Chief Financial Officer

0001140361-15-007876.txt : 20150219 0001140361-15-007876.hdr.sgml : 20150219 20150218203902 ACCESSION NUMBER: 0001140361-15-007876 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150219 DATE AS OF CHANGE: 20150218 EFFECTIVENESS DATE: 20150219 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CARRET ASSET MANAGEMENT, LLC CENTRAL INDEX KEY: 0000791490 IRS NUMBER: 134113321 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01317 FILM NUMBER: 15629953 BUSINESS ADDRESS: STREET 1: 40 WEST 57TH STREET STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2125933800 MAIL ADDRESS: STREET 1: 40 WEST 57TH STREET STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: CARRET ASSET MANAGEMENT DATE OF NAME CHANGE: 20040823 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 primary_doc.xml 13F-HR LIVE false true false 0000791490 XXXXXXXX 12-31-2014 12-31-2014 CARRET ASSET MANAGEMENT, LLC

40 West 57th Street 20th Floor NEW YORK NY 10019

13F HOLDINGS REPORT 028-01317 N Marco Vega Chief Financial Officer 212-207-2304 /s/ Marco Vega New York NY 02-18-2015 0 271 528440 false INFORMATION TABLE 2 form13fInfoTable.xml 3M COMPANY COM 88579y101 4699 28600 SH SOLE 17243 0 11357 ABBOTT LABORATORIES COM 002824100 3640 80851 SH SOLE 21155 0 59696 ABBVIE INC COM 00287Y109 5058 77296 SH SOLE 20505 0 56791 ACTAVIS, INC COM 097252718 226 879 SH SOLE 661 0 218 ADOBE SYSTEMS INC COM 00724F101 609 8375 SH SOLE 0 0 8375 AES CORP COM 00130h105 380 27617 SH SOLE 12725 0 14892 AETNA INC NEW COM 00817Y108 657 7400 SH SOLE 5100 0 2300 AFLAC INC COM 001055102 1145 18745 SH SOLE 7165 0 11580 AIR PRODS & CHEMS COM 009158106 216 1500 SH SOLE 0 0 1500 ALCOA INC COM 013817101 354 22400 SH SOLE 0 0 22400 ALLSTATE CORP COM 020002101 5378 76562 SH SOLE 27659 0 48903 ALTRIA GROUP INC COM 02209s103 883 17930 SH SOLE 2300 0 15630 AMERICAN ELEC PWR COM 025537101 5831 96027 SH SOLE 35148 0 60879 AMERICAN EXPRESS CO COM 025816109 5831 62673 SH SOLE 30635 0 32038 AMERICAN INTL GROUP INC COM 026874784 290 5180 SH SOLE 0 0 5180 AMERICAN WATER WORKS INC COM 030420103 394 7400 SH SOLE 6100 0 1300 AMERIPRISE FINANCIAL INC COM 03076C106 1521 11501 SH SOLE 7371 0 4130 AMETEK INC NEW COM 031100100 879 16700 SH SOLE 16700 0 0 AMGEN INC COM 031162100 209 1310 SH SOLE 300 0 1010 ANADARKO PETROLEUM CORP COM 032511107 4518 54762 SH SOLE 6000 0 48762 APACHE CORP COM 037411105 1886 30100 SH SOLE 5000 0 25100 APPLE INC COM 037833100 14563 131937 SH SOLE 23380 0 108557 APPLIED MATERIALS INC DELAWARE COM 038222105 2247 90159 SH SOLE 32600 0 57559 AQUA AMERICA INC COM 03836w103 506 18941 SH SOLE 0 0 18941 AT&T INC COM 00206r102 5863 174547 SH SOLE 61641 0 112906 AUTOMATIC