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 | 41 | 1,500 | SH | SOLE | 0 | 0 | 1,500 | ||
ALCO STORES INC | COM | 001600105 | 66 | 4,740 | SH | SOLE | 0 | 0 | 4,740 | ||
ALLIED NEVADA GOLD CORP | COM | 019344100 | 8 | 1,800 | SH | SOLE | 0 | 0 | 1,800 | ||
ANGLOGOLD ASHANTI LTD | SPONSORED ADR | 035128206 | 7 | 500 | SH | SOLE | 0 | 0 | 500 | ||
AOL INC | COM | 00184X105 | 0 | 4 | SH | SOLE | 0 | 0 | 4 | ||
APPLE INC | COM | 037833100 | 36 | 75 | SH | SOLE | 0 | 0 | 75 | ||
AT&T INC | COM | 00206R102 | 129 | 3,809 | SH | SOLE | 0 | 0 | 3,809 | ||
BANK OF AMERICA CORPORATION | COM | 060505104 | 14 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 67 | 4,950 | SH | SOLE | 0 | 0 | 4,950 | ||
CARNIVAL CORP | PAIRED CTF | 143658300 | 3 | 100 | SH | SOLE | 0 | 0 | 100 | ||
CBL & ASSOC PPTYS INC | COM | 124830100 | 20 | 1,053 | SH | SOLE | 0 | 0 | 1,053 | ||
CHEVRON CORP NEW | COM | 166764100 | 122 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
CITIGROUP INC | COM NEW | 172967424 | 10 | 200 | SH | SOLE | 0 | 0 | 200 | ||
COCA COLA CO | COM | 191216100 | 19 | 500 | SH | SOLE | 0 | 0 | 500 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 208 | 1,810 | SH | SOLE | 0 | 0 | 1,810 | ||
CPI AEROSTRUCTURES INC | COM NEW | 125919308 | 117 | 10,100 | SH | SOLE | 0 | 0 | 10,100 | ||
CUTWATER SELECT INCOME FD | COM | 232229104 | 150 | 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 | 13 | 1,107 | SH | SOLE | 0 | 0 | 1,107 | ||
EATON VANCE CALIF MUN BD FD | COM | 27828C106 | 11 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 10 | 648 | SH | SOLE | 0 | 0 | 648 | ||
EXETER RES CORP | COM | 301835104 | 2 | 2,800 | SH | SOLE | 0 | 0 | 2,800 | ||
EXXON MOBIL CORP | COM | 30231G102 | 110 | 1,276 | SH | SOLE | 0 | 0 | 1,276 | ||
FACEBOOK INC | CL A | 30303M102 | 55 | 1,100 | SH | SOLE | 0 | 0 | 1,100 | ||
FORD MTR CO DEL | COM PAR $0.01 | 345370860 | 84 | 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 | 90 | 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 | 63 | 400 | SH | SOLE | 0 | 0 | 400 | ||
GOOGLE INC | CL A | 38259P508 | 35 | 40 | SH | SOLE | 0 | 0 | 40 | ||
HOME DEPOT INC | COM | 437076102 | 319 | 4,200 | SH | SOLE | 0 | 0 | 4,200 | ||
HUMANA INC | COM | 444859102 | 37 | 400 | SH | SOLE | 0 | 0 | 400 | ||
INTEL CORP | COM | 458140100 | 5 | 200 | SH | SOLE | 0 | 0 | 200 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 6 | 35 | SH | SOLE | 0 | 0 | 35 | ||
INVESCO CALIF VALUE MUN INC | COM | 46132H106 | 12 | 1,083 | SH | SOLE | 0 | 0 | 1,083 | ||
ISHARES | 1-3 YR CR BD ETF | 464288646 | 25,453 | 241,772 | SH | SOLE | 0 | 0 | 241,772 | ||
ISHARES | 1-3 YR TR BD ETF | 464287457 | 889 | 10,530 | SH | SOLE | 0 | 0 | 10,530 | ||
ISHARES | 7-10 Y TR BD ETF | 464287440 | 11 | 110 | SH | SOLE | 0 | 0 | 110 | ||
