Chief Compliance Officer

0001308757-15-000004.txt : 20151110 0001308757-15-000004.hdr.sgml : 20151110 20151109144916 ACCESSION NUMBER: 0001308757-15-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151109 DATE AS OF CHANGE: 20151109 EFFECTIVENESS DATE: 20151109 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: 151215229 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 09-30-2015 09-30-2015 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 11-09-2015 0 195 565683 false INFORMATION TABLE 2 Sept2015.xml Guggenheim BulletShares 2015 Corporate Bond GUGG BULL 2015 18383M423 334 15423 SH SOLE 0 0 15423 0 Guggenheim BulletShares 2016 Corporate Bond GUG BLT2016 HY 18383M415 357 16097 SH SOLE 0 0 16097 0 Guggenheim BulletShares 2017 Corporate Bond GUG BLT2017 HY 18383m399 337 14842 SH SOLE 0 0 14842 0 Guggenheim S&P 500 Pure Growth GUG S&P500 PU GR 78355W403 782 10102 SH SOLE 0 0 10102 0 Guggenheim S&P Small Cap 600 Pure Growth GUG S&P SC600 PG 78355W809 285 3525 SH SOLE 0 0 3525 0 iShares Enhanced Int'l ENH INTL L CAP 46431W408 27964 1270521 SH SOLE 0 0 1270521 0 iShares Momentum MSCI USAMOMFCT 46432F396 34308 502969 SH SOLE 0 0 502969 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 18023 314434 SH SOLE 0 0 314434 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 6714 105220 SH SOLE 0 0 105220 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 391 8178 SH SOLE 0 0 8178 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 700 21343 SH SOLE 0 0 21343 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 702 9894 SH SOLE 0 0 9894 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 114123 1227126 SH SOLE 0 0 1227126 0 iShares Russell 1000 Index RUSSELL 1000 464287622 509 4753 SH SOLE 0 0 4753 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 69102 740797 SH SOLE 0 0 740797 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 948 7077 SH SOLE 0 0 7077 0 iShares Russell 2000 Index RUSSELL 2000 464287655 271 2484 SH SOLE 0 0 2484 0 iShares Russell 3000 Index RUSSELL 3000 464287689 254 2229 SH SOLE 0 0 2229 0 iShares Russell Micro Cap Index Fund RUSSELL MCP IDX 464287481 703 10073 SH SOLE 0 0 10073 0 iShares S&P 500 S&P 500 INDEX 464287200 67448 349999 SH SOLE 0 0 349999 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 1726 16013 SH SOLE 0 0 16013 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 590 7024 SH SOLE 0 0 7024 0 iShares S&P Small Cap 600 Index CORE S&P SCP ETF 464287804 914 8577 SH SOLE 0 0 8577 0 iShares S&P/Barra 600 Value S&P SMLCP VALU 464287879 330 3144 SH SOLE 0 0 3144 0 PowerShares QQQ UNIT SER 1 73935A104 504 4954 SH SOLE 0 0 4954 0 S&P 500 SPDR UNIT SER 1 78462F103 1768 9229 SH SOLE 0 0 9229 0 Schwab US Broad Market ETF SCHWAB FDT US BM 808524789 202 4348 SH SOLE 0 0 4348 0 SPDR DJ Global Real Estate DJ WIL REIT 78463x749 210 4648 SH SOLE 0 0 4648 0 SPDR MSCI ACWI ex-US MSCI ACWI EXUS 78463X848 2383 78372 SH SOLE 0 0 78372 0 SPDR S&P Dividend S&P DIVID ETF 78464a763 377 5225 SH SOLE 0 0 5225 0 Vanguard FTSE Developed Markets ETF MSCI EAFE IDX 921943858 215 6037 SH SOLE 0 0 6037 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 282 4500 SH SOLE 0 0 4500 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1282 