0001456510-14-000006.txt : 20140814 0001456510-14-000006.hdr.sgml : 20140814 20140813201814 ACCESSION NUMBER: 0001456510-14-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140814 DATE AS OF CHANGE: 20140813 EFFECTIVENESS DATE: 20140814 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: 141039088 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 primary_doc.xml 13F-HR LIVE false true false 0001456510 XXXXXXXX 06-30-2014 06-30-2014 First Allied Asset Management, Inc.

PO BOX 85549 SAN DIEGO CA 92186-5549

13F HOLDINGS REPORT 028-13473 N Luanne Borowski 619-881-5148 /s/Luanne Borowski San Diego CA 06-30-2014 0 176 680170 false INFORMATION TABLE 2 faam2q14.inftab.xml FAAM 13F REPORT 3M COCOM88579Y10111558048SHSOLE 804800ABBVIE INCCOM00287Y109110119568SHSOLE 1956800ADVISORSHARES TRRANGER EQUITY BE00768Y8831994169846SHSOLE 16984600ARES CAP CORPCOM04010L1036484358017SHSOLE 35801700ARES CAP CORPNOTE 5.125% 6/004010LAD55046000PRNSOLE 4600000AT&T INCCOM00206R1026347177654SHSOLE 17765400BARCLAYS BK PLCIPATH S&P MT ETN06740C51957845404SHSOLE 4540400BARCLAYS BK PLCIPATH S&P500 VIX06742E711165157297SHSOLE 5729700BLACKROCK ENERGY & RES TRCOM09250U1016871251993SHSOLE 25199300CALAMOS CONV OPP AND INC FDSH BEN INT1281171083295238116SHSOLE 23811600CAMPBELL SOUP COCOM134429109271058200SHSOLE 5820000CF INDS HLDGS INCCOM1252691007823292SHSOLE 329200CHEVRON CORP NEWCOM166764100933571466SHSOLE 7146600CHUBB CORPCOM171232101134814659SHSOLE 1465900CISCO SYS INCCOM17275R102148459374SHSOLE 5937400CITIGROUP INCCOM NEW172967424297263200SHSOLE 6320000CITRIX SYS INCCOM177376100249840500SHSOLE 4050000COHEN & STEERS INFRASTRUCTURCOM19248A10910226417200SHSOLE 41720000COLONY FINL INCNOTE 3.875% 1/119624RAB24948000PRNSOLE 4800000CONOCOPHILLIPSCOM20825C1042032388SHSOLE 238800CONSOLIDATED EDISON INCCOM2091151044267391SHSOLE 739100CORRECTIONS CORP AMER NEWCOM NEW22025Y4075872176842SHSOLE 17684200DEERE & COCOM244199105619067561SHSOLE 6756100DIGITAL RLTY TR INCCOM2538681037458126955SHSOLE 12695500DWS MUN INCOME TRCOM23338M10624618050SHSOLE 1805000E M C CORP MASSCOM268648102129448918SHSOLE 4891800ENERGIZER HLDGS INCCOM29266R10810718784SHSOLE 878400ENSCO PLCSHS CLASS AG3157S106110219684SHSOLE 1968400ENTERGY CORP NEWCOM29364G10390211026SHSOLE 1102600EPR PPTYSCOM SH BEN INT26884U1096674117550SHSOLE 11755000EXPEDIA INC DELCOM NEW30212P30389311313SHSOLE 1131300EXXON MOBIL CORPCOM30231G102327032417SHSOLE 3241700F5 NETWORKS INCCOM3156161028607735SHSOLE 773500FACEBOOK INCCL A30303M102586187094SHSOLE 8709400FIRST REP BK SAN FRANCISCO CCOM33616C10089116284SHSOLE 1628400GENERAL DYNAMICS CORPCOM36955010810969402SHSOLE 940200GENERAL ELECTRIC COCOM3696041036640250410SHSOLE 25041000GENERAL