0001398344-11-002701.txt : 20111121 0001398344-11-002701.hdr.sgml : 20111121 20111118144755 ACCESSION NUMBER: 0001398344-11-002701 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111118 DATE AS OF CHANGE: 20111118 EFFECTIVENESS DATE: 20111118 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SHEETS SMITH WEALTH MANAGEMENT CENTRAL INDEX KEY: 0001157436 IRS NUMBER: 561342544 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06709 FILM NUMBER: 111215801 BUSINESS ADDRESS: STREET 1: 120 CLUB OAKS COURT STREET 2: SUITE 200 CITY: WINSTON-SALEM STATE: NC ZIP: 27104 BUSINESS PHONE: 336-765-2020 MAIL ADDRESS: STREET 1: 120 CLUB OAKS COURT STREET 2: SUITE 200 CITY: WINSTON-SALEM STATE: NC ZIP: 27104 FORMER COMPANY: FORMER CONFORMED NAME: SHEETS SMITH & ASSOCIATES INC DATE OF NAME CHANGE: 20010813 13F-HR 1 fp0003773_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 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: Sheets Smith Wealth Management Address: 120 Club Oaks Court, Suite 200 Winston-Salem, NC 27104 Form 13F File Number: 28-06709 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: Susan E. Cox Title: Financial Assistant Phone: (336) 765-2020 Signature, Place, and Date of Signing: /s/ Susan E. Cox Winston-Salem, NC November 18, 2011 ---------------- ----------------- ----------------- [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 reported are 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).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 171 ----------- Form 13F Information Table Value Total: $ 177,936 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(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
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------- ----------------- --------- ----------- -------------------- ---------- -------- ------------------- VOTING AUTHORITY TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------- ----------------- --------- ----------- ----------- --- ---- ---------- -------- ------- ------ ---- ARCOS DORADOS HLDGS COM G0457F107 301 12,992 12,992 HERBALIFE LTD COM G4412G101 566 10,569 10,569 CORE LABORATORIES N V COM N22717107 539 6,000 6,000 ABBOTT LABS COM 002824100 205 4,016 4,016 ABERDEEN ASIA PACIFIC INCOME COM 003009107 227 33,000 33,000 AKORN INC COM 009728106 237 30,354 30,354 ALEXION PHARMACEUTICALS COM 015351109 415 6,486 6,486 ALLIANCE DATA SYS CORP COM 018581108 332 3,580 3,580 AMAZON COM INC COM 023135106 846 3,912 3,912 APPLE INC COM 037833100 742 1,946 1,946 ASTRAZENECA P L C SPSD A COM 046353108 1,504 33,900 33,900 AUTOZONE INC COM 053332102 482 1,510 1,510 BAKER HUGHES INC COM 057224107 2,373 51,410 51,410 BALCHEM CORP COM 057665200 315 8,446 8,446 BANK OF AMERICA CORP COM 060505104 119 19,468 19,468 BANK GRANITE CORP COM 062401104 12 17,932 17,932 BED BATH & BEYOND, INC. COM 075896100 514 8,971 8,971 BLACKROCK INTL GRWTH & TRUST COM BENE INTER 092524107 921 120,600 120,600 BROWN & BROWN INC COM 115236101 928 52,130 52,130 CANADIAN NATL RY CO COM 136375102 1,884 28,300 28,300 CANADIAN NATURAL RESOURCE COM 136385101 1,028 35,120 35,120 CAROLINA TRUST BANK COM 144200102 240 80,130 80,130 CERNER CORP COM 156782104 320 4,675 4,675 CHEVRONTEXACO CORP COM 166764100 392 4,239 4,239 CHICAGO BRIDGE & IRON CO COM 167250109 797 27,850 27,850 CITIGROUP INC COM 172967424 1,626 63,460 63,460 CITRIX SYS INC COM 177376100 3,110 57,025 57,025 COACH INC COM 189754104 878 16,936 16,936 COCA COLA COMPANY COM 191216100 277 4,100 4,100 COLGATE PALMOLIVE CO COM 194162103 212 2,390 2,390 COPART INC COM 217204106 2,124 54,297 54,297 DOLLAR GENERAL CORPORATION COM 256677105 518 13,711 13,711 DOLLAR TREE INC. COM 256746108 809 10,770 10,770 