Chief Compliance Officer

0001308757-17-000003.txt : 20170505 0001308757-17-000003.hdr.sgml : 20170505 20170504175055 ACCESSION NUMBER: 0001308757-17-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170505 DATE AS OF CHANGE: 20170504 EFFECTIVENESS DATE: 20170505 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: 17815468 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 03-31-2017 03-31-2017 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 05-04-2017 0 204 592041 false INFORMATION TABLE 2 Mar2017.xml Guggenheim S&P 500 Pure Growth GUG S&P500 PU GR 78355W403 895 9981 SH SOLE 0 0 9981 0 Guggenheim S&P Small Cap 600 Pure Growth GUG S&P SC600 PG 78355W809 349 3468 SH SOLE 0 0 3468 0 Guggenheim S&P Small Cap 600 Pure Value GUG S&P SC600 PV 78355W700 271 3957 SH SOLE 0 0 3957 0 Health Fund Sector SPDR SBI HEALTHCARE 81369Y209 223 3000 SH SOLE 0 0 3000 0 iShares Momentum MSCI USAMOMFCT 46432F396 51835 627161 SH SOLE 0 0 627161 0 iShares MSCI EAFE MSCI EAFE IDX 464287465 11922 191392 SH SOLE 0 0 191392 0 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 6734 96907 SH SOLE 0 0 96907 0 iShares MSCI EAFE Small Cap Index EAFE SML CP ETF 464288273 372 6879 SH SOLE 0 0 6879 0 iShares MSCI Emerging Market MSCI EMERG MKT 464287234 603 15321 SH SOLE 0 0 15321 0 iShares MSCI KLD 400 Social Index Fund MSCI KLD400 SOC 464288570 1151 13265 SH SOLE 0 0 13265 0 iShares Russell 1000 Growth RUSSELL 1000GRW 464287614 122683 1078062 SH SOLE 0 0 1078062 0 iShares Russell 1000 Index RUSSELL 1000 464287622 773 5892 SH SOLE 0 0 5892 0 iShares Russell 1000 Value RUSSELL1000VAL 464287598 71661 623461 SH SOLE 0 0 623461 0 iShares Russell 2000 Growth RUSL 2000 GROW 464287648 526 3253 SH SOLE 0 0 3253 0 iShares Russell 2000 Index RUSSELL 2000 464287655 413 3004 SH SOLE 0 0 3004 0 iShares Russell 3000 Index RUSSELL 3000 464287689 456 3259 SH SOLE 0 0 3259 0 iShares Russell Midcap Value Index RUS MDCP VAL ETF 464287473 232 2800 SH SOLE 0 0 2800 0 iShares S&P 500 S&P 500 INDEX 464287200 64060 269988 SH SOLE 0 0 269988 0 iShares S&P 500/Barra Growth S&P500 GRW 464287309 2062 15678 SH SOLE 0 0 15678 0 iShares S&P 500/Value Index S&P 500 VALUE 464287408 571 5493 SH SOLE 0 0 5493 0 iShares S&P Small Cap 600 Index CORE S&P SCP ETF 464287804 412 5960 SH SOLE 0 0 5960 0 PowerShares QQQ UNIT SER 1 73935A104 523 3954 SH SOLE 0 0 3954 0 S&P 500 SPDR UNIT SER 1 78462F103 2109 8947 SH SOLE 0 0 8947 0 SPDR MSCI A CWI ex-US MSCI ACWI EXUS 78463X848 1817 53282 SH SOLE 0 0 53282 0 SPDR Russell 2000 SPDR RUSSEL 2000 78468R853 211 2592 SH SOLE 0 0 2592 0 SPDR S&P Dividend S&P DIVID ETF 78464a763 307 3487 SH SOLE 0 0 3487 0 Vanguard FTSE Developed Markets ETF MSCI EAFE IDX 921943858 212 5394 SH SOLE 0 0 5394 0 Vanguard High Dividend Yield ETF HIGH DIV YLD 921946406 349 