Chief Compliance Officer

0001398344-14-000243.txt : 20140114 0001398344-14-000243.hdr.sgml : 20140114 20140114143203 ACCESSION NUMBER: 0001398344-14-000243 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140114 DATE AS OF CHANGE: 20140114 EFFECTIVENESS DATE: 20140114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baltimore-Washington Financial Advisors, Inc. CENTRAL INDEX KEY: 0001555486 IRS NUMBER: 521677425 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15682 FILM NUMBER: 14526917 BUSINESS ADDRESS: STREET 1: 5950 SYMPHONY WOODS ROAD STREET 2: SUITE 600 CITY: COLUMBIA STATE: MD ZIP: 21044 BUSINESS PHONE: 410-461-3900 MAIL ADDRESS: STREET 1: 5950 SYMPHONY WOODS ROAD STREET 2: SUITE 600 CITY: COLUMBIA STATE: MD ZIP: 21044 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001555486 XXXXXXXX 12-31-2013 12-31-2013 false Baltimore-Washington Financial Advisors, Inc.

5950 Symphony Woods Road Suite 600 Columbia MD 21044

13F HOLDINGS REPORT 028-15682 N Robert Carpenter Chief Compliance Officer 410-461-3900 /s/ Robert Carpenter Columbia MD 01-10-2014 0 319 295815 INFORMATION TABLE 2 fp0009159_13fhr-table.xml 13F INFORMATION TABLE 3M CO COM COM 88579Y101 5303 37812 SH SOLE 35612 0 2120 ABBVIE INC COM COM 00287Y109 11 200 SH SOLE 200 0 0 ABERDEEN ASIA-PAC PRIME INC COM COM 003009107 5197 902171 SH SOLE 838106 0 67065 ACCENTURE LTD ORD SHS CLASS A G1151C101 164 2000 SH SOLE 2000 0 0 ACTIVISION BLIZZARD INC COM COM 00507V109 2 89 SH SOLE 89 0 0 ADVANCED MICRO DEVICES INC COM COM 007903107 1 160 SH SOLE 160 0 0 AES TRUST III PFD 6.75% CONV/CALL PFD CV 6.75% 00808N202 10 200 SH SOLE 200 0 0 AGILENT TECHNOLOGIES INC COM COM 00846U101 1 19 SH SOLE 19 0 0 AKAMAI TECHNOLOGIES COM COM 00971T101 5 100 SH SOLE 100 0 0 ALCATEL LUCENT SPONSORED ADR SPONSORED ADR 013904305 0 28 SH SOLE 28 0 0 ALLIANCEBERNSTEIN GBL INC ALLIANCE WRLD DLR GOVT FUND II COM 01879R106 14 1000 SH SOLE 1000 0 0 ALLIED NEVADA GOLD CORP COM COM 019344100 26 7300 SH SOLE 5800 0 1500 ALTERA CORP COM COM 021441100 2857 87865 SH SOLE 80865 0 4700 ALTRIA GROUP INC COM COM 02209S103 2 41 SH SOLE 41 0 0 AMAZON.COM INC COM COM 023135106 40 100 SH SOLE 100 0 0 AMERICAN EXPRESS CO CM COM 025816109 23 255 SH SOLE 255 0 0 ANIKA THERAPEUTICS INC COM COM 035255108 1433 37550 SH SOLE 31155 0 6395 ANNALY CAPITAL MANAGEMENT INC COM COM 035710409 7 700 SH SOLE 700 0 0 APOLLO EDUCATION GROUP INC CLASS A COM CL A 037604105 1 33 SH SOLE 33 0 0 APPLE INC COM COM 037833100 6750 12032 SH SOLE 11372 0 660 ARES CAPITAL CORP COM COM 04010L103 2985 167977 SH SOLE 153413 0 12089 ARROW ELECTRONIC INC COM COM 042735100 95 