Chief Compliance Officer

0000910472-13-003285.txt : 20130822 0000910472-13-003285.hdr.sgml : 20130822 20130821173604 ACCESSION NUMBER: 0000910472-13-003285 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130630 FILED AS OF DATE: 20130822 DATE AS OF CHANGE: 20130821 EFFECTIVENESS DATE: 20130822 FILER: COMPANY DATA: COMPANY CONFORMED NAME: National Asset Management, Inc. CENTRAL INDEX KEY: 0001464811 IRS NUMBER: 911648671 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13634 FILM NUMBER: 131053731 BUSINESS ADDRESS: STREET 1: 120 BROADWAY STREET 2: FLOOR 27 CITY: NEW YORK STATE: NY ZIP: 10271 BUSINESS PHONE: 212-417-3639 MAIL ADDRESS: STREET 1: 120 BROADWAY STREET 2: FLOOR 27 CITY: NEW YORK STATE: NY ZIP: 10271 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001464811 XXXXXXXX 06-30-2013 06-30-2013 National Asset Management, Inc.

120 BROADWAY FLOOR 27 NEW YORK NY 10271

13F COMBINATION REPORT 028-13634 028-24896 Brandes Investment Partners, LP 028-28445 Clark Capital Management Group 028-54255 Dreman Value Management, LLC 028-60453 Hays Advisory 028-67624 Institute for Wealth Management 028-30582 Navellier & Associates 028-68580 SFE Investment Counsel 028-71064 Good Harbor N Paul Keaton Chief Compliance Officer 212-417-3639 Paul Keaton New York NY 08-12-2013 1 691 294632 false 1 028-61113 Main Management, LLC INFORMATION TABLE 2 aci_13f.xml SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 183 1235 SH SOLE 0 0 1235 ISHARES INC MSCI HONG KONG 464286871 172 9412 SH SOLE 0 0 9412 ISHARES INC MSCI JAPAN 464286848 154 13710 SH SOLE 0 0 13710 ISHARES TR CORE S&P MCP ETF 464287507 717 6206 SH SOLE 0 0 6206 ISHARES TR S&P MIDCP VALU 464287705 210 2072 SH SOLE 0 0 2072 ISHARES TR S&P MC 400 GRW 464287606 320 2486 SH SOLE 0 0 2486 ISHARES TR CORE S&P SCP ETF 464287804 474 5254 SH SOLE 0 0 5254 ISHARES TR S&P SMLCP GROW 464287887 1416 14620 SH SOLE 0 0 14620 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27829F108 226 24376 SH SOLE 0 0 24376 FIRST TR/ABERDEEN EMERG OPT COM 33731K102 99 5264 SH SOLE 0 0 5264 HERTZ GLOBAL HOLDINGS INC COM 42805T105 166 6691 SH SOLE 0 0 6691 PROSHARES TR PSHS SHRT S&P500 74347R503 876 29521 SH SOLE 0 0 29521 PROSHARES TR PSHS SHTRUSS2000 74347R826 135 6525 SH SOLE 0 0 6525 RMR REAL ESTATE INCOME FUND COM 76970B101 626 30973 SH SOLE 0 0 30973 BARCLAYS BK PLC IPSP CROIL ETN 06738C786 128 5748 SH SOLE 0 0 5748 POWERSHARES ETF TRUST DYNA BUYBK ACH 73935X286 164 4620 SH SOLE 0 0 4620 SIGA TECHNOLOGIES INC COM 826917106 115 40425 SH SOLE 0 0 40425 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 926 15913 SH SOLE 0 0 15913 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 113 6326 SH SOLE 0 0 6326 ISHARES TR HIGH YLD CORP 464288513 566 6225 SH SOLE 0 0 6225 ISHARES TR BARCLYS 1-3YR CR 464288646 618 5884 SH SOLE 0 0 5884 ISHARES TR BARCLYS 10-20YR 464288653 182 1434 SH SOLE 0 0 1434 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 250 3000 SH SOLE 0 0 3000 PROSHARES TR PSHS ULTRUSS2000 74347R842 3550 59266 SH SOLE 0 0 59266 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 1041 22919 SH SOLE 0 0 22919 POWERSHARES ETF TRUST WILDERHILL PRO 73935X161 88 3250 SH SOLE 0 0 3250 POWERSHARES ETF TRUST BASIC MAT SECT 73935X427 178 4200 SH SOLE 0 0 4200 ISHARES TR MSCI KLD400 SOC 464288570 171 2840 SH SOLE 0 0 2840 DISCOVER FINL SVCS COM 254709108 114 2388 SH SOLE 0 0 2388 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 290 39326 SH SOLE 0 0 39326 RYDEX ETF TRUST GUG S&P MC400 PG 78355W601 637 6265 SH SOLE 0 0 6265 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 452 21478 SH SOLE 0 0 21478 ISHARES TR BARCLYS MBS BD 464288588 