NATIONAL PLANNING CORP 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, 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).
- SPY: Country of operation —; Class TR UNIT; Shares 2016-06-30 201,111; Shares 2016-09-30 89,814.
- MDY: Country of operation —; Class UTSER1 S&PDCRP; Shares 2016-06-30 149,791; Shares 2016-09-30 70,245.
- IYR: Country of operation —; Class U.S. REAL ES ETF; Shares 2016-06-30 251,235; Shares 2016-09-30 17,387.
- POWERSHARES ETF TR II: Country of operation —; Class S&P500 LOW VOL; Shares 2016-06-30 313,578; Shares 2016-09-30 59,466.
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 |
|---|---|---|---|---|---|---|---|---|
| SPY SPDR S&P 500 ETF TR | TR UNIT | 201,111 | 89,814 | -111,297 | $43,349,000 | $19,144,000 | -$24,205,000 | |
| MDY SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 149,791 | 70,245 | -79,546 | $41,912,000 | $19,300,000 | -$22,612,000 | |
| IYR ISHARES TR | U.S. REAL ES ETF | 251,235 | 17,387 | -233,848 | $21,204,000 | $1,307,000 | -$19,897,000 | |
| POWERSHARES ETF TR II CUSIP 73937B779 | S&P500 LOW VOL | 313,578 | 59,466 | -254,112 | $13,393,000 | $2,399,000 | -$10,994,000 | |
| AGG ISHARES TR | CORE US AGGBD ET | 338,734 | 279,378 | -59,356 | $38,013,000 | $31,042,000 | -$6,971,000 | |
| BIV VANGUARD BD INDEX FD INC | INTERMED TERM | 369,553 | 301,267 | -68,286 | $32,439,000 | $26,063,000 | -$6,376,000 | |
| TLT ISHARES TR | 20 YR TR BD ETF | 56,315 | 29,131 | -27,184 | $7,790,000 | $3,805,000 | -$3,985,000 | |
| IJR ISHARES TR | CORE S&P SCP ETF | 56,342 | 39,908 | -16,434 | $6,777,000 | $4,747,000 | -$2,030,000 | |
| IEF ISHARES TR | 7-10 Y TR BD ETF | 28,322 | 13,461 | -14,861 | $3,179,000 | $1,481,000 | -$1,698,000 | |
| LQD ISHARES TR | IBOXX INV CP ETF | 41,410 | 29,911 | -11,499 | $5,064,000 | $3,611,000 | -$1,453,000 | |
| XLV SELECT SECTOR SPDR TR | SBI HEALTHCARE | 47,971 | 33,260 | -14,711 | $3,617,000 | $2,268,000 | -$1,349,000 | |
| ICF ISHARES TR | COHEN&STEER REIT | 16,522 | 6,211 | -10,311 | $1,823,000 | $603,000 | -$1,220,000 | |
| VTV VANGUARD INDEX FDS | VALUE ETF | 300,344 | 286,715 | -13,629 | $25,995,000 | $24,798,000 | -$1,197,000 | |
| VUG VANGUARD INDEX FDS | GROWTH ETF | 168,561 | 161,475 | -7,086 | $18,833,000 | $17,665,000 | -$1,168,000 | |
| IYH ISHARES TR | US HLTHCARE ETF | 10,319 | 4,017 | -6,302 | $1,614,000 | $570,000 | -$1,044,000 | |
| IJS ISHARES TR | SP SMCP600VL ETF | 26,725 | 18,247 | -8,478 | $3,225,000 | $2,200,000 | -$1,025,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X716 | INTL DIV ACHV | 119,677 | 55,512 | -64,165 | $1,681,000 | $779,000 | -$902,000 | |
| VCR VANGUARD WORLD FDS | CONSUM DIS ETF | 53,695 | 48,958 | -4,737 | $6,766,000 | $6,016,000 | -$750,000 | |
