0001600151-15-000006.txt : 20151113
0001600151-15-000006.hdr.sgml : 20151113
20151113133416
ACCESSION NUMBER: 0001600151-15-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151113
DATE AS OF CHANGE: 20151113
EFFECTIVENESS DATE: 20151113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Arete Wealth Advisors, LLC
CENTRAL INDEX KEY: 0001600151
IRS NUMBER: 261314502
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15999
FILM NUMBER: 151228290
BUSINESS ADDRESS:
STREET 1: 1101 W LAKE ST
STREET 2: 1ST FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60607
BUSINESS PHONE: 312-940-3684
MAIL ADDRESS:
STREET 1: 1101 W LAKE ST
STREET 2: 1ST FLOOR
CITY: CHICAGO
STATE: IL
ZIP: 60607
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001600151
XXXXXXXX
09-30-2015
09-30-2015
Arete Wealth Advisors, LLC
1101 W LAKE ST
1ST FLOOR
CHICAGO
IL
60607
13F HOLDINGS REPORT
028-15999
N
Joshua Rogers
President
312-940-3684
Joshua Rogers
Chicago
IL
11-13-2015
0
130
128003
false
INFORMATION TABLE
2
13fawa093015.xml
ABBOTT LABS
COM
002824100
360
8959
SH
SOLE
0
0
8959
AGNICO EAGLE MINES LTD
COM
008474108
372
14692
SH
SOLE
0
0
14692
AMAZON COM INC
COM
023135106
558
1091
SH
SOLE
0
0
1091
AMERICAN APPAREL INC
COM
023850100
9
80640
SH
SOLE
0
0
80640
AMERICAN INTL GROUP INC
*W EXP 01/19/202
026874156
4309
189812
SH
SOLE
0
0
189812
AMERICAN INTL GROUP INC
COM NEW
026874784
9618
169275
SH
SOLE
0
0
169275
AMGEN INC
COM
031162100
317
2290
SH
SOLE
0
0
2290
ANNALY CAP MGMT INC
COM
035710409
264
26751
SH
SOLE
0
0
26751
APPLE INC
COM
037833100
8917
80847
SH
SOLE
0
0
80847
BANK OF AMERICA CORPORATION
COM
060505104
16627
1067224
SH
SOLE
0
0
1067224
BANK OF AMERICA CORPORATION
*W EXP 01/16/201
060505146
1892
330170
SH
SOLE
0
0
330170
BARRICK GOLD CORP
COM
067901108
1159
182178
SH
SOLE
0
0
182178
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
781
4
SH
SOLE
0
0
4
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1784
13682
SH
SOLE
0
0
13682
BLACKROCK INTL GRWTH & INC T
COM BENE INTER
092524107
518
85255
SH
SOLE
0
0
85255
BLOCK H & R INC
COM
093671105
293
8104
SH
SOLE
0
0
8104
CASELLA WASTE SYS INC
CL A
147448104
87
15000
SH
SOLE
0
0
15000
CASEYS GEN STORES INC
COM
147528103
1030
10006
SH
SOLE
0
0
10006
CELGENE CORP
COM
151020104
336
3107
SH
SOLE
0
0
3107
COLUMBIA PPTY TR INC
COM NEW
198287203
287
12369
SH
SOLE
0
0
12369
DANAHER CORP DEL
COM
235851102
252
2953
SH
SOLE
0
0
2953
DEERE & CO
COM
244199105
202
2726
SH
SOLE
0
0
2726
DEL TACO RESTAURANTS INC
COM
245496104
835
59645
SH
SOLE
0
0
59645
DEL TACO RESTAURANTS INC
*W EXP 06/30/202
245496112
60
11700
SH
SOLE
0
0
11700
DIGITAL RLTY TR INC
COM
253868103
2002
30649
SH
SOLE
0
0
30649
DISNEY WALT CO
COM DISNEY
254687106
2231
21833
SH
SOLE
0
0
21833
FS INVT CORP
COM
302635107
9301
997960
SH
SOLE
0
0
997960
FORD MTR CO DEL
COM PAR $0.01
345370860
142
10436
SH
SOLE
0
0
10436
GLOBAL NET LEASE INC
COM
379378102
1865
202674
SH
SOLE
0
0
202674
GREEN BRICK PARTNERS INC
COM
392709101
384
35442
SH
SOLE
0
0
35442
HEARTLAND EXPRESS INC
COM
422347104
667
33446
SH
SOLE
0
0
33446
ILLUMINA INC
COM
452327109
1905
10835
SH
SOLE
0
0
10835
INTERNATIONAL BUSINESS MACHS
COM
459200101
1051
7247
SH
SOLE
0
0
7247
