HL FINANCIAL SERVICES LLC quarter change: USA ETF, Reduced
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).
- BSV: Country of operation —; Class SHORT TRM BOND; Shares 2016-06-30 270,463; Shares 2016-09-30 161,817.
- IGSB: Country of operation —; Class 1-3 YR CR BD ETF; Shares 2016-06-30 157,167; Shares 2016-09-30 76,206.
- AGG: Country of operation —; Class CORE US AGGBD ET; Shares 2016-06-30 238,916; Shares 2016-09-30 214,371.
- FXH: Country of operation —; Class HLTH CARE ALPH; Shares 2016-06-30 71,672; Shares 2016-09-30 47,551.
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 |
|---|
BSV
VANGUARD SHORT TERM | | SHORT TRM BOND | 270,463 | 161,817 | -108,646 | $21,924,000 | $13,080,000 | -$8,844,000 |
|---|
IGSB
ISHARES | | 1-3 YR CR BD ETF | 157,167 | 76,206 | -80,961 | $16,674,000 | $8,060,000 | -$8,614,000 |
|---|
AGG
ISHARES CORE U S | | CORE US AGGBD ET | 238,916 | 214,371 | -24,545 | $26,906,000 | $24,100,000 | -$2,806,000 |
|---|
FXH
FIRST TRUST HEALTHCARE | | HLTH CARE ALPH | 71,672 | 47,551 | -24,121 | $4,224,000 | $2,893,000 | -$1,331,000 |
|---|
FV
FIRST TRUST | | DORSEY WRT 5 ETF | 362,737 | 310,536 | -52,201 | $8,111,000 | $7,111,000 | -$1,000,000 |
|---|
VWO
VANGUARD FTSE EMERGING | | FTSE EMR MKT ETF | 478,560 | 469,340 | -9,220 | $16,860,000 | $17,661,000 | +$801,000 |
|---|
IVV
ISHARES CORE S&P 500 ETF | | CORE S&P500 ETF | 178,130 | 176,002 | -2,128 | $37,499,000 | $38,292,000 | +$793,000 |
|---|
XLU
SELECT UTILITIES SELECT | | SBI INT-UTILS | 139,138 | 133,605 | -5,533 | $7,301,000 | $6,545,000 | -$756,000 |
|---|
IWM
ISHARES RUSSELL 2000 | | RUSSELL 2000 ETF | 77,164 | 77,147 | -17 | $8,872,000 | $9,582,000 | +$710,000 |
|---|
IEV
ISHARES | | EUROPE ETF | 23,313 | 11,784 | -11,529 | $881,000 | $464,000 | -$417,000 |
|---|
TLT
ISHARES | | 20 YR TR BD ETF | 46,057 | 44,034 | -2,023 | $6,398,000 | $6,056,000 | -$342,000 |
|---|
KYN
KAYNE ANDERSON MLP | | COM | 90,754 | 74,709 | -16,045 | $1,847,000 | $1,541,000 | -$306,000 |
|---|
IGOV
ISHARES INTL TREASURY | | INTL TREA BD ETF | 12,565 | 9,516 | -3,049 | $1,251,000 | $956,000 | -$295,000 |
|---|
FYX
FIRST TRUST SMALL CAP | | COM SHS | 84,590 | 84,104 | -486 | $3,894,000 | $4,189,000 | +$295,000 |
|---|
IEF
ISHARES | | 7-10 Y TR BD ETF | 26,458 | 24,176 | -2,282 | $2,989,000 | $2,705,000 | -$284,000 |
|---|
MDIV
FIRST TRUST MULTI ASSET | | MULTI ASSET DI | 103,506 | 91,136 | -12,370 | $2,000,000 | $1,723,000 | -$277,000 |
|---|
XLE
SECTOR ENERGY SELECT | | SBI INT-ENERGY | 34,348 | 29,375 | -4,973 | $2,344,000 | $2,074,000 | -$270,000 |
|---|
SPYG
SPDR SERIES TRUST | | S&P 500 GROWTH | 5,740 | 3,015 | -2,725 | $579,000 | $317,000 | -$262,000 |
|---|
FXO
