0001037763-16-000006.txt : 20160825 0001037763-16-000006.hdr.sgml : 20160825 20160825134615 ACCESSION NUMBER: 0001037763-16-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160825 DATE AS OF CHANGE: 20160825 EFFECTIVENESS DATE: 20160825 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPTIMUM INVESTMENT ADVISORS CENTRAL INDEX KEY: 0001037763 IRS NUMBER: 363673834 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06296 FILM NUMBER: 161851058 BUSINESS ADDRESS: STREET 1: 33 N. LA SALLE STREET 2: SUITE 3700 CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 3127821515 MAIL ADDRESS: STREET 1: 33 N. LA SALLE STREET 2: SUITE 3700 CITY: CHICAGO STATE: IL ZIP: 60602 FORMER COMPANY: FORMER CONFORMED NAME: GRAVER BOKHOF GOODWILL & SULLIVAN L P/IL DATE OF NAME CHANGE: 19990329 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001037763 XXXXXXXX 06-30-2016 06-30-2016 OPTIMUM INVESTMENT ADVISORS
33 N. LA SALLE SUITE 3700 CHICAGO IL 60602
13F HOLDINGS REPORT 028-06296 N
Terry M McCaffrey CEO and Chairman 3124563325 Tery M McCaffrey Chicago IL 08-25-2016 0 275 257936 false
INFORMATION TABLE 2 6-30-201613FFiling.xml ISHARES TR CORE S&P MCP ETF 464287507 205 1375 SH SOLE 0 0 1375 ISHARES TR RUS 1000 GRW ETF 464287614 1975 19674 SH SOLE 0 0 19674 ISHARES TR RUSSELL 2000 ETF 464287655 235 2045 SH SOLE 0 0 2045 ISHARES TR CORE US VAL ETF 464287663 336 2500 SH SOLE 0 0 2500 SPDR S&P 500 ETF TR TR UNIT 78462F103 6650 31748 SH SOLE 0 0 31748 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 390 7437 SH SOLE 0 0 7437 ADOBE SYS INC COM 00724F101 2312 24131 SH SOLE 0 0 24131 AMAZON COM INC COM 023135106 1089 1522 SH SOLE 0 0 1522 BRISTOL MYERS SQUIBB CO COM 110122108 4687 63724 SH SOLE 0 0 63724 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 840 5800 SH SOLE 0 0 5800 E M C CORP MASS COM 268648102 463 17055 SH SOLE 0 0 17055 BOEING CO COM 097023105 1100 8467 SH SOLE 0 0 8467 POWERSHARES INDIA ETF TR INDIA PORT 73935L100 248 12660 SH SOLE 0 0 12660 SYNOPSYS INC COM 871607107 335 6200 SH SOLE 0 0 6200 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 504 10036 SH SOLE 0 0 10036 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 330 3068 SH SOLE 0 0 3068 AMGEN INC COM 031162100 1088 7148 SH SOLE 0 0 7148 ABBOTT LABS COM 002824100 991 25198 SH SOLE 0 0 25198 ANADARKO PETE CORP COM 032511107 537 10086 SH SOLE 0 0 10086 BP PLC SPONSORED ADR 055622104 717 20192 SH SOLE 0 0 20192 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 592 64462 SH SOLE 0 0 64462 ALTRIA GROUP INC COM 02209S103 1189 17247 SH SOLE 0 0 17247 FEDEX CORP COM 31428X106 1010 6655 SH SOLE 0 0 6655 INTEL CORP COM 458140100 3383 103139 SH SOLE 0 0 103139 ILLINOIS TOOL