ISHARES
TIPS BD ETF
464287176
530
4785
SH
SOLE
0
0
4785
ISHARES
CORE TOTUSBD ETF
464287226
654
5967
SH
SOLE
0
0
5967
ISHARES
GLOBAL TECH ETF
464287291
387
4298
SH
SOLE
0
0
4298
ISHARES
S&P 500 GRWT ETF
464287309
818
7585
SH
SOLE
0
0
7585
ISHARES
GLOB HLTHCRE ETF
464287325
425
4312
SH
SOLE
0
0
4312
ISHARES
GLOBAL FINLS ETF
464287333
333
6476
SH
SOLE
0
0
6476
ISHARES TR
MSCI EAFE ETF
464287465
1045
18227
SH
SOLE
0
0
18227
ISHARES
CORE S&P MCP ETF
464287507
1063
7785
SH
SOLE
0
0
7785
ISHARES TR
COHEN&STEER REIT
464287564
594
6410
SH
SOLE
0
0
6410
ISHARES TR
S&P MC 400GR ETF
464287606
569
3625
SH
SOLE
0
0
3625
ISHARES TR
PUT
464287955
555
447
SH
Put
SOLE
0
0
447
ISHARES
NAT AMT FREE BD
464288414
245
2234
SH
SOLE
0
0
2234
ISHARES
MBS ETF
464288588
368
3354
SH
SOLE
0
0
3354
ISHARES
INTERM CR BD ETF
464288638
316
2911
SH
SOLE
0
0
2911
ISHARES TR
SHRT TRS BD ETF
464288679
289
2618
SH
SOLE
0
0
2618
ISHARES
U.S. PFD STK ETF
464288687
594
15376
SH
SOLE
0
0
15376
JOHNSON & JOHNSON
COM
478160104
207
2217
SH
SOLE
0
0
2217
OLIN CORP
COM PAR $1
680665205
1405
83573
SH
SOLE
0
0
83573
PENNANTPARK INVT CORP
COM
708062104
390
60322
SH
SOLE
0
0
60322
PEPSICO INC
COM
713448108
205
2176
SH
SOLE
0
0
2176
PROCTOR & GAMBLE CO
COM
742718109
381
5293
SH
SOLE
0
0
5293
SALEM COMMUNICATIONS CORP DE
CL A
794093104
111
18062
SH
SOLE
0
0
18062
US BANCORP DEL
COM NEW
902973304
209
5104
SH
SOLE
0
0
5104
UNITED DEV FDG IV
COM
910187103
536
30462
SH
SOLE
0
0
30462
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
534
6294
SH
SOLE
0
0
6294
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
556
6919
SH
SOLE
0
0
6919
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
400
9373
SH
SOLE
0
0
9373
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
403
8192
SH
SOLE
0
0
8192
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1054
5996
SH
SOLE
0
0
5996
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
1307
14844
SH
SOLE
0
0
14844
VANGUARD INDEX FDS
SMALL CP ETF
922908751
229
2117
SH
SOLE
0
0
2117
WELLS FARGO & CO NEW
COM
949746101
227
4412
SH
SOLE
0
0
4412
XENIA HOTELS & RESORTS INC
COM
984017103
826
47319
SH
SOLE
0
0
47319
NOVAGOLD RES INC
COM NEW
66987E206
542
150045
SH
SOLE
0
0
150045
ALPS ETF TR
RIVRFRNT STR INC
00162Q783
260
10787
SH
SOLE
0
0
10787
AT&T INC
COM
00206R102
328
10067
SH
SOLE
0
0
10067
ABBVIE INC
COM
00287Y109
487
8944
SH
SOLE
0
0
8944
ADVENT CLAYMORE CV SECS & IN
COM
00764C109
446
33880
SH
SOLE
0
0
33880
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
762
12921
SH
SOLE
0
0
12921
BARCLAYS BANK PLC
ADR PFD SR 5
06739H362
1141
44120
SH
SOLE
0
0
44120
BLACKROCK MUNIVEST FN INC
COM
09253R105
347
36138
SH
SOLE
0
0
36138
CME GROUP INC
COM
12572Q105
2160
23289
SH
SOLE
0
0
23289
CISCO SYS INC
COM
17275R102
425
16190
SH
SOLE
0
0
16190
CLAYMORE EXCHANGE TRD FD TR
GUGG ENH SHT DUR
18383M654
255
5101
SH
SOLE
0
0
5101
CLOUGH GLOBAL EQUITY FD
COM
18914C100
598
47227
SH
SOLE
0
0
47227
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
497
26036
SH
SOLE
0
0
26036
DIREXION SHS ETF TR
ALL CP INSIDER
25459Y769
264
3986
SH
SOLE
0
0
3986
DREYFUS STRATEGIC MUN BD FD
COM
26202F107
1232
157720
SH
SOLE
0
0
157720
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
