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
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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