The securities on our exclusion lists are updated from various sources, such as Yahoo Finance, Zacks Investment Research, Wall Street Concepts, and the Genocide Intervention Network. The exclusion lists include the following groupings of securities.
Alcohol
Company Name (Security Symbol)
- Anheuser Busch Inbev SA/NV ADR (BUD)
- Boston Beer Inc Cl A (SAM)
- Craft Brew Alliance, Inc (BREW)
- Brown Forman Corp Cl A (BF.A)
- Brown Forman Corp Cl B (BF.B)
- Castle Brands Inc Com (ROX)
- Central European Dist Corp (CEDC)
- China New Borun Corp ADR (BORN)
- Compania Cervecerias Unidas S.A. (CCU)
- Constellation Brands Inc Cl A (STZ)
- Crimson Wine Group, Ltd. (CWGL)
- Diageo Plc ADR New (DEO)
- Formento Economico Mexicano, S.A.B. De Cv (FMX)
- Heineken N V Sponsored Adr Adr (HEINY)
- Mgp Ingredients Inc Com (MGPI)
- Molson Coors Brewing Co Cl B (TAP)
- Sabmiller PLC Sponsored ADR (SBMRY)
- Treasury Wine Estates Ltd Adr (TSRYY)
- Vina Concha Y Toro Sa ADR (VCO)
- Willamette Valley Vineyards Inc (WVVI)
Factory Farming
Many investors are looking to avoid the animal abuse and consumer backlash associated with factory farm practices. Though there are many publicly-owned food companies with ties to factory farming, this particular exclusion list is updated with information provided by The Humane Society of the United States (HSUS), based on the organization’s view of companies that are not moving with consumer expectations on the most important animal well-being issues.
The exclusion lists include the following groupings of securities.
Company Name (Security Symbol)
- Biglari Hldgs Inc.(BH)
- Buffalo Wild Wings Inc. (BWLD)
- El Pollo Loco Hldgs Inc. (LOCO)
- Pilgrims Pride Corp. (PPC)
- Popeyes LA Kitchen Inc. (PLKI)
- Post Holdings Inc. (POST)
- Seaboard Corp. (SEB)
Gambling
Company Name (Security Symbol)
- Ameristar Casinos Inc (ASCA)
- Bally Technologies Inc (BYI)
- Boyd Gaming Corp (BYD)
- Caesars Acquisition Company (CACQ)
- Caesars Entmt Corp Com (CZR)
- Canterbury Park Holding Corp. (CPHC)
- Century Casinos Inc (CNTY)
- Churchill Downs Inc (CHDN)
- Dover Downs Gaming & Entertainment (DDE)
- Elixir Gaming Technologies, Inc. (EGT)
- Empire Resorts Inc (NYNY)
- Full House Resorts Inc (FLL)
- Gametech International Inc (GMTCQ)
- Gaming Partners Intl Corp (GPIC)
- Iao Kun Group Holding Company Limited (IKGH)
- International Game Technology (IGT)
- Isle Of Capri Casinos Inc (ISLE)
- Lakes Entertainment Inc (LACO)
- Las Vegas Sands Corp Com (LVS)
- Melco Crown Entertainment Ltd ADR (MPEL)
- MGM Mirage (MGM)
- Monarch Casino & Resort Inc (MCRI)
- MTR Gaming Group Inc (MNTG)
- Multimedia Game Inc (MGAM)
- Nevada Gold & Casinos Inc (UWN)
- Penn National Gaming Inc (PENN)
- Pinnacle Entertainment Inc (PNK)
- PokerTek Inc Com (PTEK)
- Scientific Games Corp Cl A (SGMS)
- Shuffle Master Inc (SHFL)
- Wynn Resorts Ltd (WYNN)
Genocide
Exclusion list updated with information provided by the Genocide Intervention Network. This list of companies is not visible to the public, but will trigger trade level exclusion warnings for your accounts which you can then review.
