0001047469-12-000958.txt : 20120214 0001047469-12-000958.hdr.sgml : 20120214 20120214101431 ACCESSION NUMBER: 0001047469-12-000958 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 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: 12603463 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 a2206791z13f-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: December 31, 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 ---------------------------------- Address: 717 Fifth Avenue ---------------------------------- 17th Floor ---------------------------------- 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: 247 -------------------- Form 13F Information Table Value Total: $1,302,825 -------------------- (thousands) List of Other Included Managers: NONE Williams Jones Investment Management FORM 13F 31-Dec-11
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 615 7528 SH Sole 7528 ABB LTD SPONSORED ADR cs 000375204 379 20120 SH Sole 20120 ABBOTT LABS COM cs 002824100 14197 252481 SH Sole 252481 AFLAC INC cs 001055102 429 9920 SH Sole 9920 ALTRIA GROUP INC COM cs 02209S103 575 19382 SH Sole 19382 AMAZON COM INC COM cs 023135106 397 2295 SH Sole 2295 AMERICAN TOWER REIT INC cs 03027X100 8118 135282 SH Sole 135282 AMETEK INC NEW COM cs 031100100 13835 328625 SH Sole 328625 AMGEN INC COM cs 031162100 437 6800 SH Sole 6800 ANADARKO PETE CORP cs 032511107 318 4172 SH Sole 4172 ANNALY CAP MGMT INC cs 035710409 2133 133624 SH Sole 133624 APACHE CORP COM cs 037411105 464 5120 SH Sole 5120 APPLE INC COM cs 037833100 66739 164787 SH Sole 164787 APPLIED MINERALS INC COM cs 03823M100 451 354817 SH Sole 354817 AT&T INC cs 00206R102 403 13314 SH Sole 13314 AUTOMATIC DATA PROCESSING INC cs 053015103 5082 94086 SH Sole 94086 BANK NOVA SCOTIA HALIFAX COM cs 064149107 2072 41595 SH Sole 41595 BANK OF AMERICA CORPORATION CO cs 060505104 477 85715 SH Sole 85715 BAXTER INTL INC cs 071813109 350 7074 SH Sole 7074 BECTON DICKINSON & CO COM cs 075887109 342 4583 SH Sole 4583 BERKSHIRE HATHAWAY INC DEL CL cs 084670108 689 6 SH Sole 6 BERKSHIRE HATHAWAY INC DEL CL cs 084670702 9882 129519 SH Sole 129519 BHP LIMITED SPON ADR cs 088606108 357 5050 SH Sole 5050 BLACKSTONE GROUP L P UNIT cs 09253U108 7320 522500 SH Sole 522500 BOEING CO cs 097023105 297 4050 SH Sole 4050 BOOZ ALLEN HAMILTON HLDG CORP cs 099502106 190 11000 SH Sole 11000 BP PLC SPONSORED ADR cs 055622104 291 6814 SH Sole 6814 BRAINSTORM CELL THERAPEUTICS C cs 10501E102 10 50000 SH Sole 50000 BRISTOL MYERS SQUIBB CO COM cs 110122108 23818 675890 SH Sole 675890 BROOKFIELD ASSET MANAGEMENT CL cs 112585104 1526 55548 SH Sole 55548 BUCKEYE PARTNERS