-----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, NVhhqnIIHRO87ZIqQCHsBawfZ7+X9BI/fKDB762yd0Fn/u/DKVW4J5Tw7hyy8+gq 5Eya/ZzMpOOnGbdoOhBrmw== 0001463217-11-000001.txt : 20110215 0001463217-11-000001.hdr.sgml : 20110215 20110214191037 ACCESSION NUMBER: 0001463217-11-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110215 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110215 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: 11610375 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 holdings1210.txt 13F HOLDINGS REPORT - DECEMBER 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR Form 13F Cover Page Report for the Calendar Year or Quarter Ended: December 31, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds a new holdings entries. Institutional Investment Manager Filing this report: Name: United Capital Financial Advisers Address: 500 Newport Center Drive 2nd Floor Newport Beach, CA 92660 13F File Number: 028-13508 This 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 understand 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 Michael Herman Newport Beach, CA February 14, 2011 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ x ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager:
Form 13F File Number Name - ---------------------- ----------------------- 028-12578 ADVISORS ASSET MANAGEMENT, INC 028-11851 ALETHEIA RESEARCH & MGMT MODEL 028-10562 ALLIANCEBERNSTEIN LP 028-01162 ATALANTA/SOSNOFF MANAGEMENT,LLC 028-13999 Brown Investment Advisory, Inc 028-03434 Congress Asset Management 028-04121 Davis Selected Advisors 028-05920 DELAWARE MANAGEMENT BUSINESS TRUST 028-06810 KEELEY ASSET MANAGEMENT CORP 028-00061 LAZARD FRERES 028-00398 LOOMIS SAYLES & CO 028-06419 LOTSOFF CAPITAL MANAGEMENT 028-13466 NORTHCOAST ASSET MANAGEMENT LLC 028-00290 NORTHERN TRUST CORPORATION 028-11710 NUVEEN ASSET MANAGEMENT, INC 028-01474 NWQ INVESTMENT MANAGEMENT CO LLC 028-12966 OSHAUGHNESSY ASSET MANAGEMENT, LLC 028-11107 PLACEMARK INVESTMENTS INC 028-02634 REED CONNOR BIRDWELL 028-10258 SMH CAPITAL ADVISORS INC. 028-04691 SCHAFER CULLEN CAPITAL MANAGEMENT INC 028-10665 THE LONDON COMPANY 028-06605 THORNBURG INVESTMENT MGMT INC 028-00621 TRANSAMERICA INVT MGMT MODEL 028-01204 WENTWORTH, HAUSER AND VIOLICH
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE December 31, 2010 REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 ----------- FORM 13F INFORMATION TABLE ENTRY TOTAL: 288 ----------- FORM 13F INFORMATION TABLE VALUE TOTAL: $ 591,841 ----------- (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 MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ 3M CO. COM 88579Y101 2638 30572 SH SOLE 4283 0 26289 A T & T INC (NEW) COM 00206R102 1983 67487 SH