Chief Compliance Officer

0001308757-16-000011.txt : 20160511 0001308757-16-000011.hdr.sgml : 20160511 20160510181533 ACCESSION NUMBER: 0001308757-16-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160511 DATE AS OF CHANGE: 20160510 EFFECTIVENESS DATE: 20160511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALASA DINVERNO & FOLTZ LLC CENTRAL INDEX KEY: 0001308757 IRS NUMBER: 364445980 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11054 FILM NUMBER: 161637270 BUSINESS ADDRESS: BUSINESS PHONE: 630-875-4915 MAIL ADDRESS: STREET 1: 500 PARK BLVD STREET 2: SUITE 1400 CITY: ITASCA STATE: IL ZIP: 60143 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001308757 XXXXXXXX 03-31-2016 03-31-2016 BALASA DINVERNO & FOLTZ LLC

500 PARK BLVD SUITE 1400 ITASCA IL 60143

13F HOLDINGS REPORT 028-11054 N Susan C. Korin Chief Compliance Officer (630) 875-4914 Susan C. Korin Itasca IL 05-10-2016 0 176 560165 false INFORMATION TABLE 2 Mar2016.xml Guggenheim BulletShares 2016 Corporate Bond GUG BLT2016 HY 18383M415 281 12766 SH SOLE 0 0 12766 0 Guggenheim BulletShares 2017 Corporate Bond GUG BLT2017 HY 18383m399 264 11650 SH SOLE 0 0 11650 0 Guggenheim S&P 500 Pure Growth GUG S&P500 PU GR 78355W403 802 10102 SH SOLE 0 0 10102 0 Guggenheim S&P Small Cap 600 Pure Growth GUG S&P SC600 PG 78355W809 278 3525 SH SOLE 0 0 3525 0 Guggenheim S&P Small Cap 600 Pure Value GUG S&P SC600 PV 78355W700 228 3957 SH SOLE 0 0 3957 0 iShares Enhanced Int'l ENH INTL L CAP 46431W408 35509 1563737 SH SOLE 0 0 1563737 0 iShares Momentum MSCI USAMOMFCT 46432F396 41543 568300 SH SOLE 0 0 568300 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 12121 212050 SH SOLE 0 0 212050 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 6438 97832 SH SOLE 0 0 97832 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 379 7608 SH SOLE 0 0 7608 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 529 15438 SH SOLE 0 0 15438 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 907 11854 SH SOLE 0 0 11854 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 113100 1133494 SH SOLE 0 0 1133494 0 iShares Russell 1000 Index RUSSELL 1000 464287622 531 4658 SH SOLE 0 0 4658 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 67225 680342 SH SOLE 0 0 680342 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 473 3568 SH SOLE 0 0 3568 0 iShares Russell 2000 Index RUSSELL 2000 464287655 275 2484 SH SOLE 0 0 2484 0 iShares Russell 3000 Index RUSSELL 3000 464287689 269 2230 SH SOLE 0 0 2230 0 iShares S&P 500 S&P 500 INDEX 464287200 60539 292954 SH SOLE 0 0 292954 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 1786 15410 SH SOLE 0 0 15410 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 466 5179 SH SOLE 0 0 5179 0 iShares S&P Small Cap 600 Index CORE S&P SCP ETF 464287804 609 5413 SH SOLE 0 0 5413 0 iShares S&P/Barra 600 Value S&P SMLCP VALU 464287879 205 1811 SH SOLE 0 0 1811 0 PowerShares QQQ UNIT SER 1 73935A104 432 3954 SH SOLE 0 0 3954 0 S&P 500 SPDR UNIT SER 1 78462F103 1400 6810 SH SOLE 0 0 6810 0 SPDR MSCI ACWI ex-US MSCI ACWI EXUS 78463X848 1948 63218 SH SOLE 0 0 63218 0 SPDR S&P Dividend S&P DIVID ETF 78464a763 279 3487 SH