-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OfXw8XiZN4mnumme3XlqYa9DEl0S/p2D9SpNW7VUGuh7KW2JSjghKsTPL2wEw0MM KTX7aITRmGTCTzR7boLDiw== 0001085146-09-003143.txt : 20090807 0001085146-09-003143.hdr.sgml : 20090807 20090807110825 ACCESSION NUMBER: 0001085146-09-003143 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090807 DATE AS OF CHANGE: 20090807 EFFECTIVENESS DATE: 20090807 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HighTower Advisors, LLC CENTRAL INDEX KEY: 0001462245 IRS NUMBER: 364500709 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13510 FILM NUMBER: 09994007 BUSINESS ADDRESS: STREET 1: 525 WEST MONROE STREET STREET 2: SUITE 2300 CITY: CHICAGO STATE: IL ZIP: 60661 BUSINESS PHONE: 312-962-3831 MAIL ADDRESS: STREET 1: 525 WEST MONROE STREET STREET 2: SUITE 2300 CITY: CHICAGO STATE: IL ZIP: 60661 13F-HR 1 high2q09.txt HIGHTOWER ADVISORS, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: HighTower Advisors, LLC Address: 525 West Monroe Street, Suite 2300 Chicago, IL 60661 13F File Number: 028-13510 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, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Matthew M. Reynolds Title: Chief Compliance Officer Phone: 312-962-3820 Signature, Place, and Date of Signing: /s/ Matthew M. Reynolds Chicago, IL August 03, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 405 Form13F Information Table Value Total: $269,698 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 322 5356 SH SOLE 5356 0 0 ABBOTT LABS COM 002824100 1300 27633 SH SOLE 27633 0 0 ACCENTURE LTD BERMUDA CL A G1150G111 1070 31920 SH SOLE 31920 0 0 ACE LTD SHS H0023R105 366 8272 SH SOLE 8272 0 0 ACTIVISION BLIZZARD INC COM 00507V109 130 10292 SH SOLE 10292 0 0 ADVANCED MICRO DEVICES INC COM 007903107 125 32400 SH SOLE 32400 0 0 AEGON N V NY REGISTRY SH 007924103 201 32697 SH SOLE 32697 0 0 AETNA INC NEW COM 00817Y108 293 11685 SH SOLE 11685 0 0 AFFILIATED COMPUTER SERVICES CL A 008190100 149 334500 SH PUT SOLE 334500 0 0 AGFEED INDUSTRIES INC COM 00846L101 1219 206017 SH SOLE 206017 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 220 10863 SH SOLE 10863 0 0 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SH SOLE 16337 0 0 AMPHENOL CORP NEW CL A 032095101 217 6852 SH SOLE 6852 0 0 AMR CORP COM 001765106 48 12000 SH SOLE 12000 0 0 ANADARKO PETE CORP COM 032511107 254 5606 SH SOLE 5606 0 0 ANALOG DEVICES INC COM 032654105 287 11540 SH SOLE 11540 0 0 ANGLOGOLD ASHANTI LTD SPONSORED ADR 035128206 337 9232 SH SOLE 9232 0 0 ANNALY CAP MGMT INC COM 035710409 299 19785 SH SOLE 19785 0 0 AON CORP COM 037389103 301 7936 SH SOLE 7936 0 0 APACHE CORP COM 037411105 765 10601 SH SOLE 10601 0 0 APPLE INC COM 037833100 3008 2112200 SH PUT SOLE 2112200 0 0 APPLIED MATLS INC COM 038222105 332 30206 SH SOLE 30206 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 282 10536 SH SOLE 10536 0 0 ARES CAP CORP COM 04010L103 90 11109 SH SOLE 11109 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 940 21271 SH SOLE 21271 0 0 AT&T INC COM 00206R102 2609 104974 SH SOLE 104974 