0001600151-19-000001.txt : 20190214 0001600151-19-000001.hdr.sgml : 20190214 20190214140700 ACCESSION NUMBER: 0001600151-19-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 EFFECTIVENESS DATE: 20190214 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: 19604429 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 12-31-2018 12-31-2018 Arete Wealth Advisors, LLC

1101 W LAKE ST 1ST FLOOR CHICAGO IL 60607

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SHERWIN WILLIAMS CO COM 824348106 294 746 SH SOLE 0 0 746 SILVERCREST METALS INC COM 828363101 30 10245 SH SOLE 0 0 10245 SMUCKER J M CO COM NEW 832696405 237 2537 SH SOLE 0 0 2537 SOUTHERN CO COM 842587107 315 7183 SH SOLE 0 0 7183 SPLUNK INC COM 848637104 205 1955 SH SOLE 0 0 1955 STANLEY BLACK & DECKER INC COM 854502101 401 3345 SH SOLE 0 0 3345 STARBUCKS CORP COM 855244109 244 3783 SH SOLE 0 0 3783 STRYKER CORP COM 863667101 243 1550 SH SOLE 0 0 1550 SUNCOR ENERGY INC NEW COM 867224107 247 8815 SH SOLE 0 0 8815 SUNTRUST BKS INC COM 867914103 342 6779 SH SOLE 0 0 6779 SYSCO CORP COM 871829107 459 7333 SH SOLE 0 0 7333 TJX COS INC NEW COM 872540109 315 7036 SH SOLE 0 0 7036 TEXAS INSTRS INC COM 882508104 578 6112 SH SOLE 0 0 6112 THERMO FISHER SCIENTIFIC INC COM 883556102 585 2613 SH SOLE 0 0 2613 TOMPKINS FINANCIAL CORPORATI COM 890110109 277 3697 SH SOLE 0 0 3697 TORONTO DOMINION BK ONT COM NEW 891160509 296 5946 SH SOLE 0 0 5946 UNION PAC CORP COM 907818108 445 3222 SH SOLE 0 0 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SHS 922908363 6697 29143 SH SOLE 0 0 29143 VANGUARD INDEX FDS REIT ETF 922908553 763 10232 SH SOLE 0 0 10232 VANGUARD INDEX FDS SM CP VAL ETF 922908611 976 8557 SH SOLE 0 0 8557 VANGUARD INDEX FDS MID CAP ETF 922908629 469 3392 SH SOLE 0 0 3392 VANGUARD INDEX FDS LARGE CAP ETF 922908637 959 8345 SH SOLE 0 0 8345 VANGUARD INDEX FDS GROWTH ETF 922908736 712 5302 SH SOLE 0 0 5302 VANGUARD INDEX FDS VALUE ETF 922908744 864 8816 SH SOLE 0 0 8816 VANGUARD INDEX FDS SMALL CP ETF 922908751 1290 9771 SH SOLE 0 0 9771 VANGUARD INDEX FDS TOTAL STK MKT 922908769 13194 103373 SH SOLE 0 0 103373 VIRTU FINL INC CL A 928254101 429 16650 SH SOLE 0 0 16650 WAL-MART STORES INC COM 931142103 529 5683 SH SOLE 0 0 5683 WELLS FARGO & CO NEW COM 949746101 295 6412 SH SOLE 0 0 6412 INVESCO QQQ TR UNIT SER 1 46090E103 3253 21090 SH SOLE 0 0 21090 AMERISOURCEBERGEN CORP COM 03073E105 438 5881 SH SOLE 0 0 5881 EDWARDS LIFESCIENCES CORP COM 28176E108 219 1433 SH SOLE 0 0 1433 TOTAL S A SPONSORED ADR 89151E109 603 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CORP NEW COM 03027X100 292 1846 SH SOLE 0 0 1846 AMERICOLD RLTY TR COM 03064D108 349 13660 SH SOLE 0 0 13660 ARES CAP CORP COM 04010L103 339 21768 SH SOLE 0 0 21768 ARES COML REAL ESTATE CORP COM 04013V108 269 20638 SH SOLE 0 0 20638 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 350 16481 SH SOLE 0 0 16481 BLACKROCK INC COM 09247X101 713 1814 SH SOLE 0 0 1814 BLACKROCK HEALTH SCIENCES TR COM 09250W107 368 10110 SH SOLE 0 0 10110 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 511 17135 SH SOLE 0 0 17135 BLACKROCK MUNI INTER DR FD I COM 09253X102 686 54218 SH SOLE 0 0 54218 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 