0001214659-11-003566.txt : 20111026 0001214659-11-003566.hdr.sgml : 20111026 20111026110017 ACCESSION NUMBER: 0001214659-11-003566 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111026 DATE AS OF CHANGE: 20111026 EFFECTIVENESS DATE: 20111026 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Financial Engines Advisors L.L.C. CENTRAL INDEX KEY: 0001420473 IRS NUMBER: 943250323 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12703 FILM NUMBER: 111158239 BUSINESS ADDRESS: STREET 1: 1804 EMBARCADERO ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 BUSINESS PHONE: 650-565-4900 MAIL ADDRESS: STREET 1: 1804 EMBARCADERO ROAD CITY: PALO ALTO STATE: CA ZIP: 94303 13F-HR 1 a102111113fhr.txt REPORT FOR THE QUARTER ENDED SEPTEMBER 30, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 Check here if Amendment [ ]; Amendment Number: __ This Amendment (Check only one): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Financial Engines Advisors L.L.C Address: 1804 Embarcadero Road Palo Alto, CA 94303 Form 13F File Number: 28-12703 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Lewis E. Antone Title: Deputy General Counsel and Chief Compliance Officer Phone: 650-565-4900 Signature, Place, and Date of Signing: /s/ Lewis E. Antone Palo Alto, CA 10/21/2011 ------------------------ ------------------------ -------------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 50 Form 13F Information Table Value Total: 136,045,000 List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE ------------------------------------------------------------------------------------------------------------------------------------ VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ ALLERGAN INC COM 018490102 9031 109631 SH Sole NONE ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 1375 25944 SH Sole NONE AON CORP COM 037389103 1684 40120 SH Sole NONE ARCH CHEMICALS INC COM 03937R102 1575 33574 SH Sole NONE ARCH COAL INC COM 039380100 621 42606 SH Sole NONE BANK OF NEW YORK MELLON CORP COM 064058100 515 27683 SH Sole NONE BEMIS INC COM 081437105 3129 106747 SH Sole NONE BON-TON STORES INC COM 09776J101 15 2963 SH Sole NONE CABLEVISION SYS CORP CL A NY CABLVS 12686C109 40 2556 SH Sole NONE CARPENTER TECHNOLOGY CORP COM 144285103 1176 26192 SH Sole NONE COCA COLA CO COM 191216100 80 1180 SH Sole NONE COMCAST CORP NEW CL A 20030N101 7538 360303 SH Sole NONE COMCAST CORP NEW CL A SPL 20030N200 1019 49184 SH Sole NONE CORELOGIC INC COM 21871D103 528 49439 SH Sole NONE CRANE CO COM 224399105 1537 43054 SH Sole NONE DELTA AIR LINES INC DEL COM NEW 247361702 2168 289031 SH Sole NONE DTE ENERGY CO COM 233331107 17339 353719 SH Sole NONE DOMINION RES INC VA NEW COM 25746U109 36793 724695 SH Sole NONE DU PONT E I DE NEMOURS & CO COM 263534109 125 3124 SH Sole NONE EL PASO CORP COM 28336L109 5329 304888 SH Sole NONE FEDEX CORP COM 31428X106 1361 20111 SH Sole NONE FIFTH THIRD BANCORP COM 316773100 2417 239328 SH Sole NONE FIRST AMERN FINL CORP COM 31847R102 1710 133598 SH Sole NONE GARDNER DENVER INC COM 365558105 882 13874 SH Sole NONE GREAT PLAINS ENERGY INC COM 391164100 1102 57075 SH Sole NONE HOSPIRA INC COM 441060100 2104 56856 SH Sole NONE ITT EDUCATIONAL SERVICES INC COM 45068B109 355 6171 SH Sole NONE INTERPUBLIC GROUP COS INC COM 460690100 152 21042 SH Sole NONE KELLOGG CO COM 487836108 1910 35912 SH Sole NONE KINDER MORGAN INC DEL COM 49456B101 4841 186975 SH Sole NONE KULICKE & SOFFA INDS INC COM 501242101 95 12751 SH Sole NONE LIBBEY INC COM 529898108 231 21923 SH Sole NONE MADISON SQUARE GARDEN CO CL A 55826P100 6 278 SH Sole NONE MARATHON OIL CORP COM 565849106 5856 271354 SH Sole NONE MARATHON PETE CORP COM 56585A102 4227 156211 SH Sole NONE MEAD JOHNSON NUTRITION CO COM 582839106 0 0 SH Sole NONE MOVADO GROUP INC COM 624580106 62 5071 SH Sole NONE OLD DOMINION FGHT LINES INC COM 679580100 2667 92057 SH Sole NONE OLIN CORP COM PAR $1 680665205 263 14585 SH Sole NONE POTLATCH CORP NEW COM 737630103 2738 86854 SH Sole NONE SONOCO PRODS CO COM 835495102 619 21943 SH Sole NONE SUN LIFE FINL INC COM 866796105 320 13466 SH Sole NONE SUNTRUST BKS INC COM 867914103 4514 251472 SH Sole NONE THOMSON REUTERS CORP COM 884903105 813 30057 SH Sole NONE TITAN INTL INC ILL COM 88830M102 416 27735 SH Sole NONE TRINITY INDS INC COM 896522109 743 34698 SH Sole NONE VALASSIS COMMUNICATIONS INC COM 918866104 543 28991 SH Sole NONE VIASAT INC COM 92552V100 380 11416 SH Sole NONE VIACOM INC NEW CL A 92553P102 35 715 SH Sole NONE VIACOM INC NEW CL B 92553P201 3068 79207 SH Sole NONE