-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PaLEDYtUmM7QEeEUHCiJx/mFYDzhpOYpNXnGZZ51SShk6kfYJcBqxbJH60cwsqk7 twxX4m1bWy3PIRWFGM10sg== 0001397424-10-000005.txt : 20100421 0001397424-10-000005.hdr.sgml : 20100421 20100421124800 ACCESSION NUMBER: 0001397424-10-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100421 DATE AS OF CHANGE: 20100421 EFFECTIVENESS DATE: 20100421 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WBI INVESTMENTS CENTRAL INDEX KEY: 0001397424 IRS NUMBER: 222566011 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12525 FILM NUMBER: 10761145 BUSINESS ADDRESS: STREET 1: 34 SYCAMORE AVE SUITE 1-E CITY: LITTLE SILVER STATE: NJ ZIP: 07739 BUSINESS PHONE: 732-842-4920 MAIL ADDRESS: STREET 1: 34 SYCAMORE AVE SUITE 1-E CITY: LITTLE SILVER STATE: NJ ZIP: 07739 FORMER COMPANY: FORMER CONFORMED NAME: Wealth Builders DATE OF NAME CHANGE: 20070424 13F-HR 1 wbi.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3/31/2010 Check if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: WBI Investments Address: 34 Sycamore Avenue Little Silver, NJ 07739 13F File Number: 028-12525 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, scheduled, lists, and tables are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Gary Stroik Title: Chief Compliance Officer Phone: 732-842-4920 Signature, Place [City, ST], and Date of Signing /s/ Gary Stroik Little Silver, NJ 4/21/2010 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table entry Total: 120 Form 13F Information Table Value Total: 361756 (thousands) List of Other Included Managers: None Form 13F Information Table ISS TOC CUSIP VAL AMT SH/PRN PUT/CALL INVST_DIS OTH_MAN VA_SOLE VA_SHRD VA_NONE ENDURANCE SPECIALTY HLDGS LT SHS G30397106 2183 58763 SH SOLE 2183 GARMIN LTD ORD G37260109 6899 178603 SH SOLE 6899 HERBALIFE LTD COM USD SHS G4412G101 1600 34687 SH SOLE 1600 PARTNERRE LTD COM G6852T105 3650 45790 SH SOLE 3650 WILLIS GROUP HOLDINGS PUBLIC SHS G96666105 904 28902 SH SOLE 904 ELBIT SYS LTD ORD M3760D101 49 759 SH SOLE 49 ABM INDS INC COM 000957100 730 34435 SH SOLE 730 ACADIA RLTY TR COM SH BEN INT 004239109 976 54643 SH SOLE 976 ADVANCE AMER CASH ADVANCE CT COM 00739W107 542 93061 SH SOLE 542 ALLSTATE CORP COM 020002101 11142 344854 SH SOLE 11142 AMERICAN GREETINGS CORP CL A 026375105 1547 74242 SH SOLE 1547 AMTRUST FINANCIAL SERVICES I COM 032359309 1650 118303 SH SOLE 1650 ANNALY CAP MGMT INC COM 035710409 1694 98621 SH SOLE 1694 APOGEE ENTERPRISES INC COM 037598109 58 3644 SH SOLE 58 APPLIED SIGNAL TECHNOLOGY IN COM 038237103 516 26340 SH SOLE 516 AUTOMATIC DATA PROCESSING IN COM 053015103 11776 264812 SH SOLE 11776 AVISTA CORP COM 05379B107 1406 67909 SH SOLE 1406 AVON PRODS INC COM 054303102 4042 119335 SH SOLE 4042 BRISTOL MYERS SQUIBB CO COM 110122108 2048 76716 SH SOLE 2048 BUCKLE INC COM 118440106 3232 87930 SH SOLE 3232 BURGER KING HLDGS INC COM 121208201 1091 51302 SH SOLE 1091 CALIFORNIA WTR SVC GROUP COM 130788102 129 3417 SH SOLE 129 CARDINAL HEALTH INC COM 14149Y108 779 21634 SH SOLE 779 