0001398344-14-000866.txt : 20140212 0001398344-14-000866.hdr.sgml : 20140212 20140212154607 ACCESSION NUMBER: 0001398344-14-000866 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140212 DATE AS OF CHANGE: 20140212 EFFECTIVENESS DATE: 20140212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ARGI Investment Services, LLC CENTRAL INDEX KEY: 0001519611 IRS NUMBER: 271003080 STATE OF INCORPORATION: KY FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14480 FILM NUMBER: 14600024 BUSINESS ADDRESS: STREET 1: 1914 STANLEY GAULT PARKWAY CITY: LOUISVILLE STATE: KY ZIP: 40223 BUSINESS PHONE: 502-753-0609 MAIL ADDRESS: STREET 1: 1914 STANLEY GAULT PARKWAY CITY: LOUISVILLE STATE: KY ZIP: 40223 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001519611 XXXXXXXX 12-31-2013 12-31-2013 false ARGI Investment Services, LLC

1914 Stanley Gault Parkway Louisville KY 40223

13F HOLDINGS REPORT 028-14480 N Jan Peebles 502-753-0609 /s/ Jan Peebles Louisville KY 02-12-2014 0 158 581407 INFORMATION TABLE 2 fp0009602_13fhr-table.xml 13F INFORMATION TABLE APPLE INC COM Com 037833100 2020 3600 SH SOLE 0 0 3600 ISHARES ASIA 50 ETF ETF 464288430 448 9346 SH SOLE 0 0 9346 ISHARES MSCI ALL COUNTRYASIA EX JAPAN ETF ETF 464288182 504 8350 SH SOLE 0 0 8350 ABBVIE INC COM Com 00287Y109 460 8711 SH SOLE 0 0 8711 ABBOTT LABS COM Com 002824100 938 24481 SH SOLE 0 0 24481 ALLIANCEBERNSTEIN INCOME FUNDCOM Fund 01881E101 239 33487 SH SOLE 0 0 33487 AMERICAN ELEC PWR INC COM Com 025537101 284 6070 SH SOLE 0 0 6070 ALPS TRUST ETF ALERIAN MLP MLP 025537101 611 34330 SH SOLE 0 0 34330 BOEING CO COM Com 097023105 269 1968 SH SOLE 0 0 1968 PEABODY ENERGY CORP COM Com 704549104 406 20784 SH SOLE 0 0 20784 CA INCORPORATED COM Com 12673P105 220 6527 SH SOLE 0 0 6527 CATERPILLAR INC COM Com 149123101 696 7662 SH SOLE 0 0 7662 CHUBB CORP COM Com 171232101 386 3998 SH SOLE 0 0 3998 COMMUNITY BANK SHARES/INDIANACM Com 203599105 228 11751 SH SOLE 0 0 11751 CF INDUSTRIES HOLDINGS INC COM Com 125269100 650 2791 SH SOLE 0 0 2791 CINCINNATI FINANCIAL CORP COM Com 172062101 352 6713 SH SOLE 0 0 6713 ISHARES JPM USD EMRG MKT BND ETF ETF 464288281 1368 12647 SH SOLE 0 0 12647 ISHARES INTERMEDIATE CREDIT BOND ETF ETF 464288638 41693 386477 SH SOLE 0 0 386477 CARDNO LTD COM Com Q2097C105 233 38049 SH SOLE 0 0 38049 COLE REAL ESTATE INVTS INC COM Com 19329V105 4329 308368 SH SOLE 0 0 308368 CONOCOPHILLIPS CORP COM Com 20825C104 388 5487 SH SOLE 0 0 5487 COMPUTER SCIENCES CORP COM Com 205363104 619 11086 SH SOLE 0 0 11086 CISCO SYSTEMS INC COM Com 17275R102 341 15199 SH SOLE 0 0 15199 ISHARES MSCI EAFE ETF ETF 464287465 6570 67708 SH SOLE 0 0 67708 ISHARES TR BOND 1-3 YEAR CREDIT BOND ETF ETF 464288646 5572 52839 SH SOLE 0 0 52839 COOPER TIRE & RUBBER CO COM Com 216831107 447 18600 SH SOLE 0 0 18600 CVR ENERGY INC COM Com 12662P108 633 14568 SH SOLE 0 0 14568 CHEVRON CORP COM Com 166764100 1293 10350 SH SOLE 0 0 10350 POWERSHS DB COMMDTY INDX Comm 73935S105 3463 134947 SH SOLE 0 0 134947 DU PONT E I DE NEMOURS & CO COM Com 263534109 