Chief Compliance Officer

0001308757-15-000001.txt : 20150127 0001308757-15-000001.hdr.sgml : 20150127 20150127093956 ACCESSION NUMBER: 0001308757-15-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150127 DATE AS OF CHANGE: 20150127 EFFECTIVENESS DATE: 20150127 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: 15550444 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 12-31-2014 12-31-2014 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 01-27-2015 0 195 695662 false INFORMATION TABLE 2 dec2014.xml Guggenheim BulletShares 2015 Corporate Bond GUGG BULL 2015 18383M423 26179 1208038 SH SOLE 0 0 1208038 0 Guggenheim BulletShares 2016 Corporate Bond GUG BLT2016 HY 18383M415 28600 1294110 SH SOLE 0 0 1294110 0 Guggenheim BulletShares 2017 Corporate Bond GUG BLT2017 HY 18383m399 28139 1239071 SH SOLE 0 0 1239071 0 Guggenheim S&P 500 Pure Growth GUG S&P500 PU GR 78355w403 813 10224 SH SOLE 0 0 10224 0 Guggenheim S&P Small Cap 600 Pure Growth GUG S&P SC600 PG 78355W809 289 3584 SH SOLE 0 0 3584 0 Guggenheim S&P Small Cap 600 Pure Value GUG S&P SC600 PV 78355W700 251 3948 SH SOLE 0 0 3948 0 iShares Enhanced Int'l ENH INTL L CAP 46431W408 28797 1262474 SH SOLE 0 0 1262474 0 iShares Momentum MSCI USAMOMFCT 46432F396 30650 450334 SH SOLE 0 0 450334 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 16274 267490 SH SOLE 0 0 267490 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 7263 110356 SH SOLE 0 0 110356 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 381 8158 SH SOLE 0 0 8158 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 925 23551 SH SOLE 0 0 23551 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 758 9902 SH SOLE 0 0 9902 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 126965 1327942 SH SOLE 0 0 1327942 0 iShares Russell 1000 Index RUSSELL 1000 464287622 561 4895 SH SOLE 0 0 4895 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 86268 826323 SH SOLE 0 0 826323 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 292 2054 SH SOLE 0 0 2054 0 iShares Russell 2000 Index RUSSELL 2000 464287655 273 2281 SH SOLE 0 0 2281 0 iShares Russell 3000 Index RUSSELL 3000 464287689 273 2229 SH SOLE 0 0 2229 0 iShares Russell Micro Cap Index Fund RUSSELL MCP IDX 464287481 386 5018 SH SOLE 0 0 5018 0 iShares Russell Midcap Value Index RUS MDCP VAL ETF 464287473 207 2800 SH SOLE 0 0 2800 0 iShares S&P 500 S&P 500 INDEX 464287200 81477 393857 SH SOLE 0 0 393857 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 1720 15410 SH SOLE 0 0 15410 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 486 5179 SH SOLE 0 0 5179 0 iShares S&P/Barra 600 Value S&P SMLCP VALU 464287879 371 3142 SH SOLE 0 0 