0001062993-14-004252.txt : 20140717 0001062993-14-004252.hdr.sgml : 20140717 20140717152158 ACCESSION NUMBER: 0001062993-14-004252 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140717 DATE AS OF CHANGE: 20140717 EFFECTIVENESS DATE: 20140717 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: 14980182 BUSINESS ADDRESS: STREET 1: 1201 E. WALNUT STREET CITY: SPRINGFIELD STATE: MO ZIP: 65802 BUSINESS PHONE: 417-869-9980 MAIL ADDRESS: STREET 1: 1201 E. WALNUT STREET CITY: SPRINGFIELD STATE: MO ZIP: 65802 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001566414 XXXXXXXX 06-30-2014 06-30-2014 SignalPoint Asset Management, LLC

1201 E. WALNUT STREET SPRINGFIELD MO 65802

13F HOLDINGS REPORT 028-15113 N Michael Orzel 417-869-9981 Michael Orzel Springfield MO 07-17-2014 0 197 224284 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE DUFF & PHELPS GLB UTL INC FD COM 26433C105 413 18761 SH SOLE 0 0 18761 FIRST TR EXCH TRD ALPHA FD I ASIA EX JAPAN 33737J109 633 20967 SH SOLE 20136 0 831 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 3069 92308 SH SOLE 17328 0 74980 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 2226 55908 SH SOLE 16791 0 39117 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH 33737J182 580 23018 SH SOLE 22081 0 937 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 3620 123570 SH SOLE 22058 0 101512 FIRST TR EXCH TRD ALPHA FD I EUROPE ALPHA 33737J117 719 20723 SH SOLE 20197 0 526 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 2149 96558 SH SOLE 25905 0 70653 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 2948 55342 SH SOLE 12084 0 43258 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 3054 100110 SH SOLE 20815 0 79295 FIRST TR EXCH TRD ALPHA FD I JAPAN ALPHADEX 33737J158 700 14621 SH SOLE 14357 0 264 FIRST TR EXCH TRD ALPHA FD I LATIN AMER ALP 33737J125 561 23341 SH SOLE 22423 0 918 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 3248 95111 SH SOLE 16459 0 78652 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 2216 68129 SH SOLE 19117 0 49012 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 2548 106787 SH SOLE 24136 0 82651 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 235 8055 SH SOLE 0 0 8055 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 579 21428 SH SOLE 0 0 21428 FIRST TR VALUE LINE 100 ETF COM SHS 33735G107 805 39453 SH SOLE 0 0 39453 FIRST TR VALUE LINE 100 ETF COM SHS 33735G107 23 1130 SH DFND 0 0 1130 ISHARES 1-3 YR TR BD ETF 464287457 4481 52989 SH SOLE 0 0 52989 ISHARES 20+ YR TR BD ETF 464287432 2703 23815 SH SOLE 0 0 23815 ISHARES 7-10 Y TR BD ETF 464287440 2754 26592 SH SOLE 0 0 26592 ISHARES SHRT TRS BD ETF 464288679 1370 12426 SH SOLE 0 0 12426 ISHARES TIPS BD ETF 464287176 3127 27105 SH SOLE 0 0 27105 ISHARES GOLD