0001463217-12-000006.txt : 20120814 0001463217-12-000006.hdr.sgml : 20120814 20120814130229 ACCESSION NUMBER: 0001463217-12-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120814 DATE AS OF CHANGE: 20120814 EFFECTIVENESS DATE: 20120814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC CENTRAL INDEX KEY: 0001463217 IRS NUMBER: 270493248 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13508 FILM NUMBER: 121031236 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 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. DATE OF NAME CHANGE: 20090501 13F-HR 1 filing0630212.txt 13F HOLDINGS REPORT - JUNE 30 2012 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: June 30, 2012 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,LLC (Formerly known as: United Capital Financial Advisers,Inc) 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 August 14, 2012 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 ---------------------- ----------------------- 028-13411 Envestnet Asset Management Inc. 028-11107 Placemark Investments Inc. 028-13466 Northcoast Asset Management, LLC 028-05775 Brown Advisory LLC 028-01474 NWQ Investment Management Co, LLC 028-06810 Keeley Asset Management Corp. 028-10469 Lazard Asset Management, LLC 028-00398 Loomis Sayles & Co, LP 028-04558 Parametric Portfolio Associates 028-04691 Schafer Cullen Capital Management Inc. 028-01204 WHV Investment Management, Inc. 028-01666 Eagle Asset Management 028-13757 Saratoga Research & Investment Management 028-05792 Kayne Anderson Rudnick Investment Management LLC 028-11293 Invesco AIM Capital Management 028-12572 Tradewinds Global Investors LLC 028-02510 Roxbury Capital Management 028-03434 Congress Asset Management Co. 028-01822 Becker Capital Management Inc. 028-06630 Disciplined Growth Investors Inc. 028-00223 RCM Capital Management LLC 028-13399 Advisor Partners LLC

I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE June 30, 2012 REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 ----------- FORM 13F INFORMATION TABLE ENTRY TOTAL: 585 ----------- FORM 13F INFORMATION TABLE VALUE TOTAL: $ 2,307,915 ----------- (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 Common Stock 88579Y101 7075 78967 SH SOLE 55601 0 23366 ABBOTT LABS COM Common Stock 002824100 13969 216667 SH SOLE 109885 0 106782 ABERDEEN ASIA PACIFIC INCOM CO ETF 003009107 118 15425 SH SOLE 15425 0 0 ADDUS HOMECARE CORP COM Common Stock 006739106 59 12000 SH SOLE 10000 0 2000 ADOBE SYS INC COM Common Stock 00724F101 518 16008 SH SOLE 2019 0 13989 ADVANCED MICRO DEVICES INC COM Common Stock 007903107 134 23326 SH SOLE 23326 0 0 ADVENT CLAYMORE CV SECS & IN C ETF 00764C109 204 13285 SH SOLE 10785 0 2500 AECOM TECHNOLOGY CORP DELAWA C Common Stock 00766T100 2137 129921 SH SOLE 48155 0 81766 AES CORP COM Common Stock 00130H105 2143 167056 SH SOLE 67706 0 99350 AES TR III PFD CV 6.75% Preferred Stock 00808N202 4062 82480 SH SOLE 42280 0 40200 AFFILIATED MANAGERS GROUP COM Common Stock 008252108 1171 10701 SH SOLE 2555 0 8146 AFLAC INC COM Common Stock 001055102 4260 100023 SH SOLE 88373 0 11650 AGILENT TECHNOLOGIES INC COM Common Stock 00846U101 295 7530 SH SOLE 6781 0 749 AIR PRODS & CHEMS INC COM Common Stock 009158106 217 2685 SH SOLE 1501 0 1184 AK STL HLDG CORP COM Common Stock 001547108 102 17400 SH SOLE 17400 0 0 ALCATEL-LUCENT SPONSORED ADR Common Stock 013904305 21 12651 SH