0001109228-18-000008.txt : 20181107
0001109228-18-000008.hdr.sgml : 20181107
20181107145937
ACCESSION NUMBER: 0001109228-18-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181107
DATE AS OF CHANGE: 20181107
EFFECTIVENESS DATE: 20181107
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: KCM INVESTMENT ADVISORS LLC
CENTRAL INDEX KEY: 0001109228
IRS NUMBER: 911756649
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05651
FILM NUMBER: 181165937
BUSINESS ADDRESS:
STREET 1: 750 LINDARO STREET
STREET 2: SUITE 350
CITY: SAN RAFAEL
STATE: CA
ZIP: 94901
BUSINESS PHONE: 415-461-7788
MAIL ADDRESS:
STREET 1: 750 LINDARO STREET
STREET 2: SUITE 350
CITY: SAN RAFAEL
STATE: CA
ZIP: 94901
FORMER COMPANY:
FORMER CONFORMED NAME: KCM INVESTMENT ADVISORS/CA
DATE OF NAME CHANGE: 20000413
13F-HR
1
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false
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0001109228
XXXXXXXX
09-30-2018
09-30-2018
KCM INVESTMENT ADVISORS LLC
750 LINDARO STREET
SUITE 350
SAN RAFAEL
CA
94901
13F HOLDINGS REPORT
028-05651
N
William L. Prince
CCO
4154617788
William L. Prince
San Rafael
CA
11-07-2018
0
514
1747
false
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14293
0
0
Qualcomm Inc
COM
747525103
593
8238
SH
SOLE
8238
0
0
Quest Diagnostics
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74834l100
296
2745
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2745
0
0
Raytheon Company
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755111507
5293
25612
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SOLE
25612
0
0
Realty Income Corp
COM
756109104
11570
203378
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SOLE
203378
0
0
Roche Holdings LTD-Spons ADR
COM
771195104
1913
63417
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SOLE
63417
0
0
Rockwell Automation Inc
COM
773903109
447
2383
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SOLE
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0
0
Rockwell Collins Inc.
COM
774341101
1010
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0
0
Roper Technologies Inc
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776696106
303
1024
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SOLE
1024
0
0
Ross Stores Inc
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778296103
218
2196
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SOLE
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0
0
Royal Dutch Shell Plc-ADR A
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780259206
736
10803
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SOLE
10803
0
0
S&P Global Inc
COM
78409v104
1804
9235
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SOLE
9235
0
0
SAP SE-Sponsored ADR
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803054204
701
5698
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SOLE
5698
0
0
SPDR Communication Services Se
COM
81369y852
22578
460774
SH
SOLE
460774
0
0
SPDR Consumer Discretionary Se
COM
81369y407
42763
364810
SH
SOLE
364810
0
0
SPDR Consumer Staples Select S
COM
81369y308
18148
336516
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SOLE
336516
0
0
SPDR Dow Jones Industrial Aver
COM
78467x109
1473
5571
SH
SOLE
5571
0
0
SPDR Energy Select Sector
COM
81369y506
23046
304274
SH
SOLE
304274
0
0
SPDR Financial Select Sector
COM
81369y605
29974
1086816
SH
SOLE
1086816
0
0
SPDR Gold Trust
COM
78463v107
1343
11913
SH
SOLE
11913
0
0
SPDR Health Care Select Sector
COM
81369y209
34433
361883
SH
SOLE
361883
0
0
SPDR Industrial Select Sector
COM
81369y704
25607
326622
SH
SOLE
326622
0
0
SPDR Materials Select Sector
COM
81369y100
7279
125652
SH
SOLE
125652
0
0
SPDR NYSE Technology ETF
COM
78464a102
979
10363
SH
SOLE
10363
0
0
SPDR Real Estate Sector
COM
81369y860
210
6441
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SOLE
6441
0
0
SPDR S&P 500 Index Trust Serie
COM
78462f103
9483
32619
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SOLE
32619
0
0
SPDR S&P Aerospace & Defense E
COM
78464a631
678
6813
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SOLE
6813
0
0
SPDR S&P Biotech ETF
COM
78464a870
547
5710
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SOLE
5710
0
0
SPDR S&P Dividend
COM
78464a763
12199
124567
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SOLE
124567
0
0
SPDR S&P MidCap 400 ETF Trust
COM
78467y107
12012
32689
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SOLE