ISHARES | COHEN&STEER REIT | 464287564 | 14 | 188 | SH | SOLE | 0 | 0 | 188 | ||
ISHARES | CORE S&P MCP ETF | 464287507 | 36,524 | 294,209 | SH | SOLE | 0 | 0 | 294,209 | ||
ISHARES | CORE S&P SCP ETF | 464287804 | 11,250 | 112,727 | SH | SOLE | 0 | 0 | 112,727 | ||
ISHARES | CORE S&P500 ETF | 464287200 | 20 | 116 | SH | SOLE | 0 | 0 | 116 | ||
ISHARES | CORE TOTUSBD ETF | 464287226 | 63 | 587 | SH | SOLE | 0 | 0 | 587 | ||
ISHARES | CREDIT BD ETF | 464288620 | 11 | 105 | SH | SOLE | 0 | 0 | 105 | ||
ISHARES | DOW JONES US ETF | 464287846 | 2 | 22 | SH | SOLE | 0 | 0 | 22 | ||
ISHARES | FLTG RATE BD ETF | 46429B655 | 43,325 | 854,871 | SH | SOLE | 0 | 0 | 854,871 | ||
ISHARES | IBOXX HI YD ETF | 464288513 | 16,230 | 177,226 | SH | SOLE | 0 | 0 | 177,226 | ||
ISHARES | IBOXX INV CP ETF | 464287242 | 1 | 11 | SH | SOLE | 0 | 0 | 11 | ||
ISHARES | INTL DEV RE ETF | 464288489 | 106 | 3,152 | SH | SOLE | 0 | 0 | 3,152 | ||
ISHARES | MBS ETF | 464288588 | 25 | 237 | SH | SOLE | 0 | 0 | 237 | ||
ISHARES | MSCI AUST ETF | 464286103 | 44 | 1,752 | SH | SOLE | 0 | 0 | 1,752 | ||
ISHARES | MSCI BRZ CAP ETF | 464286400 | 29 | 610 | SH | SOLE | 0 | 0 | 610 | ||
ISHARES | MSCI EAFE ETF | 464287465 | 6,420 | 100,618 | SH | SOLE | 0 | 0 | 100,618 | ||
ISHARES | MSCI EMG MKT ETF | 464287234 | 124 | 3,038 | SH | SOLE | 0 | 0 | 3,038 | ||
ISHARES | MSCI FRANCE ETF | 464286707 | 23 | 858 | SH | SOLE | 0 | 0 | 858 | ||
ISHARES | MSCI GERMANY ETF | 464286806 | 42 | 1,503 | SH | SOLE | 0 | 0 | 1,503 | ||
ISHARES | MSCI HONG KG ETF | 464286871 | 28 | 1,408 | SH | SOLE | 0 | 0 | 1,408 | ||
ISHARES | MSCI JAPAN ETF | 464286848 | 6,653 | 558,135 | SH | SOLE | 0 | 0 | 558,135 | ||
ISHARES | MSCI SINGAP ETF | 464286673 | 12 | 912 | SH | SOLE | 0 | 0 | 912 | ||
ISHARES | MSCI SZ CAP ETF | 464286749 | 24 | 756 | SH | SOLE | 0 | 0 | 756 | ||
ISHARES | MSCI UK ETF | 464286699 | 65 | 3,324 | SH | SOLE | 0 | 0 | 3,324 | ||
ISHARES | RUS 3000 VAL ETF | 464287663 | 6 | 50 | SH | SOLE | 0 | 0 | 50 | ||
ISHARES | RUSSELL 2000 ETF | 464287655 | 15,877 | 148,926 | SH | SOLE | 0 | 0 | 148,926 | ||
ISHARES | SELECT DIVID ETF | 464287168 | 56 | 850 | SH | SOLE | 0 | 0 | 850 | ||
ISHARES | U.S. PFD STK ETF | 464288687 | 13,216 | 347,792 | SH | SOLE | 0 | 0 | 347,792 | ||
JDS UNIPHASE CORP | COM PAR $0.001 | 46612J507 | 0 | 1 | SH | SOLE | 0 | 0 | 1 | ||
JOHNSON & JOHNSON | COM | 478160104 | 35 | 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 | 16 | 600 | SH | SOLE | 0 | 0 | 600 | ||
MARKET VECTORS ETF TR | COAL ETF | 57060U837 | 10,215 | 537,645 | SH | SOLE | 0 | 0 | 537,645 | ||
MCDONALDS CORP | COM | 580135101 | 1,049 | 10,903 | SH | SOLE | 0 | 0 | 10,903 | ||
MERCK & CO INC NEW | COM | 58933Y105 | 14 | 285 | SH | SOLE | 0 | 0 | 285 | ||
