Chief Compliance Officer

0001463217-14-000005.txt : 20140220 0001463217-14-000005.hdr.sgml : 20140220 20140220155810 ACCESSION NUMBER: 0001463217-14-000005 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140220 DATE AS OF CHANGE: 20140220 EFFECTIVENESS DATE: 20140220 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC CENTRAL INDEX KEY: 0001463217 IRS NUMBER: 270493248 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13508 FILM NUMBER: 14629523 BUSINESS ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: SECOND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-999-8500 MAIL ADDRESS: STREET 1: 500 NEWPORT CENTER DRIVE STREET 2: SECOND FLOOR CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPTIAL FINANCIAL ADVISERS, LLC DATE OF NAME CHANGE: 20130814 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC DATE OF NAME CHANGE: 20110509 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. DATE OF NAME CHANGE: 20090501 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001463217 XXXXXXXX 12-31-2013 12-31-2013 true 1 RESTATEMENT UNITED CAPITAL FINANCIAL ADVISERS, LLC

500 NEWPORT CENTER DRIVE SECOND FLOOR NEWPORT BEACH CA 92660

13F COMBINATION REPORT 028-13508 0001297376 028-12578 Advisors Asset Management, Inc. 0000902584 028-05637 ADVISORY RESEARCH INC 0001389256 028-12131 American Assets Investment Management, LLC 0001305227 028-12016 BlackRock Investment Management, LLC 0001348883 028-11611 Clearbridge Investments, LLC 0000728575 028-01203 CS MCKEE LP 0001427514 028-13023 Dana Investment Advisors, Inc. 0000003520 028-00869 FRED ALGER MANAGEMENT INC 0001542266 028-14862 Granite Investment Partners, LLC 0000812295 028-01343 JANUS CAPITAL MANAGEMENT LLC 0001056504 028-06810 KEELEY ASSET MANAGEMENT CORP 0001207017 028-10469 LAZARD ASSET MANAGEMENT LLC 0000312348 028-00398 LOOMIS SAYLES & CO L P 0000903947 028-03692 MILLER HOWARD INVESTMENTS INC /NY 0000728774 028-00454 NEUBERGER BERMAN LLC 0001042008 028-06536 AEW CAPITAL MANAGEMENT INC 0001456227 028-13466 NorthCoast Asset Management LLC 0001521019 028-14498 Nuveen Asset Management, LLC 0000919219 028-14013 PAYDEN & RYGEL 0001386060 028-12484 Boston Partners 0001089755 028-03489 SOUTHERNSUN ASSET MANAGEMENT, LLC 0001133527 028-06451 STERLING CAPITAL MANAGEMENT LLC 0001145020 028-06605 THORNBURG INVESTMENT MANAGEMENT INC 0001138897 028-10245 WESTERN ASSET MANAGEMENT CO 0000845563 028-02405 COHEN & STEERS CAPITAL MANAGEMENT INC 0000790502 028-01666 EAGLE ASSET MANAGEMENT INC 0000937729 028-10991 FAYEZ SAROFIM & CO 0000728100 028-00413 LORD, ABBETT & CO. LLC 0000067698 028-00288 MONTAG & CALDWELL, LLC 0000932859 028-04558 PARAMETRIC PORTFOLIO ASSOCIATES LLC 0001056593 028-04691 SCHAFER CULLEN CAPITAL MANAGEMENT INC 0001259887 028-10665 LONDON CO OF VIRGINIA 0000105692 028-01204 WHV Investment Management, Inc. 0000900973 028-03676 Winslow Capital Management, LLC N Michael A. Herman Chief Compliance Officer 949-999-8500 Michael A. Herman Newport Beach CA 02-20-2014 0 638 2938140 false INFORMATION TABLE 2 ucfa13fhr12312013amended.xml 3M Co Common Stock 88579Y101 8669 61812 SH SOLE 42040 0 19772 ABB, Ltd. Common Stock 000375204 675 25404 SH SOLE 18160 0 7244 Abbott Laboratories Common Stock 002824100 10203 266178 SH SOLE 105690 0 160488 Abbvie Inc Common Stock 00287Y109 6222 117816 SH SOLE 48860 0 68956 Aberdeen Asia Pacific Incom Fd ETF 003009107 69 12054 SH SOLE 12054 0 0 Accenture PLC Common Stock G1151C101 4825 58682 SH SOLE 29740 0 28942 Adobe Systems, Inc. Common Stock 00724F101 799 13346 SH SOLE 1046 0 12300 ADT Corporation Common Stock 00101J106 2377 58724 SH SOLE 46617 0 12107 Advent Claymore Conv & Income Common ETF 00764C109 204 11018 SH SOLE 11018 0 0 AECOM Technology Corp. Common Stock 00766t100 1279 43450 SH SOLE 4200 0 39250 AES Corp Common Stock 00130H105 178 12267 SH SOLE 11967 0 300 AES Trust III 6.75% Conv Pfd Preferred Stock 00808N202 3891 77550 SH SOLE 37800 0 39750 Aetna Inc Common Stock 00817Y108 1007 14681 SH SOLE 0 0 14681 Affiliated Managers Group Common Stock 008252108 1855 8551 SH SOLE 2680 0 5871 Aflac Inc Common Stock 001055102 2926 43809 SH SOLE 40535 0 3274 AGCO Corp Common Stock 001084102 507 8569 SH SOLE 7472 0 1097 Agilent Technologies Inc Common Stock 00846U101 4257 74435 SH SOLE 31378 0 43057 Agrium Inc Common Stock 008916108 1617 17678 SH SOLE 13362 0 4316 AK Steel Holding Corporation Common Stock 001547108 139 16900 SH SOLE 16900 0 0 Allegheny Technologies Inc Common Stock 01741RAD4 206 2000 SH SOLE 2000 0 0 Allegheny Technologies Inc Common Stock 01741R102 4018 112767 SH SOLE 112767 0 0 Alliance Bernstein Holding L.P. Common Stock 01881G106 2286 107100 SH SOLE 74500 0 32600 Alliance Data Systems Corporation Common Stock 018581108 350 1333 SH SOLE 1329 0 4 AllianceBernstein Income Fund Common ETF 01881E101 144 20162 SH SOLE 18262 0 1900 Alliant Techsystems Inc Common Stock 018804104 361 2970 SH SOLE 2900 0 70 Allstate Corp Preferred Stock 020002101 742 13600 SH SOLE 9100 0 4500 Alnylam Pharmaceuticals In Common Stock 02043Q107 225 3500 SH SOLE 3500 0 0 Alphatec Holdings, Inc. Common Stock 02081G102 100 49949 SH SOLE 49949 0 0 ALPS Alerian MLP ETF ETF 00162Q866 198 11120 SH SOLE 0 0 11120 Altria Group Inc. Common Stock 02209S103 1498 39013 SH SOLE 30486 0 8527 Alza Corp Convertible Bond 02261WAB5 1014 8000 SH SOLE 8000 0 0 America Movil Common Stock 02364W105 380 16280 SH SOLE 804 0 15476 American Campus Communities, Inc. Common Stock 024835100 681 21147 SH SOLE 15273 0 5874 American Capital Ltd Common Stock 02503Y103 670 42827 SH SOLE 33294 0 9533 American Express Co Coporate Bond 025816109 2092 23052 SH SOLE 13180 0 9872 American International Group Inc Common Stock 026874784 15416 301977 SH SOLE 150400 0 151577 American Realty Capital Properties Inc Common Stock 02917T104 495 38540 SH SOLE 29040 0 9500 American Vanguard Corporation Common Stock 030371108 491 20210 SH SOLE 20210 0 0 Amgen Inc Coporate Bond 031162100 599 5254 SH SOLE 4754 0 500 Amkor Technology, Inc. Common Stock 031652100 123 20000 SH SOLE 20000 0 0 Anadarko Petroleum Corp Common Stock 032511107 4682 59031 SH SOLE 13280 0 45751 Analog Devices Common Stock 032654105 1010 19840 SH SOLE 18400 0 1440 Anixter International Inc Common Stock 035290105 223 2483 SH SOLE 0 0 2483 AON PLC Common Stock G0408V102 364 4337 SH SOLE 2300 0 2037 Apache Corporation Common Stock 037411105 3742 43540 SH SOLE 41540 0 