0001144204-13-009035.txt : 20130214
0001144204-13-009035.hdr.sgml : 20130214
20130214154518
ACCESSION NUMBER: 0001144204-13-009035
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130214
DATE AS OF CHANGE: 20130214
EFFECTIVENESS DATE: 20130214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ICONIQ Capital, LLC
CENTRAL INDEX KEY: 0001569709
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15353
FILM NUMBER: 13613183
BUSINESS ADDRESS:
STREET 1: 244 JACKSON STREET
STREET 2: SUITE 300
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-937-7763
MAIL ADDRESS:
STREET 1: 244 JACKSON STREET
STREET 2: SUITE 300
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
13F-HR
1
v335307_13f-hr.txt
13F-HR
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: December 31, 2012
-----------------
Check here if Amendment [ ]; Amendment Number: _____
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: ICONIQ Capital, LLC
-----------------------------
Address: 244 Jackson Street, Suite 300
-----------------------------
San Francisco, CA 94111
-----------------------------
Form 13F File Number: 28-____________
Theinstitutional investment manager filing this report signing the report is
authorized to submit it, that all information contained herein is true, correct
and complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting
Name: Kevin Foster
-----------------------------
Title: Chief Operating Officer
-----------------------------
Phone: 415-937-7763
-----------------------------
Signature, Place, and Date of Signing:
/s/Kevin Foster San Francisco, CA February 14, 2013
-------------------- ----------------- -----------------
[Signature] [City, State] [Date]
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and
all holdings are reported by other reporting manager(s).)
[_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in tihs report and a portion are reported
by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-
------------------ ------------------------------------------------
[Repeat as necessary.]
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
------------------
Form 13F Information Table Entry Total: 65
------------------
Form 13F Information Table Value Total: $335,308
------------------
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F which this report is filed,
other than the manager
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
No. Form 13F File Number Name
28-
----- ------------------------ --------------------------------------
[Repeat as necessary.]
Shares/ Sh/ Put/ Investment Other Voting Authority
Name of Issuer Title of Class CUSIP Value PRN Amt PRN Call Discretion Managers Sole Shared None
AT&T INC COMMON 00206R102 $80,364.64 2,384.000 Sh Sole 2,384.000
AUTOMATIC DATA
PROCESSING INC COMMON 053015103 $204,891.07 3,599.000 Sh Sole 3,599.000
BROADRIDGE FINANCIAL
SOLUTIONS LLC COMMON 11133T103 $20,569.12 899.000 Sh Sole 899.000
CBRE CLARION GLOBAL
REAL ESTATE INCOME FD COMMON 12504G100 $23,709.36 2,676.000 Sh Sole 2,676.000
COCA COLA CO COMMON 191216100 $20,553.75 567.000 Sh Sole 567.000
CURRENCYSHARES EURO TR EURO SHARES 23130C108 -$52,384.00 -400.000 Sh Sole -400.000
EXXON MOBIL CORP COMMON 30231G102 $645,922.65 7,463.000 Sh Sole 7,463.000
FACEBOOK INC COM CLASS A 30303M102 $140,021.20 5,260.000 Sh Sole 5,260.000
GOLDMAN SACHS GROUP INC COMMON 38141G104 $172,843.80 1,355.000 Sh Sole 1,355.000
GOOGLE INC CLASS A 38259P508 $84,885.60 120.000 Sh Sole 120.000
ING PRIME RATE TR SH BEN INT 44977W106 $465,489.18 74,958.000 Sh Sole 74,958.000
ISHARES CORE S&P SMALL-CAP
ETF 464287804 $65,213.50 835.000 Sh Sole 835.000
ISHARES S&P NATL AMT FREE
MUNI BND FND 464288414 $55,320.00 500.000 Sh Sole 500.000
ISHARES BARCLAYS TREAS
INFLATION
PROTECTED SECS FD 464287176 $477,869.76 3,936.000 Sh Sole 3,936.000
ISHARES IBOXX $ INVESTOP
INVESTMENT GRADE
CORP BD FUND 464287242 $502,108.50 4,150.000 Sh Sole 4,150.000
ISHARES BARCLAYS 1-3 YR CD
BD FD 464288646 $49,358,648.94 467,943.202 Sh Sole 467,943.202
ISHARES GOLD TRUST ISHARES 464285105 $1,240,557.46 76,206.000 Sh Sole 76,206.000
ISHARES INC MSCI PACIFIC EX JAPAN
INDEX FD 464286665 $160,040.30 3,395.000 Sh Sole 3,395.000
ISHARES INC MSCI BRAZIL INDEX