EMC CORP MASS COM 268648102 1,677 79,875 79,875 ENTERPRISE PRODS PARTN COM COM 293792107 740 18,432 18,432 FAMILY DOLLAR STORES COM 307000109 605 11,898 11,898 FASTENAL CO COM COM 311900104 385 11,560 11,560 FISERV INC COM 337738108 1,267 24,950 24,950 GENERAL ELEC CO COM 369604103 232 15,237 15,237 GENESCO INC COM 371532102 335 6,508 6,508 GENUINE PARTS CO COM 372460105 524 10,313 10,313 GOODRICH CORP COM COM 382388106 423 3,506 3,506 GRACO INC COM 384109104 256 7,500 7,500 GRAINGER W W INC COM 384802104 2,961 19,803 19,803 GREAT BASIN GOLD LTD COM 390124105 439 260,000 260,000 HANSEN NATURAL CORP COM 411310105 451 5,164 5,164 HARTE-HANKS INC NEW COM 416196103 107 12,635 12,635 HAWKINS INC COM 420261109 742 23,300 23,300 HEXCEL CORP COM 428291108 311 14,054 14,054 ILLINOIS TOOL WORKS INC COM 452308109 219 5,255 5,255 INTEL CORP COM 458140100 320 15,020 15,020 INTERNATIONAL BUSINESS MA COM 459200101 2,102 12,021 12,021 INTUIT COM COM 461202103 1,277 26,922 26,922 ISHARES TR DJ SEL DIV INX 464287168 504 10,452 10,452 ISHARES TR BARCLAYS TIPS BD 464287176 345 3,015 3,015 ISHARES TR S&P 500 INDEX 464287200 1,144 10,064 10,064 ISHARES TR IBOXX INV CPBD 464287242 1,839 16,370 16,370 ISHARES TR MSCI EAFE IDX 464287465 2,493 52,180 52,180 ISHARES TR S&P MIDCAP 400 464287507 1,611 20,660 20,660 ISHARES TR RUSSELL1000GRW 464287614 606 11,524 11,524 ISHARES TR RUSSELL 2000 464287655 1,059 16,477 16,477 ISHARES TR RUSSELL 3000 464287689 1,856 27,815 27,815 ISHARES TR DJ US REAL EST 464287739 1,821 36,000 36,000 ISHARES TR S&P SMLCAP 600 464287804 488 8,340 8,340 ISHARES TR S&P EURO PLUS 464287861 637 20,000 20,000 ISHARES TR MSCI ACWI EX 464288240 267 7,608 7,608 ISHARES TR TRUST 464288414 589 5,525 5,525 ISHARES TR BARCLAYS 1-3YR CR 464288646 4,676 44,967 44,967 ISHARES TR US PFD STK IDX 464288687 322 9,054 9,054 I T C HOLDGINGS CORP COM 465685105 429 5,535 5,535 JOHNSON & JOHNSON COM 478160104 2,707 42,505 42,505 KANSAS CITY SOUTHN IND NEW COM NEW 485170302 451 9,026 9,026 KIMBERLY CLARK CORP COM 494368103 213 3,000 3,000 LAUDER ESTEE COS INC CL A 518439104 4,476 50,955 50,955 ELI LILLY & CO COM 532457108 224 6,050 6,050 LOWES COMPANIES INC COM 548661107 223 11,506 11,506 MCCORMICK & CO INC COM 579780206 471 10,200 10,200 MCDONALDS CORP COM 580135101 778 8,861 8,861 METROPCS COMMUNICATIONS COM 591708102 5,864 673,652 673,652 MICROSOFT CORP COM 594918104 1,058 42,503 42,503 MONROE MUFFLER COM 610236101 268 8,136 8,136 NN INC. COM 629337106 59 11,594 11,594 NIKE INC CL B 654106103 4,883 57,099 57,099 NOBLE ENERGY INC COM 655044105 1,973 27,874 27,874 OLD REPUBLIC INC COM 680223104 109 12,238 12,238 OWENS & MINOR INC COM 690732102 413 14,500 14,500 PAPA JOHNS INTL INC COM 698813102 4,335 142,600 142,600 PEPSICO INC COM 713448108 4,526 73,120 73,120 PERRIGO CO COM COM 714290103 570 5,868 5,868 PFIZER INC COM 717081103 324 18,308 18,308 PLUM CREEK TIMBER CO INC COM 729251108 486 14,000 14,000 PRECISION CASTPART CORP COM 740189105 313 2,013 2,013 PRICE SMART INC COM 741511109 482 7,727 7,727 PROCTER & GAMBLE CO COM 742718109 364 5,764 5,764 QUALCOMM INC COM COM 747525103 1,396 28,707 28,707 QUALITY SYSTEMS INC COM 747582104 359 3,700 3,700 POLO RALPH LAUREN CORP CL A COM 751212101 220 1,695 1,695 RAYONIER INC COM 754907103 284 7,730 7,730 ROGERS CORP COM 775133101 618 15,800 15,800 SCHEIN HENRY INC COM 806407102 2,986 48,160 48,160 SCHLUMBERGER LTD COM 806857108 716 11,980 11,980 SCHEAB US TIPS ETF US TIPS ETF 808524870 1,012 18,592 18,592 SIGMA ALDRICH CORP COM 826552101 2,524 40,845 40,845 JM SMUCKER CO THE NEW COM 832696405 1,276 17,499 17,499 SONOCO PRODS CO COM 835495102 292 10,350 10,350 STARBUCKS CORP COM COM 855244109 1,236 