LTD cs 118230101 569 8900 SH Sole 8900 CABOT OIL & GAS CORP cs 127097103 13344 175810 SH Sole 175810 CANADIAN NAT RES LTD COM cs 136385101 4688 125435 SH Sole 125435 CANADIAN NATL RY CO COM cs 136375102 401 5100 SH Sole 5100 CANADIAN PAC RY LTD COM cs 13645T100 4908 72525 SH Sole 72525 CAPSTEAD MORTGAGE CORP. cs 14067E506 4813 386870 SH Sole 386870 CATERPILLAR INC DEL COM cs 149123101 8413 92864 SH Sole 92864 CENOVUS ENERGY INC cs 15135U109 1589 47875 SH Sole 47875 CENTURYLINK cs 156700106 3658 98322 SH Sole 98322 CHEVRON CORP NEW COM cs 166764100 13077 122906 SH Sole 122906 CHIMERA INVT CORP COM cs 16934Q109 2538 1011250 SH Sole 1011250 CHUBB CORP COM cs 171232101 6824 98578 SH Sole 98578 CISCO SYS INC COM cs 17275R102 4672 258382 SH Sole 258382 CME GROUP INC COM cs 12572Q105 9876 40532 SH Sole 40532 COCA COLA CO COM cs 191216100 1323 18906 SH Sole 18906 COLGATE PALMOLIVE CO COM cs 194162103 19173 207524 SH Sole 207524 COMCAST CORP NEW CL A cs 20030N101 17720 747360 SH Sole 747360 CONOCOPHILLIPS COM cs 20825C104 11677 160239 SH Sole 160239 CORECARE SYS INC COM cs 218908101 0 15000 SH Sole 15000 CORN PRODS INTL INC cs 219023108 765 14550 SH Sole 14550 COSTCO WHSL CORP NEW COM cs 22160K105 14297 171589 SH Sole 171589 CROWN CASTLE INTL CORP cs 228227104 35463 791595 SH Sole 791595 DANAHER CORP DEL COM cs 235851102 14962 318078 SH Sole 318078 DCP MIDSTREAM PARTNERS LP UT L cs 23311P100 11158 235047 SH Sole 235047 DEERE & CO cs 244199105 872 11275 SH Sole 11275 DIRECTV CL A cs 25490A101 343 8016 SH Sole 8016 DNP SELECT INCOME FD cs 23325P104 133 12200 SH Sole 12200 DOLLAR TREE STORES INC COM cs 256747106 262 3153 SH Sole 3153 DOMINION RES INC VA NEW COM cs 25746U109 324 6100 SH Sole 6100 DOVER CORP cs 260003108 4597 79195 SH Sole 79195 DU PONT E I DE NEMOURS & CO cs 263534109 654 14287 SH Sole 14287 DUKE ENERGY CORP cs 26441C105 671 30488 SH Sole 30488 EATON CORP. cs 278058102 3761 86393 SH Sole 86393 EATON VANCE TAX MANAGED GLOBAL cs 27829F108 361 43802 SH Sole 43802 ECOLAB INC COM cs 278865100 6045 104565 SH Sole 104565 EL PASO PIPELINE PARTNERS L P cs 283702108 12716 367300 SH Sole 367300 ELEPHANT TALK COMMUNICATIONS I cs 286202205 53 20165 SH Sole 20165 EMC CORP cs 268648102 5605 260219 SH Sole 260219 ENBRIDGE ENERGY PARTNERS L P C cs 29250R106 3840 115700 SH Sole 115700 ENBRIDGE INC cs 29250N105 2862 76510 SH Sole 76510 ENCANA CORP cs 292505104 811 43775 SH Sole 43775 ENERGY TRANSFER EQUITY L P UT cs 29273V100 1469 36200 SH Sole 36200 ENERGY TRANSFERS PARTNERS LP cs 29273R109 1743 38025 SH Sole 38025 ENTERPRISE PRODS PARTNERS L P cs 293792107 46555 1003777 SH Sole 1003777 ENZON PHARMACEUTICALS