0001600151-16-000010.txt : 20161114
0001600151-16-000010.hdr.sgml : 20161111
20161114101706
ACCESSION NUMBER: 0001600151-16-000010
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161114
EFFECTIVENESS DATE: 20161114
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: 161991670
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
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false
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0001600151
XXXXXXXX
09-30-2016
09-30-2016
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
11-14-2016
0
153
174537
false
INFORMATION TABLE
2
13fawa093016.xml
AGNICO EAGLE MINES LTD
COM
008474108
841
15521
SH
SOLE
0
0
15521
AMAZON COM INC
COM
023135106
587
701
SH
SOLE
0
0
701
AMERICAN INTL GROUP INC
*W EXP 01/19/202
026874156
9658
455565
SH
SOLE
0
0
455565
AMERICAN INTL GROUP INC
COM NEW
026874784
6546
110321
SH
SOLE
0
0
110321
AMGEN INC
COM
031162100
444
2662
SH
SOLE
0
0
2662
ANNALY CAP MGMT INC
COM
035710409
330
31402
SH
SOLE
0
0
31402
APPLE INC
COM
037833100
3940
34856
SH
SOLE
0
0
34856
BANK OF AMERICA CORPORATION
COM
060505104
9469
605036
SH
SOLE
0
0
605036
BARRICK GOLD CORP
COM
067901108
2220
125308
SH
SOLE
0
0
125308
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1081
5
SH
SOLE
0
0
5
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
2507
17352
SH
SOLE
0
0
17352
BLACKROCK GLOBAL OPP EQTY TR
COM
092501105
510
41614
SH
SOLE
0
0
41614
BLACKROCK CR ALLCTN INC TR
COM
092508100
596
44661
SH
SOLE
0
0
44661
BLACKROCK INTL GRWTH & INC T
COM BENE INTER
092524107
2035
343225
SH
SOLE
0
0
343225
CF INDS HLDGS INC
COM
125269100
4111
168819
SH
SOLE
0
0
168819
CASEYS GEN STORES INC
COM
147528103
1198
9968
SH
SOLE
0
0
9968
CELGENE CORP
COM
151020104
325
3106
SH
SOLE
0
0
3106
CITIGROUP INC
COM NEW
172967424
238
5049
SH
SOLE
0
0
5049
COCA COLA CO
COM
191216100
827
19531
SH
SOLE
0
0
19531
COLUMBIA PPTY TR INC
COM NEW
198287203
207
9264
SH
SOLE
0
0
9264
DANAHER CORP DEL
COM
235851102
253
3223
SH
SOLE
0
0
3223
DEERE & CO
COM
244199105
256
3004
SH
SOLE
0
0
3004
DEL TACO RESTAURANTS INC
COM
245496104
590
49489
SH
SOLE
0
0
49489
DISNEY WALT CO
COM DISNEY
254687106
270
2909
SH
SOLE
0
0
2909
DU PONT E I DE NEMOURS & CO
COM
263534109
254
3798
SH
SOLE
0
0
3798
FS INVT CORP
COM
302635107
8913
941174
SH
SOLE
0
0
941174
FIDELITY
TOTAL BD ETF
316188309
915
17912
SH
SOLE
0
0
17912
FIRST TR ENHANCED EQTY INC F
COM
337318109
1973
147667
SH
SOLE
0
0
147667
FORD MTR CO DEL
COM PAR $0.01
345370860
206
17094
SH
SOLE
0
0
17094
GENERAL ELECTRIC CO
COM
369604103
503
16987
SH
SOLE
0
0
16987
GLOBAL NET LEASE INC
COM
379378102
1832
224524
SH
SOLE
0
0
224524
GREEN BRICK PARTNERS INC
COM
392709101
293
35442
SH
SOLE
0
0
35442
ICAHN ENTERPRISES LP
DEPOSITARY UNIT
451100101
334
6613
SH
SOLE
0
0
6613
INTERNATIONAL BUSINESS MACHS
COM
459200101
798
5021
SH
SOLE
0
0
5021
ISHARES GOLD TRUST
ISHARES
464285105
174
13710
SH
SOLE
0
0
13710
ISHARES
MSCI TAIWAN ETF
464286731
166
10552
SH
SOLE
0
0
10552
ISHARES
MSCI HONG KG ETF
464286871
582
26442
SH
SOLE
0
0
26442
ISHARES
TIPS BD ETF
464287176
868
7451
SH
SOLE
0
0
7451
ISHARES
CHINA LG-CAP ETF
464287184
267
7014
SH
SOLE
0
0
7014
ISHARES
CORE TOTUSBD ETF
464287226
2355
20947
SH
SOLE
0
0
20947
ISHARES
GLOBAL TECH ETF
464287291
390
3524
SH
SOLE
0
0
3524
ISHARES
GLOB HLTHCRE ETF
464287325
383
3802
SH
SOLE
0
0
3802
ISHARES
GLOBAL FINLS ETF
464287333
297
5815
SH
SOLE
0
0
5815
ISHARES TR
MSCI EAFE ETF
464287465
543
9183
SH
SOLE
0
0
