0001085146-11-001109.txt : 20111107 0001085146-11-001109.hdr.sgml : 20111107 20111107172650 ACCESSION NUMBER: 0001085146-11-001109 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111107 DATE AS OF CHANGE: 20111107 EFFECTIVENESS DATE: 20111107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pathstone Family Office, LLC CENTRAL INDEX KEY: 0001511137 IRS NUMBER: 271957427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14122 FILM NUMBER: 111185609 BUSINESS ADDRESS: STREET 1: 285 GRAND AVE STREET 2: FIVE PATRIOT CENTRE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 BUSINESS PHONE: 201-731-7112 MAIL ADDRESS: STREET 1: 285 GRAND AVE STREET 2: FIVE PATRIOT CENTRE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 13F-HR 1 path3q2011.txt PATHSTONE FAMILY OFFICE, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2011 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: Pathstone Family Office, LLC Address: Five Patriot Centre 285 Grand Ave Englewood, NJ 07631 13F File Number: 028-14122 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Matthew Sher Title: Director of Operations and CCO Phone: 201-731-7112 Signature, Place, and Date of Signing: /s/ Matthew Sher Englewood, NJ November 07, 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 028-04558 Parametric Portfolio Associates 028-05505 Sawgrass Asset Management, L.L.C. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 155 Form 13F Information Table Value Total: $57,192 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579y101 35 489 SH SOLE 489 0 0 ADVANCED MICRO DEVICES INC COM 007903107 6 1000 SH SOLE 1000 0 0 AIR LEASE CORP CL A 00912X302 58 3000 SH SOLE 3000 0 0 ALEXCO RESOURCE CORP COM 01535P106 5657 834319 SH SOLE 834319 0 0 ALTRIA GROUP INC COM 02209s103 1 45 SH SOLE 45 0 0 ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 10 1000 SH SOLE 1000 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 27 1000 SH SOLE 1000 0 0 AMGEN INC COM 031162100 5 100 SH SOLE 100 0 0 AMYRIS INC COM 03236m101 41 2000 SH SOLE 2000 0 0 ANNALY CAP MGMT INC COM 035710409 83 5000 SH SOLE 5000 0 0 APOLLO GLOBAL MGMT LLC CL A SHS 037612306 20 2000 SH SOLE 2000 0 0 APPLE INC COM 037833100 108 284 SH SOLE 284 0 0 APPLIED MATLS INC COM 038222105 2 200 SH SOLE 200 0 0 AT&T INC COM 00206R102 6 200 SH SOLE 200 0 0 AUTOCHINA INTERNATIONAL LIMI SHS g06750106 17 1833 SH SOLE 1833 0 0 BAKER HUGHES INC COM 057224107 1 1000 SH CALL SOLE 0 0 0 BANK OF AMERICA CORPORATION COM 060505104 39 6400 SH SOLE 6400 0 0 BARRICK GOLD CORP COM 067901108 94 2000 SH SOLE 2000 0 0 BAXTER INTL INC COM 071813109 6 100 SH SOLE 100 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 107 1 SH SOLE 1 0 0 BOEING CO COM 097023105 139 2300 SH SOLE 2300 0 0 BPZ RESOURCES INC COM 055639108 79 28652 SH SOLE 28652 0 0 BRIGHAM EXPLORATION CO COM 109178103 25 1000 SH SOLE 1000 0 0 BROADWIND ENERGY INC COM 11161T108 8 24875 SH SOLE 24875 0 0 BROOKDALE SR LIVING INC COM 112463104 13 1000 SH SOLE 1000 0 0 BROOKFIELD OFFICE PPTYS INC COM 112900105 28 2000 SH SOLE 2000 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 63 1000 SH SOLE 1000 0 0 CAMPBELL SOUP CO COM 134429109 41 1274 SH SOLE 1274 0 0 CARDICA INC COM 14141r101 110 56465 SH SOLE 56465 0 0 CHESAPEAKE ENERGY CORP COM 165167107 128 5000 SH SOLE 5000 0 0 CHESAPEAKE MIDSTREAM PARTNER UNIT 16524K108 27 1000 SH SOLE 1000 0 0 CHEVRON CORP NEW COM 166764100 4 1000 SH CALL SOLE 0 0 0 CISCO SYS INC COM 17275r102 89 5700 SH SOLE 5700 0 0 CIT GROUP INC COM NEW 125581801 5 154 SH SOLE 154 0 0 CITIGROUP INC COM NEW 172967424 186 7300 SH SOLE 7300 0 0 CLEAN ENERGY FUELS CORP COM 184499101 56 5000 SH SOLE 5000 0 0 COCA COLA CO COM 191216100 14 200 SH SOLE 200 0 0 COEUR D ALENE MINES CORP IDA COM NEW 192108504 21 1000 SH SOLE 1000 0 0 COLGATE PALMOLIVE CO COM 194162103 43 480 SH SOLE 480 0 0 COLONIAL PPTYS TR COM SH BEN INT 195872106 44095 2428139 SH SOLE 2428139 0 0 CONSOL ENERGY INC COM 20854P109 34 1000 SH SOLE 1000 0 0 CONTINENTAL RESOURCES INC COM 212015101 48 1000 SH SOLE 1000 0 0 CORNING INC COM 219350105 130 10500 SH SOLE 10500 0 0 COSTCO WHSL CORP NEW COM 22160k105 44 531 SH SOLE 531 0 0 CROSS CTRY HEALTHCARE INC COM 227483104 1 200 SH SOLE 200 0 0 DARA BIOSCIENCES INC COM NEW 23703p205 64 33100 SH SOLE 33100 0 0 DDR CORP COM 23317H102 0 11 SH SOLE 11 0 0 DELL INC COM 24702R101 1 100 SH SOLE 100 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1 100 SH SOLE 100 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 40 522 SH SOLE 522 0 0 DIAMOND OFFSHORE DRILLING IN COM 25271C102 1 1000 SH CALL SOLE 0 0 0 DISNEY WALT CO COM DISNEY 254687106 35 1156 SH SOLE 1156 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 34 862 SH SOLE 862 0 0 E M C CORP MASS COM 268648102 6 300 SH SOLE 300 0 0 EBAY INC COM 278642103 15 500 SH SOLE 500 0 0 ENERGEN CORP COM 29265N108 41 1000 SH SOLE 1000 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 82 2000 SH SOLE 2000 0 0 ENSTAR GROUP LIMITED SHS G3075P101 190 2000 SH SOLE 2000 0 0 ETFS PLATINUM TR SH BEN INT 26922V101 171 1135 SH SOLE 1135 0 0 EXXON MOBIL CORP COM 30231g102 40 551 SH SOLE 551 0 0 EXXON MOBIL CORP COM 30231G102 2 1000 SH CALL SOLE 0 0 0 FEI CO COM 30241L109 33 1100 SH SOLE 1100 0 0 FERRELLGAS PARTNERS L.P. 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