-----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, Q13sGFwhWQaEQfudtpsdyMX0VBE9CBG9aSt3KqxL3bVpzPVkA6Rb1jyTdf639M/p AZef+ka0efkw9n7qXZ9lAg== 0001463217-10-000003.txt : 20100518 0001463217-10-000003.hdr.sgml : 20100518 20100517180441 ACCESSION NUMBER: 0001463217-10-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100518 DATE AS OF CHANGE: 20100517 EFFECTIVENESS DATE: 20100518 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. CENTRAL INDEX KEY: 0001463217 IRS NUMBER: 201847610 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13508 FILM NUMBER: 10840511 BUSINESS ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: 2ND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-999-8500 MAIL ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: 2ND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 ucfafiling0310txt.txt 13F HOLDINGS REPORT - MARCH 31, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR Form 13F Cover Page Report for the Calendar Year or Quarter Ended: March 31, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds a new holdings entries. Institutional Investment Manager Filing this report: Name: United Capital Financial Advisers Address: 500 Newport Center Drive 2nd Floor Newport Beach, CA 92660 13F File Number: 028-13508 This 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 understand 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: Michael Herman Title: Chief Compliance Officer Phone: 949-999-8500 Signature, Place and Date of Signing Michael Herman Newport Beach, CA May 14, 2010 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ x ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager:
Form 13F File Number Name - ---------------------- ----------------------- 028-10562 ALLIANCEBERNSTEIN LP 028-01162 ATALANTA/SOSNOFF MANAGEMENT,LLC 028-05620 BRANDES INVESTMENT PARTNERS LP 028-05923 CORNERSTONE CAPITAL MANAGEMENT INC 028-05267 DELAWARE MANAGEMENT BUSINESS TRUST 028-13411 ENVESTNET ASSET MANAGEMENT 028-06487 FIRST TRUST ADVISERS 028-11091 HILLMAN CAPITAL MANAGEMENT, INC 028-03052 HOTCHKISS ASSOCIATES 028-06419 LOTSOFF CAPITAL MANAGEMENT 028-04869 MARKSTON INTERNATIONAL, LLC 028-13466 NORTHCOAST ASSET MANAGEMENT LLC 028-00290 NORTHERN TRUST CORPORATION 028-01474 NWQ INVESTMENT MANAGEMENT CO LLC 028-12966 OSHAUGHNESSY ASSET MANAGEMENT, LLC 028-11107 PLACEMARK INVESTMENTS INC 028-02634 REED CONNOR BIRDWELL 028-04691 SCHAFER CULLEN CAPITAL MANAGEMENT INC 028-12572 TRADEWINDS GLOBAL INVESTORS LLC
