0001062993-14-000540.txt : 20140207
0001062993-14-000540.hdr.sgml : 20140207
20140206174652
ACCESSION NUMBER: 0001062993-14-000540
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140207
DATE AS OF CHANGE: 20140206
EFFECTIVENESS DATE: 20140207
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SignalPoint Asset Management, LLC
CENTRAL INDEX KEY: 0001566414
IRS NUMBER: 262727476
STATE OF INCORPORATION: MO
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15113
FILM NUMBER: 14581211
BUSINESS ADDRESS:
STREET 1: 400 SOUTH AVENUE
STREET 2: SUITE 300
CITY: SPRINGFIELD
STATE: MO
ZIP: 65806
BUSINESS PHONE: 417-869-9980
MAIL ADDRESS:
STREET 1: 400 SOUTH AVENUE
STREET 2: SUITE 300
CITY: SPRINGFIELD
STATE: MO
ZIP: 65806
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001566414
XXXXXXXX
12-31-2013
12-31-2013
SignalPoint Asset Management, LLC
400 SOUTH AVENUE
SUITE 300
SPRINGFIELD
MO
65806
13F HOLDINGS REPORT
028-15113
N
Michael Orzel
CEO & CCO
417-869-9981
Michael Orzel
Springfield
MO
02-04-2014
0
201
221049
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
DUFF & PHELPS GLB UTL INC FD
COM
26433C105
357
18715
SH
SOLE
0
0
18715
FIRST TR EXCH TRD ALPHA FD I
ASIA EX JAPAN
33737J109
492
17419
SH
SOLE
16641
0
778
FIRST TR EXCHANGE TRADED FD
CONSUMR DISCRE
33734X101
2901
89966
SH
SOLE
14278
0
75688
FIRST TR EXCHANGE TRADED FD
CONSUMR STAPLE
33734X119
1966
55129
SH
SOLE
13878
0
41251
FIRST TR EXCH TRD ALPHA FD I
EMERG MKT ALPH
33737J182
472
19029
SH
SOLE
18194
0
835
FIRST TR EXCHANGE TRADED FD
ENERGY ALPHADX
33734X127
3043
120465
SH
SOLE
17980
0
102485
FIRST TR EXCH TRD ALPHA FD I
EUROPE ALPHA
33737J117
573
17144
SH
SOLE
16643
0
501
FIRST TR EXCHANGE TRADED FD
FINLS ALPHADEX
33734X135
2012
92558
SH
SOLE
21345
0
71213
FIRST TR EXCHANGE TRADED FD
HLTH CARE ALPH
33734X143
2682
55792
SH
SOLE
9958
0
45834
FIRST TR EXCHANGE TRADED FD
INDLS PROD DUR
33734X150
2757
97098
SH
SOLE
17152
0
79946
FIRST TR EXCH TRD ALPHA FD I
JAPAN ALPHADEX
33737J158
564
12078
SH
SOLE
11830
0
248
FIRST TR EXCH TRD ALPHA FD I
LATIN AMER ALP
33737J125
452
19172
SH
SOLE
18406
0
766
FIRST TR EXCHANGE TRADED FD
MATERIALS ALPH
33734X168
3010
92860
SH
SOLE
13563
0
79297
FIRST TR EXCHANGE TRADED FD
TECH ALPHADEX
33734X176
1948
65263
SH
SOLE
15837
0
49426
FIRST TR EXCHANGE TRADED FD
UTILITIES ALPH
33734X184
2090
103079
SH
SOLE
19737
0
83342
FIRST TR EXCHANGE TRADED FD
DJ GLBL DIVID
