Chief Compliance Officer

0001308757-16-000010.txt : 20160210 0001308757-16-000010.hdr.sgml : 20160210 20160209205034 ACCESSION NUMBER: 0001308757-16-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160210 DATE AS OF CHANGE: 20160209 EFFECTIVENESS DATE: 20160210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALASA DINVERNO & FOLTZ LLC CENTRAL INDEX KEY: 0001308757 IRS NUMBER: 364445980 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11054 FILM NUMBER: 161401808 BUSINESS ADDRESS: BUSINESS PHONE: 630-875-4915 MAIL ADDRESS: STREET 1: 500 PARK BLVD STREET 2: SUITE 1400 CITY: ITASCA STATE: IL ZIP: 60143 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001308757 XXXXXXXX 12-31-2015 12-31-2015 BALASA DINVERNO & FOLTZ LLC

500 PARK BLVD SUITE 1400 ITASCA IL 60143

13F HOLDINGS REPORT 028-11054 N Susan C. Korin Chief Compliance Officer (630) 875-4917 Susan C. Korin Itasca IL 02-09-2016 0 202 595536 false INFORMATION TABLE 2 Dec2015.xml Guggenheim BulletShares 2016 Corporate Bond GUG BLT2016 HY 18383M415 303 13740 SH SOLE 0 0 13740 0 Guggenheim BulletShares 2017 Corporate Bond GUG BLT2017 HY 18383m399 372 16526 SH SOLE 0 0 16526 0 Guggenheim S&P 500 Pure Growth GUG S&P500 PU GR 78355W403 815 10102 SH SOLE 0 0 10102 0 Guggenheim S&P Small Cap 600 Pure Growth GUG S&P SC600 PG 78355W809 285 3525 SH SOLE 0 0 3525 0 Guggenheim S&P Small Cap 600 Pure Value GUG S&P SC600 PV 78355W700 217 3957 SH SOLE 0 0 3957 0 iShares Enhanced Int'l ENH INTL L CAP 46431W408 34911 1524505 SH SOLE 0 0 1524505 0 iShares Momentum MSCI USAMOMFCT 46432F396 37698 514363 SH SOLE 0 0 514363 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 13516 230182 SH SOLE 0 0 230182 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 7081 105469 SH SOLE 0 0 105469 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 409 8192 SH SOLE 0 0 8192 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 678 21075 SH SOLE 0 0 21075 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 816 10782 SH SOLE 0 0 10782 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 119589 1202145 SH SOLE 0 0 1202145 0 iShares Russell 1000 Index RUSSELL 1000 464287622 539 4753 SH SOLE 0 0 4753 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 71041 725945 SH SOLE 0 0 725945 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 413 2968 SH SOLE 0 0 2968 0 iShares Russell 2000 Index RUSSELL 2000 464287655 280 2484 SH SOLE 0 0 2484 0 iShares Russell 3000 Index RUSSELL 3000 464287689 268 2229 SH SOLE 0 0 2229 0 iShares Russell Micro Cap Index Fund RUSSELL MCP IDX 464287481 3271 45370 SH SOLE 0 0 45370 0 iShares S&P 500 S&P 500 INDEX 464287200 69122 337396 SH SOLE 0 0 337396 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 1784 15410 SH SOLE 0 0 15410 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 458 5179 SH SOLE 0 0 5179 0 iShares S&P Small Cap 600 