0001172661-12-001051.txt : 20121101 0001172661-12-001051.hdr.sgml : 20121101 20121101162917 ACCESSION NUMBER: 0001172661-12-001051 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121101 DATE AS OF CHANGE: 20121101 EFFECTIVENESS DATE: 20121101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ballentine Partners, LLC CENTRAL INDEX KEY: 0001374889 IRS NUMBER: 043350500 STATE OF INCORPORATION: NH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12011 FILM NUMBER: 121173880 BUSINESS ADDRESS: STREET 1: PO BOX 1860 STREET 2: 55 MILL ST. CITY: WOLFEBORO STATE: NH ZIP: 03894 BUSINESS PHONE: 603-569-1717 MAIL ADDRESS: STREET 1: PO BOX 1860 STREET 2: 55 MILL ST. CITY: WOLFEBORO STATE: NH ZIP: 03894 FORMER COMPANY: FORMER CONFORMED NAME: Ballentine, Finn & Company, Inc. DATE OF NAME CHANGE: 20060907 13F-HR 1 ballentine3q12.txt FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 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: Ballentine Partners, LLC Address: 230 Third Avenue, 6th Floor Waltham, MA 02451 13F File Number: 028-12011 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: Roy C. Ballentine Title: Chairman and CEO Phone: 603-569-1717 Signature, Place, and Date of Signing: /s/ Roy C. Ballentine Waltham, NH November 1, 2012 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: 159 Form 13F Information Table Value Total: $628,466 (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 1 028-04558 Parametric Portfolio Associates 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 87 936 SH SOLE 0 0 936 3M CO COM 88579Y101 150 1619 SH DEFINED 1 0 0 1619 ABBOTT LABS COM 002824100 354 5163 SH DEFINED 1 0 0 5163 ABBOTT LABS COM 002824100 144 2100 SH SOLE 0 0 2100 ABERDEEN LATIN AMER EQTY FD COM 00306k106 354 10274 SH SOLE 0 0 10274 AIR PRODS & CHEMS INC COM 009158106 161 1946 SH DEFINED 1 0 0 1946 AIR PRODS & CHEMS INC COM 009158106 52 625 SH SOLE 0 0 625 ALLEGHANY CORP DEL COM 017175100 205 595 SH SOLE 0 0 595 AMAZON COM INC COM 023135106 187 737 SH DEFINED 1 0 0 737 AMAZON COM INC COM 023135106 15 60 SH SOLE 0 0 60 AMERICAN EXPRESS CO COM 025816109 34 600 SH SOLE 0 0 600 AMERICAN EXPRESS CO COM 025816109 198 3474 SH DEFINED 1 0 0 3474 APPLE INC COM 037833100 1062 1592 SH DEFINED 1 0 0 1592 APPLE INC COM 037833100 2171 3254 SH SOLE 0 0 3254 APPLIED MATLS INC COM 038222105 25 2272 SH DEFINED 1 0 0 2272 APPLIED MATLS INC COM 038222105 89 8000 SH SOLE 0 0 8000 AT&T INC COM 00206R102 392 10409 SH DEFINED 1 0 0 10409 AT&T INC COM 00206R102 2 46 SH SOLE 0 0 46 AUTOMATIC DATA PROCESSING IN COM 053015103 69 1177 SH DEFINED 1 0 0 1177 AUTOMATIC DATA PROCESSING IN COM 053015103 402 6850 SH SOLE 0 0 6850 BANCO SANTANDER CHILE NEW SP ADR REP COM 05965X109 75 10000 SH SOLE 0 0 10000 BANK OF AMERICA CORPORATION COM 060505104 105 11864 SH DEFINED 1 0 0 11864 BANK OF AMERICA CORPORATION COM 060505104 10 1152 SH SOLE 0 0 1152 BAXTER INTL INC COM 