0001397424-11-000006.txt : 20110719 0001397424-11-000006.hdr.sgml : 20110719 20110719161722 ACCESSION NUMBER: 0001397424-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110719 DATE AS OF CHANGE: 20110719 EFFECTIVENESS DATE: 20110719 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: 11975403 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: 6/30/2011 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 7/19/2011 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: 124 Form 13F Information Table Value Total: 650050 (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 TE CONNECTIVITY LTD REG SHS H84989104 29 779 SH SOLE 29 ASML HOLDING N V NY REG SHS N07059186 2828 76521 SH SOLE 2828 ABM INDS INC COM 000957100 6518 279243 SH SOLE 6518 ALCOA INC COM 013817101 5 300 SH SOLE 5 AMERICAN STS WTR CO COM 029899101 1964 56665 SH SOLE 1964 ANALOG DEVICES INC COM 032654105 4745 121241 SH SOLE 4745 ANNALY CAP MGMT INC COM 035710409 3315 183741 SH SOLE 3315 APPLIED MATLS INC COM 038222105 24387 1874503 SH SOLE 24387 ARCH COAL INC COM 039380100 801 30061 SH SOLE 801 AUTOLIV INC COM 052800109 14845 189234 SH SOLE 14845 AUTOMATIC DATA PROCESSING IN COM 053015103 4923 93451 SH SOLE 4923 AVERY DENNISON CORP COM 053611109 6217 160945 SH SOLE 6217 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 554 11722 SH SOLE 554 BLACKROCK INC COM 09247X101 5341 27845 SH SOLE 5341 BOB EVANS FARMS INC COM 096761101 29 820 SH SOLE 29 BRIGGS & STRATTON CORP COM 109043109 681 34275 SH SOLE 681 CMS ENERGY CORP COM 125896100 2694 136828 SH SOLE 2694 CVS CAREMARK CORPORATION COM 126650100 4 108 SH SOLE 4 CABOT CORP COM 127055101 92 2312 SH SOLE 92 CARNIVAL PLC ADR 14365C103 1234 31765 SH SOLE 1234 CENTERPOINT ENERGY INC COM 15189T107 30 1562 SH SOLE 30 CHEVRON CORP NEW COM 166764100 21 200 SH SOLE 21 CISCO SYS INC COM 17275R102 5 300 SH SOLE 5 CITY HLDG CO COM 177835105 18 547 SH SOLE 18 COCA COLA BOTTLING CO CONS COM 191098102 1198 17700 SH SOLE 1198 COGNEX CORP COM 192422103 893 25193 SH SOLE 893 COMCAST CORP NEW CL A 20030N101 10759 424591 SH SOLE 10759 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 8222 243772 SH SOLE 8222 CRACKER BARREL OLD CTRY STOR COM 22410J106 2311 46873 SH SOLE 2311 DPL INC COM 233293109 6932 229847 SH SOLE 6932 DAKTRONICS INC COM 234264109 34 3135 SH SOLE 34 EATON VANCE CORP COM NON VTG 278265103 14027 464022 SH SOLE 14027 EMPRESA NACIONAL DE ELCTRCID SPONSORED ADR 29244T101 3936 68914 SH SOLE 3936 EQUITY LIFESTYLE PPTYS INC COM 29472R108 6157 98611 SH SOLE 6157 EXELON CORP COM 30161N101 18786 438509 SH SOLE 18786 FIRST TR ISE REVERE NAT GAS COM 33734J102 1261 58561 SH SOLE 1261 GAP INC DEL COM 364760108 3957 218637 SH SOLE 3957 GENTEX CORP COM 371901109 34 1124 SH SOLE 34 GREIF INC CL A 397624107 4097 63005 SH SOLE 4097 HARLEY DAVIDSON INC COM 412822108 8 200 SH SOLE 8 HEWLETT PACKARD CO COM 428236103 21 577 SH SOLE 21 HUNTSMAN CORP COM 447011107 11257 597163 SH SOLE 11257 IGATE CORP COM 45169U105 5363 328624 SH SOLE 5363 INTERNATIONAL BANCSHARES COR COM 459044103 19 1109 SH SOLE 19 ISHARES INC MSCI CDA INDEX 464286509 21 651 SH SOLE 21 ISHARES INC MSCI SINGAPORE 464286673 21 1516 SH SOLE 21 ISHARES INC MSCI SWITZERLD 464286749 23 863 SH SOLE 23 ISHARES INC MSCI SWEDEN 464286756 23 715 SH SOLE 23 ISHARES INC MSCI S KOREA 464286772 25 379 SH SOLE 25 ISHARES INC MSCI HONG KONG 464286871 21 1128 SH SOLE 21 ISHARES TR S&P 100 IDX FD 464287101 75 1277 SH SOLE 75 ISHARES TR IBOXX INV CPBD 464287242 69615 632116 SH SOLE 69615 ISHARES TR S&P LTN AM 40 464287390 21795 422222 SH SOLE 21795 ISHARES TR S&P NA TECH FD 464287549 1049 16896 SH SOLE 1049 ISHARES TR COHEN&ST RLTY 464287564 679 9365 SH SOLE 679 ISHARES TR RUSSELL1000GRW 464287614 842 13823 SH SOLE 842 ISHARES TR RUSL 3000 GROW 464287671 17 344 SH SOLE 17 ISHARES TR DJ US TELECOMM 464287713 9 375 SH SOLE 9 ISHARES TR S&P SH NTL AMTFR 464288158 43 402 SH SOLE 43 ISHARES TR HIGH YLD CORP 