Index CORE S&P SCP ETF 464287804 667 6057 SH SOLE 0 0 6057 0 iShares S&P/Barra 600 Value S&P SMLCP VALU 464287879 286 2643 SH SOLE 0 0 2643 0 PowerShares QQQ UNIT SER 1 73935A104 442 3954 SH SOLE 0 0 3954 0 S&P 500 SPDR UNIT SER 1 78462F103 1824 8947 SH SOLE 0 0 8947 0 Schwab US Broad Market ETF SCHWAB FDT US BM 808524789 201 4093 SH SOLE 0 0 4093 0 SPDR MSCI ACWI ex-US MSCI ACWI EXUS 78463X848 2276 73894 SH SOLE 0 0 73894 0 SPDR S&P Dividend S&P DIVID ETF 78464a763 384 5225 SH SOLE 0 0 5225 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 300 4500 SH SOLE 0 0 4500 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1354 12731 SH SOLE 0 0 12731 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 919 11274 SH SOLE 0 0 11274 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 72030 593133 SH SOLE 0 0 593133 0 Vanguard Total Stock Mkt VIPER TOTAL STK MKT 922908769 469 4494 SH SOLE 0 0 4494 0 3M Co. COM 88579y101 462 3068 SH SOLE 0 0 3068 0 Abbott Laboratories COM 002824100 558 12427 SH SOLE 0 0 12427 0 AbbVie Inc. COM 00287y109 746 12587 SH SOLE 0 0 12587 0 Accenture LTD Cl A COM g1151c101 275 2632 SH SOLE 0 0 2632 0 Aetna Inc. COM 00817Y108 361 3343 SH SOLE 0 0 3343 0 Alaska Air Group, Inc. COM 116591090 614 7623 SH SOLE 0 0 7623 0 Allergan Inc. COM 184901023 228 729 SH SOLE 0 0 729 0 Allstate Corp COM 020002101 663 10681 SH SOLE 0 0 10681 0 Alphabet Inc. Class A Voting Shares CL A 38259P508 1547 1989 SH SOLE 0 0 1989 0 Alphabet Inc. Class C Non Voting Shares CL C 38259p706 1151 1517 SH SOLE 0 0 1517 0 Altria Group COM 718154107 1632 28041 SH SOLE 0 0 28041 0 Amazon.Com COM 231351065 819 1212 SH SOLE 0 0 1212 0 American Express Co. COM 025816109 207 2976 SH SOLE 0 0 2976 0 American Intl Group Inc COM 026874784 1091 17602 SH SOLE 0 0 17602 0 American Shared Hospital Service COM 029595105 103 56000 SH SOLE 0 0 56000 0 Ameriprise Financial COM 03076c106 242 2277 SH SOLE 0 0 2277 0 Amgen Inc. COM 311621007 924 5695 SH SOLE 0 0 5695 0 AmTrust Financial Services, Inc. COM 323593095 433 7024 SH SOLE 0 0 7024 0 Anadarko Pete Corp COM 032511107 338 6962 SH SOLE 0 0 6962 0 Anthem Inc. COM 036752103 557 3998 SH SOLE 0 0 3998 0 AON Corp. COM 0408v1025 928 10059 SH SOLE 0 0 10059 0 Apple Computer, Inc. COM 378331003 5880 55859 SH SOLE 0 0 55859 0 Applied Materials Inc COM 382221059 400 21408 SH SOLE 0 0 21408 0 Aptar Group COM 383361037 872 12000 SH SOLE 0 0 12000 0 Assurant Inc. COM 04621X108 396 4917 SH SOLE 0 0 4917 0 Assured Guaranty Ltd. COM G0585R106 1706 64541 SH SOLE 0 0 64541 0 AT&T Inc. COM 00206R102 1308 38000 SH SOLE 0 0 38000 0 Atwood Oceanics COM 500951082 485 47363 SH SOLE 0 0 47363 0 Automatic Data Processing Inc. COM 530151034 201 2376 SH SOLE 0 0 2376 0 Autozone Inc. COM 533321022 231 312 SH SOLE 0 0 312 0 Avnet Inc. COM 053807103 624 14570 SH SOLE 0 0 14570 0 Bank of America Corp. COM 605051044 