0001085146-14-000289.txt : 20140207
0001085146-14-000289.hdr.sgml : 20140207
20140206211034
ACCESSION NUMBER: 0001085146-14-000289
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140207
DATE AS OF CHANGE: 20140206
EFFECTIVENESS DATE: 20140207
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PATHSTONE FAMILY OFFICE, LLC
CENTRAL INDEX KEY: 0001511137
IRS NUMBER: 271957427
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14122
FILM NUMBER: 14581694
BUSINESS ADDRESS:
STREET 1: 1 BRIDGE PLAZA N
STREET 2: SUITE 550
CITY: FORT LEE
STATE: NJ
ZIP: 07024
BUSINESS PHONE: 201-731-7112
MAIL ADDRESS:
STREET 1: 1 BRIDGE PLAZA N
STREET 2: SUITE 550
CITY: FORT LEE
STATE: NJ
ZIP: 07024
FORMER COMPANY:
FORMER CONFORMED NAME: Pathstone Family Office, LLC
DATE OF NAME CHANGE: 20110126
13F-HR/A
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0001511137
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12-31-2013
12-31-2013
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PATHSTONE FAMILY OFFICE, LLC
1 BRIDGE PLAZA N
SUITE 550
FORT LEE
NJ
07024
13F COMBINATION REPORT
028-14122
0000932859
028-04558
PARAMETRIC PORTFOLIO ASSOCIATES LLC
0001105467
028-05505
SAWGRASS ASSET MANAGEMENT LLC
N
Matthew Sher
Director of Operations & CCO
201-731-7112
/s/ Matthew Sher
Englewood
NJ
02-06-2014
0
213
45990
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
3M CO
COM
88579y101
74
524
SH
SOLE
524
0
0
ABRAXAS PETE CORP
COM
003830106
13
4000
SH
SOLE
4000
0
0
ACTUANT CORP
CL A NEW
00508X203
37
1010
SH
SOLE
1010
0
0
ADOBE SYS INC
COM
00724F101
17
286
SH
SOLE
286
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
4
1000
SH
SOLE
1000
0
0
AFFILIATED MANAGERS GROUP
COM
008252108
5
23
SH
SOLE
23
0
0
AIR PRODS & CHEMS INC
COM
009158106
41
363
SH
SOLE
363
0
0
AIRGAS INC
COM
009363102
15
130
SH
SOLE
130
0
0
ALEXANDER & BALDWIN INC NEW
COM
014491104
50
1190
SH
SOLE
1190
0
0
ALEXCO RESOURCE CORP
COM
01535P106
1086
861699
SH
SOLE
861699
0
0
ALLEGHANY CORP DEL
COM
017175100
42
106
SH
SOLE
106
0
0
ALLEGION PUB LTD CO
ORD SHS
G0176J109
3
77
SH
SOLE
77
0
0
ALUMINUM CORP CHINA LTD
SPON ADR H SHS
022276109
9
1000
SH
SOLE
1000
0
0
AMAZON COM INC
COM
023135106
73
183
SH
SOLE
183
0
0
ANADARKO PETE CORP
COM
032511107
8
104
SH
SOLE
104
0
0
ANHEUSER BUSCH INBEV SA/NV
SPONSORED ADR
03524A108
9
80
SH
SOLE
80
0
0
APPLE INC
COM
037833100
783
1395
SH
SOLE
1395
0
0
APPLE INC
COM
037833100
66
1000
SH
Call
SOLE
1000
0
0
AVAGO TECHNOLOGIES LTD
SHS
Y0486S104
1
25
SH
SOLE
25
0
0
BANCO SANTANDER SA
ADR
05964H105
22
2459
SH
SOLE
2459
0
0
BANK OF AMERICA CORPORATION
COM
060505104
40
2580
SH
SOLE
2580
0
0
BANK OF AMERICA CORPORATION
COM
060505104
1
1000
SH
Call
SOLE
1000
0
0
BARCLAYS BK PLC
DJUBS CMDT ETN36
06738c778
30
815
SH
SOLE
815
0
0
BARRICK GOLD CORP
COM
067901108
36
2040
SH
SOLE
2040
0
0
BECTON DICKINSON & CO
