0001140361-17-018913.txt : 20170509 0001140361-17-018913.hdr.sgml : 20170509 20170508180804 ACCESSION NUMBER: 0001140361-17-018913 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170509 DATE AS OF CHANGE: 20170508 EFFECTIVENESS DATE: 20170509 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: 17823783 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 03-31-2017 03-31-2017 CARRET ASSET MANAGEMENT, LLC
40 WEST 57TH STREET 20TH FLOOR NEW YORK NY 10019
13F HOLDINGS REPORT 028-01317 N
Marco Vega Chief Operating Officer 212-207-2304 /s/ Marco Vega New York NY 05-08-2017 0 245 557231 false
INFORMATION TABLE 2 form13fInfoTable.xml 3M COMPANY COM 88579y101 4448 23249 SH SOLE 13673 0 9576 ABBOTT LABORATORIES COM 002824100 2743 61775 SH SOLE 14260 0 47515 ABBVIE INC COM 00287Y109 4202 64490 SH SOLE 17051 0 47439 ADOBE SYSTEMS INC COM 00724F101 716 5500 SH SOLE 0 0 5500 AES CORP COM 00130h105 226 20217 SH SOLE 7800 0 12417 AETNA INC NEW COM 00817Y108 342 2680 SH SOLE 2125 0 555 AFLAC INC COM 001055102 399 5508 SH SOLE 0 0 5508 ALLERGAN PLC COM G0177J108 236 986 SH SOLE 661 0 325 ALLSTATE CORP COM 020002101 4739 58153 SH SOLE 25845 0 32308 ALPHABET INC CL A COM 02079K305 6070 7160 SH SOLE 1121 0 6039 ALPHABET INC CL C COM 02079K107 8281 9982 SH SOLE 2044 0 7938 ALTRIA GROUP INC COM 02209s103 517 7240 SH SOLE 2300 0 4940 AMAZON.COM, INC COM 023135106 356 401 SH SOLE 100 0 301 AMERICAN ELEC PWR COM 025537101 5280 78659 SH SOLE 32948 0 45711 AMERICAN EXPRESS CO COM 025816109 5452 68914 SH SOLE 27745 0 41169 AMERICAN INTL GROUP INC COM 026874784 432 6925 SH SOLE 1580 0 5345 AMERICAN WATER WORKS INC COM 030420103 540 6940 SH SOLE 5850 0 1090 AMERIPRISE FINANCIAL INC COM 03076C106 1458 11246 SH SOLE 7151 0 4095 AMETEK INC NEW COM 031100100 1328 24550 SH SOLE 16700 0 7850 AMGEN INC COM 031162100 906 5521 SH SOLE 1410 0 4111 ANADARKO PETROLEUM CORP COM 032511107 3593 57948 SH SOLE 7000 0 50948 ANHEUSER-BUSCH COMPANIES INC COM 03524A108 204 1856 SH SOLE 0 0 1856 APACHE CORP COM 037411105 1042 20269 SH SOLE 3000 0 17269 APARTMENT INVESTMENT & MANG CO COM 03748R101 216 4866 SH SOLE 4866 0 0 APPLE INC COM 037833100 17550 122163 SH SOLE 20465 0 101698 APPLIED MATERIALS INC DELAWARE COM 038222105 2210 56805 SH SOLE 21775 0 35030 ASSOCIATES FIRST CAPITAL CORPO COM 046008207 0 16000 SH SOLE 0 0 16000 AT&T INC COM 00206r102 7004 168574 SH SOLE 63326 0 105248 AUTOMATIC DATA PROCESSING INC. COM 053015103 1447 14132 SH SOLE 3600 0 10532 AVNET INC COM 053807103 550 12027 SH SOLE 9225 0 2802 BANK NEW YORK MELLON CORP COM 064058100 1957 41441 SH SOLE 21567 0 19874 BANK OF AMERICA CORP COM 060505104 4290 181875 SH SOLE 88148 0 93727 BECTON DICKINSON & CO COM 075887109 2343 12771 SH SOLE 2590 0 10181 BED BATH & BEYOND INC COM 