-----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, ESqwxl4OYoqd1r5hbSzTArd2AkK3GY/kTc5wzESV7sTYI5S+K+CkMMScBEzR42WV bBARNVDM932ZfNNLmo2TYQ== 0001398344-10-000272.txt : 20100216 0001398344-10-000272.hdr.sgml : 20100215 20100216171234 ACCESSION NUMBER: 0001398344-10-000272 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baker Avenue Asset Management, LP CENTRAL INDEX KEY: 0001432529 IRS NUMBER: 201735413 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13834 FILM NUMBER: 10609612 BUSINESS ADDRESS: STREET 1: 601 CALIFORNIA ST STREET 2: SUITE 750 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: 415-986-1110 MAIL ADDRESS: STREET 1: 601 CALIFORNIA ST STREET 2: SUITE 750 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 13F-HR 1 fp0001357_13fhr.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: December 31, 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: Baker Avenue Asset Management, LP Address: 601 California St, Suite 750 San Francisco, CA 94108 Form 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, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Stacey Kruus Title: Chief Compliance Officer Phone: 202-275-0089 Signature, Place, and Date of Signing: /s/Stacey Kruus Mercer Island, WA 02-08-2010 --------------------- ----------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 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).) [ ] 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: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-______________ _______________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 376 Form 13F Information Table Value Total: $ 338,955 ------------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name ______ 28-______________________ ______________________________ [Repeat as necessary.]
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------- -------------- --------- -------- ------------------- ---------- -------- ----------------- VOTING AUTHORITY SHRS OR SH/ PUT/ INVESTMENT OTHER ----------------- NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED OTHER - -------------------- -------------- --------- -------- ------- ---- ---- ---------- -------- ---- ------ ----- Abb Ltd Adr Each Repr1 Chf2.50(spon) COMMON STOCK 000375204 2 100 YES NONE N/A Abbott Laboratories COMMON STOCK 002824100 22 400 YES NONE N/A Adobe Sys Inc COMMON STOCK 00724f101 37 1,000 YES NONE N/A Advanced Viral Resh Corp COMMON STOCK 007928104 0 250,000 YES NONE N/A Aes Corp COMMON STOCK 00130h105 124 9,330 YES NONE N/A Aflac Inc COMMON STOCK 001055102 263 5,680 YES NONE N/A Agfeed Inds Inc Com COMMON STOCK 00846l101 10 2,000 YES NONE N/A Agnico Eagle Mines Comnpv Isin#ca008474108 COMMON STOCK 008474108 22 400 YES NONE N/A Alcoa Inc COMMON STOCK 013817101 16 1,000 YES NONE N/A Allergan Inc COMMON STOCK 018490102 51 815 YES NONE N/A Allstate Corp COMMON STOCK 020002101 84 2,800 YES NONE N/A ALPHA NATURAL RESOURCES COMMON STOCK 02076X102 10,265 236,620 YES NONE N/A ALPHA NATURAL RESOURCES COMMON STOCK 02076X102 16 380 YES NONE N/A Alpine Global Premierpptys Fd Comshs Of Be COMMON STOCK 02083a103 2 250 YES NONE N/A Altair Nanotechnologiesinc Comnpv COMMON STOCK 021373105 25 28,000 YES NONE N/A Altria Group Inc COMMON STOCK 02209S103 64 3,250 YES NONE N/A America Movil Sab De Cvadr Each Rep 20 Shs COMMON STOCK 02364w105 19 400 YES NONE N/A American Cap Ltd Com COMMON STOCK 02503y103 78 31,869 YES NONE N/A American Elec Pwr Co COMMON STOCK 025537101 3 100 YES NONE N/A American Express Company COMMON STOCK 025816109 68 1,685 YES NONE N/A Amgen Inc COMMON STOCK 031162100 103 1,823 YES NONE N/A APPLE INC COMMON STOCK 037833100 42 200 YES NONE N/A At&t Inc COMMON STOCK 00206R102 212 7,580 YES NONE N/A At&t Inc COMMON STOCK 00206R102 37 1,323 YES NONE