# EDGAR Filing Document

**Accession Number:** 0001741426
**File Stem:** 0001085146-23-001281
**Filing Date:** 2023-2
**Character Count:** 21272
**Document Hash:** 4face041c36c7325ee46d0fc6c2cf2b6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001085146-23-001281.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001085146-23-001281

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Quad-Cities Investment Group, LLC
- **CENTRAL INDEX KEY:** 0001741426
- **IRS NUMBER:** 272935760
- **STATE OF INCORPORATION:** IA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-18795
- **FILM NUMBER:** 23627829

**BUSINESS ADDRESS:**
- **STREET 1:** 5177 UTICA RIDGE ROAD
- **CITY:** DAVENPORT
- **STATE:** IA
- **ZIP:** 52807
- **BUSINESS PHONE:** 563-484-5000

**MAIL ADDRESS:**
- **STREET 1:** 5177 UTICA RIDGE ROAD
- **CITY:** DAVENPORT
- **STATE:** IA
- **ZIP:** 52807

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Quad-Cities Investment Group LLC<br>**Address:** 5177 UTICA RIDGE ROAD<br>DAVENPORT, IA 52807

**Form 13F File Number:** 028-18795

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Alex Butters<br>**Title:** Regulatory Consultant<br>**Phone:** 310-275-7300

**Signature, Place, and Date of Signing:**

/s/ Alex Butters  Beverly Hills, CA  02-14-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 173

**Form 13F Information Table Value Total:** $135797446

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 3M CO | COM | 88579Y101 |  | 324449 | 2706 | SH |  | SOLE |  | 0 | 0 | 2706 |
| ABBVIE INC | COM | 00287Y109 |  | 556797 | 3445 | SH |  | SOLE |  | 0 | 0 | 3445 |
| ABRDN GLOBAL PREMIER PPTYS F | COM SH BEN INT | 00302L108 |  | 163332 | 41880 | SH |  | SOLE |  | 0 | 0 | 41880 |
| ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 |  | 282712 | 1059 | SH |  | SOLE |  | 0 | 0 | 1059 |
| ADAMS DIVERSIFIED EQUITY FD | COM | 006212104 |  | 308767 | 21236 | SH |  | SOLE |  | 0 | 0 | 21236 |
| ALLIANCEBERNSTEIN GLOBAL HIG | COM | 01879R106 |  | 820164 | 88955 | SH |  | SOLE |  | 0 | 0 | 88955 |
| ALLIANT ENERGY CORP | COM | 018802108 |  | 321803 | 5829 | SH |  | SOLE |  | 0 | 0 | 5829 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 377624 | 4280 | SH |  | SOLE |  | 0 | 0 | 4280 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 511085 | 5760 | SH |  | SOLE |  | 0 | 0 | 5760 |
| AMAZON COM INC | COM | 023135106 |  | 2199120 | 26180 | SH |  | SOLE |  | 0 | 0 | 26180 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 |  | 457505 | 2159 | SH |  | SOLE |  | 0 | 0 | 2159 |
| APPLE INC | COM | 037833100 |  | 10331087 | 79513 | SH |  | SOLE |  | 0 | 0 | 79513 |
| ARES CAPITAL CORP | COM | 04010L103 |  | 594646 | 32195 | SH |  | SOLE |  | 0 | 0 | 32195 |
