0001140361-13-019033.txt : 20130507 0001140361-13-019033.hdr.sgml : 20130507 20130506194411 ACCESSION NUMBER: 0001140361-13-019033 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130507 DATE AS OF CHANGE: 20130506 EFFECTIVENESS DATE: 20130507 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Iwamoto, Kong & Co., Inc. CENTRAL INDEX KEY: 0001425165 IRS NUMBER: 330188030 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12756 FILM NUMBER: 13817608 BUSINESS ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1030 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 949-253-8888 MAIL ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1030 CITY: IRVINE STATE: CA ZIP: 92612 13F-HR 1 form13fhr.txt NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3/31/2013 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: Iwamoto Kong & Co., Inc. Address: 19200 VON KARMAN AVE, SUITE 1030 IRVINE, CALIFORNIA 92612 Form 13F File Number: 028-12756 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: Benjamin Lau Title: Portfolio Manager Phone: (949)-253-8888 Signature, Place, and Date of Signing: /s/ Benjamin Lau IRVINE, CALIFORNIA 5/6/2013 --------------------------------- --------------------------------- ---------- [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 are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 586 Form 13F Information Table Value Total: $ 205,938 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- CALL CATERPILLAR INC cl 004274640 0.04 5 5 0 - CALL E M C CORP MASS cl 004568304 0.65 15 15 0 - CALL FIRST SOLAR INC cl 004731523 0.35 2 2 0 - CALL TIBCO SOFTWARE INC cl 004376484 0.45 10 10 0 - CALL RACKSPACE HOSTING cl 004776602 0.33 3 3 0 - PUT TIME WARNER INC pt 004323759 0.49 5 5 0 - 1/100 BERKSHIRE HTWY CLA cs 084990175 156.28 1 1 0 - 3 D SYSTEMS CORP cs 88554D205 32.24 1,000 1,000 0 - 3M COMPANY cs 88579Y101 40.72 383 383 0 - A F L A C INC cs 001055102 81.67 1,570 1,570 0 - A T & T INC NEW cs 00206R102 7,342.70 200,128 190,378 0 9,750 A123 SYSTEMS INC cs 03739T108 0.54 20,000 20,000 0 - ABB LTD ADR F cs 000375204 45.52 2,000 1,500 0 500 ABBOTT LABORATORIES cs 002824100 41.25 1,168 1,168 0 - ABBVIE INC cs 00287Y109 76.18 1,868 1,868 0 - ABERDEEN ASIA PAC INCM cs 003009107 42.79 5,500 5,500 0 - ACCENTURE PLC CL A F cs G1151C101 31.00 408 408 0 - ADT CORP cs 00101J106 0.93 19 4 0 15 AGILENT TECHNOLOGIES INC cs 00846U101 163.93 3,906 3,906 0 - AIR PROD & CHEMICALS INC cs 009158106 25.87 297 297 0 - AK STEEL HOLDING CORP cs 001547108 33.10 10,000 10,000 0 - ALCATEL LUCENT ADR F cs 013904305 0.05 34 34 0 - ALCOA INC cs 013817101 6.74 791 791 0 - ALEXANDER & BALDWIN NEW cs 014491104 10.73 300 300 0 - ALEXION PHARMA INC cs 015351109 18.43 200 200 0 - ALLERGAN INC cs 018490102 84.63 758 758 0 - ALLIANT TECHSYSTEMS INC cs 018804104 21.73 300 300 0 - ALLSTATE CORPORATION cs 020002101 27.44 559 559 0 - ALPS TRUST ETF cs 00162Q866 8.68 490 490 0 - ALTRIA GROUP INC cs 02209S103 253.49 7,371 7,371 0 - AMARIN CORP PLC NEW ADRF cs 023111206 0.74 100 100 0 - AMAZON COM INC cs 023135106 5.86 22 22 0 - AMERICA MOVIL SAB L ADRF cs 02364W105 27.25 1,300 1,300 0 - AMERITYRE CORPORATION cs 03073V107 0.26 2,000 - 0 2,000 AMGEN INCORPORATED cs 031162100 632.69 6,172 600 0 5,572 ANADARKO PETROLEUM CORP cs 032511107 1,415.12 16,182 1,462 0 14,720 ANALOG DEVICES INC cs 032654105 30.82 663 663 0 - ANGLO AMERN PLC ADS F cs 03485P201 12.87 1,000 1,000 0 - APACHE CORP cs 037411105 38.58 500 500 0 - APPLE INC cs 037833100 6,440.22 14,549 12,489 0 2,060 APTARGROUP INC cs 038336103 27.01 471 471 0 - ARCELOR MITTAL NY NEW F cs 03938L104 7.31 561 561 0 - ARCHER-DANIELS-MIDLND CO cs 039483102 50.60 1,500 1,500 0 - ARENA PHARMACEUTICALS cs 040047102 1.64 200 200 0 - AVANIR PHARMA INC cs 05348P401 0.34 125 125 0 - AVERY DENNISON CORP cs 053611109 430.70 10,000 - 0 10,000 B C E INC NEW F cs 05534B760 5.60 120 120 0 - B/E AEROSPACE INC cs 073302101 6.39 106 106 0 - BAIDU INC ADR F cs 056752108 46.04 525 500 0 25 BANK OF AMERICA CORP cs 060505104 685.09 56,247 54,047 0 2,200 BANK OF HAWAII CORP cs 062540109 15.33 302 302 0 - BANK OF NY MELLON CP NEW cs 064058100 220.56 7,880 - 0 7,880 BARCLAYS BANK IPATH ETN cs 06738C778 379.80 9,350 8,000 0 1,350 BAXTER INTERNATIONAL INC cs 