33734X200
225
8289
SH
SOLE
0
0
8289
FIRST TR EXCHANGE TRADED FD
NO AMER ENERGY
33738D101
320
13618
SH
SOLE
0
0
13618
FIRST TR VALUE LINE 100 ETF
COM SHS
33735G107
916
49643
SH
SOLE
0
0
49643
FIRST TR VALUE LINE 100 ETF
COM SHS
33735G107
21
1130
SH
DFND
0
0
1130
ISHARES
1-3 YR TR BD ETF
464287457
5255
62274
SH
SOLE
0
0
62274
ISHARES
20+ YR TR BD ETF
464287432
2494
24488
SH
SOLE
0
0
24488
ISHARES
7-10 Y TR BD ETF
464287440
2736
27568
SH
SOLE
0
0
27568
ISHARES
SHRT TRS BD ETF
464288679
2934
26608
SH
SOLE
14182
0
12426
ISHARES
TIPS BD ETF
464287176
2859
26019
SH
SOLE
0
0
26019
ISHARES GOLD TRUST
ISHARES
464285105
2001
171348
SH
SOLE
0
0
171348
ISHARES
IBOXX INV CP ETF
464287242
3442
30142
SH
SOLE
0
0
30142
ISHARES
IBOXX HI YD ETF
464288513
4924
53014
SH
SOLE
0
0
53014
ISHARES
IBOXX HI YD ETF
464288513
153
1650
SH
OTR
0
0
1650
ISHARES
EMU ETF
464286608
2870
69365
SH
SOLE
0
0
69365
ISHARES
MSCI JAPAN ETF
464286848
2485
204746
SH
SOLE
0
0
204746
ISHARES
MSCI PAC JP ETF
464286665
3542
75802
SH
SOLE
0
0
75802
ISHARES
LATN AMER 40 ETF
464287390
2136
57666
SH
SOLE
0
0
57666
ISHARES TR
0-5YR INVT GR CP
46434V100
1115
22265
SH
SOLE
0
0
22265
POWERSHARES ETF TRUST II
SENIOR LN PORT
73936Q769
239
9610
SH
SOLE
0
0
9610
POWERSHARES ETF TRUST
BASIC MAT SECT
73935X427
4135
81113
SH
SOLE
0
0
81113
POWERSHARES ETF TRUST
DYN BIOT & GEN
73935X856
2283
61620
SH
SOLE
0
0
61620
POWERSHARES ETF TRUST
CON DISCRE SEC
73935X419
4702
114150
SH
SOLE
0
0
114150
POWERSHARES ETF TRUST
CON STAPLE SEC
73935X393
2692
61019
SH
SOLE
0
0
61019
POWERSHARES ETF TRUST
ENERGY SEC POR
73935X385
5243
94492
SH
SOLE
0
0
94492
POWERSHARES ETF TRUST
FINL SECT PORT
73935X377
2889
98744
SH
SOLE
0
0
98744
POWERSHARES ETF TRUST
HLTHCR SEC POR
73935X351
3610
76301
SH
SOLE
0
0
76301
POWERSHARES ETF TRUST
INDL SECT PORT
73935X369
3302
69213
SH
SOLE
0
0
69213
POWERSHARES ETF TRUST
TECH SECT PORT
73935X344
2848
80253
SH
SOLE
0
0
80253
POWERSHARES ETF TRUST
DYN UTIL PORTF
73935X591
3694
178965
SH
SOLE
0
0
178965
POWERSHARES ETF TRUST
FINL PFD PTFL
73935X229
2064
121826
SH
SOLE
0
0
121826
POWERSHARES ETF TRUST
FINL PFD PTFL
73935X229
213
12600
SH
OTR
0
0
12600
POWERSHARES ETF TRUST
GBL LSTD PVT EQT
73935X195
2351
194332
SH
SOLE
0
0
194332
POWERSHARES GLOBAL ETF TRUST
AGG PFD PORT
73936T565
786
58480
SH
SOLE
0
0
58480
SCHWAB STRATEGIC TR
US TIPS ETF
808524870
364
6894
SH
SOLE
0
0
6894
SPDR SERIES TRUST