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 346 9734 SH SOLE 9734 0 0 AVON PRODS INC COM 054303102 201 7793 SH SOLE 7793 0 0 AXA SPONSORED ADR 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207 3788 SH SOLE 3788 0 0 NUCOR CORP COM 670346105 210 4702 SH SOLE 4702 0 0 NUSTAR ENERGY LP UNIT COM 67058H102 226 4183 SH SOLE 4183 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 319 40747 SH SOLE 40747 0 0 NUVEEN MUN VALUE FD INC COM 670928100 200 21740 SH SOLE 21740 0 0 NUVEEN PREM INCOME MUN FD 4 COM 6706K4105 108 10000 SH SOLE 10000 0 0 NYSE EURONEXT COM 629491101 407 14931 SH SOLE 14931 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 502 7635 SH SOLE 7635 0 0 OCEANEERING INTL INC COM 675232102 764 16897 SH SOLE 16897 0 0 OLD REP INTL CORP COM 680223104 103 10545 SH SOLE 10545 0 0 OMNICOM GROUP INC COM 681919106 315 9994 SH SOLE 9994 0 0 OMNICOM GROUP INC NOTE 7/0 681919AT3 15 15000 SH SOLE 15000 0 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 499 10905 SH SOLE 10905 0 0 OPEN TEXT CORP COM 683715106 317 8725 SH SOLE 8725 0 0 ORACLE CORP COM 68389X105 1810 84490 SH SOLE 84490 0 0 PENN VA RESOURCES PARTNERS L COM 707884102 168 12351 SH SOLE 12351 0 0 PENNEY J C INC COM 708160106 273 9528 SH SOLE 9528 0 0 PEPSICO INC COM 713448108 1815 33077 SH SOLE 33077 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 247 6026 SH SOLE 6026 0 0 PFIZER INC COM 717081103 1930 128620 SH SOLE 128620 0 0 PHILIP MORRIS INTL INC COM 718172109 2028 46495 SH SOLE 46495 0 0 PHOENIX COS INC NEW COM 71902E109 32 18898 SH SOLE 18898 0 0 PITNEY BOWES INC COM 724479100 249 11393 SH SOLE 11393 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 404 9498 SH SOLE 9498 0 0 PLUM CREEK TIMBER CO INC COM 729251108 381 12801 SH SOLE 12801 0 0 PNC FINL SVCS GROUP INC COM 693475105 251 6477 SH SOLE 6477 0 0 PORTUGAL TELECOM SGPS S A SPONSORED ADR 737273102 222 22727 SH SOLE 22727 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 3717 99835 SH SOLE 99835 0 0 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 1752 46850 SH SOLE 46850 0 0 POWERSHARES ETF TRUST II BALCD NFA GLBL 73936Q504 138 13184 SH SOLE 13184 0 0 POWERSHARES GLOBAL ETF TRUST ASIA PAC EX-JP 73936T854 352 9960 SH SOLE 9960 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 1024 33138 SH SOLE 33138 0 0 POWERSHARES GLOBAL ETF TRUST EMER MRKT PORT 73936T763 550 31682 SH SOLE 31682 0 0 POWERSHARES GLOBAL ETF TRUST EX US SML PORT 73936T771 180 10300 SH SOLE 10300 0 0 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 6344 253594 SH SOLE 253594 0 0 POWERSHARES INDIA ETF TR INDIA PORT 73935L100 2501 138075 SH SOLE 138075 0 0 PRAXAIR INC COM 74005P104 327 4617 SH SOLE 4617 0 0 PRECISION CASTPARTS CORP COM 740189105 472 6461 SH SOLE 6461 0 0 PRICELINE COM INC COM NEW 741503403 768 6877 SH SOLE 6877 0 0 PROCTER & GAMBLE CO COM 742718109 2273 44508 SH SOLE 44508 0 0 PROGRESS ENERGY INC COM 743263105 240 6321 SH SOLE 6321 0 0 PROGRESSIVE CORP OHIO COM 743315103 231 15309 SH SOLE 15309 0 0 PRUDENTIAL PLC ADR 74435K204 140 10230 SH SOLE 10230 0 0 PUTNAM MANAGED MUN