0001566653-13-000007.txt : 20130116 0001566653-13-000007.hdr.sgml : 20130116 20130115203834 ACCESSION NUMBER: 0001566653-13-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20130116 DATE AS OF CHANGE: 20130115 EFFECTIVENESS DATE: 20130116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Eqis Capital Management, Inc. CENTRAL INDEX KEY: 0001566653 IRS NUMBER: 680540584 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15088 FILM NUMBER: 13531453 BUSINESS ADDRESS: STREET 1: 1299 4TH ST., STE 502 CITY: SAN RAFAEL STATE: CA ZIP: 94901 BUSINESS PHONE: 8009499936 MAIL ADDRESS: STREET 1: 1299 4TH ST., STE 502 CITY: SAN RAFAEL STATE: CA ZIP: 94901 13F-HR 1 e03312012a13f.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 03/31/2012 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: Eqis Capital Management, Inc. Address: 1299 4th St., Ste 502 San Rafael, CA 94901 13F File Number: 28-15088 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: Jennifer C. Winters Title: Chief Compliance Officer Phone: 800-949-9936 Signature, Place, and Date of Signing: /s/ Jennifer C. Winters San Rafael, CA 01/15/2013 ----------------------- ------------------ --------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 213 Form 13F Information Table Value Total: $ 169,468 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 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 COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ -------------- --------- -------- ------------------ ---------- -------- --------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ---- TRANSATLANTIC PETROLEUM LTD SHS G89982105 1155 916512 SH SOLE 916512 A H BELO CORP COM CL A 001282102 220 45379 SH SOLE 45379 ALPS ETF TR ALERIAN MLP 00162Q866 1650 97773 SH SOLE 97773 AVX CORP NEW COM 002444107 142 10663 SH SOLE 10663 ABBOTT LABS COM 002824100 361 6770 SH SOLE 6770 ACTIVISION BLIZZARD INC COM 00507V109 141 12139 SH SOLE 12139 ADTRAN INC COM 00738A106 221 6773 SH SOLE 6773 ALPHA NATURAL RESOURCES INC COM 02076X102 254 9868 SH SOLE 9868 AMAZON COM INC COM 023135106 447 2345 SH SOLE 2345 APPLE INC COM 037833100 859 2258 SH SOLE 2258 ATWOOD OCEANICS INC COM 050095108 829 21734 SH SOLE 21734 BARCLAYS BK PLC 10 YR TREAS BE 06740L451 282 8348 SH SOLE 8348 CNA FINL CORP COM 126117100 279 10632 SH SOLE 10632 CAPSTEAD MTG CORP COM NO PAR 14067E506 197 15375 SH SOLE 15375 CEPHEID COM 15670R107 233 6783 SH SOLE 6783 CHEVRON CORP NEW COM 166764100 281 2824 SH SOLE 2824 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY S 167250109 285 7663 SH SOLE 7663 CHIPOTLE MEXICAN GRILL INC COM 169656105 255 910 SH SOLE 910 CITRIX SYS INC COM 177376100 237 3617 SH SOLE 3617 CLAYMORE EXCHANGE TRD FD TR GUGG TIMBER ET 18383Q879 417 22721 SH SOLE 22721 COCA COLA CO COM 191216100 232 3600 SH SOLE 3600 CONOCOPHILLIPS COM 20825C104 225 3235 SH SOLE 3235 COOPER TIRE & RUBR CO COM 216831107 212 16175 SH SOLE 16175 CORNING INC COM 219350105 231 14162 SH SOLE 