N/A ATLANTIC POWER CORP COMNPV ISIN#CA04878Q86 COMMON STOCK 04878q863 1 100 YES NONE N/A Atlas Energy Inc Com COMMON STOCK 049298102 433 14,358 YES NONE N/A Atlas Energy Inc Com COMMON STOCK 049298102 50 1,661 YES NONE N/A Automatic Data Processinginc COMMON STOCK 053015103 119 2,790 YES NONE N/A Bank New York Melloncorp COMMON STOCK 064058100 69 2,470 YES NONE N/A Bank Of America Corp COMMON STOCK 060505104 55 3,652 YES NONE N/A Barclays Bank Plc Ipathdj-Ubs Platinumetn COMMON STOCK 06739h255 96 2,500 YES NONE N/A Barclays Bk Plc Ipathindex Lkd Secs Togsci COMMON STOCK 06738c794 78 2,470 YES NONE N/A BARRICK GOLD CORP F COMMON STOCK 067901108 11,120 282,375 YES NONE N/A BARRICK GOLD CORP F COMMON STOCK 067901108 28 700 YES NONE N/A Bearingpoint Inc Com New COMMON STOCK 074002205 0 40 YES NONE N/A BERKSHIRE HATHAWAY B NEW CLASS B COMMON STOCK 084670702 174 53 YES NONE N/A Block H & R Inc COMMON STOCK 093671105 45 2,000 YES NONE N/A Bluestar Health Inc COMMON STOCK 09624g101 - 1 YES NONE N/A Bowne & Co Inc COMMON STOCK 103043105 402 60,201 YES NONE N/A Bowne & Co Inc COMMON STOCK 103043105 17 2,583 YES NONE N/A Bristol Myers Squibb COMMON STOCK 110122108 61 2,407 YES NONE N/A BROCADE COMMUNICATIONS SYS INC NEW COMMON STOCK 111621306 8,774 1,149,899 YES NONE N/A BROCADE COMMUNICATIONS SYS INC NEW COMMON STOCK 111621306 73 9,577 YES NONE N/A BUCYRUS INTL INC COMMON STOCK 118759109 5,871 104,160 YES NONE N/A BUCYRUS INTL INC COMMON STOCK 118759109 17 300 YES NONE N/A Burst.Com Inc Com COMMON STOCK 12284p106 1 10,000 YES NONE N/A Callaway Golf Co Delaware COMMON STOCK 131193104 74 9,770 YES NONE N/A Calypte Biomedical Corpcom New COMMON STOCK 131722605 1 65,000 YES NONE N/A Caterpillar Inc COMMON STOCK 149123101 18 310 YES NONE N/A CBS CORPORATION CL B NEW COMMON STOCK 124857202 8,992 639,995 YES NONE N/A CBS CORPORATION CL B NEW COMMON STOCK 124857202 22 1,550 YES NONE N/A Center Finl Corp Calif COMMON STOCK 15146e102 220 47,733 YES NONE N/A Cerner Corp COMMON STOCK 156782104 37 450 YES NONE N/A Chapeau Inc Com New COMMON STOCK 159427202 0 825 YES NONE N/A Chesapeake Energy Corporation Oklahoma COMMON STOCK 165167107 20 770 YES NONE N/A Chevron Corp New COMMON STOCK 166764100 26 335 YES NONE N/A CHINA ED ALLIANCE INCCOM NEW COMMON STOCK 16938y207 222 36,206 YES NONE N/A CIGNA CORP COMMON STOCK 125509109 12,334 349,705 YES NONE N/A CIGNA CORP COMMON STOCK 125509109 43 1,230 YES NONE N/A Cincinnati Finl Corp COMMON STOCK 172062101 113 4,300 YES NONE N/A Cisco Systems Inc COMMON STOCK 17275R102 5 200 YES NONE N/A Cit Group Inc New Comnew COMMON STOCK 125581801 3 122 YES NONE N/A Citadel Broadcasting Corp COMMON STOCK 17285t106 0 200 YES NONE N/A Citigroup Inc COMMON STOCK 172967101 6 1,690 YES NONE N/A Coach Inc COMMON STOCK 189754104 37 1,000 YES NONE N/A Coca Cola Co COMMON STOCK 191216100 125 2,200 YES NONE N/A COGNIZANT TECH SOL CL A COMMON STOCK 192446102 11,344 250,255 YES NONE N/A COGNIZANT TECH SOL CL A COMMON STOCK 192446102 44 980 YES NONE N/A Coinstar Inc COMMON STOCK 19259p300 212 7,642 YES NONE N/A COMCAST CORP NEW CLA COMMON STOCK 20030n101 1 72 YES NONE N/A Companhia Siderurgicanacional Csn Spons Ad COMMON STOCK 20440w105 16 500 YES NONE N/A Conexant Sys Inc Com New COMMON STOCK 207142308 0 2 YES NONE N/A Conocophillips COMMON STOCK 20825C104 38 750 YES NONE N/A CTRIP COM INTL LTD ADR F SPONSORED ADR 1 A COMMON STOCK 22943f100 6,987 97,230 YES NONE N/A CTRIP COM INTL LTD ADR F SPONSORED ADR 1 A COMMON STOCK 22943f100 11 160 YES NONE N/A Deutsche Telekom Ag Adseach Repr 1 Ord Npv COMMON STOCK 251566105 0 1 YES NONE N/A DISCOVER FINANCIAL SERVICES COMMON STOCK 254709108 8,671 589,433 YES NONE N/A DISCOVER FINANCIAL SERVICES COMMON STOCK 254709108 36 2,460 YES NONE N/A Dominion Resources Incva New COMMON