0000891092-11-002951.txt : 20110505 0000891092-11-002951.hdr.sgml : 20110505 20110505131253 ACCESSION NUMBER: 0000891092-11-002951 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110505 DATE AS OF CHANGE: 20110505 EFFECTIVENESS DATE: 20110505 FILER: COMPANY DATA: COMPANY CONFORMED NAME: IndexIQ Advisors LLC CENTRAL INDEX KEY: 0001415996 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13712 FILM NUMBER: 11813675 BUSINESS ADDRESS: STREET 1: 800 Westchester Avenue CITY: Rye Brook STATE: NY ZIP: 10573 MAIL ADDRESS: STREET 1: 800 Westchester Avenue CITY: Rye Brook STATE: NY ZIP: 10573 13F-HR 1 e43435_13fhr.txt FORM 13F-HR 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, 2011 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: IndexIQ Advisors LLC Address: 800 Westchester Avenue, Suite N-611 Rye Brook, NY 10573 Form 13F File Number: 28-13712 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: Adam S. Patti Title: Chief Executive Officer Phone: 914.697.4945 Signature, Place, and Date of Signing: /s/ Adam S. Patti Rye Brook, New York 5/5/2011 ----------------- ------------------- -------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager is reported in this report and a portion is reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 121 Form 13F Information Table Value Total: $409,026 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 01 28-13711 Financial Development LLC 02 28-13710 Financial Development Holdco LLC
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 TITLE OF CUSIP VALUE SHARES SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ---------------------------- ----------------- --------- -------- -------- -------- -------- --------- --------- ------ ---- AGFEED INDUSTRIES INC COM 00846L101 34 17,975 SH DEFINED 01,02 17,975 AIRTRAN HLDGS INC COM 00949P108 933 125,203 SH DEFINED 01,02 125,203 ALBERTO CULVER CO NEW COM 013078100 1,080 28,977 SH DEFINED 01,02 28,977 ALPHA NATURAL RESOURCES INC COM 02076X102 884 14,885 SH DEFINED 01,02 14,885 AMERICAN WTR WKS CO INC NEW COM 030420103 313 11,152 SH DEFINED 01,02 11,152 ANADARKO PETE CORP COM 032511107 96 1,173 SH DEFINED 01,02 1,173 ANDERSONS INC COM 034164103 439 9,004 SH DEFINED 01,02 9,004 APACHE CORP COM 037411105 103 790 SH DEFINED 01,02 790 AQUA AMERICA INC COM 03836W103 200 8,730 SH DEFINED 01,02 8,730 ARCH COAL INC COM 039380100 721 20,006 SH DEFINED 01,02 20,006 ARCHER DANIELS MIDLAND CO COM 039483102 123 3,424 SH DEFINED 01,02 3,424 ATHEROS COMMUNICATIONS INC COM 04743P108 327 7,318 SH DEFINED 01,02 7,318 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 1,633 31,800 SH DEFINED 01,02 31,800 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 161 2,928 SH DEFINED 01,02 2,928 BECKMAN COULTER INC COM 075811109 1,119 13,476 SH DEFINED 01,02 13,476 BUCYRUS INTL INC NEW COM 118759109 2,165 23,673 SH DEFINED 01,02 23,673 BUNGE LIMITED COM G16962105 59 820 SH DEFINED 01,02 820 CHEVRON CORP NEW COM 166764100 507 4,718 SH DEFINED 01,02 4,718 CHINA GREEN AGRICULTURE INC COM 16943W105 57 8,320 SH DEFINED 01,02 8,320 CLINICAL DATA INC NEW COM 18725U109 280 9,249 SH DEFINED 01,02 9,249 COEUR D ALENE MINES CORP IDA COM NEW 192108504 175 5,027 SH DEFINED 01,02 5,027 CONAGRA FOODS INC COM 205887102 56 2,365 SH DEFINED 01,02 2,365 CONOCOPHILLIPS COM 20825C104 279 3,492 SH DEFINED 01,02 3,492 CONSOL ENERGY INC COM 20854P109 1,451 27,061 SH DEFINED 01,02 27,061 CORN