | ||
SARATOGA INVT CORP | COM NEW | 80349A208 | 658 | 41,518 | SH | SOLE | 41,518 | 0 | 0 | ||
ALLIANZGI EQUITY & CONV INCO | COM | 018829101 | 3,676 | 185,580 | SH | SOLE | 185,580 | 0 | 0 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 4,142 | 237,084 | SH | SOLE | 237,084 | 0 | 0 | ||
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 1,295 | 198,965 | SH | SOLE | 198,965 | 0 | 0 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 1,895 | 137,254 | SH | SOLE | 137,254 | 0 | 0 | ||
WHITEHORSE FIN INC | COM | 96524V106 | 907 | 72,995 | SH | SOLE | 72,995 | 0 | 0 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 5,049 | 144,346 | SH | SOLE | 144,346 | 0 | 0 | ||
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 6,387 | 284,369 | SH | SOLE | 284,369 | 0 | 0 | ||
BLACKROCK INCOME TR INC | COM | 09247F100 | 1,756 | 273,507 | SH | SOLE | 273,507 | 0 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 2,167 | 155,898 | SH | SOLE | 155,898 | 0 | 0 | ||
PENNANTPARK FLOATING RATE CA | COM | 70806A106 | 851 | 60,646 | SH | SOLE | 60,646 | 0 | 0 | ||
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 843 | 69,278 | SH | SOLE | 69,278 | 0 | 0 | ||
ARES COML REAL ESTATE CORP | COM | 04013V108 | 780 | 70,626 | SH | SOLE | 70,626 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 2,634 | 291,028 | SH | SOLE | 291,028 | 0 | 0 | ||
NUVEEN NY MUN VALUE FD | COM | 67062M105 | 303 | 31,108 | SH | SOLE | 31,108 | 0 | 0 | ||
CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 18914E106 | 1,248 | 100,196 | SH | SOLE | 100,196 | 0 | 0 | ||
CUTWATER SELECT INCOME FD | COM | 232229104 | 367 | 18,348 | SH | SOLE | 18,348 | 0 | 0 | ||
ANWORTH MORTGAGE ASSET CP | COM | 037347101 | 926 | 181,958 | SH | SOLE | 181,958 | 0 | 0 | ||
PROSHARES TR | PSHS ULSHT SP500 | 74347B300 | 1,958 | 91,783 | SH | SOLE | 91,783 | 0 | 0 | ||
MFS INTERMARKET INCOME TRUST | SH BEN INT | 59318R103 | 145 | 17,055 | SH | SOLE | 17,055 | 0 | 0 | ||
PUTNAM MASTER INTER INCOME T | SH BEN INT | 746909100 | 446 | 91,037 | SH | SOLE | 91,037 | 0 | 0 | ||
VANGUARD WORLD FDS | INF TECH ETF | 92204A702 | 10,175 | 95,525 | SH | SOLE | 95,525 | 0 | 0 | ||
EATON VANCE ENHANCED EQ INC | COM | 278274105 | 719 | 52,335 | SH | SOLE | 52,335 | 0 | 0 | ||
EATON VANCE FLTG RATE INCOM | COM SHS BEN INT | 278284104 | 172 | 10,097 | SH | SOLE | 10,097 | 0 | 0 | ||
MARKET VECTORS ETF TR | JR GOLD MINERS E | 57061R544 | 2,060 | 90,761 | SH | SOLE | 90,761 | 0 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 256 | 24,765 | SH | SOLE | 24,765 | 0 | 0 | ||
VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 28,590 | 342,933 | SH | SOLE | 342,933 | 0 | 0 | ||
PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 746922103 | 503 | 41,000 | SH | SOLE | 41,000 | 0 | 0 | ||
VIRTUS TOTAL RETURN FD | COM | 92829A103 | 114 | 25,075 | SH | SOLE | 25,075 | 0 | 0 | ||
TRUPANION INC | COM | 898202106 | 194 | 24,243 | SH | SOLE | 24,243 | 0 | 0 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 380 | 32,717 | SH | SOLE | 32,717 | 0 | 0 | ||
NEW GERMANY FD INC | COM | 644465106 | 200 | 12,920 | SH | SOLE | 12,920 | 0 | 0 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 7,173 | 432,911 | SH | SOLE | 432,911 | 0 | 0 | ||
PENNANTPARK INVT CORP | COM | 708062104 | 522 | 57,631 | SH | SOLE | 57,631 | 0 | 0 | ||
NEW MTN FIN CORP | COM | 647551100 | 484 | 33,181 | SH | SOLE | 33,181 | 0 | 0 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 31,013 | 289,168 | SH | SOLE | 289,168 | 0 | 0 | ||
NUVEEN MUN VALUE FD INC | COM | 670928100 | 1,112 | 112,353 | SH | SOLE | 112,353 | 0 | 0 | ||
TCP CAP CORP | COM | 87238Q103 | 374 | 23,328 | SH | SOLE | 23,328 | 0 | 0 | ||
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 629 | 22,173 | SH | SOLE | 22,173 | 0 | 0 | ||