1750 SH SOLE 2000 0 0 AT&T INC COM COM 00206R102 139 3944 SH SOLE 0 0 3944 ATMI INC COM COM 00207R101 2262 74865 SH SOLE 68885 0 5980 BAIDU INC ADR SPON ADR REP A 056752108 44 250 SH SOLE 0 0 250 BANK OF AMERICA CORP COM COM 060505104 8 500 SH SOLE 500 0 0 BANK OF NEW YORK MELLON CORP COM COM 064058100 4528 129606 SH SOLE 123856 0 5750 BARNES & NOBLE INC COM COM 067774109 1 75 SH SOLE 75 0 0 BEAZER HOMES USA INC COM COM NEW 07556Q881 13 550 SH SOLE 550 0 0 BERKSHIRE HATHAWAY INC DEL CL B CL B NEW 084670702 368 3100 SH SOLE 3100 0 0 BHP BILLITON LIMITED ADR SPONSORED ADR 088606108 31 450 SH SOLE 450 0 0 BLACKROCK CORP HIGH YLD FD VI COM COM 09255P107 47 3900 SH SOLE 0 0 3900 BLACKROCK GLBL OPP EQ TR F GROWTH & INCOME FUND COM 092501105 10 700 SH SOLE 700 0 0 BOEING CO COM COM 097023105 92 676 SH SOLE 676 0 0 BOOZ ALLEN HAMILTON HOLDINGS COM CL A 099502106 0 19 SH SOLE 19 0 0 BROADCOM CORP COM CL A CL A 111320107 0 15 SH SOLE 15 0 0 BUCKLE INC COM COM 118440106 2 32 SH SOLE 32 0 0 BUFFALO WILD WINGS INC COM COM 119848109 2 16 SH SOLE 16 0 0 CA INCORPORATED COM COM 12673P105 1 16 SH SOLE 16 0 0 CACI INTL INC CL A CL A 127190304 2 21 SH SOLE 21 0 0 CALAMOS CONVERTIBLE OPP & INC COM SH BEN INT 128117108 20 1500 SH SOLE 1500 0 0 CALAMOS GLOBAL TOTAL RETURN FUN COM SH BEN INT 128118106 17 1200 SH SOLE 1200 0 0 CAL-MAINE FOODS INC COM COM NEW 128030202 6267 104043 SH SOLE 97623 0 5995 CALPINE INC COM COM NEW 131347304 10 490 SH SOLE 490 0 0 CAMPBELL SOUP CO COM COM 134429109 1674 38687 SH SOLE 36867 0 1820 CAPSTEAD MORTGAGE CORP COM COM NO PAR 14067E506 41 3400 SH SOLE 3400 0 0 CAREER EDUCATION CORP COM COM 141665109 17 3001 SH SOLE 0 0 3001 CARLISLE COS INC COM COM 142339100 159 2000 SH SOLE 2000 0 0 CATERPILLAR INC COM COM 149123101 23 250 SH SOLE 0 0 250 CEDAR FAIR L P DEPOSITRY UNIT DEPOSITRY UNIT 150185106 37 750 SH SOLE 750 0 0 CF INDUSTRIES HOLDINGS INC COM COM 125269100 1 5 SH SOLE 5 0 0 CHEVRON CORP COM COM 166764100 80 640 SH SOLE 640 0 0 CHICO'S FAS INC COM COM 168615102 9 500 SH SOLE 500 0 0 CHUBB CORP COM COM 171232101 193 2000 SH SOLE 2000 0 0 CIRRUS LOGIC INC COM COM 172755100 1 66 SH SOLE 66 0 0 CISCO SYSTEMS INC COM COM 17275R102 3439 153308 SH SOLE 143028 0 10280 CITIGROUP INC COM COM NEW 172967424 64 1224 SH SOLE 912 0 312 COACH INC COM COM 189754104 1 9 SH SOLE 9 0 0 COCA COLA CO COM COM 191216100 54 1300 SH SOLE 800 0 500 COLGATE PALMOLIVE CO COM COM 194162103 3545 54359 SH SOLE 52054 0 2430 COLONY FINANCIAL INC REIT COM 19624R106 243 12000 SH SOLE 12000 0 0 COMCAST CORP COM CL A CL A 20030N101 2 46 SH SOLE 0 0 46 COMPUTER SCIENCES CORP COM COM 