I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE AS OF DATE: 03/31/10 REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 ----------- FORM 13F INFORMATION TABLE ENTRY TOTAL: 340 ----------- FORM 13F INFORMATION TABLE VALUE TOTAL: $ 515,488 ----------- (thousands) 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. 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 2487 29758 SH SOLE 29758 0 0 A T & T INC (NEW) COM 00206R102 3270 126562 SH SOLE 126562 0 0 ABB LTD SPONSORED ADR COM 000375204 766 35059 SH SOLE 35059 0 0 ABBOTT LABS COM 002824100 6106 115898 SH SOLE 115898 0 0 ACCENTURE PLC IRELAND SHS CLAS COM G1151C101 2092 49873 SH SOLE 49873 0 0 ACTIVISION BLIZZARD INC COM COM 00507V109 334 27686 SH SOLE 27686 0 0 ADOBE SYS INC COM 00724F101 1048 29627 SH SOLE 29627 0 0 ADUDDELL INDS INC COM COM 007391105 1 175000 SH SOLE 175000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 191 20600 SH SOLE 20600 0 0 AECOM TECHNOLOGY CORP COM 00766T100 2337 82393 SH SOLE 82393 0 0 AFFILIATED MANAGERS GROUP COM 008252108 1465 18546 SH SOLE 18546 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 594 17258 SH SOLE 17258 0 0 ALABAMA PWR CO NT JJ 061546 PREFERRED STOCKS 010392520 281 10600 SH SOLE 10600 0 0 ALIGN TECHNOLOGY INC COM 016255101 3928 203096 SH SOLE 203096 0 0 ALLERGAN INC COM 018490102 331 5069 SH SOLE 5069 0 0 ALLIANCEBERNSTEIN INCOME FUNCO COM 01881E101 1615 198386 SH SOLE 198386 0 0 ALTRIA GROUP INC COM 02209S103 564 27507 SH SOLE 27507 0 0 AMAZON COM INC COM 023135106 454 3344 SH SOLE 3344 0 0 AMBAC FINL GROUP INC DEB 5.875 PREFERRED STOCKS 023139603 68 12000 SH SOLE 12000 0 0 AMERICA MOVIL S A DE C V COM 02364W105 1544 30675 SH SOLE 30675 0 0 AMERICAN ELECTRIC POWER COM 025537101 561 16407 SH SOLE 16407 0 0 AMERICAN PUBLIC EDUCATION INCO COM 02913V103 1687 36197 SH SOLE 36197 0 0 AMGEN INC COM 031162100 622 10396 SH SOLE 10396 0 0 ANADARKO PETE CORP COM 032511107 657 9015 SH SOLE 9015 0 0 ANNALY CAP MGMT INC COM 035710409 422 24588 SH SOLE 24588 0 0 APACHE CORP COM 037411105 534 5261 SH SOLE 5261 0 0 APOLLO GROUP INC CL A COM 037604105 388 6327 SH SOLE 6327 0 0 APPLE INC COM 037833100 18750 79788 SH SOLE 79788 0 0 APPLIED MATLS INC COM 038222105 877 65105 SH SOLE 65105 0 0 ARM HLDGS PLC SPONSORED ADR COM 042068106 209 19576 SH SOLE 19576 0 0 ASBC CAP TR I TOPRS 7.625 32 PREFERRED STOCKS 00209E207 620 28200 SH SOLE 28200 0 0 AT&T INC SR NT 6.375 PREFERRED STOCKS 00211G208 380 14394 SH SOLE 14394 0 0 BAC CAP TR V GTD CAP SEC 6% COM 055184204 420 20184 SH SOLE 20184 0 0 BALLARD PWR SYS INC NEW COM COM 058586108 54 20400 SH SOLE 20400 0 0 BANCO SANTANDER CENT HISPANO A COM 05964H105 526 39625 SH SOLE 39625 0 0 BANK AMERICA CORP COM 060505104 1231 68965 SH SOLE 68965 0 0 BANK OF AMERICA INTERNOTE PREF PREFERRED STOCKS 060505401 295 12000 SH SOLE 12000 0 0 BANK OF NEW YORK MELLON CORP COM 064058100 689 22325 SH SOLE 22325 0 0 BAXTER INTL INC COM 071813109 348 5978 SH SOLE 5978 0 0 BECTON DICKINSON & CO. COM 075887109 883 11220 SH SOLE 11220 0 0 BERKSHIRE HATHAWAY INC DEL COM 084670108 487 4 SH SOLE 4 0 0 BERKSHIRE HATHAWAY INC DEL CL COM 084670702 2353 28950 SH SOLE 28950 0 0 BEST BUY INC COM 086516101 783 18410 SH SOLE 18410 0 0 BIO RAD LABS INC CL A