DATA PROCESSING INC. COM 053015103 1425 17096 SH SOLE 3900 0 13196 AVNET INC COM 053807103 854 19852 SH SOLE 15000 0 4852 BANK NEW YORK MELLON CORP COM 064058100 1829 45091 SH SOLE 22307 0 22784 BANK OF AMERICA CORP COM 060505104 2328 130116 SH SOLE 66516 0 63600 BAXTER INTL INC COM 071813109 1613 22010 SH SOLE 8860 0 13150 BECTON DICKINSON & CO COM 075887109 915 6575 SH SOLE 450 0 6125 BED BATH & BEYOND INC COM 075896100 1691 22200 SH SOLE 3650 0 18550 BERKSHIRE HATHAWAY - A COM 084670108 4068 18 SH SOLE 1 0 17 BERKSHIRE HATHAWAY INC CL B COM 084670702 11557 76973 SH SOLE 20095 0 56878 BOEING CO COM 097023105 1439 11071 SH SOLE 300 0 10771 BOMBARDIER INC CL B SUB-VTG COM 097751200 54 15042 SH SOLE 0 0 15042 BRISTOL MYERS SQUIBB CO COM 110122108 2405 40741 SH SOLE 7830 0 32911 BROADCOM CORP CL A COM 111320107 237 5475 SH SOLE 3225 0 2250 CAMACK ENERGY INC. COM 131745101 6 15000 SH SOLE 0 0 15000 CAMDEN PROPERTY TRUST COM 133131102 725 9816 SH SOLE 6016 0 3800 CARPENTER TECHNOLOGY COM 144285103 2829 57450 SH SOLE 7000 0 50450 CATERPILLAR INC COM 149123101 246 2690 SH SOLE 140 0 2550 CERNER CORP COM 156782104 411 6350 SH SOLE 0 0 6350 CHECK POINT SOFTWARE TECHNOLOG COM M22465104 208 2650 SH SOLE 750 0 1900 CHEVRON CORP COM 166764100 10087 89922 SH SOLE 31141 0 58781 CHUBB CORP COM 171232101 536 5177 SH SOLE 2125 0 3052 CHURCH & DWIGHT CO INC COM 171340102 4685 59451 SH SOLE 10000 0 49451 CISCO SYS INC COM 17275r102 7457 268078 SH SOLE 85714 0 182364 CITIGROUP INC COM 172967424 1218 22517 SH SOLE 6500 0 16017 CLOROX COMPANY DE COM 189054109 375 3600 SH SOLE 0 0 3600 COCA-COLA CO COM 191216100 812 19243 SH SOLE 9722 0 9521 COLGATE PALMOLIVE CO COM 194162103 1673 24179 SH SOLE 1000 0 23179 COMCAST CORP CL A COM 20030n101 2180 37579 SH SOLE 13657 0 23922 COMCAST CORP CL A - SPL COM 20030n200 5413 94026 SH SOLE 60106 0 33920 CONAGRA FOODS INC COM 205887102 232 6400 SH SOLE 3350 0 3050 CONOCOPHILLIPS COM 20825c104 9208 133340 SH SOLE 40991 0 92349 CONSOLIDATED EDISON INC COM 209115104 599 9080 SH SOLE 1912 0 7168 CORNING INC COM 219350105 5226 227896 SH SOLE 73375 0 154521 CVS HEALTH CORPORATION COM 126650100 10112 104996 SH SOLE 38033 0 66963 DAVITA HEALTHCARE PARTNERS I COM 23918K108 1693 22350 SH SOLE 5000 0 17350 DEERE & CO COM 244199105 1717 19412 SH SOLE 6305 0 13107 DENTSPLY INTERNATIONAL INC NEW COM 249030107 975 18300 SH SOLE 9600 0 8700 DEVON ENERGY CORP NEW COM 25179M103 246 4020 SH SOLE 2210 0 1810 DIGITAL REALTY TRUST INC COM 253868103 306 4620 SH SOLE 1700 0 2920 DOMINION RES INC VA NEW COM 25746U109 4182 54383 SH SOLE 20200 0 34183 DOW CHEM CO COM COM 260543103 1064 23332 SH SOLE 12560 0 10772 DR PEPPER SNAPPLE GROUP INC COM 