071813109 378.31 5,208 5,208 0 - BECTON DICKINSON & CO cs 075887109 123.05 1,287 1,287 0 - BEESTON ENTERPRISES NEW cs 07712Q205 0.18 90,000 - 0 90,000 BENEV CAPITAL INC F cs 08179V109 0.34 200 200 0 - BERKSHIRE HATHAWAY B NEW cs 084670702 479.32 4,600 4,450 0 150 BEST BUY INC cs 086516101 2.22 100 - 0 100 BLACKROCK CA MUN 2018 FD cs 09249C105 12.63 787 787 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- BLACKROCK CA MUN INCM TR cs 09248E105 20.11 1,250 1,250 0 - BLACKROCK CORE BD TRUST cs 09249E104 6.63 450 450 0 - BLACKROCK INC cs 09247X101 3.08 12 12 0 - BLACKROCK INCM OPPNTY TR cs 092475102 206.26 18,334 16,334 0 2,000 BLACKROCK INVT QLTY MUNI cs 09247D105 32.42 2,000 2,000 0 - BLACKROCK MUNIYIELD AZ cs 09254K109 35.93 2,330 2,330 0 - BLKRCK MUNIHLDGS CA QLTY cs 09254L107 15.63 973 973 0 - BLKRCK MUNIYIELD CA QLTY cs 09254N103 59.69 3,680 3,680 0 - BOB EVANS FARMS INC cs 096761101 12.79 300 - 0 300 BOEING CO cs 097023105 350.07 4,078 1,278 0 2,800 BP PLC ADR F cs 055622104 21.73 513 513 0 - BRINKS CO cs 109696104 2.91 103 103 0 - BRISTOL-MYERS SQUIBB CO cs 110122108 3,475.41 84,375 64,454 0 19,921 BROADCOM CORP CL A cs 111320107 20.81 600 600 0 - BROWN & BROWN INC cs 115236101 29.83 931 931 0 - BROWN FORMAN CORP CL B cs 115637209 123.24 1,726 1,726 0 - C A C I INC CL A cs 127190304 5.79 100 100 0 - C V S CAREMARK CORP cs 126650100 223.20 4,059 - 0 4,059 CA WATER SERVICE GROUP cs 130788102 5.97 300 300 0 - CABOT CORPORATION cs 127055101 68.40 2,000 - 0 2,000 CANON INC SPONSORED ADRF cs 138006309 69.71 1,900 1,500 0 400 CATERPILLAR INC cs 149123101 209.16 2,405 2,405 0 - CATHAY GENERAL BANCORP cs 149150104 205.22 10,200 200 0 10,000 CELANESE CORP cs 150870103 4.41 100 100 0 - CENTERPOINT ENERGY INC cs 15189T107 1.10 46 46 0 - CENTRAL FD CDA LTD CLA F cs 153501101 13.56 700 700 0 - CENTURYLINK INC cs 156700106 8.50 242 242 0 - CHESAPEAKE ENERGY CORP cs 165167107 34.80 1,705 1,555 0 150 CHEVRON CORPORATION cs 166764100 2,754.49 23,182 1,884 0 21,298 CHINA CGAME INC cs 16946P107 0.05 334 334 0 - CHINA LIFE INS CO ADR F cs 16939P106 27.59 700 700 0 - CHINA MOBILE LTD ADR F cs 16941M109 26.57 500 500 0 - CHIPOTLE MEXICAN GRILL cs 169656105 3.26 10 10 0 - CHUBB CORPORATION cs 171232101 28.88 330 330 0 - CINCINNATI FINANCIAL CP cs 172062101 23.61 500 500 0 - CISCO SYSTEMS INC cs 17275R102 3,242.45 155,178 145,799 0 9,379 CITADEL BROADCASTING ^XX cs 17285T106 0.00 41 41 0 - CITIGROUP INC NEW cs 172967424 250.16 5,655 5,455 0 200 CITRIX SYSTEMS INC cs 177376100 133.48 1,850 1,600 0 250 CLOROX COMPANY cs 189054109 123.15 1,391 1,391 0 - CNH GLOBAL NV NEW F cs N20935206 0.50 12 12 0 - COACH INC cs 189754104 32.49 650 650 0 - COCA COLA COMPANY cs 191216100 56.62 1,400 1,400 0 - COHEN & STEERS cs 19248A109 497.59 24,050 23,600 0 450 COHEN & STEERS TOTAL cs 19247R103 45.45 3,000 3,000 0 - COLGATE-PALMOLIVE CO cs 194162103 590.15 5,000 1,000 0 4,000 COMMERCE BANCSHARES INC cs 200525103 26.50 649 649 0 - COMMERCE ENERGY GROUP cs 20061Q106 0.00 8,000 - 0 8,000 COMPUTRZD THERML IMAGING cs 20557C108 0.00 45 45 0 - COMSTOCK MINING INC cs 205750102 0.20 100 100 0 - CONMED CORP cs 207410101 13.04 383 383 0 - CONOCOPHILLIPS cs 20825C104 3,823.89 63,625 53,437 0 10,188 CONS WATER CO INC ORD F cs G23773107 0.03 3 3 0 - CONSOLIDATED EDISON INC cs 209115104 3,650.00 59,807 55,477 0 4,330 CONSTANT CONTACT INC cs 210313102 5.19 400 400 0 - CORNING INC cs 219350105 1,895.21 142,177 132,227 0 9,950 COSTCO WHSL CORP NEW cs 22160K105 121.50 1,145 1,145 0 - COVIDIEN PLC NEW F cs G2554F113 22.93 338 308 0 30 CRAFT BREW ALLIANCE cs 224122101 1.49 200 - 0 200 CRYSTALLEX INTL CORP F cs 22942F101 0.13 1,590 1,590 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- CVR PARTNERS cs 126633106 25.01 1,000 1,000 0 - DASSAULT SYSTEMS SA ADRF cs 237545108 17.39 150 150 0 - DAVITA HEALTHCARE PTNR cs 23918K108 118.59 1,000 1,000 0 - DEERE & CO cs 244199105 13.04 152 152 0 - DICKS SPORTING GOODS INC cs 253393102 0.05 1 1 0 - DIEBOLD INCORPORATED cs 253651103 102.33 3,375 - 0 3,375 DISNEY WALT CO cs 254687106 65.67 1,156 1,151 0 5 DNP SELECT INCOME FUND cs 23325P104 828.95 81,750 78,750 0 3,000 DOLLAR TREE INC cs 256746108 18.40 380 380 0 - DOMINION RES INC VA NEW cs 25746U109 1,801.19 30,959 28,809 0 2,150 