9183
ISHARES
CORE S&P MCP ETF
464287507
692
4472
SH
SOLE
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0
4472
ISHARES
S&P MC 400VL ETF
464287705
817
6145
SH
SOLE
0
0
6145
ISHARES
CORE S&P SCP ETF
464287804
1026
8268
SH
SOLE
0
0
8268
ISHARES TR
SP SMCP600VL ETF
464287879
920
7375
SH
SOLE
0
0
7375
ISHARES
INTERM CR BD ETF
464288638
313
2812
SH
SOLE
0
0
2812
ISHARES
U.S. PFD STK ETF
464288687
1204
30475
SH
SOLE
0
0
30475
JOHNSON & JOHNSON
COM
478160104
218
1847
SH
SOLE
0
0
1847
KEMPHARM INC
COM
488445107
3747
834602
SH
SOLE
0
0
834602
KIMBERLY CLARK CORP
COM
494368103
1046
8295
SH
SOLE
0
0
8295
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
2006
387195
SH
SOLE
0
0
387195
MCDONALDS CORP
COM
580135101
736
6384
SH
SOLE
0
0
6384
MICROSOFT CORP
COM
594918104
346
6000
SH
SOLE
0
0
6000
NEW SR INVT GROUP INC
COM
648691103
344
29800
SH
SOLE
0
0
29800
NUVEEN AMT FREE QLTY MUN INC
COM
670657105
759
51985
SH
SOLE
0
0
51985
PENNANTPARK INVT CORP
COM
708062104
377
50121
SH
SOLE
0
0
50121
PEPSICO INC
COM
713448108
271
2491
SH
SOLE
0
0
2491
PFIZER INC
COM
717081103
390
11515
SH
SOLE
0
0
11515
PROCTOR & GAMBLE CO
COM
742718109
1362
15174
SH
SOLE
0
0
15174
SALEM COMMUNICATIONS CORP DE
CL A
794093104
111
18885
SH
SOLE
0
0
18885
SHERWIN WILLIAMS CO
COM
824348106
201
727
SH
SOLE
0
0
727
SILVER WHEATON CORP
COM
828336107
3332
123280
SH
SOLE
0
0
123280
STARBUCKS CORP
COM
855244109
240
4424
SH
SOLE
0
0
4424
TEMPLETON GLOBAL INCOME FD
COM
880198106
1060
169825
SH
SOLE
0
0
169825
US BANCORP DEL
COM NEW
902973304
220
5122
SH
SOLE
0
0
5122
VANGUARD SPECIALIZED PORTFOL
DIV APP ETF
921908844
621
7393
SH
SOLE
0
0
7393
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
875
9986
SH
SOLE
0
0
9986
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
901
11153
SH
SOLE
0
0
11153
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
435
11629
SH
SOLE
0
0
11629
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
569
12525
SH
SOLE
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VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
354
9405
SH
SOLE
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VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
3807
19161
SH
SOLE
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0
19161
VANGUARD INDEX FDS
REIT ETF
922908553
244
2812
SH
SOLE
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2812
VANGUARD INDEX FDS
LARGE CAP ETF
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1531
15444
SH
SOLE
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VANGUARD INDEX FDS
TOTAL STK MKT
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458
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SH
SOLE
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WELLS FARGO & CO NEW
COM
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8632
SH
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XENIA HOTELS & RESORTS INC
COM
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638
42029
SH
SOLE
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NOVAGOLD RES INC
COM NEW
66987E206
804
143523
SH
SOLE
0
0
143523
AALS ETF TR
ALERIAN MLP
00162Q866
6124
482621
SH
SOLE
0
0
482621
AT&T INC
COM
00206R102
515
12691
SH
SOLE
0
0
12691
ABBVIE INC
COM
00287Y109
292
4622
SH
SOLE
0
0
4622
ADVENT CLAYMORE CV SECS & IN
COM
00764C109
1606
110154
SH
SOLE
0
0
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ALLIANCEBERNSTEIN NATL MUNI
COM
01864U106
