0001047469-12-010498.txt : 20121114 0001047469-12-010498.hdr.sgml : 20121114 20121114074037 ACCESSION NUMBER: 0001047469-12-010498 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 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: 121201003 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 a2211413z13f-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, 2012 ------------------- 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, 2012 ------------------------------- ----------------- ----------------- [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: 9/30/12 Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 267 -------------------- Form 13F Information Table Value Total: $1,521,844 -------------------- (thousands) List of Other Included Managers: NONE Williams Jones Investment Management FORM 13F 30-Sep-12
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 1269 13734 SH Sole 13734 ABB LTD SPONSORED ADR cs 000375204 343 18322 SH Sole 18322 ABBOTT LABS COM cs 002824100 16251 237036 SH Sole 237036 AFLAC INC COM cs 001055102 421 8789 SH Sole 8789 ALLSTATE CORP cs 020002101 214 5405 SH Sole 5405 ALTRIA GROUP INC COM cs 02209S103 599 17953 SH Sole 17953 AMAZON COM INC COM cs 023135106 599 2354 SH Sole 2354 AMERICAN CAPITAL AGENCY CORP C cs 02503X105 66 1900 SH Sole 1900 AMERICAN TOWER REIT INC cs 03027X100 9619 134737 SH Sole 134737 AMETEK INC NEW COM cs 031100100 5567 157032 SH Sole 157032 AMGEN INC COM cs 031162100 622 7375 SH Sole 7375 ANADARKO PETE CORP cs 032511107 384 5487 SH Sole 5487 ANNALY CAP MGMT INC COM cs 035710409 2294 136209 SH Sole 136209 APACHE CORP COM cs 037411105 367 4250 SH Sole 4250 APPLE INC COM cs 037833100 83331 124915 SH Sole 124915 APPLIED MINERALS INC COM cs 03823M100 461 354817 SH Sole 354817 AT&T INC cs 00206R102 771 20447 SH Sole 20447 AUTOMATIC DATA PROCESSING INC cs 053015103 6135 104589 SH Sole 104589 BANK NOVA SCOTIA HALIFAX COM cs 064149107 1395 25445 SH Sole 25445 BANK OF AMERICA CORPORATION CO cs 060505104 766 86751 SH Sole 86751 BAXTER INTL INC cs 071813109 398 6600 SH Sole 6600 BCE INC COM NEW cs 05534B760 189 4300 SH Sole 4300 BECTON DICKINSON & CO COM cs 075887109 339 4315 SH Sole 4315 BERKSHIRE HATHAWAY INC DEL CL cs 084670108 663 5 SH Sole 5 BERKSHIRE HATHAWAY INC DEL CL cs 084670702 1553 17611 SH Sole 17611 BIOTIME, INC cs 09066L105 84 20000 SH Sole 20000 BLACKROCK INC cs 09247X101 457 2565 SH Sole 2565 BLACKSTONE GROUP L P UNIT cs 09253U108 5824 407820 SH Sole 407820 BOEING CO cs 097023105 282 4050 SH Sole 4050 BOOZ ALLEN HAMILTON HLDG CORP cs 099502106 152 11000 SH Sole 11000 BP PLC SPONSORED ADR cs 055622104 697 16450 SH Sole 16450 BRAINSTORM CELL THERAPEUTICS C cs 10501E102 11 50000 SH Sole 50000 BRISTOL MYERS SQUIBB CO COM cs 110122108 27099 802946 SH Sole 802946 BROOKFIELD ASSET MANAGEMENT CL cs 112585104 1296 37548 SH Sole 37548 