| XLP SELECT SECTOR SPDR TR | SBI CONS STPLS | 41,192 | 30,882 | -10,310 | $2,252,000 | $1,621,000 | -$631,000 | |
| XLK SELECT SECTOR SPDR TR | TECHNOLOGY | 89,961 | 75,673 | -14,288 | $4,155,000 | $3,570,000 | -$585,000 | |
| FFC FLAHERTY&CRMN PFD SEC INCOM | COM | 236,910 | 234,659 | -2,251 | $5,122,000 | $4,625,000 | -$497,000 | |
| XLY SELECT SECTOR SPDR TR | SBI CONS DISCR | 13,782 | 7,969 | -5,813 | $1,110,000 | $626,000 | -$484,000 | |
| TLH ISHARES TR | 10-20 YR TRS ETF | 6,408 | 3,200 | -3,208 | $934,000 | $452,000 | -$482,000 | |
| IHF ISHARES TR | US HLTHCR PR ETF | 6,493 | 2,842 | -3,651 | $817,000 | $336,000 | -$481,000 | |
| RWO SPDR INDEX SHS FDS | DJ GLB RL ES ETF | 29,346 | 23,264 | -6,082 | $1,520,000 | $1,076,000 | -$444,000 | |
| HEDJ WISDOMTREE TR | EUROPE HEDGED EQ | 15,596 | 7,146 | -8,450 | $805,000 | $382,000 | -$423,000 | |
| VB VANGUARD INDEX FDS | SMALL CP ETF | 87,404 | 86,176 | -1,228 | $10,461,000 | $10,091,000 | -$370,000 | |
| FV FIRST TR EXCHANGE TRADED FD | DORSEY WRT 5 ETF | 208,443 | 196,060 | -12,383 | $4,711,000 | $4,343,000 | -$368,000 | |
| BLV VANGUARD BD INDEX FD INC | LONG TERM BOND | 54,063 | 52,205 | -1,858 | $5,310,000 | $4,951,000 | -$359,000 | |
| MUB ISHARES TR | NATIONAL MUN ETF | 63,985 | 62,151 | -1,834 | $7,241,000 | $6,922,000 | -$319,000 | |
| RYDEX ETF TRUST CUSIP 78355W106 | GUG S&P500 EQ WT | 31,598 | 28,688 | -2,910 | $2,607,000 | $2,346,000 | -$261,000 | |
| BOND PIMCO ETF TR | TTL RTN ACTV ETF | 13,368 | 11,067 | -2,301 | $1,433,000 | $1,182,000 | -$251,000 | |
| IGIB ISHARES TR | INTERM CR BD ETF | 11,579 | 9,606 | -1,973 | $1,288,000 | $1,062,000 | -$226,000 | |
| VMBS VANGUARD SCOTTSDALE FDS | MORTG-BACK SEC | 96,123 | 92,340 | -3,783 | $5,171,000 | $4,959,000 | -$212,000 | |
| VO VANGUARD INDEX FDS | MID CAP ETF | 17,412 | 16,020 | -1,392 | $2,217,000 | $2,012,000 | -$205,000 | |
| NVG NUVEEN ENHANCED AMT FREE MUN | COM | 76,221 | 69,861 | -6,360 | $1,245,000 | $1,049,000 | -$196,000 | |
| FVC FIRST TR EXCHANGE TRADED FD | DORSEY WRIGHT | 60,731 | 52,640 | -8,091 | $1,276,000 | $1,085,000 | -$191,000 | |
| VWO VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 168,180 | 158,239 | -9,941 | $6,172,000 | $5,981,000 | -$191,000 | |
| VXF VANGUARD INDEX FDS | EXTEND MKT ETF | 22,886 | 21,195 | -1,691 | $2,028,000 | $1,856,000 | -$172,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X153 | DWA MOMENTUM PTF | 65,799 | 64,477 | -1,322 | $2,818,000 | $2,647,000 | -$171,000 | |
| HEWJ ISHARES TR | HDG MSCI JAPAN | 16,130 | 8,265 | -7,865 | $378,000 | $210,000 | -$168,000 | |
| ISHARES GOLD TRUST CUSIP 464285105 | ISHARES | 49,871 | 40,059 | -9,812 | $656,000 | $494,000 | -$162,000 | |