205363104 2 40 SH SOLE 40 0 0 CONAGRA FOODS INC COM COM 205887102 3 100 SH SOLE 100 0 0 CONOCOPHILLIPS CORP COM COM 20825C104 5199 73582 SH SOLE 70007 0 3575 COPART INC COM COM 217204106 82 2250 SH SOLE 1000 0 1250 CORRECTIONS CORP OF AMERICA COM COM NEW 22025Y407 0 1 SH SOLE 0 0 1 COSTAR GROUP INC COM COM 22160N109 54 294 SH SOLE 294 0 0 COSTCO WHOLESALE CORPORATION COM COM 22160K105 1 10 SH SOLE 10 0 0 CREE, INC. COM COM 225447101 9 150 SH SOLE 150 0 0 CUMMINS INC COM COM 231021106 317 2250 SH SOLE 2250 0 0 CURRENCY SH CAN DOL TR EXCHANGE TRADED FUND CDN DOLLAR SHS 23129X105 47 500 SH SOLE 500 0 0 CURRENCY SHARES AUS DOLLAR TRUST AUSTRALIAN DOL 23129U101 1138 12725 SH SOLE 12435 0 290 CVR ENERGY INC COM COM 12662P108 0 6 SH SOLE 6 0 0 CVS CAREMARK CORPORATION COM COM 126650100 215 3000 SH SOLE 3000 0 0 DANAHER CORP DEL COM COM 235851102 154 2000 SH SOLE 2000 0 0 DARDEN RESTAURANTS INC COM COM 237194105 7 125 SH SOLE 125 0 0 DEERE & CO COM COM 244199105 9 100 SH SOLE 100 0 0 DELUXE CORP COM COM 248019101 1 28 SH SOLE 28 0 0 DIGITL REALTY TRUST INC COM COM 253868103 15 300 SH SOLE 0 0 300 DISCOVER FINL SVCS COM COM 254709108 56 1000 SH SOLE 1000 0 0 DOMINION RESOURCES INC COM COM 25746U109 2978 46039 SH SOLE 43264 0 3075 DOVER CORP COM COM 260003108 290 3000 SH SOLE 3000 0 0 DOW CHEMICAL COM COM 260543103 5601 126145 SH SOLE 117875 0 8270 DU PONT E I DE NEMOURS & CO COM COM 263534109 65 1000 SH SOLE 1000 0 0 DUNKIN BRANDS GROUP COM COM 265504100 5 100 SH SOLE 100 0 0 E M C CORP MASS COM COM 268648102 3 100 SH SOLE 100 0 0 EAGLE BANCORP INC (MD) COM COM 268948106 12 385 SH SOLE 385 0 0 EASTMAN CHEMICAL CO COM COM 277432100 52 650 SH SOLE 650 0 0 EATON CORP PLC ORD SHS G29183103 30 400 SH SOLE 0 0 400 EATON VANCE MUN BOND CLOSED END FUND COM 27827X101 34 2978 SH SOLE 2978 0 0 ENDO HEALTH SOLUTIONS INC COM COM 29264F205 1 14 SH SOLE 14 0 0 EXPEDITORS INTL WASH INC COM COM 302130109 221 5000 SH SOLE 5000 0 0 EXPRESS SCRIPTS HOLDING CO COM COM 30219G108 3347 47648 SH SOLE 43308 0 4340 EXXON MOBIL CORPORATION COM COM 30231G102 2457 24276 SH SOLE 20815 0 3461 F5 NETWORKS INC COM COM 315616102 2531 27855 SH SOLE 25165 0 2690 FACEBOOK INC COM CL A 30303M102 109 2000 SH SOLE 2000 0 0 FASTENAL CO COM COM 311900104 8 160 SH SOLE 160 0 0 FINANCIAL ENGINES INC COM COM 317485100 2442 35150 SH SOLE 31700 0 3450 FLAGSTAR BANCORP INC PFD COM COM PAR .001 337930705 20 1000 SH SOLE 1000 0 0 FORD MOTOR COM COM PAR $0.01 345370860 54 3500 SH SOLE 3500 0 0 FREEPORT MCMORAN COPPER & GOLD COM COM 35671D857 11 300 SH SOLE 300 0 0 FRONTIER COMMUNICATIONS CORP COM COM 35906A108 0 105 SH SOLE 