SOLE 4719 0 7932 ALEXION PHARMACEUTICALS INC CO Common Stock 015351109 4548 45797 SH SOLE 40043 0 5754 ALIGN TECHNOLOGY INC COM Common Stock 016255101 6471 193409 SH SOLE 487 0 192922 ALLERGAN INC COM Common Stock 018490102 297 3213 SH SOLE 1621 0 1592 ALLIANCE DATA SYSTEMS CORP COM Common Stock 018581108 4788 35466 SH SOLE 30817 0 4649 ALLIANCE RES PARTNER L P UT LT Partnership Share01877R108 1136 20250 SH SOLE 14950 0 5300 ALLIANCEBERNSTEIN GBL HGH IN C ETF 01879R106 263 17570 SH SOLE 8853 0 8717 ALLIANCEBERNSTEIN HOLDING LP U Partnership Share01881G106 617 48600 SH SOLE 40000 0 8600 ALLIANCEBERNSTEIN INCOME FUN C ETF 01881E101 149 17963 SH SOLE 15385 0 2578 ALLIANT ENERGY CORP COM Common Stock 018802108 218 4793 SH SOLE 4793 0 0 ALLSTATE CORP COM Common Stock 020002101 6293 179329 SH SOLE 145876 0 33453 ALPS ETF TR ALERIAN MLP ETF 00162Q866 1461 91424 SH SOLE 71227 0 20197 ALTRIA GROUP INC COM Common Stock 02209S103 3257 94278 SH SOLE 80351 0 13927 AMAZON COM INC COM Common Stock 023135106 680 2980 SH SOLE 1205 0 1775 AMERICA MOVIL SAB DE CV SPON A Common Stock 02364W105 617 23691 SH SOLE 7902 0 15789 AMERICAN CAP LTD COM Common Stock 02503Y103 1145 113833 SH SOLE 91148 0 22685 AMERICAN CAP MTG INVT CORP COM REIT 02504A104 322 13500 SH SOLE 10000 0 3500 AMERICAN EXPRESS CO COM Common Stock 025816109 1715 29463 SH SOLE 19179 0 10284 AMERICAN INTL GROUP INC COM NE Common Stock 026874784 3877 120801 SH SOLE 53991 0 66810 AMERICAN VANGUARD CORP COM Common Stock 030371108 1122 42210 SH SOLE 42210 0 0 AMGEN INC COM Common Stock 031162100 884 12127 SH SOLE 9470 0 2658 AMKOR TECHNOLOGY INC COM Common Stock 031652100 98 20000 SH SOLE 20000 0 0 ANADARKO PETE CORP COM Common Stock 032511107 733 11071 SH SOLE 7330 0 3741 ANALOG DEVICES INC COM Common Stock 032654105 850 22568 SH SOLE 21109 0 1459 ANNALY CAP MGMT INC COM Common Stock 035710409 3810 227059 SH SOLE 199830 0 27229 ANSYS INC COM Common Stock 03662Q105 256 4062 SH SOLE 883 0 3179 APACHE CORP COM Common Stock 037411105 887 10094 SH SOLE 1289 0 8805 APPLE INC COM Common Stock 037833100 88522 151579 SH SOLE 65958 0 85621 APPLIED INDL TECHNOLOGIES IN C Common Stock 03820C105 1183 32108 SH SOLE 32108 0 0 AQUA AMERICA INC COM Common Stock 03836W103 711 28499 SH SOLE 28499 0 0 ARROW FINL CORP COM Common Stock 042744102 283 11699 SH SOLE 11699 0 0 AT&T INC COM Common Stock 00206R102 14981 420110 SH SOLE 305688 0 114422 ATWOOD OCEANICS INC COM Common Stock 050095108 371 9805 SH SOLE 2453 0 7352 AURICO GOLD INC COM Common Stock 05155C105 176 21999 SH SOLE 21999 0 0 AUTODESK INC COM Common Stock 052769106 287 8194 SH SOLE 7732 0 462 AUTOMATIC DATA PROCESSING IN C Common Stock 053015103 3016 54184 SH SOLE 37580 0 16604 AUTOZONE INC COM Common Stock 053332102 348 948 SH SOLE 947 0 1 AVON PRODS INC COM Common Stock 054303102 180 11098 SH SOLE 7832 0 3266 BABSON CAP CORPORATE INVS COM Mutual Fund 05617K109 261 17000 SH SOLE 17000 0 0 BAKER HUGHES INC COM Common Stock 057224107 1104 26866 SH SOLE 14313 0 12553 BALL CORP COM Common Stock 058498106 2133 51955 SH SOLE 11775 0 40180 BANK OF AMERICA CORPORATION CO Common Stock 060505104 1729 211339 SH SOLE 155584 0 55754 BANK OF AMERICA CORPORATION W Warrant 060505146 1282 363200 SH SOLE 239700 0 123500 BANK OF AMERICA CORPORATION W Warrant 060505153 507 634280 SH SOLE 307000 0 327280 BANK OF NEW YORK MELLON CORP C Common Stock 064058100 839 38207 SH SOLE 34765 