-----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, GxycEDu+pnTbkgLSD9bMLZiKVE+JUh7j0+5R3m/jz818+3JbUWekNUvkrfaZmTtC U33wEzjJk4TUsl0YD1at8w== 0001398344-10-000701.txt : 20100511 0001398344-10-000701.hdr.sgml : 20100511 20100511162209 ACCESSION NUMBER: 0001398344-10-000701 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100511 DATE AS OF CHANGE: 20100511 EFFECTIVENESS DATE: 20100511 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13834 FILM NUMBER: 10821271 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/A 1 fp0001685_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: March 31, 2010 Check here if Amendment [X]; Amendment Number: 1 This Amendment (Check only one.): [X] 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: 28-13834 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 05-11-2010 --------------------- ----------------- ---------- [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: 407 Form 13F Information Table Value Total: $ 699,232 ------------- (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 - ------------------------------- -------------- --------- -------- ------- ---- ---- ---------- -------- ---- ------ ----- 3M COMPANY Common Stock 88579Y101 5 62 SH YES NONE N/A ABB LTD SPONSORED ADR Common Stock 00375204 9 424 SH YES NONE N/A ABBOTT LABORATORIES Common Stock 002824100 45 852 SH YES NONE N/A ABERCROMBIE & FITCH CO CL A Common Stock 02896207 3 72 SH YES NONE N/A ACTUATE CORPORATION Common Stock 00508B102 715 127,860 SH YES NONE N/A ADMINISTAFF INC Common Stock 007094105 716 33,550 SH YES NONE N/A ADOBE SYS INC Common Stock 00724F101 72 2,032 SH YES NONE N/A AES CORP Common Stock 00130H105 144 13,120 SH YES NONE N/A AES TR III 6.75% TR CONV PFD Common Stock 00808N202 23 500 SH YES NONE N/A AFLAC INC Common Stock 001055102 200 3,680 SH YES NONE N/A AGCO CORP NOTE 1.250%12/15/36 Common Stock 001084AM4 22 20,000 SH YES NONE N/A AGFEED INDS INC COM Common Stock 00846L101 18 4,000 SH YES NONE N/A AGNICO EAGLE MINES LTD Common Stock 008474108 45 800 SH YES NONE N/A AGRIUM INC Common Stock 008916108 3 38 SH YES NONE N/A AKAMAI TECH Common Stock 00971T100 4 122 SH YES NONE N/A ALCOA INC Common Stock 013817101 37 2,600 SH YES NONE N/A ALEXION PHARMA INC Common Stock 015351109 3 60 SH YES NONE N/A ALLERGAN INC Common Stock 018490102 54 830 SH YES NONE N/A ALLSTATE CORP Common Stock 020002101 194 6,000 SH YES NONE N/A ALPHA NAT RES INC Common Stock 02076X102 12,411 248,760 SH YES NONE N/A ALPINE GLOBAL PREMIER PROPERTIES FD Common Stock 02083A103 3 500 SH YES NONE N/A ALTAIR NANOTECHNOLOGIES INC Common Stock 021373105 40 56,000 SH YES NONE N/A ALTERA CORP Common Stock 021441100 17,444 717,868 SH YES NONE N/A ALTRIA GROUP INC Common Stock 02209S103 79 3,872 SH YES NONE N/A AMAZON.COM INC Common Stock 023135106 15 114 SH YES NONE N/A AMERICA MOVIL SERIES L ADR Common Stock 02364W105 40 800 SH YES NONE N/A AMERICAN CAPITAL STRATEGIES LTD Common Stock 