0001412575-11-000006.txt : 20110512 0001412575-11-000006.hdr.sgml : 20110512 20110512112734 ACCESSION NUMBER: 0001412575-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110512 DATE AS OF CHANGE: 20110512 EFFECTIVENESS DATE: 20110512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AVIANCE CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001412575 IRS NUMBER: 205833107 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14439 FILM NUMBER: 11834491 BUSINESS ADDRESS: STREET 1: 2080 RINGLING BOULEVARD CITY: SARASOTA STATE: FL ZIP: 34237 BUSINESS PHONE: 941-441-1912 MAIL ADDRESS: STREET 1: 2080 RINGLING BOULEVARD CITY: SARASOTA STATE: FL ZIP: 34237 13F-HR 1 acm13f1q2011.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: March 31, 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: Aviance Capital Management, LLC 2080 Ringling Boulevard 1st Floor Sarasota, FL 34237 Form 13F File Number: 28-14439 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: Edward C. Bertelsen Title: Chief Operating Officer Phone: 941-441-1912 Signature, Place, and Date of Signing: Edward C. Bertelsen Sarasota, FL 5/10/2011 --------------------- --------------------- ------------------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 ----------------------- Form 13F Information Table Entry Total: 357 ----------------------- Form 13F Information Table Value Total: 434108 (x1000) ----------------------- List of Other Included Managers: No. Form 13F file number Name 01 028-06487 First Trust Advisors LP Aviance Capital Management, LLC Form 13F Information Table FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COMMON STOCK 88579y101 816 8727 SH Sole 8727 561 6000 SH Defined 01 6000 ABBOTT LABORATORIES COMMON STOCK 002824100 919 18740 SH Sole 18740 ACCENTURE PLC COMMON STOCK G1151C101 448 8157 SH Sole 8157 825 15000 SH Defined 01 15000 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SH Sole 12550 BECTON DICKINSON & CO COMMON STOCK 075887109 438 5500 SH Sole 5500 BERKSHIRE HATHAWAY INC CL B COMMON STOCK 084670702 429 5125 SH Sole 5125 BEST BUY INC COMMON STOCK 086516101 379 13211 SH Sole 13211 BLACKROCK CORPORATE HIGH YIELD COMMON STOCK 09255L106 199 27743 SH Sole 27743 BLACKROCK CORPORATE HIGH YIELD COMMON STOCK 09255N102 1900 159900 SH Sole 159900 BLACKROCK CORPORATE HIGH YIELD COMMON STOCK 09255P107 1713 146001 SH Sole 146001 BLACKROCK CORPORATE HIGHYIELD COMMON STOCK 09255M104 128 17836 SH Sole 17836 BLACKROCK FLOATING RATE INCOME COMMON STOCK 09255x100 569 36462 SH Sole 36462 BLACKROCK FLOATING RATE INCOME COMMON STOCK 09255Y108 197 13960 SH Sole 13960 BLACKROCK FLOATING RATE INCOME COMMON STOCK 091941104 1568 105181 SH Sole 105181 BLACKROCK GLOBAL OPP EQUITY TR COMMON STOCK 092501105 1104 59438 SH Sole 59438 BLACKROCK HIGH INCOME SHARES COMMON STOCK 09250E107 128 59418 SH Sole 59418 BLACKROCK INC COMMON STOCK 09247X101 1477 7350 SH Sole 7350 BOEING CO COMMON STOCK 097023105 3299 44620 SH Sole 44620 BP PRUDHOE BAY ROYALTY TRUST COMMON STOCK 055630107 246 2050 SH Sole 2050 BRISTOL MYERS SQUIBB CO COMMON STOCK 110122108 433 16393 SH Sole 16393 BROADCOM CORP COMMON STOCK 111320107 205 5217 SH Sole 5217 BUNGE LTD COMMON STOCK g16962105 330 4556 SH Sole 4556 723 