-----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, DY6yxP5E92ts0WoGAhfOc1FVnwNmZJC4+td993tWta5Es9Wws0uahXkH1VI9Lj2x Q2V9PuuFczRxDaxvRaeFsA== 0001463217-09-000013.txt : 20090814 0001463217-09-000013.hdr.sgml : 20090814 20090814164728 ACCESSION NUMBER: 0001463217-09-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. CENTRAL INDEX KEY: 0001463217 IRS NUMBER: 201847610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13508 FILM NUMBER: 091016596 BUSINESS ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: 2ND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-999-8500 MAIL ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: 2ND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 ucfai13f2q09.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: 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: UNITED CAPITAL FINANCIAL ADVISERS, INC ------------------------------------------------------------ Address: 500 NEWPORT CENTER DRIVE, 2ND FLOOR, NEWPORT BEACH, CA 92660 ------------------------------------------------------------- Form 13F File Number: 028-13508 --------- 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: MICHAEL HERMAN ------------------------- Title: CHIEF COMPLIANCE OFFICER ------------------------- Phone: (949) 999-8500 ------------------------- Signature, Place, and Date of Signing: /s/ MICHAEL HERMAN NEWPORT BEACH, CA 8/14/2009 - ------------------------ ------------------ --------- [Signature] [City, State] [Date] Report Type (Check only one): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager:
Form 13F File Number Name - - ------------------ ---- 028-10562 ALLIANCEBERNSTEIN LP 028-01162 ATALANTA/SOSNOFF MANAGEMENT,LLC 028-05620 BRANDES INVESTMENT PARTNERS LP 028-03434 CONGRESS ASSET MANAGEMENT CO 028-05923 CORNERSTONE CAPITAL MANAGEMENT INC 028-04121 DAVIS SELECTED ADVISORS LP 028-05267 DELAWARE MANAGEMENT BUSINESS TRUST 028-13411 ENVESTNET ASSET MANAGEMENT 028-06487 FIRST TRUST ADVISERS 028-11091 HILLMAN CAPITAL MANAGEMENT, INC 028-06419 LOTSOFF CAPITAL MANAGEMENT 028-04869 MARKSTON INTERNATIONAL, LLC 028-13466 NORTHCOAST ASSET MANAGEMENT LLC 028-00290 NORTHERN TRUST CORPORATION 028-01474 NWQ INVESTMENT MANAGEMENT CO LLC 028-12966 OSHAUGHNESSY ASSET MANAGEMENT, LLC 028-11107 PLACEMARK INVESTMENTS INC 028-02634 REED CONNOR BIRDWELL 028-04691 SCHAFER CULLEN CAPITAL MANAGEMENT INC 028-12572 TRADEWINDS GLOBAL INVESTORS LLC
Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------ Form 13F Information Table Entry Total: 272 ------------ Form 13F Information Table Value Total: 394,232 ------------ (thousands) Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment 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 MANAGER SOLE SHARED NONE - ------------------------- -------------- --------- ------- ------- --- ---- ------- ------- ----- ------ ----- 3M CO COM 88579Y101 1837 30565 SH SOLE 30565 0 0 A T & T INC COM 00206R102 3167 127526 SH