STOCK 25746u109 129 3,320 YES NONE N/A DOW CHEMICAL COMPANY COMMON STOCK 260543103 41 1,500 YES NONE N/A Dryships Inc Com Usd0.01 COMMON STOCK y2109q101 62 10,700 YES NONE N/A Du Pont E I De Nemours& Co COMMON STOCK 263534109 138 4,100 YES NONE N/A Duke Energy Corporation (holding Company) COMMON STOCK 26441C105 134 7,800 YES NONE N/A Dxp Enterprises Inc New COMMON STOCK 233377407 211 16,111 YES NONE N/A Dxp Enterprises Inc New COMMON STOCK 233377407 24 1,824 YES NONE N/A E M C Corp Mass COMMON STOCK 268648102 3 200 YES NONE N/A Eastman Kodak Co COMMON STOCK 277461109 0 100 YES NONE N/A EDEN ENERGY CORP COMMON STOCK 27944m103 0 5,000 YES NONE N/A El Paso Corporation COMMON STOCK 28336L109 96 9,730 YES NONE N/A Electronics Arts COMMON STOCK 285512109 66 3,720 YES NONE N/A Eli Lilly & Co COMMON STOCK 532457108 100 2,800 YES NONE N/A Eli Lilly & Co COMMON STOCK 532457108 7 208 YES NONE N/A Epiq Sys Inc COMMON STOCK 26882d109 224 16,041 YES NONE N/A Exide Technologies New COMMON STOCK 302051206 456 64,167 YES NONE N/A Exide Technologies New COMMON STOCK 302051206 19 2,713 YES NONE N/A Fairpoint Communicationsinc COMMON STOCK 305560104 0 1 YES NONE N/A First Tr Exchange Tradedfd Ny Arca Biotech COMMON STOCK 33733e203 64 2,230 YES NONE N/A First Tr Ise Reverenat Gas Indexfd COMMON STOCK 33734j102 156 8,890 YES NONE N/A FLEXTRONICS INTL LTD F COMMON STOCK y2573f102 8,909 1,218,740 YES NONE N/A FLEXTRONICS INTL LTD F COMMON STOCK y2573f102 27 3,662 YES NONE N/A Flir Sys Inc COMMON STOCK 302445101 56 1,700 YES NONE N/A Fmc Technologies Inc COMMON STOCK 30249u101 29 500 YES NONE N/A FORD MOTOR COMPANY NEW COMMON STOCK 345370860 17,048 1,704,803 YES NONE N/A FORD MOTOR COMPANY NEW COMMON STOCK 345370860 59 5,880 YES NONE N/A Fpl Group Inc COMMON STOCK 302571104 16 300 YES NONE N/A FREEPORT MCMORAN COPPER COMMON STOCK 35671D857 10,812 134,667 YES NONE N/A FREEPORT MCMORAN COPPER COMMON STOCK 35671D857 67 830 YES NONE N/A General Dynamics Crp COMMON STOCK 369550108 122 1,787 YES NONE N/A General Electric Co COMMON STOCK 369604103 138 9,120 YES NONE N/A General Electric Co COMMON STOCK 369604103 41 2,700 YES NONE N/A GERDAU SA SPONS ADR F SPONSORED ADR 1 ADR COMMON STOCK 373737105 11,474 673,729 YES NONE N/A GERDAU SA SPONS ADR F SPONSORED ADR 1 ADR COMMON STOCK 373737105 45 2,650 YES NONE N/A Global Marine Ltd COMMON STOCK 37944y106 - 6 YES NONE N/A Google Inc Cl A COMMON STOCK 38259P508 31 50 YES NONE N/A HARTFORD FINL SVCS GRP COMMON STOCK 416515104 7,853 337,615 YES NONE N/A HARTFORD FINL SVCS GRP COMMON STOCK 416515104 43 1,830 YES NONE N/A Healthtrac Inc Com Npv Isin#ca42226r1001 S COMMON STOCK 42226r100 - 1,000 YES NONE N/A Heinz H J Co COMMON STOCK 423074103 127 2,970 YES NONE N/A Hershey Co COMMON STOCK 427866108 100 2,800 YES NONE N/A Hewlett Packard Co COMMON STOCK 428236103 52 1,000 YES NONE N/A HLTH MGMT ASSOC CL A COMMON STOCK 421933102 8,588 1,181,335 YES NONE N/A HLTH MGMT ASSOC CL A COMMON STOCK 421933102 32 4,384 YES NONE N/A Hon Hai Precision Indltd Global Depositary COMMON STOCK 438090201 13 1,304 YES NONE N/A Honeywell Intl Inc COMMON STOCK 438516106 145 3,700 YES NONE N/A Hospira Inc COMMON STOCK 441060100 2 40 YES NONE N/A Humana Inc COMMON STOCK 444859102 55 1,250 YES NONE N/A Icici Bank Limited Adreach Repr 2 Ord Inr1 COMMON STOCK 45104g104 15 400 YES NONE N/A IDEARC INC COM DELAWARE NOSTOCKHOLDER EQUI COMMON STOCK 451663108 0 5 YES NONE N/A Igate Corp COMMON STOCK 45169u105 409 40,886 YES NONE N/A Igate Corp COMMON STOCK 45169u105 42 4,184 YES NONE N/A Illinois Tool Works COMMON STOCK 452308109 58 1,200 YES NONE N/A Indymac Bancorp Inc COMMON STOCK 456607100 0 300 YES NONE N/A INFOSYS TECH SPON ADR F SPONSORED ADR 1 AD COMMON STOCK 456788108 28 500 YES NONE N/A Ingersoll-Rand Plc Shsusd1 COMMON