Chief Compliance Officer

0001308757-16-000012.txt : 20160714 0001308757-16-000012.hdr.sgml : 20160714 20160713173454 ACCESSION NUMBER: 0001308757-16-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160714 DATE AS OF CHANGE: 20160713 EFFECTIVENESS DATE: 20160714 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALASA DINVERNO & FOLTZ LLC CENTRAL INDEX KEY: 0001308757 IRS NUMBER: 364445980 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11054 FILM NUMBER: 161766235 BUSINESS ADDRESS: BUSINESS PHONE: 630-875-4915 MAIL ADDRESS: STREET 1: 500 PARK BLVD STREET 2: SUITE 1400 CITY: ITASCA STATE: IL ZIP: 60143 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001308757 XXXXXXXX 06-30-2016 06-30-2016 BALASA DINVERNO & FOLTZ LLC

500 PARK BLVD SUITE 1400 ITASCA IL 60143

13F HOLDINGS REPORT 028-11054 N Susan C. Korin Chief Compliance Officer (630) 875-4914 Susan C. Korin Itasca IL 06-30-2016 0 180 560397 false INFORMATION TABLE 2 June2016.xml Guggenheim S&P 500 Pure Growth GUG S&P500 PU GR 78355W403 817 10102 SH SOLE 0 0 10102 0 Guggenheim S&P Small Cap 600 Pure Growth GUG S&P SC600 PG 78355W809 289 3525 SH SOLE 0 0 3525 0 Guggenheim S&P Small Cap 600 Pure Value GUG S&P SC600 PV 78355W700 225 3957 SH SOLE 0 0 3957 0 iShares Enhanced Int'l ENH INTL L CAP 46431W408 34400 1600152 SH SOLE 0 0 1600152 0 iShares Momentum MSCI USAMOMFCT 46432F396 44077 576929 SH SOLE 0 0 576929 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 11814 211648 SH SOLE 0 0 211648 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 6369 97358 SH SOLE 0 0 97358 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 368 7632 SH SOLE 0 0 7632 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 563 16396 SH SOLE 0 0 16396 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 998 12899 SH SOLE 0 0 12899 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 113129 1127236 SH SOLE 0 0 1127236 0 iShares Russell 1000 Index RUSSELL 1000 464287622 688 5882 SH SOLE 0 0 5882 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 69221 670547 SH SOLE 0 0 670547 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 446 3253 SH SOLE 0 0 3253 0 iShares Russell 2000 Index RUSSELL 2000 464287655 397 3452 SH SOLE 0 0 3452 0 iShares Russell 3000 Index RUSSELL 3000 464287689 277 2230 SH SOLE 0 0 2230 0 iShares Russell Midcap Value Index RUS MDCP VAL ETF 464287473 208 2800 SH SOLE 0 0 2800 0 iShares S&P 500 S&P 500 INDEX 464287200 60809 288879 SH SOLE 0 0 288879 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 1797 15410 SH SOLE 0 0 15410 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 481 5179 SH SOLE 0 0 5179 0 iShares S&P Small Cap 600 Index CORE S&P SCP ETF 464287804 629 5413 SH SOLE 0 0 5413 0 iShares S&P/Barra 600 Value S&P SMLCP VALU 464287879 212 1812 SH SOLE 0 0 1812 0 PowerShares QQQ UNIT SER 1 73935A104 425 3954 SH SOLE 0 0 3954 0 S&P 500 SPDR UNIT SER 1 78462F103 1573 7507 SH SOLE 0 0 7507 0 SPDR MSCI A CWI ex-US MSCI ACWI EXUS 78463X848 1815 59622 SH SOLE 0 0 59622 0 SPDR S&P Dividend S&P DIVID ETF 78464a763 293 3487 SH SOLE 0 0 3487 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 338 4736 SH SOLE 0 0 4736 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1321 12326 