COM 090572207 311 3000 SH SOLE 3000 0 0 BIOCLINICA INC COM COM 09071B100 61 13750 SH SOLE 13750 0 0 BLACKSTONE GROUP L P COM UNIT COM 09253U108 583 41656 SH SOLE 41656 0 0 BORDERS GROUP INC COM 099709107 103 60000 SH SOLE 60000 0 0 BOSWELL J G CO COM COM 101205102 231 370 SH SOLE 370 0 0 BP PLC ADR COM 055622104 1826 31992 SH SOLE 31992 0 0 BP PRUDHOE BAY RTY TR UNIT BEN COM 055630107 722 7308 SH SOLE 7308 0 0 BRISTOL MYERS SQUIBB CO. COM 110122108 329 12327 SH SOLE 12327 0 0 BURST COM INC COM COM 12284P106 5 16203 SH SOLE 16203 0 0 CALAVO GROWERS INC COM 128246105 6465 354419 SH SOLE 354419 0 0 CALYPTE BIOMEDICAL CORP COM NE COM 131722605 4 480769 SH SOLE 480769 0 0 CAPITALSOURCE INC COM COM 14055X102 262 46825 SH SOLE 46825 0 0 CAPSTEAD MTG CORP COM NO PAR COM 14067E506 207 17275 SH SOLE 17275 0 0 CARMAX INC COM 143130102 663 26400 SH SOLE 26400 0 0 CASH TECHNOLOGIES INC COM COM 147910103 2 20000 SH SOLE 20000 0 0 CATALYST HEALTH SOLUTIONS INCO COM 14888B103 331 8000 SH SOLE 8000 0 0 CATERPILLAR INC COM 149123101 392 6239 SH SOLE 6239 0 0 CBS CORP NEW SR RLT 7.25% PREFERRED STOCKS 124857301 1174 47705 SH SOLE 47705 0 0 CELGENE CORP COM 151020104 450 7261 SH SOLE 7261 0 0 CELL THERAPEUTICS INC COM NO P COM 150934503 8 15000 SH SOLE 15000 0 0 CHESAPEAKE ENERGY CORP COM 165167107 372 15755 SH SOLE 15755 0 0 CHEVRON TEXACO CORP COM 166764100 4959 65390 SH SOLE 65390 0 0 CISCO SYSTEMS INC COM 17275R102 8531 327754 SH SOLE 327754 0 0 CITIGROUP INC COM 172967101 733 181059 SH SOLE 181059 0 0 CITY NATL CORP COM 178566105 841 15580 SH SOLE 15580 0 0 CLEARWIRE CORP RTS EXP 06/21/1 WARRANT AND RIGH 18538Q139 4 20650 SH SOLE 20650 0 0 CLEARWIRE CORP-CLASS A COM 18538Q105 148 20650 SH SOLE 20650 0 0 CLOROX CO. COM 189054109 497 7746 SH SOLE 7746 0 0 CME GROUP INC COM 12572Q105 1848 5846 SH SOLE 5846 0 0 COACH INC COM 189754104 1117 28255 SH SOLE 28255 0 0 COCA COLA CO. COM 191216100 1881 34192 SH SOLE 34192 0 0 COGNIZANT TECHNOLOGY SOLUTIONS COM 192446102 499 9783 SH SOLE 9783 0 0 COLLECTORS UNIVERSE INC COM NE COM 19421R200 136 12000 SH SOLE 12000 0 0 COMCAST CORP CLASS A COM 20030N101 1026 54465 SH SOLE 54465 0 0 CONOCO PHILLIPS COM 20825C104 1716 33532 SH SOLE 33532 0 0 CONVERGYS CORP COM COM 212485106 524 42763 SH SOLE 42763 0 0 CORNING INC COM 219350105 1324 65526 SH SOLE 65526 0 0 CORPORATE PPTY ASSOCS INC SER COM 22002B305 0 109950 SH SOLE 109950 0 0 COVIDIEN PLC ORDINARY SHARE COM G2554F105 450 8953 SH SOLE 8953 0 0 CREDIT SUISSE GUERNSEY BRH 7.9 PREFERRED STOCKS 225448208 447 17252 SH SOLE 17252 0 0 CREE INC COM COM 225447101 224 3191 SH SOLE 3191 0 0 CRESTON RES LTD COM COM 226270106 0 10000 SH SOLE 10000 0 0 CSX CORP COM 126408103 249 4900 SH SOLE 4900 0 0 CYBERSOURCE CORP COM 23251J106 2126 120378 SH SOLE 120378 0 0 CYTEC INDS INC COM 232820100 575 12295 SH SOLE 12295 0 0 DAIS ANALYTIC CORP COM COM 23302X104 