0001580642-16-008566.txt : 20160506 0001580642-16-008566.hdr.sgml : 20160506 20160506155923 ACCESSION NUMBER: 0001580642-16-008566 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160506 DATE AS OF CHANGE: 20160506 EFFECTIVENESS DATE: 20160506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tortoise Investment Management, LLC CENTRAL INDEX KEY: 0001599511 IRS NUMBER: 201723529 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15827 FILM NUMBER: 161627845 BUSINESS ADDRESS: STREET 1: 2 WESTCHESTER PARK DRIVE STREET 2: SUITE 215 CITY: WHITE PLAINS STATE: NY ZIP: 10604 BUSINESS PHONE: 914-686-0024 MAIL ADDRESS: STREET 1: 2 WESTCHESTER PARK DRIVE STREET 2: SUITE 215 CITY: WHITE PLAINS STATE: NY ZIP: 10604 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001599511 XXXXXXXX 03-31-2016 03-31-2016 false Tortoise Investment Management, LLC

2 Westchester Park Drive Suite 215 White Plains NY 10604

13F HOLDINGS REPORT 028-15827 N Randal Goldstein 914-686-0024 /s/ Randal Goldstein White Plains NY 05-02-2016 0 407 278182 INFORMATION TABLE 2 infotable.xml SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 4087 23136 SH SOLE 0 0 23136 ISHARES TR U.S. UTILITS ETF 464287697 6 48 SH SOLE 0 0 48 ISHARES TR CORE S&P MCP ETF 464287507 427 2958 SH SOLE 0 0 2958 ISHARES TR S&P MC 400VL ETF 464287705 44 358 SH SOLE 0 0 358 ISHARES TR S&P MC 400GR ETF 464287606 27 169 SH SOLE 0 0 169 ISHARES TR CORE S&P SCP ETF 464287804 3748 33296 SH SOLE 0 0 33296 ISHARES TR SP SMCP600VL ETF 464287879 3383 29850 SH SOLE 0 0 29850 ISHARES TR SP SMCP600GR ETF 464287887 8 62 SH SOLE 0 0 62 ISHARES TR S&P 500 VAL ETF 464287408 2145 23850 SH SOLE 0 0 23850 ISHARES TR CORE S&P500 ETF 464287200 43750 211712 SH SOLE 0 0 211712 ISHARES TR S&P 500 GRWT ETF 464287309 34 290 SH SOLE 0 0 290 ISHARES TR RUS 1000 ETF 464287622 9207 80713 SH SOLE 0 0 80713 ISHARES TR RUS 1000 VAL ETF 464287598 790 7992 SH SOLE 0 0 7992 ISHARES TR RUS 1000 GRW ETF 464287614 52 523 SH SOLE 0 0 523 ISHARES TR RUSSELL 2000 ETF 464287655 978 8840 SH SOLE 0 0 8840 ISHARES TR RUSSELL 3000 ETF 464287689 97 800 SH SOLE 0 0 800 ISHARES TR U.S. REAL ES ETF 464287739 34 438 SH SOLE 0 0 438 ISHARES TR DOW JONES US ETF 464287846 53 516 SH SOLE 0 0 516 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 37 140 SH SOLE 0 0 140 SPDR S&P 500 ETF TR TR UNIT 78462F103 10440 50799 SH SOLE 0 0 50799 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 123 2480 SH SOLE 0 0 2480 AMERICAN INTL GROUP INC COM NEW 026874784 6 105 SH SOLE 0 0 105 AMAZON COM INC COM 023135106 12 21 SH SOLE 0 0 21 BRISTOL MYERS SQUIBB CO COM 110122108 171 2672 SH SOLE 0 0 2672 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2600 18325 SH SOLE 0 0 18325 E M C CORP MASS COM 268648102 5 175 SH SOLE 0 0 175 BOEING CO COM 097023105 685 5396 SH SOLE 0 0 5396 EVERSOURCE ENERGY COM 30040W108 92 1574 SH SOLE 0 0 