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 | 25 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
AFLAC INC | COM | 001055102 | 1 | 20 | SH | SOLE | 0 | 0 | 20 | ||
ALCO STORES INC | COM | 001600105 | 45 | 4,740 | SH | SOLE | 0 | 0 | 4,740 | ||
ALLIED NEVADA GOLD CORP | COM | 019344100 | 3 | 800 | SH | SOLE | 0 | 0 | 800 | ||
ANALOG DEVICES INC | COM | 032654105 | 1 | 26 | SH | SOLE | 0 | 0 | 26 | ||
AOL INC | COM | 00184X105 | 0 | 4 | SH | SOLE | 0 | 0 | 4 | ||
APPLE INC | COM | 037833100 | 42 | 75 | SH | SOLE | 0 | 0 | 75 | ||
AT&T INC | COM | 00206R102 | 135 | 3,849 | SH | SOLE | 0 | 0 | 3,849 | ||
BANK OF AMERICA CORPORATION | COM | 060505104 | 16 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
BARRICK GOLD CORP | COM | 067901108 | 12 | 700 | SH | SOLE | 0 | 0 | 700 | ||
BAXTER INTL INC | COM | 071813109 | 1 | 16 | SH | SOLE | 0 | 0 | 16 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 65 | 4,950 | SH | SOLE | 0 | 0 | 4,950 | ||
CARNIVAL CORP | PAIRED CTF | 143658300 | 4 | 100 | SH | SOLE | 0 | 0 | 100 | ||
CBL & ASSOC PPTYS INC | COM | 124830100 | 19 | 1,053 | SH | SOLE | 0 | 0 | 1,053 | ||
CHEVRON CORP NEW | COM | 166764100 | 126 | 1,011 | SH | SOLE | 0 | 0 | 1,011 | ||
CHUBB CORP | COM | 171232101 | 1 | 13 | SH | SOLE | 0 | 0 | 13 | ||
CITIGROUP INC | COM NEW | 172967424 | 10 | 200 | SH | SOLE | 0 | 0 | 200 | ||
CLOROX CO DEL | COM | 189054109 | 1 | 14 | SH | SOLE | 0 | 0 | 14 | ||
COCA COLA CO | COM | 191216100 | 21 | 500 | SH | SOLE | 0 | 0 | 500 | ||
COLGATE PALMOLIVE CO | COM | 194162103 | 1 | 20 | SH | SOLE | 0 | 0 | 20 | ||
COLUMBIA PPTY TR INC | COM NEW | 198287203 | 60 | 2,399 | SH | SOLE | 0 | 0 | 2,399 | ||
CONOCOPHILLIPS | COM | 20825C104 | 1 | 21 | SH | SOLE | 0 | 0 | 21 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 215 | 1,810 | SH | SOLE | 0 | 0 | 1,810 | ||
CPI AEROSTRUCTURES INC | COM NEW | 125919308 | 137 | 9,100 | SH | SOLE | 0 | 0 | 9,100 | ||
CUTWATER SELECT INCOME FD | COM | 232229104 | 155 | 8,442 | SH | SOLE | 0 | 0 | 8,442 | ||
DEERE & CO | COM | 244199105 | 18 | 200 | SH | SOLE | 0 | 0 | 200 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 6 | 75 | SH | SOLE | 0 | 0 | 75 | ||
EATON VANCE CA MUNI INCOME T | SH BEN INT | 27826F101 | 12 | 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 CORP | COM NON VTG | 278265103 | 1 | 18 | SH | SOLE | 0 | 0 | 18 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 10 | 648 | SH | SOLE | 0 | 0 | 648 | ||
EXETER RES CORP | COM | 301835104 | 2 | 3,000 | SH | SOLE | 0 | 0 | 3,000 | ||
EXXON MOBIL CORP | COM | 30231G102 | 212 | 2,093 | SH | SOLE | 0 | 0 | 2,093 | ||
FACEBOOK INC | CL A | 30303M102 | 60 | 1,100 | SH | SOLE | 0 | 0 | 1,100 | ||
FACTSET RESH SYS INC | COM | 303075105 | 1 | 9 | SH | SOLE | 0 | 0 | 9 | ||
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 | 106 | 3,786 | SH | SOLE | 0 | 0 | 3,786 | ||
GENERAL MLS INC | COM | 370334104 | 1 | 25 | SH | SOLE | 0 | 0 | 25 | ||
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 | 71 | 400 | SH | SOLE | 0 | 0 | 400 | ||
