0001476417-11-000009.txt : 20111208 0001476417-11-000009.hdr.sgml : 20111208 20111208100322 ACCESSION NUMBER: 0001476417-11-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20111208 DATE AS OF CHANGE: 20111208 EFFECTIVENESS DATE: 20111208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SummitAlliance Capital Management, LLC CENTRAL INDEX KEY: 0001476417 IRS NUMBER: 752966280 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13751 FILM NUMBER: 111250002 BUSINESS ADDRESS: STREET 1: 14785 PRESTON ROAD, STE. 1000 CITY: DALLAS STATE: TX ZIP: 75254 BUSINESS PHONE: 972-663-4300 MAIL ADDRESS: STREET 1: 14785 PRESTON ROAD, STE. 1000 CITY: DALLAS STATE: TX ZIP: 75254 13F-HR 1 form13fhr-Q22011.txt 1 form13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06/30/2011 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: SummitAlliance Capital Management, LLC Address: 14785 Preston Rd Suite 1000 Dallas Tx, 75254 Form 13F File Number: 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Stan Hall Title: Chief Compliance Officer Phone: 972-663-4351 Signature, Place, and Date of Signing: /s/ Stan Hall Dallas, TX 12/07/2011 --------------------------------- --------------------------------- ---------- [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: 13F File Number Name --------------- --------------------------------------------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 179 Form 13F Information Table Value Total: $ 269,358 -------------- (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 ------------------------------ ------------------- --------- -------- ---------- --- ---- ---------- -------- ---- ------ ---------- ISHARES TR BARCLYS CR BD 464288620 1999 18964 SH SOLE 0 0 18964 * HUGOTON RTY TR TEX UNIT BEN INT 444717102 586 25780 SH SOLE 0 0 25780 * JOHNSON & JOHNSON COM 478160104 2273 34169 SH SOLE 0 0 34169 * ALTRIA GROUP INC COM 02209S103 348 13187 SH SOLE 0 0 13187 NUVEEN MUN VALUE FD INC COM 670928100 823 88886 SH SOLE 0 0 88886 * POWERSHARES QQQ TRUST UNIT SER 1 73935A104 2227 39032 SH SOLE 0 0 39032 * SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4241 119351 SH SOLE 0 0 119351 * SERVICE CORP INTL COM 817565104 166 14204 SH SOLE 0 0 14204 PIMCO MUN INCOME FD II COM 72200W106 119 11269 SH SOLE 0 0 11269 * VANGUARD INDEX FDS REIT ETF 922908553 651 10836 SH SOLE 0 0 10836 * SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1313 35265 SH SOLE 0 0 35265 * ISHARES TR BARCLYS TIPS BD 464287176 1726 15603 SH SOLE 0 0 15603 * DIREXION SHS ETF TR 7 10YR TRES BULL 25459W565 3715 64038 SH SOLE 0 0 64038 * PROCTER & GAMBLE CO COM 742718109 1399 22013 SH SOLE 0 0 22013 * TEREX CORP NEW COM 880779103 338 11871 SH SOLE 0 0 11871 * GENERAL ELECTRIC CO COM 369604103 589 31252 SH SOLE 0 0 31252 * BE AEROSPACE INC COM 073302101 491 12025 SH SOLE 0 0 12025 * BRIGHAM EXPLORATION CO COM 109178103 427 14250 SH SOLE 0 0 14250 * CBS CORP NEW CL B 124857202 563 19769 SH SOLE 0 0 19769 * BEMIS INC COM 081437105 520 15389 SH SOLE 0 0 15389 * GENUINE PARTS CO COM 372460105 892 16399 SH SOLE 0 0 16399 * PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 605 17856 SH SOLE 0 0 17856 NUVEEN INSD DIVID ADVANTAGE COM 67071L106 1017 73417 SH SOLE 0 0 73417 * MCDONALDS CORP COM 580135101 1304 15469 SH SOLE 0 0 15469 * NOVARTIS A G SPONSORED ADR 66987V109 651 10651 SH SOLE 0 0 10651 * FOCUS MEDIA HLDG LTD SPONSOR ADR 34415V109 374 12032 SH SOLE 0 0 12032 * ISHARES TR BARCLYS 3-7 YR 464288661 16437 140364 SH SOLE 0 0 140364 * ONEOK INC NEW COM 682680103 767 10358 SH SOLE 0 0 10358 * PHILIP MORRIS INTL INC COM 718172109 1492 22344 SH SOLE 0 0 22344 EATON VANCE TX ADV GLBL DIV COM 27828S101 159 10419 SH SOLE 0 0 10419 * CHEVRON CORP NEW COM 166764100 3900 37927 SH SOLE 0 0 37927 * QUESTAR CORP COM 748356102 401 22618 SH SOLE 0 0 22618 * ISHARES TR MSCI EAFE INDEX 464287465 2272 37779 SH SOLE 0 0 37779 * SPDR SERIES TRUST S&P DIVID ETF 78464A763 2512 46472 SH SOLE 0 0 46472 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 760 36590 SH SOLE 0 0 36590 * INFORMATICA CORP COM 45666Q102 628 10747 SH SOLE 0 0 10747 * ISHARES TR IBOXX INV CPBD 464287242 3297 29936 SH SOLE 0 0 29936 * SILVER WHEATON CORP COM 828336107 567 17180 SH SOLE 0 0 17180 * RF MICRODEVICES INC COM 749941100 69 11305 SH SOLE 0 0 11305 NUVEEN PREM INCOME MUN FD COM 67062T100 215 16230 SH SOLE 0 0 16230 * MEDTRONIC INC COM 585055106 547 14186 SH SOLE 0 0 14186 * CHENIERE ENERGY INC COM NEW 16411R208 207 22600 SH SOLE 0 0 22600 * FIFTH STREET FINANCE CORP COM 31678A103 0 18100 SH SOLE 0 0 18100 * XCEL ENERGY INC COM 98389B100 1392 57297 SH SOLE 0 0 57297 * SPDR SERIES TRUST S&P PHARMAC 78464A722 1309 25718 SH SOLE 0 0 25718 * SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3712 110882 SH SOLE 0 0 110882 * EXELON CORP COM 30161N101 720 16811 SH SOLE 0 0 16811 * ANNALY CAP MGMT INC COM 035710409 547 30304 SH SOLE 0 0 30304 * ISHARES TR HIGH YLD CORP 464288513 1745 19111 SH SOLE 0 0 19111 * ISHARES TR DJ US ENERGY 464287796 960 22300 SH SOLE 0 0 22300 * CHESAPEAKE ENERGY CORP COM 165167107 414 13945 SH SOLE 0 0 13945 * CLAYMORE EXCHANGE TRD FD TR GUG MULTI ASSET 18383M506 1521 70727 SH SOLE 0 0 70727 * POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 1236 58248 SH SOLE 0 0 58248 * SAMSON OIL & GAS LTD SPON ADR 796043107 179 60500 SH SOLE 0 0 60500 BLACKROCK MUNICIPL INC QLTY COM 092479104 367 26903 SH SOLE 0 0 26903 * FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 374 12032 SH SOLE 0 0 12032 * WASTE MGMT INC DEL COM 94106L109 0 18600 SH SOLE 0 