Chief Compliance Officer

0001463217-13-000012.txt : 20131114 0001463217-13-000012.hdr.sgml : 20131114 20131114123734 ACCESSION NUMBER: 0001463217-13-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131114 DATE AS OF CHANGE: 20131114 EFFECTIVENESS DATE: 20131114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC CENTRAL INDEX KEY: 0001463217 IRS NUMBER: 270493248 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13508 FILM NUMBER: 131218236 BUSINESS ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: SECOND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-999-8500 MAIL ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: SECOND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPTIAL FINANCIAL ADVISERS, LLC DATE OF NAME CHANGE: 20130814 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC DATE OF NAME CHANGE: 20110509 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. DATE OF NAME CHANGE: 20090501 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001463217 XXXXXXXX 09-30-2013 09-30-2013 UNITED CAPITAL FINANCIAL ADVISERS, LLC

500 NEWPORT CENTER DRIVE SECOND FLOOR NEWPORT BEACH CA 92660

13F COMBINATION REPORT 028-13508 0001297376 028-12578 Advisors Asset Management, Inc. 0000902584 028-05637 ADVISORY RESEARCH INC 0001389256 028-12131 American Assets Investment Management, LLC 0001305227 028-12016 BlackRock Investment Management, LLC 0001348883 028-11611 Clearbridge Investments, LLC 0000728575 028-01203 CS MCKEE LP 0001427514 028-13023 Dana Investment Advisors, Inc. 0000003520 028-00869 FRED ALGER MANAGEMENT INC 0001542266 028-14862 Granite Investment Partners, LLC 0000812295 028-01343 JANUS CAPITAL MANAGEMENT LLC 0001056504 028-06810 KEELEY ASSET MANAGEMENT CORP 0001207017 028-10469 LAZARD ASSET MANAGEMENT LLC 0000312348 028-00398 LOOMIS SAYLES & CO L P 0000903947 028-03692 MILLER HOWARD INVESTMENTS INC /NY 0000728774 028-00454 NEUBERGER BERMAN LLC 0001042008 028-06536 AEW CAPITAL MANAGEMENT INC 0001456227 028-13466 NorthCoast Asset Management LLC 0001521019 028-14498 Nuveen Asset Management, LLC 0000919219 028-14013 PAYDEN & RYGEL 0001386060 028-12484 Robeco Investment Management, Inc. 0001089755 028-03489 SOUTHERNSUN ASSET MANAGEMENT, LLC 0001133527 028-06451 STERLING CAPITAL MANAGEMENT LLC 0001145020 028-06605 THORNBURG INVESTMENT MANAGEMENT INC 0001138897 028-10245 WESTERN ASSET MANAGEMENT CO 0000845563 028-02405 COHEN & STEERS CAPITAL MANAGEMENT INC 0000790502 028-01666 EAGLE ASSET MANAGEMENT INC 0000937729 028-10991 FAYEZ SAROFIM & CO 0000728100 028-00413 LORD, ABBETT & CO. LLC 0000067698 028-00288 MONTAG & CALDWELL, LLC 0000932859 028-04558 PARAMETRIC PORTFOLIO ASSOCIATES LLC 0001056593 028-04691 SCHAFER CULLEN CAPITAL MANAGEMENT INC 0001259887 028-10665 LONDON CO OF VIRGINIA 0000105692 028-01204 WHV Investment Management, Inc. 0000900973 028-03676 Winslow Capital Management, LLC N Michael A. Herman Chief Compliance Officer 949-999-8500 Michael A. Herman Newport Beach CA 11-14-2013 0 678 3136798 false INFORMATION TABLE 2 ucfa13fhr09302013.xml UCFA13FHRIT09302013 3D Systems Corporation Common Stock 88554D205 375 6943 SH SOLE 4445 0 2498 3M Co Common Stock 88579Y101 9649 80804 SH SOLE 59763 0 21041 Abbott Laboratories Common Stock 002824100 17106 515395 SH SOLE 317282 0 198114 Abbvie Inc Common Stock 00287Y109 8045 179868 SH SOLE 83170 0 96698 Accenture PLC Common Stock G1151C101 8653 117508 SH SOLE 71797 0 45711 Actuant Corp Common Stock 00508X203 202 5189 SH SOLE 4784 0 405 Acuity Brands Inc Common Stock 00508Y102 477 5189 SH SOLE 5134 0 55 Adobe Systems Inc Common Stock 00724F101 781 15037 SH SOLE 2977 0 12060 ADT Corporation Common Stock 00101J106 3173 78031 SH SOLE 64969 0 13062 Advanced Micro Devices Common Stock 007903107 78 20350 SH SOLE 20300 0 50 Advent Claymore Conv & Income Common Closed End Fund 00764C109 193 10980 SH SOLE 10980 0 0 AECOM Technology Corp. Common Stock 00766t100 1459 46650 SH SOLE 5700 0 40950 AES Corp Common Stock 00130H105 170 12813 SH SOLE 12513 0 300 AES Trust III 6.75% Conv Pfd Preferred Stock 00808N202 4060 80550 SH SOLE 37800 0 42750 Aetna Inc Common Stock 00817Y108 3375 52721 SH SOLE 27022 0 25699 AFC Enterprises Inc Com Common Stock 