-----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, HRabQ4FbRzRgSl0feK6PzJYnSK+aaeQkX9GVjok6CBLaiWGaVwHJy4bM1SW0skaw S84UHfBy4sxt7PHQzc+pWw== 0001085146-09-003365.txt : 20091028 0001085146-09-003365.hdr.sgml : 20091028 20091028171829 ACCESSION NUMBER: 0001085146-09-003365 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091028 DATE AS OF CHANGE: 20091028 EFFECTIVENESS DATE: 20091028 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Efficient Market Advisors, LLC CENTRAL INDEX KEY: 0001429788 IRS NUMBER: 412143010 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13603 FILM NUMBER: 091142454 BUSINESS ADDRESS: STREET 1: 1125 CAMINO DEL MAR STREET 2: SUITE H CITY: DEL MAR STATE: CA ZIP: 92014 BUSINESS PHONE: 858-847-0690 MAIL ADDRESS: STREET 1: 1125 CAMINO DEL MAR STREET 2: SUITE H CITY: DEL MAR STATE: CA ZIP: 92014 13F-HR 1 ema3q09.txt EFFICIENT MARKET ADVISORS LLC 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, 2009 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: Efficient Market Advisors, LLC Address: 1125 Camino Del Mar, Suite H Del Mar, CA 92014 13F File Number: 28-NEW 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: Herb W. Morgan Title: CEO & CIO Phone: 858-847-0690 Signature, Place, and Date of Signing: /s/ Herb W. Morgan Del Mar, CA October 16, 2009 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: 0 Form13F Information Table Entry Total: 111 Form13F Information Table Value Total: $84,019 (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. NONE 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 71 955 SH SOLE 0 0 955 ABERCROMBIE & FITCH CO CL A 002896207 0 6 SH SOLE 0 0 6 APPLE INC COM 037833100 33 180 SH SOLE 0 0 180 APPLIED MICRO CIRCUITS CORP COM NEW 03822W406 0 5 SH SOLE 0 0 5 BERKSHIRE HATHAWAY INC DEL CL A 084670108 203 2 SH SOLE 0 0 2 BP PLC SPONSORED ADR 055622104 52 973 SH SOLE 0 0 973 CBL & ASSOC PPTYS INC COM 124830100 10 1053 SH SOLE 0 0 1053 CELGENE CORP COM 151020104 240 4350 SH SOLE 0 0 4350 CISCO SYS INC COM 17275R102 4 165 SH SOLE 0 0 165 DISNEY WALT CO COM DISNEY 254687106 2 75 SH SOLE 0 0 75 DONNELLEY R R & SONS CO COM 257867101 11 500 SH SOLE 0 0 500 EATON VANCE INS CA MN BD FD COM 27828C106 13 1000 SH SOLE 0 0 1000 EATON VANCE LTD DUR INCOME F COM 27828H105 13 900 SH SOLE 0 0 900 EBAY INC COM 278642103 7 300 SH SOLE 0 0 300 ENTROPIC COMMUNICATIONS INC COM 29384R105 25 9199 SH SOLE 0 0 9199 FLAHERTY & CRMRN CLYMRE T R COM 338479108 13 1000 SH SOLE 0 0 1000 FORD MTR CO DEL COM PAR $0.01 345370860 11 1420 SH SOLE 0 0 1420 GENERAL ELECTRIC CO COM 369604103 42 2500 SH SOLE 0 0 2500 GILAT SATELLITE NETWORKS LTD SHS NEW M51474118 0 4 SH SOLE 0 0 4 GOLDMAN SACHS GROUP INC COM 38141G104 73 400 SH SOLE 0 0 400 GOOGLE INC CL A 38259P508 20 40 SH SOLE 0 0 40 HARTFORD INCOME SHS FD INC COM 416537108 501 84405 SH SOLE 0 0 84405 HEINZ H J CO COM 