0001037763-15-000003.txt : 20151116
0001037763-15-000003.hdr.sgml : 20151116
20151116153912
ACCESSION NUMBER: 0001037763-15-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151116
DATE AS OF CHANGE: 20151116
EFFECTIVENESS DATE: 20151116
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: OPTIMUM INVESTMENT ADVISORS
CENTRAL INDEX KEY: 0001037763
IRS NUMBER: 363673834
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06296
FILM NUMBER: 151233989
BUSINESS ADDRESS:
STREET 1: 33 N. LA SALLE
STREET 2: SUITE 3700
CITY: CHICAGO
STATE: IL
ZIP: 60602
BUSINESS PHONE: 3127821515
MAIL ADDRESS:
STREET 1: 33 N. LA SALLE
STREET 2: SUITE 3700
CITY: CHICAGO
STATE: IL
ZIP: 60602
FORMER COMPANY:
FORMER CONFORMED NAME: GRAVER BOKHOF GOODWILL & SULLIVAN L P/IL
DATE OF NAME CHANGE: 19990329
13F-HR
1
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0001037763
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09-30-2015
09-30-2015
OPTIMUM INVESTMENT ADVISORS
33 N. LA SALLE
SUITE 3700
CHICAGO
IL
60602
13F HOLDINGS REPORT
028-06296
N
Terry M McCaffrey
President/CEO/CCO
312-456-3313
Terry M McCaffrey
Chicago
IL
11-16-2015
0
247548
6001
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optimum13f.xml
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TR UNIT
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SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
351
8114
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ADOBE SYS INC
COM
00724F101
911
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11081
AMAZON COM INC
COM
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269
525
SH
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BRISTOL MYERS SQUIBB CO
COM
110122108
4099
69233
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BERKSHIRE HATHAWAY INC DEL
CL B NEW
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567
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E M C CORP MASS
COM
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593
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24535
BOEING CO
COM
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9315
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POWERSHARES INDIA ETF TR
INDIA PORT
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251
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SYNOPSYS INC
COM
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293
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TEVA PHARMACEUTICAL INDS LTD
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830
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UNIT SER 1
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AMGEN INC
COM
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1037
7495
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ABBOTT LABS
COM
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COM
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681
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INTEL CORP
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COM
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NOKIA CORP
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81
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ORACLE CORP
COM
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56217
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PEPCO HOLDINGS INC
COM
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375
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DU PONT E I DE NEMOURS & CO
COM
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674
13985
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QUALCOMM INC
COM
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DISNEY WALT CO
COM DISNEY
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1745
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HONEYWELL INTL INC
COM
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235
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SHERWIN WILLIAMS CO
COM
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424
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COM NEW
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MEDTRONIC PLC
SHS
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PFIZER INC
COM
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EXELON CORP
COM
30161N101
666
22427
SH
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KROGER CO
COM
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584
16200
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LOWES COS INC
COM
548661107
541
7850
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MSCI EAFE ETF
