President & CCO

0001580642-15-000669.txt : 20150212 0001580642-15-000669.hdr.sgml : 20150212 20150212172146 ACCESSION NUMBER: 0001580642-15-000669 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150212 DATE AS OF CHANGE: 20150212 EFFECTIVENESS DATE: 20150212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tortoise Investment Management, LLC CENTRAL INDEX KEY: 0001599511 IRS NUMBER: 201723529 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15827 FILM NUMBER: 15607581 BUSINESS ADDRESS: STREET 1: 239 CENTRAL AVENUE STREET 2: 2ND FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10606 BUSINESS PHONE: 914-686-0024 MAIL ADDRESS: STREET 1: 239 CENTRAL AVENUE STREET 2: 2ND FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10606 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001599511 XXXXXXXX 12-31-2014 12-31-2014 Tortoise Investment Management, LLC

239 CENTRAL AVENUE 2ND FLOOR WHITE PLAINS NY 10606

13F HOLDINGS REPORT 028-15827 N Ian Yankwitt President & CCO 914-686-0024 /s/ Ian Yankwitt White Plains NY 02-11-2015 0 496 249650 false INFORMATION TABLE 2 aci_13f.xml SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 4472 25141 SH SOLE 0 0 0 25141 ISHARES TR U.S. UTILITS ETF 464287697 9 77 SH SOLE 0 0 0 77 ISHARES TR CORE S&P MCP ETF 464287507 411 2839 SH SOLE 0 0 0 2839 ISHARES TR S&P MC 400VL ETF 464287705 46 358 SH SOLE 0 0 0 358 ISHARES TR S&P MC 400GR ETF 464287606 27 169 SH SOLE 0 0 0 169 ISHARES TR CORE S&P SCP ETF 464287804 3780 33141 SH SOLE 0 0 0 33141 ISHARES TR SP SMCP600VL ETF 464287879 2935 24890 SH SOLE 0 0 0 24890 ISHARES TR SP SMCP600GR ETF 464287887 8 62 SH SOLE 0 0 0 62 ISHARES TR S&P 500 VAL ETF 464287408 2 25 SH SOLE 0 0 0 25 ISHARES TR CORE S&P500 ETF 464287200 35715 172645 SH SOLE 0 0 0 172645 ISHARES TR S&P 500 GRWT ETF 464287309 13 120 SH SOLE 0 0 0 120 ISHARES TR RUS 1000 ETF 464287622 8180 71356 SH SOLE 0 0 0 71356 ISHARES TR RUS 1000 VAL ETF 464287598 842 8070 SH SOLE 0 0 0 8070 ISHARES TR RUS 1000 GRW ETF 464287614 48 500 SH SOLE 0 0 0 500 ISHARES TR RUSSELL 2000 ETF 464287655 1017 8504 SH SOLE 0 0 0 8504 ISHARES TR RUSSELL 3000 ETF 464287689 98 800 SH SOLE 0 0 0 800 ISHARES TR U.S. REAL ES ETF 464287739 160 2082 SH SOLE 0 0 0 2082 ISHARES TR DOW JONES US ETF 464287846 53 516 SH SOLE 0 0 0 516 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 36 137 SH SOLE 0 0 0 137 SPDR S&P 500 ETF TR TR UNIT 78462F103 10361 50411 SH SOLE 0 0 0 50411 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 236 5000 SH SOLE 0 0 0 5000 AMERICAN INTL GROUP INC COM NEW 026874784 9 165 SH SOLE 0 0 0 165 AMAZON COM INC COM 023135106 7 21 SH SOLE 0 0 0 21 BRISTOL MYERS SQUIBB CO COM 110122108 152 2572 SH SOLE 0 0 0 2572 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2999 19975 SH SOLE 0 0 0 19975 BOEING CO COM 097023105 702 5404 SH SOLE 0 0 0 5404 NUVEEN CALIF MUN VALUE FD COM 67062C107 63 6000 SH SOLE 0 0 0 6000 NORTHEAST UTILS COM 664397106 84 1574 SH SOLE 0 0 0 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1000 SH SOLE 0 0 0 1000 INTERNATIONAL BUSINESS MACHS COM 459200101 1084 6757 SH SOLE 0 0 0 6757 COCA COLA CO COM 191216100 173 4100 SH SOLE 0 0 0 4100 LOCKHEED MARTIN CORP COM 539830109 2 9 SH SOLE 0 0 0 9 PEPSICO INC COM 713448108 650 6875 SH SOLE 0 0 0 6875 TYCO INTL PLC SHS G91442106 109 2491 SH SOLE 0 0 0 2491 VERIZON COMMUNICATIONS INC COM 92343V104 53 1141 SH SOLE 0 0 0 1141 XEROX CORP COM 984121103 2 160 SH SOLE 0 0 0 160 ISHARES MSCI CDA ETF 464286509 43 1500 SH SOLE 0 0 0 1500 ISHARES TR RUS MID-CAP ETF 464287499 145 870 SH SOLE 0 0 0 870 ISHARES TR U.S. TELECOM ETF 464287713 1 28 SH SOLE 0 0 0 28 