0001379995-16-000013.txt : 20161114 0001379995-16-000013.hdr.sgml : 20161111 20161114170317 ACCESSION NUMBER: 0001379995-16-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HBK Sorce Advisory LLC CENTRAL INDEX KEY: 0001379995 IRS NUMBER: 341925728 STATE OF INCORPORATION: OH FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12153 FILM NUMBER: 161995819 BUSINESS ADDRESS: STREET 1: 5121 ZUCK ROAD CITY: ERIE STATE: PA ZIP: 16506 BUSINESS PHONE: 8148365776 MAIL ADDRESS: STREET 1: 5121 ZUCK ROAD CITY: ERIE STATE: PA ZIP: 16506 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001379995 XXXXXXXX 09-30-2016 09-30-2016 HBK Sorce Advisory LLC

5121 ZUCK ROAD ERIE PA 16506

13F HOLDINGS REPORT 028-12153 N Michael Wassmann 814-836-5776 Michael Wassmann Erie PA 11-14-2016 0 313 503140 false INFORMATION TABLE 2 13fFiling20160930.xml 3M CO COM 88579Y101 1488 8441 SH SOLE 0 0 8441 ABBOTT LABS COM 002824100 377 8919 SH SOLE 0 0 8919 ABBVIE INC COM 00287Y109 770 12215 SH SOLE 0 0 12215 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 612 5012 SH SOLE 0 0 5012 ADOBE SYS INC COM 00724F101 520 4788 SH SOLE 0 0 4788 ADVANCE AUTO PARTS INC COM 00751Y106 262 1758 SH SOLE 0 0 1758 ADVISORSHARES TR GARTMAN GD/YEN 00768Y685 151 12945 SH SOLE 0 0 12945 ADVISORSHARES TR GARTMAN GLD/EU 00768Y669 162 11965 SH SOLE 0 0 11965 AFFILIATED MANAGERS GROUP COM 008252108 132 55473 SH SOLE 0 0 55473 AFLAC INC COM 001055102 779 10843 SH SOLE 0 0 10843 AGNICO EAGLE MINES LTD COM 008474108 24 25050 SH SOLE 0 0 25050 ALCOA INC COM 013817101 25 15951 SH SOLE 0 0 15951 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 378 3572 SH SOLE 0 0 3572 ALLEGIANT TRAVEL CO COM 01748X102 34 20093 SH SOLE 0 0 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BANCSHARES INC COM 446150104 130 13189 SH SOLE 0 0 13189 INTEL CORP COM 458140100 1799 47644 SH SOLE 0 0 47644 INTERNATIONAL BUSINESS MACHS COM 459200101 1669 10507 SH SOLE 0 0 10507 ISHARES MIN VOL GBL ETF 464286525 73 25602 SH SOLE 0 0 25602 ISHARES GOLD TRUST ISHARES 464285105 1394 109875 SH SOLE 0 0 109875 ISHARES INC CORE MSCI EMKT 46434G103 323 7086 SH SOLE 0 0 7086 ISHARES TR 1-3 YR CR BD ETF 464288646 212 2000 SH SOLE 0 0 2000 ISHARES TR 7-10 Y TR BD ETF 464287440 603 5390 SH SOLE 0 0 5390 ISHARES TR CORE HIGH DV ETF 46429B663 669 8233 SH SOLE 0 0 8233 ISHARES TR CORE MSCI EAFE 46432F842 2055 37261 SH SOLE 0 0 37261 ISHARES TR CORE S&P MCP ETF 464287507 2326 15035 SH SOLE 0 0 15035 ISHARES TR CORE S&P SCP ETF 464287804 2887 23252 SH SOLE 0 0 23252 ISHARES TR CORE S&P500 ETF 464287200 7434 34169 SH SOLE 0 0 34169 ISHARES TR CORE US AGGBD ET 464287226 958 8520 SH SOLE 0 0 8520 ISHARES TR EAFE SML CP ETF 464288273 225 4294 SH SOLE 0 0 4294 ISHARES TR FLTG RATE BD ETF 46429B655 290 5718 SH SOLE 0 0 5718 ISHARES TR IBOXX HI YD ETF 