3142 0 PowerShares QQQ UNIT SER 1 73935A104 485 4694 SH SOLE 0 0 4694 0 S&P 500 SPDR UNIT SER 1 78462F103 1823 8869 SH SOLE 0 0 8869 0 Schwab 1000 Missing Security User-Defined Field 1 808517106 700 13337 SH SOLE 0 0 13337 0 SPDR MSCI ACWI ex-US MSCI ACWI EXUS 78463X848 3354 100231 SH SOLE 0 0 100231 0 SPDR S&P Dividend S&P DIVID ETF 78464a763 412 5225 SH SOLE 0 0 5225 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 309 4500 SH SOLE 0 0 4500 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1338 12817 SH SOLE 0 0 12817 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 953 11274 SH SOLE 0 0 11274 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 72310 574159 SH SOLE 0 0 574159 0 Vanguard Small Cap Value ETF SM CP VAL ETF 922908611 236 2232 SH SOLE 0 0 2232 0 Vanguard Total Stock Mkt VIPER TOTAL STK MKT 922908769 457 4312 SH SOLE 0 0 4312 0 3M Co. COM 88579y101 706 4299 SH SOLE 0 0 4299 0 Abbott Laboratories COM 002824100 683 15166 SH SOLE 0 0 15166 0 AbbVie Inc. COM 00287y109 975 14905 SH SOLE 0 0 14905 0 Accenture LTD Cl A COM g1151c101 226 2532 SH SOLE 0 0 2532 0 Aetna Inc. COM 00817Y108 200 2253 SH SOLE 0 0 2253 0 Allergan Inc. COM 184901023 482 2265 SH SOLE 0 0 2265 0 Allstate Corp COM 020002101 750 10680 SH SOLE 0 0 10680 0 Altria Group COM 718154107 847 17182 SH SOLE 0 0 17182 0 Amazon.Com COM 231351065 842 2712 SH SOLE 0 0 2712 0 American Express Co. COM 025816109 581 6244 SH SOLE 0 0 6244 0 American Intl Group Inc COM 026874784 701 12509 SH SOLE 0 0 12509 0 American Shared Hospital Service COM 029595105 156 55500 SH SOLE 0 0 55500 0 Ameriprise Financial COM 03076c106 231 1746 SH SOLE 0 0 1746 0 Amgen Inc. COM 311621007 882 5540 SH SOLE 0 0 5540 0 Anthem Inc. COM 036752103 370 2943 SH SOLE 0 0 2943 0 AON Corp. COM 0408v1025 610 6435 SH SOLE 0 0 6435 0 Apple Computer, Inc. COM 378331003 6657 60306 SH SOLE 0 0 60306 0 Applied Materials Inc COM 382221059 818 32821 SH SOLE 0 0 32821 0 Aptar Group COM 383361037 802 12000 SH SOLE 0 0 12000 0 AT&T Inc. COM 00206R102 1515 45106 SH SOLE 0 0 45106 0 Automatic Data Processing Inc. COM 530151034 222 2657 SH SOLE 0 0 2657 0 Autozone Inc. COM 533321022 288 465 SH SOLE 0 0 465 0 Baidu, Inc. SPON ADR REP A 56752108 222 975 SH SOLE 0 0 975 0 Bank of America Corp. COM 605051044 893 49891 SH SOLE 0 0 49891 0 Baxter International Inc. COM 718131097 236 3214 SH SOLE 0 0 3214 0 Berkshire Hathaway CL B NEW 846707024 3247 21623 SH SOLE 0 0 21623 0 Berkshire Hathaway CL A CL A 084990175 4520 2000 SH SOLE 0 0 2000 0 Biogen Idec Inc. COM 09062x103 359 1058 SH SOLE 0 0 1058 0 Boeing Co. COM 970231056 680 5234 SH SOLE 0 0 5234 0 Bristol-Myers Squibb Company COM 110122108 721 12217 