Chief Compliance Officer

0001308757-15-000003.txt : 20150811 0001308757-15-000003.hdr.sgml : 20150811 20150810175735 ACCESSION NUMBER: 0001308757-15-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150811 DATE AS OF CHANGE: 20150810 EFFECTIVENESS DATE: 20150811 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: 151042005 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 06-30-2015 06-30-2015 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 08-10-2015 0 201 614215 false INFORMATION TABLE 2 june2015.xml Guggenheim BulletShares 2015 Corporate Bond GUGG BULL 2015 18383M423 496 22883 SH SOLE 0 0 22883 0 Guggenheim BulletShares 2016 Corporate Bond GUG BLT2016 HY 18383M415 492 22160 SH SOLE 0 0 22160 0 Guggenheim BulletShares 2017 Corporate Bond GUG BLT2017 HY 18383m399 478 21017 SH SOLE 0 0 21017 0 Guggenheim S&P 500 Pure Growth GUG S&P500 PU GR 78355W403 820 10102 SH SOLE 0 0 10102 0 Guggenheim S&P Small Cap 600 Pure Growth GUG S&P SC600 PG 78355W809 317 3525 SH SOLE 0 0 3525 0 Guggenheim S&P Small Cap 600 Pure Value GUG S&P SC600 PV 78355W700 248 3869 SH SOLE 0 0 3869 0 iShares Enhanced Int'l ENH INTL L CAP 46431W408 33915 1400874 SH SOLE 0 0 1400874 0 iShares Momentum MSCI USAMOMFCT 46432F396 35219 492994 SH SOLE 0 0 492994 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 15581 245408 SH SOLE 0 0 245408 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 7546 107982 SH SOLE 0 0 107982 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 416 8158 SH SOLE 0 0 8158 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 968 24441 SH SOLE 0 0 24441 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 753 9894 SH SOLE 0 0 9894 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 124117 1253576 SH SOLE 0 0 1253576 0 iShares Russell 1000 Index RUSSELL 1000 464287622 568 4895 SH SOLE 0 0 4895 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 79272 768512 SH SOLE 0 0 768512 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 318 2054 SH SOLE 0 0 2054 0 iShares Russell 2000 Index RUSSELL 2000 464287655 310 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 317 3883 SH SOLE 0 0 3883 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 73464 354521 SH SOLE 0 0 354521 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 1755 15410 SH SOLE 0 0 15410 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 478 5179 SH SOLE 0 0 5179 0 iShares S&P/Barra 600 Value S&P SMLCP VALU 464287879 370 3144 SH SOLE 0 0 3144 0 PowerShares QQQ UNIT SER 1 73935A104 372 3478 SH SOLE 0 0 3478 0 S&P 500 SPDR UNIT SER 1 78462F103 1681 8167 SH SOLE 0 0 8167 0 Schwab US Broad Market ETF SCHWAB FDT US BM 808524789 216 4296 SH SOLE 0 0 4296 0 SPDR MSCI ACWI ex-US MSCI ACWI EXUS 