FIRST TRUST FINANCIALS | | FINLS ALPHADEX | 69,091 | 55,849 | -13,242 | $1,597,000 | $1,357,000 | -$240,000 |
|---|
VO
VANGUARD MID CAP ETF | | MID CAP ETF | 73,972 | 72,304 | -1,668 | $9,145,000 | $9,359,000 | +$214,000 |
|---|
SPDR BARCLAYS CAPITAL
CUSIP 78464A417 | | BRC HGH YLD BD | 32,670 | 26,129 | -6,541 | $1,166,000 | $959,000 | -$207,000 |
|---|
XLI
SECTOR INDUSTRIAL | | SBI INT-INDS | 95,648 | 94,931 | -717 | $5,357,000 | $5,542,000 | +$185,000 |
|---|
TLH
ISHARES | | 10-20 YR TRS ETF | 3,451 | 2,301 | -1,150 | $506,000 | $333,000 | -$173,000 |
|---|
FTA
FIRST TRUST LARGE CAP | | COM SHS | 107,694 | 104,773 | -2,921 | $4,296,000 | $4,461,000 | +$165,000 |
|---|
FXL
FIRST TRUST TECHNOLOGY | | TECH ALPHADEX | 51,062 | 49,707 | -1,355 | $1,685,000 | $1,827,000 | +$142,000 |
|---|
IWF
ISHARES RUSSELL 1000 | | RUS 1000 GRW ETF | 65,513 | 64,438 | -1,075 | $6,575,000 | $6,713,000 | +$138,000 |
|---|
EFG
ISHARES MSCI EAFE | | EAFE GRWTH ETF | 16,828 | 14,181 | -2,647 | $1,101,000 | $970,000 | -$131,000 |
|---|
LEMB
ISHARES EMERGING MARKETS | | EM MKTS CURR ETF | 8,529 | 5,826 | -2,703 | $383,000 | $267,000 | -$116,000 |
|---|
DVY
ISHARES SELECT | | SELECT DIVID ETF | 12,323 | 11,309 | -1,014 | $1,051,000 | $969,000 | -$82,000 |
|---|
EFV
ISHARES MSCI EAFE | | EAFE VALUE ETF | 21,219 | 17,999 | -3,220 | $911,000 | $831,000 | -$80,000 |
|---|
IJK
ISHARES S&P MID CAP | | S&P MC 400GR ETF | 10,405 | 9,629 | -776 | $1,759,000 | $1,682,000 | -$77,000 |
|---|
HQH
TEKLA HEALTHCARE INV SBI | | SH BEN INT | 60,639 | 56,546 | -4,093 | $1,421,000 | $1,346,000 | -$75,000 |
|---|
EFAV
ISHARES | | MIN VOL EAFE ETF | 82,800 | 82,357 | -443 | $5,497,000 | $5,571,000 | +$74,000 |
|---|
FXN
FIRST TRUST ENERGY | | ENERGY ALPHADX | 213,915 | 211,188 | -2,727 | $3,187,000 | $3,257,000 | +$70,000 |
|---|
IWN
ISHARES RUSSELL 2000 | | RUS 2000 VAL ETF | 8,663 | 7,389 | -1,274 | $843,000 | $774,000 | -$69,000 |
|---|
SPDR SERIES TRUST
CUSIP 78464A730 | | S&P OILGAS EXP | 11,543 | 8,731 | -2,812 | $402,000 | $336,000 | -$66,000 |
|---|
XLV
SECTOR HEALTHCARE | | SBI HEALTHCARE | 78,607 | 77,278 | -1,329 | $5,637,000 | $5,573,000 | -$64,000 |
|---|
MUB
ISHARES NATIONAL | | NATIONAL MUN ETF | 5,812 | 5,333 | -479 | $662,000 | $601,000 | -$61,000 |
|---|
VTIP
VANGUARD SHORT TERM | | STRM INFPROIDX | 6,273 | 5,042 | -1,231 | $310,000 | $250,000 | -$60,000 |
|---|
IWS
ISHARES RUSSELL MID CAP | | RUS MDCP VAL ETF | 41,015 | 40,410 | -605 | $3,047,000 | $3,102,000 | +$55,000 |
|---|
IWP
ISHARES RUSSELL MID CAP | | RUS MD CP GR ETF | 17,820 | 17,649 | -171 | $1,668,000 | $1,718,000 | +$50,000 |
|---|
DNP
DNP SELECT INCOME | | COM | 67,330 | 64,830 | -2,500 | $715,000 | $665,000 | -$50,000 |