2000 Apollo Investment Corp Common Stock 03761U106 219 25885 SH SOLE 15785 0 10100 Apple Inc Common Stock 037833100 98688 175909 SH SOLE 91425 0 84484 Applied Industrial Technologies, Inc. Common Stock 03820C105 1302 26522 SH SOLE 26522 0 0 Archer Daniels Midland Co Coporate Bond 039483AW2 5216 49300 SH SOLE 49300 0 0 Archer-Daniels Midland Company Common Stock 039483102 209 4820 SH SOLE 4500 0 320 Arrow Financial Corporation Common Stock 042744102 323 12170 SH SOLE 12170 0 0 Assured Guaranty Ltd Common Stock G0585R106 910 38586 SH SOLE 29013 0 9573 AT&T Inc Coporate Bond 00206R102 4445 126429 SH SOLE 73274 0 53155 Autodesk, Inc. Common Stock 052769106 1768 35137 SH SOLE 23742 0 11395 Automatic Data Processing Common Stock 053015103 1008 12480 SH SOLE 8015 0 4465 Avnet Inc Common Stock 053807103 264 5990 SH SOLE 5955 0 35 B E Aerospace, Inc. Common Stock 073302101 7478 85930 SH SOLE 85860 0 70 Babson Capital Corporate Investors Common Stock 05617k109 164 11000 SH SOLE 11000 0 0 Baidu, Inc. Common Stock 056752108 916 5147 SH SOLE 3793 0 1354 Baker Hughes, Inc. Common Stock 057224107 954 17270 SH SOLE 9300 0 7970 Ball Corporation Common Stock 058498106 9927 192169 SH SOLE 155269 0 36900 Banco Santander SA Common Stock 05964H105 639 70466 SH SOLE 50595 0 19871 Bank of America A Wts Warrants 060505146 1755 271300 SH SOLE 193700 0 77600 Bank of America B Wts Warrants 060505153 363 471980 SH SOLE 231000 0 240980 Bank of America Corporation Coporate Bond 060505104 2422 155547 SH SOLE 97140 0 58407 Bank Of New York Mellon Corp Common Stock 064058100 1508 43170 SH SOLE 18783 0 24387 Barclays PLC Common Stock 06738E204 354 19512 SH SOLE 14142 0 5370 BARRACUDA NETWORKS INC COM Common Stock 068323104 436 11000 SH SOLE 11000 0 0 Barrick Gold Corporation Common Stock 067901108 257 14551 SH SOLE 10557 0 3994 Baxter International Common Stock 071813109 2385 34292 SH SOLE 7845 0 26447 BB&T Corp Common Stock 054937107 1784 47800 SH SOLE 5150 0 42650 Bed Bath & Beyond, Inc. Common Stock 075896100 1883 23449 SH SOLE 4700 0 18749 Berkshire Hathaway Inc Common Stock 084670108 534 3 SH SOLE 3 0 0 Berkshire Hathaway Inc Common Stock 084670702 16095 135757 SH SOLE 125913 0 9844 BHP Billiton Ltd Common Stock 088606108 322 4720 SH SOLE 2550 0 2170 BHP Billiton PLC Common Stock 05545E209 590 9502 SH SOLE 6688 0 2814 Biogen Idec Inc Common Stock 09062X103 2007 7180 SH SOLE 7130 0 50 BlackRock Inc Common Stock 09247X101 5412 17100 SH SOLE 7481 0 9619 BlackRock MuniHoldings Qty II Common ETF 09254C107 266 22000 SH SOLE 22000 0 0 BlackRock MuniYield MI Quality Common ETF 09254V105 361 28999 SH SOLE 25319 0 3680 Boardwalk Pipeline Partners LP Common Stock 096627104 3496 136985 SH SOLE 85885 0 51100 Boeing Co Coporate Bond 097023105 2221 16269 SH SOLE 14173 0 2096 Boston Beer Company, Inc. Common Stock 100557107 928 3840 SH SOLE 2897 0 943 BP PLC Common Stock 055622104 1274 26204 SH SOLE 14868 0 11336 BP Prudhoe Bay Royalty Trust Common Stock 055630107 481 6040 SH SOLE 6040 0 0 BRF SA Common Stock 10552T107 705 33766 SH SOLE 25161 0 8605 Brinker International, Inc. Common Stock 109641100 1604 34615 SH SOLE 28758 0 5857 Bristol-Myers Squibb Company Common Stock 110122108 10112 190250 SH SOLE 109764 0 80486 Brookfield Asset Management Inc Common Stock 112585104 458 11790 SH SOLE 700 0 11090 Brookfield Infrastructure Partners Common Stock G16252101 17784 453436 SH SOLE 228791 0 224645 Brown-Forman Corporation Common Stock 115637209 703 9298 SH SOLE 7511 0 1787 Buckeye Partners L.P. Common Stock 118230101 9237 130075 SH SOLE 68375 0 61700 CA, Inc. Common Stock 12673P105 305 9066 SH SOLE 9028 0 38 Cabot Oil & Gas Corporation Common Stock 127097103 3890 100360 SH SOLE 91648 0 8712 Cadiz, Inc. Common Stock 127537207 99 14250 SH SOLE 11545 0 2705 Calamos Convertible Opps & Inc Common ETF 128117108 1314 99099 SH SOLE 65450 0 33649 Calavo Growers, Inc. Common Stock 128246105 303 10000 SH SOLE 10000 0 0 Canadian Solar, Inc. Common Stock 136635109 770 25824 SH SOLE 19252 0 6572 Capital One Financial Corp Common Stock 14040H105 16534 215824 SH SOLE 175735 0 40089 Capital One Financial Corporation Warrants Warrants 14040H139 8468 238952 SH SOLE 122400 0 116552 Carlyle Group Lp Com Uts Ltd Ptn Common Stock 14309l102 1921 53920 SH SOLE 30200 0 23720 Carmax, Inc. Common Stock 143130102 1426 30330 SH SOLE 8660 0 21670 Caterpillar Inc Common Stock 149123101 5617 61849 SH SOLE 25464 0 36385 CBIZ, Inc. Common Stock 124805102 97 10690 SH SOLE 10690 0 0 Celgene Corporation Common Stock 151020104 12036 71230 SH SOLE 71085 0 145 Cell Therapeutics, Inc. Common Stock 150934883 253 132236 SH SOLE 0 0 132236 Centene Corporation Common Stock 15135B101 502 8517 SH SOLE 7283 0 1234 CenturyLink Inc Common Stock 156700106 3461 108650 SH SOLE 63450 0 45200 Cerner Corporation Common Stock 156782104 9806 175930 SH SOLE 94446 0 81484 Chart Inds Inc Common Stock 16115QAC4 616 4000 SH SOLE 4000 0 0 Check Point Software Technologies, Ltd. Common Stock M22465104 6139 95183 SH SOLE 32855 0 62328 Chevron Corp Common Stock 166764100 28434 227632 SH SOLE 176296 0 51336 Chicago Bridge & Iron Company Common Stock 167250109 2400 28865 SH SOLE 21215 0 7650 Chipotle Mexican Grill, Inc. Common Stock 169656105 323 606 SH SOLE 131 0 475 Chubb Corporation Common Stock 171232101 1966 20350 SH SOLE 17100 0 3250 Chyronhego Corp Common Stock 171607104 31 14613 SH SOLE 14613 0 0 Cinemark Holdings Inc Common Stock 17243V102 1594 47816 SH SOLE 31709 0 16107 Cisco Systems Inc Common Stock 17275R102 13998 624064 SH SOLE 463320 0 160744 Citigroup Inc Coporate Bond 172967424 2943 56468 SH SOLE 27554 0 28914 Clarcor Inc. Common Stock 179895107 215 3334 SH SOLE 0 0 3334 Clean Harbors, Inc. Common Stock 184496107 426 7099 SH SOLE 6087 0 1012 CME Group Inc Coporate Bond 12572Q105 9065 115531 SH SOLE 40200 0 75331 CMS Energy Corp Common Stock 125896100 225 8407 SH SOLE 8355 0 52 CNOOC, Ltd. Common Stock 126132109 735 3918 SH SOLE 2841 0 1077 Coach, Inc. Common Stock 189754104 11692 208306 SH SOLE 186734 0 21572 Cobalt International Energy Common Stock 19075F106 707 43000 SH SOLE 19900 0 23100 CoBiz Financial Inc Common Stock 190897108 128 10705 SH SOLE 10705 0 0 Coca-Cola Co Common Stock 191216100 6640 160743 SH SOLE 74945 0 85798 Colgate-Palmolive Company Common Stock 194162103 12837 196859 SH SOLE 93397 0 103462 COLUMBIA PROPERTY TRUST, INC. Common Stock 198287203 826 