MICROSOFT CORP | COM | 594918104 | 67 | 2,000 | SH | SOLE | 0 | 0 | 2,000 | ||
MILLER INDS INC TENN | COM NEW | 600551204 | 51 | 3,000 | SH | SOLE | 0 | 0 | 3,000 | ||
MOTORCAR PTS AMER INC | COM | 620071100 | 38 | 3,000 | SH | SOLE | 0 | 0 | 3,000 | ||
NETAPP INC | COM | 64110D104 | 916 | 21,500 | SH | SOLE | 0 | 0 | 21,500 | ||
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 | 13 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
NUVEEN CA SELECT QUALITY MUN | COM | 670975101 | 14 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
NUVEEN CA SELECT TAX FREE PR | SH BEN INT | 67063R103 | 68 | 5,000 | SH | SOLE | 0 | 0 | 5,000 | ||
NUVEEN CAL AMT-FREE MUN INC | COM | 670651108 | 25 | 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 | 59 | 4,000 | SH | SOLE | 0 | 0 | 4,000 | ||
PAYCHEX INC | COM | 704326107 | 16 | 400 | SH | SOLE | 0 | 0 | 400 | ||
PEPSICO INC | COM | 713448108 | 5 | 58 | SH | SOLE | 0 | 0 | 58 | ||
PFIZER INC | COM | 717081103 | 62 | 2,150 | SH | SOLE | 0 | 0 | 2,150 | ||
PIMCO ETF TR | 0-5 HIGH YIELD | 72201R783 | 3 | 26 | SH | SOLE | 0 | 0 | 26 | ||
POWERSHARES DB CMDTY IDX TRA | UNIT BEN INT | 73935S105 | 13 | 510 | SH | SOLE | 0 | 0 | 510 | ||
POWERSHARES ETF TRUST | GBL LSTD PVT EQT | 73935X195 | 5,712 | 497,534 | SH | SOLE | 0 | 0 | 497,534 | ||
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 8,521 | 345,288 | SH | SOLE | 0 | 0 | 345,288 | ||
POWERSHARES GLOBAL ETF TRUST | AGG PFD PORT | 73936T565 | 23 | 1,664 | SH | SOLE | 0 | 0 | 1,664 | ||
POWERSHARES GLOBAL ETF TRUST | I-30 LAD TREAS | 73936T524 | 0 | 1 | SH | SOLE | 0 | 0 | 1 | ||
POWERSHARES GLOBAL ETF TRUST | WK VRDO TX FR | 73936T433 | 125 | 5,000 | SH | SOLE | 0 | 0 | 5,000 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 76 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
REALTY INCOME CORP | COM | 756109104 | 45 | 1,140 | SH | SOLE | 0 | 0 | 1,140 | ||
RETAIL PPTYS AMER INC | CL A | 76131V202 | 2 | 130 | SH | SOLE | 0 | 0 | 130 | ||
SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 | 2,346 | 95,422 | SH | SOLE | 0 | 0 | 95,422 | ||
SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 | 211 | 6,957 | SH | SOLE | 0 | 0 | 6,957 | ||
SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 | 0 | 2 | SH | SOLE | 0 | 0 | 2 | ||
SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 | 0 | 5 | SH | SOLE | 0 | 0 | 5 | ||
SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 527 | 13,109 | SH | SOLE | 0 | 0 | 13,109 | ||
SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 535 | 15,464 | SH | SOLE | 0 | 0 | 15,464 | ||
SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 429 | 8,907 | SH | SOLE | 0 | 0 | 8,907 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 22 | 1,100 | SH | SOLE | 0 | 0 | 1,100 | ||