| AXON ENTERPRISE INC | COM | 05464C101 |  | 306971 | 1850 | SH |  | SOLE |  | 0 | 0 | 1850 |
| BECTON DICKINSON  CO | COM | 075887109 |  | 202423 | 796 | SH |  | SOLE |  | 0 | 0 | 796 |
| BLACKROCK ENHANCED EQUITY DI | COM | 09251A104 |  | 107122 | 11889 | SH |  | SOLE |  | 0 | 0 | 11889 |
| BLACKSTONE INC | COM | 09260D107 |  | 471781 | 6359 | SH |  | SOLE |  | 0 | 0 | 6359 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 270836 | 3764 | SH |  | SOLE |  | 0 | 0 | 3764 |
| BROADCOM INC | COM | 11135F101 |  | 420731 | 752 | SH |  | SOLE |  | 0 | 0 | 752 |
| CALAMOS STRATEGIC TOTAL RETU | COM SH BEN INT | 128125101 |  | 490847 | 36576 | SH |  | SOLE |  | 0 | 0 | 36576 |
| CANADIAN PAC RY LTD | COM | 13645T100 |  | 919109 | 12322 | SH |  | SOLE |  | 0 | 0 | 12322 |
| CATERPILLAR INC | COM | 149123101 |  | 956903 | 3994 | SH |  | SOLE |  | 0 | 0 | 3994 |
| CENTRAL SECS CORP | COM | 155123102 |  | 286177 | 8571 | SH |  | SOLE |  | 0 | 0 | 8571 |
| CHEVRON CORP NEW | COM | 166764100 |  | 247158 | 1377 | SH |  | SOLE |  | 0 | 0 | 1377 |
| CINTAS CORP | COM | 172908105 |  | 386064 | 855 | SH |  | SOLE |  | 0 | 0 | 855 |
| CLEVELAND-CLIFFS INC NEW | COM | 185899101 |  | 343949 | 21350 | SH |  | SOLE |  | 0 | 0 | 21350 |
| COHEN  STEERS INFRASTRUCTUR | COM | 19248A109 |  | 590179 | 24601 | SH |  | SOLE |  | 0 | 0 | 24601 |
| COHEN  STEERS QUALITY INCOM | COM | 19247L106 |  | 2063974 | 179476 | SH |  | SOLE |  | 0 | 0 | 179476 |
| CUMMINS INC | COM | 231021106 |  | 236719 | 977 | SH |  | SOLE |  | 0 | 0 | 977 |
| CVS HEALTH CORP | COM | 126650100 |  | 349450 | 3750 | SH |  | SOLE |  | 0 | 0 | 3750 |
| DEERE  CO | COM | 244199105 |  | 2918931 | 6808 | SH |  | SOLE |  | 0 | 0 | 6808 |
| DEVON ENERGY CORP NEW | COM | 25179M103 |  | 362784 | 5898 | SH |  | SOLE |  | 0 | 0 | 5898 |
| DIAGEO PLC | SPON ADR NEW | 25243Q205 |  | 431740 | 2423 | SH |  | SOLE |  | 0 | 0 | 2423 |
| DIAMONDBACK ENERGY INC | COM | 25278X109 |  | 437696 | 3200 | SH |  | SOLE |  | 0 | 0 | 3200 |
| DIMENSIONAL ETF TRUST | EMERGING MKTS CO | 25434V732 |  | 274574 | 12225 | SH |  | SOLE |  | 0 | 0 | 12225 |
| DIMENSIONAL ETF TRUST | EMGR CRE EQT MNG | 25434V302 |  | 974586 | 44400 | SH |  | SOLE |  | 0 | 0 | 44400 |
| DIMENSIONAL ETF TRUST | INTL CORE EQT MK | 25434V203 |  | 2502947 | 99958 | SH |  | SOLE |  | 0 | 0 | 99958 |
| DIMENSIONAL ETF TRUST | INTL CORE EQUITY | 25434V799 |  | 281342 | 12588 | SH |  | SOLE |  | 0 | 0 | 12588 |
| DIMENSIONAL ETF TRUST | US CORE EQT MKT | 25434V104 |  | 601802 | 22272 | SH |  | SOLE |  | 0 | 0 | 22272 |
| DIMENSIONAL ETF TRUST | US CORE EQUITY 2 | 25434V708 |  | 201403 | 8295 | SH |  | SOLE |  | 0 | 0 | 8295 |
| DIMENSIONAL ETF TRUST | WORLD EX US CORE | 25434V880 |  | 803602 | 37204 | SH |  | SOLE |  | 0 | 0 | 37204 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 |  | 431782 | 4192 | SH |  | SOLE |  | 0 | 0 | 4192 |