|---|
RWR
SPDR DOW JONES REIT ETF | | DJ REIT ETF | 6,446 | 6,085 | -361 | $641,000 | $592,000 | -$49,000 |
|---|
EEM
ISHARES MSCI EMERGING | | MSCI EMG MKT ETF | 42,134 | 39,832 | -2,302 | $1,448,000 | $1,492,000 | +$44,000 |
|---|
VV
VANGUARD LARGE CAP ETF | | LARGE CAP ETF | 4,515 | 4,021 | -494 | $433,000 | $399,000 | -$34,000 |
|---|
RVT
ROYCE VALUE TRUST INC | | COM | 16,463 | 12,830 | -3,633 | $194,000 | $162,000 | -$32,000 |
|---|
IWD
ISHARES RUSSELL 1000 | | RUS 1000 VAL ETF | 58,404 | 56,807 | -1,597 | $6,029,000 | $6,000,000 | -$29,000 |
|---|
IVE
ISHARES S&P 500 | | S&P 500 VAL ETF | 5,117 | 4,696 | -421 | $475,000 | $446,000 | -$29,000 |
|---|
SHM
SPDR | | NUVN BR SHT MUNI | 10,416 | 9,887 | -529 | $511,000 | $483,000 | -$28,000 |
|---|
ISHARES MSCI MALAYSIA
CUSIP 464286830 | | MSCI MALAYSI ETF | 17,000 | 14,000 | -3,000 | $141,000 | $114,000 | -$27,000 |
|---|
VBR
VANGUARD SMALL CAP VALUE | | SM CP VAL ETF | 12,691 | 11,833 | -858 | $1,336,000 | $1,309,000 | -$27,000 |
|---|
KBE
SPDR S&P BANK ETF | | S&P BK ETF | 10,395 | 10,195 | -200 | $317,000 | $340,000 | +$23,000 |
|---|
FUND
SPROTT FOCUS TRUST INC | | COM | 20,914 | 16,631 | -4,283 | $134,000 | $115,000 | -$19,000 |
|---|
IJT
ISHARES S&P SMALL CAP | | SP SMCP600GR ETF | 4,281 | 3,934 | -347 | $550,000 | $539,000 | -$11,000 |
|---|
VOT
VANGUARD MID CAP | | MCAP GR IDXVIP | 2,405 | 2,218 | -187 | $245,000 | $236,000 | -$9,000 |
|---|
BND
VANGUARD TOTAL BOND | | TOTAL BND MRKT | 2,863 | 2,763 | -100 | $241,000 | $232,000 | -$9,000 |
|---|
XLY
CONSUMER DISCRETIONARY | | SBI CONS DISCR | 70,197 | 68,351 | -1,846 | $5,480,000 | $5,471,000 | -$9,000 |
|---|
IJS
ISHARES S&P SMALL CAP | | SP SMCP600VL ETF | 1,967 | 1,907 | -60 | $230,000 | $238,000 | +$8,000 |
|---|
IWB
ISHARES RUSSELL 1000 | | RUS 1000 ETF | 8,265 | 8,053 | -212 | $966,000 | $970,000 | +$4,000 |
|---|
IWO
ISHARES RUSSELL 2000 | | RUS 2000 GRW ETF | 3,573 | 3,263 | -310 | $490,000 | $486,000 | -$4,000 |
|---|
BLV
VANGUARD LONG TERM | | LONG TERM BOND | 4,695 | 4,693 | -2 | $460,000 | $463,000 | +$3,000 |
|---|
CSQ
CALAMOS STRATEGIC TOTAL | | COM SH BEN INT | 32,100 | 31,100 | -1,000 | $317,000 | $320,000 | +$3,000 |
|---|
FYT
FIRST TRUST SMALL CAP | | SML CAP VAL AL | 9,659 | 8,987 | -672 | $274,000 | $277,000 | +$3,000 |
|---|
FYC
FIRST TRUST SMALL CAP | | SML CP GRW ALP | 9,136 | 8,525 | -611 | $286,000 | $288,000 | +$2,000 |
|---|
MBB
ISHARES | | MBS ETF | 2,964 | 2,953 | -11 | $326,000 | $325,000 | -$1,000 |
|---|
FLRN
SPDR BARCLAYS CAP INVEST | | INV GRD FLT RT | 21,975 | 21,775 | -200 | $669,000 | $668,000 | -$1,000 |
|---|
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