32689
0
0
SPDR S&P Regional Banking
COM
78464a698
2892
48668
SH
SOLE
48668
0
0
SPDR Technology Select Sector
COM
81369y803
87199
1157554
SH
SOLE
1157554
0
0
SPDR Utilities Select Sector
COM
81369y886
1935
36757
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SOLE
36757
0
0
Salesforce.Com Inc
COM
79466l302
5967
37519
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SOLE
37519
0
0
Schlumberger Ltd
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806857108
229
3760
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SOLE
3760
0
0
Schwab (Charles) Corp
COM
808513105
1315
26761
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SOLE
26761
0
0
Schwab US Broad Market ETF
COM
808524102
2582
36677
SH
SOLE
36677
0
0
Schwab US Dividend Equity ETF
COM
808524797
5385
101612
SH
SOLE
101612
0
0
Schwab US Large-Cap ETF
COM
808524201
2293
32959
SH
SOLE
32959
0
0
Schwab US Mid-Cap ETF
COM
808524508
1734
29972
SH
SOLE
29972
0
0
Schwab US REIT ETF
COM
808524847
1992
47734
SH
SOLE
47734
0
0
Sempra Energy
COM
816851109
3535
31073
SH
SOLE
31073
0
0
Sherwin Williams Co
COM
824348106
988
2171
SH
SOLE
2171
0
0
Southern Co
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948
21741
SH
SOLE
21741
0
0
Spectral Medical Inc
COM
847577103
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25000
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SOLE
25000
0
0
Stanley Black & Decker Inc
COM
854502101
6539
44656
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SOLE
44656
0
0
Starbucks Corp
COM
855244109
7754
136426
SH
SOLE
136426
0
0
State Street Corp
COM
857477103
311
3715
SH
SOLE
3715
0
0
Stryker Corp
COM
863667101
227
1276
SH
SOLE
1276
0
0
Sysco Corp
COM
871829107
1254
17115
SH
SOLE
17115
0
0
T Rowe Price Group Inc
COM
74144t108
549
5026
SH
SOLE
5026
0
0
TJX Companies Inc
COM
872540109
518
4629
SH
SOLE
4629
0
0
Taiwan Semiconductor-Sp ADR
COM
874039100
352
7975
SH
SOLE
7975
0
0
Target Corp
COM
87612e106
962
10902
SH
SOLE
10902
0
0
Tesla Inc
COM
88160r101
743
2805
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SOLE
2805
0
0
Texas Instruments Inc
COM
882508104
663
6182
SH
SOLE
6182
0
0
Thermo Fisher Scientific Inc
COM
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1014
4153
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SOLE
4153
0
0
Toronto Dominion Bank
COM
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51804
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SOLE
51804
0
0
Total S A -Spon ADR
COM
89151e109
432
6712
SH
SOLE
6712
0
0
Toyota Motor Corp -Spon ADR
COM
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568
4571
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SOLE
4571
0
0
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COM
89417e109
3060
23590
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0
0
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30600
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SOLE
30600
0
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128096
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128096
0
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UDR Inc
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263
6500
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6500
0
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Unilever N V -NY Shares
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54301
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SOLE
54301
0
0
Unilever Plc-Sponsored ADR
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24593
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SOLE
24593
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0
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0
United Parcel Service-Cl B
COM
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90974
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0
0
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UnitedHealth Group Inc
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2646
9946
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0
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VF Corporation
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542
5797
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VanEck Vectors Pharmaceutical
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0
0
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Vanguard Consumer Discretionar
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92204a108