WKS INC COM 452308109 782 7508 SH SOLE 0 0 7508 NOKIA CORP SPONSORED ADR 654902204 68 12000 SH SOLE 0 0 12000 NEWELL BRANDS INC COM 651229106 261 5383 SH SOLE 0 0 5383 ORACLE CORP COM 68389X105 1384 33817 SH SOLE 0 0 33817 DU PONT E I DE NEMOURS & CO COM 263534109 896 13832 SH SOLE 0 0 13832 QUALCOMM INC COM 747525103 1348 25169 SH SOLE 0 0 25169 DISNEY WALT CO COM DISNEY 254687106 1233 12604 SH SOLE 0 0 12604 HONEYWELL INTL INC COM 438516106 319 2739 SH SOLE 0 0 2739 SHERWIN WILLIAMS CO COM 824348106 486 1654 SH SOLE 0 0 1654 US BANCORP DEL COM NEW 902973304 2032 50387 SH SOLE 0 0 50387 JOHNSON & JOHNSON COM 478160104 1675 13809 SH SOLE 0 0 13809 MEDTRONIC PLC SHS G5960L103 355 4090 SH SOLE 0 0 4090 PFIZER INC COM 717081103 1135 32241 SH SOLE 0 0 32241 EXELON CORP COM 30161N101 465 12796 SH SOLE 0 0 12796 KROGER CO COM 501044101 657 17850 SH SOLE 0 0 17850 LOWES COS INC COM 548661107 687 8678 SH SOLE 0 0 8678 ISHARES TR MSCI EAFE ETF 464287465 373 6674 SH SOLE 0 0 6674 CHEVRON CORP NEW COM 166764100 1713 16337 SH SOLE 0 0 16337 MICROSOFT CORP COM 594918104 1995 38996 SH SOLE 0 0 38996 UNITED PARCEL SERVICE INC CL B 911312106 270 2508 SH SOLE 0 0 2508 AT&T INC COM 00206R102 4434 102616 SH SOLE 0 0 102616 CISCO SYS INC COM 17275R102 2274 79274 SH SOLE 0 0 79274 INTERNATIONAL BUSINESS MACHS COM 459200101 1064 7013 SH SOLE 0 0 7013 COCA COLA CO COM 191216100 579 12779 SH SOLE 0 0 12779 LOCKHEED MARTIN CORP COM 539830109 695 2800 SH SOLE 0 0 2800 PEPSICO INC COM 713448108 1005 9484 SH SOLE 0 0 9484 STRYKER CORP COM 863667101 411 3431 SH SOLE 0 0 3431 VERIZON COMMUNICATIONS INC COM 92343V104 2381 42644 SH SOLE 0 0 42644 SPDR SERIES TRUST DJ REIT ETF 78464A607 233 2340 SH SOLE 0 0 2340 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 800 34999 SH SOLE 0 0 34999 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 472 8430 SH SOLE 0 0 8430 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 246 5675 SH SOLE 0 0 5675 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 602 8392 SH SOLE 0 0 8392 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 232 2970 SH SOLE 0 0 2970 WALGREENS BOOTS ALLIANCE INC COM 931427108 2029 24366 SH SOLE 0 0 24366 DEERE & CO COM 244199105 1976 24382 SH SOLE 0 0 24382 BANK AMER CORP COM 060505104 417 31410 SH SOLE 0 0 31410 STARBUCKS CORP COM 855244109 1325 23194 SH SOLE 0 0 23194 EXXON MOBIL CORP COM 30231G102 1846 19695 SH SOLE 0 0 19695 AFLAC INC COM 001055102 247 3423 SH SOLE 0 0 3423 WAL-MART STORES INC COM 931142103 799 10942 SH SOLE 0 0 10942 UNION PAC CORP COM 907818108 2061 23618 SH SOLE 0 0 23618 BORGWARNER INC COM 099724106 213 7200 SH SOLE 0 0 7200 CARDINAL HEALTH INC COM 14149Y108 202 2591 SH