Principal

0001580642-15-001727.txt : 20150420 0001580642-15-001727.hdr.sgml : 20150420 20150420131240 ACCESSION NUMBER: 0001580642-15-001727 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150420 DATE AS OF CHANGE: 20150420 EFFECTIVENESS DATE: 20150420 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: 15780114 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 03-31-2015 03-31-2015 Tortoise Investment Management, LLC

239 CENTRAL AVENUE 2ND FLOOR WHITE PLAINS NY 10606

13F HOLDINGS REPORT 028-15827 N Randal Goldstein Principal 914-686-0024 Randal Goldstein White Plains NY 04-14-2015 0 442 262323 false INFORMATION TABLE 2 aci_13f.xml SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 4456 25091 SH SOLE 0 0 0 25091 ISHARES TR CORE S&P MCP ETF 464287507 480 3158 SH SOLE 0 0 0 3158 ISHARES TR S&P MC 400VL ETF 464287705 47 358 SH SOLE 0 0 0 358 ISHARES TR S&P MC 400GR ETF 464287606 29 169 SH SOLE 0 0 0 169 ISHARES TR CORE S&P SCP ETF 464287804 3955 33513 SH SOLE 0 0 0 33513 ISHARES TR SP SMCP600VL ETF 464287879 2948 24795 SH SOLE 0 0 0 24795 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 36913 177611 SH SOLE 0 0 0 177611 ISHARES TR S&P 500 GRWT ETF 464287309 14 120 SH SOLE 0 0 0 120 ISHARES TR RUS 1000 ETF 464287622 8218 70936 SH SOLE 0 0 0 70936 ISHARES TR RUS 1000 VAL ETF 464287598 824 7992 SH SOLE 0 0 0 7992 ISHARES TR RUS 1000 GRW ETF 464287614 49 500 SH SOLE 0 0 0 500 ISHARES TR RUSSELL 2000 ETF 464287655 1059 8515 SH SOLE 0 0 0 8515 ISHARES TR RUSSELL 3000 ETF 464287689 99 800 SH SOLE 0 0 0 800 ISHARES TR U.S. REAL ES ETF 464287739 82 1032 SH SOLE 0 0 0 1032 ISHARES TR DOW JONES US ETF 464287846 54 516 SH SOLE 0 0 0 516 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 38 137 SH SOLE 0 0 0 137 SPDR S&P 500 ETF TR TR UNIT 78462F103 10362 50197 SH SOLE 0 0 0 50197 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 193 4335 SH SOLE 0 0 0 4335 AMERICAN INTL GROUP INC COM NEW 026874784 6 105 SH SOLE 0 0 0 105 AMAZON COM INC COM 023135106 8 21 SH SOLE 0 0 0 21 BRISTOL MYERS SQUIBB CO COM 110122108 166 2572 SH SOLE 0 0 0 2572 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2761 19129 SH SOLE 0 0 0 19129 E M C CORP MASS COM 268648102 4 175 SH SOLE 0 0 0 175 BOEING CO COM 097023105 810 5396 SH SOLE 0 0 0 5396 NUVEEN CALIF MUN VALUE FD COM 67062C107 32 3000 SH SOLE 0 0 0 3000 EVERSOURCE ENERGY COM 30040W108 80 1574 SH SOLE 0 0 0 1574 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SH SOLE 0 0 0 6640 PEPSICO INC COM 713448108 538 5624 SH SOLE 0 0 0 5624 TYCO INTL PLC SHS G91442106 81 1891 SH SOLE 0 0 0 1891 VERIZON COMMUNICATIONS INC COM 92343V104 102 2091 SH SOLE 0 0 0 2091 ISHARES MSCI GERMANY ETF 464286806 10 320 SH SOLE 0 0 0 320 ISHARES TR RUS MID-CAP ETF 464287499 151 870 