0001519611-14-000008.txt : 20141106 0001519611-14-000008.hdr.sgml : 20141106 20141106150525 ACCESSION NUMBER: 0001519611-14-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141106 DATE AS OF CHANGE: 20141106 EFFECTIVENESS DATE: 20141106 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: 141200262 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 true false 0001519611 XXXXXXXX 09-30-2014 09-30-2014 ARGI Investment Services, LLC

1914 STANLEY GAULT PARKWAY LOUISVILLE KY 40223

13F HOLDINGS REPORT 028-14480 N Jan Peebles 502-753-0609 Jan Peebles Louisville KY 11-06-2014 0 190 756678 false INFORMATION TABLE 2 13F_Q3_2014.xml APPLE INC COM Com 037833100 1561 15491 SH SOLE 0 0 15491 ISHARES MSCI ALL COUNTRYASIA EX JAPAN ETF ETF 464288182 244 3975 SH SOLE 0 0 3975 ABBVIE INC COM Com 00287Y109 509 8808 SH SOLE 0 0 8808 ABBOTT LABS COM Com 002824100 1207 29011 SH SOLE 0 0 29011 ALLIANCEBERNSTEIN INCOME FUNDCOM Fund 01881E101 254 33904 SH SOLE 0 0 33904 ACCENTURE LTD ORD Com G1151C101 251 3087 SH SOLE 0 0 3087 AGCO CP COM Com 001084102 646 14201 SH SOLE 0 0 14201 ISHARES CORE US AGGREGATE BOND ETF ETF 464287226 4718 43242 SH SOLE 0 0 43242 ISHARES ASIA 50 ETF ETF 464288430 439 9411 SH SOLE 0 0 9411 ALASKA AIR GROUP INC COM Com 011659109 620 14248 SH SOLE 0 0 14248 ALPS ETF TRUST ALERIAN MLP MLP 00162Q866 39369 2053696 SH SOLE 0 0 2053696 AMERICAN REALTY CAPITAL PROPTY COM Com 02917T104 3565 295621 SH SOLE 0 0 295621 BOEING CO COM Com 097023105 250 1961 SH SOLE 0 0 1961 BRUNSWICK CORP COM Com 117043109 812 19258 SH SOLE 0 0 19258 VANGUARD TOTAL BOND MARKET ETF ETF 921937835 2498 30492 SH SOLE 0 0 30492 VANGUARD INTL BOND INDEX ETF ETF 92203J407 740 14200 SH SOLE 0 0 14200 BP PLC SPONS ADR Com 055622104 333 7568 SH SOLE 0 0 7568 VANGUARD SHORT TERM BOND FUND ETF 921937827 232 2897 SH SOLE 0 0 2897 CATERPILLAR INC COM Com 149123101 776 7839 SH SOLE 0 0 7839 COMMUNITY BANK SHARES/INDIANACM Com 203599105 308 11751 SH SOLE 0 0 11751 CELANESE CORP SERIES A Com 150870103 810 13846 SH SOLE 0 0 13846 CINCINNATI FINANCIAL CORP COM Com 172062101 667 14182 SH SOLE 0 0 14182 ISHARES INTERMEDIATE CREDIT BND ETF ETF 464288638 38556 352726 SH SOLE 0 0 352726 CMS ENERGY CORP COM Com 125896100 437 14736 SH SOLE 0 0 14736 CARDNO LTD COM Com Q2097C105 141 27024 SH SOLE 0 0 27024 CONOCOPHILLIPS CORP COM Com 20825C104 691 9026 SH SOLE 0 0 9026 COMPUTER SCIENCES CORP COM Com 205363104 851 13909 SH SOLE 0 0 13909 CISCO SYSTEMS INC COM Com 17275R102 407 16169 SH SOLE 0 0 16169 ISHARES 1-3 YEAR CREDIT BND ETF ETF 464288646 9009 85576 SH SOLE 0 0 85576 COOPER TIRE & RUBBER CO COM Com 216831107 726 25291 SH SOLE 0 0 25291 CVR ENERGY INC COM Com 12662P108 890 19902 SH SOLE 0 0 19902 CVR REFINING LP COM