SOLE 0 0 3487 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 311 4500 SH SOLE 0 0 4500 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1299 12200 SH SOLE 0 0 12200 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 1032 12520 SH SOLE 0 0 12520 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 70687 594009 SH SOLE 0 0 594009 0 Vanguard Small Cap Value ETF SM CP VAL ETF 922908611 201 1974 SH SOLE 0 0 1974 0 3M Co. COM 88579y101 483 2901 SH SOLE 0 0 2901 0 Abbott Laboratories COM 002824100 430 10285 SH SOLE 0 0 10285 0 AbbVie Inc. COM 00287y109 745 13044 SH SOLE 0 0 13044 0 Accenture LTD Cl A COM g1151c101 316 2739 SH SOLE 0 0 2739 0 Aetna Inc. COM 00817Y108 450 4008 SH SOLE 0 0 4008 0 Alaska Air Group, Inc. COM 116591090 453 5519 SH SOLE 0 0 5519 0 Allstate Corp COM 020002101 718 10654 SH SOLE 0 0 10654 0 Alphabet Inc. Class A Voting Shares CL A 38259P508 1603 2101 SH SOLE 0 0 2101 0 Alphabet Inc. Class C Non Voting Shares CL C 38259p706 1115 1496 SH SOLE 0 0 1496 0 Altria Group COM 718154107 1797 28676 SH SOLE 0 0 28676 0 Amazon.Com COM 231351065 641 1080 SH SOLE 0 0 1080 0 American Intl Group Inc COM 026874784 1733 32069 SH SOLE 0 0 32069 0 American Shared Hospital Service COM 029595105 124 56000 SH SOLE 0 0 56000 0 Ameriprise Financial COM 03076c106 201 2135 SH SOLE 0 0 2135 0 Amgen Inc. COM 311621007 879 5864 SH SOLE 0 0 5864 0 AmTrust Financial Services, Inc. COM 323593095 218 8439 SH SOLE 0 0 8439 0 Anthem Inc. COM 036752103 594 4275 SH SOLE 0 0 4275 0 AON Corp. COM 0408v1025 468 4478 SH SOLE 0 0 4478 0 Apple Computer, Inc. COM 378331003 6016 55201 SH SOLE 0 0 55201 0 Aptar Group COM 383361037 941 12000 SH SOLE 0 0 12000 0 Assurant Inc. COM 04621X108 646 8371 SH SOLE 0 0 8371 0 Assured Guaranty Ltd. COM G0585R106 1841 72752 SH SOLE 0 0 72752 0 AT&T Inc. COM 00206R102 1774 45279 SH SOLE 0 0 45279 0 Autozone Inc. COM 533321022 249 312 SH SOLE 0 0 312 0 Avnet Inc. COM 053807103 362 8176 SH SOLE 0 0 8176 0 Bank of America Corp. COM 605051044 674 49830 SH SOLE 0 0 49830 0 Berkshire Hathaway CL B NEW 846707024 1915 13495 SH SOLE 0 0 13495 0 Berkshire Hathaway CL A CL A 084990175 5763 2700 SH SOLE 0 0 2700 0 Biogen Idec Inc. COM 09062x103 250 961 SH SOLE 0 0 961 0 Boeing Co. COM 970231056 588 4636 SH SOLE 0 0 4636 0 Bristol-Myers Squibb Company COM 110122108 639 10002 SH SOLE 0 0 10002 0 British Petroleum Amoco COM 556221042 381 12619 SH SOLE 0 0 12619 0 Broadcom Ltd. SHS y0486s104 268 1732 SH SOLE 0 0 1732 0 Caterpillar Inc. COM 149123101 342 4462 SH SOLE 0 0 4462 0 Celgene Corp. COM 151020104 415 4144 SH SOLE 0 0 4144 0 Charles Schwab COM 808513105 327 11662 SH SOLE 0 0 11662 0 ChevronTexaco Corp. COM 166764100 787 8250 SH SOLE 0 0 8250 0 Cigna Corp COM 125509109 633 4610 SH SOLE 0 0 4610 0 Circuit City Stores Inc COM 172737108 312 44509 SH SOLE 0 0 44509 0 Cisco Systems Inc. COM 17275R102 439 15436 SH SOLE 0 0 15436 0 Citigroup Inc. COM 172967424 324 7764 SH SOLE 0 0 7764 0 CNO Financial Group, Inc COM 12621e103 198 11071 SH SOLE 0 0 11071 0 Coca Cola COM 191216100 511 11005 SH SOLE 0 0 11005 0 Colgate-Palmolive Co COM 194162103 373 5286 SH SOLE 0 0 5286 0 ComCast COM 20030N101 704 11519 