0001062993-14-005850.txt : 20141008
0001062993-14-005850.hdr.sgml : 20141008
20141008123608
ACCESSION NUMBER: 0001062993-14-005850
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141008
DATE AS OF CHANGE: 20141008
EFFECTIVENESS DATE: 20141008
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SignalPoint Asset Management, LLC
CENTRAL INDEX KEY: 0001566414
IRS NUMBER: 262727476
STATE OF INCORPORATION: MO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15113
FILM NUMBER: 141147432
BUSINESS ADDRESS:
STREET 1: 1201 E. WALNUT STREET
CITY: SPRINGFIELD
STATE: MO
ZIP: 65802
BUSINESS PHONE: 417-869-9980
MAIL ADDRESS:
STREET 1: 1201 E. WALNUT STREET
CITY: SPRINGFIELD
STATE: MO
ZIP: 65802
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001566414
XXXXXXXX
09-30-2014
09-30-2014
SignalPoint Asset Management, LLC
1201 E. WALNUT STREET
SPRINGFIELD
MO
65802
13F HOLDINGS REPORT
028-15113
N
Michael Orzel
Chief Operations Officer
417-869-9981
Michael Orzel
Springfield
MO
10-7-2014
0
160
206690
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
DUFF & PHELPS GLB UTL INC FD
COM
26433C105
346
16282
SH
SOLE
0
0
16282
FIRST TR EXCHANGE TRADED FD
CONSUMR DISCRE
33734X101
3019
93160
SH
SOLE
18657
0
74503
FIRST TR EXCHANGE TRADED FD
CONSUMR STAPLE
33734X119
2239
57302
SH
SOLE
18078
0
39224
FIRST TR EXCH TRD ALPHA FD I
EMERG MKT ALPH
33737J182
593
24958
SH
SOLE
23774
0
1184
FIRST TR EXCHANGE TRADED FD
ENERGY ALPHADX
33734X127
3220
124582
SH
SOLE
23749
0
100833
FIRST TR EXCH TRD ALPHA FD I
EUROPE ALPHA
33737J117
690
22442
SH
SOLE
21745
0
697
FIRST TR EXCHANGE TRADED FD
FINLS ALPHADEX
33734X135
2069
94690
SH
SOLE
27891
0
66799
FIRST TR EXCHANGE TRADED FD
HLTH CARE ALPH
33734X143
3125
56012
SH
SOLE
13010
0
43002
FIRST TR EXCHANGE TRADED FD
INDLS PROD DUR
33734X150
2972
101197
SH
SOLE
22411
0
78786
FIRST TR EXCH TRD ALPHA FD I
JAPAN ALPHADEX
33737J158
737
15791
SH
SOLE
15458
0
333
FIRST TR EXCH TRD ALPHA FD I
LATIN AMER ALP
33737J125
569
25658
SH
SOLE
24498
0
1160
FIRST TR EXCHANGE TRADED FD
MATERIALS ALPH
33734X168
3080
95904
SH
SOLE
17721
0
78183
FIRST TR EXCHANGE TRADED FD
TECH ALPHADEX
33734X176
2248
69334
SH
SOLE
20582
0
48752
FIRST TR EXCHANGE TRADED FD
UTILITIES ALPH
33734X184
2448
108156
SH
SOLE
25986
0
82170
FIRST TR EXCHANGE TRADED FD
NO AMER ENERGY
33738D101
559
20590
SH
SOLE
0
0
20590
FIRST TR VALUE LINE 100 ETF
COM SHS
33735G107
902
46596
SH
SOLE
0
0
46596
ISHARES TR
1-3 YR TR BD ETF
464287457
4207
49783
SH
SOLE
0
0
49783
ISHARES TR
20+ YR TR BD ETF
464287432
2465
21198
SH
SOLE
0
0
21198
ISHARES TR
7-10 Y TR BD ETF
464287440
2459
23732
SH
SOLE
0
0
23732
ISHARES
SHRT TRS BD ETF
464288679
1370
12426
SH
SOLE
0
0
12426
ISHARES TR
TIPS BD ETF
464287176
2732
24380
SH
SOLE
0
0
24380
ISHARES GOLD TRUST
ISHARES
464285105
2132
182212
SH
SOLE
0
0
182212
ISHARES TR
IBOXX INV CP ETF
464287242
3024
25577
SH
SOLE
0
0
25577
ISHARES
IBOXX HI YD ETF
464288513
4189
45552
SH
SOLE
0
0
45552