075896100 330 8375 SH SOLE 1900 0 6475 BERKSHIRE HATHAWAY - A COM 084670108 3998 16 SH SOLE 1 0 15 BERKSHIRE HATHAWAY INC CL B COM 084670702 11668 70001 SH SOLE 17294 0 52707 BOEING CO COM 097023105 1779 10057 SH SOLE 0 0 10057 BOMBARDIER INC CL B SUB-VTG COM 097751200 19 12500 SH SOLE 0 0 12500 BRISTOL MYERS SQUIBB CO COM 110122108 2286 42042 SH SOLE 7745 0 34297 CAMDEN PROPERTY TRUST COM 133131102 782 9716 SH SOLE 5979 0 3737 CARNIVAL CORP COM 143658300 3426 58160 SH SOLE 20515 0 37645 CARPENTER TECHNOLOGY COM 144285103 1144 30659 SH SOLE 0 0 30659 CATERPILLAR INC COM 149123101 211 2275 SH SOLE 0 0 2275 CELGENE CORP COM 151020104 1124 9030 SH SOLE 3745 0 5285 CERNER CORP COM 156782104 324 5500 SH SOLE 0 0 5500 CHECK POINT SOFTWARE TECHNOLOG COM M22465104 236 2300 SH SOLE 700 0 1600 CHEVRON CORP COM 166764100 9466 88159 SH SOLE 28565 0 59594 CHUBB LIMITED COM H1467J104 673 4938 SH SOLE 577 0 4361 CHURCH & DWIGHT CO INC COM 171340102 4518 90602 SH SOLE 10000 0 80602 CISCO SYS INC COM 17275r102 8253 244185 SH SOLE 83055 0 161130 CITIGROUP INC COM 172967424 2607 43585 SH SOLE 11940 0 31645 CLOROX COMPANY DE COM 189054109 499 3700 SH SOLE 0 0 3700 COCA-COLA CO COM 191216100 866 20410 SH SOLE 9851 0 10559 COLGATE PALMOLIVE CO COM 194162103 1472 20108 SH SOLE 1000 0 19108 COMCAST CORP CL A COM 20030n101 8743 232582 SH SOLE 140020 0 92562 CONOCOPHILLIPS COM 20825c104 3704 74269 SH SOLE 11680 0 62589 CONSOLIDATED EDISON INC COM 209115104 618 7960 SH SOLE 1775 0 6185 CORNING INC COM 219350105 4698 174013 SH SOLE 63775 0 110238 COSTCO WHOLESALE CORP. COM 22160K105 264 1577 SH SOLE 0 0 1577 CRANE CO. COM 224399105 336 4490 SH SOLE 500 0 3990 CVS HEALTH CORPORATION COM 126650100 6824 86933 SH SOLE 33684 0 53249 D R HORTON INC COM COM 23331A109 583 17505 SH SOLE 4325 0 13180 DEERE & CO COM 244199105 859 7889 SH SOLE 200 0 7689 DELL TECHNOLOGIES INC COM 24703L103 1639 25582 SH SOLE 10839 0 14743 DELTA AIR LINES INC COM 247361702 763 16601 SH SOLE 4600 0 12001 DIGITAL REALTY TRUST INC COM 253868103 341 3205 SH SOLE 800 0 2405 DOMINION RES INC VA NEW COM 25746U109 3306 42619 SH SOLE 19400 0 23219 DOW CHEM CO COM COM 260543103 1746 27485 SH SOLE 12460 0 15025 DR PEPPER SNAPPLE GROUP INC COM 26138E109 783 8000 SH SOLE 0 0 8000 DU PONT E I DE NEMOURS COM 263534109 7695 95790 SH SOLE 28589 0 67201 DUKE ENERGY CORP COM 26441c204 931 11355 SH SOLE 2362 0 8993 EASTGROUP PROPERTIES INC COM 277276101 342 4649 SH SOLE 3999 0 650 EASTMAN CHEMICAL COM 277432100 1059 13109 SH SOLE 3915 0 9194 EATON CORP COM g29183103 2341 31570 SH SOLE 6135 0 25435 ELI LILLY & CO COM 532457108 673 8000 SH SOLE 0 0 8000 EMERSON ELECTRIC CO COM 291011104 2151 35928 SH SOLE 4550 0 31378 EXPRESS SCRIPTS HOLDING CO COM 30219G108 259 3933 SH SOLE 0 0 