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241
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COM
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MICROSOFT CORP
COM
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39323
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UNITED PARCEL SERVICE INC
CL B
911312106
294
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AT&T INC
COM
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86220
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CISCO SYS INC
COM
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INTERNATIONAL BUSINESS MACHS
COM
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752
5188
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COCA COLA CO
COM
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509
12680
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LOCKHEED MARTIN CORP
COM
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770
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PEPSICO INC
COM
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9884
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STRYKER CORP
COM
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408
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VERIZON COMMUNICATIONS INC
COM
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DJ REIT ETF
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SBI INT-INDS
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SBI CONS DISCR
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COM
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DEERE & CO
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BANK AMER CORP
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WAL-MART STORES INC
COM
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UNION PAC CORP
COM
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FIFTH THIRD BANCORP
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GOLDMAN SACHS GROUP INC
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HOME DEPOT INC
COM
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MCDONALDS CORP
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NIKE INC
CL B
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APPLIED MICRO CIRCUITS CORP
COM NEW
03822W406
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BROADCOM CORP
CL A
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200
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SH
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3890
JPMORGAN CHASE & CO
COM
46625H100
2423
39738
SH
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SIRIUS XM HLDGS INC
COM
82968B103
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128000
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PRICELINE GRP INC
COM NEW
741503403
210
170
SH
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ST JUDE MED INC
COM
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WELLS FARGO & CO NEW
COM
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1-3 YR TR BD ETF
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ISHARES TR
IBOXX INV CP ETF
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75618
SH
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CORNING INC
COM
219350105
315
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SH
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FORD MTR CO DEL
COM PAR $0.01
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UNITEDHEALTH GROUP INC
COM
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SOUTHWEST AIRLS CO
COM
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COM
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3M CO
COM
88579Y101
445
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SH
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0
3136
PMC-SIERRA INC
COM
69344F106
352
52000
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COMCAST CORP NEW
CL A
20030N101
219
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BRINKER INTL INC
COM
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1069
20303
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DUKE ENERGY CORP NEW
COM NEW
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8460
SH
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CONOCOPHILLIPS
COM
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615
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SH
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APPLE INC
COM
037833100
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AMERICAN AIRLS GROUP INC
COM
