0001463217-14-000003.txt : 20140213
0001463217-14-000003.hdr.sgml : 20140213
20140212194031
ACCESSION NUMBER: 0001463217-14-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140213
DATE AS OF CHANGE: 20140212
EFFECTIVENESS DATE: 20140213
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: 14602355
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
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12-31-2013
12-31-2013
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
Boston Partners
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
12-31-2013
0
638
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INFORMATION TABLE
2
ucfa13fhr12312013.xml
UCFA13FHRIT12312013
3M Co
Common Stock
88579Y101
8669
61812
SH
SOLE
42040
0
19772
ABB, Ltd.
Common Stock
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675
25404
SH
SOLE
25404
0
25404
Abbott Laboratories
Common Stock
002824100
10203
266178
SH
SOLE
105690
0
160488
Abbvie Inc
Common Stock
00287Y109
6222
117816
SH
SOLE
48860
0
68956
Aberdeen Asia Pacific Incom Fd
ETF
003009107
69
12054
SH
SOLE
12054
0
12054
Accenture PLC
Common Stock
G1151C101
4825
58682
SH
SOLE
29740
0
28942
Adobe Systems, Inc.
Common Stock
00724F101
799
13346
SH
SOLE
1046
0
12300
ADT Corporation
Common Stock
00101J106
2377
58724
SH
SOLE
46617
0
12107
Advent Claymore Conv & Income Common
ETF
00764C109
204
11018
SH
SOLE
11018
0
11018
AECOM Technology Corp.
Common Stock
00766t100
1279
43450
SH
SOLE
4200
0
39250
AES Corp
Common Stock
00130H105
178
12267
SH
SOLE
11967
0
300
AES Trust III 6.75% Conv Pfd
Preferred Stock
00808N202
3891
77550
SH
SOLE
37800
0
39750
Aetna Inc
Common Stock
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1007
14681
SH
SOLE
0
0
14681
Affiliated Managers Group
Common Stock
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1855
8551
SH
SOLE
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5871
Aflac Inc
Common Stock
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2926
43809
SH
SOLE
40535
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3274
AGCO Corp
Common Stock
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507
8569
SH
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8569
Agilent Technologies Inc
Common Stock
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SH
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43057
Agrium Inc
Common Stock
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1617
17678
SH
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17678
AK Steel Holding Corporation
Common Stock
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139
16900
SH
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16900
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16900
Allegheny Technologies Inc
Common Stock
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206
2000
SH
SOLE
2000
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2000
Allegheny Technologies Inc
Common Stock
01741R102
4018
112767
SH
SOLE
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Alliance Bernstein Holding L.P.
Common Stock
01881G106
2286
107100
SH
SOLE
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32600
Alliance Data Systems Corporation
Common Stock
018581108
350
1333
SH
SOLE
1333
0
1333
AllianceBernstein Income Fund Common
ETF
01881E101
144
20162
SH
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20162
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20162
Alliant Techsystems Inc
Common Stock
018804104
361
2970
SH
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2970
Allstate Corp
Preferred Stock
020002101
742
13600
SH
SOLE
9100
0
4500
Alnylam Pharmaceuticals In
Common Stock
02043Q107
225
3500
SH
SOLE
3500
0
0
Alphatec Holdings, Inc.
Common Stock
02081G102
100
49949
SH
SOLE
49949
0
49949
ALPS Alerian MLP ETF
ETF
00162Q866
198
11120
SH
SOLE
0
0
11120
Altria Group Inc.
Common Stock
02209S103
1498
39013
SH
SOLE
30486
0
8527
Alza Corp
Convertible Bond
02261WAB5
1014
8000
SH
SOLE
8000
0
8000
America Movil
Common Stock
02364W105
380
16280
SH
SOLE
804
0
15476
American Campus Communities, Inc.
Common Stock
024835100
681
21147
SH
SOLE
21147
0
21147
American Capital Ltd
Common Stock
02503Y103
670
42827
SH
SOLE
33294
0
9533
American Express Co
Coporate Bond
025816109
2092
23052
SH
SOLE
13180
0
9872
American International Group Inc
Common Stock
026874784
15416
301977
SH
SOLE
150400
0
151577
American Realty Capital Properties Inc
Common Stock
02917T104
495
38540
SH
SOLE
38540
0
38540
American Vanguard Corporation
Common Stock
030371108
491
20210
SH
SOLE
20210
0
20210
Amgen Inc
Coporate Bond
031162100
599
5254
SH
SOLE
4754
0
500
Amkor Technology, Inc.
Common Stock
031652100
123
20000
SH
SOLE
20000
0
0
Anadarko Petroleum Corp
Common Stock
032511107
4682
59031
SH
SOLE
13280
0
45751
Analog Devices
Common Stock
032654105
1010
19840
SH
SOLE
18400
0
1440
Anixter International Inc
Common Stock
035290105
223
2483
SH
SOLE
0
0
2483
AON PLC
Common Stock
G0408V102
364
4337
SH
SOLE
2300
0
2037
Apache Corporation
Common Stock
037411105
3742
43540
SH
SOLE
41540
0
2000
Apollo Investment Corp
Common Stock
03761U106
219
25885
SH
SOLE
15785
0
10100
Apple Inc
Common Stock
037833100
98688
175909
SH
SOLE
91425
0
84484
Applied Industrial Technologies, Inc.
Common Stock
03820C105
1302
26522
SH
SOLE
26522
0
26522
Archer Daniels Midland Co
Coporate Bond
039483AW2
5216
49300
SH
SOLE
49300
0
49300
Archer-Daniels Midland Company
Common Stock
039483102
209
4820
SH
SOLE
4500
0
320
Arrow Financial Corporation
Common Stock
042744102
323
12170
SH
SOLE
12170
0
12170
Assured Guaranty Ltd
Common Stock
G0585R106
910
38586
SH
SOLE
38586
0
38586
AT&T Inc
Coporate Bond
00206R102
4445
126429
SH
SOLE
73274
0
53155
Autodesk, Inc.
Common Stock
052769106
1768
35137
SH
SOLE
35137
0
35137
Automatic Data Processing
Common Stock
053015103
1008
12480
SH
SOLE
8015
0
4465
Avnet Inc
Common Stock
053807103
264
5990
SH
SOLE
5990
0
5990
B E Aerospace, Inc.
Common Stock
073302101
7478
85930
SH
SOLE
85860
0
70
Babson Capital Corporate Investors
Common Stock
05617k109
164
11000
SH
SOLE
11000
0
0
Baidu, Inc.
Common Stock
056752108
916
5147
SH
SOLE
5147
0
5147
Baker Hughes, Inc.
Common Stock
057224107
954
17270
SH
SOLE
9300
0
7970
Ball Corporation
Common Stock
058498106
9927
192169
SH
SOLE
155269
0
36900
Banco Santander SA
Common Stock
05964H105
639
70466
SH
SOLE
70466
0
70466
Bank of America A Wts
Warrants
060505146
1755
271300
SH
SOLE
193700
0
77600
Bank of America B Wts
Warrants
060505153
363
471980
SH
SOLE
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0
240980
Bank of America Corporation
Coporate Bond
060505104
2422
155547
SH
SOLE
97140
0
58407
Bank Of New York Mellon Corp
Common Stock
064058100
1508
43170
SH
SOLE
18783
0
24387
Barclays PLC
Common Stock
06738E204
354
19512
SH
SOLE
14142
0
5370
BARRACUDA NETWORKS INC COM
Common Stock
068323104
436
11000
SH
SOLE
11000
0
0
Barrick Gold Corporation
Common Stock
067901108
257
14551
SH
SOLE
10557
0
3994
Baxter International
Common Stock
071813109
2385
34292
SH
SOLE
7845
0
26447
BB&T Corp
Common Stock
054937107
1784
47800
SH
SOLE
5150
0
42650
Bed Bath & Beyond, Inc.
Common Stock
075896100
1883
23449
SH
SOLE
4700
0
18749
Berkshire Hathaway Inc
Common Stock
084670108
534
3
SH
SOLE
3
0
0
Berkshire Hathaway Inc
Common Stock
084670702
16095
135757
SH
SOLE
125913
0
9844
BHP Billiton Ltd
Common Stock
088606108
322
4720
SH
SOLE
2550
0
2170
BHP Billiton PLC
Common Stock
05545E209
590
9502
SH
SOLE
9502
0
9502
Biogen Idec Inc
Common Stock
09062X103
2007
7180
SH
SOLE
7130
0
50
BlackRock Inc
Common Stock
09247X101
5412
17100
SH
SOLE
7481
0
9619
BlackRock MuniHoldings Qty II Common
ETF
09254C107
266
22000
SH
SOLE
22000
0
22000
BlackRock MuniYield MI Quality Common
ETF
09254V105
361
28999
SH
SOLE
28999
0
28999
Boardwalk Pipeline Partners LP
Common Stock
096627104
3496
136985
SH
SOLE
85885
0
51100
Boeing Co
Coporate Bond
097023105
2221
16269
SH
SOLE
14173
0
2096
Boston Beer Company, Inc.