SOLE 127526 0 0 ABBOTT LABS COM 002824100 935 19882 SH SOLE 19882 0 0 ADVANCED MICRO DEVICES COM 007903107 80 20600 SH SOLE 20600 0 0 AECOM TECHNOLOGY CORP DE COM 00766T100 1180 36858 SH SOLE 35858 0 0 AFFILIATED MANAGERS GRP COM 008252108 245 4211 SH SOLE 4211 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 286 14947 SH SOLE 14947 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 56 22617 SH SOLE 22617 0 0 ALIGN TECHNOLOGY INC COM 016255101 1817 171455 SH SOLE 171455 0 0 ALLIANCEBERNSTEIN GBL HGH COM 01879R106 514 50077 SH SOLE 50077 0 0 ALLIED CAP CORP NEW COM 01903Q108 80 23045 SH SOLE 23045 0 0 ALTRIA GROUP INC COM 02209S103 596 36384 SH SOLE 36384 0 0 AMAZON COM INC COM 023135106 422 5047 SH SOLE 5047 0 0 AMERICAN CAP LTD COM 02503Y103 161 50080 SH SOLE 50080 0 0 AMERICAN ELEC PWR INC COM 025537101 493 17081 SH SOLE 17081 0 0 AMERICAN INTL GROUP COM 026874107 25 21280 SH SOLE 21280 0 0 AMERICAN PUBLIC EDUCATION COM 02913V103 1432 36197 SH SOLE 36197 0 0 AMGEN INC COM 031162100 341 6441 SH SOLE 6441 0 0 ANADARKO PETE CORP COM 032511107 384 8458 SH SOLE 8458 0 0 APOLLO INVT CORP COM 03761U106 122 20366 SH SOLE 20366 0 0 APPLE INC COM 037833100 1298 9113 SH SOLE 9113 0 0 BANK OF AMERICA CORP COM 060505104 714 54066 SH SOLE 54066 0 0 BARCLAYS BK PLC ADR 2 PREF 2 06739F390 222 12600 SH SOLE 12600 0 0 BERKSHIRE HATHAWAY INC CL A 084670108 630 7 SH SOLE 7 0 0 BERKSHIRE HATHAWAY INC CL B 084670207 356 123 SH SOLE 123 0 0 BIO IMAGING TECHNOLOGIES COM 09056N103 49 13750 SH SOLE 13750 0 0 BIO RAD LABS INC CL A 090572207 226 3000 SH SOLE 3000 0 0 BP PLC SPONSORED ADR 055622104 1152 24156 SH SOLE 24156 0 0 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 532 7708 SH SOLE 7708 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 310 15241 SH SOLE 15241 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 679 15874 SH SOLE 15874 0 0 BURLINGTON NORTHN SANTAFE COM 12189T104 426 5800 SH SOLE 5800 0 0 CALAVO GROWERS INC COM 128246105 5931 299107 SH SOLE 299107 0 0 CAPITALSOURCE INC COM 14055X102 181 37064 SH SOLE 37064 0 0 CAPSTONE TURBINE CORP COM 14067D102 15 18505 SH SOLE 18505 0 0 CARDINAL HEALTH INC COM 14149Y108 236 7717 SH SOLE 7717 0 0 CATALYST HEALTH SOLUTIONS COM 14888B103 200 8029 SH SOLE 8029 0 0 CELGENE CORP COM 151020104 261 5462 SH SOLE 5462 0 0 CHESAPEAKE ENERGY CORP COM 165167107 234 11808 SH SOLE 11808 0 0 CHEVRON CORP NEW COM 166764100 3982 59976 SH SOLE 59976 0 0 CIENA CORP COM NEW 171779309 115 11179 SH SOLE 11179 0 0 CISCO SYSTEMS INC COM 17275R102 2246 120415 SH SOLE 120415 0 0 CITIGROUP INC COM 172967101 323 108664 SH SOLE 108664 0 0 CITRIX SYS INC COM 177376100 238 7472 SH SOLE 7472 0 0 CITY NATL CORP COM 178566105 593 16109 SH SOLE 16109 0 0 CLAYMORE ETF BNY BRI&C PTF 18383M100 242 7550 SH SOLE 7550 0 0 CLOROX CO DEL COM 189054109 486 8706 SH SOLE 8706 0 0 COACH INC COM 189754104 256 9525 SH SOLE 9525 0 0 COCA COLA CO COM 191216100 3169 66035 SH SOLE 66035 0 0 