DOW 30 PREM & DIV INCM cs 260582101 50.58 3,467 2,967 0 500 DR REDDYS LABS ADR F cs 256135203 22.65 700 700 0 - DREAM MARKETING INC cs 261990352 0.00 10 10 0 - DREAMWORKS ANIMATION INC cs 26153C103 1.90 100 100 0 - DU PONT E I DE NEMOUR&CO cs 263534109 86.08 1,751 - 0 1,751 DUKE ENERGY CORP NEW cs 26441C204 14.52 200 200 0 - E M C CORP MASS cs 268648102 90.18 3,775 3,775 0 - EAGLE BROADBAND INC NXXX cs 269437208 0.00 22 - 0 22 EASTMAN KODAK COMPANY cs 277461109 0.03 106 106 0 - EATON CORP PLC F cs G29183103 5,751.51 93,902 86,827 0 7,075 EATON VANCE CP NON VTG cs 278265103 40.83 976 976 0 - EATON VANCE LTD DURATION cs 27828H105 282.61 16,527 13,627 0 2,900 EATON VANCE TAX ADV DIV cs 27828G107 3.73 200 - 0 200 ECA MARCELLUS TR I cs 26827L109 17.51 1,500 1,500 0 - ECOLAB INC cs 278865100 30.23 377 377 0 - EDISON INTERNATIONAL cs 281020107 339.21 6,741 6,741 0 - EDWARDS LIFESCIENCES CP cs 28176E112 2.55 31 31 0 - ELAN CORP PLC SPON ADR F cs 284131208 4.72 400 - 0 400 ELDORADO GOLD CORP NEW F cs 284902103 4.05 425 425 0 - EMBRAER SA ADR F cs 29082A107 21.40 600 600 0 - EMERSON ELECTRIC CO cs 291011104 28.38 508 508 0 - EMULEX CORP NEW cs 292475209 6.53 1,000 1,000 0 - ENERGEN CORP cs 29265N108 0.47 9 9 0 - ENERPLUS CORP F cs 292766102 4.97 340 340 0 - ENERSIS S A ADR F cs 29274F104 46.18 2,400 2,400 0 - ENGILITY HLDGS INC cs 29285W104 2.33 97 97 0 - ENPRO INDUSTRIES INC cs 29355X107 40.94 800 800 0 - ENTERGY CORP NEW cs 29364G103 18.97 300 300 0 - EQUINIX INC NEW cs 29444U502 6.06 28 28 0 - ERICSSON AMERICAN ADR F cs 294821608 120.96 9,600 - 0 9,600 EXELIXIS INC cs 30161Q104 20.70 4,480 4,480 0 - EXELON CORPORATION cs 30161N101 22.41 650 650 0 - EXPRESS SCRIPTS HLDG CO cs 30219G108 132.53 2,300 2,300 0 - EXXON MOBIL CORPORATION cs 30231G102 11,132.47 123,543 93,783 0 29,760 FACEBOOK INC CLASS A cs 30303M102 1,042.51 40,755 37,380 0 3,375 FASTENAL CO cs 311900104 1.28 25 25 0 - FIRST PACTRUST BANCORP cs 33589V101 20.52 1,800 1,800 0 - FIRST SOLAR INC cs 336433107 8.09 300 300 0 - FIRST TR ISE EXCH TRD FD cs 33736M103 3.43 80 80 0 - FIRST TR SPECIALTY FD cs 33733G109 442.68 50,708 49,208 0 1,500 FIRST TRUST GLOBAL cs 33736G106 2.30 300 300 0 - FIRST TRUST SENIOR cs 33733U108 56.70 3,500 3,500 0 - FLUOR CORPORATION NEW cs 343412102 106.79 1,610 1,610 0 - FORD MOTOR COMPANY NEW cs 345370860 64.06 4,871 4,371 0 500 FRANKLIN RESOURCES INC cs 354613101 814.37 5,400 - 0 5,400 FREEPORT MCMORAN COPPER cs 35671D857 3,850.81 116,339 110,414 0 5,925 FRONTIER COMMUNICATIONS cs 35906A108 10.73 2,688 1,508 0 1,180 GAMCO GLOBAL GLD NATURAL cs 36465A109 5,610.97 446,023 415,523 0 30,500 GAP INC cs 364760108 5.31 150 150 0 - GENCO SHIPPING & TRDG F cs Y2685T107 2.68 931 931 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- GENERAL DYNAMICS CORP cs 369550108 33.14 470 470 0 - GENERAL ELECTRIC COMPANY cs 369604103 3,859.77 166,945 153,170 0 13,775 GENERAL MILLS INC cs 370334104 204.66 4,151 4,151 0 - GENERAL MOTORS CO cs 37045V100 2.73 98 98 0 - GERON CORP cs 374163103 0.32 300 300 0 - GLAXOSMITHKLINE PLC ADRF cs 37733W105 34.57 737 737 0 - GLOBAL NETWORKS CORP cs 379382104 0.00 5 5 0 - GLOBAL X ETF cs 37950E549 133.40 5,708 5,708 0 - GOLD FIELDS LTD NEW ADRF cs 38059T106 15.50 2,000 - 0 2,000 GOLDMAN SACHS GROUP INC cs 38141G104 155.11 1,054 254 0 800 GOOGLE INC CLASS A cs 38259P508 136.60 172 122 0 50 GRAINGER W W INC cs 384802104 28.12 125 125 0 - GRILL CONCEPTS INC NEW cs 398502302 9.21 30,710 30,710 0 - GRUBB & ELLIS CO NEW cs 400095204 0.01 14,000 14,000 0 - GUGGENHEIM ETF cs 78355W106 25.94 435 435 0 - GUGGENHEIM ETF cs 78355W585 23.78 655 655 0 - GUGGENHEIM ETF cs 78355W866 195.11 2,690 2,690 0 - HAIN CELESTIAL GROUP INC cs 405217100 2.63 43 43 0 - HANOVER INSURANCE GROUP cs 410867105 123.26 2,481 - 0 2,481 HARLEY DAVIDSON INC cs 412822108 10.66 200 200 0 - HARRIS CORPORATION cs 413875105 28.13 607 607 0 - HASBRO INC cs 418056107 4.65 106 106 0 - HDFC BANK LIMITED ADR F cs 40415F101 18.71 500 500 0 - HEALTHCARE TR OF AMERICA cs 42225P303 26.50 2,255 2,255 0 - HEALTHCARE TR OF AMERICA cs 42225P402 26.50 2,255 2,255 0 - HECKMANN CORP cs 422680108 2.15 500 500 0 - HENNES & MAURITZ AB ADRF cs 425883105 2.85 400 400 0 - HEWLETT-PACKARD COMPANY cs 428236103 8.74 366 366 0 - HOME DEPOT