0001062993-15-006016.txt : 20151113 0001062993-15-006016.hdr.sgml : 20151113 20151112183917 ACCESSION NUMBER: 0001062993-15-006016 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151113 DATE AS OF CHANGE: 20151112 EFFECTIVENESS DATE: 20151113 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-14079 FILM NUMBER: 151226381 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 1 primary_doc.xml 13F-HR LIVE false true false 0001512024 XXXXXXXX 09-30-2015 09-30-2015 CAPTRUST FINANCIAL ADVISORS

4208 SIX FORKS ROAD, SUITE 1700 RALEIGH NC 27609

13F HOLDINGS REPORT 028-14079 N Denise M Buchanan 919-870-6822 /denise m buchanan/ Raleigh NC 11-12-2015 0 187 744163 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE CAMBIUM LEARNING GRP INC COM ETF 13201A107 5 1000 SH SOLE 1000 0 0 ALLIANCEBERNSTEIN INCOME FUND ETF 01881E101 42 5290 SH SOLE 5290 0 0 ISHARES MSCI ACWI INDEX MSCI A ETF 464288257 63 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 20940 191097 SH SOLE 191097 0 0 JP MORGAN EXCH TRADED NT ALERI ETF 46625H365 5096 167695 SH SOLE 167695 0 0 ALPS ETF TR ALERIAN MLP ETF ETF 00162Q866 19 1500 SH SOLE 1500 0 0 BABSON CAP GLOBAL SHORT DURATI ETF 05617T100 69 4000 SH SOLE 4000 0 0 MARKET VECTORS ETF TR BUSINESS ETF 57060U316 16 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 46 564 SH SOLE 564 0 0 PIMCO ETF TR TOTAL RETURN EXCH ETF 72201R775 36 340 SH SOLE 340 0 0 CLAYMORE EXCHANGE-TRADED FD TR ETF 18383M423 50 1950 SH SOLE 1950 0 0 VANGUARD BD INDEX FD INC SHORT ETF 921937827 91 1128 SH SOLE 1128 0 0 NUVEEN S&P 500 BUY-WRITE INCOM ETF 6706ER101 26 2111 SH SOLE 2111 0 0 CLEARBRIDGE ENERGY MLP FD INC ETF 184692101 21 1230 SH SOLE 1230 0 0 CALAMOS CONV OPP AND INC FD SH ETF 128117108 47 4721 SH SOLE 4721 0 0 ISHARES TR BARCLYS 1-3YR CR ETF 464288646 97 926 SH SOLE 926 0 0 SPDR MSCI ACWI EX-US ETF 78463X848 290 9541 SH SOLE 9541 0 0 POWERSHS DB COMMDTY INDX ETF 73935S105 277 18313 SH SOLE 18313 0 0 WISDOMTREE TR EUROPE SMALLCAP ETF 97717W869 17 307 SH SOLE 307 0 0 WISDOMTREE TR EQUITY INCOME FD ETF 97717W208 256 4600 SH SOLE 4600 0 0 SPDR DOW JONES INDL AVERAGE TR ETF 78467X109 56 344 SH SOLE 344 0 0 GLOBAL X FDS GLOBAL X SUPERDIV ETF 37950E291 82 3410 SH SOLE 3410 0 0 BARCLAYS BANK IPATH ETN DJ UBS ETF 06738C778 11284 461519 SH SOLE 461519 0 0 PROSHARES SHORT DOW ETF 30 ETF 74347R701 17 700 SH SOLE 700 0 0 DOUBLELINE INCOME SOLUTIONS FD ETF 258622109 9 500 SH SOLE 500 0 0 BLACKROCK DEBT STRATEGIES FUND ETF 09255R103 5 1500 SH SOLE 1500 0 0 ISHARES TRUST DOW JONES SELECT ETF 464287168 1370 18834 SH SOLE 18834 0 0 WISDOMTREE JPN HDGD EQTY JAPAN ETF 97717W851 278 5718 