3933 EXXON MOBIL CORP COM 30231g102 9527 116163 SH SOLE 25710 0 90453 FACEBOOK INC A COM 30303M102 5066 35663 SH SOLE 5185 0 30478 FEDEX CORPORATION COM 31428X106 4107 21045 SH SOLE 3750 0 17295 FIDELITY NATIONAL FINANCIAL COM 31620R303 988 25360 SH SOLE 5235 0 20125 FIFTH THIRD BANCORP COM 316773100 1703 67040 SH SOLE 4050 0 62990 FIRST CONNECTICUT BANCORP COM 319850103 248 10000 SH SOLE 0 0 10000 FNB CORP COM COM 302520101 630 42364 SH SOLE 29773 0 12591 FULTON FINL CORP PA COM COM 360271100 565 31651 SH SOLE 31651 0 0 GAMESTOP CORP NEW CL A COM 36467W109 204 9040 SH SOLE 4690 0 4350 GENERAL ELECTRIC CO COM 369604103 13264 445115 SH SOLE 123477 0 321638 GENERAL MILLS INC COM 370334104 496 8413 SH SOLE 0 0 8413 GENERAL MOTORS CORP COM 37045V100 3143 88880 SH SOLE 25120 0 63760 GENL DYNAMICS CORP COM COM 369550108 972 5192 SH SOLE 400 0 4792 GILEAD SCIENCES COM 375558103 440 6481 SH SOLE 250 0 6231 GOLDMAN SACHS GROUP INC COM 38141G104 4698 20451 SH SOLE 2400 0 18051 GREIF BROS CORP CLASS A COM 397624107 391 7100 SH SOLE 0 0 7100 HANESBRANDS INC COM 410345102 1002 48251 SH SOLE 14700 0 33551 HARRIS CORP DEL COM 413875105 1668 14995 SH SOLE 5030 0 9965 HARTFORD FINANCIAL SERVICES GR COM 416515104 3278 68192 SH SOLE 18197 0 49995 HELMERICH & PAYNE INC COM 423452101 218 3270 SH SOLE 2000 0 1270 HERSHEY COMPANY COM 427866108 1300 11900 SH SOLE 0 0 11900 HOME DEPOT INC COM 437076102 2932 19968 SH SOLE 7170 0 12798 HONEYWELL INTL INC COM 438516106 1725 13812 SH SOLE 6192 0 7620 HORMEL FOODS CORP COM 440452100 2932 84674 SH SOLE 10000 0 74674 HUNTINGTON BANCSHARES INC COM 446150104 525 39245 SH SOLE 0 0 39245 ILLINOIS TOOL WORKS INC COM 452308109 2321 17524 SH SOLE 1500 0 16024 INTEL CORP COM 458140100 9705 269070 SH SOLE 82043 0 187027 INTL BUSINESS MACHINES CORP COM 459200101 7183 41246 SH SOLE 16675 0 24571 INTL PAPER CO COM 460146103 2210 43512 SH SOLE 8400 0 35112 JOHNSON & JOHNSON COM 478160104 15492 124383 SH SOLE 47000 0 77383 JPMORGAN CHASE & CO COM 46625h100 16329 185893 SH SOLE 51051 0 134842 KIMBERLY CLARK CORP COM 494368103 2302 17487 SH SOLE 9278 0 8209 L-3 TECHNOLOGIES INC COM 502413107 601 3638 SH SOLE 800 0 2838 LAM RESEARCH CORP COM COM 512807108 917 7144 SH SOLE 0 0 7144 LIQUIDMETAL TECHNOLOGIES COM 53634X100 2 10000 SH SOLE 0 0 10000 LOCKHEED MARTIN CORP COM 539830109 617 2307 SH SOLE 0 0 2307 LOWES COS INC COM 548661107 907 11027 SH SOLE 0 0 11027 MACYS INC COM COM 55616P104 973 32815 SH SOLE 3675 0 29140 MARATHON OIL CORP COM 565849106 296 18761 SH SOLE 13942 0 4819 MARATHON PETROLEUM CORP COM 56585A102 1106 21877 SH SOLE 15690 0 6187 MARRIOTT INTL INC NEW CL A COM 571903202 633 6716 SH SOLE 4016 0 2700 MASTERCARD INC CL A COM COM 57636Q104 1941 17260 SH SOLE 0 0 17260 MCDONALDS CORP COM 