0001481986-11-000012.txt : 20111114 0001481986-11-000012.hdr.sgml : 20111111 20111114171756 ACCESSION NUMBER: 0001481986-11-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DRW Securities, LLC CENTRAL INDEX KEY: 0001481986 IRS NUMBER: 364202848 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13722 FILM NUMBER: 111204458 BUSINESS ADDRESS: STREET 1: 540 WEST MADISON STREET STREET 2: SUITE 2500 CITY: CHICAGO STATE: IL ZIP: 60661 BUSINESS PHONE: 312-542-1000 MAIL ADDRESS: STREET 1: 540 WEST MADISON STREET STREET 2: SUITE 2500 CITY: CHICAGO STATE: IL ZIP: 60661 13F-HR 1 r13f-0930.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Septmeber 30, 2011 Check here if Amendment []; Amendment Number: This Amendment (check only one): [] is a restatement [] adds new holdings entries Insitutional Investment Manager Filing this Report: Name: DRW Holdings, LLC Address: 540 West Madison St, Suite 2500 Chicago, IL 60661 File Number: 28-13722 This instituional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this submission. Person Signing this Report on Behalf of Reporting Manager: Name: Donald R. Wilson, Jr Title: Manager Phone: 312-542-1000 Signature, Place, and Date of Signing: Donald R. Wilson, Jr Chicago, IL November 14, 2011 Report Type (Check only one.): [X] 13F HOLDINGS REPORT [] 13F NOTICE [] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 259 Form 13F Information Table Value Total: $429,131 List of Other Included Managers: No. 13F File Number Name 02 28-13722 DRW SECURITIES, LLC FORM 13F INFORMATION TABLE NAME OF ISSUER TITLE OF CLASS CUSIP VALUE SHARES/ SH/ PUT/ INVESTMENT OTHER VOTING (x$1000)PRN AMT PRN CALL DISCRETION MANAGERS AUTHORITY A123 SYS INC NOTE 3.750% 4/1 03739TAA6 3238 5000000 SH 2 NONE ADVANCED MICRO DEVICES INC COM 007903107 77 15068 SH 2 NONE AGNICO EAGLE MINES LTD COM 008474108 311 5226 SH 2 NONE AMERICAN DENTAL PARTNERS COM 025353103 496 51355 SH 2 NONE APPLIED MATLS INC COM 038222105 239 23101 SH 2 NONE ATS CORP COM 00211E104 83 26204 SH 2 NONE AVAGO TECHNOLOGIES LTD SHS Y0486S104 216 6604 SH 2 NONE BARRICK GOLD CORP COM 67901108 1368 29327 SH 2 NONE BROADBAND HOLDRS TR DEPOSITRY RCPT 11130P104 589 45700 SH 2 NONE BROADCOM CORP CL A 111320107 207 6228 SH 2 NONE CLAYMORE EXCHANGE TRD FD TR GUGG CA ENRG INC18383Q606 192 13552 SH 2 NONE CLAYMORE EXCHANGE TRD FD TR GUGG TIMBER ETF 18383Q879 261 16402 SH 2 NONE CLAYMORE EXCHANGE TRD FD TR GUGG FRNTR MKT 18383Q838 442 24306 SH 2 NONE CLAYMORE EXCHANGE TRD FD TR GUGG INSDR SENT 18383M209 1189 43174 SH 2 NONE CLAYMORE EXCHANGE TRD FD TR GUGG SOLAR ETF 18383M621 48 14733 SH 2 NONE CME GROUP INC COM 12572Q105 2957 12001 SH 1 NONE DIREXION SHS ETF TR DLY TECH BULL 3X 25459W102 276 9008 SH 2 NONE DIREXION SHS ETF TR DLY SMCAP BULL3X 25459W847 482 14610 SH 2 NONE DIREXION SHS ETF TR RETAIL BULL 2X 25459W417 730 13549 SH 2 NONE DIREXION SHS ETF TR DLY TECH BEAR 3X 25459W318 884 37945 SH 2 NONE DIREXION SHS ETF TR DLY ENRGY BULL3X 25459W888 921 29297 SH 2 NONE DIREXION SHS ETF TR 7 10YR