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1 25 SH SOLE 0 0 0 25 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 16 207 SH SOLE 0 0 0 207 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 6 257 SH SOLE 0 0 0 257 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 4 79 SH SOLE 0 0 0 79 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 9 211 SH SOLE 0 0 0 211 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 28 574 SH SOLE 0 0 0 574 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 15 225 SH SOLE 0 0 0 225 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 5 66 SH SOLE 0 0 0 66 TIME WARNER INC COM NEW 887317303 15 180 SH SOLE 0 0 0 180 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 250 3086 SH SOLE 0 0 0 3086 WALGREENS BOOTS ALLIANCE INC COM 931427108 183 2400 SH SOLE 0 0 0 2400 DEERE & CO COM 244199105 8 95 SH SOLE 0 0 0 95 BANK AMER CORP COM 060505104 74 4158 SH SOLE 0 0 0 4158 STARBUCKS CORP COM 855244109 46 561 SH SOLE 0 0 0 561 EXXON MOBIL CORP COM 30231G102 781 8444 SH SOLE 0 0 0 8444 ALCATEL-LUCENT SPONSORED ADR 013904305 1 282 SH SOLE 0 0 0 282 WAL-MART STORES INC COM 931142103 560 6516 SH SOLE 0 0 0 6516 UNION PAC CORP COM 907818108 534 4479 SH SOLE 0 0 0 4479 TEXAS INSTRS INC COM 882508104 3 48 SH SOLE 0 0 0 48 CARDINAL HEALTH INC COM 14149Y108 66 818 SH SOLE 0 0 0 818 COLGATE PALMOLIVE CO COM 194162103 123 1779 SH SOLE 0 0 0 1779 COMCAST CORP NEW CL A SPL 20030N200 97 1684 SH SOLE 0 0 0 1684 CAPITAL ONE FINL CORP COM 14040H105 48 583 SH SOLE 0 0 0 583 COSTCO WHSL CORP NEW COM 22160K105 79 555 SH SOLE 0 0 0 555 LILLY ELI & CO COM 532457108 41 600 SH SOLE 0 0 0 600 CVS HEALTH CORP COM 126650100 62 640 SH SOLE 0 0 0 640 DOMINION RES INC VA NEW COM 25746U109 1 8 SH SOLE 0 0 0 8 STATE STR CORP COM 857477103 7 90 SH SOLE 0 0 0 90 DANAHER CORP DEL COM 235851102 89 1035 SH SOLE 0 0 0 1035 MERCK & CO INC NEW COM 58933Y105 553 9740 SH SOLE 0 0 0 9740 MICRON TECHNOLOGY INC COM 595112103 4 122 SH SOLE 0 0 0 122 NABORS INDUSTRIES LTD SHS G6359F103 0 28 SH SOLE 0 0 0 28 RAYTHEON CO COM NEW 755111507 8 70 SH SOLE 0 0 0 70 PROCTER & GAMBLE CO COM 742718109 487 5350 SH SOLE 0 0 0 5350 GENERAL ELECTRIC CO COM 369604103 269 10640 SH SOLE 0 0 0 10640 KIMBERLY CLARK CORP COM 494368103 31 265 SH SOLE 0 0 0 265 GILEAD SCIENCES INC COM 375558103 254 2696 SH SOLE 0 0 0 2696 GOLDMAN SACHS GROUP INC COM 38141G104 0 1 SH SOLE 0 0 0 1 HOME DEPOT INC COM 437076102 221 2102 SH SOLE 0 0 0 2102 MCDONALDS CORP COM 580135101 48 516 SH SOLE 0 0 0 516 NIKE INC CL B 654106103 3 30 SH SOLE 0 0 0 30 JPMORGAN CHASE & CO COM 46625H100 46 735 SH SOLE 0 0 0 735 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 0 4 SH SOLE 0 0 0 4 MONDELEZ INTL INC CL A 609207105 44 1222 SH SOLE 0 0 0 1222 ABERDEEN ASIA PACIFIC INCOM COM 003009107 8611 1551450 SH SOLE 0 0 0 1551450 HEWLETT PACKARD CO COM 428236103 10 250 SH SOLE 0 0 0 250 PRICELINE GRP INC COM NEW 741503403 2 2 SH SOLE 0 0 0 2 WILLIAMS COS INC DEL COM 969457100 10 220 SH SOLE 0 0 0 220 WELLS FARGO & CO NEW COM 949746101 28 513 SH SOLE 0 0 0 513 ISHARES TR 7-10 Y TR BD ETF 464287440 21 199 SH SOLE 0 0 0 199 ISHARES TR IBOXX INV CP ETF 464287242 237 1981 SH SOLE 0 0 0 1981 MONSANTO CO NEW COM 61166W101 59 498 SH SOLE 0 0 0 498 PRAXAIR INC COM 74005P104 104 800 SH SOLE 0 0 0 800 FORD MTR CO DEL COM PAR $0.01 345370860 28 1830 SH SOLE 0 0 0 1830 UNITEDHEALTH GROUP INC COM 91324P102 643 6365 SH SOLE 0 0 0 6365 AMERICAN TOWER CORP NEW COM 03027X100 2 25 SH SOLE 0 0 0 25 ZIMMER HLDGS INC COM 98956P102 41 365 SH SOLE 0 0 0 365 UNITED TECHNOLOGIES CORP COM 913017109 167 1454 SH SOLE 0 0 0 1454 3M CO COM 88579Y101 