0001085146-12-001284.txt : 20121030 0001085146-12-001284.hdr.sgml : 20121030 20121030164654 ACCESSION NUMBER: 0001085146-12-001284 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121030 DATE AS OF CHANGE: 20121030 EFFECTIVENESS DATE: 20121030 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ATRIA INVESTMENTS LLC CENTRAL INDEX KEY: 0001535865 IRS NUMBER: 208800607 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14921 FILM NUMBER: 121169040 BUSINESS ADDRESS: STREET 1: 5935 CARNEGIE BLVD STREET 2: SUITE 100 CITY: CHARLOTTE STATE: NC ZIP: 28209 BUSINESS PHONE: 704-716-3725 MAIL ADDRESS: STREET 1: 5935 CARNEGIE BLVD STREET 2: SUITE 100 CITY: CHARLOTTE STATE: NC ZIP: 28209 13F-HR 1 atria3q2012.txt ATRIA INVESTMENTS LLC 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, 2012 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: Atria Investments LLC Address: 5935 Carnegie Blvd, Suite 100 Charlotte, NC 28209 13F File Number: 028-14921 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: Michael Stier Title: President / CCO Phone: 704.716.3725 Signature, Place, and Date of Signing: /s/ Michael Stier Charlotte, NC October 30, 2012 ATRIA INVESTMENTS LLC PRIMARILY CONDUCTS ITS ADVISORY BUSINESS AS ADHESION WEALTH ADVISOR SOLUTIONS. Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 149 Form 13F Information Table Value Total: $500,099 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE 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 COM 88579Y101 331 3580 SH SOLE 3580 0 0 ABBOTT LABS COM 002824100 490 7153 SH SOLE 7153 0 0 AFLAC INC COM 001055102 303 6338 SH SOLE 6338 0 0 AMERICAN EXPRESS CO COM 025816109 474 8333 SH SOLE 8333 0 0 AMGEN INC COM 031162100 247 2934 SH SOLE 2934 0 0 ANADARKO PETE CORP COM 032511107 275 3933 SH SOLE 3933 0 0 APPLE INC COM 037833100 1512 2266 SH SOLE 2266 0 0 AT&T INC COM 00206R102 568 15071 SH SOLE 15071 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 200 3409 SH SOLE 3409 0 0 BANK OF AMERICA CORPORATION COM 060505104 150 16988 SH SOLE 16988 0 0 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 4468 101054 SH SOLE 101054 0 0 BARCLAYS BK PLC IPATH DYNM VIX 06741L609 6278 118983 SH SOLE 118983 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 400 4537 SH SOLE 4537 0 0 BLOCK H & R INC COM 093671105 205 11850 SH SOLE 11850 0 0 BOEING CO COM 097023105 321 4619 SH SOLE 4619 0 0 CATERPILLAR INC DEL COM 149123101 427 4957 SH SOLE 4957 0 0 CELGENE CORP COM 151020104 214 2803 SH SOLE 2803 0 0 CHEVRON CORP NEW COM 166764100 1114 9558 SH SOLE 9558 0 0 CISCO SYS INC COM 17275R102 417 21848 SH SOLE 21848 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG BULL 2015 18383M423 392 14881 SH SOLE 14881 0 0 CLAYMORE EXCHANGE TRD FD TR GUG MULTI ASSET 18383M506 272 12170 SH SOLE 12170 0 0 COCA COLA CO COM 191216100 494 13036 SH SOLE 13036 0 0 COMCAST CORP NEW CL A 20030N101 410 11457 SH SOLE 11457 0 0 CONOCOPHILLIPS COM 20825C104 680 11901 SH SOLE 11901 0 0 CVS CAREMARK CORPORATION COM 126650100 229 4731 SH SOLE 4731 0 0 DEERE & CO COM 244199105 263 3191 SH SOLE 3191 0 0 DISNEY WALT CO COM DISNEY 254687106 394 7536 SH SOLE 7536 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 291 5787 SH SOLE 5787 0 0 E M C CORP MASS COM 268648102 371 13619 SH SOLE 13619 0 0 EATON VANCE SR FLTNG RTE TR COM 27828Q105 173 10415 SH SOLE 10415 0 0 EMERSON ELEC CO COM 291011104 206 4262 SH SOLE 4262 0 0 EXELON CORP COM 30161N101 243 6839 SH SOLE 6839 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 255 4079 SH SOLE 4079 0 0 EXXON MOBIL CORP COM 30231G102 1156 12645 SH SOLE 12645 0 0 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 605 28360 SH SOLE 28360 0 0 FIRST TR MORNINGSTAR DIV LEA SHS 336917109 627 32621 SH SOLE 32621 0 0 GENERAL DYNAMICS CORP COM 369550108 279 4225 SH SOLE 