14162 DTS INC COM 23335C101 201 6393 SH SOLE 6393 DEAN FOODS CO NEW COM 242370104 457 44996 SH SOLE 44996 DOLE FOOD CO INC NEW COM 256603101 183 21136 SH SOLE 21136 DYNEGY INC DEL COM 26817G300 60 15002 SH SOLE 15002 EDWARDS LIFESCIENCES CORP COM 28176E108 256 3614 SH SOLE 3614 EXELON CORP COM 30161N101 621 15129 SH SOLE 15129 EXELIS INC COM 30162A108 150 15879 SH SOLE 15879 EXIDE TECHNOLOGIES COM NEW 302051206 320 97826 SH SOLE 97826 EXXON MOBIL CORP COM 30231G102 262 3477 SH SOLE 3477 FLIR SYS INC COM 302445101 244 8686 SH SOLE 8686 FBR & CO COM 30247C301 77 25522 SH SOLE 25522 FX ENERGY INC COM 302695101 97 15036 SH SOLE 15036 FEDEX CORP COM 31428X106 227 2508 SH SOLE 2508 FEMALE HEALTH CO COM 314462102 109 21838 SH SOLE 21838 FERRO CORP COM 315405100 287 43629 SH SOLE 43629 FROZEN FOOD EXPRESS INDS INC COM 359360104 167 121191 SH SOLE 121191 GENERAL ELECTRIC CO COM 369604103 303 17110 SH SOLE 17110 GENOMIC HEALTH INC COM 37244C101 202 7900 SH SOLE 7900 GENON ENERGY INC COM 37244E107 694 219573 SH SOLE 219573 GENTIVA HEALTH SERVICES INC COM 37247A102 147 12146 SH SOLE 12146 GOLDMAN SACHS GROUP INC COM 38141G104 243 2000 SH SOLE 2000 GOOGLE INC CL A 38259P508 382 635 SH SOLE 635 GREAT PANTHER SILVER LTD COM 39115V101 70 24928 SH SOLE 24928 GROUPE CGI INC CL A SUB VTG 39945C109 197 10385 SH SOLE 10385 HCC INS HLDGS INC COM 404132102 351 12324 SH SOLE 12324 HALLIBURTON CO COM 406216101 209 5114 SH SOLE 5114 HARTFORD FINL SVCS GROUP INC COM 416515104 626 31613 SH SOLE 31613 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 200 12256 SH SOLE 12256 HUNTSMAN CORP COM 447011107 558 50365 SH SOLE 50365 INSPERITY INC COM 45778Q107 208 7899 SH SOLE 7899 INTEL CORP COM 458140100 435 18643 SH SOLE 18643 INTERPUBLIC GROUP COS INC COM 460690100 110 10550 SH SOLE 10550 IRIDIUM COMMUNICATIONS INC COM 46269C102 158 20185 SH SOLE 20185 ISHARES SILVER TRUST ISHARES 46428Q109 1467 49518 SH SOLE 49518 ISHARES GOLD TRUST ISHARES 464285105 2105 136030 SH SOLE 136030 ISHARES INC MSCI JAPAN 464286848 1880 185833 SH SOLE 185833 ISHARES INC MSCI ITALY 464286855 157 11406 SH SOLE 11406 ISHARES TR BARCLYS TIPS B 464287176 1233 10725 SH SOLE 10725 ISHARES TR BARCLY USAGG B 464287226 2683 24541 SH SOLE 24541 ISHARES TR MSCI EMERG MKT 464287234 692 16233 SH SOLE 16233 ISHARES TR IBOXX INV CPBD 464287242 10586 97040 SH SOLE 97040 ISHARES TR S&P500 GRW 464287309 503 8186 SH SOLE 8186 ISHARES TR S&P LTN AM 40 464287390 340 7334 SH SOLE 7334 ISHARES TR S&P 500 VALUE 464287408 417 7445 SH SOLE 7445 ISHARES TR BARCLYS 20+ YR 464287432 2870 27600 SH SOLE 27600 ISHARES TR BARCLYS 7-10 Y 464287440 529 5219 SH SOLE 5219 ISHARES TR BARCLYS 1-3 YR 464287457 2187 25989 SH SOLE 25989 ISHARES TR RUSSELL MCP GR 464287481 243 4830 SH SOLE 4830 ISHARES TR S&P NA TECH FD 464287549 284 4122 SH SOLE 4122 ISHARES TR COHEN&ST RLTY 464287564 484 7329 SH SOLE 7329 ISHARES TR RUSSELL1000VAL 464287598 557 9120 SH SOLE 9120 ISHARES TR S&P MC 400 GRW 