0001085146-13-000107.txt : 20130123 0001085146-13-000107.hdr.sgml : 20130123 20130123090647 ACCESSION NUMBER: 0001085146-13-000107 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130123 DATE AS OF CHANGE: 20130123 EFFECTIVENESS DATE: 20130123 FILER: COMPANY DATA: COMPANY CONFORMED NAME: IFC Holdings Incorporated/FL CENTRAL INDEX KEY: 0001492375 IRS NUMBER: 592195688 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13972 FILM NUMBER: 13541640 BUSINESS ADDRESS: STREET 1: 8745 HENDERSON RD STREET 2: SUITE 300 CITY: TAMPA STATE: FL ZIP: 33634 BUSINESS PHONE: 813-880-5311 MAIL ADDRESS: STREET 1: 8745 HENDERSON RD STREET 2: SUITE 300 CITY: TAMPA STATE: FL ZIP: 33634 13F-HR 1 nph_ifc4q2012.txt IFC HOLDINGS INCORPORATED/FL DBA INVEST FINANCIAL CORPORATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2012 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: IFC Holdings Incorporated/FL dba INVEST Financial Corporation Address: 8745 Henderson Road, Suite 300 Tampa, FL 33634 13F File Number: 028-13972 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Gabe Ayala Title: AVP Compliance Phone: 813-880-5311 Signature, Place, and Date of Signing: /s/ Gabe Ayala Tampa, FL January 22, 2013 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 318 Form 13F Information Table Value Total: $324,288 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 01 028-03582 Prudential Plc 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 439 4817 SH DEFINED 01 0 0 4817 ABBOTT LABS COM 002824100 394 6106 SH DEFINED 01 0 0 6106 AFLAC INC COM 001055102 880 16921 SH DEFINED 01 0 0 16921 ALEXION PHARMACEUTICALS INC COM 015351109 646 6978 SH DEFINED 01 0 0 6978 ALLIANCE DATA SYSTEMS CORP COM 018581108 254 1762 SH DEFINED 01 0 0 1762 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 144 36329 SH DEFINED 01 0 0 36329 ALPS ETF TR ALERIAN MLP 00162Q866 267 16813 SH DEFINED 01 0 0 16813 ALTRIA GROUP INC COM 02209S103 1211 39055 SH DEFINED 01 0 0 39055 AMAZON COM INC COM 023135106 769 3164 SH DEFINED 01 0 0 3164 AMERICAN CAPITAL AGENCY CORP COM 02503X105 945 32612 SH DEFINED 01 0 0 32612 AMERICAN ELEC PWR INC COM 025537101 593 14210 SH DEFINED 01 0 0 14210 AMERICAN EXPRESS CO COM 025816109 266 4701 SH DEFINED 01 0 0 4701 AMERICAN INTL GROUP INC COM NEW 026874784 270 7776 SH DEFINED 01 0 0 7776 AMERICAN RLTY CAP TR INC COM 02917L101 4764 413664 SH DEFINED 01 0 0 413664 AMERICAN TOWER CORP NEW COM 03027X100 2154 28363 SH DEFINED 01 0 0 28363 AMGEN INC COM 031162100 1467 17145 SH DEFINED 01 0 0 17145 ANNALY CAP MGMT INC COM 035710409 755 54144 SH DEFINED 01 0 0 54144 APPLE INC COM 037833100 4329 8500 SH DEFINED 01 0 0 8500 ARM HLDGS PLC SPONSORED ADR 042068106 493 13300 SH DEFINED 01 0 0 13300 ASHLAND INC NEW COM 044209104 1934 24419 SH DEFINED 01 0 0 24419 AT&T INC COM 00206R102 2358 70902 SH DEFINED 01 0 0 70902 AUTOZONE INC COM 053332102 547 1567 SH DEFINED 01 0 0 1567 BANK OF AMERICA CORPORATION COM 060505104 540 47628 SH DEFINED 01 0 0 47628 BANK OF AMERICA CORPORATION COM 060505104 0 70000 SH CALL DEFINED 01 0 0 70000 BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 610 24220 SH DEFINED 01 0 0 24220 BARCLAYS BK PLC 10 YR TREAS BEAR 06740L451 1481 56624 SH DEFINED 01 0 0 56624 BAXTER INTL INC COM 071813109 700 10620 SH DEFINED 01 0 0 10620 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1135 12800 SH DEFINED 01 0 0 12800 BLACKROCK CORPOR HIGH YLD FD COM 09255L106 247 32389 SH DEFINED 01 0 0 32389 BLACKROCK ENHANCED GOVT FD I COM 09255K108 174 11000 SH DEFINED 01 0 0 11000 BLACKROCK FLOATING RATE INCO COM 091941104 427 28067 SH DEFINED 01 0 0 28067 BLACKROCK HIGH INCOME SHS SHS BEN INT 09250E107 30 13000 SH DEFINED 01 0 0 13000 BOEING CO COM 097023105 222 2964 SH DEFINED 01 0 0 2964 BOSTON BEER INC CL A 100557107 2144 16073 SH DEFINED 01 0 0 16073 BP PLC SPONSORED ADR 055622104 544 13257 SH DEFINED 01 0 0 13257 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 288 23979 SH DEFINED 01 0 0 23979 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 131 11000 SH DEFINED 01 0 0 11000 CANADIAN NAT RES LTD COM 136385101 555 19446 SH DEFINED 01 0 0 19446 CAPSTEAD MTG CORP PFD B CV $1.26 14067E308 198 14091 SH DEFINED 01 0 0 14091 CAPSTEAD MTG CORP COM NO PAR 14067E506 702 62203 SH DEFINED 01 0 0 62203 CATERPILLAR INC DEL COM 149123101 1933 22195 SH DEFINED 01 0 0 22195 CELGENE CORP COM 151020104 235 3000 SH DEFINED 01 0 0 3000 CF INDS HLDGS INC COM 125269100 661 3309 SH DEFINED 01 0 0 3309 CHESAPEAKE GRANITE WASH TR COM SH BEN INT 165185109 292 17230 SH DEFINED 01 0 0 17230 CHEVRON CORP NEW COM 166764100 1384 13011 SH DEFINED 01 0 0 13011 CHICOS FAS INC COM 168615102 574 32073 SH DEFINED 01 0 0 32073 CHIMERA INVT CORP COM 16934Q109 66 24502 SH DEFINED 01 0 0 24502 CIRRUS LOGIC INC COM 172755100 267 9800 SH DEFINED 01 0 0 9800 CISCO SYS INC COM 17275R102 694 35571 SH DEFINED 01 0 0 35571 CITIGROUP INC COM NEW 172967424 378 9698 SH DEFINED 01 0 0 9698 CLAYMORE EXCHANGE TRD FD TR GUGG INSDR SENT 18383M209 449 13185 SH DEFINED 01 0 0 13185 CLAYMORE EXCHANGE TRD FD TR GUGG CHN SML CAP 18383Q853 536 22862 SH DEFINED 01 0 0 22862 COCA COLA CO COM 191216100 832 23098 SH DEFINED 01 0 0 23098 COGNEX CORP COM 192422103 390 10832 SH DEFINED 01 0 0 10832 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 1810 25012 SH DEFINED 01 0 0 25012 COINSTAR INC COM 19259P300 1 20000 SH PUT DEFINED 01 0 0 20000 COLGATE PALMOLIVE CO COM 194162103 726 7045 SH DEFINED 01 0 0 7045 COMCAST CORP NEW CL A 20030N101 779 21429 SH DEFINED 01 0 0 21429 CONCHO RES INC COM 20605P101 304 3862 SH DEFINED 01 0 0 3862 CONOCOPHILLIPS COM 20825C104 670 11718 SH DEFINED 01 0 0 11718 CONSOLIDATED EDISON INC COM 209115104 294 5353 SH DEFINED 01 0 0 5353 COPANO ENERGY L L C COM UNITS 217202100 220 7074 SH DEFINED 01 0 0 7074 CORNING INC COM 219350105 179 14225 SH DEFINED 01 0 0 14225 COSTCO WHSL CORP NEW COM 22160K105 219 2240 SH DEFINED 01 0 0 2240 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 262 81613 SH DEFINED 01 0 0 81613 CROWN CASTLE INTL CORP COM 228227104 236 3340 SH DEFINED 01 0 0 3340 CSX CORP COM 126408103 221 11291 SH DEFINED 01 0 0 