SH SOLE 0 0 12217 0 British Petroleum Amoco COM 556221042 541 14199 SH SOLE 0 0 14199 0 C H Robinson COM 12541W100 1253 16726 SH SOLE 0 0 16726 0 Capital One Financial COM 14040H105 302 3655 SH SOLE 0 0 3655 0 Carmax COM 143130102 537 8067 SH SOLE 0 0 8067 0 Caterpillar Inc. COM 149123101 611 6677 SH SOLE 0 0 6677 0 Celgene Corp. COM 151020104 593 5300 SH SOLE 0 0 5300 0 Charles Schwab COM 808513105 531 17595 SH SOLE 0 0 17595 0 ChevronTexaco Corp. COM 166764100 1237 11023 SH SOLE 0 0 11023 0 Chimera Investment Corp. REIT COM 16934Q109 38 12081 SH SOLE 0 0 12081 0 Cigna Corp COM 125509109 203 1975 SH SOLE 0 0 1975 0 Cisco Systems Inc. COM 17275R102 519 18662 SH SOLE 0 0 18662 0 Citigroup Inc. COM 172967424 620 11466 SH SOLE 0 0 11466 0 Coca Cola COM 191216100 907 21483 SH SOLE 0 0 21483 0 Colgate-Palmolive Co COM 194162103 471 6807 SH SOLE 0 0 6807 0 ComCast COM 20030N101 763 13146 SH SOLE 0 0 13146 0 Conocophillips COM 20825C104 576 8346 SH SOLE 0 0 8346 0 CostCo Companies Inc. COM 22160k105 305 2149 SH SOLE 0 0 2149 0 Cummins Inc. COM 231021106 282 1953 SH SOLE 0 0 1953 0 CVS Health Corporation COM 126650100 739 7669 SH SOLE 0 0 7669 0 Danaher Corp. COM 235851102 345 4029 SH SOLE 0 0 4029 0 DCT Industrial Trust Inc COM 233153105 417 11691 SH SOLE 0 0 11691 0 Deere & Co. COM 244199105 226 2557 SH SOLE 0 0 2557 0 Delphi Automotive PLC SHS G27823106 482 6631 SH SOLE 0 0 6631 0 Diageo COM 25243Q205 223 1953 SH SOLE 0 0 1953 0 DirecTV COM 25490A309 200 2312 SH SOLE 0 0 2312 0 Dominion Res Inc VA New COM 25746u109 295 3837 SH SOLE 0 0 3837 0 Dow Chemical Co. COM 260543103 236 5167 SH SOLE 0 0 5167 0 Duke Energy COM 264399106 385 4606 SH SOLE 0 0 4606 0 Ebay, Inc. COM 278642103 296 5275 SH SOLE 0 0 5275 0 Edwards Lifesciences COM 28176E108 363 2846 SH SOLE 0 0 2846 0 EI DuPont de Nemours & Co. COM 263534109 369 4995 SH SOLE 0 0 4995 0 Eli Lilly & Co. COM 532457108 241 3494 SH SOLE 0 0 3494 0 EMC Corp. Mass. COM 268648102 309 10396 SH SOLE 0 0 10396 0 Emerson Electric COM 291011104 258 4175 SH SOLE 0 0 4175 0 Equity Residential PPTY Trust COM 29476L107 567 7896 SH SOLE 0 0 7896 0 Exelon Corporation COM 30161N101 425 11471 SH SOLE 0 0 11471 0 Express Scripts Inc. COM 302182100 367 4338 SH SOLE 0 0 4338 0 Exxon Mobil Corporation COM 30231G102 2640 28555 SH SOLE 0 0 28555 0 Facebook, Inc. COM 30303m102 452 5795 SH SOLE 0 0 5795 0 Family Dollar Stores COM 307000109 236 2978 SH SOLE 0 0 2978 0 Fed Ex Corp COM 31428X106 672 3870 SH SOLE 0 0 3870 0 Fleetcor Technologies Inc. COM 339041105 20134 135394 SH SOLE 0 0 135394 0 Ford Motor Company COM 345370860 431 27809 SH SOLE 0 0 27809 0 Fortune Brands Home & Security COM 34964c106 1293 