10000 SH Defined 01 10000 CALUMET SPECIALTY PRODUCTS PAR COMMON STOCK 131476103 580 27300 SH Sole 27300 CANADIAN NATIONAL RAILWAY CO COMMON STOCK 136375102 288 3832 SH Sole 3832 CANADIAN PACIFIC RAILWAY LTD COMMON STOCK 13645t100 11 165 SH Sole 165 643 10000 SH Defined 01 10000 CARNIVAL CORP COMMON STOCK 143658300 269 7015 SH Sole 7015 CATERPILLAR INC COMMON STOCK 149123101 1382 12414 SH Sole 12414 1559 14000 SH Defined 01 14000 CENTURYLINK INC COMMON STOCK 156700106 2354 56662 SH Sole 56662 CHECK POINT SOFTWARE TECH LTD COMMON STOCK m22465104 1215 23802 SH Sole 23802 766 15000 SH Defined 01 15000 CHEVRON CORP COMMON STOCK 166764100 1840 17114 SH Sole 17114 CINCINNATI FINANCIAL CORP 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19000 SH Defined 01 19000 CVS CAREMARK CORP COMMON STOCK 126650100 697 20315 SH Sole 20315 DEERE & CO COMMON STOCK 244199105 2054 21194 SH Sole 21194 1453 15000 SH Defined 01 15000 DEVON ENERGY CORP COMMON STOCK 25179m103 2786 30359 SH Sole 30359 1377 15000 SH Defined 01 15000 DEVRY INC COMMON STOCK 251893103 365 6629 SH Sole 6629 1927 35000 SH Defined 01 35000 DIAMOND OFFSHORE DRILLING INC COMMON STOCK 25271c102 226 2910 SH Sole 2910 DNP SELECT INCOME FUND INC COMMON STOCK 23325p104 1145 120559 SH Sole 120559 DORCHESTER MINERALS LP COMMON STOCK 25820r105 599 20500 SH Sole 20500 DOVER CORP COMMON STOCK 260003108 360 5475 SH Sole 5475 DOW 30 ENHANCED PREMIUM & INCO COMMON STOCK 148 12900 SH Sole 12900 DUKE ENERGY CORP COMMON STOCK 26441c105 867 47768 SH Sole 47768 EATON VANCE LTD DURATION INCOM COMMON STOCK 27828H105 214 13400 SH Sole 13400 EI DUPONT DE NEMOURS & CO COMMON STOCK 263534109 298 5425 SH Sole 5425 EL PASO PIPELINE PARTNERS LP COMMON STOCK 283702108 308 8497 SH Sole 8497 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2500 FERRELLGAS PARTNERS LP COMMON STOCK 315293100 2180 83851 SH Sole 83851 FIFTH THIRD BANCORP COMMON STOCK 316773100 146 10522 SH Sole 10522 FIRSTENERGY CORP COMMON STOCK 337932107 373 10061 SH Sole 10061 FLOWSERVE CORP COMMON STOCK 34354P105 731 5675 SH Sole 5675 FLUOR CORP COMMON STOCK 343412102 1866 25335 SH Sole 25335 442 6000 SH Defined 01 6000 FORD MOTOR CO COMMON STOCK 345370860 560 37560 SH Sole 37560 FREEPORT MCMORAN COPPER & GOLD COMMON STOCK 35671d857 1715 30872 SH Sole 30872 139 2500 SH Defined 01 2500 FRONTIER COMMUNICATIONS CORP COMMON STOCK 35906A108 103 12544 SH Sole 12544 GAP INC COMMON STOCK 364760108 227 10000 SH Sole 10000 1360 60000 SH Defined 01 60000 GARDNERDENVER INC COMMON STOCK 365558105 86 1108 SH Sole 1108 780 10000 SH Defined 01 10000 GENERAL ELECTRIC CO COMMON STOCK 369604103 1225 61117 SH Sole 61117 902 45000 SH Defined 01 45000 GENERAL MILLS INC COMMON STOCK 370334104 398 10890 SH Sole 10890 914 25000 SH Defined 01 25000 GOLDMAN SACHS GROUP INC COMMON STOCK 38141g104 718 4528 SH Sole 4528 GOOGLE INC COMMON STOCK 38259p508 380 648 SH Sole 648 HALLIBURTON CO COMMON STOCK 406216101 576 11551 SH Sole 11551 HARTFORD FINANCIAL SERVICES GR COMMON STOCK 416515104 504 18713 SH Sole 18713 1077 40000 SH Defined 01 40000 HCA HLDGS INC COM USD0.01 COMMON STOCK 40412C101 452 13354 SH Sole 13354 HEWLETT PACKARD CO COMMON STOCK 428236103 1213 29604 SH Sole 29604 HJ HEINZ CO COMMON