TRES BULL 25459W565 1148 14868 SH 2 NONE DIREXION SHS ETF TR 20YR TRES BEAR 25459W532 1169 75592 SH 2 NONE DIREXION SHS ETF TR DLY SCOND 3XBR 25459W128 1863 21219 SH 2 NONE DIREXION SHS ETF TR DLY FIN BEAR NEW 25459W144 10574 160281 SH 2 NONE EGA EMERGING GLOBAL SHS TR EGS INDIA SC ETF 268461811 378 25801 SH 2 NONE EGA EMERGING GLOBAL SHS TR EGS EMKTCONS ETF 268461779 450 22660 SH 2 NONE ESSEX RENT CORP COM 297187106 84 34100 SH 2 NONE FIDELITY COMWLTH TR NDQ CP IDX TRK 315912808 1310 13775 SH 2 NONE FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 390 22748 SH 2 NONE FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 248 16845 SH 2 NONE FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 722 43573 SH 2 NONE FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 840 28639 SH 2 NONE FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 1732 94819 SH 2 NONE FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 2292 125576 SH 2 NONE FIRST TR ISE REVERE NAT GAS COM 33734J102 1424 90015 SH 2 NONE FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 2280 90662 SH 2 NONE FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 5057 206258 SH 2 NONE FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 2040 71661 SH 2 NONE FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 432 16162 SH 2 NONE FIRST TR NASDAQ ABA CMNTY BKUT COM SHS ETF 33736Q104 215 11223 SH 2 NONE FIRST TR NASDAQ100 TECH INDE SHS 337345102 1184 54516 SH 2 NONE FIRST TR S&P REIT INDEX FD COM 33734G108 1427 105093 SH 2 NONE FIRST TR VALUE LINE 100 ETF COM SHS 33735G107 144 13583 SH 2 NONE FORCE PROTECTION INC COM NEW 345203202 154 40000 SH 2 NONE GENERAL MTRS CO COM 37045V100 5550 275000 SH 2 NONE GLOBAL X FDS GLB X FERTIL 37950E499 138 11557 SH 2 NONE GLOBAL X FDS CHINA CONS ETF 37950E408 318 25041 SH 2 NONE GOLDCORP INC NEW COM 380956409 916 20076 SH 2 NONE GRACE W R & CO DEL NEW COM 38388F108 3963 119000 SH 2 NONE GYRODYNE CO AMER INC COM 403820103 860 16071 SH 2 NONE INDEXIQ ETF TR GLB AGRI SM CP 45409B834 270 12373 SH 2 NONE INDEXIQ ETF TR AUST SM CP ETF 45409B826 426 20323 SH 2 NONE INTERNET ARCHITECTURE HOLDR DEPOSITRY RCPT 46060A107 971 17800 SH 2 NONE ISHARES INC MSCI MALAYSIA 464286830 137 11203 SH 2 NONE ISHARES INC MSCI FRANCE 464286707 247 12949 SH 2 NONE ISHARES INC MSCI TAIWAN 464286731 254 21510 SH 2 NONE ISHARES INC DJ BROKER-DEAL 464288794 255 12803 SH 2 NONE ISHARES INC MSCI PAC J IDX 464286665 529 14377 SH 2 NONE ISHARES INC MSCI STH AFRCA 464286780 801 14160 SH 2 NONE ISHARES TR NYSE 100INX FD 464287135 212 3959 SH 2 NONE ISHARES TR LRGE GRW INDX 464287119 231 3834 SH 2 NONE ISHARES TR DJ US FINL SVC 464287770 251 6103 SH 2 NONE ISHARES TR DJ REGIONAL BK 464288778 263 14534 SH 2 NONE ISHARES TR RUSL 3000 VALU 464287663 284 3841 SH 2 NONE ISHARES TR S&P GL INDUSTR 464288729 315 7200 SH 2 NONE ISHARES TR DJ AEROSPACE 464288760 316 5797 SH 2 NONE ISHARES TR S&P GLO INFRAS 464288372 326 10213 SH 2 NONE ISHARES TR MSCI SMALL CP 464288273 336 9629 SH 2 NONE