INC COM cs 293904108 117 17433 SH Sole 17433 EOG RESOURCES INC cs 26875P101 20880 211957 SH Sole 211957 EQT CORP COM cs 26884L109 345 6300 SH Sole 6300 EXELON CORP COM cs 30161N101 216 4974 SH Sole 4974 EXXON MOBIL CORP COM cs 30231G102 17071 201404 SH Sole 201404 FASTENAL CO COM cs 311900104 232 5320 SH Sole 5320 FINISAR CORP COM NEW cs 31787A507 5288 315810 SH Sole 315810 FIRST COMWLTH FINL CORP PA COM cs 319829107 84 16000 SH Sole 16000 FREEHOLD RTY TRUST cs 356500108 220 11575 SH Sole 11575 GAP INC cs 364760108 185 10000 SH Sole 10000 GENERAL ELECTRIC CO COM cs 369604103 3693 206209 SH Sole 206209 GENERAL MLS INC COM cs 370334104 7707 190714 SH Sole 190714 GENESEE & WYO INC CL A cs 371559105 18416 304000 SH Sole 304000 GLOBAL TELECOM & TECHNOLGY INC cs 378979108 171 145319 SH Sole 145319 GLOBALSTAR INC cs 378973408 9 16046 SH Sole 16046 GOLDMAN SACHS GROUP INC cs 38141G104 3806 42090 SH Sole 42090 GOLUB CAP BDC INC COM cs 38173M102 2368 152750 SH Sole 152750 GOOGLE INC CL A cs 38259P508 14092 21817 SH Sole 21817 GRAINGER W W INC COM cs 384802104 324 1730 SH Sole 1730 HALLIBURTON CO COM cs 406216101 436 12634 SH Sole 12634 HECKMANN CORP COM cs 422680108 13601 2045286 SH Sole 2045286 HOME DEPOT INC cs 437076102 206 4900 SH Sole 4900 HONEYWELL INTL INC cs 438516106 443 8150 SH Sole 8150 HUNTINGTON BANCSHARES INC COM cs 446150104 347 63268 SH Sole 63268 ILLINOIS TOOL WKS INC COM cs 452308109 768 16447 SH Sole 16447 INDIA FUND cs 454089103 1498 78677 SH Sole 78677 INTEL CORP COM cs 458140100 5769 237887 SH Sole 237887 INTERNATIONAL BUSINESS MACHS C cs 459200101 21489 116863 SH Sole 116863 INVESCO MORTGAGE CAPITAL INC C cs 46131B100 4635 329905 SH Sole 329905 ION SIGNATURE TECHNOLOGY INC cs 449784107 50 50000 SH Sole 50000 ISHARES COMEX GOLD TR ISHARES cs 464285105 395 25910 SH Sole 25910 ISHARES FTSE CHINA 25 INDEX FU cs 464287184 6420 184099 SH Sole 184099 ISHARES MSCI BRAZIL cs 464286400 285 4967 SH Sole 4967 ISHARES MSCI CANADA cs 464286509 4494 168950 SH Sole 168950 ISHARES MSCI EAFE INDEX cs 464287465 987 19918 SH Sole 19918 ISHARES MSCI EMERGING MARKET cs 464287234 7274 191722 SH Sole 191722 ISHARES MSCI PAC EX JAPAN cs 464286665 350 9000 SH Sole 9000 ISHARES MSCI SINGAPORE cs 464286673 249 23000 SH Sole 23000 ISHARES TR NASDAQ BIOTECH INDX cs 464287556 2947 28245 SH Sole 28245 IVANHOE MINES LTD cs 46579N103 4667 263356 SH Sole 263356 JOHNSON & JOHNSON COM cs 478160104 17827 271841 SH Sole 271841 JPMORGAN CHASE & CO COM cs 46625H100 3905 117440 SH Sole 117440 KANSAS CITY SOUTHERN COM NEW cs 485170302 4089 60120 SH Sole 60120 KINDER MORGAN ENERGY PARTNERS cs 494550106 5507 64823 SH Sole 64823 