Avoid Fraud, Get The Facts, And Find The Best
Legal Name: SHEPHERD KAPLAN KROCHUK, LLC
Period of report:
Jun 30, 2019
Effectiveness Date:
Aug 12, 2019
| Security |
Shares Held / Principal Amount |
Market Value |
Option |
|
SPDR S&P 500 ETF TR TR UNIT (78462F103)
|
61,600 |
$18,049k |
Put |
|
Berkshire Hathaway, Inc. (084670702)
|
45,563 |
$9,713k |
|
|
COPART INC (217204106)
|
55,748 |
$4,167k |
|
|
DAVITA INC (23918K108)
|
57,400 |
$3,229k |
|
|
ALPS ALERIAN MLP ETF (00162Q866)
|
268,242 |
$2,642k |
|
|
Diamondback Energy Inc (25278X109)
|
21,967 |
$2,394k |
|
|
American Express Co. (025816109)
|
18,940 |
$2,338k |
|
|
WPX ENERGY INC (98212B103)
|
187,267 |
$2,155k |
|
|
WALGREENS BOOTS ALLI (931427108)
|
37,200 |
$2,034k |
|
|
DELTA AIR LINES (247361702)
|
35,200 |
$1,998k |
|
|
Pioneer Natural Resources Co (723787107)
|
12,802 |
$1,970k |
|
|
NOBLE ENERGY INC (655044105)
|
84,410 |
$1,891k |
|
|
PARSLEY ENERGY INC (701877102)
|
96,920 |
$1,842k |
|
|
CIMAREX ENERGY CO (171798101)
|
30,754 |
$1,825k |
|
|
S&P GLOBAL INC (78409V104)
|
8,003 |
$1,823k |
|
|
WHITING PETE CORP (966387409)
|
96,347 |
$1,800k |
|
|
CAMPBELL SOUP CO (134429109)
|
44,450 |
$1,781k |
|
|
Marathon Petroleum Corp (56585A102)
|
31,100 |
$1,738k |
|
|
MAG SILVER CORP (55903Q104)
|
160,238 |
$1,689k |
|
|
Thermo Fisher Scientific Inc (883556102)
|
5,731 |
$1,683k |
|
|
ISHARES TR S&P 500 GRWT ETF (464287309)
|
8,773 |
$1,572k |
|
|
UNITEDHEALTH GRP INC (91324P102)
|
5,993 |
$1,462k |
|
|
WISDOMTREE LARGECAP DIV (97717W307)
|
14,827 |
$1,437k |
|
|
CITIGROUP INC (172967424)
|
19,736 |
$1,382k |
|
|
MICROSOFT CORP (594918104)
|
10,309 |
$1,381k |
|
|
PATTERN ENERGY GROUP INC (70338P100)
|
57,150 |
$1,320k |
|
|
INVESCO QQQ TR UNIT SER 1 (46090E103)
|
6,700 |
$1,251k |
Put |
|
BWX Technologies (BWXT) (05605H100)
|
23,887 |
$1,245k |
|
|
Callon Petroleum Co (13123X102)
|
184,269 |
$1,214k |
|
|
AVIS BUDGET GROUP (053774105)
|
34,400 |
$1,210k |
|
|
ANTHEM INC (036752103)
|
3,930 |
$1,109k |
|
|
METHANEX CORPORATION (59151K108)
|
23,660 |
$1,076k |
|
|
PEPSICO INC (713448108)
|
8,082 |
$1,060k |
|
|
ORION ENG CARBNS S.A (L72967109)
|
49,306 |
$1,056k |
|
|
UNITED AIRLINES HLDG (910047109)
|
12,029 |
$1,053k |
|
|
American International Group (026874784)
|
19,701 |
$1,050k |
|
|
AAL (02376R102)
|
31,500 |
$1,027k |
|
|
ULTRA CLEAN HLDGS INC (90385v107)
|
72,000 |
$1,002k |
|
|
