-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, B+snWDtrE3JemCzq5cxs7dcuB4P2dzWAvdfmi/xrXBCj+Oz+jVh2/ZPDF/gwD45R jHiBM5XQPGbuYlQkF/ME9w== 0001140361-10-046559.txt : 20101119 0001140361-10-046559.hdr.sgml : 20101119 20101119143852 ACCESSION NUMBER: 0001140361-10-046559 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101119 DATE AS OF CHANGE: 20101119 EFFECTIVENESS DATE: 20101119 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CARRET ASSET MANAGEMENT CENTRAL INDEX KEY: 0000791490 IRS NUMBER: 134113321 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01317 FILM NUMBER: 101205168 BUSINESS ADDRESS: STREET 1: 50 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125933800 MAIL ADDRESS: STREET 1: 50 WEST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: CARRET & CO LLC DATE OF NAME CHANGE: 20001010 FORMER COMPANY: FORMER CONFORMED NAME: CARRET & CO INC DATE OF NAME CHANGE: 19990326 13F-HR 1 form13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2010 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: Carret Asset Management Address: 40 West 57th Street New York, NY 10019 Form 13F File Number: The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Marco Vega Title: Chief Financial Officer Phone: 212-207-2304 Signature, Place, and Date of Signing: /s/ Marco Vega Carret Asset Mgmt 11/16/2010 - --------------------------------- --------------------------------- ---------- [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 this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 257 Form 13F Information Table Value Total: $ 387,250 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ------------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- ---------- --- ---- ---------- -------- --------- ------ --------- 3M COMPANY COM 88579y101 2949 34008 SH SOLE 21178 0 12830 ABBOTT LABORATORIES COM 2824100 4733 90596 SH SOLE 19100 0 71496 ADOBE SYSTEMS INC COM 00724F101 243 9275 SH SOLE 0 0 9275 AETHLON MED INC COM COM 00808Y109 5 17500 SH SOLE 0 0 17500 AETNA INC NEW COM 00817Y108 373 11800 SH SOLE 8500 0 3300 AFLAC INC COM 1055102 1338 25874 SH SOLE 8365 0 17509 ALCOA INC COM 13817101 2373 195972 SH SOLE 51900 0 144072 ALLERGAN INC COM 18490102 237 3560 SH SOLE 0 0 3560 ALLSTATE CORP COM 20002101 2217 70275 SH SOLE 29304 0 40971 ALTRIA GROUP INC COM 02209s103 1498 62360 SH SOLE 2300 0 60060 AMERICAN EXPRESS CO COM 25816109 3903 92870 SH SOLE 48280 0 44590 AMERICAN WATER WORKS INC COM 30420103 1118 48050 SH SOLE 36600 0 11450 AMERIPRISE FINANCIAL INC COM 03076C106 698 14737 SH SOLE 10560 0 4177 AMETEK INC NEW COM 31100100 478 10000 SH SOLE 10000 0 0 ANADARKO PETROLEUM CORP COM 32511107 3404 59675 SH SOLE 9000 0 50675 APACHE CORP COM 37411105 3167 32395 SH SOLE 6000 0 26395 APPLE INC COM 37833100 3685 12987 SH