SOLE 0 0 2591 TARGET CORP COM 87612E106 905 12956 SH SOLE 0 0 12956 CAPITAL ONE FINL CORP COM 14040H105 312 4905 SH SOLE 0 0 4905 COSTCO WHSL CORP NEW COM 22160K105 2751 17515 SH SOLE 0 0 17515 LILLY ELI & CO COM 532457108 650 8253 SH SOLE 0 0 8253 CVS HEALTH CORP COM 126650100 405 4225 SH SOLE 0 0 4225 SCHLUMBERGER LTD COM 806857108 849 10742 SH SOLE 0 0 10742 DANAHER CORP DEL COM 235851102 1430 14154 SH SOLE 0 0 14154 MCKESSON CORP COM 58155Q103 505 2707 SH SOLE 0 0 2707 MERCK & CO INC COM 58933Y105 796 13825 SH SOLE 0 0 13825 MORGAN STANLEY COM NEW 617446448 305 11724 SH SOLE 0 0 11724 NOVARTIS A G SPONSORED ADR 66987V109 281 3410 SH SOLE 0 0 3410 RAYTHEON CO COM NEW 755111507 207 1526 SH SOLE 0 0 1526 FIFTH THIRD BANCORP COM 316773100 442 25110 SH SOLE 0 0 25110 PROCTER & GAMBLE CO COM 742718109 1299 15347 SH SOLE 0 0 15347 GENERAL ELECTRIC CO COM 369604103 3132 99497 SH SOLE 0 0 99497 KIMBERLY CLARK CORP COM 494368103 505 3674 SH SOLE 0 0 3674 GILEAD SCIENCES INC COM 375558103 6845 82058 SH SOLE 0 0 82058 GOLDMAN SACHS GROUP INC COM 38141G104 1170 7872 SH SOLE 0 0 7872 HOME DEPOT INC COM 437076102 688 5386 SH SOLE 0 0 5386 MCDONALDS CORP COM 580135101 1027 8531 SH SOLE 0 0 8531 NIKE INC CL B 654106103 1615 29249 SH SOLE 0 0 29249 JPMORGAN CHASE & CO COM 46625H100 2471 39770 SH SOLE 0 0 39770 SIRIUS XM HLDGS INC COM 82968B103 506 128000 SH SOLE 0 0 128000 MATTEL INC COM 577081102 706 22550 SH SOLE 0 0 22550 PRICELINE GRP INC COM NEW 741503403 484 388 SH SOLE 0 0 388 ST JUDE MED INC COM 790849103 218 2790 SH SOLE 0 0 2790 WELLS FARGO & CO NEW COM 949746101 496 10474 SH SOLE 0 0 10474 ISHARES TR 1-3 YR TR BD ETF 464287457 503 5891 SH SOLE 0 0 5891 ISHARES TR 7-10 Y TR BD ETF 464287440 693 6137 SH SOLE 0 0 6137 ISHARES TR 20 YR TR BD ETF 464287432 556 4000 SH SOLE 0 0 4000 ISHARES TR IBOXX INV CP ETF 464287242 9128 74375 SH SOLE 0 0 74375 FORD MTR CO DEL COM PAR $0.01 345370860 1058 84193 SH SOLE 0 0 84193 UNITEDHEALTH GROUP INC COM 91324P102 4964 35155 SH SOLE 0 0 35155 SOUTHWEST AIRLS CO COM 844741108 576 14686 SH SOLE 0 0 14686 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 268 2365 SH SOLE 0 0 2365 UNITED TECHNOLOGIES CORP COM 913017109 2287 22299 SH SOLE 0 0 22299 3M CO COM 88579Y101 429 2450 SH SOLE 0 0 2450 BRINKER INTL INC COM 109641100 463 10178 SH SOLE 0 0 10178 VANGUARD INDEX FDS TOTAL STK MKT 922908769 260 2427 SH SOLE 0 0 2427 WASTE MGMT INC DEL COM 94106L109 209 3150 SH SOLE 0 0 3150 WELLTOWER INC COM 95040Q104 238 3121 SH SOLE 0 0 3121 DUKE ENERGY CORP NEW COM NEW 26441C204 791 9218 SH SOLE 0 0 9218 CONOCOPHILLIPS COM 20825C104 302 6919 SH SOLE 0 0 6919 APPLE INC COM 037833100 7414 77553 SH SOLE 0 0 77553 ALLSTATE