11291 CUMMINS INC COM 231021106 698 6613 SH DEFINED 01 0 0 6613 CVS CAREMARK CORPORATION COM 126650100 241 5024 SH DEFINED 01 0 0 5024 CYS INVTS INC COM 12673A108 377 31853 SH DEFINED 01 0 0 31853 D R HORTON INC COM 23331A109 1489 77242 SH DEFINED 01 0 0 77242 DAVITA HEALTHCARE PARTNERS I COM 23918K108 566 5146 SH DEFINED 01 0 0 5146 DEERE & CO COM 244199105 228 2696 SH DEFINED 01 0 0 2696 DELAWARE ENHANCED GBL DIV & COM 246060107 248 21415 SH DEFINED 01 0 0 21415 DIAGEO P L C SPON ADR NEW 25243Q205 372 3125 SH DEFINED 01 0 0 3125 DIGIMARC CORP NEW COM 25381B101 241 12073 SH DEFINED 01 0 0 12073 DISNEY WALT CO COM DISNEY 254687106 783 15822 SH DEFINED 01 0 0 15822 DNP SELECT INCOME FD COM 23325P104 363 40014 SH DEFINED 01 0 0 40014 DOLLAR TREE INC COM 256746108 384 9593 SH DEFINED 01 0 0 9593 DOMINOS PIZZA INC COM 25754A201 734 17100 SH DEFINED 01 0 0 17100 DU PONT E I DE NEMOURS & CO COM 263534109 416 9358 SH DEFINED 01 0 0 9358 DUKE ENERGY CORP NEW COM NEW 26441C204 339 5379 SH DEFINED 01 0 0 5379 E M C CORP MASS COM 268648102 452 18325 SH DEFINED 01 0 0 18325 EATON CORP PLC SHS G29183103 201 3788 SH DEFINED 01 0 0 3788 EATON VANCE TAX MNGD GBL DV COM 27829F108 548 63775 SH DEFINED 01 0 0 63775 EBAY INC COM 278642103 633 12736 SH DEFINED 01 0 0 12736 ELDORADO GOLD CORP NEW COM 284902103 443 35155 SH DEFINED 01 0 0 35155 EMERSON ELEC CO COM 291011104 398 7649 SH DEFINED 01 0 0 7649 EXELON CORP COM 30161N101 525 18042 SH DEFINED 01 0 0 18042 EXPEDIA INC DEL COM NEW 30212P303 1581 26477 SH DEFINED 01 0 0 26477 EXXON MOBIL CORP COM 30231G102 3334 39122 SH DEFINED 01 0 0 39122 FEDEX CORP COM 31428X106 425 4702 SH DEFINED 01 0 0 4702 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 484 12762 SH DEFINED 01 0 0 12762 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 415 18779 SH DEFINED 01 0 0 18779 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 498 19948 SH DEFINED 01 0 0 19948 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 1335 41371 SH DEFINED 01 0 0 41371 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 368 18772 SH DEFINED 01 0 0 18772 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 595 25016 SH DEFINED 01 0 0 25016 FIRST TR MULTI CAP VALUE ALP COM SHS 33733F101 1198 37223 SH DEFINED 01 0 0 37223 FIRST TR MULTI CP VAL ALPHA COM SHS 33733C108 1219 37685 SH DEFINED 01 0 0 37685 FIRST TR S&P REIT INDEX FD COM 33734G108 839 47672 SH DEFINED 01 0 0 47672 FLAHERTY & CRMN/CLYMR PFD SE COM SHS 338478100 2660 139644 SH DEFINED 01 0 0 139644 FLAHERTY & CRMRN CLYMRE T R COM 338479108 1140 57265 SH DEFINED 01 0 0 57265 FLEETCOR TECHNOLOGIES INC COM 339041105 567 10666 SH DEFINED 01 0 0 10666 FORD MTR CO DEL COM PAR $0.01 345370860 615 47926 SH DEFINED 01 0 0 47926 GABELLI EQUITY TR INC COM 362397101 605 110918 SH DEFINED 01 0 0 110918 GASCO ENERGY INC COM 367220100 1 12642 SH DEFINED 01 0 0 12642 GENERAL ELECTRIC CO COM 369604103 947 46455 SH DEFINED 01 0 0 46455 GENWORTH FINL INC COM CL A 37247D106 117 16280 SH DEFINED 01 0 0 16280 GIGAMEDIA LTD ORD Y2711Y104 12 13400 SH DEFINED 