4500 SH SOLE 0 0 4500 0 Vanguard Large Cap Growth ETF GROWTH ETF 922908736 1509 12404 SH SOLE 0 0 12404 0 Vanguard Large Cap Value ETF VALUE ETF 922908744 1231 12904 SH SOLE 0 0 12904 0 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 86785 616938 SH SOLE 0 0 616938 0 Vanguard Small Cap Value ETF SM CP VAL ETF 922908611 245 1993 SH SOLE 0 0 1993 0 3M Co. COM 88579y101 560 2925 SH SOLE 0 0 2925 0 Aaron's, Inc COM PAR $0.50 002535300 689 23164 SH SOLE 0 0 23164 0 Abbott Laboratories COM 002824100 454 10223 SH SOLE 0 0 10223 0 AbbVie Inc. COM 00287y109 970 14889 SH SOLE 0 0 14889 0 ABIOMED, Inc COM 003654100 356 2846 SH SOLE 0 0 2846 0 Accenture LTD Cl A COM g1151c101 1120 9342 SH SOLE 0 0 9342 0 Adobe Systems Inc. COM 00724f101 212 1629 SH SOLE 0 0 1629 0 Aetna Inc. COM 00817Y108 461 3614 SH SOLE 0 0 3614 0 Allstate Corp COM 020002101 954 11706 SH SOLE 0 0 11706 0 Alphabet Inc. Class A Voting Shares CL A 38259P508 1816 2142 SH SOLE 0 0 2142 0 Alphabet Inc. Class C Non Voting Shares CL C 38259p706 1225 1477 SH SOLE 0 0 1477 0 Altria Group COM 718154107 2096 29345 SH SOLE 0 0 29345 0 Amazon.Com COM 231351065 1139 1285 SH SOLE 0 0 1285 0 American Eagle Outfitters COM 02553E106 299 21345 SH SOLE 0 0 21345 0 American Intl Group Inc COM 026874784 774 12403 SH SOLE 0 0 12403 0 American Shared Hospital Service COM 029595105 244 56500 SH SOLE 0 0 56500 0 Amgen Inc. COM 311621007 1023 6236 SH SOLE 0 0 6236 0 AMR Corp. Escrow Pending Possible Future Distribution COM 001esc102 0 14833 SH SOLE 0 0 14833 0 Annaly Mtg. Management COM 357104090 508 45766 SH SOLE 0 0 45766 0 Anthem Inc. COM 036752103 469 2837 SH SOLE 0 0 2837 0 AON Corp. COM 0408v1025 455 3830 SH SOLE 0 0 3830 0 Apple Computer, Inc. COM 378331003 9872 68716 SH SOLE 0 0 68716 0 Aptar Group COM 383361037 893 11600 SH SOLE 0 0 11600 0 Arrow Electronics Inc. COM 427351002 326 4446 SH SOLE 0 0 4446 0 Assurant Inc. COM 04621X108 358 3737 SH SOLE 0 0 3737 0 Assured Guaranty Ltd. COM G0585R106 2482 66881 SH SOLE 0 0 66881 0 AT&T Inc. COM 00206R102 2260 54398 SH SOLE 0 0 54398 0 Autozone Inc. COM 533321022 215 298 SH SOLE 0 0 298 0 Bank of America Corp. COM 605051044 1466 62135 SH SOLE 0 0 62135 0 Baxter International Inc. COM 718131097 525 10122 SH SOLE 0 0 10122 0 Berkshire Hathaway CL B NEW 846707024 2218 13308 SH SOLE 0 0 13308 0 Berkshire Hathaway CL A CL A 084990175 6746 2700 SH SOLE 0 0 2700 0 Best Buy Inc. COM 865161012 372 7573 SH SOLE 0 0 7573 0 Biogen Idec Inc. COM 09062x103 296 1082 SH SOLE 0 0 1082 0 Boeing Co. COM 970231056 751 4249 SH SOLE 0 0 4249 0 Bristol-Myers Squibb Company COM 110122108 1158 21287 SH SOLE 0 0 21287 0 British Petroleum Amoco COM 556221042 322 9327 SH SOLE 0 0 9327 0 Broadcom Ltd. SHS y0486s104 369 1684 SH SOLE 0 0 1684 0 C H Robinson COM 12541W100 427 5528 