CORP COM 020002101 847 12107 SH SOLE 0 0 12107 LAM RESEARCH CORP COM 512807108 294 3495 SH SOLE 0 0 3495 SPDR SERIES TRUST S&P 500 VALUE 78464A508 429 4275 SH SOLE 0 0 4275 CATERPILLAR INC DEL COM 149123101 905 11941 SH SOLE 0 0 11941 KINDER MORGAN INC DEL COM 49456B101 247 13213 SH SOLE 0 0 13213 ISHARES TR MSCI EMG MKT ETF 464287234 231 6710 SH SOLE 0 0 6710 JOHNSON CTLS INC COM 478366107 398 8998 SH SOLE 0 0 8998 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 270 3360 SH SOLE 0 0 3360 CHUBB LIMITED COM H1467J104 1547 11836 SH SOLE 0 0 11836 HALLIBURTON CO COM 406216101 376 8298 SH SOLE 0 0 8298 ROSS STORES INC COM 778296103 880 15525 SH SOLE 0 0 15525 ON SEMICONDUCTOR CORP COM 682189105 397 45000 SH SOLE 0 0 45000 AON PLC SHS CL A G0408V102 251 2300 SH SOLE 0 0 2300 AMERICAN EXPRESS CO COM 025816109 328 5398 SH SOLE 0 0 5398 FLUOR CORP NEW COM 343412102 202 4090 SH SOLE 0 0 4090 BLOCK H & R INC COM 093671105 515 22412 SH SOLE 0 0 22412 OLD REP INTL CORP COM 680223104 931 48283 SH SOLE 0 0 48283 OCCIDENTAL PETE CORP DEL COM 674599105 232 3073 SH SOLE 0 0 3073 ARCHER DANIELS MIDLAND CO COM 039483102 841 19606 SH SOLE 0 0 19606 MFS INTER INCOME TR SH BEN INT 55273C107 62 13376 SH SOLE 0 0 13376 EXPRESS SCRIPTS HLDG CO COM 30219G108 483 6371 SH SOLE 0 0 6371 ALLERGAN PLC SHS G0177J108 1460 6320 SH SOLE 0 0 6320 SOUTHERN CO COM 842587107 916 17085 SH SOLE 0 0 17085 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 318 9029 SH SOLE 0 0 9029 PAYCHEX INC COM 704326107 303 5100 SH SOLE 0 0 5100 ANNALY CAP MGMT INC COM 035710409 675 60995 SH SOLE 0 0 60995 VALERO ENERGY CORP NEW COM 91913Y100 448 8781 SH SOLE 0 0 8781 TRACTOR SUPPLY CO COM 892356106 533 5850 SH SOLE 0 0 5850 D R HORTON INC COM 23331A109 478 15185 SH SOLE 0 0 15185 W P CAREY INC COM 92936U109 465 6700 SH SOLE 0 0 6700 BIOGEN INC COM 09062X103 327 1352 SH SOLE 0 0 1352 LABORATORY CORP AMER HLDGS COM NEW 50540R409 990 7600 SH SOLE 0 0 7600 ISHARES TR SELECT DIVID ETF 464287168 3159 37038 SH SOLE 0 0 37038 ISHARES TR TIPS BD ETF 464287176 484 4150 SH SOLE 0 0 4150 SUNTRUST BKS INC COM 867914103 978 23816 SH SOLE 0 0 23816 NORTHERN TR CORP COM 665859104 350 5279 SH SOLE 0 0 5279 LINEAR TECHNOLOGY CORP COM 535678106 295 6350 SH SOLE 0 0 6350 CARNIVAL CORP UNIT 99/99/9999 143658300 1509 34144 SH SOLE 0 0 34144 CLOROX CO DEL COM 189054109 631 4557 SH SOLE 0 0 4557 DARDEN RESTAURANTS INC COM 237194105 1147 18102 SH SOLE 0 0 18102 AIR PRODS & CHEMS INC COM 009158106 313 2205 SH SOLE 0 0 2205 LENNAR CORP CL A 526057104 244 5300 SH SOLE 0 0 5300 V F CORP COM 918204108 1936 31492 SH SOLE 0 0 31492 APOLLO INVT CORP COM 03761U106 418 75475 SH SOLE 0 0 75475 EATON CORP PLC SHS G29183103 