0001193125-11-220917.txt : 20110812 0001193125-11-220917.hdr.sgml : 20110812 20110812123254 ACCESSION NUMBER: 0001193125-11-220917 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110812 DATE AS OF CHANGE: 20110812 EFFECTIVENESS DATE: 20110812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Windhaven Investment Management, Inc. CENTRAL INDEX KEY: 0001507640 IRS NUMBER: 273763801 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14230 FILM NUMBER: 111030165 BUSINESS ADDRESS: STREET 1: 60 STATE STREET STREET 2: SUITE 3600 CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 6172418600 MAIL ADDRESS: STREET 1: 60 STATE STREET STREET 2: SUITE 3600 CITY: BOSTON STATE: MA ZIP: 02109 13F-HR 1 d13fhr.txt FORM 13-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 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: Windhaven Investment Management, Inc. Address: 60 State Street Suite 3600 Boston, MA 02109 13F File Number: 028-14230 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Denise Kampf Title: Managing Director of Ops & Client Service Phone: 617-241-2207 Signature, Place, and Date of Signing: -------------------- -------------------- -------------------- DENISE KAMPF BOSTON, MA August 12, 2011 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 66 Form 13F Information Table Value Total: 6436815 List of Other Included Managers: NONE
Form 13F Information Table Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Voting Authority Value SHRS or SH / PUT / Investment Other -------------------- Name of Issuer Title of Class CUSIP (x$1000) PRN Amt PRN CALL Discretion Managers Sole Shared None -------------------------------- ---------------- --------- -------- -------- ---- ----- ---------- -------- -------- ------ ---- APPLE INC COM 037833100 304 907 SH Sole 907 BERKSHIRE HATHAWAY INC DEL CL B 084670702 209 2705 SH Sole 2705 CHEVRON CORP NEW COM 166764100 210 2042 SH Sole 2042 Coca Cola Co COM 191216100 718 10668 SH Sole 10668 Disney Walt Co COM DISNEY 254687106 513 13139 SH Sole 13139 Entremed Inc. New COM NEW 29382F202 61 27000 SH Sole 27000 Exxon Mobil Corp COM 30231G102 2048 25173 SH Sole 25173 FX ENERGY INC COM 302695101 670 76367 SH Sole 76367 General Electric Co COM 369604103 304 16147 SH Sole 16147 General Mls Inc COM 370334104 376 10114 SH Sole 10114 HEINZ H J CO COM 423074103 279 5250 SH Sole 5250 Home Depot Inc COM 437076102 443 12227 SH Sole 12227 Intel Corp COM 458140100 1048 47279 SH Sole 47279 International Business Machs COM 459200101 208 1214 SH Sole 1214 ISHARES INC MSCI GERMAN 464286806 1626 60478 SH Sole 60478 ISHARES GOLD TRUST ISHARES 464285105 110025 7515398 SH Sole 7515398 ISHARES TR BARCLYS 1-3 YR 464287457 99770 1183512 SH Sole 1183512 ISHARES TR BARCLYS 7-10YR 464287440 193182 2015248 SH Sole 2015248 ISHARES TR INDEX BARCLYS TIPS BD 464287176 275636 2491293 SH Sole 2491293 ISHARES INC JP MORGAN USD EMERGING 464288281 1598 14620 SH Sole 14620 ISHARES INC MSCI EAFE INDEX 464287465 204 3395 SH Sole 3395 ISHARES INC MSCI HONG KONG 464286871 406771 21963903 SH Sole 21963903 Johnson & Johnson COM 478160104 490 7368 SH Sole 7368 MCDONALDS CORP COM 580135101 208 2473 SH Sole 2473 Medco Health Solutions Inc COM 58405U102 473 8382 SH Sole 8382
Minnesota Mining & Mfg COM 88579Y101 236 2492 SH Sole 2492 Microsoft Corp COM 594918104 1389 53435 SH Sole 53435 PFIZER INC COM 717081103 411 19970 SH Sole 19970 PIMCO ETF TR ENHAN SHRT MAT 72201R833 239826 2372408 SH Sole 2372408 PIMCO ETF TR 15+ YR US TIPS 72201R304 197253 3516969 SH Sole 3516969 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 1509 81551 SH Sole 81551 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 165663 2903838 SH Sole 2903838 POWERSHARES ETF TR GOLD 73936B606 224 4264 SH Sole 4264 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 240232 8295304 SH Sole 8295304 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 1994 123554 SH Sole 123554 Procter & Gamble Co COM 742718109 1245 19599 SH Sole 19599 Royal Dutch Shell PLC SPONS ADR A 780259206 343 4824 SH Sole 4824 SCHWAB CHARLES CORP NEW COM 808513105 6594 400853 SH Sole 400853 Sigma Aldrich Corp COM 826552101 763 10400 SH Sole 10400 SIRIUS SATELLITE RADIO COM 82967N108 178 81500 SH Sole 81500 SPDR S&P 500 ETF TRUST TR Unit 78462F103 240838 1824943 SH Sole 1824943 SPDR SERIES TRUST BARC CAPTL ETF 78464A474 70667 2313930 SH Sole 2313930 SPDR GOLD TRUST GOLD SHS 78463V107 548615 3757617 SH Sole 3757617 SPDR SERIES TRUST DB INT GVT ETF 78464A490 2942 47508 SH Sole 47508 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 5380 117316 SH Sole 117316 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 4923 79707 SH Sole 79707 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 5466 135374 SH Sole 135374 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 3962 50585 SH Sole 50585 SPECTRANETICS CORP COM 84760C107 373 60000 SH Sole 60000
Sysco Corp COM 871829107 1303 41800 SH Sole 41800 US BANCORP DEL COM NEW 902973304 305 11979 SH Sole 11979 UNITED STATES COMMODITY INDEX FD COMM INDX FD 911717106 2890 45360 SH Sole 45360 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 597986 7367990 SH Sole 7367990 VANGUARD INDEX FDS REIT ETF 922908553 607272 10104358 SH Sole 10104358 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 739 14732 SH Sole 14732 VANGUARD INDEX FDS STK MRK ETF 922908769 866272 12664789 SH Sole 12664789 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 619 10598 SH Sole 10598 VANGUARD TAX-MANAGED INTL FD MSCI EAFE ETF 921943858 195756 5140656 SH Sole 5140656 VANGUARD TAX-MANAGED FD EMR MKT ETF 922042858 197056 4052982 SH Sole 4052982 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 490774 8765383 SH Sole 8765383 VERTEX PHARMACEUTICALS INC COM 92532F100 2330 44815 SH Sole 44815 Wal Mart Stores Inc COM 931142103 2946 55433 SH Sole 55433 WISDOMTREE TRUST ASIA LC DBT FD 97717X842 366521 7032365 SH Sole 7032365 WISDOMTREE TRUST BRAZILN RL ETF 97717W240 259423 8875244 SH Sole 8875244 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 1590 68250 SH Sole 68250 WISDOMTREE TR EM LCL DEBT FD 97717X867 4618 86282 SH Sole 86282