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 32 416 SH SOLE 0 0 0 416 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 16 225 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 13 150 SH SOLE 0 0 0 150 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NEW COM 22160K105 84 554 SH SOLE 0 0 0 554 LILLY ELI & CO COM 532457108 44 600 SH SOLE 0 0 0 600 CVS HEALTH CORP COM 126650100 62 600 SH SOLE 0 0 0 600 DOMINION RES INC VA NEW COM 25746U109 1 8 SH SOLE 0 0 0 8 STATE STR CORP COM 857477103 14 190 SH SOLE 0 0 0 190 DIAGEO P L C SPON ADR NEW 25243Q205 8 70 SH SOLE 0 0 0 70 SCHLUMBERGER LTD COM 806857108 8 90 SH SOLE 0 0 0 90 DANAHER CORP DEL COM 235851102 85 1000 SH SOLE 0 0 0 1000 MERCK & CO INC NEW COM 58933Y105 549 9552 SH SOLE 0 0 0 9552 NABORS INDUSTRIES LTD SHS G6359F103 0 28 SH SOLE 0 0 0 28 NOVARTIS A G SPONSORED ADR 66987V109 9 90 SH SOLE 0 0 0 90 PROCTER & GAMBLE CO COM 742718109 483 5890 SH SOLE 0 0 0 5890 GENERAL ELECTRIC CO COM 369604103 267 10780 SH SOLE 0 0 0 10780 KIMBERLY CLARK CORP COM 494368103 82 765 SH SOLE 0 0 0 765 GILEAD SCIENCES INC COM 375558103 260 2645 SH SOLE 0 0 0 2645 GOLDMAN SACHS GROUP INC COM 38141G104 10 51 SH SOLE 0 0 0 51 HOME DEPOT INC COM 437076102 239 2102 SH SOLE 0 0 0 2102 MCDONALDS CORP COM 580135101 54 556 SH SOLE 0 0 0 556 JPMORGAN CHASE & CO COM 46625H100 10 169 SH SOLE 0 0 0 169 MONDELEZ INTL INC CL A 609207105 44 1222 SH SOLE 0 0 0 1222 ABERDEEN ASIA PACIFIC INCOM COM 003009107 8561 1591208 SH SOLE 0 0 0 1591208 PRICELINE GRP INC COM NEW 741503403 2 2 SH SOLE 0 0 0 2 WILLIAMS COS INC DEL COM 969457100 11 220 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 5 49 SH SOLE 0 0 0 49 ISHARES TR IBOXX INV CP ETF 464287242 183 1505 SH SOLE 0 0 0 1505 MONSANTO CO NEW COM 61166W101 56 498 SH SOLE 0 0 0 498 PRAXAIR INC COM 74005P104 103 850 SH SOLE 0 0 0 850 FORD MTR CO DEL COM PAR $0.01 345370860 26 1605 SH SOLE 0 0 0 1605 UNITEDHEALTH GROUP INC COM 91324P102 753 6365 SH SOLE 0 0 0 6365 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 9 100 SH SOLE 0 0 0 100 ZIMMER HLDGS INC COM 98956P102 43 365 SH SOLE 0 0 0 365 UNITED TECHNOLOGIES CORP COM 913017109 288 2454 SH SOLE 0 0 0 2454 INTERNATIONAL FLAVORS&FRAGRA COM 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CORP COM 037411105 1 22 SH SOLE 0 0 0 22 ISHARES TR MSCI EMG MKT ETF 464287234 2937 73180 SH SOLE 0 0 0 73180 PPL CORP COM 69351T106 6 173 SH SOLE 0 0 0 173 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 114 1238 SH SOLE 0 0 0 1238 COACH INC COM 189754104 20 480 SH SOLE 0 0 0 480 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 163 2008 SH SOLE 0 0 0 2008 CELGENE CORP COM 151020104 112 975 SH SOLE 0 0 0 975 INTERDIGITAL INC COM 45867G101 2 33 SH SOLE 0 0 0 33 L BRANDS INC COM 501797104 1292 13700 SH SOLE 