0 18600 NUVEEN QUALITY PFD INCOME FD COM 67072C105 99 11750 SH SOLE 0 0 11750 * CISCO SYS INC COM 17275R102 629 40314 SH SOLE 0 0 40314 * ISHARES TR BARCLY USAGG B 464287226 10018 93913 SH SOLE 0 0 93913 * NOVARTIS A G SPONSORED ADR 66987V109 651 10651 SH SOLE 0 0 10651 BEACON FED BANCORP INC COM 073582108 166 12000 SH SOLE 0 0 12000 * ISHARES TR BARCLYS 1-3YR CR 464288646 4773 45476 SH SOLE 0 0 45476 * HONEYWELL INTL INC COM 438516106 782 13129 SH SOLE 0 0 13129 * GLOBAL INDS LTD COM 379336100 220 40110 SH SOLE 0 0 40110 * GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 873 26066 SH SOLE 0 0 26066 * SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1364 18105 SH SOLE 0 0 18105 BLACKROCK EQUITY DIV TRUST COM 09250N107 206 20379 SH SOLE 0 0 20379 * WAL MART STORES INC COM 931142103 4778 89910 SH SOLE 0 0 89910 * ISHARES TR CONS GOODS IDX 464287812 1215 17606 SH SOLE 0 0 17606 * ISHARES TR BARCLYS 1-3 YR 464287457 20863 247484 SH SOLE 0 0 247484 NUVEEN TAX FREE ADV MUN FD COM 670657105 140 10180 SH SOLE 0 0 10180 NUVEEN DIVID ADVANTAGE MUN F COM 67066V101 150 11370 SH SOLE 0 0 11370 * NASDAQ OMX GROUP INC COM 631103108 318 12568 SH SOLE 0 0 12568 * ISHARES TR DJ US REAL EST 464287739 1738 28817 SH SOLE 0 0 28817 GEOPETRO RESOURCES CO COM 37248H304 11 28000 SH SOLE 0 0 28000 NUVEEN NY SELECT QUALITY MUN COM 670976109 465 32523 SH SOLE 0 0 32523 POWERSHARES ETF TRUST II GLOBL AGRI ETF 73936Q702 569 17352 SH SOLE 0 0 17352 * MARATHON OIL CORP COM 565849106 975 18517 SH SOLE 0 0 18517 * POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 782 28859 SH SOLE 0 0 28859 * BROOKFIELD OFFICE PPTYS INC COM 112900105 369 19117 SH SOLE 0 0 19117 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 211 16409 SH SOLE 0 0 16409 * ISHARES TR RUSSELL1000GRW 464287614 2841 46658 SH SOLE 0 0 46658 * ALPS ETF TR ALERIAN MLP 00162Q866 572 35647 SH SOLE 0 0 35647 * ISHARES TR BARCLYS 20+ YR 464287432 5231 55594 SH SOLE 0 0 55594 * ABBOTT LABS COM 002824100 1504 28573 SH SOLE 0 0 28573 NEUBERGER BERMAN INTER MUNI COM 64124P101 218 15410 SH SOLE 0 0 15410 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 1211 33961 SH SOLE 0 0 33961 * POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 2194 75771 SH SOLE 0 0 75771 * HALLIBURTON CO COM 406216101 544 10668 SH SOLE 0 0 10668 * HORMEL FOODS CORP COM 440452100 805 27016 SH SOLE 0 0 27016 ING RISK MANAGED NAT RES FD COM 449810100 178 11519 SH SOLE 0 0 11519 ALLIED MOTION TECHNOLOGIES I COM 019330109 314 57676 SH SOLE 0 0 57676 * E M C CORP MASS COM 268648102 400 14515 SH SOLE 0 0 14515 * PEPSICO INC COM 713448108 1148 16300 SH SOLE 0 0 16300 * ISHARES TR MSCI EMERG MKT 464287234 1281 26918 SH SOLE 0 0 26918 * SMUCKER J M CO COM NEW 832696405 856 11199 SH SOLE 0 0 11199 * CB RICHARD