Chief Compliance Officer

0001308757-15-000002.txt : 20150512 0001308757-15-000002.hdr.sgml : 20150512 20150512172211 ACCESSION NUMBER: 0001308757-15-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150512 DATE AS OF CHANGE: 20150512 EFFECTIVENESS DATE: 20150512 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: 15855532 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 03-31-2015 03-31-2015 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 05-12-2015 0 205 699820 false INFORMATION TABLE 2 march2015.xml Guggenheim BulletShares 2015 Corporate Bond GUGG BULL 2015 18383M423 26028 1200546 SH SOLE 0 0 1200546 0 Guggenheim BulletShares 2016 Corporate Bond GUG BLT2016 HY 18383M415 29431 1323928 SH SOLE 0 0 1323928 0 Guggenheim BulletShares 2017 Corporate Bond GUG BLT2017 HY 18383m399 29175 1277939 SH SOLE 0 0 1277939 0 AQR Int'l Momentum MSCI GRW IDX 00203h883 227 15711 SH SOLE 0 0 15711 0 Guggenheim S&P 500 Pure Growth GUG S&P500 PU GR 78355W403 839 10102 SH SOLE 0 0 10102 0 Guggenheim S&P Small Cap 600 Pure Growth GUG S&P SC600 PG 78355W809 312 3525 SH SOLE 0 0 3525 0 Guggenheim S&P Small Cap 600 Pure Value GUG S&P SC600 PV 78355W700 247 3869 SH SOLE 0 0 3869 0 iShares Enhanced Int'l ENH INTL L CAP 46431W408 32496 1351760 SH SOLE 0 0 1351760 0 iShares Momentum MSCI USAMOMFCT 46432F396 33424 475454 SH SOLE 0 0 475454 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 16421 255902 SH SOLE 0 0 255902 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 7654 109228 SH SOLE 0 0 109228 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 404 8158 SH SOLE 0 0 8158 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 965 24041 SH SOLE 0 0 24041 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 765 9902 SH SOLE 0 0 9902 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 127202 1285911 SH SOLE 0 0 1285911 0 iShares Russell 1000 Index RUSSELL 1000 464287622 567 4895 SH SOLE 0 0 4895 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 81986 795363 SH SOLE 0 0 795363 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 311 2054 SH SOLE 0 0 2054 0 iShares Russell 2000 Index RUSSELL 2000 464287655 309 2484 SH SOLE 0 0 2484 0 iShares Russell 3000 Index RUSSELL 3000 464287689 276 2229 SH SOLE 0 0 2229 0 iShares Russell Micro Cap Index Fund RUSSELL MCP IDX 464287481 300 3789 SH SOLE 0 0 3789 0 iShares Russell Midcap Value Index RUS MDCP VAL ETF 464287473 211 2800 SH SOLE 0 0 2800 0 iShares S&P 500 S&P 500 INDEX 464287200 75925 365320 SH SOLE 0 0 365320 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 1756 15410 SH SOLE 0 0 15410 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 479 5179 SH SOLE 0 0 5179 0 iShares S&P/Barra 600 Value S&P SMLCP VALU 464287879 374 3143 SH SOLE 0 0 3143 0 PowerShares QQQ UNIT SER 1 73935A104 367 3478 SH SOLE 0 0 3478 