HL FINANCIAL SERVICES LLC quarter change: USA ETF, Added
In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2016-06-30 to 2016-09-30, HL FINANCIAL SERVICES LLC opened 12 positions, added to 86, reduced 66, sold out of 8 and left 9 unchanged. The largest increase in value was VEA (+$11,394,000); the largest decrease was BSV (-$8,844,000).
- VEA: Country of operation —; Class FTSE DEV MKT ETF; Shares 2016-06-30 689,133; Shares 2016-09-30 955,945.
- IEFA: Country of operation —; Class CORE MSCI EAFE; Shares 2016-06-30 7,903; Shares 2016-09-30 172,811.
- FEM: Country of operation —; Class EMERG MKT ALPH; Shares 2016-06-30 201,212; Shares 2016-09-30 348,331.
- IWR: Country of operation —; Class RUS MID-CAP ETF; Shares 2016-06-30 125,373; Shares 2016-09-30 135,663.
Two Form 13F-HR filings compared (SEC CIK 1430233): 2016-06-30 (filed 2016-07-26) and 2016-09-30 (filed 2016-10-25). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move; share change is the position change.
| Stock | Country of operation | Class | Shares 2016-06-30 | Shares 2016-09-30 | Share change | Value 2016-06-30 | Value 2016-09-30 | Value change |
|---|
VEA
VANGUARD FTSE DEVELOPED | | FTSE DEV MKT ETF | 689,133 | 955,945 | +266,812 | $24,368,000 | $35,762,000 | +$11,394,000 |
|---|
IEFA
ISHARES CORE MSCI | | CORE MSCI EAFE | 7,903 | 172,811 | +164,908 | $410,000 | $9,529,000 | +$9,119,000 |
|---|
FEM
FIRST TRUST EMERGING | | EMERG MKT ALPH | 201,212 | 348,331 | +147,119 | $3,863,000 | $7,228,000 | +$3,365,000 |
|---|
IWR
ISHARES RUSSELL MID CAP | | RUS MID-CAP ETF | 125,373 | 135,663 | +10,290 | $21,088,000 | $23,648,000 | +$2,560,000 |
|---|
FDN
FIRST TRUST DOW JONES | | DJ INTERNT IDX | 69,488 | 86,790 | +17,302 | $5,011,000 | $7,079,000 | +$2,068,000 |
|---|
FGD
FIRST TRUST DOW JONES | | DJ GLBL DIVID | 39,635 | 109,358 | +69,723 | $883,000 | $2,570,000 | +$1,687,000 |
|---|
FDT
FIRST TRUST DEVELOPED | | DEV MRK EX US | 107,253 | 131,057 | +23,804 | $4,839,000 | $6,455,000 | +$1,616,000 |
|---|
FXD
FIRST TRUST CONSUMER | | CONSUMR DISCRE | 121,408 | 161,221 | +39,813 | $4,094,000 | $5,683,000 | +$1,589,000 |
|---|
VNQ
VANGUARD REIT INDEX ETF | | REIT ETF | 296,305 | 319,342 | +23,037 | $26,273,000 | $27,700,000 | +$1,427,000 |
|---|
SHY
ISHARES | | 1-3 YR TR BD ETF | 41,421 | 57,758 | +16,337 | $3,534,000 | $4,912,000 | +$1,378,000 |
|---|
FXU
FIRST TRUST UTILITIES | | UTILITIES ALPH | 69,823 | 122,520 | +52,697 | $1,887,000 | $3,177,000 | +$1,290,000 |
|---|
FVD
FIRST TRUST VALUE LINE | | SHS | 159,130 | 205,491 | +46,361 | $4,290,000 | $5,548,000 | +$1,258,000 |
|---|
VOO
VANGUARD S&P 500 | | S&P 500 ETF SHS | 56,966 | 61,332 | +4,366 | $10,952,000 | $12,187,000 | +$1,235,000 |