SH SOLE 0 0 12326 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 1098 12920 SH SOLE 0 0 12920 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 74919 604673 SH SOLE 0 0 604673 0 Vanguard Small Cap Value ETF SM CP VAL ETF 922908611 212 2017 SH SOLE 0 0 2017 0 3M Co. COM 88579y101 499 2849 SH SOLE 0 0 2849 0 Abbott Laboratories COM 002824100 358 9106 SH SOLE 0 0 9106 0 AbbVie Inc. COM 00287y109 887 14324 SH SOLE 0 0 14324 0 ABIOMED, Inc COM 003654100 428 3914 SH SOLE 0 0 3914 0 Accenture LTD Cl A COM g1151c101 334 2949 SH SOLE 0 0 2949 0 Activision Blizzard COM 00507V109 251 6331 SH SOLE 0 0 6331 0 Aetna Inc. COM 00817Y108 534 4370 SH SOLE 0 0 4370 0 Allstate Corp COM 020002101 745 10654 SH SOLE 0 0 10654 0 Alphabet Inc. Class A Voting Shares CL A 38259P508 1439 2046 SH SOLE 0 0 2046 0 Alphabet Inc. Class C Non Voting Shares CL C 38259p706 1051 1518 SH SOLE 0 0 1518 0 Altria Group COM 718154107 1976 28652 SH SOLE 0 0 28652 0 Amazon.Com COM 231351065 822 1148 SH SOLE 0 0 1148 0 American Intl Group Inc COM 026874784 1931 36509 SH SOLE 0 0 36509 0 American National Insurance Co. COM 028591105 383 3388 SH SOLE 0 0 3388 0 American Shared Hospital Service COM 029595105 115 56500 SH SOLE 0 0 56500 0 Amgen Inc. COM 311621007 917 6024 SH SOLE 0 0 6024 0 Anthem Inc. COM 036752103 410 3121 SH SOLE 0 0 3121 0 AON Corp. COM 0408v1025 381 3488 SH SOLE 0 0 3488 0 Apple Computer, Inc. COM 378331003 5548 58028 SH SOLE 0 0 58028 0 Aptar Group COM 383361037 950 12000 SH SOLE 0 0 12000 0 Arrow Electronics Inc. COM 427351002 275 4440 SH SOLE 0 0 4440 0 Assurant Inc. COM 04621X108 1191 13796 SH SOLE 0 0 13796 0 Assured Guaranty Ltd. COM G0585R106 2122 83647 SH SOLE 0 0 83647 0 AT&T Inc. COM 00206R102 2150 49766 SH SOLE 0 0 49766 0 Autozone Inc. COM 533321022 245 308 SH SOLE 0 0 308 0 Bank of America Corp. COM 605051044 661 49812 SH SOLE 0 0 49812 0 Baxter International Inc. COM 718131097 213 4708 SH SOLE 0 0 4708 0 Berkshire Hathaway CL B NEW 846707024 1915 13224 SH SOLE 0 0 13224 0 Berkshire Hathaway CL A CL A 084990175 5858 2700 SH SOLE 0 0 2700 0 Biogen Idec Inc. COM 09062x103 217 896 SH SOLE 0 0 896 0 Boeing Co. COM 970231056 566 4359 SH SOLE 0 0 4359 0 Bristol-Myers Squibb Company COM 110122108 841 11430 SH SOLE 0 0 11430 0 British Petroleum Amoco COM 556221042 448 12620 SH SOLE 0 0 12620 0 Broadcom Ltd. SHS Y09827109 309 1988 SH SOLE 0 0 1988 0 Caterpillar Inc. COM 149123101 335 4422 SH SOLE 0 0 4422 0 Celgene Corp. COM 151020104 387 3924 SH SOLE 0 0 3924 0 Charles Schwab COM 808513105 243 9601 SH SOLE 0 0 9601 0 ChevronTexaco Corp. COM 166764100 976 9315 SH SOLE 0 0 9315 0 Chimera Investment Corp. REIT COM 16934Q109 775 49362 SH SOLE 0 0 49362 0 Cigna Corp COM 125509109 275 2148 SH SOLE 0 0 2148 0 Cisco Systems Inc. COM 17275R102 486 16945 SH SOLE 0 0 16945 0 Citigroup Inc. COM 172967424 344 8110 SH SOLE 0 0 8110 0 CNO Financial Group, Inc COM 12621e103 176 10079 SH SOLE 0 0 10079 0 Coca Cola COM 191216100 479 10565 SH SOLE 0 0 10565 0 Colgate-Palmolive Co COM 194162103 230 3137 SH SOLE 0 0 3137 0 ComCast COM 20030N101 767 11773 SH SOLE 0 0 11773 0 Commerce Bancshares Inc. COM 200525103 1342 28008 SH SOLE 0 0 28008 0 Consolidated Edison COM 209115104 461 5728 