00104q107 1630 37400 SH SOLE 14000 0 23400 Affiliated Managers Group Common Stock 008252108 1755 9610 SH SOLE 3539 0 6071 Aflac Inc. Common Stock 001055102 6640 107117 SH SOLE 88630 0 18487 Agilent Technologies Inc Common Stock 00846U101 3897 76046 SH SOLE 32819 0 43227 AGL Resources, Inc. Common Stock 001204106 2942 63906 SH SOLE 31948 0 31958 Agrium, Inc. Common Stock 008916108 1412 16806 SH SOLE 13037 0 3769 Air Products & Chemicals, Inc. Common Stock 009158106 226 2120 SH SOLE 1061 0 1059 Allegheny Technologies Inc Common Stock 01741R102 4181 136988 SH SOLE 136988 0 0 Allegheny Technologies Inc Convertible Bond 01741RAD4 202 2000 SH SOLE 2000 0 0 Allergan, Inc. Common Stock 018490102 5871 64914 SH SOLE 60516 0 4398 Alliance Bernstein Holding L.P. Common Stock 01881G106 2902 146100 SH SOLE 102500 0 43600 AllianceBernstein Glb High Inc Common Closed End Fund 01879R106 298 19794 SH SOLE 17470 0 2324 Allstate Common Stock 020002101 1001 19794 SH SOLE 13784 0 6010 Alnylam Pharmaceuticals In Common Stock 02043Q107 224 3500 SH SOLE 3500 0 0 Alphatec Holdings, Inc. Common Stock 02081G102 98 49949 SH SOLE 49949 0 0 ALPS Alerian MLP ETF ETF 00162Q866 3582 203656 SH SOLE 149033 0 54623 Altria Group Inc. Common Stock 02209S103 10033 292095 SH SOLE 254806 0 37289 Alza Corp Convertible Bond 02261WAB5 962 8000 SH SOLE 8000 0 0 Amazon.Com Common Stock 023135106 457 1461 SH SOLE 922 0 539 America Movil, S.A.B. de C.V. Common Stock 02364W105 414 20918 SH SOLE 5442 0 15476 American Capital Ltd Common Stock 02503Y103 872 63450 SH SOLE 45762 0 17688 American Elec Power. Common Stock 025537101 268 6194 SH SOLE 6067 0 127 American Express Common Stock 025816109 2279 30175 SH SOLE 17588 0 12587 American Intl Group Inc Common Stock 026874784 15388 316428 SH SOLE 157639 0 158789 American Realty Capital Properties Inc Common Stock 02917T104 455 37290 SH SOLE 27790 0 9500 Amgen Inc. Common Stock 031162100 1204 10753 SH SOLE 9496 0 1258 Amkor Technology, Inc. Common Stock 031652100 86 20100 SH SOLE 20100 0 0 Anadarko Petroleum Common Stock 032511107 1525 16402 SH SOLE 6723 0 9679 Analog Devices Common Stock 032654105 942 20018 SH SOLE 18578 0 1440 ANIXTER INTL INC COM Common Stock 035290105 219 2493 SH SOLE 0 0 2493 Annaly Capital Management Inc. Common Stock 035710409 2885 249152 SH SOLE 222006 0 27146 AON PLC Common Stock G0408V102 717 9625 SH SOLE 7243 0 2382 Apache Corp Common Stock 037411105 4981 58504 SH SOLE 56949 0 1555 Apollo Investment Corp Common Stock 03761U106 301 36978 SH SOLE 26854 0 10124 Apple Computer Common Stock 037833100 96936 203327 SH SOLE 111097 0 92229 Applied Industrial Technologies, Inc. Common Stock 03820C105 1351 26236 SH SOLE 26236 0 0 Aqua America Inc Common Stock 03836W103 329 13301 SH SOLE 13301 0 0 Archer Daniels Midland Co Corporate Bond 039483AW2 5019 49300 SH SOLE 49300 0 0 Archer Daniels-Midland Co. Common Stock 039483102 203 5518 SH SOLE 5198 0 320 Arena Pharmaceuticals Com Common Stock 040047102 113 21500 SH SOLE 11500 0 10000 Assured Guaranty Ltd Common Stock G0585R106 434 23125 SH SOLE 15198 0 7927 AT&T Inc Common Stock 00206R102 10373 306706 SH SOLE 235977 0 70729 Automatic Data Processing Common Stock 053015103 1822 25175 SH SOLE 19720 0 5455 Autozone, Inc. Common Stock 053332102 423 1001 SH SOLE 991 0 10 Babson Capital Corporate Investors Common Stock 05617k109 169 11000 SH SOLE 11000 0 0 Baker Hughes, Inc. Common Stock 057224107 1718 34990 SH SOLE 13735 0 21255 Ball Corporation Common Stock 058498106 8605 191734 SH SOLE 153184 0 38550 Banco Santander Chile Common Stock 05965X109 408 15507 SH SOLE 9759 0 5748 Bank of America A Wts Warrants 060505146 1549 254300 SH SOLE 183700 0 70600 Bank of America B Wts Warrants 060505153 434 549980 SH SOLE 253000 0 296980 Bank of America Corp Common Stock 060505104 3723 269774 SH SOLE 198525 0 71250 Bank of New York Mellon Corp Common Stock 064058100 1335 44235 SH SOLE 19848 0 24387 Barclays Plc Common Stock 06738E204 545 32011 SH SOLE 24209 0 7802 Barrick Gold Corp. Common Stock 067901108 1099 59049 SH SOLE 47472 0 11577 Baxter International Common Stock 071813109 2091 31836 SH SOLE 12149 0 19687 BB&T Corporation Common Stock 054937107 2218 65716 SH