Chief Compliance Officer

0001308757-14-000005.txt : 20140729 0001308757-14-000005.hdr.sgml : 20140729 20140728173306 ACCESSION NUMBER: 0001308757-14-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140729 DATE AS OF CHANGE: 20140728 EFFECTIVENESS DATE: 20140729 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: 14997557 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 true 0001308757 XXXXXXXX 06-30-2014 06-30-2014 BALASA DINVERNO & FOLTZ LLC

500 PARK BLVD SUITE 1400 ITASCA IL 60143

13F HOLDINGS REPORT 028-11054 N Michael C. Foltz Chief Compliance Officer 630-875-4926 Michael C. Foltz Itasca IL 07-28-2014 0 179 871548 false INFORMATION TABLE 2 jun2014.xml Guggenheim BulletShares 2014 Corporate Bond GUGG BULL 2014 18383M431 383 18124 SH SOLE 0 0 18124 0 Guggenheim BulletShares 2015 Corporate Bond GUGG BULL 2015 18383M423 24823 1133462 SH SOLE 0 0 1133462 0 Guggenheim BulletShares 2016 Corporate Bond GUG BLT2016 HY 18383M415 26655 1191011 SH SOLE 0 0 1191011 0 Guggenheim BulletShares 2017 Corporate Bond GUG BLT2017 HY 18383m399 25894 1130252 SH SOLE 0 0 1130252 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 44074 644643 SH SOLE 0 0 644643 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 9120 125878 SH SOLE 0 0 125878 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 355 6712 SH SOLE 0 0 6712 0 iShares MSCI EAFE Value Index EAFE VALUE ETF 464288877 258 4401 SH SOLE 0 0 4401 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 995 23024 SH SOLE 0 0 23024 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 662 9049 SH SOLE 0 0 9049 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 207095 2277524 SH SOLE 0 0 2277524 0 iShares Russell 1000 Index RUSSELL 1000 464287622 561 5095 SH SOLE 0 0 5095 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 147128 1452834 SH SOLE 0 0 1452834 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 209 1512 SH SOLE 0 0 1512 0 iShares Russell 2000 Index RUSSELL 2000 464287655 271 2281 SH SOLE 0 0 2281 0 iShares Russell 3000 Index RUSSELL 3000 464287689 262 2229 SH SOLE 0 0 2229 0 iShares Russell Micro Cap Index Fund RUSSELL MCP IDX 464287481 212 2789 SH SOLE 0 0 2789 0 iShares Russell Midcap Value Index RUS MDCP VAL ETF 464287473 203 2800 SH SOLE 0 0 2800 0 iShares S&P 500 S&P 500 INDEX 464287200 167099 848217 SH SOLE 0 0 848217 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 1679 15960 SH SOLE 0 0 15960 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 522 5786 SH SOLE 0 0 5786 0 iShares S&P/Barra 600 Value S&P SMLCP VALU 464287879 262 2271 SH SOLE 0 0 2271 0 PowerShares QQQ UNIT SER 1 73935A104 520 5540 SH SOLE 0 0 5540 0 S&P 500 SPDR UNIT SER 1 78462F103 1981 10122 SH SOLE 0 0 10122 0 Schwab International Small Cap ETF INTL SCEQT ETF 808524888 216 6296 SH SOLE 0 0 6296 0 Schwab US Broad Market ETF SCHWAB FDT US BM 808524789 206 4313 SH SOLE 0 0 4313 0 SPDR MSCI ACWI ex-US MSCI ACWI EXUS 78463X848 8015 216047 SH SOLE 0 0 216047 0 SPDR S&P Dividend S&P DIVID ETF 78464A763 276 3610 SH SOLE 0 0 3610 0 Vanguard FTSE Developed Markets ETF MSCI EAFE IDX 921943858 224 5250 SH SOLE 0 0 