33,144 33,144 STRYKER CORP COM 863667101 2,751 58,370 58,370 SYSCO CORP COM 871829107 1,680 64,865 64,865 TCW STRATEGIC INCOME FUNDS COM 872340104 73 14,700 14,700 TJX COS INC NEW COM 872540109 245 4,411 4,411 TEVA PHARMACEUTICAL INDS COM 881624209 210 5,645 5,645 TRACTOR SUPPLY CO COM 892356106 4,314 68,990 68,990 TRANSDIGM GROUP INC COM 893641100 299 3,663 3,663 U S BANCORP COM 902973304 829 35,225 35,225 VF CORPORATION COM 918204108 337 2,772 2,772 VANGUARD DIVIDEND APPRECI DIV APP ETF 921908844 927 19,010 19,010 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1,053 12,927 12,927 Vanguard Bond Index Fund Vanguard BI Fund 921937835 328 3,915 3,915 VANGUARD REIT ETF INDEX REIT ETF 922908553 274 5,391 5,391 VANGUARD INDEX FDS LARGE CAP ETF 922908637 814 15,755 15,755 VANGUARD VALUE ETF VALUE ETF 922908744 873 18,562 18,562 Vanguard Total Stock Market ETF Vanguard TSM ETF 922908769 581 10,068 10,068 WATERS CORP COM 941848103 3,510 46,500 46,500 BLACKROCK CORE BOND TRUST SHS BEN INT 09249E101 141 10,907 10,907 LUMINEX CORP COM 55027E102 209 9,448 9,448 SALLY BEAUTY COMPANY COM 79546E104 483 29,093 29,093 TOTAL SA SPONSORED ADR 89151E109 2,810 64,048 64,048 TRAVELERS COM 89417E109 1,057 21,700 21,700 NOVAGOLD RESOURCES INC COM NEW 66987E206 194 30,000 30,000 AT&T INC COM 00206R102 405 14,203 14,203 ATHENAHEALTH INC COM 04685W103 476 7,997 7,997 CALAMOS CONV & HIGH INCOME FUND COM SHS 12811P108 344 30,994 30,994 CHART INDUSTRIES INC. COM 16115Q308 223 5,277 5,277 CISCO SYS INC COM 17275R102 164 10,581 10,581 D F C GLOBAL COM 23324T107 311 14,251 14,251 EXXON MOBIL CORP COM 30231G102 1,480 20,383 20,383 FIRST CASH FINANCIAL SERV CL A 31942D107 437 10,419 10,419 FIRST CTZNS BANCSHARES INC CL A 31946M103 421 2,933 2,933 GLOBAL PAYMENTS INC COM 37940X102 1,208 29,900 29,900 HATTERAS FINANCIAL CORP COM 41902R103 1,491 59,259 59,259 INTUITIVE SURGICAL INC COM NEW 46120E602 357 980 980 JPMORGAN ALERIAN MLP INDEX ETN ALERIAN ML ETN 46625H365 483 14,174 14,174 LABORATORY CORP OF AMERICA COM NEW 50540R409 1,073 13,575 13,575 LIQUIDITY SERVICES INC COM 53635B107 437 13,623 13,623 MELA SCIENCES INC COM 55277R100 98 22,122 22,122 MASTERCARD INC COM 57636Q104 419 1,320 1,320 MEDCO HEALTH SOLUTIONS INC COM 58405U102 6,289 134,129 134,129 NALCO HLDG CO COM 62985Q101 5,980 170,950 170,950 NOVOGEN LIMITED SPONSORED ADR 67010F103 10 16,753 16,753 NU SKIN ENTERPRISES INC CL A 67018T105 3,537 87,298 87,298 NUVEEN MUNI MKT OPPTY FUND COM 67062W103 146 10,797 10,797 NUVEEN FLOATING RATE INCOME COM 67072T108 338 33,375 33,375 PIMCO CORPORATE INCOME FU COM 72200U100 528 37,475 37,475 POLYPORE INTERNATIONAL COM 73179V103 283 5,001 5,001 POWERSHS QQQ TRUST UNIT SER 1 73935A104 1,110 21,149 21,149 POWERSHARES DB COMMODITY UNIT BEN INT 73935S105 1,119 43,459 43,459 POWERSHARES FTSE RAFI 1000 FTSE RAFI 1000 73935X583 519 10,618 10,618 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 293 10,762 10,762 RYDEX S&P ETF TRUST S&P 500 EQ TRD 78355W106 366 8,842 8,842 SPDR S&P 500 ETF TRUST UNIT SER 1 S&P 78462F103 2,456 21,704 21,704 SPDR GOLD TRUST GOLD SHS 78463V107 629 3,977 3,977 SPDR RUSSELL NOMURA SMALL RUSS NOM SC JP 78463X822 817 19,000 19,000 SPDR DOW JONES INDUS AVG ETF UT SER 1 78467X109 316 2,900 2,900 UTILITIES SELECT SECTOR S COM 81369Y886 306 9,100 9,100 SENSIENT TECHNOLOGIES CORP COM 81725T100 1,204 37,000 37,000 SIGNATURE BANK COM 82669G104 384 8,041 8,041 TEXAS CAPITAL BANCSHARES COM 88224Q107 321 14,062 14,062 ULTA SALON, COS & FRAG, INC. COM 90384S303 281 4,511 4,511 VANGUARD SHORT TERM CORP SHRT-TERM CORP 92206C409 458 5,902 5,902 VISA INC CL A 92826C839 5,122 59,750 59,750 W P CAREY & CO L L C COM 92930Y107 962 26,402 26,402