-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IXTqECirElc4d3Z913ZuOupZdXCx434E9kgtyXpeuhsbBvCzKNaJlCVFBOA/jSnx KHkhJJB9czZIyWXZl/y1Ew== 0001086763-09-000002.txt : 20090217 0001086763-09-000002.hdr.sgml : 20090216 20090217170507 ACCESSION NUMBER: 0001086763-09-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090217 EFFECTIVENESS DATE: 20090217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KELLER GROUP INVESTMENT MANAGEMENT INC /CA/ CENTRAL INDEX KEY: 0001086763 IRS NUMBER: 330221828 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05785 FILM NUMBER: 09615311 BUSINESS ADDRESS: STREET 1: 18101 VON KARMAN AVENUE STREET 2: STE 700 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 9494760300 MAIL ADDRESS: STREET 1: 18101 VON KARMAN AVENUE STREET 2: STE 700 CITY: IRVINE STATE: CA ZIP: 92612 FORMER COMPANY: FORMER CONFORMED NAME: KELLER COLLINS HAKOPIAN & LEISURE INVESTMENT COUNSEL INC/CA DATE OF NAME CHANGE: 19990519 13F-HR 1 inftable13f1208.txt 13F-HR FOR 12/31/2008 13F-HR Form 13F Holdings Report UNITED STATES SECURITIES AND EXCHANGE COMMISION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year of Quarter Ended: December 31,2008 Check here if Amendment [ ]; Amendment Number This Amendment (Check only one.):[ ] is a restatement [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: The Keller Group Investment Management, Inc. Address: 18101 Von Karman Avenue Suite 700 Irvine, CA 92612-1051 13F File Number: 28-05785 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedule, lists, and tables are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Gregory S. Bruce Title: Chief Compliance Officer Phone: 949-476-0300 Signature, Place, and Date of Signing: Gregory S. Bruce Irvine, California February 17,2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 158 Form 13F Information Table Value Total: $278000 List of Other Included Managers: / NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M Company COM 88579y101 248 4318 SH SOLE 4318 99 Cents Only Stores COM 65440k106 197 17998 SH SOLE 17998 Abbott Laboratories COM 002824100 5877 110112 SH SOLE 110112 Adobe Systems Inc COM 00724f101 831 39056 SH SOLE 39056 Aecom Technoolgy Corp. COM 00766t100 3085 100396 SH SOLE 100396 AES Corporation COM 00130h105 92 11065 SH SOLE 11065 Alcatel Lucent ADR SPONSORED ADR 013904305 37 17440 SH SOLE 17440 Alcon Inc. COM SHS H01301102 3688 41359 SH SOLE 41359 Allergan Inc COM 018490102 3353 83162 SH SOLE 83162 American Movil ADR Series L SPON ADR L SHS 02364w105 212 6830 SH SOLE 6830 American Electric Power Co COM 025537101 260 7810 SH SOLE 7810 Amgen COM 031162100 1040 18011 SH SOLE 18011 Apache Corp COM 037411105 295 3957 SH SOLE 3957 Apple Computer COM 037833100 564 6605 SH SOLE 6605 Arrowhead Research Corp COM 042797100 18 20000 SH SOLE 20000 AT&T COM 00206r102 767 26919 SH SOLE 26919 Automatic Data Processing COM 053015103 