78463X848 2725 79179 SH SOLE 0 0 79179 0 SPDR S&P Dividend S&P DIVID ETF 78464a763 398 5225 SH SOLE 0 0 5225 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 303 4500 SH SOLE 0 0 4500 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1368 12778 SH SOLE 0 0 12778 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 940 11274 SH SOLE 0 0 11274 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 78464 584502 SH SOLE 0 0 584502 0 Vanguard Small Cap Value ETF SM CP VAL ETF 922908611 248 2300 SH SOLE 0 0 2300 0 Vanguard Total Stock Mkt VIPER TOTAL STK MKT 922908769 486 4542 SH SOLE 0 0 4542 0 3M Co. COM 88579y101 505 3272 SH SOLE 0 0 3272 0 Abbott Laboratories COM 002824100 647 13172 SH SOLE 0 0 13172 0 AbbVie Inc. COM 00287y109 895 13326 SH SOLE 0 0 13326 0 Accenture LTD Cl A COM g1151c101 214 2210 SH SOLE 0 0 2210 0 Aetna Inc. COM 00817Y108 394 3091 SH SOLE 0 0 3091 0 Allergan Inc. COM 184901023 299 985 SH SOLE 0 0 985 0 Allstate Corp COM 020002101 735 11328 SH SOLE 0 0 11328 0 Altria Group COM 718154107 1189 24304 SH SOLE 0 0 24304 0 Amazon.Com COM 231351065 1081 2491 SH SOLE 0 0 2491 0 AMC Entertainment Holdings, Inc. CL A COM 00165C104 607 19783 SH SOLE 0 0 19783 0 American Express Co. COM 025816109 252 3245 SH SOLE 0 0 3245 0 American Intl Group Inc COM 026874784 757 12249 SH SOLE 0 0 12249 0 American Shared Hospital Service COM 029595105 142 56000 SH SOLE 0 0 56000 0 Amgen Inc. COM 311621007 857 5580 SH SOLE 0 0 5580 0 AmTrust Financial Services, Inc. COM 323593095 394 6020 SH SOLE 0 0 6020 0 Anthem Inc. COM 036752103 1140 6947 SH SOLE 0 0 6947 0 AON Corp. COM 0408v1025 714 7164 SH SOLE 0 0 7164 0 Apple Computer, Inc. COM 378331003 6392 50964 SH SOLE 0 0 50964 0 Applied Materials Inc COM 382221059 410 21311 SH SOLE 0 0 21311 0 Aptar Group COM 383361037 765 12000 SH SOLE 0 0 12000 0 Archer-Daniels-Midland COM 394831028 209 4337 SH SOLE 0 0 4337 0 Assured Guaranty Ltd. COM G0585R106 212 8828 SH SOLE 0 0 8828 0 AT&T Inc. COM 00206R102 1415 39840 SH SOLE 0 0 39840 0 Autozone Inc. COM 533321022 208 312 SH SOLE 0 0 312 0 Bank of America Corp. COM 605051044 1119 65722 SH SOLE 0 0 65722 0 Berkshire Hathaway CL B NEW 846707024 2936 21569 SH SOLE 0 0 21569 0 Berkshire Hathaway CL A CL A 084990175 4097 2000 SH SOLE 0 0 2000 0 Biogen Idec Inc. COM 09062x103 435 1078 SH SOLE 0 0 1078 0 Boeing Co. COM 970231056 660 4755 SH SOLE 0 0 4755 0 Bristol-Myers Squibb Company COM 110122108 648 9743 SH SOLE 0 0 9743 0 British Petroleum Amoco COM 556221042 501 12527 SH SOLE 0 0 12527 0 Capital One Financial COM 14040H105 275 3131 SH SOLE 0 0 3131 0 Carmax COM 143130102 335 5067 SH SOLE 0 0 5067 0 Caterpillar Inc. COM 149123101 655 7722 SH SOLE 0 0 7722 0 Celgene Corp. COM 151020104 551 