0001456510-13-000002.txt : 20130508 0001456510-13-000002.hdr.sgml : 20130508 20130508155911 ACCESSION NUMBER: 0001456510-13-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130508 DATE AS OF CHANGE: 20130508 EFFECTIVENESS DATE: 20130508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: First Allied Asset Management, Inc. CENTRAL INDEX KEY: 0001456510 IRS NUMBER: 205772925 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13473 FILM NUMBER: 13824439 BUSINESS ADDRESS: STREET 1: 655 W. BROADWAY STREET 2: 12TH FLOOR CITY: SAN DIEGO STATE: CA ZIP: 92101 BUSINESS PHONE: 866-299-4864 MAIL ADDRESS: STREET 1: PO BOX 85549 CITY: SAN DIEGO STATE: CA ZIP: 92186-5549 FORMER COMPANY: FORMER CONFORMED NAME: Advanced Equities Asset Management, Inc. DATE OF NAME CHANGE: 20090217 13F-HR 1 faam1q13.txt FAAM 1Q 13F FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 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: First Allied Asset Management, Inc. Address: PO Box 85549 San Diego, CA 92186 13F File Number: 028-13473 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: Luanne Borowski Title: RIA Chief Compliance Officer Phone: 619-881-5148 Signature, Place, and Date of Signing: /s/Luanne Borowski San Diego, CA May 08, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 145 Form 13F Information Table Value Total: $578,979 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 731 6914 SH SOLE 6914 ABBOTT LABS COM 002824100 659 18971 SH SOLE 18971 AGL RES INC COM 001204106 2303 55557 SH SOLE 55557 ALPS ETF TR ALERIAN MLP 00162Q866 3654 206031 SH SOLE 206031 AMAZON COM INC COM 023135106 208 779 SH SOLE 779 AMERISOURCEBERGEN CORP COM 03073E105 598 11636 SH SOLE 11636 APPLE INC COM 037833100 4702 10919 SH SOLE 10919 AT&T INC COM 00206R102 4862 131097 SH SOLE 131097 BAKER HUGHES INC COM 057224107 674 14618 SH SOLE 14618 BANK MONTREAL QUE COM 063671101 4297 66955 SH SOLE 66955 BANK NOVA SCOTIA HALIFAX COM 064149107 4367 73731 SH SOLE 73731 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 305 2933 SH SOLE 2933 BLACKROCK ENERGY & RES TR COM 09250U101 6475 249983 SH SOLE 249983 BOEING CO COM 097023105 2479 29171 SH SOLE 29171 CA INC COM 12673P105 4501 176740 SH SOLE 176740 CDN IMPERIAL BK OF COMMERCE COM 136069101 402 5295 SH SOLE 5295 CENTERPOINT ENERGY INC COM 15189T107 224 9296 SH SOLE 9296 CF INDS HLDGS INC COM 125269100 409 2129 SH SOLE 2129 CHEVRON CORP NEW COM 166764100 8737 73527 SH SOLE 73527 CHUBB CORP COM 171232101 774 8886 SH SOLE 8886 CISCO SYS INC COM 17275R102 1341 64127 SH SOLE 64127 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 2335 29900 SH SOLE 29900 COHEN & STEERS INFRASTRUCTUR COM 19248A109 7411 356272 SH SOLE 356272 CONOCOPHILLIPS COM 20825C104 206 3366 SH SOLE 3366 CVS CAREMARK CORPORATION COM 126650100 221 3949 SH SOLE 3949 DEERE & CO COM 244199105 4446 51198 SH SOLE 51198 DIAMOND OFFSHORE DRILLING IN COM 25271C102 4285 61271 SH SOLE 61271 DU PONT E I DE NEMOURS & CO COM 263534109 4393 88988 SH SOLE 88988 E M C CORP MASS COM 268648102 350 14677 SH SOLE 14677 EATON VANCE LTD DUR INCOME F COM 27828H105 2839 166800 SH SOLE 166800 EATON VANCE SH TM DR DIVR IN COM 27828V104 2784 164466 SH SOLE 164466 EMERSON ELEC CO COM 291011104 4607 81559 SH SOLE 81559 ENERGIZER HLDGS INC COM 29266R108 509 5155 SH SOLE 5155 EXXON MOBIL CORP COM 30231G102 2204 24372 SH SOLE 24372 FEDERATED INVS INC PA CL B 314211103 2243 94600 SH SOLE 94600 FIFTH THIRD