227 1380 SH SOLE 0 0 0 1380 GAP INC DEL COM 364760108 3 65 SH SOLE 0 0 0 65 COMCAST CORP NEW CL A 20030N101 35 598 SH SOLE 0 0 0 598 VANGUARD INDEX FDS TOTAL STK MKT 922908769 245 2311 SH SOLE 0 0 0 2311 NORFOLK SOUTHERN CORP COM 655844108 104 950 SH SOLE 0 0 0 950 NEXTERA ENERGY INC COM 65339F101 21 200 SH SOLE 0 0 0 200 CONOCOPHILLIPS COM 20825C104 69 1000 SH SOLE 0 0 0 1000 BOB EVANS FARMS INC COM 096761101 24 475 SH SOLE 0 0 0 475 APPLE INC COM 037833100 1217 11029 SH SOLE 0 0 0 11029 AMERICAN AIRLS GROUP INC COM 02376R102 2 30 SH SOLE 0 0 0 30 CAMPBELL SOUP CO COM 134429109 9 200 SH SOLE 0 0 0 200 UNITED STATES STL CORP NEW COM 912909108 0 7 SH SOLE 0 0 0 7 LIGHTBRIDGE CORP COM 53224K104 7 4234 SH SOLE 0 0 0 4234 OFFICE DEPOT INC COM 676220106 2 200 SH SOLE 0 0 0 200 CATERPILLAR INC DEL COM 149123101 1 7 SH SOLE 0 0 0 7 DUKE REALTY CORP COM NEW 264411505 24 1200 SH SOLE 0 0 0 1200 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 175 1400 SH SOLE 0 0 0 1400 KINDER MORGAN INC DEL COM 49456B101 4499 106345 SH SOLE 0 0 0 106345 APACHE CORP COM 037411105 1 22 SH SOLE 0 0 0 22 ISHARES TR MSCI EMG MKT ETF 464287234 3108 79105 SH SOLE 0 0 0 79105 PPL CORP COM 69351T106 6 173 SH SOLE 0 0 0 173 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 78 885 SH SOLE 0 0 0 885 ELECTRONIC ARTS INC COM 285512109 4 80 SH SOLE 0 0 0 80 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 3 100 SH SOLE 0 0 0 100 COACH INC COM 189754104 21 560 SH SOLE 0 0 0 560 DTE ENERGY CO COM 233331107 3 30 SH SOLE 0 0 0 30 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 136 1700 SH SOLE 0 0 0 1700 CELGENE CORP COM 151020104 109 975 SH SOLE 0 0 0 975 INTERDIGITAL INC COM 45867G101 2 33 SH SOLE 0 0 0 33 L BRANDS INC COM 501797104 1186 13700 SH SOLE 0 0 0 13700 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 90 3250 SH SOLE 0 0 0 3250 DEVON ENERGY CORP NEW COM 25179M103 9 150 SH SOLE 0 0 0 150 ROSS STORES INC COM 778296103 90 958 SH SOLE 0 0 0 958 ECOLAB INC COM 278865100 2 23 SH SOLE 0 0 0 23 AFFILIATED MANAGERS GROUP COM 008252108 1 5 SH SOLE 0 0 0 5 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 79 3600 SH SOLE 0 0 0 3600 F5 NETWORKS INC COM 315616102 0 3 SH SOLE 0 0 0 3 AGNICO EAGLE MINES LTD COM 008474108 15 600 SH SOLE 0 0 0 600 AES CORP COM 00130H105 30 2200 SH SOLE 0 0 0 2200 AON PLC SHS CL A G0408V102 2 25 SH SOLE 0 0 0 25 AMERICAN EXPRESS CO COM 025816109 24 254 SH SOLE 0 0 0 254 CHUBB CORP COM 171232101 82 790 SH SOLE 0 0 0 790 ARCHER DANIELS MIDLAND CO COM 039483102 5 89 SH SOLE 0 0 0 89 CEMEX SAB DE CV SPON ADR NEW 151290889 0 6 SH SOLE 0 0 0 6 EDWARDS LIFESCIENCES CORP COM 28176E108 0 2 SH SOLE 0 0 0 2 KELLOGG CO COM 487836108 3 43 SH SOLE 0 0 0 43 EXPRESS SCRIPTS HLDG CO COM 30219G108 107 1258 SH SOLE 0 0 0 1258 DOW CHEM CO COM 260543103 14 315 SH SOLE 0 0 0 315 EASTMAN CHEM CO COM 277432100 7 98 SH SOLE 0 0 0 98 ACTAVIS PLC SHS G0083B108 3 10 SH SOLE 0 0 0 10 LIONS GATE ENTMNT CORP COM NEW 535919203 3 100 SH SOLE 0 0 0 100 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1345 33597 SH SOLE 0 0 0 33597 BERKSHIRE HATHAWAY INC DEL CL A 084670108 678 3 SH SOLE 0 0 0 3 EVEREST RE GROUP LTD COM G3223R108 1 7 SH SOLE 0 0 0 7 WESTERN DIGITAL CORP COM 958102105 138 1250 SH SOLE 0 0 0 1250 VALERO ENERGY CORP NEW COM 91913Y100 4 83 SH SOLE 0 0 0 83 PLUM CREEK TIMBER CO INC COM 729251108 1468 34305 SH SOLE 0 0 0 34305 PALL CORP COM 696429307 121 1200 SH SOLE 0 0 0 1200 PNM RES INC COM 69349H107 87 2934 SH SOLE 0 0 0 2934 ENSCO PLC SHS CLASS A G3157S106 1 27 SH SOLE 0 0 0 27 ISHARES TR CORE US AGGBD ET 464287226 95 865 SH SOLE 0 0 0 865 FRONTIER COMMUNICATIONS CORP