1966
204789
SH
SOLE
0
0
204789
EXXON MOBIL CORP
COM
30231G102
277
3723
SH
SOLE
0
0
3723
FIVE STAR QUALITY CARE INC
COM
33832D106
42
13595
SH
SOLE
0
0
13595
GLOBAL X FDS
SILVER MNR ETF
37950E853
81
12540
SH
SOLE
0
0
12540
GOLDMAN SACHS GROUP INC
COM
38141G104
267
1535
SH
SOLE
0
0
1535
GOOGLE INC
CL A
38259P508
2452
3841
SH
SOLE
0
0
3841
GOOGLE INC
CL C
38259P706
262
430
SH
SOLE
0
0
430
GREENHUNTER RES INC
COM
39530A104
16
56000
SH
SOLE
0
0
56000
INVESCO DYNAMIC CR OPP FD
COM
46132R104
121
11405
SH
SOLE
0
0
11405
INVESCO MUNI INCOME OPP TRST
COM
46132X101
351
51864
SH
SOLE
0
0
51864
JPMORGAN CHASE & CO
COM
46625H100
400
6569
SH
SOLE
0
0
6569
LEGG MASON BW GLB INC OPP FD
COM
52469B100
1451
124971
SH
SOLE
0
0
124971
LIBERATOR MEDICAL HLDGS INC
COM
53012L108
52
22000
SH
SOLE
0
0
22000
MEDLEY CAP CORP
COM
58503F106
261
35050
SH
SOLE
0
0
35050
NEW YORK REIT INC
COM
64976L109
910
90491
SH
SOLE
0
0
90491
NORTHSTAR RLTY FIN CORP
COM NEW
66704R704
1012
81954
SH
SOLE
0
0
81954
NUVEEN MUN ADVANTAGE FD INC
COM
67062H106
350
26333
SH
SOLE
0
0
26333
NUVEEN PREM INCOME MUN FD 2
COM
67063W102
337
24700
SH
SOLE
0
0
24700
NUVEEN QUALITY PFD INC FD 3
COM
67072W101
1249
155744
SH
SOLE
0
0
155744
NYMOX PHARMACEUTICAL CORP
COM
67076P102
34
10000
SH
SOLE
0
0
10000
PIMCO ETF TR
0-5 HIGH YIELD
72201R783
1240
13104
SH
SOLE
0
0
13104
POWERSHARES ETF TR II
S&P500 LOW VOL
73937B779
633
17595
SH
SOLE
0
0
17595
PROSHARES TR
PSHS ULTSH 20YRS
74347B201
309
7134
SH
SOLE
0
0
7134
PROSHARES TR
PSHS ULSHT SP500
74347B300
5195
223174
SH
SOLE
0
0
223174
PROSPECT CAPITAL CORPORATION
COM
74348T102
156
21900
SH
SOLE
0
0
21900
RCS CAP CORP
COM CL A
74937W102
40
49192
SH
SOLE
0
0
49192
RETAIL PPTYS AMER INC
CL A
76131V202
489
34681
SH
SOLE
0
0
34681
RYDEX ETF TRUST
GUG S&P500 EQ WT
78355W106
216
2936
SH
SOLE
0
0
2936
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2922
15248
SH
SOLE
0
0
15248
SPDR INDEX SHS FDS
DJ GLB RL ES ETF
78463X749
386
8541
SH
SOLE
0
0
8541
SPDR SERIES TRUST
BRC HGH YLD BD
78464A417
398
11157
SH
SOLE
0
0
11157
SPDR SERIES TRUST
NUVN BRCLY MUNI
78464A458
232
9621
SH
SOLE
0
0
9621
SPDR SERIES TRUST
S&P REGL BKG
78464A698
264
6408
SH
SOLE
0
0
6408
SANDRIDGE ENERGY INC
COM
80007P307
3
10394
SH
SOLE
0
0
10394
SELECT INCOME REIT
COM SH BEN INT
81618T100
721
37903
SH
SOLE
0
0
37903
SPIRIT RLTY CAP INC NEW
COM
84860W102
206
22488
SH
SOLE
0
0
22488
SPROTT PHYSICAL SILVER TR
TR UNIT
85207K107
107
18800
SH
SOLE
0
0
18800
STANDARD PAC CORP NEW
COM
85375C101
111
13863
SH
SOLE
0
0
13863
SUNOPTA INC
COM
8676EP108
83
17050
SH
SOLE
0
0
17050
TIER REIT INC
COM NEW
88650V208
568
38569
SH
SOLE
0
0
38569
TORTOISE MLP FD INC
COM
89148B101
1599
87305
SH
SOLE
0
0
87305
UBS AG LONDON BRH
2X LEV LNG LKD
90267B765
217
13950
SH
SOLE
0
0
13950
UBS AG LONDON BRH
ETRACS MTH 2XLV
90270L842
513
33075
SH
SOLE
0
0
33075
VEREIT INC
COM
92339V100
355
45976
SH
SOLE
0
0
45976
VERIZON COMMUNICATIONS INC
COM
92343V104
311
7147
SH
SOLE
0
0
7147
VISA INC
COM CL A
92826C839
315
4528
SH
SOLE
0
0
4528
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
383
28719
SH
SOLE
0
0
28719
SHIP FINANCE INTERNATIONAL L
SHS
G81075106
216
13317
SH
SOLE
0
0
13317