33048 SH SOLE 33048 0 0 Commonwealth REIT 6.5% Conv Pfd Preferred Stock 203233408 2723 132750 SH SOLE 72500 0 60250 Companhia Brasileira De Distribuicao Common Stock 20440T201 301 6737 SH SOLE 5379 0 1358 ConAgra Foods, Inc. Common Stock 205887102 1846 54769 SH SOLE 48838 0 5931 ConocoPhillips Coporate Bond 20825C104 16003 226505 SH SOLE 221982 0 4523 Continental Airls Inc Common Stock 210795PU8 201 1000 SH SOLE 1000 0 0 Copart, Inc. Common Stock 217204106 8092 220799 SH SOLE 220799 0 0 Core Laboratories Common Stock N22717107 254 1330 SH SOLE 550 0 780 Corning Inc Common Stock 219350105 1871 104996 SH SOLE 49732 0 55264 Costco Companies Inc Common Stock 22160QAC6 2403 9000 SH SOLE 9000 0 0 Costco Wholesale Corporation Common Stock 22160K105 906 7612 SH SOLE 6651 0 961 Covidien PLC Common Stock G2554F113 1128 16558 SH SOLE 15629 0 929 Credit Suisse Group Common Stock 225401108 665 21418 SH SOLE 15609 0 5809 Csx Corp Common Stock 126408GA5 2450 8000 SH SOLE 8000 0 0 Ctrip.com International, Ltd. Common Stock 22943F100 657 13239 SH SOLE 9906 0 3333 Cumberland Pharmaceuticals, Inc. Common Stock 230770109 1010 197646 SH SOLE 197646 0 0 CVR Refining LP Common Stock 12663p107 280 12375 SH SOLE 4750 0 7625 CVS Caremark Corp Common Stock 126650100 3157 44113 SH SOLE 19653 0 24460 Cyrusone Inc Common Stock 23283R100 245 10951 SH SOLE 8872 0 2079 Danaher Corp Del Common Stock 235851AF9 1342 6000 SH SOLE 6000 0 0 Danaher Corporation Common Stock 235851102 25499 330294 SH SOLE 230761 0 99533 Darden Restaurants Inc Co Common Stock 237194105 238 4372 SH SOLE 3972 0 400 Darling International, Inc. Common Stock 237266101 573 27464 SH SOLE 23870 0 3594 Deere & Co Common Stock 244199105 933 10213 SH SOLE 2503 0 7710 Delta Air Lines Inc Common Stock 247361702 1343 48888 SH SOLE 41952 0 6936 Deluxe Corporation Common Stock 248019101 9544 182872 SH SOLE 182872 0 0 Dentsply International Common Stock 249030107 208 4295 SH SOLE 3545 0 750 Devon Energy Corp Common Stock 25179M103 526 8500 SH SOLE 2100 0 6400 Digital Realty Trust, Inc. Preferred Stock 253868103 563 11470 SH SOLE 10501 0 969 DIGITALGLOBE INC COM NEW Common Stock 25389M877 468 11370 SH SOLE 0 0 11370 DIRECTV Common Stock 25490A309 366 5300 SH SOLE 2205 0 3095 Dominion Resources Inc Common Stock 25746U109 205 3174 SH SOLE 2000 0 1174 Dover Corporation Common Stock 260003108 357 3700 SH SOLE 1000 0 2700 Dow Chemical Co Common Stock 260543103 558 12565 SH SOLE 9565 0 3000 Duke Energy Corporation Common Stock 26441C204 2833 41052 SH SOLE 32440 0 8612 Duke Realty Corp Common Stock 264411505 153 10172 SH SOLE 823 0 9349 E.I. du Pont de Nemours & Company Common Stock 263534109 4553 70080 SH SOLE 31953 0 38127 Eagle Bancorp Inc M Common Stock 268948106 1345 43917 SH SOLE 31231 0 12686 EastGroup Properties, Inc. ETF 277276101 1532 26450 SH SOLE 17500 0 8950 Education Realty Trust, Inc. Common Stock 28140H104 190 21568 SH SOLE 17473 0 4095 E-House China Holdings Ltd. Common Stock 26852W103 826 54770 SH SOLE 40250 0 14520 Eli Lilly and Company Common Stock 532457108 749 14686 SH SOLE 12155 0 2531 EMC Corporation Common Stock 268648102 12247 486941 SH SOLE 449650 0 37291 Emerson Electric Co. Common Stock 291011104 12606 179622 SH SOLE 89775 0 89847 Energizer Holdings, Inc. Common Stock 29266R108 461 4257 SH SOLE 4221 0 36 Energy Select Sector SPDR ETF 81369Y506 698 7881 SH SOLE 5926 0 1955 Energy Transfer Equity LP Common Stock 29273V100 5734 70150 SH SOLE 45450 0 24700 Energy Transfer Partners, L.P. Common Stock 29273R109 312 5447 SH SOLE 3456 0 1991 Ensco PLC Common Stock G3157S106 1445 25272 SH SOLE 22046 0 3226 Enterprise Products Partners LP Common Stock 293792107 15238 229834 SH SOLE 159578 0 70256 EOG Resources Common Stock 26875P101 3875 23086 SH SOLE 12893 0 10193 EQT Corp Common Stock 26884L109 15449 172074 SH SOLE 172074 0 0 EV Energy Partner LP Common Stock 26926V107 1476 43500 SH SOLE 37000 0 6500 Expedia, Inc. Common Stock 30212P303 5728 82222 SH SOLE 82222 0 0 Expeditors Intl Wash Com Common Stock 302130109 419 9477 SH SOLE 9477 0 0 Express Scripts Common Stock 30219G108 1148 16349 SH SOLE 5006 0 11343 Exxon Mobil Corporation Common Stock 30231G102 10815 106872 SH SOLE 68415 0 38457 F5 Networks, Inc. Common Stock 315616102 4012 44160 SH SOLE 44160 0 0 Facebook Inc Common Stock 30303M102 393 7200 SH SOLE 350 0 6850 Fauquier Bankshares Inc Common Stock 312059108 191 13912 SH SOLE 1112 0 12800 FBL Financial Group Inc Common Stock 30239F106 3002 67014 SH SOLE 67014 0 0 Federal Realty Investment Trust Common Stock 313747206 582 5742 SH SOLE 0 0 5742 FedEx Corporation Common Stock 31428X106 762 5300 SH SOLE 1580 0 3720 Fid/Claymore MLP Opportunity Common ETF 31647Q106 2789 109547 SH SOLE 60294 0 49253 Fifth Third Bancorp Coporate Bond 316773100 1425 67763 SH SOLE 67263 0 500 Financial Select Sector SPDR ETF 81369Y605 1700 77790 SH SOLE 13920 0 63870 First BanCorp Common Stock 318672706 305 49319 SH SOLE 49319 0 0 First Horizon National Corp Common Stock 320517105 128 10947 SH SOLE 10947 0 0 First Trust Biotech Index Common Stock 33733E203 747 10800 SH SOLE 3150 0 7650 First Trust Senior FR Inc II Common ETF 33733U108 191 13140 SH SOLE 13140 0 0 Fiserv, Inc. Common Stock 337738108 1124 19036 SH SOLE 2800 0 16236 FlexShares Mstar Gbl Upstrm Nat Res ETF ETF 33939L407 980 28554 SH SOLE 20285 0 8269 Flowserve Corporation Common Stock 34354P105 1291 16376 SH SOLE 14235 0 2141 Ford Motor Co Common Stock 345370860 1297 84038 SH SOLE 62438 0 21600 Ford Mtr Co Del Coporate Bond 345370CN8 366 2000 SH SOLE 2000 0 0 Freeport-McMoran Copper & Gold Common Stock 35671D857 1281 33954 SH SOLE 12700 0 21254 Gabelli Equity Trust Common ETF 362397101 132 17040 SH SOLE 2630 0 14410 GameStop Corp Common Stock 36467W109 2051 41637 SH SOLE 38060 0 3577 Genco Shipping Convertible Bond 36869maa3 14718 290000 SH SOLE 280000 0 10000 General Electric Co Coporate Bond 369604103 27108 967117 SH SOLE 575322 0 391795 General Mills, Inc. Common Stock 370334104 1033 20705 SH SOLE 20555 0 150 GigOptix, Inc. Common Stock 37517Y103 210 137152 SH SOLE 0 0 137152 Gilead Sciences Inc Common Stock 375558AN3 331 1000 SH SOLE 1000 0 0 Gladstone Capital Corp Common Stock 376535100 1653 172770 SH SOLE 119260 0 53510 Gladstone Commercial Common Stock 376536108 10621 591036 SH SOLE 296820 0 294216 GlaxoSmithKline PLC Common Stock 37733W105 231 4325 SH SOLE 2725 0 1600 Goldman