Common Stock
100557107
928
3840
SH
SOLE
3840
0
3840
BP PLC
Common Stock
055622104
1274
26204
SH
SOLE
14868
0
11336
BP Prudhoe Bay Royalty Trust
Common Stock
055630107
481
6040
SH
SOLE
6040
0
6040
BRF SA
Common Stock
10552T107
705
33766
SH
SOLE
33766
0
33766
Brinker International, Inc.
Common Stock
109641100
1604
34615
SH
SOLE
28758
0
5857
Bristol-Myers Squibb Company
Common Stock
110122108
10112
190250
SH
SOLE
109764
0
80486
Brookfield Asset Management Inc
Common Stock
112585104
458
11790
SH
SOLE
700
0
11090
Brookfield Infrastructure Partners
Common Stock
G16252101
17784
453436
SH
SOLE
228791
0
224645
Brown-Forman Corporation
Common Stock
115637209
703
9298
SH
SOLE
9298
0
9298
Buckeye Partners L.P.
Common Stock
118230101
9237
130075
SH
SOLE
68375
0
61700
CA, Inc.
Common Stock
12673P105
305
9066
SH
SOLE
9066
0
9066
Cabot Oil & Gas Corporation
Common Stock
127097103
3890
100360
SH
SOLE
100360
0
100360
Cadiz, Inc.
Common Stock
127537207
99
14250
SH
SOLE
14250
0
14250
Calamos Convertible Opps & Inc Common
ETF
128117108
1314
99099
SH
SOLE
99099
0
99099
Calavo Growers, Inc.
Common Stock
128246105
303
10000
SH
SOLE
10000
0
10000
Canadian Solar, Inc.
Common Stock
136635109
770
25824
SH
SOLE
25824
0
25824
Capital One Financial Corp
Common Stock
14040H105
16534
215824
SH
SOLE
175735
0
40089
Capital One Financial Corporation Warrants
Warrants
14040H139
8468
238952
SH
SOLE
122400
0
116552
Carlyle Group Lp Com Uts Ltd Ptn
Common Stock
14309l102
1921
53920
SH
SOLE
30200
0
23720
Carmax, Inc.
Common Stock
143130102
1426
30330
SH
SOLE
8660
0
21670
Caterpillar Inc
Common Stock
149123101
5617
61849
SH
SOLE
25464
0
36385
CBIZ, Inc.
Common Stock
124805102
97
10690
SH
SOLE
10690
0
10690
Celgene Corporation
Common Stock
151020104
12036
71230
SH
SOLE
71085
0
145
Cell Therapeutics, Inc.
Common Stock
150934883
253
132236
SH
SOLE
132236
0
132236
Centene Corporation
Common Stock
15135B101
502
8517
SH
SOLE
8517
0
8517
CenturyLink Inc
Common Stock
156700106
3461
108650
SH
SOLE
63450
0
45200
Cerner Corporation
Common Stock
156782104
9806
175930
SH
SOLE
94446
0
81484
Chart Inds Inc
Common Stock
16115QAC4
616
4000
SH
SOLE
4000
0
4000
Check Point Software Technologies, Ltd.
Common Stock
M22465104
6139
95183
SH
SOLE
32855
0
62328
Chevron Corp
Common Stock
166764100
28434
227632
SH
SOLE
176296
0
51336
Chicago Bridge & Iron Company
Common Stock
167250109
2400
28865
SH
SOLE
21215
0
7650
Chipotle Mexican Grill, Inc.
Common Stock
169656105
323
606
SH
SOLE
131
0
475
Chubb Corporation
Common Stock
171232101
1966
20350
SH
SOLE
17100
0
3250
Chyronhego Corp
Common Stock
171607104
31
14613
SH
SOLE
14613
0
14613
Cinemark Holdings Inc
Common Stock
17243V102
1594
47816
SH
SOLE
47816
0
47816
Cisco Systems Inc
Common Stock
17275R102
13998
624064
SH
SOLE
463320
0
160744
Citigroup Inc
Coporate Bond
172967424
2943
56468
SH
SOLE
27554
0
28914
Clarcor Inc.
Common Stock
179895107
215
3334
SH
SOLE
3334
0
3334
Clean Harbors, Inc.
Common Stock
184496107
426
7099
SH
SOLE
7099
0
7099
CME Group Inc
Coporate Bond
12572Q105
9065
115531
SH
SOLE
40200
0
75331
CMS Energy Corp
Common Stock
125896100
225
8407
SH
SOLE
8407
0
8407
CNOOC, Ltd.
Common Stock
126132109
735
3918
SH
SOLE
3918
0
3918
Coach, Inc.
Common Stock
189754104
11692
208306
SH
SOLE
186734
0
21572
Cobalt International Energy
Common Stock
19075F106
707
43000
SH
SOLE
19900
0
23100
CoBiz Financial Inc
Common Stock
190897108
128
10705
SH
SOLE
10705
0
10705
Coca-Cola Co
Common Stock
191216100
6640
160743
SH
SOLE
74945
0
85798
Colgate-Palmolive Company
Common Stock
194162103
12837
196859
SH
SOLE
93397
0
103462
COLUMBIA PROPERTY TRUST, INC.
Common Stock
198287203
826
33048
SH
SOLE
33048
0
33048
Commonwealth REIT 6.5% Conv Pfd
Preferred Stock
203233408
2723
132750
SH
SOLE
72500
0
60250
Companhia Brasileira De Distribuicao
Common Stock
20440T201
301
6737
SH
SOLE
6737
0
6737
ConAgra Foods, Inc.
Common Stock
205887102
1846
54769
SH
SOLE
48838
0
5931
ConocoPhillips
Coporate Bond
20825C104
16003
226505
SH
SOLE
221982
0
4523
Continental Airls Inc
Common Stock
210795PU8
201
1000
SH
SOLE
1000
0
1000
Copart, Inc.
Common Stock
217204106
8092
220799
SH
SOLE
220799
0
0
Core Laboratories
Common Stock
N22717107
254
1330
SH
SOLE
550
0
780
Corning Inc
Common Stock
219350105
1871
104996
SH
SOLE
49732
0
55264
Costco Companies Inc
Common Stock
22160QAC6
2403
9000
SH
SOLE
9000
0
9000
Costco Wholesale Corporation
Common Stock
22160K105
906
7612
SH
SOLE
6651
0
961
Covidien PLC
Common Stock
G2554F113
1128
16558
SH
SOLE
15629
0
929
Credit Suisse Group
Common Stock
225401108
665
21418
SH
SOLE
21418
0
21418
Csx Corp
Common Stock
126408GA5
2450
8000
SH
SOLE
8000
0
8000
Ctrip.com International, Ltd.
Common Stock
22943F100
657
13239
SH
SOLE
13239
0
13239
Cumberland Pharmaceuticals, Inc.
Common Stock
230770109
1010
197646
SH
SOLE
197646
0
197646
CVR Refining LP
Common Stock
12663p107
280
12375
SH
SOLE
4750
0
7625
CVS Caremark Corp
Common Stock
126650100
3157
44113
SH
SOLE
19653
0
24460
Cyrusone Inc
Common Stock
23283R100
245
10951
SH
SOLE
10951
0
10951
Danaher Corp Del
Common Stock
235851AF9
1342
6000
SH
SOLE
6000
0
6000
Danaher Corporation
Common Stock
235851102
25499
330294
SH
SOLE
230761
0
99533
Darden Restaurants Inc Co
Common Stock
237194105
238
4372
SH
SOLE
3972
0
400
Darling International, Inc.
Common Stock
237266101
573
27464
SH
SOLE
27464
0
27464
Deere & Co
Common Stock
244199105
933
10213
SH
SOLE
2503
0
7710
Delta Air Lines Inc
Common Stock
247361702
1343
48888
SH
SOLE
48888
0
48888
Deluxe Corporation
Common Stock
248019101
9544
182872
SH
SOLE
182872
0
0
Dentsply International
Common Stock
249030107
208
4295
SH
SOLE
4295
0
4295
Devon Energy Corp
Common Stock
25179M103
526
8500
SH
SOLE
2100
0
6400
Digital Realty Trust, Inc.
