NATIONAL PLANNING CORP 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, NATIONAL PLANNING CORP opened 28 positions, added to 132, reduced 91, sold out of 22 and left 19 unchanged. The largest increase in value was IWM (+$23,682,000); the largest decrease was SPY (-$24,205,000).
- IWM: Country of operation —; Class RUSSELL 2000 ETF; Shares 2016-06-30 182,542; Shares 2016-09-30 383,674.
- EEM: Country of operation —; Class MSCI EMG MKT ETF; Shares 2016-06-30 92,501; Shares 2016-09-30 520,071.
- VTI: Country of operation —; Class TOTAL STK MKT; Shares 2016-06-30 182,987; Shares 2016-09-30 282,252.
- VEA: Country of operation —; Class FTSE DEV MKT ETF; Shares 2016-06-30 787,832; Shares 2016-09-30 959,361.
Two Form 13F-HR filings compared (SEC CIK 1492262): 2016-06-30 (filed 2016-08-09) and 2016-09-30 (filed 2016-11-10). 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 |
|---|---|---|---|---|---|---|---|---|
| IWM ISHARES TR | RUSSELL 2000 ETF | 182,542 | 383,674 | +201,132 | $21,810,000 | $45,492,000 | +$23,682,000 | |
| EEM ISHARES TR | MSCI EMG MKT ETF | 92,501 | 520,071 | +427,570 | $3,319,000 | $19,362,000 | +$16,043,000 | |
| VTI VANGUARD INDEX FDS | TOTAL STK MKT | 182,987 | 282,252 | +99,265 | $20,207,000 | $30,808,000 | +$10,601,000 | |
| VEA VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 787,832 | 959,361 | +171,529 | $28,709,000 | $34,834,000 | +$6,125,000 | |
| CDL VICTORY PORTFOLIOS II | CEMP US LARGE CA | 207,019 | 342,558 | +135,539 | $7,902,000 | $12,990,000 | +$5,088,000 | |
| CFA VICTORY PORTFOLIOS II | CEMP US 500 VOLA | 209,031 | 341,225 | +132,194 | $7,989,000 | $12,963,000 | +$4,974,000 | |
| CSB VICTORY PORTFOLIOS II | CEMP US SM CAP H | 155,203 | 250,514 | +95,311 | $5,578,000 | $9,049,000 | +$3,471,000 | |
| VCSH VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 10,293 | 35,843 | +25,550 | $829,000 | $2,878,000 | +$2,049,000 | |
| CWB SPDR SERIES TRUST | BRC CNV SECS ETF | 15,672 | 60,572 | +44,900 | $707,000 | $2,721,000 | +$2,014,000 | |
| POWERSHARES ETF TR II CUSIP 73936T573 | SOVEREIGN DEBT | 22,685 | 83,391 | +60,706 | $681,000 | $2,488,000 | +$1,807,000 | |
| XLE SELECT SECTOR SPDR TR | SBI INT-ENERGY | 33,924 | 54,651 | +20,727 | $2,231,000 | $3,783,000 | +$1,552,000 | |
| NAD NUVEEN QUALITY MUNCP INCOME | COM | 53,959 | 165,317 | +111,358 | $849,000 | $2,366,000 | +$1,517,000 | |
| FXO FIRST TR EXCHANGE TRADED FD | FINLS ALPHADEX | 10,625 | 67,039 | +56,414 | $253,000 | $1,618,000 | +$1,365,000 | |
| VT VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 7,063 | 25,713 | +18,650 | $423,000 | $1,532,000 | +$1,109,000 | |
| IJT ISHARES TR | SP SMCP600GR ETF | 8,393 | 16,006 | +7,613 | $1,117,000 | $2,084,000 | +$967,000 | |
| IBB ISHARES TR | NASDQ BIOTEC ETF | 6,481 | 10,927 | +4,446 | $1,910,000 | $2,854,000 | +$944,000 | |
| VIG VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 35,373 | 46,727 | +11,354 | $3,004,000 | $3,868,000 | +$864,000 | |
| IEFA ISHARES TR | CORE MSCI EAFE | 25,920 | 41,428 | +15,508 | $1,385,000 | $2,218,000 | +$833,000 | |