0 S&P 500 SPDR UNIT SER 1 78462F103 1907 9237 SH SOLE 0 0 9237 0 Schwab US Broad Market ETF SCHWAB FDT US BM 808524789 217 4292 SH SOLE 0 0 4292 0 SPDR MSCI ACWI ex-US MSCI ACWI EXUS 78463X848 2796 80715 SH SOLE 0 0 80715 0 SPDR S&P Dividend S&P DIVID ETF 78464a763 409 5225 SH SOLE 0 0 5225 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 307 4500 SH SOLE 0 0 4500 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1337 12778 SH SOLE 0 0 12778 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 944 11274 SH SOLE 0 0 11274 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 76228 578450 SH SOLE 0 0 578450 0 Vanguard Small Cap Value ETF SM CP VAL ETF 922908611 244 2232 SH SOLE 0 0 2232 0 Vanguard Total Stock Mkt VIPER TOTAL STK MKT 922908769 487 4542 SH SOLE 0 0 4542 0 3M Co. COM 88579y101 703 4261 SH SOLE 0 0 4261 0 Abbott Laboratories COM 002824100 663 14319 SH SOLE 0 0 14319 0 AbbVie Inc. COM 00287y109 828 14148 SH SOLE 0 0 14148 0 Accenture LTD Cl A COM g1151c101 214 2280 SH SOLE 0 0 2280 0 Actavis Inc. SHS g0083b108 420 1411 SH SOLE 0 0 1411 0 Aetna Inc. COM 00817Y108 270 2537 SH SOLE 0 0 2537 0 Allstate Corp COM 020002101 926 13008 SH SOLE 0 0 13008 0 Altria Group COM 718154107 1214 24268 SH SOLE 0 0 24268 0 Amazon.Com COM 231351065 1029 2765 SH SOLE 0 0 2765 0 AMC Entertainment Holdings, Inc. CL A COM 00165C104 1070 30139 SH SOLE 0 0 30139 0 American Express Co. COM 025816109 311 3980 SH SOLE 0 0 3980 0 American Intl Group Inc COM 026874784 714 13035 SH SOLE 0 0 13035 0 American Shared Hospital Service COM 029595105 141 55500 SH SOLE 0 0 55500 0 Ameriprise Financial COM 03076c106 214 1633 SH SOLE 0 0 1633 0 Amgen Inc. COM 311621007 856 5358 SH SOLE 0 0 5358 0 AmTrust Financial Services, Inc. COM 32359309 212 3715 SH SOLE 0 0 3715 0 Anthem Inc. COM 036752103 796 5152 SH SOLE 0 0 5152 0 AON Corp. COM 0408v1025 599 6233 SH SOLE 0 0 6233 0 Apple Computer, Inc. COM 378331003 6760 54331 SH SOLE 0 0 54331 0 Applied Materials Inc COM 382221059 508 22498 SH SOLE 0 0 22498 0 Aptar Group COM 383361037 762 12000 SH SOLE 0 0 12000 0 Arlington Asset Investment Corp CL A NEW 41356205 202 8400 SH SOLE 0 0 8400 0 Assurant Inc. COM 04621X108 254 4130 SH SOLE 0 0 4130 0 AT&T Inc. COM 00206R102 1433 43879 SH SOLE 0 0 43879 0 Automatic Data Processing Inc. COM 530151034 223 2609 SH SOLE 0 0 2609 0 Autozone Inc. COM 533321022 254 372 SH SOLE 0 0 372 0 Baidu, Inc. SPON ADR REP A 567521083 203 975 SH SOLE 0 0 975 0 Bank of America Corp. COM 605051044 1101 71515 SH SOLE 0 0 71515 0 Berkshire Hathaway CL B NEW 846707024 3319 22999 SH SOLE 0 0 22999 0 Berkshire Hathaway CL A CL A 084990175 4350 2000 SH SOLE 0 0 2000 0 Biogen Idec Inc. COM 09062x103 463 1097 SH SOLE 0 0 1097 0 Boeing Co. COM 970231056 763 5081 SH SOLE 0 0 5081 0 Bristol-Myers Squibb Company COM 110122108 718 