Preferred Stock
253868103
563
11470
SH
SOLE
10501
0
969
DIGITALGLOBE INC COM NEW
Common Stock
25389M877
468
11370
SH
SOLE
0
0
11370
DIRECTV
Common Stock
25490A309
366
5300
SH
SOLE
2205
0
3095
Dominion Resources Inc
Common Stock
25746U109
205
3174
SH
SOLE
2000
0
1174
Dover Corporation
Common Stock
260003108
357
3700
SH
SOLE
1000
0
2700
Dow Chemical Co
Common Stock
260543103
558
12565
SH
SOLE
9565
0
3000
Duke Energy Corporation
Common Stock
26441C204
2833
41052
SH
SOLE
32440
0
8612
Duke Realty Corp
Common Stock
264411505
153
10172
SH
SOLE
823
0
9349
E.I. du Pont de Nemours & Company
Common Stock
263534109
4553
70080
SH
SOLE
70080
0
70080
Eagle Bancorp Inc M
Common Stock
268948106
1345
43917
SH
SOLE
31231
0
12686
EastGroup Properties, Inc.
ETF
277276101
1532
26450
SH
SOLE
17500
0
8950
Education Realty Trust, Inc.
Common Stock
28140H104
190
21568
SH
SOLE
21568
0
21568
E-House China Holdings Ltd.
Common Stock
26852W103
826
54770
SH
SOLE
54770
0
54770
Eli Lilly and Company
Common Stock
532457108
749
14686
SH
SOLE
12155
0
2531
EMC Corporation
Common Stock
268648102
12247
486941
SH
SOLE
449650
0
37291
Emerson Electric Co.
Common Stock
291011104
12606
179622
SH
SOLE
89775
0
89847
Energizer Holdings, Inc.
Common Stock
29266R108
461
4257
SH
SOLE
4257
0
4257
Energy Select Sector SPDR
ETF
81369Y506
698
7881
SH
SOLE
5926
0
1955
Energy Transfer Equity LP
Common Stock
29273V100
5734
70150
SH
SOLE
45450
0
24700
Energy Transfer Partners, L.P.
Common Stock
29273R109
312
5447
SH
SOLE
3456
0
1991
Ensco PLC
Common Stock
G3157S106
1445
25272
SH
SOLE
22046
0
3226
Enterprise Products Partners LP
Common Stock
293792107
15238
229834
SH
SOLE
159578
0
70256
EOG Resources
Common Stock
26875P101
3875
23086
SH
SOLE
12893
0
10193
EQT Corp
Common Stock
26884L109
15449
172074
SH
SOLE
172074
0
0
EV Energy Partner LP
Common Stock
26926V107
1476
43500
SH
SOLE
37000
0
6500
Expedia, Inc.
Common Stock
30212P303
5728
82222
SH
SOLE
82222
0
0
Expeditors Intl Wash Com
Common Stock
302130109
419
9477
SH
SOLE
9477
0
9477
Express Scripts
Common Stock
30219G108
1148
16349
SH
SOLE
5006
0
11343
Exxon Mobil Corporation
Common Stock
30231G102
10815
106872
SH
SOLE
68415
0
38457
F5 Networks, Inc.
Common Stock
315616102
4012
44160
SH
SOLE
44160
0
0
Facebook Inc
Common Stock
30303M102
393
7200
SH
SOLE
350
0
6850
Fauquier Bankshares Inc
Common Stock
312059108
191
13912
SH
SOLE
13912
0
13912
FBL Financial Group Inc
Common Stock
30239F106
3002
67014
SH
SOLE
67014
0
67014
Federal Realty Investment Trust
Common Stock
313747206
582
5742
SH
SOLE
0
0
5742
FedEx Corporation
Common Stock
31428X106
762
5300
SH
SOLE
1580
0
3720
Fid/Claymore MLP Opportunity Common
ETF
31647Q106
2789
109547
SH
SOLE
109547
0
109547
Fifth Third Bancorp
Coporate Bond
316773100
1425
67763
SH
SOLE
67263
0
500
Financial Select Sector SPDR
ETF
81369Y605
1700
77790
SH
SOLE
13920
0
63870
First BanCorp
Common Stock
318672706
305
49319
SH
SOLE
49319
0
49319
First Horizon National Corp
Common Stock
320517105
128
10947
SH
SOLE
10947
0
10947
First Trust Biotech Index
Common Stock
33733E203
747
10800
SH
SOLE
3150
0
7650
First Trust Senior FR Inc II Common
ETF
33733U108
191
13140
SH
SOLE
13140
0
13140
Fiserv, Inc.
Common Stock
337738108
1124
19036
SH
SOLE
2800
0
16236
FlexShares Mstar Gbl Upstrm Nat Res ETF
ETF
33939L407
980
28554
SH
SOLE
28554
0
28554
Flowserve Corporation
Common Stock
34354P105
1291
16376
SH
SOLE
16376
0
16376
Ford Motor Co
Common Stock
345370860
1297
84038
SH
SOLE
62438
0
21600
Ford Mtr Co Del
Coporate Bond
345370CN8
366
2000
SH
SOLE
2000
0
2000
Freeport-McMoran Copper & Gold
Common Stock
35671D857
1281
33954
SH
SOLE
12700
0
21254
Gabelli Equity Trust Common
ETF
362397101
132
17040
SH
SOLE
17040
0
17040
GameStop Corp
Common Stock
36467W109
2051
41637
SH
SOLE
41637
0
41637
Genco Shipping
Convertible Bond
36869maa3
14718
290000
SH
SOLE
280000
0
10000
General Electric Co
Coporate Bond
369604103
27108
967117
SH
SOLE
575322
0
391795
General Mills, Inc.
Common Stock
370334104
1033
20705
SH
SOLE
20555
0
150
GigOptix, Inc.
Common Stock
37517Y103
210
137152
SH
SOLE
137152
0
137152
Gilead Sciences Inc
Common Stock
375558AN3
331
1000
SH
SOLE
1000
0
1000
Gladstone Capital Corp
Common Stock
376535100
1653
172770
SH
SOLE
119260
0
53510
Gladstone Commercial
Common Stock
376536108
10621
591036
SH
SOLE
296820
0
294216
GlaxoSmithKline PLC
Common Stock
37733W105
231
4325
SH
SOLE
2725
0
1600
Goldman Sachs Group Inc
Coporate Bond
38141G104
9269
52289
SH
SOLE
39835
0
12454
Google, Inc.
Common Stock
38259P508
40493
36132
SH
SOLE
25042
0
11090
Gorman-Rupp
Common Stock
383082104
313
9375
SH
SOLE
9375
0
0
Government Properties
Common Stock
38376A103
852
34275
SH
SOLE
11700
0
22575
Grupo Televisa, S.A.B.
Common Stock
40049J206
390
12898
SH
SOLE
12898
0
12898
Guggenheim Frontier Markets ETF
ETF
18383Q838
546
33664
SH
SOLE
33664
0
33664
Guggenheim Raymond James SB-1 Equity
ETF
18383M613
260
7750
SH
SOLE
7750
0
7750
Guggenheim S&P 500 Equal Weight
ETF
78355W106
5747
80655
SH
SOLE
80655
0
80655
Guggenheim S&P Midcap 400 Pure Growth
ETF
78355W601
1798
14609
SH
SOLE
14609
0
14609
Gulfport Energy Corporation
Common Stock
402635304
203
3221
SH
SOLE
3221
0
3221
Halcon Resources Corp
Common Stock
40537Q209
52
13437
SH
SOLE
13437
0
13437
Halliburton Company
Common Stock
406216101
488
9614
SH
SOLE
9614
0
9614
Halozyme Therapeutics, Inc.
Common Stock
40637H109
210
14002
SH
SOLE
14002
0
14002
Hanesbrands Inc
Common Stock
410345102
809
11515
SH
SOLE
11515
0
11515
Hartford Financial Wts
Warrants
416515120
385
14000
SH
SOLE
9000
0
5000
Health Care REIT, Inc.
Common Stock
42217K106
4682
87393
SH
SOLE
59333
0
28060
Health Care Select Sector SPDR
ETF
81369Y209
11739
211742
SH
SOLE
209142
0
2600
Healthcare Trust of America Inc
Common Stock
42225P105
1184
120374
SH
SOLE
120374
0
120374
Helmerich & Payne, Inc.
Common Stock
423452101
279
3317
SH
SOLE
3317
0
3317
Hertz Global Holdings Inc
Common Stock
42805T105
6652
232415
SH
SOLE
93400
0
139015
Hess Corp
Common Stock
42809H107
1795
21631
SH
SOLE
3447
0
18184
Hewlett-Packard Co
Common Stock
428236103
2689
96089
SH
SOLE
53864
0
42225
Holly Energy Partners LP
Common Stock
435763107
1937
59900
SH
SOLE
33600
0
26300
Hollyfrontier Corp
Common Stock
436106108
1551
31207
SH
SOLE
24209
0
6998
Hologic Inc
Common Stock
436440AC5
206
2000
SH
SOLE
2000
0
2000
Home Depot, Inc.
Common Stock
437076102
3632
44115
SH
SOLE
24773
0
19342
Home Properties, Inc.