1574 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 181 1661 SH SOLE 0 0 1661 AMGEN INC COM 031162100 69 458 SH SOLE 0 0 458 ABBOTT LABS COM 002824100 15 366 SH SOLE 0 0 366 ANADARKO PETE CORP COM 032511107 33 700 SH SOLE 0 0 700 ALTRIA GROUP INC COM 02209S103 82 1306 SH SOLE 0 0 1306 ILLINOIS TOOL WKS INC COM 452308109 61 600 SH SOLE 0 0 600 ISHARES TR RUS 2000 GRW ETF 464287648 7 56 SH SOLE 0 0 56 KEYCORP NEW COM 493267108 9 800 SH SOLE 0 0 800 DU PONT E I DE NEMOURS & CO COM 263534109 42 657 SH SOLE 0 0 657 QUALCOMM INC COM 747525103 42 821 SH SOLE 0 0 821 DISNEY WALT CO COM DISNEY 254687106 221 2222 SH SOLE 0 0 2222 HONEYWELL INTL INC COM 438516106 86 767 SH SOLE 0 0 767 US BANCORP DEL COM NEW 902973304 83 2055 SH SOLE 0 0 2055 JOHNSON & JOHNSON COM 478160104 467 4315 SH SOLE 0 0 4315 HAIN CELESTIAL GROUP INC COM 405217100 16 400 SH SOLE 0 0 400 PFIZER INC COM 717081103 63 2136 SH SOLE 0 0 2136 EXELON CORP COM 30161N101 14 400 SH SOLE 0 0 400 LOWES COS INC COM 548661107 4 50 SH SOLE 0 0 50 ISHARES TR MSCI EAFE ETF 464287465 3073 53766 SH SOLE 0 0 53766 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SOLE 0 0 28 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1 25 SH SOLE 0 0 25 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 14 231 SH SOLE 0 0 231 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 8 336 SH SOLE 0 0 336 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 4 79 SH SOLE 0 0 79 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 8 186 SH SOLE 0 0 186 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 30 574 SH SOLE 0 0 574 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 5 75 SH SOLE 0 0 75 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 5 66 SH SOLE 0 0 66 ISHARES MSCI TAIWAN ETF 464286731 1 60 SH SOLE 0 0 60 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 358 4411 SH SOLE 0 0 4411 WALGREENS BOOTS ALLIANCE INC COM 931427108 202 2400 SH SOLE 0 0 2400 YAHOO INC COM 984332106 1 16 SH SOLE 0 0 16 BANK AMER CORP COM 060505104 50 3700 SH SOLE 0 0 3700 STARBUCKS CORP COM 855244109 53 891 SH SOLE 0 0 891 EXXON MOBIL CORP COM 30231G102 474 5672 SH SOLE 0 0 5672 WAL-MART STORES INC COM 931142103 311 4535 SH SOLE 0 0 4535 UNION PAC CORP COM 907818108 336 4220 SH SOLE 0 0 4220 UNILEVER PLC SPON ADR NEW 904767704 7 150 SH SOLE 0 0 150 CARDINAL HEALTH INC COM 14149Y108 67 818 SH SOLE 0 0 818 COLGATE PALMOLIVE CO COM 194162103 670 9490 SH SOLE 0 0 9490 CAPITAL ONE FINL CORP COM 14040H105 12 166 SH SOLE 0 0 166 COSTCO WHSL CORP NEW COM 22160K105 100 635 SH SOLE 0 0 635 LILLY ELI & CO COM 532457108 42 590 SH SOLE 0 0 590 CVS HEALTH CORP COM 126650100 62 600 SH SOLE 0 0 600 STATE STR CORP COM 857477103 11 190 SH SOLE 0 0 190 DIAGEO P L C SPON ADR NEW 25243Q205 8 70 SH SOLE 0 0 70 SCHLUMBERGER LTD COM 806857108 7 90 SH SOLE 0 0 90 DANAHER CORP DEL COM 235851102 46 480 