0001047469-11-009468.txt : 20111114
0001047469-11-009468.hdr.sgml : 20111111
20111114114213
ACCESSION NUMBER: 0001047469-11-009468
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: WILLIAMS JONES & ASSOCIATES LLC
CENTRAL INDEX KEY: 0000949743
IRS NUMBER: 133449010
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05092
FILM NUMBER: 111199409
BUSINESS ADDRESS:
STREET 1: 717 FIFTH AVE
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 2129358757
MAIL ADDRESS:
STREET 1: 717 FIFTHE AVE
STREET 2: SUITE 2400
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: WILLIAMS JONES & ASSOCIATES INC /NY
DATE OF NAME CHANGE: 19990319
13F-HR
1
a2205864z13f-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: September 30, 2011
-------------------
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: Williams, Jones & Associates, LLC
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Address: 717 Fifth Avenue
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17th Floor
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New York, NY 10022
----------------------------------
Form 13F File Number: 28-05092
---------------------
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.
Person Signing this Report on Behalf of Reporting Manager:
Name: JEFF SCHWEON
-------------------------------
Title: MANAGING DIRECTOR
-------------------------------
Phone: 212-935-5027
-------------------------------
Signature, Place, and Date of Signing:
/s/ Jeff Schweon New York, N.Y. November 14, 2011
------------------------------- ----------------- -----------------
[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:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-
--------------- ------------------------------------
WILLIAMS, JONES & ASSOCIATES, LLC.
FORM 13F SUMMARY PAGE
AS OF DATE: 09/30/11
Report Summary:
Number of Other Included Managers: 0
--------------------
Form 13F Information Table Entry Total: 250
--------------------
Form 13F Information Table Value Total: $1,138,182
--------------------
(thousands)
List of Other Included Managers: NONE
WILLIAMS JONES INVESTMENT MANAGEMENT
FORM 13F
SEPTEMBER 30, 2011
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 CO COM cs 88579Y101 625 8703 SH Sole 8703
ABB LTD SPONSORED ADR cs 000375204 291 17020 SH Sole 17020
ABBOTT LABS COM cs 002824100 10167 198811 SH Sole 198811
ACCENTURE PLC-CL A cs G1151C101 232 4400 SH Sole 4400
AFLAC INC cs 001055102 347 9920 SH Sole 9920
ALTRIA GROUP INC COM cs 02209S103 520 19382 SH Sole 19382
AMAZON COM INC COM cs 023135106 421 1948 SH Sole 1948
AMERICAN TOWER CORP CL A cs 029912201 7477 138980 SH Sole 138980
AMGEN INC COM cs 031162100 374 6800 SH Sole 6800
ANADARKO PETE CORP cs 032511107 263 4172 SH Sole 4172
ANNALY CAP MGMT INC cs 035710409 1915 115124 SH Sole 115124
APACHE CORP COM cs 037411105 443 5520 SH Sole 5520
APPLE INC COM cs 037833100 58560 153573 SH Sole 153573