SOLE 1870 0 11117 APPLIED MATERIALS INC DELAWARE COM 38222105 1549 132597 SH SOLE 61060 0 71537 AQUA AMERICA INC COM 03836w103 358 17554 SH SOLE 0 0 17554 ARCH COAL INC COM 39380100 324 12125 SH SOLE 400 0 11725 AT&T INC COM 00206r102 5166 180632 SH SOLE 68890 0 111742 AUTOMATIC DATA PROCESSING INC. COM 53015103 845 20115 SH SOLE 4600 0 15515 AVNET INC COM 53807103 455 16850 SH SOLE 13700 0 3150 BANK NEW YORK MELLON CORP COM 64058100 1211 46347 SH SOLE 29563 0 16784 BANK OF AMERICA CORP COM 60505104 2351 179438 SH SOLE 136667 0 42771 BAXTER INTL INC COM 71813109 483 10115 SH SOLE 5405 0 4710 BECTON DICKINSON & CO COM 75887109 837 11301 SH SOLE 530 0 10771 BED BATH & BEYOND INC COM 75896100 367 8460 SH SOLE 950 0 7510 BERKSHIRE HATHAWAY - A COM 84670108 3237 26 SH SOLE 1 0 25 BERKSHIRE HATHAWAY INC CL B COM 84670702 5621 67980 SH SOLE 17650 0 50330 BION ENVIRNMNTL TECH COM NEW COM 09061Q307 1967 736564 SH SOLE 9950 0 726614 BOEING CO COM 97023105 1232 18517 SH SOLE 5400 0 13117 BRISTOL MYERS SQUIBB CO COM 110122108 1605 59200 SH SOLE 18330 0 40870 BRITANNIA BULK HOLDINGS INC. COM B39ZHF0 0 10000 SH SOLE 0 0 10000 CALPINE CORP COM 131347304 498 40000 SH SOLE 29000 0 11000 CAMDEN PROPERTY TRUST COM 133131102 1470 30638 SH SOLE 23823 0 6815 CARPENTER TECHNOLOGY COM 144285103 2451 72703 SH SOLE 15000 0 57703 CATERPILLAR INC COM 149123101 227 2890 SH SOLE 590 0 2300 CELGENE CORP COM 151020104 596 10350 SH SOLE 450 0 9900 CHESAPEAKE ENERGY CORP COM 165167107 2015 88950 SH SOLE 22500 0 66450 CHEVRON CORP COM 166764100 9252 114148 SH SOLE 37682 0 76466 CHUBB CORP COM 171232101 435 7625 SH SOLE 4650 0 2975 CHURCH & DWIGHT CO INC COM 171340102 2104 32400 SH SOLE 7000 0 25400 CISCO SYS INC COM 17275r102 3712 169475 SH SOLE 70555 0 98920 CITIGROUP INC COM 172967101 665 170191 SH SOLE 42133 0 128058 COCA-COLA CO COM 191216100 971 16590 SH SOLE 7172 0 9418 COLGATE PALMOLIVE CO COM 194162103 777 10105 SH SOLE 500 0 9605 COMCAST CORP CL A COM 20030n101 2149 118862 SH SOLE 22890 0 95972 COMCAST CORP CL A - SPL COM 20030n200 1879 110454 SH SOLE 74810 0 35644 CONOCOPHILLIPS COM 20825c104 7492 130448 SH SOLE 42792 0 87656 CONSOLIDATED EDISON INC COM 209115104 295 6120 SH SOLE 2787 0 3333 CORNING INC COM 219350105 3409 186470 SH SOLE 54800 0 131670 CUMMINS INC COM 231021106 598 6600 SH SOLE 1000 0 5600 CVS CAREMARK CORP COM 126650100 3904 124070 SH SOLE 39483 0 84587 DEERE & CO COM 244199105 1016 14560 SH SOLE 7050 0 7510 DENTSPLY INTERNATIONAL INC NEW COM 249030107 285 8915 SH SOLE 800 0 8115 DOMINION RES INC VA NEW COM 25746U109 5751 131724 SH SOLE 50950 0 80774 DOW CHEM CO COM COM 260543103 844 30730 SH SOLE 17742 0 12987 DU PONT E I DE NEMOURS COM 263534109 7225 161914 SH SOLE 59768 0 102146 DUKE ENERGY CORP COM 26441c105 341 19257 SH SOLE 5269 0 13988