SOLE 12605 0 53111 BE Aerospace Inc Common Stock 073302101 6483 87816 SH SOLE 87718 0 98 Becton Dickinson & Co. Common Stock 075887109 7996 79941 SH SOLE 78906 0 1035 Bed, Bath & Beyond, Inc. Common Stock 075896100 3263 42180 SH SOLE 11184 0 30996 Berkshire Hathaway Class A Common Stock 084670108 1022 6 SH SOLE 4 0 2 Berkshire Hathaway Class B Common Stock 084670702 24918 219525 SH SOLE 202474 0 17051 BHP Billiton Ltd Common Stock 088606108 729 10956 SH SOLE 4650 0 6306 Biogen Idec Inc Common Stock 09062X103 2033 8443 SH SOLE 8053 0 390 BioMed Realty Trust Inc Common Stock 09063H107 323 17374 SH SOLE 16302 0 1072 BlackRock Inc Common Stock 09247X101 4741 17518 SH SOLE 7926 0 9592 BlackRock Municipal Inc Quality Trust ETF 092479104 136 10000 SH SOLE 10000 0 0 BlackRock MuniHoldings Qty II Common Closed End Fund 09254C107 277 22000 SH SOLE 22000 0 0 BlackRock MuniYield MI Quality Common Closed End Fund 09254V105 455 35667 SH SOLE 30029 0 5638 Boardwalk Pipeline Partners LP Common Stock 096627104 4184 137760 SH SOLE 84260 0 53500 Boeing Common Stock 097023105 5930 50468 SH SOLE 38170 0 12298 Boston Beer Company, Inc. Common Stock 100557107 972 3979 SH SOLE 2934 0 1045 BP Amoco PLC - Spons ADR Common Stock 055622104 2120 50442 SH SOLE 27924 0 22518 BRF SA Common Stock 10552T107 486 19811 SH SOLE 12736 0 7075 Brinker International, Inc. Common Stock 109641100 266 6565 SH SOLE 4074 0 2491 Bristol-Myers Squibb Company Common Stock 110122108 1089 23526 SH SOLE 22366 0 1160 Broadridge Financial Solutions Common Stock 11133T103 319 10053 SH SOLE 9269 0 784 Brookfield Asset Management Inc Common Stock 112585104 1923 51405 SH SOLE 38598 0 12807 Brookfield Infrastructure Partners LP Common Stock G16252101 17532 461113 SH SOLE 235909 0 225204 CA, Inc. Common Stock 12673P105 230 7753 SH SOLE 7403 0 350 Cabot Oil & Gas Corporation Common Stock 127097103 2985 79990 SH SOLE 75700 0 4290 Cadiz, Inc. Common Stock 127537207 63 12407 SH SOLE 8763 0 3644 Calamos Convertible Opps & Inc Common Closed End Fund 128117108 1367 108513 SH SOLE 74100 0 34413 Calavo Growers, Inc. Common Stock 128246105 2662 88037 SH SOLE 41937 0 46100 Cameron International Corporation Common Stock 13342B105 5830 99881 SH SOLE 93593 0 6288 Canadian Natural Resources Ltd Common Stock 136385101 885 28151 SH SOLE 23399 0 4752 Canon, Inc. Common Stock 138006309 489 15283 SH SOLE 9826 0 5457 Capital One Financial Corp Common Stock 14040H105 15029 218641 SH SOLE 177338 0 41303 Capital One Financial Corporation Warrants Warrants 14040H139 7083 243502 SH SOLE 126400 0 117102 Carlyle Group Lp Com Uts Ltd Ptn Common Stock 14309l102 1139 44300 SH SOLE 27200 0 17100 Caterpillar Inc Common Stock 149123101 1787 21422 SH SOLE 19172 0 2250 CBS Corporation Common Stock 124857202 370 6715 SH SOLE 5541 0 1174 Celgene Corporation Common Stock 151020104 5319 34511 SH SOLE 32460 0 2051 Cell Therapeutics, Inc. Common Stock 150934883 214 132236 SH SOLE 0 0 132236 Centene Corporation Common Stock 15135B101 290 4537 SH SOLE 4163 0 374 Chambers Street Properties Common Stock 157842105 793 90352 SH SOLE 84652 0 5700 Charles Schwab Corp Common Stock 808513105 249 11770 SH SOLE 11421 0 349 Chart Inds Inc Convertible Bond 16115QAC4 751 4000 SH SOLE 4000 0 0 Check Point Software Technologies, Ltd. Common Stock M22465104 5551 98150 SH SOLE 35556 0 62594 Chevron Corp Common Stock 166764100 11588 95375 SH SOLE 83731 0 11644 Chicago Bridge & Iron Company Common Stock 167250109 980 14468 SH SOLE 13337 0 1131 China Mobile Ltd. Common Stock 16941M109 2151 38116 SH SOLE 26326 0 11790 Chipotle Mexican Grill, Inc. Common Stock 169656105 863 2012 SH SOLE 1228 0 784 Chubb Corp Common Stock 171232101 328 3679 SH SOLE 3679 0 0 Chyronhego Corp Common Stock 171607104 22 14613 SH SOLE 14613 0 0 CIGNA Corp Common Stock 125509109 791 10297 SH SOLE 10161 0 136 Cinemark Holdings Inc Common Stock 17243V102 1559 49117 SH SOLE 32996 0 16121 Cisco Systems Inc Common Stock 17275R102 15647 667779 SH SOLE 502563 0 165216 Citigroup Inc Common Stock 172967424 6827 140724 SH SOLE 129398 0 11326 Cliffs Natural Resources Inc. Common Stock 18683K101 1145 55835 SH SOLE 13110 0 42725 Clorox Company Common Stock 189054109 