0001019687-11-002547.txt : 20110811
0001019687-11-002547.hdr.sgml : 20110811
20110811152336
ACCESSION NUMBER: 0001019687-11-002547
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110811
DATE AS OF CHANGE: 20110811
EFFECTIVENESS DATE: 20110811
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: AL FRANK ASSET MANAGEMENT INC
CENTRAL INDEX KEY: 0001167495
IRS NUMBER: 954074555
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10139
FILM NUMBER: 111027561
BUSINESS ADDRESS:
STREET 1: 85 ARGONAUT, SUITE 220
CITY: ALISA VIEJO
STATE: CA
ZIP: 92656
BUSINESS PHONE: 9494977657
MAIL ADDRESS:
STREET 1: 85 ARGONAUT, SUITE 220
CITY: ALISA VIEJO
STATE: CA
ZIP: 92656
FORMER COMPANY:
FORMER CONFORMED NAME: FRANK AL ASSET MANAGEMENT INC
DATE OF NAME CHANGE: 20020214
13F-HR
1
alfrank_13fhr.txt
FORM 13F
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13f Cover Page
Report for the Calendar Year or Quarter Ended June 30, 2011
If amended report check here: |_| Amendment Number: ____
This Amendment (Check only one): |_| is a restatement
|_| adds new holding
entries.
Al Frank Asset Management, Inc.
--------------------------------------------------------------------------------
Name of Institutional Investment Manager
85 Argonaut, Suite 220 Alisa Viejo, CA 92656
--------------------------------------------------------------------------------
Business Address (Street) (City) (State) (Zip)
13F File Number: 28-_____________
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,
schedules, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
John Buckingham Chief Investment Officer (949) 499-3215
--------------------------------------------------------------------------------
Name (Title) (Phone)
/s/ John Buckingham
------------------------------------------
(Manual Signature of Person Duly
Authorized to Submit This Report)
Laguna Beach CA May 13, 2011
------------------------------------------
(Place and Date of Signing)
Report Type:
[X] 13F HOLDINGS REPORT.
[_] 13F NOTICE.
[_] 13F COMBINATION REPORT.
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 175
Form 13F Information Table Value Total: $494,575 (thousands)
List of Other Included Managers:
Name and 13F file numbers of ALL Institutional Investment Managers with respect
to which this schedule is filed (other than the one filing this report): (List
in alphabetical order).
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
13F File Numbers will be assigned to Institutional Investment Managers after
they file their first report.
13F File No.: Name: 13F File No.: Name:
------------- --------------------- ------------- ---------------------
1. 6.
------------- --------------------- ------------- ---------------------
2. 7.
------------- --------------------- ------------- ---------------------
3. 8.
------------- --------------------- ------------- ---------------------
4. 9.
------------- --------------------- ------------- ---------------------
5. 10.
------------- --------------------- ------------- ---------------------
AL FRANK ASSET MANAGEMENT QUARTER END 6/30/11
------------------------------------------------------------------------------------------------------------------------------------
ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8
FAIR INVESTMENT DISCRETION VOTING AUTHORITY
TITLE MARKET SHARES OF SHARED
NAME OF ISSUER OF CUSIP VALUE PRINCIPAL SOLE SHARED OTHER MANA- SOLE SHARED NONE
CLASS NUMBER (x$1000) AMOUNT (A) (B) (C) GERS (A) B) (C)
------------------------------------------------------------------------------------------------------------------------------------
