Chief Investment Officer

0001082339-13-000004.txt : 20131107 0001082339-13-000004.hdr.sgml : 20131107 20131106195435 ACCESSION NUMBER: 0001082339-13-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131107 DATE AS OF CHANGE: 20131106 EFFECTIVENESS DATE: 20131107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLDSTREAM CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001082339 IRS NUMBER: 931052371 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04387 FILM NUMBER: 131198038 BUSINESS ADDRESS: STREET 1: ONE 100TH AVENUE NE STREET 2: SUITE 102 CITY: BELLEVUE STATE: WA ZIP: 98004 BUSINESS PHONE: 425-283-1600 MAIL ADDRESS: STREET 1: ONE 100TH AVENUE NE STREET 2: SUITE 102 CITY: BELLEVUE STATE: WA ZIP: 98004 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001082339 XXXXXXXX 09-30-2013 09-30-2013 COLDSTREAM CAPITAL MANAGEMENT INC

ONE 100TH AVENUE NE SUITE 102 BELLEVUE WA 98004

13F HOLDINGS REPORT 028-04387 N Robert D. Frazier Chief Investment Officer 425-283-1600 Robert D. Frazier Bellevue WA 10-28-2013 0 179 303684 false INFORMATION TABLE 2 093013.xml 3M Company COM 88579y101 1851 15500 SH SOLE 15500 0 0 A V Homes, Inc. COM 00234p102 287 16436 SH SOLE 16436 0 0 ARC Document Solutions Com COM 00191G103 202 44015 SH SOLE 44015 0 0 ASML Holding N.V. COM n07059210 597 6041 SH SOLE 2092 0 3949 AT&T COM 00206R102 429 12697 SH SOLE 12697 0 0 Abbvie Inc Com COM 00287y109 1823 40762 SH SOLE 40762 0 0 Ace Ltd COM h0023r105 455 4860 SH SOLE 1020 0 3840 Affiliated Managers Group COM 008252108 210 1148 SH SOLE 1148 0 0 Aflac, Inc. COM 001055102 2439 39348 SH SOLE 39348 0 0 Altria Group, Inc. COM 02209s103 1907 55517 SH SOLE 55517 0 0 American Electric Technologies COM 025576109 95 13335 SH SOLE 13335 0 0 Ameriprise Financial COM 03076c106 1924 21121 SH SOLE 21121 0 0 Ansys, Inc. COM 03662Q105 211 2441 SH SOLE 1453 0 988 Apple Computer COM 037833100 5874 12321 SH SOLE 12321 0 0 Apple Computer PUT 037833100 238 500 SH SOLE 500 0 0 Archer-Daniels-Midland COM 039483102 1536 41694 SH SOLE 41694 0 0 Arm Holdings PLC Sponsored ADR COM 042068106 291 6043 SH SOLE 1268 0 4775 Astro-Med Inc New COM 04638F108 132 12085 SH SOLE 12085 0 0 BB&T Corp. COM 054937107 1497 44353 SH SOLE 44353 0 0 Ballantyne Strong Inc COM 058516105 168 39425 SH SOLE 39425 0 0 Bank of America Corp COM 060505104 182 13220 SH SOLE 13220 0 0 Berkshire Hathaway Cl A COM 084670108 682 400 SH SOLE 400 0 0 Berkshire Hathaway Cl B COM 084670702 366 3222 SH SOLE 3222 0 0 BlackRock Utility & Infrastruc COM 09248D104 987 56582 SH SOLE 56582 0 0 Blackrock, Inc. COM 09247x101 1767 6531 SH SOLE 6531 0 0 Boeing Co COM 097023105 378 3219 SH SOLE 3219 0 0 Brasil Foods Sponsored ADR COM 10552T107 370 15078 SH SOLE 3173 0 11905 Bristol-Myers Squibb Co COM 110122108 293 6338 SH SOLE 6338 0 0 CSX Corp COM 126408103 1700 66054 SH SOLE 66054 0 0 Callaway Golf Co COM 131193104 102 14311 SH SOLE 14311 0 0 Canadian National Railway Co. COM 136375102 442 4359 SH SOLE 979 0 3380 Canadian Pacific COM 13645T100 404 3278 SH SOLE 688 0 2590 Capstone Turbine Corp COM 14067D102 23 