4225 0 0 GENERAL ELECTRIC CO COM 369604103 846 37232 SH SOLE 37232 0 0 GENERAL MLS INC COM 370334104 337 8462 SH SOLE 8462 0 0 GOOGLE INC CL A 38259P508 558 740 SH SOLE 740 0 0 GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 321 10515 SH SOLE 10515 0 0 HONEYWELL INTL INC COM 438516106 534 8930 SH SOLE 8930 0 0 INTEL CORP COM 458140100 621 27417 SH SOLE 27417 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 715 3444 SH SOLE 3444 0 0 ISHARES GOLD TRUST ISHARES 464285105 7669 444037 SH SOLE 444037 0 0 ISHARES INC MSCI AUSTRALIA 464286103 17792 747875 SH SOLE 747875 0 0 ISHARES INC MSCI EMU INDEX 464286608 1169 38889 SH SOLE 38889 0 0 ISHARES INC MSCI PAC J IDX 464286665 333 7468 SH SOLE 7468 0 0 ISHARES INC MSCI TURKEY FD 464286715 680 12175 SH SOLE 12175 0 0 ISHARES TR LRGE CORE INDX 464287127 639 7811 SH SOLE 7811 0 0 ISHARES TR DJ SEL DIV INX 464287168 216 3744 SH SOLE 3744 0 0 ISHARES TR BARCLYS TIPS BD 464287176 2204 18104 SH SOLE 18104 0 0 ISHARES TR S&P 500 INDEX 464287200 1648 11415 SH SOLE 11415 0 0 ISHARES TR BARCLY USAGG B 464287226 4946 43986 SH SOLE 43986 0 0 ISHARES TR MSCI EMERG MKT 464287234 2917 70579 SH SOLE 70579 0 0 ISHARES TR IBOXX INV CPBD 464287242 1894 15555 SH SOLE 15555 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 612 5642 SH SOLE 5642 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 619 7330 SH SOLE 7330 0 0 ISHARES TR MSCI EAFE INDEX 464287465 23898 450904 SH SOLE 450904 0 0 ISHARES TR NASDQ BIO INDX 464287556 809 5675 SH SOLE 5675 0 0 ISHARES TR COHEN&ST RLTY 464287564 337 4325 SH SOLE 4325 0 0 ISHARES TR CONS SRVC IDX 464287580 525 6071 SH SOLE 6071 0 0 ISHARES TR RUSSELL 3000 464287689 404 4759 SH SOLE 4759 0 0 ISHARES TR DJ US REAL EST 464287739 1131 17564 SH SOLE 17564 0 0 ISHARES TR S&P SMLCAP 600 464287804 2182 28307 SH SOLE 28307 0 0 ISHARES TR MSCI ACWI INDX 464288257 884 18926 SH SOLE 18926 0 0 ISHARES TR MSCI SMALL CAP 464288273 3613 93364 SH SOLE 93364 0 0 ISHARES TR JPMORGAN USD 464288281 4632 38199 SH SOLE 38199 0 0 ISHARES TR HIGH YLD CORP 464288513 3507 37998 SH SOLE 37998 0 0 ISHARES TR MRTG PLS CAP IDX 464288539 261 17384 SH SOLE 17384 0 0 ISHARES TR US PFD STK IDX 464288687 268 6712 SH SOLE 6712 0 0 ISHARES TR SMLL VAL INDX 464288703 11154 126566 SH SOLE 126566 0 0 ISHARES TR S&P GL C STAPL 464288737 510 6905 SH SOLE 6905 0 0 ISHARES TR DJ HOME CONSTN 464288752 540 27928 SH SOLE 27928 0 0 ISHARES TR HGH DIV EQT FD 46429B663 17620 289179 SH SOLE 289179 0 0 JOHNSON & JOHNSON COM 478160104 642 9319 SH SOLE 9319 0 0 JPMORGAN CHASE & CO COM 46625H100 516 12755 SH SOLE 12755 0 0 KIMBERLY CLARK CORP COM 494368103 370 4317 SH SOLE 4317 0 0 LOCKHEED MARTIN CORP COM 539830109 276 2961 SH SOLE 2961 0 0 LOWES COS INC COM 548661107 334 11052 SH SOLE 11052 0 0 MARKET VECTORS ETF TR MKTVEC MORNSTR 57060U134 287 13318 SH SOLE 13318 0 0 MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 753 22833 SH SOLE 22833 0 0 MATTEL INC COM 577081102 204 5742 SH SOLE 5742 0 0 MCDONALDS CORP COM 580135101 417 4542 SH SOLE 4542 0 0 MEDTRONIC INC COM 585055106 234 5418 SH SOLE 5418 0 0 MERCK & CO INC NEW COM 58933Y105 861 19094 SH SOLE 19094 0 0 METLIFE INC COM 59156R108 253 7350 SH SOLE 7350 0 0 MICROSOFT CORP COM 594918104 802 26950 SH SOLE 26950 0 0 NORFOLK SOUTHERN CORP COM 655844108 226 3559 SH SOLE 3559 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 238 2763 SH SOLE 2763 0 0 ORACLE CORP COM 68389X105 312 9903 SH SOLE 9903 0 0 PEPSICO INC COM 713448108 385 5437 SH SOLE 5437 0 0 PFIZER INC COM 717081103 846 34049 SH SOLE 34049 0 0 PHILIP MORRIS INTL INC COM 718172109 861 9575 SH SOLE 9575 0 0 PIMCO ETF TR TOTL RETN ETF 72201R775 293 2698 SH SOLE 2698 0 0 PIMCO ETF TR ENHAN SHRT MAT 72201R833 1367 13472 SH SOLE 13472 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 