COGNIZANT TECHNOLOGY SOLU CL A 192446102 344 12876 SH SOLE 12876 0 0 COLGATE PALMOLIVE CO COM 194162103 356 5036 SH SOLE 5036 0 0 COMCAST CORP NEW CL A 20030N101 904 62481 SH SOLE 62481 0 0 CONOCOPHILLIPS COM 20825C104 900 21398 SH SOLE 21398 0 0 CONSOLIDATED EDISON INC COM 209115104 324 8658 SH SOLE 8658 0 0 CORNING INC COM 219350105 200 12432 SH SOLE 12432 0 0 CREDIT SUISSE HI YLD BDFD SH BEN INT 22544F103 45 20000 SH SOLE 20000 0 0 CVS CAREMARK CORPORATION COM 126650100 324 10154 SH SOLE 10154 0 0 DECODE GENETICS INC COM 243586104 45 85909 SH SOLE 85909 0 0 DELL INC COM 24702R101 533 38823 SH SOLE 38823 0 0 DENTSPLY INTL INC NEW COM 249030107 1339 43825 SH SOLE 43825 0 0 DEUTSCHE BK AG LONDON BRH PS CR OIL DDETN 25154K882 69 15550 SH SOLE 15550 0 0 DEVON ENERGY CORP NEW COM 25179M103 657 12059 SH SOLE 12059 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 267 4669 SH SOLE 4669 0 0 DIAMONDS TR UNIT SER 1 252787106 268 3169 SH SOLE 3169 0 0 DU PONT EI DE NEMOURS CO COM 263534109 402 15665 SH SOLE 15665 0 0 DUKE ENERGY CORP NEW COM 26441C105 341 23434 SH SOLE 23434 0 0 DUNE ENERGY INC COM NEW 265338202 1 10000 SH SOLE 10000 0 0 DWS RREEF REAL EST FD II COM 23338X102 8 14900 SH SOLE 14900 0 0 E M C CORP MASS COM 268648102 165 12593 SH SOLE 12593 0 0 EMCOR GROUP INC COM 29084Q100 505 25100 SH SOLE 25100 0 0 EMERSON ELEC CO COM 291011104 1466 45256 SH SOLE 45256 0 0 ENDEAVOUR INTL CORP COM 29259G101 836 614594 SH SOLE 614594 0 0 ENERGY CONVERSION DEVICES COM 292659109 142 10055 SH SOLE 10055 0 0 ENTERPRISE PRODS PARTNRS COM 293792107 10695 428819 SH SOLE 428819 0 0 EVERGREEN INCOME ADVANT COM SHS 30023Y105 89 11250 SH SOLE 11250 0 0 EVERGREEN MULTI SECT INC COM SHS 30024Y104 145 11714 SH SOLE 11714 0 0 EXELON CORP COM 30161N101 441 8603 SH SOLE 8603 0 0 EXXON MOBIL CORP COM 30231G102 16216 231959 SH SOLE 231959 0 0 FIDUCIARY CLAYMOR MLP OPP COM 31647Q106 2540 166912 SH SOLE 166912 0 0 FIRST HORIZON NATL CORP COM 320517105 137 11442 SH SOLE 11442 0 0 FIRST TR ISE WATER IDX COM 33733B100 677 42100 SH SOLE 42100 0 0 FIRST TR MORNINGSTAR DIV SHS 336917109 129 10726 SH SOLE 10726 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 145 23834 SH SOLE 23834 0 0 FRANKLIN RES INC COM 354613101 374 5194 SH SOLE 5194 0 0 FREEPORT-MCMORAN COPPER COM 35671D857 380 7588 SH SOLE 7588 0 0 FX ENERGY INC COM 302695101 140 36610 SH SOLE 36610 0 0 GENERAL DYNAMICS CORP COM 369550108 596 10751 SH SOLE 10751 0 0 GENERAL ELECTRIC CO COM 369604103 2911 248348 SH SOLE 248348 0 0 GENEREX BIOTECHNOLOGY CP COM 371485103 81 140000 SH SOLE 140000 0 0 GILEAD SCIENCES INC COM 375558103 546 11652 SH SOLE 11652 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 292 8258 SH SOLE 8258 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 564 3822 SH SOLE 3822 0 0 GOOGLE INC CL A 38259P508 864 2049 SH SOLE 2049 0 0 HARRIS & HARRIS GROUP COM 413833104 96 16506 SH SOLE 16506 0 0 HCP INC COM 40414L109 329 15505 SH SOLE 15505 0 