12778 SH SOLE 0 0 12778 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 865 11274 SH SOLE 0 0 11274 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 68541 581939 SH SOLE 0 0 581939 0 Vanguard Total Stock Mkt VIPER TOTAL STK MKT 922908769 448 4542 SH SOLE 0 0 4542 0 3M Co. COM 88579y101 435 3068 SH SOLE 0 0 3068 0 Abbott Laboratories COM 002824100 523 13007 SH SOLE 0 0 13007 0 AbbVie Inc. COM 00287y109 711 13074 SH SOLE 0 0 13074 0 Accenture LTD Cl A COM g1151c101 249 2539 SH SOLE 0 0 2539 0 Aetna Inc. COM 00817Y108 434 3968 SH SOLE 0 0 3968 0 Alaska Air Group, Inc. COM 11659109 557 7013 SH SOLE 0 0 7013 0 Allergan Inc. COM 184901023 219 804 SH SOLE 0 0 804 0 Allstate Corp COM 020002101 622 10681 SH SOLE 0 0 10681 0 Alphabet Inc. Class A Voting Shares CL A 38259P508 1161 1818 SH SOLE 0 0 1818 0 Alphabet Inc. Class C Non Voting Shares CL C 38259p706 932 1531 SH SOLE 0 0 1531 0 Altria Group COM 718154107 1475 27109 SH SOLE 0 0 27109 0 Amazon.Com COM 231351065 1140 2228 SH SOLE 0 0 2228 0 Ambarella, Inc SHS G037AX101 207 3590 SH SOLE 0 0 3590 0 American Capital Agency Corp. COM 02503X105 308 16463 SH SOLE 0 0 16463 0 American Express Co. COM 025816109 247 3337 SH SOLE 0 0 3337 0 American Intl Group Inc COM 026874784 655 11534 SH SOLE 0 0 11534 0 American Shared Hospital Service COM 029595105 108 56000 SH SOLE 0 0 56000 0 Amgen Inc. COM 311621007 786 5679 SH SOLE 0 0 5679 0 AmTrust Financial Services, Inc. COM 323593095 549 8715 SH SOLE 0 0 8715 0 Anadarko Pete Corp COM 032511107 239 3950 SH SOLE 0 0 3950 0 Anthem Inc. COM 036752103 986 7043 SH SOLE 0 0 7043 0 AON Corp. COM 0408v1025 890 10040 SH SOLE 0 0 10040 0 Apple Computer, Inc. COM 378331003 6329 57381 SH SOLE 0 0 57381 0 Applied Materials Inc COM 382221059 324 22037 SH SOLE 0 0 22037 0 Aptar Group COM 383361037 792 12000 SH SOLE 0 0 12000 0 Assurant Inc. COM 04621X108 266 3366 SH SOLE 0 0 3366 0 Assured Guaranty Ltd. COM G0585R106 1584 63354 SH SOLE 0 0 63354 0 AT&T Inc. COM 00206R102 1384 42495 SH SOLE 0 0 42495 0 Atwood Oceanics COM 500951082 322 21710 SH SOLE 0 0 21710 0 Autozone Inc. COM 533321022 226 312 SH SOLE 0 0 312 0 Avnet Inc. COM 053807103 704 16484 SH SOLE 0 0 16484 0 Bank of America Corp. COM 605051044 1065 68371 SH SOLE 0 0 68371 0 Berkshire Hathaway CL B NEW 846707024 2708 20766 SH SOLE 0 0 20766 0 Berkshire Hathaway CL A CL A 084990175 5271 2700 SH SOLE 0 0 2700 0 Biogen Idec Inc. COM 09062x103 294 1009 SH SOLE 0 0 1009 0 Boeing Co. COM 970231056 643 4909 SH SOLE 0 0 4909 0 Bristol-Myers Squibb Company COM 110122108 576 9735 SH SOLE 0 0 9735 0 British Petroleum Amoco COM 556221042 386 12617 SH SOLE 0 0 12617 0 Carmax COM 143130102 301 5067 SH SOLE 0 0 5067 0 Catalyst Pharmaceuticals, Inc. COM 14888U101 45 15000 SH SOLE 0 0 15000 0 Caterpillar Inc. COM 149123101 542 8285 SH SOLE 0 0 8285 0 Celgene Corp. COM 151020104 519 4798 SH SOLE 0 0 4798 0 Charles Schwab COM 808513105 349 12231 SH SOLE 0 0 12231 0 ChevronTexaco Corp. COM 166764100 622 7883 SH SOLE 0 0 7883 0 Cigna Corp COM 125509109 492 3645 SH SOLE 0 0 3645 0 Circuit City Stores Inc COM 172737108 399 61606 SH SOLE 0 0 61606 0 Cisco Systems Inc. COM 17275R102 460 17505 SH SOLE 0 0 17505 0 Citigroup Inc. COM 172967424 458 9241 SH SOLE 