02503Y103 610 120,158 SH YES NONE N/A AMERICAN EXPRESS CO Common Stock 25816109 98 2,370 SH YES NONE N/A AMERICAN TOWER CORP Common Stock 029912201 20 474 SH YES NONE N/A AMGEN INC Common Stock 031162100 221 3,694 SH YES NONE N/A AMPHENOL CORP CL A Common Stock 032095101 5 110 SH YES NONE N/A ANNALY MTG MGMT INC Common Stock 035710409 2 98 SH YES NONE N/A ANSYS INC Common Stock 03662Q105 4 90 SH YES NONE N/A APACHE CORP Common Stock 037411105 8 80 SH YES NONE N/A APPLE COMPUTER, INC. Common Stock 037833100 184 782 SH PUT YES NONE N/A ARCH COAL INC Common Stock 039380100 1 36 SH YES NONE N/A ARCHER DANIELS MIDLAND Common Stock 039483102 3 106 SH YES NONE N/A AT&T INC COM Common Stock 00206R102 441 17,058 SH YES NONE N/A ATLAS AMERICA INC Common Stock 049298102 1,427 45,866 SH YES NONE N/A ATWOOD OCEANICS Common Stock 050095108 3 76 SH YES NONE N/A AVON PRODUCTS INC Common Stock 054303102 5 158 SH YES NONE N/A BAIDU COM INC SPON ADR RESTG ORD SHS CL Common Stock 056752108 39 66 SH YES NONE N/A BANCO SANTANDER BRA ADRF Common Stock 05967A107 15 1,228 SH YES NONE N/A BANK NEW YORK MELLON CORP COM Common Stock 64058100 174 5,632 SH YES NONE N/A BANK OF AMERICA CORP Common Stock 060505104 107 6,000 SH YES NONE N/A BARCLAYS BK PLC IPATH INDEX LKD SECSTO GSCI TOTAL RETURNINDEX MAT 6/12/36 Mutual Fund 06738C794 77 2,470 SH YES NONE N/A BARRICK GOLD CORP F Common Stock 067901108 168 4,380 SH YES NONE N/A BAXTER INTL INC Common Stock 071813109 15 266 SH YES NONE N/A BB&T CORP Common Stock 054937107 3 88 SH YES NONE N/A BE AEROSPACE INC Common Stock 073302101 13,382 440,770 SH YES NONE N/A BERKSHIRE HATHAWAY INC CL B Common Stock 084670702 509 6,260 SH YES NONE N/A BEST BUY INC Common Stock 086516101 26 620 SH YES NONE N/A BHP BILLITON LTD SPONSORED ADR Common Stock 05545E209 16 194 SH YES NONE N/A BHP BILLITON PLC SPON ADR Common Stock 05545E209 17 242 SH YES NONE N/A BLACKROCK INC Common Stock 09247x101 3 14 SH YES NONE N/A BLUE COAT SYSTEMS INC Common Stock 09534T508 3 102 SH YES NONE N/A BOEING CO Common Stock 097023105 26,569 365,910 SH YES NONE N/A BOSTON SCIENTIFIC CORP Common Stock 101137101 3 482 SH YES NONE N/A BOWNE & CO INC COM Common Stock 103043105 1,648 147,688 SH YES NONE N/A BRISTOL MYERS SQUIBB Common Stock 110122108 121 4,518 SH YES NONE N/A BROCADE COMMUNICATIONS SYSTEMS INC Common Stock 111621306 295 51,684 SH YES NONE N/A BUCYRUS INTL INC Common Stock 118759109 15,011 227,480 SH YES NONE N/A C H ROBINSON WORLDWIDE INC Common Stock 12541W209 16 284 SH YES NONE N/A CALLAWAY GOLF CO Common Stock 131193104 190 21,540 SH CALL YES NONE N/A CAMERON INTERNATIONAL Common Stock 13342BAB1 5 4,000 SH YES NONE N/A CAMERON INTL CORP Common Stock 13342B105 6 142 SH YES NONE N/A CANADIAN NATIONAL RAILWAY CO Common Stock 136375102 1 22 SH YES NONE N/A CANADIAN NATURAL RESOURCES LTD Common Stock 136385101 11 152 SH YES NONE N/A CARNIVAL CORP Common Stock 143658300 2 56 SH YES NONE N/A CATERPILLAR INC