ISHARES TR DJ INS INDX FD 464288786 340 13410 SH 2 NONE ISHARES TR NYSE COMP INDX 464287143 369 5836 SH 2 NONE ISHARES TR S&P NA MULTIMD 464287531 397 15775 SH 2 NONE ISHARES TR TRANSP AVE IDX 464287192 415 5512 SH 2 NONE ISHARES TR MSCI ESG SEL SOC 464288802 563 11272 SH 2 NONE ISHARES TR RUSSELL1000GRW 464287614 568 10801 SH 2 NONE ISHARES TR DJ US ENERGY 464287796 570 16827 SH 2 NONE ISHARES TR MSCI KLD400 SOC 464288570 670 15830 SH 2 NONE ISHARES TR BARCLYS 1-3YR CR 464288646 765 7361 SH 2 NONE ISHARES TR S&P 1500 INDEX 464287150 799 15579 SH 2 NONE ISHARES TR DJ US HEALTHCR 464287762 822 12584 SH 2 NONE ISHARES TR DJ US BAS MATL 464287838 972 17227 SH 2 NONE ISHARES TR DJ OIL&GAS EXP 464288851 1030 20117 SH 2 NONE ISHARES TR S&P GTFIDX ETF 464288174 1048 30554 SH 2 NONE ISHARES TR MID CORE INDEX 464288208 1052 14023 SH 2 NONE ISHARES TR S&P MC 400 GRW 464287606 1113 12389 SH 2 NONE ISHARES TR SMLL CORE INDX 464288505 1114 15267 SH 2 NONE ISHARES TR DJ OIL EQUIP 464288844 1126 25974 SH 2 NONE ISHARES TR REAL EST 50 IN 464288521 1147 36104 SH 2 NONE ISHARES TR RUSL 3000 GROW 464287671 1233 28835 SH 2 NONE ISHARES TR RUSSELL 2000 464287655 1274 19812 SH 2 NONE ISHARES TR RESIDENT PLS CAP 464288562 1460 37637 SH 2 NONE ISHARES TR SMLL GRWTH IDX 464288604 1758 23981 SH 2 NONE ISHARES TR DJ US TECH SEC 464287721 1902 32159 SH 2 NONE ISHARES TR RUSL 2000 GROW 464287648 2125 28917 SH 2 NONE ISHARES TR DJ US INDUSTRL 464287754 2280 41496 SH 2 NONE ISHARES TR S&P 500 VALUE 464287408 2401 46557 SH 2 NONE ISHARES TR BARCLYS 7-10 YR 464287440 3378 32150 SH 2 NONE ISHARES TR RUSSELL1000VAL 464287598 5175 91446 SH 2 NONE ISHARES TR BARCLYS TIPS BD 464287176 7575 66276 SH 2 NONE ISHARES TR RUSSELL MCP GR 464287481 8374 168685 SH 2 NONE ISHARES TR BARCLYS 3-7 YR 464288661 9102 74923 SH 2 NONE ISHARES TR BARCLYS 20+ YR 464287432 25875 214196 SH 2 NONE JAVELIN EXCHANGE-TRADED TR JETS CNTRA OPS 471892208 1386 39233 SH 2 NONE KINROSS GOLD CORP COM NO PAR 496902404 824 55779 SH 2 NONE LYONDELLBASELL INDUSTRIES N SHS A N53745100 992 40600 SH 2 NONE MARKET VECTORS ETF TR GBL ALTER ENRG 57060U407 191 15600 SH 2 NONE MARKET VECTORS ETF TR INDIA SMALL CP 57060U563 193 16257 SH 2 NONE MARKET VECTORS ETF TR AFRICA ETF 57060U787 247 9532 SH 2 NONE MARKET VECTORS ETF TR GULF STS ETF 57060U779 310 15616 SH 2 NONE MARKET VECTORS ETF TR RVE HARD ETF 57060U795 494 15900 SH 2 NONE MARKET VECTORS ETF TR MV ENVIR SVCS 57060U209 683 15065 SH 2 NONE MARKET VECTORS ETF TR GAMING ETF 57060U829 707 25461 SH 2 NONE MICRON TECHNOLOGY INC COM 595112103 89 17658 SH 2 NONE MISSION NEWENERGY LTD SHS NEW Q62163110 228 52300 SH 2 NONE MORGAN STANLEY COM NEW 617446448 158 11675 SH 2 NONE MORTONS RESTAURANT GRP INC N PFD CV SER A 619430200 106 24600 SH 2 NONE NEWMONT MINING CORP COM 651639106 1003 15935 SH 2 NONE NXP SEMICONDUCTORS N V COM N6596X109 184 13052 SH 2 NONE ODYSSEY MARINE EXPLORATION I COM 676118102 44 18000 SH 2 NONE PHARMASSET INC COM 71715N106 297 3602 SH 2 NONE PIMCO ETF TR 3-7YR US TREAS 