29 0 76 GAMESTOP CORP COM CL A 36467W109 5 96 SH SOLE 96 0 0 GENERAL ELECTRIC CO COM COM 369604103 80 2850 SH SOLE 2850 0 0 GENERAL MOTORS COMPANY COM COM 37045V100 40 975 SH SOLE 0 0 975 GENOMIC HEALTH INC COM COM 37244C101 1992 68040 SH SOLE 60910 0 7130 GENTEX CORP COM COM 371901109 2210 67015 SH SOLE 60320 0 6695 GILEAD SCIENCES INC COM COM 375558103 2081 27710 SH SOLE 25375 0 2335 GOOGLE INC CL A CL A 38259P508 3497 3120 SH SOLE 2897 0 223 GREEN DOT CORP CL A CL A 39304D102 1007 40035 SH SOLE 25500 0 7400 GROUPON INC COM COM CL A 399473107 14 1167 SH SOLE 1167 0 0 GUGGENHEIM ABC GUGGENHEIM CANADIAN ENERGY INC GUGG CA ENRG INC 18383Q606 6 400 SH SOLE 400 0 0 GUGGENHEIM S&P 500 EQUAL WEIGHT ETF GUG S&P500 EQ WT 78355W106 999 14025 SH SOLE 10580 0 2525 HANCOCK JOHN INVS TR COM COM 410142103 19 1000 SH SOLE 1000 0 0 HARRIS CORP DEL COM COM 413875105 2 26 SH SOLE 26 0 0 HASBRO INC COM COM 418056107 41 750 SH SOLE 0 0 750 HEALTHCARE TRUST OF AMERICA CLASS A CL A 42225P105 2985 303335 SH SOLE 300285 0 17050 HESS CORPORATION COM COM 42809H107 468 5640 SH SOLE 5640 0 0 HEWLETT PACKARD CO COM COM 428236103 3 100 SH SOLE 100 0 0 HHGREGG INC COM COM 42833L108 6 400 SH SOLE 400 0 0 HOME DEPOT INC COM COM 437076102 194 2356 SH SOLE 2356 0 0 HOWARD HUGHES CORP COM COM 44267D107 240 2000 SH SOLE 2000 0 0 HUBBELL INC CL B CL B 443510201 109 1000 SH SOLE 1000 0 0 INTEL CORP COM COM 458140100 54 2095 SH SOLE 200 0 1895 INTERDIGITAL INC COM COM 45867G101 1 43 SH SOLE 43 0 0 INTERMUNE INC COM COM 45884X103 1330 90280 SH SOLE 79410 0 10870 INTL BUSINESS MACHINES COM COM 459200101 196 1045 SH SOLE 1045 0 0 INVENSENSE INC COM COM 46123D205 1 58 SH SOLE 58 0 0 ISHARES 1-3 YEAR CREDIT BND ETF 1-3 YR CR BD ETF 464288646 9234 87556 SH SOLE 78620 0 8906 ISHARES 1-3 YR TREASURY BND ETF 1-3 YR TR BD ETF 464287457 84 1000 SH SOLE 1000 0 0 ISHARES 7-10 YR TREASURY BND ETF 7-10 Y TR BD ETF 464287440 7 69 SH SOLE 69 0 0 ISHARES Aaa-A RATED CORP BND ETF A RATE CP BD ETF 46429B291 23 462 SH SOLE 462 0 0 ISHARES COHEN & STEERS REIT ETF COHEN&STEER REIT 464287564 555 7424 SH SOLE 4575 0 2749 ISHARES CORE S&P 500 ETF CORE S&P500 ETF 464287200 11 59 SH SOLE 59 0 0 ISHARES CORE S&P SMALL-CAP ETF CORE S&P SCP ETF 464287804 102 935 SH SOLE 785 0 150 ISHARES CORE TOTAL U.S. BOND ETF CORE TOTUSBD ETF 464287226 2599 24416 SH SOLE 16875 0 7631 ISHARES EUROPE ETF EUROPE ETF 464287861 878 18495 SH SOLE 17145 0 1350 ISHARES GLOBAL 100 ETF GLOBAL 100 ETF 464287572 77 1000 SH SOLE 1000 0 0 ISHARES GLOBAL TECH ETF GLOBAL TECH ETF 464287291 95 1140 SH SOLE 1140 0 0 ISHARES IBOXX $ INVMNT GRD CORP BD ETF IBOXX