STOCK 423074103 488 9993 SH Sole 9993 HONEYWELL INTL INC COMMON STOCK 438516106 603 10100 SH Sole 10100 HUMANA INC COMMON STOCK 444859102 1397 19978 SH Sole 19978 INDIA FUND INC COMMON STOCK 454089103 439 13315 SH Sole 13315 INGERSOLLRAND CO LTD COMMON STOCK G47791101 148 3059 SH Sole 3059 1449 30000 SH Defined 01 30000 INTEL CORP COMMON STOCK 458140100 344 17055 SH Sole 17055 404 20000 SH Defined 01 20000 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 2780 17048 SH Sole 17048 815 5000 SH Defined 01 5000 ISHARES BARCLAYS TIPS BOND IND COMMON STOCK 464287176 5736 52549 SH Sole 52549 ISHARES DOW JONES US REAL ESTA COMMON STOCK 464287739 1980 33338 SH Sole 33338 ISHARES DOW JONES US TECHNOLOG COMMON STOCK 464287721 359 5388 SH Sole 5388 ISHARES FTSE XINHUA CHINA 25 I COMMON STOCK 464287184 860 19154 SH Sole 19154 ISHARES IBOXX $ HIGH YIELD COR COMMON STOCK 464288513 8078 87846 SH Sole 87846 ISHARES IBOXX $ INV GRADE CORP COMMON STOCK 464287242 10782 99653 SH Sole 99653 ISHARES MSCI AUSTRALIA INDEX COMMON STOCK 464286103 562 21110 SH Sole 21110 ISHARES MSCI BRAZIL INDEX COMMON STOCK 464286400 1243 16039 SH Sole 16039 ISHARES MSCI EAFE GROWTH INDEX COMMON STOCK 464288885 255 4100 SH Sole 4100 ISHARES MSCI EMERGING MARKETS COMMON STOCK 464287234 1401 28789 SH Sole 28789 ISHARES MSCI PACIFIC EX- JAPAN COMMON STOCK 464286665 234 4850 SH Sole 4850 ISHARES MSCI SINGAPORE INDEX COMMON STOCK 464286673 147 10777 SH Sole 10777 ISHARES MSCI SOUTH AFRICA INDE COMMON STOCK 464286780 219 3000 SH Sole 3000 ISHARES MSCI SOUTH KOREA INDEX COMMON STOCK 464286772 482 7490 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81369Y803 1460 56021 SH Sole 56021 SELECT SECTOR SPDR UTILITIES COMMON STOCK 81369y886 1141 35790 SH Sole 35790 SENIOR HSG PPTYS TR SH BEN INT COMMON STOCK 81721M109 3319 144062 SH Sole 144062 1382 60000 SH Defined 01 60000 SLM CORPORATION COMMON STOCK 78442p106 645 42173 SH Sole 42173 SONOCO PRODUCTS CO COMMON STOCK 835495102 1034 28550 SH Sole 28550 SOUTHERN CO COMMON STOCK 842587107 400 10500 SH Sole 10500 SOUTHERN COPPER CORP COMMON STOCK 84265V105 773 19191 SH Sole 19191 805 20000 SH Defined 01 20000 SOUTHWESTERN ENERGY CO COMMON STOCK 845467109 2293 53372 SH Sole 53372 1547 36000 SH Defined 01 36000 SPDR BARCLAY CV BD E COMMON STOCK 78464A359 4724 112082 SH Sole 112082 SPDR BARCLAYS CAPITAL HIGH YIE COMMON STOCK 78464A417 8215 202782 SH Sole 202782 SPDR DOW JONES INDUSTRIAL AVER COMMON STOCK 78467X109 721 5862 SH Sole 5862 SPDR GOLD SHARES COMMON STOCK 78463V107 894 6392 SH Sole 6392 SPDR KBW Insurance ETF COMMON STOCK 78464A789 203 4609 SH Sole 4609 SPDR S&P 500 COMMON STOCK 78462F103 853 6436 SH Sole 6436 928 7000 SH Defined 01 7000 SPDR S&P DIVIDEND COMMON STOCK 78464A763 824 15211 SH Sole 15211 SPDR S&P Oil & Gas Exp & pr COMMON STOCK 78464A730 1594 24740 SH Sole 24740 TARGET CORP COMMON STOCK 87612e106 100 2000 SH Sole 2000 500 10000 SH Defined 01 10000 TECO ENERGY INC COMMON STOCK 872375100 547 29148 SH Sole 29148 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 638 18455 SH Sole 18455 1382 40000 SH Defined 01 40000 THE BABCOCK & WILCOX CO COM COMMON STOCK 05615F102 198 5917 SH Sole 5917 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 