| EATON VANCE LTD DURATION INC | COM | 27828H105 |  | 381739 | 40654 | SH |  | SOLE |  | 0 | 0 | 40654 |
| EATON VANCE TAX-MANAGED GLOB | COM | 27829F108 |  | 81587 | 10806 | SH |  | SOLE |  | 0 | 0 | 10806 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 |  | 681042 | 28236 | SH |  | SOLE |  | 0 | 0 | 28236 |
| EOG RES INC | COM | 26875P101 |  | 234954 | 1814 | SH |  | SOLE |  | 0 | 0 | 1814 |
| EXELON CORP | COM | 30161N101 |  | 208046 | 4813 | SH |  | SOLE |  | 0 | 0 | 4813 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 636625 | 5772 | SH |  | SOLE |  | 0 | 0 | 5772 |
| FERRARI N V | COM | N3167Y103 |  | 218591 | 1020 | SH |  | SOLE |  | 0 | 0 | 1020 |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 316188309 |  | 265471 | 5897 | SH |  | SOLE |  | 0 | 0 | 5897 |
| FIRST TR DYNAMIC EUROPE EQUI | COM SHS | 33740D107 |  | 151475 | 13429 | SH |  | SOLE |  | 0 | 0 | 13429 |
| FIRST TR EXCH TRADED FD III | MANAGD MUN ETF | 33739N108 |  | 293921 | 5866 | SH |  | SOLE |  | 0 | 0 | 5866 |
| FIRST TR EXCH TRADED FD III | PFD SECS INC ETF | 33739E108 |  | 6880210 | 409536 | SH |  | SOLE |  | 0 | 0 | 409536 |
| FIRST TR EXCH TRD ALPHDX FD | EM SML CP ALPH | 33737J307 |  | 1420218 | 36472 | SH |  | SOLE |  | 0 | 0 | 36472 |
| FIRST TR EXCHANGE TRAD FD VI | FST TR GLB FD | 33739H101 |  | 3257348 | 133007 | SH |  | SOLE |  | 0 | 0 | 133007 |
| FIRST TR EXCHANGE TRADED FD | FINLS ALPHADEX | 33734X135 |  | 257325 | 6282 | SH |  | SOLE |  | 0 | 0 | 6282 |
| FIRST TR EXCHANGE TRADED FD | INDLS PROD DUR | 33734X150 |  | 458699 | 8905 | SH |  | SOLE |  | 0 | 0 | 8905 |
| FIRST TR EXCHANGE TRADED FD | INDXX NAT RE ETF | 33734X838 |  | 411848 | 30040 | SH |  | SOLE |  | 0 | 0 | 30040 |
| FIRST TR EXCHANGE TRADED FD | MATERIALS ALPH | 33734X168 |  | 938535 | 15490 | SH |  | SOLE |  | 0 | 0 | 15490 |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 33733E104 |  | 2194653 | 29282 | SH |  | SOLE |  | 0 | 0 | 29282 |
| FIRST TR EXCHANGE-TRADED FD | DJ INTERNT IDX | 33733E302 |  | 573941 | 4661 | SH |  | SOLE |  | 0 | 0 | 4661 |
| FIRST TR EXCHANGE-TRADED FD | DORSEY WRT 5 ETF | 33738R605 |  | 998097 | 21441 | SH |  | SOLE |  | 0 | 0 | 21441 |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR ENH NEW | 33739Q408 |  | 2209852 | 37178 | SH |  | SOLE |  | 0 | 0 | 37178 |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR TA HIYL | 33738D408 |  | 1456471 | 37403 | SH |  | SOLE |  | 0 | 0 | 37403 |
| FIRST TR EXCHANGE-TRADED FD | NO AMER ENERGY | 33738D101 |  | 845052 | 31662 | SH |  | SOLE |  | 0 | 0 | 31662 |
| FIRST TR EXCHANGE-TRADED FD | NY ARCA BIOTECH | 33733E203 |  | 1209458 | 7847 | SH |  | SOLE |  | 0 | 0 | 7847 |