SH SOLE 5718 0 0 VANGUARD EXTENDED DURATION TRE ETF 921910709 0 2 SH SOLE 2 0 0 ISHARES MSCI EMRG MKT FD EMERG ETF 464287234 190 5789 SH SOLE 5789 0 0 ISHARES TR MSCI EAFE FD MSCI E ETF 464287465 78233 1364852 SH SOLE 1364852 0 0 EATON VANCE FLTING RATE INC TR ETF 278279104 46 3500 SH SOLE 3500 0 0 ISHARES JPMORGAN EMERGING MARK ETF 464288281 59 558 SH SOLE 558 0 0 ISHARES INC EMERGING MKTS HIGH ETF 464286285 16 354 SH SOLE 354 0 0 EATON VANCE ENH EQTY INC FD II ETF 278277108 79 6225 SH SOLE 6225 0 0 PROSHARES TR ULTRASHORT FTSE E ETF 74348A434 6 90 SH SOLE 90 0 0 EATON VANCE TAX MANAGED ETF 27828N102 39 3822 SH SOLE 3822 0 0 EATON VANCE MUNI TR NATL ETF 27826U108 26 2033 SH SOLE 2033 0 0 ISHARES MSCI SWEDEN INDEX FD ETF 464286756 22 768 SH SOLE 768 0 0 ISHARES INC MSCI HONG KONG ETF 464286871 23 1190 SH SOLE 1190 0 0 ISHARES MSCI JAPAN ETF INDEX ETF 464286848 4 370 SH SOLE 370 0 0 ISHARES MSCI SWITZERLAND INDEX ETF 464286749 23 742 SH SOLE 742 0 0 ISHARES MSCI SPAIN INDEX FD ETF 464286764 22 742 SH SOLE 742 0 0 ISHARES INC MSCI SINGAPORE ETF 464286673 23 2213 SH SOLE 2213 0 0 ISHARES INC MSCI TAIWAN ETF 464286731 26 1946 SH SOLE 1946 0 0 PROSHARES TR ULTRASHORT MSCI J ETF 74348A459 6 100 SH SOLE 100 0 0 ISHARES MSCI MSCI S KOREA IND ETF 464286772 24 487 SH SOLE 487 0 0 WISDOMTREE TR LARGECAP VALUE F ETF 97717W547 31 500 SH SOLE 500 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 32 641 SH SOLE 641 0 0 COHEN & STEERS CLOSED-END OPPO ETF 19248P106 12 1123 SH SOLE 1123 0 0 MARKET VECTORS ETF TR UNCONVEN ETF 57060U159 16 1073 SH SOLE 1073 0 0 FIRST TR LARGE CAP GROWTH ALPH ETF 33735K108 7 148 SH SOLE 148 0 0 FULL CIRCLE CAP CORP COM ETF 359671104 58 19000 SH SOLE 19000 0 0 FIRST TR EXCHANGE TRADED FD VI ETF 33738R605 33 1500 SH SOLE 1500 0 0 PROSHARES TR ULTRASHORT FTSE C ETF 74348A350 5 100 SH SOLE 100 0 0 GUGGENHEIM ENHANCED EQUITY STR ETF 40167K100 3 231 SH SOLE 231 0 0 GAMCO GLOBAL GOLD NAT RES & IN ETF 36465A109 6 1221 SH SOLE 1221 0 0 SPDR GOLD TRUST SPDR GOLD SHAR ETF 78463V107 337 3156 SH SOLE 3156 0 0 ISHARES S&P GSCI CMDTY COMMODI ETF 46428R107 556 32556 SH SOLE 32556 0 0 WISDOMTREE TR EUROPE HEDGED EQ ETF 97717X701 25 450 SH SOLE 450 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 32 1901 SH SOLE 1901 0 0 MARKET VECTORS ETF TR EMERGING ETF 57061R403 28 1223 SH SOLE 1223 0 0 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 233 2803 SH SOLE 2803 0 0 PIMCO ETF 0-5 YR HIGH YIELD CO ETF 72201R783 27 287 SH SOLE 287 0 0 ISHARES COMEX GOLD TR ISHARES ETF 464285105 32 3000 SH SOLE 3000 0 0 ISHARES TR NASDAQ BIO INDEX ETF 464287556 155 512 SH SOLE 512 0 0 SPDR SER