SH SOLE 0 0 5528 0 Capital One Financial COM 14040H105 258 2979 SH SOLE 0 0 2979 0 Caterpillar Inc. COM 149123101 343 3693 SH SOLE 0 0 3693 0 Celgene Corp. COM 151020104 497 3998 SH SOLE 0 0 3998 0 Charles Schwab COM 808513105 387 9481 SH SOLE 0 0 9481 0 Chemical Financial COM 163731102 222 4335 SH SOLE 0 0 4335 0 ChevronTexaco Corp. COM 166764100 2003 18652 SH SOLE 0 0 18652 0 Chimera Investment Corp. REIT COM 16934Q109 634 31409 SH SOLE 0 0 31409 0 Cigna Corp COM 125509109 268 1827 SH SOLE 0 0 1827 0 Circuit City Stores Inc COM 172737108 314 8164 SH SOLE 0 0 8164 0 Cisco Systems Inc. COM 17275R102 823 24358 SH SOLE 0 0 24358 0 Citigroup Inc. COM 172967424 814 13606 SH SOLE 0 0 13606 0 Coca Cola COM 191216100 495 11665 SH SOLE 0 0 11665 0 Colgate-Palmolive Co COM 194162103 332 4539 SH SOLE 0 0 4539 0 ComCast COM 20030N101 937 24934 SH SOLE 0 0 24934 0 Commerce Bancshares Inc. COM 200525103 1275 22708 SH SOLE 0 0 22708 0 Consolidated Edison COM 209115104 449 5787 SH SOLE 0 0 5787 0 Corning Inc. COM 219350105 291 10782 SH SOLE 0 0 10782 0 CostCo Companies Inc. COM 22160k105 307 1832 SH SOLE 0 0 1832 0 Cummins Inc. COM 231021106 201 1332 SH SOLE 0 0 1332 0 CVS Health Corporation COM 126650100 590 7514 SH SOLE 0 0 7514 0 Danaher Corp. COM 235851102 459 5364 SH SOLE 0 0 5364 0 DCT Industrial Trust Inc COM 233153105 563 11691 SH SOLE 0 0 11691 0 Dean Foods COM 242370104 422 21455 SH SOLE 0 0 21455 0 Dell Technologies Inc. Class V COM CL V 24703L103 1139 17773 SH SOLE 0 0 17773 0 Dow Chemical Co. COM 260543103 465 7311 SH SOLE 0 0 7311 0 Duke Energy COM 264399106 498 6074 SH SOLE 0 0 6074 0 DXC Technology Company COM 23355L106 569 8004 SH SOLE 0 0 8004 0 Ebay, Inc. COM 278642103 242 7216 SH SOLE 0 0 7216 0 Edwards Lifesciences COM 28176E108 590 6276 SH SOLE 0 0 6276 0 EI DuPont de Nemours & Co. COM 263534109 217 2702 SH SOLE 0 0 2702 0 Eli Lilly & Co. COM 532457108 281 3345 SH SOLE 0 0 3345 0 Equity Residential PPTY Trust COM 29476L107 538 8643 SH SOLE 0 0 8643 0 Exelon Corporation COM 30161N101 868 24123 SH SOLE 0 0 24123 0 Exxon Mobil Corporation COM 30231G102 1814 22123 SH SOLE 0 0 22123 0 Facebook, Inc. COM 30303m102 1176 8282 SH SOLE 0 0 8282 0 Fed Ex Corp COM 31428X106 240 1229 SH SOLE 0 0 1229 0 Fleetcor Technologies Inc. COM 339041105 17270 114046 SH SOLE 0 0 114046 0 Ford Motor Company COM 345370860 327 28093 SH SOLE 0 0 28093 0 Gamestop Corp. COM 36467w109 360 15949 SH SOLE 0 0 15949 0 General Dynamics Corp. COM 369550108 202 1079 SH SOLE 0 0 1079 0 General Electric COM 369604103 835 28005 SH SOLE 0 0 28005 0 General Motors Corporation - Old COM 37045v100 1709 48334 SH SOLE 0 0 48334 0 Gilead Sciences Inc. COM 375558103 836 12310 SH SOLE 0 0 12310 0 Glaxosmithkline COM 37733W105 296 7030 SH SOLE 0 0 7030 0 Goldman Sachs Group