Vice President & Secretary

0001140361-14-031937.txt : 20140813 0001140361-14-031937.hdr.sgml : 20140812 20140812163620 ACCESSION NUMBER: 0001140361-14-031937 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140812 DATE AS OF CHANGE: 20140812 EFFECTIVENESS DATE: 20140812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ASSETMARK, INC CENTRAL INDEX KEY: 0001344551 IRS NUMBER: 582113323 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11546 FILM NUMBER: 141034401 BUSINESS ADDRESS: STREET 1: 1655 GRANT STREET STREET 2: 10TH FLOOR CITY: CONCORD STATE: CA ZIP: 94520 BUSINESS PHONE: 800-664-5345 MAIL ADDRESS: STREET 1: 1655 GRANT STREET STREET 2: 10TH FLOOR CITY: CONCORD STATE: CA ZIP: 94520 FORMER COMPANY: FORMER CONFORMED NAME: GENWORTH FINANCIAL WEALTH MANAGEMENT, INC DATE OF NAME CHANGE: 20090206 FORMER COMPANY: FORMER CONFORMED NAME: GENWORTH FINANCIAL ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20060705 FORMER COMPANY: FORMER CONFORMED NAME: GE PRIVATE ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20051116 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001344551 XXXXXXXX 06-30-2014 06-30-2014 ASSETMARK, INC

1655 GRANT STREET 10TH FLOOR CONCORD CA 94520

13F HOLDINGS REPORT 028-11546 N Regina Fink Vice President & Secretary 818-528-3710 Regina Fink Encino CA 08-06-2014 3 524 4695084 false 1 0001585202 028-15638 AqGen Liberty Holdings, LLC 2 0001591587 028-15639 AssetMark Financial Holdings, Inc. 3 0001591586 028-15637 AssetMark Financial, Inc. INFORMATION TABLE 2 form13fInfoTable.xml ABM INDS INC COM COM 000957100 514 19061 SH DFND 1,2,3 19061 0 0 AGL RES INC COM COM 001204106 1 11 SH DFND 1,2,3 11 0 0 AES CORP COM COM 00130H105 1332 85690 SH DFND 1,2,3 85690 0 0 ABBOTT LABS COM COM 002824100 4797 117297 SH DFND 1,2,3 117297 0 0 ACETO CORP COM COM 004446100 739 40736 SH DFND 1,2,3 40736 0 0 ADOBE SYS INC COM COM 00724F101 265 3665 SH DFND 1,2,3 3665 0 0 AFFILIATED MANAGERS GROUP COM COM 008252108 1614 7859 SH DFND 1,2,3 7859 0 0 AGILENT TECHNOLOGIES INC COM COM 00846U101 2716 47287 SH DFND 1,2,3 47287 0 0 AIR METHODS CORP COM PAR $.06 COM 009128307 887 17180 SH DFND 1,2,3 17180 0 0 AIR PRODS & CHEMS INC COM COM 009158106 2 14 SH DFND 1,2,3 14 0 0 AKORN INC COM COM 009728106 2942 88488 SH DFND 1,2,3 88488 0 0 ALCATEL-LUCENT SPONSORED ADR SPONSORED ADR 013904305 887 249156 SH DFND 1,2,3 249156 0 0 ALLERGAN INC COM COM 018490102 1250 7385 SH DFND 1,2,3 7385 0 0 ALLSTATE CORP COM COM 020002101 2503 42623 SH DFND 1,2,3 42623 0 0 AMBEV SA SPONSORED ADR SPONSORED ADR 02319V103 1157 164346 SH DFND 1,2,3 164346 0 0 AMEREN CORP COM COM 023608102 0 10 SH DFND 1,2,3 10 0 0 AMERICAN CAMPUS CMNTYS INC COM COM 024835100 938 24539 SH DFND 1,2,3 24539 0 0 AMERICAN ELEC PWR INC COM COM 025537101 2046 36691 SH DFND 1,2,3 36691 0 0 AMERICAN EQTY INVT LIFE HLD COM COM 025676206 902 36683 SH DFND 1,2,3 36683 0 0 AMERICAN HOMES 4 RENT CL A CL A 02665T306 1117 62894 SH DFND 1,2,3 62894 0 0 AMERICAN RESIDENTIAL PPTYS I COM COM 02927E303 1073 57206 SH DFND 1,2,3 57206 0 0 AMERICAN TOWER CORP NEW COM COM 03027X100 979 10884 SH DFND 1,2,3 10884 0 0 AMERICAN VANGUARD CORP COM COM 030371108 0 1 SH DFND 1,2,3 1 0 0 AMGEN INC COM COM 031162100 1696 14332 SH DFND 1,2,3 14332 0 0 ANALOG DEVICES INC COM COM 032654105 1260 23296 SH DFND 1,2,3 23296 0 0 ANDERSONS INC COM COM 034164103 330 6397 SH DFND 1,2,3 6397 0 0 ANN INC COM COM 035623107 879 21354 SH DFND 1,2,3 21354 0 0 APARTMENT INVT & MGMT CO CL A CL A 03748R101 2311 71627 SH DFND 1,2,3 71627 0 0 APPLE INC COM COM 037833100 672 7226 SH DFND 1,2,3 7226 0 0 APPLIED MATLS INC COM COM 038222105 1878 83276 SH DFND 1,2,3 83276 0 0 ARM HLDGS PLC SPONSORED ADR SPONSORED ADR 042068106 845 18682 SH DFND 1,2,3 18682 0 0 ARUBA NETWORKS INC COM COM 043176106 1 53 SH DFND 1,2,3 53 0 0 ATHENAHEALTH INC COM COM 04685W103 1 10 SH DFND 1,2,3 10 0 0 ATMOS ENERGY CORP COM COM 049560105 831 15553 SH DFND 1,2,3 15553 0 0 AUTOMATIC DATA PROCESSING IN COM COM 053015103 2156 27193 SH DFND 1,2,3 27193 0 0 AVALONBAY CMNTYS INC COM COM 053484101 2119 14900 SH DFND 1,2,3 14900 0 0 BARCLAYS BK PLC DJUBS CMDT ETN36 ETN 06738C778 6606 167501 SH DFND 1,2,3 167501 0 0 BARCLAYS BK PLC S&P 500 VEQTOR ETN 06740C337 27954 187224 SH DFND 1,2,3 187224 0 0 BARCLAYS BK PLC 30 YR TREAS BEAR ETN 06740L444 13 457 SH DFND 1,2,3 457 0 0 BARCLAYS BK PLC 10 YR TREAS BEAR ETN 06740L451 36 1345 SH DFND 1,2,3 1345 0 0 BARCLAYS BK PLC IPTH NAT GAS ETN 06740P239 2 60 SH DFND 1,2,3 60 0 0 BARCLAYS BK PLC IPATH S&P500 VIX ETN 06742E711 4 152 SH DFND 1,2,3 152 0 0 BAXTER INTL INC COM COM 071813109 2002 27686 SH DFND 1,2,3 27686 0 0 B/E AEROSPACE INC COM COM 073302101 2338 25283 SH DFND 1,2,3 25283 0 0 BEACON ROOFING SUPPLY INC COM COM 073685109 840 25349 SH DFND 1,2,3 25349 0 0 BECTON DICKINSON & CO COM COM 075887109 1 11 SH DFND 1,2,3 11 0 0 BELLATRIX EXPLORATION LTD COM COM 078314101 1636 187820 SH DFND 1,2,3 187820 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW CL B 084670702 2242 17713 SH DFND 1,2,3 17713 0 0 BLACKROCK INC COM COM 09247X101 300 940 SH DFND 1,2,3 940 0 0 BOEING CO COM COM 097023105 3922 30824 SH DFND 1,2,3 30824 0 0 BRF SA SPONSORED ADR ADR 10552T107 2 87 SH DFND 1,2,3 87 0 0 CECO ENVIRONMENTAL CORP COM COM 125141101 913 58580 SH DFND 1,2,3 58580 0 0 CIT GROUP INC COM NEW COM 125581801 0 4 SH DFND 1,2,3 4 0 0 CMS ENERGY CORP COM COM 125896100 514 16486 SH DFND 1,2,3 16486 0 0 CVS CAREMARK CORPORATION COM COM 126650100 2261 30000 SH DFND 1,2,3 30000 0 0 CABLEVISION SYS CORP CL A NY CABLVS CL A 12686C109 0 1 SH DFND 1,2,3 1 0 0 CALPINE CORP COM NEW COM 131347304 722 30327 SH DFND 1,2,3 30327 0 0 CAMERON INTERNATIONAL CORP COM COM 13342B105 1178 17394 SH DFND 1,2,3 17394 0 0 CARRIZO OIL & GAS INC COM COM 144577103 1319 19041 SH DFND 1,2,3 19041 0 0 CASH AMER INTL INC COM COM 14754D100 0 9 SH DFND 1,2,3 9 0 0 CATAMARAN CORP COM COM 148887102 2 46 SH DFND 1,2,3 46 0 0 CENTENE CORP DEL COM COM 15135B101 3208 42428 SH DFND 1,2,3 42428 0 0 CERNER CORP COM COM 156782104 2144 41576 SH DFND 1,2,3 41576 0 0 CHART INDS INC COM PAR $0.01 COM 16115Q308 0 1 SH DFND 1,2,3 1 0 0 CHENIERE ENERGY INC COM NEW COM 16411R208 1388 19359 SH DFND 1,2,3 19359 0 0 CHESAPEAKE LODGING TR SH BEN INT COM 165240102 2781 91988 SH DFND 1,2,3 91988 0 0 CHEVRON CORP NEW COM COM 166764100 2191 16780 SH DFND 1,2,3 16780 0 0 CHICAGO BRIDGE & IRON CO N V COM COM 167250109 701 10285 SH DFND 1,2,3 10285 0 0 CHURCH & DWIGHT INC COM COM 171340102 2841 40619 SH DFND 1,2,3 40619 0 0 CISCO SYS INC COM COM 17275R102 0 1 SH DFND 1,2,3 1 0 0 CITIGROUP INC COM NEW COM 172967424 2388 50709 SH DFND 1,2,3 50709 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG ENH SHT DUR ETF 18383M654 7 138 SH DFND 1,2,3 138 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG CHN SML CAP ETF 18383Q853 385 15271 SH DFND 1,2,3 15271 0 0 CLIFFS NAT RES INC COM COM 18683K101 0 8 SH DFND 1,2,3 8 0 0 COCA COLA CO COM COM 191216100 2130 50283 SH DFND 1,2,3 50283 0 0 COLGATE PALMOLIVE CO COM COM 194162103 1 8 SH DFND 1,2,3 8 0 0 COLUMBUS MCKINNON CORP N Y COM COM 199333105 806 29780 SH DFND 1,2,3 29780 0 0 COMCAST CORP NEW CL A COM 20030N101 2439 45438 SH DFND 1,2,3 45438 0 0 COMCAST CORP NEW CL A SPL CL A 20030N200 1530 28688 SH DFND 1,2,3 28688 0 0 COMERICA INC COM COM 200340107 1280 25519 SH DFND 1,2,3 25519 0 0 CONAGRA FOODS INC COM COM 205887102 0 1 SH DFND 1,2,3 1 0 0 CONOCOPHILLIPS COM COM 20825C104 585 6820 SH DFND 1,2,3 6820 0 0 COVANTA HLDG CORP COM COM 22282E102 1702 82592 SH DFND 1,2,3 82592 0 0 CRACKER BARREL OLD CTRY STOR COM COM 22410J106 917 9214 SH DFND 1,2,3 9214 0 0 CRITEO S A SPONS ADS SPONSORED ADR 226718104 800 23683 SH DFND 1,2,3 23683 0 0 CURRENCYSHS BRIT POUND STER BRIT POUND STE ETF 23129S106 2034 12077 SH DFND 1,2,3 12077 0 0 CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL ETF 23129U101 2033 21532 SH DFND 1,2,3 21532 0 0 CUSTOMERS BANCORP INC COM COM 23204G100 397 19834 SH DFND 1,2,3 19834 0 0 CYPRESS SEMICONDUCTOR CORP COM COM 232806109 0 17 SH DFND 1,2,3 17 0 0 D R HORTON INC COM COM 23331A109 2 66 SH DFND 1,2,3 66 0 0 DANA HLDG CORP COM COM 235825205 1688 69116 SH DFND 1,2,3 69116 0 0 DANAHER CORP DEL COM COM 235851102 2281 28968 SH DFND 1,2,3 28968 0 0 DATALINK CORP COM COM 237934104 0 1 SH DFND 1,2,3 1 0 0 DIGITAL RLTY TR INC COM COM 253868103 2768 47458 SH DFND 1,2,3 47458 0 0 DISCOVERY COMMUNICATNS NEW COM SER C COM 25470F302 221 3046 SH DFND 1,2,3 3046 0 0 DOW CHEM CO COM COM 260543103 1 15 SH DFND 1,2,3 15 0 0 DRIL-QUIP INC COM COM 262037104 887 8116 SH DFND 1,2,3 8116 0 0 DU PONT E I DE NEMOURS & CO COM COM 263534109 4841 73978 SH DFND 1,2,3 73978 0 0 E M C CORP MASS COM COM 268648102 1704 64699 SH DFND 1,2,3 64699 0 0 EQT CORP COM COM 26884L109 903 8446 SH DFND 1,2,3 8446 0 0 EAST WEST BANCORP INC COM COM 27579R104 1 26 SH DFND 1,2,3 26 0 0 EASTMAN CHEM CO COM COM 277432100 655 7498 SH DFND 1,2,3 7498 0 0 ECOLAB INC COM COM 278865100 1864 16742 SH DFND 1,2,3 16742 0 0 EDISON INTL COM COM 281020107 987 16990 SH DFND 1,2,3 16990 0 0 EDUCATION RLTY TR INC COM COM 28140H104 1100 102389 SH DFND 1,2,3 102389 0 0 EMBRAER S A SP ADR REP 4 COM COM 29082A107 814 22339 SH DFND 1,2,3 22339 0 0 EMERSON ELEC CO COM COM 291011104 1376 20733 SH DFND 1,2,3 20733 0 0 ENCORE CAP GROUP INC COM COM 292554102 506 11151 SH DFND 1,2,3 11151 0 0 ENERSYS COM COM 29275Y102 2134 31017 SH DFND 1,2,3 31017 0 0 EQUINIX INC COM NEW COM 29444U502 0 2 SH DFND 1,2,3 2 0 0 ERICSSON ADR B SEK 10 COM 294821608 1 115 SH DFND 1,2,3 115 0 0 ESSEX PPTY TR INC COM COM 297178105 2765 14954 SH DFND 1,2,3 14954 0 0 EXELON CORP COM COM 30161N101 937 25672 SH DFND 1,2,3 25672 0 0 EXELIS INC COM COM 30162A108 1455 85673 SH DFND 1,2,3 85673 0 0 EXPEDITORS INTL WASH INC COM COM 302130109 677 15331 SH DFND 1,2,3 15331 0 0 EXXON MOBIL CORP COM COM 30231G102 2519 25015 SH DFND 1,2,3 25015 0 0 FIRST INTST BANCSYSTEM INC COM CL A CL A 32055Y201 975 35880 SH DFND 1,2,3 35880 0 0 FIRST POTOMAC RLTY TR COM COM 33610F109 2486 189480 SH DFND 1,2,3 189480 0 0 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX ETF 33734X176 13 404 SH DFND 1,2,3 404 0 0 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH COM 33737J182 186 7373 SH DFND 1,2,3 7373 0 0 FLUOR CORP NEW COM COM 343412102 1 10 SH DFND 1,2,3 10 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS SPONSORED ADR 344419106 786 8391 SH DFND 1,2,3 8391 0 0 FOOT LOCKER INC COM COM 344849104 4036 79578 SH DFND 1,2,3 79578 0 0 FORTINET INC COM COM 34959E109 2569 102224 SH DFND 1,2,3 102224 0 0 GENERAL ELECTRIC CO COM COM 369604103 2205 83897 SH DFND 1,2,3 83897 0 0 GENERAL MTRS CO COM COM 37045V100 1370 37747 SH DFND 1,2,3 37747 0 0 GENESCO INC COM COM 371532102 793 9653 SH DFND 1,2,3 9653 0 0 GLIMCHER RLTY TR SH BEN INT COM 379302102 2625 242380 SH DFND 1,2,3 242380 0 0 GREAT PLAINS ENERGY INC COM COM 391164100 192 7147 SH DFND 1,2,3 7147 0 0 GRIFOLS S A SP ADR REP B NVT SPONSORED ADR 398438408 3122 70866 SH DFND 1,2,3 70866 0 0 GROUPE CGI INC CL A SUB VTG CL A 39945C109 1798 50663 SH DFND 1,2,3 50663 0 0 GRUPO TELEVISA SA SPON ADR REP ORD SPONSORED ADR 40049J206 809 23591 SH DFND 1,2,3 23591 0 0 GULFPORT ENERGY CORP COM NEW COM 402635304 2269 36125 SH DFND 1,2,3 36125 0 0 HCP INC COM COM 40414L109 2662 64333 SH DFND 1,2,3 64333 0 0 HDFC BANK LTD ADR REPS 3 SHS ADR 40415F101 902 19259 SH DFND 1,2,3 19259 0 0 HALLIBURTON CO COM COM 406216101 743 10469 SH DFND 1,2,3 10469 0 0 HANGER INC COM NEW COM 41043F208 776 24673 SH DFND 1,2,3 24673 0 0 HILLTOP HOLDINGS INC COM COM 432748101 550 25878 SH DFND 1,2,3 25878 0 0 HOLOGIC INC COM COM 436440101 0 14 SH DFND 1,2,3 14 0 0 HOME DEPOT INC COM COM 437076102 1 11 SH DFND 1,2,3 11 0 0 HONEYWELL INTL INC COM COM 438516106 2304 24786 SH DFND 1,2,3 24786 0 0 HUANENG PWR INTL INC SPON ADR H SHS SPONSORED ADR 443304100 2 48 SH DFND 1,2,3 48 0 0 IBERIABANK CORP COM COM 450828108 1901 27472 SH DFND 1,2,3 27472 0 0 ICICI BK LTD ADR SPONSORED ADR 45104G104 871 17454 SH DFND 1,2,3 17454 0 0 ILLINOIS TOOL WKS INC COM COM 452308109 1737 19842 SH DFND 1,2,3 19842 0 0 IMAX CORP COM COM 45245E109 1 47 SH DFND 1,2,3 47 0 0 INFORMATICA CORP COM COM 45666Q102 1 42 SH DFND 1,2,3 42 0 0 INSIGHT ENTERPRISES INC COM COM 45765U103 467 15189 SH DFND 1,2,3 15189 0 0 INSPERITY INC COM COM 45778Q107 0 12 SH DFND 1,2,3 12 0 0 INTERNATIONAL BUSINESS MACHS COM COM 459200101 2329 12850 SH DFND 1,2,3 12850 0 0 INTUIT COM COM 461202103 211 2622 SH DFND 1,2,3 2622 0 0 IRELAND BK SPNSRD ADR NEW ADR 46267Q202 2165 155760 SH DFND 1,2,3 155760 0 0 ISHARES GOLD TRUST ISHARES ETF 464285105 4 333 SH DFND 1,2,3 333 0 0 ISHARES MSCI AUST ETF ETF 464286103 2356 90177 SH DFND 1,2,3 90177 0 0 ISHARES MSCI BRZ CAP ETF ETF 464286400 1953 40882 SH DFND 1,2,3 40882 0 0 ISHARES MSCI CDA ETF ETF 464286509 68157 2116017 SH DFND 1,2,3 2116017 0 0 ISHARES MSCI PAC JP ETF ETF 464286665 46771 949657 SH DFND 1,2,3 949657 0 0 ISHARES MSCI UK ETF ETF 464286699 3 136 SH DFND 1,2,3 136 0 0 ISHARES MSCI SZ CAP ETF ETF 464286749 21091 614549 SH DFND 1,2,3 614549 0 0 ISHARES MSCI SPAN CP ETF ETF 464286764 2159 50412 SH DFND 1,2,3 50412 0 0 ISHARES MSCI STH KOR ETF ETF 464286772 1098 16885 SH DFND 1,2,3 16885 0 0 ISHARES MSCI GERMANY ETF ETF 464286806 6 180 SH DFND 1,2,3 180 0 0 ISHARES MSCI JAPAN ETF ETF 464286848 48735 4047761 SH DFND 1,2,3 4047761 0 0 ISHARES MSCI ITALCPD ETF ETF 464286855 2123 122156 SH DFND 1,2,3 122156 0 0 ISHARES S&P 100 ETF ETF 464287101 15423 178238 SH DFND 1,2,3 178238 0 0 ISHARES SELECT DIVID ETF ETF 464287168 17736 230401 SH DFND 1,2,3 230401 0 0 ISHARES TIPS BD ETF ETF 464287176 63626 551545 SH DFND 1,2,3 551545 0 0 ISHARES CHINA LG-CAP ETF ETF 464287184 379 10230 SH DFND 1,2,3 10230 0 0 ISHARES CORE S&P500 ETF ETF 464287200 46 235 SH DFND 1,2,3 235 0 0 ISHARES CORE TOTUSBD ETF ETF 464287226 2037 18624 SH DFND 1,2,3 18624 0 0 ISHARES MSCI EMG MKT ETF ETF 464287234 153410 3548692 SH DFND 1,2,3 3548692 0 0 ISHARES IBOXX INV CP ETF ETF 464287242 60738 509288 SH DFND 1,2,3 509288 0 0 ISHARES S&P 500 GRWT ETF ETF 464287309 71 676 SH DFND 1,2,3 676 0 0 ISHARES LATN AMER 40 ETF ETF 464287390 1979 51729 SH DFND 1,2,3 51729 0 0 ISHARES S&P 500 VAL ETF ETF 464287408 23 258 SH DFND 1,2,3 258 0 0 ISHARES 20+ YR TR BD ETF ETF 464287432 42913 378024 SH DFND 1,2,3 378024 0 0 ISHARES 7-10 Y TR BD ETF ETF 464287440 91343 881860 SH DFND 1,2,3 881860 0 0 ISHARES 1-3 YR TR BD ETF ETF 464287457 33001 390263 SH DFND 1,2,3 390263 0 0 ISHARES MSCI EAFE ETF ETF 464287465 109 1598 SH DFND 1,2,3 1598 0 0 ISHARES RUS MDCP VAL ETF ETF 464287473 4914 67679 SH DFND 1,2,3 67679 0 0 ISHARES RUS MID-CAP ETF ETF 464287499 6949 42746 SH DFND 1,2,3 42746 0 0 ISHARES CORE S&P MCP ETF ETF 464287507 60 418 SH DFND 1,2,3 418 0 0 ISHARES NASDQ BIOTEC ETF ETF 464287556 2035 7916 SH DFND 1,2,3 7916 0 0 ISHARES COHEN&STEER REIT ETF 464287564 6824 78145 SH DFND 1,2,3 78145 0 0 ISHARES U.S. CNSM SV ETF ETF 464287580 6942 56226 SH DFND 1,2,3 56226 0 0 ISHARES RUS 1000 VAL ETF ETF 464287598 6121 60446 SH DFND 1,2,3 60446 0 0 ISHARES S&P MC 400GR ETF ETF 464287606 23 149 SH DFND 1,2,3 149 0 0 ISHARES RUS 1000 GRW ETF ETF 464287614 4927 54181 SH DFND 1,2,3 54181 0 0 ISHARES RUS 1000 ETF ETF 464287622 4897 44478 SH DFND 1,2,3 44478 0 0 ISHARES RUS 2000 VAL ETF ETF 464287630 17 166 SH DFND 1,2,3 166 0 0 ISHARES RUS 2000 GRW ETF ETF 464287648 29 213 SH DFND 1,2,3 213 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 70 590 SH DFND 1,2,3 590 0 0 ISHARES U.S. UTILITS ETF ETF 464287697 78434 704264 SH DFND 1,2,3 704264 0 0 ISHARES S&P MC 400VL ETF ETF 464287705 12 95 SH DFND 1,2,3 95 0 0 ISHARES U.S. TELECOM ETF ETF 464287713 20 654 SH DFND 1,2,3 654 0 0 ISHARES U.S. TECH ETF ETF 464287721 75448 778774 SH DFND 1,2,3 778774 0 0 ISHARES U.S. REAL ES ETF ETF 464287739 47914 667420 SH DFND 1,2,3 667420 0 0 ISHARES U.S. INDS ETF ETF 464287754 78826 760870 SH DFND 1,2,3 760870 0 0 ISHARES US HLTHCARE ETF ETF 464287762 81289 634030 SH DFND 1,2,3 634030 0 0 ISHARES U.S. FINLS ETF ETF 464287788 75108 903389 SH DFND 1,2,3 903389 0 0 ISHARES U.S. ENERGY ETF ETF 464287796 76438 1345738 SH DFND 1,2,3 1345738 0 0 ISHARES DOW JONES US ETF ETF 464287846 6897 69572 SH DFND 1,2,3 69572 0 0 ISHARES INTL TREA BD ETF ETF 464288117 2044 19422 SH DFND 1,2,3 19422 0 0 ISHARES 3YRTB ETF ETF 464288125 19 199 SH DFND 1,2,3 199 0 0 ISHARES AGENCY BOND ETF ETF 464288166 1069 9488 SH DFND 1,2,3 9488 0 0 ISHARES MSCI ACWI US ETF ETF 464288240 20900 435238 SH DFND 1,2,3 435238 0 0 ISHARES MSCI ACWI ETF ETF 464288257 2905 48210 SH DFND 1,2,3 48210 0 0 ISHARES EAFE SML CP ETF ETF 464288273 6374 120440 SH DFND 1,2,3 120440 0 0 ISHARES JP MOR EM MK ETF ETF 464288281 37909 328870 SH DFND 1,2,3 328870 0 0 ISHARES CALI AMT-FRE ETF ETF 464288356 5 45 SH DFND 1,2,3 45 0 0 ISHARES GLB INFRASTR ETF ETF 464288372 7576 170905 SH DFND 1,2,3 170905 0 0 ISHARES NAT AMT FREE BD ETF 464288414 3924 36119 SH DFND 1,2,3 36119 0 0 ISHARES ASIA 50 ETF ETF 464288430 3311 68627 SH DFND 1,2,3 68627 0 0 ISHARES INTL SEL DIV ETF ETF 464288448 15230 381809 SH DFND 1,2,3 381809 0 0 ISHARES IBOXX HI YD ETF ETF 464288513 72891 765663 SH DFND 1,2,3 765663 0 0 ISHARES MBS ETF ETF 464288588 88839 820907 SH DFND 1,2,3 820907 0 0 ISHARES CREDIT BD ETF ETF 464288620 9164 82234 SH DFND 1,2,3 82234 0 0 ISHARES INTERM CR BD ETF ETF 464288638 72849 661120 SH DFND 1,2,3 661120 0 0 ISHARES 1-3 YR CR BD ETF ETF 464288646 10168 96212 SH DFND 1,2,3 96212 0 0 ISHARES 10-20 YR TRS ETF ETF 464288653 40 308 SH DFND 1,2,3 308 0 0 ISHARES 3-7 YR TR BD ETF ETF 464288661 846 6948 SH DFND 1,2,3 6948 0 0 ISHARES SHRT TRS BD ETF ETF 464288679 5 41 SH DFND 1,2,3 41 0 0 ISHARES U.S. PFD STK ETF ETF 464288687 11863 297250 SH DFND 1,2,3 297250 0 0 ISHARES GLOB UTILITS ETF ETF 464288711 0 2 SH DFND 1,2,3 2 0 0 ISHARES US HOME CONS ETF ETF 464288752 18158 732197 SH DFND 1,2,3 732197 0 0 ISHARES US HLTHCR PR ETF ETF 464288828 3 33 SH DFND 1,2,3 33 0 0 ISHARES EAFE VALUE ETF ETF 464288877 1857 31713 SH DFND 1,2,3 31713 0 0 ISHARES 10+ YR CR BD ETF ETF 464289511 27801 459138 SH DFND 1,2,3 459138 0 0 ISHARES TR A RATE CP BD ETF ETF 46429B291 4 82 SH DFND 1,2,3 82 0 0 ISHARES TR CMBS ETF ETF 46429B366 648 12535 SH DFND 1,2,3 12535 0 0 ISHARES TR FLTG RATE BD ETF ETF 46429B655 61106 1202875 SH DFND 1,2,3 1202875 0 0 ISHARES TR HIGH DIVIDND ETF ETF 46429B663 15496 205549 SH DFND 1,2,3 205549 0 0 ISHARES TR EAFE MIN VOL ETF ETF 46429B689 3 46 SH DFND 1,2,3 46 0 0 ISHARES TR 0-5 YR TIPS ETF ETF 46429B747 5575 54397 SH DFND 1,2,3 54397 0 0 ISHARES U S ETF TR ENH US LCP ETF ETF 46431W101 2858 93830 SH DFND 1,2,3 93830 0 0 ISHARES U S ETF TR ENH US SCP ETF ETF 46431W200 1128 36621 SH DFND 1,2,3 36621 0 0 ISHARES TR CORE MSCI EAFE ETF 46432F842 15090 242570 SH DFND 1,2,3 242570 0 0 ISHARES INC CORE MSCI EMKT ETF 46434G103 36896 713652 SH DFND 1,2,3 713652 0 0 JPMORGAN CHASE & CO COM COM 46625H100 1667 28933 SH DFND 1,2,3 28933 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN ETN 46625H365 11 219 SH DFND 1,2,3 219 0 0 JOHNSON & JOHNSON COM COM 478160104 1715 16388 SH DFND 1,2,3 16388 0 0 KBR INC COM COM 48242W106 613 25683 SH DFND 1,2,3 25683 0 0 KLA-TENCOR CORP COM COM 482480100 421 5792 SH DFND 1,2,3 5792 0 0 KELLY SVCS INC CL A CL A 488152208 0 25 SH DFND 1,2,3 25 0 0 KINDER MORGAN INC DEL COM COM 49456B101 1 15 SH DFND 1,2,3 15 0 0 KONINKLIJKE PHILIPS N V NY REG SH NEW ADR 500472303 1619 50977 SH DFND 1,2,3 50977 0 0 KOPPERS HOLDINGS INC COM COM 50060P106 0 10 SH DFND 1,2,3 10 0 0 KOREA ELECTRIC PWR SPONSORED ADR SPONSORED ADR 500631106 739 40188 SH DFND 1,2,3 40188 0 0 KYOCERA CORP ADR COM 501556203 0 2 SH DFND 1,2,3 2 0 0 LKQ CORP COM COM 501889208 1742 65266 SH DFND 1,2,3 65266 0 0 LANDEC CORP COM COM 514766104 983 78742 SH DFND 1,2,3 78742 0 0 LAS VEGAS SANDS CORP COM ADR 517834107 703 9217 SH DFND 1,2,3 9217 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR SPONSORED ADR 539439109 1119 217790 SH DFND 1,2,3 217790 0 0 LORILLARD INC COM COM 544147101 2357 38663 SH DFND 1,2,3 38663 0 0 LOWES COS INC COM COM 548661107 2191 45651 SH DFND 1,2,3 45651 0 0 LUXOTTICA GROUP S P A SPONSORED ADR SPONSORED ADR 55068R202 913 15747 SH DFND 1,2,3 15747 0 0 MTS SYS CORP COM COM 553777103 884 13050 SH DFND 1,2,3 13050 0 0 MYR GROUP INC DEL COM COM 55405W104 783 30906 SH DFND 1,2,3 30906 0 0 MAINSOURCE FINANCIAL GP INC COM COM 56062Y102 843 48886 SH DFND 1,2,3 48886 0 0 MARKET VECTORS ETF TR GOLD MINER ETF ETF 57060U100 5249 198454 SH DFND 1,2,3 198454 0 0 MARKET VECTORS ETF TR UNCVTL OIL GAS ETF 57060U159 5417 157003 SH DFND 1,2,3 157003 0 0 MARKET VECTORS ETF TR RUSSIA ETF ETF 57060U506 657 24971 SH DFND 1,2,3 24971 0 0 MARKET VECTORS ETF TR INVT GRD FL RT ETF 57060U514 16 622 SH DFND 1,2,3 622 0 0 MARKET VECTORS ETF TR EM LC CURR DBT ETF 57060U522 795 32702 SH DFND 1,2,3 32702 0 0 MARSH & MCLENNAN COS INC COM COM 571748102 3190 61568 SH DFND 1,2,3 61568 0 0 MASTEC INC COM COM 576323109 1154 37441 SH DFND 1,2,3 37441 0 0 MAXIMUS INC COM COM 577933104 3594 83547 SH DFND 1,2,3 83547 0 0 MCDONALDS CORP COM COM 580135101 0 2 SH DFND 1,2,3 2 0 0 MEDASSETS INC COM COM 584045108 941 41217 SH DFND 1,2,3 41217 0 0 MEDTRONIC INC COM COM 585055106 1678 26311 SH DFND 1,2,3 26311 0 0 MERCK & CO INC NEW COM COM 58933Y105 0 1 SH DFND 1,2,3 1 0 0 MICROSOFT CORP COM COM 594918104 2656 63697 SH DFND 1,2,3 63697 0 0 MICROCHIP TECHNOLOGY INC COM COM 595017104 2120 43426 SH DFND 1,2,3 43426 0 0 MIDDLESEX WATER CO COM COM 596680108 888 41948 SH DFND 1,2,3 41948 0 0 MITEL NETWORKS CORP COM COM 60671Q104 0 8 SH DFND 1,2,3 8 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR SPONSORED ADR 606822104 1734 282010 SH DFND 1,2,3 282010 0 0 MOLSON COORS BREWING CO CL B CL B 60871R209 4 48 SH DFND 1,2,3 48 0 0 MONDELEZ INTL INC CL A CL A 609207105 2198 58442 SH DFND 1,2,3 58442 0 0 NRG ENERGY INC COM NEW COM 629377508 2399 64484 SH DFND 1,2,3 64484 0 0 NATIONAL GRID PLC SPON ADR NEW SPONSORED ADR 636274300 1377 18511 SH DFND 1,2,3 18511 0 0 NATIONAL OILWELL VARCO INC COM COM 637071101 4033 48968 SH DFND 1,2,3 48968 0 0 NEW ORIENTAL ED & TECH GRP I SPON ADR SPONSORED ADR 647581107 765 28779 SH DFND 1,2,3 28779 0 0 NEXTERA ENERGY INC COM COM 65339F101 1555 15173 SH DFND 1,2,3 15173 0 0 NIKE INC CL B CL B 654106103 1079 13908 SH DFND 1,2,3 13908 0 0 NIPPON TELEG & TEL CORP SPONSORED ADR SPONSORED ADR 654624105 1547 49580 SH DFND 1,2,3 49580 0 0 NISOURCE INC COM COM 65473P105 0 4 SH DFND 1,2,3 4 0 0 NORDSTROM INC COM COM 655664100 2104 30972 SH DFND 1,2,3 30972 0 0 NORTHWESTERN CORP COM NEW COM 668074305 916 17554 SH DFND 1,2,3 17554 0 0 NOVO-NORDISK A S ADR ADR 670100205 2227 48224 SH DFND 1,2,3 48224 0 0 NOW INC COM ADDED COM 67011P100 246 6788 SH DFND 1,2,3 6788 0 0 NUCOR CORP COM COM 670346105 629 12780 SH DFND 1,2,3 12780 0 0 OCCIDENTAL PETE CORP DEL COM COM 674599105 5867 57171 SH DFND 1,2,3 57171 0 0 OLD DOMINION FGHT LINES INC COM COM 679580100 1045 16413 SH DFND 1,2,3 16413 0 0 OMNICOM GROUP INC COM COM 681919106 1 19 SH DFND 1,2,3 19 0 0 ONEOK INC NEW COM COM 682680103 977 14357 SH DFND 1,2,3 14357 0 0 OPEN TEXT CORP COM COM 683715106 1859 38770 SH DFND 1,2,3 38770 0 0 OPENTABLE INC COM COM 68372A104 1361 13133 SH DFND 1,2,3 13133 0 0 ORACLE CORP COM COM 68389X105 4377 108001 SH DFND 1,2,3 108001 0 0 ORIX CORP SPONSORED ADR SPONSORED ADR 686330101 3541 42640 SH DFND 1,2,3 42640 0 0 PG&E CORP COM COM 69331C108 1328 27662 SH DFND 1,2,3 27662 0 0 PPL CORP COM COM 69351T106 1368 38492 SH DFND 1,2,3 38492 0 0 PACIFIC CONTINENTAL CORP COM COM 69412V108 840 61153 SH DFND 1,2,3 61153 0 0 PACWEST BANCORP DEL COM COM 695263103 1 16 SH DFND 1,2,3 16 0 0 PANERA BREAD CO CL A CL A 69840W108 1 10 SH DFND 1,2,3 10 0 0 PEPSICO INC COM COM 713448108 1735 19418 SH DFND 1,2,3 19418 0 0 PERFICIENT INC COM COM 71375U101 783 40195 SH DFND 1,2,3 40195 0 0 PETSMART INC COM COM 716768106 1841 30780 SH DFND 1,2,3 30780 0 0 PFIZER INC COM COM 717081103 2093 70516 SH DFND 1,2,3 70516 0 0 PHILIP MORRIS INTL INC COM COM 718172109 4662 55294 SH DFND 1,2,3 55294 0 0 PHILIPPINE LONG DISTANCE TEL SPONSORED ADR SPONSORED ADR 718252604 2 29 SH DFND 1,2,3 29 0 0 PIMCO ETF TR TOTL RETN ETF ETF 72201R775 384 3523 SH DFND 1,2,3 3523 0 0 PIMCO ETF TR 0-5 HIGH YIELD ETF 72201R783 100091 936564 SH DFND 1,2,3 936564 0 0 PIMCO ETF TR ENHAN SHRT MAT ETF 72201R833 7 68 SH DFND 1,2,3 68 0 0 PINNACLE WEST CAP CORP COM COM 723484101 671 11594 SH DFND 1,2,3 11594 0 0 PINNACLE FOODS INC DEL COM COM 72348P104 0 12 SH DFND 1,2,3 12 0 0 PIONEER NAT RES CO COM COM 723787107 1 5 SH DFND 1,2,3 5 0 0 POLARIS INDS INC COM COM 731068102 2615 20077 SH DFND 1,2,3 20077 0 0 POWERSHARES QQQ TRUST UNIT SER 1 ETF 73935A104 50728 540173 SH DFND 1,2,3 540173 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT ETF 73935S105 15 557 SH DFND 1,2,3 557 0 0 POWERSHARES ETF TRUST ENERGY SEC POR ETF 73935X385 14 209 SH DFND 1,2,3 209 0 0 POWERSHARES ETF TRUST INTL DIV ACHV ETF 73935X716 5408 279754 SH DFND 1,2,3 279754 0 0 POWERSHARES ETF TRUST DYN PHRMA PORT ETF 73935X799 13 220 SH DFND 1,2,3 220 0 0 POWERSHS DB MULTI SECT COMM DB ENERGY FUND ETF 73936B101 362 11757 SH DFND 1,2,3 11757 0 0 POWERSHS DB MULTI SECT COMM PS DB AGRICUL FD ETF 73936B408 1183 43082 SH DFND 1,2,3 43082 0 0 POWERSHS DB MULTI SECT COMM DB GOLD FUND ETF 73936B606 1039 23346 SH DFND 1,2,3 23346 0 0 POWERSHS DB MULTI SECT COMM DB BASE METALS ETF 73936B705 190 11214 SH DFND 1,2,3 11214 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT ETF 73936Q769 6790 273038 SH DFND 1,2,3 273038 0 0 POWERSHARES ETF TRUST II INTL CORP BOND ETF 73936Q835 1769 57671 SH DFND 1,2,3 57671 0 0 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN ETF 73936T474 10151 411300 SH DFND 1,2,3 411300 0 0 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI ETF 73936T557 268 13671 SH DFND 1,2,3 13671 0 0 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT ETF 73936T573 791 27138 SH DFND 1,2,3 27138 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US ETF 73936T789 1024 22488 SH DFND 1,2,3 22488 0 0 POWERSHARES ETF TR II FND INV GR CP ETF 73937B761 810 31670 SH DFND 1,2,3 31670 0 0 PRAXAIR INC COM COM 74005P104 565 4255 SH DFND 1,2,3 4255 0 0 PROCTER & GAMBLE CO COM COM 742718109 5164 65707 SH DFND 1,2,3 65707 0 0 PRIVATEBANCORP INC COM COM 742962103 3 101 SH DFND 1,2,3 101 0 0 PROSHARES TR ULTRAPRO SHORT S ETF 74348A442 0 1 SH DFND 1,2,3 1 0 0 PRUDENTIAL FINL INC COM COM 744320102 9 100 SH DFND 1,2,3 100 0 0 PRUDENTIAL PLC ADR ADR 74435K204 1133 24694 SH DFND 1,2,3 24694 0 0 QUALCOMM INC COM COM 747525103 2116 26720 SH DFND 1,2,3 26720 0 0 QUALITY DISTR INC FLA COM COM 74756M102 468 31463 SH DFND 1,2,3 31463 0 0 QUANTA SVCS INC COM COM 74762E102 1520 43943 SH DFND 1,2,3 43943 0 0 RACKSPACE HOSTING INC COM COM 750086100 1 26 SH DFND 1,2,3 26 0 0 REALOGY HLDGS CORP COM COM 75605Y106 918 24344 SH DFND 1,2,3 24344 0 0 RED HAT INC COM COM 756577102 1 10 SH DFND 1,2,3 10 0 0 RETAIL OPPORTUNITY INVTS COR COM COM 76131N101 2652 168609 SH DFND 1,2,3 168609 0 0 RIO TINTO PLC SPONSORED ADR ADR 767204100 425 7821 SH DFND 1,2,3 7821 0 0 ROSS STORES INC COM COM 778296103 1991 30102 SH DFND 1,2,3 30102 0 0 SBA COMMUNICATIONS CORP COM COM 78388J106 1925 18819 SH DFND 1,2,3 18819 0 0 SPDR S&P 500 ETF TR TR UNIT ETF 78462F103 653607 3339499 SH DFND 1,2,3 3339499 0 0 SPDR GOLD TRUST GOLD SHS ETF 78463V107 77640 606372 SH DFND 1,2,3 606372 0 0 SPDR INDEX SHS FDS STOXX EUR 50 ETF ETF 78463X103 11659 296139 SH DFND 1,2,3 296139 0 0 SPDR INDEX SHS FDS EURO STOXX 50 ETF 78463X202 7656 176925 SH DFND 1,2,3 176925 0 0 SPDR INDEX SHS FDS ASIA PACIF ETF ETF 78463X301 3531 42692 SH DFND 1,2,3 42692 0 0 SPDR INDEX SHS FDS S&P CHINA ETF ETF 78463X400 17922 238198 SH DFND 1,2,3 238198 0 0 SPDR INDEX SHS FDS EMERG MKTS ETF ETF 78463X509 20206 298723 SH DFND 1,2,3 298723 0 0 SPDR INDEX SHS FDS INTL HLTH ETF ETF 78463X681 41 822 SH DFND 1,2,3 822 0 0 SPDR INDEX SHS FDS DJ GLB RL ES ETF ETF 78463X749 26 547 SH DFND 1,2,3 547 0 0 SPDR INDEX SHS FDS S&P INTL ETF ETF 78463X772 7861 153231 SH DFND 1,2,3 153231 0 0 SPDR INDEX SHS FDS DJ INTL RL ETF ETF 78463X863 24791 560385 SH DFND 1,2,3 560385 0 0 SPDR INDEX SHS FDS S&P INTL SMLCP ETF 78463X871 15863 449761 SH DFND 1,2,3 449761 0 0 SPDR INDEX SHS FDS S&P WRLD EX US ETF 78463X889 90340 2985358 SH DFND 1,2,3 2985358 0 0 SPDR SERIES TRUST BRCLY INTL CRP ETF 78464A151 3711 98044 SH DFND 1,2,3 98044 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW ETF 78464A201 5387 29738 SH DFND 1,2,3 29738 0 0 SPDR SERIES TRUST SHRT INTL ETF ETF 78464A334 3374 92451 SH DFND 1,2,3 92451 0 0 SPDR SERIES TRUST BRC CNV SECS ETF ETF 78464A359 319 6313 SH DFND 1,2,3 6313 0 0 SPDR SERIES TRUST LNG TRM CORP BD ETF 78464A367 15494 381626 SH DFND 1,2,3 381626 0 0 SPDR SERIES TRUST INTR TRM CORP BD ETF 78464A375 748 21692 SH DFND 1,2,3 21692 0 0 SPDR SERIES TRUST BRC MTG BCKD BD ETF 78464A383 2942 107415 SH DFND 1,2,3 107415 0 0 SPDR SERIES TRUST BRCLY EM LOCL ETF 78464A391 777 24882 SH DFND 1,2,3 24882 0 0 SPDR SERIES TRUST S&P 500 GROWTH ETF 78464A409 10040 110440 SH DFND 1,2,3 110440 0 0 SPDR SERIES TRUST BRC HGH YLD BD ETF 78464A417 55974 1341329 SH DFND 1,2,3 1341329 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI ETF 78464A425 16058 659991 SH DFND 1,2,3 659991 0 0 SPDR SERIES TRUST NUVN BRCLY MUNI ETF 78464A458 16874 712566 SH DFND 1,2,3 712566 0 0 SPDR SERIES TRUST BARC SHT TR CP ETF 78464A474 11924 387010 SH DFND 1,2,3 387010 0 0 SPDR SERIES TRUST DB INT GVT ETF ETF 78464A490 7474 120534 SH DFND 1,2,3 120534 0 0 SPDR SERIES TRUST BRCLYS INTL ETF ETF 78464A516 7186 118165 SH DFND 1,2,3 118165 0 0 SPDR SERIES TRUST DJ REIT ETF ETF 78464A607 42892 516767 SH DFND 1,2,3 516767 0 0 SPDR SERIES TRUST BRCLYS AGG ETF ETF 78464A649 48500 836777 SH DFND 1,2,3 836777 0 0 SPDR SERIES TRUST BARCLYS TIPS ETF ETF 78464A656 13617 237399 SH DFND 1,2,3 237399 0 0 SPDR SERIES TRUST BRCLYS LG TRS ET ETF 78464A664 328 4946 SH DFND 1,2,3 4946 0 0 SPDR SERIES TRUST BRCLYS INTER ETF ETF 78464A672 1579 26445 SH DFND 1,2,3 26445 0 0 SPDR SERIES TRUST BRCLYS 1-3MT ETF ETF 78464A680 7622 166566 SH DFND 1,2,3 166566 0 0 SPDR SERIES TRUST S&P DIVID ETF ETF 78464A763 250 3258 SH DFND 1,2,3 3258 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP ETF 78467Y107 35342 135638 SH DFND 1,2,3 135638 0 0 SPDR SER TR SHRT TRSRY ETF ETF 78468R101 1669 55518 SH DFND 1,2,3 55518 0 0 SPDR SER TR SHT TRM HGH YLD ETF 78468R408 3814 123187 SH DFND 1,2,3 123187 0 0 SPDR SER TR SPDR RUSSEL 2000 ETF 78468R853 14148 199436 SH DFND 1,2,3 199436 0 0 SPDR SER TR BARC 1-10YRTIP ETF 78468R861 61 3054 SH DFND 1,2,3 3054 0 0 SANOFI SPONSORED ADR ADR 80105N105 1650 31036 SH DFND 1,2,3 31036 0 0 SASOL LTD SPONSORED ADR SPONSORED ADR 803866300 819 13848 SH DFND 1,2,3 13848 0 0 SCHLUMBERGER LTD COM COM 806857108 2 16 SH DFND 1,2,3 16 0 0 SELECT SECTOR SPDR TR SBI MATERIALS ETF 81369Y100 75990 1530815 SH DFND 1,2,3 1530815 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE ETF 81369Y209 20450 336190 SH DFND 1,2,3 336190 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS ETF 81369Y308 76326 1710574 SH DFND 1,2,3 1710574 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR ETF 81369Y407 2448 36686 SH DFND 1,2,3 36686 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY ETF 81369Y506 2242 22400 SH DFND 1,2,3 22400 0 0 SELECT SECTOR SPDR TR SBI INT-FINL ETF 81369Y605 3309 145500 SH DFND 1,2,3 145500 0 0 SELECT SECTOR SPDR TR SBI INT-INDS ETF 81369Y704 10024 185415 SH DFND 1,2,3 185415 0 0 SELECT SECTOR SPDR TR TECHNOLOGY ETF 81369Y803 24143 629556 SH DFND 1,2,3 629556 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS ETF 81369Y886 644 14552 SH DFND 1,2,3 14552 0 0 SEMGROUP CORP CL A CL A 81663A105 1619 20535 SH DFND 1,2,3 20535 0 0 SEMPRA ENERGY COM COM 816851109 829 7914 SH DFND 1,2,3 7914 0 0 SHIRE PLC SPONSORED ADR ADR 82481R106 4028 17105 SH DFND 1,2,3 17105 0 0 SILICON LABORATORIES INC COM COM 826919102 2458 49913 SH DFND 1,2,3 49913 0 0 SIMMONS 1ST NATL CORP CL A $1 PAR CL A 828730200 970 24613 SH DFND 1,2,3 24613 0 0 SIMON PPTY GROUP INC NEW COM COM 828806109 3159 18999 SH DFND 1,2,3 18999 0 0 SONIC AUTOMOTIVE INC CL A CL A 83545G102 959 35942 SH DFND 1,2,3 35942 0 0 SOUTHERN CO COM COM 842587107 155 3425 SH DFND 1,2,3 3425 0 0 STARBUCKS CORP COM COM 855244109 1181 15264 SH DFND 1,2,3 15264 0 0 STARWOOD HOTELS&RESORTS WRLD COM COM 85590A401 2241 27726 SH DFND 1,2,3 27726 0 0 STATE STR CORP COM COM 857477103 2563 38102 SH DFND 1,2,3 38102 0 0 STERICYCLE INC COM COM 858912108 1 11 SH DFND 1,2,3 11 0 0 SYNGENTA AG SPONSORED ADR SPONSORED ADR 87160A100 1678 22431 SH DFND 1,2,3 22431 0 0 SYNNEX CORP COM COM 87162W100 592 8120 SH DFND 1,2,3 8120 0 0 SYSCO CORP COM COM 871829107 2041 54498 SH DFND 1,2,3 54498 0 0 TRW AUTOMOTIVE HLDGS CORP COM COM 87264S106 917 10245 SH DFND 1,2,3 10245 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR SPONSORED ADR 874039100 808 37766 SH DFND 1,2,3 37766 0 0 TAL INTL GROUP INC COM COM 874083108 0 10 SH DFND 1,2,3 10 0 0 TATA MTRS LTD SPONSORED ADR SPONSORED ADR 876568502 800 20486 SH DFND 1,2,3 20486 0 0 TEVA PHARMACEUTICAL INDS LTD ADR ADR 881624209 1840 35092 SH DFND 1,2,3 35092 0 0 3M CO COM COM 88579Y101 3897 27205 SH DFND 1,2,3 27205 0 0 TOTAL S A SPONSORED ADR SPONSORED ADR 89151E109 1373 19016 SH DFND 1,2,3 19016 0 0 TOYOTA MOTOR CORP SP ADR REP2COM COM 892331307 1808 15110 SH DFND 1,2,3 15110 0 0 TREEHOUSE FOODS INC COM COM 89469A104 1092 13633 SH DFND 1,2,3 13633 0 0 TRIANGLE PETE CORP COM NEW COM 89600B201 1181 100542 SH DFND 1,2,3 100542 0 0 TRIUMPH GROUP INC NEW COM COM 896818101 2 24 SH DFND 1,2,3 24 0 0 TUPPERWARE BRANDS CORP COM COM 899896104 1335 15950 SH DFND 1,2,3 15950 0 0 TURKCELL ILETISIM HIZMETLERI SPON ADR NEW SPONSORED ADR 900111204 2 130 SH DFND 1,2,3 130 0 0 TWENTY FIRST CENTY FOX INC CL A CL A 90130A101 1464 41664 SH DFND 1,2,3 41664 0 0 TYLER TECHNOLOGIES INC COM COM 902252105 1698 18613 SH DFND 1,2,3 18613 0 0 UGI CORP NEW COM COM 902681105 975 19313 SH DFND 1,2,3 19313 0 0 URS CORP NEW COM COM 903236107 1 18 SH DFND 1,2,3 18 0 0 ULTIMATE SOFTWARE GROUP INC COM COM 90385D107 1016 7356 SH DFND 1,2,3 7356 0 0 ULTRAPAR PARTICIPACOES S A SP ADR REP COM COM 90400P101 713 30195 SH DFND 1,2,3 30195 0 0 UMPQUA HLDGS CORP COM COM 904214103 1 29 SH DFND 1,2,3 29 0 0 UNION PAC CORP COM COM 907818108 2352 23579 SH DFND 1,2,3 23579 0 0 UNITED TECHNOLOGIES CORP COM COM 913017109 4 35 SH DFND 1,2,3 35 0 0 UNITEDHEALTH GROUP INC COM COM 91324P102 1808 22115 SH DFND 1,2,3 22115 0 0 VALEANT PHARMACEUTICALS INTL COM COM 91911K102 0 3 SH DFND 1,2,3 3 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF ETF 921908844 6 72 SH DFND 1,2,3 72 0 0 VANGUARD BD INDEX FD INC LONG TERM BOND ETF 921937793 230 2564 SH DFND 1,2,3 2564 0 0 VANGUARD BD INDEX FD INC INTERMED TERM ETF 921937819 332 3919 SH DFND 1,2,3 3919 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND ETF 921937827 2208 27483 SH DFND 1,2,3 27483 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT ETF 921937835 51145 622050 SH DFND 1,2,3 622050 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF ETF 921943858 23724 557029 SH DFND 1,2,3 557029 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD ETF 921946406 11520 173723 SH DFND 1,2,3 173723 0 0 VANGUARD MALVERN FDS STRM INFPROIDX ETF 922020805 415 8280 SH DFND 1,2,3 8280 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF ETF 92203J407 461 8973 SH DFND 1,2,3 8973 0 0 VANGUARD INTL EQUITY INDEX F GLB EX US ETF ETF 922042676 7552 130098 SH DFND 1,2,3 130098 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF ETF 922042718 21577 194106 SH DFND 1,2,3 194106 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US ETF 922042775 60225 1151751 SH DFND 1,2,3 1151751 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF ETF 922042858 32734 758972 SH DFND 1,2,3 758972 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF ETF 922042866 46491 746968 SH DFND 1,2,3 746968 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF ETF 922042874 198830 3316599 SH DFND 1,2,3 3316599 0 0 VANGUARD WORLD FDS UTILITIES ETF ETF 92204A876 13 132 SH DFND 1,2,3 132 0 0 VANGUARD SCOTTSDALE FDS SHTRM GVT BD ETF ETF 92206C102 6 93 SH DFND 1,2,3 93 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD ETF 92206C409 1282 15955 SH DFND 1,2,3 15955 0 0 VANGUARD SCOTTSDALE FDS INT-TERM GOV ETF 92206C706 3057 47770 SH DFND 1,2,3 47770 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC ETF 92206C771 37298 708811 SH DFND 1,2,3 708811 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD ETF 92206C813 20581 228044 SH DFND 1,2,3 228044 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP ETF 92206C870 352 4067 SH DFND 1,2,3 4067 0 0 VENTAS INC COM COM 92276F100 1915 29870 SH DFND 1,2,3 29870 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS ETF 922908363 8077 45015 SH DFND 1,2,3 45015 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP ETF 922908512 1918 22056 SH DFND 1,2,3 22056 0 0 VANGUARD INDEX FDS REIT ETF ETF 922908553 30452 406893 SH DFND 1,2,3 406893 0 0 VANGUARD INDEX FDS SML CP GRW ETF ETF 922908595 21254 166843 SH DFND 1,2,3 166843 0 0 VANGUARD INDEX FDS SM CP VAL ETF ETF 922908611 18391 174319 SH DFND 1,2,3 174319 0 0 VANGUARD INDEX FDS MID CAP ETF ETF 922908629 4242 35749 SH DFND 1,2,3 35749 0 0 VANGUARD INDEX FDS LARGE CAP ETF ETF 922908637 12 129 SH DFND 1,2,3 129 0 0 VANGUARD INDEX FDS EXTEND MKT ETF ETF 922908652 19997 227912 SH DFND 1,2,3 227912 0 0 VANGUARD INDEX FDS GROWTH ETF ETF 922908736 49751 503040 SH DFND 1,2,3 503040 0 0 VANGUARD INDEX FDS VALUE ETF ETF 922908744 59204 731368 SH DFND 1,2,3 731368 0 0 VANGUARD INDEX FDS SMALL CP ETF ETF 922908751 6691 57131 SH DFND 1,2,3 57131 0 0 VANGUARD INDEX FDS TOTAL STK MKT ETF 922908769 37188 365411 SH DFND 1,2,3 365411 0 0 VISA INC COM CL A CL A 92826C839 1940 9208 SH DFND 1,2,3 9208 0 0 VIRTUSA CORP COM COM 92827P102 996 27810 SH DFND 1,2,3 27810 0 0 VMWARE INC CL A COM COM 928563402 1615 16683 SH DFND 1,2,3 16683 0 0 WPP PLC NEW ADR ADR 92937A102 553 5071 SH DFND 1,2,3 5071 0 0 WABTEC CORP COM COM 929740108 3250 39350 SH DFND 1,2,3 39350 0 0 WAL-MART STORES INC COM COM 931142103 2003 26676 SH DFND 1,2,3 26676 0 0 WASHINGTON PRIME GROUP INC COM ADDED COM 939647103 177 9453 SH DFND 1,2,3 9453 0 0 WATERS CORP COM COM 941848103 0 2 SH DFND 1,2,3 2 0 0 WELLS FARGO ADV GLB DIV OPP COM COM 94987C103 0 1 SH DFND 1,2,3 1 0 0 WESBANCO INC COM COM 950810101 920 29651 SH DFND 1,2,3 29651 0 0 WESTLAKE CHEM CORP COM COM 960413102 1 6 SH DFND 1,2,3 6 0 0 WESTPORT INNOVATIONS INC COM NEW COM 960908309 0 4 SH DFND 1,2,3 4 0 0 WILLIAMS COS INC DEL COM COM 969457100 4422 75967 SH DFND 1,2,3 75967 0 0 WILLIAMS SONOMA INC COM COM 969904101 0 1 SH DFND 1,2,3 1 0 0 WISDOMTREE TR EQTY INC FD ETF 97717W208 17613 296511 SH DFND 1,2,3 296511 0 0 WISDOMTREE TR EMG MKTS SMCAP ETF 97717W281 3401 70885 SH DFND 1,2,3 70885 0 0 WISDOMTREE TR EMERG MKTS ETF ETF 97717W315 4572 88198 SH DFND 1,2,3 88198 0 0 WISDOMTREE TR SMALLCAP DIVID ETF 97717W604 3405 48622 SH DFND 1,2,3 48622 0 0 WISDOMTREE TR GLB EX US UTIL ETF 97717W653 10 497 SH DFND 1,2,3 497 0 0 WISDOMTREE TR INTL SMCAP DIV ETF 97717W760 4124 63667 SH DFND 1,2,3 63667 0 0 WISDOMTREE TR ASIA PAC EXJP FD ETF 97717W828 12 180 SH DFND 1,2,3 180 0 0 WISDOMTREE TR JAPN HEDGE EQT ETF 97717W851 3 58 SH DFND 1,2,3 58 0 0 WISDOMTREE TR EM LCL DEBT FD ETF 97717X867 565 11890 SH DFND 1,2,3 11890 0 0 WPX ENERGY INC COM COM 98212B103 742 31014 SH DFND 1,2,3 31014 0 0 YAMANA GOLD INC COM COM 98462Y100 1 112 SH DFND 1,2,3 112 0 0 YUM BRANDS INC COM COM 988498101 1441 17748 SH DFND 1,2,3 17748 0 0 ZIONS BANCORPORATION COM COM 989701107 3249 110234 SH DFND 1,2,3 110234 0 0 ENERGY XXI BERMUDA LTD USD UNRS SHS COM G10082140 0 9 SH DFND 1,2,3 9 0 0 ACCENTURE PLC IRELAND SHS CLASS A CL A G1151C101 1 15 SH DFND 1,2,3 15 0 0 CHINA YUCHAI INTL LTD COM COM G21082105 425 20049 SH DFND 1,2,3 20049 0 0 CREDICORP LTD COM COM G2519Y108 1275 8199 SH DFND 1,2,3 8199 0 0 COVIDIEN PLC SHS COM G2554F113 1608 17830 SH DFND 1,2,3 17830 0 0 EATON CORP PLC SHS COM G29183103 1364 17671 SH DFND 1,2,3 17671 0 0 ENSCO PLC SHS CLASS A CL A G3157S106 1 13 SH DFND 1,2,3 13 0 0 HELEN OF TROY CORP LTD COM COM G4388N106 887 14631 SH DFND 1,2,3 14631 0 0 ICON PLC SHS COM G4705A100 1186 25178 SH DFND 1,2,3 25178 0 0 MALLINCKRODT PUB LTD CO SHS SPONSORED ADR G5785G107 0 1 SH DFND 1,2,3 1 0 0 MICHAEL KORS HLDGS LTD SHS COM G60754101 3 36 SH DFND 1,2,3 36 0 0 NORD ANGLIA EDUCATION INC SHS ADDED COM G6583A102 1236 67556 SH DFND 1,2,3 67556 0 0 SEADRILL LIMITED SHS COM G7945E105 0 3 SH DFND 1,2,3 3 0 0 GOLAR LNG LTD BERMUDA SHS COM G9456A100 6960 115815 SH DFND 1,2,3 115815 0 0 PERRIGO CO PLC SHS COM G97822103 2 12 SH DFND 1,2,3 12 0 0 TE CONNECTIVITY LTD REG SHS COM H84989104 1802 29136 SH DFND 1,2,3 29136 0 0 TRANSOCEAN LTD REG SHS COM H8817H100 2 34 SH DFND 1,2,3 34 0 0 CAESARSTONE SDOT-YAM LTD ORD SHS COM M20598104 3 67 SH DFND 1,2,3 67 0 0 CONSTELLIUM NV CL A CL A N22035104 2182 68055 SH DFND 1,2,3 68055 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - COM N53745100 1661 17013 SH DFND 1,2,3 17013 0 0 NXP SEMICONDUCTORS N V COM COM N6596X109 0 2 SH DFND 1,2,3 2 0 0 NAVIGATOR HOLDINGS LTD SHS COM Y62132108 0 2 SH DFND 1,2,3 2 0 0