0 HEWLETT PACKARD CO COM 428236103 773 19994 SH SOLE 19994 0 0 HIGHLAND CR STRATEGIES FD COM 43005Q107 196 40012 SH SOLE 40012 0 0 HOME DEPOT INC COM 437076102 268 11359 SH SOLE 11359 0 0 HOMEOWNERS CHOICE INC COM 43741E103 255 49000 SH SOLE 49000 0 0 HONEYWELL INTL INC COM 438516106 465 14802 SH SOLE 14802 0 0 INSPIRE PHARMACEUTICALS COM 457733103 64 11498 SH SOLE 11498 0 0 INTEL CORP COM 458140100 2350 142036 SH SOLE 142036 0 0 IBM COM 459200101 1019 9760 SH SOLE 9760 0 0 INTERNET CAP GROUP INC COM NEW 46059C205 90 13305 SH SOLE 13305 0 0 INTERVEST BANCSHARES CORP CL A 460927106 36 10299 SH SOLE 10299 0 0 ISHARES COMEX GOLD TR ISHARES 464285105 379 4157 SH SOLE 4157 0 0 ISHARES S&P GSCI COMMOD I UNIT BEN INT 46428R107 834 27756 SH SOLE 27756 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 570 42638 SH SOLE 42638 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 1726 20616 SH SOLE 20616 0 0 ISHARES TR BARCLYS TIPS BD 464287176 17116 168365 SH SOLE 168365 0 0 ISHARES TR BARCLYS US AGGB 464287226 29322 287046 SH SOLE 287046 0 0 ISHARES TR DJ SEL DIV INX 464287168 571 16145 SH SOLE 16145 0 0 ISHARES TR DJ US FINL SEC 464287788 370 8693 SH SOLE 8693 0 0 ISHARES TR DJ US UTILS 464287697 676 10115 SH SOLE 10115 0 0 ISHARES TR FTSE XNHUA IDX 464287184 424 11042 SH SOLE 11042 0 0 ISHARES TR HIGH YLD CORP 464288513 9168 115012 SH SOLE 115012 0 0 ISHARES TR IBOXX INV CPBD 464287242 688 6862 SH SOLE 6862 0 0 ISHARES TR MSCI EAFE IDX 464287465 779 17014 SH SOLE 17014 0 0 ISHARES TR MSCI EMERG MKT 464287234 1393 43230 SH SOLE 43230 0 0 ISHARES TR NYSE COMP INDX 464287143 241 4456 SH SOLE 4456 0 0 ISHARES TR RUSL 2000 GROW 464287648 809 14278 SH SOLE 14278 0 0 ISHARES TR RUSL 2000 VALU 464287630 580 12461 SH SOLE 12461 0 0 ISHARES TR RUSSELL 2000 464287655 677 13250 SH SOLE 13250 0 0 ISHARES TR RUSSELL MCP GR 464287481 1346 36939 SH SOLE 36939 0 0 ISHARES TR RUSSELL MCP VL 464287473 1437 49585 SH SOLE 49585 0 0 ISHARES TR RUSSELL MIDCAP 464287499 2200 33581 SH SOLE 33581 0 0 ISHARES TR RUSSELL1000VAL 464287598 3944 82874 SH SOLE 82874 0 0 ISHARES TR S&P 500 INDEX 464287200 4334 46931 SH SOLE 46931 0 0 ISHARES TR S&P 500 VALUE 464287408 16425 376213 SH SOLE 376213 0 0 ISHARES TR S&P 500 GRW 464287309 20494 429017 SH SOLE 429017 0 0 ISHARES TR S&P GBL ENER 464287341 688 22405 SH SOLE 22405 0 0 ISHARES TR S&P GBL HLTHCR 464287325 247 5729 SH SOLE 5729 0 0 ISHARES TR S&P GL C STAPL 464288737 387 8243 SH SOLE 8243 0 0 ISHARES TR S&P GLO INFRAS 464288372 1024 35016 SH SOLE 35016 0 0 ISHARES TR S&P LTN AM 40 464287390 459 13208 SH SOLE 13208 0 0 ISHARES TR S&P MC 400 GRW 464287606 837 13423 SH SOLE 13423 0 0 ISHARES TR S&P MIDCAP 400 464287507 8876 153589 SH SOLE 153589 0 0 ISHARES TR S&P NA NAT RES 464287374 1175 42393 SH SOLE 42393 0 0 ISHARES TR S&P NATL MUN B 464288414 3550 35618 SH SOLE 35618 0 0 ISHARES TR S&P SMLCAP 600 464287804 5418 121948 SH SOLE 121948 0 0 ISHARES TR S&P SMLCP GROW 464287887 