0001085146-18-000734.txt : 20180214
0001085146-18-000734.hdr.sgml : 20180214
20180214094825
ACCESSION NUMBER: 0001085146-18-000734
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180214
DATE AS OF CHANGE: 20180214
EFFECTIVENESS DATE: 20180214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: INVESTMENT CENTERS OF AMERICA INC
CENTRAL INDEX KEY: 0001351904
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14413
FILM NUMBER: 18608046
BUSINESS ADDRESS:
STREET 1: 212 N 4TH ST
CITY: BISMARCK
STATE: ND
ZIP: 58501
BUSINESS PHONE: 701-250-3201
MAIL ADDRESS:
STREET 1: 212 N 4TH ST
CITY: BISMARCK
STATE: ND
ZIP: 58501
FORMER COMPANY:
FORMER CONFORMED NAME: INVESTMENT CENTERS OF AMERICA INC/ND
DATE OF NAME CHANGE: 20060201
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001351904
XXXXXXXX
12-31-2017
12-31-2017
false
INVESTMENT CENTERS OF AMERICA INC
212 N 4TH ST
BISMARCK
ND
58501
13F HOLDINGS REPORT
028-14413
Y
ON AUGUST 15, 2017 INVESTMENT CENTERS OF AMERICA, INC. ANNOUNCED IT HAD ENTERED INTO AN ASSET PURCHASE AGREEMENT WITH LPL FINANCIAL, LLC ("LPL") TO TRANSFER ASSETS ASSOCIATED WITH ITS INDEPENDENT BROKER DEALER NETWORK, INCLUDING THOSE ASSOCIATED WITH INVESTMENT CENTERS OF AMERICA, INC. ("ICA"). AS A RESULT, EFFECTIVE NOVEMBER 29, 2017, THE MAJORITY OF ICA?S ACCOUNTS WERE TRANSFERRED TO LPL AND THE MAJORITY OF CLIENTS WERE NOTIFIED OF THE TERMINATION OF THE ASSET MANAGEMENT AGREEMENTS WITH ICA. THIS 13F REPORT REFLECTS THE REMAINING DISCRETIONARY POSITIONS AS OF 12/31/2017. ICA IS IN THE PROCESS OF TERMINATING ALL ADVISORY AGREEMENTS, WHICH WILL BE REFLECTED ON THE 13F REPORT FILED AT THE END OF THE FIRST QUARTER OF 2018.
Daniel Wright
Chief Compliance Officer
920-996-2600
/s/ Daniel Wright
Appleton
WI
02-12-2018
1
3
712
1
0000898419
028-03582
PRUDENTIAL PLC
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
254
1036
SH
DFND
1
0
0
1036
VANGUARD INDEX FDS
VALUE ETF
922908744
218
2059
SH
DFND
1
0
0
2059
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
240
5357
SH
DFND
1
0
0
5357