The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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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 | MANAGER | SOLE | SHARED | NONE |
ABERCROMBIE & FITCH CO | CL A | 002896207 | 0 | 6 | SH | SOLE | 0 | 0 | 6 | ||
ACADIA PHARMACEUTICALS INC | COM | 004225108 | 27 | 1,500 | SH | SOLE | 0 | 0 | 1,500 | ||
AOL INC | COM | 00184X105 | 0 | 4 | SH | SOLE | 0 | 0 | 4 | ||
APPLE INC | COM | 037833100 | 30 | 75 | SH | SOLE | 0 | 0 | 75 | ||
AT&T INC | COM | 00206R102 | 136 | 3,854 | SH | SOLE | 0 | 0 | 3,854 | ||
BANK OF AMERICA CORPORATION | COM | 060505104 | 13 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 72 | 4,950 | SH | SOLE | 0 | 0 | 4,950 | ||
CBL & ASSOC PPTYS INC | COM | 124830100 | 23 | 1,053 | SH | SOLE | 0 | 0 | 1,053 | ||
CHEVRON CORP NEW | COM | 166764100 | 118 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
COCA COLA CO | COM | 191216100 | 20 | 500 | SH | SOLE | 0 | 0 | 500 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 200 | 1,810 | SH | SOLE | 0 | 0 | 1,810 | ||
CUTWATER SELECT INCOME FD | COM | 232229104 | 155 | 8,442 | SH | SOLE | 0 | 0 | 8,442 | ||
DEERE & CO | COM | 244199105 | 16 | 200 | SH | SOLE | 0 | 0 | 200 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 5 | 75 | SH | SOLE | 0 | 0 | 75 | ||
EATON VANCE CA MUNI INCOME T | SH BEN INT | 27826F101 | 14 | 1,107 | SH | SOLE | 0 | 0 | 1,107 | ||
EATON VANCE CALIF MUN BD FD | COM | 27828C106 | 12 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 10 | 648 | SH | SOLE | 0 | 0 | 648 | ||
EXXON MOBIL CORP | COM | 30231G102 | 115 | 1,276 | SH | SOLE | 0 | 0 | 1,276 | ||
FACEBOOK INC | CL A | 30303M102 | 30 | 1,225 | SH | SOLE | 0 | 0 | 1,225 | ||
FORD MTR CO DEL | COM PAR $0.01 | 345370860 | 77 | 5,000 | SH | SOLE | 0 | 0 | 5,000 | ||
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 1 | 288 | SH | SOLE | 0 | 0 | 288 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 88 | 3,786 | SH | SOLE | 0 | 0 | 3,786 | ||
GENERAL MTRS CO | *W EXP 07/10/201 | 37045V118 | 0 | 8 | SH | SOLE | 0 | 0 | 8 | ||
GENERAL MTRS CO | *W EXP 07/10/201 | 37045V126 | 0 | 8 | SH | SOLE | 0 | 0 | 8 | ||
GENERAL MTRS CO | COM | 37045V100 | 0 | 9 | SH | SOLE | 0 | 0 | 9 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 61 | 400 | SH | SOLE | 0 | 0 | 400 | ||
GOOGLE INC | CL A | 38259P508 | 35 | 40 | SH | SOLE | 0 | 0 | 40 | ||
HOME DEPOT INC | COM | 437076102 | 325 | 4,200 | SH | SOLE | 0 | 0 | 4,200 | ||
HUMANA INC | COM | 444859102 | 34 | 400 | SH | SOLE | 0 | 0 | 400 | ||
INTEL CORP | COM | 458140100 | 5 | 200 | SH | SOLE | 0 | 0 | 200 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 7 | 35 | SH | SOLE | 0 | 0 | 35 | ||
INVESCO CALIF VALUE MUN INC | COM | 46132H106 | 13 | 1,083 | SH | SOLE | 0 | 0 | 1,083 | ||
ISHARES INC | MSCI AUSTRALIA | 464286103 | 35 | 1,530 | SH | SOLE | 0 | 0 | 1,530 | ||
ISHARES INC | MSCI BRAZIL CAPP | 464286400 | 21 | 489 | SH | SOLE | 0 | 0 | 489 | ||
ISHARES INC | MSCI FRANCE | 464286707 | 20 | 858 | SH | SOLE | 0 | 0 | 858 | ||
ISHARES INC | MSCI GERMAN | 464286806 | 37 | 1,503 | SH | SOLE | 0 | 0 | 1,503 | ||
ISHARES INC | MSCI HONG KONG | 464286871 | 26 | 1,408 | SH | SOLE | 0 | 0 | 1,408 | ||
ISHARES INC | MSCI JAPAN | 464286848 | 5,185 | 462,171 | SH | SOLE | 0 | 0 | 459,566 | ||
ISHARES INC | MSCI SINGAPORE | 464286673 | 12 | 912 | SH | SOLE | 0 | 0 | 912 | ||
ISHARES INC | MSCI SWITZ CAPP | 464286749 | 22 | 756 | SH | SOLE | 0 | 0 | 756 | ||
ISHARES INC | MSCI UTD KINGD | 464286699 | 59 | 3,324 | SH | SOLE | 0 | 0 | 3,324 | ||