67 166667 SH SOLE 166667 0 0 DELPHI FINL GROUP INC NT SR 8% PREFERRED STOCKS 247131204 254 10000 SH SOLE 10000 0 0 DENTSPLY INTL INC NEW COM COM 249030107 1670 47886 SH SOLE 47886 0 0 DEVON ENERGY CORP COM 25179M103 624 9690 SH SOLE 9690 0 0 DIAGEO PLC ADR SPONSORED COM 25243Q205 1217 18036 SH SOLE 18036 0 0 DIATECT INTERNATIONAL CORP COM COM 25284B109 0 13000 SH SOLE 13000 0 0 DIGITAL RLTY TR INC COM COM 253868103 612 11289 SH SOLE 11289 0 0 DISNEY WALT PRODUCTION COM 254687106 1431 40986 SH SOLE 40986 0 0 DOMINION RES INC VA COM 25746U109 226 5500 SH SOLE 5500 0 0 DOW CHEMICAL CORP COM 260543103 597 20196 SH SOLE 20196 0 0 DU PONT EI DE NEMOURS CO. COM 263534109 529 14195 SH SOLE 14195 0 0 DUKE ENERGY CORP COM 26441C105 389 23813 SH SOLE 23813 0 0 E DIGITAL CORP COM COM 26841Y103 2 13500 SH SOLE 13500 0 0 ECHO GLOBAL LOGISTICS INC COM COM 27875T101 412 31889 SH SOLE 31889 0 0 EMERSON ELECTRIC CO. COM 291011104 4647 92312 SH SOLE 92312 0 0 ENDEAVOUR INTL CORP COM COM 29259G101 781 614594 SH SOLE 614594 0 0 ENDWAVE CORP COM NEW COM 29264A206 392 142598 SH SOLE 142598 0 0 ENERGY CONVRSN DEVICES INC COM 292659109 78 10000 SH SOLE 10000 0 0 ENTERGY CORP COM 29364G103 355 4368 SH SOLE 4368 0 0 ENTERGY MISS INC MTG BD 7.25%3 PREFERRED STOCKS 29364N868 244 9518 SH SOLE 9518 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 12668 366330 SH SOLE 366330 0 0 ETRION CORP COM COM 29786T105 53 108651 SH SOLE 108651 0 0 EVOTEC AG SPONSORED ADS COM 30050E105 87 16027 SH SOLE 16027 0 0 EXPEDITORS INTL WASH INC COM 302130109 251 6801 SH SOLE 6801 0 0 EXPRESS SCRIPTS INC COM 302182100 275 2703 SH SOLE 2703 0 0 EXXON MOBIL CORP COM 30231G102 15950 238124 SH SOLE 238124 0 0 F5 NETWORKS INC COM COM 315616102 310 5024 SH SOLE 5024 0 0 FEDERAL NATL MTG ASSN PFD8.25% PREFERRED STOCKS 313586752 15 11800 SH SOLE 11800 0 0 FIDELITY FINL TR CONV SECS FD CONVERTIBLE PREF 316145200 1565 67564 SH SOLE 67564 0 0 FIDUCIARY CLAYMORE MLP OPP FD COM 31647Q106 3393 176165 SH SOLE 176165 0 0 FIRST CALIFORNIA FINANCIAL GCO COM 319395109 45 16966 SH SOLE 16966 0 0 FIRST HORIZON NATL CORP COM COM 320517105 462 32886 SH SOLE 32886 0 0 FIRST SOLAR INC COM 336433107 771 6290 SH SOLE 6290 0 0 FISERV INC COM 337738108 713 14053 SH SOLE 14053 0 0 FLOWSERVE CORP COM COM 34354P105 557 5051 SH SOLE 5051 0 0 FLUOR CORP NEW COM 343412102 1137 24451 SH SOLE 24451 0 0 FOCUS BUSINESS BANK CAL COM COM 34415X105 45 10000 SH SOLE 10000 0 0 FORD MTR CO DEL COM 345370860 421 33519 SH SOLE 33519 0 0 FREEPORT MCMORAN COPPER & GOLD COM 35671D857 883 10573 SH SOLE 10573 0 0 FX ENERGY INC COM COM 302695101 90 26110 SH SOLE 26110 0 0 GATEWAY TR GATEWAY FD A COM 367829207 4123 161510 SH SOLE 161510 0 0 GENERAL DYNAMICS CORP COM 369550108 602 7793 SH SOLE 7793 0 0 GENERAL ELEC CAP CORP NT 5.875 PREFERRED STOCKS 369622493 494 20177 SH SOLE 20177 0 0 GENERAL ELECTRIC