SOLE 43216 0 24271 ABBOTT LABS COM 002824100 6472 135094 SH SOLE 56082 0 79012 ACCENTURE PLC COM G1151C101 2654 54737 SH SOLE 28441 0 26296 ACCESS NATL CORP COM COM 004337101 106 16370 SH SOLE 16370 0 0 ADOBE SYS INC COM 00724F101 664 21567 SH SOLE 5452 0 16115 ADUDDELL INDS INC COM COM 007391105 0 175000 SH SOLE 175000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 167 20410 SH SOLE 20186 0 224 AECOM TECHNOLOGY CORP COM 00766T100 2498 89308 SH SOLE 39499 0 49809 AFFILIATED MANAGERS GROUP COM 008252108 1469 14809 SH SOLE 6771 0 8038 AFLAC INC COM 001055102 250 4424 SH SOLE 4424 0 0 ALIGN TECHNOLOGY INC COM 016255101 4054 207463 SH SOLE 207463 0 0 ALLIANCEBERNSTEIN INCOME FUNCO COM 01881E101 166 20895 SH SOLE 20895 0 0 ALLIANT ENERGY CORP COM 018802108 282 7681 SH SOLE 7681 0 0 ALTRIA GROUP INC COM 02209S103 812 32992 SH SOLE 27709 0 5283 AMERICA MOVIL S A DE C V COM 02364W105 1547 26976 SH SOLE 15365 0 11611 AMGEN INC COM 031162100 791 14413 SH SOLE 1006 0 13407 ANADARKO PETE CORP COM 032511107 496 6517 SH SOLE 6293 0 224 ANNALY CAP MGMT INC COM 035710409 848 47318 SH SOLE 40944 0 6375 APACHE CORP COM 037411105 698 5858 SH SOLE 590 0 5268 APPLE INC COM 037833100 20564 63753 SH SOLE 15561 0 48192 APPLIED INDL TECHNOLOGIES INCO COM 03820C105 1015 31259 SH SOLE 31259 0 0 ARCHER DANIELS MIDLAND COM 039483102 283 9416 SH SOLE 842 0 8574 AUTOMATIC DATA PROCESSING COM 053015103 258 5564 SH SOLE 2054 0 3510 AUTOZONE INC COM 053332102 233 853 SH SOLE 853 0 0 BAIDU.COM INC SPON ADR REP A COM 056752108 304 3154 SH SOLE 2988 0 166 BANK AMERICA CORP COM 060505104 555 41615 SH SOLE 38398 0 3217 BANK OF NEW YORK MELLON CORP COM 064058100 339 11226 SH SOLE 200 0 11026 BARCLAYS BK PLC DJUBS CMDT ETN MUTUAL FUNDS 06738C778 1243 25298 SH SOLE 2646 0 22652 BAXTER INTL INC COM 071813109 1131 22336 SH SOLE 17591 0 4745 BERKSHIRE HATHAWAY INC DEL CL COM 084670702 2240 27965 SH SOLE 8033 0 19932 BEST BUY INC COM 086516101 486 14187 SH SOLE 7640 0 6547 BIO RAD LABS INC CL A COM 090572207 312 3000 SH SOLE 3000 0 0 BIOCLINICA INC COM COM 09071B100 61 13750 SH SOLE 13750 0 0 BLACKBOARD INC COM 091935502 797 19300 SH SOLE 0 0 19300 BLACKSTONE GROUP L P COM UNIT COM 09253U108 226 15987 SH SOLE 309 0 15678 BOSWELL J G CO COM COM 101205102 278 370 SH SOLE 370 0 0 BP PLC ADR COM 055622104 746 16890 SH SOLE 1383 0 15507 BRISTOL MYERS SQUIBB CO. COM 110122108 397 15000 SH SOLE 3184 0 11816 CALAMOS CONV & HIGH INCOME FCO MUTUAL FUNDS 12811P108 1144 90354 SH SOLE 79266 0 11088 CALAVO GROWERS INC COM 128246105 4436 192462 SH SOLE 95518 0 96944 CALYPTE BIOMEDICAL CORP COM NE COM 131722605 2 480769 SH SOLE 480769 0 0 CARMAX INC COM 143130102 1188 37279 SH SOLE 10434 0 26845 CASH TECHNOLOGIES INC COM COM 147910103 0 20000 SH SOLE 