0 0 9241 0 Coca Cola COM 191216100 426 10607 SH SOLE 0 0 10607 0 Colgate-Palmolive Co COM 194162103 352 5543 SH SOLE 0 0 5543 0 ComCast COM 20030N101 654 11504 SH SOLE 0 0 11504 0 Consolidated Edison COM 209115104 423 6334 SH SOLE 0 0 6334 0 CostCo Companies Inc. COM 22160k105 322 2229 SH SOLE 0 0 2229 0 Cummins Inc. COM 231021106 389 3586 SH SOLE 0 0 3586 0 CVS Health Corporation COM 126650100 795 8240 SH SOLE 0 0 8240 0 Danaher Corp. COM 235851102 281 3296 SH SOLE 0 0 3296 0 DCT Industrial Trust Inc COM 233153105 394 11691 SH SOLE 0 0 11691 0 Diageo COM 25243Q205 213 1979 SH SOLE 0 0 1979 0 Domtar Corp. COM 257559203 605 16924 SH SOLE 0 0 16924 0 Duke Energy COM 264399106 293 4075 SH SOLE 0 0 4075 0 Ebay, Inc. COM 278642103 660 26999 SH SOLE 0 0 26999 0 Edwards Lifesciences COM 28176E108 455 3197 SH SOLE 0 0 3197 0 Eli Lilly & Co. COM 532457108 335 3998 SH SOLE 0 0 3998 0 EP Energy Corporation CL A 268785102 107 20794 SH SOLE 0 0 20794 0 Equity Residential PPTY Trust COM 29476L107 567 7547 SH SOLE 0 0 7547 0 Everest RE Group LTD COM G3223R108 916 5285 SH SOLE 0 0 5285 0 Exelon Corporation COM 30161N101 371 12490 SH SOLE 0 0 12490 0 Express Scripts Inc. COM 302182100 269 3328 SH SOLE 0 0 3328 0 Exxon Mobil Corporation COM 30231G102 1433 19270 SH SOLE 0 0 19270 0 Facebook, Inc. COM 30303m102 478 5313 SH SOLE 0 0 5313 0 Fed Ex Corp COM 31428X106 429 2981 SH SOLE 0 0 2981 0 Fleetcor Technologies Inc. COM 339041105 18502 134444 SH SOLE 0 0 134444 0 Ford Motor Company COM 345370860 324 23888 SH SOLE 0 0 23888 0 Gaming & Leisure Properties Inc. COM 36467J108 252 8489 SH SOLE 0 0 8489 0 General Electric COM 369604103 774 30692 SH SOLE 0 0 30692 0 General Motors Corporation - Old COM 37045v100 514 17120 SH SOLE 0 0 17120 0 Gilead Sciences Inc. COM 375558103 1271 12940 SH SOLE 0 0 12940 0 Glaxosmithkline COM 37733W105 294 7659 SH SOLE 0 0 7659 0 Goldman Sachs Group COM 38141G104 338 1947 SH SOLE 0 0 1947 0 Goodyear Tire & Rubber COM 382550101 1097 37389 SH SOLE 0 0 37389 0 Graham Holdings Company COM 384637104 863 1495 SH SOLE 0 0 1495 0 Halliburton Co COM 406216101 279 7894 SH SOLE 0 0 7894 0 Home Depot COM 437076102 1082 9371 SH SOLE 0 0 9371 0 Honeywell International COM 438516106 373 3934 SH SOLE 0 0 3934 0 Horizon Pharma Inc COM 44047T109 2982 150464 SH SOLE 0 0 150464 0 IBM COM 459200101 1139 7855 SH SOLE 0 0 7855 0 Illinois Tool Works COM 452308109 463 5628 SH SOLE 0 0 5628 0 IMD Companies, Inc. COM 44969g101 0 300000 SH SOLE 0 0 300000 0 Ingram Micro Inc. CL A 457153104 228 8377 SH SOLE 0 0 8377 0 Intel Corp. COM 458140100 1509 50068 SH SOLE 0 0 50068 0 Intercontinental Hotels Group plc SPON ADR NEW2014 45857P509 218 6305 SH SOLE 0 0 6305 0 J P Morgan Chase & Co. COM 46625H100 1611 26428 SH SOLE 0 0 26428 0 JetBlue Airways Corp COM 477143101 995 38615 SH SOLE 0 0 38615 0 Johnson & Johnson COM 478160104 1688 18080 SH SOLE 0 0 18080 0 Kimberly Clark Corp. COM 494368103 271 2482 SH SOLE 0 0 2482 0 Kraft Heinz Co. COM 500754106 211 2983 SH SOLE 0 0 2983 0 Kroger Co. COM 501044101 201 5574 SH SOLE 0 0 5574 0 Lockheed Martin Corp. COM 539830109 832 4012 SH SOLE 0 0 4012 0 Lowes Companies Inc. COM 548661107 319 4624 SH SOLE 0 0 4624 0 LyondellBasell Industries NV SHS - A - n53745100 246 2957 SH SOLE 0 0 2957 0 Marathon Petroleum Corporation COM 56585A102 311 6715 SH SOLE 0 0 6715 0 Mastercard Incorporated COM 57636Q104 458 5087 SH SOLE 0 0 5087 0 McDonald's Corporation COM 580135101 15491 157223 SH SOLE 0 0 157223 0 McKesson Corp. COM 58155Q103 283 1531 SH SOLE 0 0 1531 0 Merck & Co, Inc. COM 589331107 700 14181 SH SOLE 0 0 14181 0 Metlife Inc. COM 59156R108 245 5201 SH SOLE 0 0 5201 0 Microsoft Corp. COM 594918104 2030 45855 SH SOLE 0 0 45855 0 Mondelez International Inc. COM 609207105 229 5481 SH SOLE 0 0 5481 0 Morgan Stanley / Dean Witter COM 617446448 418 13260 SH SOLE 0 0 13260 0 Nano Labs Corp COM 148411101 0 620614 SH SOLE 0 0 620614 0 Nextera Energy, Inc. COM 65339f101 225 2311 SH SOLE 0 0 2311 0 Nike Inc Cl B COM 654106103 517 4203 SH SOLE 0 0 4203 0 Nisource Inc COM 65473P105 732 39438 SH SOLE 0 0 39438 0 Northern Trust COM 665859104 316 4631 SH SOLE 0 0 4631 0 Northrop Grumman Corp COM 666807102 297 1789 SH SOLE 0 0 1789 0 Occidental Petroleum Corp COM 674599105 254 3833 SH SOLE 0 0 3833 0 Oracle Corp. COM 68389X105 1169 32368 SH SOLE 0 0 32368 0 PartnerRe Ltd. COM G6852T105 1072 7721 SH SOLE 0 0 7721 0 Pepsico Inc COM 713448108 551 5848 SH SOLE 0 0 5848 0 Pfizer Inc. COM 717081103 1100 35026 SH SOLE 0 0 35026 0 Philip Morris International Inc. COM 718172109 211 2657 SH SOLE 0 0 2657 0 Phillips 66 COM 718546104 342 4452 SH SOLE 0 0 4452 0 Pilgrim's Pride Corp COM 72147K108 330 15879 SH SOLE 0 0 15879 0 PNC Bank Corp. COM 693475105 216 2423 SH SOLE 0 0 2423 0 Procter & Gamble COM 742718109 535 7441 SH SOLE 0 0 7441 0 Prudential Securities COM 744320102 260 3410 SH SOLE 0 0 3410 0 Public Service Enterprise Group Inc. COM 744573106 224 5305 SH SOLE 0 0 5305 0 Qualcomm, Inc. COM 747525103 291 5415 SH SOLE 0 0 5415 0 Reinsurance Group of America Inc. COM NEW 759351604 559 6174 SH SOLE 0 0 6174 0 Reynolds American Inc. COM 761713106 266 6003 SH SOLE 0 0 6003 0 Rite Aid Corporation COM 767754104 82 13547 SH SOLE 0 0 13547 0 Rockwell Medical, Inc. COM 774374102 230 29800 SH SOLE 0 0 29800 0 Solar Wind Energy Tower Inc. COM 83416B109 0 65000 SH SOLE 0 0 65000 0 Starbucks Corp. COM 855244109 689 12121 SH SOLE 0 0 12121 0 TE Connectivity LTD COM H84989104 283 4723 SH SOLE 0 0 4723 0 Tesoro Corp. COM 881609101 719 7391 SH SOLE 0 0 7391 0 Texas Instruments Inc. COM 882508104 294 5928 SH SOLE 0 0 5928 0 Thermo Fisher Scientific Inc COM 883556102 250 2048 SH SOLE 0 0 2048 0 Tiffany & Co COM 886547108 325 4210 SH SOLE 0 0 4210 0 Time Warner Inc. New COM 887317105 412 5988 SH SOLE 0 0 5988 0 TJX Companies Inc. COM 872540109 305 4272 SH SOLE 0 0 4272 0 Travelers Companies Inc COM 89417E109 390 3917 SH SOLE 0 0 3917 0 Triple-S Management Corporation CL B 896749108 276 15489 SH SOLE 0 0 15489 0 Tyson Foods Inc. Class A COM 902494103 324 7524 SH SOLE 0 0 7524 0 Union Pacific COM 907818108 523 5915 SH SOLE 0 0 5915 0 United Health Care Corp. COM 91324P102 917 7908 SH SOLE 0 0 7908 0 United Parcel Service Class B COM 911312106 223 2260 SH SOLE 0 0 2260 0 United Technologies Corp. COM 913017109 321 3607 SH SOLE 0 0 3607 0 US Bancorp COM 902973304 268 6526 SH SOLE 0 0 6526 0 Valero Energy Corp. 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