PRODS INTL INC COM 219023108 21 402 SH DEFINED 01,02 402 COSAN LTD SHS A G25343107 1,001 77,631 SH DEFINED 01,02 77,631 CURRENCYSHS JAPANESE YEN TR JAPANESE YEN 23130A102 604 5,089 SH DEFINED 01,02 5,089 DEVON ENERGY CORP NEW COM 25179M103 96 1,049 SH DEFINED 01,02 1,049 DIONEX CORP COM 254546104 74 624 SH DEFINED 01,02 624 DOMTAR CORP COM NEW 257559203 751 8,183 SH DEFINED 01,02 8,183 EMERGENCY MEDICAL SVCS CORP CL A 29100P102 679 10,674 SH DEFINED 01,02 10,674 EOG RES INC COM 26875P101 71 595 SH DEFINED 01,02 595 EXCO RESOURCES INC COM 269279402 140 6,780 SH DEFINED 01,02 6,780 EXXON MOBIL CORP COM 30231G102 1,015 12,066 SH DEFINED 01,02 12,066 FAMILY DLR STORES INC COM 307000109 1,161 22,621 SH DEFINED 01,02 22,621 FLOWSERVE CORP COM 34354P105 458 3,557 SH DEFINED 01,02 3,557 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1,042 18,766 SH DEFINED 01,02 18,766 GENERAL MLS INC COM 370334104 129 3,542 SH DEFINED 01,02 3,542 GREEN MTN COFFEE ROASTERS IN COM 393122106 45 698 SH DEFINED 01,02 698 HALLIBURTON CO COM 406216101 106 2,125 SH DEFINED 01,02 2,125 HECLA MNG CO COM 422704106 130 14,303 SH DEFINED 01,02 14,303 HERSHEY CO COM 427866108 48 887 SH DEFINED 01,02 887 HESS CORP COM 42809H107 65 767 SH DEFINED 01,02 767 HORMEL FOODS CORP COM 440452100 409 14,709 SH DEFINED 01,02 14,709 HYPERCOM CORP COM 44913M105 171 14,210 SH DEFINED 01,02 14,210 IDEX CORP COM 45167R104 226 5,169 SH DEFINED 01,02 5,169 ISHARES SILVER TRUST ISHARES 46428Q109 159 4,326 SH DEFINED 01,02 4,326 ISHARES TR BARCLYS TIPS BD 464287176 587 5,378 SH DEFINED 01,02 5,378 ISHARES TR BARCLY USAGG B 464287226 59,310 564,155 SH DEFINED 01,02 564,155 ISHARES TR MSCI EMERG MKT 464287234 27,289 560,467 SH DEFINED 01,02 560,467 ISHARES TR IBOXX INV CPBD 464287242 9,651 89,200 SH DEFINED 01,02 89,200 ISHARES TR BARCLYS 1-3 YR 464287457 23,119 276,047 SH DEFINED 01,02 276,047 ISHARES TR MSCI EAFE INDEX 464287465 20,132 335,034 SH DEFINED 01,02 335,034 ISHARES TR RUSSELL 2000 464287655 11,895 141,320 SH DEFINED 01,02 141,320 ISHARES TR JPMORGAN USD 464288281 5,026 47,137 SH DEFINED 01,02 47,137 ISHARES TR HIGH YLD CORP 464288513 22,669 246,504 SH DEFINED 01,02 246,504 ISHARES TR BARCLYS CR BD 464288620 584 5,592 SH DEFINED 01,02 5,592 ISHARES TR BARCLYS SH TREA 464288679 21,638 196,298 SH DEFINED 01,02 196,298 ITT CORP NEW COM 450911102 703 11,704 SH DEFINED 01,02 11,704 JOY GLOBAL INC COM 481165108 1,252 12,673 SH DEFINED 01,02 12,673 KELLOGG CO COM 487836108 109 2,026 SH DEFINED 01,02 2,026 KRAFT FOODS INC CL A 50075N104 290 9,250 SH DEFINED 01,02 9,250 L-1 IDENTITY SOLUTIONS INC COM 50212A106 167 14,190 SH DEFINED 01,02 14,190 LADISH INC COM NEW 505754200 226 4,130 SH DEFINED 01,02 4,130 LINDSAY CORP COM 535555106 481 6,088 SH DEFINED 01,02 6,088 LTX-CREDENCE CORP COM NEW 502403207 70 7,717 SH DEFINED 01,02 7,717 MARATHON OIL CORP COM 565849106 89 1,661 SH DEFINED 01,02 1,661 MARSHALL & ILSLEY CORP NEW COM 571837103 594 74,293 SH DEFINED 01,02 74,293 MASSEY ENERGY COMPANY COM 576206106 1,558 22,798 SH DEFINED 01,02 22,798 MCCORMICK & CO INC COM NON VTG 579780206 30 635 SH DEFINED 01,02 635 MEADWESTVACO CORP COM 583334107 1,011 33,326 SH DEFINED 01,02 33,326 MENTOR GRAPHICS CORP COM 587200106 371 25,325 SH DEFINED 01,02 25,325 NATIONAL OILWELL VARCO INC COM 637071101 78 982 SH DEFINED 01,02 982 NEWMONT MINING CORP COM 651639106 1,558 28,548 SH DEFINED 01,02 28,548 NICOR INC COM 654086107 