0001062993-15-004608.txt : 20150814
0001062993-15-004608.hdr.sgml : 20150814
20150814163418
ACCESSION NUMBER: 0001062993-15-004608
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150630
FILED AS OF DATE: 20150814
DATE AS OF CHANGE: 20150814
EFFECTIVENESS DATE: 20150814
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CAPTRUST FINANCIAL ADVISORS
CENTRAL INDEX KEY: 0001512024
IRS NUMBER: 260058143
STATE OF INCORPORATION: NC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14079
FILM NUMBER: 151056438
BUSINESS ADDRESS:
STREET 1: 4208 SIX FORKS ROAD, SUITE 1700
CITY: RALEIGH
STATE: NC
ZIP: 27609
BUSINESS PHONE: (919) 870-6822
MAIL ADDRESS:
STREET 1: 4208 SIX FORKS ROAD, SUITE 1700
CITY: RALEIGH
STATE: NC
ZIP: 27609
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001512024
XXXXXXXX
06-30-2015
06-30-2015
true
1
RESTATEMENT
CAPTRUST FINANCIAL ADVISORS
4208 SIX FORKS ROAD, SUITE 1700
RALEIGH
NC
27609
13F HOLDINGS REPORT
028-14079
N
Denise M Buchanan
Chief Compliance Officer
919-870-6822
Denise M Buchanan
Raleigh
NC
08-14-2015
0
167
635705
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
ALLIANCEBERNSTEIN INCOME FUND
ETF
01881E101
39
5290
SH
SOLE
5290
0
0
ISHARES MSCI ACWI INDEX MSCI A
ETF
464288257
70
1172
SH
SOLE
1172
0
0
ALLIANCEBERNSTEIN NATL MUNI IN
ETF
01864U106
12
915
SH
SOLE
915
0
0
ISHARES CORE TOTAL ETF US BOND
ETF
464287226
20192
185620
SH
SOLE
185620
0
0
JP MORGAN EXCH TRADED NT ALERI
ETF
46625H365
6195
156432
SH
SOLE
156432
0
0
ALPS ETF TR ALERIAN MLP ETF
ETF
00162Q866
70
4500
SH
SOLE
4500
0
0
BLACKROCK BUILD AMER BD TR SHS
ETF
09248X100
10
500
SH
SOLE
500
0
0
BABSON CAP GLOBAL SHORT DURATI
ETF
05617T100
80
4000
SH
SOLE
4000
0
0
MARKET VECTORS ETF TR BUSINESS
ETF
57060U316
18
1000
SH
SOLE
1000
0
0
BLACKROCK INCOME TR INC COM
ETF
09247F100
59
9403
SH
SOLE
9403
0
0
VANGUARD TOTAL BOND MARKET ETF
ETF
921937835
45
552
SH
SOLE
552
0
0
PIMCO ETF TR TOTAL RETURN EXCH
ETF
72201R775
36
340
SH
SOLE
340
0
0
CLAYMORE EXCHANGE-TRADED FD TR
ETF
18383M423
51
1950
SH
SOLE
1950
0
0
VANGUARD BD INDEX FD INC SHORT
ETF
921937827
18
220
SH
SOLE
220
0
0
CLEARBRIDGE ENERGY MLP FD INC
ETF
184692101
29
1230
SH
SOLE
1230
0
0
CALAMOS CONV OPP AND INC FD SH
ETF
128117108
58
4721
SH
SOLE
4721
0
0
ISHARES TR BARCLYS 1-3YR CR
ETF
464288646
97
924
SH
SOLE
924
0
0
SPDR MSCI ACWI EX-US
ETF
78463X848
328
9541
SH
SOLE
9541
0
0
POWERSHS DB MULTI SECT COMM TR
ETF
73936B408
4
180
SH
SOLE
180
0
0
POWERSHS DB COMMDTY INDX
ETF
73935S105
523
29077
SH
SOLE
29077
0
0
POWERSHARES DB PRECIOUS METALS