SH SOLE 0 0 11519 0 Commerce Bancshares Inc. COM 200525103 1535 34153 SH SOLE 0 0 34153 0 Consolidated Edison COM 209115104 461 6022 SH SOLE 0 0 6022 0 Constellation A COM 21036P108 466 3085 SH SOLE 0 0 3085 0 CostCo Companies Inc. COM 22160k105 335 2129 SH SOLE 0 0 2129 0 CVS Health Corporation COM 126650100 785 7566 SH SOLE 0 0 7566 0 Danaher Corp. COM 235851102 316 3332 SH SOLE 0 0 3332 0 DCT Industrial Trust Inc COM 233153105 461 11691 SH SOLE 0 0 11691 0 Delta Airlines Inc. New COM NEW 247361702 771 15831 SH SOLE 0 0 15831 0 Duke Energy COM 264399106 245 3034 SH SOLE 0 0 3034 0 Edwards Lifesciences COM 28176E108 560 6344 SH SOLE 0 0 6344 0 Eli Lilly & Co. COM 532457108 252 3498 SH SOLE 0 0 3498 0 Equity Residential PPTY Trust COM 29476L107 607 8095 SH SOLE 0 0 8095 0 Everest RE Group LTD COM G3223R108 348 1764 SH SOLE 0 0 1764 0 Exelon Corporation COM 30161N101 426 11866 SH SOLE 0 0 11866 0 Express Scripts Inc. COM 302182100 206 2994 SH SOLE 0 0 2994 0 Exxon Mobil Corporation COM 30231G102 1492 17853 SH SOLE 0 0 17853 0 Facebook, Inc. COM 30303m102 864 7569 SH SOLE 0 0 7569 0 Fleetcor Technologies Inc. COM 339041105 17659 118718 SH SOLE 0 0 118718 0 Ford Motor Company COM 345370860 376 27815 SH SOLE 0 0 27815 0 General Electric COM 369604103 937 29489 SH SOLE 0 0 29489 0 General Motors Corporation - Old COM 37045v100 329 10474 SH SOLE 0 0 10474 0 Gilead Sciences Inc. COM 375558103 914 9952 SH SOLE 0 0 9952 0 Glaxosmithkline COM 37733W105 307 7569 SH SOLE 0 0 7569 0 Goldman Sachs Group COM 38141G104 214 1362 SH SOLE 0 0 1362 0 Goodyear Tire & Rubber COM 382550101 1416 42947 SH SOLE 0 0 42947 0 Hewlett Packard Enterprise Company COM 42824c109 1975 111365 SH SOLE 0 0 111365 0 Home Depot COM 437076102 1262 9457 SH SOLE 0 0 9457 0 Honeywell International COM 438516106 441 3940 SH SOLE 0 0 3940 0 Horizon Pharma Inc COM 44047T109 2079 125464 SH SOLE 0 0 125464 0 HP Inc. COM 428236103 339 27498 SH SOLE 0 0 27498 0 Hyatt Hotels Corporation COM CL A 448579102 232 4683 SH SOLE 0 0 4683 0 IBM COM 459200101 754 4978 SH SOLE 0 0 4978 0 Illinois Tool Works COM 452308109 372 3628 SH SOLE 0 0 3628 0 IMD Companies, Inc. COM 44969g101 0 300000 SH SOLE 0 0 300000 0 Ingram Micro Inc. CL A 457153104 605 16838 SH SOLE 0 0 16838 0 Intel Corp. COM 458140100 1099 33974 SH SOLE 0 0 33974 0 Intercontinental Hotels Group plc SPON ADR NEW2014 45857P509 258 6305 SH SOLE 0 0 6305 0 J P Morgan Chase & Co. COM 46625H100 912 15398 SH SOLE 0 0 15398 0 JetBlue Airways Corp COM 477143101 610 28902 SH SOLE 0 0 28902 0 Johnson & Johnson COM 478160104 2082 19242 SH SOLE 0 0 19242 0 Kimberly Clark Corp. COM 494368103 341 2536 SH SOLE 0 0 2536 0 Kroger Co. COM 501044101 220 5749 SH SOLE 0 0 5749 0 Lockheed Martin Corp. COM 539830109 968 4371 SH SOLE 0 0 4371 0 Lowes Companies Inc. COM 548661107 354 4674 SH SOLE 0 0 4674 0 LyondellBasell Industries NV SHS - A - n53745100 429 5010 SH SOLE 0 0 5010 0 Mastercard Incorporated COM 57636Q104 405 4290 SH SOLE 0 0 4290 0 McDonald's Corporation COM 580135101 17725 141032 SH SOLE 0 0 141032 0 McKesson Corp. COM 58155Q103 220 1400 SH SOLE 0 0 1400 0 Medtronic PLC Ordinary SHS G5960L103 219 2919 SH SOLE 0 0 