TR BARCLAYS INTL CORP ETF 78464A151 431 13746 SH SOLE 13746 0 0 I-SHARES TR COHEN & STEERS REA ETF 464287564 59 640 SH SOLE 640 0 0 ISHARES BARCLAYS 7-10 YR TREAS ETF 464287440 3219 29839 SH SOLE 29839 0 0 ISHARES TR BARCLAYS BOND BARCL ETF 464288661 7 54 SH SOLE 54 0 0 ISHARES INC CORE MSCI EMERGING ETF 46434G103 68 1705 SH SOLE 1705 0 0 ISHARES TR S&P GSSI NATURAL RE ETF 464287374 18 610 SH SOLE 610 0 0 ISHARES TR S&P MIDCAP 400 INDE ETF 464287507 5732 41961 SH SOLE 41961 0 0 ISHARES S&P MIDCAP 400 GRTH FD ETF 464287606 11 70 SH SOLE 70 0 0 ISHARES TR S&P SMLCAP 600 ETF 464287804 4891 45894 SH SOLE 45894 0 0 ISHARE S&P S/C 600 GRW ETF 464287887 10 84 SH SOLE 84 0 0 ISHARES TR S&P 500 /BAR VAL ETF 464287408 9 106 SH SOLE 106 0 0 VANGUARD ADMIRAL FDS INC S&P M ETF 921932885 395 4293 SH SOLE 4293 0 0 ISHARES CORE S&P ETF S&P 500 I ETF 464287200 54459 282597 SH SOLE 282597 0 0 ISHARES TR S&P500 GRW ETF 464287309 13 124 SH SOLE 124 0 0 ISHARES TR RUSSELL 1000 ETF 464287622 2168 20249 SH SOLE 20249 0 0 ISHARES TR RUSSELL1000VAL ETF 464287598 11 115 SH SOLE 115 0 0 ISHARES TR RUSSELL1000GRW ETF 464287614 104 1115 SH SOLE 1115 0 0 ISHARES TR RUSSELL 2000 INDEX ETF 464287655 26492 242605 SH SOLE 242605 0 0 ISHARES TR RUSSELL 2000 RUSSEL ETF 464287630 108 1198 SH SOLE 1198 0 0 ISHARES TR RUSSELL 2000 GROWTH ETF 464287648 31 234 SH SOLE 234 0 0 ISHARES TR RUSSELL MID CAP GRO ETF 464287481 67 751 SH SOLE 751 0 0 ISHARES TR RUSSELL MIDCAP INDE ETF 464287499 888 5707 SH SOLE 5707 0 0 ISHARES TR RUSSELL MCP VL ETF 464287473 47 699 SH SOLE 699 0 0 ISHARES TR RUSSELL 3000 RUSSEL ETF 464287689 18025 158268 SH SOLE 158268 0 0 ISHARES TR RUSSELL TOP 200 GRO ETF 464289438 4 89 SH SOLE 89 0 0 ISHARES TR DOW JONES RE US REA ETF 464287739 51899 731492 SH SOLE 731492 0 0 NUVEEN EGY MLP TOTAL RTN ETF 67074U103 14 1090 SH SOLE 1090 0 0 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464A417 111 3110 SH SOLE 3110 0 0 NUVEEN QUALITY PFD INCOME FD 2 ETF 67072C105 125 14270 SH SOLE 14270 0 0 NUVEEN MULTI STRAT INC GR FD 2 ETF 67073D102 44 5500 SH SOLE 5500 0 0 ISHARES INC EMERGING MKTS LOCA ETF 464286517 10 244 SH SOLE 244 0 0 ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 252 2175 SH SOLE 2175 0 0 ISHARES TR BARCLYS MBS BD ETF 464288588 28 257 SH SOLE 257 0 0 SPDR S&P MIDCAP 400 ETF ETF 78467Y107 39798 159900 SH SOLE 159900 0 0 WESTERN ASSET HIGH INCOME FD I ETF 95766N103 14 1895 SH SOLE 1895 0 0 ISHARES TRUST S&P NATL AMT FRE ETF 464288414 248 2268 SH SOLE 2268 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 241 18901 SH SOLE 18901 0 0 NUVEEN PREM INCOME MUN FD 2 CO ETF 67063W102 36 