28553 SH SOLE 0 0 28553 0 Franklin Resources Inc. COM 354613101 448 8091 SH SOLE 0 0 8091 0 Gaming & Leisure Properties Inc. COM 36467J108 249 8489 SH SOLE 0 0 8489 0 General Electric COM 369604103 1197 47353 SH SOLE 0 0 47353 0 General Motors Corporation - Old COM 37045v100 332 9523 SH SOLE 0 0 9523 0 Gilead Sciences Inc. COM 375558103 910 9658 SH SOLE 0 0 9658 0 Glaxosmithkline COM 37733W105 333 7796 SH SOLE 0 0 7796 0 Goldman Sachs Group COM 38141G104 424 2186 SH SOLE 0 0 2186 0 Google Inc. Class A Voting Shares CL A 38259P508 1094 2061 SH SOLE 0 0 2061 0 Google Inc. Class C Non Voting Shares CL C 38259p706 945 1796 SH SOLE 0 0 1796 0 Hewlett Packard Co COM 428236103 351 8737 SH SOLE 0 0 8737 0 Home Depot COM 437076102 954 9092 SH SOLE 0 0 9092 0 Honeywell International COM 438516106 408 4088 SH SOLE 0 0 4088 0 Horizon Pharma Inc COM 44047T109 2585 200564 SH SOLE 0 0 200564 0 IBM COM 459200101 1193 7435 SH SOLE 0 0 7435 0 Illinois Tool Works COM 452308109 666 7029 SH SOLE 0 0 7029 0 IMD Companies, Inc. COM 44969g101 3 300000 SH SOLE 0 0 300000 0 Intel Corp. COM 458140100 1976 54447 SH SOLE 0 0 54447 0 J P Morgan Chase & Co. COM 46625H100 1607 25676 SH SOLE 0 0 25676 0 Johnson & Johnson COM 478160104 2236 21383 SH SOLE 0 0 21383 0 Kimberly Clark Corp. COM 494368103 349 3020 SH SOLE 0 0 3020 0 Kinder Morgan, Inc. COM 49456b101 268 6335 SH SOLE 0 0 6335 0 Lockheed Martin Corp. COM 539830109 261 1353 SH SOLE 0 0 1353 0 Lorillard, Inc. COM 544147101 204 3243 SH SOLE 0 0 3243 0 Lowes Companies Inc. COM 548661107 366 5313 SH SOLE 0 0 5313 0 Mastercard Incorporated COM 57636Q104 434 5033 SH SOLE 0 0 5033 0 McDonald's Corporation COM 580135101 15196 162177 SH SOLE 0 0 162177 0 McKesson Corp. COM 58155Q103 344 1658 SH SOLE 0 0 1658 0 Mead Johnson Nutrition Company COM 582839106 219 2181 SH SOLE 0 0 2181 0 Medtronic Inc. COM 585055106 336 4649 SH SOLE 0 0 4649 0 Merck & Co, Inc. COM 589331107 930 16368 SH SOLE 0 0 16368 0 Metlife Inc. COM 59156R108 244 4509 SH SOLE 0 0 4509 0 Microsoft Corp. COM 594918104 2026 43616 SH SOLE 0 0 43616 0 Mondelez International Inc. COM 609207105 278 7644 SH SOLE 0 0 7644 0 Monsanto Co. COM 61166W101 381 3186 SH SOLE 0 0 3186 0 Morgan Stanley / Dean Witter COM 617446448 611 15760 SH SOLE 0 0 15760 0 Nano Labs Corp COM 148411101 9 620614 SH SOLE 0 0 620614 0 National Oilwell Varco COM 637071101 401 6125 SH SOLE 0 0 6125 0 Nextera Energy, Inc. COM 65339f101 256 2407 SH SOLE 0 0 2407 0 Nike Inc Cl B COM 654106103 465 4834 SH SOLE 0 0 4834 0 Northern Trust COM 665859104 335 4973 SH SOLE 0 0 4973 0 Northrop Grumman Corp COM 666807102 202 1368 SH SOLE 0 0 1368 0 Occidental Petroleum Corp COM 674599105 520 