20000 SH SOLE 20000 0 0 Cardinal Health COM 14149Y108 1683 32280 SH SOLE 32280 0 0 Chevron Corp COM 166764100 2720 22386 SH SOLE 22386 0 0 Cisco Systems COM 17275R102 1775 75765 SH SOLE 75765 0 0 Cleco Corp. COM 12561W105 222 4955 SH SOLE 2125 0 2830 CoBiz Financial Inc. COM 190897108 209 21613 SH SOLE 21613 0 0 Coca-Cola COM 191216100 1732 45724 SH SOLE 45724 0 0 Coca-Cola Enterprises Inc. COM 19122t109 386 9611 SH SOLE 2036 0 7575 ConAgra Foods COM 205887102 1430 47141 SH SOLE 47141 0 0 ConocoPhillips COM 20825C104 1895 27261 SH SOLE 27261 0 0 Core Laboratories COM N22717107 455 2687 SH SOLE 554 0 2133 Corning COM 219350105 1471 100804 SH SOLE 100804 0 0 Costco Wholesale Corp COM 22160K105 388 3370 SH SOLE 3370 0 0 Costco Wholesale Corp PUT 22160K105 230 2000 SH SOLE 2000 0 0 Covidien PLC Shs COM g2554f113 403 6614 SH SOLE 1694 0 4920 Cowen Group Inc New Cl A COM 223622101 338 98345 SH SOLE 98345 0 0 Crane Co. COM 224399105 1861 30185 SH SOLE 30185 0 0 Crown Crafts Inc COM 228309100 179 24770 SH SOLE 24770 0 0 Cubist Pharmaceuticals COM 229678107 231 3640 SH SOLE 1845 0 1795 Danaher Corp COM 235851102 367 5288 SH SOLE 5288 0 0 Dover Motorsports Inc. COM 260174107 93 38627 SH SOLE 38627 0 0 E I DuPont De Nemours COM 263534109 1730 29550 SH SOLE 29550 0 0 Eaton Corp PLC COM G29183103 1734 25193 SH SOLE 25193 0 0 Edgewater Technology COM 280358102 153 29020 SH SOLE 29020 0 0 Ensco PLC Ord Class A COM g3157s106 1965 36551 SH SOLE 36551 0 0 Exxon Mobil Corp COM 30231G102 813 9447 SH SOLE 9447 0 0 Facebook COM 30303m102 686 13665 SH SOLE 13665 0 0 Furmanite Corporation Com COM 361086101 307 31010 SH SOLE 31010 0 0 Gaiam COM 36268Q103 174 34820 SH SOLE 34820 0 0 General Electric COM 369604103 2991 125212 SH SOLE 125212 0 0 Glacier Bancorp New COM 37637Q105 1186 48070 SH SOLE 44305 0 3765 Google, Inc. COM 38259P508 298 340 SH SOLE 340 0 0 Group 1 Automotive COM 398905109 215 2765 SH SOLE 1460 0 1305 Gulfport Energy Corp. COM 402635304 272 4230 SH SOLE 1210 0 3020 Home Depot COM 437076102 166 2192 SH SOLE 2192 0 0 Home Depot PUT 437076102 68 900 SH SOLE 900 0 0 Honeywell Int'l COM 438516106 1846 22235 SH SOLE 22235 0 0 Imation Corp COM 45245A107 117 28555 SH SOLE 28555 0 0 Int'l Business Machines COM 459200101 1753 9467 SH SOLE 9467 0 0 Intel Corp COM 458140100 1355 59131 SH SOLE 59131 0 0 Invesco Value Muni Income Com COM 46132P108 343 25318 SH SOLE 25318 0 0 JP Morgan Chase & Co COM 46625H100 1690 32692 SH SOLE 32692 0 0 Johnson and Johnson COM 478160104 1996 23029 SH SOLE 23029 0 0 KKR & Company LP COM 48248M102 412 20000 SH SOLE 20000 0 0 Landec Corp COM 514766104 143 11720 SH SOLE 11720 0 0 Lazard Ltd Shs A COM G54050102 366 10155 SH SOLE 2125 0 8030 Macy's, Inc. COM 55616p104 1507 34830 SH SOLE 34830 0 0 Magna Int'l, Inc. COM 559222401 2092 25335 SH SOLE 25335 0 0 MarketAxess Holdings Inc. COM 57060D108 237 3950 SH SOLE 1825 0 2125 Marsh & McLennan COM 571748102 1682 38614 SH SOLE 38614 0 0 McDonald's Corp COM 580135101 407 4229 SH SOLE 4229 0 0 Mednax, Inc. COM 58502B106 255 2539 SH SOLE 1537 0 1002 Medtronic, Inc. COM 