986 16510 SH SOLE 0 0 16510 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 1343 23465 SH SOLE 0 0 23465 STANLEY BLACK & DECKER INC COM 854502101 205 1839 SH SOLE 0 0 1839 REYNOLDS AMERICAN INC COM 761713106 481 8923 SH SOLE 0 0 8923 COOPER TIRE & RUBR CO COM 216831107 204 6850 SH SOLE 0 0 6850 PULTE GROUP INC COM 745867101 891 45700 SH SOLE 0 0 45700 SANOFI SPONSORED ADR 80105N105 238 5695 SH SOLE 0 0 5695 WHIRLPOOL CORP COM 963320106 1202 7211 SH SOLE 0 0 7211 ENTERPRISE PRODS PARTNERS L COM 293792107 1741 59506 SH SOLE 0 0 59506 METLIFE INC COM 59156R108 650 16318 SH SOLE 0 0 16318 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 452 45095 SH SOLE 0 0 45095 YUM BRANDS INC COM 988498101 1772 21364 SH SOLE 0 0 21364 AMPHENOL CORP NEW CL A 032095101 824 14368 SH SOLE 0 0 14368 AETNA INC NEW COM 00817Y108 3280 26860 SH SOLE 0 0 26860 DAVITA HEALTHCARE PARTNERS I COM 23918K108 753 9740 SH SOLE 0 0 9740 ALPHABET INC CAP STK CL A 02079K305 552 784 SH SOLE 0 0 784 SPDR GOLD TRUST GOLD SHS 78463V107 1602 12668 SH SOLE 0 0 12668 CBRE GROUP INC CL A 12504L109 612 23130 SH SOLE 0 0 23130 MADISON CVRED CALL & EQ STR COM 557437100 96 12593 SH SOLE 0 0 12593 NORDSTROM INC COM 655664100 239 6275 SH SOLE 0 0 6275 CELANESE CORP DEL COM SER A 150870103 1052 16069 SH SOLE 0 0 16069 VANGUARD INDEX FDS REIT ETF 922908553 715 8064 SH SOLE 0 0 8064 PACKAGING CORP AMER COM 695156109 201 3000 SH SOLE 0 0 3000 FIDUCIARY CLAYMORE MLP OPP F COM 31647Q106 753 54570 SH SOLE 0 0 54570 BLACKROCK INC COM 09247X101 232 676 SH SOLE 0 0 676 CANADIAN NATL RY CO COM 136375102 322 5454 SH SOLE 0 0 5454 VANGUARD INDEX FDS SMALL CP ETF 922908751 200 1732 SH SOLE 0 0 1732 DYCOM INDS INC COM 267475101 287 3200 SH SOLE 0 0 3200 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 516 33305 SH SOLE 0 0 33305 NUVEEN MUN VALUE FD INC COM 670928100 1043 96438 SH SOLE 0 0 96438 TOTAL SYS SVCS INC COM 891906109 293 5525 SH SOLE 0 0 5525 CREDIT SUISSE ASSET MGMT INC COM 224916106 59 20000 SH SOLE 0 0 20000 VANGUARD INDEX FDS SML CP GRW ETF 922908595 590 4759 SH SOLE 0 0 4759 INTERCONTINENTAL EXCHANGE IN COM 45866F104 2174 8495 SH SOLE 0 0 8495 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 103 10000 SH SOLE 0 0 10000 SPDR SERIES TRUST S&P DIVID ETF 78464A763 445 5304 SH SOLE 0 0 5304 SAUL CTRS INC COM 804395101 253 4100 SH SOLE 0 0 4100 HOLOGIC INC COM 436440101 1413 40832 SH SOLE 0 0 40832 ISHARES GOLD TRUST ISHARES 464285105 365 28630 SH SOLE 0 0 28630 THERMO FISHER SCIENTIFIC INC COM 883556102 355 2400 SH SOLE 0 0 2400 FIRST TR VALUE LINE DIVID IN SHS 33734H106 438 16255 SH SOLE 0 0 16255 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 249 5200 SH SOLE 0 0 