1150 68321 SH SOLE 0 0 68321 0 Berkshire Hathaway CL B NEW 846707024 2702 20465 SH SOLE 0 0 20465 0 Berkshire Hathaway CL A CL A 084990175 5341 2700 SH SOLE 0 0 2700 0 Biogen Idec Inc. COM 09062x103 316 1031 SH SOLE 0 0 1031 0 Boeing Co. COM 970231056 709 4901 SH SOLE 0 0 4901 0 Bristol-Myers Squibb Company COM 110122108 685 9952 SH SOLE 0 0 9952 0 British Petroleum Amoco COM 556221042 394 12618 SH SOLE 0 0 12618 0 Capital One Financial COM 14040H105 220 3044 SH SOLE 0 0 3044 0 Carmax COM 143130102 273 5067 SH SOLE 0 0 5067 0 Caterpillar Inc. COM 149123101 784 11536 SH SOLE 0 0 11536 0 Celgene Corp. COM 151020104 522 4359 SH SOLE 0 0 4359 0 Charles Schwab COM 808513105 554 16822 SH SOLE 0 0 16822 0 Charter Communications COM 16117M107 238 1300 SH SOLE 0 0 1300 0 ChevronTexaco Corp. COM 166764100 725 8058 SH SOLE 0 0 8058 0 Chimera Investment Corp. REIT COM 16934Q109 529 38816 SH SOLE 0 0 38816 0 Cigna Corp COM 125509109 549 3751 SH SOLE 0 0 3751 0 Circuit City Stores Inc COM 172737108 771 143850 SH SOLE 0 0 143850 0 Cisco Systems Inc. COM 17275R102 469 17254 SH SOLE 0 0 17254 0 Citigroup Inc. COM 172967424 522 10096 SH SOLE 0 0 10096 0 Coca Cola COM 191216100 475 11062 SH SOLE 0 0 11062 0 Colgate-Palmolive Co COM 194162103 364 5459 SH SOLE 0 0 5459 0 ComCast COM 20030N101 657 11643 SH SOLE 0 0 11643 0 Commerce Bancshares Inc. COM 200525103 1314 30880 SH SOLE 0 0 30880 0 Consolidated Edison COM 209115104 382 5942 SH SOLE 0 0 5942 0 Constellation A COM 21036P108 309 2166 SH SOLE 0 0 2166 0 CostCo Companies Inc. COM 22160k105 359 2224 SH SOLE 0 0 2224 0 Cummins Inc. COM 231021106 485 5508 SH SOLE 0 0 5508 0 CVS Health Corporation COM 126650100 771 7883 SH SOLE 0 0 7883 0 Danaher Corp. COM 235851102 306 3296 SH SOLE 0 0 3296 0 DCT Industrial Trust Inc COM 233153105 437 11691 SH SOLE 0 0 11691 0 Diageo COM 25243Q205 213 1953 SH SOLE 0 0 1953 0 Domtar Corp. COM 257559203 258 6987 SH SOLE 0 0 6987 0 Duke Energy COM 264399106 238 3327 SH SOLE 0 0 3327 0 Ebay, Inc. COM 278642103 555 20214 SH SOLE 0 0 20214 0 Edwards Lifesciences COM 28176E108 500 6332 SH SOLE 0 0 6332 0 Eli Lilly & Co. COM 532457108 337 3998 SH SOLE 0 0 3998 0 EP Energy Corporation CL A 268785102 51 11555 SH SOLE 0 0 11555 0 Equity Residential PPTY Trust COM 29476L107 616 7547 SH SOLE 0 0 7547 0 Everest RE Group LTD COM G3223R108 327 1785 SH SOLE 0 0 1785 0 Exelon Corporation COM 30161N101 328 11817 SH SOLE 0 0 11817 0 Express Scripts Inc. COM 302182100 291 3328 SH SOLE 0 0 3328 0 Exxon Mobil Corporation COM 30231G102 1544 19810 SH SOLE 0 0 19810 0 Facebook, Inc. COM 30303m102 678 6476 SH SOLE 0 0 6476 0 Fed Ex Corp COM 31428X106 429 2876 SH SOLE 0 0 2876 0 Fleetcor Technologies Inc. COM 339041105 17376 121568 SH SOLE 0 0 121568 0 Ford Motor Company COM 345370860 336 23876 SH SOLE 0 0 23876 0 Gaming & Leisure Properties Inc. COM 36467J108 275 9889 SH