316 3862 SH SOLE 3612 0 250 CME Group, Inc. Common Stock 12572Q105 8942 121040 SH SOLE 41935 0 79105 CMS Energy Corp Common Stock 125896100 224 8525 SH SOLE 8191 0 334 CNOOC, Ltd. Common Stock 126132109 546 2708 SH SOLE 1733 0 975 Coach, Inc. Common Stock 189754104 1003 18400 SH SOLE 14848 0 3552 Cobalt International Energ Common Stock 19075F106 234 9400 SH SOLE 9400 0 0 Coca-Cola Co Common Stock 191216100 4121 108791 SH SOLE 92605 0 16186 Cognizant Technology Solutions Corporation Common Stock 192446102 5415 65937 SH SOLE 62261 0 3676 Colgate-Palmolive Company Common Stock 194162103 3746 63174 SH SOLE 62394 0 780 Comcast Corp Common Stock 20030N101 500 11093 SH SOLE 9066 0 2027 Companhia Brasileira De Distribuicao Common Stock 20440T201 686 14899 SH SOLE 10474 0 4425 Companhia de Bebidas das Americas Ambev Common Stock 20441W203 260 6781 SH SOLE 4085 0 2696 ConocoPhillips Common Stock 20825C104 17017 244808 SH SOLE 238374 0 6434 Consolidated Edison, Inc. Common Stock 209115104 282 5111 SH SOLE 2420 0 2691 Consumer Discret Select Sector SPDR ETF 81369Y407 53378 880384 SH SOLE 706301 0 174083 Core Laboratories N.V. Common Stock N22717107 328 1938 SH SOLE 1158 0 780 Corrections Corporation of America Common Stock 22025Y407 2504 72483 SH SOLE 68330 0 4153 Costco Companies Inc Convertible Bond 22160QAC6 2344 9000 SH SOLE 9000 0 0 Costco Wholesale Corporation Common Stock 22160K105 3389 29429 SH SOLE 25792 0 3637 Credit Suisse Group Common Stock 225401108 434 14195 SH SOLE 9116 0 5079 Cree, Inc. Common Stock 225447101 2970 49341 SH SOLE 45869 0 3472 CSX Corp Common Stock 126408103 222 8637 SH SOLE 8442 0 195 Cumberland Pharmaceuticals, Inc. Common Stock 230770109 1910 421550 SH SOLE 421550 0 0 Cummins Inc Common Stock 231021106 217 1634 SH SOLE 1534 0 100 CurrencyShares Australian Dollar Trust ETF 23129U101 635 6793 SH SOLE 5119 0 1674 CVR Refining LP Common Stock 12663P107 831 33330 SH SOLE 6560 0 26770 CVS Caremark Corp Common Stock 126650100 1777 31318 SH SOLE 27204 0 4114 Danaher Corp Del Convertible Bond 235851AF9 1209 6000 SH SOLE 6000 0 0 Danaher Corporation Common Stock 235851102 1847 26650 SH SOLE 20931 0 5719 Darling International, Inc. Common Stock 237266101 238 11270 SH SOLE 10608 0 662 Dean Foods Company Common Stock 242370203 2655 137581 SH SOLE 129308 0 8273 Delta Air Lines Inc Common Stock 247361702 432 18312 SH SOLE 17168 0 1144 Demandware Inc Common Stock 24802Y105 340 7333 SH SOLE 7333 0 0 Deutsche Bank AG Common Stock D18190898 471 10261 SH SOLE 6761 0 3500 Devon Energy Corp Common Stock 25179M103 3055 52893 SH SOLE 30872 0 22020 Diageo PLC Common Stock 25243Q205 318 2506 SH SOLE 1359 0 1147 Digital Realty Trust, Inc. Common Stock 253868103 3065 57719 SH SOLE 46431 0 11288 DigitalGlobe Inc Common Stock 25389M877 360 11387 SH SOLE 17 0 11370 DIRECTV Common Stock 25490A309 362 6055 SH SOLE 2701 0 3354 Discover Financial Services Common Stock 254709108 425 8406 SH SOLE 7189 0 1217 Dominion Resources Inc Common Stock 25746U109 1783 28540 SH SOLE 26354 0 2186 Dover Corporation Common Stock 260003108 328 3649 SH SOLE 3184 0 465 Dow Chemical Co Common Stock 260543103 805 20952 SH SOLE 20767 0 185 Duke Energy Corporation Common Stock 26441C204 3036 45465 SH SOLE 35480 0 9985 Duke Realty Corp Common Stock 264411505 2258 146234 SH SOLE 117223 0 29011 E M C Corp Mass Convertible Bond 268648AM4 642 4000 SH SOLE 4000 0 0 E.I. du Pont de Nemours & Company Common Stock 263534109 331 5654 SH SOLE 3763 0 1891 Eastman Chemical Company Common Stock 277432100 306 3927 SH SOLE 3792 0 135 Eaton Corporation PLC Common Stock G29183103 470 6830 SH SOLE 5520 0 1310 eBay Inc Common Stock 278642103 5376 96344 SH SOLE 90090 0 6254 Ecolab, Inc. Common Stock 278865100 341 3448 SH SOLE 3205 0 243 Edison International Common Stock 281020107 4888 106115 SH SOLE 99709 0 6406 Edwards Lifesciences Cp Common Stock 28176E108 377 5418 SH SOLE 5418 0 0 Eli Lilly and Company Common Stock 532457108 5759 114433 SH SOLE 107410 0 7023 EMC Corporation Common Stock 268648102 1275 49865 SH SOLE 42618 0 7247 Emerson Electric Co. Common Stock 291011104 7568 116964 SH SOLE 96213 0 20751 Energizer Holdings, Inc. Common Stock 29266R108 400 4390 