0 3442 BARCLAYS BK PLC DJUBS CMDT ETN ETF 06738C778 273 6785 SH SOLE 6621 0 164 BARCLAYS BK PLC IPATH DYNM VIX ETF 06741L609 737 12953 SH SOLE 11211 0 1742 BARCLAYS BK PLC IPTH S&P VIX N ETF 06740C261 7534 495357 SH SOLE 492670 0 2687 BARRICK GOLD CORP COM Common Stock 067901108 1016 27054 SH SOLE 22235 0 4819 BAXTER INTL INC COM Common Stock 071813109 1353 25451 SH SOLE 23446 0 2005 BB&T CORP COM Common Stock 054937107 1880 60926 SH SOLE 14576 0 46350 BECTON DICKINSON & CO COM Common Stock 075887109 5833 78038 SH SOLE 72632 0 5406 BERKSHIRE HATHAWAY INC DEL CL Common Stock 084670108 375 3 SH SOLE 3 0 0 BERKSHIRE HATHAWAY INC DEL CL Common Stock 084670702 3707 44487 SH SOLE 34065 0 10422 BHP BILLITON LTD SPONSORED ADR Common Stock 088606108 772 11830 SH SOLE 4237 0 7593 BIOCLINICA INC COM Common Stock 09071B100 170 35135 SH SOLE 35135 0 0 BIOGEN IDEC INC COM Common Stock 09062X103 6716 46516 SH SOLE 41056 0 5460 BLACKROCK INC COM Common Stock 09247X101 2586 15228 SH SOLE 7664 0 7564 BLACKROCK MUNIHLDNGS QLTY II C ETF 09254C107 328 22000 SH SOLE 22000 0 0 BLACKROCK MUNIYLD MICH QLTY CO ETF 09254V105 579 37124 SH SOLE 33208 0 3916 BLACKSTONE GROUP L P COM UNIT Common Stock 09253U108 200 15310 SH SOLE 15310 0 0 BLOCK H & R INC COM Common Stock 093671105 178 11140 SH SOLE 0 0 11140 BOARDWALK PIPELINE PARTNERS UT Common Stock 096627104 1884 68175 SH SOLE 44875 0 23300 BOEING CO COM Common Stock 097023105 2471 33263 SH SOLE 30694 0 2569 BOSTON SCIENTIFIC CORP COM Common Stock 101137107 97 17079 SH SOLE 925 0 16154 BP PLC SPONSORED ADR Common Stock 055622104 1451 35783 SH SOLE 17585 0 18198 BRISTOL MYERS SQUIBB CO COM Common Stock 110122108 7900 219740 SH SOLE 133468 0 86272 BRITISH AMERN TOB PLC SPONSORE Common Stock 110448107 309 3026 SH SOLE 1351 0 1675 BROOKFIELD ASSET MGMT INC CL A Common Stock 112585104 637 19248 SH SOLE 1233 0 18015 BROWN FORMAN CORP CL B Common Stock 115637209 792 8182 SH SOLE 6752 0 1430 BUCKEYE PARTNERS L P UNIT LTD Common Stock 118230101 1813 34753 SH SOLE 21493 0 13260 CA INC COM Common Stock 12673P105 267 9849 SH SOLE 4448 0 5401 CALAVO GROWERS INC COM Common Stock 128246105 4795 187462 SH SOLE 57362 0 130100 CAMERON INTERNATIONAL CORP COM Common Stock 13342B105 201 4709 SH SOLE 3249 0 1460 CANADIAN NAT RES LTD COM Common Stock 136385101 631 23502 SH SOLE 18776 0 4726 CANADIAN NATL RY CO COM Common Stock 136375102 248 2941 SH SOLE 691 0 2250 CANADIAN PAC RY LTD COM Common Stock 13645T100 241 3289 SH SOLE 364 0 2925 CAPITAL ONE FINL CORP COM Common Stock 14040H105 1023 18721 SH SOLE 7190 0 11531 CAPITAL ONE FINL CORP W EXP 11 Warrant 14040H139 3850 179899 SH SOLE 95574 0 84325 CAPITALSOURCE INC COM Common Stock 14055X102 6208 923869 SH SOLE 447000 0 476869 CARDINAL HEALTH INC COM Common Stock 14149Y108 233 5553 SH SOLE 3040 0 2513 CARMAX INC COM Common Stock 143130102 845 32564 SH SOLE 6344 0 26220 CATERPILLAR INC DEL COM Common Stock 149123101 1916 22560 SH SOLE 16869 0 5691 CBIZ INC COM Common Stock 124805102 245 41286 SH SOLE 41286 0 0 CBS CORP NEW CL B Common Stock 124857202 5559 169589 SH SOLE 142373 0 27216 CELANESE CORP DEL COM SER A Common Stock 150870103 220 6351 SH SOLE 6351 0 0 CENTURYLINK INC COM Common Stock 156700106 4182 105891 SH SOLE 72806 0 33085 CERNER CORP COM Common Stock 156782104 10520 127270 SH SOLE 69637 0 57633 CHESAPEAKE ENERGY CORP PFD CON Preferred Stock 165167842 2145 26725 SH SOLE 15345 