349 8860 SH SOLE 8860 Bank of America Corp COM 060505104 231 16398 SH SOLE 16398 Bank of New York Mellon COM 064058100 4941 174399 SH SOLE 174399 Barclays Bank Plc 8.125% ADR PFD SR 5 06739H362 165 11000 SH SOLE 11000 Barrick Gold Corp COM 067901108 288 7843 SH SOLE 7843 Baxter International COM 071813109 200 3735 SH SOLE 3735 Berkshire Hathaway Inc Cl A CL A 084670108 1546 16 SH SOLE 16 Berkshire Hathaway Inc Cl B CL B 084670207 6097 1897 SH SOLE 1897 BlackRock Floating Income St COM 09255x100 4372 499065 SH SOLE 499065 Blackrock Income Opportunity COM 092475102 85 10072 SH SOLE 10072 Blackrock Ltd Duration COM SHS 09249w101 1161 108169 SH SOLE 108169 Boston Scientific Corp COM 101137107 80 10331 SH SOLE 10331 BP Plc Spon Adr SPONSORED ADR 055622104 442 9465 SH SOLE 9465 Broadcom Corp-CL A CL A 111320107 189 11138 SH SOLE 11138 Brookfield Asset Mgmt CL A LTD VT SH 112585104 218 14264 SH SOLE 14264 Burlington Northern Santa Fe COM 12189T104 293 3866 SH SOLE 3866 Cadbury Plc SPON ADR 12721e102 8982 251811 SH SOLE 251811 Calamos Strategic Total Ret COM SH BEN INT 128125101 83 13279 SH SOLE 13279 Ceradyne Inc COM 156710105 227 11200 SH SOLE 11200 Chevron Texaco Corp COM 166764100 1728 23364 SH SOLE 23364 Cisco Systems Inc. COM 17275r102 7045 432237 SH SOLE 432237 City National Corp. COM 178566105 4089 83957 SH SOLE 83957 CNOOC Limited Adr SPONSORED ADR 126132109 251 2637 SH SOLE 2637 Coca Cola COM 191216100 308 6802 SH SOLE 6802 Cohen & Steers Slct Util Fd COM 19248a109 180 17450 SH SOLE 17450 Colgate Palmolive COM 194162103 523 7629 SH SOLE 7629 Comcast Corp Cl A CL A SPL 20030n200 238 14716 SH SOLE 14716 Conoco Philips COM 20825c104 563 10866 SH SOLE 10866 Corning Inc COM 219350105 124 13045 SH SOLE 13045 Costco Corp COM 22160k108 333 6352 SH SOLE 6352 CVS Corp COM 126650100 2014 70074 SH SOLE 70074 Dell Inc COM 24702r101 7304 713311 SH SOLE 713311 Devon Energy Corp COM 25179m103 7109 108190 SH SOLE 108190 Diageo ADR SPON ADR NEW 25243q205 8399 148039 SH SOLE 148039 Dominion Resources VA COM 25746u109 228 6373 SH SOLE 6373 Dr. Pepper Snapple COM 26138E109 2393 147257 SH SOLE 147257 Dreman/Claymore Dvd & Inc Fd COM 26153r100 47 24875 SH SOLE 24875 Durect Corp COM 266605104 55 16235 SH SOLE 16235 Eaton Vance Limited Dur Inc FD COM 27828h105 154 15539 SH SOLE 15539 El Paso Corp COM 28336l109 236 30194 SH SOLE 30194 Electronic Arts Inc COM 285512109 3354 209123 SH SOLE 209123 Eli Lilly COM 532457108 204 5062 SH SOLE 5062 Emerson Electric COM 291011104 455 12448 SH SOLE 12448 EnCana Corp COM 292505104 209 4490 SH SOLE 4490 Evergreen Multi-SectorInc Fund COM 30024y104 3799 372492 SH SOLE 372492 Exxon Mobil Corp COM 30231g102 3221 40345 SH SOLE 40345 Fiduciary Claymore Dynm EQ F COM 31647t100 45 10440 SH SOLE 10440 First American Corp COM 318522307 220 7602 SH SOLE 7602 Flir Systems Inc COM 302445101 210 6840 SH SOLE 6840 Genentech COM 