423074103 58 1470 SH SOLE 0 0 1470 HOME DEPOT INC COM 437076102 258 9633 SH SOLE 0 0 9633 ING PRIME RATE TR SH BEN INT 44977W106 3 600 SH SOLE 0 0 600 INTEL CORP COM 458140100 2 100 SH SOLE 0 0 100 INTERNATIONAL RECTIFIER CORP COM 460254105 0 5 SH SOLE 0 0 5 INVENTURE GROUP INC COM 461214108 91 32000 SH SOLE 0 0 32000 ISHARES INC MSCI MEX INVEST 464286822 33 753 SH SOLE 0 0 753 ISHARES INC MSCI TAIWAN 464286731 39 3231 SH SOLE 0 0 3231 ISHARES INC MSCI SWITZERLD 464286749 17 805 SH SOLE 0 0 805 ISHARES INC MSCI SPAIN 464286764 18 355 SH SOLE 0 0 355 ISHARES INC MSCI S KOREA 464286772 45 952 SH SOLE 0 0 952 ISHARES INC MSCI JAPAN 464286848 76 7693 SH SOLE 0 0 7693 ISHARES INC MSCI HONG KONG 464286871 18 1165 SH SOLE 0 0 1165 ISHARES INC MSCI CHILE INVES 464286640 42 869 SH SOLE 0 0 869 ISHARES INC MSCI BELG INVEST 464286301 18 1401 SH SOLE 0 0 1401 ISHARES INC MSCI CDA INDEX 464286509 36 1427 SH SOLE 0 0 1427 ISHARES INC MSCI MALAYSIA 464286830 39 3840 SH SOLE 0 0 3840 ISHARES TR BARCLYS 1-3YR CR 464288646 10924 104875 SH SOLE 0 0 104875 ISHARES TR HIGH YLD CORP 464288513 7577 87730 SH SOLE 0 0 87730 ISHARES TR DJ BROKER-DEAL 464288794 15 500 SH SOLE 0 0 500 ISHARES TR US PFD STK IDX 464288687 4055 111967 SH SOLE 0 0 111967 ISHARES TR S&P NTL AMTFREE 464288414 11 100 SH SOLE 0 0 100 ISHARES TR DJ HOME CONSTN 464288752 120 9554 SH SOLE 0 0 9554 ISHARES TR BARCLYS MBS BD 464288588 154 1442 SH SOLE 0 0 1442 ISHARES TR INDEX IBOXX INV CPBD 464287242 10631 99568 SH SOLE 0 0 99568 ISHARES TR INDEX MSCI EAFE IDX 464287465 5459 99867 SH SOLE 0 0 99867 ISHARES TR INDEX BARCLY USAGG B 464287226 281 2684 SH SOLE 0 0 2684 ISHARES TR INDEX FTSE XNHUA IDX 464287184 34 831 SH SOLE 0 0 831 ISHARES TR INDEX DJ SEL DIV INX 464287168 57 1365 SH SOLE 0 0 1365 ISHARES TR INDEX COHEN&ST RLTY 464287564 4049 82803 SH SOLE 0 0 82803 ISHARES TR INDEX BARCLYS 7-10 YR 464287440 5 50 SH SOLE 0 0 50 ISHARES TR INDEX BARCLYS 20+ YR 464287432 0 3 SH SOLE 0 0 3 ISHARES TR INDEX BARCLYS 1-3 YR 464287457 70 835 SH SOLE 0 0 835 ISHARES TR INDEX RUSSELL MIDCAP 464287499 64 816 SH SOLE 0 0 816 ISHARES TR INDEX DJ US INDEX FD 464287846 1 15 SH SOLE 0 0 15 ISHARES TR INDEX RUSL 3000 VALU 464287663 4 50 SH SOLE 0 0 50 ISHARES TR INDEX S&P 500 INDEX 464287200 34 317 SH SOLE 0 0 317 ISHARES TR INDEX S&P MIDCAP 400 464287507 8631 124522 SH SOLE 0 0 124522 ISHARES TR INDEX S&P SMLCAP 600 464287804 34 640 SH SOLE 0 0 640 ISHARES TR INDEX S&P500 GRW 464287309 55 1015 SH SOLE 0 0 1015 ISHARES TR INDEX BARCLYS TIPS BD 464287176 34 332 SH SOLE 0 0 332 ISHARES TR INDEX RUSSELL 2000 464287655 8642 141698 SH SOLE 0 0 141698 JDS UNIPHASE CORP COM PAR $0.001 46612J507 0 16 SH SOLE 0 0 16 JETBLUE AIRWAYS CORP COM 477143101 1 90 SH SOLE 0 0 90 MATTEL INC COM 577081102 6 300 SH SOLE 0 0 300 METABASIS THERAPEUTICS INC COM 59101M105 294 717820 SH SOLE 0 0 717820 MICROSOFT