585055106 2080 39062 SH SOLE 39062 0 0 Mercadolibre Inc. COM 58733R102 278 2063 SH SOLE 433 0 1630 Merck & Co COM 58933y105 1556 32673 SH SOLE 32673 0 0 Microsoft Corp COM 594918104 51840 1557698 SH SOLE 1557698 0 0 Middleby Corp. COM 596278101 230 1100 SH SOLE 305 0 795 Novo Nordisk A/S COM 670100205 328 1941 SH SOLE 406 0 1535 ORBCOMM, Inc. COM 68555P100 261 49760 SH SOLE 49760 0 0 Orion Energy Systems, Inc COM 686275108 186 49380 SH SOLE 49380 0 0 PC-Tel COM 69325q105 283 31930 SH SOLE 31930 0 0 Paccar COM 693718108 312 5600 SH SOLE 5600 0 0 Packaging Corp of America COM 695156109 223 3906 SH SOLE 3906 0 0 Pendrell Corp COM 70686R104 245 126340 SH SOLE 126340 0 0 Pepsico COM 713448108 1639 20619 SH SOLE 20619 0 0 Perceptron, Inc. COM 71361F100 133 12490 SH SOLE 12490 0 0 Perrigo Co. COM 714290103 402 3255 SH SOLE 1025 0 2230 Philip Morris Int'l COM 718172109 2518 29077 SH SOLE 29077 0 0 Phillips 66 COM 718546104 1470 25425 SH SOLE 25425 0 0 Pixelworks COM 72581M305 40 10000 SH SOLE 10000 0 0 Polaris Industries, Inc. COM 731068102 227 1755 SH SOLE 1755 0 0 Portfolio Recovery Associates COM 73640Q105 238 3969 SH SOLE 3264 0 705 Pozen Inc. COM 73941U102 93 16260 SH SOLE 16260 0 0 Procter & Gamble Co COM 742718109 705 9323 SH SOLE 9323 0 0 Qualcomm, Inc. COM 747525103 301 4471 SH SOLE 4471 0 0 Rentech, Inc. COM 760112102 123 62357 SH SOLE 62357 0 0 Rosetta Stone, Inc. COM 777780107 283 17420 SH SOLE 17420 0 0 SPDR S&P Homebuilders COM 78464A888 680 22212 SH SOLE 22212 0 0 Safeway COM 786514208 2023 63228 SH SOLE 63228 0 0 Sensata Technologies H COM N7902X106 337 8802 SH SOLE 1847 0 6955 Sigma Designs, Inc. COM 826565103 74 13195 SH SOLE 13195 0 0 Signature Bank COM 82669g104 341 3728 SH SOLE 2213 0 1515 Spartan Motors COM 846819100 176 28960 SH SOLE 28960 0 0 Starbucks Corp COM 855244109 2095 27217 SH SOLE 27217 0 0 Taiwan Semiconductor Mfg. ADS COM 874039100 527 31044 SH SOLE 6494 0 24550 Target COM 87612E106 2087 32621 SH SOLE 32621 0 0 Toro Co COM 891092108 271 4993 SH SOLE 3223 0 1770 Tractor Supply Co COM 892356106 320 4758 SH SOLE 3558 0 1200 Tyler Technologies COM 902252105 316 3608 SH SOLE 1743 0 1865 USX-Marathon Group COM 565849106 1512 43352 SH SOLE 43352 0 0 Union Pacific Corp COM 907818108 1694 10904 SH SOLE 10904 0 0 Versar Inc COM 925297103 104 25200 SH SOLE 25200 0 0 Vical, Inc. COM 925602104 14 11480 SH SOLE 11480 0 0 Walgreen Co COM 931422109 2113 39266 SH SOLE 39266 0 0 XO Communications COM 983772104 274 21235 SH SOLE 21235 0 0 Xerox Corp COM 984121103 1807 175635 SH SOLE 175635 0 0 ALPS Tr Cohen & Steers Global ETF 00162Q106 390 9755 SH SOLE 9755 0 0 Alps ETF Tr Alerian MLP ETF 00162Q866 2489 141508 SH SOLE 141508 0 0 Barclays iPath S&P 500 Dynamic ETF 06741l609 1303 33563 SH SOLE 33563 0 0 DJ Euro Stoxx 50 Fund ETF ETF 78463x202 2106 54818 SH SOLE 54818 0 0 Eaton Vance Enhanced Equity In ETF 278277108 2245 191399 SH SOLE 191399 0 0 Eaton Vance Natl Muni Inc Oppo ETF 27829l105 347 18481 SH SOLE 18481 0 0 Eaton Vance Tax-Managed Global ETF 27829F108 147 15722 SH SOLE 15722 0 0 GreenHaven Continuous