0001512779-15-000014.txt : 20150814
0001512779-15-000014.hdr.sgml : 20150814
20150814171650
ACCESSION NUMBER: 0001512779-15-000014
CONFORMED SUBMISSION TYPE: 13F-HR
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: ROCKY MOUNTAIN ADVISERS, LLC
CENTRAL INDEX KEY: 0001512779
IRS NUMBER: 263301611
STATE OF INCORPORATION: AK
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14185
FILM NUMBER: 151057103
BUSINESS ADDRESS:
STREET 1: 2344 SPRUCE STREET
STREET 2: SUITE A
CITY: BOULDER
STATE: CO
ZIP: 80302
BUSINESS PHONE: 303-444-5483
MAIL ADDRESS:
STREET 1: 2344 SPRUCE STREET
STREET 2: SUITE A
CITY: BOULDER
STATE: CO
ZIP: 80302
FORMER COMPANY:
FORMER CONFORMED NAME: Rocky Mountain Advisers, LLC
DATE OF NAME CHANGE: 20110210
13F-HR
1
primary_doc.xml
13F-HR
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false
false
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0001512779
XXXXXXXX
06-30-2015
06-30-2015
ROCKY MOUNTAIN ADVISERS, LLC
2344 SPRUCE STREET
SUITE A
BOULDER
CO
80302
13F COMBINATION REPORT
028-14185
0001307493
028-10971
STEWART WEST INDIES TRADING CO., LTD
N
Nicole Murphey
Vice President
303-444-5483
Nicole Murphey
Boulder
CO
08-14-2015
0
259
15855
false
INFORMATION TABLE
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CL A
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552
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3M CO
COM
88579Y101
533
3454
SH
SOLE
0
0
3454
AON PLC
SHS CL A
G0408V102
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16
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SOLE
0
0
16
ASML HOLDING N V
N Y REGISTRY SHS
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20
SH
SOLE
0
0
20
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COM
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21
1517
SH
SOLE
0
0
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COM
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25
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COM
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3
16
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SOLE
0
0
16
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COM NEW
015384209
5
4350
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SOLE
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4350
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COM
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106
8000
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8000
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COM
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160
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160
AMERICAN EXPRESS CO
COM
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AMERICAN SOFTWARE INC
CL A
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COM
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COM
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250
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250
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COM
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27
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COM
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230
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APPLE INC
COM
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1078
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ORD
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230
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COM
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COM
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85
600
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600
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COM
084423102
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49
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0
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49
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CL B NEW
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11714
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COM
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1000
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1427
169095
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COM
110122108
20
300
SH
SOLE
0
0
300
BROOKFIELD ASSET MGMT INC
CL A LTD VT SH
112585104
3
85
SH
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0
85
BROWN & BROWN INC
COM
115236101
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68
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68
BROWN FORMAN CORP
CL B
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22
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COM
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43
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0
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COM
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34
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0
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COM
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48
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COM
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34
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0
0
34
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CL B
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158
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CDW CORP
COM
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34
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COM
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COM
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CHECK POINT SOFTWARE TECH LT
ORD
M22465104
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COM
163072101
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19
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SOLE
0
0
19
CHEVRON CORP NEW
COM
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141
1458
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SOLE