BANCORP COM 316773100 525 31944 SH SOLE 31944 FLUOR CORP NEW COM 343412102 2352 34800 SH SOLE 34800 FRANKLIN RES INC COM 354613101 751 4907 SH SOLE 4907 GAP INC DEL COM 364760108 475 13496 SH SOLE 13496 GENERAL DYNAMICS CORP COM 369550108 571 8211 SH SOLE 8211 GENERAL ELECTRIC CO COM 369604103 4593 195242 SH SOLE 195242 GENERAL MLS INC COM 370334104 2720 56225 SH SOLE 56225 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 2274 48344 SH SOLE 48344 HARTFORD FINL SVCS GROUP INC COM 416515104 1557 59600 SH SOLE 59600 HASBRO INC COM 418056107 4795 107840 SH SOLE 107840 HESS CORP COM 42809H107 1134 15793 SH SOLE 15793 HEWLETT PACKARD CO COM 428236103 868 36401 SH SOLE 36401 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 4763 171628 SH SOLE 171628 INTEL CORP COM 458140100 876 39788 SH SOLE 39788 INTERNATIONAL BUSINESS MACHS COM 459200101 296 1410 SH SOLE 1410 ISHARES INC MSCI CDA INDEX 464286509 2992 105057 SH SOLE 105057 ISHARES INC MSCI PAC J IDX 464286665 7745 155293 SH SOLE 155293 ISHARES TR DJ SEL DIV INX 464287168 8347 131672 SH SOLE 131672 ISHARES TR BARCLYS TIPS BD 464287176 9282 76616 SH SOLE 76616 ISHARES TR FTSE XNHUA IDX 464287184 4306 116501 SH SOLE 116501 ISHARES TR BARCLY USAGG B 464287226 9647 87209 SH SOLE 87209 ISHARES TR MSCI EMERG MKT 464287234 2298 53768 SH SOLE 53768 ISHARES TR IBOXX INV CPBD 464287242 26935 224575 SH SOLE 224575 ISHARES TR S&P GBL TELCM 464287275 4675 76804 SH SOLE 76804 ISHARES TR S&P 500 VALUE 464287408 2905 39213 SH SOLE 39213 ISHARES TR BARCLYS 7-10 YR 464287440 8952 83431 SH SOLE 83431 ISHARES TR BARCLYS 1-3 YR 464287457 3875 45803 SH SOLE 45803 ISHARES TR MSCI EAFE IDX 464287465 362 6142 SH SOLE 6142 ISHARES TR RUSSELL 1000 464287622 267 3070 SH SOLE 3070 ISHARES TR S&P SH NTL AMTFR 464288158 7213 67845 SH SOLE 67845 ISHARES TR MSCI ACWI INDX 464288257 11417 224982 SH SOLE 224982 ISHARES TR MSCI SMALL CAP 464288273 428 9715 SH SOLE 9715 ISHARES TR S&P NTL AMTFREE 464288414 14426 131040 SH SOLE 131040 ISHARES TR HIGH YLD CORP 464288513 7093 75582 SH SOLE 75582 ISHARES TR BARCLYS MBS BD 464288588 30073 278124 SH SOLE 278124 ISHARES TR BARCLYS 1-3YR CR 464288646 18336 173908 SH SOLE 173908 ISHARES TR US PFD STK IDX 464288687 6898 171243 SH SOLE 171243 JOHNSON & JOHNSON COM 478160104 1196 14802 SH SOLE 14802 JOY GLOBAL INC COM 481165108 421 7214 SH SOLE 7214 JPMORGAN CHASE & CO COM 46625H100 1009 21225 SH SOLE 21225 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 6534 142839 SH SOLE 142839 KEYCORP NEW COM 493267108 624 62822 SH SOLE 62822 KLA-TENCOR CORP COM 482480100 2246 42600 SH SOLE 42600 LILLY ELI & CO COM 532457108 1067 18786 SH SOLE 18786 LOCKHEED MARTIN CORP COM 539830109 721 7526 SH SOLE 7526 MACYS INC COM 55616P104 450 10664 SH SOLE 10664 MCDONALDS CORP COM 580135101 2793 27928 SH SOLE 27928 MERCK & CO INC NEW COM 58933Y105 4622 103625 SH SOLE 103625 METLIFE INC COM 59156R108 857 22448 SH SOLE 22448 MFS CHARTER INCOME TR SH BEN INT 552727109 202 19750 SH SOLE 19750 MFS GOVT MKTS INCOME TR SH BEN INT 552939100 5746 872412 SH SOLE 872412 MFS INTER INCOME TR SH BEN INT 55273C107 4730 721167 SH SOLE 721167 MICROCHIP TECHNOLOGY INC COM 595017104 4608 124017 SH SOLE 124017 MICROSOFT CORP COM 594918104 1101 38192 SH SOLE 38192 MOLSON COORS BREWING CO CL B 60871R209 2204 44400 SH SOLE 44400 MOTRICITY INC COM 620107102 3 11846 SH SOLE 11846 MURPHY OIL CORP COM 626717102 570 8866 SH SOLE 8866 NETAPP INC COM 64110D104 