SH SOLE 0 0 480 MERCK & CO INC NEW COM 58933Y105 409 7726 SH SOLE 0 0 7726 NOVARTIS A G SPONSORED ADR 66987V109 7 90 SH SOLE 0 0 90 PROCTER & GAMBLE CO COM 742718109 344 4180 SH SOLE 0 0 4180 GENERAL ELECTRIC CO COM 369604103 266 8367 SH SOLE 0 0 8367 KIMBERLY CLARK CORP COM 494368103 108 800 SH SOLE 0 0 800 GILEAD SCIENCES INC COM 375558103 208 2260 SH SOLE 0 0 2260 GOLDMAN SACHS GROUP INC COM 38141G104 8 50 SH SOLE 0 0 50 HOME DEPOT INC COM 437076102 355 2657 SH SOLE 0 0 2657 MCDONALDS CORP COM 580135101 30 240 SH SOLE 0 0 240 JPMORGAN CHASE & CO COM 46625H100 107 1811 SH SOLE 0 0 1811 MONDELEZ INTL INC CL A 609207105 49 1222 SH SOLE 0 0 1222 ABERDEEN ASIA PACIFIC INCOM COM 003009107 11215 2243095 SH SOLE 0 0 2243095 HP INC COM 40434L105 0 40 SH SOLE 0 0 40 WELLS FARGO & CO NEW COM 949746101 10 200 SH SOLE 0 0 200 ISHARES TR IBOXX INV CP ETF 464287242 1151 9690 SH SOLE 0 0 9690 CORNING INC COM 219350105 42 2000 SH SOLE 0 0 2000 PRAXAIR INC COM 74005P104 92 800 SH SOLE 0 0 800 FORD MTR CO DEL COM PAR $0.01 345370860 1 105 SH SOLE 0 0 105 UNITEDHEALTH GROUP INC COM 91324P102 820 6365 SH SOLE 0 0 6365 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 12 100 SH SOLE 0 0 100 ZIMMER BIOMET HLDGS INC COM 98956P102 28 265 SH SOLE 0 0 265 UNITED TECHNOLOGIES CORP COM 913017109 101 1004 SH SOLE 0 0 1004 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 114 1000 SH SOLE 0 0 1000 3M CO COM 88579Y101 225 1350 SH SOLE 0 0 1350 COMCAST CORP NEW CL A 20030N101 136 2231 SH SOLE 0 0 2231 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1832 17476 SH SOLE 0 0 17476 NORFOLK SOUTHERN CORP COM 655844108 75 900 SH SOLE 0 0 900 NEXTERA ENERGY INC COM 65339F101 38 325 SH SOLE 0 0 325 CONOCOPHILLIPS COM 20825C104 40 1000 SH SOLE 0 0 1000 BOB EVANS FARMS INC COM 096761101 22 475 SH SOLE 0 0 475 APPLE INC COM 037833100 1057 9700 SH SOLE 0 0 9700 AMERICAN AIRLS GROUP INC COM 02376R102 1 30 SH SOLE 0 0 30 CAMPBELL SOUP CO COM 134429109 13 200 SH SOLE 0 0 200 LIGHTBRIDGE CORP COM 53224K104 8 13484 SH SOLE 0 0 13484 OFFICE DEPOT INC COM 676220106 1 150 SH SOLE 0 0 150 DUKE REALTY CORP COM NEW 264411505 27 1200 SH SOLE 0 0 1200 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 68 500 SH SOLE 0 0 500 KINDER MORGAN INC DEL COM 49456B101 958 53627 SH SOLE 0 0 53627 APACHE CORP COM 037411105 1 22 SH SOLE 0 0 22 SUNCOR ENERGY INC NEW COM 867224107 70 2520 SH SOLE 0 0 2520 ISHARES TR MSCI EMG MKT ETF 464287234 1145 33442 SH SOLE 0 0 33442 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 103 1238 SH SOLE 0 0 1238 COACH INC COM 189754104 19 480 SH SOLE 0 0 480 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 162 2059 SH SOLE 0 0 2059 CELGENE CORP COM 151020104 40 400 SH SOLE 0 0 400 CHUBB LIMITED COM H1467J104 29 246 SH SOLE 0 0 246 L BRANDS INC COM 501797104 1212 13800 SH SOLE 0 0 13800 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 