INV CP ETF 464287242 90 792 SH SOLE 317 0 475 ISHARES INDIA 50 ETF INDIA 50 ETF 464289529 228 9705 SH SOLE 8885 0 820 ISHARES INTL SELECT DIV ETF INTL SEL DIV ETF 464288448 23 600 SH SOLE 0 0 600 ISHARES MSCI BRAZIL CAPPED ETF MSCI BRZ CAP ETF 464286400 1436 32150 SH SOLE 30140 0 2110 ISHARES MSCI CANADA ETF MSCI CDA ETF 464286509 69 2350 SH SOLE 2350 0 0 ISHARES MSCI EAFE ETF MSCI EAFE ETF 464287465 3473 51767 SH SOLE 42140 0 8712 ISHARES MSCI EMERGING MKTS ETF MSCI EMG MKT ETF 464287234 11 252 SH SOLE 252 0 0 ISHARES MSCI EMRG MKTS MIN VOL ETF EM MK MINVOL ETF 464286533 47 800 SH SOLE 0 0 800 ISHARES MSCI GERMANY ETF MSCI GERMANY ETF 464286806 103 3232 SH SOLE 3232 0 0 ISHARES MSCI SINGAPORE ETF MSCI SINGAP ETF 464286673 857 65105 SH SOLE 60760 0 4345 ISHARES MSCI UNITED KINGDOM ETF MSCI UK ETF 464286699 48 2280 SH SOLE 2280 0 0 ISHARES RUSSELL 1000 VALUE ETF RUS 1000 VAL ETF 464287598 20 211 SH SOLE 211 0 0 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 112 971 SH SOLE 971 0 0 ISHARES RUSSELL 2000 GROWTH ETF RUS 2000 GRW ETF 464287648 634 4680 SH SOLE 4215 0 465 ISHARES RUSSELL MID-CAP ETF RUS MID-CAP ETF 464287499 1092 7279 SH SOLE 3375 0 3819 ISHARES RUSSELL MID-CAP VALUE ETF RUS MDCP VAL ETF 464287473 240 3649 SH SOLE 2589 0 1060 ISHARES S&P SMALL-CAP 600 VALUE ETF SP SMCP600VL ETF 464287879 12 110 SH SOLE 110 0 0 ISHARES SELECT DIVIDEND ETF SELECT DIVID ETF 464287168 2638 36968 SH SOLE 22611 0 14107 ISHARES TIPS BOND ETF TIPS BD ETF 464287176 418 3806 SH SOLE 3394 0 412 ITT EDUCATIONAL SERVICES INC COM COM 45068B109 0 14 SH SOLE 14 0 0 JOHNSON & JOHNSON COM COM 478160104 162 1765 SH SOLE 1200 0 565 JOHNSON CTLS INC COM COM 478366107 6438 125488 SH SOLE 118108 0 7005 JP MORGAN CHASE & CO COM COM 46625H100 3 58 SH SOLE 58 0 0 KAMAN CORP COM COM 483548103 7 171 SH SOLE 171 0 0 KINDER MORGAN ENERGY PARTNERS CM LP UT LTD PARTNER 494550106 4556 56485 SH SOLE 53025 0 3460 KLA-TENCOR CORP COM COM 482480100 0 7 SH SOLE 7 0 0 KOHLS CORP COM COM 500255104 101 1785 SH SOLE 910 0 875 LABORATORY CORP OF AMERICA COM COM NEW 50540R409 2466 26993 SH SOLE 25223 0 1770 LEUCADIA NATL CORP COM COM 527288104 1 18 SH SOLE 18 0 0 LEVEL 3 COMMUNICATIONS INC COM COM NEW 52729N308 0 2 SH SOLE 2 0 0 LIBERTY INTERACTIVE CORP SERIES A INTERACTIVE COM INT COM SER A 53071M104 390 13300 SH SOLE 13300 0 0 LIBERTY MEDIA CORP DELAWARE CLASS A CL A 531229102 278 1900 SH SOLE 1900 0 0 LIVE NATION ENTERTAINMENT INC COM COM 538034109 6 300 SH SOLE 300 0 0 LOCKHEED MARTIN COM COM 539830109 17 114 SH SOLE 114 0 0 LORILLARD INC COM COM 544147101 2 30 SH SOLE 30 0 0 LSI CORP COM COM 502161102 