071813109 57 947 SH DEFINED 1 0 0 947 BAXTER INTL INC COM 071813109 161 2677 SH SOLE 0 0 2677 BERKSHIRE HATHAWAY INC DEL CL A 084670108 18180 137 SH SOLE 0 0 137 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 231 2619 SH DEFINED 1 0 0 2619 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1070 12130 SH SOLE 0 0 12130 CATERPILLAR INC DEL COM 149123101 87 1007 SH DEFINED 1 0 0 1007 CATERPILLAR INC DEL COM 149123101 283 3285 SH SOLE 0 0 3285 CHEVRON CORP NEW COM 166764100 134 1150 SH SOLE 0 0 1150 CHEVRON CORP NEW COM 166764100 412 3533 SH DEFINED 1 0 0 3533 CISCO SYS INC COM 17275R102 184 9615 SH DEFINED 1 0 0 9615 CISCO SYS INC COM 17275R102 190 9966 SH SOLE 0 0 9966 CITIGROUP INC COM NEW 172967424 124 3800 SH DEFINED 1 0 0 3800 CITIGROUP INC COM NEW 172967424 167 5100 SH SOLE 0 0 5100 COCA COLA CO COM 191216100 281 7409 SH DEFINED 1 0 0 7409 COCA COLA CO COM 191216100 206 5422 SH SOLE 0 0 5422 CONOCOPHILLIPS COM 20825C104 140 2449 SH DEFINED 1 0 0 2449 CONOCOPHILLIPS COM 20825C104 141 2465 SH SOLE 0 0 2465 COSTCO WHSL CORP NEW COM 22160K105 67 673 SH DEFINED 1 0 0 673 COSTCO WHSL CORP NEW COM 22160K105 227 2270 SH SOLE 0 0 2270 CVS CAREMARK CORPORATION COM 126650100 149 3072 SH DEFINED 1 0 0 3072 CVS CAREMARK CORPORATION COM 126650100 59 1210 SH SOLE 0 0 1210 DISNEY WALT CO COM DISNEY 254687106 235 4494 SH DEFINED 1 0 0 4494 DISNEY WALT CO COM DISNEY 254687106 75 1428 SH SOLE 0 0 1428 E M C CORP MASS COM 268648102 169 6208 SH DEFINED 1 0 0 6208 E M C CORP MASS COM 268648102 119 4350 SH SOLE 0 0 4350 EXPRESS SCRIPTS HLDG CO COM 30219G108 81 1289 SH DEFINED 1 0 0 1289 EXPRESS SCRIPTS HLDG CO COM 30219G108 438 7000 SH SOLE 0 0 7000 EXXON MOBIL CORP COM 30231G102 1087 11882 SH SOLE 0 0 11882 EXXON MOBIL CORP COM 30231G102 824 9015 SH DEFINED 1 0 0 9015 FASTENAL CO COM 311900104 12 287 SH DEFINED 1 0 0 287 FASTENAL CO COM 311900104 344 8000 SH SOLE 0 0 8000 FEDEX CORP COM 31428X106 46 542 SH DEFINED 1 0 0 542 FEDEX CORP COM 31428X106 195 2301 SH SOLE 0 0 2301 GENERAL ELECTRIC CO COM 369604103 355 15642 SH DEFINED 1 0 0 15642 GENERAL ELECTRIC CO COM 369604103 858 37768 SH SOLE 0 0 37768 GLOBAL PMTS INC COM 37940X102 3 80 SH DEFINED 1 0 0 80 GLOBAL PMTS INC COM 37940X102 483 11552 SH SOLE 0 0 11552 GOOGLE INC CL A 38259P508 453 601 SH DEFINED 1 0 0 601 GOOGLE INC CL A 38259P508 275 364 SH SOLE 0 0 364 HOME DEPOT INC COM 437076102 208 3443 SH DEFINED 1 0 0 3443 HOME DEPOT INC COM 437076102 69 1147 SH SOLE 0 0 1147 ILLINOIS TOOL WKS INC COM 452308109 168 2823 SH DEFINED 1 0 0 2823 ILLINOIS TOOL WKS INC COM 452308109 562 9450 SH SOLE 0 0 9450 INTEL CORP COM 458140100 349 15403 SH DEFINED 1 0 0 15403 INTEL CORP COM 458140100 539 23779 SH SOLE 0 0 23779 INTERNATIONAL BUSINESS MACHS COM 459200101 639 3081 SH DEFINED 1 0 0 3081 INTERNATIONAL BUSINESS MACHS COM 459200101 557 2683 SH SOLE 0 0 2683 ISHARES INC MSCI PAC J IDX 464286665 945 21192 SH SOLE 0 0 