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ALLSTATE CORP
COM
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S&P 500 VALUE
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398
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COM
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1299
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COM
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MSCI EMG MKT ETF
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276
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8428
JOHNSON CTLS INC
COM
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385
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MACYS INC
COM
55616P104
284
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GUG S&P500 EQ WT
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294
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SHS
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SH
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0
0
11150
HALLIBURTON CO
COM
406216101
499
14127
SH
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0
14127
ROSS STORES INC
COM
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288
5940
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COM
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478
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COM
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SHS CL A
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AMERICAN EXPRESS CO
COM
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519
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SH
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BLOCK H & R INC
COM
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846
23362
SH
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0
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OLD REP INTL CORP
COM
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678
43350
SH
SOLE
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OCCIDENTAL PETE CORP DEL
COM
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244
3681
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0
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AMEREN CORP
COM
023608102
511
12100
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12100
ARCHER DANIELS MIDLAND CO
COM
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1267
30578
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0
0
30578
MFS INTER INCOME TR
SH BEN INT
55273C107
57
12485
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12485
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COM
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797
9839
SH
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0
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9839
SOUTHERN CO
COM
842587107
564
12622
SH
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0
0
12622
DECKERS OUTDOOR CORP
COM
243537107
365
6291
SH
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0
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ANNALY CAP MGMT INC
COM
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294
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0
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WESTERN DIGITAL CORP
COM
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235
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VALERO ENERGY CORP NEW
COM
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726
12075
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0
0
12075
TRACTOR SUPPLY CO
COM
892356106
487
5770
SH
SOLE
0
0
5770
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
213
850
SH
SOLE
0
0
850
LENNOX INTL INC
COM
526107107
206
1815
SH
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0
0
1815
BIOGEN INC
COM
09062X103
306
1050
SH
SOLE
0
0
1050
LABORATORY CORP AMER HLDGS
COM NEW
50540R409
858
7907
SH
SOLE
0
0
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ISHARES TR
SELECT DIVID ETF
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2933
40317
SH
SOLE
0
0
40317
ISHARES TR
TIPS BD ETF
464287176
542
4897
SH
SOLE
0
0
4897
SUNTRUST BKS INC
COM
867914103
955
24980
SH
SOLE
0
0
24980
NORTHERN TR CORP
COM
665859104
470
6897
SH
SOLE
0
0
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CARNIVAL CORP
PAIRED CTF
143658300
1433
28830
SH
SOLE
0
0
28830
DARDEN RESTAURANTS INC
COM
237194105
1326
19352
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0
0
19352
AIR PRODS & CHEMS INC
COM
009158106
320
2505
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0
0
2505
LENNAR CORP
CL A
526057104
236
4900
SH
SOLE
0
0
4900
V F CORP
COM