APPLIED MINERALS INC COM cs 03823M100 494 379817 SH Sole 379817
AT&T INC cs 00206R102 401 14077 SH Sole 14077
AUTOMATIC DATA PROCESSING INC cs 053015103 4439 94137 SH Sole 94137
BANK NOVA SCOTIA HALIFAX COM cs 064149107 1038 20695 SH Sole 20695
BANK OF AMERICA CORPORATION CO cs 060505104 576 94133 SH Sole 94133
BAXTER INTL INC cs 071813109 386 6874 SH Sole 6874
BECTON DICKINSON & CO COM cs 075887109 340 4641 SH Sole 4641
BERKSHIRE HATHAWAY INC DEL CL cs 084670108 748 7 SH Sole 7
BERKSHIRE HATHAWAY INC DEL CL cs 084670702 6662 93774 SH Sole 93774
BERRY PETEROLEUM CO CL A cs 085789105 732 20700 SH Sole 20700
BHP LIMITED SPON ADR cs 088606108 395 5950 SH Sole 5950
BLACKSTONE GROUP L P UNIT cs 09253U108 6198 517400 SH Sole 517400
BOEING CO cs 097023105 245 4050 SH Sole 4050
BOOZ ALLEN HAMILTON HLDG CORP cs 099502106 164 11000 SH Sole 11000
BP PLC SPONSORED ADR cs 055622104 246 6814 SH Sole 6814
BRAINSTORM CELL THERAPEUTICS C cs 10501E102 16 50000 SH Sole 50000
BRISTOL MYERS SQUIBB CO COM cs 110122108 20457 651925 SH Sole 651925
BROOKFIELD ASSET MANAGEMENT CL cs 112585104 1486 53941 SH Sole 53941
BUCKEYE PARTNERS LTD cs 118230101 556 8900 SH Sole 8900
BUNGE LTD. cs g16962105 210 3607 SH Sole 3607
CABOT OIL & GAS CORP cs 127097103 10475 169200 SH Sole 169200
CANADIAN NAT RES LTD COM cs 136385101 3792 129545 SH Sole 129545
CANADIAN NATL RY CO COM cs 136375102 340 5100 SH Sole 5100
CANADIAN PAC RY LTD COM cs 13645T100 3159 65687 SH Sole 65687
CAPSTEAD MORTGAGE CORP. cs 14067E506 9039 783270 SH Sole 783270
CATERPILLAR INC DEL COM cs 149123101 2467 33414 SH Sole 33414
CENOVUS ENERGY INC cs 15135U109 1512 49225 SH Sole 49225
CHEVRON CORP NEW COM cs 166764100 11377 122876 SH Sole 122876
CHIMERA INVT CORP COM cs 16934Q109 5525 1994450 SH Sole 1994450
CHUBB CORP COM cs 171232101 6226 103791 SH Sole 103791
CISCO SYS INC COM cs 17275R102 4096 264288 SH Sole 264288
CME GROUP INC COM cs 12572Q105 10992 44610 SH Sole 44610
COCA COLA CO COM cs 191216100 1286 19031 SH Sole 19031
COLGATE PALMOLIVE CO COM cs 194162103 18354 206969 SH Sole 206969
COMCAST CORP NEW CL A cs 20030N101 15325 732530 SH Sole 732530
CONOCOPHILLIPS COM cs 20825C104 9617 151878 SH Sole 151878
CORECARE SYS INC COM cs 218908101 1 15000 SH Sole 15000
CORN PRODS INTL INC cs 219023108 571 14550 SH Sole 14550
COSTCO WHSL CORP NEW COM cs 22160K105 14054 171114 SH Sole 171114
CROWN CASTLE INTL CORP cs 228227104 28385 697944 SH Sole 697944
DANAHER CORP DEL COM cs 235851102 13215 315084 SH Sole 315084
DCP MIDSTREAM PARTNERS LP UT L cs 23311P100 8061 201422 SH Sole 201422
DEERE & CO cs 244199105 680 10525 SH Sole 10525
DEVON ENERGY CORP cs 25179M103 247 4450 SH Sole 4450
DIRECTV CL A cs 25490A101 371 8766 SH Sole 8766
DNP SELECT INCOME FD cs 23325P104 122 12200 SH Sole 12200
DOLLAR TREE STORES INC COM cs 256747106 237 3153 SH Sole 3153
DOMINION RES INC VA NEW COMcs 25746U109 310 6100 SH Sole 6100
DOVER CORP cs 260003108 3077 66020 SH Sole 66020