95 3250 SH SOLE 0 0 3250 ROSS STORES INC COM 778296103 100 1735 SH SOLE 0 0 1735 ISHARES TR S&P 100 ETF 464287101 455 4975 SH SOLE 0 0 4975 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 52 3000 SH SOLE 0 0 3000 AMERICAN EXPRESS CO COM 025816109 14 226 SH SOLE 0 0 226 ARCHER DANIELS MIDLAND CO COM 039483102 0 2 SH SOLE 0 0 2 CEMEX SAB DE CV SPON ADR NEW 151290889 0 6 SH SOLE 0 0 6 EDWARDS LIFESCIENCES CORP COM 28176E108 0 4 SH SOLE 0 0 4 KELLOGG CO COM 487836108 1 12 SH SOLE 0 0 12 EXPRESS SCRIPTS HLDG CO COM 30219G108 94 1368 SH SOLE 0 0 1368 DOW CHEM CO COM 260543103 11 222 SH SOLE 0 0 222 GENERAL DYNAMICS CORP COM 369550108 76 579 SH SOLE 0 0 579 ULTRA PETROLEUM CORP COM 903914109 0 100 SH SOLE 0 0 100 LIONS GATE ENTMNT CORP COM NEW 535919203 2 100 SH SOLE 0 0 100 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3699 106983 SH SOLE 0 0 106983 BERKSHIRE HATHAWAY INC DEL CL A 084670108 640 3 SH SOLE 0 0 3 PNM RES INC COM 69349H107 72 2134 SH SOLE 0 0 2134 NETFLIX INC COM 64110L106 13 126 SH SOLE 0 0 126 DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 8 2451 SH SOLE 0 0 2451 ISHARES TR CORE US AGGBD ET 464287226 121 1096 SH SOLE 0 0 1096 W P CAREY INC COM 92936U109 118 1896 SH SOLE 0 0 1896 ISHARES TR SELECT DIVID ETF 464287168 65 800 SH SOLE 0 0 800 ISHARES TR TIPS BD ETF 464287176 26 227 SH SOLE 0 0 227 CARNIVAL CORP PAIRED CTF 143658300 17 330 SH SOLE 0 0 330 CLOROX CO DEL COM 189054109 113 900 SH SOLE 0 0 900 SCHEIN HENRY INC COM 806407102 121 699 SH SOLE 0 0 699 MUELLER INDS INC COM 624756102 57 1926 SH SOLE 0 0 1926 LENNAR CORP CL A 526057104 68 1409 SH SOLE 0 0 1409 CONSOLIDATED EDISON INC COM 209115104 20 263 SH SOLE 0 0 263 REDWOOD TR INC COM 758075402 3 200 SH SOLE 0 0 200 CENTURYLINK INC COM 156700106 4 123 SH SOLE 0 0 123 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 14 421 SH SOLE 0 0 421 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 409 29623 SH SOLE 0 0 29623 TIFFANY & CO NEW COM 886547108 7 95 SH SOLE 0 0 95 FREEPORT-MCMORAN INC CL B 35671D857 2 200 SH SOLE 0 0 200 TRAVELERS COMPANIES INC COM 89417E109 9 76 SH SOLE 0 0 76 WEYERHAEUSER CO COM 962166104 576 18589 SH SOLE 0 0 18589 MASCO CORP COM 574599106 11 344 SH SOLE 0 0 344 NEW YORK CMNTY BANCORP INC COM 649445103 5 300 SH SOLE 0 0 300 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 10 160 SH SOLE 0 0 160 RAYONIER INC COM 754907103 5 201 SH SOLE 0 0 201 PRICE T ROWE GROUP INC COM 74144T108 235 3200 SH SOLE 0 0 3200 WEINGARTEN RLTY INVS SH BEN INT 948741103 8 225 SH SOLE 0 0 225 STANLEY BLACK & DECKER INC COM 854502101 67 637 SH SOLE 0 0 637 SNAP ON INC COM 833034101 92 586 SH SOLE 0 0 586 REYNOLDS AMERICAN INC COM 761713106 50 1000 SH SOLE 0 0 1000 HARSCO CORP COM 415864107 17 3100 SH SOLE 0 0 3100 CHURCH & DWIGHT INC COM 171340102 83 903 SH SOLE 0 0 903 NOVO-NORDISK A S ADR 670100205 7 120 SH