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0
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Vanguard Consumer Staples Vipe
COM
92204a207
1544
11021
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11021
0
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Vanguard Developed Mkts
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892
20625
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0
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Vanguard Dividend Appreciation
COM
921908844
919
8303
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0
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Vanguard Energy ETF
COM
92204a306
945
8987
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SOLE
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Vanguard European Vipers
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922042874
543
9650
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SOLE
9650
0
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Vanguard Financials Vipers
COM
92204a405
1962
28279
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SOLE
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0
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Vanguard Health Care Vipers
COM
92204a504
1907
10568
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SOLE
10568
0
0
Vanguard High Div Yield
COM
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Vanguard Industrials
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0
Vanguard Info Tech Vipers
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SOLE
23368
0
0
Vanguard Large-Cap Vipers ETF
COM
922908637
248
1855
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SOLE
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0
0
Vanguard Materials Vipers
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418
3186
SH
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0
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2590
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SOLE
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Vanguard Mid-Cap
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16302
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Vanguard REIT
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922908553
322
3986
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SOLE
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0
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Vanguard Small-Cap Vipers
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922908751
2195
13500
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SOLE
13500
0
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Vanguard Total Stock Market
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130324
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Vanguard Value Vipers
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266
2403
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0
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0
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Verizon Communications Inc
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24206
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0
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Visa Inc-Class A Shares
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SOLE
83628
0
0
Vornado Realty Trust
COM
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72393
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0
Voya Prime Rate Trust
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0
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Walgreens Boots Alliance Inc
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0
0
Waste Management Inc
COM
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18206
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0
0
Wells Fargo & Company
COM
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0
0
Westamerica Bancorportaion
COM
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8413
SH
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0
0
Weyerhaeuser Co
COM
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243
7523
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SOLE
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0
0
White Mountains Insurance Grou
COM
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620
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SOLE