COM 369604103 5592 307271 SH SOLE 307271 0 0 GENERAL MLS INC COM 370334104 615 8689 SH SOLE 8689 0 0 GENERAL MTRS CORP QUIDS 7.25% PREFERRED STOCKS 370442816 0 12323 SH SOLE 12323 0 0 GENEREX BIOTECHNOLOGY CP COM 371485103 94 174000 SH SOLE 174000 0 0 GEORGIA PWR CO NT SR O 5.90% PREFERRED STOCKS 373334531 227 9100 SH SOLE 9100 0 0 GEORGIA PWR CO PINES T5.75 44 PREFERRED STOCKS 373334515 200 8000 SH SOLE 8000 0 0 GILEAD SCIENCES INC COM 375558103 682 15007 SH SOLE 15007 0 0 GLAXOSMITHKLINE PLC ADR SPONSO COM 37733W105 465 12069 SH SOLE 12069 0 0 GOLDMAN SACHS GROUP COM 38141G104 4714 27627 SH SOLE 27627 0 0 GOOGLE INC COM 38259P508 4857 8565 SH SOLE 8565 0 0 GRAINGER W W INC COM 384802104 353 3263 SH SOLE 3263 0 0 HARRIS PFD CAP CORP PFD EXCH A PREFERRED STOCKS 414567206 1464 59064 SH SOLE 59064 0 0 HCP INC COM COM 40414L109 325 9847 SH SOLE 9847 0 0 HEALTHWAREHOUSE.COM COM COM 42227G103 6 50000 SH SOLE 50000 0 0 HEWLETT PACKARD CO. COM 428236103 882 16593 SH SOLE 16593 0 0 HIGHLAND CR STRATEGIES FD COM MUTUAL FUNDS 43005Q107 316 40012 SH SOLE 40012 0 0 HNI CORPORATION COM 404251100 447 16800 SH SOLE 16800 0 0 HOME DEPOT INC COM 437076102 453 14011 SH SOLE 14011 0 0 HOMEOWNERS CHOICE INC COM COM 43741E103 306 47000 SH SOLE 47000 0 0 HONEYWELL INTL INC COM 438516106 914 20193 SH SOLE 20193 0 0 HOST HOTELS & RESORTS INC COM COM 44107P104 302 20586 SH SOLE 20586 0 0 I B M COM 459200101 3733 29109 SH SOLE 29109 0 0 IHS INC COM 451734107 1861 34800 SH SOLE 34800 0 0 ILLINOIS TOOL WKS INC COM 452308109 5003 105630 SH SOLE 105630 0 0 INSPIRE PHARMACEUTICALS INC CO COM 457733103 72 11498 SH SOLE 11498 0 0 INTEL CORP COM 458140100 6412 287654 SH SOLE 287654 0 0 INTUITIVE SURGICAL INC COM 46120E602 2037 5852 SH SOLE 5852 0 0 IRON MOUNTAIN INC. COM 462846106 1751 63908 SH SOLE 63908 0 0 ISHARES MSCI EAFE INDEX COM 464287465 6621 118269 SH SOLE 118269 0 0 ISHARES RUSSELL 1000 INDEX FUN COM 464287622 317 4908 SH SOLE 4908 0 0 ISHARES RUSSELL 2000 INDEX COM 464287655 985 14530 SH SOLE 14530 0 0 ISHARES RUSSELL 2000 VALUE FUN COM 464287630 683 10697 SH SOLE 10697 0 0 ISHARES RUSSELL MIDCAP VALUE F COM 464287473 802 19884 SH SOLE 19884 0 0 ISHARES SEL DIV INDEX COM 464287168 217 4718 SH SOLE 4718 0 0 ISHARES SILVER TRUST COM 46428Q109 795 46396 SH SOLE 46396 0 0 ISHARES S&P 500 INDEX FUND COM 464287200 20460 174368 SH SOLE 174368 0 0 ISHARES S&P MDP 400 COM 464287606 722 8512 SH SOLE 8512 0 0 ISHARES S&P MIDCAP 400 FUND COM 464287507 20773 263947 SH SOLE 263947 0 0 ISHARES S&P SMALLCAP 600 FUND COM 464287804 12861 216325 SH SOLE 216325 0 0 ISHARES TR FTSE XNHUA IDX COM 464287184 308 7309 SH SOLE 7309 0 0 ISHARES TR MSCI EMERGING MKT COM 464287234 1513 35909 SH SOLE 35909 0 0 ISHARES TR RUSL 2000 GROW COM 464287648 446 6084 SH SOLE 6084 0 0 ISHARES TR RUSSEL 1000 VALUE COM 464287598 835 13666 SH SOLE 13666 0 0 ISHARES TR