1007 21732 SH SOLE 21732 0 0 ISHARES TR JPMORGAN USD 464288281 207 2196 SH SOLE 2196 0 0 ISHARES TR NYSE COMP INDX 464287143 241 4456 SH SOLE 4456 0 0 ISHARES TR S&P GBL INF 464287291 204 4555 SH SOLE 4555 0 0 JACOBS ENGR GROUP INC COM 469814107 308 7311 SH SOLE 7311 0 0 JOHNSON & JOHNSON COM 478160104 2044 35986 SH SOLE 35986 0 0 J P MORGAN CHASE & CO COM 46625H100 1761 51658 SH SOLE 51658 0 0 KIMBERLY CLARK CORP COM 494368103 493 9400 SH SOLE 9400 0 0 KINDER MORGAN ENERGY PRT UT LTD PARTNER 494550106 554 10845 SH SOLE 10845 0 0 KONINKLIJKE PHILIPS ELEC NY REG SH NEW 500472303 387 20895 SH SOLE 20895 0 0 KRAFT FOODS INC CL A 50075N104 531 20987 SH SOLE 20987 0 0 LINCOLN EDL SVCS CORP COM 533535100 4230 202088 SH SOLE 202088 0 0 MARRIOTT INTL INC NEW CL A 571903202 582 26360 SH SOLE 26360 0 0 MASTERCARD INC CL A 57636Q104 802 4792 SH SOLE 4792 0 0 MCDONALDS CORP COM 580135101 407 7073 SH SOLE 7073 0 0 MCGRAW HILL COS INC COM 580645109 521 17292 SH SOLE 17292 0 0 MERCK & CO INC COM 589331107 365 13058 SH SOLE 13058 0 0 MERIDIAN RESOURCE CORP COM 58977Q109 5 14625 SH SOLE 14625 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 419 63502 SH SOLE 63502 0 0 MICROSOFT CORP COM 594918104 2093 88015 SH SOLE 88015 0 0 MIDCAP SPDR TR UNIT SER 1 595635103 291 2770 SH SOLE 2770 0 0 MODUSLINK GLOBAL SOLUTN COM 60786L107 163 23726 SH SOLE 23726 0 0 NUVEEN CA DIV ADVANTG MUN COM 67069X104 204 18000 SH SOLE 18000 0 0 NUVEEN CA DIV ADV MUN COM SHS 67066Y105 208 19300 SH SOLE 19300 0 0 NUVEEN CALIF MUN VALU FD COM 67062C107 251 29780 SH SOLE 29780 0 0 NUVEEN CALIF QUALTY INCM COM 670985100 173 14650 SH SOLE 14650 0 0 NUVEEN INSD DIV ADVANTG COM 67071L106 228 17800 SH SOLE 17800 0 0 NUVEEN INSD PREM INC MUN COM 6706D8104 127 11280 SH SOLE 11280 0 0 NUVEEN MUN INCM FD INC COM 67062J102 269 26390 SH SOLE 26390 0 0 NUVEEN MUN MKT OPP FD COM 67062W103 238 19900 SH SOLE 19900 0 0 NUVEEN MUN VAL FD INC COM 670928100 3763 410664 SH SOLE 410664 0 0 NUVEEN PREM INCM MUN FD COM 67062T100 550 44755 SH SOLE 44755 0 0 NUVEEN PREM INCM MUN FD2 COM 67063W102 1206 96957 SH SOLE 96957 0 0 NUVEEN PREM INCM MUN FD4 COM 6706K4105 272 25329 SH SOLE 25329 0 0 NUVEEN PREMIER INSD MUN COM 670987106 275 21772 SH SOLE 21772 0 0 NUVEEN QUALTY INCM MUN COM 670977107 930 73066 SH SOLE 73066 0 0 NUVEEN SELECT QUAL MUN FD COM 670973106 167 13100 SH SOLE 13100 0 0 NUVEEN SELCT TAX FREE INC SH BEN INT 67063C106 2077 157346 SH SOLE 157346 0 0 NUVEEN SELCT TAX FREE INC SH BEN INT 67062F100 1785 125673 SH SOLE 125673 0 0 NUVEEN SELCT TAX FREE INC SH BEN INT 67063X100 235 16800 SH SOLE 16800 0 0 NUVEEN TEX QUAL INCM MUN COM 670983105 1027 72202 SH SOLE 72202 0 0 ORACLE CORP COM 68389X105 302 14090 SH SOLE 14090 0 0 PAYCHEX INC COM 704326107 227 9025 SH SOLE 9025 0 0 PENN WEST ENERGY TR TR UNIT 707885109 287 22532 SH SOLE 22532 0 0 PEPSICO INC COM 713448108 4164 75765 SH SOLE 75765 0 0 PERMIAN BASIN RTY TR UNIT BEN INT 714236106 124 11400 