5250 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 245 3700 SH SOLE 0 0 3700 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1056 10679 SH SOLE 0 0 10679 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 787 9723 SH SOLE 0 0 9723 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 70265 551571 SH SOLE 0 0 551571 0 3M Co. COM 88579y101 470 3281 SH SOLE 0 0 3281 0 Abbott Laboratories COM 002824100 631 15428 SH SOLE 0 0 15428 0 AbbVie Inc. COM 00287y109 856 15159 SH SOLE 0 0 15159 0 Allergan Inc. COM 184901023 390 2305 SH SOLE 0 0 2305 0 Allstate Corp COM 020002101 614 10455 SH SOLE 0 0 10455 0 Altria Group COM 718154107 558 13296 SH SOLE 0 0 13296 0 Amazon.Com COM 231351065 645 1986 SH SOLE 0 0 1986 0 American Express Co. COM 025816109 593 6254 SH SOLE 0 0 6254 0 American Intl Group Inc COM 026874784 693 12697 SH SOLE 0 0 12697 0 American Shared Hospital Service COM 029595105 144 55500 SH SOLE 0 0 55500 0 Ameriprise Financial COM 03076c106 212 1766 SH SOLE 0 0 1766 0 Amgen Inc. COM 311621007 549 4642 SH SOLE 0 0 4642 0 Anadarko Pete Corp COM 032511107 255 2329 SH SOLE 0 0 2329 0 AON Corp. COM 0408v1025 389 4318 SH SOLE 0 0 4318 0 Apple Computer, Inc. COM 378331003 5587 60119 SH SOLE 0 0 60119 0 Applied Materials Inc COM 382221059 743 32961 SH SOLE 0 0 32961 0 Aptar Group COM 383361037 804 12000 SH SOLE 0 0 12000 0 AT&T Inc. COM 00206R102 1494 42241 SH SOLE 0 0 42241 0 Autozone Inc. COM 533321022 249 465 SH SOLE 0 0 465 0 Bank of America Corp. COM 605051044 751 48892 SH SOLE 0 0 48892 0 Baxter International Inc. COM 718131097 337 4658 SH SOLE 0 0 4658 0 Berkshire Hathaway CL B NEW 846707024 1864 14727 SH SOLE 0 0 14727 0 Berkshire Hathaway CL A CL A 084990175 5127 2700 SH SOLE 0 0 2700 0 Biogen Idec Inc. COM 09062x103 325 1032 SH SOLE 0 0 1032 0 Boeing Co. COM 970231056 646 5074 SH SOLE 0 0 5074 0 Bristol-Myers Squibb Company COM 110122108 536 11047 SH SOLE 0 0 11047 0 British Petroleum Amoco COM 556221042 721 13667 SH SOLE 0 0 13667 0 C H Robinson COM 12541W100 1068 16736 SH SOLE 0 0 16736 0 C V S Corp Del COM 126650100 561 7437 SH SOLE 0 0 7437 0 Capital One Financial COM 14040H105 210 2537 SH SOLE 0 0 2537 0 Carmax COM 143130102 411 7900 SH SOLE 0 0 7900 0 Caterpillar Inc. COM 149123101 721 6633 SH SOLE 0 0 6633 0 CBS Corporation COM 673961017 224 3611 SH SOLE 0 0 3611 0 Celgene Corp. COM 151020104 455 5300 SH SOLE 0 0 5300 0 Charles Schwab COM 808513105 472 17523 SH SOLE 0 0 17523 0 ChevronTexaco Corp. COM 166764100 1526 11691 SH SOLE 0 0 11691 0 Cisco Systems Inc. COM 17275R102 338 13601 SH SOLE 0 0 13601 0 Citigroup Inc. COM 172967424 549 11656 SH SOLE 0 0 11656 0 Coca Cola COM 191216100 922 21772 SH SOLE 0 0 21772 0 Colgate-Palmolive Co COM 194162103 426 6242 SH SOLE 0 0 6242 0 ComCast COM 20030N101 671 12508 SH SOLE 0 0 12508 0 Comcast Corp Spl Cl A COM 20030N200 348 6520 SH SOLE 0 0 6520 0 Conocophillips COM 20825C104 598 6974 SH SOLE 0 0 6974 0 CostCo Companies Inc. COM 22160k105 237 2057 SH SOLE 0 0 2057 0 Cummins Inc. COM 231021106 311 2013 SH SOLE 0 0 2013 0 Danaher Corp. COM 235851102 327 4155 SH SOLE 0 0 4155 0 DCT Industrial