COM
075887109
10503
95061
SH
SOLE
95061
0
0
BLACKROCK MUNIASSETS FD INC
COM
09254J102
85
7293
SH
SOLE
7293
0
0
BOEING CO
COM
097023105
310
2268
SH
SOLE
2268
0
0
BPZ RESOURCES INC
COM
055639108
1
500
SH
SOLE
500
0
0
BROADWIND ENERGY INC
COM NEW
11161T207
1
100
SH
SOLE
100
0
0
BROOKFIELD OFFICE PPTYS INC
COM
112900105
48
2470
SH
SOLE
2470
0
0
BROOKFIELD RESIDENTIAL PPTYS
COM
11283W104
48
1970
SH
SOLE
1970
0
0
CAMPBELL SOUP CO
COM
134429109
55
1274
SH
SOLE
1274
0
0
CARDICA INC
COM
14141r101
55
56465
SH
SOLE
56465
0
0
CATERPILLAR INC DEL
COM
149123101
43
470
SH
SOLE
470
0
0
CBRE GROUP INC
CL A
12504l109
19
704
SH
SOLE
704
0
0
CF INDS HLDGS INC
COM
125269100
51
220
SH
SOLE
220
0
0
CHENIERE ENERGY INC
COM NEW
16411r208
48
1124
SH
SOLE
1124
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
16
606
SH
SOLE
606
0
0
CHINA GERUI ADV MAT GR LTD
SHS
G21101103
3
2000
SH
SOLE
2000
0
0
CHINA HOUSING & LAND DEV INC
COM
16939V103
5
2264
SH
SOLE
2264
0
0
CHINA PHARMA HLDGS INC
COM
16941t104
3
8720
SH
SOLE
8720
0
0
CIRRUS LOGIC INC
COM
172755100
14
10000
SH
Call
SOLE
10000
0
0
CISCO SYS INC
COM
17275r102
592
26339
SH
SOLE
26339
0
0
CITIGROUP INC
COM NEW
172967424
29
560
SH
SOLE
560
0
0
COACH INC
COM
189754104
49
880
SH
SOLE
880
0
0
COLGATE PALMOLIVE CO
COM
194162103
63
960
SH
SOLE
960
0
0
COMPASS MINERALS INTL INC
COM
20451n101
50
630
SH
SOLE
630
0
0
CONCHO RES INC
COM
20605P101
11
100
SH
SOLE
100
0
0
CONTINENTAL RESOURCES INC
COM
212015101
14
125
SH
SOLE
125
0
0
CORNING INC
COM
219350105
55
3059
SH
SOLE
3059
0
0
CROSS CTRY HEALTHCARE INC
COM
227483104
2
200
SH
SOLE
200
0
0
CVS CAREMARK CORPORATION
COM
126650100
29
406
SH
SOLE
406
0
0
DARDEN RESTAURANTS INC
COM
237194105
6
70
SH
SOLE
70
0
0
DDR CORP
COM
23317H102
0
11
SH
SOLE
11
0
0
DEERE & CO
COM
244199105
46
500
SH
SOLE
500
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
3
100
SH
SOLE
100
0
0
DENBURY RES INC
COM NEW
247916208
115
7000
SH
SOLE
7000
0
0
DISNEY WALT CO
COM DISNEY
254687106
4
38
SH
SOLE
38
0
0
DOW CHEM CO
COM
260543103
17
380
SH
SOLE
380
0
0
DU PONT E I DE NEMOURS & CO
COM
263534109
56
862
SH
SOLE
862
0
0
EATON VANCE NATL MUN OPPORT
COM SHS
27829L105
97
5288
SH
SOLE
5288
0
0
EMBOTELLADORA ANDINA S A
SPON ADR B
29081P303
30
1060
SH
SOLE
1060
0
0
EMERSON ELEC CO
COM
291011104
31
440
SH
SOLE
440
0
0
ENERGEN CORP
COM
29265N108
71
1000
SH
SOLE
1000
0
0
ENTEROMEDICS INC
COM NEW
29365M208
5
2600
SH
SOLE
2600
0
0
EOG RES INC
COM
26875P101
13
76
SH
SOLE
76
0
0
EXPRESS SCRIPTS HLDG CO
COM
30219G108
25
350
SH
SOLE
350
0
0
EXXON MOBIL CORP
COM
30231g102
62
592
SH
SOLE
592
0
0
FACEBOOK INC
CL A
30303M102
7
135
SH
SOLE
135
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
0
150
SH
SOLE
150
0
0
FREEPORT-MCMORAN COPPER & GO
COM
35671d857
55
1450
SH
SOLE
1450
0
0
FUSION-IO INC
COM
36112J107
4
400
SH
SOLE
400
0
0