580135101 2363 18234 SH SOLE 2425 0 15809 MERCK & CO INC COM 58933Y105 4656 73279 SH SOLE 34899 0 38380 METLIFE COM 59156R108 5691 107743 SH SOLE 46010 0 61733 MICROSOFT CORP COM 594918104 11463 174044 SH SOLE 52608 0 121436 MONDELEZ INTERNATIONAL INC COM 609207105 1566 36351 SH SOLE 13916 0 22435 MORGAN STANLEY COM 617446448 575 13422 SH SOLE 1008 0 12414 NETFLIX COM INC COM COM 64110L106 831 5625 SH SOLE 0 0 5625 NEWELL BRANDS INC COM 651229106 1216 25788 SH SOLE 18363 0 7425 NEXTERA ENERGY INC COM 65339F101 612 4767 SH SOLE 0 0 4767 NIKE INC - B COM 654106103 1060 19018 SH SOLE 7000 0 12018 NORFOLK SOUTHERN CORP COM 655844108 785 7015 SH SOLE 0 0 7015 NORTHWEST NAT GAS CO COM 667655104 246 4156 SH SOLE 0 0 4156 OAKTREE CAPITAL GROUP LLC COM 674001201 580 12800 SH SOLE 0 0 12800 OCCIDENTAL PETE COM 674599105 588 9285 SH SOLE 1410 0 7875 ORACLE CORP COM 68389X105 5471 122642 SH SOLE 16750 0 105892 PARKER HANNIFIN CORP COM 701094104 3830 23887 SH SOLE 3000 0 20887 PENUMBRA, INC. COM 70975L107 41463 496861 SH SOLE 0 0 496861 PEPSICO INC COM 713448108 9391 83956 SH SOLE 20490 0 63466 PFIZER INC COM 717081103 3805 111235 SH SOLE 45652 0 65583 PHILIP MORRIS INTERNATIONAL COM 718172109 1214 10751 SH SOLE 1200 0 9551 PHILLIPS 66 COM 718546104 1346 16992 SH SOLE 1366 0 15626 PNC FINANCIAL SERVICES GROUP COM 693475105 4173 34705 SH SOLE 12417 0 22288 PRINCIPAL FINANCIAL GROUP INC COM 74251V102 663 10500 SH SOLE 7350 0 3150 PROCTER & GAMBLE CO COM 742718109 6033 67140 SH SOLE 24135 0 43005 PROGRESSIVE CORP-OHIO- COM 743315103 470 12000 SH SOLE 0 0 12000 QUALCOMM INC COM 747525103 3291 57397 SH SOLE 10610 0 46787 QUINTILES IMS HLDGS INC. COM 74876Y101 631 7840 SH SOLE 3530 0 4310 RYDER SYS INC COM COM 783549108 299 3958 SH SOLE 0 0 3958 SCHLUMBERGER LTD COM 806857108 1957 25053 SH SOLE 8945 0 16108 SOUTHERN CO COM 842587107 4850 97422 SH SOLE 41426 0 55996 STANLEY BLACK & DECKER INC COM 854502101 986 7422 SH SOLE 5499 0 1923 SYSCO CORP COM 871829107 1273 24510 SH SOLE 750 0 23760 TARGET CORP COM 87612E106 3779 68471 SH SOLE 20990 0 47481 TEXAS INSTRUMENTS INC COM 882508104 483 6000 SH SOLE 3850 0 2150 THE KRAFT HEINZ COMPANY COM 500754106 526 5787 SH SOLE 2000 0 3787 THERMO FISHER SCIENTIFIC INC COM 883556102 1956 12732 SH SOLE 5885 0 6847 TIFFANY & CO NEW COM 886547108 787 8257 SH SOLE 0 0 8257 TRAVELERS COMPANIES INC COM 89417E109 6424 53292 SH SOLE 26594 0 26698 UNITED TECHNOLOGIES CORP COM 913017109 1872 16682 SH SOLE 4520 0 12162 UNITEDHEALTH GROUP INC COM 91324P102 644 3926 SH SOLE 0 0 3926 UNUM GROUP COM 91529y106 809 17250 SH SOLE 10400 0 6850 US BANCORP DEL NEW COM 902973304 3175 61659 SH SOLE 27625 0 34034 VERIFONE HLDGS INC COM COM 92342Y109 216 11550 SH SOLE 800 0 10750 VERIZON COMMUNICATIONS COM 92343V104 