INC cs 437076102 757.67 10,858 1,858 0 9,000 HONEYWELL INTERNATIONAL cs 438516106 15.07 200 200 0 - HORMEL FOODS CORP cs 440452100 12.48 302 302 0 - HOSPIRA cs 441060100 82.08 2,500 2,500 0 - HSBC HLDGS PLC ADR NEW F cs 404280406 80.01 1,500 1,000 0 500 HUNTINGTON INGALLS INDS cs 446413106 47.14 884 884 0 - IDNA INC XXX cs 45169P106 0.00 5,000 5,000 0 - ILLINOIS TOOL WORKS INC cs 452308109 26.81 440 440 0 - INFOSYS LTD SPON ADR F cs 456788108 43.13 800 300 0 500 INTEL CORP cs 458140100 408.03 18,687 18,587 0 100 INTERDIGITAL INC cs 45867G101 4.80 100 100 0 - INTERNATIONAL PAPER CO cs 460146103 13.73 295 295 0 - INTL BUSINESS MACHINES cs 459200101 1,066.93 5,002 1,202 0 3,800 INVESCO CALIFORNIA VALUE cs 46132H106 140.86 10,655 10,655 0 - ISC8 INC cs 450098108 0.00 12 12 0 - ISHARES CORE S&P ETF cs 464287200 104.96 667 667 0 - ISHARES CORE S&P ETF cs 464287804 9.75 112 112 0 - ISHARES DJ US HOME CONST cs 464288752 4.78 200 200 0 - ISHARES FTSE NAREIT RES cs 464288562 13.10 254 254 0 - ISHARES GOLD TRUST cs 464285105 347.65 22,400 17,000 0 5,400 ISHARES MSCI AUS IDX FD cs 464286103 35.15 1,300 1,300 0 - ISHARES MSCI BRAZIL INDX cs 464286400 8.17 150 150 0 - ISHARES MSCI CDA IDX FD cs 464286509 34.56 1,212 1,212 0 - ISHARES MSCI EMRG MKT FD cs 464287234 157.57 3,684 2,331 0 1,353 ISHARES MSCI GRMNY IDX cs 464286806 9.79 400 400 0 - ISHARES MSCI HK IDX FD cs 464286871 9.92 500 500 0 - ISHARES MSCI JPN IDX FD cs 464286848 56.16 5,200 5,200 0 - ISHARES MSCI MEXICO cs 464286822 156.49 2,098 2,098 0 - ISHARES MSCI SINGAPORE cs 464286673 9.77 700 700 0 - ISHARES RUSSELL INDEX FD cs 464287499 27.11 213 213 0 - ISHARES S&P GLOBAL MATLS cs 464288695 12.68 213 213 0 - ISHARES S&P U S PFD FUND cs 464288687 77.39 1,910 1,910 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- ISHARES SILVER TRUST cs 46428Q109 76.80 2,800 2,800 0 - ISHARES TR BARCLAYS BOND cs 464288620 13.40 119 119 0 - ISHARES TR BARCLAYS BOND cs 464288638 6,243.29 56,175 51,025 0 5,150 ISHARES TR BARCLAYS BOND cs 464288646 2,665.41 25,255 23,105 0 2,150 ISHARES TR BARCLAYS TIPS cs 464287176 2,171.17 17,904 16,954 0 950 ISHARES TR DJ US FINL cs 464287788 67.86 1,000 1,000 0 - ISHARES TR DJ US HLTHCAR cs 464287762 247.80 2,570 1,950 0 620 ISHARES TR DOW JONES RE cs 464287739 2.43 35 35 0 - ISHARES TR HIGH DIVID EQ cs 46429B663 1,122.64 17,176 16,676 0 500 ISHARES TR MSCI EAFE FD cs 464287465 189.37 3,211 2,811 0 400 ISHARES TR RUSSELL 2000 cs 464287655 1,441.47 15,265 6,865 0 8,400 ISHARES TR RUSSELL 3000 cs 464287689 0.09 1 - 0 1 ISHARES TR S&P GLOBAL cs 464287325 51.22 695 695 0 - ISHARES TR S&P LATN AMER cs 464287390 287.39 6,584 6,584 0 - ISHARES TRUST cs 464288513 176.91 1,875 1,775 0 100 ISHARES TRUST BARCLAYS cs 464288588 10.79 100 100 0 - ITAU UNI HOLDING SA ADRF cs 465562106 35.60 2,000 2,000 0 - J M SMUCKER CO NEW cs 832696405 9.82 99 99 0 - JOHNSON & JOHNSON cs 478160104 7,291.32 89,431 69,236 0 20,195 JOHNSON CONTROLS INC cs 478366107 3,812.02 108,697 103,797 0 4,900 JP MORGAN EXCH TRADED NT cs 46625H365 256.96 5,650 4,850 0 800 JPMORGAN CHASE & CO cs 46625H100 161.39 3,400 2,945 0 455 K L A TENCOR CORP cs 482480100 0.26 5 5 0 - KB HOME cs 48666K109 2.18 100 100 0 - KELLOGG COMPANY cs 487836108 129.76 2,014 2,014 0 - KIMBERLY-CLARK CORP cs 494368103 71.82 733 733 0 - KRAFT FOODS GROUP cs 50076Q106 54.05 1,049 1,049 0 - L-3 COMMUNICATIONS HLDGS cs 502424104 0.11 1 1 0 - LAB CP OF AMER HLDG NEW cs 50540R409 180.40 2,000 - 0 2,000 LAS VEGAS SANDS CORP cs 517834107 174.69 3,100 3,000 0 100 LEGG MASON INC cs 524901105 1.61 50 50 0 - LEVEL 3 COMMUN NEW cs 52729N308 0.67 33 33 0 - LIBERTY STAR URANIUM NEW cs 53123T206 6.78 616,600 616,600 0 - LIFE TECHNOLOGIES CORP cs 53217V109 6.46 100 100 0 - LIFEVANTAGE CORP cs 53222K106 1.18 500 500 0 - LILLY ELI & COMPANY cs 532457108 68.15 1,200 1,200 0 - LINKEDIN CORP cs 53578A108 70.42 400 400 0 - LINNCO LLC cs 535782106 58.58 1,500 1,500 0 - LOGITECH INTL S A NEW F cs H50430232 3.49 500 - 0 500 LORILLARD INC cs 544147101 3.03 75 75 0 - LULULEMON ATHLETICA INC cs 550021109 562.67 9,025 7,675 0 1,350 M D U RESOURCES GROUP cs 552690109 108.26 4,332 4,332 0 - MAGIC SFTWR ENTERPRISESF cs 559166103 2.01 385 385 0 - MAGNUM HUNTER RESOURCES cs 55973B102 2.06 513 513 0 - MANULIFE