TRUST ISHARES 464285105 2376 184469 SH SOLE 0 0 184469 ISHARES IBOXX INV CP ETF 464287242 3409 28581 SH SOLE 0 0 28581 ISHARES IBOXX HI YD ETF 464288513 4761 50010 SH SOLE 0 0 50010 ISHARES IBOXX HI YD ETF 464288513 157 1650 SH OTR 0 0 1650 ISHARES EMU ETF 464286608 3113 73549 SH SOLE 0 0 73549 ISHARES MSCI JAPAN ETF 464286848 2739 227532 SH SOLE 0 0 227532 ISHARES MSCI PAC JP ETF 464286665 4143 84122 SH SOLE 0 0 84122 ISHARES LATN AMER 40 ETF 464287390 2610 68241 SH SOLE 0 0 68241 ISHARES TR 0-5YR INVT GR CP 46434V100 504 9975 SH SOLE 0 0 9975 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 254 10202 SH SOLE 0 0 10202 POWERSHARES ETF TRUST BASIC MAT SECT 73935X427 4649 84093 SH SOLE 0 0 84093 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 3010 68862 SH SOLE 0 0 68862 POWERSHARES ETF TRUST CON DISCRE SEC 73935X419 4996 116925 SH SOLE 0 0 116925 POWERSHARES ETF TRUST CON STAPLE SEC 73935X393 2962 64249 SH SOLE 0 0 64249 POWERSHARES ETF TRUST ENERGY SEC POR 73935X385 6222 95411 SH SOLE 0 0 95411 POWERSHARES ETF TRUST FINL SECT PORT 73935X377 3061 104793 SH SOLE 0 0 104793 POWERSHARES ETF TRUST HLTHCR SEC POR 73935X351 4042 82436 SH SOLE 0 0 82436 POWERSHARES ETF TRUST INDL SECT PORT 73935X369 3446 71699 SH SOLE 0 0 71699 POWERSHARES ETF TRUST TECH SECT PORT 73935X344 3223 88899 SH SOLE 0 0 88899 POWERSHARES ETF TRUST DYN UTIL PORTF 73935X591 3945 169142 SH SOLE 0 0 169142 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 2232 122657 SH SOLE 0 0 122657 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 229 12600 SH OTR 0 0 12600 POWERSHARES ETF TRUST GBL LSTD PVT EQT 73935X195 2675 216991 SH SOLE 0 0 216991 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 885 60476 SH SOLE 0 0 60476 SCHWAB STRATEGIC TR US TIPS ETF 808524870 309 5540 SH SOLE 0 0 5540 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 793 19009 SH SOLE 0 0 19009 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 58 1385 SH DFND 0 0 1385 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 333 1986 SH SOLE 0 0 1986 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 266 5274 SH SOLE 0 0 5274 SPDR S&P 500 ETF TR TR UNIT 78462F103 217 1111 SH SOLE 0 0 1111 SPDR S&P 500 ETF TR TR UNIT 78462F103 69 350 SH OTR 0 0 350 SPDR GOLD TRUST GOLD SHS 78463V107 364 2843 SH SOLE 0 0 2843 SPDR GOLD TRUST GOLD SHS 78463V107 11 85 SH OTR 0 0 85 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 299 6841 SH SOLE 0 0 6841 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 2853 33687 SH SOLE 0 0 33687 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 2755 30652 SH SOLE 0 0 30652 VANGUARD INDEX FDS REIT ETF 922908553 5488 73325 SH SOLE 0 0 73325 WISDOMTREE TR DEFA EQT INC ETF 97717W802 230 4685 SH SOLE 0 0 4685 WISDOMTREE TR EMERG MKTS ETF 