72201R601 1185 14549 SH 2 NONE PIMCO ETF TR 1-3YR USTREIDX 72201R106 2206 43119 SH 2 NONE POWERSHARES ACTIVE MNG ETF T US REAL EST FD 73935B508 470 10569 SH 2 NONE POWERSHARES ETF TR II EMRG MKTS INFR 73937B209 393 11403 SH 2 NONE POWERSHARES ETF TR II S&P SMCP HC PO 73937B886 1328 48097 SH 2 NONE POWERSHARES ETF TR II S&P SMCP ENE P 73937B704 4018 149184 SH 2 NONE POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 129 23756 SH 2 NONE POWERSHARES ETF TRUST GBL LSTD PVT EQT 73935X195 137 17858 SH 2 NONE POWERSHARES ETF TRUST DYN BLDG CNSTR 73935X666 206 20643 SH 2 NONE POWERSHARES ETF TRUST BASIC MAT SECT 73935X427 210 7523 SH 2 NONE POWERSHARES ETF TRUST DYNA BUYBK ACH 73935X286 217 9204 SH 2 NONE POWERSHARES ETF TRUST DYN SFTWR PORT 73935X773 237 10887 SH 2 NONE POWERSHARES ETF TRUST DYN LSR & ENT 73935X757 317 19626 SH 2 NONE POWERSHARES ETF TRUST DYN EN EX PROD 73935X658 322 16910 SH 2 NONE POWERSHARES ETF TRUST FND PUR MIDCR PT 73935X443 382 17530 SH 2 NONE POWERSHARES ETF TRUST TECH SECT PORT 73935X344 415 19836 SH 2 NONE POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 419 7996 SH 2 NONE POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 456 26613 SH 2 NONE POWERSHARES ETF TRUST WATER RESOURCE 73935X575 732 48729 SH 2 NONE POWERSHARES ETF TRUST NASD INTNT ETF 73935X146 1593 50075 SH 2 NONE POWERSHARES ETF TRUST DWA TECH LDRS 73935X153 2459 111980 SH 2 NONE POWERSHARES ETF TRUST DIV ACHV PRTF 73935X732 239 17746 SH 2 NONE POWERSHARES ETF TRUST II DWA DEVEL MKTS 73936Q108 202 12268 SH 2 NONE POWERSHARES ETF TRUST II GLOBL AGRI ETF 73936Q702 289 11276 SH 2 NONE POWERSHARES ETF TRUST II DWA EMRG MKTS 73936Q207 1022 71493 SH 2 NONE POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 249 9504 SH 2 NONE POWERSHARES GLOBAL ETF TRUST GBL WTR PORT 73936T623 291 18638 SH 2 NONE POWERSHARES GLOBAL ETF TRUST DEV INTL OPP 73936T805 310 21293 SH 2 NONE POWERSHARES GLOBAL ETF TRUST ASIA PAC EX-JP 73936T854 365 8395 SH 2 NONE POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 223 12681 SH 2 NONE POWERSHARES QQQ TRUST UNIT SER 1 73935A104 441 8400 SH 2 NONE PREMIER EXIBITIONS INC COM 74051E102 657 351300 SH 2 NONE PROSHARES TR PSHS ULSHT SP500 74347R883 201 7900 SH 2 NONE PROSHARES TR PSHS ULT MDCP GR 74347R511 205 5844 SH 2 NONE PROSHARES TR PSHS ULSH2000 GR 74347X195 254 4756 SH 2 NONE PROSHARES TR PSHS ULT MCP VAL 74347R495 271 10344 SH 2 NONE PROSHARES TR PSHS ULSHT MC GR 74347X187 273 4418 SH 2 NONE PROSHARES TR PSHS ULTRA UTIL 74347R685 277 5812 SH 2 NONE PROSHARES TR PSHS ULSH 1000 VA 74347R453 289 7654 SH 2 NONE PROSHARES TR PSHS ULT MCAP400 74347R404 355 7902 SH 2 NONE PROSHARES TR PSHS ULTSHRT QQQ74347X237 394 7241 SH 2 NONE PROSHARES TR ULTRPRO DOW30 74347X823 587 6149 SH 2 NONE PROSHARES TR PSHS SHTFINAL ETF 74347R230 645 14751 SH 2 NONE PROSHARES TR PSHS ULTRA QQQ 74347R206 702 9619 SH 2 NONE PROSHARES TR PSHS CONSMRGDS 74347R768 793 12036 SH 2 NONE PROSHARES TR PSHS ULTSHT FINL 74347X146 1022 12115 SH 2 NONE PROSHARES TR