0 0 20000 CATERPILLAR INC COM 149123101 689 7360 SH SOLE 6659 0 701 CELANESE CORP DEL COM SER A COM 150870103 348 8453 SH SOLE 820 0 7633 CELL THERAPEUTICS INC COM NO P COM 150934503 5 15000 SH SOLE 15000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 332 12832 SH SOLE 718 0 12114 CHEVRON TEXACO CORP COM 166764100 4418 48419 SH SOLE 31524 0 16895 CHIMERA INVT CORP COM 16934Q109 51 12529 SH SOLE 859 0 11670 CINEDIGM DIGITAL CINEMA CORPCO COM 172407108 23 13800 SH SOLE 0 0 13800 CISCO SYSTEMS INC COM 17275R102 6247 308813 SH SOLE 113107 0 195706 CITIGROUP INC COM 172967101 202 42607 SH SOLE 32560 0 10047 CITY NATL CORP COM 178566105 891 14528 SH SOLE 14528 0 0 CME GROUP INC COM 12572Q105 2321 7213 SH SOLE 1453 0 5760 COACH INC COM 189754104 1144 20687 SH SOLE 6076 0 14611 COCA COLA CO. COM 191216100 696 10583 SH SOLE 8681 0 1902 COLGATE PALMOLIVE CO. COM 194162103 256 3182 SH SOLE 1620 0 1562 COMCAST CORP CLASS A COM 20030N101 511 23248 SH SOLE 21874 0 1374 CONOCO PHILLIPS COM 20825C104 1814 26641 SH SOLE 6576 0 20065 CORNING INC COM 219350105 1193 61771 SH SOLE 32658 0 29113 COSTCO WHSL CORP NEW COM 22160K105 993 13757 SH SOLE 804 0 12953 COVIDIEN PLC ORDINARY SHARE COM G2554F105 428 9374 SH SOLE 9250 0 124 CREDIT SUISSE NASSAU BRH ETN L MUTUAL FUNDS 22542D852 633 26423 SH SOLE 24023 0 2400 CREE INC COM COM 225447101 375 5689 SH SOLE 424 0 5265 CRESTON RES LTD COM COM 226270106 0 10000 SH SOLE 10000 0 0 C&D TECHNOLOGIES INC COM COM 124661109 3 15106 SH SOLE 0 0 15106 DAIS ANALYTIC CORP COM COM 23302X104 47 161667 SH SOLE 161667 0 0 DANAHER CORP SHS BEN INT COM 235851102 221 4678 SH SOLE 4549 0 129 DEMOCRASOFT INC COM COM 24811V100 2 16203 SH SOLE 16203 0 0 DENTSPLY INTL INC NEW COM COM 249030107 558 16318 SH SOLE 13865 0 2453 DEVON ENERGY CORP COM 25179M103 966 12303 SH SOLE 2370 0 9933 DIAGEO PLC ADR SPONSORED COM 25243Q205 360 4845 SH SOLE 4064 0 781 DIGITAL RLTY TR INC COM COM 253868103 771 14963 SH SOLE 13179 0 1784 DISNEY WALT PRODUCTION COM 254687106 1126 30027 SH SOLE 12277 0 17750 DOMINION RES INC VA COM 25746U109 233 5460 SH SOLE 3000 0 2460 DU PONT EI DE NEMOURS CO. COM 263534109 1663 33350 SH SOLE 5530 0 27820 DUKE REALTY CORP COM 264411505 257 20589 SH SOLE 15557 0 5032 E DIGITAL CORP COM COM 26841Y103 5 52500 SH SOLE 52500 0 0 ECHO GLOBAL LOGISTICS INC COM COM 27875T101 188 15585 SH SOLE 251 0 15334 EMERSON ELECTRIC CO. COM 291011104 3395 59386 SH SOLE 16766 0 42620 ENDEAVOUR INTERNATIONAL CORP C COM 29259G200 1884 136519 SH SOLE 0 0 136519 ENDWAVE CORP COM NEW COM 29264A206 325 142598 SH SOLE 142598 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 293 7052 SH SOLE 5487 0 1565 EVOTEC AG SPONSORED ADS COM 30050E105 124 16027 SH SOLE 16027 0 0 EXELON CORP COM 30161N101 1197 