0001062993-17-000922.txt : 20170214 0001062993-17-000922.hdr.sgml : 20170214 20170214141855 ACCESSION NUMBER: 0001062993-17-000922 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17607011 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 12-31-2016 12-31-2016 CAPTRUST FINANCIAL ADVISORS

4208 SIX FORKS ROAD, SUITE 1700 RALEIGH NC 27609

13F HOLDINGS REPORT 028-14079 N Denise M Buchanan 919-870-6822 /s/ Denise M Buchanan Raleigh NC 02-14-2017 0 191 1102312 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ISHARES MSCI ACWI INDEX MSCI A ETF 464288257 30 502 SH SOLE 502 0 0 ALLIANCEBERNSTEIN NATL MUNI IN ETF 01864U106 12 915 SH SOLE 915 0 0 ISHARES TR CORE U S AGGREGATE ETF 464287226 26587 246036 SH SOLE 246036 0 0 JP MORGAN EXCH TRADED NT ALERI ETF 46625H365 185 5858 SH SOLE 5858 0 0 POWERSHARES ETF FD TR II BUILD ETF 73937B407 7 245 SH SOLE 245 0 0 VANECK VECTORS ETF TR BDC INCO ETF 92189F411 18 1025 SH SOLE 1025 0 0 BLACKROCK INCOME TR INC COM ETF 09247F100 30 4687 SH SOLE 4687 0 0 VANGUARD BD INDEX FD INC LONG ETF 921937793 891 10000 SH SOLE 10000 0 0 VANGUARD TOTAL BOND MARKET ETF ETF 921937835 3868 47875 SH SOLE 47875 0 0 PIMCO ETF TR TOTAL RETURN EXCH ETF 72201R775 7183 68982 SH SOLE 68982 0 0 VANGUARD BD INDEX FD INC SHORT ETF 921937827 8329 104830 SH SOLE 104830 0 0 NUVEEN S&P 500 BUY-WRITE INCOM ETF 6706ER101 27 2111 SH SOLE 2111 0 0 TEUCRIUM COMMODITY TR SUGAR FD ETF 88166A409 3 200 SH SOLE 200 0 0 CALAMOS CONV OPP AND INC FD SH ETF 128117108 77 7621 SH SOLE 7621 0 0 ISHARES TR BARCLYS INTER CR ETF 464288638 4 34 SH SOLE 34 0 0 SSGA DOW JONES-UBS COMMODITY I ETF SM8244834 17064 1929835 SH SOLE 1929835 0 0 SSGA US TREASURY INFLATION PRE ETF SM8244842 9959 397543 SH SOLE 397543 0 0 SSGA/TUCKERMAN U.S. REIT INDEX ETF SM8244859 6601 190445 SH SOLE 190445 0 0 ISHARES TR BARCLYS 1-3YR CR ETF 464288646 104 988 SH SOLE 988 0 0 SPDR MSCI ACWI EX-US ETF 78463X848 224 7113 SH SOLE 7113 0 0 POWERSHS DB COMMDTY INDX ETF 73935S105 79 4995 SH SOLE 4995 0 0 WISDOMTREE TR EUROPE SMALLCAP ETF 97717W869 17 307 SH SOLE 307 0 0 WISDOMTREE TR EQUITY INCOME FD ETF 97717W208 310 4600 SH SOLE 4600 0 0 SPDR DOW JONES INDL AVERAGE TR ETF 78467X109 167 844 SH SOLE 844 0 0 GLOBAL X FDS GLOBAL X SUPERDIV ETF 37950E549 84 3410 SH SOLE 3410 0 0 BARCLAYS BANK IPATH ETN DJ UBS ETF 06738C778 2397 98945 SH SOLE 98945 0 0 PROSHARES SHORT DOW ETF 30 ETF 74347R701 16 850 SH SOLE 850 0 0 WISDOMTREE TR MIDCAP DIVID FD ETF 97717W505 2 21 SH SOLE 21 0 0 DOUBLELINE INCOME SOLUTIONS FD ETF 258622109 9 500 SH SOLE 500 0 0 ISHARES TRUST DOW JONES SELECT ETF 464287168 3737 42189 SH SOLE 42189 0 0 VANGUARD EXTENDED DURATION TRE ETF 921910709 0 3 SH SOLE 3 0 0 ISHARES MSCI EMRG MKT FD EMERG