ELLIS GROUP INC CL A 12497T101 317 12610 SH SOLE 0 0 12610 * VANGUARD NATURAL RESOURCES L COM UNIT 92205F106 1264 44950 SH SOLE 0 0 44950 * PROSHARES TR PSHS ULSHT SP500 74347R883 314 15196 SH SOLE 0 0 15196 * PAYCHEX INC COM 704326107 418 13601 SH SOLE 0 0 13601 * SAMSON OIL & GAS LTD SPON ADR 796043107 179 60500 SH SOLE 0 0 60500 * BRISTOL MYERS SQUIBB CO COM 110122108 807 27853 SH SOLE 0 0 27853 * NORTH AMERN PALLADIUM LTD COM 656912102 0 20000 SH SOLE 0 0 20000 NUVEEN TEX QUALITY INCOME MU COM 670983105 1190 78457 SH SOLE 0 0 78457 * TENET HEALTHCARE CORP COM 88033G100 81 13007 SH SOLE 0 0 13007 * XILINX INC COM 983919101 753 20657 SH SOLE 0 0 20657 * BP PLC SPONSORED ADR 055622104 577 13033 SH SOLE 0 0 13033 * CONOCOPHILLIPS COM 20825C104 3692 49108 SH SOLE 0 0 49108 * RIVERBED TECHNOLOGY INC COM 768573107 747 18856 SH SOLE 0 0 18856 * UNITED NAT FOODS INC COM 911163103 459 10764 SH SOLE 0 0 10764 * ISHARES TR DJ US TELECOMM 464287713 827 33220 SH SOLE 0 0 33220 PROSHARES TR ULTR 7-10 TREA 74347R180 7679 88781 SH SOLE 0 0 88781 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 579 579000 PRN SOLE 0 0 579000 * VANGUARD BD INDEX FD INC INTERMED TERM 921937819 1769 21068 SH SOLE 0 0 21068 * ISHARES TR RUSSELL 2000 464287655 13149 158800 SH SOLE 0 0 158800 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 177 12984 SH SOLE 0 0 12984 EATON VANCE MUN BD FD COM 27827X101 826 67191 SH SOLE 0 0 67191 * ENCANA CORP COM 292505104 900 29240 SH SOLE 0 0 29240 * LILLY ELI & CO COM 532457108 730 19443 SH SOLE 0 0 19443 * PULTE GROUP INC COM 745867101 332 43382 SH SOLE 0 0 43382 * ISHARES TR RUSSELL MCP VL 464287473 1829 38309 SH SOLE 0 0 38309 * ISHARES TR COHEN&ST RLTY 464287564 2867 39539 SH SOLE 0 0 39539 HSBC USA INC S&P CTI ETN 23 4042EP602 0 39574 SH SOLE 0 0 39574 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 714 714000 PRN SOLE 0 0 714000 MFS INVT GRADE MUN TR SH BEN INT 59318B108 177 19067 SH SOLE 0 0 19067 * CENTURYLINK INC COM 156700106 495 12250 SH SOLE 0 0 12250 UNITED STS COMMODITY INDEX F C 911717106 825 12950 SH SOLE 0 0 12950 * ATMOS ENERGY CORP COM 049560105 545 16391 SH SOLE 0 0 16391 NUVEEN NY QUALITY INCM MUN F COM 670986108 493 34622 SH SOLE 0 0 34622 * KRAFT FOODS INC CL A 50075N104 605 17181 SH SOLE 0 0 17181 * FORD MTR CO DEL COM PAR $0.01 345370860 486 35265 SH SOLE 0 0 35265 * SPDR GOLD TRUST GOLD SHS 78463V107 5860 40140 SH SOLE 0 0 40140 * PERMIAN BASIN RTY TR UNIT BEN INT 714236106 316 14594 SH SOLE 0 0 14594 * KIMBERLY CLARK CORP COM 494368103 813 12220 SH SOLE 0 0 12220 * BANK OF AMERICA CORPORATION COM 060505104 924 84285 SH SOLE 0 0 84285 * BERKLEY W R CORP COM 084423102 384 11822 SH SOLE 0 0 11822 NUVEEN NY PERFORM PLUS MUN F COM 67062R104 278 19189 SH SOLE 0 0 19189 * PETROLEO