28739 SH SOLE 26599 0 2140 EXXON MOBIL CORP COM 30231G102 6925 94707 SH SOLE 49618 0 45088 FEDEX CORP COM 31428X106 277 2980 SH SOLE 2970 0 10 FIDUCIARY CLAYMORE MLP OPP FD COM 31647Q106 1600 73929 SH SOLE 7915 0 66014 FIFTH STREET FINANCE CORP COM COM 31678A103 1323 108947 SH SOLE 101385 0 7562 FIRST HORIZON NATL CORP COM COM 320517105 618 52420 SH SOLE 27497 0 24923 FIRST SOLAR INC COM 336433107 732 5623 SH SOLE 1453 0 4170 FIRST ST BANCORPORATION COM COM 336453105 1 13200 SH SOLE 0 0 13200 FLOWSERVE CORP COM COM 34354P105 675 5662 SH SOLE 2740 0 2922 FLUOR CORP NEW COM 343412102 1132 17090 SH SOLE 15312 0 1778 FOCUS BUSINESS BANK CAL COM COM 34415X105 58 10000 SH SOLE 10000 0 0 FREEPORT MCMORAN COPPER & GOLD COM 35671D857 650 10825 SH SOLE 3001 0 7824 FX ENERGY INC COM COM 302695101 62 10000 SH SOLE 10000 0 0 GENERAL ELECTRIC COM 369604103 3340 182608 SH SOLE 101354 0 81254 GENERAL MLS INC COM 370334104 272 7645 SH SOLE 494 0 7151 GENEREX BIOTECHNOLOGY CP COM 371485103 53 184000 SH SOLE 182000 0 2000 GILEAD SCIENCES INC COM 375558103 328 9037 SH SOLE 7816 0 1221 GLAXOSMITHKLINE PLC ADR SPONSO COM 37733W105 224 5722 SH SOLE 4055 0 1667 GOLDMAN SACHS GROUP COM 38141G104 3930 23372 SH SOLE 7691 0 15681 GOOGLE INC COM 38259P508 3900 6566 SH SOLE 1666 0 4900 GRAINGER W W INC COM 384802104 616 4457 SH SOLE 1194 0 3263 HEALTH DISCOVERY CORP COM COM 42218R100 30 200000 SH SOLE 200000 0 0 HEWLETT PACKARD CO. COM 428236103 869 20649 SH SOLE 19687 0 962 HNI CORPORATION COM 404251100 290 9300 SH SOLE 0 0 9300 HOME DEPOT INC COM 437076102 426 12153 SH SOLE 5336 0 6817 HOMEOWNERS CHOICE INC COM COM 43741E103 227 28084 SH SOLE 0 0 28084 HONEYWELL INTL INC COM 438516106 262 4931 SH SOLE 3352 0 1579 HOST HOTELS & RESORTS INC COM COM 44107P104 323 18094 SH SOLE 18094 0 0 I B M COM 459200101 4487 30577 SH SOLE 9885 0 20692 IHS INC COM 451734107 2660 33085 SH SOLE 4635 0 28450 ILLINOIS TOOL WKS INC COM 452308109 5595 104776 SH SOLE 35290 0 69486 ILLUMINA INC COM COM 452327109 1770 27950 SH SOLE 505 0 27445 INSITE VISION INC COM COM 457660108 11 32500 SH SOLE 0 0 32500 INSTACARE CORP COM NEW COM 45776H208 97 1939543 SH SOLE 1939543 0 0 INTEGRAL TECHNOLOGIES INC COM COM 45810J103 9 12000 SH SOLE 12000 0 0 INTEL CORP COM 458140100 5079 241507 SH SOLE 77550 0 163957 INTUITIVE SURGICAL INC COM 46120E602 1557 6041 SH SOLE 671 0 5370 IRON MOUNTAIN INC. COM 462846106 1256 50220 SH SOLE 8680 0 41540 ISHARES INC MSCI JAPAN FOREIGN COMMON S 464286848 2317 212352 SH SOLE 195698 0 16654 ISHARES MSCI EAFE INDEX COM 464287465 27956 480187 SH SOLE 236007 0 244180 ISHARES RUSSELL 1000 INDEX FUN COM 464287622 759 10871 SH SOLE 1103 0 9768 ISHARES RUSSELL 2000 INDEX COM 464287655 7470 95473 SH SOLE 60165 0 35308 ISHARES RUSSELL 