SH SOLE 4324 0 66 Energy Select Sector SPDR ETF 81369Y506 2549 30739 SH SOLE 25060 0 5679 Energy Transfer Equity LP Common Stock 29273V100 4988 75822 SH SOLE 48732 0 27090 Energy Transfer Partners, L.P. Common Stock 29273R109 481 9232 SH SOLE 6082 0 3150 Ensco PLC Common Stock G3157S106 887 16495 SH SOLE 14444 0 2051 Enterprise Products Partners LP Common Stock 293792107 4518 74012 SH SOLE 62108 0 11904 EOG Resources Common Stock 26875P101 4406 26029 SH SOLE 14991 0 11038 EQT Corp Common Stock 26884L109 15366 173197 SH SOLE 173197 0 0 Estee Lauder Cos Inc Common Stock 518439104 253 3617 SH SOLE 2639 0 978 EV Energy Partner LP Common Stock 26926V107 1649 44451 SH SOLE 40995 0 3456 Expedia, Inc. Common Stock 30212P303 3649 70426 SH SOLE 66696 0 3730 Expeditors International of Washington, Inc. Common Stock 302130109 399 9057 SH SOLE 9057 0 0 Express Scripts Common Stock 30219G108 6812 110233 SH SOLE 96166 0 14067 Exxon Mobil Corporation Common Stock 30231G102 39708 461501 SH SOLE 363351 0 98150 Facebook Inc Common Stock 30303M102 774 15408 SH SOLE 8992 0 6416 FBL Financial Group Inc Common Stock 30239F106 3009 67014 SH SOLE 67014 0 0 FedEx Corporation Common Stock 31428X106 1341 11750 SH SOLE 6408 0 5342 Fid/Claymore MLP Opportunity Common Closed End Fund 31647Q106 2754 111846 SH SOLE 58493 0 53353 Fifth Third Bancorp Common Stock 316773100 307 17032 SH SOLE 14756 0 2276 Financial Select Sector SPDR ETF 81369Y605 55779 2802240 SH SOLE 2204199 0 598040 First BanCorp Common Stock 318672706 324 57091 SH SOLE 57091 0 0 First Horizon National Corp Common Stock 320517105 120 10947 SH SOLE 10947 0 0 First Trust Biotech Index Common Stock 33733E203 700 10801 SH SOLE 2351 0 8450 First Trust Senior FR Inc II Common Closed End Fund 33733U108 180 12590 SH SOLE 12590 0 0 FlexShares Mstar Gbl Upstrm Nat Res ETF ETF 33939L407 1076 31924 SH SOLE 23869 0 8055 Flowers Foods, Inc. Common Stock 343498101 1895 88384 SH SOLE 60169 0 28215 Flowserve Corporation Common Stock 34354P105 839 13444 SH SOLE 11999 0 1445 Fluor Corporation Common Stock 343412102 854 12041 SH SOLE 9849 0 2192 FMC Corporation Common Stock 302491303 2180 30390 SH SOLE 22346 0 8044 FMC Technologies, Inc. Common Stock 30249U101 280 5060 SH SOLE 1273 0 3787 Foot Locker Inc Common Stock 344849104 5117 150770 SH SOLE 141750 0 9020 Ford Motor Co Common Stock 345370860 6171 365808 SH SOLE 345557 0 20251 Ford Mtr Co Del Convertible Bond 345370CN8 396 2000 SH SOLE 2000 0 0 Freeport-McMoran Copper & Gold Common Stock 35671D857 1271 38414 SH SOLE 14776 0 23638 Gabelli Equity Trust Common Closed End Fund 362397101 115 17040 SH SOLE 2630 0 14410 Gap, Inc. Common Stock 364760108 287 7123 SH SOLE 6826 0 297 General Dynamics Common Stock 369550108 549 6270 SH SOLE 6270 0 0 General Electric Co Common Stock 369604103 6677 279472 SH SOLE 240961 0 38510 General Mills, Inc. Common Stock 370334104 725 15135 SH SOLE 14148 0 987 General Motors Co Common Stock 37045V100 369 10264 SH SOLE 8532 0 1732 Genuine Parts Company Common Stock 372460105 286 3535 SH SOLE 3535 0 0 GigOptix, Inc. Common Stock 37517Y103 176 137152 SH SOLE 0 0 137152 Gilead Sciences Inc Common Stock 375558103 216 3432 SH SOLE 2679 0 753 Gilead Sciences Inc Convertible Bond 375558AN3 280 1000 SH SOLE 1000 0 0 GlaxoSmithKline PLC Common Stock 37733W105 694 13825 SH SOLE 9310 0 4515 Goldcorp, Inc. Common Stock 380956409 884 33990 SH SOLE 33990 0 0 Goldman Sachs Group Inc Common Stock 38141G104 8808 55671 SH SOLE 40760 0 14911 Google, Inc. Common Stock 38259P508 38481 43933 SH SOLE 30165 0 13768 Government Properties Common Stock 38376A103 819 34240 SH SOLE 11700 0 22540 Grupo Televisa, S.A.B. Common Stock 40049J206 370 13242 SH SOLE 8905 0 4337 Guggenheim Frontier Markets ETF 18383Q838 519 31077 SH SOLE 30255 0 822 Guggenheim Raymond James SB-1 Equity ETF 18383M613 238 7750 SH SOLE 3950 0 3800 Guggenheim S&P 500 Equal Weight ETF 78355W106 5573 85468 SH SOLE 74140 0 11329 Guggenheim S&P Midcap 400 Pure Growth ETF 78355W601 1628 14644 SH SOLE 7201 0 7443 Gulfport Energy Corporation Common Stock 402635304 214 3333 SH SOLE 2889 0 444 Halcon Resources Corp Common Stock 40537Q209 60 13437 SH SOLE 3437 0 10000 Halliburton