SH SOLE 11400 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E104 374 3384 SH SOLE 3384 0 0 PFIZER INC COM 717081103 768 51215 SH SOLE 51215 0 0 PHILIP MORRIS INTL INC COM 718172109 885 20278 SH SOLE 20278 0 0 PIMCO HIGH INCOME FD COM SHS 722014107 586 65506 SH SOLE 65506 0 0 PLAINS ALL AMER PIPELINE UNIT LTD PARTN 726503105 1743 40966 SH SOLE 40966 0 0 POWERSHARES DB CMDTY IDX UNIT BEN INT 73935S105 1112 49180 SH SOLE 49180 0 0 POWERSHARES ETF TRUST PRVT EQTY PORT 73935X195 520 70929 SH SOLE 70929 0 0 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 207 5533 SH SOLE 5533 0 0 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 180 12400 SH SOLE 12400 0 0 POWERSHS DB MULTI SECT DB PREC MTLS 73936B200 919 28928 SH SOLE 12400 0 0 POWERSHS DB MULTI SECT DB AGRICULT FD 73936B408 296 11603 SH SOLE 12400 0 0 PRIDE INTL INC DEL COM 74153Q102 975 38937 SH SOLE 38937 0 0 PROCERA NETWORKS INC COM 74269U104 6 10000 SH SOLE 10000 0 0 PROCTER & GAMBLE CO COM 742718109 2249 44007 SH SOLE 44007 0 0 PROSHARES TR PSHS ULTRA FINL 74347R743 127 33000 SH SOLE 33000 0 0 PROVIDENT ENERGY TR TR UNIT 74386K104 161 32680 SH SOLE 32680 0 0 QUALCOMM INC COM 747525103 917 20290 SH SOLE 20290 0 0 RMR ASIA REAL ESTATE FD COM BENE INTER 74964Q101 226 14209 SH SOLE 14209 0 0 ROYAL BK SCOTLND GRP PLC SP ADR PREF M 780097796 227 20300 SH SOLE 20300 0 0 ROYAL BK SCOTLND GRP PLC ADR PREF SHS Q 780097754 136 11750 SH SOLE 11750 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 503 10020 SH SOLE 10020 0 0 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 235 7621 SH SOLE 7621 0 0 SABINE ROYALTY TR UNIT BEN INT 785688102 2844 64215 SH SOLE 64215 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 726 50536 SH SOLE 50536 0 0 SANGAMO BIOSCIENCES INC COM 800677106 99 19944 SH SOLE 19944 0 0 SARA LEE CORP COM 803111103 241 24663 SH SOLE 24663 0 0 SCHLUMBERGER LTD COM 806857108 1134 20956 SH SOLE 20956 0 0 SCHWAB CHARLES CORP NEW COM 808513105 690 39336 SH SOLE 39336 0 0 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 7301 400910 SH SOLE 400910 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 7139 310523 SH SOLE 310523 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 202 4210 SH SOLE 4210 0 0 SEMPRA ENERGY COM 816851109 890 17939 SH SOLE 17939 0 0 SIEMENS A G SPONSORED ADR 826197501 258 3722 SH SOLE 3722 0 0 SIRIUS XM RADIO INC COM 82967N108 14 33146 SH SOLE 33146 0 0 SMITH INTL INC COM 832110100 565 21932 SH SOLE 21932 0 0 SOUTHERN CO COM 842587107 621 19916 SH SOLE 19916 0 0 SOUTHERN COPPER CORP COM 84265V105 564 27600 SH SOLE 27600 0 0 SOUTHWESTERN ENERGY CO COM 845467109 293 7539 SH SOLE 7539 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 5646 61918 SH SOLE 61918 0 0 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 817 28441 SH SOLE 28441 0 0 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 7935 225489 SH SOLE 225489 0 0 SPDR SERIES TRUST BRCLYS SHRT ETF 78464A425 3386 142889 