SOLE 0 0 120 BECTON DICKINSON & CO COM 075887109 89 585 SH SOLE 0 0 585 METLIFE INC COM 59156R108 5 123 SH SOLE 0 0 123 COOPER COS INC COM NEW 216648402 10 68 SH SOLE 0 0 68 YUM BRANDS INC COM 988498101 98 1200 SH SOLE 0 0 1200 AMPHENOL CORP NEW CL A 032095101 105 1816 SH SOLE 0 0 1816 TRANSCANADA CORP COM 89353D107 55 1400 SH SOLE 0 0 1400 ALPHABET INC CAP STK CL A 02079K305 28 37 SH SOLE 0 0 37 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 13989 1768551 SH SOLE 0 0 1768551 DENTSPLY SIRONA INC COM 24906P109 71 1150 SH SOLE 0 0 1150 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 28 500 SH SOLE 0 0 500 VANGUARD INDEX FDS VALUE ETF 922908744 1761 21368 SH SOLE 0 0 21368 VANGUARD INDEX FDS MID CAP ETF 922908629 13 110 SH SOLE 0 0 110 VANGUARD INDEX FDS SM CP VAL ETF 922908611 55 543 SH SOLE 0 0 543 VANGUARD INDEX FDS REIT ETF 922908553 203 2423 SH SOLE 0 0 2423 STEMCELLS INC COM NEW 85857R204 0 1200 SH SOLE 0 0 1200 CHENIERE ENERGY INC COM NEW 16411R208 2 52 SH SOLE 0 0 52 OLIN CORP COM PAR $1 680665205 4 238 SH SOLE 0 0 238 NEWFIELD EXPL CO COM 651290108 3 100 SH SOLE 0 0 100 VANGUARD INDEX FDS SMALL CP ETF 922908751 83 743 SH SOLE 0 0 743 VANGUARD INDEX FDS GROWTH ETF 922908736 7 68 SH SOLE 0 0 68 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 1292 86789 SH SOLE 0 0 86789 PLAINS ALL AMERN PIPELINE 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20084 BLACKROCK N J MUN INCOME TR SH BEN INT 09248J101 49 3000 SH SOLE 0 0 3000 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 6 860 SH SOLE 0 0 860 WISDOMTREE TR INTL EQUITY FD 97717W703 92 2000 SH SOLE 0 0 2000 WISDOMTREE TR TOTAL DIVID FD 97717W109 11 150 SH SOLE 0 0 150 ISHARES TR CORE S&P TTL STK 464287150 5101 54638 SH SOLE 0 0 54638 NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT 67070X101 1069 71407 SH SOLE 0 0 71407 NUVEEN QUALITY MUN FD INC COM 67062N103 1261 88554 SH SOLE 0 0 88554 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 1421 95448 SH SOLE 0 0 95448 VANGUARD INDEX FDS LARGE CAP ETF 922908637 589 6263 SH SOLE 0 0 6263 HEICO CORP NEW CL A 422806208 15 312 SH SOLE 0 0 312 GARTNER INC COM 366651107 104 1168 SH SOLE 0 0 1168 HORNBECK OFFSHORE SVCS INC N COM 440543106 7 700 SH SOLE 0 0 700 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 5465 407513 SH SOLE 0 0 407513 NUVEEN NY SELECT TAX FREE PR SH BEN INT 67063V104 1173 83411 SH SOLE 0 0 83411 SL GREEN RLTY CORP COM 78440X101 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FTSE DEV MKT ETF 921943858 1751 48793 SH SOLE 0 0 48793 ISHARES TR NATIONAL MUN ETF 464288414 223 1999 SH SOLE 0 0 1999 SPDR SER TR NUVN BRCLY MUNI 78468R721 1117 22650 SH SOLE 0 0 22650 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2499 26764 SH SOLE 0 0 26764 FIRST TR ISE WATER INDEX FD COM 33733B100 7 198 SH SOLE 0 0 198 CLAYMORE EXCHANGE TRD FD TR GUGG TIMBER ETF 18383Q879 