DU PONT E I DE NEMOURS & CO cs 263534109 513 12837 SH Sole 12837
DUKE ENERGY CORP cs 26441C105 620 31038 SH Sole 31038
EATON CORP. cs 278058102 3744 105473 SH Sole 105473
EATON VANCE TAX MANAGED GLOBAL cs 27829F108 350 43802 SH Sole 43802
ECOLAB INC COM cs 278865100 4255 87040 SH Sole 87040
EL PASO CORP cs 28336L109 246 14083 SH Sole 14083
EL PASO PIPELINE PARTNERS L P cs 283702108 15008 423125 SH Sole 423125
ELEPHANT TALK COMM INC COM NEW cs 286202205 41 15065 SH Sole 15065
EMC CORP cs 268648102 3010 143385 SH Sole 143385
ENBRIDGE ENERGY PARTNERS L P C cs 29250R106 3236 117800 SH Sole 117800
ENBRIDGE INC cs 29250N105 2706 84760 SH Sole 84760
ENCANA CORP cs 292505104 896 46625 SH Sole 46625
ENERGY TRANSFER EQUITY L P UT cs 29273V100 1275 36650 SH Sole 36650
ENERGY TRANSFERS PARTNERS LP cs 29273R109 1723 42025 SH Sole 42025
ENTERPRISE PRODS PARTNERS L P cs 293792107 38444 957502 SH Sole 957502
ENZON PHARMACEUTICALS INC COM cs 293904108 123 17433 SH Sole 17433
EOG RESOURCES INC cs 26875P101 15131 213079 SH Sole 213079
EQT CORP COM cs 26884L109 336 6300 SH Sole 6300
EXELON CORP COM cs 30161N101 186 4374 SH Sole 4374
EXXON MOBIL CORP COM cs 30231G102 15125 208250 SH Sole 208250
FINISAR CORP COM NEW cs 31787A507 10439 595135 SH Sole 595135
FIRST COMWLTH FINL CORP PA COM cs 319829107 59 16000 SH Sole 16000
FREEHOLD RTY TR UT TR cs 356500108 492 31575 SH Sole 31575
GAP INC cs 364760108 162 10000 SH Sole 10000
GENERAL ELECTRIC CO COM cs 369604103 3185 209289 SH Sole 209289
GENERAL MLS INC COM cs 370334104 7262 188679 SH Sole 188679
GENESEE & WYO INC CL A cs 371559105 14285 307075 SH Sole 307075
GILEAD SCIENCES INC cs 375558103 275 7100 SH Sole 7100
GLOBAL TELECOM & TECHNOLGY INC cs 378979108 160 145319 SH Sole 145319
GLOBALSTAR INC cs 378973408 7 16010 SH Sole 16010
GOLDMAN SACHS GROUP INC cs 38141G104 468 4955 SH Sole 4955
GOLUB CAP BDC INC COM cs 38173M102 2317 156000 SH Sole 156000
GOOGLE INC CL A cs 38259P508 11213 21771 SH Sole 21771
GRAINGER W W INC COM cs 384802104 259 1730 SH Sole 1730
HALLIBURTON CO COM cs 406216101 386 12634 SH Sole 12634
HARTFORD FINANCIAL SERVICES GR cs 416515104 475 29425 SH Sole 29425
HECKMANN CORP COM cs 422680108 11174 2112295 SH Sole 2112295
HI-TECH PHARMACAL INC COM cs 42840B101 8901 264900 SH Sole 264900
HONEYWELL INTL INC cs 438516106 393 8950 SH Sole 8950
HUNTINGTON BANCSHARES INC COM cs 446150104 304 63268 SH Sole 63268
ILLINOIS TOOL WKS INC COM cs 452308109 684 16447 SH Sole 16447
INDIA FUND cs 454089103 2061 89826 SH Sole 89826
INTEL CORP COM cs 458140100 4989 233847 SH Sole 233847
INTERNATIONAL BUSINESS MACHS C cs 459200101 18900 108082 SH Sole 108082
INVESCO MORTGAGE CAPITAL INC C cs 46131B100 8855 626710 SH Sole 626710
ION SIGNATURE TECHNOLOGY INC cs 449784107 50 50000 SH Sole 50000
ISHARES COMEX GOLD TR ISHARES cs 464285105 410 25910 SH Sole 25910
ISHARES FTSE CHINA 25 INDEX FU cs 464287184 5764 186959 SH Sole 186959