| EFA ISHARES TR | MSCI EAFE ETF | 91,039 | 88,292 | -2,747 | $5,223,000 | $5,064,000 | -$159,000 | |
| POWERSHARES ETF TR II CUSIP 73937B498 | DWA TCTL SCTR | 79,050 | 77,850 | -1,200 | $2,027,000 | $1,886,000 | -$141,000 | |
| GSLC GOLDMAN SACHS ETF TR | EQUITY ETF | 41,090 | 38,739 | -2,351 | $1,793,000 | $1,653,000 | -$140,000 | |
| IWB ISHARES TR | RUS 1000 ETF | 12,008 | 10,961 | -1,047 | $1,438,000 | $1,298,000 | -$140,000 | |
| IGSB ISHARES TR | 1-3 YR CR BD ETF | 15,229 | 14,019 | -1,210 | $1,612,000 | $1,480,000 | -$132,000 | |
| MBB ISHARES TR | MBS ETF | 9,097 | 8,008 | -1,089 | $998,000 | $877,000 | -$121,000 | |
| IXJ ISHARES TR | GLOB HLTHCRE ETF | 3,108 | 2,202 | -906 | $328,000 | $208,000 | -$120,000 | |
| BSV VANGUARD BD INDEX FD INC | SHORT TRM BOND | 224,195 | 223,705 | -490 | $18,135,000 | $18,017,000 | -$118,000 | |
| DLN WISDOMTREE TR | LARGECAP DIVID | 32,403 | 31,576 | -827 | $2,494,000 | $2,384,000 | -$110,000 | |
| PHK PIMCO HIGH INCOME FD | COM SHS | 86,564 | 85,278 | -1,286 | $866,000 | $757,000 | -$109,000 | |
| VGK VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 47,601 | 46,285 | -1,316 | $2,272,000 | $2,164,000 | -$108,000 | |
| NZF NUVEEN ENHANCED MUN CREDIT O | COM SH BEN INT | 64,298 | 62,174 | -2,124 | $1,026,000 | $920,000 | -$106,000 | |
| BOE BLACKROCK GLOBAL OPP EQTY TR | COM | 34,715 | 27,147 | -7,568 | $417,000 | $314,000 | -$103,000 | |
| BME BLACKROCK HEALTH SCIENCES TR | COM | 12,132 | 10,882 | -1,250 | $438,000 | $346,000 | -$92,000 | |
| DIA SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 27,738 | 27,411 | -327 | $5,075,000 | $4,999,000 | -$76,000 | |
| FXG FIRST TR EXCHANGE TRADED FD | CONSUMR STAPLE | 12,790 | 12,000 | -790 | $621,000 | $546,000 | -$75,000 | |
| IYW ISHARES TR | U.S. TECH ETF | 13,380 | 12,249 | -1,131 | $1,520,000 | $1,446,000 | -$74,000 | |
| MDIV FIRST TR EXCHANGE TRADED FD | MULTI ASSET DI | 50,154 | 50,016 | -138 | $974,000 | $902,000 | -$72,000 | |
| SHY ISHARES TR | 1-3 YR TR BD ETF | 5,769 | 4,972 | -797 | $491,000 | $422,000 | -$69,000 | |
| PCM PCM FUND INC | COM | 199,099 | 195,042 | -4,057 | $2,011,000 | $1,944,000 | -$67,000 | |
| GBF ISHARES TR | GOV/CRED BD ETF | 9,581 | 9,166 | -415 | $1,126,000 | $1,060,000 | -$66,000 | |
| DSL DOUBLELINE INCOME SOLUTIONS | COM | 90,136 | 88,386 | -1,750 | $1,698,000 | $1,634,000 | -$64,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X708 | DYNM LRG CP VL | 15,799 | 14,115 | -1,684 | $495,000 | $442,000 | -$53,000 | |
| MGV VANGUARD WORLD FD | MEGA CAP VAL ETF | 10,416 | 9,741 | -675 | $652,000 | $607,000 | -$45,000 | |