BRC HGH YLD BD
78464A417
890
21952
SH
SOLE
0
0
21952
SPDR SERIES TRUST
BRC HGH YLD BD
78464A417
56
1385
SH
DFND
0
0
1385
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
248
1496
SH
SOLE
0
0
1496
SPDR SERIES TRUST
BRC CNV SECS ETF
78464A359
231
4940
SH
SOLE
0
0
4940
SPDR INDEX SHS FDS
DJ GLB RL ES ETF
78463X749
1312
31596
SH
SOLE
0
0
31596
SPDR INDEX SHS FDS
DJ GLB RL ES ETF
78463X749
25
606
SH
OTR
0
0
606
SPDR S&P 500 ETF TR
TR UNIT
78462F103
300
1623
SH
SOLE
0
0
1623
SPDR S&P 500 ETF TR
TR UNIT
78462F103
65
350
SH
OTR
0
0
350
SPDR GOLD TRUST
GOLD SHS
78463V107
337
2898
SH
SOLE
0
0
2898
SPDR GOLD TRUST
GOLD SHS
78463V107
10
85
SH
OTR
0
0
85
SPDR SERIES TRUST
WELLS FG PFD ETF
78464A292
335
8509
SH
SOLE
0
0
8509
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
4546
26877
SH
SOLE
0
0
26877
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
2638
32283
SH
SOLE
0
0
32283
VANGUARD BD INDEX FD INC
LONG TERM BOND
921937793
2431
29773
SH
SOLE
0
0
29773
VANGUARD INDEX FDS
REIT ETF
922908553
5008
77572
SH
SOLE
0
0
77572
VANGUARD MALVERN FDS
STRM INFPROIDX
922020805
5183
105074
SH
SOLE
0
0
105074
VANGUARD MALVERN FDS
STRM INFPROIDX
922020805
58
1175
SH
OTR
0
0
1175
WISDOMTREE TR
MIDCAP DIVI FD
97717W505
316
4231
SH
SOLE
0
0
4231
WISDOMTREE TR
DEFA EQT INC ETF
97717W802
291
6132
SH
SOLE
0
0
6132
WISDOMTREE TR
EMERG MKTS ETF
97717W315
331
6478
SH
SOLE
0
0
6478
WISDOMTREE TR
GLB EX US RL EST
97717W331
818
29735
SH
SOLE
0
0
29735
WISDOMTREE TR
GLB EX US RL EST
97717W331
151
5500
SH
OTR
0
0
5500
WISDOMTREE TR
INTL SMCAP DIV
97717W760
313
4966
SH
SOLE
0
0
4966
WISDOMTREE TR
SMALLCAP DIVID
97717W604
310
4567
SH
SOLE
0
0
4567
3M CO
COM
88579Y101
597
4259
SH
SOLE
0
0
4259
ABBOTT LABS
COM
002824100
270
7037
SH
SOLE
0
0
7037
ABBVIE INC
COM
00287Y109
407
7716
SH
SOLE
0
0
7716
ALPS ETF TR
ALERIAN MLP
00162Q866
1851
104042
SH
SOLE
0
0
104042
ALTRIA GROUP INC
COM
02209S103
685
17852
SH
SOLE
0
0
17852
ALTRIA GROUP INC
COM
02209S103
71
1850
SH
OTR
0
0
1850
AMAZON COM INC
COM
023135106
232
581
SH
SOLE
0
0
581
AMERICAN EXPRESS CO
COM
025816109
315
3476
SH
SOLE
0
0
3476
APPLE INC
COM
037833100
4078
7269
SH
SOLE
0
0
7269
AT&T INC
COM
00206R102
1971
56050
SH
SOLE
0
0
56050
AT&T INC
COM
00206R102
58
1638
SH
OTR
0
0
1638
BAIDU INC
SPON ADR REP A
056752108
1216
6834
SH
SOLE
0
0
6834
BANK OF AMERICA CORPORATION
COM
060505104
1084
69597
SH
SOLE
0
0
69597