01 0 0 13400 GILEAD SCIENCES INC COM 375558103 1953 26979 SH DEFINED 01 0 0 26979 GOOGLE INC CL A 38259P508 347 495 SH DEFINED 01 0 0 495 HAIN CELESTIAL GROUP INC COM 405217100 1523 28790 SH DEFINED 01 0 0 28790 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 389 18199 SH DEFINED 01 0 0 18199 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 857 64106 SH DEFINED 01 0 0 64106 HARTFORD FINL SVCS GROUP INC DEP CONV PFD 416515708 1053 52188 SH DEFINED 01 0 0 52188 HATTERAS FINL CORP COM 41902R103 203 8280 SH DEFINED 01 0 0 8280 HEALTHCARE TR AMER INC CL A 42225P105 399 40514 SH DEFINED 01 0 0 40514 HEINZ H J CO COM 423074103 547 9578 SH DEFINED 01 0 0 9578 HERSHEY CO COM 427866108 651 9062 SH DEFINED 01 0 0 9062 HOME DEPOT INC COM 437076102 1363 22608 SH DEFINED 01 0 0 22608 HUNT J B TRANS SVCS INC COM 445658107 1784 30419 SH DEFINED 01 0 0 30419 HYPERDYNAMICS CORP COM 448954107 76 129467 SH DEFINED 01 0 0 129467 IAC INTERACTIVECORP COM PAR $.001 44919P508 393 8500 SH DEFINED 01 0 0 8500 ING GLOBAL EQTY DIV & PREM O COM 45684E107 1225 143590 SH DEFINED 01 0 0 143590 INTEL CORP COM 458140100 333 16464 SH DEFINED 01 0 0 16464 INTERNATIONAL BUSINESS MACHS COM 459200101 977 5167 SH DEFINED 01 0 0 5167 INTL PAPER CO COM 460146103 230 5900 SH DEFINED 01 0 0 5900 INVESCO MUN OPPORTUNITY TR COM 46132C107 520 35785 SH DEFINED 01 0 0 35785 INVESCO MUN TR COM 46131J103 603 41822 SH DEFINED 01 0 0 41822 INVESCO PA VALUE MUN INCOME COM 46132K109 681 44800 SH DEFINED 01 0 0 44800 INVESCO TR INVT GRADE MUNS COM 46131M106 192 12700 SH DEFINED 01 0 0 12700 ISHARES GOLD TRUST ISHARES 464285105 2763 171309 SH DEFINED 01 0 0 171309 ISHARES INC MSCI CHILE INVES 464286640 465 7408 SH DEFINED 01 0 0 7408 ISHARES SILVER TRUST ISHARES 46428Q109 382 12965 SH DEFINED 01 0 0 12965 ISHARES TR DJ SEL DIV INX 464287168 358 6323 SH DEFINED 01 0 0 6323 ISHARES TR BARCLYS TIPS BD 464287176 3999 32785 SH DEFINED 01 0 0 32785 ISHARES TR CORE S&P500 ETF 464287200 1658 11802 SH DEFINED 01 0 0 11802 ISHARES TR CORE TOTUSBD ETF 464287226 10013 89948 SH DEFINED 01 0 0 89948 ISHARES TR MSCI EMERG MKT 464287234 406 9328 SH DEFINED 01 0 0 9328 ISHARES TR IBOXX INV CPBD 464287242 2258 18564 SH DEFINED 01 0 0 18564 ISHARES TR S&P500 GRW 464287309 724 9725 SH DEFINED 01 0 0 9725 ISHARES TR S&P NA NAT RES 464287374 701 18925 SH DEFINED 01 0 0 18925 ISHARES TR BARCLYS 7-10 YR 464287440 553 5119 SH DEFINED 01 0 0 5119 ISHARES TR BARCLYS 1-3 YR 464287457 208 2486 SH DEFINED 01 0 0 2486 ISHARES TR MSCI EAFE INDEX 464287465 991 17779 SH DEFINED 01 0 0 17779 ISHARES TR RUSSELL MCP VL 464287473 704 14210 SH DEFINED 01 0 0 14210 ISHARES TR RUSSELL MCP GR 464287481 535 8709 SH DEFINED 01 0 0 8709 ISHARES TR RUSSELL MIDCAP 464287499 500 4518 SH DEFINED 01 0 0 4518 ISHARES TR CORE S&P MCP ETF 464287507 1569 15687 SH DEFINED 01 0 0 15687 ISHARES TR RUSSELL1000VAL 464287598 894 12505 SH DEFINED 01 0 0 12505 ISHARES TR S&P MC 400 GRW 464287606 214 1900 SH DEFINED 01 0 0 1900 ISHARES TR RUSSELL1000GRW 464287614 1681 26168 SH DEFINED 01 0 0 26168 ISHARES TR