FINANCIAL CORPF cs 56501R106 22.08 1,500 1,500 0 - MARATHON OIL CORP cs 565849106 363.33 10,775 2,597 0 8,178 MARATHON PETE CORP cs 56585A102 366.37 4,089 - 0 4,089 MARKET VECTORS ETF cs 57060U589 3.35 200 200 0 - MARKET VECTORS ETF cs 57061R791 4,646.56 226,330 211,430 0 14,900 MARKET VECTORS ETF TRUST cs 57060U100 238.46 6,300 5,800 0 500 MARKET VECTORS ETF TRUST cs 57060U407 31.48 2,500 2,500 0 - MARKET VECTORS ETF TRUST cs 57060U605 9.48 175 75 0 100 MASCO CORP cs 574599106 70.88 3,500 3,500 0 - MATSON INC cs 57686G105 7.38 300 300 0 - MC CORMICK & CO INC N-VT cs 579780206 4.34 59 59 0 - MC DONALDS CORP cs 580135101 1,052.29 10,556 5,756 0 4,800 MEDTRONIC INC cs 585055106 37.57 800 800 0 - MELTRONIX INC cs 585730104 0.00 12,000 12,000 0 - MERCK & CO INC NEW cs 58933Y105 1,243.70 28,138 3,138 0 25,000 MERISEL INC NEW cs 589849306 0.00 10 10 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- MESABI TRUST CTF BEN INT cs 590672101 6.83 300 300 0 - METLIFE INC cs 59156R108 3,052.06 80,275 74,450 0 5,825 MICROSOFT CORP cs 594918104 4,570.62 159,784 138,834 0 20,950 MICROSTRATEGY INC A NEW cs 594972408 12.64 125 125 0 - MIDDLESEX WATER CO cs 596680108 13.66 700 700 0 - MINDSPEED TECH INC NEW cs 602682205 0.01 2 2 0 - MKT VECTORS OIL SERVICES cs 57060U191 53.64 1,250 1,250 0 - MONDELEZ INTL INC CL A cs 609207105 4.07 133 133 0 - MONRO MUFFLER BRAKE INC cs 610236101 13.98 352 352 0 - MONSANTO CO NEW DEL cs 61166W101 633.78 6,000 - 0 6,000 MORGAN STANLEY cs 617446448 4.40 200 200 0 - MOSAIC CO NEW cs 61945C103 1,257.25 21,091 19,441 0 1,650 MOTORS LIQ CO GUC TRUST cs 62010U101 0.68 25 25 0 - NATIONAL FUEL GAS CO cs 636180101 3,308.54 53,929 50,479 0 3,450 NATIONAL OILWELL VARCO cs 637071101 17.75 251 251 0 - NESTLE S A REG B ADR F cs 641069406 43.48 600 600 0 - NETFLIX INC cs 64110L106 21.01 111 111 0 - NEWTEK BUSINESS SERVICE cs 652526104 0.50 250 250 0 - NEXTERA ENERGY INC cs 65339F101 119.32 1,536 1,536 0 - NIKE INC CLASS B cs 654106103 26.91 456 456 0 - NOKIA CORP SPON ADR F cs 654902204 2.13 650 200 0 450 NORDSTROM INC cs 655664100 3.70 67 67 0 - NORFOLK SOUTHERN CORP cs 655844108 65.98 856 856 0 - NORTEL NETWORKS CP NEW F cs 656568508 0.00 5 5 0 - NORTHEAST UTILITIES cs 664397106 204.61 4,708 4,708 0 - NORTHROP GRUMMAN CORP cs 666807102 202.31 2,884 2,884 0 - NOVARTIS A G SPON ADR F cs 66987V109 58.06 815 815 0 - NOVO-NORDISK A-S ADR F cs 670100205 51.20 317 317 0 - NRG ENERGY INC NEW cs 629377508 53.09 2,004 4 0 2,000 NUCOR CORP cs 670346105 214.60 4,650 4,650 0 - NUVEEN AMT FREE MUNI INC cs 670657105 36.63 2,500 2,500 0 - NUVEEN CA AMT FREE MUNI cs 670651108 1,089.91 74,143 71,043 0 3,100 NUVEEN CA DIV ADV MUN FD cs 67066Y105 677.79 44,300 42,050 0 2,250 NUVEEN CA QLTY INCM MUN cs 670985100 66.49 3,904 3,904 0 - NUVEEN CA SELECT TAX FR cs 67063R103 75.35 5,000 5,000 0 - NUVEEN CALIF MUNI MARKET cs 67062U107 47.52 3,000 3,000 0 - NUVEEN EQTY PREM INC FD cs 6706ER101 549.12 42,900 40,400 0 2,500 NUVEEN EQTY PREM OPTY FD cs 6706EM102 315.00 25,000 22,500 0 2,500 NUVEEN FLTG RATE INCM FD cs 67072T108 121.37 9,216 9,216 0 - NUVEEN INVT QLTY MUN FD cs 67062E107 63.92 4,000 4,000 0 - NUVEEN MA DIV AD MUNI FD cs 67069P101 17.70 1,200 600 0 600 NUVEEN MASS PRE INCM MUN cs 67061E108 18.24 1,200 600 0 600 NUVEEN MUNI ADVTG FUND cs 67062H106 44.64 3,000 - 0 3,000 NUVEEN MUNI MKT OPPTY FD cs 67062W103 100.59 7,000 3,000 0 4,000 NUVEEN QLTY INCM MUNI FD cs 670977107 107.17 7,032 4,032 0 3,000 NUVEEN QUALITY MUNI FD cs 67062N103 4.42 300 300 0 - NUVEEN REAL EST INC FD cs 67071B108 16.26 1,300 1,300 0 - NUVEEN SELCT QLTY MUN FD cs 670973106 75.15 5,000 5,000 0 - OCCIDENTAL PETE CORP cs 674599105 2,586.24 33,000 31,050 0 1,950 OPKO HEALTH INC cs 68375N103 10.68 1,400 1,400 0 - ORACLE CORPORATION cs 68389X105 80.33 2,485 2,485 0 - ORANGE COUNTY BUS BANK cs 684193105 9.48 2,200 2,200 0 - OWENS &MINOR INC HLDG CO cs 690732102 112.46 3,454 3,454 0 - P G & E CORP cs 69331C108 35.62 800 800 0 - P P G INDUSTRIES INC cs 693506107 53.58 400 400 0 - PACTERA TECH INTL ADR F cs 695255109 0.64 100 100 0 - PAYCHEX INC cs 704326107 45.79 1,306 1,306 0 - PENTAIR LTD F cs H6169Q108 0.42 8 1 0 7 PENTHOUSE INTL INC cs 709640106 0.11 125,000 125,000 0 - PEPSICO INCORPORATED cs 713448108 2,652.35 33,527 32,027 0 1,500