SENOMYX INC | COM | 81724Q107 | 71 | 20,000 | SH | SOLE | 0 | 0 | 20,000 | ||
SPDR INDEX SHS FDS | DJ GLB RL ES ETF | 78463X749 | 0 | 1 | SH | SOLE | 0 | 0 | 1 | ||
SPDR INDEX SHS FDS | EURO STOXX 50 | 78463X202 | 120 | 3,132 | SH | SOLE | 0 | 0 | 3,132 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 25,891 | 154,107 | SH | SOLE | 0 | 0 | 154,107 | ||
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 62 | 272 | SH | SOLE | 0 | 0 | 272 | ||
SPDR SER TR | SHT TRM HGH YLD | 78468R408 | 1,610 | 52,718 | SH | SOLE | 0 | 0 | 52,718 | ||
SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | 1,457 | 36,567 | SH | SOLE | 0 | 0 | 36,567 | ||
SPDR SERIES TRUST | BRCLYS 1-3MT ETF | 78464A680 | 10 | 218 | SH | SOLE | 0 | 0 | 218 | ||
SPDR SERIES TRUST | NUVN CALI MUNI | 78464A441 | 68 | 3,000 | SH | SOLE | 0 | 0 | 3,000 | ||
SPDR SERIES TRUST | WELLS FG PFD ETF | 78464A292 | 1,039 | 25,436 | SH | SOLE | 0 | 0 | 25,436 | ||
STARBUCKS CORP | COM | 855244109 | 1 | 11 | SH | SOLE | 0 | 0 | 11 | ||
TERNIUM SA | SPON ADR | 880890108 | 0 | 9 | SH | SOLE | 0 | 0 | 9 | ||
TIME WARNER CABLE INC | COM | 88732J207 | 1 | 12 | SH | SOLE | 0 | 0 | 12 | ||
UNITED STS COMMODITY INDEX F | COMM IDX FND | 911717106 | 493 | 8,811 | SH | SOLE | 0 | 0 | 8,811 | ||
VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 670 | 8,285 | SH | SOLE | 0 | 0 | 8,285 | ||
VANGUARD INDEX FDS | LARGE CAP ETF | 922908637 | 5,907 | 76,376 | SH | SOLE | 0 | 0 | 76,376 | ||
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 4,529 | 44,195 | SH | SOLE | 0 | 0 | 44,195 | ||
VANGUARD INDEX FDS | REIT ETF | 922908553 | 4,909 | 74,224 | SH | SOLE | 0 | 0 | 74,224 | ||
VANGUARD INDEX FDS | S&P 500 ETF SH | 922908413 | 23,168 | 300,875 | SH | SOLE | 0 | 0 | 300,875 | ||
VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 1,886 | 18,402 | SH | SOLE | 0 | 0 | 18,402 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 987 | 11,262 | SH | SOLE | 0 | 0 | 11,262 | ||
VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 1,651 | 33,973 | SH | SOLE | 0 | 0 | 33,973 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 12,921 | 321,924 | SH | SOLE | 0 | 0 | 321,924 | ||
VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 922042742 | 13 | 227 | SH | SOLE | 0 | 0 | 227 | ||
VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 921908844 | 2,285 | 32,825 | SH | SOLE | 0 | 0 | 32,825 | ||
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 9,387 | 237,174 | SH | SOLE | 0 | 0 | 237,174 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 56 | 1,200 | SH | SOLE | 0 | 0 | 1,200 | ||
WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 44 | 911 | SH | SOLE | 0 | 0 | 911 | ||
ZIX CORP | COM | 98974P100 | 78 | 16,000 | SH | SOLE | 0 | 0 | 16,000 |