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 35 2665 SH SOLE 2665 0 0 NUVEEN PA INVT QUALITY MUN FUN ETF 670972108 13 984 SH SOLE 984 0 0 NUVEEN SELECT QUALITY MUN FD C ETF 670973106 162 12083 SH SOLE 12083 0 0 NAVIGATOR HLDGS LTD SHS ISIN#M ETF Y62132108 13 1000 SH SOLE 1000 0 0 ISHARES TR S&P 100 INDEX FD ETF 464287101 85 1000 SH SOLE 1000 0 0 SPDR RUSSELL 1000 ETF ETF 78464A854 30 329 SH SOLE 329 0 0 POWERSHARES GLOBAL EXCH RAFU A ETF 73936T854 11 274 SH SOLE 274 0 0 ISHARES S&P U S PFD FUND S&P U ETF 464288687 1069 27707 SH SOLE 27707 0 0 PIMCO FLOATING RATE INCOME FD ETF 72201H108 39 4000 SH SOLE 4000 0 0 PIMCO FLOATING RATE STRTGY FD ETF 72201J104 22 2500 SH SOLE 2500 0 0 POWERSHARES ETF TRUST FINL PFD ETF 73935X229 32 1769 SH SOLE 1769 0 0 POWERSHARES ETF TRUST WATER RE ETF 73935X575 44 2146 SH SOLE 2146 0 0 POWERSHARES INTL DIVD ACHIEVER ETF 73935X716 208 14411 SH SOLE 14411 0 0 POWERSHARES EXCH TRD FD TR FTS ETF 73935X583 23 274 SH SOLE 274 0 0 PIMCO CORPORATE OPP FD COM ETF 72201B101 97 7291 SH SOLE 7291 0 0 POWERSHARES GLOBAL EXH FTSE DE ETF 73936T789 15 425 SH SOLE 425 0 0 POWERSHS EXCH TRAD FD TR INSUR ETF 73936T474 91 3637 SH SOLE 3637 0 0 INDEX IQ TR IQ ETF HEDGE MFCE ETF 45409B107 6852 237921 SH SOLE 237921 0 0 ISHARES TR MTG REAL ESTATE CAP ETF 464288539 20 2000 SH SOLE 2000 0 0 ROYCE GLOBAL VALUE TR INC COM ETF 78081T104 8 1105 SH SOLE 1105 0 0 RYDEX ETF TR GUGGENHEIM S&P 50 ETF 78355W106 204 2775 SH SOLE 2775 0 0 ROYCE VALUE TR INC COM ETF 780910105 107 9262 SH SOLE 9262 0 0 SPDR DOW JONES REIT ETF ETF 78464A607 35 405 SH SOLE 405 0 0 PROSHARES TR PROSHARES ULTRA H ETF 74347R735 28 484 SH SOLE 484 0 0 SCHWAB US BROAD MARKET ETF ETF 808524102 9638 207796 SH SOLE 207796 0 0 SCHWAB STRATEGIC TR US DIVIDEN ETF 808524797 348 9686 SH SOLE 9686 0 0 SCHWAB STRATEGIC TR INTL EQUIT ETF 808524805 14926 545341 SH SOLE 545341 0 0 SCHWAB US AGGREGATE BOND ETF ETF 808524839 8 156 SH SOLE 156 0 0 SPDR SER TR SPDR BARCLAYS CAPI ETF 78464A474 127 4155 SH SOLE 4155 0 0 SPDR S&P DIVIDEND ETF ETF 78464A763 720 9981 SH SOLE 9981 0 0 PROSHARES SHORT S&P 500 NON-TR ETF 74347R503 8 350 SH SOLE 350 0 0 SPDR NUVEEN BARCLAY EFT MANAGE ETF 78464A425 221 9079 SH SOLE 9079 0 0 SPDR SER TR SHORT TERM HIGH YI ETF 78468R408 57 2108 SH SOLE 2108 0 0 POWERSHARES EXCHANGE-TRADED FD ETF 73937B779 481 13368 SH SOLE 13368 0 0 SPDR S&P 500 ETF TR EXPIRING 0 ETF 78462F103 325186 1696949 SH SOLE 1696949 0 0 PROSHARES TR ULTRASHORT REAL E ETF 74348A244 2 30 SH SOLE 30 0 0 CAMBRIA ETF TR SHAREHOLDER YIE ETF 132061201 11 380 SH SOLE 380 0 0 PROSHARES TR SHORT 20+ YR TREA ETF 74347X849 118 4800 SH SOLE 