BANK OF AMERICA CORPORATION
COM
060505104
1
40
SH
OTR
0
0
40
BAXTER INTL INC
COM
071813109
320
4600
SH
SOLE
0
0
4600
BED BATH & BEYOND INC
COM
075896100
223
2781
SH
SOLE
0
0
2781
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
544
4586
SH
SOLE
0
0
4586
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
12
100
SH
OTR
0
0
100
BLACKROCK BUILD AMER BD TR
SHS
09248X100
418
21818
SH
SOLE
0
0
21818
BOEING CO
COM
097023105
397
2908
SH
SOLE
0
0
2908
BOEING CO
COM
097023105
14
100
SH
OTR
0
0
100
BP PLC
SPONSORED ADR
055622104
869
17883
SH
SOLE
0
0
17883
BRISTOL MYERS SQUIBB CO
COM
110122108
348
6554
SH
SOLE
0
0
6554
BRISTOL MYERS SQUIBB CO
COM
110122108
5
100
SH
OTR
0
0
100
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
336
4731
SH
SOLE
0
0
4731
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
36
500
SH
OTR
0
0
500
CATERPILLAR INC DEL
COM
149123101
607
6687
SH
SOLE
0
0
6687
CHEVRON CORP NEW
COM
166764100
1383
11071
SH
SOLE
0
0
11071
CIMAREX ENERGY CO
COM
171798101
253
2411
SH
SOLE
0
0
2411
CISCO SYS INC
COM
17275R102
229
10193
SH
SOLE
0
0
10193
CITIGROUP INC
COM NEW
172967424
334
6413
SH
SOLE
0
0
6413
CITIGROUP INC
COM NEW
172967424
2
45
SH
OTR
0
0
45
COCA COLA CO
COM
191216100
335
8114
SH
SOLE
0
0
8114
COCA COLA CO
COM
191216100
8
200
SH
OTR
0
0
200
CONOCOPHILLIPS
COM
20825C104
1258
17811
SH
SOLE
0
0
17811
CORNING INC
COM
219350105
179
10039
SH
SOLE
0
0
10039
CSX CORP
COM
126408103
247
8576
SH
SOLE
0
0
8576
DUKE ENERGY CORP NEW
COM NEW
26441C204
250
3629
SH
SOLE
0
0
3629
EMERSON ELEC CO
COM
291011104
905
12902
SH
SOLE
0
0
12902
EMPIRE DIST ELEC CO
COM
291641108
583
25701
SH
SOLE
0
0
25701
ENERGY TRANSFER EQUITY L P
COM UT LTD PTN
29273V100
426
6419
SH
SOLE
0
0
6419
EXXON MOBIL CORP
COM
30231G102
2410
23817
SH
SOLE
0
0
23817
EXXON MOBIL CORP
COM
30231G102
275
2720
SH
OTR
0
0
2720
FORD MTR CO DEL
COM PAR $0.01
345370860
770
49903
SH
SOLE
0
0
49903
FORD MTR CO DEL
COM PAR $0.01
345370860
3
175
SH
OTR
0
0
175
FRONTIER COMMUNICATIONS CORP
COM
35906A108
60
12800
SH
SOLE
0
0
12800
FRONTIER COMMUNICATIONS CORP
COM
35906A108
3
752
SH
OTR
0
0
752
GENERAL ELECTRIC CO
COM
369604103
1274
45468
SH
SOLE
0
0
45468
GENERAL ELECTRIC CO
COM
369604103
76
2716
SH
OTR
0
0
2716
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
205
3840
SH
SOLE
0
0
3840
GOOGLE INC
CL A
38259P508
994
887
SH
SOLE
0
0
887
GUGGENHEIM BLD AMR BDS MANG
COM
401664107
311
15681
SH
SOLE