Trust Inc COM 233153105 384 46766 SH SOLE 0 0 46766 0 Deere & Co. COM 244199105 249 2745 SH SOLE 0 0 2745 0 Delphi Automotive PLC SHS G27823106 465 6762 SH SOLE 0 0 6762 0 Diageo COM 25243Q205 274 2153 SH SOLE 0 0 2153 0 Dominion Res Inc VA New COM 25746u109 277 3872 SH SOLE 0 0 3872 0 Dow Chemical Co. COM 260543103 274 5327 SH SOLE 0 0 5327 0 Dresser-Rand Group Inc. COM 261608103 210 3300 SH SOLE 0 0 3300 0 Duke Energy COM 264399106 290 3905 SH SOLE 0 0 3905 0 Ebay, Inc. COM 278642103 264 5270 SH SOLE 0 0 5270 0 Edwards Lifesciences COM 28176E108 262 3054 SH SOLE 0 0 3054 0 EI DuPont de Nemours & Co. COM 263534109 321 4909 SH SOLE 0 0 4909 0 EMC Corp. Mass. COM 268648102 267 10119 SH SOLE 0 0 10119 0 Emerson Electric COM 291011104 281 4235 SH SOLE 0 0 4235 0 EOG Resources COM 26875p101 234 2000 SH SOLE 0 0 2000 0 Equity Residential PPTY Trust COM 29476L107 497 7896 SH SOLE 0 0 7896 0 Exelon Corporation COM 30161N101 403 11035 SH SOLE 0 0 11035 0 Express Scripts Inc. COM 302182100 306 4414 SH SOLE 0 0 4414 0 Exxon Mobil Corporation COM 30231G102 2913 28929 SH SOLE 0 0 28929 0 Facebook, Inc. COM 30303m102 317 4713 SH SOLE 0 0 4713 0 Fed Ex Corp COM 31428X106 572 3777 SH SOLE 0 0 3777 0 Federal Signal Corp COM 313855108 173 11801 SH SOLE 0 0 11801 0 Fleetcor Technologies Inc. COM 339041105 18198 138073 SH SOLE 0 0 138073 0 Ford Motor Company COM 345370860 508 29441 SH SOLE 0 0 29441 0 Franklin Resources Inc. COM 354613101 481 8321 SH SOLE 0 0 8321 0 Gaming & Leisure Properties Inc. COM 36467J108 288 8489 SH SOLE 0 0 8489 0 General Electric COM 369604103 1185 45100 SH SOLE 0 0 45100 0 General Motors Corporation - Old COM 37045v100 249 6860 SH SOLE 0 0 6860 0 Gilead Sciences Inc. COM 375558103 771 9305 SH SOLE 0 0 9305 0 Glaxosmithkline COM 37733W105 417 7796 SH SOLE 0 0 7796 0 Goldman Sachs Group COM 38141G104 342 2041 SH SOLE 0 0 2041 0 Google Inc. Class A Voting Shares CL A 38259P508 1156 1978 SH SOLE 0 0 1978 0 Google Inc. Class C Non Voting Shares CL C 38259p706 1033 1796 SH SOLE 0 0 1796 0 Halliburton Co COM 406216101 319 4493 SH SOLE 0 0 4493 0 Hewlett Packard Co COM 428236103 287 8535 SH SOLE 0 0 8535 0 Home Depot COM 437076102 630 7783 SH SOLE 0 0 7783 0 Honeywell International COM 438516106 370 3976 SH SOLE 0 0 3976 0 IBM COM 459200101 1486 8200 SH SOLE 0 0 8200 0 Illinois Tool Works COM 452308109 633 7229 SH SOLE 0 0 7229 0 Intel Corp. COM 458140100 1591 51494 SH SOLE 0 0 51494 0 J P Morgan Chase & Co. COM 46625H100 1384 24013 SH SOLE 0 0 24013 0 Johnson & Johnson COM 478160104 2029 19390 SH SOLE 0 0 19390 0 Kimberly Clark Corp. COM 494368103 344 3089 SH SOLE 0 0 3089 0 Lowes Companies Inc. COM 548661107 266 5553 SH SOLE 0 0 5553 0 Mastercard Incorporated COM 57636Q104 378 5143 SH SOLE 0 0 5143 0 McDonald's Corporation COM 580135101 16461 163404 SH SOLE 0 0 163404 0 McKesson Corp. COM 58155Q103 215 1157 SH SOLE 0 0 1157 0 Medtronic Inc. COM 585055106 308 4834 SH SOLE 0 0 4834 0 Merck & Co, Inc. COM 589331107 897 15505 SH SOLE 0 0 15505 0 Metlife Inc. COM 59156R108 245 4409 SH SOLE 0 0 4409 0 Microsoft Corp. COM 594918104 1496 35878 SH SOLE 0 0 35878 0 