GOOGLE INC | CL A | 38259P508 | 45 | 40 | SH | SOLE | 0 | 0 | 40 | ||
GRAINGER W W INC | COM | 384802104 | 1 | 4 | SH | SOLE | 0 | 0 | 4 | ||
HOME DEPOT INC | COM | 437076102 | 346 | 4,200 | SH | SOLE | 0 | 0 | 4,200 | ||
HUMANA INC | COM | 444859102 | 41 | 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 | 12 | 1,083 | SH | SOLE | 0 | 0 | 1,083 | ||
ISHARES | 1-3 YR CR BD ETF | 464288646 | 26,765 | 253,794 | SH | SOLE | 0 | 0 | 253,794 | ||
ISHARES | 1-3 YR TR BD ETF | 464287457 | 867 | 10,275 | SH | SOLE | 0 | 0 | 10,275 | ||
ISHARES | COHEN&STEER REIT | 464287564 | 933 | 12,489 | SH | SOLE | 0 | 0 | 12,489 | ||
ISHARES | CORE S&P MCP ETF | 464287507 | 42,010 | 313,948 | SH | SOLE | 0 | 0 | 313,948 | ||
ISHARES | CORE S&P SCP ETF | 464287804 | 12,701 | 116,382 | SH | SOLE | 0 | 0 | 116,382 | ||
ISHARES | CORE S&P500 ETF | 464287200 | 22 | 116 | SH | SOLE | 0 | 0 | 116 | ||
ISHARES | CORE TOTUSBD ETF | 464287226 | 62 | 587 | SH | SOLE | 0 | 0 | 587 | ||
ISHARES | DOW JONES US ETF | 464287846 | 2 | 22 | SH | SOLE | 0 | 0 | 22 | ||
ISHARES | FLTG RATE BD ETF | 46429B655 | 52,683 | 1,038,708 | SH | SOLE | 0 | 0 | 1,038,708 | ||
ISHARES | IBOXX HI YD ETF | 464288513 | 16,951 | 182,505 | SH | SOLE | 0 | 0 | 182,505 | ||
ISHARES | IBOXX INV CP ETF | 464287242 | 1 | 11 | SH | SOLE | 0 | 0 | 11 | ||
ISHARES | INTL DEV RE ETF | 464288489 | 97 | 3,152 | SH | SOLE | 0 | 0 | 3,152 | ||
ISHARES | MSCI AUST ETF | 464286103 | 43 | 1,752 | SH | SOLE | 0 | 0 | 1,752 | ||
ISHARES | MSCI BRZ CAP ETF | 464286400 | 27 | 610 | SH | SOLE | 0 | 0 | 610 | ||
ISHARES | MSCI EAFE ETF | 464287465 | 6,602 | 98,405 | SH | SOLE | 0 | 0 | 98,405 | ||
ISHARES | MSCI EMG MKT ETF | 464287234 | 135 | 3,219 | SH | SOLE | 0 | 0 | 3,219 | ||
ISHARES | MSCI FRANCE ETF | 464286707 | 24 | 858 | SH | SOLE | 0 | 0 | 858 | ||
ISHARES | MSCI GERMANY ETF | 464286806 | 48 | 1,503 | SH | SOLE | 0 | 0 | 1,503 | ||
ISHARES | MSCI HONG KG ETF | 464286871 | 29 | 1,408 | SH | SOLE | 0 | 0 | 1,408 | ||
ISHARES | MSCI JAPAN ETF | 464286848 | 65 | 5,386 | SH | SOLE | 0 | 0 | 5,386 | ||
ISHARES | MSCI SINGAP ETF | 464286673 | 12 | 912 | SH | SOLE | 0 | 0 | 912 | ||
ISHARES | MSCI SZ CAP ETF | 464286749 | 25 | 756 | SH | SOLE | 0 | 0 | 756 | ||
ISHARES | MSCI UK ETF | 464286699 | 69 | 3,324 | SH | SOLE | 0 | 0 | 3,324 | ||
ISHARES | RUSSELL 2000 ETF | 464287655 | 14,210 | 123,179 | SH | SOLE | 0 | 0 | 123,179 | ||
ISHARES | U.S. PFD STK ETF | 464288687 | 18,128 | 492,199 | SH | SOLE | 0 | 0 | 492,199 | ||
ISHARES INC | CORE MSCI EMKT | 46434G103 | 804 | 16,137 | SH | SOLE | 0 | 0 | 16,137 | ||
JDS UNIPHASE CORP | COM PAR $0.001 | 46612J507 | 0 | 1 | SH | SOLE | 0 | 0 | 1 | ||
JOHNSON & JOHNSON | COM | 478160104 | 38 | 414 | SH | SOLE | 0 | 0 | 414 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 18 | 300 | SH | SOLE | 0 | 0 | 300 | ||
KELLOGG CO | COM | 487836108 | 1 | 19 | SH | SOLE | 0 | 0 | 19 | ||
LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 18 | 600 | SH | SOLE | 0 | 0 | 600 | ||