| SDY SPDR SERIES TRUST | S&P DIVID ETF | 136,653 | 151,711 | +15,058 | $11,676,000 | $12,405,000 | +$729,000 | |
| TIP ISHARES TR | TIPS BD ETF | 16,776 | 22,669 | +5,893 | $1,932,000 | $2,626,000 | +$694,000 | |
| GDX VANECK VECTORS ETF TR | GOLD MINERS ETF | 112,124 | 117,262 | +5,138 | $3,512,000 | $2,824,000 | -$688,000 | |
| VDC VANGUARD WORLD FDS | CONSUM STP ETF | 28,142 | 34,389 | +6,247 | $3,955,000 | $4,642,000 | +$687,000 | |
| OPPENHEIMER REV WEIGHTED ETF CUSIP 68386C401 | ULTRA DIVID REV | 7,865 | 27,965 | +20,100 | $253,000 | $874,000 | +$621,000 | |
| HYG ISHARES TR | IBOXX HI YD ETF | 57,961 | 62,777 | +4,816 | $4,894,000 | $5,410,000 | +$516,000 | |
| VYM VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 71,117 | 79,348 | +8,231 | $5,160,000 | $5,665,000 | +$505,000 | |
| POWERSHARES ETF TR II CUSIP 73937B639 | S&P600 LOVL PT | 22,366 | 35,105 | +12,739 | $850,000 | $1,322,000 | +$472,000 | |
| IYE ISHARES TR | U.S. ENERGY ETF | 6,521 | 18,306 | +11,785 | $238,000 | $696,000 | +$458,000 | |
| RWX SPDR INDEX SHS FDS | DJ INTL RL ETF | 37,941 | 52,251 | +14,310 | $1,617,000 | $2,039,000 | +$422,000 | |
| OPPENHEIMER REV WEIGHTED ETF CUSIP 68386C104 | LARGE CAP REV ET | 11,818 | 22,201 | +10,383 | $491,000 | $909,000 | +$418,000 | |
| FVD FIRST TR VALUE LINE DIVID IN | SHS | 29,142 | 45,319 | +16,177 | $793,000 | $1,206,000 | +$413,000 | |
| IDU ISHARES TR | U.S. UTILITS ETF | 14,762 | 18,741 | +3,979 | $1,907,000 | $2,284,000 | +$377,000 | |
| IYJ ISHARES TR | U.S. INDS ETF | 2,321 | 5,446 | +3,125 | $261,000 | $614,000 | +$353,000 | |
| NBB NUVEEN BUILD AMER BD FD | COM | 354,532 | 358,828 | +4,296 | $8,016,000 | $7,672,000 | -$344,000 | |
| USMV ISHARES TR | MIN VOL USA ETF | 157,883 | 159,410 | +1,527 | $7,381,000 | $7,046,000 | -$335,000 | |
| VOOG VANGUARD ADMIRAL FDS INC | 500 GRTH IDX F | 67,261 | 71,588 | +4,327 | $7,338,000 | $7,646,000 | +$308,000 | |
| MINT PIMCO ETF TR | ENHAN SHRT MA AC | 3,629 | 6,550 | +2,921 | $367,000 | $664,000 | +$297,000 | |
| EFAV ISHARES TR | MIN VOL EAFE ETF | 23,134 | 28,830 | +5,696 | $1,564,000 | $1,851,000 | +$287,000 | |
| PCN PIMCO CORPORATE INCOME STRAT | COM | 165,801 | 189,405 | +23,604 | $2,543,000 | $2,826,000 | +$283,000 | |
| PTY PIMCO CORPORATE & INCOME OPP | COM | 187,723 | 208,851 | +21,128 | $2,752,000 | $3,016,000 | +$264,000 | |
| CHI CALAMOS CONV OPP AND INC FD | SH BEN INT | 16,500 | 40,070 | +23,570 | $170,000 | $390,000 | +$220,000 | |
| VNQ VANGUARD INDEX FDS | REIT ETF | 84,640 | 93,526 | +8,886 | $7,717,000 | $7,501,000 | -$216,000 | |
| VXUS VANGUARD STAR FD | VG TL INTL STK F | 30,831 | 35,298 | +4,467 | $1,421,000 | $1,628,000 | +$207,000 | |
| MOAT VANECK VECTORS ETF TR | MORNINGSTAR WIDE | 98,090 | 105,891 | +7,801 | $3,347,000 | $3,549,000 | +$202,000 | |
| SSGA ACTIVE ETF TR CUSIP 78467V871 | MFS SYS VAL EQ | 11,550 | 14,983 | +3,433 | $609,000 | $809,000 | +$200,000 | |