| FIRST TR EXCHANGE-TRADED FD | RBA INDL ETF | 33738R704 |  | 225949 | 5121 | SH |  | SOLE |  | 0 | 0 | 5121 |
| FIRST TR EXCHANGE-TRADED FD | RISNG DIVD ACHIV | 33738R506 |  | 925117 | 21064 | SH |  | SOLE |  | 0 | 0 | 21064 |
| FIRST TR EXCHANGE-TRADED FD | SENIOR LN FD | 33738D309 |  | 3587429 | 80454 | SH |  | SOLE |  | 0 | 0 | 80454 |
| FIRST TR EXCHANGE-TRADED FD | SMID RISNG ETF | 33741X102 |  | 240160 | 9219 | SH |  | SOLE |  | 0 | 0 | 9219 |
| FIRST TR EXCHNG TRADED FD VI | CBOE VEST BUFERD | 33740U760 |  | 283964 | 15391 | SH |  | SOLE |  | 0 | 0 | 15391 |
| FIRST TR EXCHNG TRADED FD VI | CBOE VEST FD DEP | 33740U703 |  | 247468 | 12581 | SH |  | SOLE |  | 0 | 0 | 12581 |
| FIRST TR EXCHNG TRADED FD VI | CBOE VEST US EQ | 33740F755 |  | 223499 | 10063 | SH |  | SOLE |  | 0 | 0 | 10063 |
| FIRST TR EXCHNG TRADED FD VI | CBOE VEST US EQ | 33740F730 |  | 219437 | 7013 | SH |  | SOLE |  | 0 | 0 | 7013 |
| FIRST TR EXCHNG TRADED FD VI | TCW OPPORTUNIS | 33740F805 |  | 257918 | 5872 | SH |  | SOLE |  | 0 | 0 | 5872 |
| FIRST TR EXCHNG TRADED FD VI | TCW UNCONSTRAI | 33740F888 |  | 483360 | 20048 | SH |  | SOLE |  | 0 | 0 | 20048 |
| FIRST TR MORNINGSTAR DIVID L | SHS | 336917109 |  | 2466885 | 67475 | SH |  | SOLE |  | 0 | 0 | 67475 |
| FIRST TR MULTI CP VAL ALPHA | SHS ISSUED FRST | 33733C108 |  | 447370 | 6501 | SH |  | SOLE |  | 0 | 0 | 6501 |
| FIRST TR SPECIALTY FIN  FIN | COM BEN INTR | 33733G109 |  | 93423 | 30530 | SH |  | SOLE |  | 0 | 0 | 30530 |
| FLEXSHARES TR | MORNSTAR UPSTR | 33939L407 |  | 774045 | 17806 | SH |  | SOLE |  | 0 | 0 | 17806 |
| FORD MTR CO DEL | COM | 345370860 |  | 442480 | 38046 | SH |  | SOLE |  | 0 | 0 | 38046 |
| FREEPORT-MCMORAN INC | CL B | 35671D857 |  | 343120 | 9029 | SH |  | SOLE |  | 0 | 0 | 9029 |
| GABELLI DIVID  INCOME TR | COM | 36242H104 |  | 250639 | 12161 | SH |  | SOLE |  | 0 | 0 | 12161 |
| GABELLI EQUITY TR INC | COM | 362397101 |  | 155404 | 28358 | SH |  | SOLE |  | 0 | 0 | 28358 |
| GOLDMAN SACHS ETF TR | EQUAL WEIGHT US | 381430438 |  | 243580 | 4204 | SH |  | SOLE |  | 0 | 0 | 4204 |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 |  | 223055 | 650 | SH |  | SOLE |  | 0 | 0 | 650 |
| GUGGENHEIM STRATEGIC OPPORTU | COM SBI | 40167F101 |  | 340254 | 22356 | SH |  | SOLE |  | 0 | 0 | 22356 |
| HARTFORD FDS EXCHANGE TRADED | SHRT DURTN ETF | 41653L602 |  | 404436 | 10714 | SH |  | SOLE |  | 0 | 0 | 10714 |
| HOME DEPOT INC | COM | 437076102 |  | 690873 | 2187 | SH |  | SOLE |  | 0 | 0 | 2187 |
| HONEYWELL INTL INC | COM | 438516106 |  | 246294 | 1149 | SH |  | SOLE |  | 0 | 0 | 1149 |
| INVESCO DB COMMDY INDX TRCK | UNIT | 46138B103 |  | 350517 | 14220 | SH |  | SOLE |  | 0 | 0 | 14220 |
| INVESCO DB MULTI-SECTOR COMM | AGRICULTURE FD | 46140H106 |  | 256832 | 12746 | SH |  | SOLE |  | 0 | 0 | 12746 |