RUSSELL 1000 GRW COM 464287614 434 8358 SH SOLE 8358 0 0 ISHARES TR RUSSELL MCP GR COM 464287481 7595 156541 SH SOLE 156541 0 0 ISHARES TR S&P LTN AM 40 COM 464287390 224 4641 SH SOLE 4641 0 0 ITT INDS INC COM 450911102 1686 31443 SH SOLE 31443 0 0 J P MORGAN CHASE & CO. COM 46625H100 2673 59725 SH SOLE 59725 0 0 JOHNSON & JOHNSON COM 478160104 4299 65938 SH SOLE 65938 0 0 JUNIPER NETWORKS INC COM 48203R104 347 11321 SH SOLE 11321 0 0 KIMBERLY CLARK CORP COM 494368103 809 12868 SH SOLE 12868 0 0 KINDER MORGAN EGY PTNS L P UT COM 494550106 1106 16903 SH SOLE 16903 0 0 KINDER MORGAN MGMT-FRAC COM EKE55U103 5 1620733 SH SOLE 1620733 0 0 KINDER MORGAN MGMT-SHS COM 49455U100 958 16626 SH SOLE 16626 0 0 KOHLS CORP COM 500255104 520 9489 SH SOLE 9489 0 0 KONINKLIJKE PHILIPS ELECTRS SP COM 500472303 464 14496 SH SOLE 14496 0 0 KRAFT FOODS INC CL A COM 50075N104 803 26555 SH SOLE 26555 0 0 LINCOLN NATL CORP IND CAP SECS PREFERRED STOCKS 534187802 343 14000 SH SOLE 14000 0 0 LOWES COS INC COM 548661107 309 12756 SH SOLE 12756 0 0 LYRIC JEANS INC COM COM 552351108 2 44444 SH SOLE 44444 0 0 MAKO SURGICAL CORP COM COM 560879108 157 11658 SH SOLE 11658 0 0 MANAGERS TR I MGR FQ GB AL A MUTUAL FUNDS 56171L108 23271 2279247 SH SOLE 2279247 0 0 MARKEL CORP COM COM 570535104 928 2478 SH SOLE 2478 0 0 MARRIOTT INTL INC NEW CL A COM 571903202 689 21869 SH SOLE 21869 0 0 MASTERCARD INC CL A COM 57636Q104 1406 5536 SH SOLE 5536 0 0 MCDONALDS CORP COM 580135101 651 9757 SH SOLE 9757 0 0 MCGRAW-HILL COMPANIES INC COM 580645109 318 8933 SH SOLE 8933 0 0 MEDIABAY INC COM NEW COM 58446J207 0 68165 SH SOLE 68165 0 0 MEDTRONIC INC COM 585055106 2337 51902 SH SOLE 51902 0 0 MEMC ELECTR MATLS INC COM COM 552715104 530 34590 SH SOLE 34590 0 0 MERCK & COMPANY COM 58933Y105 901 24113 SH SOLE 24113 0 0 MERIDIAN RESOURCE CORP COM COM 58977Q109 4 14625 SH SOLE 14625 0 0 MERRILL LYNCH PFD CAP TR IIITR PREFERRED STOCKS 59021F206 729 32970 SH SOLE 32970 0 0 MESA OFFSHORE TR UNIT BEN INT COM 590650107 22 2642700 SH SOLE 2642700 0 0 MFS GOVT MKTS INCOME TR SH BEN MUTUAL FUNDS 552939100 134 17500 SH SOLE 17500 0 0 MFS INTER INCOME TR SH BEN INT MUTUAL FUNDS 55273C107 417 61112 SH SOLE 61112 0 0 MICRO IMAGING TECH INC COM 59484E100 1 10750 SH SOLE 10750 0 0 MICROSOFT COM 594918104 3158 107840 SH SOLE 107840 0 0 MOSAIC CO. COM 61945A107 590 9704 SH SOLE 9704 0 0 NATIONAL RURAL UTILS COOP FISU COM 637432808 343 13731 SH SOLE 13731 0 0 NETSUITE INC. COM 64118Q107 281 19300 SH SOLE 19300 0 0 NOBLE CORPORATION COM H5833N103 2320 55487 SH SOLE 55487 0 0 NORTHERN TRUST CORP COM 665859104 1866 33766 SH SOLE 33766 0 0 NTN BUZZTIME INC COM NEW COM 629410309 10 20000 SH SOLE 20000 0 0 NUVEEN CA DIVIDEND ADV MUN FCO COM 67066Y105 128 10100 SH SOLE 10100 0 0 NUVEEN CALIF MUN VALUE FD COM COM 67062C107 166 18000 SH SOLE 18000 0 0 NUVEEN ENHANCED MUN VALUE FDCO MUTUAL