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