0
0
15681
HALLIBURTON CO
COM
406216101
336
6618
SH
SOLE
0
0
6618
HARLEY DAVIDSON INC
COM
412822108
355
5125
SH
SOLE
0
0
5125
HELMERICH & PAYNE INC
COM
423452101
931
11072
SH
SOLE
0
0
11072
HENRY JACK & ASSOC INC
COM
426281101
15530
262285
SH
SOLE
0
0
262285
HERSHEY CO
COM
427866108
287
2954
SH
SOLE
0
0
2954
HOME DEPOT INC
COM
437076102
393
4774
SH
SOLE
0
0
4774
INTEL CORP
COM
458140100
575
22168
SH
SOLE
0
0
22168
INTEL CORP
COM
458140100
31
1200
SH
OTR
0
0
1200
INTERNATIONAL BUSINESS MACHS
COM
459200101
798
4254
SH
SOLE
0
0
4254
INTERNATIONAL BUSINESS MACHS
COM
459200101
22
118
SH
OTR
0
0
118
JOHNSON & JOHNSON
COM
478160104
1035
11300
SH
SOLE
0
0
11300
JOHNSON & JOHNSON
COM
478160104
41
450
SH
OTR
0
0
450
JPMORGAN CHASE & CO
COM
46625H100
301
5145
SH
SOLE
0
0
5145
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
400
8626
SH
SOLE
0
0
8626
KANSAS CITY SOUTHERN
COM NEW
485170302
338
2729
SH
SOLE
0
0
2729
KIMBERLY CLARK CORP
COM
494368103
291
2784
SH
SOLE
0
0
2784
KINDER MORGAN ENERGY PARTNER
UT LTD PARTNER
494550106
1355
16805
SH
SOLE
0
0
16805
KINDER MORGAN INC DEL
COM
49456B101
305
8478
SH
SOLE
0
0
8478
LEGGETT & PLATT INC
COM
524660107
252
8150
SH
SOLE
0
0
8150
MCDONALDS CORP
COM
580135101
580
5980
SH
SOLE
0
0
5980
MCDONALDS CORP
COM
580135101
46
478
SH
OTR
0
0
478
MERCK & CO INC NEW
COM
58933Y105
253
5061
SH
SOLE
0
0
5061
MICROSOFT CORP
COM
594918104
655
17521
SH
SOLE
0
0
17521
MICROSOFT CORP
COM
594918104
24
638
SH
OTR
0
0
638
MONDELEZ INTL INC
CL A
609207105
242
6852
SH
SOLE
0
0
6852
MONDELEZ INTL INC
CL A
609207105
4
103
SH
OTR
0
0
103
NUSTAR ENERGY LP
UNIT COM
67058H102
268
5259
SH
SOLE
0
0
5259
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
9026
70128
SH
SOLE
0
0
70128
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
14
107
SH
OTR
0
0
107
ONEOK PARTNERS LP
UNIT LTD PARTN
68268N103
358
6800
SH
SOLE
0
0
6800
ORACLE CORP
COM
68389X105
576
15046
SH
SOLE
0
0
15046
PEPSICO INC
COM
713448108
604
7284
SH
SOLE
0
0
7284
PFIZER INC
COM
717081103
376
12261
SH
SOLE
0
0
12261
PFIZER INC
COM
717081103
37
1203
SH
OTR
0
0
1203
PHILIP MORRIS INTL INC
COM
718172109
1036
11896
SH
SOLE
0
0
11896
PHILIP MORRIS INTL INC
COM
718172109
13
150
SH
OTR
0
0
150
PHILLIPS 66
COM
718546104
640
8304
SH
SOLE
0
0
8304
PIONEER NAT RES CO
COM
723787107
647
3517
SH
SOLE
0
0
3517
PLUM CREEK TIMBER CO INC
COM
729251108
203
4358
SH
SOLE
0
0
4358
PROCTER & GAMBLE CO