GALLAGHER ARTHUR J & CO
COM
363576109
25
530
SH
SOLE
530
0
0
GENERAL ELECTRIC CO
COM
369604103
6
168
SH
SOLE
168
0
0
GENERAL MLS INC
COM
370334104
0
20
SH
SOLE
20
0
0
GENERAL MTRS CO
COM
37045v100
20
500
SH
SOLE
500
0
0
GILEAD SCIENCES INC
COM
375558103
4563
60760
SH
SOLE
60760
0
0
GILEAD SCIENCES INC
COM
375558103
152
58700
SH
Put
SOLE
58700
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
9
160
SH
SOLE
160
0
0
GOOGLE INC
CL A
38259p508
85
76
SH
SOLE
76
0
0
GRAINGER W W INC
COM
384802104
6
25
SH
SOLE
25
0
0
GREEN MTN COFFEE ROASTERS IN
COM
393122106
23
300
SH
SOLE
300
0
0
GREENHAVEN CONT CMDTY INDEX
UNIT BEN INT
395258106
3
114
SH
SOLE
114
0
0
HALLIBURTON CO
COM
406216101
88
1724
SH
SOLE
1724
0
0
HARLEY DAVIDSON INC
COM
412822108
5
69
SH
SOLE
69
0
0
HASBRO INC
COM
418056107
0
5
SH
SOLE
5
0
0
HCP INC
COM
40414L109
3
72
SH
SOLE
72
0
0
HEALTH CARE REIT INC
COM
42217K106
3
56
SH
SOLE
56
0
0
HERBALIFE LTD
COM USD SHS
G4412G101
0
700
SH
Put
SOLE
700
0
0
HERCULES OFFSHORE INC
COM
427093109
1
2000
SH
Call
SOLE
2000
0
0
HIMAX TECHNOLOGIES INC
SPONSORED ADR
43289p106
21
1394
SH
SOLE
1394
0
0
HOME DEPOT INC
COM
437076102
25
300
SH
SOLE
300
0
0
HORACE MANN EDUCATORS CORP N
COM
440327104
23
720
SH
SOLE
720
0
0
HOWARD HUGHES CORP
COM
44267d107
56
465
SH
SOLE
465
0
0
HUBBELL INC
CL B
443510201
36
330
SH
SOLE
330
0
0
INGERSOLL-RAND PLC
SHS
G47791101
14
231
SH
SOLE
231
0
0
INTEL CORP
COM
458140100
4
130
SH
SOLE
130
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
67
359
SH
SOLE
359
0
0
ISHARES
1-3 YR TR BD ETF
464287457
3
41
SH
SOLE
41
0
0
ISHARES
COHEN&STEER REIT
464287564
4
55
SH
SOLE
55
0
0
ISHARES
CONSER ALLOC ETF
464289883
18
600
SH
SOLE
600
0
0
ISHARES
CORE S&P500 ETF
464287200
287
1549
SH
SOLE
1549
0
0
ISHARES
CORE TOTUSBD ETF
464287226
3
24
SH
SOLE
24
0
0
ISHARES
GLB CNSM STP ETF
464288737
55
634
SH
SOLE
634
0
0
ISHARES
GRWT ALLOCAT ETF
464289867
3
80
SH
SOLE
80
0
0
ISHARES
IBOXX INV CP ETF
464287242
5
42
SH
SOLE
42
0
0
ISHARES
INTL SEL DIV ETF
464288448
116
3061
SH
SOLE
3061
0
0
ISHARES
MSCI EAFE ETF
464287465
1918
28604
SH
SOLE
28604
0
0
ISHARES
MSCI EMG MKT ETF
464287234
52
1221
SH
SOLE
1221
0
0
ISHARES
MSCI ITALCPD ETF
464286855
16
1006
SH
SOLE
1006
0
0
ISHARES
NAT AMT FREE BD
464288414
12
112
SH
SOLE
112
0
0
ISHARES
RUS 1000 ETF
464287622
2650
25671
SH
SOLE
25671
0
0
ISHARES
RUS 1000 GRW ETF
464287614
105
1219
SH
SOLE
1219
0
0
ISHARES
RUS 1000 VAL ETF
464287598
10
99
SH
SOLE
99
0
0
ISHARES
RUS 2000 GRW ETF
464287648
6
44
SH
SOLE
44
0
0
ISHARES
RUS 2000 VAL ETF
464287630
6
54
SH
SOLE
54
0
0
ISHARES
RUS MID-CAP ETF
464287499
3
23
SH
SOLE
23
0
0
ISHARES
S&P MC 400GR ETF
464287606
6
37
SH
SOLE
37
0
0
ISHARES
S&P MC 400VL ETF
464287705
6
47
SH
SOLE
47
0
0
ISHARES
TIPS BD ETF
464287176
1
13
SH
SOLE
13
0
0
ISHARES
TRGT DT 2040 ETF
464289800
73
1690
SH
SOLE
1690