1477 151210 SH SOLE 0 0 151210 BLACKROCK SCIENCE & TECH TR SHS 09258G104 407 14793 SH SOLE 0 0 14793 CME GROUP INC COM 12572Q105 367 1951 SH SOLE 0 0 1951 CARDINAL HEALTH INC COM 14149Y108 292 6552 SH SOLE 0 0 6552 CISCO SYS INC COM 17275R102 2737 63162 SH SOLE 0 0 63162 COHEN & STEERS INFRASTRUCTUR COM 19248A109 394 19925 SH SOLE 0 0 19925 COLONY CR REAL ESTATE INC COM CL A 19625T101 158 10014 SH SOLE 0 0 10014 COMCAST CORP NEW CL A 20030N101 1029 30220 SH SOLE 0 0 30220 CONOCOPHILLIPS COM 20825C104 675 10832 SH SOLE 0 0 10832 CONSTELLATION BRANDS INC CL A 21036P108 326 2027 SH SOLE 0 0 2027 COSTCO WHSL CORP NEW COM 22160K105 845 4146 SH SOLE 0 0 4146 CROWN CASTLE INTL CORP NEW COM 22822V101 351 3228 SH SOLE 0 0 3228 DIAGEO P L C SPON ADR NEW 25243Q205 545 3841 SH SOLE 0 0 3841 DOMINION ENERGY INC COM 25746U109 1536 21499 SH SOLE 0 0 21499 DOWDUPONT INC COM 26078J100 1535 28706 SH SOLE 0 0 28706 DREYFUS STRATEGIC MUN BD FD COM 26202F107 3320 475675 SH SOLE 0 0 475675 DUKE ENERGY CORP NEW COM NEW 26441C204 472 5468 SH SOLE 0 0 5468 EATON VANCE LTD DUR INCOME F COM 27828H105 1069 89698 SH SOLE 0 0 89698 EATON VANCE TX MGD DIV EQ IN COM 27828N102 422 41361 SH SOLE 0 0 41361 ENERGIZER HLDGS INC NEW COM 29272W109 231 5114 SH SOLE 0 0 5114 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 169 12764 SH SOLE 0 0 12764 EVERSOURCE ENERGY COM 30040W108 784 12058 SH SOLE 0 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114468 GLOBAL X FDS GLBL X MLP ETF 37950E473 1316 171553 SH SOLE 0 0 171553 GOLDMAN SACHS GROUP INC COM 38141G104 127 761 SH SOLE 0 0 761 GOLUB CAP BDC INC COM 38173M102 256 15531 SH SOLE 0 0 15531 GUGGENHEIM ENHNCD EQTY INCM COM 40167B100 74 10948 SH SOLE 0 0 10948 HALOZYME THERAPEUTICS INC COM 40637H109 3461 236540 SH SOLE 0 0 236540 HIGHLAND FLOATNG RATE OPPRT SHS BEN INT 43010E404 8119 634277 SH SOLE 0 0 634277 HOST HOTELS & RESORTS INC COM 44107P104 195 11703 SH SOLE 0 0 11703 HOWARD HUGHES CORP COM 44267D107 215 2206 SH SOLE 0 0 2206 INDEXIQ ETF TR IQ CHAIKIN US 45409B396 345 15475 SH SOLE 0 0 15475 INVESCO ACTIVELY MANAGD ETF S&P500 DOWNSID 46090A705 617 23520 SH SOLE 0 0 23520 INVESCO ACTIVELY MANAGD ETF ULTRA SHRT DUR 46090A887 3065 61216 SH SOLE 0 0 61216 INVESCO SR INCOME TR COM 46131H107 2343 599270 SH SOLE 0 0 599270 INVESCO DYNAMIC CR OPP FD COM 46132R104 116 11248 SH SOLE 0 0 11248 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 385 3862 SH SOLE 0 0 3862 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 407 4448 SH SOLE 0 0 4448 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 6543 64415 SH SOLE 0 0 64415 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 270 20046 SH SOLE 0 0 20046 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 827 37975 SH SOLE 0 0 37975 INVESCO DB US DLR INDEX TR BULLISH FD 46141D203 476 18707 SH SOLE 0 0 18707 IRON MTN INC NEW COM 46284V101 225 6955 SH SOLE 0 0 6955 ISHARES TR FLTG RATE BD ETF 46429B655 219 4341 SH SOLE 0 0 4341 ISHARES TR USA MOMENTUM FCT 46432F396 203 2025 SH SOLE 0 0 2025 ISHARES TR CORE MSCI EAFE 46432F842 294 5340 SH SOLE 0 0 5340 ISHARES TR 0-5YR HI YL CP 46434V407 448 10051 SH SOLE 0 0 10051 ISHARES TR CORE DIV GRWTH 46434V621 