350 23055 SH SOLE 23055 0 0 POWERSHARES ETF TRUST DYN MEDIA PORT 73935X823 533 32181 SH SOLE 32181 0 0 POWERSHARES ETF TRUST II DWA EMRG MKTS 73936Q207 689 39909 SH SOLE 39909 0 0 PROCTER & GAMBLE CO COM 742718109 569 8198 SH SOLE 8198 0 0 PROSHARES TR SHRT 20+YR TRE 74347X849 247 8483 SH SOLE 8483 0 0 QUALCOMM INC COM 747525103 410 6563 SH SOLE 6563 0 0 RAYTHEON CO COM NEW 755111507 203 3547 SH SOLE 3547 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 201 2894 SH SOLE 2894 0 0 RYDEX ETF TRUST GUG S&P MC400 PG 78355W601 11390 126782 SH SOLE 126782 0 0 SCHLUMBERGER LTD COM 806857108 411 5681 SH SOLE 5681 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 7653 221576 SH SOLE 221576 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 386 11288 SH SOLE 11288 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 995 26587 SH SOLE 26587 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3958 158075 SH SOLE 158075 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 3651 127008 SH SOLE 127008 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 12009 227401 SH SOLE 227401 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 5171 171178 SH SOLE 171178 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 8927 152935 SH SOLE 152935 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 322 8992 SH SOLE 8992 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 248 5301 SH SOLE 5301 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 608 16718 SH SOLE 16718 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 21987 127916 SH SOLE 127916 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3007 20883 SH SOLE 20883 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1612 8958 SH SOLE 8958 0 0 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 589 14657 SH SOLE 14657 0 0 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 51333 1120557 SH SOLE 1120557 0 0 SPDR SERIES TRUST S&P PHARMAC 78464A722 247 4138 SH SOLE 4138 0 0 SPECTRA ENERGY CORP COM 847560109 269 9179 SH SOLE 9179 0 0 SWEDISH EXPT CR CORP MLCX BIO ETN23 870297199 142 11626 SH SOLE 11626 0 0 SWEDISH EXPT CR CORP ROG AGRI ETN22 870297603 140 14588 SH SOLE 14588 0 0 TARGET CORP COM 87612E106 486 7652 SH SOLE 7652 0 0 TEXAS INSTRS INC COM 882508104 243 8803 SH SOLE 8803 0 0 UNITEDHEALTH GROUP INC COM 91324P102 448 8084 SH SOLE 8084 0 0 US BANCORP DEL COM NEW 902973304 233 6803 SH SOLE 6803 0 0 VALLEY NATL BANCORP COM 919794107 106 10560 SH SOLE 10560 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 419 5146 SH SOLE 5146 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 77174 906335 SH SOLE 906335 0 0 VANGUARD INDEX FDS REIT ETF 922908553 6719 103415 SH SOLE 103415 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 950 15957 SH SOLE 15957 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 4561 63000 SH SOLE 63000 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 62983 855162 SH SOLE 855162 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 8468 202966 SH SOLE 202966 0 0 VANGUARD INTL EQUITY INDEX F MSCI PAC ETF 922042866 246 4880 SH SOLE 4880 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 761 8681 SH SOLE 8681 0 0 VANGUARD STAR FD INTL STK IDXFD 921909768 32691 739439 SH SOLE 739439 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 5258 104331 SH SOLE 104331 0 0 VERISIGN INC COM 92343E102 218 4478 SH SOLE 4478 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 405 8878 SH SOLE 8878 0 0 WAL-MART STORES INC COM 931142103 265 3584 SH SOLE 3584 0 0 WELLPOINT INC COM 94973V107 226 3899 SH SOLE 3899 0 0 WELLS FARGO & CO NEW COM 949746101 667 19317 SH SOLE 19317 0 0 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 1922 35808 SH SOLE 35808 0 0 WISDOMTREE TRUST SMALLCAP DIVID 97717W604 637 12604 SH SOLE 12604 0 0