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- PETROCHINA CO ADR F cs 71646E104 39.55 300 200 0 100 PETROLEO BRASILEIRO ADRF cs 71654V408 8.29 500 500 0 - PFIZER INCORPORATED cs 717081103 7,170.10 248,444 216,294 0 32,150 PHILIP MORRIS INTL INC cs 718172109 179.86 1,940 1,940 0 - PHILLIPS 66 cs 718546104 270.99 3,873 429 0 3,444 PIEDMONT NATURAL GAS CO cs 720186105 107.78 3,278 3,278 0 - PIMCO CALIF MUN INCM FD cs 72200N106 36.57 2,373 2,373 0 - PIMCO CORP & INC OPPTY cs 72201B101 88.23 4,100 4,000 0 100 PIMCO EXCH TRADED FUND cs 72201R775 523.66 4,770 4,470 0 300 PIMCO HIGH INCOME FUND cs 722014107 235.60 19,077 19,077 0 - PINNACLE ENTERTAINMENT cs 723456109 0.12 8 8 0 - PINNACLE WEST CAPITAL CP cs 723484101 28.95 500 500 0 - PNM RESOURCES INC cs 69349H107 17.47 750 - 0 750 POLARIS INDUSTRIES INC cs 731068102 0.83 9 9 0 - POTASH CORP SASK INC F cs 73755L107 3.93 100 100 0 - POWERLINX INC NEW cs 73933F204 0.00 10 10 0 - POWERSHRS DB GOLD F cs 25154H731 14.89 1,200 1,200 0 - POWERSHS DB COMMDTY INDX cs 73935S105 855.49 31,325 1,325 0 30,000 POWERSHS DB US DOLLAR TR cs 73936D107 11.30 500 500 0 - POWERSHS EXCH TRAD FD TR cs 73935X500 3.92 900 500 0 400 POWERSHS EXCH TRAD FD TR cs 73935X575 12.06 525 525 0 - POWERSHS EXCH TRAD FD TR cs 73935X856 2.62 100 100 0 - POWERSHS EXCH TRAD FD TR cs 73936T441 58.93 2,340 2,340 0 - POWERSHS EXCH TRAD FD TR cs 73936T615 30.21 3,500 3,500 0 - POWERSHS QQQ TRUST SER 1 cs 73935A104 611.63 8,868 8,868 0 - POWERWAVE TECH INC NEW cs 739363307 0.00 13 13 0 - PPL CORPORATION cs 69351T106 0.09 3 3 0 - PRAXAIR INC cs 74005P104 24.65 221 221 0 - PREMIER LASER SYS A NXXX cs 740522107 0.00 500 500 0 - PRICESMART INC cs 741511109 15.57 200 200 0 - PROCTER & GAMBLE cs 742718109 2,619.89 33,998 29,241 0 4,757 PROSHARES SHORT ETF cs 74347X849 5.98 200 200 0 - PROSHARES SHORT S&P 500 cs 74347R503 2,754.43 89,750 82,700 0 7,050 PROTHENA CORP PLC F cs G72800108 0.06 9 - 0 9 PRUDENTIAL FINANCIAL INC cs 744320102 2.36 40 40 0 - PUB SVC ENT GROUP INC cs 744573106 350.27 10,200 200 0 10,000 QUALCOMM INC cs 747525103 5,774.68 86,267 79,762 0 6,505 QUIKSILVER INC cs 74838C106 2.67 440 440 0 - RACKSPACE HOSTING INC cs 750086100 95.91 1,900 1,700 0 200 RAMBUS INC DEL cs 750917106 3.93 700 700 0 - RAYTHEON COMPANY NEW cs 755111507 14.86 253 253 0 - REDHAT INC cs 756577102 0.25 5 - 0 5 RESEARCH IN MOTION LTD F cs 760975102 5.78 400 400 0 - ROCHE HLDG LTD SPON ADRF cs 771195104 29.30 500 500 0 - ROSS STORES INC cs 778296103 12.12 200 200 0 - ROYAL DUTCH SHELL A ADRF cs 780259206 182.45 2,800 800 0 2,000 ROYCE VALUE TRUST INC cs 780910105 45.18 3,000 3,000 0 - S G I INTERNATIONAL NXXX cs 784185209 0.00 100 100 0 - S P D R S&P 500 ETF TR cs 78462F103 2,536.92 16,193 15,318 0 875 SANDISK CORP cs 80004C101 5.50 100 100 0 - SANDRIDGE MISSISSIPPIAN cs 80007T101 2.61 195 195 0 - SASOL LIMITED SPON ADR F cs 803866300 48.77 1,100 900 0 200 SCH US AGG BND ETF cs 808524839 1,465.44 28,058 26,998 0 1,060 SCH US DIV EQUITY ETF cs 808524797 67.08 2,110 2,110 0 - SCH US REIT ETF cs 808524847 41.13 1,260 1,260 0 - SCH US TIPS ETF cs 808524870 23.74 409 409 0 - SCHLUMBERGER LTD F cs 806857108 22.47 300 300 0 - SCHW EMG MKT EQ ETF cs 808524706 478.19 18,716 9,916 0 8,800 SCHW INTL EQ ETF cs 808524805 688.07 24,715 12,715 0 12,000 SCHW INTL SCAP ETF cs 808524888 14.06 500 500 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- SCHW US BRD MKT ETF cs 808524102 280.95 7,401 7,401 0 - SCHW US LCAP ETF cs 808524201 768.26 20,569 3,569 0 17,000 SCHW US LCAP GRO ETF cs 808524300 0.37 10 10 0 - SCHW US LCAP VAL ETF cs 808524409 0.35 10 10 0 - SCHW US SCAP ETF cs 808524607 129.01 3,010 510 0 2,500 SEADRILL LTD F cs G7945E105 49.68 1,335 1,335 0 - SEAGATE TECHNOLOGY PLC F cs G7945M107 10.97 300 300 0 - SEALED AIR CORP NEW cs 81211K100 111.89 4,641 4,641 0 - SECTOR SPDR CONSUMER FD cs 81369Y407 73.41 1,385 1,385 0 - SECTOR SPDR ENGY SELECT cs 81369Y506 134.83 1,700 1,400 0 300 SECTOR SPDR FINCL SELECT cs 81369Y605 64.50 3,542 3,542 0 - SECTOR SPDR HEALTH FUND cs 81369Y209 71.31 1,550 1,450 0 100 SECTOR SPDR INDL SELECT cs 81369Y704 162.86 3,900 3,250 0 650 SECTOR SPDR MATERIALS FD cs 81369Y100 76.52 1,953 1,953 0 - SECTOR SPDR TECH SELECT cs 81369Y803 6.05 