93 1,732 SH DEFINED 01,02 1,732 NOVELL INC COM 670006105 383 64,599 SH DEFINED 01,02 64,599 NSTAR COM 67019E107 174 3,764 SH DEFINED 01,02 3,764 NYSE EURONEXT COM 629491101 962 27,351 SH DEFINED 01,02 27,351 OCCIDENTAL PETE CORP DEL COM 674599105 199 1,907 SH DEFINED 01,02 1,907 PEABODY ENERGY CORP COM 704549104 2,381 33,081 SH DEFINED 01,02 33,081 PENTAIR INC COM 709631105 238 6,301 SH DEFINED 01,02 6,301 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 11,276 369,580 SH DEFINED 01,02 369,580 POWERSHARES DB G10 CURCY HAR COM UT BEN INT 73935Y102 15,651 642,470 SH DEFINED 01,02 642,470 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 1,931 73,075 SH DEFINED 01,02 73,075 POWERSHS DB MULTI SECT COMM DB GOLD FUND 73936B606 754 14,933 SH DEFINED 01,02 14,933 PRE PAID LEGAL SVCS INC COM 740065107 69 1,050 SH DEFINED 01,02 1,050 PRIDE INTL INC DEL COM 74153Q102 1,485 34,566 SH DEFINED 01,02 34,566 PROGRESS ENERGY INC COM 743263105 217 4,694 SH DEFINED 01,02 4,694 PROSHARES TR REAL EST NEW 74347X583 403 26,060 SH DEFINED 01,02 26,060 PROSHARES TR II ULTRASHRT EURO 74347W882 267 14,979 SH DEFINED 01,02 14,979 RALCORP HLDGS INC NEW COM 751028101 20 291 SH DEFINED 01,02 291 REHABCARE GROUP INC COM 759148109 125 3,391 SH DEFINED 01,02 3,391 SARA LEE CORP COM 803111103 62 3,528 SH DEFINED 01,02 3,528 SCHLUMBERGER LTD COM 806857108 252 2,697 SH DEFINED 01,02 2,697 SEABOARD CORP COM 811543107 157 65 SH DEFINED 01,02 65 SMITHFIELD FOODS INC COM 832248108 2,161 89,820 SH DEFINED 01,02 89,820 SMUCKER J M CO COM NEW 832696405 45 637 SH DEFINED 01,02 637 SMURFIT-STONE CONTAINER CORP COM 83272A104 681 17,611 SH DEFINED 01,02 17,611 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 124 3,165 SH DEFINED 01,02 3,165 SPDR S&P 500 ETF TR TR UNIT 78462F103 436 3,286 SH DEFINED 01,02 3,286 SPDR SERIES TRUST BRCLYS CAP CONV 78464A359 904 21,441 SH DEFINED 01,02 21,441 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 19,958 492,906 SH DEFINED 01,02 492,906 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 3,097 51,761 SH DEFINED 01,02 51,761 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 1,196 21,574 SH DEFINED 01,02 21,574 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 5,337 116,398 SH DEFINED 01,02 116,398 STERLING BANCSHARES INC COM 858907108 64 7,469 SH DEFINED 01,02 7,469 TALECRIS BIOTHERAPEUTICS HLD COM 874227101 226 8,434 SH DEFINED 01,02 8,434 TENET HEALTHCARE CORP COM 88033G100 195 26,240 SH DEFINED 01,02 26,240 TORO CO COM 891092108 999 15,093 SH DEFINED 01,02 15,093 TRACTOR SUPPLY CO COM 892356106 2,119 35,392 SH DEFINED 01,02 35,392 TRANSOCEAN LTD REG SHS H8817H100 63 808 SH DEFINED 01,02 808 TYSON FOODS INC CL A 902494103 324 16,866 SH DEFINED 01,02 16,866 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 17,202 214,600 SH DEFINED 01,02 214,600 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 48,802 609,870 SH DEFINED 01,02 609,870 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 31,892 651,921 SH DEFINED 01,02 651,921 VANGUARD TAX-MANAGED FD MSCI EAFE ETF 921943858 3,104 83,199 SH DEFINED 01,02 83,199 VERIGY LTD SHS Y93691106 165 11,742 SH DEFINED 01,02 11,742 WHITNEY HLDG CORP COM 966612103 122 8,962 SH DEFINED 01,02 8,962 YONGYE INTL INC COM 98607B106 110 17,993 SH DEFINED 01,02 17,993 ZHONGPIN INC COM 98952K107 198 13,020 SH DEFINED 01,02 13,020 ZORAN CORP COM 98975F101 120 11,552 SH DEFINED 01,02 11,552 121 409,026