ISHARES
EMU ETF
464286608
2724
70756
SH
SOLE
0
0
70756
ISHARES
MSCI JAPAN ETF
464286848
2575
218748
SH
SOLE
0
0
218748
ISHARES
MSCI PAC JP ETF
464286665
3727
80909
SH
SOLE
0
0
80909
ISHARES TR
LATN AMER 40 ETF
464287390
2312
62679
SH
SOLE
0
0
62679
ISHARES TR
0-5YR INVT GR CP
46434V100
501
9975
SH
SOLE
0
0
9975
POWERSHARES ETF TRUST II
SENIOR LN PORT
73936Q769
231
9499
SH
SOLE
0
0
9499
POWERSHARES ETF TRUST
BASIC MAT SECT
73935X427
4504
81489
SH
SOLE
0
0
81489
POWERSHARES ETF TRUST
DYN BIOT & GEN
73935X856
2924
63265
SH
SOLE
0
0
63265
POWERSHARES ETF TRUST
CON STAPLE SEC
73935X393
2845
60282
SH
SOLE
0
0
60282
POWERSHARES ETF TRUST
ENERGY SEC POR
73935X385
5351
92379
SH
SOLE
0
0
92379
POWERSHARES ETF TRUST
FINL SECT PORT
73935X377
2886
101339
SH
SOLE
0
0
101339
POWERSHARES ETF TRUST
HLTHCR SEC POR
73935X351
3792
76212
SH
SOLE
0
0
76212
POWERSHARES ETF TRUST
INDL SECT PORT
73935X369
3184
69538
SH
SOLE
0
0
69538
POWERSHARES ETF TRUST
TECH SECT PORT
73935X344
2985
86056
SH
SOLE
0
0
86056
POWERSHARES ETF TRUST
DYN UTIL PORTF
73935X591
3598
163814
SH
SOLE
0
0
163814
POWERSHARES ETF TRUST
FINL PFD PTFL
73935X229
1982
110072
SH
SOLE
0
0
110072
POWERSHARES ETF TRUST
GBL LSTD PVT EQT
73935X195
2316
208620
SH
SOLE
0
0
208620
POWERSHARES GLOBAL ETF TRUST
AGG PFD PORT
73936T565
811
56109
SH
SOLE
0
0
56109
SCHWAB STRATEGIC TR
US TIPS ETF
808524870
358
6599
SH
SOLE
0
0
6599
SPDR SERIES TRUST
BRC HGH YLD BD
78464A417
848
21106
SH
SOLE
0
0
21106
SPDR SERIES TRUST
BRC CNV SECS ETF
78464A359
242
4871
SH
SOLE
0
0
4871
SPDR S&P 500 ETF TR
TR UNIT
78462F103
219
1112
SH
SOLE
0
0
1112
SPDR GOLD TRUST
GOLD SHS
78463V107
330
2843
SH
SOLE
0
0
2843
SPDR SERIES TRUST
WELLS FG PFD ETF
78464A292
354
8138
SH
SOLE
0
0
8138
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
2547
30225
SH
SOLE
0
0
30225
VANGUARD BD INDEX FD INC
LONG TERM BOND
921937793
2464
27307
SH
SOLE
0
0
27307
VANGUARD INDEX FDS
REIT ETF
922908553
4926
68558
SH
SOLE
0
0
68558
WISDOMTREE TR
DEFA EQT INC ETF
97717W802
250
5490
SH
SOLE
0
0
5490
WISDOMTREE TR
EMERG MKTS ETF
97717W315
366
7650
SH
SOLE
0
0
7650
WISDOMTREE TR
GLB EX US RL EST
97717W331
887
31332
SH
SOLE
0
0
31332
WISDOMTREE TR
INTL SMCAP DIV
97717W760
362
6125
SH
SOLE
0
0
6125
WISDOMTREE TR
MIDCAP DIVI FD
97717W505
311
3972
SH
SOLE
0
0
3972
WISDOMTREE TR
SMALLCAP DIVID
97717W604
278
4285
SH
SOLE
0
0
4285
3M CO
COM
88579Y101
520
3669
SH
SOLE
0
0
3669
ABBOTT LABS
COM
002824100
293
7037
SH
SOLE
0
0
7037
ABBVIE INC
COM
00287Y109
446
7716
SH
SOLE
0
0
7716
ALPS ETF TR
ALERIAN MLP
00162Q866
2390
124672
SH
SOLE
0
0
124672
ALTRIA GROUP INC
COM
02209S103
806
17541
SH
SOLE
0
0
17541
AMAZON COM INC
COM
023135106
253
785
SH
SOLE
0
0
785
AMERICAN EXPRESS CO
COM
025816109
309
3527
SH
SOLE
0
0
3527
APPLE INC
COM
037833100
5522
54811
SH
SOLE
0
0
54811
AT&T INC
COM
00206R102
1987
56391
SH
SOLE
0
0
56391
BAIDU INC
SPON ADR REP A
056752108
1563
7164
SH
SOLE
0
0
7164
BANK AMER CORP
COM
060505104