Military Weapons and Firearms
Company Name (Security Symbol)
- AAR Corp (AIR)
- Aerosonic Corp Del Par (AIM)
- Aerovironment Inc Com (AVAV)
- Alliant Techsysterms Inc (ATK)
- American Defense Sys Inc Com (ADFS)
- Arotech Corp New (ARTX)
- Astronics Corp (ATRO)
- Bae Sys Plc ADR (BAESY)
- Be Aerospace Inc (BEAV)
- Boeing Co (BA)
- Breeze Eastern Corp Com (BZC)
- Cabela’s Incorporated (CAB)
- CPI Aerostructures Inc New (CVU)
- Curtiss Wright Corp (CW)
- Ducommun Inc Del (DCO)
- Elbit Systems Ltd Ord (ESLT)
- Embraer-Empresa Brasileira De Sp ADR Pfd (ERJ)
- Espey MFG & Electrs Corp (ESP)
- Esterline Technologies Corp (ESL)
- Exelis Inc Com (XLS)
- Finmeccanica Spa ADR (FINMY)
- FLIR Systems Inc. (FLIR)
- Gencorp Inc (GY)
- General Dynamics Corp (GD)
- Heico Corp New (HEI)
- Heico Corp New Cl A (HEI.A)
- Hexcel Corp New (HXL)
- Huntington Ingalls Industries Inc (HII)
- ISC8 Inc. New (ISCI)
- Kaman Corp (KAMN)
- Kratos Defense & Security Sol (KTOS)
- L-3 Communications Holdings Inc (LLL)
- LMI Aerospace Inc (LMIA)
- Lockheed Martin Corp (LMT)
- Moog Inc Cl A (MOG.A)
- Moog Inc Cl B (MOG.B)
- Northrop Grumman Corp (NOC)
- Olin Corp (OLN)
- Raytheon Co New (RTN)
- Rolls Royce Holdings Plc ADR (RYCEY)
- Smith & Wesson Holdings Corp (SWHC)
- Sparton Corp (SPA)
- Spirit Aerosystems Holdings Inc Com Cl A (SPR)
- Sturm Ruger & Co Inc (RGR)
- Taser Intl Inc (TASR)
- TAT Technologies Ltd Ord New (TATT)
- Teledyne Technologies Inc (TDY)
- Textron Inc. (TXT)
- Transdigm Group Inc Com (TDG)
- United Technologies Corp (UTX)
- World Surveillance Group Inc New (WSGI)
Nuclear Power
Company Name (Security Symbol)
- Ameren Corp (AEE)
- American Electric Power Inc (AEP)
- AMETEK, Inc. (AME)
- Babcock & Wilcox Co New Com (BWC)
- Belden Inc. (BDC)
- Cameco Corp (CCJ)
- Centrais Eletricas Brasileiras ADR (EBR)
- Centrais Eletricas Brasileiras ADR PFD (EBR.B)
- CIRCOR International, Inc. (CIR)
- Chicago Bridge & Iron Co N V (CBI)
- CLP Holdings Ltd Sponsored Adr (CLPHY)
- Curtiss-Wright Corp. (CW)
- Denison Mines Corp Com (DNN)
- Dominion Resources Inc (D)
- DTE Energy Co (DTE)
- Duke Energy Corp New Com (DUK)
- E.On Ag ADR (EONGY)
- El Paso Electric Co. (EE)
- Emerson Electric Co. (EMR)
- Enel Societa Per Azioni Adr (ENLAY)
- EnergySolutions Inc Depositary SH (ES)
- Entergy Corp New (ETR)
- Exelon Corp (EXC)
- Federal Signal Corporation (FSS)
- FirstEnergy Corp (FE)
- Flowserve Corporation (FLS)
- Fluor Corp (FLR)
- General Cable Corporation (BGC)
- General Elec Co (GE)
- Great Plains Energy Inc. (GXP)
- Kirby Corporation (KEX)
- Korea Electric Power Corp. (KEP)
- Landauer, Inc. (LDR)
- Lightbridge Corp (LTBR)
- McDermott International (MDR)
- Mine Safety Appliances Co (MSA)
- MKS Instruments, Inc. (MKSI)
- Nextera Energy Inc (NEE)
- NRG Energy Inc Com New (NRG)
- Parker-Hannifin Corporation (PH)
- Perma-Fix Environmental Svcs (PESI)
- Pinnacle West Capital Corp. (PNW)
- PNM Resources Inc. (PNM)
- Public SVC Enterprise Group (PEG)
- RWE AG Sponsored ADR (RWEOY)
- SAIC, Inc. (SAI)
- SCANA Corp. (SCG)
- Southern Company (SO)
- SPX Corporation (SPW)
- Team, Inc. (TISI)
- Universal Sec Instrs Inc Com New (UUU)
- UR Energy Inc. (URG)
- Uranium Energy Corp. (UEC)
- Uranium Res Inc Com Par $0.001 (URRE)
- URANERZ Energy Corporation (URZ)
- USEC Inc (USU)
- US Ecology Inc Com New (ECOL)
- Westar Energy Inc. (WR)
- Xcel Energy Inc (XEL)
Tobacco
Company Name (Security Symbol)
- Alliance One Intl Inc (AOI)
- Altria Group Inc (MO)
- AMCON Distributing Co. (DIT)
- British Amern Tob Plc ADR (BTI)
- Core-Mark Holding Company, Inc. (CORE)
- Imperial Tobacco Group Plc ADR (ITYBY)
- Lorillard Inc Com (LO)
- Philip Morris International, Inc. (PM)
- Reynolds American Inc Com (RAI)
- Schweitzer-Mauduit Intl Inc (SWM)
- Universal Corp VA (UVV)
- Vector Group Ltd (VGR)
K-1 Securities
The K-1 exclusion category comprises companies that provide shareholders a Schedule K-1 to be used in connection with reporting to the IRS. These companies generally pass certain gains or losses through to their shareholders. The Schedule K-1 is used to report each individual shareholder’s share of those items, and requires such individual shareholders to report such items when filing their individual taxes.