| POWERSHARES ETF TR II CUSIP 73937B654 | PWRSHS SP500 LOW | 193,342 | 207,346 | +14,004 | $7,583,000 | $7,771,000 | +$188,000 | |
| XLU SELECT SECTOR SPDR TR | SBI INT-UTILS | 46,317 | 53,015 | +6,698 | $2,400,000 | $2,587,000 | +$187,000 | |
| XLF SELECT SECTOR SPDR TR | SBI INT-FINL | 75,743 | 79,797 | +4,054 | $1,772,000 | $1,594,000 | -$178,000 | |
| FDL FIRST TR MORNINGSTAR DIV LEA | SHS | 96,790 | 106,414 | +9,624 | $2,652,000 | $2,824,000 | +$172,000 | |
| DEM WISDOMTREE TR | EMER MKT HIGH FD | 5,714 | 10,081 | +4,367 | $213,000 | $382,000 | +$169,000 | |
| IVE ISHARES TR | S&P 500 VAL ETF | 55,266 | 57,036 | +1,770 | $5,212,000 | $5,368,000 | +$156,000 | |
| SSGA ACTIVE ETF TR CUSIP 78467V889 | MFS SYS GWT EQ | 8,829 | 11,491 | +2,662 | $546,000 | $697,000 | +$151,000 | |
| IDV ISHARES TR | INTL SEL DIV ETF | 17,963 | 23,242 | +5,279 | $525,000 | $674,000 | +$149,000 | |
| EMB ISHARES TR | JP MOR EM MK ETF | 10,078 | 11,377 | +1,299 | $1,159,000 | $1,308,000 | +$149,000 | |
| VGT VANGUARD WORLD FDS | INF TECH ETF | 18,872 | 19,326 | +454 | $2,163,000 | $2,305,000 | +$142,000 | |
| IVV ISHARES TR | CORE S&P500 ETF | 48,660 | 49,883 | +1,223 | $10,551,000 | $10,691,000 | +$140,000 | |
| VHT VANGUARD WORLD FDS | HEALTH CAR ETF | 35,879 | 38,607 | +2,728 | $4,941,000 | $4,813,000 | -$128,000 | |
| IXN ISHARES TR | GLOBAL TECH ETF | 13,383 | 13,961 | +578 | $1,401,000 | $1,527,000 | +$126,000 | |
| VEU VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 36,397 | 38,758 | +2,361 | $1,608,000 | $1,724,000 | +$116,000 | |
| VANECK VECTORS ETF TR CUSIP 92189F361 | HIGH YLD MUN ETF | 30,295 | 34,624 | +4,329 | $975,000 | $1,089,000 | +$114,000 | |
| IVOO VANGUARD ADMIRAL FDS INC | MIDCP 400 IDX | 3,075 | 4,230 | +1,155 | $318,000 | $430,000 | +$112,000 | |
| IVW ISHARES TR | S&P 500 GRWT ETF | 23,278 | 24,666 | +1,388 | $2,828,000 | $2,937,000 | +$109,000 | |
| IWS ISHARES TR | RUS MDCP VAL ETF | 8,135 | 9,633 | +1,498 | $616,000 | $721,000 | +$105,000 | |
| IEMG ISHARES INC | CORE MSCI EMKT | 21,351 | 22,822 | +1,471 | $931,000 | $1,031,000 | +$100,000 | |
| NOBL PROSHARES TR | S&P 500 DV ARIST | 27,846 | 31,291 | +3,445 | $1,538,000 | $1,637,000 | +$99,000 | |
| IYC ISHARES TR | U.S. CNSM SV ETF | 2,862 | 3,623 | +761 | $423,000 | $522,000 | +$99,000 | |
| ITA ISHARES TR | U.S. AER&DEF ETF | 4,885 | 5,556 | +671 | $631,000 | $723,000 | +$92,000 | |
| CDC VICTORY PORTFOLIOS II | CEMP US EQ INCOM | 10,479 | 12,868 | +2,389 | $411,000 | $502,000 | +$91,000 | |
| FRI FIRST TR S&P REIT INDEX FD | COM | 54,051 | 57,428 | +3,377 | $1,372,000 | $1,282,000 | -$90,000 | |
| BNDX VANGUARD CHARLOTTE FDS | INTL BD IDX ETF | 419,327 | 424,000 | +4,673 | $23,319,000 | $23,409,000 | +$90,000 | |
| RYDEX ETF TRUST CUSIP 78355W601 | GUG S&P MC400 PG | 2,100 | 2,936 | +836 | $264,000 | $351,000 | +$87,000 | |
| BWX SPDR SERIES TRUST | BRCLYS INTL ETF | 32,176 | 69,780 | +37,604 | $1,859,000 | $1,941,000 | +$82,000 | |
| EFR EATON VANCE SR FLTNG RTE TR | COM | 23,459 | 27,963 | +4,504 | $312,000 | $393,000 | +$81,000 | |