ISHARES TR | BARCLYS 1-3 YR | 464287457 | 887 | 10,530 | SH | SOLE | 0 | 0 | 10,530 | ||
ISHARES TR | BARCLYS 1-3YR CR | 464288646 | 27,350 | 260,406 | SH | SOLE | 0 | 0 | 259,474 | ||
ISHARES TR | COHEN&ST RLTY | 464287564 | 15 | 188 | SH | SOLE | 0 | 0 | 188 | ||
ISHARES TR | CORE S&P MCP ETF | 464287507 | 30,546 | 264,475 | SH | SOLE | 0 | 0 | 262,986 | ||
ISHARES TR | CORE S&P SCP ETF | 464287804 | 7,942 | 87,945 | SH | SOLE | 0 | 0 | 86,599 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 19 | 116 | SH | SOLE | 0 | 0 | 116 | ||
ISHARES TR | CORE TOTUSBD ETF | 464287226 | 63 | 587 | SH | SOLE | 0 | 0 | 587 | ||
ISHARES TR | DJ SEL DIV INX | 464287168 | 54 | 850 | SH | SOLE | 0 | 0 | 850 | ||
ISHARES TR | DJ US INDEX FD | 464287846 | 2 | 22 | SH | SOLE | 0 | 0 | 22 | ||
ISHARES TR | EPRA/NAR DEV R/E | 464288489 | 99 | 3,152 | SH | SOLE | 0 | 0 | 3,152 | ||
ISHARES TR | FLTG RATE NT | 46429B655 | 39,146 | 773,636 | SH | SOLE | 0 | 0 | 770,313 | ||
ISHARES TR | HIGH YLD CORP | 464288513 | 15,719 | 172,225 | SH | SOLE | 0 | 0 | 172,225 | ||
ISHARES TR | IBOXX INV CPBD | 464287242 | 1 | 11 | SH | SOLE | 0 | 0 | 11 | ||
ISHARES TR | MSCI EAFE INDEX | 464287465 | 5,768 | 100,665 | SH | SOLE | 0 | 0 | 100,665 | ||
ISHARES TR | MSCI EMERG MKT | 464287234 | 86 | 2,221 | SH | SOLE | 0 | 0 | 2,221 | ||
ISHARES TR | RUSL 3000 VALU | 464287663 | 5 | 50 | SH | SOLE | 0 | 0 | 50 | ||
ISHARES TR | RUSSELL 2000 | 464287655 | 14,928 | 153,901 | SH | SOLE | 0 | 0 | 153,901 | ||
ISHARES TR | US PFD STK IDX | 464288687 | 11,945 | 304,098 | SH | SOLE | 0 | 0 | 302,746 | ||
JDS UNIPHASE CORP | COM PAR $0.001 | 46612J507 | 0 | 1 | SH | SOLE | 0 | 0 | 1 | ||
JOHNSON & JOHNSON | COM | 478160104 | 34 | 400 | SH | SOLE | 0 | 0 | 400 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 16 | 300 | SH | SOLE | 0 | 0 | 300 | ||
LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 20 | 600 | SH | SOLE | 0 | 0 | 600 | ||
MARKET VECTORS ETF TR | COAL ETF | 57060U837 | 7,611 | 431,000 | SH | SOLE | 0 | 0 | 428,737 | ||
MCDONALDS CORP | COM | 580135101 | 1,079 | 10,903 | SH | SOLE | 0 | 0 | 10,903 | ||
MERCK & CO INC NEW | COM | 58933Y105 | 13 | 285 | SH | SOLE | 0 | 0 | 285 | ||
MICROSOFT CORP | COM | 594918104 | 86 | 2,500 | SH | SOLE | 0 | 0 | 2,500 | ||
NETAPP INC | COM | 64110D104 | 850 | 22,500 | SH | SOLE | 0 | 0 | 22,500 | ||
NOKIA CORP | SPONSORED ADR | 654902204 | 4 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
NUVEEN CA DIV ADV MUNI FD 3 | COM SH BEN INT | 67070Y109 | 12 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
NUVEEN CA DIVIDEND ADV MUN F | COM | 67066Y105 | 14 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
NUVEEN CA SELECT QUALITY MUN | COM | 670975101 | 15 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
NUVEEN CA SELECT TAX FREE PR | SH BEN INT | 67063R103 | 29 | 2,000 | SH | SOLE | 0 | 0 | 2,000 | ||
NUVEEN CAL AMT-FREE MUN INC | COM | 670651108 | 27 | 2,023 | SH | SOLE | 0 | 0 | 2,023 | ||
NUVEEN CALIF MUN VALUE FD | COM | 67062C107 | 9 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
NUVEEN CALIF MUNICPAL VALU F | COM | 6706EB106 | 31 | 2,000 | SH | SOLE | 0 | 0 | 2,000 | ||
PAYCHEX INC | COM | 704326107 | 15 | 400 | SH | SOLE | 0 | 0 | 400 | ||
PEPSICO INC | COM | 713448108 | 5 | 58 | SH | SOLE | 0 | 0 | 58 | ||
PFIZER INC | COM | 717081103 | 60 | 2,150 | SH | SOLE | 0 | 0 | 2,150 | ||
POWERSHARES DB CMDTY IDX TRA | UNIT BEN INT | 73935S105 | 91 | 3,636 | SH | SOLE | 0 | 0 | 3,636 | ||