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0
0
Williams Cos Inc
COM
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434
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SOLE
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0
0
Williams-Sonoma Inc
COM
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SOLE
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0
0
WisdomTree MidCap Div Index
COM
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0
0
Workday Inc-Class A
COM
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0
0
Xcel Energy Inc
COM
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253
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Zebra Technologies Corp-Cl A
COM
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0
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Zimmer Biomet Holdings Inc
COM
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0
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iShares Core Dividend Growth
COM
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iShares DJ Select Dividend Ind
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0
0
iShares DJ US Energy Sector
COM
464287796
888
21159
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SOLE
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0
0
iShares DJ US Financial Sect
COM
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SOLE
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0
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iShares DJ US Health Car Pro
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iShares DJ US Medical Device
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394
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SOLE
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0
0
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COM
464287192
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10136
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0
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iShares FTSE/Xinhua China 25
COM
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212
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0
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iShares Goldman Sachs Tech I
COM
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578
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0
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COM
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0
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0
iShares Russell 1000 Growth
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iShares Russell 1000 Value
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0
0
iShares Russell 2000 Index Fun
COM
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469
2780
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iShares Russell Midcap Value
COM
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iShares S&P 100 Index Fund
COM
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2533
19539
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iShares S&P 500 Index Fund
COM
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24585
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24585
0
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iShares S&P 500 Value Index Fu
COM
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232
2000
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2000
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iShares S&P Europe 350
COM
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453
10040
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10040
0
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iShares S&P Global 100
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809
16582
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16582
0
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iShares S&P MidCap 400/Growth
COM
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262
1123
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1123
0
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iShares S&P Midcap 400
COM
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9442
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9442
0
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624
3727
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0
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COM