26138E109 612 8531 SH SOLE 0 0 8531 DU PONT E I DE NEMOURS COM 263534109 10387 140473 SH SOLE 46038 0 94435 DUKE ENERGY CORP COM 26441c204 781 9344 SH SOLE 1812 0 7532 EASTGROUP PROPERTIES INC COM 277276101 336 5299 SH SOLE 3999 0 1300 EASTMAN CHEMICAL COM 277432100 1731 22819 SH SOLE 6640 0 16179 EATON CORP COM g29183103 2361 34745 SH SOLE 6485 0 28260 ELI LILLY & CO COM 532457108 389 5635 SH SOLE 0 0 5635 EMC CORP-MASS COM 268648102 5299 178185 SH SOLE 71465 0 106720 EMERSON ELECTRIC CO COM 291011104 3751 60769 SH SOLE 8550 0 52219 EXPRESS SCRIPTS HOLDING CO COM 30219G108 577 6818 SH SOLE 500 0 6318 EXXON MOBIL CORP COM 30231g102 9989 108049 SH SOLE 27538 0 80511 FACEBOOK INC A COM 30303M102 524 6710 SH SOLE 860 0 5850 FEDEX CORPORATION COM 31428X106 2647 15243 SH SOLE 1875 0 13368 FIFTH THIRD BANCORP COM 316773100 1431 70244 SH SOLE 2050 0 68194 FIRST CONNECTICUT BANCORP COM 319850103 163 10000 SH SOLE 0 0 10000 FIRSTMERIT CORP COM 337915102 442 23418 SH SOLE 0 0 23418 FLEXTRONICS INTL LTD COM y2573f102 115 10250 SH SOLE 8650 0 1600 FNB CORP COM COM 302520101 453 34028 SH SOLE 29773 0 4255 FRONTIER COMMUNICATIONS CORP COM 35906A108 212 31788 SH SOLE 0 0 31788 FULTON FINL CORP PA COM COM 360271100 391 31651 SH SOLE 31651 0 0 GAMESTOP CORP NEW CL A COM 36467W109 793 23475 SH SOLE 7260 0 16215 GENERAL ELECTRIC CO COM 369604103 13341 527935 SH SOLE 155417 0 372519 GENERAL MILLS INC COM 370334104 716 13419 SH SOLE 0 0 13419 GENERAL MOTORS CORP COM 37045V100 1369 39229 SH SOLE 4000 0 35229 GENL DYNAMICS CORP COM COM 369550108 1062 7717 SH SOLE 600 0 7117 GOLDMAN SACHS GROUP INC COM 38141G104 4631 23890 SH SOLE 4500 0 19390 GOOGLE INC CL A COM 38259P508 3267 6157 SH SOLE 1124 0 5033 GOOGLE INC CL C COM 38259P706 4102 7792 SH SOLE 1768 0 6024 GREENGRO TECHNOLOGIES INC COM 39526g107 2 16800 SH SOLE 0 0 16800 GREIF BROS CORP CLASS A COM 397624107 392 8300 SH SOLE 0 0 8300 HALLIBURTON CO HOLDINGS CO COM 406216101 234 5950 SH SOLE 0 0 5950 HARRIS CORP DEL COM 413875105 1882 26209 SH SOLE 5830 0 20379 HARTFORD FINANCIAL SERVICES GR COM 416515104 4342 104157 SH SOLE 20720 0 83437 HEALTH CARE REIT INC COM 42217K106 4070 53785 SH SOLE 11225 0 42560 HELMERICH & PAYNE INC COM 423452101 227 3370 SH SOLE 2000 0 1370 HERSHEY COMPANY COM 427866108 1143 11000 SH SOLE 0 0 11000 HOME DEPOT INC COM 437076102 2816 26831 SH SOLE 10390 0 16441 HONEYWELL INTL INC COM 438516106 1379 13804 SH SOLE 8042 0 5762 HORMEL FOODS CORP COM 440452100 2454 47100 SH SOLE 9000 0 38100 ILLINOIS TOOL WORKS INC COM 452308109 1240 13096 SH SOLE 0 0 13096 INTEL CORP COM 458140100 11006 303284 SH SOLE 86636 0 216648 INTL BUSINESS MACHINES CORP COM 459200101 8010 49923 SH SOLE 18043 0 