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51833
SH
SOLE
0
0
51833
ALPHABET INC
CAP STK CL C
02079K107
382
491
SH
SOLE
0
0
491
ALPHABET INC
CAP STK CL A
02079K305
225
280
SH
SOLE
0
0
280
BANCO SANTANDER BRASIL S A
ADS REP 1 UNIT
05967A107
93
13874
SH
SOLE
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0
13874
BARCLAYS BANK PLC
ADR PFD SR 5
06739H362
970
37276
SH
SOLE
0
0
37276
BLACKROCK MUNI INTER DR FD I
COM
09253X102
756
49891
SH
SOLE
0
0
49891
BLACKROCK DEBT STRAT FD INC
COM
09255R103
266
72787
SH
SOLE
0
0
72787
CISCO SYS INC
COM
17275R102
801
25237
SH
SOLE
0
0
25237
CLAYMORE EXCHANGE TRD FD TR
GUGG ENH SHT DUR
18383M654
889
17716
SH
SOLE
0
0
17716
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
676
31366
SH
SOLE
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COMPANHIA SIDERURGICA NACION
SPONSORED ADR
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18401
SH
SOLE
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CREDIT SUISSE AG NASSAU BRH
VEL SH 3X LG NAT
22539T324
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33605
SH
SOLE
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DREYFUS STRATEGIC MUN BD FD
COM
26202F107
2359
266289
SH
SOLE
0
0
266289
EOG RES INC
COM
26875P101
7242
74883
SH
SOLE
0
0
74883
EXXON MOBIL CORP
COM
30231G102
905
10374
SH
SOLE
0
0
10374
FIVE STAR QUALITY CARE INC
COM
33832D106
26
13595
SH
SOLE
0
0
13595
GLOBAL X FDS
GLBL X MLP ETF
37950E473
168
14510
SH
SOLE
0
0
14510
INVESCO SR INCOME TR
COM
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950
219314
SH
SOLE
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219314
ISHARES TR
USA MIN VOL ETF
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858
18895
SH
SOLE
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18895
ISHARES TR
CORE DIV GRWTH
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51453
SH
SOLE
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JPMORGAN CHASE & CO
COM
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SH
SOLE
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MEDLEY CAP CORP
COM
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278
36420
SH
SOLE
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36420
MERCK & CO INC
COM
58933Y105
826
13237
SH
SOLE
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NETFLIX INC
COM
64110L106
218
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NEW YORK REIT INC
COM
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627
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SH
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NORTHSTAR REALTY EUROPE CORP
COM
66706L101
130
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SH
SOLE
0
0
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NUVEEN ENHANCED MUN CREDIT O
COM SH BEN INT
67070X101
773
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SH
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NUVEEN PREFERRED SECURITIES
COM
67072C105
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SH
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PIMCO ETF TR
0-5 HIGH YIELD
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SHS A REP LTPN
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UNIT SER 1
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SH
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POWERSHARES ETF TRUST II
SENIOR LN PORT
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POWERSHARES ETF TR II
SOVEREIGN DEBT