Sachs Group Inc Coporate Bond 38141G104 9269 52289 SH SOLE 39835 0 12454 Google, Inc. Common Stock 38259P508 40493 36132 SH SOLE 25042 0 11090 Gorman-Rupp Common Stock 383082104 313 9375 SH SOLE 9375 0 0 Government Properties Common Stock 38376A103 852 34275 SH SOLE 11700 0 22575 Grupo Televisa, S.A.B. Common Stock 40049J206 390 12898 SH SOLE 8335 0 4563 Guggenheim Frontier Markets ETF ETF 18383Q838 546 33664 SH SOLE 32690 0 974 Guggenheim Raymond James SB-1 Equity ETF 18383M613 260 7750 SH SOLE 3950 0 3800 Guggenheim S&P 500 Equal Weight ETF 78355W106 5747 80655 SH SOLE 69660 0 10995 Guggenheim S&P Midcap 400 Pure Growth ETF 78355W601 1798 14609 SH SOLE 7201 0 7408 Gulfport Energy Corporation Common Stock 402635304 203 3221 SH SOLE 2857 0 364 Halcon Resources Corp Common Stock 40537Q209 52 13437 SH SOLE 3437 0 10000 Halliburton Company Common Stock 406216101 488 9614 SH SOLE 7791 0 1823 Halozyme Therapeutics, Inc. Common Stock 40637H109 210 14002 SH SOLE 10000 0 4002 Hanesbrands Inc Common Stock 410345102 809 11515 SH SOLE 10557 0 958 Hartford Financial Wts Warrants 416515120 385 14000 SH SOLE 9000 0 5000 Health Care REIT, Inc. Common Stock 42217K106 4682 87393 SH SOLE 59333 0 28060 Health Care Select Sector SPDR ETF 81369Y209 11739 211742 SH SOLE 209142 0 2600 Healthcare Trust of America Inc Common Stock 42225P105 1184 120374 SH SOLE 57055 0 63319 Helmerich & Payne, Inc. Common Stock 423452101 279 3317 SH SOLE 3304 0 13 Hertz Global Holdings Inc Common Stock 42805T105 6652 232415 SH SOLE 93400 0 139015 Hess Corp Common Stock 42809H107 1795 21631 SH SOLE 3447 0 18184 Hewlett-Packard Co Common Stock 428236103 2689 96089 SH SOLE 53864 0 42225 Holly Energy Partners LP Common Stock 435763107 1937 59900 SH SOLE 33600 0 26300 Hollyfrontier Corp Common Stock 436106108 1551 31207 SH SOLE 24209 0 6998 Hologic Inc Common Stock 436440AC5 206 2000 SH SOLE 2000 0 0 Home Depot, Inc. Common Stock 437076102 3632 44115 SH SOLE 24773 0 19342 Home Properties, Inc. Common Stock 437306103 6361 118632 SH SOLE 75055 0 43577 Honeywell International, Inc. Common Stock 438516106 1777 19446 SH SOLE 11884 0 7562 HSBC Holdings PLC Common Stock 404280406 1491 27041 SH SOLE 19498 0 7543 Idex Corporation Common Stock 45167R104 407 5515 SH SOLE 4687 0 828 IHS Inc. Common Stock 451734107 3314 27685 SH SOLE 3255 0 24430 Illinois Tool Works Inc Common Stock 452308109 7455 88667 SH SOLE 19598 0 69069 Intel Corp Coporate Bond 458140AD2 560 5000 SH SOLE 5000 0 0 Intel Corp Coporate Bond 458140100 8075 311103 SH SOLE 154687 0 156416 Intercontinental Hotels Group PLC Common Stock 45857P400 1269 37950 SH SOLE 26749 0 11201 International Business Machines Corp Common Stock 459200101 18372 97949 SH SOLE 63229 0 34720 International Game Technology Common Stock 459902AQ5 318 3000 SH SOLE 3000 0 0 International Paper Common Stock 460146103 716 14609 SH SOLE 13054 0 1555 Intuitive Surgical, Inc. Common Stock 46120E602 2551 6642 SH SOLE 900 0 5742 Invesco Value Muni Income Common ETF 46132P108 312 23095 SH SOLE 15774 0 7321 iPath S&P 500 Dynamic VIX ETN ETF 06741L609 445 13200 SH SOLE 12750 0 450 Iron Mtn Inc Common Stock 462846106 979 32268 SH SOLE 3484 0 28784 iShares 10-20 Year Treasury Bond ETF 464288653 6717 55549 SH SOLE 55135 0 414 iShares 1-3 Year Credit Bond ETF 464288646 1232 11685 SH SOLE 10022 0 1663 iShares 1-3 Year Treasury Bond ETF 464287457 11243 133239 SH SOLE 96746 0 36494 iShares 7-10 Year Treasury Bond ETF 464287440 261 2635 SH SOLE 2364 0 271 iShares All Asia ex-Japan ETF 464288182 1397 23159 SH SOLE 15149 0 8010 iShares China Large-Cap ETF 464287184 241 6272 SH SOLE 2196 0 4076 iShares Core MSCI EAFE ETF 46432F842 334 5500 SH SOLE 5500 0 0 iShares Core MSCI Emerging Market ETF 46434G103 21767 437008 SH SOLE 393257 0 43751 iShares Core S&P 500 ETF 464287200 74598 401819 SH SOLE 369777 0 32042 iShares Core S&P Mid-Cap ETF 464287507 13754 102788 SH SOLE 83263 0 19524 iShares Core S&P Small-Cap ETF 464287804 17872 163767 SH SOLE 144941 0 18826 iShares Core Total Aggregate US Bond ETF 464287226 26357 247644 SH SOLE 220793 0 26851 iShares Credit Bond ETF 464288620 13522 126491 SH SOLE 95699 0 30792 iShares Dow Jones U.S. HealthCare ETF 464288828 334 3585 SH SOLE 300 0 3285 iShares Dow Jones US ETF 464287846 2272 24341 SH SOLE 22946 0 1395 iShares Dow Jones US Oil & Gas Exp ETF 464288851 952 11569 SH SOLE 8535 0 3034 iShares Global Financials ETF 464287333 473 8417 SH SOLE 5744 0 2673 iShares iBoxx $ Invst Grade Crp Bond ETF 464287242 309 2707 SH SOLE 0 0 2707 iShares Intermediate Credit Bd ETF 464288638 359 3325 SH SOLE 0 0 3325 iShares International Dev Rel Est ETF 464288489 348 11293 SH SOLE 11293 0 0 iShares International Select Div ETF 464288448 5842 153976 SH SOLE 112777 0 41199 iShares Intm Government/Credit Bond ETF 464288612 698 6380 SH SOLE 6380 0 0 iShares JPMorgan USD Emerg Markets Bond ETF 464288281 1591 14714 SH SOLE 14291 0 423 iShares Lehman 3-7 Yr Treasury Bond (ETF) ETF 464288661 368 3063 SH SOLE 1463 0 1600 iShares MBS ETF 464288588 20409 195169 SH SOLE 148404 0 46764 iShares Micro-Cap ETF 464288869 2826 37616 SH SOLE 33660 0 3956 iShares MSCI Canada ETF 464286509 8058 276351 SH SOLE 214839 0 61512 iShares MSCI EAFE ETF 464287465 55749 830903 SH SOLE 706071 0 124832 iShares MSCI EAFE Growth ETF 464288885 21634 302658 SH SOLE 291687 0 10971 iShares MSCI EAFE Small-Cap ETF 464288273 10260 201265 SH SOLE 174185 0 27080 iShares MSCI EAFE Value ETF 464288877 24060 420635 SH SOLE 405729 0 14906 iShares MSCI Emerging Market Min Vol Index ETF 464286533 527 9038 SH SOLE 0 0 9038 iShares MSCI Emerging Markets ETF 464287234 2190 52409 SH SOLE 8564 0 43845 iShares MSCI Japan ETF 464286848 9807 807905 SH SOLE 643380 0 164524 iShares MSCI Singapore ETF 464286673 2529 192030 SH SOLE 146935 0 45095 Ishares Nasdaq Biotechnology ETF 464287556 240 1055 SH SOLE 995 0 60 iShares National AMT-Free Muni Bond ETF 464288414 7224 69636 SH SOLE 60496 0 9140 iShares North American Natural Resources ETF 464287374 1367 31512 SH SOLE 20901 0 10611 iShares Russell 1000 ETF 464287622 1250 12119 SH SOLE 5504 0 6615 iShares Russell 1000 Growth ETF 464287614 11470 133449 SH SOLE 124678 0 8771 iShares Russell 1000 Value ETF 464287598 383 4064 SH SOLE 1678 0 2386 iShares Russell 2000 ETF 464287655 39250 340236 SH SOLE 279936 0 60300 iShares Russell 2000 Growth Index Fund ETF 464287648 237 1750 SH SOLE 1000 0 750 iShares