Common Stock 149123101 20 312 SH YES NONE N/A CBS CORP NEW CL B Common Stock 124857202 18,939 1,358,605 SH YES NONE N/A CENTER FINL CORP CALIF Common Stock 15146E102 652 134,508 SH YES NONE N/A CHARLES SCHWAB CORP Common Stock 808513105 2 124 SH YES NONE N/A CHESAPEAKE ENERGY CORPORATION Common Stock 165167107 36 1,540 SH YES NONE N/A CHEVRONTEXACO CORP Common Stock 166764100 10 130 SH YES NONE N/A CHICOS FAS INC Common Stock 168615102 3 226 SH YES NONE N/A CHUBB CORP Common Stock 171232101 67 1,300 SH YES NONE N/A CISCO SYS INC Common Stock 17275R102 9 328 SH YES NONE N/A CIT GROUP INC NEW COM Common Stock 125581108 10 244 SH YES NONE N/A CITIGROUP INC Common Stock 172967101 17 4,109 SH YES NONE N/A CITRIX SYSTEMS INC Common Stock 177376100 23,840 502,220 SH YES NONE N/A CLEVELAND CLIFFS INC Common Stock 18683K101 2 28 SH YES NONE N/A COACH INC Common Stock 189754104 86 2,176 SH YES NONE N/A COCA COLA CO Common Stock 191216100 242 4,400 SH YES NONE N/A COCA COLA ENTERPRISE Common Stock 191219104 2 58 SH YES NONE N/A COGNIZANT TECH SOLUTIONS CORP Common Stock 192446102 27,567 540,746 SH YES NONE N/A COINSTAR INC Common Stock 19259P300 749 23,044 SH YES NONE N/A COMCAST CORP CL A Common Stock 20030N101 3 146 SH YES NONE N/A COMERICA INC Common Stock 200340107 19,270 506,560 SH YES NONE N/A COMPANHIA VALE DO RIO DOCE SPONS ADR ISIN #US2044122099 SEDOL #2857334 Common Stock 91912E105 97 3,000 SH YES NONE N/A CONEXANT SYS INC COMNEW Common Stock 207142100 0 4 SH YES NONE N/A CONOCOPHILLIPS Common Stock 20825C104 78 1,526 SH YES NONE N/A COVIDIEN PLC F Common Stock G2554F105 3 64 SH YES NONE N/A CUMMINS INC Common Stock 231021106 4 64 SH YES NONE N/A CURRENCY SHARES JAPANESE Common Stock 23130A102 139 1,315 SH YES NONE N/A CURRENCYSHARES AUSTRALIAN DLR TR AUSTRALIAN DOLLAR Common Stock 23129U101 150 1,630 SH YES NONE N/A CURRENCYSHARESCDN DLR TR CDN DOLLARS SHS Common Stock 23129X105 241 2,455 SH YES NONE N/A CURRENCYSHARESS SWISS Common Stock 23129V109 227 2,410 SH YES NONE N/A CVS CAREMARK CORP Common Stock 126650100 16 15,000 SH YES NONE N/A CVS CORP Common Stock 126650100 0 1 SH YES NONE N/A DANAHER CORP Common Stock 235851AF9 5 4,000 SH YES NONE N/A DELTA AIR LINES INC DEL CMN Common Stock 247361702 8 544 SH YES NONE N/A DEVON ENERGY CORP Common Stock 25179M103 10 162 SH YES NONE N/A DOLBY LABORATORIES INC Common Stock 25659T107 4 62 SH YES NONE N/A DOMINION RESOURCES INC VA NEW Common Stock 25746U109 273 6,640 SH YES NONE N/A DOW CHEMICAL CO Common Stock 260543103 25,452 860,738 SH YES NONE N/A DRESS BARN INC Common Stock 261570105 12,017 459,670 SH YES NONE N/A DRYSHIPS INC ISIN #MHY2109Q1017 Common Stock Y2109Q101 173 29,640 SH YES NONE N/A DU PONT E I DE NEMOURS & CO Common Stock 263534109 305 8,200 SH YES NONE N/A DUKE ENERGY CORP Common Stock 26441C105 255 15,600 SH YES NONE N/A DXP ENTERPRISES INC NEW Common Stock 233377407 530 41,476 SH YES NONE N/A DYNEGY INC CMN CLASS A Common Stock 