464288513 242 2775 SH SOLE 0 0 2775 ISHARES TR IBOXX INV CP ETF 464287242 3073 24943 SH SOLE 0 0 24943 ISHARES TR INTL SEL DIV ETF 464288448 114 75698 SH SOLE 0 0 75698 ISHARES TR INTL TREA BD ETF 464288117 443 4417 SH SOLE 0 0 4417 ISHARES TR JP MOR EM MK ETF 464288281 669 5706 SH SOLE 0 0 5706 ISHARES TR MSCI ACWI EX US 464288240 21 20000 SH SOLE 0 0 20000 ISHARES TR MSCI EAFE ETF 464287465 1597 27016 SH SOLE 0 0 27016 ISHARES TR MSCI KLD400 SOC 464288570 248 3086 SH SOLE 0 0 3086 ISHARES TR NASDQ BIOTEC ETF 464287556 304 1048 SH SOLE 0 0 1048 ISHARES TR NATIONAL MUN ETF 464288414 2056 18235 SH SOLE 0 0 18235 ISHARES TR RUS 1000 ETF 464287622 7388 61334 SH SOLE 0 0 61334 ISHARES TR RUS 1000 GRW ETF 464287614 2885 27700 SH SOLE 0 0 27700 ISHARES TR RUS 1000 VAL ETF 464287598 1252 11863 SH SOLE 0 0 11863 ISHARES TR RUS 2000 GRW ETF 464287648 613 4117 SH SOLE 0 0 4117 ISHARES TR RUS 2000 VAL ETF 464287630 402 3842 SH SOLE 0 0 3842 ISHARES TR RUS MD CP GR ETF 464287481 233 2391 SH SOLE 0 0 2391 ISHARES TR RUS MID-CAP ETF 464287499 426 2441 SH SOLE 0 0 2441 ISHARES TR RUSSELL 2000 ETF 464287655 365 2942 SH SOLE 0 0 2942 ISHARES TR S&P 500 GRWT ETF 464287309 328 2697 SH SOLE 0 0 2697 ISHARES TR S&P 500 VAL ETF 464287408 449 4725 SH SOLE 0 0 4725 ISHARES TR S&P MC 400GR ETF 464287606 235 1345 SH SOLE 0 0 1345 ISHARES TR SELECT DIVID ETF 464287168 822 9589 SH SOLE 0 0 9589 ISHARES TR TIPS BD ETF 464287176 436 3744 SH SOLE 0 0 3744 ISHARES TR U.S. PFD STK ETF 464288687 4291 108620 SH SOLE 0 0 108620 ISHARES TR U.S. REAL ES ETF 464287739 500 6197 SH SOLE 0 0 6197 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 285 2344 SH SOLE 0 0 2344 JOHNSON & JOHNSON COM 478160104 3197 27067 SH SOLE 0 0 27067 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 8598 272962 SH SOLE 0 0 272962 JPMORGAN CHASE & CO COM 46625H100 2918 43821 SH SOLE 0 0 43821 KAR AUCTION SVCS INC COM 48238T109 339 7861 SH SOLE 0 0 7861 KIMBERLY CLARK CORP COM 494368103 845 31457 SH SOLE 0 0 31457 KRAFT HEINZ CO COM 500754106 1491 16654 SH SOLE 0 0 16654 LAKE SHORE BANCORP INC COM 510700107 756 55886 SH SOLE 0 0 55886 LILLY ELI & CO COM 532457108 1126 14032 SH SOLE 0 0 14032 LOCKHEED MARTIN CORP COM 539830109 1487 6205 SH SOLE 0 0 6205 LOWES COS INC COM 548661107 238 3292 SH SOLE 0 0 3292 M & T BK CORP COM 55261F104 1646 14174 SH SOLE 0 0 14174 MANULIFE FINL CORP COM 56501R106 173 12286 SH SOLE 0 0 12286 MASTERCARD INCORPORATED CL A 57636Q104 533 5237 SH SOLE 0 0 5237 MCDONALDS CORP COM 580135101 1223 10600 SH SOLE 0 0 10600 MEDTRONIC PLC SHS G5960L103 238 2758 SH SOLE 0 0 2758 MERCK & CO INC COM 58933Y105 762 12211 SH SOLE 0 0 12211 METLIFE INC COM 59156R108 290 6538 SH SOLE 0 0 6538 MICROSOFT CORP COM 594918104 3279 56930 SH SOLE 0 0 56930 MIDDLEBURG FINANCIAL CORP COM 596094102 362 12800 SH SOLE 0 