0 0 0 13700 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 90 3250 SH SOLE 0 0 0 3250 ROSS STORES INC COM 778296103 115 1090 SH SOLE 0 0 0 1090 AFFILIATED MANAGERS GROUP COM 008252108 1 5 SH SOLE 0 0 0 5 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 88 3600 SH SOLE 0 0 0 3600 AMERICAN EXPRESS CO COM 025816109 18 226 SH SOLE 0 0 0 226 CHUBB CORP COM 171232101 80 790 SH SOLE 0 0 0 790 ARCHER DANIELS MIDLAND CO COM 039483102 0 2 SH SOLE 0 0 0 2 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 51 SH SOLE 0 0 0 51 EXPRESS SCRIPTS HLDG CO COM 30219G108 119 1368 SH SOLE 0 0 0 1368 DOW CHEM CO COM 260543103 15 315 SH SOLE 0 0 0 315 ACTAVIS PLC SHS G0083B108 1 5 SH SOLE 0 0 0 5 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 1453 35555 SH SOLE 0 0 0 35555 BERKSHIRE HATHAWAY INC DEL CL A 084670108 653 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 114 1250 SH SOLE 0 0 0 1250 PLUM CREEK TIMBER CO INC COM 729251108 1506 34655 SH SOLE 0 0 0 34655 PNM RES INC COM 69349H107 86 2934 SH SOLE 0 0 0 2934 NETFLIX INC COM 64110L106 8 18 SH SOLE 0 0 0 18 ENSCO PLC SHS CLASS A G3157S106 1 27 SH SOLE 0 0 0 27 ISHARES TR CORE US AGGBD ET 464287226 48 430 SH SOLE 0 0 0 430 FRONTIER COMMUNICATIONS CORP COM 35906A108 3 400 SH SOLE 0 0 0 400 W P CAREY INC COM 92936U109 454 6671 SH SOLE 0 0 0 6671 ISHARES TR TIPS BD ETF 464287176 3 30 SH SOLE 0 0 0 30 CARNIVAL CORP PAIRED CTF 143658300 16 330 SH SOLE 0 0 0 330 CLOROX CO DEL COM 189054109 99 900 SH SOLE 0 0 0 900 SCHEIN HENRY INC COM 806407102 130 931 SH SOLE 0 0 0 931 SHIRE PLC SPONSORED ADR 82481R106 6 23 SH SOLE 0 0 0 23 MUELLER INDS INC COM 624756102 97 2691 SH SOLE 0 0 0 2691 LENNAR CORP CL A 526057104 68 1309 SH SOLE 0 0 0 1309 CONSOLIDATED EDISON INC COM 209115104 150 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 446 33950 SH SOLE 0 0 0 33950 TIFFANY & CO NEW COM 886547108 8 95 SH SOLE 0 0 0 95 FREEPORT-MCMORAN INC CL B 35671D857 4 200 SH SOLE 0 0 0 200 TRAVELERS COMPANIES INC COM 89417E109 8 76 SH SOLE 0 0 0 76 WEYERHAEUSER CO COM 962166104 162 4900 SH SOLE 0 0 0 4900 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 LEUCADIA NATL CORP COM 527288104 13 600 SH SOLE 0 0 0 600 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 10 160 SH SOLE 0 0 0 160 RAYONIER INC COM 754907103 5 201 SH SOLE 0 0 0 201 PRICE T ROWE GROUP INC COM 74144T108 300 3700 SH SOLE 0 0 0 3700 WEINGARTEN RLTY INVS SH BEN INT 948741103 8 225 SH SOLE 0 0 0 225 STANLEY BLACK & DECKER INC COM 854502101 140 1468 SH SOLE 0 0 0 1468 SNAP ON INC COM 833034101 108 736 SH SOLE 0 0 0 736 REYNOLDS AMERICAN INC COM 761713106 34 500 SH SOLE 0 0 0 500 HARSCO CORP COM 415864107 54 3100 SH SOLE 0 0 0 3100 CHURCH & DWIGHT INC COM 171340102 98 1153 SH SOLE 0 0 0 1153 NOVO-NORDISK A S ADR 670100205 