391 6013 SH SOLE 0 0 6013 WALT DISNEY CO COM Com 254687106 301 3938 SH SOLE 0 0 3938 BARCLAYS BANK IPATH ETN DJ UBS COMMODITY INDEX ETN 06738C778 285 7750 SH SOLE 0 0 7750 DARDEN RESTAURANTS INC COM Com 237194105 201 3699 SH SOLE 0 0 3699 CONSOLIDATED EDISON CO N Y INC COM Com 209115104 253 4568 SH SOLE 0 0 4568 ISHARES 1-3 YR TREASURY BND ETF ETF 464287457 643 7623 SH SOLE 0 0 7623 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 1703 40748 SH SOLE 0 0 40748 ISHARES MSCI GROWTH ETF ETF 464288885 791 11066 SH SOLE 0 0 11066 ISHARES MSCI CDA ETF CANADA ETF 464286509 320 10965 SH SOLE 0 0 10965 ISHARES MSCI GERMANY ETF ETF 464286806 15346 483175 SH SOLE 0 0 483175 ISHARES RUSSELL 1000 ETF ETF 464287622 440 4265 SH SOLE 0 0 4265 ISHARES S&P 500 VALUE ETF ETF 464287408 335 3925 SH SOLE 0 0 3925 ISHARES S&P 500 GROWTH ETF ETF 464287309 242 2454 SH SOLE 0 0 2454 ISHARES S&P MID-CAP 400 GROWTH ETF ETF 464287606 238 1585 SH SOLE 0 0 1585 ISHARES S&P MID-CAP VALUE ETF ETF 464287705 376 3234 SH SOLE 0 0 3234 GUGGENHEIM RUSSELL MIDCAP EQUAL WEIGHT ETF ETF 78355W577 32253 692122 SH SOLE 0 0 692122 GUGGENHEIM S&P 500 EQUAL WEIGHT ETF ETF 78355W106 2293 32185 SH SOLE 0 0 32185 ISHARES MSCI UNITED KINGDOM ETF ETF 464286699 15935 763169 SH SOLE 0 0 763169 FORD MOTOR COM Com 345370860 475 30807 SH SOLE 0 0 30807 FACEBOOK INC COM Com 163677572 301 5507 SH SOLE 0 0 5507 FREEPORT MCMORAN COPPER & GOLD COM Com 35671D857 729 19328 SH SOLE 0 0 19328 FEDERATED INVESTORS INC COM Com 314211103 204 7078 SH SOLE 0 0 7078 GREENHAVEN CONTINUOUS COMMODITY INDEX FD UNIT BEN INT Comm 395258106 1677 652539 SH SOLE 0 0 652539 GANNETT INC COM Com 364730101 216 7302 SH SOLE 0 0 7302 GENERAL ELECTRIC CO COM Com 369604103 13383 477456 SH SOLE 0 0 477456 HESS CORPORATION COM Com 42809H107 652 7858 SH SOLE 0 0 7858 HOLLYFRONTIER CORP COM Com 436106108 660 13292 SH SOLE 0 0 13292 H & R BLOCK INC COM Com 93671105 206 7090 SH SOLE 0 0 7090 HOSPIRA INC COM Com 441060100 223 5400 SH SOLE 0 0 5400 HUMANA INC COM Com 444859102 570 5526 SH SOLE 0 0 5526 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 1979 21302 SH SOLE 0 0 21302 INTL BUSINESS MACHINES COM Com 459200101 1158 6172 SH SOLE 0 0 6172 INTERDIGITAL INC COM Com 45867G101 447 15166 SH SOLE 0 0 15166 ISHARES CORE TOTAL US BOND ETF ETF 464287226 1126 10580 SH SOLE 0 0 10580 ISHARES INC CORE MSCI EMERGING MKTS ETF ETF 46434G103 9713 195009 SH SOLE 0 0 195009 ISHARES NORTH AMERICAN NATURAL RESOURCES ETF ETF 464287374 295 6807 SH SOLE 0 0 6807 ISHARES CORE S&P MID-CAP ETF ETF 464287507 5786 43241 SH SOLE 0 0 43241 ISHARES CORE S&P ETF SMALLCAP ETF 464287804 1946 17820 SH SOLE 0 0 17820 ISHARES EUROPE ETF ETF 464287861 224 4714 SH SOLE 0 0 4714 ISHARES S&P SMALLCAP 600 VALUE ETF ETF 464287879 22960 206361 SH SOLE 0 0 206361 ISHARES S&P SMALLCAP GROWTH ETF ETF 464287887 2259 19042 SH SOLE 0 0 19042 ISHARES US ENERGY ETF ETF 464287796 326 6450 SH SOLE 0 0 6450 ISHARES US PREFERRED STOCK ETF ETF 464288687 509 13818 SH SOLE 0 0 13818 ISHARES US REAL ESTATE ETF ETF 