POWERSHARES ETF TRUST | GBL LSTD PVT EQT | 73935X195 | 5,086 | 466,172 | SH | SOLE | 0 | 0 | 464,038 | ||
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 7,402 | 299,100 | SH | SOLE | 0 | 0 | 297,985 | ||
POWERSHARES GLOBAL ETF TRUST | WK VRDO TX FR | 73936T433 | 125 | 5,000 | SH | SOLE | 0 | 0 | 5,000 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 92 | 1,200 | SH | SOLE | 0 | 0 | 1,200 | ||
QUALCOMM INC | COM | 747525103 | 45 | 730 | SH | SOLE | 0 | 0 | 730 | ||
RETAIL PPTYS AMER INC | CL A | 76131V202 | 2 | 130 | SH | SOLE | 0 | 0 | 130 | ||
SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 | 1,391 | 59,554 | SH | SOLE | 0 | 0 | 59,554 | ||
SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 | 133 | 4,891 | SH | SOLE | 0 | 0 | 4,891 | ||
SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 501 | 13,109 | SH | SOLE | 0 | 0 | 13,109 | ||
SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 390 | 12,191 | SH | SOLE | 0 | 0 | 12,191 | ||
SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 300 | 6,823 | SH | SOLE | 0 | 0 | 6,823 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 21 | 1,100 | SH | SOLE | 0 | 0 | 1,100 | ||
SENOMYX INC | COM | 81724Q107 | 44 | 20,000 | SH | SOLE | 0 | 0 | 20,000 | ||
SPDR INDEX SHS FDS | EURO STOXX 50 | 78463X202 | 109 | 3,286 | SH | SOLE | 0 | 0 | 3,286 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 24,586 | 153,259 | SH | SOLE | 0 | 0 | 153,259 | ||
SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | 1,394 | 35,307 | SH | SOLE | 0 | 0 | 35,307 | ||
SPDR SERIES TRUST | BRCLYS 1-3MT ETF | 78464A680 | 35 | 763 | SH | SOLE | 0 | 0 | 763 | ||
SPDR SERIES TRUST | NUVN CALI MUNI | 78464A441 | 67 | 3,000 | SH | SOLE | 0 | 0 | 3,000 | ||
SPDR SERIES TRUST | WELLS FG PFD ETF | 78464A292 | 994 | 22,858 | SH | SOLE | 0 | 0 | 22,858 | ||
STARBUCKS CORP | COM | 855244109 | 1 | 11 | SH | SOLE | 0 | 0 | 11 | ||
TEARLAB CORP | COM | 878193101 | 10,583 | 996,559 | SH | SOLE | 0 | 0 | 996,559 | ||
TERNIUM SA | SPON ADR | 880890108 | 0 | 4 | SH | SOLE | 0 | 0 | 4 | ||
TIME WARNER CABLE INC | COM | 88732J207 | 1 | 12 | SH | SOLE | 0 | 0 | 12 | ||
UNITED STS COMMODITY INDEX F | COMM IDX FND | 911717106 | 471 | 8,811 | SH | SOLE | 0 | 0 | 8,811 | ||
VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 577 | 7,136 | SH | SOLE | 0 | 0 | 7,136 | ||
VANGUARD INDEX FDS | LARGE CAP ETF | 922908637 | 5,888 | 80,205 | SH | SOLE | 0 | 0 | 80,205 | ||
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 4,443 | 46,695 | SH | SOLE | 0 | 0 | 46,695 | ||
VANGUARD INDEX FDS | S&P 500 ETF SH | 922908413 | 16,542 | 225,559 | SH | SOLE | 0 | 0 | 222,400 | ||
VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 1,795 | 19,163 | SH | SOLE | 0 | 0 | 19,163 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 815 | 9,863 | SH | SOLE | 0 | 0 | 9,863 | ||
VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 1,562 | 35,329 | SH | SOLE | 0 | 0 | 35,329 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 8,802 | 226,919 | SH | SOLE | 0 | 0 | 225,611 | ||
VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 922042742 | 12 | 227 | SH | SOLE | 0 | 0 | 227 | ||
VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 921908844 | 1,941 | 29,332 | SH | SOLE | 0 | 0 | 29,250 | ||
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 7,060 | 198,346 | SH | SOLE | 0 | 0 | 196,531 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 60 | 1,200 | SH | SOLE | 0 | 0 | 1,200 | ||
ZIX CORP | COM | 98974P100 | 110 | 26,000 | SH | SOLE | 0 | 0 | 26,000 |