KRAFT FOODS INC CL A cs 50075N104 7904 211563 SH Sole 211563 LABORATORY CORP AMER HLDGS COM cs 50540R409 10801 125636 SH Sole 125636 LEUCADIA NATL CORP COM cs 527288104 3442 151380 SH Sole 151380 LOEWS CORP cs 540424108 452 12000 SH Sole 12000 LYONDELLBASELL INDUSTRIES N V cs N53745100 2392 73635 SH Sole 73635 LYRIS INC COM cs 55235L104 12 100000 SH Sole 100000 MAGELLAN MIDSTREAM PARTNERS cs 559080106 9110 132262 SH Sole 132262 MARKET VECTORS ETF TR AGRIBUS cs 57060U605 318 6750 SH Sole 6750 MARKET VECTORS ETF TR VIETNAM cs 57060U761 145 10000 SH Sole 10000 MCDONALDS CORP cs 580135101 18618 185566 SH Sole 185566 MEDCO HEALTH SOLUTIONS INC cs 58405U102 425 7609 SH Sole 7609 MERCK & CO INC cs 58933Y105 622 16498 SH Sole 16498 MFA FINANCIAL INC COM cs 55272X102 17610 2620495 SH Sole 2620495 MICROSOFT CORP COM cs 594918104 7213 277846 SH Sole 277846 MILLENNIUM CELL INC cs 60038B105 0 10000 SH Sole 10000 MOSAIC CO cs 61945C103 3709 73550 SH Sole 73550 NATIONAL OILWELL VARCO INC COM cs 637071101 1033 15200 SH Sole 15200 NATURAL RESOURCE PARTNERS L P cs 63900P103 1697 62600 SH Sole 62600 NESTLE - ADR cs 641069406 6789 117567 SH Sole 117567 NEW PACIFIC METALS CORP cs 647823103 20 20000 SH Sole 20000 NEWMONT MINING CORP cs 651639106 6138 102275 SH Sole 102275 NEXTERA ENERGY INC COM cs 65339F101 532 8740 SH Sole 8740 NFINANSE INC COM cs 65338C109 0 50000 SH Sole 50000 NORFOLK SOUTHERN CORP cs 655844108 443 6075 SH Sole 6075 NORTHERN OIL & GAS INC NEV COM cs 665531109 1580 65900 SH Sole 65900 NUSTAR GP HOLDINGS LLC cs 213 6400 SH Sole 6400 OCCIDENTAL PETROLEUM CORP cs 674599105 1300 13870 SH Sole 13870 ORANGE 21 INC cs 685317109 338 187560 SH Sole 187560 PALLADON VENTURES LTD cs 696434208 34 20500 SH Sole 20500 PENDRELL CORP COM cs 70686R104 90 35100 SH Sole 35100 PENN VA RESOURCE PARTNERS L P cs 707884102 697 27300 SH Sole 27300 PENN WEST ENERGY TRUST cs 707887105 588 29675 SH Sole 29675 PEPSICO INC COM cs 713448108 20601 310486 SH Sole 310486 PFIZER INC COM cs 717081103 5004 231255 SH Sole 231255 PHILIP MORRIS INTL INC cs 718172109 315 4008 SH Sole 4008 PLAINS ALL AMERICAN PIPELINE L cs 726503105 4266 58080 SH Sole 58080 PLUM CREEK TIMBER CO INC cs 729251108 1687 46135 SH Sole 46135 POTLATCH CORP cs 737630103 513 16500 SH Sole 16500 POWERSHARES QQQ NASDAQ 100 UNI cs 73935A104 477 8538 SH Sole 8538 PROCTER & GAMBLE CO COM cs 742718109 3667 54966 SH Sole 54966 PROTOKINETIX INC cs 743722100 1 60000 SH Sole 60000 PUBLIC SVC ENTERPRISE GROUP CO cs 744573106 164 4980 SH Sole 4980 PURE BIOSCIENCE INC COM cs 74621T100 4 13000 SH Sole 13000 QEP RES INC COM cs 74733V100 221 7528 SH Sole 7528 QUALCOMM INC COM cs 