11137 SH SOLE 0 0 11137 0 British Petroleum Amoco COM 556221042 556 14212 SH SOLE 0 0 14212 0 Capital One Financial COM 14040H105 204 2584 SH SOLE 0 0 2584 0 Carmax COM 143130102 350 5067 SH SOLE 0 0 5067 0 Caterpillar Inc. COM 149123101 434 5417 SH SOLE 0 0 5417 0 Celgene Corp. COM 151020104 540 4687 SH SOLE 0 0 4687 0 Charles Schwab COM 808513105 434 14247 SH SOLE 0 0 14247 0 ChevronTexaco Corp. COM 166764100 1252 11922 SH SOLE 0 0 11922 0 Chimera Investment Corp. REIT COM 16934Q109 63 20148 SH SOLE 0 0 20148 0 Cigna Corp COM 125509109 276 2132 SH SOLE 0 0 2132 0 Cisco Systems Inc. COM 17275R102 525 19090 SH SOLE 0 0 19090 0 Citigroup Inc. COM 172967424 566 10989 SH SOLE 0 0 10989 0 Coca Cola COM 191216100 640 15776 SH SOLE 0 0 15776 0 Colgate-Palmolive Co COM 194162103 463 6679 SH SOLE 0 0 6679 0 ComCast COM 20030N101 681 12051 SH SOLE 0 0 12051 0 Conocophillips COM 20825C104 421 6759 SH SOLE 0 0 6759 0 Corning Inc. COM 219350105 210 9254 SH SOLE 0 0 9254 0 CostCo Companies Inc. COM 22160k105 313 2069 SH SOLE 0 0 2069 0 Cummins Inc. COM 231021106 264 1903 SH SOLE 0 0 1903 0 CVS Health Corporation COM 126650100 808 7826 SH SOLE 0 0 7826 0 Danaher Corp. COM 235851102 303 3565 SH SOLE 0 0 3565 0 DCT Industrial Trust Inc COM 233153105 405 11691 SH SOLE 0 0 11691 0 Delphi Automotive PLC SHS G27823106 345 4331 SH SOLE 0 0 4331 0 Delta Airlines Inc. New COM NEW 247361702 380 8453 SH SOLE 0 0 8453 0 Diageo COM 25243Q205 216 1953 SH SOLE 0 0 1953 0 Dominion Res Inc VA New COM 25746u109 230 3245 SH SOLE 0 0 3245 0 Duke Energy COM 264399106 348 4527 SH SOLE 0 0 4527 0 Ebay, Inc. COM 278642103 281 4864 SH SOLE 0 0 4864 0 Edwards Lifesciences COM 28176E108 470 3298 SH SOLE 0 0 3298 0 EI DuPont de Nemours & Co. COM 263534109 320 4472 SH SOLE 0 0 4472 0 Eli Lilly & Co. COM 532457108 268 3687 SH SOLE 0 0 3687 0 EMC Corp. Mass. COM 268648102 239 9366 SH SOLE 0 0 9366 0 Ensco PLC SHS CLASS A G3157S106 300 14250 SH SOLE 0 0 14250 0 ePlus inc. COM 294268107 309 3559 SH SOLE 0 0 3559 0 Equity Residential PPTY Trust COM 29476L107 588 7547 SH SOLE 0 0 7547 0 Exelon Corporation COM 30161N101 394 11714 SH SOLE 0 0 11714 0 Express Scripts Inc. COM 302182100 322 3716 SH SOLE 0 0 3716 0 Exxon Mobil Corporation COM 30231G102 2097 24676 SH SOLE 0 0 24676 0 Facebook, Inc. COM 30303m102 460 5598 SH SOLE 0 0 5598 0 Fed Ex Corp COM 31428X106 500 3021 SH SOLE 0 0 3021 0 Fleetcor Technologies Inc. COM 339041105 20434 135394 SH SOLE 0 0 135394 0 Ford Motor Company COM 345370860 438 27150 SH SOLE 0 0 27150 0 Franklin Resources Inc. COM 354613101 369 7181 SH SOLE 0 0 7181 0 Gaming & Leisure Properties Inc. COM 36467J108 313 8489 SH SOLE 0 0 8489 0 General Electric COM 369604103 941 37914 SH SOLE 0 0 37914 0 General Motors Corporation - Old COM 37045v100 538 14339 SH SOLE 0 0 14339 0 Gilead Sciences