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ------------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- ---------- --- ---- ---------- -------- --------- ------ --------- EASYLINK SVCS INTL COR CL A COM 277858106 853 327900 SH SOLE 8300 0 319600 EMC CORP-MASS COM 268648102 3186 156890 SH SOLE 85975 0 70915 EMERSON ELECTRIC CO COM 291011104 1679 31892 SH SOLE 3950 0 27942 EXELON CORP COM 30161n101 934 21940 SH SOLE 1050 0 20890 EXXON MOBIL CORP COM 30231g102 17617 285104 SH SOLE 33925 0 251179 FALCONSTOR SOFTWARE COM COM 306137100 81 26500 SH SOLE 3000 0 23500 FEDEX CORPORATION COM 31428X106 1079 12615 SH SOLE 1075 0 11540 FIRSTMERIT CORP COM 337915102 595 32495 SH SOLE 0 0 32495 FLEXTRONICS INTL LTD COM y2573f102 352 58345 SH SOLE 34795 0 23550 FNB CORP COM COM 302520101 312 36503 SH SOLE 36503 0 0 FORD MTR CO COM 345370860 151 12347 SH SOLE 1847 0 10500 FORTUNE BRANDS INC COM 349631101 260 5275 SH SOLE 2000 0 3275 FREEPORT MCMORAN COPPER & GOLD COM 35671D857 222 2599 SH SOLE 2050 0 549 FULTON FINL CORP PA COM COM 360271100 287 31651 SH SOLE 31651 0 0 GEN-PROBE INC NEW COM COM 36866T103 402 8300 SH SOLE 0 0 8300 GENERAL ELECTRIC CO COM 369604103 9752 600126 SH SOLE 178706 0 421420 GENERAL MILLS INC COM 370334104 571 15636 SH SOLE 0 0 15636 GENL DYNAMICS CORP COM COM 369550108 484 7710 SH SOLE 950 0 6760 GILEAD SCIENCES COM 375558103 1967 55250 SH SOLE 2830 0 52420 GOLDMAN SACHS GROUP INC COM 38141G104 443 3066 SH SOLE 2600 0 466 GREIF BROS CORP CLASS A COM 397624107 824 14000 SH SOLE 0 0 14000 GREIF INC CL B COM 397624206 207 3600 SH SOLE 0 0 3600 H & R BLOCK INC COM 93671105 213 16450 SH SOLE 13800 0 2650 HALLIBURTON CO HOLDINGS CO COM 406216101 212 6400 SH SOLE 0 0 6400 HARLEY-DAVIDSON INC COM 412822108 347 12187 SH SOLE 8950 0 3237 HARTFORD FINANCIAL SERVICES GR COM 416515104 1442 62830 SH SOLE 8100 0 54730 HEALTH CARE REIT INC COM 42217K106 438 9260 SH SOLE 700 0 8560 HERSHEY COMPANY COM 427866108 533 11200 SH SOLE 200 0 11000 HEWLETT PACKARD CO COM 428236103 9872 234651 SH SOLE 64952 0 169699 HOME DEPOT INC COM 437076102 2380 75139 SH SOLE 32875 0 42264 HONEYWELL INTL INC COM 438516106 1023 23277 SH SOLE 15502 0 7775 HUDSON CITY BANCORP COM COM 443683107 359 29315 SH SOLE 9015 0 20300 ILLINOIS TOOL WORKS INC COM 452308109 840 17869 SH SOLE 5200 0 12669 INTEL CORP COM 458140100 6648 346276 SH SOLE 96016 0 250259 INTL BUSINESS MACHINES CORP COM 459200101 10285 76674 SH SOLE 28343 0 48331 ITT CORP COM 450911102 464 9900 SH SOLE 7000 0 2900 JOHNSON & JOHNSON COM 478160104 10089 162826 SH SOLE 63477 0 99349 JOHNSON CONTROLS INC COM 478366107 883 28967 SH SOLE 24862 0 4105 JOY GLOBAL INC COM COM 481165108 204 2900 SH SOLE 1750 0 1150 JPMORGAN CHASE & CO COM 46625h100 6462 169782 SH SOLE 59527 0 110255 KBR INC COM 48242W106 