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SPONSORED ADR
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CINCINNATI FINL CORP
COM
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125
2500
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0
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2500
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COM
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57
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SOLE
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CISCO SYS INC
COM
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38
1400
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CITIGROUP INC
COM NEW
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600
SH
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CLARCOR INC
COM
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COM
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COM
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COHEN & STEERS INFRASTRUCTUR
COM
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COM
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CONOCOPHILLIPS
COM
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COPART INC
COM
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0
62
CORPORATE EXECUTIVE BRD CO
COM
21988R102
3
38
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COM
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CROWN HOLDINGS INC
COM
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0
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COM
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COM
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DIRECTV
COM
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COM SER C
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COM DISNEY
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COM
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DU PONT E I DE NEMOURS & CO
COM
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44
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COM NEW
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100
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COM
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0
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COM NON VTG
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SH
SOLE
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58
EBAY INC
COM
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1
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SH
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0
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ECOLAB INC
COM
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11
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0
0
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ENBRIDGE INC
COM
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0
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COM
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42
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0
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EVERSOURCE ENERGY
COM
30040W108
7
150
SH
SOLE
0
0
150
EXELON CORP
COM
30161N101
45
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SH
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0
0
1440
EXPEDITORS INTL WASH INC
COM
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2
36
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COM
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188
2261
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FASTENAL CO
COM
311900104
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26
FIRST CASH FINL SVCS INC
COM
31942D107
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COM
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COM
34959E109
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FREEPORT-MCMORAN INC
CL B
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26
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COM
369604103
40
1500
SH
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1500
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COM
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67
1200
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1200
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*W EXP 07/10/201
37045V118
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*W EXP 07/10/201
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COM
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COM
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COM
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CL A
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CL C
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COM
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COM
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COM
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COM
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4000
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COM
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39
HOME DEPOT INC
COM
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COM
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COM
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511
SH
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511
IAMGOLD CORP
COM
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6
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SH
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0
0
3000
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COM
452308109
2
17
SH
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0
0
17
INTEL CORP
COM
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40
1300
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0
0
1300
INTERCONTINENTAL EXCHANGE IN
COM
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COM
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431