21192 ISHARES TR MSCI EAFE INDEX 464287465 42073 793830 SH SOLE 0 0 793830 ISHARES TR MSCI EMERG MKT 464287234 6714 162472 SH SOLE 0 0 162472 ISHARES TR MSCI KLD400 SOC 464288570 3684 70696 SH SOLE 0 0 70696 ISHARES TR RUSL 2000 VALU 464287630 203 2742 SH SOLE 0 0 2742 ISHARES TR RUSSELL 1000 464287622 32902 413965 SH SOLE 0 0 413965 ISHARES TR RUSSELL 2000 464287655 2631 31532 SH SOLE 0 0 31532 ISHARES TR RUSSELL 3000 464287689 8661 102073 SH SOLE 0 0 102073 ISHARES TR RUSSELL MIDCAP 464287499 266 2400 SH SOLE 0 0 2400 ISHARES TR RUSSELL1000GRW 464287614 456 6831 SH SOLE 0 0 6831 ISHARES TR RUSSELL1000VAL 464287598 948 13129 SH SOLE 0 0 13129 ISHARES TR S&P 1500 INDEX 464287150 2011 30810 SH SOLE 0 0 30810 ISHARES TR S&P 500 INDEX 464287200 38958 269791 SH SOLE 0 0 269791 ISHARES TR S&P 500 VALUE 464287408 593 9021 SH SOLE 0 0 9021 ISHARES TR S&P MIDCAP 400 464287507 24850 251826 SH SOLE 0 0 251826 ISHARES TR S&P SMLCAP 600 464287804 18819 244179 SH SOLE 0 0 244179 ISHARES TR S&P SMLCP VALU 464287879 4035 51074 SH SOLE 0 0 51074 JOHNSON & JOHNSON COM 478160104 602 8741 SH SOLE 0 0 8741 JOHNSON & JOHNSON COM 478160104 541 7858 SH DEFINED 1 0 0 7858 JPMORGAN CHASE & CO COM 46625H100 188 4633 SH DEFINED 1 0 0 4633 JPMORGAN CHASE & CO COM 46625H100 159 3925 SH SOLE 0 0 3925 MCDONALDS CORP COM 580135101 194 2118 SH DEFINED 1 0 0 2118 MCDONALDS CORP COM 580135101 404 4408 SH SOLE 0 0 4408 MERCK & CO INC NEW COM 58933Y105 406 9011 SH DEFINED 1 0 0 9011 MERCK & CO INC NEW COM 58933Y105 47 1040 SH SOLE 0 0 1040 MICROSOFT CORP COM 594918104 492 16534 SH DEFINED 1 0 0 16534 MICROSOFT CORP COM 594918104 187 6277 SH SOLE 0 0 6277 NIKE INC CL B 654106103 114 1201 SH SOLE 0 0 1201 NIKE INC CL B 654106103 120 1268 SH DEFINED 1 0 0 1268 NOVARTIS A G SPONSORED ADR 66987v109 211 3450 SH SOLE 0 0 3450 NOVARTIS A G SPONSORED ADR 66987v109 3 43 SH DEFINED 1 0 0 43 ORACLE CORP COM 68389X105 196 6219 SH DEFINED 1 0 0 6219 ORACLE CORP COM 68389X105 44 1400 SH SOLE 0 0 1400 PEPSICO INC COM 713448108 362 5115 SH DEFINED 1 0 0 5115 PEPSICO INC COM 713448108 106 1500 SH SOLE 0 0 1500 PFIZER INC COM 717081103 328 13188 SH DEFINED 1 0 0 13188 PFIZER INC COM 717081103 1535 61779 SH SOLE 0 0 61779 PHILIP MORRIS INTL INC COM 718172109 257 2859 SH DEFINED 1 0 0 2859 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 1075 70700 SH SOLE 0 0 70700 POWERSHARES QQQ TRUST UNIT SER 1 73935a104 620 9035 SH SOLE 0 0 9035 PROCTER & GAMBLE CO COM 742718109 463 6681 SH SOLE 0 0 6681 PROCTER & GAMBLE CO COM 742718109 503 7259 SH DEFINED 1 0 0 7259 QUALCOMM INC COM 747525103 265 4249 SH DEFINED 1 0 0 4249 QUALCOMM INC COM 747525103 87 1400 SH SOLE 0 0 1400 SAPIENT CORP COM 803062108 1122 105300 SH SOLE 0 0 105300 SCHLUMBERGER LTD COM 806857108 212 2932 SH DEFINED 1 0 0 2932 SCHLUMBERGER LTD COM 806857108 14 200 SH SOLE 0 0 200 SELECT SECTOR SPDR TR TECHNOLOGY 81369y803 345 11188 SH SOLE 0 0 