COM 35906A108 3 400 SH SOLE 0 0 0 400 W P CAREY INC COM 92936U109 36 515 SH SOLE 0 0 0 515 AMDOCS LTD SHS G02602103 2 44 SH SOLE 0 0 0 44 BIOGEN IDEC INC COM 09062X103 8 25 SH SOLE 0 0 0 25 ISHARES TR TIPS BD ETF 464287176 112 1000 SH SOLE 0 0 0 1000 COCA COLA ENTERPRISES INC NE COM 19122T109 2 55 SH SOLE 0 0 0 55 CARNIVAL CORP PAIRED CTF 143658300 5 100 SH SOLE 0 0 0 100 CLOROX CO DEL COM 189054109 94 900 SH SOLE 0 0 0 900 SCHEIN HENRY INC COM 806407102 127 931 SH SOLE 0 0 0 931 AIR PRODS & CHEMS INC COM 009158106 14 100 SH SOLE 0 0 0 100 SHIRE PLC SPONSORED ADR 82481R106 5 23 SH SOLE 0 0 0 23 DOLLAR GEN CORP NEW COM 256677105 2 30 SH SOLE 0 0 0 30 MUELLER INDS INC COM 624756102 92 2691 SH SOLE 0 0 0 2691 LENNAR CORP CL A 526057104 59 1309 SH SOLE 0 0 0 1309 CONSOLIDATED EDISON INC COM 209115104 163 2463 SH SOLE 0 0 0 2463 REDWOOD TR INC COM 758075402 4 200 SH SOLE 0 0 0 200 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 444 33950 SH SOLE 0 0 0 33950 MEAD JOHNSON NUTRITION CO COM 582839106 3 25 SH SOLE 0 0 0 25 TIFFANY & CO NEW COM 886547108 10 95 SH SOLE 0 0 0 95 FREEPORT-MCMORAN INC CL B 35671D857 5 200 SH SOLE 0 0 0 200 TRAVELERS COMPANIES INC COM 89417E109 8 76 SH SOLE 0 0 0 76 MONSTER BEVERAGE CORP COM 611740101 3 30 SH SOLE 0 0 0 30 WEYERHAEUSER CO COM 962166104 183 5100 SH SOLE 0 0 0 5100 MASCO CORP COM 574599106 9 344 SH SOLE 0 0 0 344 NEW YORK CMNTY BANCORP INC COM 649445103 5 300 SH SOLE 0 0 0 300 EATON CORP PLC SHS G29183103 54 800 SH SOLE 0 0 0 800 LEUCADIA NATL CORP COM 527288104 13 600 SH SOLE 0 0 0 600 PARTNERRE LTD COM G6852T105 3 30 SH SOLE 0 0 0 30 RAYONIER INC COM 754907103 6 201 SH SOLE 0 0 0 201 PRICE T ROWE GROUP INC COM 74144T108 343 4000 SH SOLE 0 0 0 4000 WEINGARTEN RLTY INVS SH BEN INT 948741103 8 225 SH SOLE 0 0 0 225 STANLEY BLACK & DECKER INC COM 854502101 141 1468 SH SOLE 0 0 0 1468 SNAP ON INC COM 833034101 128 936 SH SOLE 0 0 0 936 REYNOLDS AMERICAN INC COM 761713106 32 500 SH SOLE 0 0 0 500 HARSCO CORP COM 415864107 59 3100 SH SOLE 0 0 0 3100 CHURCH & DWIGHT INC COM 171340102 91 1153 SH SOLE 0 0 0 1153 LINCOLN NATL CORP IND COM 534187109 2 28 SH SOLE 0 0 0 28 SANOFI SPONSORED ADR 80105N105 23 500 SH SOLE 0 0 0 500 NOVO-NORDISK A S ADR 670100205 3 60 SH SOLE 0 0 0 60 ALLERGAN INC COM 018490102 20 94 SH SOLE 0 0 0 94 BECTON DICKINSON & CO COM 075887109 196 1412 SH SOLE 0 0 0 1412 ENTERPRISE PRODS PARTNERS L COM 293792107 9 250 SH SOLE 0 0 0 250 METLIFE INC COM 59156R108 7 123 SH SOLE 0 0 0 123 COOPER COS INC COM NEW 216648402 11 68 SH SOLE 0 0 0 68 YUM BRANDS INC COM 988498101 110 1509 SH SOLE 0 0 0 1509 AMPHENOL CORP NEW CL A 032095101 127 2352 SH SOLE 0 0 0 2352 TRANSCANADA CORP COM 89353D107 177 3597 SH SOLE 0 0 0 3597 CHICAGO BRIDGE & IRON CO N V COM 167250109 35 825 SH SOLE 0 0 0 825 BALL CORP COM 058498106 3 40 SH SOLE 0 0 0 40 GOOGLE INC CL A 38259P508 37 70 SH SOLE 0 0 0 70 STONE ENERGY CORP COM 861642106 1 30 SH SOLE 0 0 0 30 DIRECTV COM 25490A309 107 1234 SH SOLE 0 0 0 1234 DENTSPLY INTL INC NEW COM 249030107 80 1500 SH SOLE 0 0 0 1500 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 32 559 SH SOLE 0 0 0 559 VANGUARD INDEX FDS VALUE ETF 922908744 22 265 SH SOLE 0 0 0 265 VANGUARD INDEX FDS SM CP VAL ETF 922908611 57 543 SH SOLE 0 0 0 543 VANGUARD INDEX FDS REIT ETF 922908553 468 5772 SH SOLE 0 0 0 5772 CHENIERE ENERGY INC COM NEW 16411R208 4 52 SH SOLE 0 0 0 52 NATIONAL FUEL GAS CO N J COM 636180101 23 328 SH SOLE 0 0 0 328 CANADIAN NATL RY CO COM 136375102 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UTILITIES ETF 92204A876 102 1000 SH SOLE 0 0 0 1000 POTLATCH CORP NEW COM 737630103 211 5050 SH SOLE 