ETF 464287234 252 7190 SH SOLE 7190 0 0 ISHARES TR MSCI EAFE FD MSCI E ETF 464287465 229178 3969820 SH SOLE 3969820 0 0 ISHARES TR MSCI EAFE MINIMUM V ETF 46429B689 11353 185447 SH SOLE 185447 0 0 PROSHARES TR ULTRASHORT MSCI E ETF 74348A475 3 80 SH SOLE 80 0 0 ISHARES JPMORGAN EMERGING MARK ETF 464288281 2 16 SH SOLE 16 0 0 EATON VANCE ENH EQTY INC FD II ETF 278277108 41 3225 SH SOLE 3225 0 0 EATON VANCE TAX MANAGED ETF 27828N102 14 1327 SH SOLE 1327 0 0 EATON VANCE TAX ADVT DIV INCM ETF 27828G107 16 800 SH SOLE 800 0 0 ISHARES INC MSCI JAPAN ETF NEW ETF 46434G822 2 37 SH SOLE 37 0 0 FLAHERTY & CRMN/CLYMR PFD SEC ETF 338478100 74 3918 SH SOLE 3918 0 0 ISHARES TR FLTG RATE NT ETF ETF 46429B655 16 320 SH SOLE 320 0 0 VANECK VECTORS ETF TR ENVIRONM ETF 92189F668 20 1073 SH SOLE 1073 0 0 FIRST TR LARGE CAP GROWTH ALPH ETF 33735K108 7 148 SH SOLE 148 0 0 FIRST TR EXCHANGE TRADED FD VI ETF 33738R605 35 1500 SH SOLE 1500 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 357 3254 SH SOLE 3254 0 0 GLOBAL X MSCI GREECE ETF ETF 37950E366 3 330 SH SOLE 330 0 0 ISHARES S&P GSCI CMDTY COMMODI ETF 46428R107 692 44165 SH SOLE 44165 0 0 ETF MANAGERS TR PUREFUNDS ISE ETF 26924G201 5 200 SH SOLE 200 0 0 WISDOMTREE TR EUROPE HEDGED EQ ETF 97717X701 11 200 SH SOLE 200 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 53 3015 SH SOLE 3015 0 0 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 243 2807 SH SOLE 2807 0 0 ISHARES TR NASDAQ BIO INDEX ETF 464287556 120 453 SH SOLE 453 0 0 SPDR SER TR BARCLAYS INTL CORP ETF 78464A151 254 8239 SH SOLE 8239 0 0 I-SHARES TR COHEN & STEERS REA ETF 464287564 74 742 SH SOLE 742 0 0 ISHARES BARCLAYS 7-10 YR TREAS ETF 464287440 1522 14518 SH SOLE 14518 0 0 ISHARES INC CORE MSCI EMERGING ETF 46434G103 23 543 SH SOLE 543 0 0 ISHARES TR EUROPE ETF ETF 464287861 569 14672 SH SOLE 14672 0 0 ISHARES TR GLOBAL INFRASTRUCTU ETF 464288372 51 1315 SH SOLE 1315 0 0 ISHARES TR S&P/CITIGROUP INTL ETF 464288117 1 10 SH SOLE 10 0 0 ISHARES TR S&P MIDCAP 400 INDE ETF 464287507 9200 55646 SH SOLE 55646 0 0 ISHARES TR S&P MIDCP VALU ETF 464287705 18 122 SH SOLE 122 0 0 ISHARES S&P MIDCAP 400 GRTH FD ETF 464287606 14 78 SH SOLE 78 0 0 ISHARES TR S&P SMLCAP 600 ETF 464287804 8123 59068 SH SOLE 59068 0 0 ISHARES TR S&P SMLCP VALU ETF 464287879 60 428 SH SOLE 428 0 0 ISHARE S&P S/C 600 GRW ETF 464287887 229 1524 SH SOLE 1524 0 0 ISHARES TR S&P 500 /BAR VAL ETF 464287408 2483 24490 SH SOLE 24490 0 0 VANGUARD ADMIRAL FDS INC S&P M ETF 921932885 532 4776 SH SOLE 4776 0 0 ISHARES CORE S&P ETF S&P 500 I ETF 464287200 60951 270906 SH SOLE 270906 0 0 ISHARES TR S&P500 GRW ETF 464287309 4023 33035 SH SOLE 33035 0 0 ISHARES TR RUSSELL 1000 ETF 464287622 2567 20622 