Phillips 66 (718546104)
|
10,639 |
$995k |
|
|
GILEAD SCIENCES INC (375558103)
|
14,031 |
$948k |
|
|
PRETIUM RES INC (74139C102)
|
93,029 |
$931k |
|
|
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF (922042742)
|
12,168 |
$915k |
|
|
Alphabet Inc (02079K107)
|
830 |
$897k |
|
|
Nutrien Ltd (67077M108)
|
16,428 |
$878k |
|
|
TRAVELERS CO(THE) (89417E109)
|
5,855 |
$875k |
|
|
FIDELITY NATL INFO (31620M106)
|
7,094 |
$870k |
|
|
COCA-COLA CO (191216100)
|
16,781 |
$854k |
|
|
CELGENE CORP (151020104)
|
9,000 |
$832k |
|
|
ABBOTT LABS (002824100)
|
9,822 |
$826k |
|
|
VANGUARD INDEX FDS S&P 500 ETF SHS (922908363)
|
2,998 |
$807k |
|
|
GAIA INC NEW (36269P104)
|
106,094 |
$804k |
|
|
SINCLAIR BROADCAST GROUP INCCL (829226109)
|
15,000 |
$804k |
|
|
VANGUARD INDEX FDS MID CAP ETF (922908629)
|
4,638 |
$775k |
|
|
KEARNY FINL CORP MD (48716P108)
|
58,000 |
$771k |
|
|
AXALTA COATING SYS LTD (G0750C108)
|
23,900 |
$712k |
|
|
Concho Resources Inc (20605P101)
|
6,712 |
$693k |
|
|
INDEPNDNT BK OF MASS (453836108)
|
9,029 |
$688k |
|
|
PayPal Holdings Inc (70450Y103)
|
5,969 |
$683k |
|
|
WHEATON PRECIOUS METALS CORP COM NPV ISIN #CA9628791027 SEDOL #B (962879102)
|
28,200 |
$682k |
Call |
|
ALTRA INDL MOTION (02208R106)
|
19,000 |
$682k |
|
|
MONDELEZ INTL INC (609207105)
|
12,547 |
$676k |
|
|
ISHARES (464287234)
|
15,243 |
$654k |
|
|
BERKSHIRE HATHAWAY (084670108)
|
2 |
$637k |
|
|
WALMART INC COM (931142103)
|
5,598 |
$619k |
|
|
Facebook Inc (30303M102)
|
3,175 |
$613k |
|
|
PROSHARES TR (74347X831)
|
9,900 |
$612k |
Put |
|
SNAP-ON INC (833034101)
|
3,612 |
$598k |
|
|
Bank of New York Mellon Corp. (064058100)
|
12,701 |
$561k |
|
|
MOHAWK INDS INC (608190104)
|
3,800 |
$560k |
|
|
GENERAL AMERN INVS (368802104)
|
15,530 |
$551k |
|
|
AllianzGI NFJ Div Int & Prem S (01883A107)
|
43,860 |
$544k |
|
|
FIRST TR HIGH INCOME L/S FD (33738E109)
|
36,190 |
$544k |
|
|
ISHARES TR RUS MD CP GR ETF (464287481)
|
3,802 |
$542k |
|
|
PROCTER & GAMBLE CO (742718109)
|
4,935 |
$541k |
|
|
Berry Global Group, Inc. (08579W103)
|
10,149 |
$534k |
|
|
MORGAN STANLEY EM MKTS DM DE (617477104)
|
77,250 |
$534k |
|
|
BLACKROCK RES & COMM STRAT T (09257A108)
|
64,660 |
$529k |
|
|
ENBRIDGE INC (29250N105)
|
14,600 |
$527k |
|
|
VISA INC COM CL A (92826C839)
|
3,000 |
$521k |
|
|
DIVIDEND & INCOME FUND (25538A204)
|
45,120 |
$520k |
|
|
ADAMS NATURAL RESOURCES (00548f105)