31880 INTL PAPER CO COM 460146103 705 13161 SH SOLE 5000 0 8161 JOHNSON & JOHNSON COM 478160104 13747 131458 SH SOLE 49022 0 82436 JOHNSON CONTROLS INC COM 478366107 1105 22865 SH SOLE 19587 0 3278 JPMORGAN CHASE & CO COM 46625h100 12956 207034 SH SOLE 61325 0 145709 KIMBERLY CLARK CORP COM 494368103 2357 20397 SH SOLE 12470 0 7927 KINDER MORGAN INC COM 49456B101 795 18797 SH SOLE 1973 0 16824 KRAFT FOODS GROUP INC COM 50076Q106 1433 22873 SH SOLE 3779 0 19094 L-3 COMMNCTNS HLDGS COM 502424104 996 7895 SH SOLE 2000 0 5895 LAM RESEARCH CORP COM COM 512807108 767 9673 SH SOLE 0 0 9673 LANDAUER INC. COM 51476K103 201 5890 SH SOLE 850 0 5040 LIGHTBRIDGE CORPORATION COM 53224K104 26 17086 SH SOLE 0 0 17086 LOCKHEED MARTIN CORP COM 539830109 665 3452 SH SOLE 0 0 3452 LOWES COS INC COM 548661107 815 11841 SH SOLE 0 0 11841 MACYS INC COM COM 55616P104 1211 18415 SH SOLE 4000 0 14415 MARATHON OIL CORP COM 565849106 1913 67614 SH SOLE 33850 0 33764 MARATHON PETROLEUM CORP COM 56585A102 1371 15186 SH SOLE 11355 0 3831 MARRIOTT INTL INC NEW CL A COM 571903202 360 4616 SH SOLE 4016 0 600 MASTERCARD INC CL A COM COM 57636Q104 1565 18160 SH SOLE 0 0 18160 MCDONALDS CORP COM 580135101 2444 26080 SH SOLE 3175 0 22905 MERCK & CO INC COM 58933Y105 2212 38948 SH SOLE 19864 0 19084 METLIFE COM 59156R108 4278 79098 SH SOLE 43755 0 35343 MICROSOFT CORP COM 594918104 8805 189569 SH SOLE 61140 0 128429 MONDELEZ INTERNATIONAL INC COM 609207105 3131 86205 SH SOLE 27825 0 58380 MONSANTO CO. COM 61166W101 303 2540 SH SOLE 0 0 2540 NATIONAL OILWELL VARCO COM COM 637071101 351 5355 SH SOLE 400 0 4955 NCR CORP NEW COM 62886E108 429 14725 SH SOLE 7175 0 7550 NEWELL RUBBERMAID INC COM 651229106 1370 35963 SH SOLE 26688 0 9275 NEXTERA ENERGY INC COM 65339F101 684 6432 SH SOLE 0 0 6432 NIKE INC - B COM 654106103 1556 16180 SH SOLE 7000 0 9180 NORFOLK SOUTHERN CORP COM 655844108 1366 12465 SH SOLE 3200 0 9265 NORTHWEST NAT GAS CO COM 667655104 215 4306 SH SOLE 0 0 4306 OAKTREE CAPITAL GROUP LLC COM 674001201 220 4240 SH SOLE 0 0 4240 OCCIDENTAL PETE COM 674599105 1264 15686 SH SOLE 1760 0 13926 ORACLE CORP COM 68389X105 6274 139511 SH SOLE 22350 0 117161 PARKER HANNIFIN CORP COM 701094104 3731 28930 SH SOLE 6000 0 22930 PEPSICO INC COM 713448108 8795 93012 SH SOLE 26320 0 66692 PFIZER INC COM 717081103 2866 91997 SH SOLE 48502 0 43495 PHILIP MORRIS INTERNATIONAL COM 718172109 1058 12986 SH SOLE 1200 0 11786 PHILLIPS 66 COM 718546104 1867 26043 SH SOLE 2141 0 23902 PITNEY BOWES INC COM 724479100 255 10480 SH SOLE 0 0 10480 PNC FINANCIAL SERVICES GROUP COM 693475105 3508 38457 SH SOLE 14520 0 23937 PRAXAIR INC COM 74005P104 212 1640 SH SOLE 0 0 1640 PRINCIPAL FINANCIAL GROUP