851
49920
SH
SOLE
0
0
49920
BAXTER INTL INC
COM
071813109
334
4651
SH
SOLE
0
0
4651
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
555
4020
SH
SOLE
0
0
4020
BLACKROCK BUILD AMER BD TR
SHS
09248X100
495
23568
SH
SOLE
0
0
23568
BOEING CO
COM
097023105
336
2638
SH
SOLE
0
0
2638
BP PLC
SPONSORED ADR
055622104
337
7679
SH
SOLE
0
0
7679
BRISTOL MYERS SQUIBB CO
COM
110122108
334
6529
SH
SOLE
0
0
6529
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
290
3640
SH
SOLE
0
0
3640
CABELAS INC
COM
126804301
468
7938
SH
SOLE
0
0
7938
CATERPILLAR INC DEL
COM
149123101
427
4308
SH
SOLE
0
0
4308
CHEVRON CORP NEW
COM
166764100
1379
11555
SH
SOLE
0
0
11555
CIMAREX ENERGY CO
COM
171798101
306
2417
SH
SOLE
0
0
2417
CISCO SYS INC
COM
17275R102
225
8948
SH
SOLE
0
0
8948
COCA COLA CO
COM
191216100
387
9066
SH
SOLE
0
0
9066
CONOCOPHILLIPS
COM
20825C104
1326
17323
SH
SOLE
0
0
17323
CORNING INC
COM
219350105
209
10831
SH
SOLE
0
0
10831
CSX CORP
COM
126408103
316
9863
SH
SOLE
0
0
9863
DUKE ENERGY CORP NEW
COM NEW
26441C204
207
2774
SH
SOLE
0
0
2774
EMERSON ELEC CO
COM
291011104
773
12360
SH
SOLE
0
0
12360
EMPIRE DIST ELEC CO
COM
291641108
549
22736
SH
SOLE
0
0
22736
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
481
11925
SH
SOLE
0
0
11925
EXXON MOBIL CORP
COM
30231G102
2159
22957
SH
SOLE
0
0
22957
FORD MTR CO DEL
COM PAR $0.01
345370860
694
46906
SH
SOLE
0
0
46906
FRONTIER COMMUNICATIONS CORP
COM
35906A108
69
10568
SH
SOLE
0
0
10568
FUEL TECH INC
COM
359523107
50
11811
SH
SOLE
0
0
11811
GENERAL ELECTRIC CO
COM
369604103
1099
42899
SH
SOLE
0
0
42899
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
237
5147
SH
SOLE
0
0
5147
GOOGLE INC
CL A
38259P508
640
1088
SH
SOLE
0
0
1088
GUGGENHEIM BLD AMR BDS MANG
COM
401664107
382
17931
SH
SOLE
0
0
17931
HALLIBURTON CO
COM
406216101
425
6595
SH
SOLE
0
0
6595
HARLEY DAVIDSON INC
COM
412822108
250
4300
SH
SOLE
0
0
4300
HELMERICH & PAYNE INC
COM
423452101
1097
11209
SH
SOLE
0
0
11209
HENRY JACK & ASSOC INC
COM
426281101
16204
291117
SH
SOLE
0
0
291117
HERSHEY CO
COM
427866108
278
2914
SH
SOLE
0
0
2914
HOME DEPOT INC
COM
437076102
462
5034
SH
SOLE
0
0
5034
INTEL CORP
COM
458140100
684
19643
SH
SOLE
0
0
19643
INTERNATIONAL BUSINESS MACHS
COM
459200101
718
3784
SH
SOLE
0
0
3784
JOHNSON & JOHNSON
COM
478160104
1068
10023
SH
SOLE
0
0
10023
JPMORGAN CHASE & CO
COM
46625H100
283
4693
SH
SOLE
0
0
4693
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
428
8071
SH
SOLE
0
0
8071
KANSAS CITY SOUTHERN
COM NEW
485170302
332
2736
SH
SOLE
0
0
2736
KIMBERLY CLARK CORP
COM
494368103
299
2784
SH
SOLE
0
0
2784
KINDER MORGAN ENERGY PARTNER
UT LTD PARTNER
494550106
1190
12754
SH
SOLE
0
0
12754
KINDER MORGAN INC DEL
COM
49456B101
511
13327
SH
SOLE
0
0
13327
KINDER MORGAN MANAGEMENT LLC
SHS
49455U100
282
2990
SH
SOLE
0
0
2990
LEGGETT & PLATT INC
COM
524660107
284
8129
SH
SOLE
0
0
8129
LOCKHEED MARTIN CORP
COM
539830109
217
1188
SH
SOLE
0
0
1188
MCDONALDS CORP
COM