ISHARES MSCI BRAZIL cs 464286400 292 5617 SH Sole 5617
ISHARES MSCI CANADA cs 464286509 4120 161650 SH Sole 161650
ISHARES MSCI EAFE INDEX cs 464287465 4853 101564 SH Sole 101564
ISHARES MSCI EMERGING MARKETcs 464287234 6737 191952 SH Sole 191952
ISHARES MSCI PAC EX JAPAN cs 464286665 331 9000 SH Sole 9000
ISHARES MSCI SINGAPORE cs 464286673 308 28000 SH Sole 28000
ISHARES SILVER TRUST cs 46428Q109 418 14450 SH Sole 14450
ISHARES TR NASDAQ BIOTECH INDX cs 464287556 2749 29445 SH Sole 29445
IVANHOE MINES LTD cs 46579N103 8533 622830 SH Sole 622830
JOHNSON & JOHNSON COM cs 478160104 18092 284070 SH Sole 284070
JPMORGAN CHASE & CO COM cs 46625H100 7461 247715 SH Sole 247715
KANSAS CITY SOUTHERN COM NEWcs 485170302 4214 84340 SH Sole 84340
KIMBERLY CLARK CORP COM cs 494368103 131 1848 SH Sole 1848
KINDER MORGAN ENERGY PARTNERS cs 494550106 4584 67037 SH Sole 67037
KRAFT FOODS INC CL A cs 50075N104 6979 207828 SH Sole 207828
LABORATORY CORP AMER HLDGS COM cs 50540R409 10074 127438 SH Sole 127438
LEUCADIA NATL CORP COM cs 527288104 3758 165680 SH Sole 165680
LOEWS CORP cs 540424108 415 12000 SH Sole 12000
LYONDELLBASELL INDUSTRIES N V cs N53745100 3776 154575 SH Sole 154575
LYRIS INC COM cs 55235L104 14 140000 SH Sole 140000
MAGELLAN MIDSTREAM PARTNERScs 559080106 7653 126712 SH Sole 126712
MARKET VECTORS ETF TR AGRIBUS cs 57060U605 251 5800 SH Sole 5800
MARKET VECTORS ETF TR VIETNAM cs 57060U761 298 17250 SH Sole 17250
MCDONALDS CORP cs 580135101 16351 186182 SH Sole 186182
MEDCO HEALTH SOLUTIONS INCcs 58405U102 374 7974 SH Sole 7974
MERCK & CO INC cs 58933Y105 543 16598 SH Sole 16598
MFA FINANCIAL INC COM cs 55272X102 22743 3239775 SH Sole 3239775
MICROSOFT CORP COM cs 594918104 5008 201190 SH Sole 201190
MILLENNIUM CELL INC cs 60038B105 0 10000 SH Sole 10000
MOSAIC CO cs 61945C103 5555 113445 SH Sole 113445
NATIONAL OILWELL VARCO INC COM cs 637071101 394 7700 SH Sole 7700
NATURAL RESOURCE PARTNERS L P cs 63900P103 6099 240510 SH Sole 240510
NESTLE S A SPONS ADR REG SH cs 641069406 1481 26842 SH Sole 26842
NEW PACIFIC METALS CORP cs 647823103 25 20000 SH Sole 20000
NEWMONT MINING CORP cs 651639106 4948 78600 SH Sole 78600
NEXTERA ENERGY INC COM cs 65339F101 526 9740 SH Sole 9740
NFINANSE INC COM cs 65338C109 1 50000 SH Sole 50000
NORFOLK SOUTHERN CORP cs 655844108 342 5600 SH Sole 5600
NORTHERN OIL & GAS INC NEV COM cs 665531109 1306 67375 SH Sole 67375
OCCIDENTAL PETROLEUM CORP cs 674599105 1528 21370 SH Sole 21370
ONEOK PARTNERS LP UNIT LTD PAR cs 68268N103 233 5000 SH Sole 5000
ORACLE CORP cs 68389X105 780 27140 SH Sole 27140
ORANGE 21 INC cs 685317109 323 200750 SH Sole 200750
PALLADON VENTURES LTD cs 696434208 29 20500 SH Sole 20500
PENDRELL CORP COM cs 70686R104 80 35750 SH Sole 35750
PENN VA RESOURCE PARTNERS L P cs 707884102 580 24800 SH Sole 24800
PENN WEST ENERGY TRUST cs 707887105 446 30176 SH Sole 30176
PEPSICO INC COM cs 713448108 17735 286513 SH Sole 286513