SOLE 0 0 9889 0 General Electric COM 369604103 960 30834 SH SOLE 0 0 30834 0 General Motors Corporation - Old COM 37045v100 619 18202 SH SOLE 0 0 18202 0 Gilead Sciences Inc. COM 375558103 1344 13281 SH SOLE 0 0 13281 0 Glaxosmithkline COM 37733W105 305 7569 SH SOLE 0 0 7569 0 Goldman Sachs Group COM 38141G104 329 1827 SH SOLE 0 0 1827 0 Goodyear Tire & Rubber COM 382550101 1336 40889 SH SOLE 0 0 40889 0 Halliburton Co COM 406216101 265 7782 SH SOLE 0 0 7782 0 Hewlett Packard Enterprise Company COM 42824C109 595 39139 SH SOLE 0 0 39139 0 Home Depot COM 437076102 1270 9601 SH SOLE 0 0 9601 0 Honeywell International COM 438516106 408 3937 SH SOLE 0 0 3937 0 Horizon Pharma Inc COM 44047T109 3261 150464 SH SOLE 0 0 150464 0 HP Inc. COM 428236103 163 13797 SH SOLE 0 0 13797 0 Hyatt Hotels COM CL A 448579102 242 5151 SH SOLE 0 0 5151 0 IBM COM 459200101 824 5986 SH SOLE 0 0 5986 0 Illinois Tool Works COM 452308109 522 5628 SH SOLE 0 0 5628 0 IMD Companies, Inc. COM 44969g101 0 300000 SH SOLE 0 0 300000 0 Ingram Micro Inc. CL A 457153104 327 10779 SH SOLE 0 0 10779 0 Intel Corp. COM 458140100 1732 50276 SH SOLE 0 0 50276 0 Intercontinental Hotels Group plc SPON ADR NEW2014 45857P509 247 6305 SH SOLE 0 0 6305 0 J P Morgan Chase & Co. COM 46625H100 1808 27385 SH SOLE 0 0 27385 0 JetBlue Airways Corp COM 477143101 1000 44149 SH SOLE 0 0 44149 0 Johnson & Johnson COM 478160104 1857 18079 SH SOLE 0 0 18079 0 Kimberly Clark Corp. COM 494368103 337 2646 SH SOLE 0 0 2646 0 Kraft Heinz Co. COM 500754106 210 2880 SH SOLE 0 0 2880 0 Kroger Co. COM 501044101 240 5745 SH SOLE 0 0 5745 0 Lockheed Martin Corp. COM 539830109 916 4220 SH SOLE 0 0 4220 0 Lowes Companies Inc. COM 548661107 363 4771 SH SOLE 0 0 4771 0 LyondellBasell Industries NV SHS - A - n53745100 531 6111 SH SOLE 0 0 6111 0 Manhattan Associates Inc. COM 562750109 363 5489 SH SOLE 0 0 5489 0 Marathon Petroleum Corporation COM 56585A102 341 6569 SH SOLE 0 0 6569 0 Mastercard Incorporated COM 57636Q104 508 5215 SH SOLE 0 0 5215 0 McDonald's Corporation COM 580135101 18597 157415 SH SOLE 0 0 157415 0 McKesson Corp. COM 58155Q103 295 1496 SH SOLE 0 0 1496 0 Merck & Co, Inc. COM 589331107 666 12600 SH SOLE 0 0 12600 0 Metlife Inc. COM 59156R108 248 5138 SH SOLE 0 0 5138 0 Microsoft Corp. COM 594918104 2474 44595 SH SOLE 0 0 44595 0 Mondelez International Inc. COM 609207105 249 5551 SH SOLE 0 0 5551 0 Morgan Stanley / Dean Witter COM 617446448 420 13210 SH SOLE 0 0 13210 0 Nano Labs Corp COM 148411101 0 620614 SH SOLE 0 0 620614 0 Nextera Energy, Inc. COM 65339f101 232 2231 SH SOLE 0 0 2231 0 Nike Inc Cl B COM 654106103 549 8788 SH SOLE 0 0 8788 0 Nisource Inc COM 65473P105 518 26574 SH SOLE 0 0 26574 0 Northern Trust COM 665859104 349 4847 SH SOLE 0 0 4847 0 Northrop Grumman Corp COM 666807102 352 1866 SH SOLE 0 0 1866 0 Occidental Petroleum Corp COM 674599105 256 3789 SH SOLE 0 0 3789 0 ONE Gas, Inc. COM 68235P108 436 8692 SH SOLE 0 0 8692 0 Oracle Corp. COM 68389X105 1156 31654 SH SOLE 0 0 31654 0 PartnerRe Ltd. COM G6852T105 892 6382 SH SOLE 0 0 6382 0 Pepsico Inc COM 713448108 586 5866 SH SOLE 0 0 5866 0 Pfizer Inc. COM 717081103 1144 35453 SH SOLE 0 0 35453 0 Philip Morris International Inc. COM 718172109 234 2657 SH SOLE 0 0 2657 0 Phillips 66 COM 718546104 391 4784 SH SOLE 0 0 4784 0 Pilgrim's Pride Corp COM 72147K108 225 10195 SH SOLE 0 0 10195 0 PNC Bank Corp. COM 693475105 216 2269 SH SOLE 0 0 2269 0 PPG Industries COM 693506107 212 2149 SH SOLE 0 0 2149 0 Procter & Gamble COM 742718109 597 7519 SH SOLE 0 0 7519 0 Prudential Securities COM 744320102 330 4058 SH SOLE 0 0 4058 0 Reinsurance Group of America Inc. COM NEW 759351604 376 4400 SH SOLE 0 0 4400 0 Reynolds American Inc. COM 761713106 373 8083 SH SOLE 0 0 8083 0 Rite Aid Corporation COM 767754104 99 12665 SH SOLE 0 0 12665 0 Rockwell Medical, Inc. COM 774374102 307 30000 SH SOLE 0 0 30000 0 Sabre Corporation COM 78573M104 369 13177 SH SOLE 0 0 13177 0 Solar Wind Energy Tower Inc. COM 83416B109 0 65000 SH SOLE 0 0 65000 0 Starbucks Corp. COM 855244109 739 12318 SH SOLE 0 0 12318 0 Talen Energy Corporation COM 87422J105 77 12435 SH SOLE 0 0 12435 0 TE Connectivity LTD COM H84989104 305 4723 SH SOLE 0 0 4723 0 Tesoro Corp. COM 881609101 963 9136 SH SOLE 0 0 9136 0 Texas Instruments Inc. COM 882508104 337 6148 SH SOLE 0 0 6148 0 Thermo Fisher Scientific Inc COM 883556102 295 2081 SH SOLE 0 0 2081 0 Tiffany & Co COM 886547108 359 4710 SH SOLE 0 0 4710 0 Time Warner Inc. New COM 887317105 378 5844 SH SOLE 0 0 5844 0 TJX Companies Inc. COM 872540109 303 4280 SH SOLE 0 0 4280 0 Travelers Companies Inc COM 89417E109 441 3911 SH SOLE 0 0 3911 0 Tribune Media Company COM 896047503 240 7100 SH SOLE 0 0 7100 0 Triple-S Management Corporation CL B 896749108 252 10548 SH SOLE 0 0 10548 0 Tyson Foods Inc. Class A COM 902494103 523 9815 SH SOLE 0 0 9815 0 Union Pacific COM 907818108 382 4884 SH SOLE 0 0 4884 0 United Health Care Corp. COM 91324P102 954 8108 SH SOLE 0 0 8108 0 United Parcel Service Class B COM 911312106 215 2236 SH SOLE 0 0 2236 0 United Technologies Corp. COM 913017109 343 3574 SH SOLE 0 0 3574 0 US Bancorp COM 902973304 278 6526 SH SOLE 0 0 6526 0 Valero Energy Corp. COM 91913Y100 1531 21651 SH SOLE 0 0 21651 0 Verizon Communications COM 92343V104 667 14433 SH SOLE 0 0 14433 0 Visa, Inc. COM 82826C839 1468 18935 SH SOLE 0 0 18935 0 Voya Financial Inc. COM 929089100 932 25251 SH SOLE 0 0 25251 0 Wal-Mart COM 931142103 558 9095 SH SOLE 0 0 9095 0 Walgreen Boots Alliance, Inc. COM 931427108 937 11007 SH SOLE 0 0 11007 0 Walt Disney Co. COM 254687106 2923 27819 SH SOLE 0 0 27819 0 WEC Energy Group Inc. COM 976657106 321 6257 SH SOLE 0 0 6257 0 Wells Fargo & Co New COM 949746101 3780 69529 SH SOLE 0 0 69529 0