3 60 SH SOLE 0 0 0 60 WHIRLPOOL CORP COM 963320106 10 48 SH SOLE 0 0 0 48 BECTON DICKINSON & CO COM 075887109 86 597 SH SOLE 0 0 0 597 ENTERPRISE PRODS PARTNERS L COM 293792107 8 250 SH SOLE 0 0 0 250 METLIFE INC COM 59156R108 6 123 SH SOLE 0 0 0 123 COOPER COS INC COM NEW 216648402 13 68 SH SOLE 0 0 0 68 YUM BRANDS INC COM 988498101 119 1509 SH SOLE 0 0 0 1509 AMPHENOL CORP NEW CL A 032095101 136 2316 SH SOLE 0 0 0 2316 TRANSCANADA CORP COM 89353D107 128 2997 SH SOLE 0 0 0 2997 GOOGLE INC CL A 38259P508 38 68 SH SOLE 0 0 0 68 STONE ENERGY CORP COM 861642106 0 30 SH SOLE 0 0 0 30 DIRECTV COM 25490A309 105 1234 SH SOLE 0 0 0 1234 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 670 74000 SH SOLE 0 0 0 74000 NORDSTROM INC COM 655664100 11 140 SH SOLE 0 0 0 140 DENTSPLY INTL INC NEW COM 249030107 76 1500 SH SOLE 0 0 0 1500 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 31 500 SH SOLE 0 0 0 500 VANGUARD INDEX FDS VALUE ETF 922908744 22 265 SH SOLE 0 0 0 265 VANGUARD INDEX FDS SM CP VAL ETF 922908611 59 543 SH SOLE 0 0 0 543 VANGUARD INDEX FDS REIT ETF 922908553 262 3103 SH SOLE 0 0 0 3103 CHENIERE ENERGY INC 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SOLE 0 0 0 114 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 3315 260200 SH SOLE 0 0 0 260200 NUVEEN NY PERFORM PLUS MUN F COM 67062R104 171 11600 SH SOLE 0 0 0 11600 NUVEEN NY SELECT TAX FREE PR SH BEN INT 67063V104 420 29735 SH SOLE 0 0 0 29735 SL GREEN RLTY CORP COM 78440X101 28 215 SH SOLE 0 0 0 215 NUVEEN CAL AMT-FREE MUN INC COM 670651108 644 43073 SH SOLE 0 0 0 43073 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1990 40829 SH SOLE 0 0 0 40829 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 12 103 SH SOLE 0 0 0 103 ISHARES IBOXX HI YD ETF 464288513 4511 49782 SH SOLE 0 0 0 49782 ISHARES 1-3 YR CR BD ETF 464288646 156 1475 SH SOLE 0 0 0 1475 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 10 150 SH SOLE 0 0 0 150 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 0 4 SH SOLE 0 0 0 4 TRINA SOLAR LIMITED SPON ADR 89628E104 2 200 SH SOLE 0 0 0 200 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 72 2500 SH SOLE 0 0 0 2500 ISHARES INTL SEL DIV ETF 464288448 94 2793 SH SOLE 0 0 0 2793 WISDOMTREE TR EMERG MKTS ETF 97717W315 217 5102 SH SOLE 0 0 0 5102 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 238 5972 SH SOLE 0 0 0 5972 ISHARES NAT AMT FREE BD 464288414 615 5565 SH SOLE 0 0 0 5565 SPDR SERIES TRUST NUVN BRCLY MUNI 78464A458 1853 76500 SH SOLE 0 0 0 76500 TIME WARNER CABLE INC COM 88732J207 4 25 SH SOLE 0 0 0 25 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2736 27564 SH SOLE 0 0 0 27564 FIRST TR ISE WATER INDEX FD COM 33733B100 6 198 SH SOLE 0 0 0 198 CLAYMORE EXCHANGE TRD FD TR GUGG TIMBER ETF 18383Q879 