BUCKEYE PARTNERS LTD cs 118230101 365 7600 SH Sole 7600 CANADIAN NAT RES LTD COM cs 136385101 1319 42845 SH Sole 42845 CANADIAN NATL RY CO COM cs 136375102 481 5450 SH Sole 5450 CANADIAN PAC RY LTD COM cs 13645T100 8005 96575 SH Sole 96575 CAPSTEAD MTG CORP COM NO PAR cs 14067E506 546 40500 SH Sole 40500 CATERPILLAR INC DEL COM cs 149123101 1479 17189 SH Sole 17189 CELGENE CORP cs 151020104 308 4025 SH Sole 4025 CENOVUS ENERGY INC cs 15135U109 293 8400 SH Sole 8400 CENTURYLINK cs 156700106 9563 236714 SH Sole 236714 CHARTER COMMUNICATIONS INC DEL cs 16117M305 1982 26400 SH Sole 26400 CHEVRON CORP NEW COM cs 166764100 14600 125261 SH Sole 125261 CHIMERA INVT CORP COM cs 16934Q109 144 53317 SH Sole 53317 CHUBB CORP COM cs 171232101 7424 97325 SH Sole 97325 CIGNA CORP COM cs 125509109 684 14500 SH Sole 14500 CISCO SYS INC COM cs 17275R102 4837 253328 SH Sole 253328 COCA COLA CO COM cs 191216100 2010 53004 SH Sole 53004 COLGATE PALMOLIVE CO COM cs 194162103 20476 190975 SH Sole 190975 COMCAST CORP NEW CL A cs 20030N101 39410 1102544 SH Sole 1102544 CONOCOPHILLIPS COM cs 20825C104 12356 216087 SH Sole 216087 CORECARE SYS INC COM cs 218908101 0 15000 SH Sole 15000 CORNING INC cs 219350105 4240 322400 SH Sole 322400 COSTCO WHSL CORP NEW COM cs 22160K105 19191 191600 SH Sole 191600 CROWN CASTLE INTL CORP cs 228227104 24104 376036 SH Sole 376036 DANAHER CORP DEL COM cs 235851102 17378 315112 SH Sole 315112 DCP MIDSTREAM PARTNERS LP UT L cs 23311P100 4779 102905 SH Sole 102905 DEERE & CO cs 244199105 625 7575 SH Sole 7575 DIRECTV cs 25490A309 6948 132491 SH Sole 132491 DISNEY WALT CO COM DISNEY cs 254687106 5504 105272 SH Sole 105272 DNP SELECT INCOME FD cs 23325P104 120 12200 SH Sole 12200 DOLLAR TREE STORES INC COM cs 256747106 322 6667 SH Sole 6667 DOMINION RES INC VA NEW COM cs 25746U109 508 9600 SH Sole 9600 DOVER CORP cs 260003108 4223 70980 SH Sole 70980 DU PONT E I DE NEMOURS & CO cs 263534109 1470 29235 SH Sole 29235 DUKE ENERGY CORP cs 26441C204 996 15374 SH Sole 15374 EATON CORP. cs 278058102 203 4300 SH Sole 4300 EATON VANCE TAX MANAGED GLOBAL cs 27829F108 216 24502 SH Sole 24502 ECOLAB INC COM cs 278865100 6829 105370 SH Sole 105370 EL PASO PIPELINE PARTNERS L P cs 283702108 833 22375 SH Sole 22375 ELEPHANT TALK COMMUNICATIONS I cs 286202205 28 20250 SH Sole 20250 EMC CORP cs 268648102 14348 526145 SH Sole 526145 ENBRIDGE ENERGY PARTNERS L P C cs 29250R106 2485 84400 SH Sole 84400 ENBRIDGE INC cs 29250N105 2277 58345 SH Sole 58345 ENCANA CORP cs 292505104 338 15400 SH Sole 15400 ENERGY TRANSFER EQUITY L P UT cs 29273V100 1727 38200 SH Sole 38200 ENERGY TRANSFERS PARTNERS LP cs 29273R109 526 12350 SH Sole 12350 ENTERPRISE PRODS PARTNERS L P cs 293792107 54463 1016103 SH Sole 1016103 ENZON PHARMACEUTICALS INC COM cs 293904108 84 12000 SH Sole 12000 EOG RESOURCES INC cs 26875P101 42167 376320 SH Sole 376320 EQT