Russell 3000 ETF 464287689 809 7314 SH SOLE 3657 0 3657 iShares Russell Mid-Cap ETF 464287499 950 6332 SH SOLE 2514 0 3818 iShares Russell Mid-Cap Growth ETF 464287481 812 9620 SH SOLE 5759 0 3861 iShares Russell Mid-Cap Value ETF 464287473 851 12944 SH SOLE 11938 0 1006 iShares S&P 100 ETF 464287101 4915 59687 SH SOLE 55423 0 4264 iShares S&P 500 Growth ETF 464287309 277 2808 SH SOLE 300 0 2508 iShares S&P Global Large-Cap 100 ETF 464287572 270 3500 SH SOLE 700 0 2800 iShares S&P Global Utilities ETF ETF 464288711 1226 27756 SH SOLE 27756 0 0 iShares S&P MidCap 400 Growth ETF 464287606 3143 20926 SH SOLE 7041 0 13885 iShares S&P Mid-Cap 400 Value ETF 464287705 932 8021 SH SOLE 3396 0 4625 iShares S&P Small-Cap 600 Growth ETF 464287887 28614 241245 SH SOLE 230749 0 10496 iShares S&P Small-Cap 600 Value ETF 464287879 264 2376 SH SOLE 0 0 2376 iShares Select Dividend ETF 464287168 7922 111033 SH SOLE 82407 0 28625 iShares TIPS Bond ETF 464287176 54043 491747 SH SOLE 468694 0 23053 iShares US Energy ETF 464287796 57204 1132977 SH SOLE 908523 0 224454 iShares US Healthcare ETF 464287762 57414 492864 SH SOLE 394968 0 97896 iShares US Industrials ETF 464287754 59418 586094 SH SOLE 468407 0 117687 iShares US Pharmaceuticals ETF 464288836 354 3000 SH SOLE 3000 0 0 iShares US Preferred Stock ETF 464288687 5970 162090 SH SOLE 144671 0 17419 iShares US Technology ETF 464287721 64334 727428 SH SOLE 580907 0 146521 iShares US Utilities ETF 464287697 255 2661 SH SOLE 1870 0 791 Istar Financial In Common Stock 45031U101 208 14600 SH SOLE 7800 0 6800 Jarden Corp. Common Stock 471109108 1670 27223 SH SOLE 26173 0 1050 Jefferies Group 3.875% Due 11-1-29 Convertible Bond 472319ag7 24804 235000 SH SOLE 222000 0 13000 JH Preferred Income II Common ETF 41013X106 507 28350 SH SOLE 16800 0 11550 Johnson & Johnson Coporate Bond 478160104 17323 189141 SH SOLE 114527 0 74614 Jpmorgan Alerian Mlp Index Etn ETF 46625H365 2696 58165 SH SOLE 53599 0 4566 JPMorgan Chase & Co Coporate Bond 46625H100 23607 403669 SH SOLE 351191 0 52478 JPMorgan Chase Wts Warrants 46634E114 10976 566076 SH SOLE 281600 0 284476 JTH Holding Inc Common Stock 46637N103 510 21000 SH SOLE 21000 0 0 Kbr, Inc. Common Stock 48242W106 2911 91275 SH SOLE 27750 0 63525 Kellogg Company Common Stock 487836108 670 10973 SH SOLE 4690 0 6283 KeyCorp Common Stock 493267108 1172 87308 SH SOLE 62308 0 25000 Kimberly-Clark Corporation Common Stock 494368103 2324 22245 SH SOLE 19875 0 2370 Kinder Morgan Energy Partners LP Common Stock 494550106 11841 146801 SH SOLE 95053 0 51748 Kinder Morgan Inc Del Wt Exp 021517 Rights 49456B119 223 54850 SH SOLE 8000 0 46850 Kinder Morgan Mgmt LLC Common Stock 49455U100 4736 62590 SH SOLE 37323 0 25267 Kinder Morgan, Inc. Common Stock 49456B101 8540 237209 SH SOLE 126860 0 110349 Kindred Healthcare, Inc. Common Stock 494580103 689 34879 SH SOLE 20093 0 14786 KKR & CO L P DEL COM UNITS Common Stock 48248m102 1619 66525 SH SOLE 44850 0 21675 KKR Financial Holding Common Stock 48248A306 1500 123041 SH SOLE 95041 0 28000 KLA-Tencor Corporation Convertible Bond 482480100 379 5873 SH SOLE 5866 0 7 Kohl's Corp Convertible Bond 500255104 2385 42027 SH SOLE 32374 0 9653 Kosmos Energy Ltd Convertible Bond G5315B107 701 62724 SH SOLE 46111 0 16613 Kraft Foods Group Inc Common Stock 50076Q106 7042 130626 SH SOLE 68851 0 61775 Kroger Co Common Stock 501044101 310 7854 SH SOLE 7820 0 34 L-3 Communications Corp Convertible Bond 502413AW7 241 2000 SH SOLE 2000 0 0 Laboratory Corp. Of America ETF 50540R409 6257 68477 SH SOLE 36721 0 31756 Las Vegas Sands Corp Common Stock 517834107 11699 148333 SH SOLE 148333 0 0 Liberty Media Corp Convertible Bond 530715AN1 211 4000 SH SOLE 4000 0 0 Limelight Networks, Inc. Common Stock 53261M104 55 27993 SH SOLE 0 0 27993 Lincoln National Corp (Radnor, PA) Common Stock 534187109 347 6726 SH SOLE 6623 0 103 LKQ Corp Common Stock 501889208 12842 390336 SH SOLE 390247 0 89 Lockheed Martin Corporation Common Stock 539830109 9535 64137 SH SOLE 34449 0 29688 Lowe's Companies Inc. Common Stock 548661107 11081 223635 SH SOLE 220020 0 3615 Lyondellbasell Industries NV Common Stock N53745100 5858 72970 SH SOLE 46168 0 26802 Magellan Midstream Partners L.P Common Stock 559080106 14277 225655 SH SOLE 174679 0 50976 Magnum Hunter Resources Common Stock 55973B102 576 78785 SH SOLE 0 0 78785 Manulife Financial Corporation Common Stock 56501R106 365 18520 SH SOLE 14078 0 4442 Market Vectors Intermediate Muni ETF ETF 57060U845 1415 64334 SH SOLE 40605 0 23729 MarkWest Energy Partners LP Common Stock 570759100 328 4960 SH SOLE 3120 0 1840 Marriott International, Inc. Common Stock 571903202 1006 20380 SH SOLE 16363 0 4017 MasterCard Incorporated Common Stock 57636Q104 12469 14925 SH SOLE 2725 0 12200 Materials Select Sector SPDR ETF 81369Y100 58091 1256827 SH SOLE 1011084 0 245743 Mattel, Inc. Common Stock 577081102 1280 26901 SH SOLE 24248 0 2653 McDermott International, Inc. Common Stock 580037109 410 44800 SH SOLE 6000 0 38800 McDonald's Corporation Common Stock 580135101 5920 61007 SH SOLE 39943 0 21064 Mead Johnson Nutrition Co. Common Stock 582839106 374 4462 SH SOLE 1340 0 3122 MeadWestvaco Corporation Common Stock 583334107 384 10396 SH SOLE 8910 0 1486 Medtronic, Inc. Common Stock 585055106 3092 53882 SH SOLE 26638 0 27244 Melco Crown Entertainment Ltd Common Stock 585464100 873 22250 SH SOLE 16595 0 5655 Memorial Production Partners LP Common Stock 586048100 2154 98168 SH SOLE 39068 0 59100 Merck & Co Inc Common Stock 58933Y105 12584 251421 SH SOLE 124882 0 126539 MetLife Inc Coporate Bond 59156R108 18986 352108 SH SOLE 321666 0 30442 Microsoft Corporation Common Stock 594918104 19128 511305 SH SOLE 445104 0 66201 Mkt Vectors Pre-Ref Muni Bond ETF ETF 57060u738 363 14841 SH SOLE 14841 0 0 Mondelez International Inc Common Stock 609207105 9947 281787 SH SOLE 116165 0 165622 Monsanto Company Common Stock 61166W101 6718 57642 SH SOLE 21682 0 35960 Moody's Corporation Common Stock 615369105 204 2600 SH SOLE 2600 0 0 Mosaic Co Common Stock 61945C103 5873 124241 SH SOLE 48585 0 75656 Mosaic Co. Common Stock 61945c103 5873 124241 SH SOLE 48585 0 75656 MSCI Inc Common Stock 55354G100 911 20830 SH SOLE 800 0 20030 Mylan Inc Common Stock 628530107 360 8306 SH SOLE 8280 0 26 Myriad Genetics, Inc. Common Stock 62855J104 7868 375033 SH SOLE 375033 0 0 National Oilwell Varco, Inc. Common Stock 637071101 