0 11380 CHEVRON CORP NEW COM Common Stock 166764100 15144 143547 SH SOLE 94420 0 49127 CHICAGO BRIDGE & IRON CO N V N Common Stock 167250109 1541 40594 SH SOLE 26330 0 14264 CHINA MOBILE LIMITED SPONSORED Common Stock 16941M109 269 4928 SH SOLE 3605 0 1323 CHUBB CORP COM Common Stock 171232101 1741 23910 SH SOLE 19660 0 4250 CISCO SYS INC COM Common Stock 17275R102 5143 299549 SH SOLE 100411 0 199137 CITIGROUP INC COM NEW Common Stock 172967424 1070 39021 SH SOLE 25887 0 13134 CITRIX SYS INC COM Common Stock 177376100 237 2821 SH SOLE 1259 0 1562 CITY NATL CORP COM Common Stock 178566105 730 15022 SH SOLE 14578 0 444 CLIFFS NATURAL RESOURCES INC C Common Stock 18683K101 1143 23193 SH SOLE 4540 0 18653 CLOROX CO DEL COM Common Stock 189054109 509 7019 SH SOLE 6267 0 752 CME GROUP INC COM Common Stock 12572Q105 6514 24295 SH SOLE 9180 0 15115 COACH INC COM Common Stock 189754104 1733 29640 SH SOLE 10106 0 19534 COBALT INTL ENERGY INC COM Common Stock 19075F106 221 9421 SH SOLE 9421 0 0 COCA COLA CO COM Common Stock 191216100 7279 93100 SH SOLE 45198 0 47902 COGNIZANT TECHNOLOGY SOLUTIO C Common Stock 192446102 278 4625 SH SOLE 4023 0 602 COHEN & STEERS INC COM Common Stock 19247A100 239 6940 SH SOLE 0 0 6940 COLGATE PALMOLIVE CO COM Common Stock 194162103 15203 146040 SH SOLE 95532 0 50508 COMCAST CORP NEW CL A Common Stock 20030N101 535 16721 SH SOLE 7857 0 8864 COMMONWEALTH REIT 6.50% PFD CU Preferred Stock 203233408 2940 133950 SH SOLE 78000 0 55950 COMMUNITY HEALTH SYS INC NEW C Common Stock 203668108 347 12383 SH SOLE 12383 0 0 CONOCOPHILLIPS COM Common Stock 20825C104 2140 38302 SH SOLE 24424 0 13878 CONSOLIDATED EDISON INC COM Common Stock 209115104 399 6410 SH SOLE 3420 0 2990 CORNING INC COM Common Stock 219350105 1338 103453 SH SOLE 50163 0 53290 COSTCO WHSL CORP NEW COM Common Stock 22160K105 2274 23942 SH SOLE 17227 0 6715 COVENTRY HEALTH CARE INC COM Common Stock 222862104 459 14431 SH SOLE 10747 0 3684 CPFL ENERGIA S A SPONSORED ADR Common Stock 126153105 221 8860 SH SOLE 7341 0 1519 CREDIT SUISSE NASSAU BRH ETN L ETF 22542D852 574 24790 SH SOLE 22467 0 2323 CROWN HOLDINGS INC COM Common Stock 228368106 231 6712 SH SOLE 6608 0 104 CSX CORP COM Common Stock 126408103 252 11264 SH SOLE 9490 0 1774 CUI GLOBAL INC COM NEW Common Stock 126576206 192 33607 SH SOLE 33607 0 0 CUMBERLAND PHARMACEUTICALS I C Common Stock 230770109 129 20000 SH SOLE 20000 0 0 CUMMINS INC COM Common Stock 231021106 427 4407 SH SOLE 516 0 3891 CURRENCYSHARES AUSTRALIAN DL A ETF 23129U101 1069 10428 SH SOLE 9763 0 665 CVS CAREMARK CORPORATION COM Common Stock 126650100 8289 177377 SH SOLE 141002 0 36375 DANAHER CORP DEL COM Common Stock 235851102 11722 225078 SH SOLE 134398 0 90680 DEERE & CO COM Common Stock 244199105 1324 16372 SH SOLE 13417 0 2955 DENTSPLY INTL INC NEW COM Common Stock 249030107 1067 28229 SH SOLE 24953 0 3276 DEVON ENERGY CORP NEW COM Common Stock 25179M103 1549 26706 SH SOLE 13861 0 12845 DIAGEO P L C SPON ADR NEW Common Stock 25243Q205 396 3845 SH SOLE 1270 0 2575 DIAMOND OFFSHORE DRILLING IN C Common Stock 25271C102 767 12966 SH SOLE 10157 0 2809 DIGITAL RLTY TR INC COM Common Stock 253868103 2519 33558 SH SOLE 29992 0 3566 DIRECT MKTS HLDGS CORP COM ADD Common Stock 25456U109 8 20000 SH SOLE 20000 0 0 DISCOVER FINL SVCS COM Common Stock 254709108 202 5833 SH SOLE 2032 0 3801 DISNEY WALT CO COM DISNEY Common Stock 254687106 5636 116209 