CORP COM cs 26884L109 342 5800 SH Sole 5800 EQUINIX INC COM NEW cs 29444U502 3699 17950 SH Sole 17950 EXPRESS SCRIPTS HOLDING COMPAN cs 30219G108 379 6057 SH Sole 6057 EXXON MOBIL CORP COM cs 30231G102 17440 190708 SH Sole 190708 FACTSET RESH SYS INC COM cs 303075105 229 2379 SH Sole 2379 FIRST COMWLTH FINL CORP PA COM cs 319829107 113 16000 SH Sole 16000 GENERAL ELECTRIC CO COM cs 369604103 33040 1454849 SH Sole 1454849 GENERAL MLS INC COM cs 370334104 1805 45297 SH Sole 45297 GENESEE & WYO INC CL A cs 371559105 11265 168485 SH Sole 168485 GLAXOSMITHKLINE PLC SPONS ADR cs 37733W105 235 5075 SH Sole 5075 GLOBAL TELECOM & TECHNOLGY INC cs 378979108 564 205927 SH Sole 205927 GLOBALSTAR INC cs 378973408 6 13010 SH Sole 13010 GOLAR LNG LTD cs G9456A100 6274 162587 SH Sole 162587 GOLDMAN SACHS GROUP INC cs 38141G104 5213 45859 SH Sole 45859 GOOGLE INC CL A cs 38259P508 20558 27247 SH Sole 27247 GRACE W R & CO DEL NEW COM cs 38388F108 230 3895 SH Sole 3895 GRAINGER W W INC COM cs 384802104 267 1280 SH Sole 1280 HALLIBURTON CO COM cs 406216101 437 12964 SH Sole 12964 HECKMANN CORP COM cs 422680108 7556 1798966 SH Sole 1798966 HEINZ H J CO COM cs 423074103 278 4967 SH Sole 4967 HOME DEPOT INC COM cs 437076102 1032 17100 SH Sole 17100 HONEYWELL INTL INC cs 438516106 1120 18741 SH Sole 18741 HUNTINGTON BANCSHARES INC COM cs 446150104 436 63268 SH Sole 63268 ILLINOIS TOOL WKS INC COM cs 452308109 1002 16844 SH Sole 16844 INGREDION INC COM cs 457187102 803 14550 SH Sole 14550 INTEL CORP COM cs 458140100 4932 217697 SH Sole 217697 INTERNATIONAL BUSINESS MACHS C cs 459200101 13445 64811 SH Sole 64811 INTUIT COM cs 461202103 4795 81435 SH Sole 81435 INVESCO MORTGAGE CAPITAL INC C cs 46131B100 237 11750 SH Sole 11750 ION SIGNATURE TECHNOLOGY INC cs 449784107 50 50000 SH Sole 50000 ISHARES COMEX GOLD TR ISHARES cs 464285105 249 14410 SH Sole 14410 ISHARES FTSE CHINA 25 INDEX FU cs 464287184 6095 176150 SH Sole 176150 ISHARES MSCI BRAZIL cs 464286400 327 6042 SH Sole 6042 ISHARES MSCI CANADA cs 464286509 3920 137585 SH Sole 137585 ISHARES MSCI EAFE INDEX cs 464287465 1076 20308 SH Sole 20308 ISHARES MSCI EMERGING MARKET cs 464287234 7920 191662 SH Sole 191662 ISHARES MSCI JAPAN cs 464286848 107 11700 SH Sole 11700 ISHARES MSCI PAC EX JAPAN cs 464286665 312 7000 SH Sole 7000 ISHARES MSCI SINGAPORE cs 464286673 375 28000 SH Sole 28000 ISHARES SILVER TRUST cs 46428Q109 221 6600 SH Sole 6600 ISHARES TR MRTG PLS CAP IDX cs 464288539 1852 123250 SH Sole 123250 ISHARES TR NASDAQ BIOTECH INDX cs 464287556 4171 29255 SH Sole 29255 ISHARES TR RUSSELL 3000 cs 464287689 255 3000 SH Sole 3000 JOHNSON & JOHNSON COM cs 478160104 22906 332405 SH Sole 332405 JPMORGAN CHASE & CO COM cs 46625H100 17366 429000 SH Sole 429000 KANSAS CITY SOUTHERN COM NEW cs 485170302 4762 62845 SH Sole 62845 KIMBERLY CLARK CORP COM cs 494368103 347 4045 SH Sole 