ULTRAPRO QQQ 74347X831 1076 18176 SH 2 NONE PROSHARES TR PSHS SHRTDOW30 74347R701 1252 28169 SH 2 NONE PROSHARES TR PSHS ULSHRUS2000 74348A202 1284 21997 SH 2 NONE PROSHARES TR PSHS ULSH SC 600 74348A400 1297 21622 SH 2 NONE PROSHARES TR ULTPR SHRT QQQ 74347X666 1473 55270 SH 2 NONE PROSHARES TR PSHS ULT HLTHCRE 74347R735 1495 29089 SH 2 NONE PROSHARES TR PSHS TECHNOLOGY 74347X153 1524 24038 SH 2 NONE PROSHARES TR PSHS ULT SEMICDT 74347R669 1665 57721 SH 2 NONE PROSHARES TR ULTRA 20YR TRE 74347R172 1698 12727 SH 2 NONE PROSHARES TR ULTR 7-10 TREA 74347R180 1732 16548 SH 2 NONE PROSHARES TR PUT 74347R297 57 14837 SH PUT 1 NONE REGIONAL BK HOLDRS TR DEPOSITRY RCPT 75902E100 801 12800 SH 2 NONE REVENUESHARES ETF TR S&P500 FINL FD 761396506 221 9789 SH 2 NONE REVENUESHARES ETF TR SMALL CAP FD 761396308 994 36567 SH 2 NONE RUSSELL EXCHANGE TRADED FDS EQUITY INCOME 782474712 895 21500 SH 2 NONE RUSSELL EXCHANGE TRADED FDS CONSIST GRWTH 782474746 1100 25900 SH 2 NONE RYDEX ETF TRUST TECHNOLOGY ETF 78355W817 237 5230 SH 2 NONE RYDEX ETF TRUST FINANCIAL ETF 78355W858 267 12316 SH 2 NONE RYDEX ETF TRUST TOP 50 ETF 78355W205 894 10853 SH 2 NONE RYDEX ETF TRUST ENERGY ETF 78355W866 1147 21957 SH 2 NONE RYDEX ETF TRUST RUSS MIDCAP EQ 78355W577 1294 47145 SH 2 NONE RYDEX ETF TRUST S&PSC600 PURGR 78355W809 1313 30461 SH 2 NONE RYDEX ETF TRUST S&P500 PUR VAL 78355W304 1569 61711 SH 2 NONE RYDEX ETF TRUST S&P500 PUR GRW 78355W403 2626 66396 SH 2 NONE RYDEX ETF TRUST S&PMC400 PURGR 78355W601 6710 91680 SH 2 NONE SCHWAB STRATEGIC TR US REIT ETF 808524847 226 9649 SH 2 NONE SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 331 15587 SH 2 NONE SCHWAB STRATEGIC TR SHT TM US TRES 808524862 394 7803 SH 2 NONE SCHWAB STRATEGIC TR US SML CAP ETF 808524607 559 19480 SH 2 NONE SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 758 27975 SH 2 NONE SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 1620 30460 SH 2 NONE SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 261 8797 SH 2 NONE SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 396 16794 SH 2 NONE SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 812 27660 SH 2 NONE SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 15659 1325950 SH 2 NONE SOFTWARE HOLDRS TR DEPOSITRY RCPT 83404B103 348 8000 SH 2 NONE SPANSION INC COM CL A NEW 84649R200 956 78227 SH 2 NONE SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1301 11942 SH 2 NONE SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 226 4047 SH 2 NONE SPDR S&P 500 ETF TR TR UNIT 78462F103 37822 334266 SH 2 NONE SPDR S&P 500 ETF TR CALL 78462F103 7809 42421 SH CALL 2 NONE SPDR S&P 500 ETF TR PUT 78462F103 63620 94064 SH PUT 2 NONE SPDR SERIES TRUST DJ REIT ETF 78464A607 205 3636 SH 2 NONE SPDR SERIES TRUST S&P PHARMAC 78464A722 257 5626 SH 2 NONE SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 311 6825 SH 2 NONE SPDR SERIES TRUST S&P METALS MNG 78464A755 327 7298 SH 2 NONE SPDR SERIES TRUST S&P 400 MDCP GRW78464A821 357 5346 SH 2 NONE