SH SOLE 85041 0 31168 DOMINION RES INC VA NEW COM Common Stock 25746U109 1876 34743 SH SOLE 34743 0 0 DOVER CORP COM Common Stock 260003108 307 5730 SH SOLE 1116 0 4614 DOW CHEM CO COM Common Stock 260543103 871 27648 SH SOLE 16131 0 11517 DU PONT E I DE NEMOURS & CO CO Common Stock 263534109 3668 72529 SH SOLE 38054 0 34475 DUKE REALTY CORP COM NEW Common Stock 264411505 1206 82390 SH SOLE 64577 0 17813 E M C CORP MASS COM Common Stock 268648102 3536 137947 SH SOLE 100499 0 37448 EAGLE BANCORP INC MD COM Common Stock 268948106 1810 114951 SH SOLE 84665 0 30286 EASTGROUP PPTY INC COM REIT 277276101 2071 38850 SH SOLE 20500 0 18350 EATON CORP COM Common Stock 278058102 214 5412 SH SOLE 3819 0 1593 EBAY INC COM Common Stock 278642103 383 9112 SH SOLE 3155 0 5957 EDWARDS LIFESCIENCES CORP COM Common Stock 28176E108 384 3718 SH SOLE 2328 0 1390 EL PASO PIPELINE PARTNERS L CO Common Stock 283702108 428 12677 SH SOLE 10677 0 2000 EMERSON ELEC CO COM Common Stock 291011104 11680 250762 SH SOLE 154297 0 96465 ENERGY TRANSFER EQUITY L P COM Partnership Share29273V100 3103 75650 SH SOLE 51400 0 24250 ENERGY TRANSFER PRTNRS L P UNI Common Stock 29273R109 267 6053 SH SOLE 4301 0 1752 ENTERPRISE PRODS PARTNERS L CO Common Stock 293792107 15188 296417 SH SOLE 234019 0 62398 EOG RES INC COM Common Stock 26875P101 1926 21005 SH SOLE 14359 0 6646 ERESEARCHTECHNOLOGY INC COM Common Stock 29481V108 296 37000 SH SOLE 37000 0 0 ESTERLINE TECHNOLOGIES CORP CO Common Stock 297425100 205 3283 SH SOLE 3283 0 0 EV ENERGY PARTNERS LP COM UNIT Common Stock 26926V107 575 11400 SH SOLE 10900 0 500 EXELON CORP COM Common Stock 30161N101 224 5965 SH SOLE 4051 0 1914 EXPRESS SCRIPTS HLDG CO COM AD Common Stock 30219G108 943 16885 SH SOLE 10799 0 6086 EXXON MOBIL CORP COM Common Stock 30231G102 24969 291800 SH SOLE 205012 0 86787 F M C CORP COM NEW Common Stock 302491303 252 4720 SH SOLE 2768 0 1952 FAUQUIER BANKSHARES INC VA COM Common Stock 312059108 185 13912 SH SOLE 1112 0 12800 FBL FINL GROUP INC CL A Common Stock 30239F106 3810 136028 SH SOLE 136028 0 0 FEDERAL REALTY INVT TR SH BEN Common Stock 313747206 632 6068 SH SOLE 253 0 5815 FEDERATED INVS INC PA CL B Common Stock 314211103 225 10275 SH SOLE 89 0 10186 FEDEX CORP COM Common Stock 31428X106 1316 14364 SH SOLE 7981 0 6383 FIDUCIARY CLAYMORE MLP OPP F C ETF 31647Q106 2081 93722 SH SOLE 18092 0 75630 FIFTH STREET FINANCE CORP COM Common Stock 31678A103 559 55986 SH SOLE 55986 0 0 FIFTH THIRD BANCORP COM Common Stock 316773100 1073 80099 SH SOLE 71728 0 8371 FIRST HORIZON NATL CORP COM Common Stock 320517105 336 38892 SH SOLE 38892 0 0 FIRST NIAGARA FINL GP INC COM Common Stock 33582V108 193 25279 SH SOLE 24339 0 940 FIRST TR EXCHANGE TRADED FD NY ETF 33733E203 565 12901 SH SOLE 1901 0 11000 FIRST TR SR FLG RTE INCM FD CO ETF 33733U108 287 19540 SH SOLE 15440 0 4100 FISERV INC COM Common Stock 337738108 886 12267 SH SOLE 6549 0 5718 FLOWSERVE CORP COM Common Stock 34354P105 701 6106 SH SOLE 5688 0 418 FLUOR CORP NEW COM Common Stock 343412102 301 6102 SH SOLE 5497 0 605 FMC TECHNOLOGIES INC COM Common Stock 30249U101 269 6863 SH SOLE 2839 0 4024 FORD MTR CO DEL COM PAR $0.01 Common Stock 345370860 952 99310 SH SOLE 87541 0 11769 FREEPORT-MCMORAN COPPER & GO C Common Stock 35671D857 4321 126824 SH SOLE 45236 0 81588 FX ENERGY INC COM Common Stock 302695101 104 17519 SH SOLE 17519 0 0 GABELLI EQUITY TR INC COM ETF 