RUSSELL 2000 464287655 916 11084 SH DEFINED 01 0 0 11084 ISHARES TR DJ US TECH SEC 464287721 2296 33175 SH DEFINED 01 0 0 33175 ISHARES TR CORE S&P SCP ETF 464287804 2392 31119 SH DEFINED 01 0 0 31119 ISHARES TR DJ US INDEX FD 464287846 211 3000 SH DEFINED 01 0 0 3000 ISHARES TR S&P EURO PLUS 464287861 422 10883 SH DEFINED 01 0 0 10883 ISHARES TR JPMORGAN USD 464288281 533 4342 SH DEFINED 01 0 0 4342 ISHARES TR S&P NTL AMTFREE 464288414 386 3500 SH DEFINED 01 0 0 3500 ISHARES TR HIGH YLD CORP 464288513 934 10083 SH DEFINED 01 0 0 10083 ISHARES TR BARCLYS MBS BD 464288588 1280 11828 SH DEFINED 01 0 0 11828 ISHARES TR BARCLYS CR BD 464288620 2168 19053 SH DEFINED 01 0 0 19053 ISHARES TR BARCLYS INTER CR 464288638 1313 11841 SH DEFINED 01 0 0 11841 ISHARES TR BARCLYS 1-3YR CR 464288646 1841 17464 SH DEFINED 01 0 0 17464 ISHARES TR BARCLYS 3-7 YR 464288661 235 1914 SH DEFINED 01 0 0 1914 ISHARES TR US PFD STK IDX 464288687 898 22693 SH DEFINED 01 0 0 22693 ISHARES TR DJ HOME CONSTN 464288752 283 13665 SH DEFINED 01 0 0 13665 IVANHOE ENERGY INC COM 465790103 10 13900 SH DEFINED 01 0 0 13900 JETBLUE AIRWAYS CORP COM 477143101 211 37760 SH DEFINED 01 0 0 37760 JOHNSON & JOHNSON COM 478160104 1115 16042 SH DEFINED 01 0 0 16042 JOY GLOBAL INC COM 481165108 650 10576 SH DEFINED 01 0 0 10576 JPMORGAN CHASE & CO COM 46625H100 371 8576 SH DEFINED 01 0 0 8576 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 460 12154 SH DEFINED 01 0 0 12154 KIMBERLY CLARK CORP COM 494368103 219 2643 SH DEFINED 01 0 0 2643 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 590 7517 SH DEFINED 01 0 0 7517 KKR FINANCIAL HLDGS LLC COM 48248A306 304 28140 SH DEFINED 01 0 0 28140 KRAFT FOODS GROUP INC COM 50076Q106 224 5182 SH DEFINED 01 0 0 5182 LINN ENERGY LLC UNIT LTD LIAB 536020100 220 6236 SH DEFINED 01 0 0 6236 LULULEMON ATHLETICA INC COM 550021109 450 6097 SH DEFINED 01 0 0 6097 MARKET VECTORS ETF TR MV STEEL INDEX 57060U308 383 8268 SH DEFINED 01 0 0 8268 MASTERCARD INC CL A 57636Q104 616 1285 SH DEFINED 01 0 0 1285 MBIA INC COM 55262C100 117 14800 SH DEFINED 01 0 0 14800 MCDONALDS CORP COM 580135101 2382 27075 SH DEFINED 01 0 0 27075 MEDICAL PPTYS TRUST INC COM 58463J304 932 79255 SH DEFINED 01 0 0 79255 MERCER INTL INC COM 588056101 107 15000 SH DEFINED 01 0 0 15000 MERCK & CO INC NEW COM 58933Y105 655 16310 SH DEFINED 01 0 0 16310 MICROSOFT CORP COM 594918104 902 34012 SH DEFINED 01 0 0 34012 MIDDLEBY CORP COM 596278101 389 3083 SH DEFINED 01 0 0 3083 MONDELEZ INTL INC CL A 609207105 352 13765 SH DEFINED 01 0 0 13765 MONSANTO CO NEW COM 61166W101 434 4669 SH DEFINED 01 0 0 4669 NEXTERA ENERGY INC COM 65339F101 235 3449 SH DEFINED 01 0 0 3449 NUVEEN QUALITY PFD INCOME FD COM 67071S101 342 40262 SH DEFINED 01 0 0 40262 NXP SEMICONDUCTORS N V COM N6596X109 320 12666 SH DEFINED 01 0 0 12666 OCCIDENTAL PETE CORP DEL COM 674599105 385 5105 SH DEFINED 01 0 0 5105 OPENTABLE INC COM 68372A104 378 7750 SH DEFINED 01 0 0 7750 ORACLE CORP COM 68389X105 532 16164 SH DEFINED 01 0 0 16164 PANERA BREAD CO CL A 69840W108 256 1626 SH DEFINED 