4045 KINDER MORGAN ENERGY PARTNERS cs 494550106 4759 57681 SH Sole 57681 KINDER MORGAN INC KANS cs 49456B101 49440 1391905 SH Sole 1391905 KIRBY CORP COM cs 497266106 3585 64850 SH Sole 64850 KRAFT FOODS INC CL A cs 50075N104 12032 290988 SH Sole 290988 LABORATORY CORP AMER HLDGS COM cs 50540R409 12233 132288 SH Sole 132288 LEE ENTERPRISES INC cs 523768109 15 10000 SH Sole 10000 LEUCADIA NATL CORP COM cs 527288104 3151 138524 SH Sole 138524 LOEWS CORP cs 540424108 495 12000 SH Sole 12000 LYONDELLBASELL INDUSTRIES N V cs N53745100 23459 454103 SH Sole 454103 MAGELLAN MIDSTREAM PARTNERS cs 559080106 12530 143270 SH Sole 143270 MARKET VECTORS BIOTECH ETF cs 57060U183 444 8200 SH Sole 8200 MARKET VECTORS ETF TR AGRIBUS cs 57060U605 236 4550 SH Sole 4550 MARKWEST ENERGY PARTNERS LP cs 570759100 1265 23250 SH Sole 23250 MCDONALDS CORP cs 580135101 12235 133349 SH Sole 133349 MERCK & CO INC NEW COM cs 58933Y105 1021 22643 SH Sole 22643 MFA FINANCIAL INC COM cs 55272X102 6472 761400 SH Sole 761400 MICROSOFT CORP COM cs 594918104 27305 917499 SH Sole 917499 MILLENNIUM CELL INC cs 60038B105 0 10000 SH Sole 10000 MONMOUTH REAL ESTATE INVESTMEN cs 609720107 343 30643 SH Sole 30643 MOSAIC CO cs 61945C103 878 15238 SH Sole 15238 NANOVIRICIDES INC cs 630087104 7 10000 SH Sole 10000 NATIONAL OILWELL VARCO INC COM cs 637071101 2938 36670 SH Sole 36670 NESTLE - ADR cs 641069406 6339 100290 SH Sole 100290 NEWMONT MINING CORP cs 651639106 312 5565 SH Sole 5565 NEXTERA ENERGY INC COM cs 65339F101 1094 15560 SH Sole 15560 NIKE INC CL B cs 654106103 10857 114390 SH Sole 114390 NORFOLK SOUTHERN CORP cs 655844108 598 9404 SH Sole 9404 NOVARTIS AG ADS cs 66987V109 312 5101 SH Sole 5101 NUSTAR GP HOLDINGS LLC cs 212 6650 SH Sole 6650 OCCIDENTAL PETROLEUM CORP cs 674599105 1223 14215 SH Sole 14215 ORACLE CORP COM cs 68389X105 306 9715 SH Sole 9715 PALLADON VENTURES LTD cs 696434208 33 20500 SH Sole 20500 PARKER HANNIFIN CORP cs 701094104 230 2750 SH Sole 2750 PENN WEST ENERGY TRUST cs 707887105 164 11516 SH Sole 11516 PEPSICO INC COM cs 713448108 17856 252308 SH Sole 252308 PFIZER INC COM cs 717081103 6268 252235 SH Sole 252235 PHILIP MORRIS INTL INC cs 718172109 983 10935 SH Sole 10935 PHILLIPS 66 COM cs 718546104 13586 292994 SH Sole 292994 PLAINS ALL AMERICAN PIPELINE L cs 726503105 18816 213335 SH Sole 213335 PLUM CREEK TIMBER CO INC cs 729251108 2253 51400 SH Sole 51400 POTLATCH CORP cs 737630103 467 12500 SH Sole 12500 POWER CORP CANADA cs 739239101 709 29336 SH Sole 29336 POWERSHARES QQQ NASDAQ 100 UNI cs 73935A104 810 11817 SH Sole 11817 PROCTER & GAMBLE CO COM cs 742718109 2517 36288 SH Sole 36288 PROTOKINETIX INC cs 743722100 1 60000 SH Sole 60000 PVR PARTNERS L.P. cs 693665101 438 17250 SH Sole 17250 QEP RES INC COM cs 74733V100 213 6736 SH Sole 6736 QUALCOMM INC COM cs 747525103 47142 754637 SH Sole 754637 RANGE RESOURCES CORP