| FXU FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 10,587 | 9,510 | -1,077 | $286,000 | $243,000 | -$43,000 | |
| VOT VANGUARD INDEX FDS | MCAP GR IDXVIP | 9,490 | 9,351 | -139 | $1,000,000 | $958,000 | -$42,000 | |
| DHS WISDOMTREE TR | HIGH DIV FD | 7,698 | 7,380 | -318 | $515,000 | $473,000 | -$42,000 | |
| IWP ISHARES TR | RUS MD CP GR ETF | 11,098 | 11,007 | -91 | $1,073,000 | $1,031,000 | -$42,000 | |
| GVI ISHARES TR | INTRM GOV/CR ETF | 7,531 | 7,231 | -300 | $851,000 | $811,000 | -$40,000 | |
| PFN PIMCO INCOME STRATEGY FUND I | COM | 240,396 | 236,459 | -3,937 | $2,226,000 | $2,187,000 | -$39,000 | |
| CFO VICTORY PORTFOLIOS II | CEMP US 500 ENHA | 15,367 | 14,473 | -894 | $587,000 | $550,000 | -$37,000 | |
| IWD ISHARES TR | RUS 1000 VAL ETF | 25,507 | 25,209 | -298 | $2,662,000 | $2,630,000 | -$32,000 | |
| PMM PUTNAM MANAGED MUN INCOM TR | COM | 65,139 | 64,853 | -286 | $514,000 | $488,000 | -$26,000 | |
| FXD FIRST TR EXCHANGE TRADED FD | CONSUMR DISCRE | 8,871 | 8,491 | -380 | $311,000 | $290,000 | -$21,000 | |
| AOM ISHARES | MODERT ALLOC ETF | 13,323 | 12,801 | -522 | $474,000 | $453,000 | -$21,000 | |
| EOD WELLS FARGO GLOBAL DIVIDEND | WF GLOBAL OPPTY | 18,038 | 17,038 | -1,000 | $109,000 | $92,000 | -$17,000 | |
| AWF ALLIANCEBERNSTEIN GBL HGH IN | COM | 36,940 | 36,481 | -459 | $459,000 | $442,000 | -$17,000 | |
| PFL PIMCO INCOME STRATEGY FUND | COM | 195,062 | 192,212 | -2,850 | $2,017,000 | $2,001,000 | -$16,000 | |
| FXN FIRST TR EXCHANGE TRADED FD | ENERGY ALPHADX | 14,628 | 13,485 | -1,143 | $206,000 | $193,000 | -$13,000 | |
| VDE VANGUARD WORLD FDS | ENERGY ETF | 6,100 | 5,971 | -129 | $554,000 | $567,000 | +$13,000 | |
| IPAC ISHARES TR | CORE MSCI PAC | 44,304 | 42,648 | -1,656 | $2,153,000 | $2,141,000 | -$12,000 | |
| IJJ ISHARES TR | S&P MC 400VL ETF | 5,239 | 5,169 | -70 | $685,000 | $674,000 | -$11,000 | |
| SPDW SPDR INDEX SHS FDS | S&P WRLD EX US | 24,517 | 24,199 | -318 | $630,000 | $622,000 | -$8,000 | |
| FDN FIRST TR EXCHANGE TRADED FD | DJ INTERNT IDX | 4,147 | 3,915 | -232 | $319,000 | $313,000 | -$6,000 | |
| SPDR SERIES TRUST CUSIP 78464A417 | BRC HGH YLD BD | 13,751 | 13,339 | -412 | $490,000 | $484,000 | -$6,000 | |
| FLOT ISHARES TR | FLTG RATE BD ETF | 9,365 | 9,236 | -129 | $473,000 | $468,000 | -$5,000 | |
| IWX ISHARES | RUS TP200 VL ETF | 27,322 | 27,281 | -41 | $1,191,000 | $1,195,000 | +$4,000 | |
| ETW EATON VANCE TXMGD GL BUYWR O | COM | 16,592 | 16,494 | -98 | $176,000 | $174,000 | -$2,000 | |
| WISDOMTREE TR CUSIP 97717X693 | STRATEGIC CP BD | 2,975 | 2,965 | -10 | $224,000 | $222,000 | -$2,000 |
Similar Firms
| Firm Name | Country | 13F Value | Holdings |
|---|---|---|---|
| Not available yet | |||