Sonora Investment Management, LLC current holdings: USA ETF
Sonora Investment Management, LLC reported $3.97 billion in exchange-traded fund shares (known by the fund name on the filing) (listed in the US), 48 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are PFL, PFN, EAD.
- PFL: Country of operation —; Class Equities; Shares 66,676; Value $712,766,000.
- PFN: Country of operation —; Class Equities; Shares 71,610; Value $682,443,000.
- EAD: Country of operation —; Class Equities; Shares 57,573; Value $481,310,000.
- HIX: Country of operation —; Class Equities; Shares 59,468; Value $426,980,000.
Form 13F-HR as filed (SEC CIK 1418539): quarter ended 2016-09-30, filed 2016-10-17. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.
Performance is each holding's price change from its close on the 2016-09-30 quarter end to its latest retained close (2026-09-29, or the date shown for a stock that stopped trading). Price only; dividends are not included. A stock that split in the period is restated by the split ratio in its own Form 8-K; a dash marks a holding with no retained closes.
| Stock | Country of operation | Class | Shares | Value | Quarter end | Filed | Performance |
|---|
PFL
PIMCO INC STRAT FD | | Equities | 66,676 | $712,766,000 | 2016-09-30 | 2016-10-17 | |
|---|
PFN
PIMCO INC STRAT FD I | | Equities | 71,610 | $682,443,000 | 2016-09-30 | 2016-10-17 | |
|---|
EAD
EVERGREEN INC ADVANT | | Equities | 57,573 | $481,310,000 | 2016-09-30 | 2016-10-17 | |
|---|
HIX
WESTERN ASSET HI INC | | Equities | 59,468 | $426,980,000 | 2016-09-30 | 2016-10-17 | |
|---|
HYI
WESTERN ASSET HY DEF | | Equities | 19,000 | $292,790,000 | 2016-09-30 | 2016-10-17 | |
|---|
DHY
CREDIT SUISSE HY BD | | Equities | 90,000 | $232,200,000 | 2016-09-30 | 2016-10-17 | |
|---|
SPY
SPDR S&P 500 ETF | | Equities | 567 | $122,642,000 | 2016-09-30 | 2016-10-17 | |
|---|
PML
PIMCO MUNI INC FD II | | Equities | 8,321 | $113,665,000 | 2016-09-30 | 2016-10-17 | |
|---|
NAD
NUVEEN DIV ADV MUNI | | Equities | 6,148 | $92,650,000 | 2016-09-30 | 2016-10-17 | |
|---|
VV
VANGUARD LC ETF | | Equities | 933 | $92,518,000 | 2016-09-30 | 2016-10-17 | |
|---|
VTI
VANGUARD TOTAL STOCK | | Equities | 667 | $74,272,000 | 2016-09-30 | 2016-10-17 | |
|---|
VGM
INVESCO TRUST FOR IN | | Equities | 4,828 | $68,075,000 | 2016-09-30 | 2016-10-17 | |
|---|
BABA
ALIBABA GROUP HLDG A | | Equities | 600 | $63,474,000 | 2016-09-30 | 2016-10-17 | |
|---|
XLF
FINANCIAL SELECT SEC | | Equities | 3,079 | $59,425,000 | 2016-09-30 | 2016-10-17 | |
|---|
GUGGENHEIM ETF
CUSIP 78355W106 | | Equities | 565 | $47,228,000 | 2016-09-30 | 2016-10-17 | |
|---|
FIRST TRUST DJ INTER
CUSIP 33733E306 | | Equities | 547 | $44,613,000 | 2016-09-30 | 2016-10-17 | |
|---|
EPI
WISDOMTREE INDIA EAR | | Equities | 1,750 | $37,835,000 | 2016-09-30 | 2016-10-17 | |
|---|
STPZ
PIMCO 1-5 YR US TIPS | | Equities | 700 | $36,883,000 | 2016-09-30 | 2016-10-17 | |
|---|