|---|
FXG
FIRST TRUST CONSUMER | | CONSUMR STAPLE | 132,660 | 164,576 | +31,916 | $6,417,000 | $7,641,000 | +$1,224,000 |
|---|
POWERSHARES QQQ ETF
CUSIP 73935A104 | | UNIT SER 1 | 23,125 | 29,486 | +6,361 | $2,487,000 | $3,501,000 | +$1,014,000 |
|---|
VB
VANGUARD SMALL CAP ETF | | SMALL CP ETF | 85,081 | 88,620 | +3,539 | $9,842,000 | $10,828,000 | +$986,000 |
|---|
EFA
ISHARES MSCI | | MSCI EAFE ETF | 223,827 | 227,591 | +3,764 | $12,494,000 | $13,457,000 | +$963,000 |
|---|
VCIT
VANGUARD INTERMEDIATE | | INT-TERM CORP | 47,520 | 57,751 | +10,231 | $4,249,000 | $5,173,000 | +$924,000 |
|---|
FTCS
FIRST TRUST CAP STRENGTH | | CAP STRENGTH ETF | 9,051 | 29,037 | +19,986 | $360,000 | $1,165,000 | +$805,000 |
|---|
MDY
SPDR S&P MID CAP 400 ETF | | UTSER1 S&PDCRP | 6,119 | 7,796 | +1,677 | $1,666,000 | $2,201,000 | +$535,000 |
|---|
VOOG
VANGUARD S&P 500 | | 500 GRTH IDX F | 2,357 | 5,504 | +3,147 | $247,000 | $601,000 | +$354,000 |
|---|
QQEW
FIRST TRUST | | SHS | 77,599 | 78,361 | +762 | $3,249,000 | $3,586,000 | +$337,000 |
|---|
FNX
FIRST TRUST MID CAP | | COM SHS | 85,627 | 88,137 | +2,510 | $4,326,000 | $4,656,000 | +$330,000 |
|---|
USMV
ISHARES | | MIN VOL USA ETF | 91,168 | 99,984 | +8,816 | $4,213,000 | $4,542,000 | +$329,000 |
|---|
VEU
VANGUARD | | ALLWRLD EX US | 99,851 | 100,973 | +1,122 | $4,279,000 | $4,587,000 | +$308,000 |
|---|
SPY
SPDR S&P 500 ETF | | TR UNIT | 30,879 | 31,276 | +397 | $6,469,000 | $6,765,000 | +$296,000 |
|---|
IJR
ISHARES CORE S&P | | CORE S&P SCP ETF | 23,149 | 23,962 | +813 | $2,690,000 | $2,975,000 | +$285,000 |
|---|
BIV
VANGUARD INTERMEDIATE | | INTERMED TERM | 17,827 | 21,077 | +3,250 | $1,570,000 | $1,848,000 | +$278,000 |
|---|
FTC
FIRST TRUST LARGE CAP | | COM SHS | 79,923 | 84,303 | +4,380 | $3,985,000 | $4,257,000 | +$272,000 |
|---|
ALPS ALERIAN MLP ETF
CUSIP 00162Q866 | | ALERIAN MLP | 124,110 | 144,792 | +20,682 | $1,579,000 | $1,837,000 | +$258,000 |
|---|
FEX
FIRST TRUST LARGE CAP | | COM SHS | 137,136 | 137,569 | +433 | $6,178,000 | $6,430,000 | +$252,000 |
|---|
IVW
ISHARES S&P 500 | | S&P 500 GRWT ETF | 14,243 | 15,537 | +1,294 | $1,660,000 | $1,890,000 | +$230,000 |
|---|
XBI
SPDR SERIES TRUST | | S&P BIOTECH | 9,181 | 10,891 | +1,710 | $497,000 | $722,000 | +$225,000 |
|---|
IFV
FIRST TRUST VI | | DORSEY WRIGHT | 185,856 | 187,498 | +1,642 | $3,084,000 | $3,276,000 | +$192,000 |
|---|
IJH
ISHARES CORE S&P MID | | CORE S&P MCP ETF | 6,115 | 7,115 | +1,000 | $913,000 | $1,101,000 | +$188,000 |
|---|
TIP
ISHARES | | TIPS BD ETF | 18,694 | 20,283 | +1,589 | $2,181,000 | $2,363,000 | +$182,000 |
|---|
VANECK VECTORS
CUSIP 92189F361 | | HIGH YLD MUN ETF | 9,275 | 14,575 | +5,300 | $300,000 | $470,000 | +$170,000 |