SH SOLE 142889 0 0 SPDR SERIES TRUST BRCLYS 1-3M ETF 78464A680 1024 22330 SH SOLE 22330 0 0 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 436 9696 SH SOLE 9696 0 0 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 286 5744 SH SOLE 5744 0 0 SULPHCO INC COM 865378103 9 10000 SH SOLE 10000 0 0 SUN MICROSYSTEMS COM NEW 866810203 131 14214 SH SOLE 14214 0 0 SYNTROLEUM CORP COM 871630109 520 233300 SH SOLE 233300 0 0 SYSCO CORP COM 871829107 1075 47815 SH SOLE 47815 0 0 TEMPLETON GLOBAL INCM FD COM 880198106 160 18547 SH SOLE 18547 0 0 TENET HEALTHCARE CORP COM 88033G100 143 50775 SH SOLE 50775 0 0 TESORO CORP COM 881609101 152 11962 SH SOLE 11962 0 0 TEVA PHARMACEUTICAL INDS ADR 881624209 388 7864 SH SOLE 7864 0 0 THERMO FISHER SCIENTIFIC COM 883556102 1319 32349 SH SOLE 32349 0 0 TRANSOCEAN LTD REG SHS H8817H100 306 4123 SH SOLE 4123 0 0 UNION PAC CORP COM 907818108 240 4619 SH SOLE 4619 0 0 UNITED PARCEL SERVICE CL B 911312106 963 19257 SH SOLE 19257 0 0 UNITED STATES NATL GAS UNIT 912318102 264 19000 SH SOLE 19000 0 0 US BANCORP DEL COM NEW 902973304 408 22786 SH SOLE 22786 0 0 V F CORP COM 918204108 366 6609 SH SOLE 6609 0 0 VAN KAMPEN CA VALU MUN I COM 92112B107 141 13240 SH SOLE 13240 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 25376 326625 SH SOLE 326625 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 708 15122 SH SOLE 15122 0 0 VANGUARD INDEX FDS REIT ETF 922908553 1131 36473 SH SOLE 36473 0 0 VANGUARD INDEX FDS STK MRK ETF 922908769 1279 27648 SH SOLE 27648 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 235 5132 SH SOLE 5132 0 0 VANGUARD INTL EQTY INDX ALLWRLD EX US 922042775 479 13334 SH SOLE 13334 0 0 VANGUARD INTL EQTY INDX EMR MKT ETF 922042858 3501 110022 SH SOLE 110022 0 0 VANGUARD INTL EQTY INDX EURPEAN ETF 922042874 9659 239795 SH SOLE 239795 0 0 VANGUARD INTL EQTY INDX PACIFIC ETF 922042866 6170 133434 SH SOLE 133434 0 0 VANGUARD SPECIALZD PRTFL DIV APP ETF 921908844 641 16180 SH SOLE 16180 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 355 7636 SH SOLE 7636 0 0 VERIZON COMMUNICATIONS COM 92343V104 798 25973 SH SOLE 25973 0 0 VONAGE HLDGS CORP COM 92886T201 4 10000 SH SOLE 10000 0 0 WAL MART STORES INC COM 931142103 1438 29691 SH SOLE 29691 0 0 WALGREEN CO COM 931422109 2464 83787 SH SOLE 83787 0 0 WASTE MGMT INC DEL COM 94106L109 931 33086 SH SOLE 33086 0 0 WATSON WYATT WORLDWIDE COM 942712100 333 8866 SH SOLE 8866 0 0 WELLPOINT INC COM 94973V107 205 4035 SH SOLE 4035 0 0 WELLS FARGO & CO NEW COM 949746101 2549 105088 SH SOLE 105088 0 0 WESTERN DIGITAL CORP COM 958102105 212 8000 SH SOLE 8000 0 0 WESTERN UN CO COM 959802109 758 46210 SH SOLE 46210 0 0 WISDOMTREE TRUST INTL MIDCAP DV 97717W778 451 11494 SH SOLE 11494 0 0 XOMA LTD ORD G9825R107 62 75729 SH SOLE 75729 0 0 YUM BRANDS INC COM 988498101 497 14918 SH SOLE 14918 0 0 ZIMMER HLDGS INC COM 98956P102 1261 29600 SH SOLE 29600 0 0
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