362397101 92 17040 SH SOLE 2630 0 14410 GENERAL DYNAMICS CORP COM Common Stock 369550108 462 7009 SH SOLE 6649 0 360 GENERAL ELECTRIC CO COM Common Stock 369604103 22162 1063433 SH SOLE 657302 0 406131 GENERAL MLS INC COM Common Stock 370334104 719 18647 SH SOLE 17864 0 783 GENERAL MTRS CO COM Common Stock 37045V100 212 10751 SH SOLE 9967 0 784 GIGOPTIX INC COM ADDED Common Stock 37517Y103 369 137152 SH SOLE 0 0 137152 GLADSTONE CAPITAL CORP COM Common Stock 376535100 1650 209165 SH SOLE 123455 0 85710 GLADSTONE COML CORP COM REIT 376536108 7632 458098 SH SOLE 251750 0 206348 GLAXOSMITHKLINE PLC SPONSORED Common Stock 37733W105 1330 29184 SH SOLE 22105 0 7079 GOLDCORP INC NEW COM Common Stock 380956409 1920 51091 SH SOLE 50125 0 966 GOLDMAN SACHS GROUP INC COM Common Stock 38141G104 2244 23412 SH SOLE 7258 0 16154 GOOGLE INC CL A Common Stock 38259P508 14832 25570 SH SOLE 11077 0 14493 GOVERNMENT PPTYS INCOME TR COM REIT 38376A103 3323 146903 SH SOLE 81800 0 65103 GRAINGER W W INC COM Common Stock 384802104 1204 6395 SH SOLE 2085 0 4310 HARTFORD FINL SVCS GROUP INC C Common Stock 416515104 179 10137 SH SOLE 9189 0 948 HARTFORD FINL SVCS GROUP INC W Warrant 416515120 343 33800 SH SOLE 12000 0 21800 HATTERAS FINL CORP COM Common Stock 41902R103 2041 71360 SH SOLE 62696 0 8664 HCP INC COM Common Stock 40414L109 382 8650 SH SOLE 8164 0 486 HEALTH CARE REIT INC COM Common Stock 42217K106 340 5828 SH SOLE 3700 0 2128 HEINZ H J CO COM Common Stock 423074103 375 6889 SH SOLE 3939 0 2950 HESS CORP COM Common Stock 42809H107 1091 25119 SH SOLE 9360 0 15759 HEWLETT PACKARD CO COM Common Stock 428236103 4767 237031 SH SOLE 108689 0 128342 HNI CORP COM Common Stock 404251100 216 8375 SH SOLE 0 0 8375 HOLLY ENERGY PARTNERS L P COM Partnership Share435763107 1668 29466 SH SOLE 17800 0 11666 HOME DEPOT INC COM Common Stock 437076102 7007 132239 SH SOLE 99910 0 32330 HOME PROPERTIES INC COM REIT 437306103 2515 40985 SH SOLE 33755 0 7230 HONEYWELL INTL INC COM Common Stock 438516106 1460 26141 SH SOLE 14483 0 11658 HOST HOTELS & RESORTS INC COM Common Stock 44107P104 426 26909 SH SOLE 22344 0 4565 HUMANA INC COM Common Stock 444859102 208 2683 SH SOLE 1212 0 1471 ICAD INC COM Common Stock 44934S107 7 15000 SH SOLE 15000 0 0 IHS INC CL A Common Stock 451734107 3132 29074 SH SOLE 2474 0 26600 ILLINOIS TOOL WKS INC COM Common Stock 452308109 5729 108327 SH SOLE 38140 0 70187 INERGY L P UNIT LTD PTNR Common Stock 456615103 621 33375 SH SOLE 28000 0 5375 INTEL CORP COM Common Stock 458140100 12798 480234 SH SOLE 282892 0 197342 INTERNATIONAL BUSINESS MACHS C Common Stock 459200101 24748 126535 SH SOLE 83329 0 43206 INTUITIVE SURGICAL INC COM NEW Common Stock 46120E602 7001 12643 SH SOLE 6674 0 5969 INVESCO VALUE MUN INCOME TR CO ETF 46132P108 225 13372 SH SOLE 11905 0 1467 INVESCO VAN KAMPEN ADVANTAGE S ETF 46132E103 170 12911 SH SOLE 12911 0 0 IRON MTN INC COM Common Stock 462846106 995 30178 SH SOLE 2650 0 27528 ISHARES GOLD TRUST ISHARES ETF 464285105 641 41180 SH SOLE 40680 0 500 ISHARES INC MSCI BRAZIL ETF 464286400 256 4954 SH SOLE 3484 0 1470 ISHARES INC MSCI CDA INDEX ETF 464286509 2802 108441 SH SOLE 40220 0 68221 ISHARES INC MSCI JAPAN ETF 464286848 3275 348072 SH SOLE 162283 0 185789 ISHARES INC MSCI PAC J IDX ETF 464286665 2835 69575 SH SOLE 26263 0 43312 ISHARES INC MSCI SINGAPORE ETF 464286673 1329 107844 SH SOLE 89300 0 18544 ISHARES S&P GSCI COMMODITY