200 200 0 - SECTOR SPDR TR CON STPLS cs 81369Y308 245.78 6,180 5,050 0 1,130 SECTOR SPDR UTIL SELECT cs 81369Y886 70.50 1,803 1,603 0 200 SEMPRA ENERGY cs 816851109 140.77 1,761 1,761 0 - SHL TELEMEDICINE ORD F cs M84047105 4.66 700 - 0 700 SIBANYE GOLD LTD ADR F cs 825724206 2.83 500 - 0 500 SIEMENS A G ADR F cs 826197501 3,177.41 29,475 27,675 0 1,800 SIGMA ALDRICH CORP cs 826552101 26.94 347 347 0 - SILVER WHEATON CORP F cs 828336107 15.68 500 500 0 - SINA CORPORATION F cs G81477104 4.86 100 100 0 - SINOVAC BIOTECH LTD F cs P8696W104 1.12 300 300 0 - SIRIUS XM RADIO INC cs 82967N108 19.71 6,400 6,400 0 - SKYWORKS SOLUTIONS INC cs 83088M102 0.29 13 13 0 - SOUTH JERSEY INDS INC cs 838518108 113.35 2,039 2,039 0 - SOUTHERN COPPER CORP cs 84265V105 115.69 3,079 2,978 0 101 SOUTHWEST AIRLINES CO cs 844741108 2.70 200 200 0 - SOUTHWEST GAS CORP COM cs 844895102 63.45 1,337 1,337 0 - SPDR DOW JONES INDL AVG cs 78467X109 187.17 1,288 1,288 0 - SPDR GOLD TRUST cs 78463V107 81.87 530 530 0 - SPDR S&P CHINA ETF cs 78463X400 129.41 1,850 1,850 0 - SPDR S&P DIVIDEND ETF cs 78464A763 43.55 660 - 0 660 SPDR S&P EMERGING MKTS cs 78463X533 11.28 250 250 0 - SPRINT NEXTEL CORP cs 852061100 0.01 2 2 0 - STARBUCKS CORP cs 855244109 2,726.24 47,871 43,471 0 4,400 STEELCASE INC CL A cs 858155203 73.65 5,000 5,000 0 - STRATEGIC RESOURCES LTD cs 862773108 0.00 5,500 5,500 0 - STRYKER CORP cs 863667101 15.53 238 88 0 150 SUN LIFE FINANCIAL INC F cs 866796105 27.29 1,000 1,000 0 - SUNCOKE ENERGY INC cs 86722A103 17.31 1,060 - 0 1,060 SUPERVALU INC cs 868536103 0.43 85 85 0 - SYSCO CORPORATION cs 871829107 319.38 9,081 1,081 0 8,000 T H Q INC NEW cs 872443601 0.00 2 - 0 2 T J X COS INC cs 872540109 4.68 100 100 0 - TARGET CORPORATION cs 87612E110 22.04 322 322 0 - TASER INTERNATIONAL INC cs 87651B104 11.93 1,500 1,500 0 - TE CONNECTIVITY LTD F cs H84989104 1.59 38 8 0 30 TEEKAY OFFSHORE PARTNERF cs Y8565J101 78.49 2,600 2,600 0 - TEEKAY TANKERS LTD CL AF cs Y8565N102 1.72 602 602 0 - TERADATA CORP cs 88076W103 93.62 1,600 1,600 0 - TESLA MOTORS INC cs 88160R101 1.89 50 - 0 50 TEVA PHARM INDS LTD ADRF cs 881624209 2,763.87 69,654 58,904 0 10,750 THE CHARLES SCHWAB CORP cs 808513105 1.77 100 100 0 - THE SOUTHERN COMPANY cs 842587107 23.46 500 200 0 300 TIBCO SOFTWARE INC cs 88632Q103 931.91 46,100 43,250 0 2,850 TIME WARNER CABLE cs 88732J207 0.10 1 - 0 1 TIME WARNER INC NEW cs 887317303 0.35 6 - 0 6
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- TOTAL S A ADR F cs 89151E113 6.00 125 125 0 - TOYOTA MOTOR CP ADR NEWF cs 892331307 0.10 1 1 0 - TRANSOCEAN INC NEW F cs H8817H100 5.25 101 101 0 - TYCO INTL LTD NEW F cs H89128104 1.22 38 8 0 30 U S BANCORP DEL NEW cs 902973304 189.63 5,589 5,589 0 - UNILEVER PLC ADR NEW F cs 904767704 3.38 80 80 0 - UNISYS CORP NEW cs 909214306 0.02 1 1 0 - UNITED PARCEL SERVICE B cs 911312106 27.32 318 318 0 - UNITED STATES STEEL CORP cs 912909108 4.88 250 250 0 - UNITED STS 12 MO OIL FD cs 91288V103 20.47 500 500 0 - UNITED TECHNOLOGIES CORP cs 913017109 160.85 1,722 1,722 0 - USA URANIUM CORP XXX cs 91154T109 0.00 400,000 - 0 400,000 V F CORPORATION cs 918204108 0.84 5 5 0 - VALE SA ADR F cs 91912E109 46.68 2,700 1,200 0 1,500 VALEANT PHARMA INTL F cs 91911K102 7.50 100 100 0 - VALLEY NATIONAL BANCORP cs 919794107 6.64 648 648 0 - VANGUARD BOND INDEX FUND cs 921937835 3,531.87 42,227 37,202 0 5,025 VANGUARD FTSE EMERGING cs 922042858 3,652.51 85,150 78,350 0 6,800 VANGUARD GROWTH cs 922908736 62.01 800 800 0 - VANGUARD INTL EQTY INDEX cs 922042775 18.54 400 400 0 - VANGUARD MID CAP cs 922908629 185.78 2,000 2,000 0 - VANGUARD REIT cs 922908553 189.30 2,684 2,309 0 375 VANGUARD SMALL CAP cs 922908751 45.58 500 500 0 - VANGUARD TOTAL STOCK MKT cs 922908769 472.90 5,841 5,415 0 426 VERISIGN INC cs 92343E106 0.38 8 - 0 8 VERIZON COMMUNICATIONS cs 92343V104 1,168.56 23,775 14,401 0 9,374 VISA INC CL A cs 92826C839 16.98 100 - 0 100 VIVUS INC cs 928551100 1.10 100 100 0 - VODAFONE GROUP NEW ADR F cs 92857W209 247.39 8,711 5,146 0 3,565 W P P PLC ADR NEW F cs 92937A102 1.76 22 22 0 - WALGREEN COMPANY cs 931422109 143.04 3,000 3,000 0 - WAL-MART STORES INC cs 931142103 169.89 2,270 2,270 0 - WASTE MANAGEMENT INC DEL cs 94106L109 101.95 2,600 2,600 0 - WEATHERFORD