FIRST TR COMBINED SE
CUSIP 33735N730 | | Unit Trusts | 30 | $27,535,000 | 2016-09-30 | 2016-10-17 | |
|---|
SDOG
ALPS SECTOR DIVIDEND | | Equities | 650 | $27,021,000 | 2016-09-30 | 2016-10-17 | |
|---|
XLV
HEALTHCARE SELECT SE | | Equities | 340 | $24,517,000 | 2016-09-30 | 2016-10-17 | |
|---|
XLK
TECH SELECT SECTOR S | | Equities | 502 | $23,986,000 | 2016-09-30 | 2016-10-17 | |
|---|
BBN
BLACKROCK TAXABLE MU | | Equities | 1,000 | $23,970,000 | 2016-09-30 | 2016-10-17 | |
|---|
HDV
ISHARES CORE HIGH DI | | Equities | 276 | $22,433,000 | 2016-09-30 | 2016-10-17 | |
|---|
IMCB
ISHARES MORNINGSTAR | | Equities | 119 | $18,376,000 | 2016-09-30 | 2016-10-17 | |
|---|
PROSHARES ULTRASHORT
CUSIP 74348A590 | | Equities | 1,000 | $16,850,000 | 2016-09-30 | 2016-10-17 | |
|---|
PROSHARES ULTRASHORT
CUSIP 74347R883 | | Equities | 1,010 | $16,554,000 | 2016-09-30 | 2016-10-17 | |
|---|
XLRE
RE SEL SECT SPDR | | Equities | 427 | $13,993,000 | 2016-09-30 | 2016-10-17 | |
|---|
ALERIAN MLP ETF
CUSIP 00162Q866 | | Equities | 1,000 | $12,690,000 | 2016-09-30 | 2016-10-17 | |
|---|
MUB
ISHARES NATL MUNI BD | | Equities | 109 | $12,290,000 | 2016-09-30 | 2016-10-17 | |
|---|
JCE
NUVEEN CORE EQUITY A | | Equities | 700 | $9,611,000 | 2016-09-30 | 2016-10-17 | |
|---|
SYLD
CAMBRIA SHAREHOLDER | | Equities | 200 | $6,010,000 | 2016-09-30 | 2016-10-17 | |
|---|
ETY
EATON VANCE TAX-MANA | | Equities | 420 | $4,498,000 | 2016-09-30 | 2016-10-17 | |
|---|
PROSHARES SHORT DOW
CUSIP 74347R701 | | Equities | 200 | $4,148,000 | 2016-09-30 | 2016-10-17 | |
|---|
MGC
VANGUARD MGC ETF | | Equities | 55 | $4,056,000 | 2016-09-30 | 2016-10-17 | |
|---|
VWO
VANGUARD EMERGING MA | | Equities | 104 | $3,914,000 | 2016-09-30 | 2016-10-17 | |
|---|
VNQ
VANGUARD REIT ETF | | Equities | 45 | $3,903,000 | 2016-09-30 | 2016-10-17 | |
|---|
PROSHARES SHORT RE
CUSIP 74347X641 | | Equities | 200 | $3,410,000 | 2016-09-30 | 2016-10-17 | |
|---|
EEM
ISHARES MSCI EMER MK | | Equities | 60 | $2,247,000 | 2016-09-30 | 2016-10-17 | |
|---|
SPDR DOW JONES INDUS
CUSIP 252787106 | | Equities | 10 | $1,828,000 | 2016-09-30 | 2016-10-17 | |
|---|
SCHA
SCHWAB US SC ETF | | Equities | 25 | $1,439,000 | 2016-09-30 | 2016-10-17 | |
|---|
IWN
ISHARES RUSSELL 2000 | | Equities | 10 | $1,242,000 | 2016-09-30 | 2016-10-17 | |
|---|
SCHX
SCHWAB US LC ETF | | Equities | 20 | $1,032,000 | 2016-09-30 | 2016-10-17 | |
|---|
SCHV
SCHWAB US LC VAL ETF | | Equities | 20 | $911,000 | 2016-09-30 | 2016-10-17 | |
|---|
SCHH
SCHWAB US REIT ETF | | Equities | 16 | $682,000 | 2016-09-30 | 2016-10-17 | |
|---|
SPROTT RESOURCES CP
CUSIP 85207D103 | | Equities | 1,000 | $361,000 | 2016-09-30 | 2016-10-17 | |
|---|
SPDR S&P OIL & GAS E
CUSIP 78464A730 | | Equities | 0 | $19,000 | 2016-09-30 | 2016-10-17 | |
|---|
SPDR S&P OIL & GAS E
CUSIP 78464A748 | | Equities | 1 | $11,000 | 2016-09-30 | 2016-10-17 | |
|---|
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