0001019687-12-001792.txt : 20120515
0001019687-12-001792.hdr.sgml : 20120515
20120515110743
ACCESSION NUMBER: 0001019687-12-001792
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120515
DATE AS OF CHANGE: 20120515
EFFECTIVENESS DATE: 20120515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: AL FRANK ASSET MANAGEMENT INC
CENTRAL INDEX KEY: 0001167495
IRS NUMBER: 954074555
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10139
FILM NUMBER: 12842019
BUSINESS ADDRESS:
STREET 1: 85 ARGONAUT, SUITE 220
CITY: ALISA VIEJO
STATE: CA
ZIP: 92656
BUSINESS PHONE: 9494977657
MAIL ADDRESS:
STREET 1: 85 ARGONAUT, SUITE 220
CITY: ALISA VIEJO
STATE: CA
ZIP: 92656
FORMER COMPANY:
FORMER CONFORMED NAME: FRANK AL ASSET MANAGEMENT INC
DATE OF NAME CHANGE: 20020214
13F-HR
1
alfrank_13fhr.txt
FORM 13F HOLDINGS REPORT
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13f Cover Page
Report for the Calendar Year or Quarter Ended March 31, 2012
If amended report check here: |_| Amendment Number: ____
This Amendment (Check only one): |_| is a restatement
|_| adds new holding
entries.
Al Frank Asset Management, Inc.
--------------------------------------------------------------------------------
Name of Institutional Investment Manager
85 Argonaut, Suite 220 Alisa Viejo, CA 92656
--------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
13F File Number: 28-_____________
The institutional 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, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
John Buckingham Chief Investment Officer (949) 499-3215
--------------------------------------------------------------------------------
Name (Title) (Phone)
/s/ John Buckingham
------------------------------------------
(Manual Signature of Person Duly
Authorized to Submit This Report)
Laguna Beach CA May 15, 2012
------------------------------------------
(Place and Date of Signing)
Report Type:
[X] 13F HOLDINGS REPORT.
[_] 13F NOTICE.
[_] 13F COMBINATION REPORT.
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 135
Form 13F Information Table Value Total: $564,111 (thousands)
List of Other Included Managers:
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filed (other than the one filing this report): (List
in alphabetical order).
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
13F File No.: Name: 13F File No.: Name:
------------- --------------------- ------------- ---------------------
1. 6.
------------- --------------------- ------------- ---------------------
2. 7.
------------- --------------------- ------------- ---------------------
3. 8.
------------- --------------------- ------------- ---------------------
4. 9.
------------- --------------------- ------------- ---------------------
5. 10.
------------- --------------------- ------------- ---------------------
AL FRANK ASSET MANAGEMENT QUARTER END 12/31/11
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- --------- -------- -------- -------
Apple Computer COMMON 037833100 3,317 5,532 SH Sole 3,980 1,552
Abbott Laboratories COMMON 002824100 6,037 98,496 SH Sole 68,493 30,003
