0001456510-14-000003.txt : 20140514 0001456510-14-000003.hdr.sgml : 20140514 20140514161716 ACCESSION NUMBER: 0001456510-14-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140514 DATE AS OF CHANGE: 20140514 EFFECTIVENESS DATE: 20140514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: First Allied Asset Management, Inc. CENTRAL INDEX KEY: 0001456510 IRS NUMBER: 205772925 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13473 FILM NUMBER: 14841745 BUSINESS ADDRESS: STREET 1: 655 W. BROADWAY STREET 2: 12TH FLOOR CITY: SAN DIEGO STATE: CA ZIP: 92101 BUSINESS PHONE: 866-299-4864 MAIL ADDRESS: STREET 1: PO BOX 85549 CITY: SAN DIEGO STATE: CA ZIP: 92186-5549 FORMER COMPANY: FORMER CONFORMED NAME: Advanced Equities Asset Management, Inc. DATE OF NAME CHANGE: 20090217 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001456510 XXXXXXXX 03-31-2014 03-31-2014 First Allied Asset Management, Inc.

PO BOX 85549 SAN DIEGO CA 92186-5549

13F HOLDINGS REPORT 028-13473 N Luanne Borowski 619-702-9764 /s/Luanne Borowski San Diego CA 05-14-2014 0 170 688569 false INFORMATION TABLE 2 faam1q14.inftab.xml 3M COCOM88579Y10110177416SHSOLE 741600ABBOTT LABSCOM00282410083121417SHSOLE 2141700ABBVIE INCCOM00287Y10994818412SHSOLE 1841200ACCENTURE PLC IRELANDSHS CLASS AG1151C101311038855SHSOLE 3885500AGCO CORPCOM00108410279314415SHSOLE 1441500APPLE INCCOM037833100801214372SHSOLE 1437200ARES CAP CORPCOM04010L1036277352902SHSOLE 35290200AT&T INCCOM00206R1026116172311SHSOLE 17231100BANK MONTREAL QUECOM063671101610690018SHSOLE 9001800BANK N S HALIFAXCOM064149107588699736SHSOLE 9973600BERKSHIRE HATHAWAY INC DELCL B NEW0846707023622900SHSOLE 290000BLACKROCK CORPOR HI YLD FD VCOM09255P10712410137SHSOLE 1013700BLACKROCK ENERGY & RES TRCOM09250U1018739360215SHSOLE 36021500BP PLCSPONSORED ADR0556221046392131874SHSOLE 13187400CALAMOS CONV OPP AND INC FDSH BEN INT1281171083159233147SHSOLE 23314700CAMPBELL SOUP COCOM134429109306569600SHSOLE 6960000CDN IMPERIAL BK OF COMMERCECOM136069101323836700SHSOLE 3670000CF INDS HLDGS INCCOM1252691007872958SHSOLE 295800CHEVRON CORP NEWCOM1667641001004284398SHSOLE 8439800CHUBB CORPCOM171232101120613449SHSOLE 1344900CISCO SYS INCCOM17275R102126255943SHSOLE 5594300CITIGROUP INCCOM NEW172967424277657100SHSOLE 5710000COHEN & STEERS INFRASTRUCTURCOM19248A1099894446870SHSOLE 44687000COLONY FINL INCNOTE 3.875% 1/119624RAB21212000PRNSOLE 1200000CONSOLIDATED EDISON INCCOM209115104307558060SHSOLE 5806000CVS CAREMARK CORPORATIONCOM1266501002853708SHSOLE 370800DEERE & COCOM244199105601365572SHSOLE 6557200DIGITAL RLTY TR INCCOM2538681036759126705SHSOLE 12670500DOW CHEM COCOM2605431037076145024SHSOLE 14502400DR PEPPER SNAPPLE GROUP INCCOM26138E1096823124405SHSOLE 12440500DWS MUN INCOME TRCOM23338M10623618050SHSOLE 1805000E M C CORP MASSCOM268648102125845866SHSOLE 4586600ENERGIZER HLDGS INCCOM29266R1087947764SHSOLE 776400ENSCO PLCSHS CLASS AG3157S10694217889SHSOLE 1788900ENTERGY CORP 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12232400ISHARESJP MOR EM MK ETF464288281301927943SHSOLE 2794300ISHARESNAT AMT FREE BD464288414928286785SHSOLE 8678500ISHARESIBOXX HI YD ETF464288513638568645SHSOLE 6864500ISHARESMBS ETF46428858824146226713SHSOLE 22671300ISHARES1-3 YR CR BD ETF46428864615781149564SHSOLE 14956400ISHARESSHRT TRS BD ETF4642886797546828SHSOLE 682800ISHARESU.S. PFD STK ETF46428868712632324676SHSOLE 32467600ISHARES GOLD TRUSTISHARES4642851052703217556SHSOLE 21755600ISHARES