464288513 48008 525772 SH SOLE 48008 ISHARES TR BARCLYS 1-3YR CR 464288646 22 208 SH SOLE 22 ISHARES TR ZEALAND INVST 464289123 23 702 SH SOLE 23 ISHARES TR 2014 S&P AMTFR 464289362 41 790 SH SOLE 41 ISHARES TR 2012 S&P AMTFR 464289412 42 822 SH SOLE 42 ISHARES TR POLND INVT MKT 46429B606 23 612 SH SOLE 23 JPMORGAN CHASE & CO COM 46625H100 8 200 SH SOLE 8 JOHNSON & JOHNSON COM 478160104 128 1929 SH SOLE 128 KLA-TENCOR CORP COM 482480100 11598 286507 SH SOLE 11598 KINROSS GOLD CORP COM NO PAR 496902404 131 8270 SH SOLE 131 L-3 COMMUNICATIONS HLDGS INC COM 502424104 2367 27065 SH SOLE 2367 LINEAR TECHNOLOGY CORP COM 535678106 3308 100193 SH SOLE 3308 LOCKHEED MARTIN CORP COM 539830109 5671 70041 SH SOLE 5671 M & T BK CORP COM 55261F104 23735 269871 SH SOLE 23735 MAGNA INTL INC COM 559222401 13201 244287 SH SOLE 13201 MARKETAXESS HLDGS INC COM 57060D108 1465 58454 SH SOLE 1465 MARKET VECTORS ETF TR EM LC CURR DBT 57060U522 30131 1097666 SH SOLE 30131 MATTEL INC COM 577081102 11 409 SH SOLE 11 MCCORMICK & CO INC COM NON VTG 579780206 5467 110289 SH SOLE 5467 MCDONALDS CORP COM 580135101 17 200 SH SOLE 17 MEDTRONIC INC COM 585055106 19353 502295 SH SOLE 19353 MICROSOFT CORP COM 594918104 1232 47366 SH SOLE 1232 MICROCHIP TECHNOLOGY INC SDCV 2.125%12/1 595017AB0 1 1000 PRN SOLE 1 MICROCHIP TECHNOLOGY INC COM 595017104 16160 426270 SH SOLE 16160 MOLEX INC COM 608554101 5952 230959 SH SOLE 5952 NEWMONT MINING CORP COM 651639106 11 200 SH SOLE 11 PPL CORP COM 69351T106 24689 887148 SH SOLE 24689 PARKER HANNIFIN CORP COM 701094104 6159 68635 SH SOLE 6159 PATTERSON COMPANIES INC COM 703395103 3753 114122 SH SOLE 3753 PINNACLE WEST CAP CORP COM 723484101 5047 113221 SH SOLE 5047 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 804 14100 SH SOLE 804 POWERSHARES ETF TRUST DIV ACHV PRTF 73935X732 741 49575 SH SOLE 741 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 20675 832679 SH SOLE 20675 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 42 1681 SH SOLE 42 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 13077 706486 SH SOLE 13077 QUAKER CHEM CORP COM 747316107 1271 29557 SH SOLE 1271 RAYTHEON CO COM NEW 755111507 10 200 SH SOLE 10 REVENUESHARES ETF TR LARGECAP FD 761396100 151 6031 SH SOLE 151 REVENUESHARES ETF TR MID CAP FD 761396209 18 556 SH SOLE 18 ROGERS COMMUNICATIONS INC CL B 775109200 4359 110298 SH SOLE 4359 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 22334 487849 SH SOLE 22334 SPDR SERIES TRUST LNG TRM CORP BD 78464A367 5228 146027 SH SOLE 5228 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 156 4706 SH SOLE 156 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 72 2990 SH SOLE 72 SANDERSON FARMS INC COM 800013104 37 780 SH SOLE 37 SANDISK CORP NOTE 1.500% 8/1 80004CAD3 1 1000 PRN SOLE 1 SCHLUMBERGER LTD COM 806857108 9 100 SH SOLE 9 SCHULMAN A INC COM 808194104 1845 73242 SH SOLE 1845 SCOTTS MIRACLE GRO CO CL A 810186106 7274 141773 SH SOLE 7274 SONOCO PRODS CO COM 835495102 5097 143422 SH SOLE 5097 STARBUCKS CORP COM 855244109 2156 54603 SH SOLE 2156 STRAYER ED INC COM 863236105 1943 15371 SH SOLE 1943 TARGET CORP COM 87612E106 5367 114411 SH SOLE 5367 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 3780 78386 SH SOLE 3780 TYSON FOODS INC CL A 902494103 747 38458 SH SOLE 747 UIL HLDG CORP COM 902748102 10 311 SH SOLE 10 UNITED PARCEL SERVICE INC CL B 911312106 4 53 SH SOLE 4 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 3551 44438 SH SOLE 3551 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 1052 15157 SH SOLE 1052 VANGUARD WORLD FDS MATERIALS ETF 92204A801 1059 12304 SH SOLE 1059 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 39272 502012 SH SOLE 39272 VANGUARD INDEX FDS STK MRK ETF 922908769 900 13156 SH SOLE 900 WALGREEN CO COM 931422109 4360 102685 SH SOLE 4360 WESCO INTL INC DBCV 6.000% 9/1 95082PAH8 2 1000 PRN SOLE 2 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 82 1593 SH SOLE 82