2000 VALUE FUN COM 464287630 2810 39532 SH SOLE 33388 0 6143 ISHARES RUSSELL MIDCAP COM 464287499 2120 20837 SH SOLE 987 0 19850 ISHARES RUSSELL MIDCAP VALUE F COM 464287473 2378 52840 SH SOLE 11332 0 41508 ISHARES SEL DIV INDEX COM 464287168 864 17321 SH SOLE 5361 0 11960 ISHARES SILVER TRUST COM 46428Q109 1455 48209 SH SOLE 38797 0 9412 ISHARES S&P 500 INDEX FUND COM 464287200 3755 29739 SH SOLE 24193 0 5546 ISHARES S&P MDP 400 COM 464287606 1659 16476 SH SOLE 281 0 16195 ISHARES S&P MIDCAP 400 FUND COM 464287507 2641 29122 SH SOLE 14803 0 14318 ISHARES S&P SMALLCAP 600 FUND COM 464287804 4532 66196 SH SOLE 9454 0 56742 ISHARES TR BARCLYS 20+ YR COM 464287432 1642 17447 SH SOLE 15045 0 2402 ISHARES TR BARCLYS 7-10 Y COM 464287440 3110 33153 SH SOLE 22524 0 10629 ISHARES TR BARCLYS TIPS B COM 464287176 4437 41267 SH SOLE 31517 0 9750 ISHARES TR DJ US FINL SEC COM 464287788 339 5899 SH SOLE 4516 0 1383 ISHARES TR DJ US UTILS COM 464287697 349 4525 SH SOLE 290 0 4235 ISHARES TR INDEX DJ US INDEX F COM 464287846 1351 21313 SH SOLE 1917 0 19396 ISHARES TR MSCI EMERGING MKT COM 464287234 18552 389404 SH SOLE 176594 0 212810 ISHARES TR MSCI SMALL CAP COM 464288273 330 7820 SH SOLE 0 0 7820 ISHARES TR RUSL 2000 GROW COM 464287648 5884 67307 SH SOLE 58181 0 9126 ISHARES TR RUSSEL 1000 VALUE COM 464287598 16638 256486 SH SOLE 193483 0 63003 ISHARES TR RUSSELL 1000 GRW COM 464287614 15441 269657 SH SOLE 244607 0 25050 ISHARES TR RUSSELL 3000 COM 464287689 44404 592450 SH SOLE 557640 0 34810 ISHARES TR RUSSELL MCP GR COM 464287481 880 15548 SH SOLE 9030 0 6518 ISHARES TR S&P 500 VALUE COM 464287408 3609 60567 SH SOLE 31970 0 28597 ISHARES TR S&P GBL ENER COM 464287341 228 5844 SH SOLE 5577 0 267 ISHARES TR S&P LTN AM 40 COM 464287390 446 8286 SH SOLE 6935 0 1351 ISHARES TR S&P NA NAT RES COM 464287374 247 5933 SH SOLE 5699 0 234 ISHARES TR S&P SMLCP GROW COM 464287887 1985 27340 SH SOLE 8055 0 19285 ISHARES TR S&P SMLCP VALU COM 464287879 1303 18124 SH SOLE 2985 0 15139 ISHARES TR S&P500 GRW COM 464287309 7074 107759 SH SOLE 28765 0 78994 ITT INDS INC COM 450911102 1418 27216 SH SOLE 6832 0 20384 J P MORGAN CHASE & CO. COM 46625H100 1743 41085 SH SOLE 20677 0 20408 JOHNSON & JOHNSON COM 478160104 2686 43433 SH SOLE 20936 0 22497 JPMORGAN CHASE & CO ALERIAN ML MUTUAL FUNDS 46625H365 310 8527 SH SOLE 6142 0 2385 KIMBERLY CLARK CORP COM 494368103 346 5482 SH SOLE 4494 0 988 KINDER MORGAN EGY PTNS L P UT COM 494550106 1000 14230 SH SOLE 4700 0 9530 KINDER MORGAN MGMT-FRAC COM EKE55U103 6 2087353 SH SOLE 187052 0 1900301 KINDER MORGAN MGMT-SHS COM 49455U100 998 15177 SH SOLE 1987 0 13190 KOHLS CORP COM 500255104 454 8353 SH SOLE 2702 0 5651 KONINKLIJKE PHILIPS ELECTRS SP COM 500472303 383 12478 SH SOLE 10568 