464287739 443 7019 SH SOLE 0 0 7019 INTEL CORP COM Com 458140100 329 12687 SH SOLE 0 0 12687 ISHARES CORE S&P 500 ETF ETF 464287200 42081 226667 SH SOLE 0 0 226667 JOHNSON & JOHNSON COM Com 478160104 370 4036 SH SOLE 0 0 4036 MARKET VECTORS IMMEDIATE MUNI INDEX ETF ETF 57060U845 315 14337 SH SOLE 0 0 14337 MARKET VECTORS SHORT TERM MUNI INDEX ETF ETF 57060U803 790 44940 SH SOLE 0 0 44940 SPDR SER TR BARCLAYS HIGH YIELD BD ETF ETF 78464A417 17794 438700 SH SOLE 0 0 438700 JOY GLOBAL INC COM Com 481165108 624 10663 SH SOLE 0 0 10663 JP MORGAN CHASE & CO COM Com 46625H100 671 11471 SH SOLE 0 0 11471 COCA COLA CO COM Com 191216100 578 13992 SH SOLE 0 0 13992 KRAFT FOODS GROUP INC COM Com 50076Q106 328 6079 SH SOLE 0 0 6079 LEAR CORPORATION PARTN COM Com 521865204 615 7596 SH SOLE 0 0 7596 ELI LILLY & CO COM Com 532457108 293 5742 SH SOLE 0 0 5742 LOCKHEED MARTIN COM Com 539830109 217 1459 SH SOLE 0 0 1459 LEUCADIA NATL CORP COM Com 527288104 573 20208 SH SOLE 0 0 20208 MCDONALDS CORP COM Com 580135101 274 2819 SH SOLE 0 0 2819 MONDELEZ INTL INC COM Com 609207105 336 9529 SH SOLE 0 0 9529 ALTRIA GROUP INC COM Com 02209S103 612 15940 SH SOLE 0 0 15940 THE MOSAIC CO COM Com 61945C103 593 12551 SH SOLE 0 0 12551 MARATHON PETE CORP COM Com 56585A102 587 6401 SH SOLE 0 0 6401 MERCK & CO INC. COM Com 58933Y105 484 9675 SH SOLE 0 0 9675 MICROSOFT CORP COM Com 594918104 452 12087 SH SOLE 0 0 12087 NEXTERA ENERGY INC COM Com 65339F101 328 3829 SH SOLE 0 0 3829 NEWMONT MINING CORP COM Com 651639106 444 19262 SH SOLE 0 0 19262 NORTHERN TIER ENERGY LP COM UNIT Com 665826103 684 27788 SH SOLE 0 0 27788 NEXSTAR BROADCASTING GROUP INC COM Com 65336K103 681 12211 SH SOLE 0 0 12211 ORACLE CORP COM Com 68389X105 373 9739 SH SOLE 0 0 9739 OCCIDENTAL PETROLEUM CORP COM Com 674599105 400 4209 SH SOLE 0 0 4209 POWERSHS EXCH TRAD FD TREMERGING MKTS SOVEREIGN DEBT PORTFOL ETF 73936T573 14283 528992 SH SOLE 0 0 528992 POWERSHARES FTSE RAFI US 1500 SMALL-MID ETF 73935X567 510 5215 SH SOLE 0 0 5215 POWESHARES INSURED NATL MUNIBOND PORT ETF 73936T474 250 10874 SH SOLE 0 0 10874 POWERSHARES QQQ ETF 73935A104 229 2604 SH SOLE 0 0 2604 SELECT SECTOR SPDR TRUST UTILITIES SELECT INDEX ETF 81369Y886 226 5957 SH SOLE 0 0 5957 PUBLIC SVC ENTERPRISE GROUP COM Com 744573106 251 7837 SH SOLE 0 0 7837 PEPSICO INC COM Com 713448108 566 6829 SH SOLE 0 0 6829 PFIZER INC COM Com 717081103 1166 38069 SH SOLE 0 0 38069 PROCTER GAMBLE CO COM Com 742718109 4699 57720 SH SOLE 0 0 57720 POWERSHS EXCH TRAD FD TRPREFERRED PORTFOLIO ETF ETF 73936T565 455 33888 SH SOLE 0 0 33888 POLARIS INDUSTRIES INC COM Com 731068102 249 1713 SH SOLE 0 0 1713 PHILIP MORRIS INTL COM Com 718172109 1045 11989 SH SOLE 0 0 11989 PENNYMAC MTG INVEST TRUST COM Com 70931T103 570 24822 SH SOLE 0 0 24822 PPG INDUSTRIES INC COM Com 693506107 703 3707 SH SOLE 0 0 3707 PPL CORPORATION COM Com 69351T106 305 10135 SH SOLE 0 0 10135 QUALCOMM INC COM Com 747525103 422 5680 SH SOLE 0 0 5680 REPUBLIC BANCORP INC COM CL A Com 760281204 209 8529 SH SOLE 0 0 8529 EVEREST