6448 SH SOLE 0 0 6448 0 Oracle Corp. COM 68389X105 1813 40323 SH SOLE 0 0 40323 0 Pepsico Inc COM 713448108 843 8915 SH SOLE 0 0 8915 0 Pfizer Inc. COM 717081103 1187 38122 SH SOLE 0 0 38122 0 Philip Morris International Inc. COM 718172109 850 10431 SH SOLE 0 0 10431 0 Phillips 66 COM 718546104 278 3882 SH SOLE 0 0 3882 0 PNC Bank Corp. COM 693475105 206 2254 SH SOLE 0 0 2254 0 Polo Ralph Lauren Corp COM 731572103 457 2470 SH SOLE 0 0 2470 0 PPG Industries COM 693506107 323 1396 SH SOLE 0 0 1396 0 Praxair Inc COM 74005P104 411 3174 SH SOLE 0 0 3174 0 Priceline Group, Inc. COM 741503106 333 292 SH SOLE 0 0 292 0 Procter & Gamble COM 742718109 1278 14025 SH SOLE 0 0 14025 0 Prudential Securities COM 744320102 257 2844 SH SOLE 0 0 2844 0 Qualcomm, Inc. COM 747525103 698 9393 SH SOLE 0 0 9393 0 Rockwell Medical, Inc. COM 774374102 198 19300 SH SOLE 0 0 19300 0 Schlumberger Ltd. COM 806857108 574 6721 SH SOLE 0 0 6721 0 Sempra Energy COM 816851109 214 1918 SH SOLE 0 0 1918 0 Simon Property Group COM 828806109 310 1700 SH SOLE 0 0 1700 0 Solar Wind Energy Tower Inc. COM 83416B109 0 65000 SH SOLE 0 0 65000 0 Southern Corp. COM 842587107 262 5342 SH SOLE 0 0 5342 0 Starbucks Corp. COM 855244109 484 5900 SH SOLE 0 0 5900 0 Starwood Hotels and Resorts COM 85590A203 474 5850 SH SOLE 0 0 5850 0 Target COM 87612E106 220 2901 SH SOLE 0 0 2901 0 TE Connectivity LTD COM H84989104 299 4721 SH SOLE 0 0 4721 0 Texas Instruments Inc. COM 882508104 360 6732 SH SOLE 0 0 6732 0 Thermo Fisher Scientific Inc COM 883556102 269 2144 SH SOLE 0 0 2144 0 Tiffany & Co COM 886547108 470 4397 SH SOLE 0 0 4397 0 Time Warner Inc. New COM 887317105 540 6319 SH SOLE 0 0 6319 0 TJX Companies Inc. COM 872540109 312 4556 SH SOLE 0 0 4556 0 Travelers Companies Inc COM 89417E109 376 3552 SH SOLE 0 0 3552 0 Twenty-First Century Fox, Inc. COM 90130A101 384 9993 SH SOLE 0 0 9993 0 Union Pacific COM 907818108 844 7087 SH SOLE 0 0 7087 0 United Health Care Corp. COM 91324P102 613 6060 SH SOLE 0 0 6060 0 United Parcel Service Class B COM 911312106 391 3519 SH SOLE 0 0 3519 0 United Technologies Corp. COM 913017109 582 5061 SH SOLE 0 0 5061 0 US Bancorp COM 902973304 374 8322 SH SOLE 0 0 8322 0 Verizon Communications COM 92343V104 947 20238 SH SOLE 0 0 20238 0 Visa, Inc. COM 82826C839 1391 5306 SH SOLE 0 0 5306 0 Wal-Mart COM 931142103 1201 13983 SH SOLE 0 0 13983 0 Walgreen Boots Alliance, Inc. COM 931427108 846 11109 SH SOLE 0 0 11109 0 Walt Disney Co. COM 254687106 2680 28453 SH SOLE 0 0 28453 0 Wells Fargo & Co New COM 949746101 3817 69622 SH SOLE 0 0 69622 0 Wyndham Worldwide COM 98310W108 239 2791 SH SOLE 0 0 2791 0 Yahoo Inc. COM 984332106 224 4444 SH SOLE 0 0 4444 0