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