INCOM TR COM 746823103 410 7033300 SH PUT SOLE 7033300 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 62 625600 SH PUT SOLE 625600 0 0 QUALCOMM INC COM 747525103 899 19861 SH SOLE 19861 0 0 QUESTAR CORP COM 748356102 589 18982 SH SOLE 18982 0 0 RACKSPACE HOSTING INC COM 750086100 1412 101820 SH SOLE 101820 0 0 RANDGOLD RES LTD ADR 752344309 1252 19509 SH SOLE 19509 0 0 RAYONIER INC COM 754907103 344 9443 SH SOLE 9443 0 0 RAYTHEON CO COM NEW 755111507 1702 38310 SH SOLE 38310 0 0 REHABCARE GROUP INC COM 759148109 212 8850 SH SOLE 8850 0 0 RESEARCH IN MOTION LTD COM 760975102 313 4404 SH SOLE 4404 0 0 RITE AID CORP COM 767754104 110 72804 SH SOLE 72804 0 0 ROCKWELL COLLINS INC COM 774341101 299 7161 SH SOLE 7161 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 567 11281 SH SOLE 11281 0 0 S&P 500 COVERED CALL FD INC COM 78381P109 11 105000 SH CALL SOLE 105000 0 0 SANMINA SCI CORP COM 800907107 16 35405 SH SOLE 35405 0 0 SANOFI AVENTIS SPONSORED ADR 80105N105 1233 41811 SH SOLE 41811 0 0 SAP AG SPON ADR 803054204 201 5027 SH SOLE 5027 0 0 SARA LEE CORP COM 803111103 157 16133 SH SOLE 16133 0 0 SATYAM COMPUTER SERVICES LTD ADR 804098101 3 100000 SH PUT SOLE 100000 0 0 SCHERING PLOUGH CORP COM 806605101 856 34048 SH SOLE 34048 0 0 SCHLUMBERGER LTD COM 806857108 1806 33325 SH SOLE 33325 0 0 SCHWAB CHARLES CORP NEW COM 808513105 278 15876 SH SOLE 15876 0 0 SEMPRA ENERGY COM 816851109 394 7950 SH SOLE 7950 0 0 SK TELECOM LTD SPONSORED ADR 78440P108 259 17085 SH SOLE 17085 0 0 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 1205 33285 SH SOLE 33285 0 0 SOHU COM INC COM 83408W103 1139 18159 SH SOLE 18159 0 0 SONY CORP ADR NEW 835699307 247 9541 SH SOLE 9541 0 0 SOUTHERN CO COM 842587107 246 7939 SH SOLE 7939 0 0 SOUTHWEST AIRLS CO COM 844741108 291 43243 SH SOLE 43243 0 0 SPDR SERIES TRUST DJ SML VALUE ETF 78464A300 478 10957 SH SOLE 10957 0 0 SPDR SERIES TRUST SPDR KBW BK ETF 78464A797 188 10195 SH SOLE 10195 0 0 SPDR SERIES TRUST DJ LRG VALUE ETF 78464A508 320 6618 SH SOLE 6618 0 0 SPDR SERIES TRUST DJ LRG GRWTH ETF 78464A409 402 10125 SH SOLE 10125 0 0 SPDR TR UNIT SER 1 78462F103 1287 13985 SH SOLE 13985 0 0 SPECTRA ENERGY PARTNERS LP COM 84756N109 299 13932 SH SOLE 13932 0 0 ST JUDE MED INC COM 790849103 1110 27011 SH SOLE 27011 0 0 STMICROELECTRONICS N V NY REGISTRY 861012102 173 23090 SH SOLE 23090 0 0 STRYKER CORP COM 863667101 545 13712 SH SOLE 13712 0 0 SUNCOR ENERGY INC COM 867229106 326 10767 SH SOLE 10767 0 0 SUPERIOR ENERGY SVCS INC COM 868157108 571 33038 SH SOLE 33038 0 0 SYBASE INC COM 871130100 838 26734 SH SOLE 26734 0 0 SYMANTEC CORP COM 871503108 195 12509 SH SOLE 12509 0 0 SYNAPTICS INC COM 87157D109 629 16262 SH SOLE 16262 0 0 SYNIVERSE HLDGS INC COM 87163F106 824 51421 SH SOLE 51421 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 830 88197 SH SOLE 88197 0 0 TALISMAN ENERGY INC COM 87425e103 168 11700 SH SOLE 11700 0 0 TARGET CORP COM 87612E106 824 20848 SH SOLE 20848 0 0 TASEKO MINES LTD COM 876511106 34 20000 SH SOLE 20000 0 0 TELECOM ITALIA S P A NEW SPON ADR ORD 87927Y102 384 27901 