ETF
73936B200
3
75
SH
SOLE
75
0
0
WISDOMTREE TR EUROPE SMALLCAP
ETF
97717W869
18
307
SH
SOLE
307
0
0
POWERSHARES DB GOLD ETF
ETF
25154H749
7
300
SH
SOLE
300
0
0
WISDOMTREE TR EQUITY INCOME FD
ETF
97717W208
274
4600
SH
SOLE
4600
0
0
SPDR DOW JONES INDL AVERAGE TR
ETF
78467X109
60
344
SH
SOLE
344
0
0
GLOBAL X FDS GLOBAL X SUPERDIV
ETF
37950E291
318
12045
SH
SOLE
12045
0
0
BARCLAYS BANK IPATH ETN DJ UBS
ETF
06738C778
938
32290
SH
SOLE
32290
0
0
PROSHARES SHORT DOW ETF 30
ETF
74347R701
12
500
SH
SOLE
500
0
0
ISHARES TRUST DOW JONES SELECT
ETF
464287168
838
11156
SH
SOLE
11156
0
0
WISDOMTREE JPN HDGD EQTY JAPAN
ETF
97717W851
332
5808
SH
SOLE
5808
0
0
VANGUARD EXTENDED DURATION TRE
ETF
921910709
28
254
SH
SOLE
254
0
0
ISHARES MSCI EMRG MKT FD EMERG
ETF
464287234
266
6712
SH
SOLE
6712
0
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
74889
1179537
SH
SOLE
1179537
0
0
EATON VANCE FLTING RATE INC TR
ETF
278279104
48
3500
SH
SOLE
3500
0
0
ISHARES JPMORGAN EMERGING MARK
ETF
464288281
62
563
SH
SOLE
563
0
0
ISHARES INC EMERGING MKTS HIGH
ETF
464286285
17
363
SH
SOLE
363
0
0
EATON VANCE ENH EQTY INC FD II
ETF
278277108
86
6225
SH
SOLE
6225
0
0
EATON VANCE TAX MANAGED
ETF
27828N102
43
3822
SH
SOLE
3822
0
0
ISHARES INC MSCI HONG KONG
ETF
464286871
24
1069
SH
SOLE
1069
0
0
ISHARES MSCI JAPAN ETF INDEX
ETF
464286848
5
370
SH
SOLE
370
0
0
ISHARES MSCI SWITZERLAND INDEX
ETF
464286749
23
707
SH
SOLE
707
0
0
ISHARES MSCI MALAYSIA INDEX FD
ETF
464286830
11
915
SH
SOLE
915
0
0
ISHARES MSCI SPAIN INDEX FD
ETF
464286764
23
698
SH
SOLE
698
0
0
ISHARES INC MSCI SINGAPORE
ETF
464286673
12
946
SH
SOLE
946
0
0
ISHARES INC MSCI TAIWAN
ETF
464286731
27
1733
SH
SOLE
1733
0
0
ISHARES MSCI MSCI S KOREA IND
ETF
464286772
23
411
SH
SOLE
411
0
0
DIREXION SHS ETF TR DAILY FINL
ETF
25459Y694
3
100
SH
SOLE
100
0
0
FLAHERTY & CRMN/CLYMR PFD SEC
ETF
338478100
33
1770
SH
SOLE
1770
0
0
ISHARES TR FLTG RATE NT ETF
ETF
46429B655
36
706
SH
SOLE
706
0
0
MARKET VECTORS ETF TR UNCONVEN
ETF
57060U159
22
1073
SH
SOLE
1073
0
0
MARKET VECTOR GOLD MINERS
ETF
57060U100
698
39310
SH
SOLE
39310
0
0
MARKET VECTORS JUNIOR GOLD MIN
ETF
57061R544
28
1150
SH
SOLE
1150
0
0
GUGGENHEIM ENHANCED EQUITY STR
ETF
40167K100
4
231
SH
SOLE
231
0
0
GAMCO GLOBAL GOLD NAT RES & IN
ETF
36465A109
8
1221
SH
SOLE
1221
0
0
SPDR GOLD TRUST SPDR GOLD SHAR
ETF
78463V107
341
3033
SH
SOLE
3033
0
0
ISHARES S&P GSCI CMDTY COMMODI
ETF
46428R107
715
33878
SH
SOLE
33878
0
0
ISHARES TR INTER GOVT CR BD ET
ETF
464288612
1
13
SH
SOLE
13
0
0
WISDOMTREE TR EUROPE HEDGED EQ