98 4245 SH SOLE 0 0 4245 NUVEEN NJ DIV ADVANTAGE MUN COM 67069Y102 644 45490 SH SOLE 0 0 45490 WISDOMTREE TR EMG MKTS SMCAP 97717W281 630 16677 SH SOLE 0 0 16677 ISHARES TR JP MOR EM MK ETF 464288281 2 15 SH SOLE 0 0 15 ISHARES TR INTL DEV RE ETF 464288489 55 1875 SH SOLE 0 0 1875 POWERSHARES ETF TR II INSUR NATL MUN 73936T474 1375 53400 SH SOLE 0 0 53400 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 95 2785 SH SOLE 0 0 2785 CHIMERA INVT CORP COM NEW 16934Q208 1 100 SH SOLE 0 0 100 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 16 468 SH SOLE 0 0 468 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 18 394 SH SOLE 0 0 394 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7 306 SH SOLE 0 0 306 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 19 342 SH SOLE 0 0 342 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 7 246 SH SOLE 0 0 246 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 6 248 SH SOLE 0 0 248 ISHARES TR EAFE SML CP ETF 464288273 3459 69464 SH SOLE 0 0 69464 MSCI INC COM 55354G100 1 18 SH SOLE 0 0 18 VISA INC COM CL A 92826C839 26 340 SH SOLE 0 0 340 PHILIP MORRIS INTL INC COM 718172109 56 570 SH SOLE 0 0 570 FEI CO COM 30241L109 27 300 SH SOLE 0 0 300 ISHARES TR MSCI ACWI EX US 464288240 251 6345 SH SOLE 0 0 6345 FIRST TR FTSE EPRA/NAREIT DE COM 33736N101 5 124 SH SOLE 0 0 124 MANITEX INTL INC COM 563420108 5 1000 SH SOLE 0 0 1000 SPDR SERIES TRUST NUVN BR NY MUNI 78464A433 140 5865 SH SOLE 0 0 5865 ISHARES TR NEW YORK MUN ETF 464288323 79 700 SH SOLE 0 0 700 POWERSHARES ETF TR II NY MUNI BD ETF 73936T458 1478 59813 SH SOLE 0 0 59813 SPDR SERIES TRUST S&P PHARMAC 78464A722 12 300 SH SOLE 0 0 300 FIRST TR EXCHANGE TRADED FD NASDAQ 100 EX 33733E401 7 190 SH SOLE 0 0 190 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 2 35 SH SOLE 0 0 35 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 456 11726 SH SOLE 0 0 11726 ATHENAHEALTH INC COM 04685W103 56 400 SH SOLE 0 0 400 SPAR GROUP INC COM 784933103 1 1200 SH SOLE 0 0 1200 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 0 1000 SH SOLE 0 0 1000 PDF SOLUTIONS INC COM 693282105 3 250 SH SOLE 0 0 250 HUNTINGTON BANCSHARES INC PFD CONV SER A 446150401 7 5 SH SOLE 0 0 5 ISHARES TR MSCI ACWI ETF 464288257 33 590 SH SOLE 0 0 590 ANAVEX LIFE SCIENCES CORP COM NEW 032797300 1 250 SH SOLE 0 0 250 ISHARES TR GL TIMB FORE ETF 464288174 1256 26812 SH SOLE 0 0 26812 WISDOMTREE TR AUST NEW ZEAL DB 97717W216 7 400 SH SOLE 0 0 400 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 617 10695 SH SOLE 0 0 10695 HSN INC COM 404303109 65 1241 SH SOLE 0 0 1241 TRIPADVISOR INC COM 896945201 20 300 SH SOLE 0 0 300 NUVEEN NEW JERSEY MUN VALUE COM 670702109 62 4000 SH SOLE 0 0 4000 NUVEEN NEW YORK MUN VALUE FD COM 670706100 79 5000 SH SOLE 0 0 5000 NUVEEN CALIF MUNICPAL VALU F COM 6706EB106 403 22232 SH SOLE 0 0 22232 