STOCK g47791101 56 1,560 YES NONE N/A Ingersoll-Rand Plc Shsusd1 COMMON STOCK g47791101 36 1,000 YES NONE N/A Integral Vision Inc COMMON STOCK 45811h106 0 5,000 YES NONE N/A Intel Corp COMMON STOCK 458140100 0 1 YES NONE N/A Intel Corp COMMON STOCK 458140100 33 1,634 YES NONE N/A Intermountain Res Inc COMMON STOCK 458842101 - 4,000 YES NONE N/A Ishares Barclays 1-3 Yrcd Bd Fd COMMON STOCK 464288646 11,622 111,797 YES NONE N/A Ishares Barclays Intermediatecr Bd Fd COMMON STOCK 464288638 594 5,780 YES NONE N/A Ishares Barclays Treasinflation Protecteds COMMON STOCK 464287176 6,760 65,059 YES NONE N/A Ishares Barclays Us Aggregate Bd Fd COMMON STOCK 464287226 3,359 32,555 YES NONE N/A ISHARES IBOXX INVESTOP IBOXX $ INVESTOP CO COMMON STOCK 464287242 9,673 92,874 YES NONE N/A Ishares Inc Mcsi Isr Israelcapped Index Fd COMMON STOCK 464286632 1,417 26,040 YES NONE N/A Ishares Inc Msci Australiaindex Fund COMMON STOCK 464286103 40 1,750 YES NONE N/A Ishares Inc Msci Brazilindex Fund COMMON STOCK 464286400 315 4,220 YES NONE N/A Ishares Inc Msci Mexicoinvestable Marketin COMMON STOCK 464286822 1,516 31,015 YES NONE N/A Ishares Inc Msci Southkorea Index Fd COMMON STOCK 464286772 181 3,790 YES NONE N/A Ishares Inc Msci Turkeyindex Fd COMMON STOCK 464286715 1,565 29,030 YES NONE N/A Ishares Silver Tr Ishares COMMON STOCK 46428q109 20 1,200 YES NONE N/A Ishares Tr Dow Jones Selectdivid Index Fd COMMON STOCK 464287168 269 6,130 YES NONE N/A Ishares Tr Dow Jones Us Real Estate Indexf COMMON STOCK 464287739 2,243 48,850 YES NONE N/A Ishares Tr Dow Jones Ushealth Care Prov In COMMON STOCK 464288828 1,531 31,615 YES NONE N/A Ishares Tr Iboxx $high Yield Corp Bdfd COMMON STOCK 464288513 1,056 12,020 YES NONE N/A ISHARES TR MSCI EAFE FD MSCI EAFE INDEX FU COMMON STOCK 464287465 378 6,840 YES NONE N/A Ishares Tr Msciemerging Mkts Indexfd COMMON STOCK 464287234 179 4,310 YES NONE N/A Ishares Tr Nasdaq Biotechnologyindex Fd COMMON STOCK 464287556 25 300 YES NONE N/A Ishares Tr Russell 1000value Index Fd COMMON STOCK 464287598 558 9,715 YES NONE N/A Ishares Tr Russell 2000index Fd COMMON STOCK 464287655 24 380 YES NONE N/A Ishares Tr Russell 3000index Fd COMMON STOCK 464287689 74 1,130 YES NONE N/A Ishares Tr Russell2000 Value Indexfd COMMON STOCK 464287630 840 14,480 YES NONE N/A Ishares Tr S&p Latinamer 40 Indexfd COMMON STOCK 464287390 1,441 30,150 YES NONE N/A Ishares Tr S&p U S Pfdstk Index Fd COMMON STOCK 464288687 454 12,370 YES NONE N/A Ishares Tr S&p/Topix 150index Fd COMMON STOCK 464287382 4 100 YES NONE N/A Jamba Inc Com COMMON STOCK 47023a101 1 500 YES NONE N/A Johnson & Johnson COMMON STOCK 478160104 124 1,930 YES NONE N/A Johnson & Johnson COMMON STOCK 478160104 238 3,695 YES NONE N/A Johnson Ctls Inc COMMON STOCK 478366107 156 5,740 YES NONE N/A JOY GLOBAL INC COMMON STOCK 481165108 10,140 196,627 YES NONE N/A JOY GLOBAL INC COMMON STOCK 481165108 40 770 YES NONE N/A Jpmorgan Chase & Co Alerianmlp Index Etnba COMMON STOCK 46625h365 606 21,210 YES NONE N/A Jpmorgan Chase & Co Formerly J P Morgan Ch COMMON STOCK 46625H100 38 900 YES NONE N/A Keycorp New COMMON STOCK 493267108 61 11,050 YES NONE N/A Kinder Morgan Mgmt Llcshs COMMON STOCK 49455u100 0 3 YES NONE N/A Kohls Corp COMMON STOCK 500255104 30 560 YES NONE N/A Kraft Foods Inc Cla COMMON STOCK 50075n104 27 1,000 YES NONE N/A L-3 Communications Hldgsinc COMMON STOCK 502424104 9 100 YES NONE N/A Las Vegas Sands Corp COMMON STOCK 517834107 12 800 YES NONE N/A Lecg Corp COMMON STOCK 523234102 206 68,736 YES NONE N/A Lecg Corp COMMON STOCK 523234102 30 9,989 YES NONE N/A Lender Processing Svcsinc Com COMMON STOCK 52602e102 4 100 YES NONE N/A Life Technologies Corporation COMMON STOCK 53217V109 9,486 181,645 YES NONE N/A Life Technologies Corporation COMMON STOCK 53217V109 