26817G102 127 100,860 SH YES NONE N/A E M C CORP MASS NOTE 1.750%12/01/13 Common Stock 268648AM4 25 20,000 SH YES NONE N/A EATON CORP Common Stock 278058102 4 56 SH YES NONE N/A EBAY INC Common Stock 278642103 5 176 SH YES NONE N/A EL PASO CORP COM Common Stock 28336L109 257 23,730 SH YES NONE N/A ELECTRONIC DATA SYS NEW Common Stock 285661AF1 9 10,000 SH YES NONE N/A ELECTRONICS ARTS Common Stock 285512109 1,047 56,136 SH YES NONE N/A EMC CORP Common Stock 268648AK8 17 14,000 SH YES NONE N/A EMERSON ELECTRIC CO Common Stock 291011104 294 5,834 SH YES NONE N/A ENBRIDGE ENERGY PARTNERS LP Common Stock 29250R106 81 1,600 SH YES NONE N/A ENERGY CONVERS 3%13 CVT BOND DUE 06/15/13 Common Stock 292659AA7 18 28,000 SH YES NONE N/A ENERGY CONVERSION DEVICES INC Common Stock 292659109 76 9,700 SH YES NONE N/A ENERGYSOLUTIONS INC ADR Common Stock 292756202 685 106,564 SH YES NONE N/A ENSCO INTL INC Common Stock 29358Q109 3 74 SH YES NONE N/A ENTERPRISE PRODS PARTNERS L P Common Stock 293792107 69 1,984 SH YES NONE N/A EOG RESOURCES INC Common Stock 26875P101 1 14 SH YES NONE N/A ETFS GOLD TRUST ETF Common Stock 26922Y105 315 2,835 SH YES NONE N/A EXIDE TECHNOLOGIES Common Stock 302051206 1,420 246,500 SH YES NONE N/A EXPEDIA INC CL A Common Stock 30212P105 3 120 SH YES NONE N/A EXPRESS SCRIPTS INC Common Stock 302182100 18,563 182,420 SH YES NONE N/A EXXON MOBIL CORP Common Stock 30231G102 8 122 SH YES NONE N/A EZCORP INC-CL A Common Stock 302301106 12,463 604,990 SH YES NONE N/A F5 NETWORKS INC Common Stock 315616102 18,054 292,946 SH YES NONE N/A FIFTH THIRD BANCORP Common Stock 316773100 19,583 1,444,100 SH YES NONE N/A FIRST SOLAR INC Common Stock 336433107 2 20 SH YES NONE N/A FIRST TR EXCHANGE TRADED FD AMEX BIOTECHNOLOGY INDEX Common Stock 33733E203 166 4,460 SH YES NONE N/A FLIR SYSTEMS INC Common Stock 302445101 96 3,400 SH YES NONE N/A FORD MOTOR COMPANY Common Stock 345370860 20,455 1,627,278 SH YES NONE N/A FPL GROUP INC Common Stock 302571104 55 1,140 SH YES NONE N/A FRANKLIN RES INC Common Stock 354613101 8 68 SH YES NONE N/A FREEPORT MCMORAN COPPER & GOLD INC Common Stock 35671D857 5 44 SH YES NONE N/A FRESENIUS KABI PHRM 10RT RIGHTS EXP 12/31/10 Common Stock 35802M115 0 2,000 SH YES NONE N/A GEN PROBE INCORPORATED NEW Common Stock 36866T103 3 62 SH YES NONE N/A GENERAL DYNAMICS Common Stock 369550108 237 3,064 SH YES NONE N/A GENERAL ELECTRIC CO Common Stock 369604103 375 20,614 SH YES NONE N/A GEOKINETICS INC NEW Common Stock 372910307 684 94,810 SH YES NONE N/A GOLDMAN SACHS GROUP INC Common Stock 38141G104 15 90 SH YES NONE N/A GOOGLE INC Common Stock 38259P508 18 32 SH YES NONE N/A GRAFTECH INTERNATIONAL Common Stock 384313102 3 236 SH YES NONE N/A GRUPO TELEVISA, S.A. GDS REP 20 CPO'S REP 1 L SHARE, 1 A SHARE AND 1 D SHAR Common Stock 40049J206 30 1,406 SH YES NONE N/A GUESS INC Common Stock 401617105 5 104 SH YES NONE N/A H&R BLOCK, INC Common Stock 093671105 71 4,000 SH YES NONE