I U ETF 46428R107 406 13338 SH SOLE 12905 0 433 ISHARES SILVER TRUST ISHARES ETF 46428Q109 1613 60529 SH SOLE 51565 0 8964 ISHARES TR BARCLY USAGG B ETF 464287226 26506 238151 SH SOLE 161904 0 76246 ISHARES TR BARCLYS 10-20YR ETF 464288653 8325 60930 SH SOLE 60746 0 184 ISHARES TR BARCLYS 1-3 YR ETF 464287457 1691 20042 SH SOLE 11555 0 8487 ISHARES TR BARCLYS 1-3YR CR ETF 464288646 4016 38350 SH SOLE 34231 0 4119 ISHARES TR BARCLYS 20+ YR ETF 464287432 17785 142052 SH SOLE 140709 0 1343 ISHARES TR BARCLYS 3-7 YR ETF 464288661 487 3956 SH SOLE 2337 0 1619 ISHARES TR BARCLYS 7-10 YR ETF 464287440 6232 57745 SH SOLE 48189 0 9556 ISHARES TR BARCLYS CR BD ETF 464288620 16996 153133 SH SOLE 128256 0 24877 ISHARES TR BARCLYS INTER CR ETF 464288638 13664 124988 SH SOLE 101798 0 23190 ISHARES TR BARCLYS MBS BD ETF 464288588 37160 342674 SH SOLE 287146 0 55527 ISHARES TR BARCLYS TIPS BD ETF 464287176 44803 374291 SH SOLE 358711 0 15580 ISHARES TR DJ HEALTH CARE Mutual Fund 464288828 233 3585 SH SOLE 300 0 3285 ISHARES TR DJ INTL SEL DIVD ETF 464288448 4675 155456 SH SOLE 130343 0 25112 ISHARES TR DJ OIL EQUIP Mutual Fund 464288844 269 5815 SH SOLE 0 0 5815 ISHARES TR DJ OIL&GAS EXP ETF 464288851 1031 17788 SH SOLE 11493 0 6295 ISHARES TR DJ PHARMA INDX Mutual Fund 464288836 346 4000 SH SOLE 4000 0 0 ISHARES TR DJ SEL DIV INX ETF 464287168 4494 79981 SH SOLE 64819 0 15162 ISHARES TR DJ US INDEX FD ETF 464287846 1292 18958 SH SOLE 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SH SOLE 51425 0 14075 SYNERGETICS USA INC COM Common Stock 87160G107 618 138460 SH SOLE 138460 0 0 TALISMAN ENERGY INC COM Common Stock 87425E103 154 13459 SH SOLE 3005 0 10454 TARGET CORP COM Common Stock 87612E106 1187 20407 SH SOLE 3233 0 17174 TATA MTRS LTD SPONSORED ADR Depositary Receip876568502 203 9265 SH SOLE 8741 0 524 TECHNE CORP COM Common Stock 878377100 207 2793 SH SOLE 113 0 2680 TELECOM ITALIA S P A NEW SPON Common Stock 87927Y201 81 10046 SH SOLE 0 0 10046 TELLABS INC COM Common Stock 879664100 46 13725 SH SOLE 212 0 13513 TEREX CORP NEW COM Common Stock 880779103 241 13501 SH SOLE 10351 0 3150 TESORO CORP COM Common Stock 881609101 305 12211 SH SOLE 12211 0 0 TESORO LOGISTICS LP COM UNIT L Common Stock 88160T107 254 7500 SH SOLE 0 0 7500 TEVA PHARMACEUTICAL INDS LTD A Common Stock 881624209 6482 164350 SH SOLE 67768 0 96582 TEXAS INSTRS INC COM Common Stock 882508104 272 9470 SH SOLE 6519 0 2951 THERMO FISHER SCIENTIFIC INC C Common Stock 883556102 7360 141778 SH SOLE 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SOLE 2765 0 1669 VANGUARD INDEX FDS REIT ETF ETF 922908553 2246 34321 SH SOLE 29767 0 4555 VANGUARD INDEX FDS S&P 500 ETF ETF 922908413 3490 56033 SH SOLE 55885 0 148 VANGUARD INDEX FDS SM CP VAL E ETF 922908611 9024 132312 SH SOLE 128804 0 3508 VANGUARD INDEX FDS SMALL CP ET ETF 922908751 336 4414 SH SOLE 3077 0 1337 VANGUARD INDEX FDS SML CP GRW ETF 922908595 8260 98604 SH SOLE 67601 0 31003 VANGUARD INDEX FDS TOTAL STK M ETF 922908769 26620 381918 SH SOLE 298870 0 83048 VANGUARD INDEX FDS VALUE ETF ETF 922908744 226 4033 SH SOLE 2684 0 1349 VANGUARD INTL EQUITY INDEX F A ETF 922042775 1020 24882 SH SOLE 24091 0 790 VANGUARD INTL EQUITY INDEX F M ETF 922042858 14496 363033 SH SOLE 274151 0 88882 VANGUARD INTL EQUITY INDEX F T ETF 922042742 275 6024 SH SOLE 5774 0 250 VANGUARD SCOTTSDALE FDS SHRT-T ETF 92206C409 2517 31799 SH SOLE 255 0 