1633 49220 SH SOLE 0 0 49220 ISHARES TR GLOBAL REIT ETF 46434V647 357 15248 SH SOLE 0 0 15248 JPMORGAN CHASE & CO COM 46625H100 2255 23103 SH SOLE 0 0 23103 KKR & CO INC CL A 48251W104 308 15702 SH SOLE 0 0 15702 KINDER MORGAN INC DEL COM 49456B101 364 23645 SH SOLE 0 0 23645 MARATHON PETE CORP COM 56585A102 405 6867 SH SOLE 0 0 6867 MASTERCARD INCORPORATED CL A 57636Q104 506 2680 SH SOLE 0 0 2680 MERCK & CO INC COM 58933Y105 2944 38529 SH SOLE 0 0 38529 NIO INC SPON ADS 62914V106 80 12500 SH SOLE 0 0 12500 NETFLIX INC COM 64110L106 854 3191 SH SOLE 0 0 3191 NEW YORK CMNTY CAP TR V UNIT 11/01/2051 64944P307 1135 25362 SH SOLE 0 0 25362 NEXTERA ENERGY INC COM 65339F101 941 5414 SH SOLE 0 0 5414 NOVARTIS A G SPONSORED ADR 66987V109 448 5217 SH SOLE 0 0 5217 NVIDIA CORP COM 67066G104 238 1783 SH SOLE 0 0 1783 NUVEEN ENHANCED MUN CREDIT O COM SH BEN INT 67070X101 726 54115 SH SOLE 0 0 54115 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 107 14402 SH SOLE 0 0 14402 O REILLY AUTOMOTIVE INC NEW COM 67103H107 217 630 SH SOLE 0 0 630 OAKTREE SPECIALTY LENDING CO COM 67401P108 198 46763 SH SOLE 0 0 46763 OPPENHEIMER ETF TR S&P ULTRA DIVIDE 68386C401 1434 42818 SH SOLE 0 0 42818 ORACLE CORP COM 68389X105 2156 47759 SH SOLE 0 0 47759 PRA HEALTH SCIENCES INC COM 69354M108 870 9457 SH SOLE 0 0 9457 PAYPAL HLDGS INC COM 70450Y103 1313 15618 SH SOLE 0 0 15618 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 3444 36205 SH SOLE 0 0 36205 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 417 20728 SH SOLE 0 0 20728 PROSPECT CAPITAL CORPORATION COM 74348T102 72 11408 SH SOLE 0 0 11408 RETAIL PPTYS AMER INC CL A 76131V202 218 20088 SH SOLE 0 0 20088 SPDR S&P 500 ETF TR TR UNIT 78462F103 5253 21020 SH SOLE 0 0 21020 SPDR GOLD TRUST GOLD SHS 78463V107 814 6716 SH SOLE 0 0 6716 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 921 20820 SH SOLE 0 0 20820 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 229 8218 SH SOLE 0 0 8218 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2111 79803 SH SOLE 0 0 79803 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 736 15731 SH SOLE 0 0 15731 SPDR SERIES TRUST BLOMBRG BRC INTR 78464A375 1221 36958 SH SOLE 0 0 36958 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 489 15046 SH SOLE 0 0 15046 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 711 23588 SH SOLE 0 0 23588 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 716 26364 SH SOLE 0 0 26364 SPDR SERIES TRUST BLOMBERG INTL TR 78464A516 527 19101 SH SOLE 0 0 19101 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1708 61343 SH SOLE 0 0 61343 SPDR SERIES TRUST BLMBRG BRC INTRM 78464A672 1386 23275 SH SOLE 0 0 23275 SPDR SERIES TRUST S&P DIVID ETF 78464A763 425 4747 SH SOLE 0 0 4747 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 15089 488144 SH SOLE 0 0 488144 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 1127 38323 SH SOLE 0 0 38323 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 2441 83573 SH SOLE 0 0 83573 SPDR SERIES TRUST S&P BIOTECH 78464A870 306 4271 SH SOLE 0 0 4271 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 4903 109692 SH SOLE 0 0 109692 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 