MLS INCCOM3703341047057132706SHSOLE 13270600HCP INCCOM40414L1097104170581SHSOLE 17058100HEALTH CARE REIT INCCOM42217K106278645025SHSOLE 4502500HEWLETT PACKARD COCOM428236103112233414SHSOLE 3341400HOLLYFRONTIER CORPCOM4361061085560126825SHSOLE 12682500HUMANA INCCOM44485910210838481SHSOLE 848100INDEXIQ ETF TRHDG MACTRK ETF45409B206102638086SHSOLE 3808600INDEXIQ ETF TRIQ MRGR ARB ETF45409B800160357415SHSOLE 5741500ING GROEP N VSPONSORED ADR45683710317512646SHSOLE 1264600INTEL CORPCOM458140100132142684SHSOLE 4268400INTERNATIONAL BUSINESS MACHSCOM459200101580831513SHSOLE 3151300ISHARESMSCI FRNTR100ETF464286145199955386SHSOLE 5538600ISHARESMSCI BRZ CAP ETF464286400306563038SHSOLE 6303800ISHARESEM MK MINVOL ETF46428653362510419SHSOLE 1041900ISHARESS&P 100 ETF464287101527060924SHSOLE 6092400ISHARESCORE S&P500 ETF4642872002901467SHSOLE 146700ISHARESCORE TOTUSBD ETF4642872263072820SHSOLE 282000ISHARESIBOXX INV CP ETF46428724222219185875SHSOLE 18587500ISHARESGLOB TELECOM ETF4642872756452100374SHSOLE 10037400ISHARES7-10 Y TR BD ETF464287440564554460SHSOLE 5446000ISHARES1-3 YR TR BD ETF464287457800294647SHSOLE 9464700ISHARESMSCI EAFE ETF464287465218731935SHSOLE 3193500ISHARESRUS MID-CAP ETF4642874994893017SHSOLE 301700ISHARESCORE S&P MCP ETF4642875075593902SHSOLE 390200ISHARESRUS 1000 GRW ETF4642876144184588SHSOLE 458800ISHARESRUS 1000 ETF4642876223313011SHSOLE 301100ISHARESRUSSELL 2000 ETF4642876553492948SHSOLE 294800ISHARESU.S. TECH ETF4642877212162234SHSOLE 223400ISHARESU.S. REAL ES ETF46428773989112407SHSOLE 1240700ISHARESU.S. INDS ETF4642877542102030SHSOLE 203000ISHARESU.S. BAS MTL ETF4642878382122407SHSOLE 240700ISHARESSHT NTLAMTFR ETF464288158148713991SHSOLE 1399100ISHARESAGENCY BOND ETF4642881667366535SHSOLE 653500ISHARESJP MOR EM MK ETF464288281316028564SHSOLE 2856400ISHARESNAT AMT FREE BD464288414946287099SHSOLE 8709900ISHARESIBOXX HI YD ETF464288513653369790SHSOLE 6979000ISHARESMBS ETF46428858819057175954SHSOLE 17595400ISHARES1-3 YR CR BD ETF464288646643560882SHSOLE 6088200ISHARESU.S. PFD STK ETF46428868713328335076SHSOLE 33507600ISHARESMICRO-CAP ETF464288869335844216SHSOLE 4421600ISHARES GOLD TRUSTISHARES4642851053174246370SHSOLE 24637000ISHARES INCCORE MSCI EMKT46434G103391075678SHSOLE 7567800ISHARES SILVER TRUSTISHARES46428Q1093410170418SHSOLE 17041800ISHARES TREAFE MIN VOL ETF46429B6897667116919SHSOLE 11691900JOHNSON & JOHNSONCOM478160104132312549SHSOLE 1254900JPMORGAN CHASE & COCOM46625H100145225159SHSOLE 2515900JUNIPER NETWORKS INCCOM48203R1042792114200SHSOLE 11420000KEMET CORPCOM NEW48836020724642711SHSOLE 4271100KEYCORP NEWCOM49326710867546673SHSOLE 4667300KOHLS CORPCOM500255104273952200SHSOLE 5220000LABORATORY CORP AMER HLDGSCOM