368710406 214 2581 SH SOLE 2581 General Electric Company COM 369604103 6463 398956 SH SOLE 398956 Gilead Sciences Inc COM 375558103 335 6560 SH SOLE 6560 GoldCorp Inc COM 380956409 585 18538 SH SOLE 18538 Goldman Sachs Group Inc COM 38141G104 2796 33134 SH SOLE 33134 Google Inc Cl A CL A 38259p508 454 1475 SH SOLE 1475 Hewlett Packard Company COM 428236103 311 8566 SH SOLE 8566 Home Depot Inc COM 437076102 5486 238303 SH SOLE 238303 Honeywell Int'l Inc COM 438516106 236 7179 SH SOLE 7179 Ibasis Inc COM 450732201 18 12533 SH SOLE 12533 Int'l Business Machines Corp COM 459200101 681 8091 SH SOLE 8091 I-Many Inc COM 44973Q103 5 23455 SH SOLE 23455 Imperial Oil Ltd COM NEW 453038408 287 8503 SH SOLE 8503 Intel Corp. COM 458140100 328 22356 SH SOLE 22356 International Game Technology COM 459902102 5491 461853 SH SOLE 461853 iShares Barclays Inflation ProtBARCLYS TIPS BD 464287176 910 9167 SH SOLE 9167 iShares MSCI Eafe Index Fund MSCI EAFE IDX 464287465 3756 83729 SH SOLE 83729 iShares Russell 1000 Val Idx FdRUSSELL1000VAL 464287598 545 11004 SH SOLE 11004 iShares Russell 2000 Index Fd RUSSELL2000 464287655 460 9341 SH SOLE 9341 ishares Silver Trusts ISHARES 46428Q109 168 15039 SH SOLE 15039 Johnson & Johnson COM 478160104 2935 49059 SH SOLE 49059 JPMorgan Chase COM 46625h100 478 15174 SH SOLE 15174 Kraft Foods Inc A CL A 50075n104 240 8948 SH SOLE 8948 Las Vegas Sands Corp COM 517834107 98 16454 SH SOLE 16454 Level 3 Communications Com COM 52729n100 2542 3630941 SH SOLE 3630941 Liberty Media Holding Int A INT COM SER A 53071m104 2717 871093 SH SOLE 871093 Luecadia Bank COM 527288104 307 15493 SH SOLE 15493 McDonalds Corporation COM 580135101 413 6647 SH SOLE 6647 Medtronics Inc COM 585055106 295 9383 SH SOLE 9383 Micromet Inc COM 59509c105 48 10983 SH SOLE 10983 Microsoft Corp. COM 594918104 6784 348992 SH SOLE 348992 Monsanto Corp COM 61166w101 441 6275 SH SOLE 6275 Nalco Chemical Company COM 62985q101 5270 456675 SH SOLE 456675 Nam Tai Electronics Inc COM PAR $0.02 629865205 66 12048 SH SOLE 12048 nasdaq OMX Group COM 631103108 248 10025 SH SOLE 10025 National Oilwell Varco Inc COM 637071101 513 20996 SH SOLE 20996 Nextwave Wireless Inc COM 65337y102 30 338881 SH SOLE 338881 Nokia Corp Spon ADR SPONOSRED ADR 654902204 3709 237774 SH SOLE 237774 Northern Trust COM 665859104 3666 70315 SH SOLE 70315 Novartis AG ADR SPONSORED ADR 66987V109 6331 127230 SH SOLE 127230 Novo-Nordisk A/S Sons Adr ADR 670100205 223 4339 SH SOLE 4339 Nueberger Berman CA Interm Mu COM 64123c101 210 20200 SH SOLE 20200 Nuveen CA Insured Prem Inc Mu COM 6706l0102 257 28290 SH SOLE 28290 Nuveen CA Muni Value Fund COM 67062c107 6673 803989 SH SOLE 803989 Nuveen CA Municipal Market Op COM 67062U107 163 17454 SH SOLE 17454 Nuveen Multi Strategy Inc & G COM SHS 67073d102 108 22174 SH SOLE 22174 Nuveen NJ Investment Qual Muni COM 670971100 179 18700 SH SOLE 18700 Nuveen NJ Premium Inc Muni COM 67101n106 286 28100 SH SOLE 28100 Nuveen Select Tax Free Inc PortSH BEN INT 67063c106 1789 139300 SH SOLE 139300 Oracle Corp COM 68389x105 944 53264 SH SOLE 53264 PacWest Bancorp COM 695263103 337 12511 SH SOLE 12511 PCM Fund Inc COM 69323t101 6543 1067476 SH SOLE 1067476 Pepsico Inc COM 713448108 292 5335 SH SOLE 5335 Petroleo Brasileiro S.A. SPONSORED ADR 71654V408 204 8320 SH SOLE 8320 Pfizer Inc. COM 717081103 677 38231 SH SOLE 38231 Philip Morris International COM 718172109 417 9575 SH SOLE 9575 Pimco CA Municipal Inc Fd III COM 72201c109 1472 238578 SH SOLE 238578 Pimco Corporate Opport Fund COM 72201b101 2968 283729 SH SOLE 283729 Pimco Floating Rate Income FundCOM 72201H108 480 67331 SH SOLE 67331 Pimco Floating Rate Strtgy F COM 72201j104 3901 634368 SH SOLE 634368 Pimco NY Muni Inc Fund COM 72201e105 181 29810 SH SOLE 29810 Procter & Gamble Co COM 742718109 820 13259 SH SOLE 13259 Qualcomm Inc COM 747525103 17313 483202 SH SOLE 483202 Reliant Energy Inc COM 75952b105 95 16350 SH SOLE 16350 Royal Bk of Scotland 7.25 Sr T SP ADR PREF 7 780097713 112 11000 SH SOLE 11000 S&P Dep Receipts Trust Ser I UNIT SER I 78462f103 2991 33144 SH SOLE 33144 Sclumberger LTD. COM 806857108 372 8789 SH SOLE 8789 Smith International COM 832110100 444 19393 SH SOLE 19393 SPDR Gold Trust GOLD SHS 78463v107 302 3495 SH SOLE 3495 Starbucks Corp COM 855244109 110 11618 SH SOLE 11618 SVB Financial Group COM 78486q101 472 17979 SH SOLE 17979 Teva Pharmaceutical ADR ADR 881624209 202 4734 SH SOLE 4734 The Charles Schwab Corp COM 808513105 3587 221870 SH SOLE 221870 Thermo Fisher Scientific COM 883556102 2823 82859 SH SOLE 82859 Time Warner Inc COM 887317105 283 28158 SH SOLE 28158 TSI Strategic Income Fund Inc COM 872340104 932 303429 SH SOLE 303429 United Parcel Service CL B CL B 911312106 8146 147684 SH SOLE 147684 United Technologies Corp COM 913017109 477 8904 SH SOLE 8904 Vanguard Short-Term Bond ETF SHORT TRM BOND 921937827 933 11580 SH SOLE 11580 Vanguard Total Stk Mkt Vipers STK MRK ETF 922908769 652 14579 SH SOLE 14579 Vanguard Total World Stock In TT WRLD ST ETF 922042742 445 13500 SH SOLE 13500 Verizon Communications COM 92343v104 298 8790 SH SOLE 8790 Visa Inc COM CL A 92826C839 330 6293 SH SOLE 6293 Volcom COM 92864n101 282 25875 SH SOLE 25875 Walgreen Co COM 931422109 8075 327308 SH SOLE 327308 Wal Mart Stores Inc COM 931142103 269 4805 SH SOLE 4805 Walt Disney Co COM DISNEY 254687106 8420 371093 SH SOLE 371093 Waste Management Inc COM 94106l109 7174 216477 SH SOLE 216477 Wells Fargo & Company COM 949746fa4 440 14929 SH SOLE 14929 Western Asset Emerg Mkts Debt COM 95766a101 5384 427605 SH SOLE 427605 Western Asset/Clym Treas Inf FdCOM 95766r104 412 39279 SH SOLE 39279 Western Union Co COM 959802109 4676 326049 SH SOLE 326049 Wyeth COM 983024100 214 5710 SH SOLE 5710
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