|
31,230 |
$517k |
|
|
ABERDEEN ASIA PACIFIC INCOM (003009107)
|
123,520 |
$516k |
|
|
CBRE CLARION GBL (12504G100)
|
63,810 |
$478k |
|
|
INVESCO EXCHNG TRADED FD TR (46138E420)
|
14,556 |
$475k |
|
|
SEAGATE TECHNOLOGY (G7945M107)
|
9,957 |
$469k |
|
|
PCSB FINANCIAL CORPORATION COM (69324R104)
|
23,100 |
$468k |
|
|
AMGEN INC (031162100)
|
2,476 |
$456k |
|
|
JOHNSON & JOHNSON (478160104)
|
3,258 |
$454k |
|
|
Bank of America Corp. (060505104)
|
15,616 |
$453k |
|
|
CENOVUS ENERGY (15135U109)
|
50,200 |
$443k |
Call |
|
FMC CORP (302491303)
|
5,202 |
$432k |
|
|
CONSOL ENERGY INC NEW COM (20854L108)
|
15,500 |
$412k |
|
|
BLACKROCK ENHANCED (092501105)
|
38,290 |
$411k |
|
|
SPDR SERIES TRUST (78464A698)
|
7,659 |
$409k |
|
|
KIRKLAND LAKE GOLD COM NPV ISIN #CA49741E1007 SEDOL #BD4G349 (49741E100)
|
9,500 |
$408k |
|
|
BLACKROCK FLOAT RATE OME STR (09255X100)
|
30,770 |
$395k |
|
|
AGNICO EAGLE MINES LTD (008474108)
|
7,648 |
$392k |
|
|
HIGHPOINT RES CORP (43114K108)
|
215,300 |
$392k |
|
|
VANGUARD INDEX FDS TOTAL STK MKT (922908769)
|
2,511 |
$377k |
|
|
QUALCOMM INC (747525103)
|
4,900 |
$373k |
|
|
WISDOMTREE TRUST (97717X628)
|
14,420 |
$362k |
|
|
ISHARES TR (464288679)
|
3,270 |
$362k |
|
|
GOLDMAN SACHS ETF TR (381430529)
|
3,600 |
$361k |
|
|
iShares Treasury Floating Rate Bond (46434V860)
|
7,180 |
$361k |
|
|
SPDR SERIES TRUST (78468r663)
|
3,940 |
$361k |
|
|
CENTRAL SECS CORP (155123102)
|
11,430 |
$349k |
|
|
GROUP 1 AUTOMOTIVE INC (398905109)
|
4,129 |
$338k |
|
|
PENN NATIONAL GAMING INC COM (707569109)
|
17,500 |
$337k |
|
|
CORE LABORATORIES (N22717107)
|
6,358 |
$332k |
|
|
FLEX LTD ORD (Y2573F102)
|
34,437 |
$330k |
|
|
VANGUARD ADMIRAL F (921932828)
|
2,250 |
$321k |
|
|
HARBORONE BANCORP INC (41165F101)
|
16,948 |
$317k |
|
|
ISHARES TR RUS MID CAP ETF (464287499)
|
5,438 |
$304k |
|
|
NUVEEN REAL ASSET INCOME AND GROWTH FUND (67074Y105)
|
16,890 |
$286k |
|
|
FRANKLIN UNVL TR (355145103)
|
38,700 |
$283k |
|
|
ISHARES TR CORE S&P SCP ETF (464287804)
|
3,614 |
$283k |
|
|
IAA INC (449253103)
|
7,254 |
$281k |
|
|
WFC Adv Income (94987b105)
|
33,690 |
$278k |
|
|
M S Emerging Market Debt (61744H105)
|
29,730 |
$277k |
|
|
ISHARES TR S&P MC 400GR ETF (464287606)
|
1,221 |
$276k |
|
|
SPDR GOLD TR GOLD (78463V107)
|
2,057 |
$274k |
|
|
HANCOCK JOHN INVS TR (410142103)
|
16,630 |
$273k |
|
|