Apple Computer COMMON 037833100 2,955 8,803 6,266 2,537
Arkansas Best COMMON 040790107 913 38,464 28,303 10,161
Abbott Laboratories COMMON 002824100 4,986 94,749 63,893 30,856
Aceto Corp COMMON 004446100 1,705 254,163 154,993 99,170
Archer-Daniels-Midland COMMON 039483102 5,526 183,296 126,293 57,002
American Eagle Outfitters COMMON 02553E106 1,925 150,994 107,143 43,851
Aetna COMMON 00817Y108 4,758 107,924 71,950 35,975
American Financial COMMON 025932104 1,955 54,770 30,945 23,825
Ameriprise Financial COMMON 03076C106 5,377 93,216 64,103 29,113
American Software COMMON 029683109 4,426 532,620 361,550 171,070
America Movil SA COMMON 02364W105 1,255 23,297 15,054 8,243
Alpha & Omega
Semiconductor Inc. COMMON g6331p104 940 70,960 70,085 875
Apache COMMON 037411105 5,584 45,255 31,039 14,216
Anadarko Petroleum COMMON 032511107 5,916 77,075 55,057 22,018
Activision Blizzard COMMON 00507V109 3,843 329,024 221,974 107,050
Yamana Gold COMMON 98462Y100 5,191 446,366 296,917 149,449
Avnet COMMON 053807103 1,317 41,313 36,340 4,973
AVX Corp COMMON 002444107 1,282 84,112 62,077 22,035
Axis Capital COMMON G0692U109 1,095 35,377 22,283 13,094
Baxter International COMMON 071813109 5,000 83,766 56,983 26,783
Black Box Corp COMMON 091826107 620 19,842 13,212 6,630
BB&T Corporation COMMON 054937107 3,374 125,699 85,810 39,889
Best Buy COMMON 086516101 932 29,671 16,998 12,673
Briggs & Stratton COMMON 109043109 5,874 295,755 198,335 97,420
Direxion Daily Large
Cap Bull 3X Shares ETF 25459W862 394 4,773 4,773 -
Benchmark Electronics COMMON 08160h101 4,134 250,534 175,200 75,334
BHP Billiton COMMON 088606108 2,431 25,689 20,739 4,950
Bank of NY Mellon Corp. COMMON 064058100 3,435 134,082 91,157 42,925
BioMed Realty COMMON 09063H107 3,490 181,401 127,406 53,995
Bristol Myers COMMON 110122108 3,716 128,315 87,886 40,429
Vanguard Total Bond Market ETF 921937835 5,239 64,549 58,622 5,927
Brocade Communications
Systems COMMON 111621306 3,182 492,628 297,023 195,605
Bristow Group Inc COMMON 110394103 5,637 110,484 78,976 31,508
Cal-Maine Foods COMMON 128030202 1,873 58,609 39,428 19,181
Caterpillar COMMON 149123101 1,337 12,557 6,259 6,298
Chubb Corporation COMMON 171232101 2,167 34,618 20,222 14,396
Carnival COMMON 143658300 540 14,347 13,893 454
Celanese Corp COMMON 150870103 4,959 93,013 57,023 35,990
Chesapeake Energy COMMON 165167107 5,673 191,066 129,158 61,908
iShares Barclays I
ntermediate Credit Bond ETF 464288638 2,276 21,349 19,094 2,255
Comcast Corp CL A COMMON 20030N101 5,140 202,829 134,339 68,489
Covidien PLC COMMON G2554F113 4,771 89,636 60,703 28,933
Compuware COMMON 205638109 1,192 122,082 101,032 21,050
Cisco Systems COMMON 17275R102 5,450 349,144 230,675 118,469
iShares Barclays 1-3
Year Credit Bond Fund ETF 464288646 2,280 21,729 19,438 2,291
Cooper Tire COMMON 216831107 3,276 165,556 122,014 43,542
Chevron COMMON 166764100 2,375 23,097 16,431 6,666
Ducommun COMMON 264147109 957 46,523 45,148 1,375
DuPont COMMON 263534109 2,832 52,390 35,500 16,890
DDi Corp. COMMON 233162502 363 38,045 16,410 21,635
Digi International COMMON 253798102 1,003 77,139 71,656 5,483
D R Horton COMMON 23331A109 1,803 156,506 110,660 45,846
Diodes COMMON 254543101 1,946 74,572 56,036 18,536
Disney, Walt COMMON 254687106 5,814 148,930 104,732 44,198
Delta Apparel COMMON 247368103 680 40,000 40,000 -
Diamond Offshore COMMON 25271c102 5,121 72,731 50,309 22,422
Darden Restaurants COMMON 237194105 438 8,796 6,183 2,613
DTE Energy Co. COMMON 233331107 6,124 122,425 81,205 41,220