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 267 3070 SH SOLE 0 0 3070 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 47 955 SH SOLE 0 0 955 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 304 11214 SH SOLE 0 0 11214 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1153 23609 SH SOLE 0 0 23609 NUVEEN MTG OPPORTUNITY TERM COM 670735109 659 29330 SH SOLE 0 0 29330 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 6634 82894 SH SOLE 0 0 82894 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 147 2820 SH SOLE 0 0 2820 PIMCO ETF TR INTER MUN BD ACT 72201R866 342 6310 SH SOLE 0 0 6310 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 2 45 SH SOLE 0 0 45 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 203 7011 SH SOLE 0 0 7011 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 357 17200 SH SOLE 0 0 17200 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 95 1825 SH SOLE 0 0 1825 SPDR SERIES TRUST BARC SHT TR CP 78464A474 2066 67454 SH SOLE 0 0 67454 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 1394 46168 SH SOLE 0 0 46168 FINANCIAL ENGINES INC COM 317485100 3 101 SH SOLE 0 0 101 NUVEEN BUILD AMER BD FD COM 67074C103 4969 230137 SH SOLE 0 0 230137 SPDR SERIES TRUST BRC BLD AMER BD 78464A276 629 10003 SH SOLE 0 0 10003 TESLA MTRS INC COM 88160R101 126 550 SH SOLE 0 0 550 WISDOMTREE TR EM LCL DEBT FD 97717X867 22 600 SH SOLE 0 0 600 PIMCO ETF TR INV GRD CRP BD 72201R817 8 79 SH SOLE 0 0 79 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 73 387 SH SOLE 0 0 387 EXAMWORKS GROUP INC COM 30066A105 11 375 SH SOLE 0 0 375 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 171 3195 SH SOLE 0 0 3195 CREDIT SUISSE NASSAU BRH INVRS VIX STERM 22542D795 6 225 SH SOLE 0 0 225 NUVEEN BUILD AMER BD OPPTNY COM 67074Q102 18097 840940 SH SOLE 0 0 840940 SCHWAB STRATEGIC TR US REIT ETF 808524847 10 249 SH SOLE 0 0 249 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 0 2 SH SOLE 0 0 2 VANGUARD STAR FD VG TL INTL STK F 921909768 428 9538 SH SOLE 0 0 9538 NUVEEN ENERGY MLP TOTL RTRNF COM 67074U103 373 36783 SH SOLE 0 0 36783 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 585 25747 SH SOLE 0 0 25747 DBX ETF TR XTRAK MSCI EAFE 233051200 1 37 SH SOLE 0 0 37 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 980 10547 SH SOLE 0 0 10547 DUNKIN BRANDS GROUP INC COM 265504100 5 104 SH SOLE 0 0 104 ISHARES EM MKT SM-CP ETF 464286475 8 190 SH SOLE 0 0 190 FLEXSHARES TR IBOXX 5YR TRGT 33939L605 1 31 SH SOLE 0 0 31 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1 30 SH SOLE 0 0 30 ISHARES TR USA MIN VOL ETF 46429B697 1 23 SH SOLE 0 0 23 ISHARES EM MK MINVOL ETF 464286533 2369 46107 SH SOLE 0 0 46107 WPX ENERGY INC COM 98212B103 0 66 SH SOLE 0 0 66 ISHARES MSCI FRNTR100ETF 464286145 101 4123 SH SOLE 0 0 4123 PHILLIPS 66 COM 718546104 44 511 SH SOLE 0 0 511 ORGANOVO HLDGS INC COM 68620A104 1 360 SH SOLE 0 0 360 SPDR SER TR SHT TRM HGH YLD 78468R408 5426 210146 SH SOLE 0 0 210146 WISDOMTREE TR WSDM EMKTBD FD 97717X784 7 100 SH SOLE 0 0 100 FACEBOOK INC CL A 30303M102 157 1372 SH SOLE 0 0 1372 BLACKROCK MUN 2030 TAR TERM COM SHS BEN IN 09257P105 326 14220 SH SOLE 0 0 14220 ISHARES INC CORE MSCI EMKT 46434G103 10018 240692 SH SOLE 0 0 240692 ISHARES TR CORE MSCITOTAL 46432F834 3670 74222 SH SOLE 0 0 74222 ISHARES TR CORE MSCI EAFE 46432F842 3194 60111 SH SOLE 0 0 60111 HIGHLAND FDS I HI LD IBOXX SRLN 430101774 1 57 SH SOLE 0 0 57 NUVEEN INT DUR QUAL MUN TRM COM 670677103 49 3600 SH SOLE 0 0 3600 TAYLOR MORRISON HOME CORP CL A 87724P106 1 100 SH SOLE 0 0 100 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 673 14489 SH SOLE 0 0 14489 DOUBLELINE INCOME SOLUTIONS COM 258622109 52 3085 SH SOLE 0 0 3085 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 232 3009 SH SOLE 0 0 3009 SPRINT CORP COM SER 1 85207U105 1 402 SH SOLE 0 0 402 MURPHY USA INC COM 626755102 0 7 SH SOLE 0 0 7 AGIOS PHARMACEUTICALS INC COM 00847X104 24 600 SH SOLE 0 0 600 FIREEYE INC COM 31816Q101 9 500 SH SOLE 0 0 500 EMPIRE ST RLTY OP L P UNIT LTD PRTNSP 292102100 38 2151 SH SOLE 0 0 2151 FIDELITY MSCI ENERGY IDX 316092402 18 1000 SH SOLE 0 0 1000 TWITTER INC COM 90184L102 8 500 SH SOLE 0 0 500 SANTANDER CONSUMER USA HDG I COM 80283M101 10 1000 SH SOLE 0 0 1000 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 69 1095 SH SOLE 0 0 1095 FIDELITY MSCI MATLS INDEX 316092881 67 2678 SH SOLE 0 0 2678 ALPHABET INC CAP STK CL C 02079K107 10 13 SH SOLE 0 0 13 POWERSHARES ETF TR II VAR RATE PFD POR 73937B597 183 7647 SH SOLE 0 0 7647 TIME INC NEW COM 887228104 0 6 SH SOLE 0 0 6 ISHARES TR CORE DIV GRWTH 46434V621 5 205 SH SOLE 0 0 205 J P MORGAN EXCHANGE TRADED F DIV RTN GLB EQ 46641Q100 210 4160 SH SOLE 0 0 4160 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 8 100 SH SOLE 0 0 100 CDK GLOBAL INC COM 12508E101 5 100 SH SOLE 0 0 100 HALYARD HEALTH INC COM 40650V100 1 33 SH SOLE 0 0 33 SHAKE SHACK INC CL A 819047101 0 10 SH SOLE 0 0 10 FIDELITY MSCI RL EST ETF 316092857 30 1280 SH SOLE 0 0 1280 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 96 1934 SH SOLE 0 0 1934 WISDOMTREE TR EUR HDG SMLCAP 97717X552 32 1325 SH SOLE 0 0 1325 BLUEPRINT MEDICINES CORP COM 09627Y109 26 1466 SH SOLE 0 0 1466 KEMPHARM INC COM 488445107 25 1737 SH SOLE 0 0 1737 CHEMOURS CO COM 163851108 1 159 SH SOLE 0 0 159 TOPBUILD CORP COM 89055F103 1 38 SH SOLE 0 0 38 KRAFT HEINZ CO COM 500754106 32 407 SH SOLE 0 0 407 HEWLETT PACKARD ENTERPRISE C COM 42824C109 1 40 SH SOLE 0 0 40 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 45 2857 SH SOLE 0 0 2857 SPDR S&P 500 ETF TR TR UNIT 78462F103 7 13500 SH Put SOLE 0 0 13500 SPDR S&P 500 ETF TR TR UNIT 78462F103 2 1000 SH Put SOLE 0 0 1000 SPDR S&P 500 ETF TR TR UNIT 78462F103 2 2500 SH Put SOLE 0 0 2500