SH SOLE 20622 0 0 ISHARES TR RUSSELL1000VAL ETF 464287598 4835 43155 SH SOLE 43155 0 0 ISHARES TR RUSSELL1000GRW ETF 464287614 5578 53171 SH SOLE 53171 0 0 ISHARES TR RUSSELL 2000 INDEX ETF 464287655 2448 18150 SH SOLE 18150 0 0 ISHARES TR RUSSELL 2000 RUSSEL ETF 464287630 56 467 SH SOLE 467 0 0 ISHARES TR RUSSELL 2000 GROWTH ETF 464287648 1169 7595 SH SOLE 7595 0 0 ISHARES TR RUSSELL MID CAP GRO ETF 464287481 332 3409 SH SOLE 3409 0 0 ISHARES TR RUSSELL MIDCAP INDE ETF 464287499 1835 10259 SH SOLE 10259 0 0 ISHARES TR RUSSELL MCP VL ETF 464287473 70 875 SH SOLE 875 0 0 ISHARES TR RUSSELL 3000 RUSSEL ETF 464287689 17033 128090 SH SOLE 128090 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 53630 697040 SH SOLE 697040 0 0 ISHARES TR DOW JONES US TECHNO ETF 464287721 303 2521 SH SOLE 2521 0 0 NUVEEN EGY MLP TOTAL RTN ETF 67074U103 17 1279 SH SOLE 1279 0 0 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464A417 383 10504 SH SOLE 10504 0 0 NUVEEN QUALITY PFD INCOME FD 2 ETF 67072C105 168 18071 SH SOLE 18071 0 0 NUVEEN MULTI STRAT INC GR FD 2 ETF 67073D102 49 5500 SH SOLE 5500 0 0 KRANESHARES TR CSI CHINA INTER ETF 500767306 3 100 SH SOLE 100 0 0 KAYNE ANDERSON MLP INVT ETF 486606106 31 1566 SH SOLE 1566 0 0 ISHARES INC EMERGING MKTS LOCA ETF 464286517 10 244 SH SOLE 244 0 0 ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 128 1095 SH SOLE 1095 0 0 SPDR S&P MIDCAP 400 ETF ETF 78467Y107 36705 121649 SH SOLE 121649 0 0 ISHARES TRUST S&P NATL AMT FRE ETF 464288414 30235 279490 SH SOLE 279490 0 0 NUVEEN PA INVT QUALITY MUN FUN ETF 670972108 13 984 SH SOLE 984 0 0 NEUBERGER BERMAN REAL ESTATE S ETF 64190A103 6 1186 SH SOLE 1186 0 0 NUVEEN DIVID ADVANTAGE MUN INC ETF 67071L106 36 2494 SH SOLE 2494 0 0 NAVIGATOR HLDGS LTD SHS ISIN#M ETF Y62132108 15 1620 SH SOLE 1620 0 0 NUVEEN DIVID ADVANTAGE MUN FD ETF 67070X101 13 911 SH SOLE 911 0 0 ISHARES TR S&P 100 INDEX FD ETF 464287101 137 1379 SH SOLE 1379 0 0 VANECK VECTORS ETF OIL SVCS ET ETF 92189F718 136 4091 SH SOLE 4091 0 0 POWERSHARES GLOBAL EXCH RAFU A ETF 73936T854 7 138 SH SOLE 138 0 0 ISHARES S&P US PREFERRED STOCK ETF 464288687 6718 180535 SH SOLE 180535 0 0 PROOFPOINT INC COM ETF 743424103 39 558 SH SOLE 558 0 0 POWERSHARES ETF TRUST FINL PFD ETF 73935X229 39 2169 SH SOLE 2169 0 0 POWERSHARES ETF TRUST WATER RE ETF 73935X575 53 2146 SH SOLE 2146 0 0 SPROTT PHYSICAL GOLD TR UNIT ETF 85207H104 38 4000 SH SOLE 4000 0 0 POWERSHARES INTL DIVD ACHIEVER ETF 73935X716 160 11122 SH SOLE 11122 0 0 POWERSHARES EXCHANGE-TRADED FD ETF 73935X799 14 250 SH SOLE 250 0 0 POWERSHARES EXCH TRD FD TR FTS ETF 73935X583 27 276 SH SOLE 276 0 0 SPROTT PHYSICAL SILVER TR UNIT ETF 85207K107 12 2000 SH SOLE 2000 0 0 PIMCO