880 35700 SH SOLE 21000 0 14700 KIMBERLY CLARK CORP COM 494368103 1349 20736 SH SOLE 17850 0 2886 KOPPERS HOLDINGS INC. COM 50060P106 594 22100 SH SOLE 12600 0 9500 KRAFT FOODS INC CLASS A COM 50075N104 4864 157602 SH SOLE 47700 0 109902 L-3 COMMNCTNS HLDGS COM 502424104 757 10475 SH SOLE 2425 0 8050 LAM RESEARCH CORP COM COM 512807108 376 8975 SH SOLE 0 0 8975 LIGHTBRIDGE CORPORATION COM 53224K104 202 34172 SH SOLE 0 0 34172 LOCKHEED MARTIN CORP COM 539830109 752 10545 SH SOLE 0 0 10545 LOWES COS INC COM 548661107 470 21100 SH SOLE 10400 0 10700 MACQUARIE INFRASTRUCTURE CO LL COM 55608B105 776 50050 SH SOLE 46000 0 4050 MARATHON OIL CORP COM 565849106 1502 45374 SH SOLE 40202 0 5172 MARRIOTT INTL INC NEW CL A COM 571903202 650 18130 SH SOLE 17121 0 1009 MASTERCARD INC CL A COM COM 57636Q104 414 1848 SH SOLE 0 0 1848 MCDONALDS CORP COM 580135101 3985 53482 SH SOLE 11957 0 41526 MEDTRONIC INC COM 585055106 1522 45311 SH SOLE 5220 0 40091 MERCK & CO INC COM 58933Y105 1153 31328 SH SOLE 22153 0 9175 METLIFE COM 59156R108 1290 33552 SH SOLE 28568 0 4984 METRO BANCORP INC COM 59161r101 364 35006 SH SOLE 0 0 35006 METTLER TOLEDO INTL COM COM 592688105 282 2268 SH SOLE 0 0 2268 MICROSOFT CORP COM 594918104 7767 317168 SH SOLE 92490 0 224678
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ------------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- ---------- --- ---- ---------- -------- --------- ------ --------- MYLAN, INC COM 628530107 262 13925 SH SOLE 12225 0 1700 NEWELL RUBBERMAID INC COM 651229106 563 31630 SH SOLE 25330 0 6300 NEXTERA ENERGY INC COM 65339F101 466 8559 SH SOLE 600 0 7959 NORFOLK SOUTHERN CORP COM 655844108 553 9300 SH SOLE 6425 0 2875 NORTHWEST NAT GAS CO COM 667655104 226 4756 SH SOLE 0 0 4756 NYSE EURONEXT COM 629491101 1963 68704 SH SOLE 21500 0 47204 OCCIDENTAL PETE COM 674599105 334 4260 SH SOLE 2360 0 1900 ONEOK PARTNERS L.P COM 68268N103 2092 27920 SH SOLE 4945 0 22975 ORACLE CORP COM 68389X105 4773 177778 SH SOLE 38400 0 139378 PEOPLES UTD FINL INC COM COM 712704105 633 48320 SH SOLE 0 0 48320 PEPSICO INC COM 713448108 5737 86345 SH SOLE 28270 0 58075 PFIZER INC COM 717081103 1664 96938 SH SOLE 66559 0 30379 PHILIP MORRIS INTERNATIONAL COM 718172109 1376 24560 SH SOLE 1700 0 22860 PLUM CREEK TIMBER CO INC COM 729251108 492 13930 SH SOLE 5825 0 8105 PNC FINANCIAL SERVICES GROUP COM 693475105 1296 24968 SH SOLE 9910 0 15058 PRINCIPAL FINANCIAL GROUP INC COM 74251V102 623 24045 SH SOLE 16400 0 7645 PROCTER & GAMBLE CO COM 742718109 11754 195992 SH SOLE 43003 0 152989 PROGRESS ENERGY INC. COM 743263105 249 5600 SH SOLE 0 0 5600 PROGRESSIVE CORP-OHIO- COM 743315103 501 24000 SH SOLE 0 0 24000 PUBLIC SVC ENTERPRISE GROUP IN COM 744573106 219 6628 SH SOLE 4428 0 2200 QUALCOMM INC COM 747525103 798 17673 SH