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Institutional Investment Manager
SHEAFF BROCK INVESTMENT ADVISORS, LLC
SHEAFF BROCK INVESTMENT ADVISORS, LLC (CIK: 0001666789). Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 557 holdings with a total value of $749,230,000.
#
Name
Shares
Value ($)
%
Options
Notes
101 DIVIDEND & INCOME FUND 19,100 214,000 0.03%
102 VANGUARD INDEX FDS 1,755 214,000 0.03%
103 BLACKROCK MUNIHOLD QU FU II IN COM 14,500 214,000 0.03%
104 ISHARES TR 741 215,000 0.03%
105 AIR PRODS & CHEMS INC 1,431 215,000 0.03%
106 BANCROFT FD LTD 10,223 215,000 0.03%
107 SPDR SER TR 3,260 216,000 0.03%
108 APOLLO INVT CORP 37,283 216,000 0.03%
109 LINCOLN NATL CORP IND 4,590 216,000 0.03%
110 ANHEUSER BUSCH INBEV SA/NV 1,650 217,000 0.03%
111 PARKER HANNIFIN CORP 1,725 217,000 0.03%
112 MARATHON OIL CORP 13,720 217,000 0.03%
113 PENGROWTH ENERGY CORP 136,600 217,000 0.03%
114 AUTONATION INC 4,468 218,000 0.03%
115 PRAXAIR INC 1,816 219,000 0.03%
116 KCAP FINL INC 47,475 220,000 0.03%
117 PEMBINA PIPELINE CORP 7,250 221,000 0.03%
118 KAYNE ANDERSON MLP INVT CO 10,700 221,000 0.03%
119 SPDR SER TR 8,000 222,000 0.03%
120 Penns Woods Bancorp Inc 5,005 223,000 0.03%
121 AMEREN CORP 4,531 223,000 0.03%
122 VANGUARD INTL EQUITY INDEX F 4,916 223,000 0.03%
123 ISHARES INC 10,708 224,000 0.03%
124 NEXTERA ENERGY INC 1,850 226,000 0.03%
125 COLUMBIA SELIGM PREM TECH GRW 12,271 228,000 0.03%
126 MFS MULTIMARKET INCOME TR 37,500 228,000 0.03%
127 EASTMAN CHEM CO 3,400 230,000 0.03%
128 CIGNA CORPORATION 1,762 230,000 0.03%
129 FIFTH STREET FINANCE CORP 39,980 232,000 0.03%
130 METLIFE INC 5,277 234,000 0.03%
131 SCHWAB US DIVIDEND EQUITY ETF 5,554 235,000 0.03%
132 TEGNA INC 10,900 238,000 0.03%
133 NEW YORK CMNTY BANCORP INC 16,750 238,000 0.03%
134 NOVARTIS A G 3,014 238,000 0.03%
135 PPG INDS INC 2,298 238,000 0.03%
136 UNDER ARMOUR INC 7,059 239,000 0.03%
137 EOG RES INC 2,468 239,000 0.03%
138 FEDERAL MOGUL HOLDINGS ORD 25,000 240,000 0.03%
139 SIMON PPTY GROUP INC NEW 1,158 240,000 0.03%
140 HUMANA INC 1,371 243,000 0.03%
141 POWERSHARES ETF TR II 6,290 245,000 0.03%
142 FONAR CORP 12,030 247,000 0.03%
143 HCP INC 6,506 247,000 0.03%
144 POWERSHARES ETF TRUST 13,000 248,000 0.03%
145 GLOBAL X FDS 10,000 249,000 0.03%
146 MB FINL INC 6,558 249,000 0.03%
147 TEXTRON INC 6,300 250,000 0.03%
148 SRC ENERGY INC 36,192 251,000 0.03%
149 SSGA ACTIVE ETF TR 5,000 251,000 0.03%
150 SELECT SECTOR SPDR TR 4,712 251,000 0.03%
Page 3 of 12

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001606587-16-000834, filed 2016.11.08).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.