Aceto Corp COMMON 004446100 3,892 410,155 SH Sole 240,952 169,203
Archer-Daniels-Midland COMMON 039483102 6,412 202,518 SH Sole 141,526 60,992
Aetna COMMON 00817Y108 5,321 106,076 SH Sole 71,856 34,220
Ameriprise Financial COMMON 03076C106 6,119 107,100 SH Sole 73,881 33,219
American Software COMMON 029683109 3,742 436,077 SH Sole 308,042 128,035
Anworth Mortgage Asset Corp COMMON 037347101 884 134,398 SH Sole 118,012 16,386
Alpha & Omega Semiconductor
Inc. COMMON g6331p104 686 71,360 SH Sole 70,085 1,275
Apache COMMON 037411105 4,769 47,485 SH Sole 33,242 14,243
Activision Blizzard COMMON 00507V109 4,478 349,280 SH Sole 240,172 109,108
Yamana Gold COMMON 98462Y100 5,193 332,485 SH Sole 230,936 101,549
Baxter International COMMON 071813109 5,966 99,797 SH Sole 68,936 30,860
Black Box Corp COMMON 091826107 421 16,498 SH Sole 11,698 4,800
BB&T Corporation COMMON 054937107 4,728 150,618 SH Sole 104,305 46,313
Best Buy COMMON 086516101 441 18,613 SH Sole 12,463 6,150
Briggs & Stratton COMMON 109043109 5,324 296,940 SH Sole 198,275 98,665
Direxion Daily Large Cap
Bull 3X Shares ETF 25459W862 506 5,874 SH Sole 5,874 -
Benchmark Electronics COMMON 08160h101 4,632 280,916 SH Sole 194,044 86,872
Baker Hughes COMMON 057224107 2,294 54,700 SH Sole 33,389 21,311
BHP Billiton COMMON 088606108 2,201 30,406 SH Sole 25,240 5,166
Bank of NY Mellon Corp. COMMON 064058100 4,335 179,664 SH Sole 119,055 60,609
BioMed Realty COMMON 09063H107 3,454 181,960 SH Sole 131,496 50,464
Vanguard Total Bond Market ETF 921937835 13,569 162,938 SH Sole 101,296 61,642
Brocade Communications
Systems COMMON 111621306 3,266 567,985 SH Sole 350,826 217,159
Bristow Group Inc COMMON 110394103 5,735 120,163 SH Sole 83,802 36,361
Caterpillar COMMON 149123101 767 7,201 SH Sole 5,022 2,179
Celanese Corp COMMON 150870103 5,261 113,923 SH Sole 77,032 36,891
Chesapeake Energy COMMON 165167107 4,424 190,926 SH Sole 130,977 59,949
Comcast Corp CL A COMMON 20030N101 6,125 204,098 SH Sole 135,489 68,609
Covidien PLC COMMON G2554F113 5,177 94,684 SH Sole 65,794 28,890
Compuware COMMON 205638109 1,062 115,590 SH Sole 98,690 16,900
Credit Suisse Group COMMON 225401108 5,187 181,924 SH Sole 123,574 58,350
Cisco Systems COMMON 17275R102 7,159 338,477 SH Sole 227,608 110,869
Cooper Tire COMMON 216831107 6,350 417,240 SH Sole 294,106 123,134
DuPont COMMON 263534109 3,077 58,172 SH Sole 40,915 17,257
DDi Corp. COMMON 233162502 1,425 116,807 SH Sole 81,763 35,044
Diodes COMMON 254543101 703 30,323 SH Sole 12,146 18,177
Disney, Walt COMMON 254687106 6,554 149,708 SH Sole 105,517 44,191
Delta Apparel COMMON 247368103 657 40,000 SH Sole 40,000 -
Diamond Offshore COMMON 25271c102 4,228 63,341 SH Sole 42,193 21,148
Direxion Daily Real Estate
Bull 3x ETF 25459w755 223 3,253 SH Sole 3,253 -
DTE Energy Co. COMMON 233331107 7,171 130,314 SH Sole 88,572 41,742
Direxion Daily Devel Mkts
Bull 3X Shares ETF 25459W789 635 15,915 SH Sole 15,915 -
ENI SPA ADR COMMON 26874r108 2,314 49,425 SH Sole 37,916 11,509
SPDR Emerging Markets Local
Bond ETF 78464a391 3,991 126,685 SH Sole 71,135 55,550
Direxion Daily Emerg Mkts Bull
Shares ETF 25459y686 576 5,524 SH Sole 5,524 -