Commodit ETF 395258106 4279 162138 SH SOLE 162138 0 0 JP Morgan Chase & Co Alerian M ETF 46625H365 832 18654 SH SOLE 18654 0 0 Jefferies TR/J CRB Global Comm ETF 00162q304 1604 38165 SH SOLE 38165 0 0 MS Emerging Markets Domestic D ETF 617477104 3127 221772 SH SOLE 221772 0 0 Materials Select Sector SPDR ETF 81369Y100 1369 32587 SH SOLE 32587 0 0 PIMCO Intermediate Municipal B ETF 72201R866 433 8309 SH SOLE 8309 0 0 Pimco ETF Tr 1-5 US TIP Index ETF 72201r205 2541 47899 SH SOLE 47899 0 0 PowerShares Intl Dividend Achi ETF 73935X716 5159 298582 SH SOLE 298582 0 0 PowerShares QQQ Trust Unit Ser ETF 73935A104 219 2773 SH SOLE 2773 0 0 Powershares ETF Trust Global L ETF 73935X195 1169 101862 SH SOLE 101862 0 0 SPDR Gold Trust ETF 78463v107 381 2972 SH SOLE 2972 0 0 SPDR Nuveen Barclays Capital S ETF 78464A425 289 11934 SH SOLE 11934 0 0 SPDR Nuveen S&P High Yield Mun ETF 78464A284 678 12963 SH SOLE 12963 0 0 SPDR S&P 500 ETF Tr Series-1 ETF 78462F103 6251 37204 SH SOLE 37204 0 0 SPDR S&P Dividend ETF ETF 78464a763 1046 15176 SH SOLE 15176 0 0 Tortoise Energy Infrastructure ETF 89147L100 300 6544 SH SOLE 6544 0 0 Vanguard Dividend Appreciation ETF 921908844 15473 222281 SH SOLE 222281 0 0 Vanguard Emerging Mkts Stock I ETF 922042858 10951 272860 SH SOLE 272860 0 0 Vanguard FTSE All-World Ex-US ETF 922042775 15913 327436 SH SOLE 327436 0 0 Vanguard Growth ETF ETF 922908736 15827 187060 SH SOLE 187060 0 0 Vanguard Index Fds Ext Mkt VIP ETF 922908652 6473 83931 SH SOLE 83931 0 0 Vanguard Index Intermediate Te ETF 921937819 271 3241 SH SOLE 3241 0 0 Vanguard Index Short Term Bond ETF 921937827 1103 13719 SH SOLE 13719 0 0 Vanguard Large Cap ETF ETF 922908637 4221 54583 SH SOLE 54583 0 0 Vanguard REIT Vipers ETF 922908553 9415 142347 SH SOLE 142347 0 0 Vanguard Small-Cap ETF ETF 922908751 2489 24283 SH SOLE 24283 0 0 Vanguard Value ETF ETF 922908744 4439 63610 SH SOLE 63610 0 0 WisdomTree Emerging Markets Eq ETF 97717W315 234 4535 SH SOLE 4535 0 0 iShares Barclays Aggregate Bon ETF 464287226 200 1870 SH SOLE 1870 0 0 iShares DJ Select Dividend Ind ETF 464287168 280 4220 SH SOLE 4220 0 0 iShares Lehman 1-3 Yr Treasury ETF 464287457 771 9124 SH SOLE 9124 0 0 iShares Lehman US Tst Inflatio ETF 464287176 588 5223 SH SOLE 5223 0 0 iShares MSCI ACWI All World ETF 464288257 220 4082 SH SOLE 4082 0 0 iShares MSCI Australia ETF 464286103 333 13190 SH SOLE 13190 0 0 iShares MSCI Canada ETF 464286509 228 8048 SH SOLE 8048 0 0 iShares MSCI EAFE Index ETF 464287465 874 13698 SH SOLE 13698 0 0 iShares MSCI Emerging Markets ETF 464287234 1351 33150 SH SOLE 33150 0 0 iShares Russell 1000 Growth In ETF 464287614 2224 28440 SH SOLE 28440 0 0 iShares Russell 1000 Value Ind ETF 464287598 281 3265 SH SOLE 3265 0 0 iShares Russell Micr ETF 464288869 647 9442 SH SOLE 9442 0 0 iShares Russell Midcap Index F ETF 464287499 7898 56790 SH SOLE 56790 0 0 iShares S&P 500 Index Fund ETF 464287200 772 4572 SH SOLE 4572 0 0 iShares S&P Midcap 400 Index F ETF 464287507 1594 12841 SH SOLE 12841 0 0 iShares iBoxx $ High Yield Cor ETF 464288513 259 2831 SH SOLE 2831 0 0