0 12800 MILLER HOWARD HIGH INC EQTY COM SHS BEN IN 600379101 274 22076 SH SOLE 0 0 22076 MONDELEZ INTL INC CL A 609207105 1851 42173 SH SOLE 0 0 42173 NATIONAL FUEL GAS CO N J COM 636180101 759 14034 SH SOLE 0 0 14034 NATIONAL GRID PLC SPON ADR NEW 636274300 363 5109 SH SOLE 0 0 5109 NETEASE INC SPONSORED ADR 64110W102 293 1216 SH SOLE 0 0 1216 NETFLIX INC COM 64110L106 952 9656 SH SOLE 0 0 9656 NEXTERA ENERGY INC COM 65339F101 1183 9669 SH SOLE 0 0 9669 NIKE INC CL B 654106103 708 13447 SH SOLE 0 0 13447 NORTHROP GRUMMAN CORP COM 666807102 492 2299 SH SOLE 0 0 2299 NORTHWEST BANCSHARES INC MD COM 667340103 307 19548 SH SOLE 0 0 19548 NUVEEN AMT FREE QLTY MUN INC COM 670657105 311 21301 SH SOLE 0 0 21301 NXP SEMICONDUCTORS N V COM N6596X109 795 7796 SH SOLE 0 0 7796 OCCIDENTAL PETE CORP DEL COM 674599105 491 6732 SH SOLE 0 0 6732 ORACLE CORP COM 68389X105 774 19696 SH SOLE 0 0 19696 ORIX CORP SPONSORED ADR 686330101 81 60145 SH SOLE 0 0 60145 PALO ALTO NETWORKS INC COM 697435105 398 2495 SH SOLE 0 0 2495 PARKER HANNIFIN CORP COM 701094104 270 2150 SH SOLE 0 0 2150 PAYCHEX INC COM 704326107 887 15321 SH SOLE 0 0 15321 PAYPAL HLDGS INC COM 70450Y103 301 7355 SH SOLE 0 0 7355 PEPSICO INC COM 713448108 1607 14774 SH SOLE 0 0 14774 PFIZER INC COM 717081103 2639 77920 SH SOLE 0 0 77920 PHILIP MORRIS INTL INC COM 718172109 3396 34926 SH SOLE 0 0 34926 PHILLIPS 66 COM 718546104 358 4450 SH SOLE 0 0 4450 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 337 3388 SH SOLE 0 0 3388 PNC FINL SVCS GROUP INC COM 693475105 1689 18746 SH SOLE 0 0 18746 POWERSHARES ETF TR II PFD PORTFOLIO 73936T565 1084 71637 SH SOLE 0 0 71637 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 73 18753 SH SOLE 0 0 18753 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1968 16579 SH SOLE 0 0 16579 PPG INDS INC COM 693506107 424 4106 SH SOLE 0 0 4106 PPL CORP COM 69351T106 710 20532 SH SOLE 0 0 20532 PRICE T ROWE GROUP INC COM 74144T108 279 4202 SH SOLE 0 0 4202 PRICELINE GRP INC COM NEW 741503403 294 200 SH SOLE 0 0 200 PROCTER AND GAMBLE CO COM 742718109 3911 43582 SH SOLE 0 0 43582 PRUDENTIAL FINL INC COM 744320102 260 3182 SH SOLE 0 0 3182 QUALCOMM INC COM 747525103 1233 17995 SH SOLE 0 0 17995 RAYTHEON CO COM NEW 755111507 623 4581 SH SOLE 0 0 4581 REGENERON PHARMACEUTICALS COM 75886F107 205 511 SH SOLE 0 0 511 RITE AID CORP COM 767754104 145 18825 SH SOLE 0 0 18825 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 201 3808 SH SOLE 0 0 3808 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 336 6717 SH SOLE 0 0 6717 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 1104 13202 SH SOLE 0 0 13202 SALESFORCE COM INC COM 79466L302 288 4032 SH SOLE 0 0 4032 SCANA CORP NEW COM 80589M102 449 6200 SH SOLE 0 0 6200 SCHLUMBERGER LTD COM 806857108 646 8211 SH SOLE 0 0 8211 