11188 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 4794 175400 SH SOLE 0 0 175400 SPDR S&P 500 ETF TR TR UNIT 78462F103 42508 295253 SH SOLE 0 0 295253 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2244 12472 SH SOLE 0 0 12472 SPDR SERIES TRUST S&P DIVID ETF 78464A763 912 15703 SH SOLE 0 0 15703 STANLEY BLACK & DECKER INC COM 854502101 10 130 SH DEFINED 1 0 0 130 STANLEY BLACK & DECKER INC COM 854502101 655 8592 SH SOLE 0 0 8592 STERICYCLE INC COM 858912108 5 57 SH DEFINED 1 0 0 57 STERICYCLE INC COM 858912108 452 5000 SH SOLE 0 0 5000 STRYKER CORP COM 863667101 18 331 SH DEFINED 1 0 0 331 STRYKER CORP COM 863667101 438 7875 SH SOLE 0 0 7875 TRIPADVISOR INC COM 896945201 6 170 SH DEFINED 1 0 0 170 TRIPADVISOR INC COM 896945201 198 6000 SH SOLE 0 0 6000 UNITED PARCEL SERVICE INC CL B 911312106 930 13000 SH SOLE 0 0 13000 UNITED PARCEL SERVICE INC CL B 911312106 98 1374 SH DEFINED 1 0 0 1374 UNITED TECHNOLOGIES CORP COM 913017109 136 1743 SH DEFINED 1 0 0 1743 UNITED TECHNOLOGIES CORP COM 913017109 192 2450 SH SOLE 0 0 2450 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 2846 47780 SH SOLE 0 0 47780 VANGUARD INDEX FDS LARGE CAP ETF 922908637 43783 666513 SH SOLE 0 0 666513 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 343 5918 SH SOLE 0 0 5918 VANGUARD INDEX FDS MID CAP ETF 922908629 14454 178091 SH SOLE 0 0 178091 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1237 17206 SH SOLE 0 0 17206 VANGUARD INDEX FDS SMALL CP ETF 922908751 8363 104354 SH SOLE 0 0 104354 VANGUARD INDEX FDS TOTAL STK MKT 922908769 64499 875749 SH SOLE 0 0 875749 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 11351 264231 SH SOLE 0 0 264231 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 77847 1865934 SH SOLE 0 0 1865934 VANGUARD INTL EQUITY INDEX F MSCI EUROPE ETF 922042874 25674 567249 SH SOLE 0 0 567249 VANGUARD INTL EQUITY INDEX F MSCI PAC ETF 922042866 16381 325269 SH SOLE 0 0 325269 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 40661 681318 SH SOLE 0 0 681318 VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 24651 749734 SH SOLE 0 0 749734 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 813 16122 SH SOLE 0 0 16122 VANGUARD WORLD FD MEGA GRWTH IND 921910816 537 9440 SH SOLE 0 0 9440 VANGUARD WORLD FD MEGA VALUE 300 921910840 334 7770 SH SOLE 0 0 7770 VERIZON COMMUNICATIONS INC COM 92343V104 29 633 SH SOLE 0 0 633 VERIZON COMMUNICATIONS INC COM 92343V104 180 3951 SH DEFINED 1 0 0 3951 VISA INC COM CL A 92826C839 91 678 SH DEFINED 1 0 0 678 VISA INC COM CL A 92826C839 222 1652 SH SOLE 0 0 1652 WALGREEN CO COM 931422109 181 4972 SH DEFINED 1 0 0 4972 WALGREEN CO COM 931422109 182 5000 SH SOLE 0 0 5000 WELLS FARGO & CO NEW COM 949746101 431 12474 SH DEFINED 1 0 0 12474 WELLS FARGO & CO NEW COM 949746101 46 1320 SH SOLE 0 0 1320 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 1747 32550 SH SOLE 0 0 32550