0001600151-16-000008.txt : 20160513
0001600151-16-000008.hdr.sgml : 20160513
20160513133305
ACCESSION NUMBER: 0001600151-16-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160513
DATE AS OF CHANGE: 20160513
EFFECTIVENESS DATE: 20160513
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: 161647367
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
03-31-2016
03-31-2016
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
05-13-2016
0
147
167464
false
INFORMATION TABLE
2
13fawa033116.xml
AU OPTRONICS CORP
SPONSORED ADR
002255107
30
10236
SH
SOLE
0
0
10236
ABBOTT LABS
COM
002824100
418
9997
SH
SOLE
0
0
9997
ADVENT CLAY CONV SEC INC FD
COM
007639107
61
11157
SH
SOLE
0
0
11157
AGNICO EAGLE MINES LTD
COM
008474108
566
15649
SH
SOLE
0
0
15649
ALLSTATE CORP
COM
020002101
204
3024
SH
SOLE
0
0
3024
AMAZON COM INC
COM
023135106
410
691
SH
SOLE
0
0
691
AMERICAN INTL GROUP INC
*W EXP 01/19/202
026874156
7317
391261
SH
SOLE
0
0
391261
AMERICAN INTL GROUP INC
COM NEW
026874784
8945
165497
SH
SOLE
0
0
165497
AMGEN INC
COM
031162100
378
2518
SH
SOLE
0
0
2518
ANNALY CAP MGMT INC
COM
035710409
274
26661
SH
SOLE
0
0
26661
APPLE INC
COM
037833100
10021
91945
SH
SOLE
0
0
91945
BAIDU INC
SPON ADR REP A
056752108
774
4055
SH
SOLE
0
0
4055
BANK OF AMERICA CORPORATION
COM
060505104
14017
1036738
SH
SOLE
0
0
1036738
BARRICK GOLD CORP
COM
067901108
1733
127638
SH
SOLE
0
0
127638
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1067
5
SH
SOLE
0
0
5
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
3125
22029
SH
SOLE
0
0
22029
BLACKROCK INTL GRWTH & INC T
COM BENE INTER
092524107
1612
272316
SH
SOLE
0
0
272316
CASEYS GEN STORES INC
COM
147528103
1127
9943
SH
SOLE
0
0
9943
CELGENE CORP
COM
151020104
366
3655
SH
SOLE
0
0
3655
COLUMBIA PPTY TR INC
COM NEW
198287203
310
14085
SH
SOLE
0
0
14085
DANAHER CORP DEL
COM
235851102
336
3543
SH
SOLE
0
0
3543
DEERE & CO
COM
244199105
210
2726
SH
SOLE
0
0
2726
DEL TACO RESTAURANTS INC
COM
245496104
586
56740
SH
SOLE
0
0
56740
DISNEY WALT CO
COM DISNEY
254687106
314
3164
SH
SOLE
0
0
3164
DU PONT E I DE NEMOURS & CO
COM
263534109
206
3248
SH
SOLE
0
0
3248
FS INVT CORP
COM
302635107
9365
1021230
SH
SOLE
0
0
1021230
FORD MTR CO DEL
COM PAR $0.01
345370860
206
15228
SH
SOLE
0
0
15228
GLOBAL NET LEASE INC
COM
379378102
1792
209386
SH
SOLE
0
0
209386
GREEN BRICK PARTNERS INC
COM
392709101
269
35442
SH
SOLE
0
0
35442
HEARTLAND EXPRESS INC
COM
422347104
620
33446
SH
SOLE
0
0
33446
HUNT J B TRANS SVCS INC
COM
445658107
250
2972
SH
SOLE
0
0
2972
INTERNATIONAL BUSINESS MACHS