UNIT MLP 12663P107 787 33817 SH SOLE 0 0 33817 CHEVRON CORP COM Com 166764100 1945 16297 SH SOLE 0 0 16297 POWERSHARES DB COMM IND FD ETF ETF 73935S105 318 13697 SH SOLE 0 0 13697 DU PONT E I DE NEMOURS & CO COM Com 263534109 203 2834 SH SOLE 0 0 2834 WISDOMTREE EMERG MKTS EQUITY INCOME FUND ETF 97717W315 645 13497 SH SOLE 0 0 13497 WALT DISNEY CO COM Com 254687106 443 4974 SH SOLE 0 0 4974 DNP SELECT INCOME FUND INC CLOSED END FUND ETF 23325P104 173 17143 SH SOLE 0 0 17143 WISDOMTREE DIVIDEND EX-FINANCIALS FUND ETF 97717W406 1711 23305 SH SOLE 0 0 23305 ISHARES SELECT DIVIDEND ETF ETF 464287168 680 9212 SH SOLE 0 0 9212 CONSOLIDATED EDISON CO N Y INC COM Com 209115104 627 11071 SH SOLE 0 0 11071 ISHARES MSCI EMERGING MKTS ETF ETF 464287234 1132 27240 SH SOLE 0 0 27240 ISHARES MSCI EMRG MKTS MIN VOL ETF ETF 464286533 1010 16883 SH SOLE 0 0 16883 ISHARES MSCI EAFE ETF ETF 464287465 1155 18007 SH SOLE 0 0 18007 ISHARES MSCI EAFE GROWTH ETF ETF 464288885 367 5396 SH SOLE 0 0 5396 ENTERPRISE PRODUCTS PARTNERS LP MLP 293792107 215 5333 SH SOLE 0 0 5333 ENSCO PLC ORD CLASS A Com G3157S106 342 8290 SH SOLE 0 0 8290 ENTERGY CORP CM Com 29364G103 637 8238 SH SOLE 0 0 8238 ISHARES MSCI GERMANY ETF ETF 464286806 15940 575457 SH SOLE 0 0 575457 GUGGENHEIM RUSSELL MIDCAP EQ WEIGHT ETF ETF 78355W577 41067 832488 SH SOLE 0 0 832488 ISHARES TRUST MSCI UNITED KINGDOM ETF ETF 464286699 16992 876795 SH SOLE 0 0 876795 FORD MOTOR COM Com 345370860 491 33214 SH SOLE 0 0 33214 FACEBOOK INC COM Com 30303M102 436 5522 SH SOLE 0 0 5522 FREEPORT-MCMORAN INC COM Com 35671D857 444 13608 SH SOLE 0 0 13608 AGL RESOURCES INC COM Com 001204106 436 8496 SH SOLE 0 0 8496 GREENHAVEN CONT COMMODITY INDX COM Com 395258106 16617 671407 SH SOLE 0 0 671407 GENERAL ELECTRIC CO COM Com 369604103 13463 525490 SH SOLE 0 0 525490 GENERAL MILLS INC COM Com 370334104 250 4953 SH SOLE 0 0 4953 SPDR GOLD TR GOLD SHS ETF ETF 78463V107 337 2904 SH SOLE 0 0 2904 GRAPHITE ONE RESOURCES INC ORD Com 38870W106 3 25000 SH SOLE 0 0 25000 GARMIN LTD COM Com H2906T109 466 8963 SH SOLE 0 0 8963 HOLLYFRONTIER CORP COM Com 436106108 762 17437 SH SOLE 0 0 17437 HOSPIRA INC COM Com 441060100 281 5400 SH SOLE 0 0 5400 HUMANA INC COM Com 444859102 382 2929 SH SOLE 0 0 2929 ISHARES IBOXX $ HI YIELD CORPBND ETF ETF 464288513 2337 25411 SH SOLE 0 0 25411 INTL BUSINESS MACHINES COM Com 459200101 1100 5792 SH SOLE 0 0 5792 INTERDIGITAL INC COM Com 45867G101 807 20255 SH SOLE 0 0 20255 ISHARES 7-10 YR TREASURY BND ETF ETF 464287440 556 5363 SH SOLE 0 0 5363 ISHARES 3-7 YR TREASURY BND ETF ETF 464288661 49574 408624 SH SOLE 0 0 408624 ISHARES MSCI EMERGING MARKETS ETF 46434G103 2961 59164 SH SOLE 0 0 59164 ISHARES EUROPE ETF ETF 464287861 258 5714 SH