Inc. COM 375558103 973 9920 SH SOLE 0 0 9920 0 Glaxosmithkline COM 37733W105 352 7627 SH SOLE 0 0 7627 0 Goldman Sachs Group COM 38141G104 448 2382 SH SOLE 0 0 2382 0 Google Inc. Class A Voting Shares CL A 38259P508 1139 2053 SH SOLE 0 0 2053 0 Google Inc. Class C Non Voting Shares CL C 38259p706 1034 1886 SH SOLE 0 0 1886 0 Halliburton Co COM 406216101 392 8944 SH SOLE 0 0 8944 0 Hewlett Packard Co COM 428236103 256 8220 SH SOLE 0 0 8220 0 Home Depot COM 437076102 1012 8908 SH SOLE 0 0 8908 0 Honeywell International COM 438516106 413 3962 SH SOLE 0 0 3962 0 Horizon Pharma Inc COM 44047T109 5209 200564 SH SOLE 0 0 200564 0 IBM COM 459200101 1273 7932 SH SOLE 0 0 7932 0 Illinois Tool Works COM 452308109 566 5827 SH SOLE 0 0 5827 0 Intel Corp. COM 458140100 1704 54485 SH SOLE 0 0 54485 0 J P Morgan Chase & Co. COM 46625H100 1465 24187 SH SOLE 0 0 24187 0 Johnson & Johnson COM 478160104 2064 20512 SH SOLE 0 0 20512 0 Kimberly Clark Corp. COM 494368103 271 2528 SH SOLE 0 0 2528 0 Kinder Morgan, Inc. COM 49456b101 222 5272 SH SOLE 0 0 5272 0 Kraft Foods Group Inc. COM 50076q106 214 2462 SH SOLE 0 0 2462 0 Kroger Co. COM 501044101 340 4436 SH SOLE 0 0 4436 0 Lexicon Pharmaceuticals COM 528872104 11 12000 SH SOLE 0 0 12000 0 Lincoln National Corp. COM 534187109 214 3724 SH SOLE 0 0 3724 0 Lockheed Martin Corp. COM 539830109 308 1519 SH SOLE 0 0 1519 0 Lowes Companies Inc. COM 548661107 391 5251 SH SOLE 0 0 5251 0 LyondellBasell Industries NV SHS - A - n53745100 201 2284 SH SOLE 0 0 2284 0 Marathon Petroleum Corporation COM 56585A102 210 2053 SH SOLE 0 0 2053 0 Mastercard Incorporated COM 57636Q104 411 4757 SH SOLE 0 0 4757 0 McDonald's Corporation COM 580135101 15556 159650 SH SOLE 0 0 159650 0 McKesson Corp. COM 58155Q103 375 1658 SH SOLE 0 0 1658 0 Mead Johnson Nutrition Company COM 582839106 212 2111 SH SOLE 0 0 2111 0 Merck & Co, Inc. COM 589331107 879 15288 SH SOLE 0 0 15288 0 Metlife Inc. COM 59156R108 230 4557 SH SOLE 0 0 4557 0 Microsoft Corp. COM 594918104 1947 47888 SH SOLE 0 0 47888 0 Mondelez International Inc. COM 609207105 230 6372 SH SOLE 0 0 6372 0 Monsanto Co. COM 61166W101 286 2539 SH SOLE 0 0 2539 0 Morgan Stanley / Dean Witter COM 617446448 547 15317 SH SOLE 0 0 15317 0 Nano Labs Corp COM 148411101 6 620614 SH SOLE 0 0 620614 0 National Oilwell Varco COM 637071101 279 5575 SH SOLE 0 0 5575 0 Nelnet, Inc CL A 64031N108 207 4380 SH SOLE 0 0 4380 0 Nextera Energy, Inc. COM 65339f101 233 2243 SH SOLE 0 0 2243 0 Nike Inc Cl B COM 654106103 422 4208 SH SOLE 0 0 4208 0 Noble Corporation PLC COM 655042109 360 25226 SH SOLE 0 0 25226 0 Northern Trust COM 665859104 335 4805 SH SOLE 0 0 4805 0 Northrop Grumman Corp COM 666807102 248 1540 SH SOLE 0 0 1540 0 NOW Inc. COM 67011p110 204 9443 SH SOLE 0 0 9443 0 Occidental Petroleum Corp COM 674599105 385 5278 SH SOLE 0 