SOLE 0 0 17673 QUEST DIAGNOSTICS INC COM 74834l100 764 15143 SH SOLE 1748 0 13395 READING INTERNATIONAL INC - A COM 755408101 207 45700 SH SOLE 2100 0 43600 RYDER SYS INC COM COM 783549108 252 5900 SH SOLE 0 0 5900 SAN DISK CORP COM 80004C101 235 6400 SH SOLE 200 0 6200 SARA LEE CORP COM 803111103 142 10550 SH SOLE 8600 0 1950 SCHLUMBERGER LTD COM 806857108 3010 48858 SH SOLE 7216 0 41642 SHIP FINANCE INT'L LTD COM g81075106 350 18000 SH SOLE 10500 0 7500 SOUTHERN CO COM 842587107 4687 125846 SH SOLE 47450 0 78396 ST JOE CO COM 790148100 495 19910 SH SOLE 14485 0 5425 STANLEY BLACK & DECKER INC COM 854502101 519 8473 SH SOLE 7073 0 1400 STRYKER CORP COM 863667101 285 5686 SH SOLE 0 0 5686 SUNCOR ENERGY INC COM 867224107 535 16450 SH SOLE 3000 0 13450 SYSCO CORP COM 871829107 1576 55270 SH SOLE 9000 0 46270 TAC ACQUISITION CORP COM COM 873392104 0 32900 SH SOLE 32900 0 0 TARGET CORP COM 8.76E+110 2767 51775 SH SOLE 12300 0 39475 TELECOMMUNICATION SYS CL A COM 87929J103 45 11450 SH SOLE 11450 0 0 TEXAS INSTRUMENTS INC COM 882508104 422 15550 SH SOLE 9650 0 5900 THERMO FISHER SCIENTIFIC INC COM 883556102 1313 27425 SH SOLE 16100 0 11325 TICC CAPITAL CORP COM 87244T109 541 52267 SH SOLE 44880 0 7387 TIDEWATER INC. COM 886423102 406 9070 SH SOLE 3650 0 5420 TIFFANY & CO NEW COM 886547108 342 7275 SH SOLE 0 0 7275 TRANSOCEAN LTD NEW COM H8817H100 303 4710 SH SOLE 0 0 4710 TRAVELERS COMPANIES INC COM 8.94E+113 3579 68693 SH SOLE 35897 0 32796 UNITED TECHNOLOGIES CORP COM 913017109 5122 71905 SH SOLE 10075 0 61830 UNUMPROVIDENT CORP COM 91529y106 229 10325 SH SOLE 9800 0 525 US BANCORP DEL NEW COM 902973304 1448 66985 SH SOLE 33975 0 33010 VALERO ENERGY CORP-NEW COM 91913Y100 206 11762 SH SOLE 6032 0 5730 VERIZON COMMUNICATIONS COM 92343V104 4311 132278 SH SOLE 82855 0 49423 VORNADO RLTY TR COM 929042109 371 4334 SH SOLE 4234 0 100 WAL-MART STORES INC COM 931142103 4067 75989 SH SOLE 19714 0 56275 WALT DISNEY CO COM 254687106 3365 101651 SH SOLE 49029 0 52622 WASHINGTON REAL EST INV TR SBI COM 939653101 2884 90880 SH SOLE 23225 0 67655 WELLS FARGO & CO NEW COM 949746101 810 32245 SH SOLE 1400 0 30845 WESTERN UNION COMPANY (THE) COM 959802109 275 15550 SH SOLE 10550 0 5000 XCEL ENERGY INC COM 98389B100 331 14399 SH SOLE 3200 0 11199 YUM BRANDS INC COM 988498101 682 14815 SH SOLE 3575 0 11240 AXA-SPONS ADR ADR 54536107 404 23255 SH SOLE 20955 0 2300 CANADIAN NATL RAILWAY CO ADR 136375102 2641 41246 SH SOLE 9000 0 32246 CANON INC ADR ADR 138006309 210 4500 SH SOLE 1500 0 3000