SH SOLE 27901 0 0 TELECOMMUNICATION SYS INC CL A 87929J103 645 90630 SH SOLE 90630 0 0 TELEFONICA S A SPONSORED ADR 879382208 352 5171 SH SOLE 5171 0 0 TEMPLETON DRAGON FD INC COM 88018T101 210 9000 SH SOLE 9000 0 0 TENET HEALTHCARE CORP COM 88033G100 46 16269 SH SOLE 16269 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 343 6946 SH SOLE 6946 0 0 TEXAS INSTRS INC COM 882508104 538 25244 SH SOLE 25244 0 0 THOMSON SPONSORED ADR 885118109 13 15375 SH SOLE 15375 0 0 TIME WARNER INC COM NEW 887317303 493 19527 SH SOLE 19527 0 0 TOTAL S A SPONSORED ADR 89151E109 698 12867 SH SOLE 12867 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 251 3323 SH SOLE 3323 0 0 TRANSOCEAN LTD REG SHS H8817H100 973 13111 SH SOLE 13111 0 0 TRAVELERS COMPANIES INC COM 89417E109 256 6266 SH SOLE 6266 0 0 TRIUMPH GROUP INC NEW COM 896818101 278 6950 SH SOLE 6950 0 0 TYCO INTERNATIONAL LTD SHS H89128104 767 29553 SH SOLE 29553 0 0 UNILEVER N V N Y SHS NEW 904784709 549 22714 SH SOLE 22714 0 0 UNILEVER PLC SPON ADR NEW 904767704 561 23917 SH SOLE 23917 0 0 UNION PAC CORP COM 907818108 982 18861 SH SOLE 18861 0 0 UNISYS CORP COM 909214108 18 12024 SH SOLE 12024 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1423 27424 SH SOLE 27424 0 0 UNITEDHEALTH GROUP INC COM 91324P102 790 31588 SH SOLE 31588 0 0 UNUM GROUP COM 91529Y106 258 16263 SH SOLE 16263 0 0 US BANCORP DEL COM NEW 902973304 195 10865 SH SOLE 10865 0 0 VALERO ENERGY CORP NEW COM 91913Y100 211 12447 SH SOLE 12447 0 0 VAN KAMPEN MUN TR SH BEN INT 920919107 851 73304 SH SOLE 73304 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 703 9046 SH SOLE 9046 0 0 VANGUARD INDEX FDS REIT ETF 922908553 216 6831 SH SOLE 6831 0 0 VANGUARD INDEX FDS STK MRK ETF 922908769 3017 65200 SH SOLE 65200 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2345 65310 SH SOLE 65310 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 325 10091 SH SOLE 10091 0 0 VANGUARD WORLD FD MEGA VALUE 300 921910840 547 18230 SH SOLE 18230 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1717 55881 SH SOLE 55881 0 0 VIACOM INC NEW CL B 92553P201 581 25540 SH SOLE 25540 0 0 VIRGIN MEDIA INC COM 92769L101 183 19544 SH SOLE 19544 0 0 VISA INC COM CL A 92826C839 295 4757 SH SOLE 4757 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 757 38812 SH SOLE 38812 0 0 WAL MART STORES INC COM 931142103 776 16033 SH SOLE 16033 0 0 WALGREEN CO COM 931422109 1619 55024 SH SOLE 55024 0 0 WEATHERFORD INTERNATIONAL LT REG H27013103 241 12404 SH SOLE 12404 0 0 WELLS FARGO & CO NEW COM 949746101 1625 67000 SH SOLE 67000 0 0 WESTERN UN CO COM 959802109 401 24513 SH SOLE 24513 0 0 WILEY JOHN & SONS INC CL A 968223206 1908 57371 SH SOLE 57371 0 0 WILLIAMS COS INC DEL COM 969457100 209 13451 SH SOLE 13451 0 0 WYETH COM 983024100 1042 22987 SH SOLE 22987 0 0 XEROX CORP COM 984121103 80 12381 SH SOLE 12381 0 0 XTO ENERGY INC COM 98385X106 470 12333 SH SOLE 12333 0 0 ZIMMER HLDGS INC COM 98956P102 225 5287 SH SOLE 5287 0 0 ZIX CORP COM 98974P100 71 47550 SH SOLE 47550 0 0
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