0 0 0 5050 CBS CORP NEW CL B 124857202 10 173 SH SOLE 0 0 0 173 SPDR SERIES TRUST S&P DIVID ETF 78464A763 41 525 SH SOLE 0 0 0 525 ANSYS INC COM 03662Q105 3 35 SH SOLE 0 0 0 35 TEREX CORP NEW COM 880779103 8 300 SH SOLE 0 0 0 300 THERMO FISHER SCIENTIFIC INC COM 883556102 41 331 SH SOLE 0 0 0 331 FIDELITY NATL INFORMATION SV COM 31620M106 3 50 SH SOLE 0 0 0 50 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 52 2000 SH SOLE 0 0 0 2000 MAGELLAN PETE CORP COM 559091301 0 100 SH SOLE 0 0 0 100 SILVER WHEATON CORP COM 828336107 30 1500 SH SOLE 0 0 0 1500 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 46 4000 SH SOLE 0 0 0 4000 BLACKROCK ENHANCED EQT DIV T COM 09251A104 0 14 SH SOLE 0 0 0 14 PRECISION CASTPARTS CORP COM 740189105 1 5 SH SOLE 0 0 0 5 TEXAS ROADHOUSE INC COM 882681109 7 200 SH SOLE 0 0 0 200 COMPASS MINERALS INTL INC COM 20451N101 28 325 SH SOLE 0 0 0 325 NUVEEN SELECT TAX 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COM NEW 29444U502 12 51 SH SOLE 0 0 0 51 CORE MARK HOLDING CO INC COM 218681104 1 19 SH SOLE 0 0 0 19 WYNDHAM WORLDWIDE CORP COM 98310W108 121 1412 SH SOLE 0 0 0 1412 WISDOMTREE TR INTL SMCAP DIV 97717W760 1221 21984 SH SOLE 0 0 0 21984 BLACKROCK N J MUN INCOME TR SH BEN INT 09248J101 46 3000 SH SOLE 0 0 0 3000 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 25 430 SH SOLE 0 0 0 430 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 3 33 SH SOLE 0 0 0 33 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 19 525 SH SOLE 0 0 0 525 WISDOMTREE TR DEFA FD 97717W703 149 3000 SH SOLE 0 0 0 3000 ISHARES TR CORE S&P TTL STK 464287150 283 3014 SH SOLE 0 0 0 3014 NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT 67070X101 1029 74648 SH SOLE 0 0 0 74648 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 1751 122930 SH SOLE 0 0 0 122930 VANGUARD INDEX FDS LARGE CAP ETF 922908637 520 5508 SH SOLE 0 0 0 5508 HEICO CORP NEW CL A 422806208 15 312 SH SOLE 0 0 0 312 GARTNER INC COM 366651107 138 1639 SH SOLE 0 0 0 1639 HORNBECK OFFSHORE SVCS INC N COM 440543106 19 750 SH SOLE 0 0 0 750 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 10 709 SH SOLE 0 0 0 709 NORTHSTAR RLTY FIN CORP COM NEW 66704R704 2 114 SH SOLE 0 0 0 114 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 3126 247150 SH SOLE 0 0 0 247150 NUVEEN NY PERFORM PLUS MUN F COM 67062R104 168 11600 SH SOLE 0 0 0 11600 NUVEEN NY SELECT TAX FREE PR SH BEN INT 67063V104 425 31135 SH SOLE 0 0 0 31135 SL GREEN RLTY CORP COM 78440X101 26 215 SH SOLE 0 0 0 215 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 12 300 SH SOLE 0 0 0 300 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 4 88 SH SOLE 0 0 0 88 NUVEEN CAL AMT-FREE MUN INC COM 670651108 615 41698 SH SOLE 0 0 0 41698 PROSHARES TR PSHS SHTRUSS2000 74347R826 9 600 SH SOLE 0 0 0 600 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1080 23049 SH SOLE 0 0 0 23049 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 11 103 SH SOLE 0 0 0 103 ISHARES IBOXX HI YD ETF 464288513 902 10063 SH SOLE 0 0 0 10063 ISHARES 1-3 YR CR BD ETF 464288646 155 1475 SH SOLE 0 0 0 1475 DELTA AIR LINES INC DEL COM NEW 247361702 5 103 SH SOLE 0 0 0 103 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 9 150 SH SOLE 0 0 0 150 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 28 338 SH SOLE 0 0 0 338 TRINA SOLAR LIMITED SPON ADR 89628E104 2 200 SH SOLE 0 0 0 200 HANSEN MEDICAL INC COM 411307101 10 17303 SH SOLE 0 0 0 17303 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 14 500 SH SOLE 0 0 0 500 ISHARES INTL SEL DIV ETF 464288448 104 3093 SH SOLE 0 0 0 3093 WISDOMTREE TR EMERG MKTS ETF 97717W315 215 5102 