2390 30056 SH SOLE 17368 0 12688 NBT BANCORP INC COM Common Stock 628778102 840 32422 SH SOLE 0 0 32422 NetApp, Inc. Common Stock 64110D104 5150 125171 SH SOLE 124771 0 400 NetScout Systems Inc Common Stock 64115T104 896 30266 SH SOLE 4800 0 25466 Netsuite Inc. Common Stock 64118Q107 1375 13350 SH SOLE 5500 0 7850 New Gold, Inc. Common Stock 644535106 60 11377 SH SOLE 7110 0 4267 New Residential Investment Corp Common Stock 64828T102 241 36092 SH SOLE 29258 0 6834 Newfield Exploration Company Common Stock 651290108 421 17093 SH SOLE 14763 0 2330 Newmont Mining Corp Convertible Bond 651639AJ5 307 3000 SH SOLE 3000 0 0 NICE-Systems, Ltd. Common Stock 653656108 1061 25898 SH SOLE 18508 0 7390 Nike, Inc. Common Stock 654106103 7136 90739 SH SOLE 79732 0 11007 Nippon Telegraph & Telephone Corp Common Stock 654624105 693 25633 SH SOLE 18849 0 6784 Noble Corporation PLC Common Stock G65431101 1642 43811 SH SOLE 6305 0 37506 Noble Corporation PLC Common Stock g65431101 1642 43811 SH SOLE 6305 0 37506 Norfolk Southern Corporation Common Stock 655844108 317 3418 SH SOLE 401 0 3017 Northern Trust Corp Common Stock 665859104 2250 36351 SH SOLE 10818 0 25533 Northstar Realty Finance Corporation Common Stock 66704R100 293 21820 SH SOLE 17723 0 4097 Novartis AG Common Stock 66987V109 1871 23280 SH SOLE 19520 0 3760 Novo Nordisk A/S Common Stock 670100205 2519 13635 SH SOLE 12550 0 1085 Nucor Corp. Common Stock 670346105 282 5286 SH SOLE 3750 0 1536 Nuvasive Inc Convertible Bond 670704AC9 218 2000 SH SOLE 2000 0 0 Nuveen Dividend Advantage Common ETF 67066V101 390 30993 SH SOLE 26213 0 4780 Nuveen Enhanced Muni Value Common ETF 67074M101 467 36000 SH SOLE 36000 0 0 Nuveen Floating Rate Income Fund ETF 67072T108 2082 174628 SH SOLE 174628 0 0 Nuveen Ga Div Adv Mun Fd 2 ETF 67072B107 750 63925 SH SOLE 39658 0 24267 Nuveen Insd Divid Advantage ETF 67071L106 182 14500 SH SOLE 14500 0 0 Nuveen Performance Plus Muni Common ETF 67062P108 575 42500 SH SOLE 24600 0 17900 Nuveen Premium Income Muni 2 Common ETF 67063W102 330 26315 SH SOLE 26315 0 0 Nuveen Premium Income Muni 4 Common ETF 6706K4105 171 14087 SH SOLE 14087 0 0 Nuveen Select TaxFree Income 2 Common ETF 67063C106 305 24700 SH SOLE 24700 0 0 Nuveen Select TaxFree Income Common ETF 67062F100 182 14102 SH SOLE 14102 0 0 Occidental Petroleum Corporation Common Stock 674599105 7008 73694 SH SOLE 36505 0 37189 Olin Corporation Common Stock 680665205 1704 59076 SH SOLE 39375 0 19701 Omnicare Inc Common Stock 681904108 369 6119 SH SOLE 6037 0 82 Omnicom Group, Inc. Common Stock 681919106 259 3482 SH SOLE 3482 0 0 Oracle Corporation Common Stock 68389X105 5803 151682 SH SOLE 75186 0 76496 Paccar Inc. Common Stock 693718108 2117 35785 SH SOLE 15764 0 20021 Pacific Ethanol, Inc. Common Stock 69423U305 140 27500 SH SOLE 0 0 27500 Panera Bread Company, Inc. Common Stock 69840W108 1220 6905 SH SOLE 5405 0 1500 Parker Hannifin Corporation Common Stock 701094104 7065 54922 SH SOLE 45377 0 9545 Partner Communications Company, Ltd. Common Stock 70211M109 122 13044 SH SOLE 8243 0 4801 Paychex, Inc. Common Stock 704326107 2914 64009 SH SOLE 52986 0 11023 Peabody Energy 4.75% (subordinated) Convertible Bond 704549ag9 5565 70000 SH SOLE 60000 0 10000 PepsiCo Inc Coporate Bond 713448108 32029 386172 SH SOLE 285726 0 100446 Pfizer Inc Common Stock 717081103 10179 332337 SH SOLE 191193 0 141144 PG&E Corp Preferred Stock 69331C108 207 5141 SH SOLE 5093 0 48 Philip Morris International, Inc. Common Stock 718172109 8141 93437 SH SOLE 58777 0 34660 Phillips 66 Common Stock 718546104 260 3375 SH SOLE 390 0 2985 Phoenix New Media Ltd Common Stock 71910C103 374 38876 SH SOLE 29068 0 9808 Piedmont Office Realty Trust, Inc. Common Stock 720190206 253 15327 SH SOLE 15276 0 51 PIMCO Enhanced Short Maturity ETF ETF 72201R833 28741 283664 SH SOLE 244620 0 39044 PIMCO High Income Fund Common ETF 722014107 222 19036 SH SOLE 19036 0 0 PIMCO Municipal Income II Common ETF 72200W106 117 11008 SH SOLE 11008 0 0 Pioneer Natural Resources Company Common Stock 723787107 608 3301 SH SOLE 3301 0 0 Plains All American Pipeline LP Common Stock 726503105 13896 268426 SH SOLE 186400 0 82026 Platinum Underwriters Holdings, Ltd. Common Stock G7127P100 770 12566 SH SOLE 9401 0 3165 Pmc Commercial Trus Common Stock 693434102 120 13900 SH SOLE 10000 0 3900 PNC Financial Services Group Inc Common Stock 693475105 612 7884 SH SOLE 2250 0 5634 PNC Financial Services Warrants 12/31/18 Warrants 693475121 791 44550 SH SOLE 13100 0 31450 Polaris Industries, Inc. Common Stock 731068102 222 1526 SH SOLE 1526 0 0 Potlatch Corp Common Stock 737630103 649 15553 SH SOLE 15553 0 0 Power Solutions International Inc Common Stock 73933G202 214 2850 SH SOLE 0 0 2850 Powershares DB Commodity Index ETF 73935S105 380 14798 SH SOLE 14014 0 784 PowerShares Emerging Mkts Sovereign Debt ETF 73936T573 6827 252869 SH SOLE 188127 0 64741 PowerShares QQQ ETF 73935A104 827 9404 SH SOLE 7150 0 2254 Powershares Senior Loan Port ETF 73936Q769 821 32994 SH SOLE 23094 0 9900 PowerShares VRDO Tax-Free Weekly ETF 73936T433 1349 54000 SH SOLE 52000 0 2000 Praxair, Inc. Common Stock 74005P104 5950 45757 SH SOLE 18897 0 26860 Precision Castparts Corp. Common Stock 740189105 296 1100 SH SOLE 1100 0 0 Procter & Gamble Co Coporate Bond 742718109 36594 449504 SH SOLE 324631 0 124873 Qualcomm, Inc. Common Stock 747525103 26655 358986 SH SOLE 217024 0 141962 Questcor Pharmaceuticals, Inc. Common Stock 74835Y101 8353 153413 SH SOLE 153345 0 68 Radiant Logistics, Inc. Common Stock 75025X100 306 114000 SH SOLE 114000 0 0 Rait Financial Trust Common Stock 749227609 167 18638 SH SOLE 15103 0 3535 Ralph Lauren Corp Common Stock 751212101 3752 21247 SH SOLE 19305 0 1942 Rayonier, Inc. Common Stock 754907103 1600 38000 SH SOLE 24400 0 13600 Raytheon Company Common Stock 755111507 720 7937 SH SOLE 1162 0 6775 Realty Income Corporation Common Stock 756109104 5932 158904 SH SOLE 87364 0 71540 Regions Financial Corporation Common Stock 7591EP100 117 11832 SH SOLE 7139 0 4693 Research Frontiers Common Stock 760911107 191 33088 SH SOLE 33088 0 0 Retail Properties of American Inc Common Stock 76131V202 783 61519 SH SOLE 53192 0 8327 Rockwell Collins, Inc. Common Stock 774341101 332 4496 SH SOLE 2863 0 1633 Rogers Communications Inc-B Common Stock 775109200 1041 23015 SH SOLE 23015 0 0 Ross Stores, Inc. Common Stock 778296103 233 3107 SH SOLE 2885 