COM
459200101
1616
10669
SH
SOLE
0
0
10669
ISHARES GOLD TRUST
ISHARES
464285105
143
12043
SH
SOLE
0
0
12043
ISHARES
TIPS BD ETF
464287176
575
5015
SH
SOLE
0
0
5015
ISHARES TR
CORE S&P500 ETF
464287200
280
1355
SH
SOLE
0
0
1355
ISHARES
CORE TOTUSBD ETF
464287226
1059
9553
SH
SOLE
0
0
9553
ISHARES
MSCI EMG MKT ETF
464287234
503
14700
SH
SOLE
0
0
14700
ISHARES
GLOBAL TECH ETF
464287291
356
3565
SH
SOLE
0
0
3565
ISHARES
S&P 500 GRWT ETF
464287309
740
6382
SH
SOLE
0
0
6382
ISHARES
GLOB HLTHCRE ETF
464287325
340
3534
SH
SOLE
0
0
3534
ISHARES
GLOBAL FINLS ETF
464287333
264
5368
SH
SOLE
0
0
5368
ISHARES TR
MSCI EAFE ETF
464287465
720
12597
SH
SOLE
0
0
12597
ISHARES
CORE S&P MCP ETF
464287507
769
5336
SH
SOLE
0
0
5336
ISHARES TR
COHEN&STEER REIT
464287564
715
6935
SH
SOLE
0
0
6935
ISHARES TR
RUS 2000 VAL ETF
464287630
3267
35059
SH
SOLE
0
0
35059
ISHARES TR
RUSSELL 2000 ETF
464287655
393
3551
SH
SOLE
0
0
3551
ISHARES
INTERM CR BD ETF
464288638
305
2778
SH
SOLE
0
0
2778
ISHARES
U.S. PFD STK ETF
464288687
904
23153
SH
SOLE
0
0
23153
JOHNSON & JOHNSON
COM
478160104
293
2708
SH
SOLE
0
0
2708
KEMPHARM INC
COM
488445107
15143
1044344
SH
SOLE
0
0
1044344
MICROSOFT CORP
COM
594918104
365
6613
SH
SOLE
0
0
6613
PALO ALTO NETWORKS INC
COM
697435105
3564
21845
SH
SOLE
0
0
21845
PENNANTPARK INVT CORP
COM
708062104
327
53938
SH
SOLE
0
0
53938
PEPSICO INC
COM
713448108
275
2686
SH
SOLE
0
0
2686
PFIZER INC
COM
717081103
213
7172
SH
SOLE
0
0
7172
PHILIP MORRIS INTL INC
COM
718172109
3273
33360
SH
SOLE
0
0
33360
PROCTOR & GAMBLE CO
COM
742718109
459
5573
SH
SOLE
0
0
5573
SALEM COMMUNICATIONS CORP DE
CL A
794093104
105
18297
SH
SOLE
0
0
18297
SEARS HLDGS CORP
COM
812350106
153
10010
SH
SOLE
0
0
10010
SHERWIN WILLIAMS CO
COM
824348106
207
727
SH
SOLE
0
0
727
SILVER WHEATON CORP
COM
828336107
3401
205103
SH
SOLE
0
0
205103
SOUTHWESTERN ENERGY CO
COM
845467109
271
33535
SH
SOLE
0
0
33535
STARBUCKS CORP
COM
855244109
364
6089
SH
SOLE
0
0
6089
US BANCORP DEL
COM NEW
902973304
207
5110
SH
SOLE
0
0
5110
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
543
6298
SH
SOLE
0
0
6298
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
558
6921
SH
SOLE
0
0
6921
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
287
6652
SH
SOLE
0
0
6652
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
303
6253
SH
SOLE
0
0
6253
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1005
5332
SH
SOLE
0
0
5332
VANGUARD INDEX FDS
REIT ETF
922908553
333
3970
SH
SOLE
0
0
3970
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
1468