Company Common Stock 406216101 1009 20949 SH SOLE 18601 0 2348 Halozyme Therapeutics, Inc. Common Stock 40637H109 155 14002 SH SOLE 10000 0 4002 Hanesbrands Inc Common Stock 410345102 536 8607 SH SOLE 7982 0 625 Hasbro, Inc. Common Stock 418056107 1546 32788 SH SOLE 21870 0 10918 Hatteras Financial Corporation Common Stock 41902R103 3263 174386 SH SOLE 139685 0 34701 HCP Inc Common Stock 40414L109 1869 45652 SH SOLE 33298 0 12354 Health Care REIT, Inc. Common Stock 42217K106 3336 53478 SH SOLE 42534 0 10944 Health Care Select Sector SPDR ETF 81369Y209 12343 243981 SH SOLE 235415 0 8566 Healthcare Trust of America Inc Common Stock 42225P105 1121 106606 SH SOLE 44451 0 62155 Helmerich & Payne, Inc. Common Stock 423452101 239 3472 SH SOLE 3315 0 157 Hertz Global Holdings Inc Common Stock 42805T105 1656 74717 SH SOLE 27720 0 46997 Hess Corp Common Stock 42809H107 1883 24344 SH SOLE 5520 0 18824 Hexcel Corporation Common Stock 428291108 2002 51592 SH SOLE 36714 0 14878 Hollyfrontier Corp Common Stock 436106108 2117 50269 SH SOLE 40230 0 10039 Hologic Inc Convertible Bond 436440AC5 202 2000 SH SOLE 2000 0 0 Home Depot, Inc. Common Stock 437076102 9884 130307 SH SOLE 116524 0 13783 Honda Motor Co Ltd Common Stock 438128308 646 16942 SH SOLE 13829 0 3113 Hornbeck Offshore Svcs Inc New Convertible Bond 440543AE6 237 2000 SH SOLE 2000 0 0 Host Hotels & Resorts Inc Common Stock 44107P104 419 23726 SH SOLE 19179 0 4547 HSBC Holdings PLC Common Stock 404280406 579 10677 SH SOLE 7595 0 3082 Illinois Tool Works Inc Common Stock 452308109 305 4002 SH SOLE 3407 0 595 Industrial Select Sector SPDR ETF 81369Y704 284 6130 SH SOLE 3698 0 2432 Intel Corp Common Stock 458140100 4768 208038 SH SOLE 174080 0 33958 Intel Corp Convertible Bond 458140AD2 542 5000 SH SOLE 5000 0 0 Intercontinental Hotels Group PLC Common Stock 45857P400 1155 39531 SH SOLE 27698 0 11833 International Business Machines Corp Common Stock 459200101 9389 50700 SH SOLE 45434 0 5266 International Game Technology Convertible Bond 459902AQ5 332 3000 SH SOLE 3000 0 0 International Paper Co. Common Stock 460146103 255 5691 SH SOLE 5375 0 316 Intuitive Surgical, Inc. Common Stock 46120E602 2418 6426 SH SOLE 1400 0 5026 Invesco Muni Opps. Trust Common Closed End Fund 46132C107 134 11409 SH SOLE 11409 0 0 Invesco Value Muni Income Common Closed End Fund 46132P108 317 23409 SH SOLE 15774 0 7635 iPath DJ-UBS Commodity Index TR ETN ETF 06738C778 975 26171 SH SOLE 25059 0 1112 iPath S&P 500 Dynamic VIX ETN ETF 06741L609 587 15124 SH SOLE 14355 0 769 iPath S&P 500 VIX ST Futures ETN ETF 06740C188 1140 77555 SH SOLE 76179 0 1376 iShares 1-3 Year International Trs Bd ETF 464288125 613 6433 SH SOLE 5082 0 1351 iShares Barclays 10-20 Year Treasury Bd ETF 464288653 7338 58616 SH SOLE 57894 0 722 iShares Barclays 1-3 Year Credit Bond ETF 464288646 13701 130141 SH SOLE 98603 0 31537 iShares Barclays 1-3 Year Treasury Bond ETF 464287457 12544 148505 SH SOLE 108542 0 39963 iShares Barclays 20+ Year Treas Bond ETF 464287432 24845 233503 SH SOLE 219586 0 13917 iShares Barclays 7-10 Year Treasury ETF 464287440 1792 17553 SH SOLE 16726 0 827 iShares Barclays Credit Bond ETF 464288620 17161 160163 SH SOLE 124018 0 36145 iShares Barclays Interm Govt/Credit Bond ETF 464288612 3862 35076 SH SOLE 33464 0 1612 iShares Barclays Intermediate Credit Bd ETF 464288638 2392 22167 SH SOLE 19503 0 2664 iShares Barclays MBS Bond ETF 464288588 26902 253987 SH SOLE 198787 0 55200 iShares Barclays Short Treasury Bond ETF 464288679 416 3774 SH SOLE 3774 0 0 iShares Barclays TIPS Bond ETF 464287176 52359 465082 SH SOLE 442242 0 22841 iShares Core MSCI EAFE ETF ETF 46432F842 36564 634348 SH SOLE 582470 0 51878 iShares Core MSCI Emerging Markets ETF ETF 46434G103 17181 353152 SH SOLE 308262 0 44890 iShares Core S&P 500 ETF ETF 464287200 64591 382420 SH SOLE 352399 0 30021 iShares Core S&P Mid-Cap ETF ETF 464287507 10952 88223 SH SOLE 71239 0 16984 iShares Core S&P Small-Cap ETF ETF 464287804 12075 120996 SH SOLE 104074 0 16922 iShares Core Total US Bond Market ETF ETF 464287226 21876 204070 SH SOLE 178376 0 25694 iShares Dow Jones U.S. ETF ETF 464287846 2028 23797 SH SOLE 22268 0 1529 iShares Gold Trust ETF 