01 0 0 1626 PENGROWTH ENERGY CORP COM 70706P104 81 16721 SH DEFINED 01 0 0 16721 PEPSICO INC COM 713448108 500 7343 SH DEFINED 01 0 0 7343 PFIZER INC COM 717081103 1196 48205 SH DEFINED 01 0 0 48205 PHILIP MORRIS INTL INC COM 718172109 604 7332 SH DEFINED 01 0 0 7332 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 562 31373 SH DEFINED 01 0 0 31373 PIMCO CORPORATE & INCOME OPP COM 72201B101 204 10380 SH DEFINED 01 0 0 10380 PIMCO ETF TR TOTL RETN ETF 72201R775 922 8432 SH DEFINED 01 0 0 8432 PIMCO HIGH INCOME FD COM SHS 722014107 263 25281 SH DEFINED 01 0 0 25281 PIMCO INCOME STRATEGY FUND I COM 72201J104 136 12296 SH DEFINED 01 0 0 12296 PIMCO MUN INCOME FD II COM 72200W106 190 14500 SH DEFINED 01 0 0 14500 PIONEER FLOATING RATE TR COM 72369J102 755 57996 SH DEFINED 01 0 0 57996 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 730 16434 SH DEFINED 01 0 0 16434 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 1153 42015 SH DEFINED 01 0 0 42015 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 864 28396 SH DEFINED 01 0 0 28396 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 278 30016 SH DEFINED 01 0 0 30016 POWERSHARES ETF TRUST II KBW YIELD REIT 73936Q819 230 8212 SH DEFINED 01 0 0 8212 POWERSHARES GLOBAL ETF TRUST I-30 LAD TREAS 73936T524 623 18891 SH DEFINED 01 0 0 18891 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 227 11856 SH DEFINED 01 0 0 11856 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 171 11648 SH DEFINED 01 0 0 11648 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 393 12485 SH DEFINED 01 0 0 12485 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 297 4623 SH DEFINED 01 0 0 4623 PRAXAIR INC COM 74005P104 357 3306 SH DEFINED 01 0 0 3306 PROCTER & GAMBLE CO COM 742718109 1710 25544 SH DEFINED 01 0 0 25544 PRUDENTIAL FINL INC COM 744320102 0 30000 SH CALL DEFINED 01 0 0 30000 PUBLIC STORAGE COM 74460D109 865 6099 SH DEFINED 01 0 0 6099 PUBLIC SVC ENTERPRISE GROUP COM 744573106 293 9815 SH DEFINED 01 0 0 9815 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 93 17300 SH DEFINED 01 0 0 17300 QUALCOMM INC COM 747525103 642 10639 SH DEFINED 01 0 0 10639 RACKSPACE HOSTING INC COM 750086100 426 5819 SH DEFINED 01 0 0 5819 RESMED INC COM 761152107 639 15551 SH DEFINED 01 0 0 15551 RESOURCE CAP CORP COM 76120W302 87 15600 SH DEFINED 01 0 0 15600 ROCK-TENN CO CL A 772739207 1483 21430 SH DEFINED 01 0 0 21430 SALESFORCE COM INC COM 79466L302 1022 6211 SH DEFINED 01 0 0 6211 SANDISK CORP COM 80004C101 204 4700 SH DEFINED 01 0 0 4700 SANDRIDGE PERMIAN TR COM UNIT BEN INT 80007A102 1506 90744 SH DEFINED 01 0 0 90744 SCHLUMBERGER LTD COM 806857108 226 3329 SH DEFINED 01 0 0 3329 SEABRIDGE GOLD INC COM 811916105 1736 100240 SH DEFINED 01 0 0 100240 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1467 37194 SH DEFINED 01 0 0 37194 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1301 37709 SH DEFINED 01 0 0 37709 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1533 33080 SH DEFINED 01 0 0 33080 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2347 