15611
SH
SOLE
0
0
15611
WELLS FARGO & CO NEW
COM
949746101
234
4846
SH
SOLE
0
0
4846
XENIA HOTELS & RESORTS INC
COM
984017103
729
46654
SH
SOLE
0
0
46654
NOVAGOLD RES INC
COM NEW
66987E206
754
149565
SH
SOLE
0
0
149565
AT&T INC
COM
00206R102
444
11344
SH
SOLE
0
0
11344
ABBVIE INC
COM
00287Y109
509
8919
SH
SOLE
0
0
8919
ADVENT CLAYMORE CV SECS & IN
COM
00764C109
421
31870
SH
SOLE
0
0
31870
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
1021
12924
SH
SOLE
0
0
12924
ALPHABET INC
CAP STK CL C
02079K107
364
488
SH
SOLE
0
0
488
ALPHABET INC
CAP STK CL A
02079K305
212
278
SH
SOLE
0
0
278
ANTERO RES CORP
COM
03674X106
277
11123
SH
SOLE
0
0
11123
BARCLAYS BANK PLC
ADR PFD SR 5
06739H362
1090
41673
SH
SOLE
0
0
41673
BLACKROCK MUNIVEST FN INC
COM
09253R105
473
43894
SH
SOLE
0
0
43894
CHENIERE ENERGY INC
COM NEW
16411R208
359
10600
SH
SOLE
0
0
10600
CISCO SYS INC
COM
17275R102
677
23778
SH
SOLE
0
0
23778
CLAYMORE EXCHANGE TRD FD TR
GUGG ENH SHT DUR
18383M654
803
16101
SH
SOLE
0
0
16101
CLAYMORE EXCHANGE TRD FD TR
GUGGENHEIM SOLAR
18383Q739
324
14300
SH
SOLE
0
0
14300
CLOUGH GLOBAL EQUITY FD
COM
18914C100
575
52879
SH
SOLE
0
0
52879
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
515
25977
SH
SOLE
0
0
25977
CURRENCYSHARES AUSTRALIAN DL
AUSTRALIAN DOL
23129U101
362
4717
SH
SOLE
0
0
4717
CURRENCYSHS JAPANESE YEN TR
JAPANESE YEN
23130A102
455
5284
SH
SOLE
0
0
5284
DREYFUS STRATEGIC MUN BD FD
COM
26202F107
1690
198563
SH
SOLE
0
0
198563
EOG RES INC
COM
26875P101
439
6045
SH
SOLE
0
0
6045
EQT CORP
COM
26884L109
295
4381
SH
SOLE
0
0
4381
EATON VANCE RISK MNGD DIV EQ
COM
27829G106
2464
259965
SH
SOLE
0
0
259965
EXXON MOBIL CORP
COM
30231G102
319
3816
SH
SOLE
0
0
3816
FIVE STAR QUALITY CARE INC
COM
33832D106
31
13595
SH
SOLE
0
0
13595
GOLDMAN SACHS GROUP INC
COM
38141G104
3009
19168
SH
SOLE
0
0
19168
INVESCO SR INCOME TR
COM
46131H107
218
54006
SH
SOLE
0
0
54006
INVESCO MUNI INCOME OPP TRST
COM
46132X101
479
62409
SH
SOLE
0
0
62409
ISHARES TR
EAFE MIN VOL ETF
46429B689
585
8800
SH
SOLE
0
0
8800
ISHARES TR
USA MIN VOL ETF
46429B697
688
15670
SH
SOLE
0
0
15670
JPMORGAN CHASE & CO
COM
46625H100
402
6791
SH
SOLE
0
0
6791
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
405
14932
SH
SOLE
0
0
14932
LEGG MASON BW GLB INC OPP FD
COM
52469B100
1565
126719
SH
SOLE
0
0
126719
MARKET VECTORS ETF TR
GOLD MINER ETF
57060U100
4733
236989
SH
SOLE
0
0
236989
MEDLEY CAP CORP
COM
58503F106
239
36150
SH
SOLE
0
0
36150
NEW YORK REIT INC
COM
64976L109
736
72918
SH
SOLE
0
0
72918
NORTHSTAR REALTY EUROPE CORP