5200 SMITH A O COM 831865209 221 2505 SH SOLE 0 0 2505 NUVEEN FLOATING RATE INCOME COM 67072T108 407 39400 SH SOLE 0 0 39400 VANGUARD WORLD FDS INF TECH ETF 92204A702 401 3742 SH SOLE 0 0 3742 KAYNE ANDERSON MLP INVT CO COM 486606106 563 27683 SH SOLE 0 0 27683 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 719 5895 SH SOLE 0 0 5895 MASTERCARD INC CL A 57636Q104 2696 30610 SH SOLE 0 0 30610 WISDOMTREE TR EUROPE SMCP DV 97717W869 215 4205 SH SOLE 0 0 4205 WISDOMTREE TR LARGECAP DIVID 97717W307 1385 18285 SH SOLE 0 0 18285 WISDOMTREE TR SMALLCAP DIVID 97717W604 1833 25582 SH SOLE 0 0 25582 NUVEEN ENHANCED MUN CREDIT O COM SH BEN INT 67070X101 252 15831 SH SOLE 0 0 15831 NUVEEN AMT-FREE MUN INCOME F COM 670657105 255 17000 SH SOLE 0 0 17000 HANESBRANDS INC COM 410345102 266 10604 SH SOLE 0 0 10604 LAMAR ADVERTISING CO NEW CL A 512816109 1304 19672 SH SOLE 0 0 19672 ARES CAP CORP COM 04010L103 1268 89279 SH SOLE 0 0 89279 PROSPECT CAPITAL CORPORATION COM 74348T102 360 46000 SH SOLE 0 0 46000 TICC CAPITAL CORP COM 87244T109 166 31500 SH SOLE 0 0 31500 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1023 10039 SH SOLE 0 0 10039 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 294 3305 SH SOLE 0 0 3305 EATON VANCE TAX MNGD GBL DV COM 27829F108 90 10500 SH SOLE 0 0 10500 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 831 43290 SH SOLE 0 0 43290 ISHARES TR IBOXX HI YD ETF 464288513 5290 62456 SH SOLE 0 0 62456 ISHARES TR 1-3 YR CR BD ETF 464288646 1083 10212 SH SOLE 0 0 10212 DELTA AIR LINES INC DEL COM NEW 247361702 349 9580 SH SOLE 0 0 9580 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 493 5850 SH SOLE 0 0 5850 HERCULES CAPITAL INC COM 427096508 950 76500 SH SOLE 0 0 76500 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1227 50015 SH SOLE 0 0 50015 ISHARES TR U.S. PFD STK ETF 464288687 841 21088 SH SOLE 0 0 21088 BANK NEW YORK MELLON CORP COM 064058100 492 12663 SH SOLE 0 0 12663 ISHARES TR NATIONAL MUN ETF 464288414 734 6440 SH SOLE 0 0 6440 PENNANTPARK INVT CORP COM 708062104 205 30000 SH SOLE 0 0 30000 ISHARES TR JP MOR EM MK ETF 464288281 230 1995 SH SOLE 0 0 1995 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 209 4614 SH SOLE 0 0 4614 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 782 21900 SH SOLE 0 0 21900 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 664 11260 SH SOLE 0 0 11260 VISA INC COM CL A 92826C839 497 6703 SH SOLE 0 0 6703 ORION ENERGY SYSTEMS INC COM 686275108 46 40000 SH SOLE 0 0 40000 VANECK VECTORS ETF TR AMT FREE INT ETF 92189F544 636 25623 SH SOLE 0 0 25623 TRIANGLE CAP CORP COM 895848109 605 31212 SH SOLE 0 0 31212 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 