TRFLTG RATE BD ETF46429B65592818323SHSOLE 1832300ISHARES TREAFE MIN VOL ETF46429B6896780107327SHSOLE 10732700JOHNSON & JOHNSONCOM478160104114511667SHSOLE 1166700JPMORGAN CHASE & COCOM46625H100139022849SHSOLE 2284900KEMET CORPCOM NEW48836020724842711SHSOLE 4271100KEYCORP NEWCOM49326710860242348SHSOLE 4234800KOHLS CORPCOM500255104279248600SHSOLE 4860000KRAFT FOODS GROUP INCCOM50076Q106299152454SHSOLE 5245400LABORATORY CORP AMER HLDGSCOM NEW50540R4096957082SHSOLE 708200LILLY ELI & COCOM532457108121020741SHSOLE 2074100LOCKHEED MARTIN 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5401900POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q1086640245700SHSOLE 24570000POWERSHARES ETF TRUST IISENIOR LN PORT73936Q7696184246069SHSOLE 24606900POWERSHARES GLOBAL ETF TRUSTINSUR NATL MUN73936T4745992248862SHSOLE 24886200POWERSHARES GLOBAL ETF TRUSTSOVEREIGN DEBT73936T573196270251SHSOLE 7025100POWERSHARES GLOBAL ETF TRUSTDEV MKTS EX-US73936T789247956619SHSOLE 5661900PPL CORPCOM69351T10668821089SHSOLE 2108900PROCTER & GAMBLE COCOM742718109367046809SHSOLE 4680900PROSHARES TRPSHS ULSHT SP50074347B30012419439912SHSOLE 43991200PROSHARES TRPSHS ULT S&P 50074347R1072262147SHSOLE 214700PROSHARES TRPSHS ULTRUSS200074347R8422162503SHSOLE 250300PROSHARES TRRAFI LG SHT FD74347X3105031117347SHSOLE 11734700PROSPECT CAPITAL CORPORATIONNOTE 5.750% 3/174348TAL61212000PRNSOLE 1200000PUBLIC SVC ENTERPRISE GROUPCOM7445731065982155629SHSOLE 15562900QUALCOMM INCCOM7475251037879884SHSOLE 988400QUEST DIAGNOSTICS INCCOM74834L1005239017SHSOLE 901700RAYTHEON COCOM NEW7551115072732763SHSOLE 276300REALTY 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17367300TORONTO DOMINION BK ONTCOM NEW8911605095781120765SHSOLE 12076500TORTOISE ENERGY INFRSTRCTR CCOM89147L1009880215154SHSOLE 21515400TRANSCANADA CORPCOM89353D1076333136828SHSOLE 13682800UNILEVER PLCSPON ADR NEW9047677046640154457SHSOLE 15445700VALERO ENERGY CORP NEWCOM91913Y100123923285SHSOLE 2328500VANGUARD BD INDEX FD INCINTERMED TERM92193781912814154875SHSOLE 15487500VANGUARD BD INDEX FD INCSHORT TRM BOND92193782712978162378SHSOLE 16237800VANGUARD INDEX FDSREIT ETF922908553340548231SHSOLE 4823100VANGUARD INDEX FDSSML CP GRW ETF922908595390431683SHSOLE 3168300VANGUARD INDEX FDSMID CAP ETF9229086295574930SHSOLE 493000VANGUARD INDEX FDSGROWTH ETF922908736410743859SHSOLE 4385900VANGUARD INDEX FDSVALUE ETF92290874488511360SHSOLE 1136000VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285810263252832SHSOLE 25283200VANGUARD INTL EQUITY INDEX FMEGA CAP GRO ETF9220428666066102812SHSOLE 10281200VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874443175421SHSOLE 7542100VANGUARD MALVERN FDSSTRM INFPROIDX92202080511360231336SHSOLE 23133600VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409659981980SHSOLE 8198000VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385816420398194SHSOLE 39819400VENTAS INCCOM92276F1006188101216SHSOLE 10121600VERIZON COMMUNICATIONS INCCOM92343V104296160906SHSOLE 6090600WAL-MART STORES INCCOM93114210392512060SHSOLE 1206000WELLS FARGO & CO NEWCOM9497461017005140641SHSOLE 14064100WISDOMTREE TRFUTRE STRAT FD97717W125102825002SHSOLE 2500200WISDOMTREE TRLARGECAP DIVID97717W307483471493SHSOLE 7149300WISDOMTREE TREMERG MKTS ETF97717W31568113902SHSOLE 1390200WISDOMTREE TRMIDCAP DIVI FD97717W5054806221SHSOLE 622100WISDOMTREE TRJAPN HEDGE EQT97717W851340972125SHSOLE 7212500WISDOMTREE TREM LCL DEBT FD97717X867392485639SHSOLE 8563900