INTL LTD F cs H27013103 3.64 300 300 0 - WELLS FARGO & CO NEW cs 949746101 2,667.26 72,108 67,133 0 4,975 WESTAMERICA BANCORP cs 957090103 45.33 1,000 1,000 0 - WESTERN ASSET HIGH INCM cs 95766K109 2.07 325 325 0 - WEYERHAEUSER CO cs 962166104 38.31 1,221 1,221 0 - WHITING PETROLEUM CORP cs 966387102 7.63 150 150 0 - WHOLE FOODS MARKET INC cs 966837106 35.65 411 411 0 - WILLIAMS COMPANIES cs 969457100 228.51 6,100 100 0 6,000 WINDSTREAM CORPORATION cs 97381W104 6.38 804 804 0 - WISDOMTREE JPN HDGD EQTY cs 97717W851 56.15 1,300 1,300 0 - WPX ENERGY INC cs 98212B103 32.57 2,033 2,033 0 - WYNN RESORTS cs 983134107 125.16 1,000 1,000 0 - XCEL ENERGY INC cs 98389B100 118.80 4,000 - 0 4,000 XPO LOGISTICS INC cs 983793100 1.68 100 100 0 - YELP INC CLASS A cs 985817105 4.74 200 100 0 100 YUM BRANDS INC cs 988498101 26.37 367 367 0 - ZILLOW INC CL A cs 98954A107 5.47 100 100 0 - ZYNGA INC cs 98986T108 0.67 200 100 0 100 ALLIANCE RES PARTNERS LP oa 01877R108 12.74 200 200 0 - ALON USA PARTNERS LP oa 02052T109 9.32 350 350 0 - AMERICAN CAPITAL AGENCY oa 02503X105 20.32 620 620 0 - AMERIGAS PARTNERS LP oa 030975106 52.79 1,175 1,175 0 - ANNALY CAPITAL MGMT oa 035710409 164.46 10,350 10,000 0 350 BLACKSTONE GROUP LP oa 09253U108 3.96 200 200 0 - BOARDWALK PIPELINE PTNRS oa 096627104 102.59 3,500 3,500 0 - CALUMET SPECIALTY PROD oa 131476103 37.25 1,000 1,000 0 - DIGITAL REALTY TRUST INC oa 253868103 2.68 40 40 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------ -------------- --------- --------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------ -------------- --------- --------- -------- --- ---- ---------- -------- ------- ------ ------- DUKE REALTY CORP oa 264411505 47.54 2,800 2,500 0 300 ENBRIDGE ENERGY PTNRS LP oa 29250R106 7.23 240 126 0 114 ENERGY TRANSFER EQUITY oa 29273V100 70.18 1,200 1,200 0 - ENERGY TRANSFER PARTNERS oa 29273R109 111.92 2,208 2,208 0 - ENTERPRISE PRD PRTNRS LP oa 293792107 1,537.38 25,500 25,500 0 - EQUITY RESIDENTIAL oa 29476L107 8.26 150 150 0 - GENERAL MOTORS 7.70XXX oa 370ESCAU9 0.00 25,000 25,000 0 - GLIMCHER REALTY TRUST oa 379302102 5.80 500 500 0 - H C P INC oa 40414L109 4.49 90 - 0 90 KINDER MORGAN ENERGY LP oa 494550106 134.66 1,500 1,475 0 25 LAACO INC LTD PARTNSHIP oa 505346106 40.80 40 40 0 - MFA FINANCIAL INC oa 55272X102 9.32 1,000 1,000 0 - NUSTAR GP HOLDINGS LLC oa 67059L102 23.08 710 710 0 - ONEOK PARTNERS LP oa 68268N103 114.74 1,999 1,999 0 - PEBBLEBROOK HOTEL TRUST oa 70509V100 1.93 75 - 0 75 PIONEER SW ENGY PTNRS LP oa 72388B106 7.33 300 300 0 - PLUM CREEK TIMBER CO oa 729251108 13.57 260 260 0 - REALTY INCOME CORP oa 756109104 1,464.26 32,288 30,638 0 1,650 SOUTHCROSS ENERGY LP oa 84130C100 20.25 1,000 1,000 0 - SPECTRA ENERGY PARTNERS oa 84756N109 66.90 1,700 1,700 0 - T C PIPELINES LP oa 87233Q108 58.19 1,200 1,200 0 - TEEKAY LNG PARTNERS LP F oa Y8564M105 95.29 2,300 2,300 0 - THORNBURG MORTGAGE NEXXX oa 885218800 0.00 120 120 0 - UMH PROPERTIES INC oa 903002103 30.81 3,000 3,000 0 - VORNADO REALTY TRUST oa 929042109 20.68 247 247 0 - WESTERN GAS PARTNERS L P oa 958254104 53.47 900 900 0 - AB SVENSK EXPORT 2022F ps 870297603 1.78 200 200 0 - ALLIANZ SE 8.375% PFD F ps 018805200 25.41 1,000 1,000 0 - AMERICAN CAPITAL 8% PFD ps 02503X204 114.16 4,250 4,250 0 - BARCLAYS BANK PLC 2013F ps 06741K445 1,209.00 100,000 100,000 0 - BB&T CORP 5.625% PFD ps 054937404 25.54 1,000 1,000 0 - BK ONE CAP TR VI 7.20%31 ps 06423W204 230.62 8,786 8,246 0 540 CIA DE BEBIDAS PFD ADR F ps 20441W203 2.12 50 - 0 50 COUNTRYWIDE NEW 7.00%66 ps 222388209 51.10 2,000 2,000 0 - CYS INVTS 7.75%SER A PFD ps 12673A207 25.28 1,000 1,000 0 - DYNEX CAPITAL 8.5% PFD ps 26817Q704 46.01 1,750 1,750 0 - GOLDMAN SACHS 2037 ps 38144L852 0.38 8 8 0 - HARRIS PFD CAP 7.375%PFD ps 414567206 5.17 200 200 0 - HATTERAS FINL 7.62% PFD ps 41902R400 25.23 1,000 1,000 0 - HSBC HOLDINGS 8.125% F ps 404280703 2.56 100 100 0 - JP MORGAN CAP X 7.00%32 ps 46623D200 298.12 11,600 11,600 0 - JPMORGAN CHASE 8.625%PFD ps 46625H621 472.19 18,175 16,825 0 1,350 M L CAP TRUST 7.28% PFD ps 59021K205 2.55 100 100 0 - MAGNUM HUNTER RES 8% PFD ps 55973B300 42.23 900 900 0 - PRUDENTIAL FIN 5.75%52 ps 744320607 12.69 500 500 0 - MAGNUM HUNTER RES 13WTS wt 55973G119 0.01 44 44 0 -