40 770 YES NONE N/A Lihua Intl Inc Com COMMON STOCK 532352101 256 24,468 YES NONE N/A Lipid Sciences Inc Ariz COMMON STOCK 53630p101 0 1,000 YES NONE N/A Live Current Media Inccom COMMON STOCK 538031105 1 3,300 YES NONE N/A Marathon Oil Corp Isin#us5658491064 Sedol# COMMON STOCK 565849106 3 100 YES NONE N/A Market Vectors Etf Trcoal Etf COMMON STOCK 57060u837 1,553 42,990 YES NONE N/A Market Vectors Etf Trgold Miners Etf Fd COMMON STOCK 57060u100 249 5,380 YES NONE N/A Market Vectors Etf Trindonesia Etf COMMON STOCK 57060u753 201 3,240 YES NONE N/A Market Vectors Etf Trsteel Etf COMMON STOCK 57060u308 1,474 23,960 YES NONE N/A Market Vectors Tr Russiaetf COMMON STOCK 57060u506 1,571 50,360 YES NONE N/A Marriott Intl Inccl A COMMON STOCK 571903202 0 1 YES NONE N/A Marshall Edwards Inc COMMON STOCK 572322303 1 1,000 YES NONE N/A Mead Johnson Nutritionco Com COMMON STOCK 582839106 77 1,760 YES NONE N/A Medicines Co COMMON STOCK 584688105 60 7,250 YES NONE N/A Merck & Co Inc New Com COMMON STOCK 58933y105 0 1 YES NONE N/A Microsoft Corp COMMON STOCK 594918104 151 4,961 YES NONE N/A Mindspeed Technologiesinccom New COMMON STOCK 602682205 0 1 YES NONE N/A Molson Coors Brewingco Cl B COMMON STOCK 60871r209 228 5,047 YES NONE N/A Monaco Fin Inc Cl A New COMMON STOCK 608868303 0 560 YES NONE N/A Mosaic Co COMMON STOCK 61945a107 48 800 YES NONE N/A Mosaic Co COMMON STOCK 61945a107 6 100 YES NONE N/A Motorola Inc COMMON STOCK 620076109 7,249 934,210 YES NONE N/A Motorola Inc COMMON STOCK 620076109 46 5,960 YES NONE N/A NABORS INDUSTRIES LTDCOM USD0.001 COMMON STOCK g6359f103 13 600 YES NONE N/A Nalco Holding Company COMMON STOCK 62985Q101 56 2,180 YES NONE N/A Netscout Systems Inc COMMON STOCK 64115t104 423 28,922 YES NONE N/A Netscout Systems Inc COMMON STOCK 64115t104 49 3,343 YES NONE N/A NEWFIELD EXPLORATION CO COMMON STOCK 651290108 10,577 219,295 YES NONE N/A NEWFIELD EXPLORATION CO COMMON STOCK 651290108 32 660 YES NONE N/A Nokia Oyj Adr Each Repr1 Ord Npv COMMON STOCK 654902204 0 1 YES NONE N/A Novartis Ag Adr-Each Repr1 Chf0.5(regd) COMMON STOCK 66987v109 27 500 YES NONE N/A Novogen Ltd Adr Each Rep5 Npv Level Ii(bny COMMON STOCK 67010f103 12 4,925 YES NONE N/A Omnicom Group COMMON STOCK 681919106 141 3,600 YES NONE N/A OPEN JOINT -VIMPEL ADR F VIMPEL-COMMUNICAT COMMON STOCK 68370r109 8,560 460,450 YES NONE N/A OPEN JOINT -VIMPEL ADR F VIMPEL-COMMUNICAT COMMON STOCK 68370r109 25 1,330 YES NONE N/A Oracle Corporation COMMON STOCK 68389x105 56 2,276 YES NONE N/A Parexel Intl Corp COMMON STOCK 699462107 1 100 YES NONE N/A PEOPLES UTD FINL INC COMMON STOCK 712704105 5 305 YES NONE N/A Pepco Hldgs Inc COMMON STOCK 713291102 56 3,300 YES NONE N/A Pfizer Inc COMMON STOCK 717081103 115 6,302 YES NONE N/A Pfizer Inc COMMON STOCK 717081103 12 636 YES NONE N/A Philip Morris Intl Inccom COMMON STOCK 718172109 32 656 YES NONE N/A Powershares Exchange Tradedfd Tr Ii COMMON STOCK 73937b209 239 5,570 YES NONE N/A Powershares Qqq Tr Unitser 1 COMMON STOCK 73935a104 80 1,740 YES NONE N/A PRIDE INTL INC DEL DELAWARE COMMON STOCK 74153Q102 8,336 261,240 YES NONE N/A PRIDE INTL INC DEL DELAWARE COMMON STOCK 74153Q102 20 640 YES NONE N/A Procter & Gamble Co COMMON STOCK 742718109 0 1 YES NONE N/A Procter & Gamble Co COMMON STOCK 742718109 45 750 YES NONE N/A Proshares Short S&p500 Proshares COMMON STOCK 74347r503 217 4,130 YES NONE N/A Proshares Tr Ii Prosharesultrashort Gold COMMON STOCK 74347w700 197 19,080 YES NONE N/A Proshares Ultra Shortconsumer Goods Prosha COMMON STOCK 74347r644 176 4,162 YES NONE N/A Proshares Ultra Shortfinls Proshares COMMON STOCK 74347r628 104 4,300 YES NONE N/A Proshares Ultrashort Ftse Xinhuachina 25 F COMMON STOCK 74347r321 336 40,096 YES NONE N/A Proshares Ultrashortrussell 2000proshares COMMON