0 1910 KRAFT FOODS INC CL A COM 50075N104 699 22175 SH SOLE 5192 0 16983 LITHIUM TECHNOLOGY CORP COM PA COM 536808405 0 14000 SH SOLE 0 0 14000 LOUISIANA PAC CORP COM 546347105 213 22567 SH SOLE 422 0 22145 LYRIC JEANS INC COM COM 552351108 1 44444 SH SOLE 0 0 44444 MARKET VECTORS ETF TR AGRIBUS MUTUAL FUNDS 57060U605 3098 57860 SH SOLE 250 0 57610 MARRIOTT INTL INC NEW CL A COM 571903202 225 5416 SH SOLE 5416 0 0 MASTERCARD INC CL A COM 57636Q104 937 4182 SH SOLE 3815 0 367 MCDONALDS CORP COM 580135101 747 9726 SH SOLE 5056 0 4670 MCKESSON CORPORATION COM 58155Q103 467 6639 SH SOLE 5389 0 1250 MEDTRONIC INC COM 585055106 1588 42802 SH SOLE 15659 0 27143 MEMC ELECTR MATLS INC COM COM 552715104 189 16745 SH SOLE 304 0 16441 MERCK & COMPANY COM 58933Y105 784 21743 SH SOLE 13093 0 8650 MFS INTER INCOME TR SH BEN INT MUTUAL FUNDS 55273C107 184 29107 SH SOLE 29107 0 0 MICROSOFT COM 594918104 2480 88844 SH SOLE 12598 0 76246 MIDDLEFIELD BANC CORP COM NEW COM 596304204 295 17155 SH SOLE 17155 0 0 MISSION WEST PPTYS INC COM COM 605203108 624 93243 SH SOLE 0 0 93243 MSCI INC COM 55354G100 1650 42347 SH SOLE 11392 0 30955 MWI VETERINARY SUPPLY INC COM COM 55402X105 999 15817 SH SOLE 0 0 15817 NATIONAL STORM MGMT INC COM COM 637882101 0 10000 SH SOLE 0 0 10000 NETSUITE INC. COM 64118Q107 515 20600 SH SOLE 9200 0 11400 NIKE INC COM 654106103 831 9727 SH SOLE 8721 0 1006 NISOURCE INC COM 65473P105 189 10739 SH SOLE 8144 0 2595 NOBLE CORPORATION COM H5833N103 2945 82323 SH SOLE 39102 0 43221 NORTHERN TRUST CORP COM 665859104 1615 29146 SH SOLE 780 0 28366 NORTHROP GRUMMAN CORP COM 666807102 246 3798 SH SOLE 1162 0 2636 NUCOR CORP COM 670346105 444 10132 SH SOLE 9044 0 1088 NYSE EURONEXT COM COM 629491101 331 11041 SH SOLE 7684 0 3357 OMEGA WORLD INC COM NEW COM 682138201 8 150000 SH SOLE 150000 0 0 ORACLE SYS CORP COM 68389X105 2623 83788 SH SOLE 14136 0 69652 OSHKOSH CORP COM 688239201 278 7900 SH SOLE 7900 0 0 PACKAGING CORP AMER COM COM 695156109 274 10602 SH SOLE 0 0 10602 PATRIOT SCIENTIFIC CORP COM COM 70336N107 5 64476 SH SOLE 64476 0 0 PAYCHEX INC COM 704326107 659 21330 SH SOLE 21121 0 209 PEPSICO INC COM 713448108 4934 75528 SH SOLE 38799 0 36729 PETROCHINA CO LTD SPONSORED AD COM 71646E100 447 3402 SH SOLE 2793 0 609 PFIZER INC COM 717081103 531 30302 SH SOLE 12652 0 17650 PHARMACYCLICS INC COM COM 716933106 132 21692 SH SOLE 21692 0 0 PHILIP MORRIS INTL INC COM 718172109 1090 18618 SH SOLE 6494 0 12124 PIEDMONT OFFICE REALTY TR INCO COM 720190206 984 48879 SH SOLE 48879 0 0 PITNEY BOWES INC COM 724479100 289 11963 SH SOLE 9051 0 2912 PLANET BIOPHARMACEUTICALS INCO COM 72702X107 3 11640 SH SOLE 11640 0 0 POWERSHARES DB CMDTY IDX TRAUN MUTUAL FUNDS 73935S105 314 11401 SH SOLE 11271 0 130 POWERSHARES