97717W315 348 6709 SH SOLE 0 0 6709 WISDOMTREE TR GLB EX US RL EST 97717W331 948 31525 SH SOLE 0 0 31525 WISDOMTREE TR GLB EX US RL EST 97717W331 165 5500 SH OTR 0 0 5500 WISDOMTREE TR INTL SMCAP DIV 97717W760 352 5437 SH SOLE 0 0 5437 WISDOMTREE TR MIDCAP DIVI FD 97717W505 276 3385 SH SOLE 0 0 3385 WISDOMTREE TR SMALLCAP DIVID 97717W604 257 3664 SH SOLE 0 0 3664 3M CO COM 88579Y101 597 4170 SH SOLE 0 0 4170 ABBOTT LABS COM 002824100 288 7037 SH SOLE 0 0 7037 ABBVIE INC COM 00287Y109 435 7716 SH SOLE 0 0 7716 ALPS ETF TR ALERIAN MLP 00162Q866 2329 122575 SH SOLE 0 0 122575 ALTRIA GROUP INC COM 02209S103 738 17598 SH SOLE 0 0 17598 ALTRIA GROUP INC COM 02209S103 78 1850 SH OTR 0 0 1850 AMAZON COM INC COM 023135106 249 766 SH SOLE 0 0 766 AMERICAN EXPRESS CO COM 025816109 335 3527 SH SOLE 0 0 3527 APPLE INC COM 037833100 5083 54693 SH SOLE 0 0 54693 AT&T INC COM 00206R102 2087 59016 SH SOLE 0 0 59016 AT&T INC COM 00206R102 72 2038 SH OTR 0 0 2038 BAIDU INC SPON ADR REP A 056752108 1327 7104 SH SOLE 0 0 7104 BANK OF AMERICA CORPORATION COM 060505104 950 61811 SH SOLE 0 0 61811 BANK OF AMERICA CORPORATION COM 060505104 1 40 SH OTR 0 0 40 BAXTER INTL INC COM 071813109 336 4651 SH SOLE 0 0 4651 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 515 4070 SH SOLE 0 0 4070 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 13 100 SH OTR 0 0 100 BLACKROCK BUILD AMER BD TR SHS 09248X100 511 23568 SH SOLE 0 0 23568 BOEING CO COM 097023105 370 2908 SH SOLE 0 0 2908 BOEING CO COM 097023105 13 100 SH OTR 0 0 100 BP PLC SPONSORED ADR 055622104 389 7383 SH SOLE 0 0 7383 BRISTOL MYERS SQUIBB CO COM 110122108 331 6828 SH SOLE 0 0 6828 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 302 3636 SH SOLE 0 0 3636 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 42 500 SH OTR 0 0 500 CABELAS INC COM 126804301 272 4360 SH SOLE 0 0 4360 CATERPILLAR INC DEL COM 149123101 452 4157 SH SOLE 0 0 4157 CHEVRON CORP NEW COM 166764100 1465 11220 SH SOLE 0 0 11220 CIMAREX ENERGY CO COM 171798101 346 2414 SH SOLE 0 0 2414 CISCO SYS INC COM 17275R102 276 11106 SH SOLE 0 0 11106 CITIGROUP INC COM NEW 172967424 290 6150 SH SOLE 0 0 6150 COCA COLA CO COM 191216100 410 9669 SH SOLE 0 0 9669 CONOCOPHILLIPS COM 20825C104 1436 16750 SH SOLE 0 0 16750 CORNING INC COM 219350105 244 11132 SH SOLE 0 0 11132 CSX CORP COM 126408103 303 9845 SH SOLE 0 0 9845 DUKE ENERGY CORP NEW COM NEW 26441C204 263 3547 SH SOLE 0 0 3547 EMERSON ELEC CO COM 291011104 823 12407 SH SOLE 0 0 12407 EMPIRE DIST ELEC CO COM 291641108 630 24519 SH SOLE 0 0 24519 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 521 6653 SH SOLE 0 0 6653 EXXON MOBIL CORP COM 30231G102 2277 22616 SH SOLE 0 0 22616 EXXON MOBIL CORP COM 30231G102 231 2295 SH OTR 0 0 2295 FORD MTR CO DEL COM PAR $0.01 