0
0
ISHARES S&P GSCI COMMODITY I
UNIT BEN INT
46428R107
3
110
SH
SOLE
110
0
0
ITAU UNIBANCO HLDG SA
SPON ADR REP PFD
465562106
0
3500
SH
Call
SOLE
3500
0
0
ITT CORP NEW
COM NEW
450911201
38
870
SH
SOLE
870
0
0
JOHNSON & JOHNSON
COM
478160104
105
1144
SH
SOLE
1144
0
0
KIMBERLY CLARK CORP
COM
494368103
66
630
SH
SOLE
630
0
0
LEGG MASON INC
COM
524901105
17
396
SH
SOLE
396
0
0
LENNAR CORP
CL A
526057104
19
473
SH
SOLE
473
0
0
LITTELFUSE INC
COM
537008104
30
320
SH
SOLE
320
0
0
LOWES COS INC
COM
548661107
20
400
SH
SOLE
400
0
0
MARKET VECTORS ETF TR
BIOTECH ETF
57060U183
16
180
SH
SOLE
180
0
0
MARKET VECTORS ETF TR
GOLD MINER ETF
57060u100
7
320
SH
SOLE
320
0
0
MARKET VECTORS ETF TR
OIL SVCS ETF
57060U191
0
1500
SH
Call
SOLE
1500
0
0
MATTEL INC
COM
577081102
1
20
SH
SOLE
20
0
0
MCGRAW HILL FINL INC
COM
580645109
36
454
SH
SOLE
454
0
0
MERCK & CO INC NEW
COM
58933Y105
101
2020
SH
SOLE
2020
0
0
MICROSOFT CORP
COM
594918104
66
1774
SH
SOLE
1774
0
0
MID-AMER APT CMNTYS INC
COM
59522J103
17204
283232
SH
SOLE
283232
0
0
MOSAIC CO NEW
COM
61945c103
19
400
SH
SOLE
400
0
0
NABORS INDUSTRIES LTD
SHS
g6359f103
15
877
SH
SOLE
877
0
0
NATIONAL BK GREECE S A
SPN ADR REP 1 SH
633643705
10
1825
SH
SOLE
1825
0
0
NIKE INC
CL B
654106103
3
40
SH
SOLE
40
0
0
NQ MOBILE INC
ADR REPSTG CL A
64118U108
2
1100
SH
Call
SOLE
1100
0
0
ORACLE CORP
COM
68389x105
90
2339
SH
SOLE
2339
0
0
PALL CORP
COM
696429307
23
275
SH
SOLE
275
0
0
PALO ALTO NETWORKS INC
COM
697435105
11
200
SH
SOLE
200
0
0
PATTERSON COMPANIES INC
COM
703395103
19
465
SH
SOLE
465
0
0
PENNEY J C INC
COM
708160106
17
1936
SH
SOLE
1936
0
0
PENTAIR LTD
SHS
H6169Q108
59
763
SH
SOLE
763
0
0
PFIZER INC
COM
717081103
3
102
SH
SOLE
102
0
0
PIMCO ETF TR
TOTL RETN ETF
72201r775
203
1941
SH
SOLE
1941
0
0
PIONEER NAT RES CO
COM
723787107
1
200
SH
Call
SOLE
200
0
0
PLUM CREEK TIMBER CO INC
COM
729251108
43
915
SH
SOLE
915
0
0
POWERSHARES GLOBAL ETF TRUST
EMER MRKT PORT
73936T763
19
905
SH
SOLE
905
0
0
PROCTER & GAMBLE CO
COM
742718109
0
5
SH
SOLE
5
0
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
746922103
28
2564
SH
SOLE
2564
0
0
QEP RES INC
COM
74733V100
15
484
SH
SOLE
484
0
0
QUANTUM FUEL SYS TECH WORLDW
COM PAR $0.02
74765e307
14
1800
SH
SOLE
1800
0
0
REED ELSEVIER P L C
SPONS ADR NEW
758205207
9
145
SH
SOLE
145
0
0
REGIONS FINL CORP NEW
COM
7591ep100
239
24157
SH
SOLE
24157
0
0
RENREN INC
SPONSORED ADR
759892102
0
70
SH
SOLE
70
0
0
RPM INTL INC
COM
749685103
44
1050
SH
SOLE
1050
0
0
SAFEWAY INC
COM NEW
786514208
15
472
SH
SOLE
472
0
0
SEANERGY MARITIME HLDGS CORP
SHS
Y73760129
6
3332
SH
SOLE
3332
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
11
502
SH
SOLE
502
0
0
SENIOR HSG PPTYS TR
SH BEN INT
81721M109
14
650
SH
SOLE
650
0
0
SENOMYX INC
COM
81724q107
5
1000
SH
SOLE
1000
0
0
SIEMENS A G
SPONSORED ADR
826197501
9
64
SH