464287606 213 2399 SH SOLE 2399 ISHARES TR RUSSELL1000GRW 464287614 358 6356 SH SOLE 6356 ISHARES TR RUSSELL 1000 464287622 322 4372 SH SOLE 4372 ISHARES TR RUSL 2000 VALU 464287630 725 10926 SH SOLE 10926 ISHARES TR RUSL 2000 GROW 464287648 1562 17862 SH SOLE 17862 ISHARES TR RUSSELL 2000 464287655 333 4173 SH SOLE 4173 ISHARES TR S&P MIDCP VALU 464287705 334 4684 SH SOLE 4684 ISHARES TR DJ US TECH SEC 464287721 236 3589 SH SOLE 3589 ISHARES TR DJ US HEALTHCR 464287762 349 4627 SH SOLE 4627 ISHARES TR S&P SMLCP VALU 464287879 297 4620 SH SOLE 4620 ISHARES TR S&P SMLCP GROW 464287887 291 4474 SH SOLE 4474 ISHARES TR JPMORGAN USD 464288281 1354 12646 SH SOLE 12646 ISHARES TR S&P NTL AMTFRE 464288414 1762 16908 SH SOLE 16908 ISHARES TR S&P DEV EX-US 464288422 1405 45597 SH SOLE 45597 ISHARES TR EPRA/NAR DEV R 464288489 849 29864 SH SOLE 29864 ISHARES TR HIGH YLD CORP 464288513 3889 44062 SH SOLE 44062 ISHARES TR BARCLYS MBS BD 464288588 2549 23651 SH SOLE 23651 ISHARES TR BARCLYS CR BD 464288620 579 5334 SH SOLE 5334 ISHARES TR BARCLYS INTER 464288638 902 8592 SH SOLE 8592 ISHARES TR BARCLYS 1-3YR 464288646 573 5477 SH SOLE 5477 ISHARES TR US PFD STK IDX 464288687 996 26688 SH SOLE 26688 ISHARES TR S&P GLB MTRLS 464288695 289 4617 SH SOLE 4617 JOHNSON & JOHNSON COM 478160104 415 6595 SH SOLE 6595 LAS VEGAS SANDS CORP COM 517834107 238 5053 SH SOLE 5053 LIFE TECHNOLOGIES CORP COM 53217V109 470 9918 SH SOLE 9918 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 2194 40998 SH SOLE 40998 MARKET VECTORS ETF TR MV STEEL INDEX 57060U308 364 6280 SH SOLE 6280 MARKET VECTORS ETF TR EM LC CURR DBT 57060U522 2200 83158 SH SOLE 83158 MCDONALDS CORP COM 580135101 215 2463 SH SOLE 2463 MEDTRONIC INC COM 585055106 213 5628 SH SOLE 5628 MICROSOFT CORP COM 594918104 390 15579 SH SOLE 15579 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 148 29876 SH SOLE 29876 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 36 10902 SH SOLE 10902 MYRIAD GENETICS INC COM 62855J104 261 11877 SH SOLE 11877 NEXTERA ENERGY INC COM 65339F101 215 3867 SH SOLE 3867 NIKE INC CL B 654106103 244 2575 SH SOLE 2575 OCULUS INNOVATIVE SCIENCES I COM 67575P108 23 18002 SH SOLE 18002 ORACLE CORP COM 68389X105 351 12428 SH SOLE 12428 ORBITAL SCIENCES CORP COM 685564106 240 15333 SH SOLE 15333 OVERLAND STORAGE INC COM NEW 690310206 29 12542 SH SOLE 12542 PENSON WORLDWIDE INC COM 709600100 364 184164 SH SOLE 184164 PEPSICO INC COM 713448108 218 3406 SH SOLE 3406 PFIZER INC COM 717081103 218 11086 SH SOLE 11086 PHILIP MORRIS INTL INC COM 718172109 204 3089 SH SOLE 3089 PILGRIMS PRIDE CORP NEW COM 72147K108 404 77292 SH SOLE 77292 PIMCO ETF TR 1-5 US TIP IDX 72201R205 462 8576 SH SOLE 8576 PITNEY BOWES INC COM 724479100 691 34212 SH SOLE 34212 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 2496 40862 SH SOLE 40862 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 1228 72447 SH SOLE 72447 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 