345370860 845 49026 SH SOLE 0 0 49026 FORD MTR CO DEL COM PAR $0.01 345370860 3 175 SH OTR 0 0 175 FRONTIER COMMUNICATIONS CORP COM 35906A108 74 12659 SH SOLE 0 0 12659 FRONTIER COMMUNICATIONS CORP COM 35906A108 3 505 SH OTR 0 0 505 GENERAL ELECTRIC CO COM 369604103 1158 44054 SH SOLE 0 0 44054 GENERAL ELECTRIC CO COM 369604103 63 2416 SH OTR 0 0 2416 GENERAL MLS INC COM 370334104 202 3849 SH SOLE 0 0 3849 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 233 4348 SH SOLE 0 0 4348 GOOGLE INC CL A 38259P508 619 1058 SH SOLE 0 0 1058 GUGGENHEIM BLD AMR BDS MANG COM 401664107 403 18281 SH SOLE 0 0 18281 HALLIBURTON CO COM 406216101 470 6620 SH SOLE 0 0 6620 HARLEY DAVIDSON INC COM 412822108 306 4375 SH SOLE 0 0 4375 HELMERICH & PAYNE INC COM 423452101 1293 11136 SH SOLE 0 0 11136 HENRY JACK & ASSOC INC COM 426281101 15424 259529 SH SOLE 0 0 259529 HERSHEY CO COM 427866108 284 2914 SH SOLE 0 0 2914 HOME DEPOT INC COM 437076102 408 5034 SH SOLE 0 0 5034 INTEL CORP COM 458140100 613 19842 SH SOLE 0 0 19842 INTEL CORP COM 458140100 25 800 SH OTR 0 0 800 INTERNATIONAL BUSINESS MACHS COM 459200101 740 4081 SH SOLE 0 0 4081 INTERNATIONAL BUSINESS MACHS COM 459200101 13 70 SH OTR 0 0 70 JOHNSON & JOHNSON COM 478160104 1048 10015 SH SOLE 0 0 10015 JPMORGAN CHASE & CO COM 46625H100 299 5192 SH SOLE 0 0 5192 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 423 8067 SH SOLE 0 0 8067 KANSAS CITY SOUTHERN COM NEW 485170302 294 2733 SH SOLE 0 0 2733 KIMBERLY CLARK CORP COM 494368103 310 2784 SH SOLE 0 0 2784 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1347 16379 SH SOLE 0 0 16379 KINDER MORGAN INC DEL COM 49456B101 375 10350 SH SOLE 0 0 10350 LEGGETT & PLATT INC COM 524660107 308 8975 SH SOLE 0 0 8975 MCDONALDS CORP COM 580135101 590 5859 SH SOLE 0 0 5859 MCDONALDS CORP COM 580135101 16 160 SH OTR 0 0 160 MERCK & CO INC NEW COM 58933Y105 299 5172 SH SOLE 0 0 5172 MICROSOFT CORP COM 594918104 702 16831 SH SOLE 0 0 16831 MICROSOFT CORP COM 594918104 13 300 SH OTR 0 0 300 MONDELEZ INTL INC CL A 609207105 250 6652 SH SOLE 0 0 6652 MONDELEZ INTL INC CL A 609207105 4 103 SH OTR 0 0 103 NUSTAR ENERGY LP UNIT COM 67058H102 234 3771 SH SOLE 0 0 3771 O REILLY AUTOMOTIVE INC NEW COM 67103H107 10439 69318 SH SOLE 0 0 69318 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 398 6800 SH SOLE 0 0 6800 ORACLE CORP COM 68389X105 620 15290 SH SOLE 0 0 15290 PEPSICO INC COM 713448108 652 7294 SH SOLE 0 0 7294 PFIZER INC COM 717081103 362 12201 SH SOLE 0 0 12201 PFIZER INC COM 717081103 18 603 SH OTR 0 0 603 PHILIP MORRIS INTL INC COM 718172109 1037 12305 SH SOLE 0 0 12305 PHILIP MORRIS INTL INC COM 718172109 13 150 SH OTR 0 0 150 PHILLIPS 66 COM 718546104 640 7954 SH SOLE 0 0 7954 PIONEER NAT RES CO COM 723787107 413 1799 SH SOLE 0 0 1799 PLUM