Common Stock
437306103
6361
118632
SH
SOLE
75055
0
43577
Honeywell International, Inc.
Common Stock
438516106
1777
19446
SH
SOLE
11884
0
7562
HSBC Holdings PLC
Common Stock
404280406
1491
27041
SH
SOLE
19498
0
7543
Idex Corporation
Common Stock
45167R104
407
5515
SH
SOLE
5515
0
5515
IHS Inc.
Common Stock
451734107
3314
27685
SH
SOLE
3255
0
24430
Illinois Tool Works Inc
Common Stock
452308109
7455
88667
SH
SOLE
19598
0
69069
Intel Corp
Coporate Bond
458140AD2
560
5000
SH
SOLE
5000
0
5000
Intel Corp
Coporate Bond
458140100
8075
311103
SH
SOLE
154687
0
156416
Intercontinental Hotels Group PLC
Common Stock
45857P400
1269
37950
SH
SOLE
37950
0
37950
International Business Machines Corp
Common Stock
459200101
18372
97949
SH
SOLE
63229
0
34720
International Game Technology
Common Stock
459902AQ5
318
3000
SH
SOLE
3000
0
3000
International Paper
Common Stock
460146103
716
14609
SH
SOLE
14609
0
14609
Intuitive Surgical, Inc.
Common Stock
46120E602
2551
6642
SH
SOLE
900
0
5742
Invesco Value Muni Income Common
ETF
46132P108
312
23095
SH
SOLE
23095
0
23095
iPath S&P 500 Dynamic VIX ETN
ETF
06741L609
445
13200
SH
SOLE
13200
0
13200
Iron Mtn Inc
Common Stock
462846106
979
32268
SH
SOLE
3484
0
28784
iShares 10-20 Year Treasury Bond
ETF
464288653
6717
55549
SH
SOLE
55549
0
55549
iShares 1-3 Year Credit Bond
ETF
464288646
1232
11685
SH
SOLE
10022
0
1663
iShares 1-3 Year Treasury Bond
ETF
464287457
11243
133239
SH
SOLE
133239
0
133239
iShares 7-10 Year Treasury Bond
ETF
464287440
261
2635
SH
SOLE
2635
0
2635
iShares All Asia ex-Japan
ETF
464288182
1397
23159
SH
SOLE
23159
0
23159
iShares China Large-Cap
ETF
464287184
241
6272
SH
SOLE
6272
0
6272
iShares Core MSCI EAFE
ETF
46432F842
334
5500
SH
SOLE
5500
0
0
iShares Core MSCI Emerging Market
ETF
46434G103
21767
437008
SH
SOLE
437008
0
437008
iShares Core S&P 500
ETF
464287200
74598
401819
SH
SOLE
401819
0
401819
iShares Core S&P Mid-Cap
ETF
464287507
13754
102788
SH
SOLE
102788
0
102788
iShares Core S&P Small-Cap
ETF
464287804
17872
163767
SH
SOLE
163767
0
163767
iShares Core Total Aggregate US Bond
ETF
464287226
26357
247644
SH
SOLE
247644
0
247644
iShares Credit Bond
ETF
464288620
13522
126491
SH
SOLE
126491
0
126491
iShares Dow Jones U.S. HealthCare
ETF
464288828
334
3585
SH
SOLE
300
0
3285
iShares Dow Jones US
ETF
464287846
2272
24341
SH
SOLE
24341
0
24341
iShares Dow Jones US Oil & Gas Exp
ETF
464288851
952
11569
SH
SOLE
8535
0
3034
iShares Global Financials
ETF
464287333
473
8417
SH
SOLE
8417
0
8417
iShares iBoxx $ Invst Grade Crp Bond
ETF
464287242
309
2707
SH
SOLE
0
0
2707
iShares Intermediate Credit Bd
ETF
464288638
359
3325
SH
SOLE
0
0
3325
iShares International Dev Rel Est
ETF
464288489
348
11293
SH
SOLE
11293
0
11293
iShares International Select Div
ETF
464288448
5842
153976
SH
SOLE
153976
0
153976
iShares Intm Government/Credit Bond
ETF
464288612
698
6380
SH
SOLE
6380
0
0
iShares JPMorgan USD Emerg Markets Bond
ETF
464288281
1591
14714
SH
SOLE
14714
0
14714
iShares Lehman 3-7 Yr Treasury Bond (ETF)
ETF
464288661
368
3063
SH
SOLE
1463
0
1600
iShares MBS
ETF
464288588
20409
195169
SH
SOLE
195169
0
195169
iShares Micro-Cap
ETF
464288869
2826
37616
SH
SOLE
37616
0
37616
iShares MSCI Canada
ETF
464286509
8058
276351
SH
SOLE
276351
0
276351
iShares MSCI EAFE
ETF
464287465
55749
830903
SH
SOLE
830903
0
830903
iShares MSCI EAFE Growth
ETF
464288885
21634
302658
SH
SOLE
302658
0
302658
iShares MSCI EAFE Small-Cap
ETF
464288273
10260
201265
SH
SOLE
201265
0
201265
iShares MSCI EAFE Value
ETF
464288877
24060
420635
SH
SOLE
420635
0
420635
iShares MSCI Emerging Market Min Vol Index
ETF
464286533
527
9038
SH
SOLE
0
0
9038
iShares MSCI Emerging Markets
ETF
464287234
2190
52409
SH
SOLE
8564
0
43845
iShares MSCI Japan
ETF
464286848
9807
807905
SH
SOLE
807905
0
807905
iShares MSCI Singapore
ETF
464286673
2529
192030
SH
SOLE
192030
0
192030
Ishares Nasdaq Biotechnology
ETF
464287556
240
1055
SH
SOLE
995
0
60
iShares National AMT-Free Muni Bond
ETF
464288414
7224
69636
SH
SOLE
69636
0
69636
iShares North American Natural Resources
ETF
464287374
1367
31512
SH
SOLE
31512
0
31512
iShares Russell 1000
ETF
464287622
1250
12119
SH
SOLE
12119
0
12119
iShares Russell 1000 Growth
ETF
464287614
11470
133449
SH
SOLE
133449
0
133449
iShares Russell 1000 Value
ETF
464287598
383
4064
SH
SOLE
1678
0
2386
iShares Russell 2000
ETF
464287655
39250
340236
SH
SOLE
340236
0
340236
iShares Russell 2000 Growth Index Fund
ETF
464287648
237
1750
SH
SOLE
1000
0
750
iShares Russell 3000
ETF
464287689
809
7314
SH
SOLE
3657
0
3657
iShares Russell Mid-Cap
ETF
464287499
950
6332
SH
SOLE
6332
0
6332
iShares Russell Mid-Cap Growth
ETF
464287481
812
9620
SH
SOLE
9620
0
9620
iShares Russell Mid-Cap Value
ETF
464287473
851
12944
SH
SOLE
12944
0
12944
iShares S&P 100
ETF
464287101
4915
59687
SH
SOLE
59687
0
59687
iShares S&P 500 Growth
ETF
464287309
277
2808
SH
SOLE
300
0
2508
iShares S&P Global Large-Cap 100
ETF
464287572
270
3500
SH
SOLE
700
0
2800
iShares S&P Global Utilities ETF
ETF
464288711
1226
27756
SH
SOLE
27756
0
0
iShares S&P MidCap 400 Growth
ETF
464287606
3143
20926
SH
SOLE
7041
0
13885
iShares S&P Mid-Cap 400 Value
ETF
464287705
932
8021
SH
SOLE
3396
0
4625
iShares S&P Small-Cap 600 Growth
ETF
464287887
28614
241245
SH
SOLE
241245
0
241245
iShares S&P Small-Cap 600 Value
ETF
464287879
264
2376
SH
SOLE
0
0
2376
iShares Select Dividend
ETF
464287168
7922
111033
SH
SOLE
111033
0
111033
iShares TIPS Bond
ETF
464287176
54043
491747
SH
SOLE
491747
0
491747
iShares US Energy
ETF
464287796
57204
1132977
SH
SOLE
1132977
0
1132977
iShares US Healthcare
ETF
464287762
57414
492864
SH
SOLE
492864
0
492864
iShares US Industrials
ETF
464287754
59418
586094
SH
SOLE
586094
0
586094
iShares US Pharmaceuticals
ETF
464288836
354
3000
SH
SOLE
3000
0
0
iShares US Preferred Stock
ETF
464288687
5970
162090
SH
SOLE
162090
0
162090
iShares US Technology
ETF
464287721
64334
727428
SH
SOLE
727428
0
727428
iShares US Utilities
ETF
464287697
255
2661
SH
SOLE
2661
0
2661
Istar Financial In
Common Stock
45031U101
208
14600
SH
SOLE
7800
0
6800
Jarden Corp.