4762 SH SOLE 0 0 4762 0 Charles Schwab COM 808513105 452 13829 SH SOLE 0 0 13829 0 ChevronTexaco Corp. COM 166764100 976 10122 SH SOLE 0 0 10122 0 Cigna Corp COM 125509109 510 3146 SH SOLE 0 0 3146 0 Cisco Systems Inc. COM 17275R102 521 18957 SH SOLE 0 0 18957 0 Citigroup Inc. COM 172967424 579 10477 SH SOLE 0 0 10477 0 Coca Cola COM 191216100 468 11939 SH SOLE 0 0 11939 0 Colgate-Palmolive Co COM 194162103 371 5668 SH SOLE 0 0 5668 0 ComCast COM 20030N101 699 11630 SH SOLE 0 0 11630 0 Conocophillips COM 20825C104 317 5166 SH SOLE 0 0 5166 0 Consolidated Edison COM 209115104 326 5626 SH SOLE 0 0 5626 0 CostCo Companies Inc. COM 22160k105 301 2229 SH SOLE 0 0 2229 0 Cummins Inc. COM 231021106 228 1736 SH SOLE 0 0 1736 0 CVS Health Corporation COM 126650100 820 7821 SH SOLE 0 0 7821 0 Danaher Corp. COM 235851102 286 3346 SH SOLE 0 0 3346 0 DCT Industrial Trust Inc COM 233153105 368 11691 SH SOLE 0 0 11691 0 Deere & Co. COM 244199105 215 2213 SH SOLE 0 0 2213 0 Diageo COM 25243Q205 227 1953 SH SOLE 0 0 1953 0 Duke Energy COM 264399106 344 4870 SH SOLE 0 0 4870 0 Ebay, Inc. COM 278642103 295 4896 SH SOLE 0 0 4896 0 Edwards Lifesciences COM 28176E108 469 3293 SH SOLE 0 0 3293 0 EI DuPont de Nemours & Co. COM 263534109 258 4036 SH SOLE 0 0 4036 0 Eli Lilly & Co. COM 532457108 308 3684 SH SOLE 0 0 3684 0 EMC Corp. Mass. COM 268648102 205 7783 SH SOLE 0 0 7783 0 ePlus inc. COM 294268107 235 3060 SH SOLE 0 0 3060 0 Equity Residential PPTY Trust COM 29476L107 530 7547 SH SOLE 0 0 7547 0 Everest RE Group LTD COM G3223R108 579 3181 SH SOLE 0 0 3181 0 Exelon Corporation COM 30161N101 396 12602 SH SOLE 0 0 12602 0 Express Scripts Inc. COM 302182100 299 3367 SH SOLE 0 0 3367 0 Exxon Mobil Corporation COM 30231G102 1841 22132 SH SOLE 0 0 22132 0 Facebook, Inc. COM 30303m102 439 5123 SH SOLE 0 0 5123 0 Fed Ex Corp COM 31428X106 543 3185 SH SOLE 0 0 3185 0 Fleetcor Technologies Inc. COM 339041105 20981 134444 SH SOLE 0 0 134444 0 Ford Motor Company COM 345370860 375 24956 SH SOLE 0 0 24956 0 Franklin Resources Inc. COM 354613101 330 6731 SH SOLE 0 0 6731 0 Gaming & Leisure Properties Inc. COM 36467J108 311 8489 SH SOLE 0 0 8489 0 General Electric COM 369604103 913 34368 SH SOLE 0 0 34368 0 General Motors Corporation - Old COM 37045v100 496 14880 SH SOLE 0 0 14880 0 Gilead Sciences Inc. COM 375558103 1451 12396 SH SOLE 0 0 12396 0 Glaxosmithkline COM 37733W105 315 7569 SH SOLE 0 0 7569 0 Goldman Sachs Group COM 38141G104 406 1946 SH SOLE 0 0 1946 0 Goodyear Tire & Rubber COM 382550101 695 23038 SH SOLE 0 0 23038 0 Google Inc. Class A Voting Shares CL A 38259P508 968 1793 SH SOLE 0 0 1793 0 Google Inc. Class C Non Voting Shares CL C 38259p706 794 1526 SH SOLE 0 0 1526 0 Halliburton Co COM 