Below is a list of our K-1 Securities:
Company Name (Security Symbol)
- Alliance Bernstein Holding LP Unit Ltd Pa (AB)
- Alliance Resource Partners LP Ut Ltd Par (ARLP)
- America First Tax EX IVS LP Ben Unit CT (ATAX)
- Apollo Global Mgmt LLC Cl A SHS (APO)
- Black Stone Minerals L P Com Unit (BSM)
- Blackstone Group LP Unit Ltd (BX)
- Blueknight Energy Partners LP Com Unit (BKEP)
- Breakwave Dry Bulk Shipping Etf (BDRY)
- Brookfield Business Partners L Unit Ltd (BBU)
- Brookfield Infrast Partners LP Int Unit (BIP)
- Brookfield Ppty Partners L.P. Unit (BPY)
- Brookfield Renewable Energy PRT Partnersh (BEP)
- Buckeye Partners LP Unit Ltd Partn (BPL)
- Calumet Speciality Prods Partners Ut Ltd Par (CLMT)
- Carlyle Group LP (CG)
- Cedar Fair LP Depository Unit (FUN)
- Cheniere Energy Partners LP Com Unit (CQP)
- Chesapeake Granite Wash Tr Com Sh Ben In (CHKR)
- Ciner Res LP Unit Ltd (CINR)
- CNX Coal Res LP Com Unit Rp LP (CCR)
- Comprass Diversified Holdings Sh Ben In (CODI)
- Cone Midstream Partners LP Com Unit Reps (CNXM)
- Crestwood Equity Partners LP (CEQP)
- Cross Timbers Rty Tr Tr Unit (CRT)
- Crossamerica Partners LP Ut Ltd Ptn Int (CAPL)
- CSI Compressco LP Unit (CCLP)
- CVR Partners LP Com (UAN)
- Cypress Energy Partners, L.P. (CELP)
- Dcp Midstream LP Com Ut Ltd Ptn LP Com U (DCP)
- Delek Logistics Partners LP Com Unt Rp I (DKL)
- Dorchester Minerals LP Unit (DMLP)
- Eca Marcellus Tr I Com Unit (ECT)
- Emerge Energy Svcs Lp Com Rep Partn (EMESQ)
- Empire State Realty OP,LP (OGCP)
- Empire State Realty Trust Inc Operating Partnership Units Series (ESBA)
- Enable Midstream Partners, LP (ENBL)
- Enterprise Prods Partners LP (EPD)
- Energy Transfer Lp Ut Ltd Ptn (ET)
- Energy Transfer Operating LP 7.625 Pfd U (ETP.PRD)
- Energy Transfer Partners LP Pfd Unit Ser (ETP.PRC)
- Enviva Partners LP Com Unit (EVA)
- EQT Midstream Partners LP Unit Ltd Partn (EQM)
- Ferrellgas Partners LP Unit Ltd Part (FGP)
- Foresight Energy LP (FELP)
- Fortress Trans Infrst Invs Llc Com Rep L (FTAI)
- Genesis Energy LP Unit LTD Partn (GEL)
- Global Partners LP 9.75 Pfd Ut Sr A (GLP.PRA)
- Global Partners LP Units (GLP)
- Green Plains Partners Lp Com Rep Ptr In (GPP)
- Gyrodyne Llc New (GYRO)
- Hess Midstream Partners LP Unit Ltd Pr I (HESM)
- Hi Crush Inc (HCR)
- Holly Energy Partners LP Ut LTD Ptn (HEP)
- Icahn Enterprises LP Depository Unit (IEP)
- iShares GSCI Commodity Indexed Unit Ben (GSG)
- Landmark Infrastructure LP Com Unit Ltd (LMRK)
- Lazard Ltd Shs A (LAZ)
- Magellan Midstream Partners LP Com Unit Rp (MMP)
- Martin Midstream Partners LP Unit LP Int (MMLP)
- Mid Con Energy Partners LP Com Unit Reps (MCEP)
- MPLX LP (MPLX)
- Natural Resource Partners LP Unit LP (NRP)
- New England Rlty Assoc Ltd Par Depository (NEN)
- NGL Energy Partners LP Com Unit Repst (NGL)
- NGL Energy Partners LP PFD Unit Cl B (NGL.PRB)
- Noble Midstream Partners LP Com Unit Rep (NBLX)
- Nustar Energy LP Red Pfd Ser B (NS.PRB)
- Nustar Energy LP Unit Com (NS)
- Oaktree Cap Group Llc 6.625% Pfd Ut A (OAK.PRA)
- Oasis Midstream Partners LP Com Units Re (OMP)
- PBF Logistics LP (PBFX)
- Permian Basin Rty Tr Unit Ben Int (PBT)