8637 177172 SH SOLE 82776 0 94396 VISA INC COM CL A COM 92826C839 2403 27037 SH SOLE 7400 0 19637 VORNADO RLTY TR COM 929042109 251 2500 SH SOLE 1610 0 890 WAL-MART STORES INC COM 931142103 4017 55728 SH SOLE 19743 0 35985 WALGREENS BOOTS ALLIANCE INC COM 931427108 2374 28581 SH SOLE 12402 0 16179 WALT DISNEY CO COM 254687106 10013 88308 SH SOLE 27507 0 60801 WASHINGTON REAL EST INV TR SBI COM 939653101 726 23202 SH SOLE 2950 0 20252 WEC ENERGY GROUP INC COM 92939U106 358 5900 SH SOLE 0 0 5900 WELLS FARGO & CO NEW COM 949746101 2805 50403 SH SOLE 4525 0 45878 WELLTOWER INC COM 95040Q104 3304 46660 SH SOLE 10640 0 36020 WEYERHAEUSER CO COM 962166104 404 11875 SH SOLE 720 0 11155 XCEL ENERGY INC COM 98389B100 599 13485 SH SOLE 0 0 13485 XYLEM INC COM 98419M100 1054 20996 SH SOLE 12100 0 8896 ALIBABA GROUP HLDING -SP ADR ADR 01609W102 765 7094 SH SOLE 3644 0 3450 AXA-SPONS ADR ADR 054536107 1915 74490 SH SOLE 18537 0 55953 BHP BILLITON LTD SPONS ADR 088606108 346 9540 SH SOLE 1000 0 8540 BP PLC SPONS ADR ADR 055622104 640 18542 SH SOLE 0 0 18542 CANADIAN NATL RAILWAY CO ADR 136375102 5738 77609 SH SOLE 7500 0 70109 DIAGEO PLC NEW ADR 25243Q205 354 3064 SH SOLE 2800 0 264 KONINKLIJKE PHILIPS NV ADR 500472303 294 9160 SH SOLE 6573 0 2587 NESTLE SA-SPONS ADR ADR 641069406 4478 58225 SH SOLE 36900 0 21325 NOVARTIS AG ADR ADR 66987v109 3595 48407 SH SOLE 19955 0 28452 ROYAL DUTCH SHELL ADR B ADR 780259107 1035 18536 SH SOLE 8791 0 9745 SANOFI ADR 80105N105 222 4900 SH SOLE 3200 0 1700 SAP SE ADR 803054204 354 3609 SH SOLE 0 0 3609 TELEFONICA SA ADR ADR 879382208 272 24264 SH SOLE 13432 0 10832 UNILEVER PLC NEW ADS 4 ORD ADR 904767704 292 5920 SH SOLE 0 0 5920 VODAFONE GROUP PLC ADR 92857w308 1511 57151 SH SOLE 13430 0 43721 NUVEEN S&P 500 BUY-WRITE INC F FD 6706er101 147 11126 SH SOLE 0 0 11126 GRUPO MEXICO SAB DE CV-SER B COM 00B032VC1 61 20426 SH SOLE 0 0 20426 DEUTSCHE X-TRACKERS MSCI EUROP ETF 233051853 411 15196 SH SOLE 5665 0 9531 GLOBAL X MLP ETF 37950E473 641 55150 SH SOLE 12350 0 42800 ISHARES CNX INDIA 50 INDEX ETF 464289529 771 23849 SH SOLE 0 0 23849 ISHARES CORE HIGH DIVIDEND ETF 46429B663 314 3741 SH SOLE 0 0 3741 ISHARES CORE S&P 500 INDEX ETF 464287200 365 1540 SH SOLE 0 0 1540 ISHARES DJ US FINANCIAL SECTOR ETF 464287788 210 2020 SH SOLE 0 0 2020 ISHARES DJ US TECHNOLOGY SECTO ETF 464287721 438 3242 SH SOLE 0 0 3242 ISHARES DOW JONES SELECT DIVID ETF 464287168 606 6650 SH SOLE 0 0 6650 ISHARES MSCI EAFE INDEX FUND ETF 464287465 239 3831 SH SOLE 0 0 3831 ISHARES MSCI EMERGING MARKETS ETF 464287234 1588 40314 SH SOLE 7315 0 32999 ISHARES MSCI HONG KONG INDEX ETF 464286871 392 17600 SH SOLE 0 0 17600 ISHARES RUSSELL 1000 GROWTH ETF 464287614 433 3805 SH SOLE 0 0 3805 ISHARES RUSSELL 1000 VALUE