SOLE 0 0 5714 ISHARES CORE S&P MID-CAP ETF ETF 464287507 6267 45832 SH SOLE 0 0 45832 ISHARES S&P MID-CAP 400 VALUEETF ETF 464287705 391 3252 SH SOLE 0 0 3252 ISHARES S&P MID-CAP 400 GROWTH ETF ETF 464287606 525 3464 SH SOLE 0 0 3464 ISHARES CORE S&P SMALL-CAP ETF ETF 464287804 1197 11480 SH SOLE 0 0 11480 ISHARES S&P SMALL-CAP 600 VALUE ETF ETF 464287879 26775 249556 SH SOLE 0 0 249556 ISHARES S&P SMALL-CAP 600 GROWTH ETF ETF 464287887 2635 23411 SH SOLE 0 0 23411 INTEL CORP COM Com 458140100 747 21453 SH SOLE 0 0 21453 MARKET VECTORS INTERMEDIATE MUNI INDEX ETF ETF 57060U845 353 15064 SH SOLE 0 0 15064 ITT CORPORATION COM Com 450911102 762 16961 SH SOLE 0 0 16961 ISHARES S&P 500 VALUE ETF ETF 464287408 436 4842 SH SOLE 0 0 4842 ISHARES CORE S&P 500 ETF ETF 464287200 93484 471524 SH SOLE 0 0 471524 ISHARES S&P 500 GROWTH ETF ETF 464287309 893 8359 SH SOLE 0 0 8359 ISHARES RUSSELL 1000 ETF ETF 464287622 464 4224 SH SOLE 0 0 4224 ISHARES RUSSELL 2000 ETF ETF 464287655 489 4474 SH SOLE 0 0 4474 ISHARES RUSSELL 2000 VALUE ETF ETF 464287630 1086 11606 SH SOLE 0 0 11606 ISHARES RUSSELL 3000 ETF ETF 464287689 244 2092 SH SOLE 0 0 2092 ISHARES US ENERGY ETF ETF 464287796 345 6687 SH SOLE 0 0 6687 ISHARES US REAL ESTATE ETF ETF 464287739 533 7699 SH SOLE 0 0 7699 JABIL CIRCUIT INC COM Com 466313103 870 43141 SH SOLE 0 0 43141 JOHNSON & JOHNSON COM Com 478160104 578 5425 SH SOLE 0 0 5425 SPDR BARCLAYS HIGH YIELD BONDETF ETF 78464A417 33864 842805 SH SOLE 0 0 842805 JOY GLOBAL INC COM Com 481165108 743 13616 SH SOLE 0 0 13616 JP MORGAN CHASE & CO COM Com 46625H100 576 9567 SH SOLE 0 0 9567 KELLER MANUFACTURING CO COM Com 48767A208 0 10000 SH SOLE 0 0 10000 COCA COLA CO COM Com 191216100 833 19515 SH SOLE 0 0 19515 KRAFT FOODS GROUP INC COM Com 50076Q106 754 13374 SH SOLE 0 0 13374 LEAR CORPORATION PARTN COM Com 521865204 827 9565 SH SOLE 0 0 9565 LEGGETT & PLATT INC COM Com 524660107 446 12779 SH SOLE 0 0 12779 ELI LILLY & CO COM Com 532457108 756 11663 SH SOLE 0 0 11663 LOCKHEED MARTIN COM Com 539830109 499 2732 SH SOLE 0 0 2732 LORILLARD INC COM Com 544147101 606 10120 SH SOLE 0 0 10120 LEUCADIA NATL CORP COM Com 527288104 631 26469 SH SOLE 0 0 26469 MCDONALDS CORP COM Com 580135101 715 7539 SH SOLE 0 0 7539 MONDELEZ INTL INC COM Com 609207105 248 7244 SH SOLE 0 0 7244 3M CO COM Com 88579Y101 1091 7701 SH SOLE 0 0 7701 ALTRIA GROUP INC COM Com 02209S103 1517 33022 SH SOLE 0 0 33022 THE MOSAIC CO COM Com 61945C103 718 16175 SH SOLE 0 0 16175 MARATHON PETE CORP COM Com 56585A102 707 8351 SH SOLE 0 0 8351 MERCK & CO INC. COM Com 58933Y105 719 12121 SH SOLE 0 0 12121 MICROSOFT CORP COM Com 594918104 635 13702 SH SOLE 0 0 13702 ISHARES ETF ETF 46432F396 778 11993 SH SOLE 0 0 11993 ISHARES