STOCK 74347r834 432 17,140 YES NONE N/A Qualcomm Inc COMMON STOCK 747525103 0 10 YES NONE N/A Qualcomm Inc COMMON STOCK 747525103 65 1,395 YES NONE N/A Research In Motion Comnpv Isin#ca760975102 COMMON STOCK 760975102 32 475 YES NONE N/A Reynolds Amern Inc COMMON STOCK 761713106 138 2,610 YES NONE N/A Royal Dutch Shell Adrea Rep 2 Cl A Eur0.07 COMMON STOCK 780259206 7 114 YES NONE N/A SANDISK CORP COMMON STOCK 80004C101 14,972 516,460 YES NONE N/A SANDISK CORP COMMON STOCK 80004C101 114 3,930 YES NONE N/A Sara Lee Corp COMMON STOCK 803111103 143 11,700 YES NONE N/A SCHLUMBERGER LIMITED COMSTK USD0.01 COMMON STOCK 806857108 33 500 YES NONE N/A Sea Containers Ltd Cla Isin#bm8113717072 S COMMON STOCK 811371707 - 350 YES NONE N/A Seagate Technology Comusd0.00001 COMMON STOCK g7945j104 4 207 YES NONE N/A Seaspan Corporation Comstk Usd0.01 COMMON STOCK y75638109 406 44,066 YES NONE N/A Seaspan Corporation Comstk Usd0.01 COMMON STOCK y75638109 44 4,816 YES NONE N/A Sector Spdr Tr Shs Benint Financial COMMON STOCK 81369y605 134 9,290 YES NONE N/A Sector Spdr Tr Shs Benint Utilities COMMON STOCK 81369y886 109 3,500 YES NONE N/A Slm Corp Com COMMON STOCK 78442p106 90 8,020 YES NONE N/A SPDR BARCLAYS CAP INTL TREASURY BOND ETF COMMON STOCK 78464a516 4,516 79,471 YES NONE N/A SPDR GOLD TRUST SPDR GOLD SHARES COMMON STOCK 78463V107 1,203 11,210 YES NONE N/A Spdr Index Shs Fds S&pintl Small Cap Etf COMMON STOCK 78463x871 37 1,480 YES NONE N/A SPDR S&P 500 ETF TRUSTUNIT SER 1 S&P COMMON STOCK 78462f103 104 930 YES NONE N/A Spdr Ser Tr Lehman Shortterm Intl Treasbd COMMON STOCK 78464a334 21 590 YES NONE N/A Spdr Ser Tr S&pdivid Etf COMMON STOCK 78464a763 389 8,400 YES NONE N/A Spdr Ser Tr S&psemiconductor Etf COMMON STOCK 78464a862 162 3,400 YES NONE N/A Stanley Works COMMON STOCK 854616109 158 3,070 YES NONE N/A Star Bulk Carriers Corp.Com Stk Usd0.01 COMMON STOCK y8162k105 316 112,072 YES NONE N/A Star Bulk Carriers Corp.Com Stk Usd0.01 COMMON STOCK y8162k105 33 11,608 YES NONE N/A Suntrust Banks Inc COMMON STOCK 867914103 11 562 YES NONE N/A Supertex Inc COMMON STOCK 868532102 243 8,156 YES NONE N/A Supervalu Inc COMMON STOCK 868536103 89 7,000 YES NONE N/A Symmetry Med Inc COMMON STOCK 871546206 212 26,335 YES NONE N/A Teekay Corporation Comstk Usd0.001 COMMON STOCK y8564w103 81 3,490 YES NONE N/A Tele Atlas N.V. Eur0.1 Isin#nl0000233948 COMMON STOCK n8501w101 - 365 YES NONE N/A Telmex Internacional Adrea Rep 20 Ser L COMMON STOCK 879690105 18 1,002 YES NONE N/A TENNECO INC COMMON STOCK 880349105 7,888 444,913 YES NONE N/A TENNECO INC COMMON STOCK 880349105 15 850 YES NONE N/A TERADATA CORP COMMON STOCK 88076W103 8,304 264,220 YES NONE N/A TERADATA CORP COMMON STOCK 88076W103 24 750 YES NONE N/A Terex Corp New COMMON STOCK 880779103 44 2,220 YES NONE N/A Texas Instruments Inc COMMON STOCK 882508104 0 1 YES NONE N/A The Tracking Corp Com COMMON STOCK 88338j106 0 2,000 YES NONE N/A Titanium Metals Corporation New COMMON STOCK 888339207 25 2,000 YES NONE N/A Transcend Services Incnew COMMON STOCK 893929208 233 10,912 YES NONE N/A Transcend Services Incnew COMMON STOCK 893929208 25 1,165 YES NONE N/A Travelers Cos Inc Com COMMON STOCK 89417e109 3 53 YES NONE N/A Tyco Electronics Ltd Comchf2.60 COMMON STOCK h8912p106 0 6 YES NONE N/A Tyco International Ltd(switzerland)com Chf COMMON STOCK h89128104 9 256 YES NONE N/A Unique Broadband Systemscom Npv Isin#ca908 COMMON STOCK 908911100 0 100 YES NONE N/A United Parcel Svc Inccl B COMMON STOCK 911312106 217 3,780 YES NONE N/A UNITED STS OIL FD LP UNITS COMMON STOCK 91232n108 9 230 YES NONE N/A Urban Outfitters Inc COMMON STOCK 917047102 14 400 YES NONE N/A Utstarcom Inc COMMON STOCK 918076100 2 1,100 YES NONE N/A Vale S.A. Spons Adr Repr1 Com Npv COMMON STOCK 91912e105 41 1,400 