747525103 29369 536916 SH Sole 536916 QUESTCOR PHARMACEUTICALS INC C cs 74835Y101 208 5000 SH Sole 5000 RANGE RESOURCES CORP cs 75281A109 1960 31642 SH Sole 31642 ROCKWELL AUTOMATION INC cs 773903109 14320 195175 SH Sole 195175 ROYAL DUTCH PLC ADR cs 780259206 990 13550 SH Sole 13550 ROYAL DUTCH SHELL PLC ADR B cs 780259107 390 5129 SH Sole 5129 SANDRIDGE ENERGY INC cs 80007P307 378 46350 SH Sole 46350 SANOFI-ADR cs 80105N105 7569 207140 SH Sole 207140 SCHEIN HENRY INC COM cs 806407102 877 13605 SH Sole 13605 SCHLUMBERGER LTD COM cs 806857108 21639 316772 SH Sole 316772 SELECT SECTOR SPDR TR SBI INT- cs 81369Y506 703 10167 SH Sole 10167 SNAP-ON INC cs 833034101 3894 76925 SH Sole 76925 SOUTHWESTERN ENERGY CO COM cs 845467109 32148 1006524 SH Sole 1006524 SPDR GOLD TRUST cs 78463V107 36216 238281 SH Sole 238281 SPDR S&P 500 INDEX ETF cs 78462F103 4403 35083 SH Sole 35083 SPDR S&P MIDCAP 400 INDEX cs 78467Y107 590 3698 SH Sole 3698 STAAR SURGICAL CO COM PAR $0.0 cs 852312305 629 60000 SH Sole 60000 STAPLES INC COM cs 855030102 3443 247873 SH Sole 247873 STAR GAS PARTNERS L P UNIT LTD cs 85512C105 650 133500 SH Sole 133500 SYNOVUS FINL CORP cs 87161C105 14 10000 SH Sole 10000 SYSCO CORP COM cs 871829107 6759 230432 SH Sole 230432 TARGET CORP COM cs 87612E106 246 4800 SH Sole 4800 TECHNOLOGY SECTOR SPDR TR SHS cs 81369Y803 1115 43800 SH Sole 43800 TEEKAY OFFSHORE PARTNERS L P P cs 7628 286783 SH Sole 286783 TEMPLETON DRAGON FUND cs 88018T101 1428 56115 SH Sole 56115 TRANSPAC INDUSTRIAL HOLDINGS L cs Y8970F108 78 60000 SH Sole 60000 UGI CORP NEW COM cs 902681105 831 28250 SH Sole 28250 ULTRA PETROLEUM CORP COM cs 903914109 6379 215275 SH Sole 215275 UNITED TECHNOLOGIES CORP cs 913017109 1497 20475 SH Sole 20475 US BANCORP DEL cs 902973304 5301 195965 SH Sole 195965 VANGUARD HIGH DIV YLD ETF cs 921946406 11392 251695 SH Sole 251695 VANGUARD MSCI EMERGING MARKETS cs 922042858 9419 246506 SH Sole 246506 VANGUARD SPECIALIZED PORTFOLIO cs 921908844 393 7200 SH Sole 7200 VANGUARD WORLD FDS UTILITIES E cs 92204A876 308 4000 SH Sole 4000 VERIZON COMMUNICATIONS INC COM cs 92343V104 13423 334576 SH Sole 334576 VIRNETX HOLDING CORP COM cs 92823T108 12647 506495 SH Sole 506495 WABTEC cs 929740108 6778 96895 SH Sole 96895 WAL MART STORES INC COM cs 931142103 811 13575 SH Sole 13575 WALT DISNEY INC cs 254687106 4187 111665 SH Sole 111665 WELLS FARGO & CO NEW COM cs 949746101 676 24540 SH Sole 24540 WILLIAMS COS INC DEL COM cs 969457100 505 15305 SH Sole 15305 WILLIAMS PARTNERS LP cs 96950F104 753 12559 SH Sole 12559 WINDSTREAM CORP COM cs 97381W104 3418 291100 SH Sole 291100 WINTHROP RLTY TR SH BEN INT cs 976391300 184 