- Phillips 66 Partners LP (PSXP)
- Plains All Amern Pipeline LP Unit Ltd P (PAA)
- Pope Res Del Ltd Partnership Depository R (POPE)
- Powershares DB Agriculture Fund (DBA)
- Powershares DB Base Metals Fund (DBB)
- Powershares DB Commodity Index Tracking (DBC)
- Powershares DB Energy Fund (DBE)
- Powershares DB G10 Currency Harvest Fund (DBV)
- Powershares DB Gold Fund (DGL)
- Powershares DB Oil Fund (DBO)
- Powershares DB Precious Metals Fund (DBP)
- Powershares DB Silver Fund (DBS)
- Powershares Db Us Dollar Index Tr Doll Indx (UDN)
- Powershares Db Us Dollar Index Tr Doll Indx (UUP)
- Proshares Short Euro (EUFX)
- ProShares Tr II Psh Ultra Euro (ULE)
- ProShares Tr II Pshs Ultra Yen (YCL)
- ProShares Tr II Sht VIX ST TRM (SVXY)
- ProShares Tr II Ulsht DJAIG CR (SCO)
- ProShares Tr II Ult DJ UBS CRU (UCO)
- ProShares Tr II Ult VIX ST TRM (UVXY)
- ProShares Tr II Ultra Gold (UGL)
- ProShares Tr II Ultra Silver (AGQ)
- ProShares Tr II Ultrashort Yen (YCS)
- ProShares Tr II Ultrashr Silvr (ZSL)
- ProShares Tr II Ultrashrt Euro (EUO)
- ProShares Tr II Ultrashrt Gold (GLL)
- ProShares Tr II Ultsht Nat Gas (KOLD)
- ProShares Tr II Vix Mdtrm Fut (VIXM)
- ProShares Tr II Vix Shttrm Fut (VIXY)
- Proshares Ultra DJ-UbS Natural Gas (BOIL)
- Proshares Ultrapro 3X Crude Oil Etf (OILU)
- Proshares Ultrapro 3X Short Crude Oil Et (OILD)
- Proshares Ultrashort Australian Dollar (CROC)
- Sabine Rolayty Tr Unit Ben Int (SBR)
- Sanchez Midstream Partners LP Units Rep (SNMP)
- Sandridge Mississippian TR I Unit Ben In (SDT)
- SandRidge Mississippian Trust II (SDR)
- Sandridge Permian Tr Com Unit (PER)
- Sculptor Cap Mgmt Com Cl A (SCU)
- Shell Midstream Partners L P Unit Ltd In (SHLX)
- Sit Rising Rate Etf (RISE)
- Sprague Resources LP (SRLP)
- Steel Partners Hldgs LP Ltd Prtrship (SPLP)
- Steel Partners Holdings LP PFD Ser A (SPLP.PRA)
- Stonemor Partners LP Units (STON)
- Suburban Propane Partners LP Unit Ltd P (SPH)
- Summit Midstream Partners LP (SMLP)
- Suncoke Energy Partners LP Comunit Rep (SXCP)
- Sunoco LP Units Rep LP (SUN)
- TC Pipelines LP Ut Com Ltd Prt (TCP)
- Teucrium Agricultural Fund (TAGS)
- Teucrium Commodity Tr Corn Fd Shs (CORN)
- Teucrium Commodity Tr Soybean FD (SOYB)
- Teucrium Commodity Tr Sugar FD (CANE)
- Teucrium Commodity Tr Wheat FD (WEAT)
- US Equity Cumulative Dividends Fund Seri (IDIV)
- US Equity Ex-Dividend Fund Series 2027 S (XDIV)
- United States 3X Oil Fund (USOU)
- United States 3X Short Oil Fund (USOD)
- United States Copper Index Fund (CPER)
- United States Natl Gas Fund LP Unit (UNG)
- United States Oil Fund LP Units (USO)
- United Sts 12 Month Nat Gas FD Unit Ben (UNL)
- United Sts 12 Month Oil Fd LP Unit (USL)
- United Sts Brent Oil FD LP Unit (BNO)
- United Sts Commodity Index Fd Comm IDX F (USCI)
- United Sts Gasoline Fd Lp Units (UGA)
- USA Compression Partners LP (USAC)
- USD Partners LP Com Ut Rep Ltd (USDP)
- Western Gas Partners LP Com Unit LP In (WES)
- Westlake Chemical Partners LP (WLKP)
- Wisdomtree Continuous Commodit SHS Ben I (GCC)
While every effort is made to gather this data from reliable sources, we cannot guarantee its accuracy and completeness.