LOWES COS INC | COM | 548661107 | 2 | 32 | SH | SOLE | 0 | 0 | 32 | ||
MARKET VECTORS ETF TR | COAL ETF | 57060U837 | 84 | 4,330 | SH | SOLE | 0 | 0 | 4,330 | ||
MCDONALDS CORP | COM | 580135101 | 1,008 | 10,388 | SH | SOLE | 0 | 0 | 10,388 | ||
MERCK & CO INC NEW | COM | 58933Y105 | 14 | 285 | SH | SOLE | 0 | 0 | 285 | ||
MICROSOFT CORP | COM | 594918104 | 75 | 2,000 | SH | SOLE | 0 | 0 | 2,000 | ||
MILLER INDS INC TENN | COM NEW | 600551204 | 102 | 5,500 | SH | SOLE | 0 | 0 | 5,500 | ||
MOTORCAR PTS AMER INC | COM | 620071100 | 93 | 4,800 | SH | SOLE | 0 | 0 | 4,800 | ||
NETAPP INC | COM | 64110D104 | 885 | 21,500 | SH | SOLE | 0 | 0 | 21,500 | ||
NEWMONT MINING CORP | COM | 651639106 | 9 | 400 | SH | SOLE | 0 | 0 | 400 | ||
NEXTERA ENERGY INC | COM | 65339F101 | 1 | 14 | SH | SOLE | 0 | 0 | 14 | ||
NORDSTROM INC | COM | 655664100 | 1 | 18 | SH | SOLE | 0 | 0 | 18 | ||
NORTHEAST UTILS | COM | 664397106 | 1 | 26 | SH | SOLE | 0 | 0 | 26 | ||
NOVARTIS A G | SPONSORED ADR | 66987V109 | 1 | 16 | SH | SOLE | 0 | 0 | 16 | ||
NUVEEN CA DIV ADV MUNI FD 3 | COM SH BEN INT | 67070Y109 | 11 | 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 | 58 | 4,000 | SH | SOLE | 0 | 0 | 4,000 | ||
PAYCHEX INC | COM | 704326107 | 18 | 400 | SH | SOLE | 0 | 0 | 400 | ||
PEPSICO INC | COM | 713448108 | 6 | 73 | SH | SOLE | 0 | 0 | 73 | ||
PFIZER INC | COM | 717081103 | 66 | 2,150 | SH | SOLE | 0 | 0 | 2,150 | ||
PHILLIPS 66 | COM | 718546104 | 1 | 11 | SH | SOLE | 0 | 0 | 11 | ||
PIMCO ETF TR | 0-5 HIGH YIELD | 72201R783 | 0 | 1 | SH | SOLE | 0 | 0 | 1 | ||
POWERSHARES DB CMDTY IDX TRA | UNIT BEN INT | 73935S105 | 13 | 510 | SH | SOLE | 0 | 0 | 510 | ||
POWERSHARES ETF TRUST | GBL LSTD PVT EQT | 73935X195 | 8,512 | 703,475 | SH | SOLE | 0 | 0 | 703,475 | ||
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 9,439 | 379,411 | SH | SOLE | 0 | 0 | 379,411 | ||
POWERSHARES GLOBAL ETF TRUST | AGG PFD PORT | 73936T565 | 89 | 6,591 | SH | SOLE | 0 | 0 | 6,591 | ||
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 | ||
PRAXAIR INC | COM | 74005P104 | 1 | 11 | SH | SOLE | 0 | 0 | 11 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 83 | 1,014 | SH | SOLE | 0 | 0 | 1,014 | ||
QUALCOMM INC | COM | 747525103 | 8 | 106 | SH | SOLE | 0 | 0 | 106 | ||
SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 | 2,610 | 106,079 | SH | SOLE | 0 | 0 | 106,079 | ||
SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 | 223 | 7,071 | SH | SOLE | 0 | 0 | 7,071 | ||
SCHWAB STRATEGIC TR | US AGGREGATE B | 808524839 | 2 | 31 | SH | SOLE | 0 | 0 | 31 | ||
SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 | 4 | 81 | SH | SOLE | 0 | 0 | 81 | ||
SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 | 0 | 5 | SH | SOLE | 0 | 0 | 5 | ||
SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 578 | 13,109 | SH | SOLE | 0 | 0 | 13,109 | ||
SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 580 | 15,494 | SH | SOLE | 0 | 0 | 15,494 | ||
SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 415 | 7,903 | SH | SOLE | 0 | 0 | 7,903 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 24 | 1,100 | SH | SOLE | 0 | 0 | 1,100 | ||
SIGMA ALDRICH CORP | COM | 826552101 | 1 | 14 | SH | SOLE | 0 | 0 | 14 | ||
SMUCKER J M CO | COM NEW | 832696405 | 1 | 12 | SH | SOLE | 0 | 0 | 12 | ||
SPDR INDEX SHS FDS | DJ GLB RL ES ETF | 78463X749 | 0 | 3 | SH | SOLE | 0 | 0 | 3 | ||
SPDR INDEX SHS FDS | EURO STOXX 50 | 78463X202 | 132 | 3,132 | SH | SOLE | 0 | 0 | 3,132 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 28,435 | 153,961 | SH | SOLE | 0 | 0 | 153,961 | ||
SPDR SER TR | SHT TRM HGH YLD | 78468R408 | 3,477 | 112,715 | SH | SOLE | 0 | 0 | 112,715 | ||
SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | 1,494 | 36,826 | SH | SOLE | 0 | 0 | 36,826 | ||
SPDR SERIES TRUST | BRCLYS 1-3MT ETF | 78464A680 | 10 | 218 | SH | SOLE | 0 | 0 | 218 | ||
SPDR SERIES TRUST | NUVN CALI MUNI | 78464A441 | 66 | 3,000 | SH | SOLE | 0 | 0 | 3,000 | ||
SPDR SERIES TRUST | WELLS FG PFD ETF | 78464A292 | 82 | 2,089 | SH | SOLE | 0 | 0 | 2,089 | ||
STARBUCKS CORP | COM | 855244109 | 1 | 11 | SH | SOLE | 0 | 0 | 11 | ||
SYSCO CORP | COM | 871829107 | 1 | 32 | SH | SOLE | 0 | 0 | 32 | ||
TIME WARNER CABLE INC | COM | 88732J207 | 2 | 12 | SH | SOLE | 0 | 0 | 12 | ||
UNITED STS COMMODITY INDEX F | COMM IDX FND | 911717106 | 506 | 9,024 | SH | SOLE | 0 | 0 | 9,024 | ||
VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 784 | 9,792 | SH | SOLE | 0 | 0 | 9,792 | ||
VANGUARD INDEX FDS | LARGE CAP ETF | 922908637 | 6,803 | 80,221 | SH | SOLE | 0 | 0 | 80,221 | ||
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 4,674 | 42,487 | SH | SOLE | 0 | 0 | 42,487 | ||
VANGUARD INDEX FDS | REIT ETF | 922908553 | 8,293 | 128,459 | SH | SOLE | 0 | 0 | 128,459 | ||
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 31,090 | 183,800 | SH | SOLE | 0 | 0 | 183,800 | ||
VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 1,579 | 14,360 | SH | SOLE | 0 | 0 | 14,360 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 1,198 | 12,496 | SH | SOLE | 0 | 0 | 12,496 | ||
VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 1,539 | 30,334 | SH | SOLE | 0 | 0 | 30,334 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 15,099 | 367,014 | SH | SOLE | 0 | 0 | 367,014 | ||
VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 922042742 | 13 | 227 | SH | SOLE | 0 | 0 | 227 | ||
VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 921908844 | 344 | 4,568 | SH | SOLE | 0 | 0 | 4,568 | ||
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 11,521 | 276,425 | SH | SOLE | 0 | 0 | 276,425 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 113 | 2,301 | SH | SOLE | 0 | 0 | 2,301 | ||
VIOLIN MEMORY INC | COM | 92763A101 | 79 | 20,000 | SH | SOLE | 0 | 0 | 20,000 | ||
WAL-MART STORES INC | COM | 931142103 | 1 | 13 | SH | SOLE | 0 | 0 | 13 | ||
WISCONSIN ENERGY CORP | COM | 976657106 | 1 | 13 | SH | SOLE | 0 | 0 | 13 | ||
ZIX CORP | COM | 98974P100 | 73 | 16,000 | SH | SOLE | 0 | 0 | 16,000 |