18100 SH Sole 18100 WISDOMTREE EMERGING MKTS EQUIT cs 97717W315 13167 256810 SH Sole 256810 WISDOMTREE INVTS INC COM cs 97717P104 2882 476410 SH Sole 476410 XEROX CORP cs 984121103 19195 2411400 SH Sole 2411400 YUM BRANDS INC cs 988498101 7127 120775 SH Sole 120775 BLACKROCK INCOME OPP TRUST INC 092475102 114 11200 SH Sole 11200 BLACKROCK INCOME TR INC COM 09247f100 476 65000 SH Sole 65000 BLACKROCK MUNIYIELD FD INC COM 09253W104 148 10000 SH Sole 10000 BLACKSTONE GSO FLTING RTE FUND 09256U105 5398 294000 SH Sole 294000 CURRENCYSHARES AUSTRALIAN DLR 23129U101 467 4550 SH Sole 4550 CURRENCYSHARES CANADIAN DOLLAR 23129X105 2411 24700 SH Sole 24700 DUFF & PHELPS UTIL CORP BD TR 26432K108 120 10000 SH Sole 10000 ISHARES BARCLAYS AGGREGATE 464287226 607 5505 SH Sole 5505 ISHARES BARCLAYS MBS INDEX 464288588 531 4910 SH Sole 4910 ISHARES IBOXX INVESTMENT GRADE 464287242 5792 50910 SH Sole 50910 ISHARES LEHMAN 1-3 YR TREASURY 464287457 1177 13925 SH Sole 13925 ISHARES LEHMAN 7-10 YEAR TREAS 464287440 665 6300 SH Sole 6300 ISHARES TR BARCLAYS 1-3 YR 464288646 458 4400 SH Sole 4400 ISHARES TR BARCLYS TIPS BD 464287176 1798 15405 SH Sole 15405 ISHARES TR HIGH YLD CORP 464288513 361 4035 SH Sole 4035 MANAGED HIGH YIELD PLUS FD INC 561911108 34 15777 SH Sole 15777 MONTGOMERY STR INCOME SECS INC 614115103 838 54291 SH Sole 54291 NUVEEN NEW YORK PREMIUM INCOME 67101R107 158 10000 SH Sole 10000 PUTNAM PREMIUM INCOME TR 746853100 125 24070 SH Sole 24070 VANGUARD SHORT TERM GOV'T/CORP 921937827 388 4800 SH Sole 4800 WISDOMTREE ASIA LOCAL DEBT FD 97717X842 18658 372480 SH Sole 372480 WISDOMTREE COMMODITY CURRENCY 97717X859 573 28200 SH Sole 28200 WISDOMTREE EMERGING CURRENCY 97717W133 323 16375 SH Sole 16375 WISDOMTREE EMERGING MARKETS LO 97717X867 36229 744843 SH Sole 744843 BLACKROCK GLB ALLOCATION FD CL mf 09251T103 223 12266 SH Sole 12266 DREYFUS FD INC COM mf 262003106 146 17307 SH Sole 17307 GABELLI ASSET FD SH BEN INT mf 362395105 222 4659 SH Sole 4659 MATTHEWS INTL FDS PAC TIGER FD mf 577130107 4417 217253 SH Sole 217253 PIMCO GLOBAL MULTI ASSET FD CL mf 72201P407 353 32984 SH Sole 32984 PUTNAM FD FOR GROWTH&INCOME SH mf 746761105 284 22398 SH Sole 22398 ROYCE FD OPPORTUNITY FD mf 780905832 114 11045 SH Sole 11045 STEWARD SMALL-MID CAP ENHANCED mf 14066Y107 131 11134 SH Sole 11134 TWEEDY BROWNE GLOBAL VALUE FUN mf 901165100 347 15900 SH Sole 15900 VANGUARD 500 INDEX FUND mf 922908108 382 3297 SH Sole 3297 VANGUARD INTL EQUITY INDEX FD mf 922042304 241 9998 SH Sole 9998 VANGUARD TOTAL STK MKT IDEX SI mf 922908488 410 13573 SH Sole 13573 DOVER CORPORATION (Special) sb 260003108 111967 1928800 SH Sole 1928800