406216101 357 8288 SH SOLE 0 0 8288 0 Hewlett Packard Co COM 428236103 214 7125 SH SOLE 0 0 7125 0 Home Depot COM 437076102 1031 9273 SH SOLE 0 0 9273 0 Honeywell International COM 438516106 421 4131 SH SOLE 0 0 4131 0 Horizon Pharma Inc COM 44047T109 6968 200564 SH SOLE 0 0 200564 0 IBM COM 459200101 1528 9396 SH SOLE 0 0 9396 0 Illinois Tool Works COM 452308109 518 5648 SH SOLE 0 0 5648 0 IMD Companies, Inc. COM 44969g101 1 300000 SH SOLE 0 0 300000 0 Intel Corp. COM 458140100 1557 51192 SH SOLE 0 0 51192 0 Intercontinental Hotels Group plc SPON ADR NEW2014 45857P509 254 6305 SH SOLE 0 0 6305 0 J P Morgan Chase & Co. COM 46625H100 1716 25321 SH SOLE 0 0 25321 0 JetBlue Airways Corp COM 477143101 779 37529 SH SOLE 0 0 37529 0 Johnson & Johnson COM 478160104 1869 19179 SH SOLE 0 0 19179 0 Kimberly Clark Corp. COM 494368103 263 2478 SH SOLE 0 0 2478 0 Kraft Foods Group Inc. COM 50076q106 219 2568 SH SOLE 0 0 2568 0 Kroger Co. COM 501044101 339 4678 SH SOLE 0 0 4678 0 Lincoln National Corp. COM 534187109 226 3818 SH SOLE 0 0 3818 0 Lockheed Martin Corp. COM 539830109 493 2654 SH SOLE 0 0 2654 0 Lowes Companies Inc. COM 548661107 325 4856 SH SOLE 0 0 4856 0 LyondellBasell Industries NV SHS - A - n53745100 433 4186 SH SOLE 0 0 4186 0 Marathon Petroleum Corporation COM 56585A102 273 5228 SH SOLE 0 0 5228 0 Mastercard Incorporated COM 57636Q104 431 4607 SH SOLE 0 0 4607 0 McDonald's Corporation COM 580135101 15025 158041 SH SOLE 0 0 158041 0 McKesson Corp. COM 58155Q103 357 1590 SH SOLE 0 0 1590 0 Merck & Co, Inc. COM 589331107 767 13466 SH SOLE 0 0 13466 0 Metlife Inc. COM 59156R108 264 4717 SH SOLE 0 0 4717 0 Microsoft Corp. COM 594918104 1958 44350 SH SOLE 0 0 44350 0 Mondelez International Inc. COM 609207105 225 5481 SH SOLE 0 0 5481 0 Monsanto Co. COM 61166W101 231 2170 SH SOLE 0 0 2170 0 Morgan Stanley / Dean Witter COM 617446448 565 14577 SH SOLE 0 0 14577 0 Nano Labs Corp COM 148411101 3 620614 SH SOLE 0 0 620614 0 National Oilwell Varco COM 637071101 260 5390 SH SOLE 0 0 5390 0 Nextera Energy, Inc. COM 65339f101 210 2138 SH SOLE 0 0 2138 0 Nike Inc Cl B COM 654106103 443 4097 SH SOLE 0 0 4097 0 Noble Corporation PLC COM 655042109 174 11296 SH SOLE 0 0 11296 0 Northern Trust COM 665859104 360 4713 SH SOLE 0 0 4713 0 Northrop Grumman Corp COM 666807102 281 1772 SH SOLE 0 0 1772 0 Occidental Petroleum Corp COM 674599105 344 4419 SH SOLE 0 0 4419 0 ONE Gas, Inc. COM 68235P108 262 6165 SH SOLE 0 0 6165 0 Oracle Corp. COM 68389X105 1395 34625 SH SOLE 0 0 34625 0 PartnerRe Ltd. COM G6852T105 738 5747 SH SOLE 0 0 5747 0 Pepsico Inc COM 713448108 582 6233 SH SOLE 0 0 6233 0 Pfizer Inc. COM 717081103 1165 34736 SH SOLE 0 0 34736 0 Philip Morris International Inc. COM 718172109 262 