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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 (2016Q4)
Portfolio Summary: 610 holdings with a total value of $790,568,000.
#
Name
Shares
Value ($)
%
Options
Notes
101 ALLIANCE RES PARTNER L P 9,164 206,000 0.03%
102 AIR PRODS & CHEMS INC 1,431 206,000 0.03%
103 EMERSON ELEC CO 3,689 206,000 0.03%
104 HARRIS CORP 2,026 208,000 0.03%
105 ORANGE ADR SPONSORED 13,736 208,000 0.03%
106 ASSOCIATED BANC CORP 8,500 210,000 0.03%
107 ISHARES TR 1,509 211,000 0.03%
108 EASTMAN CHEM CO 2,799 211,000 0.03%
109 SPDR GOLD TR 1,921 211,000 0.03%
110 VANGUARD WORLD FD 1,739 211,000 0.03%
111 VANGUARD BD INDEX FDS 2,551 212,000 0.03%
112 DCP MIDSTREAM LP 5,520 212,000 0.03%
113 NATIONAL GRID PLC 3,626 212,000 0.03%
114 FIRST SOLAR INC 6,640 213,000 0.03%
115 SPDR SER TR 3,611 214,000 0.03%
116 BANK NEW YORK MELLON CORP 4,564 216,000 0.03%
117 APOLLO INVT CORP 37,283 218,000 0.03%
118 HELMERICH & PAYNE INC 2,829 219,000 0.03%
119 TEGNA INC 10,300 220,000 0.03%
120 SPDR SER TR 8,000 221,000 0.03%
121 ISHARES TR 1,213 221,000 0.03%
122 PRAXAIR INC 1,896 222,000 0.03%
123 EQT MIDSTREAM PARTNERS LP 2,890 222,000 0.03%
124 VANGUARD WORLD FDS 1,736 223,000 0.03%
125 SPIRIT RLTY CAP INC NEW 20,565 223,000 0.03%
126 GRACO INC 2,699 224,000 0.03%
127 FIFTH STREET FINANCE CORP 41,714 224,000 0.03%
128 GOVERNMENT PPTYS INCOME TR 11,810 225,000 0.03%
129 VECTOR GROUP LTD 9,924 226,000 0.03%
130 MFS MULTIMARKET INCOME TR 37,500 227,000 0.03%
131 APACHE CORP 3,570 227,000 0.03%
132 AUTONATION INC 4,693 228,000 0.03%
133 OMEROS CORP 23,000 228,000 0.03%
134 NEW YORK MORTGAGE TRUST INC COM 34,628 229,000 0.03%
135 VANGUARD INTL EQUITY INDEX F 5,177 229,000 0.03%
136 COLUMBIA SELIGM PREM TECH GRW 12,271 230,000 0.03%
137 BROADCOM LTD 1,309 231,000 0.03%
138 BANCROFT FD LTD 11,511 233,000 0.03%
139 ISHARES TR 1,558 234,000 0.03%
140 TOMPKINS FINL CORP COM 2,500 236,000 0.03%
141 TRIANGLE CAPITAL CORPORATION 13,005 239,000 0.03%
142 WEYERHAEUSER CO 7,997 241,000 0.03%
143 ISHARES SILVER TR 16,035 242,000 0.03%
144 SSGA ACTIVE ETF TR 5,000 242,000 0.03%
145 UNILEVER PLC 5,991 244,000 0.03%
146 SCHWAB US DIVIDEND EQUITY ETF 5,604 244,000 0.03%
147 XCEL ENERGY INC 6,019 245,000 0.03%
148 KAYNE ANDERSON MLP INVT CO 12,500 245,000 0.03%
149 EBAY INC 8,402 249,000 0.03%
150 WYNDHAM WORLDWIDE CORP 3,285 251,000 0.03%
Page 3 of 13

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001606587-17-000039, filed 2017.01.24).

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.