0 4 SH SOLE 4 0 0 M & T BANK CORPORATION COM COM 55261F104 95 819 SH SOLE 819 0 0 MAIN STREET CAPITAL HOLDINGS COM COM 56035L104 10 300 SH SOLE 300 0 0 MARATHON OIL CORP COM COM 565849106 71 2000 SH SOLE 2000 0 0 MARATHON PETE CORP COM COM 56585A102 4668 50884 SH SOLE 48814 0 2070 MARKET VECTORS BDC INCOME ETF BUSI DEVCO ETF 57060U316 42 2000 SH SOLE 2000 0 0 MARKET VECTORS SHORT MUNI INDEX MKTVEC SMUNETF 57060U803 190 10825 SH SOLE 8825 0 2000 MARTHA STEWART LIVING CL A CL A 573083102 0 30 SH SOLE 30 0 0 MARTIN MARIETTA MATLS INC COM COM 573284106 162 1618 SH SOLE 1849 0 0 MATERION CORPORATION COM COM 576690101 62 2000 SH SOLE 2000 0 0 MAXIM INTEGRATED PRODS INC COM COM 57772K101 3 110 SH SOLE 110 0 0 MCCORMICK & CO INC COM NON VTG COM NON VTG 579780206 2 33 SH SOLE 33 0 0 MCCORMICK & CO INC VTG COM COM VTG 579780107 24 350 SH SOLE 350 0 0 MCDONALDS CORP COM COM 580135101 19 200 SH SOLE 200 0 0 MEDASSETS INC COM COM 584045108 1081 54510 SH SOLE 51835 0 5225 MEDTRONIC INC COM COM 585055106 18 310 SH SOLE 0 0 310 MERCK & CO INC. COM COM 58933Y105 2492 49782 SH SOLE 47457 0 2325 MICROSOFT CORP COM COM 594918104 5342 142795 SH SOLE 134140 0 8655 MICROVISION COM COM NEW 594960304 1 738 SH SOLE 738 0 0 MONSANTO CO COM COM 61166W101 8 68 SH SOLE 68 0 0 MOTOROLA INC COM COM NEW 620076307 1 17 SH SOLE 17 0 0 MURPHY USA INC COM COM 626755102 56 1350 SH SOLE 1350 0 0 MYLAN INC COM COM 628530107 2458 56638 SH SOLE 52863 0 3775 MYRIAD GENETICS INC COM COM 62855J104 1 46 SH SOLE 46 0 0 NATIONAL RETAIL PROPERTIES INC COM COM 637417106 11 375 SH SOLE 375 0 0 NATIONAL-OILWELL VARCO INC COM COM 637071101 3323 41784 SH SOLE 39049 0 2735 NCR CORP COM COM 62886E108 1 26 SH SOLE 0 0 26 NEW RESIDENTIAL INVT CORP COM COM 64828T102 324 48500 SH SOLE 48500 0 0 NEWCASTLE INVESTMENT CORP COM COM 65105M108 278 48500 SH SOLE 48500 0 0 NEXTERA ENERGY INC COM COM 65339F101 19 225 SH SOLE 225 0 0 NIC INC COM COM 62914B100 3789 152370 SH SOLE 135845 0 16525 NOKIA CORP ADR SPONSORED ADR 654902204 1 80 SH SOLE 80 0 0 NORTHROP GRUMMAN CORP COM COM 666807102 2 19 SH SOLE 19 0 0 NOVARTIS AG ADR SPONSORED ADR 66987V109 50 625 SH SOLE 0 0 625 NOVOGEN LIMITED SPONS ADR SPON ADR 1:25 SH 67010F202 5 1110 SH SOLE 1110 0 0 NOVO-NORDISK A S ADR ADR 670100205 44 240 SH SOLE 0 0 240 NUVEEN MD PREM INCOME MUN FD COM COM 67061Q107 36 3001 SH SOLE 3001 0 0 OAKTREE CAPITAL GROUP LLC UNIT CLASS A UNIT CL A 674001201 332 5650 SH SOLE 7400 0 0 OCCIDENTAL PETROLEUM CORP COM COM 674599105 5455 57360 SH SOLE 52780 0 4580 OLD NATL BANCORP IND COM COM 680033107 37 2400 SH SOLE 2400 0 0 ORACLE CORP COM COM 68389X105 42 