2919 0 Merck & Co, Inc. COM 589331107 630 11902 SH SOLE 0 0 11902 0 Metlife Inc. COM 59156R108 247 5611 SH SOLE 0 0 5611 0 Microsoft Corp. COM 594918104 2215 40107 SH SOLE 0 0 40107 0 Mondelez International Inc. COM 609207105 244 6072 SH SOLE 0 0 6072 0 Morgan Stanley / Dean Witter COM 617446448 302 12076 SH SOLE 0 0 12076 0 Nano Labs Corp COM 148411101 0 620614 SH SOLE 0 0 620614 0 Nextera Energy, Inc. COM 65339f101 255 2153 SH SOLE 0 0 2153 0 Nike Inc Cl B COM 654106103 542 8811 SH SOLE 0 0 8811 0 Nisource Inc COM 65473P105 578 24512 SH SOLE 0 0 24512 0 Noble Corporation PLC COM 655042109 141 13641 SH SOLE 0 0 13641 0 Northern Trust COM 665859104 301 4615 SH SOLE 0 0 4615 0 Northrop Grumman Corp COM 666807102 376 1902 SH SOLE 0 0 1902 0 ONE Gas, Inc. COM 68235P108 914 14955 SH SOLE 0 0 14955 0 Oracle Corp. COM 68389X105 635 15532 SH SOLE 0 0 15532 0 Pepsico Inc COM 713448108 594 5796 SH SOLE 0 0 5796 0 Pfizer Inc. COM 717081103 964 32526 SH SOLE 0 0 32526 0 Philip Morris International Inc. COM 718172109 250 2550 SH SOLE 0 0 2550 0 Phillips 66 COM 718546104 500 5779 SH SOLE 0 0 5779 0 Pilgrim's Pride Corp COM 72147K108 227 8931 SH SOLE 0 0 8931 0 PPG Industries COM 693506107 216 1941 SH SOLE 0 0 1941 0 Procter & Gamble COM 742718109 588 7145 SH SOLE 0 0 7145 0 Prudential Securities COM 744320102 442 6119 SH SOLE 0 0 6119 0 Reinsurance Group of America Inc. COM NEW 759351604 884 9187 SH SOLE 0 0 9187 0 Reynolds American Inc. COM 761713106 670 13320 SH SOLE 0 0 13320 0 Rockwell Medical, Inc. COM 774374102 284 37800 SH SOLE 0 0 37800 0 Solar Wind Energy Tower Inc. COM 83416B109 0 65000 SH SOLE 0 0 65000 0 Starbucks Corp. COM 855244109 703 11773 SH SOLE 0 0 11773 0 Talen Energy Corporation COM 87422J105 319 35400 SH SOLE 0 0 35400 0 Tesoro Corp. COM 881609101 375 4365 SH SOLE 0 0 4365 0 Texas Instruments Inc. COM 882508104 346 6033 SH SOLE 0 0 6033 0 Thermo Fisher Scientific Inc COM 883556102 307 2165 SH SOLE 0 0 2165 0 Time Warner Inc. New COM 887317105 360 4966 SH SOLE 0 0 4966 0 TJX Companies Inc. COM 872540109 330 4208 SH SOLE 0 0 4208 0 Travelers Companies Inc COM 89417E109 437 3745 SH SOLE 0 0 3745 0 Trinity Industries Inc. COM 896522109 206 11247 SH SOLE 0 0 11247 0 Triple-S Management Corporation CL B 896749108 233 9357 SH SOLE 0 0 9357 0 Tyson Foods Inc. Class A COM 902494103 1442 21639 SH SOLE 0 0 21639 0 Union Pacific COM 907818108 265 3328 SH SOLE 0 0 3328 0 United Health Care Corp. COM 91324P102 1024 7946 SH SOLE 0 0 7946 0 United Technologies Corp. COM 913017109 255 2549 SH SOLE 0 0 2549 0 US Bancorp COM 902973304 239 5880 SH SOLE 0 0 5880 0 Valero Energy Corp. COM 91913Y100 1606 25045 SH SOLE 0 0 25045 0 Verizon Communications COM 92343V104 1077 19914 SH SOLE 0 0 19914 0 Visa, Inc. COM 82826C839 650 8495 SH SOLE 0 0 8495 0 Voya Financial Inc. COM 929089100 769 25822 SH SOLE 0 0 25822 0 Wal-Mart COM 931142103 529 7719 SH SOLE 0 0 7719 0 Walgreen Boots Alliance, Inc. COM 931427108 918 10896 SH SOLE 0 0 10896 0 Walt Disney Co. COM 254687106 2683 27015 SH SOLE 0 0 27015 0 WEC Energy Group Inc. COM 976657106 374 6227 SH SOLE 0 0 6227 0 Wells Fargo & Co New COM 949746101 2550 52737 SH SOLE 0 0 52737 0