COM
66706L101
144
12441
SH
SOLE
0
0
12441
NUVEEN MUN ADVANTAGE FD INC
COM
67062H106
462
32163
SH
SOLE
0
0
32163
NUVEEN PREM INCOME MUN FD 2
COM
67063W102
463
31463
SH
SOLE
0
0
31463
NUVEEN QUALITY PFD INC FD 3
COM
67072W101
1387
161826
SH
SOLE
0
0
161826
PAYPAL HLDGS INC
COM
70450Y103
3293
85301
SH
SOLE
0
0
85301
PIMCO ETF TR
0-5 HIGH YIELD
72201R783
1618
17400
SH
SOLE
0
0
17400
POWERSHARES ETF TR II
SOVEREIGN DEBT
73936T573
382
13499
SH
SOLE
0
0
13499
POWERSHARES ETF TR II
S&P500 LOW VOL
73937B779
991
24579
SH
SOLE
0
0
24579
PROSHARES TR
PSHS ULTSH 20YRS
74347B201
234
6344
SH
SOLE
0
0
6344
PROSPECT CAPITAL CORPORATION
COM
74348T102
170
23400
SH
SOLE
0
0
23400
PRUDENTIAL SHT DURATION HG Y
COM
74442F107
215
13949
SH
SOLE
0
0
13949
RETAIL PPTYS AMER INC
CL A
76131V202
549
34616
SH
SOLE
0
0
34616
RYDEX ETF TRUST
GUG S&P500 EQ WT
78355W106
574
7315
SH
SOLE
0
0
7315
SPDR S&P 500 ETF TR
TR UNIT
78462F103
4369
21259
SH
SOLE
0
0
21259
SPDR GOLD TRUST
GOLD SHS
78463V107
449
3816
SH
SOLE
0
0
3816
SPDR INDEX SHS FDS
DJ GLB RL ES ETF
78463X749
339
6922
SH
SOLE
0
0
6922
SPDR SERIES TRUST
S&P REGL BKG
78464A698
244
6472
SH
SOLE
0
0
6472
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
303
5717
SH
SOLE
0
0
5717
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
726
14635
SH
SOLE
0
0
14635
SELECT INCOME REIT
COM SH BEN INT
81618T100
803
34821
SH
SOLE
0
0
34821
SPIRIT RLTY CAP INC NEW
COM
84860W102
299
26598
SH
SOLE
0
0
26598
SPROTT PHYSICAL SILVER TR
TR UNIT
85207K107
117
18800
SH
SOLE
0
0
18800
SUNOPTA INC
COM
8676EP108
94
21050
SH
SOLE
0
0
21050
TIER REIT INC
COM NEW
88650V208
208
15472
SH
SOLE
0
0
15472
TORTOISE MLP FD INC
COM
89148B101
2149
131496
SH
SOLE
0
0
131496
TWITTER INC
COM
90184L102
243
14656
SH
SOLE
0
0
14656
UBS AG LONDON BRH
2X LEV LNG LKD
90267B765
209
12950
SH
SOLE
0
0
12950
UBS AG LONDON BRH
ETRACS MTH 2XLV
90270L842
492
30775
SH
SOLE
0
0
30775
VEREIT INC
COM
92339V100
382
43072
SH
SOLE
0
0
43072
VERIZON COMMUNICATIONS INC
COM
92343V104
424
7840
SH
SOLE
0
0
7840
VISA INC
COM CL A
92826C839
423
5534
SH
SOLE
0
0
5534
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
429
29578
SH
SOLE
0
0
29578
WISDOMTREE TR
EM LCL DEBT FD
97717X867
380
10322
SH
SOLE
0
0
10322
WPX ENERGY INC
COM
98212B103
403
57701
SH
SOLE
0
0
57701
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
282
2443
SH
SOLE
0
0
2443
DELPHI AUTOMOTIVE PLC
SHS
G27823106
673
8973
SH
SOLE
0
0
8973
SHIP FINANCE INTERNATIONAL L
SHS
G81075106
157
11317
SH
SOLE
0
0
11317
SINA CORP
ORD
G81477104
515
10870
SH
SOLE
0
0
10870