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288
1406
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1406
0
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620
7110
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7110
0
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iShares S&P US Preferred Stock
COM
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0
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0
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44372
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SOLE
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0
0
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1765
58244
SH
SOLE
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0
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AllState 6.75 Called 10/15/18
PFD
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217
8696
SH
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8696
0
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Allied Capital ARCC6.875- 4/20
PFD
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236
9245
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SOLE
9245
0
0
Ally 8.125- Call CUM Call 5/17
PFD
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216
8200
SH
SOLE
8200
0
0
American Homes 4Rent 6.50- Per
PFD
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610
24420
SH
SOLE
24420
0
0
Amtrust Financial 7.5- QDI Cal
PFD
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415
21916
SH
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21916
0
0
Amtrust Financial 7.625-CUM QD
PFD
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42066
SH
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42066
0
0
Amtrust Financial 7.75- QDI Ca
PFD
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681
34382
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SOLE
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0
0
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255
10553
SH
SOLE
10553
0
0
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514
20331
SH
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20331
0
0
Arbor Realty 8.50- CUM Perp Ca
PFD
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235
9042
SH
SOLE
9042
0
0
Argo Group 6.5- Sr Notes Call
PFD
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1477
58739
SH
SOLE
58739
0
0
Arlington Asset Inv 7.00- Cum
PFD
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565
23066
SH
SOLE
23066
0
0
Ashford Hospitality 7.375- NR
PFD
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711
29724
SH
SOLE
29724
0
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Ashford Hospitality 7.5- Calla
PFD
044103885
371
15300
SH
SOLE
15300
0
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Ashford Hospitality 7.50-Cum P
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250
10216
SH
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10216
0
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Atlas Finl SrNt 6.625- Cl 4/20
PFD
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17425
SH
SOLE
17425
0
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Axos Finl 6.25-Sr Nts 2/2026 C
PFD
05465c209
218
8450
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SOLE
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0
0
B Riley Financial 7.375-SnNtsD
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414
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15900
0
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B Riley Financial 7.50-SnNts D
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106875
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106875
0
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B Riley Financial 7.50-SnNts d
PFD
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473
18445
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18445
0
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BancOfCalifornia 7.00- Cal2021
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72398
0
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BancOfCalifornia 7.375- Ca2020
PFD
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270348
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270348
0
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Bank of America 6.5- Prp Cl 1/
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17179
SH
SOLE
17179
0
0
Bank of America 6.625- Prp/Cl9