918204108
2342
34332
SH
SOLE
0
0
34332
APOLLO INVT CORP
COM
03761U106
414
75475
SH
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0
0
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BAKER HUGHES INC
COM
057224107
605
11635
SH
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0
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EATON CORP PLC
SHS
G29183103
954
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0
0
18590
TD AMERITRADE HLDG CORP
COM
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UNITED RENTALS INC
COM
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3790
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0
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COGNIZANT TECHNOLOGY SOLUTIO
CL A
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504
8050
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SOLE
0
0
8050
LEGG MASON INC
COM
524901105
259
6225
SH
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0
0
6225
STANLEY BLACK & DECKER INC
COM
854502101
205
2111
SH
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0
0
2111
PULTE GROUP INC
COM
745867101
1189
63000
SH
SOLE
0
0
63000
SANOFI
SPONSORED ADR
80105N105
306
6440
SH
SOLE
0
0
6440
WHIRLPOOL CORP
COM
963320106
213
1446
SH
SOLE
0
0
1446
HARMAN INTL INDS INC
COM
413086109
226
2353
SH
SOLE
0
0
2353
MAGNA INTL INC
COM
559222401
1004
20920
SH
SOLE
0
0
20920
ENTERPRISE PRODS PARTNERS L
COM
293792107
1427
57303
SH
SOLE
0
0
57303
METLIFE INC
COM
59156R108
856
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SH
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0
0
18157
SYNAPTICS INC
COM
87157D109
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2800
SH
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0
0
2800
YUM BRANDS INC
COM
988498101
1597
19980
SH
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0
0
19980
EQUITY RESIDENTIAL
SH BEN INT
29476L107
331
4400
SH
SOLE
0
0
4400
AGRIUM INC
COM
008916108
283
3160
SH
SOLE
0
0
3160
AMPHENOL CORP NEW
CL A
032095101
783
15368
SH
SOLE
0
0
15368
AETNA INC NEW
COM
00817Y108
3087
28219
SH
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0
0
28219
DAVITA HEALTHCARE PARTNERS I
COM
23918K108
794
10980
SH
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0
10980
CBRE GROUP INC
CL A
12504L109
1028
32130
SH
SOLE
0
0
32130
MADISON CVRED CALL & EQ STR
COM
557437100
85
11989
SH
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0
11989
NORDSTROM INC
COM
655664100
880
12270
SH
SOLE
0
0
12270
VANGUARD INDEX FDS
REIT ETF
922908553
596
7893
SH
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0
0
7893
FIDUCIARY CLAYMORE MLP OPP F
COM
31647Q106
1106
70745
SH
SOLE
0
0
70745
STEIN MART INC
COM
858375108
171
17700
SH
SOLE
0
0
17700
CANADIAN NATL RY CO
COM
136375102
350
6174
SH
SOLE
0
0
6174
POWERSHARES ETF TRUST
DYN BIOT & GEN
73935X856
733
16030
SH
SOLE
0
0
16030
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
223
7342
SH
SOLE
0
0
7342
NUVEEN MUN VALUE FD INC
COM
670928100
1299
132438
SH
SOLE
0
0
132438
CREDIT SUISSE ASSET MGMT INC
COM
224916106
57
20000
SH
SOLE
0
0
20000
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
579
4917
SH
SOLE
0
0
4917
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
2143
9120
SH
SOLE
0
0
9120
JONES LANG LASALLE INC
COM
48020Q107
352
2448
SH
SOLE
0
0
2448
GAMCO GLOBAL GOLD NAT RES &
COM SH BEN INT
36465A109
60
12010
SH
SOLE
0
0
12010
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
100
10000
SH
SOLE
0
0
10000
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
358
4957
SH
SOLE
0
0
4957
SAUL CTRS INC
COM
804395101
223
4300
SH
SOLE
0
0
4300
HOLOGIC INC
COM
436440101
1617
41332
SH
SOLE
0
0
41332
ISHARES GOLD TRUST
ISHARES
464285105
203
18800
SH
SOLE
0
0
18800
THERMO FISHER SCIENTIFIC INC
COM
883556102
316
2585
SH
SOLE
0
0
2585
SKECHERS U S A INC
CL A
830566105
241
1800
SH
SOLE
0
0
1800
CRESTWOOD EQUITY PARTNERS LP
UNIT LTD PARTNER
226344109
25
10844
SH
SOLE
0
0
10844
NUVEEN FLOATING RATE INCOME
COM
67072T108
380
37800
SH
SOLE
0
0
37800
VANGUARD WORLD FDS
INF TECH ETF
92204A702
405
4051
SH
SOLE
0
0
4051
KAYNE ANDERSON MLP INVT CO
COM
486606106
910
39246
SH
SOLE
0
0
39246
VANGUARD WORLD FDS
CONSUM DIS ETF
92204A108
719
6100
SH
SOLE
0
0
6100
MASTERCARD INC
CL A
57636Q104
2968
32935
SH
SOLE
0
0
32935
TRINITY INDS INC
COM
896522109
213
9400
SH
SOLE
0
0
9400
WISDOMTREE TR
EUROPE SMCP DV
97717W869
232
4305
SH
SOLE
0
0
4305
WISDOMTREE TR
INTL SMCAP DIV
97717W760
209
3796
SH
SOLE
0
0
3796
DIGITAL RLTY TR INC
COM
253868103
232
3550
SH
SOLE
0
0
3550
WISDOMTREE TR
JAPN HEDGE EQT
97717W851
333
6850
SH
SOLE
0
0
6850
WISDOMTREE TR
LARGECAP DIVID