2966 194637 SH SOLE 0 0 194637 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 4330 235350 SH SOLE 0 0 235350 MEDALLION FINL CORP COM 583928106 443 60000 SH SOLE 0 0 60000 FIFTH STREET FINANCE CORP COM 31678A103 291 60000 SH SOLE 0 0 60000 FIRST TR NASDAQ100 TECH INDE SHS 337345102 365 8425 SH SOLE 0 0 8425 BLACKROCK CAPITAL INVESTMENT COM 092533108 776 99695 SH SOLE 0 0 99695 DIREXION SHS ETF TR DLY S&P 500 BEAR 25459Y371 196 14050 SH SOLE 0 0 14050 BROADCOM LTD SHS Y09827109 401 2582 SH SOLE 0 0 2582 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 815 17695 SH SOLE 0 0 17695 TWO HBRS INVT CORP COM 90187B101 176 20548 SH SOLE 0 0 20548 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 315 6227 SH SOLE 0 0 6227 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 121 11000 SH SOLE 0 0 11000 PROSHARES TR ULTRAPRO SH NW14 74348A418 240 13000 SH SOLE 0 0 13000 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 622 19759 SH SOLE 0 0 19759 MAIN STREET CAPITAL CORP COM 56035L104 1038 31605 SH SOLE 0 0 31605 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 943 18510 SH SOLE 0 0 18510 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 444 7935 SH SOLE 0 0 7935 NXP SEMICONDUCTORS N V COM N6596X109 415 5300 SH SOLE 0 0 5300 WISDOMTREE TR EM LCL DEBT FD 97717X867 2456 65655 SH SOLE 0 0 65655 ALPS ETF TR ALERIAN MLP 00162Q866 420 33023 SH SOLE 0 0 33023 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 389 2025 SH SOLE 0 0 2025 ELLINGTON FINANCIAL LLC COM 288522303 681 39730 SH SOLE 0 0 39730 NUVEEN BUILD AMER BD OPPTNY COM 67074Q102 258 11350 SH SOLE 0 0 11350 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 1632 71037 SH SOLE 0 0 71037 PENNANTPARK FLOATING RATE CA COM 70806A106 526 42417 SH SOLE 0 0 42417 NUVEEN DIVERSIFIED COMMODTY COM UT BEN INT 67074P104 186 18902 SH SOLE 0 0 18902 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 515 12049 SH SOLE 0 0 12049 BANK AMER CORP *W EXP 10/28/201 060505153 10 125000 SH SOLE 0 0 125000 ISHARES TR CORE US TR BD 46429B267 328 12510 SH SOLE 0 0 12510 FACEBOOK INC CL A 30303M102 2260 19773 SH SOLE 0 0 19773 FLEETMATICS GROUP PLC COM G35569105 238 5500 SH SOLE 0 0 5500 ABBVIE INC COM 00287Y109 3145 50796 SH SOLE 0 0 50796 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 454 9522 SH SOLE 0 0 9522 DOUBLELINE INCOME SOLUTIONS COM 258622109 256 13966 SH SOLE 0 0 13966 WISDOMTREE TR US QTLY DIV GRT 97717X669 690 21855 SH SOLE 0 0 21855 PHYSICIANS RLTY TR COM 71943U104 256 12168 SH SOLE 0 0 12168 ALPHABET INC CAP STK CL C 02079K107 1647 2380 SH SOLE 0 0 2380 KRAFT HEINZ CO COM 500754106 341 3851 SH SOLE 0 0 3851 HUBBELL INC COM 443510607 223 2115 SH SOLE 0 0 2115