| INVESCO EXCH TRADED FD TR II | FTSE RAFI SML | 46138E735 |  | 354732 | 11976 | SH |  | SOLE |  | 0 | 0 | 11976 |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2023 HY | 46138J858 |  | 451743 | 19380 | SH |  | SOLE |  | 0 | 0 | 19380 |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2024 HY | 46138J833 |  | 417405 | 18870 | SH |  | SOLE |  | 0 | 0 | 18870 |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2025 HY | 46138J817 |  | 387306 | 17517 | SH |  | SOLE |  | 0 | 0 | 17517 |
| INVESCO EXCH TRD SLF IDX FD | INVSCO BLSH 26 | 46138J635 |  | 283527 | 12593 | SH |  | SOLE |  | 0 | 0 | 12593 |
| INVESCO EXCHANGE TRADED FD T | S EQL WGT | 46137V357 |  | 1832124 | 12971 | SH |  | SOLE |  | 0 | 0 | 12971 |
| INVESCO MUN OPPORTUNITY TR | COM | 46132C107 |  | 104168 | 10511 | SH |  | SOLE |  | 0 | 0 | 10511 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 1585713 | 5955 | SH |  | SOLE |  | 0 | 0 | 5955 |
| ISHARES INC | CORE MSCI EMKT | 46434G103 |  | 385824 | 8262 | SH |  | SOLE |  | 0 | 0 | 8262 |
| ISHARES TR | 0-5 YR TIPS ETF | 46429B747 |  | 2277878 | 23493 | SH |  | SOLE |  | 0 | 0 | 23493 |
| ISHARES TR | CONV BD ETF | 46435G102 |  | 497733 | 7165 | SH |  | SOLE |  | 0 | 0 | 7165 |
| ISHARES TR | CORE 1 5 YR USD | 46432F859 |  | 617889 | 13305 | SH |  | SOLE |  | 0 | 0 | 13305 |
| ISHARES TR | CORE DIV GRWTH | 46434V621 |  | 3900770 | 78015 | SH |  | SOLE |  | 0 | 0 | 78015 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 |  | 723168 | 11732 | SH |  | SOLE |  | 0 | 0 | 11732 |
| ISHARES TR | CORE MSCI TOTAL | 46432F834 |  | 300418 | 5190 | SH |  | SOLE |  | 0 | 0 | 5190 |
| ISHARES TR | CORE S MCP ETF | 464287507 |  | 2548089 | 10534 | SH |  | SOLE |  | 0 | 0 | 10534 |
| ISHARES TR | CORE S SCP ETF | 464287804 |  | 2223399 | 23493 | SH |  | SOLE |  | 0 | 0 | 23493 |
| ISHARES TR | CORE S TTL STK | 464287150 |  | 1916684 | 22602 | SH |  | SOLE |  | 0 | 0 | 22602 |
| ISHARES TR | CORE S ETF | 464287200 |  | 3309851 | 8615 | SH |  | SOLE |  | 0 | 0 | 8615 |
| ISHARES TR | CORE TOTAL USD | 46434V613 |  | 898870 | 20006 | SH |  | SOLE |  | 0 | 0 | 20006 |
| ISHARES TR | CORE US AGGBD ET | 464287226 |  | 821507 | 8470 | SH |  | SOLE |  | 0 | 0 | 8470 |
| ISHARES TR | CRE U S REIT ETF | 464288521 |  | 459501 | 9292 | SH |  | SOLE |  | 0 | 0 | 9292 |
| ISHARES TR | EAFE SML CP ETF | 464288273 |  | 213777 | 3785 | SH |  | SOLE |  | 0 | 0 | 3785 |
| ISHARES TR | FALN ANGLS USD | 46435G474 |  | 222557 | 9043 | SH |  | SOLE |  | 0 | 0 | 9043 |
| ISHARES TR | FLTG RATE NT ETF | 46429B655 |  | 359342 | 7140 | SH |  | SOLE |  | 0 | 0 | 7140 |
| ISHARES TR | IBONDS 23 TRM HG | 46435U150 |  | 323512 | 13784 | SH |  | SOLE |  | 0 | 0 | 13784 |
| ISHARES TR | JPMORGAN USD EMG | 464288281 |  | 422442 | 4994 | SH |  | SOLE |  | 0 | 0 | 4994 |