Delaware Enhanced Global Dividend & Income (246060107)
|
27,240 |
$270k |
|
|
EAGLE MATERIALS INC (26969P108)
|
2,900 |
$269k |
|
|
VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF (921943858)
|
6,309 |
$263k |
|
|
INVESCO DYNAMIC CR OPP FD (46132R104)
|
23,550 |
$263k |
|
|
GABELLI HLTHCARE & WELLNESS (36246K103)
|
24,760 |
$261k |
|
|
SPDR SERIES TRUST (78464A797)
|
5,902 |
$256k |
|
|
TECNOGLASS INC (G87264100)
|
38,000 |
$247k |
|
|
BLACKROCK ENHNCD EQ (09251A104)
|
26,970 |
$239k |
|
|
BIOLIFE SOLUTIONS (09062W204)
|
14,000 |
$237k |
|
|
SOURCE CAP INC (836144105)
|
6,470 |
$237k |
|
|
ISHARES TR RUS 1000 VAL ETF (464287598)
|
1,846 |
$235k |
|
|
DAWSON GEOPHYSICAL CO NEW COM (239360100)
|
92,000 |
$230k |
|
|
MEXICO FUND (592835102)
|
16,460 |
$226k |
|
|
Tesla Inc (88160R101)
|
1,000 |
$223k |
Put |
|
VANGUARD INDEX FDS SMALL CP ET (922908751)
|
1,420 |
$222k |
|
|
LOGMEIN INC (54142L109)
|
3,000 |
$221k |
|
|
ADAMS DIVERSIFIED EQUITY FD (006212104)
|
13,590 |
$210k |
|
|
BLACKROCK ENHANCED INTL DIV (092524107)
|
35,950 |
$202k |
|
|
ISHARES (464287556)
|
1,856 |
$202k |
|
|
VANGUARD INDEX FDS SM CP VAL ETF (922908611)
|
1,543 |
$201k |
|
|
TEKLA HEALTHCARE OPPORTUNIT (879105104)
|
11,210 |
$200k |
|
|
BLACKROCK CR. ALLOC (092508100)
|
13,010 |
$169k |
|
|
NEXGEN ENERGY LTD (65340P106)
|
107,000 |
$168k |
|
|
International Game Technolog (G4863A108)
|
12,300 |
$160k |
|
|
ROYCE MICRO-CAP TR INC (780915104)
|
19,000 |
$156k |
|
|
NUVERRA ENVIRONMENTL (67091K302)
|
35,000 |
$144k |
|
|
ANTERO RES CORP (03674X106)
|
25,333 |
$140k |
|
|
GABELLI GLBL SMALL & MID (36249W104)
|
12,030 |
$140k |
|
|
ROYCE VALUE TR INC (780910105)
|
10,060 |
$140k |
|
|
CREDIT SUISSE ASSET MGMT INC (224916106)
|
43,900 |
$137k |
|
|
ROYCE GLOBAL VL TRST (78081T104)
|
12,430 |
$131k |
|
|
BOULDER GROWTH & INCOME FD I (101507101)
|
11,600 |
$130k |
|
|
EATON VANCE SR INCOME TR (27826S103)
|
20,490 |
$128k |
|
|
AZURE PWR GLOBAL LTD (V0393H103)
|
11,200 |
$118k |
|
|
Japan Smaller Capitalization Fund Inc (47109U104)
|
12,500 |
$106k |
|
|
KINROSS GOLD CORP (496902404)
|
16,500 |
$64k |
|
|
CHECKPOINT THERAPEUTICS INC (162828107)
|
10,000 |
$30k |
|
Many people have been burned by frauds and Ponzi schemes. So we created this website to help you, the potential investor, get the facts, find the best, and avoid fraud and Ponzi schemes.
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