Market Vectors Emerging
Markets Local Currency
Bond ETF 57060u522 4,531 172,429 SH Sole 107,710 64,719
Ericsson COMMON 294821608 4,410 427,693 SH Sole 263,986 163,706
Eaton COMMON 278058102 6,769 135,840 SH Sole 95,470 40,370
iShares MSCI Singapore Index
Fund ETF 464286673 1,866 144,777 SH Sole 103,520 41,257
Exelon COMMON 30161N101 956 24,384 SH Sole 15,706 8,678
Freeport McMoran Copper
& Gold COMMON 35671D857 5,501 144,613 SH Sole 94,703 49,910
Foot Locker COMMON 344849104 626 20,170 SH Sole 16,272 3,898
General Dynamics COMMON 369550108 5,035 68,622 SH Sole 47,042 21,580
Corning COMMON 219350105 1,083 76,932 SH Sole 50,738 26,194
Goldman Sachs Group COMMON 38141G104 2,623 21,093 SH Sole 11,923 9,169
Hasbro COMMON 418056107 6,279 171,009 SH Sole 116,220 54,789
Hudson City Bancorp COMMON 443683107 3,473 474,475 SH Sole 267,194 207,281
Home Depot COMMON 437076102 7,101 141,155 SH Sole 96,445 44,709
Hewlett-Packard COMMON 428236103 886 37,175 SH Sole 28,009 9,166
Heartland Payment Systems COMMON 42235N108 2,939 101,897 SH Sole 63,831 38,066
iShares IBOXX $ High Yield
Corp Bond Fund ETF 464288513 1,868 20,594 SH Sole 20,594 -
iShares Trust Comex Gold ETF ETF 464285105 1,099 67,518 SH Sole 67,518 -
Int'l Business Machines COMMON 459200101 6,390 30,627 SH Sole 22,258 8,369
Ingram Micro COMMON 457153104 4,438 239,143 SH Sole 162,029 77,114
Intel COMMON 458140100 7,306 259,803 SH Sole 174,971 84,832
Barclays Capital High Yield
Bond ETF 78464a417 21,470 545,327 SH Sole 327,691 217,636
JP Morgan Chase COMMON 46625H100 6,891 149,870 SH Sole 102,935 46,935
Kraft Foods CL A COMMON 50075N104 3,688 97,036 SH Sole 68,936 28,100
L-3 Communications Holdings COMMON 502424104 4,820 68,104 SH Sole 45,523 22,581
Lockheed Martin COMMON 539830109 6,219 69,202 SH Sole 46,115 23,087
Manpower Inc. COMMON 56418H100 6,229 131,495 SH Sole 90,938 40,557
Microchip Tech COMMON 595017104 3,201 86,047 SH Sole 62,268 23,779
McKesson COMMON 58155Q103 5,996 68,311 SH Sole 47,564 20,748
MDC Holdings COMMON 552676108 6,504 252,189 SH Sole 176,906 75,283
3M Corp. COMMON 88579Y101 1,838 20,602 SH Sole 12,124 8,478
Marathon Petroleum COMMON 56585A102 4,988 115,048 SH Sole 78,162 36,887
Merck & Co. COMMON 58933Y105 1,028 26,775 SH Sole 17,902 8,873
Marathon Oil COMMON 565849106 5,083 160,347 SH Sole 114,211 46,136
Microsoft COMMON 594918104 7,144 221,455 SH Sole 158,661 62,794
Direxion Daily Mid Cap Bull
3X Shares ETF 25459W730 209 5,065 SH Sole 5,065 -
Newmont Mining Corp
Holding Co. COMMON 651639106 694 13,527 SH Sole 9,290 4,237
Navios Maritime Holdings Inc. COMMON Y62196103 5,383 1,281,629 SH Sole 883,438 398,191
Norfolk Southern COMMON 655844108 6,421 97,546 SH Sole 67,173 30,373
Nippon Telegraph and
Telephone COMMON 654624105 5,567 246,104 SH Sole 163,892 82,212
Nucor COMMON 670346105 1,784 41,537 SH Sole 26,422 15,115
Novartis COMMON 66987V109 4,852 87,556 SH Sole 62,159 25,397
Nexen COMMON 65334H102 5,482 298,733 SH Sole 206,207 92,526
New York Community COMMON 649445103 1,327 95,372 SH Sole 62,514 32,858
OM Group COMMON 670872100 943 34,284 SH Sole 27,409 6,875