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 1773 36853 SH SOLE 1773 CHINA UNICOM (HONG KONG) LTD SPONSORED ADR 16945R104 7257 650813 SH SOLE 7257 COMCAST CORP NEW CL A 20030N101 5382 285811 SH SOLE 5382 CONSTELLATION ENERGY GROUP I COM 210371100 3763 107173 SH SOLE 3763 DARDEN RESTAURANTS INC COM 237194105 5236 117550 SH SOLE 5236 DEL MONTE FOODS CO COM 24522P103 1330 91108 SH SOLE 1330 EGA EMERGING GLOBAL SHS TR DJ MKT MET&MIN 268461852 830 13400 SH SOLE 830 ETFS PLATINUM TR SH BEN INT 26922V101 125 759 SH SOLE 125 ETFS PALLADIUM TR SH BEN INT 26923A106 566 11819 SH SOLE 566 ENBRIDGE INC COM 29250N105 3824 80080 SH SOLE 3824 EXELON CORP COM 30161N101 2878 65693 SH SOLE 2878 FAMILY DLR STORES INC COM 307000109 2523 68918 SH SOLE 2523 FIRST TR VALUE LINE DIVID IN SHS 33734H106 571 40724 SH SOLE 571 GAP INC DEL COM 364760108 1196 51760 SH SOLE 1196 HARTE-HANKS INC COM 416196103 274 21334 SH SOLE 274 HASBRO INC COM 418056107 1350 35274 SH SOLE 1350 HENRY JACK & ASSOC INC COM 426281101 773 32144 SH SOLE 773 HUDSON CITY BANCORP COM 443683107 5175 365181 SH SOLE 5175 INTEL CORP COM 458140100 2254 101133 SH SOLE 2254 INTERCONTINENTAL HTLS GRP PL SPONS ADR NEW 45857P301 580 37108 SH SOLE 580 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 3716 77952 SH SOLE 3716 INTERNATIONAL SHIPHOLDING CO COM NEW 460321201 199 6780 SH SOLE 199 ISHARES TR INDEX S&P 100 IDX FD 464287101 123 2295 SH SOLE 123 ISHARES TR INDEX TRANSP AVE IDX 464287192 4528 57249 SH SOLE 4528 ISHARES TR INDEX IBOXX INV CPBD 464287242 35650 337050 SH SOLE 35650 ISHARES TR INDEX S&P500 GRW 464287309 21 356 SH SOLE 21 ISHARES TR INDEX RUSSELL1000GRW 464287614 1077 20733 SH SOLE 1077 ISHARES TR INDEX RUSL 2000 VALU 464287630 644 10093 SH SOLE 644 ISHARES TR INDEX RUSL 3000 GROW 464287671 27 639 SH SOLE 27 ISHARES TR INDEX DJ US TELECOMM 464287713 4513 225433 SH SOLE 4513 ISHARES TR INDEX DJ US HEALTHCR 464287762 681 10275 SH SOLE 681 ISHARES TR S&P NTL AMTFREE 464288414 454 4392 SH SOLE 454 ISHARES TR HIGH YLD CORP 464288513 4116 46575 SH SOLE 4116 ISHARES TR INDL OFF CAP IDX 464288554 718 28590 SH SOLE 718 ISHARES TR BARCLYS CR BD 464288620 5240 51236 SH SOLE 5240 ISHARES TR BARCLYS INTER CR 464288638 20880 200727 SH SOLE 20880 ISHARES TR DJ OIL&GAS EXP 464288851 673 12386 SH SOLE 673 ISHARES TR 2014 S&P AMTFR 464289362 389 7548 SH SOLE 389 ISHARES TR 10+ YR CR BD 464289511 7012 137869 SH SOLE 7012 KIMBERLY CLARK CORP COM 494368103 3344 53177 SH SOLE 3344 LANCE INC COM 514606102 94 4056 SH SOLE 94 LILLY ELI & CO COM 532457108 5694 157206 SH SOLE 5694 LOCKHEED MARTIN CORP COM 539830109 4438 53324 SH SOLE 4438 MFA FINANCIAL INC COM 55272X102 1508 204863 SH SOLE 1508 MARKET VECTORS ETF TR MKTVEC LMUNETF 57060U886 671 36614 SH SOLE 671 MCGRAW HILL COS INC COM 580645109 249 6998 SH SOLE 249 MICROSOFT CORP COM 594918104 935 31910 SH SOLE 935 NYSE EURONEXT COM 629491101 4734 159884 SH SOLE 4734 NOKIA CORP SPONSORED ADR 654902204 12798 823526 SH SOLE 12798 NORTHROP GRUMMAN CORP COM 666807102 8077 123178 SH SOLE 8077 NORTHWESTERN