2945 12629 SH SOLE 0 0 12629 SPDR SER TR BLOMBERG BRC INV 78468R200 283 9317 SH SOLE 0 0 9317 SPDR SER TR BLOOMBERG SRT TR 78468R408 313 12012 SH SOLE 0 0 12012 SPDR SER TR SPDR BLOOMBERG 78468R663 2895 31652 SH SOLE 0 0 31652 SPDR SER TR NUVEEN BLMBRG SR 78468R739 629 13083 SH SOLE 0 0 13083 SPDR SER TR SSGA US LRG ETF 78468R804 661 7424 SH SOLE 0 0 7424 SPDR SER TR PORTFOLIO SM ETF 78468R853 5652 214430 SH SOLE 0 0 214430 SPDR SER TR SSGA US SMAL ETF 78468R887 235 2832 SH SOLE 0 0 2832 SELECT SECTOR SPDR TR ENERGY 81369Y506 443 7722 SH SOLE 0 0 7722 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 338 14176 SH SOLE 0 0 14176 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1153 21792 SH SOLE 0 0 21792 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 102 18200 SH SOLE 0 0 18200 TESLA MTRS INC COM 88160R101 229 687 SH SOLE 0 0 687 3M CO COM 88579Y101 4012 21057 SH SOLE 0 0 21057 TORTOISE MLP FD INC COM 89148B101 4384 357916 SH SOLE 0 0 357916 TORTOISE ENERGY INDEPENDENC COM 89148K101 934 137733 SH SOLE 0 0 137733 22ND CENTY GROUP INC COM 90137F103 29 11500 SH SOLE 0 0 11500 UNITEDHEALTH GROUP INC COM 91324P102 842 3379 SH SOLE 0 0 3379 VEON LTD SPONSORED ADR 91822M106 47 20178 SH SOLE 0 0 20178 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 257 12181 SH SOLE 0 0 12181 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 293 5396 SH SOLE 0 0 5396 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 257 1601 SH SOLE 0 0 1601 VANGUARD WORLD FDS INF TECH ETF 92204A702 473 2837 SH SOLE 0 0 2837 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 462 5932 SH SOLE 0 0 5932 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 379 3525 SH SOLE 0 0 3525 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 374 4508 SH SOLE 0 0 4508 VEREIT INC COM 92339V100 370 51757 SH SOLE 0 0 51757 VERIZON COMMUNICATIONS INC COM 92343V104 2389 42496 SH SOLE 0 0 42496 VERISK ANALYTICS INC COM 92345Y106 852 7815 SH SOLE 0 0 7815 VISA INC COM CL A 92826C839 2806 21356 SH SOLE 0 0 21356 W P CAREY INC COM 92936U109 366 5605 SH SOLE 0 0 5605 WASTE MGMT INC DEL COM 94106L109 520 5846 SH SOLE 0 0 5846 WEX INC COM 96208T104 664 4742 SH SOLE 0 0 4742 WISDOMTREE TR EMG MKTS SMCAP 97717W281 209 4989 SH SOLE 0 0 4989 WISDOMTREE TR NEGATIVE DUR US 97717W364 531 12492 SH SOLE 0 0 12492 WISDOMTREE TR US MIDCAP DIVID 97717W505 394 12450 SH SOLE 0 0 12450 WISDOMTREE TR JPN SCAP HDG EQT 97717W521 275 7462 SH SOLE 0 0 7462 WISDOMTREE TR US MIDCP EARNING 97717W570 271 7906 SH SOLE 0 0 7906 WISDOMTREE TR JAPN HEDGE EQT 97717W851 2355 50769 SH SOLE 0 0 50769 WISDOMTREE TR CBOE S&P 500 97717X560 9680 380367 SH SOLE 0 0 380367 WISDOMTREE TR FLOATNG RAT TREA 97717X628 676 26958 SH SOLE 0 0 26958 ZOETIS INC CL A 98978V103 1011 11818 SH SOLE 0 0 11818 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1380 9788 SH SOLE 0 0 9788 EATON CORP PLC SHS G29183103 258 3752 SH SOLE 0 0 3752 WEATHERFORD INTL PLC ORD SHS G48833100 126 225671 SH SOLE 0 0 225671 LINDE PLC COM G5494J103 284 1820 SH SOLE 0 0 1820 MEDTRONIC PLC SHS G5960L103 1377 15142 SH SOLE 0 0 15142 CHUBB LIMITED COM H1467J104 377 2917 SH SOLE 0 0 2917 ISRAEL CHEMICALS LTD SHS M5920A109 82 14406 SH SOLE 0 0 14406