Devon Energy COMMON 25179M103 1,708 21,674 15,988 5,686
Direxion Daily Devel
Mkts Bull 3X Shares ETF 25459W789 415 5,704 5,704 -
ENI SPA ADR COMMON 26874r108 829 17,441 8,931 8,510
E-Bay COMMON 278642103 1,172 36,324 23,845 12,479
Direxion Daily Emerg
Mkts Bull 3X Shares ETF 25459W300 352 9,281 9,281 -
Edison International COMMON 281020107 2,180 56,258 42,452 13,806
Market Vectors Emerging
Markets Local Currency Bond ETF 57060u522 1,517 55,251 50,827 4,424
Endurance Specialty COMMON g30397106 1,078 26,077 19,932 6,145
Ericsson COMMON 294821608 3,989 277,429 165,326 112,102
Eaton COMMON 278058102 6,659 129,431 88,979 40,452
Exelon COMMON 30161N101 363 8,468 3,188 5,280
Freeport McMoran Copper
& Gold COMMON 35671D857 6,916 130,731 86,495 86,495
Foot Locker COMMON 344849104 246 10,363 7,328 3,035
General Dynamics COMMON 369550108 1,062 14,248 11,813 2,435
Corning COMMON 219350105 1,795 98,925 76,959 21,966
Genuine Parts COMMON 372460105 582 10,691 6,196 4,495
Goldman Sachs Group COMMON 38141G104 3,715 27,912 19,185 8,727
Hasbro COMMON 418056107 3,036 69,112 50,583 18,529
HSBC Holdings ADR COMMON 404280406 205 4,134 2,344 1,790
Hudson City Bancorp COMMON 443683107 4,029 491,969 325,384 166,585
Home Depot COMMON 437076102 5,066 139,879 94,405 45,473
Helen of Troy Ltd. COMMON G4388N106 912 26,410 19,405 7,005
Hewlett-Packard COMMON 428236103 1,593 43,755 30,064 13,691
Heartland Payment Systems COMMON 42235N108 2,255 109,473 67,088 42,385
iShares IBOXX $ High
Yield Corp Bond Fund ETF 464288513 1,277 13,986 13,986 -
iShares Trust Comex
Gold ETF ETF 464285105 667 45,564 45,564 -
Int'l Business Machines COMMON 459200101 5,133 29,923 20,818 9,105
iShares Barclays 7-10
Year Treasury Bond ETF 464287440 4,029 42,031 38,803 3,228
Int'l Game Technology COMMON 459902102 1,180 67,148 46,646 20,502
Ingram Micro COMMON 457153104 4,055 223,538 150,345 73,193
Intel COMMON 458140100 5,342 241,081 158,787 82,294
Jack in the Box COMMON 466367109 1,310 57,510 34,955 22,555
Johnson & Johnson COMMON 478160104 2,552 38,361 28,049 10,312
Barclays Capital High
Yield Bond ETF 78464a417 7,243 180,083 164,657 15,426
JP Morgan Chase COMMON 46625H100 5,151 125,827 85,784 40,043
Kraft Foods CL A COMMON 50075N104 2,558 72,607 50,053 22,554
Lithia Motors COMMON 536797103 741 37,764 30,000 7,764
L-3 Communications Holdings COMMON 502424104 6,260 71,584 47,550 24,033
Lockheed Martin COMMON 539830109 4,977 61,468 39,042 22,426
iShares iBoxx $ InvesTop
Investment Grade Bond
Fund ETF 464287242 499 4,534 4,534 -
Lam Research COMMON 512807108 1,322 29,846 24,949 4,897
LTC Properties COMMON 502175102 871 31,311 13,591 17,720
Mattel COMMON 577081102 2,310 84,045 59,053 24,992
Microchip Tech COMMON 595017104 1,007 26,556 12,957 13,599
McKesson COMMON 58155Q103 5,689 68,005 46,510 21,495
MDC Holdings COMMON 552676108 2,116 85,870 54,896 30,9746
Medtronic COMMON 585055106 537 13,929 7,095 6,834
Methanex COMMON 59151K108 4,546 144,877 88,187 56,690
Metlife COMMON 59156r108 1,071 24,407 19,863 4,544
3M Corp. COMMON 88579Y101 1,443 15,210 7,597 7,613
Marathon Oil COMMON 565849106 7,837 148,769 103,399 45,370
Microsoft COMMON 594918104 5,342 205,460 145,545 59,915
NASDAQ Stock Market COMMON 631103108 1,301 51,435 39,450 11,985
Navios Maritime
Holdings Inc. COMMON Y62196103 3,792 736,217 487,917 248,301
Norfolk Southern COMMON 655844108 7,290 97,292 66,218 31,074
Nutrisystem COMMON 67069D108 253 17,995 13,825 4,170
Nippon Telegraph and
Telephone COMMON 654624105 5,673 234,597 153,197 81,400
Nucor COMMON 670346105 1,296 31,433 18,822 12,611
Novartis COMMON 66987V109 4,524 74,030 50,855 23,175