SPDR SERIES TRUST DJ LRG CAP ETF 78464A854 386 7289 SH 2 NONE SPDR SERIES TRUST S&P DIVID ETF 78464A763 449 9252 SH 2 NONE SPDR SERIES TRUST MORGAN TECH ETF 78464A102 475 8552 SH 2 NONE SPDR SERIES TRUST BRCLYS INTER ETF 78464A672 516 8422 SH 2 NONE SPDR SERIES TRUST S&P OILGAS EXP 78464A730 694 16194 SH 2 NONE SPDR SERIES TRUST OILGAS EQUIP 78464A748 789 27814 SH 2 NONE SPDR SERIES TRUST S&P 600 SML CAP 78464A813 850 15095 SH 2 NONE SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 1060 18679 SH 2 NONE SPDR SERIES TRUST DJ MID CAP ETF 78464A847 1396 27386 SH 2 NONE SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 1574 16177 SH 2 NONE SPDR SERIES TRUST S&P HOMEBUILD 78464A870 2390 40153 SH 2 NONE SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 3014 65744 SH 2 NONE TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 510 44628 SH 2 NONE TEVA PHARMACEUTICAL INDS LTD ADR 881624209 213 5724 SH 2 NONE TRW AUTOMOTIVE HLDGS CORP COM 87264S106 2946 90000 SH 2 NONE U S G CORP COM NEW 903293405 337 50000 SH 2 NONE VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 763 9376 SH 2 NONE VANGUARD INDEX FDS GROWTH ETF 922908736 883 15787 SH 2 NONE VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1433 30881 SH 2 NONE VANGUARD INDEX FDS SMALL CP ETF 922908751 1624 26456 SH 2 NONE VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2146 39491 SH 2 NONE VANGUARD INDEX FDS SML CP GRW ETF 922908595 2370 35444 SH 2 NONE VANGUARD INDEX FDS TOTAL STK MKT 922908769 3780 65492 SH 2 NONE VANGUARD SCOTTSDALE FDS LONG-TERM GOV 92206C847 674 9003 SH 2 NONE VANGUARD SCOTTSDALE FDS SHTRM GVT BD ETF 92206C102 1417 23192 SH 2 NONE VANGUARD SCOTTSDALE FDS INT-TERM GOV 92206C706 1752 26826 SH 2 NONE VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 764 15672 SH 2 NONE VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1726 42695 SH 2 NONE VANGUARD WORLD FDS FINANCIALS ETF 92204A405 469 18826 SH 2 NONE VANGUARD WORLD FDS INF TECH ETF 92204A702 1207 21260 SH 2 NONE VANGUARD WORLD FDS CONSUM STP ETF 92204A207 1316 17259 SH 2 NONE VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 1514 28044 SH 2 NONE VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 1536 27094 SH 2 NONE VANGUARD WORLD FDS MATERIALS ETF 92204A801 2037 31593 SH 2 NONE VANGUARD WORLD FDS TELCOMM ETF 92204A884 2799 46135 SH 2 NONE VANGUARD WORLD FDS UTILITIES ETF 92204A876 2848 39853 SH 2 NONE VANGUARD WORLD FDS ENERGY ETF 92204A306 2972 34421 SH 2 NONE WHITE RIVER CAPITAL INC COM 96445P105 969 50000 SH 2 NONE WISDOMTREE TR LARGECAP GRWTH 97717X107 797 24552 SH 2 NONE WISDOMTREE TRUST LRGECP VALUE FD 97717W547 669 18419 SH 2 NONE WISDOMTREE TRUST SMALLCAP DIVID 97717W604 1000 25386 SH 2 NONE WISDOMTREE TRUST EQTY INC ETF 97717W208 1204 31234 SH 2 NONE WISDOMTREE TRUST DIV EX-FINL FD 97717W406 1752 37348 SH 2 NONE WISDOMTREE TRUST MIDCAP DIVI FD 97717W505 3139 68070 SH 2 NONE WISDOMTREE TRUST INTL SMCAP DIV 97717W760 208 4785 SH 2 NONE YAMANA GOLD INC COM 98462Y100 341 24934 SH 2 NONE