NATIONAL AMT-FREE MUNI BND ETF ETF 464288414 327 2982 SH SOLE 0 0 2982 NEXTERA ENERGY INC COM Com 65339F101 206 2197 SH SOLE 0 0 2197 NEWMONT MINING CORP COM Com 651639106 604 26226 SH SOLE 0 0 26226 NORTHEAST UTILS SERVICE CO COM Com 664397106 421 9514 SH SOLE 0 0 9514 NEXSTAR BROADCASTING GROUP INC COM Com 65336K103 652 16127 SH SOLE 0 0 16127 ORACLE CORP COM Com 68389X105 285 7443 SH SOLE 0 0 7443 OCCIDENTAL PETROLEUM CORP COM Com 674599105 253 2633 SH SOLE 0 0 2633 POWERSHARES EMERGING MARKETS SOV DEB PORT ETF 73936T573 19860 697806 SH SOLE 0 0 697806 PUBLIC SVC ENTERPRISE GROUP COM Com 744573106 602 16173 SH SOLE 0 0 16173 PEPSICO INC COM Com 713448108 646 6943 SH SOLE 0 0 6943 PFIZER INC COM Com 717081103 1779 60174 SH SOLE 0 0 60174 ISHARES US PREFERRED STOCK ETF ETF 464288687 1469 37168 SH SOLE 0 0 37168 PROCTER GAMBLE CO COM Com 742718109 5466 65272 SH SOLE 0 0 65272 POWERSHARES PFD PORT ETF 73936T565 236 16313 SH SOLE 0 0 16313 POLARIS INDUSTRIES INC COM Com 731068102 257 1718 SH SOLE 0 0 1718 PHILIP MORRIS INTL COM Com 718172109 1415 16971 SH SOLE 0 0 16971 PENNYMAC MTG INVEST TRUST COM Com 70931T103 731 34127 SH SOLE 0 0 34127 PINNACLE WEST CAP CORP COM Com 723484101 567 10375 SH SOLE 0 0 10375 PPG INDUSTRIES INC COM Com 693506107 901 4579 SH SOLE 0 0 4579 PPL CORPORATION COM Com 69351T106 677 20610 SH SOLE 0 0 20610 POWERSHARES FTSE RAFI US 1500SMALL-MID ETF 73935X567 1697 18047 SH SOLE 0 0 18047 POWERSHARES FTSE RAFI DEV MKT ETF 73936T789 1982 46956 SH SOLE 0 0 46956 POWERSHARES NATL AMT FREE MUNI BD PORT ETF 73936T474 248 9854 SH SOLE 0 0 9854 QUALCOMM INC COM Com 747525103 248 3322 SH SOLE 0 0 3322 POWERSHARES QQQ ETF 73935A104 315 3186 SH SOLE 0 0 3186 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 800 13413 SH SOLE 0 0 13413 REPUBLIC BANCORP INC COM CL A COM 760281204 233 9831 SH SOLE 0 0 9831 EVEREST REINSURANCE HLDGS INCCOM Com G3223R108 822 5074 SH SOLE 0 0 5074 TRANSOCEAN LTD ORD Com H8817H100 325 10181 SH SOLE 0 0 10181 GUGGENHEIM S&P 500 EQUAL WEIGHT ETF ETF 78355W106 3550 46834 SH SOLE 0 0 46834 REVENUESHARES SMALL CAP ETF ETF 761396308 997 19231 SH SOLE 0 0 19231 SPDR GLOBAL REAL ESTATE ETF ETF 78463X749 35553 802017 SH SOLE 0 0 802017 SCANA CORP COM Com 80589M102 572 11526 SH SOLE 0 0 11526 SCH US REIT ETF ETF 808524847 423 12425 SH SOLE 0 0 12425 STAR GAS PARTNERS L.P.