0 222 Rowan Companies PLC Common Stock G7665A101 413 11670 SH SOLE 11670 0 0 Royal Dutch Shell PLC Common Stock 780259206 16885 236919 SH SOLE 160047 0 76872 Rpm International, Inc. Common Stock 749685103 953 22950 SH SOLE 21950 0 1000 Sabine Royalty Trust Common Stock 785688102 1073 21219 SH SOLE 16036 0 5183 Safeway Inc. Common Stock 786514208 652 20013 SH SOLE 18546 0 1467 San Juan Basin Royalty Common Stock 798241105 392 23400 SH SOLE 9000 0 14400 Sangamo BioSciences, Inc. Common Stock 800677106 277 19944 SH SOLE 19944 0 0 Sanofi Common Stock 80105N105 1140 21259 SH SOLE 21259 0 0 Schlumberger NV Common Stock 806857108 19339 214616 SH SOLE 184605 0 30011 Schwab Emerging Markets Equity ETF ETF 808524706 460 18698 SH SOLE 15120 0 3578 Schwab Intermediate-Term U.S. Trsy ETF ETF 808524854 526 10097 SH SOLE 581 0 9516 Schwab International Equity ETF ETF 808524805 475 15065 SH SOLE 12627 0 2438 Schwab U.S. Broad Market ETF ETF 808524102 89279 1983538 SH SOLE 1729272 0 254266 Schwab U.S. Dividend Equity ETF ETF 808524797 3502 95516 SH SOLE 59638 0 35878 Schwab U.S. Large-Cap ETF ETF 808524201 516 11717 SH SOLE 8260 0 3457 Schwab U.S. Large-Cap Growth ETF ETF 808524300 7988 176567 SH SOLE 138557 0 38010 Schwab U.S. Large-Cap Value ETF ETF 808524409 8333 204579 SH SOLE 161759 0 42820 Schwab U.S. Mid-Cap ETF ETF 808524508 5134 137120 SH SOLE 111250 0 25870 Schwab U.S. Small-Cap ETF ETF 808524607 3712 70711 SH SOLE 56839 0 13872 Seadrill Ltd Common Stock G7945E105 394 9595 SH SOLE 9595 0 0 Seattle Genetics, Inc. Common Stock 812578102 330 8265 SH SOLE 8108 0 157 Sherwin-Williams Company Common Stock 824348106 262 1429 SH SOLE 1179 0 250 Siemens AG Common Stock 826197501 1802 13009 SH SOLE 10695 0 2314 Simon Property Group Inc Common Stock 828806109 560 3678 SH SOLE 3055 0 623 SK Telecom Co., Ltd. Common Stock 78440P108 514 20866 SH SOLE 15592 0 5274 Skilled Healthcare Group, Inc. Common Stock 83066R107 3200 665295 SH SOLE 658295 0 7000 SLM Corp Common Stock 78442P106 3401 129425 SH SOLE 118326 0 11099 Solar Capital Ltd. Common Stock 83413U100 1129 50068 SH SOLE 50068 0 0 SONIC CORP COM Common Stock 835451105 202 10000 SH SOLE 10000 0 0 Sonoco Products Company Common Stock 835495102 732 17553 SH SOLE 17553 0 0 Sothebys Common Stock 835898107 551 10350 SH SOLE 0 0 10350 Southern Co Common Stock 842587107 1554 37809 SH SOLE 29836 0 7973 SPDR Barclays 1-3 Month T-Bill ETF 78464A680 2592 56629 SH SOLE 56629 0 0 SPDR Barclays High Yield Bond ETF 78464A417 951 23450 SH SOLE 22118 0 1332 SPDR Dow Jones Industrial Average ETF 78467X109 715 4321 SH SOLE 3321 0 1000 SPDR Dow Jones Intl Real Estate ETF 78463X863 1029 24982 SH SOLE 24982 0 0 SPDR EURO STOXX 50 ETF 78463X202 321 7600 SH SOLE 7600 0 0 SPDR Gold Shares ETF 78463V107 621 5348 SH SOLE 2847 0 2501 SPDR Kbw Regional Banking (ETF) ETF 78464A698 1068 26300 SH SOLE 16400 0 9900 SPDR Nuveen Barclays Capital Muni Bond ETF 78464A458 4104 182000 SH SOLE 130030 0 51970 SPDR Nuveen Barclays Capital S/T Muni Bd ETF 78464A425 346 14237 SH SOLE 437 0 13800 SPDR S&P 500 ETF 78462F103 11419 61826 SH SOLE 59740 0 2086 SPDR S&P Dividend ETF ETF 78464A763 20300 279542 SH SOLE 279084 0 458 SPDR S&P Homebuilders (ETF) Common Stock 78464A888 263 7900 SH SOLE 6600 0 1300 SPDR S&P International Dividend ETF 78463X772 1820 38347 SH SOLE 38347 0 0 SPDR S&P International Small Cap ETF 78463X871 571 17017 SH SOLE 17017 0 0 SPDR S&P MidCap 400 ETF 78467Y107 3355 13739 SH SOLE 12598 0 1141 St Jude Medical, Inc. Common Stock 790849103 12546 202515 SH SOLE 201791 0 724 Stanley Black & Decker Inc Common Stock 854502101 1167 14465 SH SOLE 11473 0 2992 Starbucks Corporation Common Stock 855244109 18708 238650 SH SOLE 179902 0 58748 Stericycle, Inc. Common Stock 858912108 7733 66562 SH SOLE 7084 0 59478 STONECASTLE FINL CORP COM Common Stock 861780104 5145 209500 SH SOLE 134000 0 75500 Stryker Corporation Common Stock 863667101 519 6912 SH SOLE 1612 0 5300 Suburban Propane Partners LP Common Stock 864482104 480 10232 SH SOLE 9232 0 1000 Sumitomo Mitsui Financial Group Inc Common Stock 86562M209 832 79336 SH SOLE 60047 0 19289 Suncor Energy Inc Common Stock 867224107 1783 50882 SH SOLE 39246 0 11636 Sunoco Logistics Partners LP Common Stock 86764L108 1917 25400 SH SOLE 22000 0 3400 Sunpower Corp Convertible Bond 867652AE9 842 6000 SH SOLE 6000 0 0 Synergetics USA, Inc. Common Stock 87160G107 501 138460 SH SOLE 138460 0 0 T. Rowe Price Group Common Stock 74144T108 1607 19187 SH SOLE 3844 0 15343 Target Corp Coporate Bond 87612E106 10053 158894 SH SOLE 149431 0 9463 Taubman Centers, Inc. Common Stock 876664103 229 3578 SH SOLE 2871 0 707 TCW Strategic Income Common ETF 872340104 191 35858 SH SOLE 35858 0 0 TE Connectivity Ltd Common Stock H84989104 344 6250 SH SOLE 6250 0 0 Technology Select Sector SPDR ETF 81369Y803 903 25253 SH SOLE 23954 0 1299 Terex Corp Common Stock 880779103 667 15880 SH SOLE 14790 0 1090 Terex Corp New Convertible Bond 880779AV5 257 1000 SH SOLE 1000 0 0 Tesoro Logistics LP Common Stock 88160T107 262 5000 SH SOLE 5000 0 0 Teva Pharmaceutical Fin Llc Convertible Bond 88163VAE9 315 3000 SH SOLE 3000 0 0 Teva Pharmaceutical Industries Ltd Common Stock 881624209 272 6788 SH SOLE 850 0 5938 The Blackstone Group Common Stock 09253u108 3971 126075 SH SOLE 76800 0 49275 The Whitewave Foods Company Common Stock 966244105 3410 148642 SH SOLE 41592 0 107050 Thermo Fisher Scientific Inc Common Stock 883556102 12798 114933 SH SOLE 54169 0 60764 Thomson Reuters Corporation Common Stock 884903105 2441 64538 SH SOLE 60119 0 4419 Thor Industries, Inc. Common Stock 885160101 388 7027 SH SOLE 6073 0 954 Tidewater, Inc. Common Stock 886423102 369 6222 SH SOLE 5293 0 929 Time Warner Inc Common Stock 887317303 910 13048 SH SOLE 2198 0 10850 Timken Company Common Stock 887389104 372 6758 SH SOLE 5736 0 1022 Tortoise Energy Infrastructure Common ETF 89147L100 1061 22249 SH SOLE 22249 0 0 Towers Watson & Co. Common Stock 891894107 1484 11630 SH SOLE 9694 0 1936 Transocean Ltd. Common Stock H8817H100 247 4997 SH SOLE 500 0 4497 Travelers Companies, Inc. Common Stock 89417E109 1790 19774 SH SOLE 17984 0 1790 Trimble Navigation Ltd. Common Stock 896239100 2959 85267 SH SOLE 14964 0 70303 Trinity Biotech PLC ADR Common Stock 896438306 3688 146700 SH SOLE 54950 0 91750 Trinity Industries, Inc. Common Stock 896522109 559 10259 SH SOLE 8930 0 1329 TriState Capital Holdings