COM 38141G104 212 924 SH SOLE 0 0 924 0 Goodyear Tire & Rubber COM 382550101 259 7183 SH SOLE 0 0 7183 0 Half Robert Int'l COM 770323103 775 15870 SH SOLE 0 0 15870 0 Hewlett Packard Enterprise Company COM 42824C109 2217 93555 SH SOLE 0 0 93555 0 Home Depot COM 437076102 1867 12716 SH SOLE 0 0 12716 0 Honeywell International COM 438516106 487 3903 SH SOLE 0 0 3903 0 Horizon Pharma Inc COM 44047T109 739 50000 SH SOLE 0 0 50000 0 HP Inc. COM 428236103 1259 70419 SH SOLE 0 0 70419 0 IBM COM 459200101 1024 5880 SH SOLE 0 0 5880 0 Illinois Tool Works COM 452308109 535 4042 SH SOLE 0 0 4042 0 IMD Companies, Inc. COM 44969g101 1 300000 SH SOLE 0 0 300000 0 Intel Corp. COM 458140100 1425 39499 SH SOLE 0 0 39499 0 Intuit Inc. COM 461202103 312 2692 SH SOLE 0 0 2692 0 J P Morgan Chase & Co. COM 46625H100 1512 17208 SH SOLE 0 0 17208 0 Johnson & Johnson COM 478160104 3023 24274 SH SOLE 0 0 24274 0 KB Home COM 48666k109 566 28463 SH SOLE 0 0 28463 0 Kimberly Clark Corp. COM 494368103 737 5596 SH SOLE 0 0 5596 0 Kraft Heinz Co. COM 500754106 231 2539 SH SOLE 0 0 2539 0 Kroger Co. COM 501044101 238 8083 SH SOLE 0 0 8083 0 Lear Corp. COM 521865105 223 1574 SH SOLE 0 0 1574 0 Lincoln National Corp. COM 534187109 308 4701 SH SOLE 0 0 4701 0 Lockheed Martin Corp. COM 539830109 1080 4035 SH SOLE 0 0 4035 0 Lowes Companies Inc. COM 548661107 348 4236 SH SOLE 0 0 4236 0 LyondellBasell Industries NV SHS - A - n53745100 455 4990 SH SOLE 0 0 4990 0 Marathon Petroleum Corporation COM 56585A102 260 5148 SH SOLE 0 0 5148 0 Masimo Corp. COM 574795100 279 2996 SH SOLE 0 0 2996 0 Mastercard Incorporated COM 57636Q104 441 3919 SH SOLE 0 0 3919 0 McDonald's Corporation COM 580135101 523 4036 SH SOLE 0 0 4036 0 Medtronic PLC Ordinary SHS G5960L103 252 3129 SH SOLE 0 0 3129 0 Merck & Co, Inc. COM 589331107 874 13750 SH SOLE 0 0 13750 0 Metlife Inc. COM 59156R108 321 6069 SH SOLE 0 0 6069 0 Microsoft Corp. COM 594918104 2820 42826 SH SOLE 0 0 42826 0 Mondelez International Inc. COM 609207105 234 5421 SH SOLE 0 0 5421 0 Morgan Stanley / Dean Witter COM 617446448 407 9496 SH SOLE 0 0 9496 0 Nano Labs Corp COM 148411101 0 620614 SH SOLE 0 0 620614 0 NeuStar, Inc. CL A 64126X201 403 12153 SH SOLE 0 0 12153 0 Nextera Energy, Inc. COM 65339f101 307 2389 SH SOLE 0 0 2389 0 Nike Inc Cl B COM 654106103 457 8207 SH SOLE 0 0 8207 0 Nisource Inc COM 65473P105 508 21364 SH SOLE 0 0 21364 0 Northern Trust COM 665859104 453 5227 SH SOLE 0 0 5227 0 Northrop Grumman Corp COM 666807102 499 2096 SH SOLE 0 0 2096 0 Nvidia Corp. COM 67066G104 1960 17991 SH SOLE 0 0 17991 0 ONE Gas, Inc. COM 68235P108 605 8951 SH SOLE 0 0 8951 0 Oracle Corp. COM 68389X105 611 13703 SH SOLE 0 0 13703 0 Penumbra, Inc COM 70975L107 4848 58092 SH SOLE 0 0 58092 0 Pepsico Inc COM 713448108 792 7084 SH SOLE 0 0 