ETF 464287598 214 1858 SH SOLE 0 0 1858 ISHARES RUSSELL 2000 INDEX FUN ETF 464287655 318 2315 SH SOLE 200 0 2115 ISHARES RUSSELL MID-CAP INDEX ETF 464287499 970 5182 SH SOLE 0 0 5182 ISHARES S&P 100 INDEX ETF 464287101 3387 32349 SH SOLE 638 0 31711 ISHARES S&P PREF STK INDX FN ETF 464288687 612 15806 SH SOLE 0 0 15806 SCHWAB US BROAD MARKET ETF ETF 808524102 319 5598 SH SOLE 300 0 5298 SCHWAB US LARGE-CAP ETR ETF 808524201 464 8239 SH SOLE 315 0 7924 SPDR GOLD TRUST ETF 78463V107 786 6617 SH SOLE 4777 0 1840 SPDR S&P 500 INDEX ETF 78462F103 2361 10014 SH SOLE 145 0 9869 VANGUARD DIVIDEND APPREC ETF 921908844 481 5349 SH SOLE 1385 0 3964 VANGUARD FTSE ALL WORLD EX-U ETF 922042775 723 15116 SH SOLE 2145 0 12971 VANGUARD INDEX FDS VALUE ETF ETF 922908744 1154 12103 SH SOLE 297 0 11806 ENTERPRISE PRODS PARTNERS L P LP 293792107 451 16320 SH SOLE 500 0 15820 ONEOK PARTNERS L.P LP 68268N103 519 9615 SH SOLE 1865 0 7750 THE BLACKSTONE GROUP LP LP 09253U108 335 11278 SH SOLE 5100 0 6178 THE CARLYLE GROUP LP 14309L102 207 13000 SH SOLE 13000 0 0 BUNGE LTD 4.875 PFD G16962204 2616 24395 SH SOLE 0 0 24395 DODGE & COX FDS INTL STK FD FD 256206103 476 11427 SH SOLE 0 0 11427 DODGE & COX STOCK FD 256219106 337 1776 SH SOLE 0 0 1776 FIDELITY CONTRAFUND COM FD 316071109 692 6426 SH SOLE 0 0 6426 FIDELITY LOW PRICED STOCK FUND FD 316345305 246 4764 SH SOLE 0 0 4764 FIDELITY SECS FD BLUE CHIP GWT FD 316389303 300 3985 SH SOLE 0 0 3985 FIDELITY SECS FD OTC PORTFOLIO FD 316389105 427 4537 SH SOLE 0 0 4537 FIDELITY SMALL CAP DISCOVERY F FD 315912600 300 9404 SH SOLE 0 0 9404 FIDELITY SPARAN EXTENDED MKT I FD 315911883 307 5294 SH SOLE 0 0 5294 FIDELITY STR DVD&INC FUND FD 316145887 196 12947 SH SOLE 0 0 12947 FIRST EAGLE GLOBAL FUND FD 32008F507 540 9434 SH SOLE 0 0 9434 HENDERSON GLOBAL EQTY INC-C FD 425067691 97 13288 SH SOLE 0 0 13288 JPMORGAN MID CAP VALUE FD-A FD 339128308 235 6349 SH SOLE 0 0 6349 JPMORGAN TR I INTERM TF BD S FD 4812a0441 108 10053 SH SOLE 0 0 10053 LEUTHOLD CORE INVESTMENT FUND FD 527289102 300 15782 SH SOLE 1078 0 14705 NORTHERN INTERNATIONAL EQUITY FD 665130209 149 13047 SH SOLE 0 0 13047 PRUDENTIAL JENN EQTY OPPOR-Z FD 74437E800 303 14458 SH SOLE 0 0 14458 ROWE T PRIC MID CP VAL COM FD 77957Y106 313 10435 SH SOLE 0 0 10435 SCHWAB SMALL-CAP INDEX FD 808509848 389 13519 SH SOLE 6880 0 6639 T.ROWE PRICE CAPITAL APRREC FD 77954m105 211 7639 SH SOLE 0 0 7639 TWEEDY BROWNE GLOBAL VALUE FUN FD 901165100 417 15593 SH SOLE 8310 0 7283 VANGUARD 500 INDEX FD 922908108 204 934 SH SOLE 0 0 934 VANGUARD STAR FUND STAR PORTFO FD 921909107 1724 69249 SH SOLE 3865 0 65384 WELLS FARGO ADVANTAGE TOT RET FD 94975J631 151 11515 SH SOLE 0 0 11515 BLACKROCK SHORT TERM MUNI-I FIMF 09253C819 498 49197 SH SOLE 0 0 49197