|---|
IGE
ISHARES NORTH | | NA NAT RES | 112,480 | 112,998 | +518 | $3,737,000 | $3,894,000 | +$157,000 |
|---|
VBK
VANGUARD SMALL CAP | | SML CP GRW ETF | 11,455 | 11,961 | +506 | $1,419,000 | $1,576,000 | +$157,000 |
|---|
HEFA
ISHARES | | HDG MSCI EAFE | 9,413 | 15,117 | +5,704 | $226,000 | $375,000 | +$149,000 |
|---|
DON
WISDOMTREE MID CAP | | MIDCAP DIVI FD | 10,125 | 11,599 | +1,474 | $906,000 | $1,054,000 | +$148,000 |
|---|
NOBL
PROSHARES TRUST | | S&P 500 DV ARIST | 9,934 | 12,607 | +2,673 | $540,000 | $685,000 | +$145,000 |
|---|
VIG
VANGUARD DIVIDEND | | DIV APP ETF | 37,502 | 38,917 | +1,415 | $3,121,000 | $3,266,000 | +$145,000 |
|---|
XLK
SECTOR TECHNOLOGY | | TECHNOLOGY | 4,895 | 7,244 | +2,349 | $212,000 | $346,000 | +$134,000 |
|---|
HYS
PIMCO 0-5 YR HIGH YIELD | | 0-5 HIGH YIELD | 2,087 | 3,340 | +1,253 | $202,000 | $332,000 | +$130,000 |
|---|
EFT
EATON VANCE FLOATING | | COM | 50,101 | 56,149 | +6,048 | $673,000 | $797,000 | +$124,000 |
|---|
FTGC
FIRST TRUST VII GLOBAL | | FST TR GLB FD | 151,598 | 153,857 | +2,259 | $3,282,000 | $3,166,000 | -$116,000 |
|---|
WIW
WESTERN ASSET/CLAYMORE | | COM | 230,784 | 239,375 | +8,591 | $2,564,000 | $2,679,000 | +$115,000 |
|---|
ETF SER SOLUTIONS
CUSIP 26922A834 | | ALPHAMARK SM | 9,900 | 14,500 | +4,600 | $210,000 | $319,000 | +$109,000 |
|---|
FTSM
FIRST TRUST | | FIRST TR ENH NEW | 68,010 | 69,745 | +1,735 | $4,072,000 | $4,181,000 | +$109,000 |
|---|
EMB
ISHARES JPMORGAN USD | | JP MOR EM MK ETF | 2,614 | 3,492 | +878 | $301,000 | $409,000 | +$108,000 |
|---|
FLOT
ISHARES FLOATING | | FLTG RATE BD ETF | 5,000 | 7,101 | +2,101 | $253,000 | $360,000 | +$107,000 |
|---|
FIRST TRUST VALUE LINE
CUSIP 33735G107 | | COM SHS | 152,514 | 154,258 | +1,744 | $3,099,000 | $3,196,000 | +$97,000 |
|---|
KRE
SPDR S&P REGIONAL | | S&P REGL BKG | 21,613 | 21,883 | +270 | $830,000 | $925,000 | +$95,000 |
|---|
ICF
ISHARES COHEN & STEERS | | COHEN&STEER REIT | 30,941 | 31,117 | +176 | $3,348,000 | $3,264,000 | -$84,000 |
|---|
FTSL
FIRST TRUST SENIOR LOAN | | SENIOR LN FD | 19,685 | 21,110 | +1,425 | $939,000 | $1,023,000 | +$84,000 |
|---|
VCSH
VANGUARD SHORT TERM CORP | | SHRT TRM CORP BD | 94,533 | 95,906 | +1,373 | $7,642,000 | $7,725,000 | +$83,000 |
|---|
EWA
ISHARES MSCI AUSTRALIA | | MSCI AUST ETF | 37,216 | 38,540 | +1,324 | $724,000 | $805,000 | +$81,000 |
|---|
FDL
FIRST TRUST MORNINGSTAR | | SHS | 12,881 | 15,292 | +2,411 | $346,000 | $417,000 | +$71,000 |
|---|
SCHA
SCHWAB U S SMALL CAP ETF | | US SML CAP ETF | 4,437 | 5,364 | +927 | $240,000 | $309,000 | +$69,000 |
|---|
EEMV
ISHARES | | MIN VOL EMRG MKT | 12,757 | 13,370 | +613 | $658,000 | $723,000 | +$65,000 |