CORPORATE OPP FD COM ETF 72201B101 98 6868 SH SOLE 6868 0 0 POWERSHS EXCH TRAD FD TR INSUR ETF 73936T474 57 2301 SH SOLE 2301 0 0 INDEX IQ TR IQ ETF HEDGE MFCE ETF 45409B107 40 1392 SH SOLE 1392 0 0 POWERSHARES QQQ TRUST UNIT SER ETF 73935A104 317 2675 SH SOLE 2675 0 0 ISHARES TR MTG REAL ESTATE CAP ETF 46435G342 21 500 SH SOLE 500 0 0 ROYCE GLOBAL VALUE TR INC COM ETF 78081T104 9 1135 SH SOLE 1135 0 0 RYDEX ETF TR GUGGENHEIM S&P 50 ETF 78355W106 318 3670 SH SOLE 3670 0 0 VANECK VECTORS ETF TR RUSSIA E ETF 92189F403 5 250 SH SOLE 250 0 0 ROYCE VALUE TR INC COM ETF 780910105 73 5469 SH SOLE 5469 0 0 SPDR DOW JONES REIT ETF ETF 78464A607 30 4000 SH SOLE 4000 0 0 PROSHARES TR PROSHARES ULTRA H ETF 74347R735 6 100 SH SOLE 100 0 0 SCHWAB US BROAD MARKET ETF ETF 808524102 4868 89849 SH SOLE 89849 0 0 SCHWAB STRATEGIC TR US DIVIDEN ETF 808524797 422 9686 SH SOLE 9686 0 0 SCHWAB STRATEGIC TR INTL EQUIT ETF 808524805 66 2369 SH SOLE 2369 0 0 SCHWAB STRATEGIC TR US REIT ET ETF 808524847 408 9934 SH SOLE 9934 0 0 SCHWAB US AGGREGATE BOND ETF ETF 808524839 15551 301968 SH SOLE 301968 0 0 ISHARES TR MSCI EAFE SMALL CAP ETF 464288273 47 945 SH SOLE 945 0 0 SPDR S&P DIVIDEND ETF ETF 78464A763 1518 17738 SH SOLE 17738 0 0 PROSHARES TR SHORT S&P 500 NEW ETF 74347B425 6 175 SH SOLE 175 0 0 SPDR SER TR NUVEEN BARCLAYS SH ETF 78468R739 3181 66363 SH SOLE 66363 0 0 ISHARES TR BARCLYS 1-3 YR TREA ETF 464287457 711 8420 SH SOLE 8420 0 0 ISHARES TR 0-5 YR HIGH YIELD C ETF 46434V407 5243 110744 SH SOLE 110744 0 0 GLOBAL X FDS GLOBAL X SILVER M ETF 37954Y848 9 285 SH SOLE 285 0 0 ETFS SILVER TR SILVER SHS ETF ETF 26922X107 20 1300 SH SOLE 1300 0 0 SPDR SER TR S&P 600 SMALL CAP ETF 78464A300 564 4740 SH SOLE 4740 0 0 POWERSHARES EXCHANGE-TRADED FD ETF 73937B779 617 14833 SH SOLE 14833 0 0 SPDR S&P 500 ETF TR EXPIRING 0 ETF 78462F103 405343 1813374 SH SOLE 1813374 0 0 SPDR BLACKSTONE / GSO SENIOR L ETF 78467V608 12 250 SH SOLE 250 0 0 PROSHARES TR ULTRASHORT REAL E ETF 74348A244 1 30 SH SOLE 30 0 0 ISHARES TR S&P SHORT TERM NATL ETF 464288158 5 50 SH SOLE 50 0 0 CAMBRIA ETF TR SHAREHOLDER YIE ETF 132061201 12 380 SH SOLE 380 0 0 PROSHARES TR SHORT 20 YR TREA ETF 74347X849 119 5000 SH SOLE 5000 0 0 PROSHARES TR PROSHARES ULTRASH ETF 74347B201 82 2000 SH SOLE 2000 0 0 SPDR SER TR NUVEEN BARCLAYS MU ETF 78468R721 192 4052 SH SOLE 4052 0 0 ISHARES TR BARCLAYS TIPS BOND ETF 464287176 2743 24240 SH SOLE 24240 0 0 ISHARES TR BARCLAYS 20 YR ETF 464287432 40 336 SH SOLE 336 0 0 SSGA ACTIVE ETF TR SPDR DOBLEL ETF 78467V848 81 1673 SH SOLE 1673 0 0 TCW STRATEGIC INCOME FD INC ETF 872340104 11 2000 SH SOLE 2000 0 0 PROSHARES TR II ULTRA BLOOMBER ETF 74347W320 6 536 SH SOLE 536 0 0 MORGAN STANLEY MARKET