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ------------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- ---------- --- ---- ---------- -------- --------- ------ --------- DIAGEO PLC NEW ADR 25243Q205 354 5129 SH SOLE 3894 0 1235 EMBRAER EMPRESA BRAS ADR ADR 29081m102 639 22500 SH SOLE 17500 0 5000 EMPRESAS ICA SOCIEDAD SPONSORE ADR 292448206 379 39000 SH SOLE 14000 0 25000 GLAXOSMITHKLINE PLC SP ADR ADR 37733w105 268 6786 SH SOLE 3130 0 3656 HONDA MOTOR CO LTD SPON ADR ADR 438128308 714 20050 SH SOLE 15800 0 4250 ING GROEP NV SPONS ADR ADR 456837103 227 22052 SH SOLE 1484 0 20568 KONINKLIJKE PHILIPS ELECTRS SP ADR 500472303 679 21680 SH SOLE 15308 0 6372 NESTLE SA-SPONS ADR ADR 641069406 3319 62111 SH SOLE 45172 0 16939 NOKIA CORP SPONSORED ADR ADR 654902204 1096 109274 SH SOLE 72625 0 36649 NOVARTIS AG ADR ADR 66987v109 1835 31818 SH SOLE 20066 0 11752 PETROBRAS ARGENTINA-SPONSORED ADR 71646J109 1097 66362 SH SOLE 38285 0 28077 PETROLEO BRASILEIRO S.A. ADR ADR 71654V408 1532 42236 SH SOLE 14700 0 27536 ROYAL DUTCH SHELL ADR A ADR 780259206 554 9190 SH SOLE 6250 0 2940 ROYAL DUTCH SHELL ADR B ADR 780259107 1064 18097 SH SOLE 9308 0 8789 SAP AG SPONSORED ADR ADR 803054204 268 5425 SH SOLE 0 0 5425 TELEFONICA SA ADR ADR 879382208 1033 13936 SH SOLE 11966 0 1970 TEVA PHARMACEUTICAL INDS ADR 881624209 2371 44941 SH SOLE 17570 0 27371 VALE S.A. ADR 9.19E+109 1614 51621 SH SOLE 30000 0 21621 VODAFONE GROUP PLC NEW ADR 92857w209 3083 124266 SH SOLE 74162 0 50104 BLACKROCK DIVIDEND ACHIEVERS T 09250N107 707 72968 SH SOLE 44238 0 28730 EATON VANCE TXMG GL BU COM 27829C105 234 18200 SH SOLE 11600 0 6600 GABELLI DIVIDEND & INCOME TR 36242H104 656 47125 SH SOLE 34050 0 13075 H&Q HEALTHCARE INVESTORS 404052102 257 21256 SH SOLE 13470 0 7786 INDIA FUND INC 454089103 273 7500 SH SOLE 250 0 7250 MFS INTERMEDIATE INCOME TRUST 55273C107 135 19664 SH SOLE 5000 0 14664 NEUBERGER BERMAN REAL ESTATE 64190A103 351 95836.038 SH SOLE 39661.362 0 56174.676 BARRICK GOLD CORP CAD 67901108 324 7000 SH SOLE 3500 0 3500 CAPITAL PRODUCT PARTNERS LP Y11082107 184 22225 SH SOLE 800 0 21425 BROADWAY INDUSTRIAL GROUP LIMI COM 6113634 613 695000 SH SOLE 505000 0 190000 PARKWAY HOLDINGS LTD COM 6811143 29 10000 SH SOLE 0 0 10000 SINGAPORE AIRPORT TERMINAL SER COM 6243586 650 300000 SH SOLE 150000 0 150000 AIRASIA BERHAD COM B03J9L7 491 675000 SH SOLE 420000 0 255000 LINGKARAN TRANS KOTA HOLDINGS COM B096LW7 554 505000 SH SOLE 265000 0 240000 MALAYSIA AIRPORTS HOLDINGS BER COM 6188193 722 391000 SH SOLE 275000 0 116000 YTL POWER INTERNATIONAL BHD COM B01GQS6 272 365000 SH SOLE 145000 0 220000 MAP GROUP COM 6543628 1166 409273 SH SOLE 206273 0 203000 CHINA COMMUNICATIONS CONSTRUCT COM B1JKTQ6 423 445000 SH SOLE 215000 0 230000 CHINA LILANG LTD COM B4JMX94 1089 650000 SH SOLE 335000 0 315000 CHINA RAILWAY CONSTRUCTION-H COM B2PFVH7 505 375000 SH SOLE 100000 0 275000 DALIAN PORT (PDS) COMPANY LTD COM B12YMD3 769 1854000 SH SOLE 1050000 0 804000 FORTUNE REAL ESTATE INVESTMENT COM 6677174 62 125000 SH SOLE 75000 0 50000 PACIFIC BASIN