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 452 19618 SH SOLE 0 0 19618 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 55948 1943316 SH SOLE 0 0 1943316 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 1697 54940 SH SOLE 0 0 54940 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 285 11290 SH SOLE 0 0 11290 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 217 4265 SH SOLE 0 0 4265 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 220 4213 SH SOLE 0 0 4213 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 207 4900 SH SOLE 0 0 4900 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 609 13361 SH SOLE 0 0 13361 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 119858 2321926 SH SOLE 0 0 2321926 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 28011 643639 SH SOLE 0 0 643639 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 9819 170610 SH SOLE 0 0 170610 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 669 9470 SH SOLE 0 0 9470 SHERWIN WILLIAMS CO COM 824348106 313 1133 SH SOLE 0 0 1133 SIGNET JEWELERS LIMITED SHS G81276100 33 25028 SH SOLE 0 0 25028 SIRIUS XM HLDGS INC COM 82968B103 58 13965 SH SOLE 0 0 13965 SKYWORKS SOLUTIONS INC COM 83088M102 444 5834 SH SOLE 0 0 5834 SOUTHERN CO COM 842587107 751 14636 SH SOLE 0 0 14636 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 393 2148 SH SOLE 0 0 2148 SPDR GOLD TRUST GOLD SHS 78463V107 668 5314 SH SOLE 0 0 5314 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 243 5834 SH SOLE 0 0 5834 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 282 7665 SH SOLE 0 0 7665 SPDR S&P 500 ETF TR TR UNIT 78462F103 1337 6179 SH SOLE 0 0 6179 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 738 2615 SH SOLE 0 0 2615 SPDR SERIES TRUST BRCLY EM LOCL 78464A391 363 12825 SH SOLE 0 0 12825 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 283 3279 SH SOLE 0 0 3279 SPDR SERIES TRUST S&P DIVID ETF 78464A763 381 4521 SH SOLE 0 0 4521 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 239 6203 SH SOLE 0 0 6203 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 28 25026 SH SOLE 0 0 25026 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 299 6565 SH SOLE 0 0 6565 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 146 13338 SH SOLE 0 0 13338 STARBUCKS CORP COM 855244109 1055 19488 SH SOLE 0 0 19488 SUN LIFE FINL INC COM 866796105 586 18000 SH SOLE 0 0 18000 SUPERVALU INC COM 868536103 77 60030 SH SOLE 0 0 60030 SYNOVUS FINL CORP COM NEW 87161C501 4271 131295 SH SOLE 0 0 131295 SYSCO CORP COM 871829107 325 6639 SH SOLE 0 0 6639 T MOBILE US INC COM 872590104 427 335093 SH SOLE 0 0 335093 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 298 9740 SH SOLE 0 0 9740 TEKLA HEALTHCARE OPPORTUNIT SHS 879105104 401 22933 SH SOLE 0 0 22933 TESLA MTRS INC COM 88160R101 