33604 SH DEFINED 01 0 0 33604 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1542 95309 SH DEFINED 01 0 0 95309 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1384 37167 SH DEFINED 01 0 0 37167 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 670 19456 SH DEFINED 01 0 0 19456 SHIP FINANCE INTERNATIONAL L SHS G81075106 366 22879 SH DEFINED 01 0 0 22879 SIRIUS XM RADIO INC COM 82967N108 294 101552 SH DEFINED 01 0 0 101552 SMITH A O COM 831865209 645 10427 SH DEFINED 01 0 0 10427 SOUTHERN CO COM 842587107 838 19869 SH DEFINED 01 0 0 19869 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 611 4719 SH DEFINED 01 0 0 4719 SPDR GOLD TRUST GOLD SHS 78463V107 1740 10859 SH DEFINED 01 0 0 10859 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 245 3248 SH DEFINED 01 0 0 3248 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 249 6108 SH DEFINED 01 0 0 6108 SPDR S&P 500 ETF TR TR UNIT 78462F103 1310 9363 SH DEFINED 01 0 0 9363 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 407 2222 SH DEFINED 01 0 0 2222 SPDR SERIES TRUST S&P 500 GROWTH 78464A409 616 9611 SH DEFINED 01 0 0 9611 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 1575 38842 SH DEFINED 01 0 0 38842 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 1740 71673 SH DEFINED 01 0 0 71673 SPDR SERIES TRUST NUVN BRCLY MUNI 78464A458 332 13720 SH DEFINED 01 0 0 13720 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 411 6713 SH DEFINED 01 0 0 6713 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 3090 67510 SH DEFINED 01 0 0 67510 SPDR SERIES TRUST S&P DIVID ETF 78464A763 627 10922 SH DEFINED 01 0 0 10922 STARBUCKS CORP COM 855244109 302 5739 SH DEFINED 01 0 0 5739 TANGER FACTORY OUTLET CTRS I COM 875465106 235 6836 SH DEFINED 01 0 0 6836 TARGET CORP COM 87612E106 637 10767 SH DEFINED 01 0 0 10767 TELEFONICA S A SPONSORED ADR 879382208 1055 79360 SH DEFINED 01 0 0 79360 TEXAS INSTRS INC COM 882508104 393 12900 SH DEFINED 01 0 0 12900 THESTREET INC COM 88368Q103 62 37400 SH DEFINED 01 0 0 37400 TICC CAPITAL CORP COM 87244T109 289 28922 SH DEFINED 01 0 0 28922 TRANSDIGM GROUP INC COM 893641100 201 1507 SH DEFINED 01 0 0 1507 ULTA SALON COSMETCS & FRAG I COM 90384S303 357 3721 SH DEFINED 01 0 0 3721 UNITED STATES STL CORP NEW COM 912909108 200 8680 SH DEFINED 01 0 0 8680 UNITED TECHNOLOGIES CORP COM 913017109 317 3958 SH DEFINED 01 0 0 3958 US BANCORP DEL COM NEW 902973304 215 6781 SH DEFINED 01 0 0 6781 VALEANT PHARMACEUTICALS INTL COM 91911K102 628 10704 SH DEFINED 01 0 0 10704 VALLEY NATL BANCORP COM 919794107 173 18875 SH DEFINED 01 0 0 18875 VALSPAR CORP COM 920355104 2019 33005 SH DEFINED 01 0 0 33005 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 5874 61873 SH DEFINED 01 0 0 61873 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 6347 71763 SH DEFINED 01 0 0 71763 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 22746 280823 SH DEFINED 01 0 0 280823 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 754 8952 SH DEFINED 01 0 0 8952 VANGUARD INDEX FDS S&P 500 ETF SH 922908413 