BRASILEIRO SA PETRO ADR 71654V408 605 17856 SH SOLE 0 0 17856 * ISHARES TR BARCLYS 7-10 YR 464287440 8600 89710 SH SOLE 0 0 89710 NUVEEN DIV ADV MUNI FD 3 COM SH BEN INT 67070X101 263 19067 SH SOLE 0 0 19067 * WELLS FARGO & CO NEW COM 949746101 576 20515 SH SOLE 0 0 20515 * HASBRO INC COM 418056107 546 12427 SH SOLE 0 0 12427 * PROTECTIVE LIFE CORP COM 743674103 306 13246 SH SOLE 0 0 13246 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 709 52905 SH SOLE 0 0 52905 * INTEL CORP COM 458140100 2890 130399 SH SOLE 0 0 130399 * EXXON MOBIL CORP COM 30231G102 6912 84937 SH SOLE 0 0 84937 * SPDR GOLD TRUST GOLD SHS 78463V107 5860 40140 SH SOLE 0 0 40140 * PROSPECT CAPITAL CORPORATION COM 74348T102 250 24693 SH SOLE 0 0 24693 * VANGUARD NATURAL RESOURCES L UNIT 92205F106 1264 44950 SH SOLE 0 0 44950 * SYSCO CORP COM 871829107 548 17580 SH SOLE 0 0 17580 * SCANA CORP NEW COM 80589M102 754 19147 SH SOLE 0 0 19147 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 6997 124078 SH SOLE 0 0 124078 * ISHARES TR RUSL 2000 GROW 464287648 1463 15429 SH SOLE 0 0 15429 DREYFUS STRATEGIC MUN BD FD COM 26202F107 1140 142516 SH SOLE 0 0 142516 * VERIZON COMMUNICATIONS INC 92343V104 731 19627 SH SOLE 0 0 19627 * ISHARES TR RUSSELL MCP GR 464287481 2130 34453 SH SOLE 0 0 34453 * BP PLC SPONSORED ADR 055622104 577 13033 SH SOLE 0 0 13033 FIRST TR MID CAP CORE ALPHAD C SHS 33735B108 1211 33961 SH SOLE 0 0 33961 * FRONTIER COMMUNICATIONS CORP 35906A108 85 10492 SH SOLE 0 0 10492 * AT&T INC COM 00206R102 1895 60322 SH SOLE 0 0 60322 * PFIZER INC COM 717081103 3032 147175 SH SOLE 0 0 147175 * SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 1869 46476 SH SOLE 0 0 46476 NUVEEN DIV ADV MUNI FD 3 COM SH BEN INT 67070X101 263 19067 SH SOLE 0 0 19067 * AFLAC INC COM 001055102 838 17946 SH SOLE 0 0 17946 * HYPERDYNAMICS CORP COM 448954107 109 25300 SH SOLE 0 0 25300 BLACKROCK MUNI 2018 TERM TR COM 09248C106 228 14407 SH SOLE 0 0 14407 * MICROSOFT CORP COM 594918104 2243 86266 SH SOLE 0 0 86266 * ISHARES TR RUSL 2000 VALU 464287630 1427 19445 SH SOLE 0 0 19445 * LEVEL 3 COMMUNICATIONS INC 52729N100 52 21350 SH SOLE 0 0 21350 * WESTERN UN CO COM 959802109 469 23423 SH SOLE 0 0 23423 * SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1278 83273 SH SOLE 0 0 83273 JA SOLAR HOLDINGS CO LTD NOTE 4.500% 5/1 466090AA5 454 454000 PRN SOLE 0 0 454000 * SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1271 31611 SH SOLE 0 0 31611 * ISHARES TR RUSSELL1000VAL 464287598 2166 31726 SH SOLE 0 0 31726 * CHIMERA INVT CORP COM 16934Q109 207 59955 SH SOLE 0 0 59955 * ARCHER DANIELS MIDLAND CO COM 039483102 664 22012 SH SOLE 0 0 22012 * STARBUCKS CORP COM 855244109 520 13165 SH SOLE 0 0 13165 * QEP RES INC COM 74733V100 854 20418 SH SOLE 0 0 20418