CORP COM 594918104 52 2000 SH SOLE 0 0 2000 MIDCAP SPDR TR UNIT SER 1 595635103 6 50 SH SOLE 0 0 50 MOBILE MINI INC COM 60740F105 0 16 SH SOLE 0 0 16 MORGAN STANLEY CALIF QLTY MUN 61745P635 6 500 SH SOLE 0 0 500 NOKIA CORP SPONSORED ADR 654902204 88 6000 SH SOLE 0 0 6000 NUVEEN CA DIV ADV MUNI FD 3 COM SH BEN INT 67070Y109 13 1000 SH SOLE 0 0 1000 NUVEEN CA DIVIDEND ADV MUN F COM SHS 67066Y105 13 1000 SH SOLE 0 0 1000 NUVEEN CA SELECT QUALITY MUN COM 670975101 14 1000 SH SOLE 0 0 1000 NUVEEN CONN PREM INCOME MUN SH BEN INT 67060D107 24 1665 SH SOLE 0 0 1665 ORACLE CORP COM 68389X105 4 200 SH SOLE 0 0 200 PIMCO CA MUNICIPAL INCOME FD COM 72200N106 13 1000 SH SOLE 0 0 1000 PIMCO CALIF MUN INCOME FD II COM 72200M108 10 1000 SH SOLE 0 0 1000 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 12 545 SH SOLE 0 0 545 POWERSHARES ETF TRUST VAL LINE TIME 73935X682 1 100 SH SOLE 0 0 100 PROCTER & GAMBLE CO COM 742718109 64 1100 SH SOLE 0 0 1100 PROSHARES TR PSHS ULTRA FINL 74347R743 1 250 SH SOLE 0 0 250 PROSHARES TR PSHS ULTSH 20YRS 74347R297 8 180 SH SOLE 0 0 180 QUIKSILVER INC COM 74838C106 2 860 SH SOLE 0 0 860 SANTARUS INC COM 802817304 3 1000 SH SOLE 0 0 1000 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 46 1677 SH SOLE 0 0 1677 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 16 630 SH SOLE 0 0 630 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 61 2103 SH SOLE 0 0 2103 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 33 2195 SH SOLE 0 0 2195 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 26 975 SH SOLE 0 0 975 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 69 3299 SH SOLE 0 0 3299 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 13 447 SH SOLE 0 0 447 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 13 420 SH SOLE 0 0 420 SENOMYX INC COM 81724Q107 8 2000 SH SOLE 0 0 2000 SMUCKER J M CO COM NEW 832696405 1 16 SH SOLE 0 0 16 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 92 2386 SH SOLE 0 0 2386 SPDR TR UNIT SER 1 78462F103 14738 139041 SH SOLE 0 0 139041 STARBUCKS CORP COM 855244109 0 11 SH SOLE 0 0 11 SUN MICROSYSTEMS INC COM NEW 866810203 2 250 SH SOLE 0 0 250 VANGUARD INDEX FDS LARGE CAP ETF 922908637 461 9547 SH SOLE 0 0 9547 VANGUARD INDEX FDS MID CAP ETF 922908629 3468 60764 SH SOLE 0 0 60764 VANGUARD INDEX FDS REIT ETF 922908553 1053 25170 SH SOLE 0 0 25170 VANGUARD INDEX FDS SMALL CP ETF 922908751 41 737 SH SOLE 0 0 737 VANGUARD INDEX FDS STK MRK ETF 922908769 23 431 SH SOLE 0 0 431 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2 38 SH SOLE 0 0 38 VANGUARD WORLD FDS TELCOMM ETF 92204A884 16 288 SH SOLE 0 0 288 VISA INC COM CL A 92826C839 14 200 SH SOLE 0 0 200 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 23 1000 SH SOLE 0 0 1000 ZIX CORP COM 98974P100 87 39216 SH SOLE 0 0 39216
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