ETF
97717X701
105
1712
SH
SOLE
1712
0
0
HANCOCK JOHN PFD INCOME FD SH
ETF
41013W108
6
295
SH
SOLE
295
0
0
HANCOCK JOHN PFD INCOME FD III
ETF
41021P103
70
4184
SH
SOLE
4184
0
0
MARKET VECTORS ETF TR EMERGING
ETF
57061R403
30
1232
SH
SOLE
1232
0
0
ISHARES TRUST IBOXX $ HIGH YIE
ETF
464288513
232
2609
SH
SOLE
2609
0
0
PIMCO ETF 0-5 YR HIGH YIELD CO
ETF
72201R783
29
295
SH
SOLE
295
0
0
ISHARES TR NASDAQ BIO INDEX
ETF
464287556
220
597
SH
SOLE
597
0
0
SPDR SER TR BARCLAYS INTL CORP
ETF
78464A151
554
17647
SH
SOLE
17647
0
0
I-SHARES TR COHEN & STEERS REA
ETF
464287564
57
640
SH
SOLE
640
0
0
ISHARES BARCLAYS 7-10 YR TREAS
ETF
464287440
3039
28938
SH
SOLE
28938
0
0
ISHARES TR CORE MSCI EAFE ETF
ETF
46432F842
5
93
SH
SOLE
93
0
0
ISHARES TR BARCLAYS BOND BARCL
ETF
464288661
7
54
SH
SOLE
54
0
0
ISHARES INC CORE MSCI EMERGING
ETF
46434G103
191
3980
SH
SOLE
3980
0
0
ISHARES TR S&P MIDCAP 400 INDE
ETF
464287507
6214
41431
SH
SOLE
41431
0
0
ISHARES S&P MIDCAP 400 GRTH FD
ETF
464287606
12
70
SH
SOLE
70
0
0
ISHARES TR S&P SMLCAP 600
ETF
464287804
5464
46348
SH
SOLE
46348
0
0
ISHARE S&P S/C 600 GRW
ETF
464287887
11
84
SH
SOLE
84
0
0
ISHARES TR S&P 500 /BAR VAL
ETF
464287408
10
106
SH
SOLE
106
0
0
VANGUARD ADMIRAL FDS INC S&P M
ETF
921932885
411
4053
SH
SOLE
4053
0
0
ISHARES CORE S&P ETF S&P 500 I
ETF
464287200
58560
282597
SH
SOLE
282597
0
0
ISHARES TR S&P500 GRW
ETF
464287309
14
124
SH
SOLE
124
0
0
ISHARES TR RUSSELL 1000
ETF
464287622
2321
19998
SH
SOLE
19998
0
0
ISHARES TR RUSSELL1000VAL
ETF
464287598
3
26
SH
SOLE
26
0
0
ISHARES TR RUSSELL1000GRW
ETF
464287614
113
1142
SH
SOLE
1142
0
0
ISHARES TR RUSSELL 2000 INDEX
ETF
464287655
28642
229390
SH
SOLE
229390
0
0
ISHARES TR RUSSELL 2000 RUSSEL
ETF
464287630
97
947
SH
SOLE
947
0
0
ISHARES TR RUSSELL 2000 GROWTH
ETF
464287648
36
233
SH
SOLE
233
0
0
ISHARES TR RUSSELL MID CAP GRO
ETF
464287481
20
211
SH
SOLE
211
0
0
ISHARES TR RUSSELL MIDCAP INDE
ETF
464287499
972
5707
SH
SOLE
5707
0
0
ISHARES TR RUSSELL MCP VL
ETF
464287473
37
507
SH
SOLE
507
0
0
ISHARES TR RUSSELL 3000 RUSSEL
ETF
464287689
18522
149393
SH
SOLE
149393
0
0
ISHARES TR RUSSELL TOP 200 GRO
ETF
464289438
2
39
SH
SOLE
39
0
0
ISHARES TR DOW JONES RE US REA
ETF
464287739
45639
640100
SH
SOLE
640100
0
0
WISDOMTREE TR JAPAN HEDGED DIV
ETF
97717X586
30
1154
SH
SOLE
1154
0
0
NUVEEN EGY MLP TOTAL RTN
ETF
67074U103
18
1065
SH
SOLE
1065
0
0
SPDR BARCLAYS ETF HIGH YIELD V
ETF
78464A417
120
3112
SH
SOLE
3112
0
0
NUVEEN QUALITY PFD INCOME FD 2
ETF
67072C105
121
14229
SH
SOLE
14229
0
0