|---|
BOND
PIMCO TOTAL RETURN | | TTL RTN ACTV ETF | 40,027 | 40,413 | +386 | $4,298,000 | $4,363,000 | +$65,000 |
|---|
VYM
VANGUARD HIGH DIVIDEND | | HIGH DIV YLD | 10,401 | 11,196 | +795 | $743,000 | $808,000 | +$65,000 |
|---|
WIA
WESTERN ASSET CLAYMORE | | COM SH BEN INT | 185,423 | 191,516 | +6,093 | $2,129,000 | $2,193,000 | +$64,000 |
|---|
FIRST TRUST HIGH INCOME
CUSIP 33738E109 | United States | COM | 48,808 | 50,551 | +1,743 | $724,000 | $788,000 | +$64,000 |
|---|
RWX
SPDR DOW JONES INTL | | DJ INTL RL ETF | 74,958 | 75,920 | +962 | $3,107,000 | $3,167,000 | +$60,000 |
|---|
QTEC
FIRST TRUST | | SHS | 6,630 | 6,806 | +176 | $287,000 | $346,000 | +$59,000 |
|---|
GDO
WESTERN ASSET GLOBAL | | COM | 47,471 | 48,890 | +1,419 | $809,000 | $865,000 | +$56,000 |
|---|
CORP
PIMCO INVESTMENT GRADE | | INV GRD CRP BD | 40,506 | 40,838 | +332 | $4,305,000 | $4,359,000 | +$54,000 |
|---|
IDV
ISHARES | | INTL SEL DIV ETF | 14,738 | 15,841 | +1,103 | $422,000 | $475,000 | +$53,000 |
|---|
TOTL
SPDR | | SPDR TR TACTIC | 13,450 | 14,406 | +956 | $671,000 | $723,000 | +$52,000 |
|---|
IGR
CBRE CLARION GLBL REAL | | COM | 94,524 | 98,253 | +3,729 | $778,000 | $825,000 | +$47,000 |
|---|
FEP
FIRST TRUST EUROPE | | EUROPE ALPHA | 7,346 | 8,191 | +845 | $201,000 | $242,000 | +$41,000 |
|---|
HYG
ISHARES IBOXX $ | | IBOXX HI YD ETF | 3,424 | 3,780 | +356 | $290,000 | $330,000 | +$40,000 |
|---|
DES
WISDOMTREE SMALL CAP | | SMALLCAP DIVID | 8,733 | 8,857 | +124 | $626,000 | $666,000 | +$40,000 |
|---|
TDIV
FIRST TRUST | | NASD TECH DIV | 11,093 | 11,417 | +324 | $295,000 | $335,000 | +$40,000 |
|---|
IGIB
ISHARES | | INTERM CR BD ETF | 8,015 | 8,319 | +304 | $892,000 | $926,000 | +$34,000 |
|---|
AWF
ALLIANCEBERNSTEIN GLOBAL | | COM | 32,465 | 33,920 | +1,455 | $399,000 | $428,000 | +$29,000 |
|---|
PEO
ADAMS NATURAL RESOURCES | | COM | 39,973 | 41,548 | +1,575 | $804,000 | $828,000 | +$24,000 |
|---|
GDX
VANECK VECTORS | | GOLD MINERS ETF | 8,300 | 9,450 | +1,150 | $230,000 | $250,000 | +$20,000 |
|---|
VTI
VANGUARD TOTAL STOCK | | TOTAL STK MKT | 3,751 | 3,758 | +7 | $402,000 | $418,000 | +$16,000 |
|---|
NVG
NUVEEN | | COM | 12,804 | 13,785 | +981 | $208,000 | $222,000 | +$14,000 |
|---|
DIA
SPDR DOW JONES | | UT SER 1 | 2,056 | 2,081 | +25 | $368,000 | $380,000 | +$12,000 |
|---|
LQD
ISHARES IBOXX | | IBOXX INV CP ETF | 2,377 | 2,447 | +70 | $292,000 | $301,000 | +$9,000 |
|---|
FRI
FIRST TRUST | | COM | 18,390 | 18,499 | +109 | $454,000 | $448,000 | -$6,000 |
|---|
SPSB
SPDR BARCLAYS CAPITAL | | BARC SHT TR CP | 164,849 | 164,968 | +119 | $5,074,000 | $5,076,000 | +$2,000 |
|---|
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