519 20245 SH SOLE 0 0 0 20245 NUVEEN NJ DIV ADVANTAGE MUN COM 67069Y102 586 42727 SH SOLE 0 0 0 42727 WISDOMTREE TR EMG MKTS SMCAP 97717W281 971 21962 SH SOLE 0 0 0 21962 ISHARES INTL DEV RE ETF 464288489 184 5920 SH SOLE 0 0 0 5920 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 2448 95884 SH SOLE 0 0 0 95884 ISHARES INTERM CR BD ETF 464288638 332 3000 SH SOLE 0 0 0 3000 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 231 5880 SH SOLE 0 0 0 5880 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 17 468 SH SOLE 0 0 0 468 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 18 394 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 23 342 SH SOLE 0 0 0 342 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 8 246 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 3566 72089 SH SOLE 0 0 0 72089 MSCI INC COM 55354G100 1 18 SH SOLE 0 0 0 18 VISA INC COM CL A 92826C839 39 592 SH SOLE 0 0 0 592 PHILIP MORRIS INTL INC COM 718172109 47 618 SH SOLE 0 0 0 618 FEI CO COM 30241L109 23 300 SH SOLE 0 0 0 300 ISHARES MSCI ACWI US ETF 464288240 472 10551 SH SOLE 0 0 0 10551 FIRST TR FTSE EPRA/NAREIT DE COM 33736N101 6 124 SH SOLE 0 0 0 124 SPDR SERIES TRUST NUVN BR NY MUNI 78464A433 167 7100 SH SOLE 0 0 0 7100 NUVEEN NY DIV ADVANTG MUN FD COM 67070A101 10980 810369 SH SOLE 0 0 0 810369 ISHARES NY AMTFRE MU ETF 464288323 168 1500 SH SOLE 0 0 0 1500 POWERSHARES GLOBAL ETF TRUST NY MUNI BD ETF 73936T458 2045 83555 SH SOLE 0 0 0 83555 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 1079 24121 SH SOLE 0 0 0 24121 ATHENAHEALTH INC COM 04685W103 48 400 SH SOLE 0 0 0 400 SPAR GROUP INC COM 784933103 2 1200 SH SOLE 0 0 0 1200 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 4 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 23 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 61 1020 SH SOLE 0 0 0 1020 ISHARES GL TIMB FORE ETF 464288174 4745 86865 SH SOLE 0 0 0 86865 WISDOMTREE TR AUST NEW ZEAL DB 97717W216 159 8819 SH SOLE 0 0 0 8819 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 207 3355 SH SOLE 0 0 0 3355 MARKET VECTORS ETF TR INDONESIA ETF 57060U753 30 1200 SH SOLE 0 0 0 1200 HSN INC COM 404303109 103 1514 SH SOLE 0 0 0 1514 TRIPADVISOR INC COM 896945201 25 300 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 181 12200 SH SOLE 0 0 0 12200 NUVEEN CALIF MUNICPAL VALU F COM 6706EB106 1291 77613 SH SOLE 0 0 0 77613 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 345 3935 SH SOLE 0 0 0 3935 AVAGO TECHNOLOGIES LTD SHS Y0486S104 6 51 SH SOLE 0 0 0 51 CLEANTECH SOLUTIONS INTL INC COM NEW 18451N204 3 1000 SH SOLE 0 0 0 1000 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 48 955 SH SOLE 0 0 0 955 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 117 3878 SH SOLE 0 0 0 3878 