INC COM 74251V102 662 12748 SH SOLE 8450 0 4298 PROCTER & GAMBLE CO COM 742718109 8148 89452 SH SOLE 30484 0 58968 PROGRESSIVE CORP-OHIO- COM 743315103 324 12000 SH SOLE 0 0 12000 PUBLIC SVC ENTERPRISE GROUP IN COM 744573106 204 4916 SH SOLE 1550 0 3366 QUALCOMM INC COM 747525103 3719 50028 SH SOLE 12015 0 38013 RYDER SYS INC COM COM 783549108 481 5181 SH SOLE 0 0 5181 SCHLUMBERGER LTD COM 806857108 2332 27309 SH SOLE 9525 0 17784 SEAGATE TECHNOLOGY SHS COM G7945M107 206 3100 SH SOLE 0 0 3100 SEQUENOM INC COM 817337405 257 69550 SH SOLE 0 0 69550 SOUTHERN CO COM 842587107 5579 113595 SH SOLE 42671 0 70924 SPECTRA ENERGY CORP COM COM 847560109 527 14507 SH SOLE 8062 0 6445 STANLEY BLACK & DECKER INC COM 854502101 683 7105 SH SOLE 6116 0 989 SUNCOR ENERGY INC COM 867224107 369 11618 SH SOLE 0 0 11618 SYMANTEC CORP COM 871503108 204 7944 SH SOLE 5809 0 2135 SYSCO CORP COM 871829107 3325 83770 SH SOLE 16145 0 67625 TARGET CORP COM 87612E106 6348 83623 SH SOLE 23740 0 59883 TEXAS INSTRUMENTS INC COM 882508104 267 5000 SH SOLE 3850 0 1150 THERMO FISHER SCIENTIFIC INC COM 883556102 1460 11655 SH SOLE 5975 0 5680 TIFFANY & CO NEW COM 886547108 1079 10101 SH SOLE 0 0 10101 TRAVELERS COMPANIES INC COM 89417E109 6417 60628 SH SOLE 29163 0 31465 UNITED TECHNOLOGIES CORP COM 913017109 2384 20732 SH SOLE 4755 0 15977 UNITEDHEALTH GROUP INC COM 91324P102 295 2915 SH SOLE 0 0 2915 UNUM GROUP COM 91529y106 397 11375 SH SOLE 9750 0 1625 US BANCORP DEL NEW COM 902973304 2865 63728 SH SOLE 29075 0 34653 VALEANT PHARMACEUTICALS INTL COM 91911K102 340 2374 SH SOLE 0 0 2374 VERIZON COMMUNICATIONS COM 92343V104 8348 178451 SH SOLE 85796 0 92655 VIACOM INC NEW CLASS B COM 92553p201 2666 35432 SH SOLE 7000 0 28432 VISA INC COM CL A COM 92826C839 2084 7950 SH SOLE 3000 0 4950 VORNADO RLTY TR COM 929042109 367 3122 SH SOLE 1770 0 1352 WAL-MART STORES INC COM 931142103 5508 64138 SH SOLE 23100 0 41038 WALGREENS BOOTS ALLIANCE INC COM 931427108 2267 29750 SH SOLE 13240 0 16510 WALT DISNEY CO COM 254687106 6641 70506 SH SOLE 27088 0 43418 WASHINGTON REAL EST INV TR SBI COM 939653101 806 29124 SH SOLE 6725 0 22399 WELLS FARGO & CO NEW COM 949746101 2275 41508 SH SOLE 3250 0 38258 WISCONSIN ENERGY CORP COM 976657106 225 4275 SH SOLE 0 0 4275 XCEL ENERGY INC COM 98389B100 542 15085 SH SOLE 1100 0 13985 XYLEM INC COM 98419M100 1130 29690 SH SOLE 17300 0 12390 YUM BRANDS INC COM 988498101 466 6395 SH SOLE 0 0 6395 ALIBABA GROUP HLDING -SP ADR ADR 01609W102 802 7720 SH SOLE 3385 0 4335 AXA-SPONS ADR ADR 054536107 1178 51482 SH SOLE 12487 0 38995 BHP BILLITON LTD SPONS ADR 088606108 854 18045 SH SOLE 650 0 17395 BP PLC SPONS ADR ADR 055622104 637 16718 SH SOLE 200 0 16518 