cs 75281A109 943 13497 SH Sole 13497 ROCKWELL AUTOMATION INC cs 773903109 4637 66671 SH Sole 66671 ROYAL DUTCH PLC ADR cs 780259206 968 13950 SH Sole 13950 ROYAL DUTCH SHELL PLC ADR B cs 780259107 366 5129 SH Sole 5129 SANOFI-ADR cs 80105N105 5707 132545 SH Sole 132545 SCHEIN HENRY INC COM cs 806407102 5727 72296 SH Sole 72296 SCHLUMBERGER LTD COM cs 806857108 24500 338721 SH Sole 338721 SELECT SECTOR SPDR TR SBI HEAL cs 81369Y209 471 11750 SH Sole 11750 SELECT SECTOR SPDR TR SBI INT- cs 81369Y506 3818 51992 SH Sole 51992 SELECT SECTOR SPDR TR SBI INT- cs 81369Y605 234 15035 SH Sole 15035 SIRONA DENTAL SYSTEMS INC COM cs 82966C103 7408 130060 SH Sole 130060 SOUTHERN CO cs 842587107 245 5325 SH Sole 5325 SOUTHWESTERN ENERGY CO COM cs 845467109 6588 189428 SH Sole 189428 SPDR GOLD TRUST cs 78463V107 41730 242774 SH Sole 242774 SPDR KBW REGIONAL BANKING ETF cs 78464A698 2855 99695 SH Sole 99695 SPDR S&P 500 ETF TR TR UNIT cs 78462F103 4985 34623 SH Sole 34623 SPDR S&P MIDCAP 400 INDEX cs 78467Y107 672 3733 SH Sole 3733 SPLUNK INC COM cs 848637104 1494 40685 SH Sole 40685 SPY INC COM cs 85219W107 60 47950 SH Sole 47950 STAAR SURGICAL CO COM PAR $0.0 cs 852312305 302 40000 SH Sole 40000 STAR GAS PARTNERS L P UNIT LTD cs 85512C105 136 31500 SH Sole 31500 SUPERIOR ENERGY SVCS INC COM cs 868157108 281 13700 SH Sole 13700 SYSCO CORP COM cs 871829107 3979 127238 SH Sole 127238 TARGA RES PARTNERS LP cs 87611x105 2084 48600 SH Sole 48600 TEEKAY OFFSHORE PARTNERS L P P cs 10527 382650 SH Sole 382650 TEMPLETON DRAGON FUND cs 88018T101 1388 54165 SH Sole 54165 TESORO LOGISTICS LP COM UNIT L cs 88160T107 935 21600 SH Sole 21600 THERMO FISHER SCIENTIFIC INC cs 883556102 191 3250 SH Sole 3250 TIME WARNER INC cs 887317303 1943 42860 SH Sole 42860 TJX COS INC NEW cs 872540109 7269 162293 SH Sole 162293 TORONTO DOMINION BK ONT COM NE cs 891160509 4275 51300 SH Sole 51300 TRAVELERS COMPANIES INC COM cs 89417E109 643 9425 SH Sole 9425 TURQUOISE HILL RESOURCES LTD cs 900435108 4727 557476 SH Sole 557476 UGI CORP NEW COM cs 902681105 851 26800 SH Sole 26800 UNION PACIFIC CORP cs 907818108 535 4504 SH Sole 4504 UNITED TECHNOLOGIES CORP cs 913017109 1539 19652 SH Sole 19652 US BANCORP DEL cs 902973304 25080 731205 SH Sole 731205 VANGUARD HIGH DIV YLD ETF cs 921946406 12454 247105 SH Sole 247105 VANGUARD MSCI EMERGING MARKETS cs 922042858 10910 261494 SH Sole 261494 VANGUARD SMALL-CAP INDEX ETF cs 922908751 218 2718 SH Sole 2718 VANGUARD SPECIALIZED PORTFOLIO cs 921908844 203 3400 SH Sole 3400 VERIZON COMMUNICATIONS INC COM cs 92343V104 2658 58321 SH Sole 58321 VIRNETX HOLDING CORP COM cs 92823T108 22703 892771 SH Sole 892771 VRINGO INC COM cs 92911N104 29 10000 SH Sole 10000 WABTEC cs 929740108 6336 78915 SH Sole 78915 WAL MART STORES INC COM cs 931142103 973 13182 SH Sole 13182 WELLS FARGO & CO NEW COM cs 949746101 23973 694276 SH