NUVEEN MULTI STRAT INC GR FD 2
ETF
67073D102
47
5500
SH
SOLE
5500
0
0
MARKET VECTORS ETF TR COAL ETF
ETF
57060U837
2
150
SH
SOLE
150
0
0
ISHARES INC EMERGING MKTS LOCA
ETF
464286517
11
244
SH
SOLE
244
0
0
ISHARES IBOXX INVESTOP IBOXX $
ETF
464287242
247
2132
SH
SOLE
2132
0
0
ISHARES TR BARCLYS MBS BD
ETF
464288588
30
275
SH
SOLE
275
0
0
SPDR S&P MIDCAP 400 ETF
ETF
78467Y107
41919
153435
SH
SOLE
153435
0
0
ISHARES TRUST S&P NATL AMT FRE
ETF
464288414
245
2266
SH
SOLE
2266
0
0
NUVEEN AMT-FREE MUN INCOME FD
ETF
670657105
8
605
SH
SOLE
605
0
0
NUVEEN N C PREM INCOME MUN FD
ETF
67060P100
240
18901
SH
SOLE
18901
0
0
NUVEEN PREM INCOME MUN FD 2 CO
ETF
67063W102
35
2667
SH
SOLE
2667
0
0
NUVEEN PREM INCOME MUN FD 4 CO
ETF
6706K4105
13
1018
SH
SOLE
1018
0
0
NUVEEN INSD QUALITY MUN FD INC
ETF
67062N103
34
2665
SH
SOLE
2665
0
0
NUVEEN SELECT QUALITY MUN FD C
ETF
670973106
160
12083
SH
SOLE
12083
0
0
ISHARES TR S&P 100 INDEX FD
ETF
464287101
91
1000
SH
SOLE
1000
0
0
ISHARES S&P U S PFD FUND S&P U
ETF
464288687
1105
28213
SH
SOLE
28213
0
0
PIMCO FLOATING RATE INCOME FD
ETF
72201H108
43
4000
SH
SOLE
4000
0
0
PIMCO FLOATING RATE STRTGY FD
ETF
72201J104
25
2500
SH
SOLE
2500
0
0
POWERSHARES ETF TRUST WATER RE
ETF
73935X575
56
2261
SH
SOLE
2261
0
0
POWERSHARES INTL DIVD ACHIEVER
ETF
73935X716
246
14411
SH
SOLE
14411
0
0
PIMCO CORPORATE OPP FD COM
ETF
72201B101
106
7291
SH
SOLE
7291
0
0
POWERSHS EXCH TRAD FD TR INSUR
ETF
73936T474
90
3624
SH
SOLE
3624
0
0
INDEX IQ TR IQ ETF HEDGE MFCE
ETF
45409B107
121
4094
SH
SOLE
4094
0
0
ISHARES TR MTG REAL ESTATE CAP
ETF
464288539
32
3000
SH
SOLE
3000
0
0
ROYCE GLOBAL VALUE TR INC COM
ETF
78081T104
9
1105
SH
SOLE
1105
0
0
RYDEX ETF TR GUGGENHEIM S&P 50
ETF
78355W106
221
2775
SH
SOLE
2775
0
0
MARKET VECTORS RUSSIA ETF
ETF
57060U506
23
1250
SH
SOLE
1250
0
0
ROYCE VALUE TR INC COM
ETF
780910105
125
9050
SH
SOLE
9050
0
0
PROSHARES TR PROSHARES ULTRA H
ETF
74347R735
36
484
SH
SOLE
484
0
0
SCHWAB STRATEGIC TR US DIVIDEN
ETF
808524797
371
9686
SH
SOLE
9686
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
761
9981
SH
SOLE
9981
0
0
PROSHARES SHORT S&P 500 NON-TR
ETF
74347R503
7
350
SH
SOLE
350
0
0
SPDR NUVEEN BARCLAY EFT MANAGE
ETF
78464A425
220
9076
SH
SOLE
9076
0
0
SPDR SER TR SHORT TERM HIGH YI
ETF
78468R408
62
2146
SH
SOLE
2146
0
0
ISHARES SILVER TRUST INDEX FUN
ETF
46428Q109
15
1000
SH
SOLE
1000
0
0
POWERSHARES EXCHANGE-TRADED FD
ETF
73937B779
475
12960
SH
SOLE
12960
0
0
SPROTT PHYSICAL PLATINUM AND P
ETF
85207Q104
4
600
SH
SOLE
600
0
0
SPDR S&P 500 ETF TR EXPIRING 0