PFD
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SOLE
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0
0
BankofAmerica -1000pv 7.25-Cnv
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4745
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SOLE
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0
0
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367
14100
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SOLE
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0
0
BlueRock Residential Growth 7.
PFD
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1543
60164
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SOLE
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0
0
BlueRock Residential Growth 8.
PFD
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3311
128439
SH
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0
0
Brookfield Ppty 6.375- Call 2/
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354
14600
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SOLE
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0
0
CAI Internatnl 8.50-Perp Cum Q
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2486
98352
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SOLE
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0
0
CAI Internatnl 8.50-Perp Cum Q
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22475
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SOLE
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0
0
CHS Chemical 7.50- Cl 1/2025 C
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261986
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SOLE
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0
0
CHS Chemicals 6.75- Perp cl 20
PFD
12542r704
329
12540
SH
SOLE
12540
0
0
CHS Chemicals 7.875- Perp cl 2
PFD
12542r308
380
13472
SH
SOLE
13472
0
0
CHS Inc. 7.1- fxd to float in
PFD
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251
9296
SH
SOLE
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0
0
Capital One Finl 6.7-Prp Call
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1599
61207
SH
SOLE
61207
0
0
ChickenSoup4Soul 9.75-QDI Call
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16842q209
390
15080
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SOLE
15080
0
0
Chimera Investment Corp 7.75-
PFD
16934q505
1323
52702
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SOLE
52702
0
0
Chimera Investment Corp 8- Cal
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313
12235
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SOLE
12235
0
0
Chimera Investment Corp 8- Cal
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16934q406
558
21727
SH
SOLE
21727
0
0
Citigroup 5.8- QDI BB- Called
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202
7985
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SOLE
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0
0
Citigroup 6.875- Non Cum Call
PFD
172967333
221
8620
SH
SOLE
8620
0
0
Citigroup 7.125- Flt Aftr 9/23
PFD
172967358
6904
247350
SH
SOLE
247350
0
0
Citigroup Tst 7.875- Cl2015 Li
PFD
173080201
933
34745
SH
SOLE
34745
0
0
City Office REIT 6.625- CUM Ca
PFD
178587200
292
11738
SH
SOLE
11738
0
0
Colony Capital 7.125- CUM Call
PFD
19626g702
4681
205861
SH
SOLE
205861
0
0
Colony Capital 7.125- CUM Call
PFD
19626g603
348
15300
SH
SOLE
15300
0
0
Colony Capital 7.125- CUM Call
PFD
19626g504
1235
54310
SH
SOLE
54310
0
0
Colony Capital 7.50- CUM Call
PFD
19626g405
2503
104743
SH
SOLE
104743
0
0
Colony Capital 8.75- CUM Call
PFD
19626g306
661
25814
SH
SOLE
25814
0
0
CoreEnergy 7.375- Pfd - Par Ca
PFD
21870u304
2075
82360
SH
SOLE
82360
0
0
Cowen 7.35- Sn Notes 2027 Call
PFD
223622705
1493
58225
SH
SOLE
58225
0
0
Cowen 7.75- Snr Notes 2033 Cl
PFD
223622804
1482
58725
SH
SOLE
58725
0
0
Crown Castle Intl 6.875- MndCo
PFD
22822v309
340
313
SH
SOLE
313
0
0
Customers Bk 7.00- Fx Flt Prp/
PFD
23204g407
280
10772
SH
SOLE
10772
0
0
Digital Realty 7.375- Perp CUM
PFD
253868871
1871
73550
SH
SOLE
73550
0
0
Dynagas LNG 9.0- QDI CUM cl 2
PFD
Y2188b116
1163
45272
SH
SOLE
45272
0
0
EBAY 6.00- Sr Notes Call 3/1/2
PFD
278642202
440
16760
SH
SOLE
16760
0
0
EaglePoint Credit 6.625- Nts D
PFD
269809505
1306
52375
SH
SOLE
52375
0
0
EaglePoint Credit 7.75- Due 10
PFD
269809307
278
10530
SH
SOLE
10530
0
0
EaglePoint Credit 7.75-2022 CU
PFD
269809109
621
24460
SH
SOLE
24460
0
0
Enstar Group 7.0- Perp Call 9/
PFD
29359u109
935