NEW50540R4097977773SHSOLE 777300LILLY ELI & COCOM532457108126620343SHSOLE 2034300LOCKHEED MARTIN CORPCOM53983010912767936SHSOLE 793600M D C HLDGS INCCOM5526761083322110600SHSOLE 11060000MACYS INCCOM55616P10474212654SHSOLE 1265400MEDTRONIC INCCOM585055106122219158SHSOLE 1915800MERCK & CO INC NEWCOM58933Y1057489128083SHSOLE 12808300METLIFE INCCOM59156R108143625898SHSOLE 2589800MICROSOFT CORPCOM594918104158638144SHSOLE 3814400MOSAIC CO NEWCOM61945C103267653600SHSOLE 5360000MURPHY OIL CORPCOM62671710284512698SHSOLE 1269800NATIONAL OILWELL VARCO INCCOM637071101307738100SHSOLE 3810000NETAPP INCCOM64110D1043819105200SHSOLE 10520000NIPPON TELEG & TEL CORPSPONSORED ADR6546241052477948SHSOLE 794800OMNICOM GROUP INCCOM6819191066989740SHSOLE 974000ORACLE CORPCOM68389X105114028348SHSOLE 2834800OWENS & MINOR INC NEWCOM6907321026681194677SHSOLE 19467700PDL BIOPHARMA INCNOTE 4.000% 2/069329YAF15346000PRNSOLE 4600000PEPSICO INCCOM713448108108612123SHSOLE 1212300PFIZER INCCOM7170811036344210506SHSOLE 21050600POTASH CORP SASK INCCOM73755L1076837177974SHSOLE 17797400POWERSHARES ETF TR IIS&P500 LOW VOL73937B7798084227408SHSOLE 22740800POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X153280571828SHSOLE 7182800POWERSHARES ETF TRUSTFTSE RAFI 100073935X583473353518SHSOLE 5351800POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q10811071419429SHSOLE 41942900POWERSHARES ETF TRUST IISENIOR LN PORT73936Q7699910396249SHSOLE 39624900POWERSHARES GLOBAL ETF TRUSTINSUR NATL MUN73936T4746306256342SHSOLE 25634200POWERSHARES GLOBAL ETF TRUSTDEV MKTS EX-US73936T789258756530SHSOLE 5653000PPL CORPCOM69351T10682223029SHSOLE 2302900PRINCIPAL FINL GROUP INCCOM74251V102311962300SHSOLE 6230000PROCTER & GAMBLE COCOM742718109364347748SHSOLE 4774800PROSHARES TRPSHS ULSHT SP50074347B3006189239551SHSOLE 23955100PROSHARES TRRAFI LG SHT FD74347X3106771159602SHSOLE 15960200PROSPECT CAPITAL CORPORATIONNOTE 5.750% 3/174348TAL64645000PRNSOLE 4500000PUBLIC SVC ENTERPRISE GROUPCOM7445731066551158808SHSOLE 15880800QUALCOMM INCCOM74752510386910717SHSOLE 1071700QUEST DIAGNOSTICS INCCOM74834L100388265517SHSOLE 6551700RAYTHEON COCOM NEW7551115072732980SHSOLE 298000REALTY INCOME CORPCOM7561091048118181854SHSOLE 18185400ROGERS COMMUNICATIONS INCCL B7751092006415157344SHSOLE 15734400ROYAL DUTCH SHELL PLCSPON ADR B7802591072723163SHSOLE 316300SANOFISPONSORED ADR80105N105324461269SHSOLE 6126900SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3082154830SHSOLE 483000SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y5062172159SHSOLE 215900SELECT SECTOR SPDR TRSBI INT-FINL81369Y6052159456SHSOLE 945600SELECT SECTOR SPDR TRTECHNOLOGY81369Y8038127212240SHSOLE 21224000SELECT SECTOR SPDR TRSBI INT-UTILS81369Y8862194972SHSOLE 497200SENIOR HSG PPTYS TRSH BEN INT81721M1097181292735SHSOLE 29273500SHIRE PLCSPONSORED ADR82481R106220924SHSOLE 92400SPDR GOLD TRUSTGOLD SHS78463V107858466455SHSOLE 6645500SPDR INDEX SHS FDSS&P EM MKT DIV78463X5337913196810SHSOLE 19681000SPDR INDEX SHS FDSS&P INTL ETF78463X7724108000SHSOLE 800000SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10719177367SHSOLE 736700SPDR SER TRSHT TRM HGH YLD78468R40811886384051SHSOLE 38405100SPDR SERIES TRUSTBRC CNV SECS ETF78464A359394078129SHSOLE 7812900SPDR SERIES TRUSTBRC HGH YLD BD78464A4174822115370SHSOLE 11537000SPDR SERIES TRUSTBARC SHT TR CP78464A4746337204056SHSOLE 20405600SPDR SERIES TRUSTBRCLYS INTL ETF78464A516189531050SHSOLE 3105000SSGA ACTIVE ETF TRBLKSTN GSOSRLN78467V60861012208SHSOLE 1220800STATE STR CORPCOM85747710373310819SHSOLE 1081900SYMANTEC CORPCOM8715031087404321686SHSOLE 32168600TORONTO DOMINION BK ONTCOM NEW8911605096454124296SHSOLE 12429600TORTOISE ENERGY INFRSTRCTR CCOM89147L10010861219643SHSOLE 21964300TRANSCANADA CORPCOM89353D1076694139462SHSOLE 13946200UNILEVER PLCSPON ADR NEW9047677047090155908SHSOLE 15590800VALERO ENERGY CORP NEWCOM91913Y100120924048SHSOLE 2404800VANGUARD BD INDEX FD INCINTERMED TERM921937819754588006SHSOLE 8800600VANGUARD BD INDEX FD INCSHORT TRM BOND921937827677983919SHSOLE 8391900VANGUARD INDEX FDSREIT ETF9229085539682129392SHSOLE 12939200VANGUARD INDEX FDSGROWTH ETF922908736426543180SHSOLE 4318000VANGUARD INDEX FDSVALUE ETF92290874491111233SHSOLE 1123300VANGUARD INTL EQUITY INDEX FGLB EX US ETF922042676386866610SHSOLE 6661000VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428589931230274SHSOLE 23027400VANGUARD INTL EQUITY INDEX FFTSE PACIFIC ETF9220428666390102796SHSOLE 10279600VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874151525387SHSOLE 2538700VANGUARD MALVERN FDSSTRM INFPROIDX92202080511768234597SHSOLE 23459700VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409676983681SHSOLE 8368100VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385815265358505SHSOLE 35850500VENTAS INCCOM92276F1006644102469SHSOLE 10246900VERIZON COMMUNICATIONS INCCOM92343V104331166847SHSOLE 6684700VIPSHOP HLDGS LTDNOTE 1.500% 3/192763WAA11815000PRNSOLE 1500000WAL-MART STORES INCCOM93114210398512921SHSOLE 1292100WISDOMTREE TRFUTRE STRAT FD97717W125122028842SHSOLE 2884200WISDOMTREE TRLARGECAP DIVID97717W307500870778SHSOLE 7077800WISDOMTREE TREMERG MKTS ETF97717W315482293011SHSOLE 9301100WISDOMTREE TRINTL LRGCAP DV97717W794378770646SHSOLE 7064600WISDOMTREE TREUROPE HEDGED EQ97717X7018395142981SHSOLE 14298100WISDOMTREE TRWSDM EMKTBD FD97717X784176622501SHSOLE 2250100WISDOMTREE TREM LCL DEBT FD97717X8678820185512SHSOLE 18551200