PETROLEO BRASILERO SA PETROBRA cs 71654V408 334 14858 SH Sole 14858
PFIZER INC COM cs 717081103 5224 295470 SH Sole 295470
PHILIP MORRIS INTL INC cs 718172109 250 4008 SH Sole 4008
PLAINS ALL AMERICAN PIPELINE L cs 726503105 3409 57855 SH Sole 57855
PLUM CREEK TIMBER CO INC cs 729251108 1298 37385 SH Sole 37385
POTLATCH CORP cs 737630103 489 15500 SH Sole 15500
POWERSHARES QQQ NASDAQ 100 UNI cs 73935A104 475 9046 SH Sole 9046
PROCTER & GAMBLE CO COM cs 742718109 3432 54316 SH Sole 54316
PROTOKINETIX INC cs 743722100 1 60000 SH Sole 60000
PUBLIC SVC ENTERPRISE GROUP CO cs 744573106 166 4980 SH Sole 4980
PURE BIOSCIENCE INC COM cs 74621T100 10 13000 SH Sole 13000
QEP RES INC COM cs 74733V100 240 8848 SH Sole 8848
QUALCOMM INC COM cs 747525103 14052 288949 SH Sole 288949
RANGE RESOURCES CORP cs 75281A109 2047 35012 SH Sole 35012
ROCKWELL AUTOMATION INC cs 773903109 11674 208465 SH Sole 208465
ROYAL DUTCH PLC ADR cs 780259206 834 13550 SH Sole 13550
ROYAL DUTCH SHELL PLC ADR B cs 780259107 318 5129 SH Sole 5129
SANDRIDGE ENERGY INC cs 80007P307 268 48215 SH Sole 48215
SCHLUMBERGER LTD COM cs 806857108 17788 297806 SH Sole 297806
SELECT SECTOR SPDR TR SBI INT- cs 81369Y506 595 10167 SH Sole 10167
SOCIEDAD QUIMICA MINERA DE CHI cs 833635105 203 4250 SH Sole 4250
SOUTHWESTERN ENERGY CO COM cs 845467109 31358 940839 SH Sole 940839
SPDR GOLD TRUST cs 78463V107 42144 266636 SH Sole 266636
SPDR S&P 500 INDEX ETF cs 78462F103 4009 35427 SH Sole 35427
SPDR S&P MIDCAP 400 INDEX cs 78467Y107 469 3303 SH Sole 3303
STAAR SURGICAL CO COM PAR $0.0 cs 852312305 468 60000 SH Sole 60000
STAPLES INC COM cs 855030102 2249 169123 SH Sole 169123
STAR GAS PARTNERS L P UNIT LTD cs 85512C105 654 133500 SH Sole 133500
SYNOVUS FINL CORP cs 87161C105 11 10000 SH Sole 10000
SYSCO CORP COM cs 871829107 6362 245629 SH Sole 245629
TARGET CORP COM cs 87612E106 406 8274 SH Sole 8274
TEEKAY OFFSHORE PARTNERS L P P cs 5794 235733 SH Sole 235733
TEMPLETON DRAGON FUND cs 88018T101 1374 56765 SH Sole 56765
TRANSPAC INDUSTRIAL HOLDINGS L cs Y8970F108 78 60000 SH Sole 60000
UGI CORP NEW COM cs 902681105 782 29750 SH Sole 29750
ULTRA PETROLEUM CORP COM cs 903914109 5170 186525 SH Sole 186525
UNITED TECHNOLOGIES CORP cs 913017109 1444 20525 SH Sole 20525
US BANCORP DEL cs 902973304 4484 190500 SH Sole 190500
VALE S A ADR cs 91912E105 231 10150 SH Sole 10150
VANGUARD HIGH DIV YLD ETF cs 921946406 10127 250550 SH Sole 250550
VANGUARD MSCI EMERGING MARKETS cs 922042858 9377 261722 SH Sole 261722
VANGUARD SPECIALIZED PORTFOLIO cs 921908844 351 7200 SH Sole 7200
VERIZON COMMUNICATIONS INC COM cs 92343V104 14252 387287 SH Sole 387287
VIRNETX HOLDING CORP COM cs 92823T108 6478 432145 SH Sole 432145
WABTEC cs 929740108 2630 49750 SH Sole 49750
WAL MART STORES INC COM cs 931142103 558 10760 SH Sole 10760
WALT DISNEY INC cs 254687106 3365 111573 SH Sole 111573
WELLS FARGO & CO NEW COM cs 949746101 721 29911 SH Sole 29911