N/A HALLIBURTON CO Common Stock 406216101 9 308 SH YES NONE N/A HEALTH CARE REIT INC Common Stock 42217K106 769 17,000 SH YES NONE N/A HEINZ H J CO Common Stock 423074103 271 5,940 SH YES NONE N/A HERSHEY CO Common Stock 427866108 240 5,600 SH YES NONE N/A HERTZ GLOBAL HOLDINGS Common Stock 42805T105 4 434 SH YES NONE N/A HESS CORPORATION Common Stock 428094107 2 24 SH YES NONE N/A HEWLETT-PACKARD CO Common Stock 428236103 109 2,050 SH YES NONE N/A HOME DEPOT Common Stock 437076102 1 42 SH YES NONE N/A HONDA MOTORS LTD ADRNEW Common Stock 438128308 30 850 SH YES NONE N/A HOSPIRA INC COM Common Stock 441060100 3 56 SH YES NONE N/A HSN INC Common Stock 404303109 3 110 SH YES NONE N/A HUMANA INC Common Stock 444859102 106 2,260 SH YES NONE N/A HUNTSMAN CORP Common Stock 447011107 11,202 929,610 SH YES NONE N/A IBM Common Stock 459200101 236 1,844 SH YES NONE N/A IGATE CORP Common Stock 45169U105 1,406 144,550 SH YES NONE N/A IINTUITIVE SURGICAL NEW Common Stock 46120E602 6 18 SH YES NONE N/A ILLINOIS TOOL WORKS Common Stock 452308109 114 2,400 SH YES NONE N/A ILLUMINA INC Common Stock 452327109 3 78 SH YES NONE N/A IMMUCOR INC Common Stock 452526106 13 600 SH YES NONE N/A INFOSYS TECHNOLOGIES LTD SPONS ADR REPSTG 1/2 EQUITY SH Common Stock 456788108 19,180 326,140 SH YES NONE N/A INGERSOLL RAND CO LTD SHS A Common Stock G47791101 123 3,520 SH YES NONE N/A INTEL Common Stock 458140100 305 13,690 SH YES NONE N/A INTERCONTINENTALEXCHINTL Common Stock 45865V100 4 32 SH YES NONE N/A INTERPUBLIC GROUP COS INC DEL Common Stock 460690100 19,222 2,310,290 SH YES NONE N/A IPATH S&P 500 VIX S/T FU ETN Common Stock 06740C527 120 5,726 SH YES NONE N/A ISHARES BARCLAYS TIPS BOND Mutual Fund 464287176 6,706 64,539 SH YES NONE N/A IShares DJ US Health Care Providers Common Stock 464288828 4,277 81,990 SH YES NONE N/A ISHARES IBOXX $ INVEST GRADE CORP BOND Common Stock 464287242 9,707 91,776 SH YES NONE N/A ISHARES INC MCSI ISRISRAEL CAPPED INDEX FD Common Stock 464286632 4,352 73,940 SH YES NONE N/A ISHARES MSCI BRAZIL INDEX Mutual Fund 464286400 - - SH YES NONE N/A ISHARES MSCI EAFE INDEX Mutual Fund 464287465 766 13,680 SH YES NONE N/A ISHARES MSCI EMERGING MKTS Mutual Fund 464287234 186 4,420 SH YES NONE N/A ISHARES S&P GLOBAL HEALTHCARE SECTOR INDEX Common Stock 464287325 28 534 SH YES NONE N/A ISHARES SILVER TR ISHARES Mutual Fund 46428Q109 33 1,950 SH YES NONE N/A ISHARES TR 1-3 YR TREAS INDEX FD Mutual Fund 464287457 1,462 17,542 SH YES NONE N/A ISHARES TR BARCLAYS CAPITAL 1-3 YR CR BD FD Common Stock 464288646 11,666 111,537 SH YES NONE N/A ISHARES TR DOW JONESSELECT DIVID INDEX Common Stock 464287168 564 12,260 SH YES NONE N/A ISHARES TR DOW JONESUS AEROSPACE & DEF Common Stock 464288760 4,759 82,283 SH YES NONE N/A ISHARES TR IBOXX HIGH YIELD CORP BD FD Mutual Fund 464288513 1,035 11,710 SH YES NONE N/A ISHARES TR LEHMAN INTER CR BD FD Common Stock 464288638 542 5,210 SH YES NONE N/A ISHARES TR LEHMAN