Sole 694276 WESTERN GAS PARTNERS LP COM UN cs 958254104 1469 29150 SH Sole 29150 WILLIAMS COS INC DEL COM cs 969457100 30948 884995 SH Sole 884995 WILLIAMS PARTNERS LP cs 96950F104 1890 34561 SH Sole 34561 WINTHROP RLTY TR SH BEN INT cs 976391300 195 18100 SH Sole 18100 WISDOMTREE EMERGING MKTS EQUIT cs 97717W315 12305 229276 SH Sole 229276 WISDOMTREE INVTS INC COM cs 97717P104 75 11250 SH Sole 11250 XEROX CORP cs 984121103 14791 2015190 SH Sole 2015190 YUM BRANDS INC cs 988498101 8311 125275 SH Sole 125275 BLACKROCK INCOME OPP TRUST INC 092475102 129 11200 SH Sole 11200 BLACKROCK INCOME TR INC COM 09247f100 492 64000 SH Sole 64000 BLACKROCK MUNIYIELD FD INC COM 09253W104 179 10481 SH Sole 10481 BLACKSTONE GSO FLTING RTE FUND 09256U105 5272 261000 SH Sole 261000 CURRENCYSHARES CANADIAN DOLLAR 23129X105 1997 19750 SH Sole 19750 ISHARES BARCLAYS AGGREGATE 464287226 597 5305 SH Sole 5305 ISHARES BARCLAYS MBS INDEX 464288588 525 4810 SH Sole 4810 ISHARES IBOXX INVESTMENT GRADE 464287242 5633 46260 SH Sole 46260 ISHARES LEHMAN 1-3 YR TREASURY 464287457 822 9725 SH Sole 9725 ISHARES TR BARCLAYS 1-3 YR 464288646 423 4000 SH Sole 4000 ISHARES TR BARCLYS TIPS BD 464287176 1549 12725 SH Sole 12725 ISHARES TR HIGH YLD CORP 464288513 419 4535 SH Sole 4535 MANAGED HIGH YIELD PLUS FD INC 561911108 35 15777 SH Sole 15777 MONTGOMERY STR INCOME SECS INC 614115103 728 42891 SH Sole 42891 NUVEEN NEW YORK PREMIUM INCOME 67101R107 165 10000 SH Sole 10000 PUTNAM PREMIUM INCOME TR 746853100 138 24070 SH Sole 24070 VANGUARD BD INDEX FD INC TOTAL 921937835 204 2400 SH Sole 2400 VANGUARD SHORT TERM GOV'T/CORP 921937827 336 4125 SH Sole 4125 WISDOMTREE EMERGING MARKETS LO 97717X867 22599 432025 SH Sole 432025 ALLIANZ FDS RCM MIDCAP INS mf 018919688 52 16456 SH Sole 16456 BLACKROCK GLB ALLOCATION FD CL mf 09251T103 242 12344 SH Sole 12344 DREYFUS FD INC COM mf 262003106 171 17307 SH Sole 17307 FIDELITY ADVISORS NEW INSIGHTS mf 316071208 208 8978 SH Sole 8978 FIDELITY CONTRAFUND INC COM mf 316071109 256 3212 SH Sole 3212 GABELLI ASSET FD SH BEN INT mf 362395105 249 4659 SH Sole 4659 JPMORGAN TR I US LARGE SEL mf 4812A2389 306 13200 SH Sole 13200 MANNING & NAPIER FD INC NEW WO mf 563821545 201 27063 SH Sole 27063 MATTHEWS INTL FDS PAC TIGER FD mf 577130107 5110 217895 SH Sole 217895 PIMCO COMMODITY RR STRAT - INS mf 722005667 125 17505 SH Sole 17505 PIMCO FDS PAC INVT MGMT SER AL mf 72200Q232 237 21308 SH Sole 21308 PUTNAM FD FOR GROWTH&INCOME SH mf 746761105 324 22398 SH Sole 22398 VANGUARD 500 INDEX FUND - INV mf 922908108 490 3690 SH Sole 3690 VANGUARD INTL EQUITY INDEX FD mf 922042304 265 9998 SH Sole 9998 DOVER CORPORATION (Special) sb 260003108 108420 1822487 SH Sole 1822487 KINDER MORGAN INC DEL WT EXP 0 wt 49456B119 50 14453 SH Sole 14453 REPORT SUMMARY 267 DATA RECORDS 1521844 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED