0001085146-13-000918.txt : 20130514 0001085146-13-000918.hdr.sgml : 20130514 20130514084507 ACCESSION NUMBER: 0001085146-13-000918 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: INVESTMENT CENTERS OF AMERICA INC CENTRAL INDEX KEY: 0001351904 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14413 FILM NUMBER: 13839386 BUSINESS ADDRESS: STREET 1: 212 N 4TH ST CITY: BISMARCK STATE: ND ZIP: 58501 BUSINESS PHONE: 701-250-3201 MAIL ADDRESS: STREET 1: 212 N 4TH ST CITY: BISMARCK STATE: ND ZIP: 58501 FORMER COMPANY: FORMER CONFORMED NAME: INVESTMENT CENTERS OF AMERICA INC/ND DATE OF NAME CHANGE: 20060201 13F-HR 1 nph_ica1q2013.txt INVESTMENT CENTERS OF AMERICA UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Investment Centers of America Address: 5555 Grande Market Drive Appleton, WI 54913 13F File Number: 028-14413 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, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: David Loasby Title: Chief Compliance Officer Phone: (920) 996-2600 Signature, Place, and Date of Signing: /s/ David Loasby Appleton, WI May 14, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 259 Form 13F Information Table Value Total: $255,012 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 01 028-03582 Prudential Plc 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 CO COM 88579Y101 631 5933 SH DEFINED 01 0 0 5933 ABBOTT LABS COM 002824100 1070 29816 SH DEFINED 01 0 0 29816 ABBVIE INC COM 00287Y109 855 21161 SH DEFINED 01 0 0 21161 ALCATEL-LUCENT SPONSORED ADR 013904305 15 11735 SH DEFINED 01 0 0 11735 ALCOA INC COM 013817101 251 29542 SH DEFINED 01 0 0 29542 ALLIANCE RES PARTNER L P UT LTD PART 01877R108 936 14708 SH DEFINED 01 0 0 14708 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 190 23229 SH DEFINED 01 0 0 23229 ALLIANT ENERGY CORP COM 018802108 706 13975 SH DEFINED 01 0 0 13975 ALPS ETF TR ALERIAN MLP 00162Q866 1434 80938 SH DEFINED 01 0 0 80938 ALTRIA GROUP INC COM 02209S103 5588 162817 SH DEFINED 01 0 0 162817 AMERICAN CAP LTD COM 02503Y103 593 40495 SH DEFINED 01 0 0 40495 AMERICAN CAPITAL AGENCY CORP COM 02503X105 446 13721 SH DEFINED 01 0 0 13721 AMERICAN ELEC PWR INC COM 025537101 570 11673 SH DEFINED 01 0 0 11673 AMERICAN RLTY CAP PPTYS INC COM 02917T104 1771 120571 SH DEFINED 01 0 0 120571 ANNALY CAP MGMT INC COM 035710409 1101 68913 SH DEFINED 01 0 0 68913 APPLE INC COM 037833100 7214 16327 SH DEFINED 01 0 0 16327 APPLIED MATLS INC COM 038222105 164 12213 SH DEFINED 01 0 0 12213 ARLINGTON ASSET INVT CORP CL A NEW 041356205 1191 46220 SH DEFINED 01 0 0 46220 ARMOUR RESIDENTIAL REIT INC COM 042315101 692 106394 SH DEFINED 01 0 0 106394 ASHFORD HOSPITALITY TR INC COM SHS 044103109 575 46500 SH DEFINED 01 0 0 46500 AT&T INC COM 00206R102 4061 110644 SH DEFINED 01 0 0 110644 AUTOMATIC DATA PROCESSING IN COM 053015103 283 4364 SH DEFINED 01 0 0 4364 BAIDU INC SPON ADR REP A 056752108 636 7223 SH DEFINED 01 0 0 7223 BANK OF AMERICA CORPORATION COM 060505104 523 43344 SH DEFINED 01 0 0 43344 BB&T CORP COM 054937107 432 13800 SH DEFINED 01 0 0 13800 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1216 11695 SH DEFINED 01 0 0 11695 BLACK HILLS CORP COM 092113109 210 4790 SH DEFINED 01 0 0 4790 BLACKROCK ENERGY & RES TR COM 09250U101 2101 81086 SH DEFINED 01 0 0 81086 BLACKROCK FLOATING RATE INCO COM 091941104 320 20352 SH DEFINED 01 0 0 20352 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 1303 44454 SH DEFINED 01 0 0 44454 BOEING CO COM 097023105 678 7906 SH DEFINED 01 0 0 7906 BP PLC SPONSORED ADR 055622104 1187 28010 SH DEFINED 01 0 0 28010 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 206 2450 SH DEFINED 01 0 0 2450 BRISTOL MYERS SQUIBB CO COM 110122108 772 18920 SH DEFINED 01 0 0 18920 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 689 53877 SH DEFINED 01 0 0 53877 CATERPILLAR INC DEL COM 149123101 1962 22585 SH DEFINED 01 0 0 22585 CENTURYLINK INC COM 156700106 957 27228 SH DEFINED 01 0 0 27228 CHEVRON CORP NEW COM 166764100 1402 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16247 DOMINION RES INC VA NEW COM 25746U109 238 4070 SH DEFINED 01 0 0 4070 DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 63 14400 SH DEFINED 01 0 0 14400 DREYFUS MUN INCOME INC COM 26201R102 303 29267 SH DEFINED 01 0 0 29267 DU PONT E I DE NEMOURS & CO COM 263534109 431 8771 SH DEFINED 01 0 0 8771 DUKE ENERGY CORP NEW COM NEW 26441C204 2395 33096 SH DEFINED 01 0 0 33096 DWS MUN INCOME TR COM 23338M106 170 11555 SH DEFINED 01 0 0 11555 E M C CORP MASS COM 268648102 205 8544 SH DEFINED 01 0 0 8544 EATON CORP PLC SHS G29183103 946 15555 SH DEFINED 01 0 0 15555 EATON VANCE LTD DUR INCOME F COM 27828H105 495 29114 SH DEFINED 01 0 0 29114 EBAY INC COM 278642103 605 11368 SH DEFINED 01 0 0 11368 EMERSON ELEC CO COM 291011104 415 7454 SH DEFINED 01 0 0 7454 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 2725 53802 SH DEFINED 01 0 0 53802 ENTERPRISE PRODS PARTNERS L COM 293792107 1651 27472 SH DEFINED 01 0 0 27472 EXELON CORP COM 30161N101 1259 36653 SH DEFINED 01 0 0 36653 EXXON MOBIL CORP COM 30231G102 3230 35847 SH DEFINED 01 0 0 35847 FASTENAL CO COM 311900104 4973 96904 SH DEFINED 01 0 0 96904 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 386 20750 SH DEFINED 01 0 0 20750 FIRST TR MORNINGSTAR DIV LEA SHS 336917109 752 36499 SH DEFINED 01 0 0 36499 FIRST TR VALUE LINE DIVID IN SHS 33734H106 860 44249 SH DEFINED 01 0 0 44249 FLOWERS FOODS INC COM 343498101 537 16300 SH DEFINED 01 0 0 16300 FORD MTR CO DEL COM PAR $0.01 345370860 4686 356070 SH DEFINED 01 0 0 356070 FORTRESS INVESTMENT GROUP LL CL A 34958B106 450 70295 SH DEFINED 01 0 0 70295 FREEPORT-MCMORAN COPPER & GO COM 35671D857 240 7184 SH DEFINED 01 0 0 7184 FRONTIER COMMUNICATIONS CORP COM 35906A108 46 12100 SH DEFINED 01 0 0 12100 GENERAL ELECTRIC CO COM 369604103 2106 91416 SH DEFINED 01 0 0 91416 GENERAL MLS INC COM 370334104 639 12943 SH DEFINED 01 0 0 12943 GLOBAL X FDS GLBX SUPRINC ETF 37950E333 234 15381 SH DEFINED 01 0 0 15381 GOOGLE INC CL A 38259P508 395 494 SH DEFINED 01 0 0 494 HALLIBURTON CO COM 406216101 287 7109 SH DEFINED 01 0 0 7109 HANCOCK JOHN PFD INCOME FD I COM 41013X106 367 16060 SH DEFINED 01 0 0 16060 HANCOCK JOHN 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GOLD TRUST ISHARES 464285105 173 10993 SH DEFINED 01 0 0 10993 ISHARES INC MSCI CDA INDEX 464286509 221 7807 SH DEFINED 01 0 0 7807 ISHARES INC MSCI MEXICO CAP 464286822 229 3073 SH DEFINED 01 0 0 3073 ISHARES SILVER TRUST ISHARES 46428Q109 794 29506 SH DEFINED 01 0 0 29506 ISHARES TR DJ SEL DIV INX 464287168 2411 38059 SH DEFINED 01 0 0 38059 ISHARES TR BARCLYS TIPS BD 464287176 6865 56742 SH DEFINED 01 0 0 56742 ISHARES TR CORE S&P500 ETF 464287200 1729 10980 SH DEFINED 01 0 0 10980 ISHARES TR CORE TOTUSBD ETF 464287226 389 3528 SH DEFINED 01 0 0 3528 ISHARES TR MSCI EMERG MKT 464287234 753 17724 SH DEFINED 01 0 0 17724 ISHARES TR IBOXX INV CPBD 464287242 5517 46019 SH DEFINED 01 0 0 46019 ISHARES TR S&P500 GRW 464287309 2506 30415 SH DEFINED 01 0 0 30415 ISHARES TR S&P 500 VALUE 464287408 1393 18864 SH DEFINED 01 0 0 18864 ISHARES TR MSCI EAFE INDEX 464287465 1099 18594 SH DEFINED 01 0 0 18594 ISHARES TR RUSSELL MIDCAP 464287499 1412 11091 SH DEFINED 01 0 0 11091 ISHARES TR CORE S&P MCP ETF 464287507 408 3529 SH DEFINED 01 0 0 3529 ISHARES TR RUSSELL1000GRW 464287614 843 11824 SH DEFINED 01 0 0 11824 ISHARES TR RUSSELL 1000 464287622 245 2815 SH DEFINED 01 0 0 2815 ISHARES TR RUSSELL 2000 464287655 2377 25154 SH DEFINED 01 0 0 25154 ISHARES TR DJ US UTILS 464287697 1247 12820 SH DEFINED 01 0 0 12820 ISHARES TR CORE S&P SCP ETF 464287804 406 4651 SH DEFINED 01 0 0 4651 ISHARES TR DJ INTL SEL DIVD 464288448 377 11070 SH DEFINED 01 0 0 11070 ISHARES TR EPRA/NAR NA IN 464288455 535 10631 SH DEFINED 01 0 0 10631 ISHARES TR HIGH YLD CORP 464288513 3234 34360 SH DEFINED 01 0 0 34360 ISHARES TR MRTG PLS CAP IDX 464288539 168 10675 SH DEFINED 01 0 0 10675 ISHARES TR RESIDENT PLS CAP 464288562 249 4878 SH DEFINED 01 0 0 4878 ISHARES TR BARCLYS 1-3YR CR 464288646 587 5568 SH DEFINED 01 0 0 5568 ISHARES TR US PFD STK IDX 464288687 4340 107344 SH DEFINED 01 0 0 107344 ISHARES TR HGH DIV EQT FD 46429B663 300 4591 SH DEFINED 01 0 0 4591 JOHNSON & JOHNSON COM 478160104 3328 40853 SH DEFINED 01 0 0 40853 JPMORGAN CHASE & CO COM 46625H100 683 14407 SH DEFINED 01 0 0 14407 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 534 11765 SH DEFINED 01 0 0 11765 KIMBERLY CLARK CORP COM 494368103 1262 12847 SH DEFINED 01 0 0 12847 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 2113 23586 SH DEFINED 01 0 0 23586 KODIAK OIL & GAS CORP COM 50015Q100 198 21436 SH DEFINED 01 0 0 21436 KRAFT FOODS GROUP INC COM 50076Q106 832 15920 SH DEFINED 01 0 0 15920 LENNAR CORP CL A 526057104 240 5872 SH DEFINED 01 0 0 5872 LIFEVANTAGE CORP COM 53222K106 26 11000 SH DEFINED 01 0 0 11000 LILLY ELI & CO COM 532457108 954 16754 SH DEFINED 01 0 0 16754 LINN ENERGY LLC UNIT LTD LIAB 536020100 1410 37120 SH DEFINED 01 0 0 37120 LINNCO LLC COMSHS LTD INT 535782106 236 6025 SH DEFINED 01 0 0 6025 LMP REAL ESTATE INCOME FD IN COM 50208C108 796 60615 SH DEFINED 01 0 0 60615 LOCKHEED MARTIN CORP COM 539830109 1004 10364 SH DEFINED 01 0 0 10364 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 645 16925 SH DEFINED 01 0 0 16925 MARKET VECTORS ETF TR MKTVEC SMUNETF 57060U803 193 10906 SH DEFINED 01 0 0 10906 MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 226 6875 SH DEFINED 01 0 0 6875 MARKET VECTORS ETF TR PFD SEC EXFINL 57061R791 518 25232 SH DEFINED 01 0 0 25232 MARKWEST ENERGY PARTNERS L P UNIT LTD PARTN 570759100 216 3531 SH DEFINED 01 0 0 3531 MCDONALDS CORP COM 580135101 1707 17153 SH DEFINED 01 0 0 17153 MDU RES GROUP INC COM 552690109 2058 82999 SH DEFINED 01 0 0 82999 MEDTRONIC INC COM 585055106 340 7219 SH DEFINED 01 0 0 7219 MERCK & CO INC NEW COM 58933Y105 1660 37635 SH DEFINED 01 0 0 37635 MEREDITH CORP COM 589433101 954 25064 SH DEFINED 01 0 0 25064 MGIC INVT CORP WIS COM 552848103 473 96042 SH DEFINED 01 0 0 96042 MICROSOFT CORP COM 594918104 915 32033 SH DEFINED 01 0 0 32033 MONDELEZ INTL INC CL A 609207105 1724 56254 SH DEFINED 01 0 0 56254 MONSANTO CO NEW COM 61166W101 435 4119 SH DEFINED 01 0 0 4119 NATIONAL OILWELL VARCO INC COM 637071101 241 3420 SH DEFINED 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2285 SH DEFINED 01 0 0 2285 VALE S A ADR 91912E105 435 25868 SH DEFINED 01 0 0 25868 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 299 3692 SH DEFINED 01 0 0 3692 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 701 8402 SH DEFINED 01 0 0 8402 VANGUARD INDEX FDS S&P 500 ETF SH 922908413 310 4350 SH DEFINED 01 0 0 4350 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 299 4449 SH DEFINED 01 0 0 4449 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 240 3114 SH DEFINED 01 0 0 3114 VANGUARD INDEX FDS REIT ETF 922908553 2412 34175 SH DEFINED 01 0 0 34175 VANGUARD INDEX FDS SML CP GRW ETF 922908595 210 2122 SH DEFINED 01 0 0 2122 VANGUARD INDEX FDS SM CP VAL ETF 922908611 342 4173 SH DEFINED 01 0 0 4173 VANGUARD INDEX FDS MID CAP ETF 922908629 702 7598 SH DEFINED 01 0 0 7598 VANGUARD INDEX FDS GROWTH ETF 922908736 840 10821 SH DEFINED 01 0 0 10821 VANGUARD INDEX FDS VALUE ETF 922908744 894 13652 SH DEFINED 01 0 0 13652 VANGUARD INDEX FDS SMALL CP ETF 922908751 1048 11533 SH DEFINED 01 0 0 11533 VANGUARD INDEX FDS TOTAL STK MKT 922908769 330 4081 SH DEFINED 01 0 0 4081 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 513 11057 SH DEFINED 01 0 0 11057 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1109 25798 SH DEFINED 01 0 0 25798 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 468 5352 SH DEFINED 01 0 0 5352 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 3392 51575 SH DEFINED 01 0 0 51575 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 704 12873 SH DEFINED 01 0 0 12873 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 350 4158 SH DEFINED 01 0 0 4158 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 220 5747 SH DEFINED 01 0 0 5747 VERIZON COMMUNICATIONS INC COM 92343V104 2856 58077 SH DEFINED 01 0 0 58077 VISA INC COM CL A 92826C839 288 1701 SH DEFINED 01 0 0 1701 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 338 11970 SH DEFINED 01 0 0 11970 WALGREEN CO COM 931422109 437 9123 SH DEFINED 01 0 0 9123 WAL-MART STORES INC COM 931142103 1743 23433 SH DEFINED 01 0 0 23433 WASTE MGMT INC DEL COM 94106L109 1402 35775 SH DEFINED 01 0 0 35775 WELLS FARGO & CO NEW COM 949746101 574 15637 SH DEFINED 01 0 0 15637 WELLS FARGO ADV GLB DIV OPP COM 94987C103 109 13868 SH DEFINED 01 0 0 13868 WINDSTREAM CORP COM 97381W104 143 17919 SH DEFINED 01 0 0 17919 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 467 8422 SH DEFINED 01 0 0 8422 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 397 6403 SH DEFINED 01 0 0 6403 WISDOMTREE TRUST MIDCAP DIVI FD 97717W505 348 5345 SH DEFINED 01 0 0 5345 XCEL ENERGY INC COM 98389B100 726 24440 SH DEFINED 01 0 0 24440 YUM BRANDS INC COM 988498101 648 9041 SH DEFINED 01 0 0 9041