CANADIAN NATL RAILWAY CO ADR 136375102 5974 86697 SH SOLE 12000 0 74697 DEUTSCHE BANK AG ADR ADR d18190898 277 9240 SH SOLE 0 0 9240 DIAGEO PLC NEW ADR 25243Q205 558 4892 SH SOLE 3844 0 1048 GLAXOSMITHKLINE PLC SP ADR ADR 37733w105 233 5459 SH SOLE 0 0 5459 KONINKLIJKE PHILIPS NV ADR 500472303 350 12058 SH SOLE 7932 0 4126 NESTLE SA-SPONS ADR ADR 641069406 4137 56704 SH SOLE 37207 0 19497 NOKIA CORP SPONSORED ADR ADR 654902204 213 27100 SH SOLE 22075 0 5025 NOVARTIS AG ADR ADR 66987v109 4036 43552 SH SOLE 18628 0 24924 ROCHE HOLDINGS LTD - ADR ADR 771195104 207 6100 SH SOLE 4000 0 2100 ROYAL DUTCH SHELL ADR A ADR 780259206 398 5952 SH SOLE 555 0 5397 ROYAL DUTCH SHELL ADR B ADR 780259107 1199 17237 SH SOLE 9408 0 7829 SANOFI ADR 80105N105 242 5300 SH SOLE 3200 0 2100 SAP SE ADR 803054204 212 3050 SH SOLE 0 0 3050 TELEFONICA SA ADR ADR 879382208 355 24952 SH SOLE 15126 0 9826 TEVA PHARMACEUTICAL INDS ADR 881624209 645 11216 SH SOLE 1375 0 9841 VODAFONE GROUP PLC ADR 92857w308 1620 47402 SH SOLE 15861 0 31541 KAYNE ANDERSON ENERGY COM FD 48660P104 1846 66300 SH SOLE 14810 0 51490 NEUBERGER BERMAN REAL ESTATE FD 64190A103 86 16305 SH SOLE 5539 0 10766 NUVEEN S&P 500 BUY-WRITE INC F FD 6706er101 135 11126 SH SOLE 0 0 11126 FORTESCUE METALS GROUPS LTD FS Q39360104 44 19800 SH SOLE 19800 0 0 GRUPO MEXICO SAB DE CV-SER B COM 00B032VC1 59 20426 SH SOLE 0 0 20426 ISHARES CNX INDIA 50 INDEX ETF 464289529 788 26349 SH SOLE 0 0 26349 ISHARES CORE S&P 500 INDEX ETF 464287200 309 1495 SH SOLE 0 0 1495 ISHARES DJ US FINANCIAL SECTOR ETF 464287788 266 2945 SH SOLE 0 0 2945 ISHARES DJ US TECHNOLOGY SECTO ETF 464287721 373 3577 SH SOLE 0 0 3577 ISHARES DOW JONES SELECT DIVID ETF 464287168 351 4425 SH SOLE 0 0 4425 ISHARES FTSE CHINA 25 LARGE-CA ETF 464287184 1831 43991 SH SOLE 17881 0 26110 ISHARES MSCI AUSTRALIA INDEX ETF 464286103 383 17280 SH SOLE 0 0 17280 ISHARES MSCI EMERGING MARKETS ETF 464287234 1711 43538 SH SOLE 9582 0 33956 ISHARES MSCI HONG KONG INDEX ETF 464286871 717 34915 SH SOLE 0 0 34915 ISHARES MSCI JAPAN INDEX ETF 464286848 122 10846 SH SOLE 2750 0 8096 ISHARES RUSSELL 1000 GROWTH ETF 464287614 551 5760 SH SOLE 0 0 5760 ISHARES RUSSELL 1000 VALUE ETF 464287598 210 2008 SH SOLE 0 0 2008 ISHARES RUSSELL 2000 INDEX FUN ETF 464287655 431 3600 SH SOLE 200 0 3400 ISHARES RUSSELL MID-CAP INDEX ETF 464287499 993 5947 SH SOLE 0 0 5947 ISHARES S&P 100 INDEX ETF 464287101 3876 42621 SH SOLE 1055 0 41566 ISHARES S&P PREF STK INDX FN ETF 464288687 263 6660 SH SOLE 0 0 6660 PROSHARES ULTRASHORT 20+ YEAR ETF 74347B201 865 18656 SH SOLE 150 0 18506 PROSHARES ULTRASHORT 7-10 YEAR ETF 74347R313 1510 60975 SH SOLE 350 0 60625 SCHWAB US LARGE-CAP ETR ETF 