Common Stock
471109108
1670
27223
SH
SOLE
26173
0
1050
Jefferies Group 3.875% Due 11-1-29
Convertible Bond
472319ag7
24804
235000
SH
SOLE
222000
0
13000
JH Preferred Income II Common
ETF
41013X106
507
28350
SH
SOLE
28350
0
28350
Johnson & Johnson
Coporate Bond
478160104
17323
189141
SH
SOLE
114527
0
74614
Jpmorgan Alerian Mlp Index Etn
ETF
46625H365
2696
58165
SH
SOLE
53599
0
4566
JPMorgan Chase & Co
Coporate Bond
46625H100
23607
403669
SH
SOLE
351191
0
52478
JPMorgan Chase Wts
Warrants
46634E114
10976
566076
SH
SOLE
281600
0
284476
JTH Holding Inc
Common Stock
46637N103
510
21000
SH
SOLE
21000
0
21000
Kbr, Inc.
Common Stock
48242W106
2911
91275
SH
SOLE
27750
0
63525
Kellogg Company
Common Stock
487836108
670
10973
SH
SOLE
4690
0
6283
KeyCorp
Common Stock
493267108
1172
87308
SH
SOLE
87308
0
87308
Kimberly-Clark Corporation
Common Stock
494368103
2324
22245
SH
SOLE
19875
0
2370
Kinder Morgan Energy Partners LP
Common Stock
494550106
11841
146801
SH
SOLE
95053
0
51748
Kinder Morgan Inc Del Wt Exp 021517
Rights
49456B119
223
54850
SH
SOLE
8000
0
46850
Kinder Morgan Mgmt LLC
Common Stock
49455U100
4736
62590
SH
SOLE
37323
0
25267
Kinder Morgan, Inc.
Common Stock
49456B101
8540
237209
SH
SOLE
126860
0
110349
Kindred Healthcare, Inc.
Common Stock
494580103
689
34879
SH
SOLE
34879
0
34879
KKR & CO L P DEL COM UNITS
Common Stock
48248m102
1619
66525
SH
SOLE
44850
0
21675
KKR Financial Holding
Common Stock
48248A306
1500
123041
SH
SOLE
95041
0
28000
KLA-Tencor Corporation
Convertible Bond
482480100
379
5873
SH
SOLE
5873
0
5873
Kohl's Corp
Convertible Bond
500255104
2385
42027
SH
SOLE
32374
0
9653
Kosmos Energy Ltd
Convertible Bond
G5315B107
701
62724
SH
SOLE
62724
0
62724
Kraft Foods Group Inc
Common Stock
50076Q106
7042
130626
SH
SOLE
68851
0
61775
Kroger Co
Common Stock
501044101
310
7854
SH
SOLE
7854
0
7854
L-3 Communications Corp
Convertible Bond
502413AW7
241
2000
SH
SOLE
2000
0
2000
Laboratory Corp. Of America
ETF
50540R409
6257
68477
SH
SOLE
36721
0
31756
Las Vegas Sands Corp
Common Stock
517834107
11699
148333
SH
SOLE
148333
0
0
Liberty Media Corp
Convertible Bond
530715AN1
211
4000
SH
SOLE
4000
0
4000
Limelight Networks, Inc.
Common Stock
53261M104
55
27993
SH
SOLE
27993
0
27993
Lincoln National Corp (Radnor, PA)
Common Stock
534187109
347
6726
SH
SOLE
6726
0
6726
LKQ Corp
Common Stock
501889208
12842
390336
SH
SOLE
390247
0
89
Lockheed Martin Corporation
Common Stock
539830109
9535
64137
SH
SOLE
34449
0
29688
Lowe's Companies Inc.
Common Stock
548661107
11081
223635
SH
SOLE
220020
0
3615
Lyondellbasell Industries NV
Common Stock
N53745100
5858
72970
SH
SOLE
46168
0
26802
Magellan Midstream Partners L.P
Common Stock
559080106
14277
225655
SH
SOLE
225655
0
225655
Magnum Hunter Resources
Common Stock
55973B102
576
78785
SH
SOLE
0
0
78785
Manulife Financial Corporation
Common Stock
56501R106
365
18520
SH
SOLE
14078
0
4442
Market Vectors Intermediate Muni ETF
ETF
57060U845
1415
64334
SH
SOLE
64334
0
64334
MarkWest Energy Partners LP
Common Stock
570759100
328
4960
SH
SOLE
3120
0
1840
Marriott International, Inc.
Common Stock
571903202
1006
20380
SH
SOLE
16363
0
4017
MasterCard Incorporated
Common Stock
57636Q104
12469
14925
SH
SOLE
2725
0
12200
Materials Select Sector SPDR
ETF
81369Y100
58091
1256827
SH
SOLE
1256827
0
1256827
Mattel, Inc.
Common Stock
577081102
1280
26901
SH
SOLE
24248
0
2653
McDermott International, Inc.
Common Stock
580037109
410
44800
SH
SOLE
6000
0
38800
McDonald's Corporation
Common Stock
580135101
5920
61007
SH
SOLE
39943
0
21064
Mead Johnson Nutrition Co.
Common Stock
582839106
374
4462
SH
SOLE
1340
0
3122
MeadWestvaco Corporation
Common Stock
583334107
384
10396
SH
SOLE
10396
0
10396
Medtronic, Inc.
Common Stock
585055106
3092
53882
SH
SOLE
26638
0
27244
Melco Crown Entertainment Ltd
Common Stock
585464100
873
22250
SH
SOLE
22250
0
22250
Memorial Production Partners LP
Common Stock
586048100
2154
98168
SH
SOLE
39068
0
59100
Merck & Co Inc
Common Stock
58933Y105
12584
251421
SH
SOLE
124882
0
126539
MetLife Inc
Coporate Bond
59156R108
18986
352108
SH
SOLE
321666
0
30442
Microsoft Corporation
Common Stock
594918104
19128
511305
SH
SOLE
445104
0
66201
Mkt Vectors Pre-Ref Muni Bond ETF
ETF
57060u738
363
14841
SH
SOLE
14841
0
0
Mondelez International Inc
Common Stock
609207105
9947
281787
SH
SOLE
116165
0
165622
Monsanto Company
Common Stock
61166W101
6718
57642
SH
SOLE
21682
0
35960
Moody's Corporation
Common Stock
615369105
204
2600
SH
SOLE
2600
0
0
Mosaic Co
Common Stock
61945C103
5873
124241
SH
SOLE
48585
0
75656
Mosaic Co.
Common Stock
61945c103
5873
124241
SH
SOLE
48585
0
75656
MSCI Inc
Common Stock
55354G100
911
20830
SH
SOLE
800
0
20030
Mylan Inc
Common Stock
628530107
360
8306
SH
SOLE
8306
0
8306
Myriad Genetics, Inc.
Common Stock
62855J104
7868
375033
SH
SOLE
375033
0
0
National Oilwell Varco, Inc.
Common Stock
637071101
2390
30056
SH
SOLE
17368
0
12688
NBT BANCORP INC COM
Common Stock
628778102
840
32422
SH
SOLE
0
0
32422
NetApp, Inc.
Common Stock
64110D104
5150
125171
SH
SOLE
124771
0
400
NetScout Systems Inc
Common Stock
64115T104
896
30266
SH
SOLE
4800
0
25466
Netsuite Inc.
Common Stock
64118Q107
1375
13350
SH
SOLE
5500
0
7850
New Gold, Inc.
Common Stock
644535106
60
11377
SH
SOLE
11377
0
11377
New Residential Investment Corp
Common Stock
64828T102
241
36092
SH
SOLE
36092
0
36092
Newfield Exploration Company
Common Stock
651290108
421
17093
SH
SOLE
17093
0
17093
Newmont Mining Corp
Convertible Bond
651639AJ5
307
3000
SH
SOLE
3000
0
3000
NICE-Systems, Ltd.
Common Stock
653656108
1061
25898
SH
SOLE
25898
0
25898
Nike, Inc.
Common Stock
654106103
7136
90739
SH
SOLE
79732
0
11007
Nippon Telegraph & Telephone Corp
Common Stock
654624105
693
25633
SH
SOLE
25633
0
25633
Noble Corporation PLC
Common Stock
G65431101
1642
43811
SH
SOLE
6305
0
37506
Noble Corporation PLC
Common Stock
g65431101
1642
43811
SH
SOLE
6305
0
37506
Norfolk Southern Corporation
Common Stock
655844108
317
3418
SH
SOLE
401
0
3017
Northern Trust Corp
Common Stock
665859104
2250
36351
SH
SOLE
10818
0
25533
Northstar Realty Finance Corporation
Common Stock
66704R100
293
21820
SH
SOLE
21820
0
21820
Novartis AG
Common Stock
66987V109
1871
23280
SH
SOLE
19520
0
3760
Novo Nordisk A/S
Common Stock
670100205
2519
13635
SH
SOLE
12550
0
1085
Nucor Corp.