VECTORS ETF 617480272 23 1500 SH SOLE 1500 0 0 CREDIT SUISSE AG NASSAU BRANCH ETF 22539T597 5 400 SH SOLE 400 0 0 ISHARES TR MSCI USA MINIMUM VO ETF 46429B697 770 17035 SH SOLE 17035 0 0 PROSHARES TR II ULTRA VIX SHOR ETF 74347W254 1 60 SH SOLE 60 0 0 VANGUARD INDEX FDS SMALL CP ET ETF 922908751 302 2341 SH SOLE 2341 0 0 VANGUARD SMALL CAP GRWTH ETF 922908595 926 6954 SH SOLE 6954 0 0 VANGUARD SMALL CAP VALUE ETF 922908611 350 2894 SH SOLE 2894 0 0 VANGUARD SCOTTSDALE FDS VANGUA ETF 92206C409 1922 24210 SH SOLE 24210 0 0 VANGUARD ENERGY ETF ETF 92204A306 2 18 SH SOLE 18 0 0 VANGUARD EUROPE PACIFIC ETF ETF 921943858 7188 196726 SH SOLE 196726 0 0 VANGUARD INTL EQUITY INDEX FTS ETF 922042775 486 11002 SH SOLE 11002 0 0 VANGUARD INTL EQUITY INDEX FDS ETF 922042874 2899 60472 SH SOLE 60472 0 0 VANGUARD DIV APPRCIATION ETF 921908844 11449 134411 SH SOLE 134411 0 0 VANGUARD ADMIRAL FDS INC S&P S ETF 921932828 256 2058 SH SOLE 2058 0 0 VANGUARD REIT ETF 922908553 3137 38007 SH SOLE 38007 0 0 VANGUARD INTL EQUITY INDEX FDS ETF 922042676 1 13 SH SOLE 13 0 0 VANGUARD INDEX FDS MID CAP ETF ETF 922908629 2241 17023 SH SOLE 17023 0 0 VANGUARD MID CAP VALUE ETF 922908512 315 3246 SH SOLE 3246 0 0 VANGUARD INDEX FDS S&P 500 ETF ETF 922908363 1336 6509 SH SOLE 6509 0 0 VANGUARD MID CAP GROWTH ETF 922908538 852 8067 SH SOLE 8067 0 0 VANGUARD INTL EQUITY INDEX FDS ETF 922042742 474 7778 SH SOLE 7778 0 0 VANGUARD INDEX FDS STK MRK ETF ETF 922908769 210 1824 SH SOLE 1824 0 0 VANGUARD MALVERN SHORT-TERM IN ETF 922020805 2 46 SH SOLE 46 0 0 VANGUARD INDEX FDS VALUE ETF ETF 922908744 1204 12947 SH SOLE 12947 0 0 VANGUARD INDEX FDS GROWTH ETF ETF 922908736 1220 10947 SH SOLE 10947 0 0 VANGUARD INTL EQUITY INDEX FD ETF 922042858 35888 1003005 SH SOLE 1003005 0 0 VANGUARD STAR FD VANGUARD TOTA ETF 921909768 286 6236 SH SOLE 6236 0 0 VANGUARD WHITEHALL FDS HIGH DI ETF 921946406 1029 13574 SH SOLE 13574 0 0 SELECT SECTOR SPDR TR MATLS ETF 81369Y100 2 39 SH SOLE 39 0 0 SECTOR SPDR ENERGY ETF 81369Y506 37 497 SH SOLE 497 0 0 SELECT SECTOR SPDR TR SBI INT- ETF 81369Y605 218 9375 SH SOLE 9375 0 0 SECTOR SPDR INDL SELECT SHARES ETF 81369Y704 5 87 SH SOLE 87 0 0 SELECT SECTOR SPDR TR SBI INT- ETF 81369Y803 197 4065 SH SOLE 4065 0 0 SECTOR SPDR CONSMRS STPL ETF 81369Y308 151 2916 SH SOLE 2916 0 0 SELECT SECTOR SPDR TR REAL EST ETF 81369Y860 9 299 SH SOLE 299 0 0 SELECT SECTOR SPDR TR SBI INT- ETF 81369Y886 55 1138 SH SOLE 1138 0 0 SELECT SECTOR SPDR FD HEALTH C ETF 81369Y209 194 2820 SH SOLE 2820 0 0 SELECT SECTOR SPDR FD CONSUMER ETF 81369Y407 101 1238 SH SOLE 1238 0 0 SPDR SER TR S&P TELECOM ETF ETF 78464A540 4 51 SH SOLE 51 0 0 DIREXION SHS ETF TR CHINA BULL ETF 25459W771 1 98 SH SOLE 98 0 0