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1391 28060 SH SOLE 0 0 0 28060 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 4614 57521 SH SOLE 0 0 0 57521 AOL INC COM 00184X105 0 9 SH SOLE 0 0 0 9 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 156 2703 SH SOLE 0 0 0 2703 PIMCO ETF TR INTER MUN BD ACT 72201R866 604 11220 SH SOLE 0 0 0 11220 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 220 7311 SH SOLE 0 0 0 7311 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 582 23906 SH SOLE 0 0 0 23906 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 444 6715 SH SOLE 0 0 0 6715 SPDR SERIES TRUST BARC SHT TR CP 78464A474 1853 60250 SH SOLE 0 0 0 60250 MARKET VECTORS ETF TR EGYPT INDX ETF 57061R569 6 100 SH SOLE 0 0 0 100 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 465 15325 SH SOLE 0 0 0 15325 FINANCIAL ENGINES INC COM 317485100 4 101 SH SOLE 0 0 0 101 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 53 598 SH SOLE 0 0 0 598 NUVEEN BUILD AMER BD FD COM 67074C103 16899 795635 SH SOLE 0 0 0 795635 SPDR SERIES TRUST BRC BLD AMER BD 78464A276 646 10100 SH SOLE 0 0 0 10100 TESLA MTRS INC COM 88160R101 42 223 SH SOLE 0 0 0 223 WISDOMTREE TR EM LCL DEBT FD 97717X867 59 1480 SH SOLE 0 0 0 1480 ALPS ETF TR ALERIAN MLP 00162Q866 71 4300 SH SOLE 0 0 0 4300 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 8 44 SH SOLE 0 0 0 44 EXAMWORKS GROUP INC COM 30066A105 27 645 SH SOLE 0 0 0 645 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 191 3400 SH SOLE 0 0 0 3400 CREDIT SUISSE NASSAU BRH INVRS VIX STERM 22542D795 19 550 SH SOLE 0 0 0 550 NUVEEN BUILD AMER BD OPPTNY COM 67074Q102 13625 627282 SH SOLE 0 0 0 627282 SCHWAB STRATEGIC TR US REIT ETF 808524847 6 140 SH SOLE 0 0 0 140 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 0 2 SH SOLE 0 0 0 2 VANGUARD STAR FD VG TL INTL STK F 921909768 20 400 SH SOLE 0 0 0 400 NUVEEN ENERGY MLP TOTL RTRNF COM 67074U103 1035 56494 SH SOLE 0 0 0 56494 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 2027 84128 SH SOLE 0 0 0 84128 TESORO LOGISTICS LP COM UNIT LP 88160T107 8 150 SH SOLE 0 0 0 150 POINTS INTL LTD COM NEW 730843208 13 1300 SH SOLE 0 0 0 1300 DUNKIN BRANDS GROUP INC COM 265504100 5 104 SH SOLE 0 0 0 104 ISHARES EM MKT SM-CP ETF 464286475 52 1090 SH SOLE 0 0 0 1090 WPX ENERGY INC COM 98212B103 0 26 SH SOLE 0 0 0 26 ISHARES MSCI FRNTR100ETF 464286145 193 6473 SH SOLE 0 0 0 6473 PHILLIPS 66 COM 718546104 40 511 SH SOLE 0 0 0 511 ORGANOVO HLDGS INC COM 68620A104 1 360 SH SOLE 0 0 0 360 SPDR SER TR SHT TRM HGH YLD 78468R408 6484 222135 SH SOLE 0 0 0 222135 WISDOMTREE TR WSDM EMKTBD FD 97717X784 7 100 SH SOLE 0 0 0 100 FACEBOOK INC CL A 30303M102 151 1831 SH SOLE 0 0 0 1831 GLOBAL X FDS GLBL X MLP ETF 37950E473 46 3000 SH SOLE 0 0 0 3000 SERVICENOW