580135101
630
6640
SH
SOLE
0
0
6640
MERCK & CO INC NEW
COM
58933Y105
271
4577
SH
SOLE
0
0
4577
MICROSOFT CORP
COM
594918104
771
16628
SH
SOLE
0
0
16628
MONDELEZ INTL INC
CL A
609207105
216
6306
SH
SOLE
0
0
6306
NUSTAR ENERGY LP
UNIT COM
67058H102
240
3637
SH
SOLE
0
0
3637
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
10096
67143
SH
SOLE
0
0
67143
ONEOK PARTNERS LP
UNIT LTD PARTN
68268N103
381
6800
SH
SOLE
0
0
6800
ORACLE CORP
COM
68389X105
586
15297
SH
SOLE
0
0
15297
PEPSICO INC
COM
713448108
668
7175
SH
SOLE
0
0
7175
PFIZER INC
COM
717081103
286
9660
SH
SOLE
0
0
9660
PHILIP MORRIS INTL INC
COM
718172109
1005
12054
SH
SOLE
0
0
12054
PHILLIPS 66
COM
718546104
640
7876
SH
SOLE
0
0
7876
PIONEER NAT RES CO
COM
723787107
308
1566
SH
SOLE
0
0
1566
PROCTER & GAMBLE CO
COM
742718109
1538
18362
SH
SOLE
0
0
18362
QUALCOMM INC
COM
747525103
1281
17139
SH
SOLE
0
0
17139
REGIONS FINL CORP NEW
COM
7591EP100
110
10942
SH
SOLE
0
0
10942
SABINE ROYALTY TR
UNIT BEN INT
785688102
761
14033
SH
SOLE
0
0
14033
SOUTHERN CO
COM
842587107
746
17099
SH
SOLE
0
0
17099
STARBUCKS CORP
COM
855244109
709
9399
SH
SOLE
0
0
9399
SYSCO CORP
COM
871829107
217
5711
SH
SOLE
0
0
5711
TARGET CORP
COM
87612E106
255
4062
SH
SOLE
0
0
4062
TIME WARNER INC
COM NEW
887317303
518
6886
SH
SOLE
0
0
6886
TRANSCANADA CORP
COM
89353D107
278
5393
SH
SOLE
0
0
5393
TYSON FOODS INC
CL A
902494103
797
20249
SH
SOLE
0
0
20249
US BANCORP DEL
COM NEW
902973304
2382
56954
SH
SOLE
0
0
56954
VERIZON COMMUNICATIONS INC
COM
92343V104
967
19352
SH
SOLE
0
0
19352
WAL-MART STORES INC
COM
931142103
4991
65263
SH
SOLE
0
0
65263
WALGREEN CO
COM
931422109
322
5425
SH
SOLE
0
0
5425
WELLS FARGO & CO NEW
COM
949746101
624
12036
SH
SOLE
0
0
12036
ALLIANCEBERNSTEIN GBL HGH IN
COM
01879R106
242
17787
SH
SOLE
0
0
17787
ALLIANCEBERNSTEIN INCOME FUN
COM
01881E101
285
37944
SH
SOLE
0
0
37944
BLACKROCK MUNIASSETS FD INC
COM
09254J102
257
19539
SH
SOLE
0
0
19539
DNP SELECT INCOME FD
COM
23325P104
145
14385
SH
SOLE
0
0
14385
FLAHERTY & CRUMRINE DYN PFD
SHS
33848W106
352
15594
SH
SOLE
0
0
15594
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
74
12764
SH
SOLE
0
0
12764
NUVEEN MUN OPPORTUNITY FD IN
COM
670984103
174
12200
SH
SOLE
0
0
12200
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
128
10000
SH
SOLE
0
0
10000
NUVEEN INTER DURATION MN TMF
COM
670671106
262
21009
SH
SOLE
0
0
21009
NUVEEN MO PREM INCOME MUN FD
COM
67060Q108
169
11104
SH
SOLE
0
0
11104
NUVEEN PFD & INCOME TERM FD
COM
67075A106
229
10000
SH
SOLE
0
0
10000
NUVEEN QUALITY INCOME MUN FD
COM
670977107
229
16700
SH
SOLE
0
0
16700
NUVEEN QUALITY PFD INCOME FD
COM
67072C105
129
14825
SH
SOLE
0
0
14825
ROYCE VALUE TR INC
COM
780910105
155
10720
SH
SOLE
0
0
10720
TORTOISE ENERGY INDEPENDENC
COM
89148K101
508
20555
SH
SOLE
0
0
20555
WESTERN ASST MNGD MUN FD INC
COM
95766M105
153
11672
SH
SOLE
0
0
11672
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
205
2692
SH
SOLE
0
0
2692