REINSURANCE HLDGS INCCOM Com G3223R108 618 3962 SH SOLE 0 0 3962 SPDR INDEX SHS FDS DJ WILSHIRE GLOBAL REAL ESTATE ETF ETF 78463X749 29504 710429 SH SOLE 0 0 710429 SCH US REIT ETF ETF 808524847 612 20239 SH SOLE 0 0 20239 S P D R S&P 500 ETF TR EXPIRING 01/22/2118 ETF 78462F103 292 1580 SH SOLE 0 0 1580 ISHARES 0-5 YEAR TIPS BOND ETF ETF 46429B747 47738 472803 SH SOLE 0 0 472803 SEAGATE TECHNOLOGY ORD ORD G7945M107 270 4809 SH SOLE 0 0 4809 SAFEWAY INC COM Com 786514208 311 9539 SH SOLE 0 0 9539 AT&T INC COM Com 00206R102 449 12763 SH SOLE 0 0 12763 THERMO FISHER SCIENTIFIC COM Com 883556102 287 2575 SH SOLE 0 0 2575 THE TRAVELERS COMPANIES INC COM Com 89417E109 283 3121 SH SOLE 0 0 3121 TESORO CORPORATION COM Com 881609101 734 12544 SH SOLE 0 0 12544 UNITED PARCEL SERVICE CL B Com 911312106 1093 10399 SH SOLE 0 0 10399 US BANCORP COM (NEW) Com 902973304 464 11477 SH SOLE 0 0 11477 UNITED TECH CORP COM Com 913017109 251 2209 SH SOLE 0 0 2209 UNIVERSAL CORP COM Com 913456109 679 12433 SH SOLE 0 0 12433 VISA INC CLASS A Com 92826C839 295 1325 SH SOLE 0 0 1325 VANGUARD INDEX FDS VANGUARD SMALL CAP GROWTH VIPERS FORMERLY VANGUARD INDEX TR ETF 922908595 19885 162589 SH SOLE 0 0 162589 VANGUARD CRSP US SMALL CAP VALUE IN ETF ETF 922908611 2762 28371 SH SOLE 0 0 28371 VANGUARD CRSP US MID CAP GROWTH IND ETF ETF 922908538 229 2537 SH SOLE 0 0 2537 VANGUARD SECTOR INDEX FDS VANGUARD CONSUMER STAPLES VIPERS ETF 92204A207 18251 165796 SH SOLE 0 0 165796 VANGUARD CRSP US LARGE CAP GROWTH IND ETF ETF 922908736 230 2475 SH SOLE 0 0 2475 VALERO ENERGY CORP NEW COM Com 91913Y100 816 16189 SH SOLE 0 0 16189 VANGUARD INTL EQUITY INDEX FDS FTSE PAC ETF ETF 922042866 26090 425616 SH SOLE 0 0 425616 VANGUARD SECTOR INDEX FDS VANGUARD UTILS VIPERS VIP 92204A876 18020 204381 SH SOLE 0 0 204381 VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETF ETF 922908769 20678 215578 SH SOLE 0 0 215578 VANGUARD INTL EQUITY INDEX ETF 922042775 10300 203030 SH SOLE 0 0 203030 VANGUARD TOTAL BOND MARKET ETF ETF 921937835 1495 18679 SH SOLE 0 0 18679 VANGUARD REIT ETF INDEX ETF 922908553 3762 58276 SH SOLE 0 0 58276 VANGUARD SHORT TERM BOND FUND ETF 921937827 1643 20561 SH SOLE 0 0 20561 VANGUARD FTSE EUROPE ETF ETF 922042874 262 4454 SH SOLE 0 0 4454 VANGUARD INTL EQUITY INDEX FDS FTSE EMERGING MKTS ETF ETF 922042858 49824 1211096 SH SOLE 0 0 1211096 VERIZON COMMUNICATIONS COM Com 92343V104 279 5670 SH SOLE 0 0 5670 WISDOMTREE EMERG MKTS EQUITY INCOME FUND ETF 97717W315 536 10496 SH SOLE 0 0 10496 WISDOMTREE DIVIDEND EX-FINANCIALS ETF ETF 97717W406 1593 23158 SH SOLE 0 0 23158 WESTERN ASSET CLAYMORE Com 95766R104 407 36147 SH SOLE 0 0 36147 WAL-MART STORES COM Com 931142103 260 3308 SH SOLE 0 0 3308 WESTERN REFINING INC COM Com 959319104 781 18427 SH SOLE 0 0 18427 WESTERN UNION COM Com 959802109 204 11840 SH SOLE 0 0 11840 XCEL ENERGY INC COM Com 98389B100 245 8774 SH SOLE 0 0 8774 EXXON MOBIL CORPORATION COM Com 30231G102 1994 19701 SH SOLE 0 0 19701 YUM! BRANDS INC COM Com 988498101 2544 33651 SH SOLE 0 0 33651