Common Stock
670346105
282
5286
SH
SOLE
3750
0
1536
Nuvasive Inc
Convertible Bond
670704AC9
218
2000
SH
SOLE
2000
0
2000
Nuveen Dividend Advantage Common
ETF
67066V101
390
30993
SH
SOLE
30993
0
30993
Nuveen Enhanced Muni Value Common
ETF
67074M101
467
36000
SH
SOLE
36000
0
36000
Nuveen Floating Rate Income Fund
ETF
67072T108
2082
174628
SH
SOLE
174628
0
0
Nuveen Ga Div Adv Mun Fd 2
ETF
67072B107
750
63925
SH
SOLE
63925
0
63925
Nuveen Insd Divid Advantage
ETF
67071L106
182
14500
SH
SOLE
14500
0
14500
Nuveen Performance Plus Muni Common
ETF
67062P108
575
42500
SH
SOLE
42500
0
42500
Nuveen Premium Income Muni 2 Common
ETF
67063W102
330
26315
SH
SOLE
26315
0
26315
Nuveen Premium Income Muni 4 Common
ETF
6706K4105
171
14087
SH
SOLE
14087
0
14087
Nuveen Select TaxFree Income 2 Common
ETF
67063C106
305
24700
SH
SOLE
24700
0
24700
Nuveen Select TaxFree Income Common
ETF
67062F100
182
14102
SH
SOLE
14102
0
14102
Occidental Petroleum Corporation
Common Stock
674599105
7008
73694
SH
SOLE
36505
0
37189
Olin Corporation
Common Stock
680665205
1704
59076
SH
SOLE
59076
0
59076
Omnicare Inc
Common Stock
681904108
369
6119
SH
SOLE
6119
0
6119
Omnicom Group, Inc.
Common Stock
681919106
259
3482
SH
SOLE
3482
0
0
Oracle Corporation
Common Stock
68389X105
5803
151682
SH
SOLE
75186
0
76496
Paccar Inc.
Common Stock
693718108
2117
35785
SH
SOLE
15764
0
20021
Pacific Ethanol, Inc.
Common Stock
69423U305
140
27500
SH
SOLE
27500
0
27500
Panera Bread Company, Inc.
Common Stock
69840W108
1220
6905
SH
SOLE
5405
0
1500
Parker Hannifin Corporation
Common Stock
701094104
7065
54922
SH
SOLE
45377
0
9545
Partner Communications Company, Ltd.
Common Stock
70211M109
122
13044
SH
SOLE
13044
0
13044
Paychex, Inc.
Common Stock
704326107
2914
64009
SH
SOLE
52986
0
11023
Peabody Energy 4.75% (subordinated)
Convertible Bond
704549ag9
5565
70000
SH
SOLE
60000
0
10000
PepsiCo Inc
Coporate Bond
713448108
32029
386172
SH
SOLE
285726
0
100446
Pfizer Inc
Common Stock
717081103
10179
332337
SH
SOLE
191193
0
141144
PG&E Corp
Preferred Stock
69331C108
207
5141
SH
SOLE
5141
0
5141
Philip Morris International, Inc.
Common Stock
718172109
8141
93437
SH
SOLE
58777
0
34660
Phillips 66
Common Stock
718546104
260
3375
SH
SOLE
390
0
2985
Phoenix New Media Ltd
Common Stock
71910C103
374
38876
SH
SOLE
38876
0
38876
Piedmont Office Realty Trust, Inc.
Common Stock
720190206
253
15327
SH
SOLE
15327
0
15327
PIMCO Enhanced Short Maturity ETF
ETF
72201R833
28741
283664
SH
SOLE
283664
0
283664
PIMCO High Income Fund Common
ETF
722014107
222
19036
SH
SOLE
19036
0
19036
PIMCO Municipal Income II Common
ETF
72200W106
117
11008
SH
SOLE
11008
0
11008
Pioneer Natural Resources Company
Common Stock
723787107
608
3301
SH
SOLE
3301
0
3301
Plains All American Pipeline LP
Common Stock
726503105
13896
268426
SH
SOLE
186400
0
82026
Platinum Underwriters Holdings, Ltd.
Common Stock
G7127P100
770
12566
SH
SOLE
12566
0
12566
Pmc Commercial Trus
Common Stock
693434102
120
13900
SH
SOLE
10000
0
3900
PNC Financial Services Group Inc
Common Stock
693475105
612
7884
SH
SOLE
2250
0
5634
PNC Financial Services Warrants 12/31/18
Warrants
693475121
791
44550
SH
SOLE
13100
0
31450
Polaris Industries, Inc.
Common Stock
731068102
222
1526
SH
SOLE
1526
0
0
Potlatch Corp
Common Stock
737630103
649
15553
SH
SOLE
15553
0
0
Power Solutions International Inc
Common Stock
73933G202
214
2850
SH
SOLE
2850
0
2850
Powershares DB Commodity Index
ETF
73935S105
380
14798
SH
SOLE
14014
0
784
PowerShares Emerging Mkts Sovereign Debt
ETF
73936T573
6827
252869
SH
SOLE
252869
0
252869
PowerShares QQQ
ETF
73935A104
827
9404
SH
SOLE
7150
0
2254
Powershares Senior Loan Port
ETF
73936Q769
821
32994
SH
SOLE
32994
0
32994
PowerShares VRDO Tax-Free Weekly
ETF
73936T433
1349
54000
SH
SOLE
54000
0
54000
Praxair, Inc.
Common Stock
74005P104
5950
45757
SH
SOLE
18897
0
26860
Precision Castparts Corp.
Common Stock
740189105
296
1100
SH
SOLE
1100
0
0
Procter & Gamble Co
Coporate Bond
742718109
36594
449504
SH
SOLE
324631
0
124873
Qualcomm, Inc.
Common Stock
747525103
26655
358986
SH
SOLE
217024
0
141962
Questcor Pharmaceuticals, Inc.
Common Stock
74835Y101
8353
153413
SH
SOLE
153345
0
68
Radiant Logistics, Inc.
Common Stock
75025X100
306
114000
SH
SOLE
114000
0
114000
Rait Financial Trust
Common Stock
749227609
167
18638
SH
SOLE
18638
0
18638
Ralph Lauren Corp
Common Stock
751212101
3752
21247
SH
SOLE
21247
0
21247
Rayonier, Inc.
Common Stock
754907103
1600
38000
SH
SOLE
24400
0
13600
Raytheon Company
Common Stock
755111507
720
7937
SH
SOLE
1162
0
6775
Realty Income Corporation
Common Stock
756109104
5932
158904
SH
SOLE
87364
0
71540
Regions Financial Corporation
Common Stock
7591EP100
117
11832
SH
SOLE
11832
0
11832
Research Frontiers
Common Stock
760911107
191
33088
SH
SOLE
33088
0
33088
Retail Properties of American Inc
Common Stock
76131V202
783
61519
SH
SOLE
61519
0
61519
Rockwell Collins, Inc.
Common Stock
774341101
332
4496
SH
SOLE
2863
0
1633
Rogers Communications Inc-B
Common Stock
775109200
1041
23015
SH
SOLE
23015
0
0
Ross Stores, Inc.
Common Stock
778296103
233
3107
SH
SOLE
3107
0
3107
Rowan Companies PLC
Common Stock
G7665A101
413
11670
SH
SOLE
11670
0
11670
Royal Dutch Shell PLC
Common Stock
780259206
16885
236919
SH
SOLE
236919
0
236919
Rpm International, Inc.
Common Stock
749685103
953
22950
SH
SOLE
21950
0
1000
Sabine Royalty Trust
Common Stock
785688102
1073
21219
SH
SOLE
21219
0
21219
Safeway Inc.
Common Stock
786514208
652
20013
SH
SOLE
20013
0
20013
San Juan Basin Royalty
Common Stock
798241105
392
23400
SH
SOLE
9000
0
14400
Sangamo BioSciences, Inc.
