0001513194-11-000015.txt : 20111115
0001513194-11-000015.hdr.sgml : 20111115
20111115071739
ACCESSION NUMBER: 0001513194-11-000015
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111115
DATE AS OF CHANGE: 20111115
EFFECTIVENESS DATE: 20111115
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Dunn Warren Investment Advisors, LLC
CENTRAL INDEX KEY: 0001513194
IRS NUMBER: 841603266
STATE OF INCORPORATION: CO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14410
FILM NUMBER: 111205557
BUSINESS ADDRESS:
STREET 1: 6143 SOUTH WILLOW DRIVE
STREET 2: SUITE 102
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
BUSINESS PHONE: 303-468-2824
MAIL ADDRESS:
STREET 1: 6143 SOUTH WILLOW DRIVE
STREET 2: SUITE 102
CITY: GREENWOOD VILLAGE
STATE: CO
ZIP: 80111
13F-HR
1
dw13f911.txt
3RD QUARTER 13F
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar year or Quarter Ended: September 30, 2011
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.):[ ] is a restatement.
[ ] adds new holding entries.
Institutional Investment Manager Filing this Report:
Name: Dunn Warren Investment Advisors, LLC
Address: 6143 South Willow Dr., Suite 102
Greenwood Village, CO 80111
13F File Number: 028-14410
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements
schedules, lists, and tables are considered integral parts of this submission.
Person Signing this Report on Behalf of Reporting Manager:
Name: Ann Zemann
Title: Chief Compliance Officer
Phone: 402-250-2691
Signature, Place, and Date of Signing:
Ann Zemann Omaha, NE November 15, 2011
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager: NONE
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 10
Form 13F Information Table Value Total: $70,453
List of Other Included Managers: None
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN/AMT PRN CALL DSCRTN MANAGERS SOLE SHARED NONE
----------------------------- -------------- -------- ------ ------ --- ---- ------ -------- ------ ------- ----
ISHARES INC MSCI THAILAND 464286624 406 7629 SH SOLE 7629
ISHARES TR S&P GBL HLTHCR 464287325 1418 27300 SH SOLE 27300
ISHARES TR BARCLYS 1-3 YR 464287457 17625 208412 SH SOLE 208412
ISHARES TR DJ HEALTH CARE 464288828 4665 90538 SH SOLE 90538
MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 3454 62584 SH SOLE 62584
PROSHARES TR PSHS ULTASHT QQQ 74347X237 10942 201172 SH SOLE 201172
PROSHARES TR PSHS ULTASHT SP500 74347R883 11903 466973 SH SOLE 466973
SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 5781 194907 SH SOLE 194907
SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 8905 264866 SH SOLE 264866
SPDR SERIES TRUST S&P RETAIL ETF 78464A714 5354 115845 SH SOLE 115845