3263 SH SOLE 0 0 3263 0 Phillips 66 COM 718546104 296 3675 SH SOLE 0 0 3675 0 Pilgrim's Pride Corp COM 72147K108 636 27668 SH SOLE 0 0 27668 0 PNC Bank Corp. COM 693475105 233 2433 SH SOLE 0 0 2433 0 PPG Industries COM 693506107 257 2242 SH SOLE 0 0 2242 0 Praxair Inc COM 74005P104 230 1923 SH SOLE 0 0 1923 0 Procter & Gamble COM 742718109 698 8915 SH SOLE 0 0 8915 0 Protein Design COM 74369L103 559 86988 SH SOLE 0 0 86988 0 Prudential Securities COM 744320102 272 3111 SH SOLE 0 0 3111 0 Qualcomm, Inc. COM 747525103 438 6987 SH SOLE 0 0 6987 0 Reinsurance Group of America Inc. COM NEW 759351604 873 9200 SH SOLE 0 0 9200 0 Renewable Energy Group, Inc. COM NEW 75972A301 515 44547 SH SOLE 0 0 44547 0 Rockwell Medical, Inc. COM 774374102 303 18800 SH SOLE 0 0 18800 0 Schlumberger Ltd. COM 806857108 253 2939 SH SOLE 0 0 2939 0 Simmons First Nat'l COM 828730200 226 4844 SH SOLE 0 0 4844 0 Skywork Solutions COM 83088M102 546 5244 SH SOLE 0 0 5244 0 Solar Wind Energy Tower Inc. COM 83416B109 0 65000 SH SOLE 0 0 65000 0 Starbucks Corp. COM 855244109 636 11869 SH SOLE 0 0 11869 0 Target COM 87612E106 203 2481 SH SOLE 0 0 2481 0 TE Connectivity LTD COM H84989104 290 4508 SH SOLE 0 0 4508 0 Tesoro Corp. COM 881609101 397 4702 SH SOLE 0 0 4702 0 Texas Instruments Inc. COM 882508104 305 5924 SH SOLE 0 0 5924 0 Thermo Fisher Scientific Inc COM 883556102 256 1976 SH SOLE 0 0 1976 0 Tiffany & Co COM 886547108 386 4210 SH SOLE 0 0 4210 0 Time Warner Inc. New COM 887317105 577 6601 SH SOLE 0 0 6601 0 TJX Companies Inc. COM 872540109 287 4332 SH SOLE 0 0 4332 0 Travelers Companies Inc COM 89417E109 338 3499 SH SOLE 0 0 3499 0 Tribune Media Company CL A 896047503 251 4700 SH SOLE 0 0 4700 0 Triple-S Management Corporation CL B 896749108 407 15851 SH SOLE 0 0 15851 0 Twenty-First Century Fox, Inc. COM 90130A101 243 7457 SH SOLE 0 0 7457 0 Union Pacific COM 907818108 612 6418 SH SOLE 0 0 6418 0 United Health Care Corp. COM 91324P102 834 6839 SH SOLE 0 0 6839 0 United Parcel Service Class B COM 911312106 217 2241 SH SOLE 0 0 2241 0 United Technologies Corp. COM 913017109 475 4280 SH SOLE 0 0 4280 0 US Bancorp COM 902973304 300 6916 SH SOLE 0 0 6916 0 Valero Energy Corp. COM 91913Y100 739 11805 SH SOLE 0 0 11805 0 Verizon Communications COM 92343V104 994 21318 SH SOLE 0 0 21318 0 Visa, Inc. COM 82826C839 1340 19952 SH SOLE 0 0 19952 0 Voya Financial Inc. COM 929089100 1531 32941 SH SOLE 0 0 32941 0 Wal-Mart COM 931142103 885 12479 SH SOLE 0 0 12479 0 Walgreen Boots Alliance, Inc. COM 931427108 905 10712 SH SOLE 0 0 10712 0 Walt Disney Co. COM 254687106 3158 27664 SH SOLE 0 0 27664 0 Wells Fargo & Co New COM 949746101 3998 71089 SH SOLE 0 0 71089 0 Yahoo Inc. COM 984332106 243 6187 SH SOLE 0 0 6187 0