35415
SH
SOLE
35415
0
0
Fidus Investment 5.875-Notes D
PFD
316500206
616
24000
SH
SOLE
24000
0
0
First Republic 7.0- Called12/2
PFD
33616c860
4198
164629
SH
SOLE
164629
0
0
GasLog LP 8.625-fxd/flt Cum Q
PFD
y2687w116
1038
40061
SH
SOLE
40061
0
0
GasLog Ltd 8.375- Ser A CUM QD
PFD
y2687w124
1443
56798
SH
SOLE
56798
0
0
GasLog Ltd 8.75- Ser A CUM QDI
PFD
g37585117
1443
55819
SH
SOLE
55819
0
0
Gladstone 7.00- CUM Perp Call
PFD
376536603
5921
234526
SH
SOLE
234526
0
0
Gladstone Investment 6.25- CUM
PFD
376546503
572
22621
SH
SOLE
22621
0
0
Gladstone Invstmt 6.375-CUM 8/
PFD
376546602
205
8100
SH
SOLE
8100
0
0
Global Indemnity SrNts7.75- Ca
PFD
g3933f121
1927
74974
SH
SOLE
74974
0
0
Global Indmnty 7.875- Cl2022 b
PFD
g3933f139
1140
44338
SH
SOLE
44338
0
0
Global Medical RE 7.50- CUM Pe
PFD
37957w203
636
25346
SH
SOLE
25346
0
0
Global Net Lease 7.25-Perp Cum
PFD
379378300
1683
67139
SH
SOLE
67139
0
0
Golar LNG 8.75- Perp QDI Call
PFD
y2745c110
1480
57890
SH
SOLE
57890
0
0
Goldman 5.5- Flt Aftr 5/23 Cl
PFD
38145g308
1739
68366
SH
SOLE
68366
0
0
Great Elm Capital 6.75-SnNts M
PFD
390320406
459
18300
SH
SOLE
18300
0
0
Hanover Insurance6.35- Cl3/18
PFD
410867204
1089
43221
SH
SOLE
43221
0
0
Hartford Finl 7.875- 2042 call
PFD
416518504
1130
40350
SH
SOLE
40350
0
0
Hersha Hospitality 6.50- NR Ca
PFD
427825609
279
12025
SH
SOLE
12025
0
0
Hoegh LNG Partners 8.75- QDI
PFD
y3262r118
1165
45313
SH
SOLE
45313
0
0
Horizon Technology Fin 6.25-Sr
PFD
44045a300
325
12750
SH
SOLE
12750
0
0
IberiaBank Corp 6.60- Call 5/1
PFD
450828504
711
26210
SH
SOLE
26210
0
0
Invesco Mortgage 7.75-Perp CUM
PFD
46131b209
445
17757
SH
SOLE
17757
0
0
JMP Group 8.00- SrDeb Due1/202
PFD
46629u206
298
11725
SH
SOLE
11725
0
0
JMP Group SrNts7.25- BBB- 11/2
PFD
466273109
1204
47450
SH
SOLE
47450
0
0
JPMorgan Chase 6.70-Perp/Call
PFD
48127a161
1645
64311
SH
SOLE
64311
0
0
Jernigan Capital 7.00- CUM PER
PFD
476405204
691
27841
SH
SOLE
27841
0
0
Just Energy 8.50-Perp Call3/20
PFD
48213w200
885
42561
SH
SOLE
42561
0
0
KKR Inc 6.75- Pfd Call 6/15/20
PFD
48251w203
225
8550
SH
SOLE
8550
0
0
LaSalle Hotel 6.3- Called 9/13
PFD
517942884
241
9887
SH
SOLE
9887
0
0
LaSalle Hotel 6.375-
PFD
517942801
226
9116
SH
SOLE
9116
0
0
Ladenburg Thalmann 7.25-SnNte
PFD
50575q409
1942
78325
SH
SOLE
78325
0
0
Landenburg Thalman 7.00-SnNte
PFD
50575q110
718
29650
SH
SOLE
29650
0
0
M&T Bank 6.375- Cl 11/18 BBB-
PFD
55261f708
409
404
SH
SOLE
404
0
0
MFA Financial 7.5- Prp Cl 4/15
PFD
55272x409
241
9607
SH
SOLE
9607
0
0
MVC Capital 6.25- SrNts Due12/
PFD
553829409
499
19650
SH
SOLE
19650
0
0
Morgan Stanley 7.125-Flt 10/23
PFD
61762v200
4317
153689
SH
SOLE
153689
0
0
National General 7.5- NA Cl Q
PFD
636220857
4717
191114
SH
SOLE
191114
0
0
National General 7.50-Call4/20
PFD
636220808
2607
105444
SH
SOLE
105444
0
0
National General 7.625- Call9/
PFD
636220873
1460
57012
SH
SOLE
57012
0
0
National General7.50-Call 7/20
PFD
636220709
2156
86692
SH
SOLE
86692
0
0
New York MtgTrust 7.875-Perp C
PFD
649604808
292
11909
SH
SOLE
11909
0
0
NewTek Business Svs 6.25- Nts
PFD
652526500
1147
44650
SH
SOLE
44650
0
0
NewTek Business Svs 7.50- Nts
PFD
652526302
500
19811
SH
SOLE
19811
0
0
NuStar Logistics 7.625-Nts Cl
PFD
67059t204
1769
70064
SH
SOLE
70064
0
0
OFS Capital 6.375 SnNts 4/2025
PFD
67103b308
766
30400
SH
SOLE
30400
0
0
Oxford Lane Cap6.75- Nts 6/202
PFD
691543508
911
35397
SH
SOLE
35397
0
0
Partner Re 6.50-Perp Cal 4/202
PFD
g68603136
2773
106620
SH
SOLE
106620
0
0
Partner Re 7.25- Call 06/21 BB
PFD
g68603144
6399
237008
SH
SOLE
237008
0
0
Penn RealEstate 7.375-CUM Perp
PFD
709102503
311
13220
SH
SOLE
13220
0
0
PennyMac Mtg 8.125- 2024 Libor
PFD
70931t301
422
16834
SH
SOLE
16834
0
0
Plymouth Industrial 7.50- CUM
PFD
729640201
373
15021
SH
SOLE
15021
0
0
Priority Income Fund6.375-SnNt
PFD
74274w103
421
16725
SH
SOLE
16725
0
0
Prospect Captl 6.25- 6/24 SrNt
PFD
74348t300
2346
93731
SH
SOLE
93731
0
0
Prudential PLC 6.75- PrpCl 9/0
PFD
g7293h114
395
15277
SH
SOLE
15277
0
0
QTS Realty 7.125- Perp Cum Cl
PFD
74736a202
721
28128
SH
SOLE
28128
0
0
Quest USWest 7.0- SrNts 2/56 C
PFD
74913g808
3429
136343
SH
SOLE
136343
0
0
Quest USWestSnNotes 6.875- CL
PFD
74913g105
2512
102945
SH
SOLE
102945
0
0
Qwest Corp 6.5- Sr Note 9/56 C
PFD
74913g881
1448
62675
SH
SOLE
62675
0
0
Qwest Corp 6.75- SrNote 6/57 C
PFD
74913g873
962
40427
SH
SOLE
40427
0
0
RLJ Lodging -1.95 Cnv@89.09 B-
PFD
74965l200
223
8595
SH
SOLE
8595
0
0
Ready Capital 7.0-SrNts 8/2023