SH SOLE 0 0 5728 0 Constellation A COM 21036P108 498 3012 SH SOLE 0 0 3012 0 CostCo Companies Inc. COM 22160k105 299 1907 SH SOLE 0 0 1907 0 CVS Health Corporation COM 126650100 709 7401 SH SOLE 0 0 7401 0 Danaher Corp. COM 235851102 482 4772 SH SOLE 0 0 4772 0 DCT Industrial Trust Inc COM 233153105 562 11691 SH SOLE 0 0 11691 0 Delta Airlines Inc. New COM NEW 247361702 391 10732 SH SOLE 0 0 10732 0 Duke Energy COM 264399106 258 3004 SH SOLE 0 0 3004 0 Edwards Lifesciences COM 28176E108 680 6823 SH SOLE 0 0 6823 0 Eli Lilly & Co. COM 532457108 238 3017 SH SOLE 0 0 3017 0 Equity Residential PPTY Trust COM 29476L107 558 8095 SH SOLE 0 0 8095 0 Exelon Corporation COM 30161N101 707 19456 SH SOLE 0 0 19456 0 Express Scripts Inc. COM 302182100 206 2713 SH SOLE 0 0 2713 0 Exxon Mobil Corporation COM 30231G102 2129 22714 SH SOLE 0 0 22714 0 Facebook, Inc. COM 30303m102 980 8573 SH SOLE 0 0 8573 0 Fleetcor Technologies Inc. COM 339041105 16492 115226 SH SOLE 0 0 115226 0 Ford Motor Company COM 345370860 1472 117105 SH SOLE 0 0 117105 0 General Electric COM 369604103 931 29568 SH SOLE 0 0 29568 0 General Motors Corporation - Old COM 37045v100 1046 36973 SH SOLE 0 0 36973 0 Gilead Sciences Inc. COM 375558103 935 11207 SH SOLE 0 0 11207 0 Glaxosmithkline COM 37733W105 324 7472 SH SOLE 0 0 7472 0 Goodyear Tire & Rubber COM 382550101 285 11125 SH SOLE 0 0 11125 0 Hewlett Packard Enterprise Company COM 42824c109 1904 104214 SH SOLE 0 0 104214 0 Home Depot COM 437076102 1322 10356 SH SOLE 0 0 10356 0 Honeywell International COM 438516106 464 3991 SH SOLE 0 0 3991 0 Horizon Pharma Inc COM 44047T109 1186 72000 SH SOLE 0 0 72000 0 HP Inc. COM 428236103 820 65334 SH SOLE 0 0 65334 0 IBM COM 459200101 687 4529 SH SOLE 0 0 4529 0 Illinois Tool Works COM 452308109 389 3735 SH SOLE 0 0 3735 0 IMD Companies, Inc. COM 44969g101 0 300000 SH SOLE 0 0 300000 0 Ingram Micro Inc. CL A 457153104 638 18347 SH SOLE 0 0 18347 0 Intel Corp. COM 458140100 1123 34228 SH SOLE 0 0 34228 0 J P Morgan Chase & Co. COM 46625H100 982 15796 SH SOLE 0 0 15796 0 Johnson & Johnson COM 478160104 2487 20506 SH SOLE 0 0 20506 0 KB Home COM 48666k109 469 30817 SH SOLE 0 0 30817 0 Kimberly Clark Corp. COM 494368103 676 4916 SH SOLE 0 0 4916 0 Kraft Heinz Co. COM 500754106 213 2408 SH SOLE 0 0 2408 0 Lockheed Martin Corp. COM 539830109 1207 4864 SH SOLE 0 0 4864 0 Lowes Companies Inc. COM 548661107 353 4453 SH SOLE 0 0 4453 0 LyondellBasell Industries NV SHS - A - n53745100 270 3627 SH SOLE 0 0 3627 0 Mastercard Incorporated COM 57636Q104 358 4071 SH SOLE 0 0 4071 0 McDonald's Corporation COM 580135101 494 4103 SH SOLE 0 0 4103 0 McKesson Corp. COM 58155Q103 237 1271 SH SOLE 0 0 1271 0 Medtronic PLC Ordinary SHS g5960l103 242 2787 SH SOLE 0 0 2787 0 Merck & Co, Inc. COM 589331107 640 11117 SH SOLE 0 0 11117 0 Metlife Inc. COM 59156R108 219 5495 SH SOLE 0 0 5495 0 Microsoft Corp. COM 594918104 1965 38394 SH SOLE 0 0 38394 0 Mondelez International Inc. COM 609207105 267 5869 SH SOLE 0 0 5869 0 Morgan Stanley / Dean Witter COM 617446448 311 11965 SH SOLE 0 0 11965 0 MSG Networks Inc CL A 553573106 252 16444 SH SOLE 0 0 16444 0 Nano Labs Corp COM 148411101 0 620614 SH SOLE 0 0 620614 0 Navient Corporation COM 