Newell Rubbermaid COMMON 651229106 260 16,498 13,666 2,832
New York Community COMMON 649445103 546 36,421 15,626 20,795
OM Group COMMON 670872100 1,660 40,852 33,527 7,325
Oracle COMMON 68389X105 416 12,632 3,942 8,690
Petroleo Brasileiro SA COMMON 71654V408 4,100 121,086 84,241 36,845
Pepsico COMMON 713448108 1,216 17,266 12,147 5,119
Parker-Hannifin COMMON 701094104 337 3,756 2,541 1,215
Philip Morris Int'l COMMON 718172109 5,799 86,846 58,435 28,411
Palomar Med Tech COMMON 697529303 4,084 362,101 253,320 108,781
Progress Software COMMON 743312100 241 10,005 2,925 7,080
Prudential COMMON 744320102 4,854 76,332 51,473 24,859
Pericom Semiconductor COMMON 713831105 1,138 127,280 102,240 25,040
Phillips Van Heusen COMMON 718592108 1,555 23,745 14,284 9,461
Raymond James COMMON 754730109 439 13,648 7,960 5,688
Raytheon Co. COMMON 755111507 873 17,509 15,900 1,609
Ship Finance Int'l COMMON G81075106 339 18,836 9,018 9,818
iShares Barclays Lehman
1-3 Year Treasury Bond ETF 464287457 1,144 13,569 12,132 1,437
Smith Midland Corp. COMMON 832156103 480 289,000 287,000 2,000
Staples COMMON 855030102 5,264 333,138 217,996 115,142
Standard & Poor's
Depository Receipt ETF 78462F103 357 2,708 2,708 -
Stage Stores COMMON 85254c305 6,271 373,286 246,815 126,472
STMicroelectronics N.V. COMMON 861012102 4,673 469,184 316,420 152,764
Seagate Tech COMMON g7945m107 3,972 245,786 155,780 90,006
Stanley Works COMMON 854502101 1,078 14,968 9,423 5,545
Symantec COMMON 871503108 1,427 72,341 60,860 11,481
TCF Financial COMMON 872275102 2,820 204,330 142,703 61,627
Tidewater COMMON 886423102 1,550 28,804 22,575 6,229
iShares Barclays Tip ETF 464287176 1,339 12,105 12,105 -
ishares Barclays 20+ Year
Treasury Bond ETF 464287462 2,237 23,775 21,268 2,507
Thermo Fisher Scientific COMMON 883556102 4,000 62,123 44,910 17,213
Tsakos Energy COMMON G9108L108 4,322 432,219 276,308 155,911
Toll Brothers COMMON 889478103 1,361 65,635 49,040 16,595
Total SA ADR COMMON 89151e109 613 10,595 4,172 6,423
Tutor Perini Corp COMMON 901109108 4,531 236,212 164,927 71,285
The Travelers Companies COMMON 89417e109 3,196 54,751 37,616 17,135
Tyson Foods COMMON 902494103 4,479 230,632 157,991 72,640
TTM Technologies COMMON 87305R109 503 31,415 24,295 7,120
UnitedHealth Group, Inc COMMON 91324p102 4,384 84,987 58,713 26,274
United Online COMMON 911268100 4,377 725,933 485,189 240,744
U R S COMMON 903236107 4,814 107,608 73,883 33,725
United Technologies COMMON 913017109 4,036 45,604 29,395 16,209
Vanguard Eur Pac ETF ETF 921943858 371 9,749 9,749 -
VF Corp COMMON 918204108 1,563 14,393 8,362 6,031
Vanguard SF REIT ETF ETF 922908553 1,228 20,439 20,439 -
Vishay Intertechnology COMMON 928298108 1,694 112,618 79,316 33,302
Vanguard Emerging
Markets ETF ETF 922042858 326 6,705 6,705 -
Verizon Communications COMMON 92343V104 5,144 138,158 90,708 47,449
Walgreen COMMON 931422109 5,593 131,717 90,271 41,446
Wesco Intl COMMON 95082P105 1,799 33,267 19,865 13,402
Western Digital COMMON 958102105 2,485 68,303 55,066 13,237
Wells Fargo & Co. COMMON 949746101 993 35,398 34,238 1,160
Weatherford Intl COMMON H27013103 3,709 197,803 120,592 77,211
Whirpool COMMON 963320106 6,181 76,006 50,513 25,493
Waste Management COMMON 94106L109 5,383 144,435 96,823 47,612
Wal-Mart Stores COMMON 931142103 4,435 83,454 55,804 27,650
Wayside Technology Group COMMON 946760105 1,965 144,899 105,532 39,367
World Wrestling Ent COMMON 98156Q108 471 49,460 23,445 26,015
Exxon Mobil COMMON 30231G102 5,503 67,626 48,120 19,506
Xyratex COMMON G98268108 2,979 290,330 194,545 95,785