| ISHARES TR | SP SMCP600VL ETF | 464287879 |  | 215582 | 2361 | SH |  | SOLE |  | 0 | 0 | 2361 |
| ISHARES TR | TIPS BD ETF | 464287176 |  | 209940 | 1972 | SH |  | SOLE |  | 0 | 0 | 1972 |
| JANUS DETROIT STR TR | HENDRSN SHRT ETF | 47103U886 |  | 646829 | 13646 | SH |  | SOLE |  | 0 | 0 | 13646 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 490027 | 2774 | SH |  | SOLE |  | 0 | 0 | 2774 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 201166 | 1500 | SH |  | SOLE |  | 0 | 0 | 1500 |
| KINDER MORGAN INC DEL | COM | 49456B101 |  | 649557 | 35927 | SH |  | SOLE |  | 0 | 0 | 35927 |
| LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 |  | 199095 | 34929 | SH |  | SOLE |  | 0 | 0 | 34929 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 474067 | 974 | SH |  | SOLE |  | 0 | 0 | 974 |
| MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 |  | 265147 | 5281 | SH |  | SOLE |  | 0 | 0 | 5281 |
| MANAGED PORTFOLIO SERIES | TORTOISE NRAM PI | 56167N720 |  | 3136131 | 127020 | SH |  | SOLE |  | 0 | 0 | 127020 |
| MERCK  CO INC | COM | 58933Y105 |  | 299714 | 2701 | SH |  | SOLE |  | 0 | 0 | 2701 |
| MICROSOFT CORP | COM | 594918104 |  | 2984411 | 12444 | SH |  | SOLE |  | 0 | 0 | 12444 |
| MORGAN STANLEY EMKT DBT FD I | COM | 61744H105 |  | 286409 | 43793 | SH |  | SOLE |  | 0 | 0 | 43793 |
| NEWPARK RES INC | COM PAR $.01NEW | 651718504 |  | 112050 | 27000 | SH |  | SOLE |  | 0 | 0 | 27000 |
| NOVARTIS AG | SPONSORED ADR | 66987V109 |  | 280143 | 3088 | SH |  | SOLE |  | 0 | 0 | 3088 |
| NUVEEN CR STRATEGIES INCOME | COM SHS | 67073D102 |  | 154000 | 30255 | SH |  | SOLE |  | 0 | 0 | 30255 |
| NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 |  | 191313 | 16213 | SH |  | SOLE |  | 0 | 0 | 16213 |
| ONEOK INC NEW | COM | 682680103 |  | 249292 | 3794 | SH |  | SOLE |  | 0 | 0 | 3794 |
| PEPSICO INC | COM | 713448108 |  | 1259815 | 6973 | SH |  | SOLE |  | 0 | 0 | 6973 |
| PFIZER INC | COM | 717081103 |  | 1268634 | 24759 | SH |  | SOLE |  | 0 | 0 | 24759 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 505495 | 3335 | SH |  | SOLE |  | 0 | 0 | 3335 |
| PROSHARES TR | S MDCP 400 DIV | 74347B680 |  | 1397634 | 19534 | SH |  | SOLE |  | 0 | 0 | 19534 |
| PUTNAM MANAGED MUN INCOME TR | COM | 746823103 |  | 77753 | 12381 | SH |  | SOLE |  | 0 | 0 | 12381 |
| PUTNAM PREMIER INCOME TR | SH BEN INT | 746853100 |  | 1606390 | 442532 | SH |  | SOLE |  | 0 | 0 | 442532 |
| RAYMOND JAMES FINL INC | COM | 754730109 |  | 303826 | 2843 | SH |  | SOLE |  | 0 | 0 | 2843 |
| REALTY INCOME CORP | COM | 756109104 |  | 630858 | 9946 | SH |  | SOLE |  | 0 | 0 | 9946 |
| RLJ LODGING TR | CUM CONV PFD A | 74965L200 |  | 261164 | 10978 | SH |  | SOLE |  | 0 | 0 | 10978 |