GLOBAL DEFENSE & NATL SEC SY | COM | 37953N108 | 38 | 3,616 | SH | SOLE | 3,616 | 0 | 0 | ||
SOUTHSIDE BANCSHARES INC | COM | 84470P109 | 230 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
APOLLO COML REAL EST FIN INC | COM | 03762U105 | 315 | 18,348 | SH | SOLE | 18,348 | 0 | 0 | ||
TWO HBRS INVT CORP | COM | 90187B101 | 889 | 83,709 | SH | SOLE | 83,709 | 0 | 0 | ||
BLACKROCK RES & COMM STRAT T | SHS | 09257A108 | 196 | 20,470 | SH | SOLE | 20,470 | 0 | 0 | ||
ALLIANZGI NFJ DIVID INT & PR | COM | 01883A107 | 319 | 19,540 | SH | SOLE | 19,540 | 0 | 0 | ||
FS INVT CORP | COM | 302635107 | 503 | 49,605 | SH | SOLE | 49,605 | 0 | 0 | ||
MFA FINL INC | COM | 55272X102 | 563 | 71,610 | SH | SOLE | 71,610 | 0 | 0 | ||
HATTERAS FINL CORP | COM | 41902R103 | 326 | 17,936 | SH | SOLE | 17,936 | 0 | 0 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 330 | 21,259 | SH | SOLE | 21,259 | 0 | 0 | ||
COLONY FINL INC | COM | 19624R106 | 477 | 18,421 | SH | SOLE | 18,421 | 0 | 0 | ||
TALMER BANCORP INC | COM | 87482X101 | 173 | 11,268 | SH | SOLE | 11,268 | 0 | 0 | ||
ALPINE TOTAL DYNAMIC DIVID F | COM SH BEN INT N | 021060207 | 151 | 16,997 | SH | SOLE | 16,997 | 0 | 0 | ||
ARES CAP CORP | COM | 04010L103 | 761 | 44,348 | SH | SOLE | 44,348 | 0 | 0 | ||
MARKIT LTD | SHS | G58249106 | 674 | 25,060 | SH | SOLE | 25,060 | 0 | 0 | ||
BANK OF THE OZARKS INC | COM | 063904106 | 394 | 10,660 | SH | SOLE | 10,660 | 0 | 0 | ||
BLACKROCK INTL GRWTH & INC T | COM BENE INTER | 092524107 | 95 | 13,358 | SH | SOLE | 13,358 | 0 | 0 | ||
SPDR INDEX SHS FDS | EURO STOXX 50 | 78463X202 | 361 | 9,295 | SH | SOLE | 9,295 | 0 | 0 | ||
GENERAL MTRS CO | *W EXP 07/10/201 | 37045V118 | 276 | 9,950 | SH | SOLE | 9,950 | 0 | 0 | ||
ISHARES TR | 20+ YR TR BD ETF | 464287432 | 454 | 3,477 | SH | SOLE | 3,477 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 364 | 8,200 | SH | SOLE | 8,200 | 0 | 0 | ||
VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 607 | 4,949 | SH | SOLE | 4,949 | 0 | 0 | ||
LOEWS CORP | COM | 540424108 | 718 | 17,590 | SH | SOLE | 17,590 | 0 | 0 | ||
RYDEX ETF TRUST | GUG S&P500 EQ WT | 78355W106 | 373 | 4,604 | SH | SOLE | 4,604 | 0 | 0 | ||
SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | 276 | 7,044 | SH | SOLE | 7,044 | 0 | 0 | ||
VANGUARD INDEX FDS | REIT ETF | 922908553 | 604 | 7,164 | SH | SOLE | 7,164 | 0 | 0 | ||
L BRANDS INC | COM | 501797104 | 327 | 3,465 | SH | SOLE | 3,465 | 0 | 0 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 586 | 9,137 | SH | SOLE | 9,137 | 0 | 0 | ||
ISHARES | MSCI JAPAN ETF | 464286848 | 159 | 12,665 | SH | SOLE | 12,665 | 0 | 0 | ||
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 227 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 644 | 20,600 | SH | SOLE | 20,600 | 0 | 0 | ||
CHEVRON CORP NEW | COM | 166764100 | 542 | 5,160 | SH | SOLE | 5,160 | 0 | 0 | ||
CITIGROUP INC | COM NEW | 172967424 | 412 | 8,003 | SH | SOLE | 8,003 | 0 | 0 | ||
MERCK & CO INC NEW | COM | 58933Y105 | 374 | 6,500 | SH | SOLE | 6,500 | 0 | 0 | ||
UNION PAC CORP | COM | 907818108 | 217 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 435 | 12,500 | SH | SOLE | 12,500 | 0 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 515 | 5,120 | SH | SOLE | 5,120 | 0 | 0 | ||
CISCO SYS INC | COM | 17275R102 | 242 | 8,800 | SH | SOLE | 8,800 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 277 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 570 | 14,025 | SH | SOLE | 14,025 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 303 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 312 | 12,559 | SH | SOLE | 12,559 | 0 | 0 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 246 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 236 | 2,772 | SH | SOLE | 2,772 | 0 | 0 |