2650
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2650
INTUITIVE SURGICAL INC
COM NEW
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7
15
SH
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0
0
15
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CORE US AGGBD ET
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ISHARES
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MSCI AUST ETF
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450
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SELECT DIVID ETF
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178
2375
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2375
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ISHARES
46428Q109
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4000
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1-3 YR CR BD ETF
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DOW JONES US ETF
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1270
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RUS 2000 GRW ETF
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84
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545
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COM
478160104
227
2334
SH
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2334
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COM
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50
745
SH
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745
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COM
494368103
159
1500
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1500
KINDER MORGAN INC DEL
COM
49456B101
21
534
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534
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*W EXP 05/25/201
49456B119
2
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817
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COM NO PAR
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3000
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COM NEW
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17
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0
17
LANDS END INC NEW
COM
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0
12
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0
0
12
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COM
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0
54
LAUDER ESTEE COS INC
CL A
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1
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SH
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0
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16
LEGG MASON INC
COM
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15
300
SH
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0
0
300
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COM SER A
530307107
3
61
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0
0
61
LIBERTY BROADBAND CORP
COM SER C
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8
162
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0
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162
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SHS CL C
G5480U120
3
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SH
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0
0
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QVC GP COM SER A
53071M104
25
915
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0
915
LIBERTY INTERACTIVE CORP
LBT VENT COM A
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10
254
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0
0
254
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CL A
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247
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247
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COM SER C
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18
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494
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0
124
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COM
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600
SH
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0
0
600
M & T BK CORP
COM
55261F104
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0
0
13
M D C HLDGS INC
COM
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30
1000
SH
SOLE
0
0
1000
MARKEL CORP
COM
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COM
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55
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55
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COM
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130
2286
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SOLE
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2286
MERITAGE HOMES CORP
COM
59001A102
47
1000
SH
SOLE
0
0
1000
MICROSOFT CORP
COM
594918104
267
6040
SH
SOLE
0
0
6040
MONSANTO CO NEW
COM
61166W101
1
14
SH
SOLE
0
0
14
MORGAN STANLEY CHINA A SH FD
COM
617468103
12
340
SH
SOLE
0
0
340
NATIONAL OILWELL VARCO INC
COM
637071101
4
82
SH
SOLE
0
0
82
NEWS CORP NEW
CL A
65249B109
2
138
SH
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0
0
138
NIELSEN N V
COM
N63218106
2
38
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0
0
38
NORFOLK SOUTHERN CORP
COM
655844108
46
529
SH
SOLE
0
0
529
NOVARTIS A G
SPONSORED ADR
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23
SH
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23
NOW INC
COM
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SH
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20
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SHS
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SH
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300
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COM
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COM
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53
4000
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0