YES NONE N/A Vanguard Bd Index Fd Incshort Term Bd Etf COMMON STOCK 921937827 88 1,110 YES NONE N/A Vanguard Bd Index Fd Inctotal Bd Market Et COMMON STOCK 921937835 872 11,090 YES NONE N/A Vanguard Index Fds Vanguardtotal Stk Mktet COMMON STOCK 922908769 163 2,900 YES NONE N/A Vanguard Intl Equity Indexfd Inc Ftse All- COMMON STOCK 922042775 150 3,430 YES NONE N/A Vanguard Intl Equity Indexfds Total Worlds COMMON STOCK 922042742 664 15,405 YES NONE N/A VANGUARD REIT COMMON STOCK 922908553 781 17,450 YES NONE N/A Verizon Communications COMMON STOCK 92343v104 143 4,309 YES NONE N/A Vitesse Semiconductr Corp COMMON STOCK 928497106 0 6 YES NONE N/A Vivus Inc COMMON STOCK 928551100 28 3,000 YES NONE N/A Walgreen Company COMMON STOCK 931422109 18 500 YES NONE N/A Walter Energy Inc COMMON STOCK 93317q105 69 910 YES NONE N/A Walter Investment Mg COMMON STOCK 93317w102 1 63 YES NONE N/A Waters Corp COMMON STOCK 941848103 75 1,210 YES NONE N/A Watson Pharmaceuticals Inc COMMON STOCK 942683103 74 1,880 YES NONE N/A Wedgestone Finl Escrow COMMON STOCK 948900980 - 200 YES NONE N/A Wellcare Health Plansinc Formerly Wellcare COMMON STOCK 94946t106 108 2,930 YES NONE N/A Wells Fargo & Co COMMON STOCK 949746101 8 300 YES NONE N/A WESTERN DIGITAL CORP COMMON STOCK 958102105 9,205 208,495 YES NONE N/A WESTERN DIGITAL CORP COMMON STOCK 958102105 23 510 YES NONE N/A Willamette Valley Vineyardsinc COMMON STOCK 969136100 1 300 YES NONE N/A Wisdomtree Tr Emergingmkts Smallcapdivid F COMMON STOCK 97717w281 149 3,450 YES NONE N/A XL CAPITAL LTD A SHS F COMMON STOCK g98255105 12,346 673,536 YES NONE N/A XL CAPITAL LTD A SHS F COMMON STOCK g98255105 65 3,550 YES NONE N/A Yarc Sys Inc COMMON STOCK 984859108 - 1,800 YES NONE N/A Yucheng Technologies Ltdcom Stk Usd0.01 COMMON STOCK g98777108 435 50,960 YES NONE N/A Zimmer Hldgs Inc COMMON STOCK 98956p102 24 400 YES NONE N/A Zix Corp COMMON STOCK 98974p100 212 124,252 YES NONE N/A Bay Coml Bk Walnut Creekcalif COMMON STOCK UNSUPERVISED 072199102 101 13,200 NO NONE N/A Oracle Corporation COMMON STOCK UNSUPERVISED 68389x105 1,185 48,290 NO NONE N/A Praxair Inc COMMON STOCK UNSUPERVISED 74005p104 222 2,762 NO NONE N/A Simpson Manufacturing Co Inc COMMON STOCK UNSUPERVISED 829073105 1,802 67,000 NO NONE N/A 3m Co Lyonzero Cv 0.00000%11/21/2032 CONVERTIBLE BONDS 88579yab7 6 7,000 YES NONE N/A A D C Telecommunications 0.83075%06/15/2013 Subnt Cv Flt CONVERTIBLE BONDS 000886ab7 13 16,000 YES NONE N/A Agco Corp Srsb Cv 1.25000%12/15/2036 CONVERTIBLE BONDS 001084am4 21 20,000 YES NONE N/A Barrett Bill Corp Srnt Cv 5.00000%03/15/2028 Convlnkd CONVERTIBLE BONDS 06846naa2 19 20,000 YES NONE N/A Calpine Corp Srcont Nt Cv 04.75000%11/15/2023 Escrow CONVERTIBLE BONDS 13199adc2 - 30,000 YES NONE N/A Cameron Internationalcorp 2.50000%06/15/2026 Srnt Cv CONVERTIBLE BONDS 13342bab1 9 7,000 YES NONE N/A Chesapeake Energy Bonds 02.25000%12/15/2038 Convinto CONVERTIBLE BONDS 165167cb1 2 2,000 YES NONE N/A DANAHER CORP DEL LYON 0.000% 01/22/2021 DANAHERCORPORATION CONVERTIBLE BONDS 235851af9 4 4,000 YES NONE N/A E M C Corp Mass Srnt Cv 1.75000%12/01/2011 CONVERTIBLE BONDS 268648ak8 9 7,000 YES NONE N/A E M C Corp Mass Srnt Cv 1.75000%12/01/2013 CONVERTIBLE BONDS 268648am4 34 27,000 YES NONE N/A Electronic Data Sys New 3.87500%07/15/2023 Srcv CONVERTIBLE BONDS 285661af1 10 10,000 YES NONE N/A Fisher Scientific Intlinc 3.25000%03/01/2024 Srsb Nt Cv CONVERTIBLE BONDS 338032ax3 9 7,000 YES NONE N/A Gilead Sciences Inc Srcv 0.62500%05/01/2013 CONVERTIBLE BONDS 375558ah6 4 3,000 YES NONE N/A Istar Financial Inc Convnotes 0.00000%10/01/2012 Linkedto Istar CONVERTIBLE BONDS 45031ubf7 3 5,000 YES NONE N/A L-3 Communications Corp 3.00000%08/01/2035 Seccodes Cv CONVERTIBLE BONDS 502413aw7 6 6,000 YES NONE N/A Linear Tech