ETF
78462F103
277509
1348115
SH
SOLE
1348115
0
0
PROSHARES TR ULTRASHORT REAL E
ETF
74348A244
2
30
SH
SOLE
30
0
0
CAMBRIA ETF TR SHAREHOLDER YIE
ETF
132061201
12
380
SH
SOLE
380
0
0
PROSHARES TR SHORT 20+ YR TREA
ETF
74347X849
126
4800
SH
SOLE
4800
0
0
PROSHARES TR PROSHARES ULTRASH
ETF
74347B201
25
500
SH
SOLE
500
0
0
SPDR BARCLAYS CAPITAL MUNICIPA
ETF
78464A458
289
12177
SH
SOLE
12177
0
0
ISHARES TR BARCLAYS TIPS BOND
ETF
464287176
2274
20294
SH
SOLE
20294
0
0
ISHARES TR BARCLAYS 20+ YR
ETF
464287432
427
3632
SH
SOLE
3632
0
0
TCW STRATEGIC INCOME FD INC
ETF
872340104
39
7503
SH
SOLE
7503
0
0
PROSHARES TR II ULTRA BLOOMBER
ETF
74347W320
24
536
SH
SOLE
536
0
0
MORGAN STANLEY MARKET VECTORS
ETF
617480272
28
1500
SH
SOLE
1500
0
0
UNITED STATES OIL FUND LP UNIT
ETF
91232N108
18
900
SH
SOLE
900
0
0
VANGUARD SMALL CAP GRWTH
ETF
922908595
962
7164
SH
SOLE
7164
0
0
VANGUARD SMALL CAP VALUE
ETF
922908611
270
2502
SH
SOLE
2502
0
0
VANGUARD SCOTTSDALE FDS VANGUA
ETF
92206C870
47
556
SH
SOLE
556
0
0
VANGUARD WORLD FDS VANGUARD CO
ETF
92204A207
279
2235
SH
SOLE
2235
0
0
VANGUARD EUROPE PACIFIC ETF
ETF
921943858
847
21360
SH
SOLE
21360
0
0
VANGUARD INTL EQUITY INDEX FTS
ETF
922042775
1274
26237
SH
SOLE
26237
0
0
VANGUARD INTL EQUITY INDEX FDS
ETF
922042874
7154
132533
SH
SOLE
132533
0
0
VANGUARD WORLD FDS VANGUARD IN
ETF
92204A702
75
710
SH
SOLE
710
0
0
VANGUARD DIV APPRCIATION
ETF
921908844
10935
139159
SH
SOLE
139159
0
0
VANGUARD ADMIRAL FDS INC S&P S
ETF
921932828
185
1731
SH
SOLE
1731
0
0
PROSHARES TR VIX SHORT TERM FU
ETF
74347W361
1
50
SH
SOLE
50
0
0
VANGUARD REIT
ETF
922908553
530
7096
SH
SOLE
7096
0
0
VANGUARD MID CAP VALUE
ETF
922908512
222
2454
SH
SOLE
2454
0
0
VANGUARD MID CAP GROWTH
ETF
922908538
659
6185
SH
SOLE
6185
0
0
VANGUARD INTL EQUITY INDEX FDS
ETF
922042742
156
2530
SH
SOLE
2530
0
0
VANGUARD INDEX FDS STK MRK ETF
ETF
922908769
1299
12139
SH
SOLE
12139
0
0
VANGUARD INDEX FDS VALUE ETF
ETF
922908744
542
6499
SH
SOLE
6499
0
0
VANGUARD INDEX FDS GROWTH ETF
ETF
922908736
926
8648
SH
SOLE
8648
0
0
VANGUARD INTL EQUITY INDEX FD
ETF
922042858
192
4695
SH
SOLE
4695
0
0
VANGUARD STAR FD VANGUARD TOTA
ETF
921909768
48
948
SH
SOLE
948
0
0
BARCLAYS BK PLC IPATH S&P 500
ETF
06742E711
1
62
SH
SOLE
62
0
0
VANGUARD WHITEHALL FDS HIGH DI
ETF
921946406
514
7640
SH
SOLE
7640
0
0
SELECT SECTOR SPDR TR SBI INT-
ETF
81369Y605
391
16050
SH
SOLE
16050
0
0
SELECT SECTOR SPDR FD HEALTH C
ETF
81369Y209
43
579
SH
SOLE
579
0
0
DIREXION SHS ETF TR CHINA BULL
ETF
25459W771
4
98
SH
SOLE
98
0
0