SHORT TREA BDFD Common Stock 464288679 0 0 SH YES NONE N/A ISHARES TR NASDAQ BIOTECHNOLOGY INDEX Common Stock 464287556 55 600 SH YES NONE N/A ISHARES TR RUSSELL 1000 VALUE INDEX FD Mutual Fund 464287598 1,486 24,330 SH YES NONE N/A ISHARES TR RUSSELL 2000 INDEX FD Mutual Fund 464287655 52 760 SH YES NONE N/A ISHARES TR RUSSELL 2000 VALUE Mutual Fund 464287630 3,275 51,302 SH YES NONE N/A ISHARES TR S&P NATL MUN BD FD Mutual Fund 464288414 274 2,650 SH YES NONE N/A ISHARES TR S&P U S PFD STK INDEX FD Common Stock 464288687 958 24,740 SH YES NONE N/A ISHARES TR S&P/TOPIX 150 INDEX FD Common Stock 464287382 9 200 SH YES NONE N/A ISHARES TRUST BARCLAYS AGGREGATE BOND FUND Common Stock 464287226 3,301 31,675 SH YES NONE N/A ISHARES TRUST DOW JONES US REAL ESTATE INDEX FUND Mutual Fund 464287739 4,690 94,220 SH YES NONE N/A ITC HLDGS CORP Common Stock 465685105 6 114 SH YES NONE N/A J. CREW GROUP INC Common Stock 46612H402 2 50 SH YES NONE N/A JA SOLAR HOLDINGS CO LTD 4.50000% 05/15/2013JA SOLAR HOLDINGS CO LTD Common Stock 466090AA5 22 27,000 SH YES NONE N/A JABIL CIRCUIT INC Common Stock 466313103 19,051 1,176,684 SH YES NONE N/A JAMBA INC COM Common Stock 47023A101 3 1,000 SH YES NONE N/A JHANCOCK TAX-ADV DIVIDEND INCOME Common Stock 41013V100 14 1,000 SH YES NONE N/A JOHN HANCOCK PREFERRED INCOME FUND III Common Stock 41021P103 6 400 SH YES NONE N/A JOHNSON & JOHNSON Common Stock 478160104 840 12,884 SH YES NONE N/A JP MORGAN CHASE & CO Common Stock 46625H100 107 2,396 SH YES NONE N/A JP MORGAN EXCH TRAD NOTE ALERIAN MLP Common Stock 46625H365 1,893 61,990 SH YES NONE N/A JUNIPER NETWORKS INC Common Stock 48203R104 5 148 SH YES NONE N/A KBW REGIONAL BANKINGETF Common Stock 78464A698 4,806 183,312 SH YES NONE N/A KEYCORP NEW Common Stock 493267108 173 22,288 SH YES NONE N/A KINDER MORGAN ENERGY PTNRS LP Common Stock 494550106 76 1,166 SH YES NONE N/A KINDER MORGAN MGMT LLC Common Stock 49455U100 0 6 SH YES NONE N/A KOHLS CORP Common Stock 500255104 63 1,148 SH YES NONE N/A KRAFT FOODS INC CL A Common Stock 50075N104 62 2,040 SH YES NONE N/A KROGER CO Common Stock 501044101 6 264 SH YES NONE N/A L-3 COMMUNICATIONS CORP DEBT 3.000% 8/01/35 Common Stock 502413AW7 6 6,000 SH YES NONE N/A LECG CORP Common Stock 523234102 707 237,320 SH YES NONE N/A LENNAR CORP Common Stock 526057104 11,856 688,890 SH YES NONE N/A LIHUA INTERNATIONAL INC Common Stock 532352101 765 83,344 SH YES NONE N/A LILLY ELI & CO Common Stock 532457108 203 5,600 SH YES NONE N/A LINCOLN NATIONAL CORP IND Common Stock 534187109 23,604 768,846 SH YES NONE N/A LINEAR TECHNOLOGY CORP Common Stock 535678106 3 110 SH YES NONE N/A LONGTOP FINL TECHNOLOGIES Common Stock 54318P108 3 86 SH YES NONE N/A LULULEMON ATHLETICA INC Common Stock 550021109 4 98 SH YES NONE N/A M & T BANK CORPORATION Common Stock 55261F104 3 38 SH YES NONE N/A MAGELLAN MIDSTREAM PARTNERS LP Common Stock 559080106 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