| SIRIUS XM HOLDINGS INC | COM | 82968B103 |  | 134320 | 23000 | SH |  | SOLE |  | 0 | 0 | 23000 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 214943 | 562 | SH |  | SOLE |  | 0 | 0 | 562 |
| SPDR SER TR | BBG CONV SEC ETF | 78464A359 |  | 245684 | 3819 | SH |  | SOLE |  | 0 | 0 | 3819 |
| SPDR SER TR | PORTFLI TIPS ETF | 78464A656 |  | 856141 | 33235 | SH |  | SOLE |  | 0 | 0 | 33235 |
| STARWOOD PPTY TR INC | NOTE 4.375% 4/0 | 85571BAH8 |  | 9694 | 10000 | SH |  | SOLE |  | 0 | 0 | 10000 |
| STRYKER CORPORATION | COM | 863667101 |  | 244490 | 1000 | SH |  | SOLE |  | 0 | 0 | 1000 |
| SUNOCO LP/SUNOCO FIN CORP | COM UT REP LP | 86765K109 |  | 777011 | 18028 | SH |  | SOLE |  | 0 | 0 | 18028 |
| TEKLA LIFE SCIENCES INVS | SH BEN INT | 87911K100 |  | 151714 | 10677 | SH |  | SOLE |  | 0 | 0 | 10677 |
| TESLA INC | COM | 88160R101 |  | 594590 | 4827 | SH |  | SOLE |  | 0 | 0 | 4827 |
| TRITON INTL LTD | CL A | G9078F107 |  | 948883 | 13796 | SH |  | SOLE |  | 0 | 0 | 13796 |
| UBER TECHNOLOGIES INC | COM | 90353T100 |  | 323073 | 13064 | SH |  | SOLE |  | 0 | 0 | 13064 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 |  | 242864 | 1397 | SH |  | SOLE |  | 0 | 0 | 1397 |
| US BANCORP DEL | COM NEW | 902973304 |  | 935030 | 21441 | SH |  | SOLE |  | 0 | 0 | 21441 |
| VALERO ENERGY CORP | COM | 91913Y100 |  | 627256 | 4944 | SH |  | SOLE |  | 0 | 0 | 4944 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 |  | 316156 | 1484 | SH |  | SOLE |  | 0 | 0 | 1484 |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 |  | 367525 | 2718 | SH |  | SOLE |  | 0 | 0 | 2718 |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 922908553 |  | 306464 | 3716 | SH |  | SOLE |  | 0 | 0 | 3716 |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 |  | 317024 | 6787 | SH |  | SOLE |  | 0 | 0 | 6787 |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 921943858 |  | 316496 | 7541 | SH |  | SOLE |  | 0 | 0 | 7541 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 326650 | 8291 | SH |  | SOLE |  | 0 | 0 | 8291 |
| VISA INC | COM CL A | 92826C839 |  | 439015 | 2113 | SH |  | SOLE |  | 0 | 0 | 2113 |
| WALGREENS BOOTS ALLIANCE INC | COM | 931427108 |  | 368006 | 9850 | SH |  | SOLE |  | 0 | 0 | 9850 |
| WALMART INC | COM | 931142103 |  | 1519059 | 10713 | SH |  | SOLE |  | 0 | 0 | 10713 |
| WELLS FARGO CO NEW | COM | 949746101 |  | 1353815 | 32788 | SH |  | SOLE |  | 0 | 0 | 32788 |
| WESTERN ASSET MTG DEFINED OP | COM | 95790B109 |  | 146296 | 13584 | SH |  | SOLE |  | 0 | 0 | 13584 |
| WESTERN ASSET MUN HIGH INCOM | COM | 95766N103 |  | 284770 | 44635 | SH |  | SOLE |  | 0 | 0 | 44635 |
| ZOETIS INC | CL A | 98978V103 |  | 422767 | 2885 | SH |  | SOLE |  | 0 | 0 | 2885 |

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