INC COM 81762P102 1 15 SH SOLE 0 0 0 15 KRAFT FOODS GROUP INC COM 50076Q106 35 407 SH SOLE 0 0 0 407 ISHARES INC CORE MSCI EMKT 46434G103 6915 143072 SH SOLE 0 0 0 143072 ISHARES TR CORE MSCITOTAL 46432F834 492 8878 SH SOLE 0 0 0 8878 ISHARES TR CORE MSCI EAFE 46432F842 4903 83824 SH SOLE 0 0 0 83824 ABBVIE INC COM 00287Y109 47 811 SH SOLE 0 0 0 811 NUVEEN INT DUR QUAL MUN TRM COM 670677103 160 12300 SH SOLE 0 0 0 12300 VALERO ENERGY PARTNERS LP COM UNT REP LP 91914J102 68 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 1719 34896 SH SOLE 0 0 0 34896 DOUBLELINE INCOME SOLUTIONS COM 258622109 165 8335 SH SOLE 0 0 0 8335 MURPHY USA INC COM 626755102 1 7 SH SOLE 0 0 0 7 FOUNDATION MEDICINE INC COM 350465100 26 550 SH SOLE 0 0 0 550 EMPIRE ST RLTY OP L P UNIT LTD PRTNSP 292102100 40 2151 SH SOLE 0 0 0 2151 FIDELITY MSCI ENERGY IDX 316092402 5 220 SH SOLE 0 0 0 220 SANTANDER CONSUMER USA HDG I COM 80283M101 23 1000 SH SOLE 0 0 0 1000 MARKET VECTORS ETF TR SHT HG MUN ETF 57061R486 5629 221437 SH SOLE 0 0 0 221437 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 107 1728 SH SOLE 0 0 0 1728 FIDELITY MSCI MATLS INDEX 316092881 57 2070 SH SOLE 0 0 0 2070 PROSHARES TR PSHS ULSHT SP500 74347B300 1 1000 SH Call SOLE 0 0 0 1000 GOOGLE INC CL C 38259P706 24 44 SH SOLE 0 0 0 44 SPDR SER TR BRCLY HGH YIEL 78468R846 2 79 SH SOLE 0 0 0 79 TIME INC NEW COM 887228104 0 18 SH SOLE 0 0 0 18 NOW INC COM 67011P100 4 200 SH SOLE 0 0 0 200 ISHARES TR CORE MSCI EURO 46434V738 14 300 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 794 15645 SH SOLE 0 0 0 15645 OVERSEAS SHIPHOLDING GROUP I COM CL B 69036R400 0 26 SH SOLE 0 0 0 26 AVALANCHE BIOTECHNOLOGIES IN COM 05337G107 108 2656 SH SOLE 0 0 0 2656 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 22 260 SH SOLE 0 0 0 260 CDK GLOBAL INC COM 12508E101 5 100 SH SOLE 0 0 0 100 HALYARD HEALTH INC COM 40650V100 2 33 SH SOLE 0 0 0 33 COCA COLA CO COM 191216100 0 2500 SH Put SOLE 0 0 0 2500 WAL-MART STORES INC COM 931142103 1 1500 SH Put SOLE 0 0 0 1500 CME GROUP INC COM 12572Q105 3 1000 SH Call SOLE 0 0 0 1000 SPDR S&P 500 ETF TR TR UNIT 78462F103 1 4500 SH Put SOLE 0 0 0 4500 WALGREENS BOOTS ALLIANCE INC COM 931427108 0 1500 SH Put SOLE 0 0 0 1500 CLOROX CO DEL COM 189054109 0 700 SH Put SOLE 0 0 0 700 SHAKE SHACK INC CL A 819047101 1 21 SH SOLE 0 0 0 21 SPDR S&P 500 ETF TR TR UNIT 78462F103 3 1000 SH Put SOLE 0 0 0 1000 CME GROUP INC COM 12572Q105 2 1500 SH Call SOLE 0 0 0 1500 CME GROUP INC COM 12572Q105 2 2500 SH Call SOLE 0 0 0 2500 CLOROX CO DEL COM 189054109 0 900 SH Put SOLE 0 0 0 900 WALGREENS BOOTS ALLIANCE INC COM 931427108 1 1000 SH Put SOLE 0 0 0 1000 WISDOMTREE TR EUR HDG SMLCAP 97717X552 23 900 SH SOLE 0 0 0 900 CME GROUP INC COM 12572Q105 4 2500 SH Call SOLE 0 0 0 2500