SOLE
64
0
0
SILVER BULL RES INC
COM
827458100
97
277000
SH
SOLE
277000
0
0
SIMPSON MANUFACTURING CO INC
COM
829073105
47
1280
SH
SOLE
1280
0
0
SOCIEDAD QUIMICA MINERA DE C
SPON ADR SER B
833635105
50
1930
SH
SOLE
1930
0
0
SOLAR SR CAP LTD
COM
83416m105
57
3141
SH
SOLE
3141
0
0
SOUTHERN CO
COM
842587107
16
400
SH
SOLE
400
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
17
150
SH
SOLE
150
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
112
606
SH
SOLE
606
0
0
SPDR SERIES TRUST
NUVN BR SHT MUNI
78464A425
4
200
SH
SOLE
200
0
0
SPDR SERIES TRUST
S&P 500 GROWTH
78464A409
9
100
SH
SOLE
100
0
0
SPX CORP
COM
784635104
39
395
SH
SOLE
395
0
0
STARBUCKS CORP
COM
855244109
6
71
SH
SOLE
71
0
0
TE CONNECTIVITY LTD
REG SHS
H84989104
51
920
SH
SOLE
920
0
0
TESORO CORP
COM
881609101
4
1200
SH
Call
SOLE
1200
0
0
TEXAS INSTRS INC
COM
882508104
1
25
SH
SOLE
25
0
0
THE ADT CORPORATION
COM
00101J106
15
368
SH
SOLE
368
0
0
TIME WARNER CABLE INC
COM
88732J207
0
1
SH
SOLE
1
0
0
TIME WARNER CABLE INC
COM
88732J207
3
200
SH
Call
SOLE
200
0
0
TJX COS INC NEW
COM
872540109
14
219
SH
SOLE
219
0
0
TRIANGLE PETE CORP
COM NEW
89600b201
12
1500
SH
SOLE
1500
0
0
TRUSTMARK CORP
COM
898402102
6
210
SH
SOLE
210
0
0
TUMI HLDGS INC
COM
89969q104
5
200
SH
SOLE
200
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
106
1008
SH
SOLE
1008
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
76
672
SH
SOLE
672
0
0
URBAN OUTFITTERS INC
COM
917047102
44
1185
SH
SOLE
1185
0
0
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
8
100
SH
SOLE
100
0
0
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
228
2851
SH
SOLE
2851
0
0
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
27
323
SH
SOLE
323
0
0
VANGUARD INDEX FDS
MID CAP ETF
922908629
9
80
SH
SOLE
80
0
0
VANGUARD INDEX FDS
REIT ETF
922908553
4
67
SH
SOLE
67
0
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
9
80
SH
SOLE
80
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
6
130
SH
SOLE
130
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
2
30
SH
SOLE
30
0
0
VANGUARD SPECIALIZED PORTFOL
DIV APP ETF
921908844
18
237
SH
SOLE
237
0
0
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
4
103
SH
SOLE
103
0
0
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
6
100
SH
SOLE
100
0
0
VIPSHOP HLDGS LTD
SPONSORED ADR
92763w103
17
200
SH
SOLE
200
0
0
VULCAN MATLS CO
COM
929160109
17
278
SH
SOLE
278
0
0
WALGREEN CO
COM
931422109
27
477
SH
SOLE
477
0
0
WESTERN REFNG INC
COM
959319104
1
400
SH
Call
SOLE
400
0
0
WESTERN UN CO
COM
959802109
36
2070
SH
SOLE
2070
0
0
WHITING PETE CORP NEW
COM
966387102
41
655
SH
SOLE
655
0
0
WILLIAMS COS INC DEL
COM
969457100
42
1090
SH
SOLE
1090
0
0
WPX ENERGY INC
COM
98212B103
67
3303
SH
SOLE
3303
0
0
XYLEM INC
COM
98419m100
45
1290
SH
SOLE
1290
0
0
YAMANA GOLD INC
COM
98462Y100
0
70
SH
SOLE
70
0
0