SH SOLE 0 0 0 5102 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 211 5574 SH SOLE 0 0 0 5574 ISHARES NAT AMT FREE BD 464288414 1381 12515 SH SOLE 0 0 0 12515 SPDR SERIES TRUST NUVN BRCLY MUNI 78464A458 2753 113950 SH SOLE 0 0 0 113950 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 32 600 SH SOLE 0 0 0 600 FIRST MAJESTIC SILVER CORP COM 32076V103 25 5000 SH SOLE 0 0 0 5000 TIME WARNER CABLE INC COM 88732J207 4 25 SH SOLE 0 0 0 25 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2888 30304 SH SOLE 0 0 0 30304 FIRST TR ISE WATER INDEX FD COM 33733B100 7 198 SH SOLE 0 0 0 198 CLAYMORE EXCHANGE TRD FD TR GUGG TIMBER ETF 18383Q879 491 20245 SH SOLE 0 0 0 20245 NUVEEN NJ DIV ADVANTAGE MUN COM 67069Y102 699 51873 SH SOLE 0 0 0 51873 WISDOMTREE TR EMG MKTS SMCAP 97717W281 949 21982 SH SOLE 0 0 0 21982 NETSUITE INC COM 64118Q107 1 6 SH SOLE 0 0 0 6 ISHARES INTL DEV RE ETF 464288489 161 5355 SH SOLE 0 0 0 5355 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 3162 124434 SH SOLE 0 0 0 124434 ISHARES INTERM CR BD ETF 464288638 330 3019 SH SOLE 0 0 0 3019 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 181 4680 SH SOLE 0 0 0 4680 CHIMERA INVT CORP COM 16934Q109 2 500 SH SOLE 0 0 0 500 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 17 468 SH SOLE 0 0 0 468 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 17 394 SH SOLE 0 0 0 394 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7 306 SH SOLE 0 0 0 306 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 21 342 SH SOLE 0 0 0 342 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 7 246 SH SOLE 0 0 0 246 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 6 248 SH SOLE 0 0 0 248 ISHARES EAFE SML CP ETF 464288273 3564 76301 SH SOLE 0 0 0 76301 MSCI INC COM 55354G100 1 18 SH SOLE 0 0 0 18 VISA INC COM CL A 92826C839 31 118 SH SOLE 0 0 0 118 PHILIP MORRIS INTL INC COM 718172109 50 618 SH SOLE 0 0 0 618 FEI CO COM 30241L109 27 300 SH SOLE 0 0 0 300 ISHARES MSCI ACWI US ETF 464288240 454 10551 SH SOLE 0 0 0 10551 DR PEPPER SNAPPLE GROUP INC COM 26138E109 2 30 SH SOLE 0 0 0 30 FIRST TR FTSE EPRA/NAREIT DE COM 33736N101 5 124 SH SOLE 0 0 0 124 SPDR SERIES TRUST NUVN BR NY MUNI 78464A433 251 10600 SH SOLE 0 0 0 10600 NUVEEN NY DIV ADVANTG MUN FD COM 67070A101 10677 807057 SH SOLE 0 0 0 807057 ISHARES NY AMTFRE MU ETF 464288323 268 2400 SH SOLE 0 0 0 2400 POWERSHARES GLOBAL ETF TRUST NY MUNI BD ETF 73936T458 2592 105996 SH SOLE 0 0 0 105996 PROSHARES TR PSHS ULTSH 20YRS 74347B201 9 200 SH SOLE 0 0 0 200 FIRST TR EXCHANGE TRADED FD NASDAQ 100 EX 33733E401 8 190 SH SOLE 0 0 0 190 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 2 35 SH SOLE 0 0 0 35 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 1001 22575 SH SOLE 0 0 0 22575 ATHENAHEALTH INC COM 04685W103 58 400 SH SOLE 0 0 0 400 LORILLARD INC COM 544147101 1 15 SH SOLE 0 0 0 15 SPAR GROUP INC COM 784933103 2 1200 SH SOLE 0 0 0 1200 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 3 1000 SH SOLE 0 0 0 1000 PDF SOLUTIONS INC COM 693282105 4 250 SH SOLE 0 0 0 250 PROVECTUS BIOPHARMACEUTICALS COM 74373P108 2 2000 SH SOLE 0 0 0 2000 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 24 1020 SH SOLE 0 0 0 1020 HUNTINGTON BANCSHARES INC PFD CONV SER A 446150401 7 5 SH SOLE 0 0 0 5 ISHARES MSCI ACWI ETF 464288257 60 1020 SH SOLE 0 0 0 1020 FRANCO NEVADA CORP COM 351858105 49 1000 SH SOLE 0 0 0 1000 ISHARES GL TIMB FORE ETF 464288174 4560 86140 SH SOLE 0 0 0 86140 WISDOMTREE TR AUST NEW ZEAL DB 97717W216 210 11101 SH SOLE 0 0 0 11101 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 62 1030 SH SOLE 0 0 0 1030 MARKET VECTORS