COM
742718109
1537
18879
SH
SOLE
0
0
18879
PROCTER & GAMBLE CO
COM
742718109
53
650
SH
OTR
0
0
650
QUALCOMM INC
COM
747525103
1346
18122
SH
SOLE
0
0
18122
REGIONS FINL CORP NEW
COM
7591EP100
110
11092
SH
SOLE
0
0
11092
SABINE ROYALTY TR
UNIT BEN INT
785688102
351
6947
SH
SOLE
0
0
6947
SIMON PPTY GROUP INC NEW
COM
828806109
148
970
SH
SOLE
0
0
970
SIMON PPTY GROUP INC NEW
COM
828806109
56
365
SH
OTR
0
0
365
SOUTHERN CO
COM
842587107
561
13651
SH
SOLE
0
0
13651
STARBUCKS CORP
COM
855244109
708
9037
SH
SOLE
0
0
9037
TIME WARNER INC
COM NEW
887317303
457
6551
SH
SOLE
0
0
6551
TRANSCANADA CORP
COM
89353D107
288
6313
SH
SOLE
0
0
6313
TYSON FOODS INC
CL A
902494103
731
21834
SH
SOLE
0
0
21834
US BANCORP DEL
COM NEW
902973304
1660
41096
SH
SOLE
0
0
41096
UNITED PARCEL SERVICE INC
CL B
911312106
208
1981
SH
SOLE
0
0
1981
VERIZON COMMUNICATIONS INC
COM
92343V104
979
19917
SH
SOLE
0
0
19917
VERIZON COMMUNICATIONS INC
COM
92343V104
171
3477
SH
OTR
0
0
3477
WAL-MART STORES INC
COM
931142103
5146
65396
SH
SOLE
0
0
65396
WAL-MART STORES INC
COM
931142103
82
1040
SH
OTR
0
0
1040
WALGREEN CO
COM
931422109
285
4955
SH
SOLE
0
0
4955
WELLS FARGO & CO NEW
COM
949746101
562
12376
SH
SOLE
0
0
12376
WELLS FARGO & CO NEW
COM
949746101
468
10316
SH
OTR
0
0
10316
ALLIANCEBERNSTEIN GBL HGH IN
COM
01879R106
231
16173
SH
SOLE
0
0
16173
ALLIANCEBERNSTEIN INCOME FUN
COM
01881E101
264
36966
SH
SOLE
0
0
36966
BLACKROCK MUNIASSETS FD INC
COM
09254J102
188
16304
SH
SOLE
0
0
16304
DNP SELECT INCOME FD
COM
23325P104
125
13281
SH
SOLE
0
0
13281
FLAHERTY & CRUMRINE DYN PFD
SHS
33848W106
351
17118
SH
SOLE
0
0
17118
LIBERTY ALL STAR EQUITY FD
SH BEN INT
530158104
93
15617
SH
SOLE
0
0
15617
MAINSTAY DEFINEDTERM MN OPP
COM
56064K100
181
11500
SH
SOLE
0
0
11500
NUVEEN MUN OPPORTUNITY FD IN
COM
670984103
160
12118
SH
SOLE
0
0
12118
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
149
13000
SH
SOLE
0
0
13000
NUVEEN INTER DURATION MN TMF
COM
670671106
242
21009
SH
SOLE
0
0
21009
NUVEEN MO PREM INCOME MUN FD
COM
67060Q108
166
13160
SH
SOLE
0
0
13160
NUVEEN MUN VALUE FD INC
COM
670928100
98
10861
SH
SOLE
0
0
10861
NUVEEN QUALITY INCOME MUN FD
COM
670977107
205
16700
SH
SOLE
0
0
16700
NUVEEN QUALITY PFD INCOME FD
COM
67072C105
90
11039
SH
SOLE
0
0
11039
ROYCE VALUE TR INC
COM
780910105
161
10068
SH
SOLE
0
0
10068
WESTERN ASST MNGD MUN FD INC
COM
95766M105
157
12843
SH
SOLE
0
0
12843