97717W307
1216
18063
SH
SOLE
0
0
18063
WISDOMTREE TR
SMALLCAP DIVID
97717W604
1461
23195
SH
SOLE
0
0
23195
HANESBRANDS INC
COM
410345102
524
18104
SH
SOLE
0
0
18104
LAMAR ADVERTISING CO NEW
CL A
512816109
1011
19382
SH
SOLE
0
0
19382
ARES CAP CORP
COM
04010L103
1272
87880
SH
SOLE
0
0
87880
PROSPECT CAPITAL CORPORATION
COM
74348T102
328
46000
SH
SOLE
0
0
46000
TICC CAPITAL CORP
COM
87244T109
211
31500
SH
SOLE
0
0
31500
VANGUARD INDEX FDS
MCAP GR IDXVIP
922908538
980
10076
SH
SOLE
0
0
10076
VANGUARD INDEX FDS
MCAP VL IDXVIP
922908512
255
3060
SH
SOLE
0
0
3060
MARKWEST ENERGY PARTNERS L P
UNIT LTD PARTN
570759100
265
6181
SH
SOLE
0
0
6181
FIRST TR ENERGY INCOME & GRW
COM
33738G104
252
9940
SH
SOLE
0
0
9940
FIRST TR EXCHANGE TRADED FD
NY ARCA BIOTECH
33733E203
334
3300
SH
SOLE
0
0
3300
POWERSHARES ETF TRUST
FINL PFD PTFL
73935X229
785
42985
SH
SOLE
0
0
42985
ISHARES TR
IBOXX HI YD ETF
464288513
5819
69865
SH
SOLE
0
0
69865
ISHARES TR
1-3 YR CR BD ETF
464288646
1223
11637
SH
SOLE
0
0
11637
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
418
5100
SH
SOLE
0
0
5100
HERCULES TECH GROWTH CAP INC
COM
427096508
781
77265
SH
SOLE
0
0
77265
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
2017
63680
SH
SOLE
0
0
63680
ISHARES TR
U.S. PFD STK ETF
464288687
556
14400
SH
SOLE
0
0
14400
BANK NEW YORK MELLON CORP
COM
064058100
821
20963
SH
SOLE
0
0
20963
ISHARES TR
NAT AMT FREE BD
464288414
345
3152
SH
SOLE
0
0
3152
TRANSOCEAN LTD
REG SHS
H8817H100
133
10322
SH
SOLE
0
0
10322
POWERSHARES GLOBAL ETF TRUST
SOVEREIGN DEBT
73936T573
263
9596
SH
SOLE
0
0
9596
PENNANTPARK INVT CORP
COM
708062104
194
30000
SH
SOLE
0
0
30000
ISHARES TR
JP MOR EM MK ETF
464288281
324
3045
SH
SOLE
0
0
3045
BROOKFIELD INFRAST PARTNERS
LP INT UNIT
G16252101
430
11700
SH
SOLE
0
0
11700
SPDR SERIES TRUST
BRC HGH YLD BD
78464A417
1186
33253
SH
SOLE
0
0
33253
FIRST TR EXCHANGE TRADED FD
HLTH CARE ALPH
33734X143
913
15680
SH
SOLE
0
0
15680
VISA INC
COM CL A
92826C839
410
5880
SH
SOLE
0
0
5880
MARKET VECTORS ETF TR
MKTVEC INTMUETF
57060U845
313
13245
SH
SOLE
0
0
13245
TRIANGLE CAP CORP
COM
895848109
508
30815
SH
SOLE
0
0
30815
POWERSHARES GLOBAL ETF TRUST
AGG PFD PORT
73936T565
776
53224
SH
SOLE
0
0
53224
POWERSHARES GLOBAL ETF TRUST
FDM HG YLD RAFI
73936T557
4200
235850
SH
SOLE
0
0
235850
MEDALLION FINL CORP
COM
583928106
455
60000
SH
SOLE
0
0
60000
FIFTH STREET FINANCE CORP
COM
31678A103
425
68948
SH
SOLE
0
0
68948
FIRST TR NASDAQ100 TECH INDE
SHS
337345102
383
9725
SH
SOLE
0
0
9725
BLACKROCK CAPITAL INVESTMENT
COM
092533108
857
96695
SH
SOLE
0
0
96695
AVAGO TECHNOLOGIES LTD
SHS
Y0486S104
405
3240
SH
SOLE
0
0
3240
SPDR SERIES TRUST
WELLS FG PFD ETF
78464A292
814
18595
SH
SOLE
0
0
18595
TWO HBRS INVT CORP
COM
90187B101
242
27452
SH
SOLE
0
0
27452
WISDOMTREE TR
EUROPE HEDGED EQ
97717X701
1847
33804
SH
SOLE
0
0
33804
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
101
11000
SH
SOLE
0
0
11000
POWERSHARES ETF TR II
BUILD AMER ETF
73937B407
579
19759
SH
SOLE
0
0
19759
MAIN STREET CAPITAL CORP
COM
56035L104
837
31405
SH
SOLE
0
0
31405
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
404
7950
SH
SOLE
0
0
7950
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
378
6935
SH
SOLE
0
0
6935
NXP SEMICONDUCTORS N V
COM
N6596X109
697
8000
SH
SOLE
0
0
8000
WISDOMTREE TR
EM LCL DEBT FD
97717X867
2387
68880
SH
SOLE
0
0
68880
ALPS ETF TR
ALERIAN MLP
00162Q866
442
35393
SH
SOLE
0
0
35393
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
405
2307
SH
SOLE
0
0
2307
ELLINGTON FINANCIAL LLC
COM
288522303
200
11200
SH
SOLE
0
0
11200
POWERSHARES ETF TRUST II
SENIOR LN PORT
73936Q769
1600
69437
SH
SOLE
0
0
69437
PENNANTPARK FLOATING RATE CA
COM
70806A106
655
54849
SH
SOLE
0
0
54849
NUVEEN DIVERSIFIED COMMODTY
COM UT BEN INT
67074P104
195
18902
SH
SOLE
0
0
18902
POWERSHARES ETF TR II
S&P500 LOW VOL
73937B779
473
13158
SH
SOLE
0
0
13158
DBX ETF TR
XTRAK MSCI EAFE
233051200
937
35930
SH
SOLE
0
0
35930
SANDSTORM GOLD LTD
COM NEW
80013R206
32
11800
SH
SOLE
0
0
11800
BANK AMER CORP
*W EXP 10/28/201
060505153
35
125000
SH
SOLE
0
0
125000
ISHARES TR
CORE US TR BD
46429B267
248
9775
SH
SOLE
0
0
9775
FACEBOOK INC
CL A
30303M102
1046
11635
SH
SOLE
0
0
11635
FLEETMATICS GROUP PLC
COM
G35569105
341
6950
SH
SOLE
0
0
6950
ABBVIE INC
COM
00287Y109
2700
49630
SH
SOLE
0
0
49630
WISDOMTREE TR
US QTLY DIV GRT
97717X669
596
20825
SH
SOLE
0
0
20825
DBX ETF TR
DB XTR MSCI EUR
233051853
244
9770
SH
SOLE
0
0
9770
ISHARES TR
HDG MSCI GERMN
46434V704
230
10130
SH
SOLE
0
0
10130
MOBILEYE N V AMSTELVEEN
ORD SHS
N51488117
634
13950
SH
SOLE
0
0
13950
KRAFT HEINZ CO
COM
500754106
230
3252
SH
SOLE
0
0
3252