464285105 349 27089 SH SOLE 27089 0 0 iShares High Dividend ETF ETF 46429B663 215 3245 SH SOLE 3245 0 0 iShares iBoxx $ High Yield Corporate Bd ETF 464288513 2410 26312 SH SOLE 25024 0 1288 iShares iBoxx $ Invest Grade Corp Bond ETF 464287242 3018 26582 SH SOLE 19803 0 6779 iShares International Dev Rel Est ETF ETF 464288489 345 10304 SH SOLE 10304 0 0 iShares International Select Div ETF ETF 464288448 6426 177231 SH SOLE 134024 0 43207 iShares International Treasury Bond ETF 464288117 1258 12489 SH SOLE 10063 0 2426 iShares JPMorgan USD Emerg Markets Bond ETF 464288281 1255 11515 SH SOLE 11064 0 451 iShares MSCI Canada Index ETF 464286509 8073 285172 SH SOLE 225353 0 59819 iShares MSCI EAFE ETF 464287465 45944 720121 SH SOLE 629547 0 90574 iShares MSCI EAFE Growth ETF 464288885 20310 298100 SH SOLE 287640 0 10460 iShares MSCI EAFE Small-Cap ETF 464288273 8758 180550 SH SOLE 154107 0 26443 iShares MSCI EAFE Value ETF 464288877 21932 403088 SH SOLE 388904 0 14184 iShares MSCI Emerging Markets ETF 464287234 37499 920103 SH SOLE 742547 0 177556 iShares MSCI Japan Index ETF 464286848 9876 828512 SH SOLE 664744 0 163768 Ishares MSCI Pacific ex-Japan ETF 464286665 8157 171195 SH SOLE 134948 0 36247 iShares MSCI Singapore Index ETF 464286673 2659 199199 SH SOLE 152925 0 46274 iShares North American Natural Resources ETF 464287374 906 21852 SH SOLE 15153 0 6699 iShares Russell 1000 Growth Index ETF 464287614 9997 127840 SH SOLE 117170 0 10670 iShares Russell 1000 Index ETF 464287622 558 5926 SH SOLE 4519 0 1407 iShares Russell 1000 Value Index ETF 464287598 8502 98635 SH SOLE 86834 0 11801 iShares Russell 2000 Growth Index Fund ETF 464287648 4073 32367 SH SOLE 29752 0 2615 iShares Russell 2000 Index ETF 464287655 27083 254039 SH SOLE 215143 0 38896 iShares Russell 2000 Value Index Fund ETF 464287630 1789 19523 SH SOLE 16818 0 2705 iShares Russell 3000 Index ETF 464287689 70524 697288 SH SOLE 589982 0 107306 iShares Russell Microcap Index ETF 464288869 2516 36735 SH SOLE 32895 0 3839 iShares Russell Midcap Growth Index ETF 464287481 477 6106 SH SOLE 5827 0 279 iShares Russell Midcap Index ETF 464287499 488 3512 SH SOLE 2394 0 1118 iShares Russell Midcap Value Index ETF 464287473 722 11856 SH SOLE 10850 0 1006 iShares S&P 100 Index ETF 464287101 4459 59580 SH SOLE 55601 0 3980 iShares S&P 500 Growth Index ETF 464287309 70814 792463 SH SOLE 723499 0 68964 iShares S&P 500 Value Index ETF 464287408 63220 807195 SH SOLE 749331 0 57864 iShares S&P Global Financials ETF 464287333 447 8495 SH SOLE 5778 0 2717 iShares S&P MidCap 400 Value Index ETF 464287705 687 6362 SH SOLE 5546 0 816 iShares S&P National AMT-Free Muni Bd ETF 464288414 8390 80290 SH SOLE 69482 0 10808 iShares S&P S/T Natnl AMT-Free Muni Bd ETF 464288158 1636 15406 SH SOLE 12421 0 2985 iShares S&P SmallCap 600 Growth ETF 464287887 27193 250950 SH SOLE 241681 0 9269 iShares S&P SmallCap 600 Value Index ETF 464287879 12982 127001 SH SOLE 120436 0 6565 iShares S&P U.S. Preferred Stock Index ETF 464288687 5779 152075 SH SOLE 127147 0 24928 iShares Select Dividend ETF ETF 464287168 7685 115847 SH SOLE 87944 0 27903 Ishares Silver Trust ETF 46428Q109 1118 53501 SH SOLE 42602 0 10899 iShares U.S. Energy ETF ETF 464287796 52651 1117855 SH SOLE 895001 0 222854 iShares U.S. Financials ETF ETF 464287788 377 5149 SH SOLE 5149 0 0 iShares U.S. Healthcare ETF ETF 464287762 52455 490604 SH SOLE 393009 0 97595 iShares U.S. Industrials ETF ETF 464287754 52938 584818 SH SOLE 468384 0 116433 iShares U.S. Real Estate ETF ETF 464287739 697 10932 SH SOLE 10932 0 0 iShares U.S. Technology ETF ETF 464287721 52836 670510 SH SOLE 537170 0 133340 iShares U.S. Utilities ETF ETF 464287697 52055 554427 SH SOLE 443407 0 111020 iStar Financial, Inc. Common Stock 45031U101 160 13291 SH SOLE 9891 0 3400 Itau Unibanco Holding SA Common Stock 465562106 408 28874 SH SOLE 23097 0 5777 JH Preferred Income II Common Closed End Fund 41013X106 981 51150 SH SOLE 32400 0 18750 Johnson & Johnson Common Stock 478160104 7006 80818 SH SOLE 63426 0 17393 Johnson Controls Inc Common Stock 478366107 372 8965 SH SOLE 6801 0 2164 Jpmorgan Alerian Mlp Index Etn ETF 46625H365 4246 95200 SH SOLE 79770 0 15430 JPMorgan Chase & Co Common Stock 46625H100 30384 587821 SH SOLE 513464 0 74357 JPMorgan Chase Wts Warrants 46634E114 12457 743276 SH SOLE 374700 0 368576 JTH Holding Inc Common Stock 46637N103 398 21000 SH SOLE 21000 0 0 KBR, Inc. 