Petroleo Brasileiro SA COMMON 71654V408 2,247 84,611 SH Sole 58,870 25,741
Pepsico COMMON 713448108 1,450 21,851 SH Sole 16,209 5,642
Protective Life COMMON 743674103 7,781 262,683 SH Sole 182,239 80,444
Palomar Med Tech COMMON 697529303 4,162 445,562 SH Sole 305,079 140,483
Prudential COMMON 744320102 5,653 89,185 SH Sole 60,237 28,948
Portugal Telecom Spons ADR COMMON 737273102 1,905 352,064 SH Sole 281,471 70,593
Royal Caribbean Cruises COMMON v7780t103 5,226 177,569 SH Sole 116,237 61,332
Radio Shack COMMON 750438103 910 146,347 SH Sole 91,766 54,581
Raytheon Co. COMMON 755111507 2,086 39,524 SH Sole 33,114 6,410
Ship Finance Int'l COMMON G81075106 3,187 208,297 SH Sole 143,916 64,381
Smith Midland Corp. COMMON 832156103 434 289,000 SH Sole 287,000 2,000
Synovus Fin'l COMMON 87161C105 52 25,500 SH Sole 25,500 -
Staples COMMON 855030102 5,214 322,025 SH Sole 218,606 103,419
Stage Stores COMMON 85254c305 5,346 329,190 SH Sole 216,907 112,284
STMicroelectronics N.V. COMMON 861012102 4,509 550,594 SH Sole 346,300 204,294
Seagate Tech COMMON g7945m107 5,896 218,705 SH Sole 150,315 68,390
Symantec COMMON 871503108 332 17,768 SH Sole 8,895 8,873
TCF Financial COMMON 872275102 3,519 295,972 SH Sole 218,974 76,998
iShares Barclays Tip ETF 464287176 1,148 9,759 SH Sole 9,759 -
Thermo Fisher Scientific COMMON 883556102 4,906 87,012 SH Sole 59,894 27,118
Direxion Daily Small Cap
Bull 3X Shares ETF 25459W847 221 3,534 SH Sole 3,434 100
Tsakos Energy COMMON G9108L108 2,813 324,053 SH Sole 207,882 116,171
Total SA ADR COMMON 89151e109 2,310 45,190 SH Sole 36,250 8,940
Tutor Perini Corp COMMON 901109108 3,977 255,241 SH Sole 181,824 73,417
The Travelers Companies COMMON 89417e109 1,488 25,132 SH Sole 12,683 12,449
Tyson Foods COMMON 902494103 5,407 282,352 SH Sole 190,897 91,455
UnitedHealth Group, Inc COMMON 91324p102 3,797 64,418 SH Sole 44,695 19,723
United Online COMMON 911268100 4,407 901,258 SH Sole 626,121 275,137
U R S COMMON 903236107 4,844 113,924 SH Sole 77,288 36,636
Vanguard Intermediate Term
Corporate Bond ETF 92206c870 20,626 246,285 SH Sole 143,631 102,654
Vanguard Long-Term
Corporate Bond ETF 92206c813 17,464 205,507 SH Sole 124,768 80,739
Vanguard Short-Term
Corporate Bond ETF 92206c409 4,317 54,616 SH Sole 32,945 21,671
Verizon Communications COMMON 92343V104 5,905 154,462 SH Sole 105,678 48,783
Walgreen COMMON 931422109 5,068 151,315 SH Sole 101,864 49,451
Western Digital COMMON 958102105 1,301 31,430 SH Sole 19,336 12,094
Wells Fargo & Co. COMMON 949746101 1,232 36,085 SH Sole 35,245 840
Weatherford Intl COMMON H27013103 4,189 277,571 SH Sole 191,937 85,634
Whirpool COMMON 963320106 7,151 93,040 SH Sole 61,869 31,171
Waste Management COMMON 94106L109 5,825 166,618 SH Sole 115,680 50,938
Wal-Mart Stores COMMON 931142103 5,290 86,438 SH Sole 59,574 26,865
Wayside Technology Group COMMON 946760105 206 14,507 SH Sole 4,450 10,057
World Wrestling Ent COMMON 98156Q108 549 61,941 SH Sole 33,477 28,464
Select Sector SPDR Energy ETF 81369y506 4,559 63,546 SH Sole 23,632 39,914
Exxon Mobil COMMON 30231G102 5,986 69,023 SH Sole 50,283 18,740
Xyratex COMMON G98268108 5,486 344,823 SH Sole 223,207 121,616