WILLIAMS COS INC DEL COM cs 969457100 376 15450 SH Sole 15450
WILLIAMS PARTNERS LP cs 96950F104 689 12696 SH Sole 12696
WINDSTREAM CORP COM cs 97381W104 3910 335600 SH Sole 335600
WINTHROP RLTY TR SH BEN INT cs 976391300 157 18100 SH Sole 18100
WISDOMTREE EMERGING MKTS EQUIT cs 97717W315 12791 270147 SH Sole 270147
WISDOMTREE INVTS INC COM cs 97717P104 966 137650 SH Sole 137650
XEROX CORP cs 984121103 5873 842675 SH Sole 842675
BLACKROCK INCOME OPP TRUST INC 092475102 110 11200 SH Sole 11200
BLACKROCK INCOME TR INC COM 09247f100 469 65000 SH Sole 65000
BLACKSTONE GSO FLTING RTE FUND 09256U105 1263 71500 SH Sole 71500
CURRENCYSHARES AUSTRALIAN DLR 23129U101 1913 19700 SH Sole 19700
CURRENCYSHARES CANADIAN DOLLAR 23129X105 2533 26700 SH Sole 26700
DUFF & PHELPS UTIL CORP BD TR 26432K108 115 10000 SH Sole 10000
ISHARES BARCLAYS AGGREGATE 464287226 606 5505 SH Sole 5505
ISHARES BARCLAYS MBS INDEX 464288588 721 6660 SH Sole 6660
ISHARES IBOXX INVESTMENT GRADE 464287242 5841 52010 SH Sole 52010
ISHARES LEHMAN 1-3 YR TREASURY 464287457 1199 14175 SH Sole 14175
ISHARES LEHMAN 7-10 YEAR TREAS 464287440 662 6300 SH Sole 6300
ISHARES TR BARCLAYS 1-3 YR 464288646 458 4400 SH Sole 4400
ISHARES TR BARCLYS TIPS BD 464287176 1761 15405 SH Sole 15405
ISHARES TR HIGH YLD CORP 464288513 296 3570 SH Sole 3570
MANAGED HIGH YIELD PLUS FD INC 561911108 30 15777 SH Sole 15777
MONTGOMERY STR INCOME SECS INC 614115103 907 58149 SH Sole 58149
PUTNAM PREMIUM INCOME TR 746853100 129 24070 SH Sole 24070
WISDOMTREE ASIA LOCAL DEBT FD 97717X842 24478 495305 SH Sole 495305
WISDOMTREE CHINESE YUAN 97717W182 235 9300 SH Sole 9300
WISDOMTREE COMMODITY CURRENCY 97717X859 800 32200 SH Sole 32200
WISDOMTREE EMERGING CURRENCY 97717W133 938 45375 SH Sole 45375
WISDOMTREE EMERGING MARKETS LO 97717X867 37405 777480 SH Sole 777480
BLACKROCK GLB ALLOCATION FD CL mf 09251T103 206 11587 SH Sole 11587
DREYFUS FD INC COM mf 262003106 134 17307 SH Sole 17307
FIDELITY ADVISORS NEW INSIGHTS mf 316071208 202 11038 SH Sole 11038
GABELLI ASSET FD SH BEN INT mf 362395105 203 4659 SH Sole 4659
HARDING LOEVNER EMERG MKT PORT mf 412295305 255 6351 SH Sole 6351
MATTHEWS ASIAN GROWTH AND INC mf 577130206 169 10736 SH Sole 10736
MATTHEWS INTL FDS PAC TIGER FD mf 577130107 4262 212698 SH Sole 212698
PIMCO GLOBAL MULTI ASSET FD CL mf 72201P407 346 31374 SH Sole 31374
PUTNAM FD FOR GROWTH&INCOME SH mf 746761105 254 22398 SH Sole 22398
ROYCE FD OPPORTUNITY FD mf 780905832 131 14696 SH Sole 14696
TWEEDY BROWNE GLOBAL VALUE FUN mf 901165100 343 15900 SH Sole 15900
VANGUARD 500 INDEX FUND mf 922908108 343 3294 SH Sole 3294
VANGUARD INTL EQUITY INDEX FD mf 922042304 229 9849 SH Sole 9849
VANGUARD TOTAL STK MKT IDEX SI mf 922908488 368 13573 SH Sole 13573
DOVER CORPORATION (Special) sb 260003108 89949 1930237 SH Sole 1930237
REPORT SUMMARY 250 DATA RECORDS 1138182 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED