CHIEF FINANCIAL OFFICER

0000860828-17-000003.txt : 20170427 0000860828-17-000003.hdr.sgml : 20170427 20170427131046 ACCESSION NUMBER: 0000860828-17-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170427 DATE AS OF CHANGE: 20170427 EFFECTIVENESS DATE: 20170427 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL ADVISORS INC/OK CENTRAL INDEX KEY: 0000860828 IRS NUMBER: 731044294 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04953 FILM NUMBER: 17787701 BUSINESS ADDRESS: STREET 1: 2200 SOUTH UTICA PLACE STREET 2: STE 150 CITY: TULSA STATE: OK ZIP: 74114 BUSINESS PHONE: 918-599-0045 MAIL ADDRESS: STREET 1: 2200 SOUTH UTICA PLACE STREET 2: STE 150 CITY: TULSA STATE: OK ZIP: 74114 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000860828 XXXXXXXX 03-31-2017 03-31-2017 CAPITAL ADVISORS INC/OK

2200 SOUTH UTICA PLACE STE 150 TULSA OK 74114

13F HOLDINGS REPORT 028-04953 N LORI A SMITH CHIEF FINANCIAL OFFICER 918-599-0045 LORI A SMITH TULSA OK 04-27-2017 0 192 1529 false INFORMATION TABLE 2 INFO_13F0331167.xml ISHARES TR CORE S&P MCP ETF 464287507 6913 40373 SH SOLE 0 0 40373 ISHARES TR CORE S&P SCP ETF 464287804 6526 94357 SH SOLE 0 0 94357 ISHARES TR S&P 500 VAL ETF 464287408 6487 62351 SH SOLE 0 0 62351 ISHARES TR S&P 500 GRWT ETF 464287309 3975 30224 SH SOLE 0 0 30224 ISHARES TR RUS 1000 ETF 464287622 414 3151 SH SOLE 0 0 3151 ISHARES TR RUS 1000 GRW ETF 464287614 4048 35574 SH SOLE 0 0 35574 SPDR S&P 500 ETF TR TR UNIT 78462F103 2846 12072 SH SOLE 0 0 12072 AMAZON COM INC COM 023135106 17291 19504 SH SOLE 0 0 19504 BRISTOL MYERS SQUIBB CO COM 110122108 8751 160922 SH SOLE 0 0 160922 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 868 5205 SH SOLE 0 0 5205 EMERSON ELEC CO COM 291011104 313 5233 SH SOLE 0 0 5233 HELMERICH & PAYNE INC COM 423452101 252 3782 SH SOLE 0 0 3782 MARATHON OIL CORP COM 565849106 280 17710 SH SOLE 0 0 17710 ONEOK INC NEW COM 682680103 545 9832 SH SOLE 0 0 9832 AMGEN INC COM 031162100 12855 78348 SH SOLE 0 0 78348 ABBOTT LABS COM 002824100 1378 31030 SH SOLE 0 0 31030 BP PLC SPONSORED ADR 055622104 19433 562948 SH SOLE 0 0 562948 CONAGRA BRANDS INC COM 205887102 208 5150 SH SOLE 0 0 5150 ALTRIA GROUP INC COM 02209S103 977 13676 SH SOLE 0 0 13676 FEDEX CORP COM 31428X106 248 1273 SH SOLE 0 0 1273 INTEL CORP COM 458140100 2395 66392 SH SOLE 0 0 66392 ORACLE CORP COM 68389X105 343 7697 SH SOLE 0 0 7697 QUALCOMM INC COM 747525103 11927 208013 SH SOLE 0 0 208013 DISNEY WALT CO COM DISNEY 254687106 13579 119751 SH SOLE 0 0 119751 SEMPRA ENERGY COM 816851109 246 2229 SH SOLE 0 0 2229 US BANCORP DEL COM NEW 902973304 497 9659 SH SOLE 0 0 9659 JOHNSON & JOHNSON COM 478160104 18203 146154 SH SOLE 0 0 146154 PFIZER INC COM 717081103 14244 416373 SH SOLE 0 0 416373 ISHARES TR MSCI EAFE ETF 464287465 651 10444 SH SOLE 0 0 10444 CHEVRON CORP NEW COM 166764100 1136 10581 SH SOLE 0 0 10581 MICROSOFT CORP COM 594918104 12682 192554 SH SOLE 0 0 192554 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 9938 376008 SH SOLE 0 0 376008 AT&T INC COM 00206R102 13314 320442 SH SOLE 0 0 320442 CITIGROUP INC COM NEW 172967424 23535 393431 SH SOLE 0 0 393431 CISCO SYS INC COM 17275R102 14520 429580 SH SOLE 0 0 429580 INTERNATIONAL BUSINESS MACHS COM 459200101 10687 61371 SH SOLE 0 0 61371 COCA COLA CO COM 191216100 14764 347880 SH SOLE 0 0 347880 LOCKHEED MARTIN CORP COM 539830109 763 2852 SH SOLE 0 0 2852 PEPSICO INC COM 713448108 14290 127751 SH SOLE 0 0 127751 JOHNSON CTLS INTL PLC SHS G51502105 290 6893 SH SOLE 0 0 6893 VERIZON COMMUNICATIONS INC COM 92343V104 11241 230577 SH SOLE 0 0 230577 BANK AMER CORP COM 060505104 2839 120355 SH SOLE 0 0 120355 STARBUCKS CORP COM 855244109 693 11861 SH SOLE 0 0 11861 AUTOMATIC DATA PROCESSING IN COM 053015103 358 3500 SH SOLE 0 0 3500 EXXON MOBIL CORP COM 30231G102 128982 1572758 SH SOLE 0 0 1572758 WAL-MART STORES INC COM 931142103 1812 25144 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SH SOLE 0 0 17449 MCDONALDS CORP COM 580135101 884 6818 SH SOLE 0 0 6818 JPMORGAN CHASE & CO COM 46625H100 1064 12112 SH SOLE 0 0 12112 PRICELINE GRP INC COM NEW 741503403 11669 6556 SH SOLE 0 0 6556 WILLIAMS COS INC DEL COM 969457100 14120 477205 SH SOLE 0 0 477205 WELLS FARGO & CO NEW COM 949746101 213 3823 SH SOLE 0 0 3823 FORD MTR CO DEL COM PAR $0.01 345370860 9299 798879 SH SOLE 0 0 798879 UNITEDHEALTH GROUP INC COM 91324P102 421 2568 SH SOLE 0 0 2568 SOUTHWEST AIRLS CO COM 844741108 331 6162 SH SOLE 0 0 6162 PIONEER NAT RES CO COM 723787107 660 3542 SH SOLE 0 0 3542 WEATHERFORD INTL PLC ORD SHS G48833100 67 10000 SH SOLE 0 0 10000 MARSH & MCLENNAN COS INC COM 571748102 252 3404 SH SOLE 0 0 3404 3M CO COM 88579Y101 961 5021 SH SOLE 0 0 5021 HUNTINGTON BANCSHARES INC COM 446150104 167 12464 SH SOLE 0 0 12464 DUKE ENERGY CORP NEW COM NEW 26441C204 12418 151419 SH SOLE 0 0 151419 CONOCOPHILLIPS COM 20825C104 2542 50977 SH SOLE 0 0 50977 APPLE INC COM 037833100 26140 181955 SH SOLE 0 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CME GROUP INC COM 12572Q105 9069 76335 SH SOLE 0 0 76335 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 1279 23689 SH SOLE 0 0 23689 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 229 12070 SH SOLE 0 0 12070 CIMAREX ENERGY CO COM 171798101 201 1682 SH SOLE 0 0 1682 LABORATORY CORP AMER HLDGS COM NEW 50540R409 11444 79764 SH SOLE 0 0 79764 ISHARES TR SELECT DIVID ETF 464287168 433 4748 SH SOLE 0 0 4748 CHECK POINT SOFTWARE TECH LT ORD M22465104 7974 77677 SH SOLE 0 0 77677 NUCOR CORP COM 670346105 349 5851 SH SOLE 0 0 5851 AMERICAN ELEC PWR INC COM 025537101 467 6953 SH SOLE 0 0 6953 BAKER HUGHES INC COM 057224107 309 5160 SH SOLE 0 0 5160 WEYERHAEUSER CO COM 962166104 13119 386094 SH SOLE 0 0 386094 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 64 10425 SH SOLE 0 0 10425 JACOBS ENGR GROUP INC DEL COM 469814107 276 5000 SH SOLE 0 0 5000 ENTERPRISE PRODS PARTNERS L COM 293792107 1536 55637 SH SOLE 0 0 55637 CHICAGO BRIDGE & IRON CO N V COM 167250109 292 9500 SH SOLE 0 0 9500 ALPHABET INC CAP STK CL A 02079K305 5487 6472 SH SOLE 0 0 6472 WEC ENERGY GROUP INC COM 92939U106 220 3628 SH SOLE 0 0 3628 VANGUARD INDEX FDS REIT ETF 922908553 1712 20730 SH SOLE 0 0 20730 BLACKROCK INC COM 09247X101 7802 20345 SH SOLE 0 0 20345 NEWFIELD EXPL CO COM 651290108 6710 181794 SH SOLE 0 0 181794 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 987 12831 SH SOLE 0 0 12831 PROSPERITY BANCSHARES INC COM 743606105 1709 24510 SH SOLE 0 0 24510 TORCHMARK CORP COM 891027104 242 3145 SH SOLE 0 0 3145 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 21103 578805 SH SOLE 0 0 578805 SALESFORCE COM INC COM 79466L302 589 7135 SH SOLE 0 0 7135 PEOPLES UNITED FINANCIAL INC COM 712704105 12107 665204 SH SOLE 0 0 665204 GEO GROUP INC NEW COM 36162J106 8677 187117 SH SOLE 0 0 187117 VALLEY NATL BANCORP COM 919794107 12385 1049539 SH SOLE 0 0 1049539 WISDOMTREE TR INTL SMCAP DIV 97717W760 1634 24953 SH SOLE 0 0 24953 BLACKSTONE MTG TR INC COM CL A 09257W100 13448 434354 SH SOLE 0 0 434354 WISDOMTREE TR MIDCAP DIVI FD 97717W505 6586 67532 SH SOLE 0 0 67532 WISDOMTREE TR SMALLCAP DIVID 97717W604 5854 72615 SH SOLE 0 0 72615 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 261 18162 SH SOLE 0 0 18162 AAON INC COM PAR $0.004 000360206 111752 3161312 SH SOLE 0 0 3161312 LAMAR ADVERTISING CO NEW CL A 512816109 9230 123496 SH SOLE 0 0 123496 SEADRILL LIMITED SHS G7945E105 33 20000 SH SOLE 0 0 20000 ISHARES TR IBOXX HI YD ETF 464288513 3855 43912 SH SOLE 0 0 43912 ISHARES TR 1-3 YR CR BD ETF 464288646 243 2310 SH SOLE 0 0 2310 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 307 3848 SH SOLE 0 0 3848 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 426 5258 SH SOLE 0 0 5258 ISHARES TR INTL SEL DIV ETF 464288448 2466 78384 SH SOLE 0 0 78384 WISDOMTREE TR EMER MKT HIGH FD 97717W315 3934 96294 SH SOLE 0 0 96294 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 6221 80114 SH SOLE 0 0 80114 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 499 12709 SH SOLE 0 0 12709 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 613 5975 SH SOLE 0 0 5975 CHIMERA INVT CORP COM NEW 16934Q208 10981 544168 SH SOLE 0 0 544168 CONTINENTAL RESOURCES INC COM 212015101 10392 228796 SH SOLE 0 0 228796 POWERSHARES ETF TRUST II DWA DEVMKTMOM PT 73936Q108 770 33010 SH SOLE 0 0 33010 POWERSHARES ETF TRUST II DWA EMKT MOM PTF 73936Q207 309 18815 SH SOLE 0 0 18815 VISA INC COM CL A 92826C839 15811 177914 SH SOLE 0 0 177914 PHILIP MORRIS INTL INC COM 718172109 1600 14171 SH SOLE 0 0 14171 OPKO HEALTH INC COM 68375N103 876 109500 SH SOLE 0 0 109500 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 3765 200173 SH SOLE 0 0 200173 GLU MOBILE INC COM 379890106 104 46000 SH SOLE 0 0 46000 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 208 3185 SH SOLE 0 0 3185 VANECK VECTORS ETF TR NAT RES ETF 92189F841 3921 117543 SH SOLE 0 0 117543 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2857 88441 SH SOLE 0 0 88441 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 34716 608409 SH SOLE 0 0 608409 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1547 51792 SH SOLE 0 0 51792 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 1599 51046 SH SOLE 0 0 51046 COMSTOCK MNG INC COM 205750102 6 27310 SH SOLE 0 0 27310 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 938 41490 SH SOLE 0 0 41490 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR 96949L105 731 17892 SH SOLE 0 0 17892 ALPS ETF TR ALERIAN MLP 00162Q866 335 26325 SH SOLE 0 0 26325 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 8528 200570 SH SOLE 0 0 200570 GENERAL MTRS CO COM 37045V100 16427 464560 SH SOLE 0 0 464560 SCHWAB STRATEGIC TR US REIT ETF 808524847 1651 40478 SH SOLE 0 0 40478 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 34448 1481006 SH SOLE 0 0 1481006 FLEXSHARES TR MORNSTAR UPSTR 33939L407 3963 134569 SH SOLE 0 0 134569 WPX ENERGY INC COM 98212B103 136 10137 SH SOLE 0 0 10137 PHILLIPS 66 COM 718546104 1110 14017 SH SOLE 0 0 14017 MID CON ENERGY PARTNERS LP COM UNIT REPST 59560V109 31 13269 SH SOLE 0 0 13269 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 0 12854 SH SOLE 0 0 12854 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E 18383M530 22904 1078870 SH SOLE 0 0 1078870 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 29463 1377438 SH SOLE 0 0 1377438 FACEBOOK INC CL A 30303M102 425 2994 SH SOLE 0 0 2994 ISHARES INC CORE MSCI EMKT 46434G103 13468 281815 SH SOLE 0 0 281815 ISHARES TR CORE MSCI EAFE 46432F842 21072 363628 SH SOLE 0 0 363628 FLEXSHARES TR M STAR DEV MKT 33939L803 898 14890 SH SOLE 0 0 14890 FLEXSHARES TR MSTAR EMKT FAC 33939L308 451 8745 SH SOLE 0 0 8745 PBF ENERGY INC CL A 69318G106 10508 473952 SH SOLE 0 0 473952 ABBVIE INC COM 00287Y109 1979 30372 SH SOLE 0 0 30372 CLAYMORE EXCHANGE TRD FD TR GUGG BULSH 2022 18383M258 220 10473 SH SOLE 0 0 10473 PATTERN ENERGY GROUP INC CL A 70338P100 10340 513638 SH SOLE 0 0 513638 INTREXON CORP COM 46122T102 3193 161103 SH SOLE 0 0 161103 TWITTER INC COM 90184L102 910 60900 SH SOLE 0 0 60900 ALPHABET INC CAP STK CL C 02079K107 11976 14436 SH SOLE 0 0 14436 POWERSHARES ETF TR II VAR RATE PFD POR 73937B597 18678 733918 SH SOLE 0 0 733918 ALASKA COMMUNICATIONS SYS GR NOTE 6.250% 5/0 01167PAE1 15 15000 PRN SOLE 0 0 15000 SYNCHRONY FINL COM 87165B103 406 11835 SH SOLE 0 0 11835 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 564 5235 SH SOLE 0 0 5235 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 83617 1711002 SH SOLE 0 0 1711002 ISHARES TR IBONDS DEC21 ETF 46434VBK5 33601 1354314 SH SOLE 0 0 1354314 VIRTU FINL INC CL A 928254101 11476 675059 SH SOLE 0 0 675059 ISHARES TR IBONDS DEC25 ETF 46434VBD1 53784 2180122 SH SOLE 0 0 2180122 NRG YIELD INC CL C 62942X405 11621 656561 SH SOLE 0 0 656561 ISHARES TR IBONDS DEC22 ETF 46434VBA7 70986 2850846 SH SOLE 0 0 2850846 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 1600 26414 SH SOLE 0 0 26414