1088 SH SOLE 1088 0 0 OXFORD INDUSTRIES INC COM COM 691497309 1335 16545 SH SOLE 14395 0 2150 PANERA BREAD CO CL A CL A 69840W108 19 110 SH SOLE 110 0 0 PARKER HANNIFIN CORP COM COM 701094104 5227 40635 SH SOLE 36360 0 4275 PAYCHEX INC COM COM 704326107 50 1100 SH SOLE 0 0 1100 PDL BIOPHARMA INC COM COM 69329Y104 1 62 SH SOLE 62 0 0 PEPSICO INC COM COM 713448108 5568 67130 SH SOLE 63675 0 3455 PFIZER INC COM COM 717081103 67 2190 SH SOLE 2190 0 0 PHH CORP COM COM NEW 693320202 365 15000 SH SOLE 15000 0 0 PHILLIPS 66 COM COM 718546104 334 4330 SH SOLE 2820 0 50 PIMCO 0-5 YR HIGH YLD CORP BOND ETF 0-5 HIGH YIELD 72201R783 27 256 SH SOLE 256 0 0 PIMCO MUNI INCOME FUND CLOSED-END FUND COM 72200R107 37 3058 SH SOLE 3058 0 0 PIONEER NATURAL RESOURCES CO COM COM 723787107 9 50 SH SOLE 50 0 0 PLAINS ALL AMERICAN PIPELINE COM LP UNIT LTD PARTN 726503105 5587 107920 SH SOLE 101735 0 6185 PNC FINL CORP COM COM 693475105 225 2901 SH SOLE 2250 0 651 POTASH CORP SASK INC COM COM 73755L107 51 1560 SH SOLE 410 0 1150 POWERSHARES CEF INCOME COMPOSITE PORT CEF INC COMPST 73936Q843 15 600 SH SOLE 600 0 0 POWERSHARES FTSE RAFI US 1000 PORTFOLIO FTSE RAFI 1000 73935X583 91 1100 SH SOLE 1100 0 0 POWERSHARES QQQ UNIT SER 1 73935A104 3166 35998 SH SOLE 27504 0 7624 POWERSHARES S&P 500 LOW VOLITILY PORT S&P500 LOW VOL 73937B779 47 1406 SH SOLE 1406 0 0 PROCTER GAMBLE CO COM COM 742718109 796 9773 SH SOLE 9773 0 0 PROGRESSIVE CORP OHIO COM COM 743315103 409 15000 SH SOLE 15000 0 0 PROLOGIS COM COM 74340W103 12 325 SH SOLE 325 0 0 PTC INC COM COM 69370C100 1 40 SH SOLE 40 0 0 PUBLIC SVC ENTERPRISE GROUP COM COM 744573106 3364 104990 SH SOLE 102275 0 4940 QUALCOMM INC COM COM 747525103 4102 55250 SH SOLE 51355 0 2320 QUANTUM FUEL SYSTEMS TEC COM COM PAR $0.02 74765E307 0 10 SH SOLE 10 0 0 RAYONIER INC COM COM 754907103 3448 81894 SH SOLE 78627 0 6467 RAYTHEON CO COM COM NEW 755111507 2 21 SH SOLE 21 0 0 REPUBLIC SERVICES INC COM COM 760759100 17 500 SH SOLE 500 0 0 REYNOLDS AMERICAN INC COM COM 761713106 1 11 SH SOLE 11 0 0 ROCKWELL AUTOMATION INC COM COM 773903109 5753 48691 SH SOLE 44946 0 3635 ROCKWELL COLLINS COM COM 774341101 30 404 SH SOLE 404 0 0 ROYAL DUTCH SHELL PLC ADR CLASS A SPONS ADR A 780259206 1 12 SH SOLE 12 0 0 SCHWAB INTL EQUITY ETF INTL EQTY ETF 808524805 32 1000 SH SOLE 0 0 1000 SCIENCE APPLICATNS INTL CORP COM COM 808625107 0 8 SH SOLE 8 0 0 SELECT SECTOR SPDR TRUST HEALTH CARE SELECT INDEX SBI HEALTHCARE 81369Y209 2159 38952 SH SOLE 27972 0 10980 SEMPRA ENERGY COM COM 816851109 90 1000 SH SOLE 1000 0 0 SIEMENS A.G. 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