| NMS NUVEEN MINN MUN INCOME FD | SHS | 10,746 | 15,816 | +5,070 | $184,000 | $262,000 | +$78,000 | |
| BBN BLACKROCK TAX MUNICPAL BD TR | SHS | 9,305 | 13,313 | +4,008 | $225,000 | $301,000 | +$76,000 | |
| IJH ISHARES TR | CORE S&P MCP ETF | 38,392 | 38,632 | +240 | $5,890,000 | $5,816,000 | -$74,000 | |
| DBL DOUBLELINE OPPORTUNISTIC CR | COM | 43,341 | 46,383 | +3,042 | $1,185,000 | $1,114,000 | -$71,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X799 | DYN PHRMA PORT | 7,891 | 8,347 | +456 | $537,000 | $467,000 | -$70,000 | |
| BND VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 78,563 | 80,380 | +1,817 | $6,610,000 | $6,677,000 | +$67,000 | |
| SCZ ISHARES TR | EAFE SML CP ETF | 10,933 | 12,120 | +1,187 | $550,000 | $616,000 | +$66,000 | |
| IMCB ISHARES TR | MRGSTR MD CP ETF | 15,131 | 16,076 | +945 | $2,339,000 | $2,404,000 | +$65,000 | |
| RCS PIMCO STRATEGIC INCOME FD IN | COM | 31,680 | 41,738 | +10,058 | $318,000 | $381,000 | +$63,000 | |
| ALPS ETF TR CUSIP 00162Q643 | SPROTT GL MINE | 9,315 | 9,696 | +381 | $275,000 | $213,000 | -$62,000 | |
| SCHX SCHWAB STRATEGIC TR | US LRG CAP ETF | 37,309 | 38,816 | +1,507 | $1,913,000 | $1,971,000 | +$58,000 | |
| DVY ISHARES TR | SELECT DIVID ETF | 75,922 | 77,738 | +1,816 | $6,538,000 | $6,481,000 | -$57,000 | |
| HYLS FIRST TR EXCHANGE TRADED FD | FIRST TR TA HIYL | 43,083 | 44,389 | +1,306 | $2,084,000 | $2,140,000 | +$56,000 | |
| TOTL SSGA ACTIVE ETF TR | SPDR TR TACTIC | 46,446 | 47,718 | +1,272 | $2,321,000 | $2,376,000 | +$55,000 | |
| EFG ISHARES TR | EAFE GRWTH ETF | 12,950 | 14,276 | +1,326 | $874,000 | $926,000 | +$52,000 | |
| NMZ NUVEEN MUN HIGH INCOME OPP F | COM | 31,308 | 38,648 | +7,340 | $468,000 | $520,000 | +$52,000 | |
| VBR VANGUARD INDEX FDS | SM CP VAL ETF | 15,883 | 16,498 | +615 | $1,722,000 | $1,773,000 | +$51,000 | |
| VCIT VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 3,668 | 4,233 | +565 | $327,000 | $374,000 | +$47,000 | |
| IYG ISHARES TR | U.S. FIN SVC ETF | 3,073 | 3,321 | +248 | $258,000 | $303,000 | +$45,000 | |
| SDOG ALPS ETF TR | SECTR DIV DOGS | 24,460 | 26,285 | +1,825 | $1,008,000 | $1,050,000 | +$42,000 | |
| EWZ ISHARES | MSCI BRZ CAP ETF | 6,728 | 6,910 | +182 | $217,000 | $258,000 | +$41,000 | |
| HYMB SPDR SERIES TRUST | NUV HGHYLD MUN | 10,707 | 11,553 | +846 | $636,000 | $675,000 | +$39,000 | |
| IWN ISHARES TR | RUS 2000 VAL ETF | 3,783 | 4,062 | +279 | $379,000 | $413,000 | +$34,000 | |
| QUAL ISHARES TR | USA QUALITY FCTR | 10,237 | 10,945 | +708 | $693,000 | $727,000 | +$34,000 | |
| EOS EATON VANCE ENH EQTY INC FD | COM | 13,057 | 15,592 | +2,535 | $172,000 | $205,000 | +$33,000 | |
| ILCV ISHARES TR | MRNGSTR LG-CP VL | 34,863 | 35,348 | +485 | $3,050,000 | $3,083,000 | +$33,000 | |
| RYDEX ETF TRUST CUSIP 78355W403 | GUG S&P500 PU GR | 35,722 | 36,082 | +360 | $3,003,000 | $2,971,000 | -$32,000 | |
| CHY CALAMOS CONV & HIGH INCOME F | COM SHS | 18,676 | 23,482 | +4,806 | $208,000 | $239,000 | +$31,000 |
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