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Common Stock 494580103 462 34414 SH SOLE 19628 0 14786 KKR & CO L P DEL COM UNITS Common Stock 48248m102 1192 57925 SH SOLE 42850 0 15075 KKR Financial Holding Common Stock 48248A306 2732 264500 SH SOLE 156512 0 107988 KLA-Tencor Corporation Common Stock 482480100 358 5880 SH SOLE 5792 0 88 Kohl's Corp Common Stock 500255104 3293 63631 SH SOLE 52139 0 11492 Kosmos Energy Ltd Common Stock G5315B107 379 36880 SH SOLE 23742 0 13138 Kraft Foods Group Inc Common Stock 50076Q106 6769 128973 SH SOLE 67717 0 61256 Kroger Co Common Stock 501044101 340 8439 SH SOLE 8124 0 315 Kulicke & Soffa Industries Inc Common Stock 501242101 391 33841 SH SOLE 21953 0 11888 L-3 Communications Corp Convertible Bond 502413AW7 219 2000 SH SOLE 2000 0 0 Laboratory Corporation of America Holdings Common Stock 50540R409 6359 64141 SH SOLE 37185 0 26956 Las Vegas Sands Corp Common Stock 517834107 790 11900 SH SOLE 9451 0 2449 Leggett & Platt, Inc. 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Common Stock 58155Q103 2086 16257 SH SOLE 12755 0 3502 MeadWestvaco Corporation Common Stock 583334107 214 5585 SH SOLE 5245 0 340 Medtronic, Inc. Common Stock 585055106 670 12576 SH SOLE 12464 0 112 Merck & Co Inc Common Stock 58933Y105 11744 246675 SH SOLE 166797 0 79878 MetLife Inc Common Stock 59156R108 17082 363834 SH SOLE 332340 0 31494 Michael Kors Holdings Ltd Common Stock G60754101 1103 14808 SH SOLE 10479 0 4329 Microchip Technology, Inc. Common Stock 595017104 1819 45144 SH SOLE 32226 0 12918 Microsoft Corporation Common Stock 594918104 1201 36094 SH SOLE 31804 0 4290 Mid-America Apartment Communities Common Stock 59522J103 357 5710 SH SOLE 5710 0 0 Mkt Vectors Pre-Ref Muni Bond ETF ETF 57060u738 365 14841 SH SOLE 14841 0 0 Mondelez International Inc Common Stock 609207105 728 23185 SH SOLE 19949 0 3235 Monsanto Company Common Stock 61166W101 6238 59766 SH SOLE 23160 0 36606 Morgan Stanley Common Stock 617446448 255 9454 SH SOLE 2273 0 7181 Mosaic Co Common Stock 61945C103 7592 176480 SH SOLE 70828 0 105652 MSCI, Inc. Common Stock 55354G100 943 23435 SH SOLE 905 0 22530 Mylan Inc Common Stock 628530107 346 9055 SH SOLE 8725 0 330 Myriad Genetics, Inc. Common Stock 62855J104 1339 56998 SH SOLE 56831 0 167 National Fuel Gas Company Common Stock 636180101 210 3051 SH SOLE 3051 0 0 National Oilwell Varco, Inc. Common Stock 637071101 1213 15523 SH SOLE 13122 0 2401 NetApp, Inc. 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Common Stock 88160R101 469 2424 SH SOLE 374 0 2050 Tesoro Corporation Common Stock 881609101 1337 30397 SH SOLE 30297 0 100 Tesoro Logistics LP Common Stock 88160T107 290 5000 SH SOLE 5000 0 0 Teva Pharmaceutical Fin Llc Convertible Bond 88163VAE9 312 3000 SH SOLE 3000 0 0 Teva Pharmaceutical Industries Ltd Common Stock 881624209 981 25955 SH SOLE 18373 0 7582 Texas Instruments, Inc. Common Stock 882508104 346 8595 SH SOLE 7205 0 1390 The Blackstone Group Common Stock 09253u108 3004 120700 SH SOLE 75000 0 45700 The Travelers Companies Inc Common Stock 89417E109 1800 21235 SH SOLE 19460 0 1775 Thermo Fisher Scientific Inc Common Stock 883556102 1078 11703 SH SOLE 10201 0 1502 Thomson Reuters Corporation Common Stock 884903105 287 8210 SH SOLE 7402 0 808 Thor Industries, Inc. 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Common Stock 016255101 8321 172990 SH SOLE 874 0 172116 Alliance Data Systems Corporation Common Stock 018581108 286 1351 SH SOLE 1298 0 53 AllianceBernstein Income Fund Common Closed End Fund 01881E101 142 20162 SH SOLE 18262 0 1900 American Campus Communities, Inc. Common Stock 024835100 718 21035 SH SOLE 13949 0 7086 American Vanguard Corporation Common Stock 030371108 544 20210 SH SOLE 20210 0 0 Arrow Financial Corporation Common Stock 042744102 309 12170 SH SOLE 12170 0 0 Autodesk, Inc. Common Stock 052769106 1483 36025 SH SOLE 24506 0 11519 BorgWarner Inc Common Stock 099724106 232 2291 SH SOLE 1370 0 921