FUNDS 67074M101 1914 137300 SH SOLE 137300 0 0 NUVEEN INSD DIV ADVANTAGE MUTUAL FUNDS 67071L106 254 17800 SH SOLE 17800 0 0 NUVEEN INVT QUALITY MUN FD ICO COM 67062E103 255 18000 SH SOLE 18000 0 0 NUVEEN MUN INCOME FD INC COM COM 67062J102 274 24480 SH SOLE 24480 0 0 NUVEEN MUN MKT OPPORTUNITY FCO MUTUAL FUNDS 67062W103 209 14900 SH SOLE 14900 0 0 NUVEEN MUN VALUE FD INC COM MUTUAL FUNDS 670928100 3115 317510 SH SOLE 317510 0 0 NUVEEN PREM INCOME MUN FD 2 CO MUTUAL FUNDS 67063W102 1345 97914 SH SOLE 97914 0 0 NUVEEN PREMIER INSD MUN INCOCO COM 670987106 305 21106 SH SOLE 21106 0 0 NUVEEN QUALITY INCOME MUN FDCO COM 670977107 557 39216 SH SOLE 39216 0 0 NUVEEN SELECT QUALITY MUN FDCO COM 670973106 192 13100 SH SOLE 13100 0 0 NUVEEN SELECT TAX FREE INCM SH COM 67063C106 2169 157036 SH SOLE 157036 0 0 NUVEEN SELECT TAX FREE INCM SH MUTUAL FUNDS 67063X100 171 12000 SH SOLE 12000 0 0 NUVEEN TEX QUALITY INCOME MUCO COM 670983105 942 59251 SH SOLE 59251 0 0 NYSE EURONEXT COM COM 629491101 398 13448 SH SOLE 13448 0 0 OMEGA WORLD INC COM NEW COM 682138201 13 150000 SH SOLE 150000 0 0 ORACLE SYS CORP COM 68389X105 2449 95259 SH SOLE 95259 0 0 OSHKOSH TRUCK CORP COM 688239201 377 9350 SH SOLE 9350 0 0 OXYGEN BIOTHERAPEUTICS INC COM 69207P209 200 40034 SH SOLE 40034 0 0 PACKAGING CORP AMER COM COM 695156109 423 17191 SH SOLE 17191 0 0 PARADIGM MED INDS INC DEL COM COM 69900Q181 3 2553555 SH SOLE 2553555 0 0 PARKE BANCORP INC COM COM 700885106 150 18033 SH SOLE 18033 0 0 PARTNERRE LTD COM COM G6852T105 206 2582 SH SOLE 2582 0 0 PARTNERRE LTD PFD SER D 6.5% COM G68603409 443 18480 SH SOLE 18480 0 0 PATRIOT SCIENTIFIC CORP COM COM 70336N107 12 84476 SH SOLE 84476 0 0 PAYCHEX INC COM 704326107 1274 41470 SH SOLE 41470 0 0 PEPSICO INC COM 713448108 7738 116952 SH SOLE 116952 0 0 PERMIAN BASIN RTY TR UNIT BEN COM 714236106 264 15000 SH SOLE 15000 0 0 PETROCHINA CO LTD SPONSORED AD COM 71646E100 512 4364 SH SOLE 4364 0 0 PFIZER INC COM 717081103 2448 142751 SH SOLE 142751 0 0 PHARMACYCLICS INC COM COM 716933106 135 21692 SH SOLE 21692 0 0 PHILIP MORRIS INTL INC COM 718172109 835 16017 SH SOLE 16017 0 0 PINNACLE WEST CAP CORP COM COM 723484101 412 10918 SH SOLE 10918 0 0 PIONEER NAT RES CO. COM 723787107 358 6357 SH SOLE 6357 0 0 PITNEY BOWES INC COM 724479100 416 17023 SH SOLE 17023 0 0 PLANET BIOPHARMACEUTICALS INCO COM 72702X107 2 11640 SH SOLE 11640 0 0 PLC CAP TR V TOPRS 6.125 34 PREFERRED STOCKS 69340Y208 247 12000 SH SOLE 12000 0 0 POTASH CORP SASK INC COM 73755L107 687 5752 SH SOLE 5752 0 0 POWERSHARES QQQ TRUST UNIT SER COM 73935A104 600 12452 SH SOLE 12452 0 0 PPG INDS INC COM 693506107 274 4191 SH SOLE 4191 0 0 PRICE T ROWE GROUP INC COM 74144T108 1531 27844 SH SOLE 27844 0 0 PRIDE INTL INC DEL COM COM 74153Q102 1160 38518 SH SOLE 38518 0 0 PROCTER & GAMBLE CO. 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