808524201 414 8439 SH SOLE 315 0 8124 SPDR FD TECHNOLGY SEL ETF 81369Y803 287 6945 SH SOLE 100 0 6845 SPDR GOLD TRUST ETF 78463V107 1167 10272 SH SOLE 5382 0 4890 SPDR S&P 500 INDEX ETF 78462F103 652 3171 SH SOLE 205 0 2966 SPDR S&P MIDCAP 400 ETF TR ETF 78467Y107 213 807 SH SOLE 100 0 707 VANGUARD DIVIDEND APPREC ETF 921908844 391 4820 SH SOLE 1320 0 3500 VANGUARD FTSE ALL WORLD EX-U ETF 922042775 512 10926 SH SOLE 1440 0 9486 VANGUARD INDEX FDS VALUE ETF ETF 922908744 922 10918 SH SOLE 537 0 10381 ENTERPRISE PRODS PARTNERS L P LP 293792107 795 22008 SH SOLE 2268 0 19740 ONEOK PARTNERS L.P LP 68268N103 624 15740 SH SOLE 5865 0 9875 THE BLACKSTONE GROUP LP LP 09253U108 1727 51037 SH SOLE 16525 0 34512 BUNGE LTD 4.875% PFD G16962204 2751 24455 SH SOLE 150 0 24305 AMERICAN CENTY MUT FDS GROWTH FD 025083106 233 8106 SH SOLE 0 0 8106 ARTIO INT'L EQUITY FUND II FD 04315J837 186 16910 SH SOLE 0 0 16910 BARON SMALL CAP FUND-INST FD 068278803 209 6162 SH SOLE 0 0 6162 DODGE & COX FDS INTL STK FD FD 256206103 350 8302 SH SOLE 0 0 8302 FIDELITY CONTRAFUND COM FD 316071109 585 5968 SH SOLE 0 0 5968 FIDELITY LOW PRICED STOCK FUND FD 316345305 239 4764 SH SOLE 0 0 4764 FIDELITY SECS FD BLUE CHIP GWT FD 316389303 367 5359 SH SOLE 1195 0 4164 FIDELITY SECS FD OTC PORTFOLIO FD 316389105 361 4537 SH SOLE 0 0 4537 FIDELITY SMALL CAP DISCOVERY F FD 315912600 283 9404 SH SOLE 0 0 9404 FIDELITY SPARAN EXTENDED MKT I FD 315911883 292 5294 SH SOLE 0 0 5294 FIDELITY STR DVD&INC FUND FD 316145887 181 12364 SH SOLE 0 0 12364 FIRST EAGLE GLOBAL FUND FD 32008F507 700 13340 SH SOLE 0 0 13340 FPA CRESCENT FUND FD 30254T759 237 7025 SH SOLE 0 0 7025 HANCOCK HORIZON DIVERSIFIED IN FD 41012R787 230 10794 SH SOLE 0 0 10794 HARTFORD CAPITAL APPREC-I FD 416649309 219 5897 SH SOLE 0 0 5897 JPMORGAN MID CAP VALUE FD-A FD 339128308 204 5597 SH SOLE 0 0 5597 JPMORGAN TR I INTERM TF BD S FD 4812a0441 201 18070 SH SOLE 0 0 18070 PRUDENTIAL JENN EQTY OPPOR-Z FD 74437E800 298 14458 SH SOLE 0 0 14458 SCHWAB SMALL-CAP INDEX FD 808509848 379 14054 SH SOLE 7269 0 6785 THIRD AVE TR VALUE TR FD 884116104 322 5666 SH SOLE 1814 0 3852 TWEEDY BROWNE GLOBAL VALUE FUN FD 901165100 465 17874 SH SOLE 13253 0 4621 VANGUARD 500 INDEX FD 922908108 207 1089 SH SOLE 0 0 1089 VANGUARD INDEX FDS 500INDEX AD FD 922908710 546 2874 SH SOLE 0 0 2874 VANGUARD STAR FUND STAR PORTFO FD 921909107 1782 72364 SH SOLE 3865 0 68499 VANGUARD/WINDSOR FD ADMIRAL SH FD 922018403 326 4504 SH SOLE 0 0 4504 WELLS FARGO ADVANTAGE TOT RET FD 94975J631 151 11515 SH SOLE 0 0 11515 BANK OF AMERICA CORP - EXP 1/1 WT 060505146 92 13000 SH SOLE 0 0 13000 WELLS FARGO & CO - EXP 10/28/1 WT 949746119 426 19950 SH SOLE 0 0 19950