-SBI COM Com 85512C105 127 22198 SH SOLE 0 0 22198 ISHARES 1-3 YR TREASURY BND ETF ETF 464287457 4726 55917 SH SOLE 0 0 55917 MARKET VECTORS SHORT MUNI INDEX ETF 57060U803 805 45609 SH SOLE 0 0 45609 SPX CORP COM Com 784635104 617 6567 SH SOLE 0 0 6567 SPDR TR S&P 500 ETF TR ETF 78462F103 548 2780 SH SOLE 0 0 2780 ISHARES 0-5 YR TIPS BOND ETF ETF 46429B747 12249 121896 SH SOLE 0 0 121896 SOLAR WIND ENERGY TOWER INC COM Com 83416V105 6 250000 SH SOLE 0 0 250000 SYSCO CORP COM Com 871829107 576 15189 SH SOLE 0 0 15189 AT&T INC COM Com 00206R102 535 15180 SH SOLE 0 0 15180 TAGLIKEME CORP COM Com 87378P105 0 17083 SH SOLE 0 0 17083 THERMO FISHER SCIENTIFIC COM Com 883556102 207 1701 SH SOLE 0 0 1701 THE TRAVELERS COMPANIES INC COM Com 89417E109 222 2368 SH SOLE 0 0 2368 UNITED PARCEL SERVICE CL B Com 911312106 1054 10727 SH SOLE 0 0 10727 US BANCORP COM (NEW) Com 902973304 447 10694 SH SOLE 0 0 10694 UNITED STATES COMMODITY INDEXSUMMERHAVEN DYNAMIC COMM INDEX ETF 911717106 484 8777 SH SOLE 0 0 8777 UNITED TECH CORP COM Com 913017109 230 2182 SH SOLE 0 0 2182 UNIVERSAL CORP COM Com 913456109 737 16603 SH SOLE 0 0 16603 VANGUARD CRSP US SM CAP GROWTH IND ETF ETF 922908595 24613 204508 SH SOLE 0 0 204508 VANGUARD CRSP US SMALL CAP VALUE IND ET ETF 922908611 5239 52527 SH SOLE 0 0 52527 VANGUARD INTERMEDIATE TERM CORP BOND ET ETF 92206C870 417 4864 SH SOLE 0 0 4864 VANGUARD CONSUMER STPLES VI INDEX ETF 92204A207 1919 16334 SH SOLE 0 0 16334 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 306 7710 SH SOLE 0 0 7710 VANGUARD INTL EQUITY INDEX ETF 922042775 14920 303016 SH SOLE 0 0 303016 VANGUARD FTSE EUROPE ETF ETF 922042874 349 6328 SH SOLE 0 0 6328 VALERO ENERGY CORP NEW COM Com 91913Y100 798 17242 SH SOLE 0 0 17242 VANGUARD REIT ETF INDEX ETF 922908553 5707 79428 SH SOLE 0 0 79428 VANGUARD CRSP US MID CAP INDEX ETF 922908629 242 2066 SH SOLE 0 0 2066 VANGUARD INDEX FUNDS S&P 500 ETF ETF 922908363 219 1210 SH SOLE 0 0 1210 VANGUARD CRSP US MID CAP GROWTH IND ETF ETF 922908538 235 2446 SH SOLE 0 0 2446 VANGUARD FTSE PACIFIC ETF ETF 922042866 31141 525137 SH SOLE 0 0 525137 VANGUARD UTILITIES INDEX ETF 92204A876 1512 16562 SH SOLE 0 0 16562 VANGUARD WORLD EX US SMALL CAP ETF ETF 922042718 10015 98059 SH SOLE 0 0 98059 VANGUARD TOTAL STOCK MARKET ETF ETF 922908769 27159 268260 SH SOLE 0 0 268260 VANGUARD CRSP US LARGE CAP GROW IND ETF ETF 922908736 273 2742 SH SOLE 0 0 2742 VANGUARD EMERGING MARKETS ETF ETF 922042858 38413 920963 SH SOLE 0 0 920963 VERIZON COMMUNICATIONS COM Com 92343V104 272 5435 SH SOLE 0 0 5435 WISCONSIN ENERGY CORP COM Com 976657106 440 10229 SH SOLE 0 0 10229 WESTERN ASSET CLAYMORE ETF 95766R104 145 12482 SH SOLE 0 0 12482 WAL-MART DE MEXICO SA DE CV ORD CL V Com P98180105 26 10144 SH SOLE 0 0 10144 WAL-MART STORES COM Com 931142103 252 3293 SH SOLE 0 0 3293 XCEL ENERGY INC COM Com 98389B100 578 19021 SH SOLE 0 0 19021 SELECT SECTOR SPDR TRUST TECHNOLOGY SELECT INDEX ETF 81369Y803 243 6078 SH SOLE 0 0 6078 EXXON MOBIL CORPORATION COM Com 30231G102 1449 15406 SH SOLE 0 0 15406 YUM! BRANDS INC COM Com 988498101 3503 48673 SH SOLE 0 0 48673