Corp Srcnvrt Nts 3.125% 05/01/2027 Lineartechnology CONVERTIBLE BONDS 535678ad8 10 10,000 YES NONE N/A Medtronic Inc Srnt Cv 1.62500%04/15/2013 CONVERTIBLE BONDS 585055am8 7 7,000 YES NONE N/A Molson Coors Brewing Co 2.500% 07/30/2013 Linkedto Molson CONVERTIBLE BONDS 60871raa8 8 7,000 YES NONE N/A Nabors Inds Inc Srnt Cv 0.94000%05/15/2011 CONVERTIBLE BONDS 629568ap1 7 7,000 YES NONE N/A Newmont Mining Corp Srnt Cv 1.62500%07/15/2017 Intonewmont Mining CONVERTIBLE BONDS 651639aj5 7 6,000 YES NONE N/A Nii Hldgs Inc Ntcv 3.12500%06/15/2012 CONVERTIBLE BONDS 62913faj1 7 8,000 YES NONE N/A Noram Energy Corp Subdeb Cv 6.00000%03/15/2012 CONVERTIBLE BONDS 655419ac3 20 21,000 YES NONE N/A Omnicom Group Inc Zerocv Nt 0.00000%07/01/2038 CONVERTIBLE BONDS 681919at3 11 11,000 YES NONE N/A On Semiconductor Corp 0.00000%04/15/2024 Srsb-B Zro Cv CONVERTIBLE BONDS 682189ae5 10 10,000 YES NONE N/A Prologis Convnotes 02.62500%05/15/2038 Linkedto Prologis CONVERTIBLE BONDS 743410as1 5 6,000 YES NONE N/A Schlumberger Ltd Deb-Bcv 2.12500%06/01/2023 CONVERTIBLE BONDS 806857ad0 5 3,000 YES NONE N/A Tech Data Corp Srdb Cv 2.75000%12/15/2026 CONVERTIBLE BONDS 878237ae6 10 9,000 YES NONE N/A Teva Pharmaceutical Finco B.V 1.75000%02/01/2026 Srcv CONVERTIBLE BONDS 88165faa0 16 13,000 YES NONE N/A Teva Pharmaceutical Finllc 0.25000%02/01/2026 Gtdsr Db Cv CONVERTIBLE BONDS 88163vae9 2 2,000 YES NONE N/A United Auto Group Inc 3.50000%04/01/2026 Cvsb CONVERTIBLE BONDS 909440ah2 4 4,000 YES NONE N/A Verisign Inc Jrsb Cv 3.25000%08/15/2037 CONVERTIBLE BONDS 92343ead4 18 20,000 YES NONE N/A Amr Corp Pfd 7.875%7/13/39 Sr Ntspines CONVERTIBLE PREFERRED 001765866 20 1,000 YES NONE N/A Barclays Bank Plc Adrser 2 Repstg Prefshs CONVERTIBLE PREFERRED 06739f390 10 500 YES NONE N/A Citigroup Capital Viii Capsecs 6.95 Trups CONVERTIBLE PREFERRED 17306r204 21 996 YES NONE N/A Citigroup Capital X Pfd6.10% 09/30/2033 CONVERTIBLE PREFERRED 173064205 18 1,000 YES NONE N/A Corts Tr Gen Elec Capcorp Nts Tr Corp Bkdt CONVERTIBLE PREFERRED 22082x201 18 800 YES NONE N/A Deutsche Bk Cap Fdgtr Viii Tr Pfd Secs CONVERTIBLE PREFERRED 25153u204 11 500 YES NONE N/A Fleet Cap T Viii 7.20%03/15/2032 CONVERTIBLE PREFERRED 33889x203 22 1,000 YES NONE N/A General Motors Corp 7.25%02/15/2052 Pfd CONVERTIBLE PREFERRED 370442758 9 1,700 YES NONE N/A Gmac Llc Nt 7.25% CONVERTIBLE PREFERRED 36186c400 19 1,000 YES NONE N/A Jp Morgan Chase Cap Xpfd 7% 02/15/2032 CONVERTIBLE PREFERRED 46623d200 25 1,000 YES NONE N/A Merck & Co Inc New Pfdconv 6% CONVERTIBLE PREFERRED 58933y204 7 27 YES NONE N/A Merrill Lynch Capitaltrust 7.28% Toprs CONVERTIBLE PREFERRED 59021k205 21 1,000 YES NONE N/A Prudential Plc Perpetualsub Cap Secs6.75% CONVERTIBLE PREFERRED g7293h114 14 600 YES NONE N/A Royal Bk Scotland Groupplc Adr Repstg Pref CONVERTIBLE PREFERRED 780097770 10 1,000 YES NONE N/A Wells Fargo Cap Tr Ivpfd 7.00%9/1/2031 CONVERTIBLE PREFERRED 94976y207 19 745 YES NONE N/A Ft Unit 1686 Canadianenergy & Incomeport S OTHER ASSETS 30274g670 8 988 YES NONE N/A Ft Unit 1698 Strategicincome Plusclosed En OTHER ASSETS 30274w808 9 1,230 YES NONE N/A MIRANT CORPORATION XXX ESCROW PENDING POSS OTHER ASSETS 604675991 - 400 YES NONE N/A Freeport Mcmoran Copper& Gold Inc Mandator PREFERRED STOCK 35671d782 5 44 YES NONE N/A Lucent Technologies Captr I Conv Tr Pfd Se PREFERRED STOCK 549462307 5 7 YES NONE N/A Enbridge Energy Partnerslp UNIT TRUSTS 29250r106 43 800 YES NONE N/A Enterprise Products Pptnslp UNIT TRUSTS 293792107 31 992 YES NONE N/A Health Care Reit Inc UNIT TRUSTS 42217k106 377 8,500 YES NONE N/A Magellan Midstream Partners Lp Com Unit Re UNIT TRUSTS 559080106 48 1,106 YES NONE N/A Plains All American Pipelinelp UNIT TRUSTS 726503105 12 225 YES NONE N/A
-----END PRIVACY-ENHANCED MESSAGE-----