Mondelez International Inc. COM 609207105 287 7623 SH SOLE 0 0 7623 0 Monsanto Co. COM 61166W101 375 3010 SH SOLE 0 0 3010 0 Morgan Stanley / Dean Witter COM 617446448 495 15301 SH SOLE 0 0 15301 0 National Oilwell Varco COM 637071101 502 6100 SH SOLE 0 0 6100 0 Nextera Energy, Inc. COM 65339f101 249 2427 SH SOLE 0 0 2427 0 Nike Inc Cl B COM 654106103 368 4747 SH SOLE 0 0 4747 0 Northern Trust COM 665859104 313 4875 SH SOLE 0 0 4875 0 Occidental Petroleum Corp COM 674599105 700 6817 SH SOLE 0 0 6817 0 Oracle Corp. COM 68389X105 1368 33765 SH SOLE 0 0 33765 0 Pepsico Inc COM 713448108 726 8125 SH SOLE 0 0 8125 0 Pfizer Inc. COM 717081103 1084 36513 SH SOLE 0 0 36513 0 Philip Morris International Inc. COM 718172109 781 9260 SH SOLE 0 0 9260 0 Phillips 66 COM 718546104 251 3119 SH SOLE 0 0 3119 0 PNC Bank Corp. COM 693475105 202 2268 SH SOLE 0 0 2268 0 Polo Ralph Lauren Corp COM 731572103 299 1860 SH SOLE 0 0 1860 0 PPG Industries COM 693506107 293 1396 SH SOLE 0 0 1396 0 Praxair Inc COM 74005P104 412 3103 SH SOLE 0 0 3103 0 Priceline Group, Inc. COM 741503106 375 312 SH SOLE 0 0 312 0 Procter & Gamble COM 742718109 1047 13319 SH SOLE 0 0 13319 0 Prudential Securities COM 744320102 278 3135 SH SOLE 0 0 3135 0 Qualcomm, Inc. COM 747525103 752 9491 SH SOLE 0 0 9491 0 Rockwell Medical, Inc. COM 774374102 231 19300 SH SOLE 0 0 19300 0 Schlumberger Ltd. COM 806857108 807 6844 SH SOLE 0 0 6844 0 Simon Property Group COM 828806109 294 1770 SH SOLE 0 0 1770 0 Solar Wind Energy Tower Inc. COM 83416B109 2 65000 SH SOLE 0 0 65000 0 Southern Corp. COM 842587107 311 6862 SH SOLE 0 0 6862 0 Starbucks Corp. COM 855244109 455 5880 SH SOLE 0 0 5880 0 Starwood Hotels and Resorts COM 85590A203 470 5820 SH SOLE 0 0 5820 0 TE Connectivity LTD COM H84989104 297 4799 SH SOLE 0 0 4799 0 Texas Instruments Inc. COM 882508104 312 6526 SH SOLE 0 0 6526 0 Thermo Fisher Scientific Inc COM 883556102 249 2110 SH SOLE 0 0 2110 0 Tiffany & Co COM 886547108 532 5310 SH SOLE 0 0 5310 0 Time Warner Inc. New COM 887317105 437 6217 SH SOLE 0 0 6217 0 TJX Companies Inc. COM 872540109 233 4383 SH SOLE 0 0 4383 0 Travelers Companies Inc COM 89417E109 375 3982 SH SOLE 0 0 3982 0 Twenty-First Century Fox, Inc. COM 90130A101 351 9993 SH SOLE 0 0 9993 0 Union Pacific COM 907818108 575 5764 SH SOLE 0 0 5764 0 United Health Care Corp. COM 91324P102 472 5774 SH SOLE 0 0 5774 0 United Parcel Service Class B COM 911312106 368 3589 SH SOLE 0 0 3589 0 United Technologies Corp. COM 913017109 589 5101 SH SOLE 0 0 5101 0 US Bancorp COM 902973304 358 8257 SH SOLE 0 0 8257 0 Verizon Communications COM 92343V104 807 16500 SH SOLE 0 0 16500 0 Viacom Inc. Class B COM 925524308 205 2365 SH SOLE 0 0 2365 0 Visa, Inc. COM 82826C839 1113 5280 SH SOLE 0 0 5280 0 Wal-Mart COM 931142103 1069 14240 SH SOLE 0 0 14240 0 Walgreen Company COM 931422109 822 11086 SH SOLE 0 0 11086 0 Walt Disney Co. COM 254687106 2371 27655 SH SOLE 0 0 27655 0 WellPoint Health Networks COM 94973H108 210 1956 SH SOLE 0 0 1956 0 Wells Fargo & Co New COM 949746101 3590 68309 SH SOLE 0 0 68309 0 Wyndham Worldwide COM 98310W108 215 2841 SH SOLE 0 0 2841 0