ETF TRUST GBL LSTD MUTUAL FUNDS 73935X195 2837 263929 SH SOLE 214029 0 49900 POWERSHARES QQQ TRUST UNIT SER MUTUAL FUNDS 73935A104 9873 181291 SH SOLE 162578 0 18713 PPG INDS INC COM 693506107 291 3465 SH SOLE 865 0 2600 PRICE T ROWE GROUP INC COM 74144T108 1590 24631 SH SOLE 2233 0 22398 PROCTER & GAMBLE CO. COM 742718109 3234 50277 SH SOLE 17029 0 33248 PROSHARES TR PSHS SHRT S&P5 MUTUAL FUNDS 74347R503 758 17300 SH SOLE 4300 0 13000 PROTALEX INC COM NEW COM 743642209 23 14900 SH SOLE 0 0 14900 QUALCOMM INC COM 747525103 5245 105981 SH SOLE 18595 0 87386 RENN GLOBAL ENTREPENRS COM 759720105 20 10126 SH SOLE 0 0 10126 RIGEL PHARMACEUTICALS INC COM COM 766559603 198 26255 SH SOLE 476 0 25779 ROYAL DUTCH SHELL PLC SPONS AD COM 780259206 636 9526 SH SOLE 5450 0 4076 SAIC INC COM COM 78390X101 230 14503 SH SOLE 14342 0 161 SANGAMO BIOSCIENCES INC COM 800677106 132 19944 SH SOLE 19944 0 0 SCHLUMBERGER COM 806857108 11643 139442 SH SOLE 125503 0 13939 SEADRILL LIMITED SHS COM G7945E105 367 10806 SH SOLE 10221 0 585 SECTOR SPDR TR SBI FINL COM 81369Y605 10492 657775 SH SOLE 356109 0 301666 SECTOR SPDR TR SBI TECHNOLGY COM 81369Y803 10309 409258 SH SOLE 233372 0 175886 SEDONA CORP PA COM COM 815677109 0 20000 SH SOLE 20000 0 0 SELECT SECTOR SPDR TR SBI CONS COM 81369Y407 10189 272351 SH SOLE 152246 0 120105 SELECT SECTOR SPDR TR SBI INT- COM 81369Y506 10581 155027 SH SOLE 88402 0 66625 SELECT SECTOR SPDR TR SBI INT- COM 81369Y886 10134 323368 SH SOLE 168014 0 155354 SENTRY TECHNOLOGY CORP COM COM 81731K101 1 36471 SH SOLE 0 0 36471 SIEMENS A G SPONSORED ADR COM 826197501 465 3745 SH SOLE 3073 0 672 SOLAR CAP LTD COM COM 83413U100 1239 50000 SH SOLE 50000 0 0 SOTHEBYS COM 835898107 668 14850 SH SOLE 0 0 14850 SOUTHERN CO. COM 842587107 507 13262 SH SOLE 12504 0 758 SPDR CONSUMER STAPLE COM 81369Y308 9754 332781 SH SOLE 179045 0 153736 SPDR DJ WILSHIRE INTERNATIONAL COM 78463X863 2374 60987 SH SOLE 43631 0 17355 SPDR GOLD TRUST COM 78463V107 9859 71071 SH SOLE 54678 0 16393 SPDR INDUSTRIAL COM 81369Y704 10403 298326 SH SOLE 166882 0 131444 SPDR MATERIALS COM 81369Y100 10035 261271 SH SOLE 141318 0 119953 SPDR SERIES TRUST BRCLYS INTL COM 78464A516 1841 31492 SH SOLE 29235 0 2257 SPDR SERIES TRUST BRCLYS YLD E COM 78464A417 391 9854 SH SOLE 1258 0 8596 SPDR SERIES TRUST DB INT GVT E COM 78464A490 849 14613 SH SOLE 12574 0 2039 SPDR SERIES TRUST S&P RETAIL E COM 78464A714 534 11034 SH SOLE 9795 0 1239 SPDR S&P MIDCAP 400 ETF TR UTS COM 78467Y107 1515 9197 SH SOLE 8472 0 725 SPHERIX INC COM COM 84842R106 9 13000 SH SOLE 0 0 13000 SPRINT NEXTEL CORP COM 852061100 314 74278 SH SOLE 916 0 73362 STARBUCKS CORP COM 855244109 1342 41767 SH SOLE 7677 0 34090 STERICYCLE INC COM 858912108 6795 83971 SH SOLE 