ETF TR INDONESIA ETF 57060U753 29 1200 SH SOLE 0 0 0 1200 HSN INC COM 404303109 115 1514 SH SOLE 0 0 0 1514 TRIPADVISOR INC COM 896945201 22 300 SH SOLE 0 0 0 300 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 62 1800 SH SOLE 0 0 0 1800 WALTER INVT MGMT CORP COM 93317W102 0 14 SH SOLE 0 0 0 14 NUVEEN NEW YORK MUN VALUE FD COM 670706100 189 12800 SH SOLE 0 0 0 12800 NUVEEN CALIF MUNICPAL VALU F COM 6706EB106 1407 84180 SH SOLE 0 0 0 84180 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 339 3935 SH SOLE 0 0 0 3935 AVAGO TECHNOLOGIES LTD SHS Y0486S104 5 51 SH SOLE 0 0 0 51 PIMCO ETF TR 7-15 YR US TRS 72201R700 94 1100 SH SOLE 0 0 0 1100 CLEANTECH SOLUTIONS INTL INC COM NEW 18451N204 3 1000 SH SOLE 0 0 0 1000 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 48 958 SH SOLE 0 0 0 958 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 120 4158 SH SOLE 0 0 0 4158 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1607 32760 SH SOLE 0 0 0 32760 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3143 39468 SH SOLE 0 0 0 39468 AOL INC COM 00184X105 0 9 SH SOLE 0 0 0 9 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 209 3794 SH SOLE 0 0 0 3794 PIMCO ETF TR INTER MUN BD ACT 72201R866 543 10120 SH SOLE 0 0 0 10120 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 307 10626 SH SOLE 0 0 0 10626 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 752 31451 SH SOLE 0 0 0 31451 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 305 5485 SH SOLE 0 0 0 5485 SPDR SERIES TRUST BARC SHT TR CP 78464A474 1126 36838 SH SOLE 0 0 0 36838 MARKET VECTORS ETF TR EGYPT INDX ETF 57061R569 6 100 SH SOLE 0 0 0 100 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 3246 106643 SH SOLE 0 0 0 106643 FINANCIAL ENGINES INC COM 317485100 4 101 SH SOLE 0 0 0 101 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 47 598 SH SOLE 0 0 0 598 NUVEEN BUILD AMER BD FD COM 67074C103 15740 743131 SH SOLE 0 0 0 743131 SPDR SERIES TRUST BRC BLD AMER BD 78464A276 2386 37895 SH SOLE 0 0 0 37895 TESLA MTRS INC COM 88160R101 44 200 SH SOLE 0 0 0 200 ACCESS MIDSTREAM PARTNERS L UNIT 00434L109 14 250 SH SOLE 0 0 0 250 NXP SEMICONDUCTORS N V COM N6596X109 1 14 SH SOLE 0 0 0 14 WISDOMTREE TR EM LCL DEBT FD 97717X867 69 1660 SH SOLE 0 0 0 1660 ALPS ETF TR ALERIAN MLP 00162Q866 93 5300 SH SOLE 0 0 0 5300 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 8 44 SH SOLE 0 0 0 44 GUGGENHEIM BLD AMR BDS MANG COM 401664107 17 750 SH SOLE 0 0 0 750 EXAMWORKS GROUP INC COM 30066A105 27 645 SH SOLE 0 0 0 645 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 214 4000 SH SOLE 0 0 0 4000 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 1 25 SH SOLE 0 0 0 25 NUVEEN BUILD AMER BD OPPTNY COM 67074Q102 12999 592208 SH SOLE 0 0 0 592208 SCHWAB STRATEGIC TR US REIT ETF 808524847 3 89 SH SOLE 0 0 0 89 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 0 2 SH SOLE 0 0 0 2 NIELSEN N V COM N63218106 3 61 SH SOLE 0 0 0 61 VANGUARD STAR FD VG TL INTL STK F 921909768 48 1000 SH SOLE 0 0 0 1000 NUVEEN ENERGY MLP TOTL RTRNF COM 67074U103 1302 64081 SH SOLE 0 0 0 64081 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 598 24905 SH SOLE 0 0 0 24905 TESORO LOGISTICS LP COM UNIT LP 88160T107 17 290 SH SOLE 0 0 0 290 POINTS INTL LTD COM NEW 730843208 17 1300 SH SOLE 0 0 0 1300 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 169 3223 SH SOLE 0 0 0 3223 DUNKIN BRANDS GROUP INC COM 265504100 4 104 SH SOLE 0 0 0 104 ISHARES EM MKT SM-CP ETF 464286475 103 2290 SH SOLE 0 0 0 2290 WPX ENERGY INC COM 98212B103 0 26 SH SOLE 0 0 0 26 ISHARES MSCI FRNTR100ETF 464286145 213 6928 SH SOLE 0 0 0 6928 