Inc Common Stock 89678F100 325 27375 SH SOLE 27375 0 0 Triumph Group, Inc. Common Stock 896818101 478 6279 SH SOLE 6182 0 97 Two Harbors Investment Corp Common Stock 90187B101 139 14957 SH SOLE 14165 0 792 Tyco International Ltd Common Stock H89128104 268 6541 SH SOLE 6250 0 291 Tyler Technologies In Common Stock 902252105 4753 46543 SH SOLE 37393 0 9150 U.S. Bancorp Common Stock 902973304 746 18472 SH SOLE 12387 0 6085 UBS AG Common Stock H89231338 736 38250 SH SOLE 28262 0 9988 Unilever NV Common Stock 904784709 314 7802 SH SOLE 6549 0 1253 Unilever PLC Common Stock 904767704 2495 60560 SH SOLE 42987 0 17573 Union Pacific Corp Common Stock 907818108 1152 6859 SH SOLE 4458 0 2401 United Bankshares Inc. Common Stock 909907107 7765 246905 SH SOLE 148730 0 98175 United Parcel Service Inc (UPS) Common Stock 911312106 16331 155415 SH SOLE 147686 0 7729 United Technologies 7.5% Conv Pfd Preferred Stock 913017117 1872 28600 SH SOLE 20100 0 8500 United Technologies Corp Common Stock 913017109 11672 102566 SH SOLE 67828 0 34738 UnitedHealth Group Inc Coporate Bond 91324P102 2503 33238 SH SOLE 12700 0 20538 URS Corporation Common Stock 903236107 6112 115339 SH SOLE 113960 0 1379 Valmont Industries Inc Common Stock 920253101 260 1741 SH SOLE 700 0 1041 Vanguard Dividend Appreciation ETF ETF 921908844 5617 74653 SH SOLE 61819 0 12834 Vanguard Energy ETF ETF 92204A306 3229 25540 SH SOLE 25413 0 127 Vanguard FTSE All-World ex-US ETF ETF 922042775 2257 44497 SH SOLE 44497 0 0 Vanguard FTSE Developed Markets ETF ETF 921943858 247 5920 SH SOLE 4071 0 1849 Vanguard FTSE Emerging Markets ETF ETF 922042858 14813 360063 SH SOLE 327298 0 32765 Vanguard FTSE Pacific ETF ETF 922042866 494 8052 SH SOLE 40 0 8012 Vanguard Growth ETF ETF 922908736 1711 18387 SH SOLE 14617 0 3770 Vanguard Health Care ETF ETF 92204A504 610 6033 SH SOLE 5703 0 330 Vanguard Index Fds S&P 500 ETF ETF 922908363 1508 8915 SH SOLE 1400 0 7515 Vanguard Information Technology ETF ETF 92204A702 358 4000 SH SOLE 3000 0 1000 Vanguard Interm-Tm Corp Bd Idx ETF ETF 92206C870 520 6290 SH SOLE 3570 0 2720 Vanguard Materials ETF ETF 92204A801 2672 25875 SH SOLE 22492 0 3383 Vanguard Mid-Cap ETF ETF 922908629 4467 40600 SH SOLE 38712 0 1888 Vanguard REIT Index ETF ETF 922908553 6458 100029 SH SOLE 88973 0 11056 Vanguard Russell 1000 Growth Index ETF ETF 92206C680 16438 186481 SH SOLE 182493 0 3988 Vanguard Russell 1000 Value Index ETF ETF 92206C714 5500 66811 SH SOLE 65477 0 1334 Vanguard S&P Small-Cap 600 Index ETF ETF 921932828 639 6498 SH SOLE 6498 0 0 Vanguard Short-Term Bond ETF ETF 921937827 4291 53679 SH SOLE 37082 0 16597 Vanguard Shrt-Term Corp Bond ETF ETF 92206C409 2623 32878 SH SOLE 26186 0 6692 Vanguard Small Cap ETF ETF 922908751 3874 35237 SH SOLE 33875 0 1362 Vanguard Small Cap Growth ETF ETF 922908595 3526 28828 SH SOLE 20380 0 8448 Vanguard Small Cap Value ETF ETF 922908611 269 2765 SH SOLE 0 0 2765 Vanguard Telecom Services ETF ETF 92204A884 2842 33972 SH SOLE 25334 0 8638 Vanguard Total Bond Market ETF ETF 921937835 1016 12694 SH SOLE 7177 0 5517 Vanguard Total Stock Market ETF ETF 922908769 4621 48176 SH SOLE 19657 0 28519 Vanguard Total World Stock Index ETF ETF 922042742 397 6688 SH SOLE 6688 0 0 Verizon Communications Inc Coporate Bond 92343V104 2748 55928 SH SOLE 30387 0 25541 Viacom, Inc. Common Stock 92553P201 368 4214 SH SOLE 3555 0 659 Visa, Inc. Common Stock 92826C839 19379 87024 SH SOLE 84314 0 2710 Vodafone Group PLC Common Stock 92857W209 18742 476782 SH SOLE 424289 0 52493 Vulcan Materials Company Common Stock 929160109 521 8766 SH SOLE 0 0 8766 W. P. Carey Inc Common Stock 92936U109 442 7200 SH SOLE 7171 0 29 W.W. Grainger, Inc. Common Stock 384802104 1892 7408 SH SOLE 3305 0 4103 Walgreen Company Common Stock 931422109 3509 61094 SH SOLE 16772 0 44322 Wal-Mart Stores Inc Common Stock 931142103 2635 33492 SH SOLE 27929 0 5563 Walt Disney Co Common Stock 254687106 3932 51466 SH SOLE 25654 0 25812 Waste Management Inc Common Stock 94106L109 2560 57053 SH SOLE 48980 0 8073 Weingarten Realty Investors Common Stock 948741103 414 15089 SH SOLE 12052 0 3037 WellPoint Inc Coporate Bond 94973V107 395 4280 SH SOLE 4280 0 0 Wells Fargo & Co Preferred Stock 949746101 6447 142009 SH SOLE 89552 0 52457 Wells Fargo & Co Warrants 10/28/18 Warrants 949746119 10197 641345 SH SOLE 348650 0 292695 Wells Fargo Pfd Conv 7.50% Ser Convertible Bond 949746804 833 750 SH SOLE 550 0 200 Wesco International, Inc. Common Stock 95082P105 487 5351 SH SOLE 5332 0 19 Western Union Company Common Stock 959802109 2507 145361 SH SOLE 116965 0 28396 Westport Innovations Common Stock 960908309 1393 71030 SH SOLE 35600 0 35430 Weyerhaeuser 6.375% CVPD Series A Preferred Stock 962166872 10305 183890 SH SOLE 103850 0 80040 Weyerhaeuser Co Coporate Bond 962166104 735 23290 SH SOLE 19174 0 4116 Whirlpool Corporation Common Stock 963320106 336 2141 SH SOLE 2134 0 7 Whole Foods Market, Inc. Common Stock 966837106 2814 48665 SH SOLE 17390 0 31275 Williams Company Common Stock 969457100 1578 40922 SH SOLE 16097 0 24825 Williams Partners LP Common Stock 96950F104 1628 32000 SH SOLE 20000 0 12000 WisdomTree Earnings 500 ETF 97717W588 501 7776 SH SOLE 0 0 7776 WisdomTree Emerging Markets Equity Inc ETF 97717W315 3184 62387 SH SOLE 48298 0 14089 WisdomTree Emerging Mkts SmallCap Div ETF 97717W281 266 5775 SH SOLE 0 0 5775 WisdomTree Equity Income ETF 97717W208 537 9751 SH SOLE 9751 0 0 WisdomTree International LargeCap Div ETF 97717W794 2010 38683 SH SOLE 28782 0 9901 WisdomTree SmallCap Dividend ETF 97717W604 4275 63056 SH SOLE 60886 0 2170 WisdomTree SmallCap Earnings ETF 97717W562 361 4427 SH SOLE 348 0 4079 Wyndham Worldwide Corporation Common Stock 98310W108 201 2721 SH SOLE 2721 0 0 Wynn Resorts Ltd Common Stock 983134107 266 1372 SH SOLE 1061 0 311 Xerox Corporation Common Stock 984121103 416 34209 SH SOLE 6301 0 27908 Xilinx Inc Sr Nt 2.625% 06/15/17 B/E Dtd 06/09/10 Convertible Bond 983919AF8 323 2000 SH SOLE 2000 0 0 XL Group PLC Common Stock G98290102 644 20236 SH SOLE 14897 0 5339 XPO Logistics Inc Common Stock 983793100 3040 115628 SH SOLE 26018 0 89610 Xylem Inc. Common Stock 98419M100 1566 45255 SH SOLE 8075 0 37180 Yahoo! Inc Common Stock 984332106 425 10510 SH SOLE 10019 0 491 Yum Brands Inc Common Stock 988498101 14008 185268 SH SOLE 100142 0 85126 Zimmer Holdings, Inc. Common Stock 98956P102 2304 24723 SH SOLE 19490 0 5233