372 21306 SH SOLE 21306 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 338 13514 SH SOLE 13514 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAF 73936T557 1324 72846 SH SOLE 72846 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 2647 98452 SH SOLE 98452 PRESSTEK INC COM 741113104 20 12921 SH SOLE 12921 RIGEL PHARMACEUTICALS INC COM NEW 766559603 109 13388 SH SOLE 13388 ROSS STORES INC COM 778296103 218 6111 SH SOLE 6111 RUBICON TECHNOLOGY INC COM 78112T107 207 13360 SH SOLE 13360 SPDR S&P 500 ETF TR TR UNIT 78462F103 1491 11437 SH SOLE 11437 SPDR GOLD TRUST GOLD SHS 78463V107 632 3887 SH SOLE 3887 SPDR INDEX SHS FDS MACQU GLBIN100 78463X855 488 11919 SH SOLE 11919 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 471 13197 SH SOLE 13197 SPDR SERIES TRUST S&P 600 SMCP V 78464A300 260 4281 SH SOLE 4281 SPDR SERIES TRUST S&P 500 GROWTH 78464A409 475 9045 SH SOLE 9045 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 5068 129407 SH SOLE 129407 SPDR SERIES TRUST NUVN BR SHT MU 78464A425 1335 55661 SH SOLE 55661 SPDR SERIES TRUST NUVN BRCLY MUN 78464A458 1757 77582 SH SOLE 77582 SPDR SERIES TRUST DB INT GVT ETF 78464A490 248 4150 SH SOLE 4150 SPDR SERIES TRUST S&P 500 VALUE 78464A508 339 5557 SH SOLE 5557 SPDR SERIES TRUST BRCLYS INTL ET 78464A516 6542 111306 SH SOLE 111306 SPDR SERIES TRUST DJ REIT ETF 78464A607 300 4938 SH SOLE 4938 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 10667 186050 SH SOLE 186050 SPDR SERIES TRUST BRCLYS 1-3MT E 78464A680 4637 101167 SH SOLE 101167 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 323 6554 SH SOLE 6554 SPDR SERIES TRUST S&P METALS MNG 78464A755 429 7762 SH SOLE 7762 SPDR SERIES TRUST S&P 400 MDCP G 78464A821 267 4094 SH SOLE 4094 SPDR SERIES TRUST S&P 400 MDCP V 78464A839 202 4138 SH SOLE 4138 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 550 4991 SH SOLE 4991 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 10503 62608 SH SOLE 62608 SWS GROUP INC COM 78503N107 284 42469 SH SOLE 42469 SAVIENT PHARMACEUTICALS INC COM 80517Q100 163 21749 SH SOLE 21749 SCHLUMBERGER LTD COM 806857108 253 3372 SH SOLE 3372 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 424 12315 SH SOLE 12315 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 324 9129 SH SOLE 9129 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 349 4988 SH SOLE 4988 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 151 10697 SH SOLE 10697 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 602 17480 SH SOLE 17480 SKECHERS U S A INC CL A 830566105 190 12960 SH SOLE 12960 SKILLED HEALTHCARE GROUP INC CL A 83066R107 150 30356 SH SOLE 30356 SOLITARIO EXPL & RTY CORP COM 8342EP107 81 38876 SH SOLE 38876 SOUTHERN CO COM 842587107 228 5822 SH SOLE 5822 STARBUCKS CORP COM 855244109 213 5052 SH SOLE 5052 STERICYCLE INC COM 858912108 248 3217 SH SOLE 3217 SWEDISH EXPT CR CORP ROG AGRI ETN22 870297603 121 12666 SH SOLE 12666 SWEDISH EXPT CR CORP ROG