PHILLIPS 66 COM 718546104 37 511 SH SOLE 0 0 0 511 ORGANOVO HLDGS INC COM 68620A104 3 360 SH SOLE 0 0 0 360 SPDR SER TR SHT TRM HGH YLD 78468R408 4622 159869 SH SOLE 0 0 0 159869 WISDOMTREE TR WSDM EMKTBD FD 97717X784 7 100 SH SOLE 0 0 0 100 FACEBOOK INC CL A 30303M102 151 1933 SH SOLE 0 0 0 1933 GLOBAL X FDS GLBL X MLP ETF 37950E473 58 3650 SH SOLE 0 0 0 3650 SERVICENOW INC COM 81762P102 1 15 SH SOLE 0 0 0 15 TORTOISE ENERGY INDEPENDENC COM 89148K101 38 2000 SH SOLE 0 0 0 2000 KRAFT FOODS GROUP INC COM 50076Q106 26 413 SH SOLE 0 0 0 413 LINNCO LLC COMSHS LTD INT 535782106 15 1400 SH SOLE 0 0 0 1400 ISHARES INC CORE MSCI EMKT 46434G103 6647 141332 SH SOLE 0 0 0 141332 ISHARES TR CORE MSCITOTAL 46432F834 601 11278 SH SOLE 0 0 0 11278 ISHARES TR CORE MSCI EAFE 46432F842 4198 75886 SH SOLE 0 0 0 75886 ABBVIE INC COM 00287Y109 53 811 SH SOLE 0 0 0 811 NUVEEN INT DUR QUAL MUN TRM COM 670677103 156 12300 SH SOLE 0 0 0 12300 VALERO ENERGY PARTNERS LP COM UNT REP LP 91914J102 61 1400 SH SOLE 0 0 0 1400 TAYLOR MORRISON HOME CORP CL A 87724P106 2 100 SH SOLE 0 0 0 100 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 1560 31995 SH SOLE 0 0 0 31995 DOUBLELINE INCOME SOLUTIONS COM 258622109 379 19035 SH SOLE 0 0 0 19035 MURPHY USA INC COM 626755102 0 7 SH SOLE 0 0 0 7 FOUNDATION MEDICINE INC COM 350465100 44 2000 SH SOLE 0 0 0 2000 EMPIRE ST RLTY OP L P UNIT LTD PRTNSP 292102100 38 2151 SH SOLE 0 0 0 2151 TWITTER INC COM 90184L102 6 165 SH SOLE 0 0 0 165 WAL-MART STORES INC COM 931142103 0 1700 SH Put SOLE 0 0 0 1700 SANTANDER CONSUMER USA HDG I COM 80283M101 20 1000 SH SOLE 0 0 0 1000 MARKET VECTORS ETF TR SHT HG MUN ETF 57061R486 4186 163919 SH SOLE 0 0 0 163919 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 76 1728 SH SOLE 0 0 0 1728 FIDELITY MSCI MATLS INDEX 316092881 80 2902 SH SOLE 0 0 0 2902 PROSHARES TR PSHS ULSHT SP500 74347B300 1 1000 SH Call SOLE 0 0 0 1000 GOOGLE INC CL C 38259P706 31 58 SH SOLE 0 0 0 58 SPDR SER TR BRCLY HGH YIEL 78468R846 2 79 SH SOLE 0 0 0 79 OPOWER INC COM 68375Y109 14 1000 SH SOLE 0 0 0 1000 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 1000 SH Put SOLE 0 0 0 1000 CLOROX CO DEL COM 189054109 0 900 SH Put SOLE 0 0 0 900 COCA COLA CO COM 191216100 0 2500 SH Put SOLE 0 0 0 2500 TIME INC NEW COM 887228104 0 18 SH SOLE 0 0 0 18 NOW INC COM 67011P100 5 200 SH SOLE 0 0 0 200 ISHARES TR CORE MSCI EURO 46434V738 13 300 SH SOLE 0 0 0 300 RAYONIER ADVANCED MATLS INC COM 75508B104 1 67 SH SOLE 0 0 0 67 J P MORGAN EXCHANGE TRADED F DIV RTN GLB EQ 46641Q100 809 16595 SH SOLE 0 0 0 16595 OVERSEAS SHIPHOLDING GROUP I COM CL B 69036R400 0 26 SH SOLE 0 0 0 26 SPDR S&P 500 ETF TR TR UNIT 78462F103 21 3300 SH Call SOLE 0 0 0 3300 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 2500 SH Put SOLE 0 0 0 2500 SPDR S&P 500 ETF TR TR UNIT 78462F103 20 5500 SH Call SOLE 0 0 0 5500 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 17 160 SH SOLE 0 0 0 160 SPDR S&P 500 ETF TR TR UNIT 78462F103 1 1000 SH Put SOLE 0 0 0 1000 WAL-MART STORES INC COM 931142103 0 1500 SH Put SOLE 0 0 0 1500 SPDR S&P 500 ETF TR TR UNIT 78462F103 1 400 SH Call SOLE 0 0 0 400 HALYARD HEALTH INC COM 40650V100 2 33 SH SOLE 0 0 0 33 CME GROUP INC COM 12572Q105 3 1000 SH Call SOLE 0 0 0 1000 COCA COLA CO COM 191216100 1 2500 SH Put SOLE 0 0 0 2500 SPDR S&P 500 ETF TR TR UNIT 78462F103 11 7500 SH Put SOLE 0 0 0 7500 WAL-MART STORES INC COM 931142103 1 1500 SH Put SOLE 0 0 0 1500 CME GROUP INC COM 12572Q105 3 1200 SH Call SOLE 0 0 0 1200 SPDR S&P 500 ETF TR TR UNIT 78462F103 7 2000 SH Put SOLE 0 0 0 2000 WALGREENS BOOTS ALLIANCE INC COM 931427108 0 1500 SH Put SOLE 0 0 0 1500