CREEK TIMBER CO INC COM 729251108 208 4608 SH SOLE 0 0 4608 PROCTER & GAMBLE CO COM 742718109 1455 18518 SH SOLE 0 0 18518 PROCTER & GAMBLE CO COM 742718109 24 300 SH OTR 0 0 300 QUALCOMM INC COM 747525103 1357 17137 SH SOLE 0 0 17137 REALTY INCOME CORP COM 756109104 201 4522 SH SOLE 0 0 4522 REALTY INCOME CORP COM 756109104 36 800 SH OTR 0 0 800 REGIONS FINL CORP NEW COM 7591EP100 118 11092 SH SOLE 0 0 11092 SABINE ROYALTY TR UNIT BEN INT 785688102 850 14024 SH SOLE 0 0 14024 SCHLUMBERGER LTD COM 806857108 225 1908 SH SOLE 0 0 1908 SIMON PPTY GROUP INC NEW COM 828806109 161 970 SH SOLE 0 0 970 SIMON PPTY GROUP INC NEW COM 828806109 61 365 SH OTR 0 0 365 SOUTHERN CO COM 842587107 713 15722 SH SOLE 0 0 15722 STARBUCKS CORP COM 855244109 727 9399 SH SOLE 0 0 9399 SYSCO CORP COM 871829107 213 5692 SH SOLE 0 0 5692 TARGET CORP COM 87612E106 281 4854 SH SOLE 0 0 4854 TIME WARNER INC COM NEW 887317303 483 6879 SH SOLE 0 0 6879 TRANSCANADA CORP COM 89353D107 292 6113 SH SOLE 0 0 6113 TYSON FOODS INC CL A 902494103 820 21834 SH SOLE 0 0 21834 US BANCORP DEL COM NEW 902973304 2468 56969 SH SOLE 0 0 56969 VERIZON COMMUNICATIONS INC COM 92343V104 905 18488 SH SOLE 0 0 18488 VERIZON COMMUNICATIONS INC COM 92343V104 108 2208 SH OTR 0 0 2208 WAL-MART STORES INC COM 931142103 4992 66498 SH SOLE 0 0 66498 WAL-MART STORES INC COM 931142103 18 240 SH OTR 0 0 240 WALGREEN CO COM 931422109 387 5225 SH SOLE 0 0 5225 WELLS FARGO & CO NEW COM 949746101 669 12733 SH SOLE 0 0 12733 WELLS FARGO & CO NEW COM 949746101 5 100 SH DFND 0 0 100 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 260 18092 SH SOLE 0 0 18092 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 299 39733 SH SOLE 0 0 39733 BLACKROCK MUNIASSETS FD INC COM 09254J102 250 19502 SH SOLE 0 0 19502 DNP SELECT INCOME FD COM 23325P104 149 14166 SH SOLE 0 0 14166 FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 357 15160 SH SOLE 0 0 15160 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 95 15833 SH SOLE 0 0 15833 NUVEEN MUN OPPORTUNITY FD IN COM 670984103 172 12200 SH SOLE 0 0 12200 NUVEEN INT DUR QUAL MUN TRM COM 670677103 128 10000 SH SOLE 0 0 10000 NUVEEN INTER DURATION MN TMF COM 670671106 265 21009 SH SOLE 0 0 21009 NUVEEN MO PREM INCOME MUN FD COM 67060Q108 166 11104 SH SOLE 0 0 11104 NUVEEN PFD & INCOME TERM FD COM 67075A106 235 10000 SH SOLE 0 0 10000 NUVEEN QUALITY INCOME MUN FD COM 670977107 229 16700 SH SOLE 0 0 16700 NUVEEN QUALITY PFD INCOME FD COM 67072C105 132 14627 SH SOLE 0 0 14627 ROYCE VALUE TR INC COM 780910105 171 10665 SH SOLE 0 0 10665 TORTOISE ENERGY INDEPENDENC COM 89148K101 509 18105 SH SOLE 0 0 18105 WESTERN ASST MNGD MUN FD INC COM 95766M105 152 11598 SH SOLE 0 0 11598 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 230 2792 SH SOLE 0 0 2792