0 5278 0 Oracle Corp. COM 68389X105 1719 39844 SH SOLE 0 0 39844 0 PartnerRe Ltd. COM G6852T105 607 5308 SH SOLE 0 0 5308 0 Pepsico Inc COM 713448108 725 7584 SH SOLE 0 0 7584 0 Pfizer Inc. COM 717081103 1296 37247 SH SOLE 0 0 37247 0 Philip Morris International Inc. COM 718172109 511 6779 SH SOLE 0 0 6779 0 Phillips 66 COM 718546104 288 3665 SH SOLE 0 0 3665 0 Pilgrim's Pride Corp COM 72147K108 407 18025 SH SOLE 0 0 18025 0 PNC Bank Corp. COM 693475105 229 2456 SH SOLE 0 0 2456 0 PPG Industries COM 693506107 292 1295 SH SOLE 0 0 1295 0 Praxair Inc COM 74005P104 289 2391 SH SOLE 0 0 2391 0 Priceline Group, Inc. COM 741503106 232 199 SH SOLE 0 0 199 0 Procter & Gamble COM 742718109 939 11463 SH SOLE 0 0 11463 0 Protein Design COM 74369L103 210 29872 SH SOLE 0 0 29872 0 Prudential Securities COM 744320102 219 2725 SH SOLE 0 0 2725 0 Qualcomm, Inc. COM 747525103 567 8177 SH SOLE 0 0 8177 0 RadNet, Inc. COM 750491102 107 12730 SH SOLE 0 0 12730 0 Reinsurance Group of America Inc. COM NEW 759351604 490 5256 SH SOLE 0 0 5256 0 Rockwell Medical, Inc. COM 774374102 211 19300 SH SOLE 0 0 19300 0 Schlumberger Ltd. COM 806857108 326 3905 SH SOLE 0 0 3905 0 Skywork Solutions COM 83088M102 394 4007 SH SOLE 0 0 4007 0 Southern Corp. COM 842587107 224 5056 SH SOLE 0 0 5056 0 Starbucks Corp. COM 855244109 567 5985 SH SOLE 0 0 5985 0 Starwood Hotels and Resorts COM 85590A203 483 5780 SH SOLE 0 0 5780 0 TE Connectivity LTD COM H84989104 338 4721 SH SOLE 0 0 4721 0 Texas Instruments Inc. COM 882508104 382 6685 SH SOLE 0 0 6685 0 Thermo Fisher Scientific Inc COM 883556102 271 2016 SH SOLE 0 0 2016 0 Tiffany & Co COM 886547108 377 4280 SH SOLE 0 0 4280 0 Time Warner Inc. New COM 887317105 537 6362 SH SOLE 0 0 6362 0 TJX Companies Inc. COM 872540109 313 4475 SH SOLE 0 0 4475 0 Travelers Companies Inc COM 89417E109 452 4178 SH SOLE 0 0 4178 0 Twenty-First Century Fox, Inc. COM 90130A101 276 8151 SH SOLE 0 0 8151 0 Union Pacific COM 907818108 800 7384 SH SOLE 0 0 7384 0 United Health Care Corp. COM 91324P102 735 6212 SH SOLE 0 0 6212 0 United Insurance Holdings Corp COM 910710102 355 15791 SH SOLE 0 0 15791 0 United Parcel Service Class B COM 911312106 266 2748 SH SOLE 0 0 2748 0 United Technologies Corp. COM 913017109 526 4491 SH SOLE 0 0 4491 0 US Bancorp COM 902973304 301 6886 SH SOLE 0 0 6886 0 Valero Energy Corp. COM 91913Y100 364 5714 SH SOLE 0 0 5714 0 Verizon Communications COM 92343V104 1028 21139 SH SOLE 0 0 21139 0 Visa, Inc. COM 82826C839 1393 21304 SH SOLE 0 0 21304 0 Wal-Mart COM 931142103 1140 13860 SH SOLE 0 0 13860 0 Walgreen Boots Alliance, Inc. COM 931427108 931 10990 SH SOLE 0 0 10990 0 Walt Disney Co. COM 254687106 2919 27831 SH SOLE 0 0 27831 0 Wells Fargo & Co New COM 949746101 3875 71223 SH SOLE 0 0 71223 0 Wyndham Worldwide COM 98310W108 247 2734 SH SOLE 0 0 2734 0