SHIPPING COM B01RQM3 530 735000 SH SOLE 475000 0 260000 SICHUAN EXPRESSWAY CO COM 6055877 1381 2060000 SH SOLE 1250000 0 810000 WU MART STORES INC COM B0PR2N2 958 400500 SH SOLE 320000 0 80500 XL AXIATA TBK PT COM B0LD0W9 862 1425000 SH SOLE 850000 0 575000 CORPORACION GEO SAB de CV COM 2229342 666 232000 SH SOLE 150000 0 82000 ADVANCED INFO SERVICES PUBLIC COM 6412568 501 160000 SH SOLE 75000 0 85000 SUPALAI PUBLIC COMPANY NVDR COM 6554749 583 1525000 SH SOLE 805000 0 720000 THAI TAP WATER SUPPLY - NVDR COM B297425 1137 6050000 SH SOLE 2600000 0 3450000 ISHARES BARCLAYS 20+ YEAR TR 464287432 518 4910 SH SOLE 150 0 4760 ISHARES INC MSCI BRAZIL 464286400 858 11155 SH SOLE 3000 0 8155 ISHARES MSCI HONG KONG INDEX F 464286871 184 10150 SH SOLE 0 0 10150 ISHARES MSCI SINGAPORE INDEX 464286673 920 69622 SH SOLE 1000 0 68622 ISHARES RUSSELL 1000 GROWTH 464287614 206 4015 SH SOLE 0 0 4015 ISHARES RUSSELL MIDCAP INDEX 464287499 225 2490 SH SOLE 0 0 2490 ISHARES TR FTSE XNHUA IDX 464287184 1782 41615 SH SOLE 25886 0 15729 ISHARES TR MSCI EMERG MKT 464287234 651 14544 SH SOLE 6050 0 8494 ISHARES TR RUSSELL 2000 464287655 267 3955 SH SOLE 0 0 3955 ISHARES TR S&P 100 IDX FD 464287101 395 7679 SH SOLE 450 0 7229 ISHARES TR S&P 500 INDEX 464287200 260 2270 SH SOLE 0 0 2270
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ------------------- ---------- -------- -------------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- ---------- --- ---- ---------- -------- --------- ------ --------- ISHARES TR S&P LTN AM 40 464287390 234 4622 SH SOLE 2175 0 2447 POWERSHS DB MULTI SECT DB AGRI 73936B408 327 11905 SH SOLE 375 0 11530 SPDR GOLD TRUST 78463V107 4445 34748 SH SOLE 18570 0 16178 SPDR S&P 500 ETF TR SERIES 78462F103 316 2771 SH SOLE 280 0 2491 WEBS INDEX FUND INC-JAPAN WEBS 464286848 317 32095 SH SOLE 21550 0 10545 ENTERPRISE PRODS PARTNERS L P 293792107 374 9422 SH SOLE 0 0 9422 KINDER MORGAN ENERGY PARTNE 494550106 604 8817 SH SOLE 2100 0 6717 TARGA RESOURCES PARTNERS LP 87611x105 354 12750 SH SOLE 400 0 12350 DODGE & COX GLOBAL STOCK FD 256206202 122 14781.338 SH SOLE 2597.403 0 12183.935 FIRST EAGLE GLOBAL FUND 32008F507 236 5479.684 SH SOLE 0 0 5479.684 JPMORGAN NY T/F BOND FND-SL 4812a0789 400 53669.595 SH SOLE 0 0 53669.595 JPMORGAN TR I INTERM TF BD S 4812a0441 464 41684.341 SH SOLE 0 0 41684.341 MUTUAL QUEST FD CL Z 628380206 204 11494.266 SH SOLE 8600.788 0 2893.478 RYDEX SER FDS JUNO INV CL 783554702 253 21435.3755 SH SOLE 1 6269.7505 0 5165.625 SCHWAB SMALL-CAP INDEX 808509848 295 15972.1344 SH SOLE 8656.489 0 7315.6454 TWEEDY BROWNE GLOBAL VALUE FUN 901165100 548 24300.518 SH SOLE 1 2255.772 0 12044.746 VIRTUS OPPORTUNITIES T VIRTUS 92828R859 287 13007.038 SH SOLE 0 0 13007.038
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