73936T573
1017
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SH
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POWERSHARES ETF TR II
S&P500 LOW VOL
73937B779
735
17715
SH
SOLE
0
0
17715
PRINCIPAL FINL GROUP INC
COM
74251V102
281
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SH
SOLE
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0
5463
PROSHARES TR
PSHS ULTSH 20YRS
74347B201
5702
180428
SH
SOLE
0
0
180428
PROSPECT CAPITAL CORPORATION
COM
74348T102
169
20850
SH
SOLE
0
0
20850
PRUDENTIAL SHT DURATION HG Y
COM
74442F107
415
25981
SH
SOLE
0
0
25981
RETAIL PPTYS AMER INC
CL A
76131V202
601
35799
SH
SOLE
0
0
35799
RYDEX ETF TRUST
GUG S&P500 EQ WT
78355W106
693
8291
SH
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8291
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2558
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SH
SOLE
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0
11825
SPDR GOLD TRUST
GOLD SHS
78463V107
219
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SH
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0
0
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SPDR INDEX SHS FDS
DJ GLB RL ES ETF
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354
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SH
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0
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SPDR SERIES TRUST
BRC HGH YLD BD
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274
7465
SH
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SPDR SERIES TRUST
S&P REGL BKG
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SPDR SERIES TRUST
OILGAS EQUIP
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SH
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SELECT SECTOR SPDR TR
TECHNOLOGY
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626
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SH
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0
0
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SELECT INCOME REIT
COM SH BEN INT
81618T100
785
29165
SH
SOLE
0
0
29165
SPIRIT RLTY CAP INC NEW
COM
84860W102
242
18182
SH
SOLE
0
0
18182
SPROTT PHYSICAL SILVER TR
TR UNIT
85207K107
139
18800
SH
SOLE
0
0
18800
SUNOPTA INC
COM
8676EP108
149
21050
SH
SOLE
0
0
21050
3M CO
COM
88579Y101
235
1335
SH
SOLE
0
0
1335
TIER REIT INC
COM NEW
88650V208
183
11842
SH
SOLE
0
0
11842
TORTOISE MLP FD INC
COM
89148B101
3035
151838
SH
SOLE
0
0
151838
UBS AG LONDON BRH
2X LEV LNG LKD
90267B765
215
11450
SH
SOLE
0
0
11450
UBS AG LONDON BRH
ETRACS MTH 2XLV
90270L842
485
26725
SH
SOLE
0
0
26725
VANGUARD WORLD FDS
HEALTH CAR ETF
92204A504
203
1527
SH
SOLE
0
0
1527
VANGUARD SCOTTSDALE FDS
VNG RUS2000IDX
92206C664
339
3404
SH
SOLE
0
0
3404
VEREIT INC
COM
92339V100
490
47264
SH
SOLE
0
0
47264
VERIZON COMMUNICATIONS INC
COM
92343V104
1228
23634
SH
SOLE
0
0
23634
VISA INC
COM CL A
92826C839
329
3977
SH
SOLE
0
0
3977
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
530
32580
SH
SOLE
0
0
32580
WISDOMTREE TR
INDIA ERNGS FD
97717W422
247
11421
SH
SOLE
0
0
11421
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
262
2146
SH
SOLE
0
0
2146
SHIP FINANCE INTERNATIONAL L
SHS
G81075106
152
10317
SH
SOLE
0
0
10317
FRANKS INTL N V
COM
N33462107
151
11581
SH
SOLE
0
0
11581
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
5216
122539
SH
SOLE
0
0
122539
SEADRILL PARTNERS LLC
COMUNIT REP LB
Y7545W109
43
12141
SH
SOLE
0
0
12141