PFD
75574u200
209
8000
SH
SOLE
8000
0
0
Ready Capital Sr 6.5- 4/2021BB
PFD
75574u309
573
22365
SH
SOLE
22365
0
0
Regions Financial 6.375- Cl 12
PFD
7591ep308
393
15574
SH
SOLE
15574
0
0
Reinsurance Group ofAmer 6.2-
PFD
759351703
240
9000
SH
SOLE
9000
0
0
SL Green Realty 6.5- Perp CUM
PFD
78440x507
1474
58880
SH
SOLE
58880
0
0
SoCalEd 5.375- CUM cl 2025 QDI
PFD
78409g206
776
31851
SH
SOLE
31851
0
0
Sotherly Hotels 7.25- SrNt2021
PFD
83600e307
662
25650
SH
SOLE
25650
0
0
Sotherly Hotels 7.875- Cum Per
PFD
83600c400
1149
46068
SH
SOLE
46068
0
0
Sotherly Hotels 8- Cum Perp C
PFD
83600c301
2976
117023
SH
SOLE
117023
0
0
Spark Energy 8.75- Call 2022 Q
PFD
846511202
718
30410
SH
SOLE
30410
0
0
Summitt Hotel Prp 6.25-CUM Per
PFD
866082605
210
8900
SH
SOLE
8900
0
0
Sunstone Hotel 6.95- Prp/Cl 3/
PFD
867892606
786
30278
SH
SOLE
30278
0
0
Teekay Offshore 8.875-Cum Cl 2
PFD
Y8561j176
232
9425
SH
SOLE
9425
0
0
Telephone & Data 6.875- Cl 11/
PFD
879433845
1943
77475
SH
SOLE
77475
0
0
Telephone & Data 7.0- Cl 3/16
PFD
879433837
613
24402
SH
SOLE
24402
0
0
Tennessee Valley Var 30yr-98bp
PFD
880591300
201
8000
SH
SOLE
8000
0
0
Texas Capitl Bancshares6.50- 2
PFD
882228307
447
17417
SH
SOLE
17417
0
0
Torchmark Crp 6.125- SubDebCal
PFD
891027401
775
30350
SH
SOLE
30350
0
0
TriState Capital Hlds 6.75- Pe
PFD
89678f209
1114
42450
SH
SOLE
42450
0
0
Two Harbors Investments 7.625-
PFD
90187b309
302
11741
SH
SOLE
11741
0
0
Two Harbors Investments 8.125-
PFD
90187b200
603
22614
SH
SOLE
22614
0
0
UMH Properties 8.0- Perp Cum C
PFD
903002301
547
20814
SH
SOLE
20814
0
0
US Bancorp 6.5- Flt Aftr 1/22
PFD
902973833
917
33673
SH
SOLE
33673
0
0
US Celllular SrNts 7.25- 2063
PFD
911684504
582
22700
SH
SOLE
22700
0
0
US Cellular 6.95-SrNT 2060 Cl
PFD
911684405
379
15125
SH
SOLE
15125
0
0
US Cellular 7.25- SrNts12/2064
PFD
911684603
1770
69027
SH
SOLE
69027
0
0
VEREIT Inc 6.70- Perp CUM Cl 2
PFD
92339v209
774
31146
SH
SOLE
31146
0
0
Wells Fargo 5.85-Flt Aftr 9/23
PFD
949746556
621
24097
SH
SOLE
24097
0
0
Wells Fargo 6.375- Cl 12/19 BB
PFD
94988n207
752
29365
SH
SOLE
29365
0
0
Wells Fargo 7.5- Cnv@-156 -100
PFD
949746804
17323
13420
SH
SOLE
13420
0
0
WinTrust Financial 6.50- Call
PFD
97650w405
263
9887
SH
SOLE
9887
0
0
American Express Cp 5.2- - Cal
PFD
025816BJ7
605
600000
PRN
SOLE
600000
0
0
Bank of America 5.20- Perp/Cal
PFD
060505ED2
1945
1965000
PRN
SOLE
1965000
0
0
Bank of NY Mellon - Call 6/20/
PFD
064058AD2
857
840000
PRN
SOLE
840000
0
0
Charles Schwab 4.625- Perp/Cal
PFD
808513AP0
740
740000
PRN
SOLE
740000
0
0
Charles Schwab 7- Perp/Call 2/
PFD
808513AE5
1323
1212000
PRN
SOLE
1212000
0
0
Citigroup 5.35- Perp/Call 5/23
PFD
172967GR6
728
740000
PRN
SOLE
740000
0
0
Citigroup 5.875- Perp/Call 3/2
PFD
172967JK8
358
350000
PRN
SOLE
350000
0
0
Citigroup Inc - Callable 11/15
PFD
172967HZ7
408
400000
PRN
SOLE
400000
0
0
Citigroup Inc 5.95- Perp Call
PFD
172967GD7
1172
1150000
PRN
SOLE
1150000
0
0
Citigroup Inc 6.125- Perp Call
PFD
172967KD2
573
550000
PRN
SOLE
550000
0
0
Citigroup Inc Fix-to-Float Per
PFD
172967GF2
716
700000
PRN
SOLE
700000
0
0
Fifth Third Bancorp 4.9- until
PFD
316773CR9
713
710000
PRN
SOLE
710000
0
0
GE Cap Corp 5.00- Perp/Call 1/
PFD
369604BQ5
1855
1905000
PRN
SOLE
1905000
0
0
Goldman Sachs 5- Perp/Call 11/
PFD
38148BAD0
582
615000
PRN
SOLE
615000
0
0
Goldman Sachs 5.375 Perp/Call
PFD
38148BAB4
627
615000
PRN
SOLE
615000
0
0
Goldman Sachs 5.7 Perp/Call 5/
PFD
38148BAA6
1227
1215000
PRN
SOLE
1215000
0
0
JPMorgan 5.3- Perp/Call 5/1/20
PFD
46625HKK5
307
300000
PRN
SOLE
300000
0
0
JPMorgan 6.0- Perp/Call 8/23 -
PFD
48126HAA8
3255
3145000
PRN
SOLE
3145000
0
0
JPMorgan 7.9- Perp/Call 4/18 -
PFD
46625HHA1
3143
3135000
PRN
SOLE
3135000
0
0
MetLife Inc. 5.25- Call 6/15/2
PFD
59156RBP2
392
385000
PRN
SOLE
385000
0
0
Morgan Stanley 5.45- Perp/Call
PFD
61761JQK8
656
650000
PRN
SOLE
650000
0
0
So. Cal Edison 6.25- Perp/Call
PFD
842400FU2
632
605000
PRN
SOLE
605000
0
0
Stanley Black & Decker Callabl
PFD
854502AF8
1155
1145000
PRN
SOLE
1145000
0
0
Suntrust Bank 5.05- Call 2022-
PFD
867914BN2
632
640000
PRN
SOLE
640000
0
0
US Bancorp - Callable 1/15/21
PFD
902973AY2
308
300000
PRN
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300000
0
0
Wachovia (WFC) Perp/Call 2/11
PFD
92978AAA0
2673
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2700000
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0
Wells Fargo & Company Perp/Cal
PFD
949746PM7
558
552000
PRN
SOLE
552000
0
0