63938C108 122 10180 SH SOLE 0 0 10180 0 Nextera Energy, Inc. COM 65339f101 281 2153 SH SOLE 0 0 2153 0 Nike Inc Cl B COM 654106103 452 8188 SH SOLE 0 0 8188 0 Nisource Inc COM 65473P105 597 22514 SH SOLE 0 0 22514 0 Northern Trust COM 665859104 314 4743 SH SOLE 0 0 4743 0 Northrop Grumman Corp COM 666807102 511 2298 SH SOLE 0 0 2298 0 Nvidia Corp. COM 67066G104 913 19431 SH SOLE 0 0 19431 0 Occidental Petroleum Corp COM 674599105 200 2649 SH SOLE 0 0 2649 0 ONE Gas, Inc. COM 68235P108 926 13900 SH SOLE 0 0 13900 0 Oracle Corp. COM 68389X105 547 13376 SH SOLE 0 0 13376 0 Penumbra, Inc COM 70975L107 4757 79944 SH SOLE 0 0 79944 0 Pepsico Inc COM 713448108 555 5243 SH SOLE 0 0 5243 0 Pfizer Inc. COM 717081103 1121 31842 SH SOLE 0 0 31842 0 Philip Morris International Inc. COM 718172109 259 2550 SH SOLE 0 0 2550 0 Phillips 66 COM 718546104 583 7343 SH SOLE 0 0 7343 0 Pilgrim's Pride Corp COM 72147K108 347 13602 SH SOLE 0 0 13602 0 PPG Industries COM 693506107 200 1922 SH SOLE 0 0 1922 0 Procter & Gamble COM 742718109 577 6819 SH SOLE 0 0 6819 0 Prudential Securities COM 744320102 633 8880 SH SOLE 0 0 8880 0 Reinsurance Group of America Inc. COM NEW 759351604 964 9944 SH SOLE 0 0 9944 0 Reynolds American Inc. COM 761713106 601 11147 SH SOLE 0 0 11147 0 Rockwell Medical, Inc. COM 774374102 271 35800 SH SOLE 0 0 35800 0 Rowan Companies Inc COM 779382100 600 33982 SH SOLE 0 0 33982 0 Scana Corporation New COM 80589M102 288 3813 SH SOLE 0 0 3813 0 Solar Wind Energy Tower Inc. COM 83416B109 0 65000 SH SOLE 0 0 65000 0 Southwest Airlines Co. COM 844741108 244 6225 SH SOLE 0 0 6225 0 Starbucks Corp. COM 855244109 596 10436 SH SOLE 0 0 10436 0 Talen Energy Corporation COM 87422J105 179 13201 SH SOLE 0 0 13201 0 Technology Data Corp. COM 878237106 499 6939 SH SOLE 0 0 6939 0 Texas Instruments Inc. COM 882508104 378 6033 SH SOLE 0 0 6033 0 Thermo Fisher Scientific Inc COM 883556102 344 2329 SH SOLE 0 0 2329 0 Time Warner Inc. New COM 887317105 365 4962 SH SOLE 0 0 4962 0 TJX Companies Inc. COM 872540109 339 4392 SH SOLE 0 0 4392 0 Travelers Companies Inc COM 89417E109 447 3754 SH SOLE 0 0 3754 0 Triple-S Management Corporation CL B 896749108 219 8951 SH SOLE 0 0 8951 0 Tyson Foods Inc. Class A COM 902494103 2197 32890 SH SOLE 0 0 32890 0 Ulta Salon, Cosmetics & Fragrance COM 90384S303 243 997 SH SOLE 0 0 997 0 Union Pacific COM 907818108 266 3053 SH SOLE 0 0 3053 0 United Continental Holdings COM 910047109 720 17556 SH SOLE 0 0 17556 0 United Health Care Corp. COM 91324P102 1247 8830 SH SOLE 0 0 8830 0 United Technologies Corp. COM 913017109 214 2085 SH SOLE 0 0 2085 0 US Bancorp COM 902973304 212 5252 SH SOLE 0 0 5252 0 Valero Energy Corp. COM 91913Y100 1358 26632 SH SOLE 0 0 26632 0 Verizon Communications COM 92343V104 1236 22130 SH SOLE 0 0 22130 0 Visa, Inc. COM 82826C839 649 8752 SH SOLE 0 0 8752 0 Wal-Mart COM 931142103 565 7732 SH SOLE 0 0 7732 0 Walgreen Boots Alliance, Inc. COM 931427108 882 10597 SH SOLE 0 0 10597 0 Walt Disney Co. COM 254687106 2612 26707 SH SOLE 0 0 26707 0 WEC Energy Group Inc. COM 976657106 407 6227 SH SOLE 0 0 6227 0 Wells Fargo & Co New COM 949746101 2313 48868 SH SOLE 0 0 48868 0 Westar Energy Inc COM 95709T100 236 4208 SH SOLE 0 0 4208 0