2197 65060 SH SOLE 65060 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 2347 61100 SH SOLE 61100 NUCOR CORP COM 670346105 692 15197 SH SOLE 15197 OMNICOM GROUP INC COM 681919106 477 8183 SH SOLE 8183 ORACLE CORP COM 68389X105 814 25434 SH SOLE 25434 PEPSICO INC COM 713448108 717 9097 SH SOLE 9097 PFIZER INC COM 717081103 1833 62443 SH SOLE 62443 PHILIP MORRIS INTL INC COM 718172109 224 2410 SH SOLE 2410 PNC FINL SVCS GROUP INC COM 693475105 2296 33932 SH SOLE 33932 POTASH CORP SASK INC COM 73755L107 4022 101623 SH SOLE 101623 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 11759 463756 SH SOLE 463756 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 9070 610592 SH SOLE 610592 PPL CORP COM 69351T106 528 16746 SH SOLE 16746 PROCTER & GAMBLE CO COM 742718109 5142 66599 SH SOLE 66599 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 5991 1142392 SH SOLE 1142392 QUALCOMM INC COM 747525103 2371 35030 SH SOLE 35030 QUEST DIAGNOSTICS INC COM 74834L100 551 9749 SH SOLE 9749 REGENERON PHARMACEUTICALS COM 75886F107 353 2000 SH SOLE 2000 SCHLUMBERGER LTD COM 806857108 2285 31613 SH SOLE 31613 SEAGATE TECHNOLOGY PLC SHS G7945M107 4839 131178 SH SOLE 131178 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 4471 246206 SH SOLE 246206 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 4990 126329 SH SOLE 126329 SENIOR HSG PPTYS TR SH BEN INT 81721M109 4498 165388 SH SOLE 165388 SOUTHERN CO COM 842587107 1953 41304 SH SOLE 41304 SPDR GOLD TRUST GOLD SHS 78463V107 14099 91502 SH SOLE 91502 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 392 8071 SH SOLE 8071 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 6739 155931 SH SOLE 155931 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 10205 48617 SH SOLE 48617 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 254 6179 SH SOLE 6179 ST JUDE MED INC COM 790849103 499 12429 SH SOLE 12429 STATE STR CORP COM 857477103 505 8531 SH SOLE 8531 STATOIL ASA SPONSORED ADR 85771P102 4085 164759 SH SOLE 164759 SYMANTEC CORP COM 871503108 841 34346 SH SOLE 34346 TEMPLETON EMERG MKTS INCOME COM 880192109 5112 308610 SH SOLE 308610 TEMPLETON GLOBAL INCOME FD COM 880198106 6474 689204 SH SOLE 689204 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 4798 120213 SH SOLE 120213 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 8230 167111 SH SOLE 167111 TOTAL S A SPONSORED ADR 89151E109 1686 34313 SH SOLE 34313 VALERO ENERGY CORP NEW COM 91913Y100 1061 23347 SH SOLE 23347 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 5898 66696 SH SOLE 66696 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 7555 89797 SH SOLE 89797 VANGUARD INDEX FDS REIT ETF 922908553 7919 112502 SH SOLE 112502 VANGUARD INDEX FDS GROWTH ETF 922908736 6474 83645 SH SOLE 83645 VANGUARD INDEX FDS VALUE ETF 922908744 937 14315 SH SOLE 14315 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 18663 434569 SH SOLE 434569 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 227 2605 SH SOLE 2605 VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 18496 507773 SH SOLE 507773 WADDELL & REED FINL INC CL A 930059100 262 5953 SH SOLE 5953 WALGREEN CO COM 931422109 952 19966 SH SOLE 19966 WELLPOINT INC COM 94973V107 3509 52472 SH SOLE 52472 WELLS FARGO & CO NEW COM 949746101 4079 109482 SH SOLE 109482 WESTERN DIGITAL CORP COM 958102105 882 17499 SH SOLE 17499 WISDOMTREE TR EM LCL DEBT FD 97717X867 13465 255970 SH SOLE 255970