TTL ETN 22 870297801 778 84596 SH SOLE 84596 SYMMETRICOM INC COM 871543104 171 31052 SH SOLE 31052 SYNAPTICS INC COM 87157D109 543 18364 SH SOLE 18364 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 140 11137 SH SOLE 11137 TASER INTL INC COM 87651B104 225 50364 SH SOLE 50364 TELEFONICA S A SPONSORED ADR 879382208 193 10099 SH SOLE 10099 TETRA TECHNOLOGIES INC DEL COM 88162F105 125 11763 SH SOLE 11763 TITANIUM METALS CORP COM NEW 888339207 526 35232 SH SOLE 35232 TOTAL S A SPONSORED ADR 89151E109 259 4768 SH SOLE 4768 TYLER TECHNOLOGIES INC COM 902252105 290 10639 SH SOLE 10639 UNION PAC CORP COM 907818108 235 2345 SH SOLE 2345 UNITED CONTL HLDGS INC COM 910047109 614 32546 SH SOLE 32546 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 50 19569 SH SOLE 19569 URANIUM ENERGY CORP COM 916896103 212 62197 SH SOLE 62197 VALERO ENERGY CORP NEW COM 91913Y100 592 27190 SH SOLE 27190 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 438 5075 SH SOLE 5075 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 7150 85811 SH SOLE 85811 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 255 3151 SH SOLE 3151 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 908 10893 SH SOLE 10893 VANGUARD WORLD FDS ENERGY ETF 92204A306 394 4154 SH SOLE 4154 VANGUARD WORLD FDS MATERIALS ETF 92204A801 1060 14282 SH SOLE 14282 VANGUARD WORLD FDS UTILITIES ETF 92204A876 466 6813 SH SOLE 6813 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT E 922042858 1241 27990 SH SOLE 27990 VANGUARD INTL EQUITY INDEX F MSCI PAC ETF 922042866 783 15230 SH SOLE 15230 VANGUARD INTL EQUITY INDEX F MSCI EUROPE ET 922042874 571 12172 SH SOLE 12172 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 2474 29516 SH SOLE 29516 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 929 19486 SH SOLE 19486 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 706 12885 SH SOLE 12885 VANGUARD INDEX FDS REIT ETF 922908553 2143 37223 SH SOLE 37223 VANGUARD INDEX FDS SML CP GRW ETF 922908595 764 11327 SH SOLE 11327 VANGUARD INDEX FDS SM CP VAL ETF 922908611 663 11236 SH SOLE 11236 VANGUARD INDEX FDS GROWTH ETF 922908736 802 13969 SH SOLE 13969 VANGUARD INDEX FDS VALUE ETF 922908744 868 17154 SH SOLE 17154 VERIZON COMMUNICATIONS INC COM 92343V104 200 5488 SH SOLE 5488 VISHAY INTERTECHNOLOGY INC COM 928298108 136 12016 SH SOLE 12016 WAL MART STORES INC COM 931142103 297 6585 SH SOLE 6585 WASTE MGMT INC DEL COM 94106L109 299 8926 SH SOLE 8926 WISDOMTREE TRUST EMG MKTS SMCAP 97717W281 203 4421 SH SOLE 4421 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 203 3614 SH SOLE 3614 WISDOMTREE TRUST GLB EX US RL E 97717W331 650 24672 SH SOLE 24672 WISDOMTREE TRUST SMLCAP EARN FD 97717W562 270 6076 SH SOLE 6076 WISDOMTREE TRUST MDCP EARN FUND 97717W570 208 4405 SH SOLE 4405 WISDOMTREE TRUST SMALLCAP DIVID 97717W604 216 5111 SH SOLE 5111 WISDOMTREE TRUST ASIA PAC EXJP 97717W828 204 3326 SH SOLE 3326 XEROX CORP COM 984121103 643 73240 SH SOLE 73240