363 1780 SH SOLE 0 0 1780 THERMO FISHER SCIENTIFIC INC COM 883556102 770 4838 SH SOLE 0 0 4838 TIME WARNER INC COM NEW 887317303 403 29684 SH SOLE 0 0 29684 TJX COS INC NEW COM 872540109 400 5352 SH SOLE 0 0 5352 TOTAL SYS SVCS INC COM 891906109 7135 151325 SH SOLE 0 0 151325 UBS AG JERSEY BRH ALERIAN INFRST 902641646 1772 62408 SH SOLE 0 0 62408 ULTA SALON COSMETCS & FRAG I COM 90384S303 492 2067 SH SOLE 0 0 2067 UNDER ARMOUR INC CL A 904311107 285 7357 SH SOLE 0 0 7357 UNDER ARMOUR INC CL C 904311206 263 7758 SH SOLE 0 0 7758 UNION PAC CORP COM 907818108 861 8830 SH SOLE 0 0 8830 UNITED CMNTY FINL CORP OHIO COM 909839102 237 33397 SH SOLE 0 0 33397 UNITED PARCEL SERVICE INC CL B 911312106 543 4965 SH SOLE 0 0 4965 UNITED TECHNOLOGIES CORP COM 913017109 583 5734 SH SOLE 0 0 5734 UNITEDHEALTH GROUP INC COM 91324P102 666 4758 SH SOLE 0 0 4758 US BANCORP DEL COM NEW 902973304 1165 27161 SH SOLE 0 0 27161 VALLEY NATL BANCORP COM 919794107 1957 201137 SH SOLE 0 0 201137 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 774 7398 SH SOLE 0 0 7398 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 578 5117 SH SOLE 0 0 5117 VANGUARD INDEX FDS GROWTH ETF 922908736 686 6106 SH SOLE 0 0 6106 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1180 11900 SH SOLE 0 0 11900 VANGUARD INDEX FDS MID CAP ETF 922908629 2229 17218 SH SOLE 0 0 17218 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 6096 30682 SH SOLE 0 0 30682 VANGUARD INDEX FDS SMALL CP ETF 922908751 1930 15795 SH SOLE 0 0 15795 VANGUARD INDEX FDS TOTAL STK MKT 922908769 10809 97084 SH SOLE 0 0 97084 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1271 27985 SH SOLE 0 0 27985 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1035 27513 SH SOLE 0 0 27513 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 222 2480 SH SOLE 0 0 2480 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 4284 51040 SH SOLE 0 0 51040 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1490 39841 SH SOLE 0 0 39841 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 387 5365 SH SOLE 0 0 5365 VECTOR GROUP LTD COM 92240M108 301 13962 SH SOLE 0 0 13962 VERIZON COMMUNICATIONS INC COM 92343V104 2847 54763 SH SOLE 0 0 54763 VERTEX PHARMACEUTICALS INC COM 92532F100 28 25031 SH SOLE 0 0 25031 VISA INC COM CL A 92826C839 1166 14102 SH SOLE 0 0 14102 WABTEC CORP COM 929740108 300 3667 SH SOLE 0 0 3667 WALGREENS BOOTS ALLIANCE INC COM 931427108 948 11761 SH SOLE 0 0 11761 WAL-MART STORES INC COM 931142103 1120 15527 SH SOLE 0 0 15527 WELLS FARGO & CO NEW COM 949746101 1528 34517 SH SOLE 0 0 34517 XCEL ENERGY INC COM 98389B100 265 6431 SH SOLE 0 0 6431 XYLEM INC COM 98419M100 204 3891 SH SOLE 0 0 3891 YOU ON DEMAND HLDGS INC COM NEW 98741R207 31 25027 SH SOLE 0 0 25027 YUM BRANDS INC COM 988498101 313 3442 SH SOLE 0 0 3442