433 6824 SH DEFINED 01 0 0 6824 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 980 14520 SH DEFINED 01 0 0 14520 VANGUARD INDEX FDS REIT ETF 922908553 1814 27872 SH DEFINED 01 0 0 27872 VANGUARD INDEX FDS SM CP VAL ETF 922908611 402 5708 SH DEFINED 01 0 0 5708 VANGUARD INDEX FDS GROWTH ETF 922908736 9723 139144 SH DEFINED 01 0 0 139144 VANGUARD INDEX FDS VALUE ETF 922908744 9596 165872 SH DEFINED 01 0 0 165872 VANGUARD INDEX FDS SMALL CP ETF 922908751 2736 34253 SH DEFINED 01 0 0 34253 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1920 26667 SH DEFINED 01 0 0 26667 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 602 6729 SH DEFINED 01 0 0 6729 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 6043 137674 SH DEFINED 01 0 0 137674 VANGUARD INTL EQUITY INDEX F MSCI PAC ETF 922042866 723 13650 SH DEFINED 01 0 0 13650 VANGUARD INTL EQUITY INDEX F MSCI EUROPE ETF 922042874 259 5352 SH DEFINED 01 0 0 5352 VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 1456 18150 SH DEFINED 01 0 0 18150 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 8729 167101 SH DEFINED 01 0 0 167101 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 520 5896 SH DEFINED 01 0 0 5896 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1824 31063 SH DEFINED 01 0 0 31063 VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 8220 236404 SH DEFINED 01 0 0 236404 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1052 21561 SH DEFINED 01 0 0 21561 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 206 2381 SH DEFINED 01 0 0 2381 VANGUARD WORLD FDS MATERIALS ETF 92204A801 709 8586 SH DEFINED 01 0 0 8586 VERIZON COMMUNICATIONS INC COM 92343V104 1847 42962 SH DEFINED 01 0 0 42962 VISA INC COM CL A 92826C839 2288 15379 SH DEFINED 01 0 0 15379 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 526 20558 SH DEFINED 01 0 0 20558 WALGREEN CO COM 931422109 296 8123 SH DEFINED 01 0 0 8123 WAL-MART STORES INC COM 931142103 385 5689 SH DEFINED 01 0 0 5689 WASTE MGMT INC DEL COM 94106L109 343 10268 SH DEFINED 01 0 0 10268 WATSON PHARMACEUTICALS INC COM 942683103 2426 27271 SH DEFINED 01 0 0 27271 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 1842 184763 SH DEFINED 01 0 0 184763 WESTERN ASSET HIGH INCM FD I COM 95766J102 357 37038 SH DEFINED 01 0 0 37038 WESTERN ASSET INFL MGMT FD I COM 95766U107 237 12500 SH DEFINED 01 0 0 12500 WESTERN DIGITAL CORP COM 958102105 237 5718 SH DEFINED 01 0 0 5718 WHITING USA TR I TR UNIT 966389108 45 10000 SH DEFINED 01 0 0 10000 WHITING USA TR II TR UNIT 966388100 1267 84912 SH DEFINED 01 0 0 84912 WISDOMTREE TR ASIA LC DBT FD 97717X842 318 6061 SH DEFINED 01 0 0 6061 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 767 13667 SH DEFINED 01 0 0 13667 WISDOMTREE TRUST ASIA PAC EXJP FD 97717W828 424 6171 SH DEFINED 01 0 0 6171 YAHOO INC COM 984332106 2101 107776 SH DEFINED 01 0 0 107776 YAMANA GOLD INC COM 98462Y100 1707 101980 SH DEFINED 01 0 0 101980 YUM BRANDS INC COM 988498101 267 4158 SH DEFINED 01 0 0 4158 ZYNGA INC CL A 98986T108 72 31435 SH DEFINED 01 0 0 31435