31544 VANGUARD SCOTTSDALE FDS VNG RU ETF 92206C680 4214 65224 SH SOLE 65224 0 0 VANGUARD SCOTTSDALE FDS VNG RU ETF 92206C714 3039 51269 SH SOLE 51269 0 0 VANGUARD SPECIALIZED PORTFOL D ETF 921908844 2765 48782 SH SOLE 35691 0 13091 VANGUARD TAX MANAGED INTL FD M ETF 921943858 1137 36006 SH SOLE 29852 0 6154 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 370 4194 SH SOLE 3591 0 603 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 449 6513 SH SOLE 6317 0 196 VANGUARD WORLD FDS INF TECH ET ETF 92204A702 241 3511 SH SOLE 2275 0 1236 VANGUARD WORLD FDS MATERIALS E ETF 92204A801 2872 36941 SH SOLE 34293 0 2648 VANGUARD WORLD FDS TELCOMM ETF ETF 92204A884 1136 16756 SH SOLE 13989 0 2766 VERIZON COMMUNICATIONS INC COM Common Stock 92343V104 15992 359856 SH SOLE 230102 0 129754 VIACOM INC NEW CL B Common Stock 92553P201 280 5947 SH SOLE 4542 0 1405 VIRGINIA COMM BANCORP INC COM Common Stock 92778Q109 3799 450654 SH SOLE 0 0 450654 VISA INC COM CL A Common Stock 92826C839 846 6844 SH SOLE 3433 0 3411 VODAFONE GROUP PLC NEW SPONS A Common Stock 92857W209 7166 254292 SH SOLE 177377 0 76915 VORNADO RLTY TR SH BEN INT Common Stock 929042109 211 2518 SH SOLE 1954 0 564 WALGREEN CO COM Common Stock 931422109 2574 87028 SH SOLE 42930 0 44098 WAL-MART STORES INC COM Common Stock 931142103 2252 32298 SH SOLE 27637 0 4661 WASTE MGMT INC DEL COM Common Stock 94106L109 3645 109136 SH SOLE 96525 0 12611 WATERS CORP COM Common Stock 941848103 1137 14311 SH SOLE 14236 0 75 WEINGARTEN RLTY INVS SH BEN IN Common Stock 948741103 417 15844 SH SOLE 12029 0 3815 WELLPOINT INC COM Common Stock 94973V107 243 3812 SH SOLE 3789 0 23 WELLS FARGO & CO NEW COM Common Stock 949746101 4594 137370 SH SOLE 81206 0 56164 WELLS FARGO & CO NEW PERP PFD Convertible Prefe949746804 1072 953 SH SOLE 553 0 400 WELLS FARGO & CO NEW W EXP 10/ Warrant 949746119 4824 547535 SH SOLE 319400 0 228135 WESTERN UN CO COM Common Stock 959802109 295 17506 SH SOLE 631 0 16875 WESTPAC BKG CORP SPONSORED ADR Common Stock 961214301 212 1948 SH SOLE 1599 0 349 WESTPORT INNOVATIONS INC COM N Common Stock 960908309 374 10173 SH SOLE 8727 0 1446 WHOLE FOODS MKT INC COM Common Stock 966837106 390 4089 SH SOLE 1828 0 2261 WILLIAMS COS INC DEL COM Common Stock 969457100 500 17353 SH SOLE 427 0 16926 WISDOMTREE TR EM LCL DEBT FD ETF 97717X867 2388 47172 SH SOLE 46509 0 663 WISDOMTREE TR INTL HEDGE EQT ETF 97717X701 14783 351231 SH SOLE 348737 0 2494 WISDOMTREE TRUST EMERG MKTS ET ETF 97717W315 1898 36639 SH SOLE 28088 0 8551 WISDOMTREE TRUST EMG MKTS SMCA ETF 97717W281 1583 36534 SH SOLE 27235 0 9299 WISDOMTREE TRUST INTL LRGCAP D ETF 97717W794 1545 38630 SH SOLE 38630 0 0 WISDOMTREE TRUST LARGECAP DIVI ETF 97717W307 10410 198512 SH SOLE 197775 0 737 WISDOMTREE TRUST MIDCAP DIVI F ETF 97717W505 4005 73374 SH SOLE 61555 0 11819 WISDOMTREE TRUST SMALLCAP DIVI ETF 97717W604 4469 92631 SH SOLE 92355 0 276 WISDOMTREE TRUST SMLCAP EARN F ETF 97717W562 216 4012 SH SOLE 1582 0 2430 XCEL ENERGY INC COM Common Stock 98389B100 880 30972 SH SOLE 28001 0 2971 XYLEM INC COM Common Stock 98419M100 1322 52524 SH SOLE 5369 0 47155 YUM BRANDS INC COM Common Stock 988498101 7322 113665 SH SOLE 64402 0 49263 ZHONGPIN INC COM Common Stock 98952K107 164 17817 SH SOLE 14764 0 3053 ZIMMER HLDGS INC COM Common Stock 98956P102 2521 39163 SH SOLE 33080 0 6083 ZIPCAR INC COM Common Stock 98974X103 1016 86583 SH SOLE 84456 0 2127