7084 0 Pfizer Inc. COM 717081103 1226 35843 SH SOLE 0 0 35843 0 Philip Morris International Inc. COM 718172109 324 2873 SH SOLE 0 0 2873 0 Phillips 66 COM 718546104 312 3935 SH SOLE 0 0 3935 0 Popular Inc New F COM NEW 733174700 209 5124 SH SOLE 0 0 5124 0 PPG Industries COM 693506107 210 1996 SH SOLE 0 0 1996 0 Procter & Gamble COM 742718109 968 10776 SH SOLE 0 0 10776 0 Prudential Securities COM 744320102 894 8384 SH SOLE 0 0 8384 0 Quality Care Properties, Inc COM 747545101 790 41908 SH SOLE 0 0 41908 0 Reinsurance Group of America Inc. COM NEW 759351604 1160 9138 SH SOLE 0 0 9138 0 Reynolds American Inc. COM 761713106 496 7871 SH SOLE 0 0 7871 0 Rockwell Medical, Inc. COM 774374102 321 51300 SH SOLE 0 0 51300 0 Rollins Inc. COM 775711107 286 7711 SH SOLE 0 0 7711 0 Ross Stores Inc COM 778296103 229 3482 SH SOLE 0 0 3482 0 Rowan Companies Inc COM 779382100 194 12469 SH SOLE 0 0 12469 0 Sherwin Williams COM 824348106 276 891 SH SOLE 0 0 891 0 Solar Wind Energy Tower Inc. COM 83416B109 0 65000 SH SOLE 0 0 65000 0 Starbucks Corp. COM 855244109 610 10444 SH SOLE 0 0 10444 0 TE Connectivity LTD COM H84989104 206 2757 SH SOLE 0 0 2757 0 Technology Data Corp. COM 878237106 501 5331 SH SOLE 0 0 5331 0 Texas Instruments Inc. COM 882508104 490 6087 SH SOLE 0 0 6087 0 Thermo Fisher Scientific Inc COM 883556102 327 2131 SH SOLE 0 0 2131 0 Time Warner Inc. New COM 887317105 560 5726 SH SOLE 0 0 5726 0 TJX Companies Inc. COM 872540109 461 5830 SH SOLE 0 0 5830 0 Travelers Companies Inc COM 89417E109 416 3448 SH SOLE 0 0 3448 0 Twenty-First Century Fox, Inc. COM 90130A101 203 6281 SH SOLE 0 0 6281 0 Tyson Foods Inc. Class A COM 902494103 1123 18205 SH SOLE 0 0 18205 0 Ulta Salon, Cosmetics & Fragrance COM 90384S303 282 989 SH SOLE 0 0 989 0 Union Pacific COM 907818108 376 3553 SH SOLE 0 0 3553 0 United Continental Holdings COM 910047109 1093 15466 SH SOLE 0 0 15466 0 United Health Care Corp. COM 91324P102 1405 8568 SH SOLE 0 0 8568 0 United Technologies Corp. COM 913017109 280 2499 SH SOLE 0 0 2499 0 United Therapeutics Corporation COM 91307C102 346 2559 SH SOLE 0 0 2559 0 US Bancorp COM 902973304 341 6617 SH SOLE 0 0 6617 0 Valero Energy Corp. COM 91913Y100 937 14130 SH SOLE 0 0 14130 0 Verizon Communications COM 92343V104 818 16776 SH SOLE 0 0 16776 0 Visa, Inc. COM 82826C839 737 8293 SH SOLE 0 0 8293 0 Wal-Mart COM 931142103 3044 42224 SH SOLE 0 0 42224 0 Walgreen Boots Alliance, Inc. COM 931427108 944 11372 SH SOLE 0 0 11372 0 Walt Disney Co. COM 254687106 3091 27264 SH SOLE 0 0 27264 0 WEC Energy Group Inc. COM 976657106 362 5974 SH SOLE 0 0 5974 0 Wells Fargo & Co New COM 949746101 2647 47561 SH SOLE 0 0 47561 0 Whole Foods Market, Inc. COM 966837106 634 21325 SH SOLE 0 0 21325 0 World Fuel Services COM 981475106 487 13437 SH SOLE 0 0 13437 0