800 14401 SH Sole 14401 TIME WARNER INC COMMON STOCK 887317303 51 1434 SH Sole 1434 178 5000 SH Defined 01 5000 TITANIUM METALS CORPORATION NE COMMON STOCK 888339207 281 15144 SH Sole 15144 TORONTO DOMINION BANK COMMON STOCK 891160509 310 3500 SH Sole 3500 2658 30000 SH Defined 01 30000 TRANSOCEAN LTD COMMON STOCK h8817h100 988 12680 SH Sole 12680 TRAVELERS COS INC COMMON STOCK 89417e109 268 4500 SH Sole 4500 ULTRA PETROLEUM CORP COMMON STOCK 903914109 167 3400 SH Sole 3400 985 20000 SH Defined 01 20000 UNITED PARCEL SERVICE INC COMMON STOCK 911312106 646 8696 SH Sole 8696 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 1097 12965 SH Sole 12965 US STEEL CORP COMMON STOCK 912909108 518 9600 SH Sole 9600 VANGUARD NATURAL RESOURCES LLC COMMON STOCK 92205F106 469 14757 SH Sole 14757 VANGUARD TOTAL BOND MARKET IND COMMON STOCK 921937835 5849 73096 SH Sole 73096 VERIZON COMM INC COMMON STOCK 92343v104 2837 73610 SH Sole 73610 3314 86000 SH Defined 01 86000 VISA INC COMMON STOCK 92826C839 545 7397 SH Sole 7397 WALTER ENERGY INC COMMON STOCK 93317q105 1422 10500 SH Sole 10500 WEATHERFORD INTL LTD COMMON STOCK H27013103 118 5202 SH Sole 5202 791 35000 SH Defined 01 35000 WESTERN GAS PARTNERS COMMON STOCK 958254104 451 12907 SH Sole 12907 WEYERHAEUSER CO COMMON STOCK 962166104 782 31779 SH Sole 31779 WILLIAMS PARTNERS LP COMMON STOCK 96950F104 748 14434 SH Sole 14434 WINDSTREAM CORP COMMON STOCK 97381W104 673 52249 SH Sole 52249 XCEL ENERGY INC COMMON STOCK 98389b100 1969 82405 SH Sole 82405 XILINX INC COMMON STOCK 983919101 205 6243 SH Sole 6243 XL GROUP PLC COMMON STOCK g98290102 632 25673 SH Sole 25673 ASTRAZENECA PLC ADR 046353108 1414 30661 SH Sole 30661 BANK OF NOVA SCOTIA ADR 064149107 359 5854 SH Sole 5854 1842 30000 SH Defined 01 30000 BHP BILLITON LTD ADR 088606108 1731 18050 SH Sole 18050 1246 13000 SH Defined 01 13000 CHINA PETROLEUM & CHEMICAL COR ADR 16941r108 321 3193 SH Sole 3193 CHINA YUCHAI INTL LTD ADR g21082105 446 15200 SH Sole 15200 CHINATELECOM CORP LTD SPON ADR ADR 169426103 149 2450 SH Sole 2450 CHUNGHWA TELECOM CO LTD ADR 17133Q502 518 16610 SH Sole 16610 CNOOC LTD ADR 126132109 1012 4000 SH Sole 4000 DEUTSCHE TELEKOM AG Spon ADR ADR 251566105 2835 183750 SH Sole 183750 926 60000 SH Defined 01 60000 GRUPO TELEVISA SAB ADR 40049j206 224 9123 SH Sole 9123 PETROLEO BRASILEIRO SA PETROBR ADR 71654v408 757 18736 SH Sole 18736 RESEARCH IN MOTION LTD ADR 760975102 1393 24634 SH Sole 24634 RIO TINTO PLC ADR 767204100 668 9387 SH Sole 9387 SCHLUMBERGER LTD ADR 806857108 1171 12551 SH Sole 12551 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 244 20000 SH Defined 01 20000 TELECOM CORP OF NEW ZEALAND LT ADR 879278208 3010 390417 SH Sole 390417 771 100000 SH Defined 01 100000 TELEFONICA SA ADR 879382208 3083 122262 SH Sole 122262 TELSTRA CORP LTD ADR 87969N204 3782 259334 SH Sole 259334 1021 70000 SH Defined 01 70000 TEVA PHARMACEUTICAL INDUSTRIES ADR 881624209 605 12053 SH Sole 12053 TOTAL SA ADR 89151e109 1329 21793 SH Sole 21793 152 2500 SH Defined 01 2500 TRANSCANADA CORP ADR 89353D107 1866 46045 SH Sole 46045 730 18000 SH Defined 01 18000 VALE SA ADR 91912E105 714 21417 SH Sole 21417 VODAFONE GROUP PLC ADR 92857w209 736 25595 SH Sole 25595