4800 0 0 PROSHARES TR PROSHARES ULTRASH ETF 74347B201 22 500 SH SOLE 500 0 0 SPDR BARCLAYS CAPITAL MUNICIPA ETF 78464A458 284 11784 SH SOLE 11784 0 0 ISHARES TR BARCLAYS TIPS BOND ETF 464287176 2294 20720 SH SOLE 20720 0 0 ISHARES TR BARCLAYS 20+ YR ETF 464287432 73 588 SH SOLE 588 0 0 SSGA ACTIVE ETF TR SPDR DOBLEL ETF 78467V848 83 1673 SH SOLE 1673 0 0 TCW STRATEGIC INCOME FD INC ETF 872340104 10 2000 SH SOLE 2000 0 0 PROSHARES TR II ULTRA BLOOMBER ETF 74347W320 12 536 SH SOLE 536 0 0 MORGAN STANLEY MARKET VECTORS ETF 617480272 27 1500 SH SOLE 1500 0 0 UNITED STATES OIL FUND LP UNIT ETF 91232N108 307 20900 SH SOLE 20900 0 0 VANGUARD INDEX FDS SMALL CP ET ETF 922908751 7979 73911 SH SOLE 73911 0 0 VANGUARD SMALL CAP GRWTH ETF 922908595 387 3285 SH SOLE 3285 0 0 VANGUARD SMALL CAP VALUE ETF 922908611 482 4979 SH SOLE 4979 0 0 VANGUARD SCOTTSDALE FDS VANGUA ETF 92206C870 45 526 SH SOLE 526 0 0 VANGUARD WORLD FDS VANGUARD CO ETF 92204A207 271 2235 SH SOLE 2235 0 0 VANGUARD EUROPE PACIFIC ETF ETF 921943858 1118 31370 SH SOLE 31370 0 0 VANGUARD INTL EQUITY INDEX FTS ETF 922042775 414 9720 SH SOLE 9720 0 0 VANGUARD INTL EQUITY INDEX FDS ETF 922042874 7347 149390 SH SOLE 149390 0 0 VANGUARD WORLD FDS VANGUARD IN ETF 92204A702 71 710 SH SOLE 710 0 0 VANGUARD DIV APPRCIATION ETF 921908844 10610 143889 SH SOLE 143889 0 0 VANGUARD ADMIRAL FDS INC S&P S ETF 921932828 178 1831 SH SOLE 1831 0 0 VANGUARD REIT ETF 922908553 555 7341 SH SOLE 7341 0 0 VANGUARD INDEX FDS MID CAP ETF ETF 922908629 13238 113469 SH SOLE 113469 0 0 VANGUARD MID CAP VALUE ETF 922908512 204 2454 SH SOLE 2454 0 0 VANGUARD SCOTTSDALE FDS VANGUA ETF 92206C730 0 1 SH SOLE 1 0 0 VANGUARD INDEX FDS S&P 500 ETF ETF 922908363 1007 5728 SH SOLE 5728 0 0 VANGUARD MID CAP GROWTH ETF 922908538 618 6357 SH SOLE 6357 0 0 VANGUARD INTL EQUITY INDEX FDS ETF 922042742 140 2530 SH SOLE 2530 0 0 VANGUARD INDEX FDS STK MRK ETF ETF 922908769 1168 11827 SH SOLE 11827 0 0 VANGUARD INDEX FDS VALUE ETF ETF 922908744 648 8442 SH SOLE 8442 0 0 VANGUARD SCOTTSDALE FDS VANGUA ETF 92206C623 117 1200 SH SOLE 1200 0 0 VANGUARD INDEX FDS GROWTH ETF ETF 922908736 916 9131 SH SOLE 9131 0 0 VANGUARD INTL EQUITY INDEX FD ETF 922042858 66 1997 SH SOLE 1997 0 0 BARCLAYS BK PLC IPATH S&P 500 ETF 06742E711 2 62 SH SOLE 62 0 0 VANGUARD WHITEHALL FDS HIGH DI ETF 921946406 313 5000 SH SOLE 5000 0 0 SELECT SECTOR SPDR TR SBI INT- ETF 81369Y605 704 31050 SH SOLE 31050 0 0 SECTOR SPDR INDL SELECT SHARES ETF 81369Y704 2 50 SH SOLE 50 0 0 SELECT SECTOR SPDR FD HEALTH C ETF 81369Y209 38 579 SH SOLE 579 0 0 DIREXION SHS ETF TR CHINA BULL ETF 25459W771 2 98 SH SOLE 98 0 0