11113 0 72858 SYMBOLLON PHARMACEUTICALS INCL COM 87151H106 0 10000 SH SOLE 0 0 10000 SYNERGETICS USA INC COM 87160G107 771 163460 SH SOLE 163460 0 0 S&P 500 DEP RECEIPTS COM 78462F103 2021 16069 SH SOLE 1063 0 15006 S&P 500 EQUAL WEIGHT ETF COM 78355W106 1038 21935 SH SOLE 19012 0 2923 TARGET CORP COM 87612E106 1473 24492 SH SOLE 4973 0 19519 TATA MTRS LTD SPONSORED ADR COM 876568502 332 11326 SH SOLE 10665 0 661 TEREX CORP NEW COM 880779103 309 9956 SH SOLE 189 0 9767 TESORO CORP COM 881609101 218 11764 SH SOLE 0 0 11764 TEVA PHARMACEUTICAL IND LTD AD COM 881624209 3632 69671 SH SOLE 21789 0 47882 THERMO FISHER SCIENTIFIC COM 883556102 363 6550 SH SOLE 6250 0 300 TIME WARNER INC COM 887317303 599 18630 SH SOLE 169 0 18461 TOYOTA MTR CORP ADR COM 892331307 361 4597 SH SOLE 4527 0 70 TRACKER CORP AMER COM COM 89234G105 0 10000 SH SOLE 10000 0 0 TRIMBLE NAVIGATION LTD COM 896239100 1284 32162 SH SOLE 5432 0 26730 UNION PAC CORP COM 907818108 375 4051 SH SOLE 2971 0 1080 UNITED PARCEL SVC INC COM 911312106 364 5017 SH SOLE 4840 0 177 UNITED TECHNOLOGIES CORP COM 913017109 393 4998 SH SOLE 1956 0 3042 US BANCORP DEL COM 902973304 403 14944 SH SOLE 4027 0 10917 VALENCE TECHNOLOGY INC COM COM 918914102 180 107000 SH SOLE 0 0 107000 VANGUARD BD INDEX FD INC TOTAL COM 921937835 6729 83828 SH SOLE 57496 0 26331 VANGUARD EMERGING MKTS ETF COM 922042858 6727 139724 SH SOLE 64258 0 75467 VANGUARD EUROPE PAC ETF COM 921943858 1337 36990 SH SOLE 27278 0 9712 VANGUARD INDEX FDS GROWTH ETF COM 922908736 794 12926 SH SOLE 12861 0 65 VANGUARD INDEX FDS SM CP VAL E COM 922908611 211 3160 SH SOLE 0 0 3160 VANGUARD INDEX FDS SMALL CP ET COM 922908751 235 3234 SH SOLE 2520 0 715 VANGUARD INDEX FDS STK MRK ETF COM 922908769 16400 252587 SH SOLE 160065 0 92522 VANGUARD INTL EQUITY INDEX ALL COM 922042775 396 8295 SH SOLE 6721 0 1575 VERIZON COMMUNICATIONS COM 92343V104 1019 28480 SH SOLE 14652 0 13828 VIPERS MID CAP INDEX COM 922908629 351 4721 SH SOLE 3460 0 1260 VODAFONE GROUP INC COM 92857W209 455 17202 SH SOLE 6159 0 11043 WAL MART STORES INC COM 931142103 670 12424 SH SOLE 9857 0 2567 WALGREEN COMPANY COM 931422109 3041 78051 SH SOLE 31697 0 46354 WASTE MGMT INC DEL COM 94106L109 703 19058 SH SOLE 16469 0 2589 WELLPOINT INC COM 94973V107 229 4035 SH SOLE 4035 0 0 WELLS FARGO & COMPANY COM 949746101 571 18420 SH SOLE 7256 0 11164 WILLIS GROUP HOLDINGS PUBLIC COM G96666105 202 5824 SH SOLE 4408 0 1416 WISDOMTREE TRUST EMERG MKTS ET COM 97717W315 367 6155 SH SOLE 5865 0 290 WORLD SERIES OF GOLF INC COM COM 98154X105 0 703200 SH SOLE 285000 0 418200 YUM BRANDS INC COM 988498101 528 10772 SH SOLE 10641 0 131 ZIMMER HLDGS INC COM 98956P102 222 4131 SH SOLE 3808 0 323
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