Common Stock
800677106
277
19944
SH
SOLE
19944
0
19944
Sanofi
Common Stock
80105N105
1140
21259
SH
SOLE
21259
0
0
Schlumberger NV
Common Stock
806857108
19339
214616
SH
SOLE
184605
0
30011
Schwab Emerging Markets Equity ETF
ETF
808524706
460
18698
SH
SOLE
15120
0
3578
Schwab Intermediate-Term U.S. Trsy ETF
ETF
808524854
526
10097
SH
SOLE
10097
0
10097
Schwab International Equity ETF
ETF
808524805
475
15065
SH
SOLE
12627
0
2438
Schwab U.S. Broad Market ETF
ETF
808524102
89279
1983538
SH
SOLE
1983538
0
1983538
Schwab U.S. Dividend Equity ETF
ETF
808524797
3502
95516
SH
SOLE
95516
0
95516
Schwab U.S. Large-Cap ETF
ETF
808524201
516
11717
SH
SOLE
11717
0
11717
Schwab U.S. Large-Cap Growth ETF
ETF
808524300
7988
176567
SH
SOLE
176567
0
176567
Schwab U.S. Large-Cap Value ETF
ETF
808524409
8333
204579
SH
SOLE
204579
0
204579
Schwab U.S. Mid-Cap ETF
ETF
808524508
5134
137120
SH
SOLE
137120
0
137120
Schwab U.S. Small-Cap ETF
ETF
808524607
3712
70711
SH
SOLE
70711
0
70711
Seadrill Ltd
Common Stock
G7945E105
394
9595
SH
SOLE
9595
0
9595
Seattle Genetics, Inc.
Common Stock
812578102
330
8265
SH
SOLE
8265
0
8265
Sherwin-Williams Company
Common Stock
824348106
262
1429
SH
SOLE
1429
0
1429
Siemens AG
Common Stock
826197501
1802
13009
SH
SOLE
10695
0
2314
Simon Property Group Inc
Common Stock
828806109
560
3678
SH
SOLE
3055
0
623
SK Telecom Co., Ltd.
Common Stock
78440P108
514
20866
SH
SOLE
20866
0
20866
Skilled Healthcare Group, Inc.
Common Stock
83066R107
3200
665295
SH
SOLE
665295
0
665295
SLM Corp
Common Stock
78442P106
3401
129425
SH
SOLE
129425
0
129425
Solar Capital Ltd.
Common Stock
83413U100
1129
50068
SH
SOLE
50068
0
50068
SONIC CORP COM
Common Stock
835451105
202
10000
SH
SOLE
10000
0
0
Sonoco Products Company
Common Stock
835495102
732
17553
SH
SOLE
17553
0
0
Sothebys
Common Stock
835898107
551
10350
SH
SOLE
0
0
10350
Southern Co
Common Stock
842587107
1554
37809
SH
SOLE
29836
0
7973
SPDR Barclays 1-3 Month T-Bill
ETF
78464A680
2592
56629
SH
SOLE
56629
0
56629
SPDR Barclays High Yield Bond
ETF
78464A417
951
23450
SH
SOLE
22118
0
1332
SPDR Dow Jones Industrial Average
ETF
78467X109
715
4321
SH
SOLE
3321
0
1000
SPDR Dow Jones Intl Real Estate
ETF
78463X863
1029
24982
SH
SOLE
24982
0
0
SPDR EURO STOXX 50
ETF
78463X202
321
7600
SH
SOLE
7600
0
0
SPDR Gold Shares
ETF
78463V107
621
5348
SH
SOLE
2847
0
2501
SPDR Kbw Regional Banking (ETF)
ETF
78464A698
1068
26300
SH
SOLE
16400
0
9900
SPDR Nuveen Barclays Capital Muni Bond
ETF
78464A458
4104
182000
SH
SOLE
182000
0
182000
SPDR Nuveen Barclays Capital S/T Muni Bd
ETF
78464A425
346
14237
SH
SOLE
437
0
13800
SPDR S&P 500
ETF
78462F103
11419
61826
SH
SOLE
59740
0
2086
SPDR S&P Dividend ETF
ETF
78464A763
20300
279542
SH
SOLE
279084
0
458
SPDR S&P Homebuilders (ETF)
Common Stock
78464A888
263
7900
SH
SOLE
6600
0
1300
SPDR S&P International Dividend
ETF
78463X772
1820
38347
SH
SOLE
38347
0
0
SPDR S&P International Small Cap
ETF
78463X871
571
17017
SH
SOLE
17017
0
0
SPDR S&P MidCap 400
ETF
78467Y107
3355
13739
SH
SOLE
12598
0
1141
St Jude Medical, Inc.
Common Stock
790849103
12546
202515
SH
SOLE
202515
0
202515
Stanley Black & Decker Inc
Common Stock
854502101
1167
14465
SH
SOLE
11473
0
2992
Starbucks Corporation
Common Stock
855244109
18708
238650
SH
SOLE
179902
0
58748
Stericycle, Inc.
Common Stock
858912108
7733
66562
SH
SOLE
7084
0
59478
STONECASTLE FINL CORP COM
Common Stock
861780104
5145
209500
SH
SOLE
134000
0
75500
Stryker Corporation
Common Stock
863667101
519
6912
SH
SOLE
1612
0
5300
Suburban Propane Partners LP
Common Stock
864482104
480
10232
SH
SOLE
9232
0
1000
Sumitomo Mitsui Financial Group Inc
Common Stock
86562M209
832
79336
SH
SOLE
79336
0
79336
Suncor Energy Inc
Common Stock
867224107
1783
50882
SH
SOLE
50882
0
50882
Sunoco Logistics Partners LP
Common Stock
86764L108
1917
25400
SH
SOLE
22000
0
3400
Sunpower Corp
Convertible Bond
867652AE9
842
6000
SH
SOLE
6000
0
6000
Synergetics USA, Inc.
Common Stock
87160G107
501
138460
SH
SOLE
138460
0
138460
T. Rowe Price Group
Common Stock
74144T108
1607
19187
SH
SOLE
3844
0
15343
Target Corp
Coporate Bond
87612E106
10053
158894
SH
SOLE
149431
0
9463
Taubman Centers, Inc.
Common Stock
876664103
229
3578
SH
SOLE
3578
0
3578
TCW Strategic Income Common
ETF
872340104
191
35858
SH
SOLE
35858
0
35858
TE Connectivity Ltd
Common Stock
H84989104
344
6250
SH
SOLE
6250
0
0
Technology Select Sector SPDR
ETF
81369Y803
903
25253
SH
SOLE
23954
0
1299
Terex Corp
Common Stock
880779103
667
15880
SH
SOLE
15880
0
15880
Terex Corp New
Convertible Bond
880779AV5
257
1000
SH
SOLE
1000
0
1000
Tesoro Logistics LP
Common Stock
88160T107
262
5000
SH
SOLE
5000
0
5000
Teva Pharmaceutical Fin Llc
Convertible Bond
88163VAE9
315
3000
SH
SOLE
3000
0
3000
Teva Pharmaceutical Industries Ltd
Common Stock
881624209
272
6788
SH
SOLE
850
0
5938
The Blackstone Group
Common Stock
09253u108
3971
126075
SH
SOLE
76800
0
49275
The Whitewave Foods Company
Common Stock
966244105
3410
148642
SH
SOLE
148642
0
148642
Thermo Fisher Scientific Inc
Common Stock
883556102
12798
114933
SH
SOLE
54169
0
60764
Thomson Reuters Corporation
Common Stock
884903105
2441
64538
SH
SOLE
60119
0
4419
Thor Industries, Inc.
Common Stock
885160101
388
7027
SH
SOLE
7027
0
7027
Tidewater, Inc.
Common Stock
886423102
369
6222
SH
SOLE
6222
0
6222
Time Warner Inc
Common Stock
887317303
910
13048
SH
SOLE
2198
0
10850
Timken Company
Common Stock
887389104
372
6758
SH
SOLE
6758
0
6758
Tortoise Energy Infrastructure Common
ETF
89147L100
1061
22249
SH
SOLE
22249
0
22249
Towers Watson & Co.
Common Stock
891894107
1484
11630
SH
SOLE
11630
0
11630
Transocean Ltd.
Common Stock
H8817H100
247
4997
SH
SOLE
500
0
4497
Travelers Companies, Inc.
Common Stock
89417E109
1790
19774
SH
SOLE
19774
0
19774
Trimble Navigation Ltd.
Common Stock
896239100
2959
85267
SH
SOLE
14964
0
70303
Trinity Biotech PLC ADR
Common Stock
896438306
3688
146700
SH
SOLE
54950
0
91750
Trinity Industries, Inc.
Common Stock
896522109
559
10259
SH
SOLE
10259
0
10259
TriState Capital Holdings Inc
Common Stock
89678F100
325
27375
SH
SOLE
27375
0
27375
Triumph Group, Inc.
Common Stock
896818101
478
6279
SH
SOLE
6279
0
6279
Two Harbors Investment Corp
Common Stock
90187B101
139
14957
SH
SOLE
14957
0
14957
Tyco International Ltd
Common Stock
H89128104
268
6541
SH
SOLE
6250
0
291
Tyler Technologies In
Common Stock
902252105
4753
46543
SH
SOLE
37393
0
9150
U.S. Bancorp
Common Stock
902973304
746
18472
SH
SOLE
12387
0
6085
UBS AG
Common Stock
H89231338
736
38250
SH
SOLE
38250
0
38250
Unilever NV
Common Stock
904784709
314
7802
SH
SOLE
7802
0
7802
Unilever PLC
Common Stock
904767704
2495
60560
SH
SOLE
42987
0
17573
Union Pacific Corp
Common Stock
907818108
1152
6859
SH
SOLE
4458
0
2401
United Bankshares Inc.