0
4000
NUVEEN SELECT TAX FREE INCM
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67063X100
7
500
SH
SOLE
0
0
500
OMNICOM GROUP INC
COM
681919106
2
24
SH
SOLE
0
0
24
ONEOK PARTNERS LP
UNIT LTD PARTN
68268N103
7
200
SH
SOLE
0
0
200
ORACLE CORP
COM
68389X105
10
252
SH
SOLE
0
0
252
OWENS & MINOR INC NEW
COM
690732102
2
47
SH
SOLE
0
0
47
PAYCHEX INC
COM
704326107
131
2800
SH
SOLE
0
0
2800
PFIZER INC
COM
717081103
6
172
SH
SOLE
0
0
172
PHILLIPS 66
COM
718546104
20
248
SH
SOLE
0
0
248
PIMCO CORPORATE & INCOME OPP
COM
72201B101
290
20000
SH
SOLE
0
0
20000
PIMCO ETF TR
TTL RTN ACTV ETF
72201R775
27
250
SH
SOLE
0
0
250
PIMCO ETF TR
INV GRD CRP BD
72201R817
157
1565
SH
SOLE
0
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1565
PIMCO ETF TR
1-5 US TIP IDX
72201R205
6
115
SH
SOLE
0
0
115
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
11
244
SH
SOLE
0
0
244
PNC FINL SVCS GROUP INC
COM
693475105
2
17
SH
SOLE
0
0
17
POWERSHARES GLOBAL ETF TRUST
AGG PFD PORT
73936T565
51
3500
SH
SOLE
0
0
3500
POWERSHARES GLOBAL ETF TRUST
GBL WTR PORT
73936T623
12
490
SH
SOLE
0
0
490
PPL CORP
COM
69351T106
1
43
SH
SOLE
0
0
43
PRAXAIR INC
COM
74005P104
1
10
SH
SOLE
0
0
10
PRECISION CASTPARTS CORP
COM
740189105
1
7
SH
SOLE
0
0
7
PRIMERICA INC
COM
74164M108
2
38
SH
SOLE
0
0
38
PRINCIPAL FINL GROUP INC
COM
74251V102
11
211
SH
SOLE
0
0
211
PROCTER & GAMBLE CO
COM
742718109
196
2500
SH
SOLE
0
0
2500
PRUDENTIAL PLC
ADR
74435K204
1
27
SH
SOLE
0
0
27
PRUDENTIAL FINL INC
COM
744320102
8
87
SH
SOLE
0
0
87
PULTE GROUP INC
COM
745867101
40
2000
SH
SOLE
0
0
2000
QUALCOMM INC
COM
747525103
2
25
SH
SOLE
0
0
25
RLI CORP
COM
749607107
3
66
SH
SOLE
0
0
66
RAYONIER ADVANCED MATLS INC
COM
75508B104
1
55
SH
SOLE
0
0
55
RAYONIER INC
COM
754907103
4
165
SH
SOLE
0
0
165
REED ELSEVIER P L C
SPONS ADR NEW
758205207
2
36
SH
SOLE
0
0
36
ROSS STORES INC
COM
778296103
3
58
SH
SOLE
0
0
58
ROYCE GLOBAL VALUE TR INC
COM
78081T104
0
47
SH
SOLE
0
0
47
ROYCE VALUE TR INC
COM
780910105
5
331
SH
SOLE
0
0
331
SAP SE
SPON ADR
803054204
1
15
SH
SOLE
0
0
15
SAFETY INS GROUP INC
COM
78648T100
6
100
SH
SOLE
0
0
100
SALLY BEAUTY HLDGS INC
COM
79546E104
2
62
SH
SOLE
0
0
62
SANOFI
SPONSORED ADR
80105N105
2
42
SH
SOLE
0
0
42
SCANA CORP NEW
COM
80589M102
7
135
SH
SOLE
0
0
135
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
143
2820
SH
SOLE
0
0
2820
SCHWAB STRATEGIC TR
US DIVIDEND EQ
808524797
39
1010
SH
SOLE
0
0
1010
SCHWAB STRATEGIC TR
US TIPS ETF
808524870
143
2635
SH
SOLE
0
0
2635
SCHLUMBERGER LTD
COM
806857108
1
14
SH
SOLE
0
0
14
SCHWAB STRATEGIC TR
INTL EQTY ETF
808524805
135
4420
SH
SOLE
0
0
4420
SCHWAB STRATEGIC TR
US BRD MKT ETF
808524102
260
5174
SH
SOLE
0
0
5174
SCHWAB STRATEGIC TR
US AGGREGATE B
808524839
20
390
SH
SOLE
0
0
390
SEARS CDA INC
COM
81234D109
0
18
SH
SOLE
0
0
18
SEARS HLDGS CORP
COM
812350106
1
43
SH
SOLE
0
0
43
SENSATA TECHNOLOGIES HLDG NV
SHS
N7902X106
2
33
SH
SOLE
0
0
33
SPDR SERIES TRUST
BRCLY EM LOCL
78464A391
7
250
SH
SOLE
0
0
250
SPDR GOLD TRUST
GOLD SHS
78463V107
169
1500
SH
SOLE
0
0
1500
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
386
5070
SH
SOLE
0
0
5070
SPDR INDEX SHS FDS
S&P GLBDIV ETF
78463X459
30
460
SH
SOLE
0
0
460
SPDR SERIES TRUST
DB INT GVT ETF
78464A490
14
260
SH
SOLE
0
0
260
STARZ
COM SER A
85571Q102
11
247
SH
SOLE
0
0
247
STATOIL ASA
SPONSORED ADR
85771P102
2
100
SH
SOLE
0
0
100
SUN HYDRAULICS CORP
COM
866942105
1
14
SH
SOLE
0
0
14
SUN LIFE FINL INC
COM
866796105
17
500
SH
SOLE
0
0
500
SYNTEL INC
COM
87162H103
2
52
SH
SOLE
0
0
52
SYSCO CORP
COM
871829107
11
300
SH
SOLE
0
0
300
TJX COS INC NEW
COM
872540109
2
23
SH
SOLE
0
0
23
TALEN ENERGY CORP
COM
87422J105
0
5
SH
SOLE
0
0
5
TANGER FACTORY OUTLET CTRS I
COM
875465106
181
5700
SH
SOLE
0
0
5700
TEMPLETON EMERG MKTS INCOME
COM
880192109
37
3500
SH
SOLE
0
0
3500
TEVA PHARMACEUTICAL INDS LTD
ADR
881624209
33
550
SH
SOLE
0
0
550
SOUTHERN CO
COM
842587107
5
118
SH
SOLE
0
0
118
TIME INC NEW
COM
887228104
1
41
SH
SOLE
0
0
41
TIME WARNER CABLE INC
COM
88732J207
15
83
SH
SOLE
0
0
83
TIME WARNER INC
COM NEW
887317303
29
333
SH
SOLE
0
0
333
TORTOISE ENERGY INFRSTRCTR C
COM
89147L100
6
175
SH
SOLE
0
0
175
TOWERS WATSON & CO
CL A
891894107
2387
18972
SH
SOLE
0
0
18972
TOYOTA MOTOR CORP
SP ADR REP2COM
892331307
2
17
SH
SOLE
0
0
17
TRANSDIGM GROUP INC
COM
893641100
2
9
SH
SOLE
0
0
9
TRANSOCEAN LTD
REG SHS
H8817H100
16
1000
SH
SOLE
0
0
1000
TSAKOS ENERGY NAVIGATION LTD
SHS
G9108L108
13
1400
SH
SOLE
0
0
1400
UNDER ARMOUR INC
CL A
904311107
1
13
SH
SOLE
0
0
13
UNILEVER N V
N Y SHS NEW
904784709
2
37
SH
SOLE
0
0
37
UNILEVER PLC
SPON ADR NEW
904767704
26
600
SH
SOLE
0
0
600
UNION PAC CORP
COM
907818108
153
1600
SH
SOLE
0
0
1600
UNITED PARCEL SERVICE INC
CL B
911312106
6
60
SH
SOLE
0
0
60
UNITED TECHNOLOGIES CORP
COM
913017109
2
16
SH
SOLE
0
0
16
UNITEDHEALTH GROUP INC
COM
91324P102
2
18
SH
SOLE
0
0
18
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
154
1900
SH
SOLE
0
0
1900
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
195
2430
SH
SOLE
0
0
2430
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
16
200
SH
SOLE
0
0
200
VANGUARD SPECIALIZED PORTFOL
DIV APP ETF
921908844
584
7430
SH
SOLE
0
0
7430
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
97
910
SH
SOLE
0
0
910
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
15
230
SH
SOLE
0
0
230
VECTREN CORP
COM
92240G101
7
190
SH
SOLE
0
0
190
VIACOM INC NEW
CL B
92553P201
10
152
SH
SOLE
0
0
152
VISA INC
COM CL A
92826C839
2
28
SH
SOLE
0
0
28
WABTEC CORP
COM
929740108
2
18
SH
SOLE
0
0
18
WAL-MART STORES INC
COM
931142103
440
6200
SH
SOLE
0
0
6200
WD-40 CO
COM
929236107
3
34
SH
SOLE
0
0
34
WELLS FARGO & CO NEW
COM
949746101
11
200
SH
SOLE
0
0
200
WESTAMERICA BANCORPORATION
COM
957090103
2
34
SH
SOLE
0
0
34
WESTAR ENERGY INC
COM
95709T100
3
100
SH
SOLE
0
0
100
WISDOMTREE TR
INDIA ERNGS FD
97717W422
12
565
SH
SOLE
0
0
565
WOLVERINE WORLD WIDE INC
COM
978097103
3
95
SH
SOLE
0
0
95
WORLD FUEL SVCS CORP
COM
981475106
2
32
SH
SOLE
0
0
32
YUM BRANDS INC
COM
988498101
233
2590
SH
SOLE
0
0
2590