FUND 464286400 $19,559,039.43 349,643.179 Sh Sole 349,643.179
ISHARES SILVER TR ISHARES 46428Q109 $95,452.50 3,250.000 Sh Sole 3,250.000
ISHARES TR S&P LATIN AMER 40
INDEX FD 464287390 $502,844.80 11,470.000 Sh Sole 11,470.000
ISHARES TR DOW JONES U S REAL
ESTATE INDEX FD 464287739 $21,923.13 339.000 Sh Sole 339.000
ISHARES TR MSCI USA ESG SELECT
SOCIAL INDEX FD 464288802 $20,587.51 347.000 Sh Sole 347.000
ISHARES TR S&P 500/ GROWTH
INDEX FD
ISHARES 464287309 $30,296.00 400.000 Sh Sole 400.000
ISHARES TR RUSSELL 3000 INDEX FD 464287689 $53,009.68 626.000 Sh Sole 626.000
ISHARES TR FTSE XINHUA HK CHINA
25 INDEX FD 464287184 $48,540.00 1,200.000 Sh Sole 1,200.000
ISHARES TR RUSSELL 2000
INDEX FD 464287655 $132,463.57 1,571.000 Sh Sole 1,571.000
ISHARES TR JPMORGAN USD EMERGING
MKTS BD FD 464288281 $193,148.67 1,573.000 Sh Sole 1,573.000
ISHARES TR RUSSELL MIDCAP
INDEX FD 464287499 $373,230.00 3,300.000 Sh Sole 3,300.000
ISHARES TR MSCI EMERGING MKTS
INDEX FD 464287234 $163,740.20 3,692.000 Sh Sole 3,692.000
ISHARES TR MSCI ALL COUNTRY ASIA
EX JAPAN INDEX FD 464288182 $599,148.00 9,900.000 Sh Sole 9,900.000
ISHARES TR MSCI EAFE INDEX FD 464287465 $1,150,448.38 20,233.000 Sh Sole 20,233.000
ISHARES TR RUSSELL 1000 INDEX FD 464287622 $2,695,136.65 34,051.000 Sh Sole 34,051.000
ISHARES TR S&P GLOBAL
TELECOMMUNICATIONS
SECTOR INDEX FD 464287275 $1,950,983.42 34,126.000 Sh Sole 34,126.000
ISHARES TR DOW JONES SELECT
DIVID INDEX FD 464287168 $5,064,652.44 88,481.000 Sh Sole 88,481.000
ISHARES TR S&P U S PFD STK
INDEX FD 464288687 $68,631,951.18 1,732,255.204 Sh Sole 1,732,255.204
JPMORGAN CHASE & CO
ALERIAN MLP INDEX ETN COMMON 46625H365 $510,941.10 13,285.000 Sh Sole 13,285.000
LIMELIGHT NETWORKS
INC COM COMMON 53261M104 $499,500.00 1,300,432.000 Sh Sole 1,300,432.000
MARKET VECTORS ETF TR EMERGING MKTS LOCAL
CURRENCY DEBT ETF 57060U522 $726,903.45 26,481.000 Sh Sole 26,481.000
MARKET VECTORS ETF TR GOLD MINERS ETF FD 57060U100 $37,310,060.88 804,269.474 Sh Sole 804,269.474
MARKET VECTORS ETF TR JR GOLD MINES ETF 57060U589 $17,026,983.15 860,383.181 Sh Sole 860,383.181
MARKET VECTORS ETF TRUST OIL SVCS ETF 57060U191 $2,283,033.00 59,100.000 Sh Sole 59,100.000
MASTERCARD INC CLASS A 57636Q104 $44,215.20 90.000 Sh Sole 90.000
MICROSOFT CORP COMMON 594918104 $29,487.84 1,104.000 Sh Sole 1,104.000
NETFLIX COM INC COM COMMON 64110L106 $57,868.75 625.000 Sh Sole 625.000
PALO ALTO NETWORKS INC COMMON 697435105 $53,520.00 1,000.000 Sh Sole 1,000.000
POWERSHARES DB COMMODITY
INDEX TRACKING FD UNIT BEN INT 73935S105 $250,020.00 9,000.000 Sh Sole 9,000.000
SECTOR SPDR TR SHS BEN INT UTILITIES 81369Y886 $1,911,924.74 54,750.000 Sh Sole 54,750.000
SECTOR SPDR TR SHS BEN INT ENERGY 81369Y506 $24,554,819.63 343,808.732 Sh Sole 343,808.732
SPDR S&P 500 ETF TRUST
UNIT SER 1 S&P 78462F103 $426,945.18 2,998.000 Sh Sole 2,998.000
SPDR GOLD TR GOLD SHS 78463V107 $77,785,153.92 480,096.000 Sh Sole 480,096.000
SPDR INDEX SHS FDS S&P EMERGING
ASIA PAC ETF 78463X301 $13,965,092.82 180,218.000 Sh Sole 180,218.000
SPDR SER TR BARCLAYS HIGH YIELD
BD ETF 78464A417 $54,551.40 1,340.000 Sh Sole 1,340.000
SPDR SER TR DJ WILSHIRE REIT ETF 78464A607 $103,033.64 1,412.000 Sh Sole 1,412.000
SPDR SER TR S&P OIL & GAS EXPL
& PRODTN ETF 78464A730 $227,893.12 4,214.000 Sh Sole 4,214.000
SPDR SER TR S&P OIL & GAS EQUIP
& SVCS ETF 78464A748 $224,337.60 6,480.000 Sh Sole 6,480.000
SPDR SER TR DB INTL GOVT
INFLATION
PROTECTED 78464A490 $454,056.84 7,146.000 Sh Sole 7,146.000
UNITED TECHNOLOGIES CORP COMMON 913017109 $36,084.40 440.000 Sh Sole 440.000
VANGUARD BD INDEX FD INC SHORT TERM BD ETF 921937827 $198,425.50 2,450.000 Sh Sole 2,450.000
VANGUARD INDEX FDS VANGUARD TOTAL STK
MKT ETF 922908769 $184,225.92 2,514.000 Sh Sole 2,514.000
VANGUARD INTL EQUITY FTSE ALL-WORLD EX-US
INDEX FD INC INDEX FD ETF SHS 922042775 $25,894.50 566.000 Sh Sole 566.000
VANGUARD INTL EQUITY MSCI EMERGING
INDEX FDS MKTS ETF 922042858 $492,902.57 11,069.000 Sh Sole 11,069.000
WELLS FARGO & CO NEW COMMON 949746101 $22,866.42 669.000 Sh Sole 669.000
WISDOMTREE TR INDIA EARNINGS FD 97717W422 $174,330.00 9,000.000 Sh Sole 9,000.000
ZYNGA INC CLASS A 98986T108 $719,800.00 305,000.000 Sh Sole 305,000.000
$335,308,091.96 7,442,243.972