Common Stock
909907107
7765
246905
SH
SOLE
148730
0
98175
United Parcel Service Inc (UPS)
Common Stock
911312106
16331
155415
SH
SOLE
147686
0
7729
United Technologies 7.5% Conv Pfd
Preferred Stock
913017117
1872
28600
SH
SOLE
20100
0
8500
United Technologies Corp
Common Stock
913017109
11672
102566
SH
SOLE
102566
0
102566
UnitedHealth Group Inc
Coporate Bond
91324P102
2503
33238
SH
SOLE
12700
0
20538
URS Corporation
Common Stock
903236107
6112
115339
SH
SOLE
115339
0
115339
Valmont Industries Inc
Common Stock
920253101
260
1741
SH
SOLE
700
0
1041
Vanguard Dividend Appreciation ETF
ETF
921908844
5617
74653
SH
SOLE
74653
0
74653
Vanguard Energy ETF
ETF
92204A306
3229
25540
SH
SOLE
25540
0
25540
Vanguard FTSE All-World ex-US ETF
ETF
922042775
2257
44497
SH
SOLE
44497
0
0
Vanguard FTSE Developed Markets ETF
ETF
921943858
247
5920
SH
SOLE
5920
0
5920
Vanguard FTSE Emerging Markets ETF
ETF
922042858
14813
360063
SH
SOLE
327298
0
32765
Vanguard FTSE Pacific ETF
ETF
922042866
494
8052
SH
SOLE
8052
0
8052
Vanguard Growth ETF
ETF
922908736
1711
18387
SH
SOLE
18387
0
18387
Vanguard Health Care ETF
ETF
92204A504
610
6033
SH
SOLE
6033
0
6033
Vanguard Index Fds S&P 500 ETF
ETF
922908363
1508
8915
SH
SOLE
1400
0
7515
Vanguard Information Technology ETF
ETF
92204A702
358
4000
SH
SOLE
3000
0
1000
Vanguard Interm-Tm Corp Bd Idx ETF
ETF
92206C870
520
6290
SH
SOLE
6290
0
6290
Vanguard Materials ETF
ETF
92204A801
2672
25875
SH
SOLE
25875
0
25875
Vanguard Mid-Cap ETF
ETF
922908629
4467
40600
SH
SOLE
40600
0
40600
Vanguard REIT Index ETF
ETF
922908553
6458
100029
SH
SOLE
100029
0
100029
Vanguard Russell 1000 Growth Index ETF
ETF
92206C680
16438
186481
SH
SOLE
186481
0
186481
Vanguard Russell 1000 Value Index ETF
ETF
92206C714
5500
66811
SH
SOLE
66811
0
66811
Vanguard S&P Small-Cap 600 Index ETF
ETF
921932828
639
6498
SH
SOLE
6498
0
6498
Vanguard Short-Term Bond ETF
ETF
921937827
4291
53679
SH
SOLE
53679
0
53679
Vanguard Shrt-Term Corp Bond ETF
ETF
92206C409
2623
32878
SH
SOLE
26186
0
6692
Vanguard Small Cap ETF
ETF
922908751
3874
35237
SH
SOLE
35237
0
35237
Vanguard Small Cap Growth ETF
ETF
922908595
3526
28828
SH
SOLE
28828
0
28828
Vanguard Small Cap Value ETF
ETF
922908611
269
2765
SH
SOLE
0
0
2765
Vanguard Telecom Services ETF
ETF
92204A884
2842
33972
SH
SOLE
33972
0
33972
Vanguard Total Bond Market ETF
ETF
921937835
1016
12694
SH
SOLE
7177
0
5517
Vanguard Total Stock Market ETF
ETF
922908769
4621
48176
SH
SOLE
19657
0
28519
Vanguard Total World Stock Index ETF
ETF
922042742
397
6688
SH
SOLE
6688
0
6688
Verizon Communications Inc
Coporate Bond
92343V104
2748
55928
SH
SOLE
30387
0
25541
Viacom, Inc.
Common Stock
92553P201
368
4214
SH
SOLE
4214
0
4214
Visa, Inc.
Common Stock
92826C839
19379
87024
SH
SOLE
84314
0
2710
Vodafone Group PLC
Common Stock
92857W209
18742
476782
SH
SOLE
424289
0
52493
Vulcan Materials Company
Common Stock
929160109
521
8766
SH
SOLE
8766
0
8766
W. P. Carey Inc
Common Stock
92936U109
442
7200
SH
SOLE
7200
0
7200
W.W. Grainger, Inc.
Common Stock
384802104
1892
7408
SH
SOLE
3305
0
4103
Walgreen Company
Common Stock
931422109
3509
61094
SH
SOLE
16772
0
44322
Wal-Mart Stores Inc
Common Stock
931142103
2635
33492
SH
SOLE
33492
0
33492
Walt Disney Co
Common Stock
254687106
3932
51466
SH
SOLE
25654
0
25812
Waste Management Inc
Common Stock
94106L109
2560
57053
SH
SOLE
48980
0
8073
Weingarten Realty Investors
Common Stock
948741103
414
15089
SH
SOLE
15089
0
15089
WellPoint Inc
Coporate Bond
94973V107
395
4280
SH
SOLE
4280
0
4280
Wells Fargo & Co
Preferred Stock
949746101
6447
142009
SH
SOLE
142009
0
142009
Wells Fargo & Co Warrants 10/28/18
Warrants
949746119
10197
641345
SH
SOLE
348650
0
292695
Wells Fargo Pfd Conv 7.50% Ser
Convertible Bond
949746804
833
750
SH
SOLE
750
0
750
Wesco International, Inc.
Common Stock
95082P105
487
5351
SH
SOLE
5351
0
5351
Western Union Company
Common Stock
959802109
2507
145361
SH
SOLE
145361
0
145361
Westport Innovations
Common Stock
960908309
1393
71030
SH
SOLE
71030
0
71030
Weyerhaeuser 6.375% CVPD Series A
Preferred Stock
962166872
10305
183890
SH
SOLE
183890
0
183890
Weyerhaeuser Co
Coporate Bond
962166104
735
23290
SH
SOLE
23290
0
23290
Whirlpool Corporation
Common Stock
963320106
336
2141
SH
SOLE
2141
0
2141
Whole Foods Market, Inc.
Common Stock
966837106
2814
48665
SH
SOLE
17390
0
31275
Williams Company
Common Stock
969457100
1578
40922
SH
SOLE
40922
0
40922
Williams Partners LP
Common Stock
96950F104
1628
32000
SH
SOLE
20000
0
12000
WisdomTree Earnings 500
ETF
97717W588
501
7776
SH
SOLE
7776
0
7776
WisdomTree Emerging Markets Equity Inc
ETF
97717W315
3184
62387
SH
SOLE
48298
0
14089
WisdomTree Emerging Mkts SmallCap Div
ETF
97717W281
266
5775
SH
SOLE
0
0
5775
WisdomTree Equity Income
ETF
97717W208
537
9751
SH
SOLE
9751
0
0
WisdomTree International LargeCap Div
ETF
97717W794
2010
38683
SH
SOLE
38683
0
38683
WisdomTree SmallCap Dividend
ETF
97717W604
4275
63056
SH
SOLE
63056
0
63056
WisdomTree SmallCap Earnings
ETF
97717W562
361
4427
SH
SOLE
4427
0
4427
Wyndham Worldwide Corporation
Common Stock
98310W108
201
2721
SH
SOLE
2721
0
2721
Wynn Resorts Ltd
Common Stock
983134107
266
1372
SH
SOLE
1372
0
1372
Xerox Corporation
Common Stock
984121103
416
34209
SH
SOLE
34209
0
34209
Xilinx Inc Sr Nt 2.625% 06/15/17 B/E Dtd 06/09/10
Convertible Bond
983919AF8
323
2000
SH
SOLE
2000
0
2000
XL Group PLC
Common Stock
G98290102
644
20236
SH
SOLE
20236
0
20236
XPO Logistics Inc
Common Stock
983793100
3040
115628
SH
SOLE
115628
0
115628
Xylem Inc.
Common Stock
98419M100
1566
45255
SH
SOLE
8075
0
37180
Yahoo! Inc
Common Stock
984332106
425
10510
SH
SOLE
10510
0
10510
Yum Brands Inc
Common Stock
988498101
14008
185268
SH
SOLE
185268
0
185268
Zimmer Holdings, Inc.
Common Stock
98956P102
2304
24723
SH
SOLE
19490
0
5233