CORP COM NEW 668074305 454 16939 SH SOLE 454 NV ENERGY INC COM 67073Y106 5283 428462 SH SOLE 5283 PNM RES INC COM 69349H107 4278 341411 SH SOLE 4278 PERKINELMER INC COM 714046109 189 7916 SH SOLE 189 POLARIS INDS INC COM 731068102 5228 102186 SH SOLE 5228 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1009 20947 SH SOLE 1009 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 59 7244 SH SOLE 59 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 7362 422375 SH SOLE 7362 POWERSHARES ETF TRUST DYN BLDG CNSTR 73935X666 401 31966 SH SOLE 401 POWERSHARES ETF TRUST DIV ACHV PRTF 73935X732 950 73053 SH SOLE 950 POWERSHARES GLOBAL ETF FD S&P 500 BUYWRT 73936G308 726 33554 SH SOLE 726 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 378 15955 SH SOLE 378 POWERSHARES GLOBAL ETF TRUST HI YLD USD BD 73936T557 3126 173936 SH SOLE 3126 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 578 22047 SH SOLE 578 PRAXAIR INC COM 74005P104 4803 57871 SH SOLE 4803 PROGRESSIVE CORP OHIO COM 743315103 2139 112038 SH SOLE 2139 PROTECTIVE LIFE CORP COM 743674103 3460 157347 SH SOLE 3460 RAYTHEON CO COM NEW 755111507 6052 105947 SH SOLE 6052 REVENUESHARES ETF TR LARGECAP FD 761396100 264 11936 SH SOLE 264 REVENUESHARES ETF TR MID CAP FD 761396209 27 1032 SH SOLE 27 ROSS STORES INC COM 778296103 1103 20625 SH SOLE 1103 RUDDICK CORP COM 781258108 573 18119 SH SOLE 573 RYDEX ETF TRUST S&PMC400 PURGR 78355W601 183 2870 SH SOLE 183 SPDR INDEX SHS FDS INTL MTRLS SEC 78463X665 32 1222 SH SOLE 32 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 618 14239 SH SOLE 618 SPDR SERIES TRUST BARCLY CAP ETF 78464A367 9020 252847 SH SOLE 9020 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 4237 106488 SH SOLE 4237 SPDR SERIES TRUST BRCLYS MUNI ETF 78464A458 379 16673 SH SOLE 379 SANOFI AVENTIS SPONSORED ADR 80105N105 8833 236433 SH SOLE 8833 SARA LEE CORP COM 803111103 1877 134770 SH SOLE 1877 SASOL LTD SPONSORED ADR 803866300 2334 56543 SH SOLE 2334 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 724 24426 SH SOLE 724 SELECTIVE INS GROUP INC COM 816300107 460 27712 SH SOLE 460 SMUCKER J M CO COM NEW 832696405 942 15625 SH SOLE 942 SPARTAN STORES INC COM 846822104 575 39865 SH SOLE 575 SYNTEL INC COM 87162H103 557 14491 SH SOLE 557 TJX COS INC NEW COM 872540109 734 17273 SH SOLE 734 TRAVELERS COMPANIES INC COM 89417E109 11081 205432 SH SOLE 11081 UNITED ONLINE INC COM 911268100 1307 174781 SH SOLE 1307 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 4614 66104 SH SOLE 4614 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 10169 136329 SH SOLE 10169 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 10835 142095 SH SOLE 10835 VANGUARD INDEX FDS STK MRK ETF 922908769 1217 20430 SH SOLE 1217 WEIGHT WATCHERS INTL INC NEW COM 948626106 1956 76613 SH SOLE 1956 WEIS MKTS INC COM 948849104 818 22505 SH SOLE 818 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 122 2857 SH SOLE 122 WISDOMTREE TRUST SMALLCAP DIVID 97717W604 184 4317 SH SOLE 184
-----END PRIVACY-ENHANCED MESSAGE-----