192 1826 SH SOLE 0 0 1826 ISHARES TR US PFD STK IDX 464288687 1518 38654 SH SOLE 0 0 38654 LOCAL CORP COM 53954W104 89 53000 SH SOLE 0 0 53000 BANK NEW YORK MELLON CORP COM 064058100 240 8550 SH SOLE 0 0 8550 ISHARES TR DJ INTL SEL DIVD 464288448 328 10297 SH SOLE 0 0 10297 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 277 5738 SH SOLE 0 0 5738 ISHARES TR BARCLYS 3-7 YR 464288661 378 3134 SH SOLE 0 0 3134 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 201 2483 SH SOLE 0 0 2483 UNITED STATES NATL GAS FUND UNIT PAR $0.001 912318201 171 9022 SH SOLE 0 0 9022 KRATOS DEFENSE & SEC SOLUTIO COM NEW 50077B207 62 9492 SH SOLE 0 0 9492 ISHARES INC MSCI BRIC INDX 464286657 106 3109 SH SOLE 0 0 3109 DENISON MINES CORP COM 248356107 42 35500 SH SOLE 0 0 35500 KODIAK OIL & GAS CORP COM 50015Q100 1125 126500 SH SOLE 0 0 126500 PARAMOUNT GOLD & SILVER CORP COM 69924P102 27 22560 SH SOLE 0 0 22560 TIME WARNER CABLE INC COM 88732J207 248 2206 SH SOLE 0 0 2206 MARKET VECTORS ETF TR MV ENVIR SVCS 57060U209 340 6060 SH SOLE 0 0 6060 MELLANOX TECHNOLOGIES LTD SHS M51363113 161 3259 SH SOLE 0 0 3259 EATON VANCE RISK MNGD DIV EQ COM 27829G106 806 73929 SH SOLE 0 0 73929 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 568 13313 SH SOLE 0 0 13313 BARCLAYS BANK PLC ETN DJUBS AGRI37 06739H206 113 2221 SH SOLE 0 0 2221 FIRST TR ISE 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CINEMARK HOLDINGS INC COM 17243V102 111 3981 SH SOLE 0 0 3981 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 244 8999 SH SOLE 0 0 8999 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 257 8326 SH SOLE 0 0 8326 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 94 5000 SH SOLE 0 0 5000 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 365 9189 SH SOLE 0 0 9189 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 255 12900 SH SOLE 0 0 12900 ING ASIA PAC HGH DIVID EQ IN COM 44983J107 61 4500 SH SOLE 0 0 4500 ISHARES TR RESIDENT PLS CAP 464288562 1395 27250 SH SOLE 0 0 27250 POWERSHARES ETF TRUST II DWA DEVEL MKTS 73936Q108 81 3851 SH SOLE 0 0 3851 POWERSHARES ETF TRUST II DWA EMRG MKTS 73936Q207 81 4504 SH SOLE 0 0 4504 POWERSHARES GLOBAL ETF FD S&P 500 BUYWRT 73936G308 487 24181 SH SOLE 0 0 24181 CRESTWOOD MIDSTREAM PRTNERS COM UNITS REPSTG 226372100 80 3200 SH SOLE 0 0 3200 BARCLAYS BANK PLC ETN DJUBS ENRG37 06739H750 113 6728 SH SOLE 0 0 6728 VISA INC COM CL A 92826C839 754 4128 SH SOLE 0 0 4128 REVENUESHARES ETF TR SMALL CAP FD 761396308 193 4420 SH SOLE 0 0 4420 PHILIP MORRIS INTL INC COM 718172109 1606 18545 SH SOLE 0 0 18545 MARKET VECTORS ETF TR MKTVEC INTMUETF 57060U845 249 11300 SH SOLE 0 0 11300 PROSHARES TR PSHS ULT 2000 GR 74347R487 152 2246 SH SOLE 0 0 2246 ISHARES INC MSCI THAI CAPPED 464286624 164 2091 SH SOLE 0 0 2091 DR PEPPER SNAPPLE GROUP INC COM 26138E109 99 2154 SH SOLE 0 0 2154 POWERSHARES ETF TRUST ENERGY SEC POR 73935X385 152 3190 SH SOLE 0 0 3190 AMERICAN APPAREL INC COM 023850100 24 12500 SH SOLE 0 0 12500 CLAYMORE EXCHANGE TRD FD TR GUG MIDCAP CORE 18383M720 450 11340 SH SOLE 0 0 11340 EATON VANCE N J MUN BD FD COM 27828R103 54 4267 SH SOLE 0 0 4267 GUGGENHEIM STRATEGIC OPP FD COM SBI 40167F101 97 4394 SH SOLE 0 0 4394 NUVERRA ENVIRONMENTAL SOLUTI COM 67091K104 24 8425 SH SOLE 0 0 8425 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 883 61878 SH SOLE 0 0 61878 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 184 9845 SH SOLE 0 0 9845 RYDEX ETF TRUST GUG S&P500 EWCON 78355W874 148 1810 SH SOLE 0 0 1810 RYDEX ETF TRUST GUG S&P500EQWTMA 78355W825 546 8340 SH SOLE 0 0 8340 RYDEX ETF TRUST GUG S&P500EQWTUT 78355W791 301 4820 SH SOLE 0 0 4820 PROSHARES TR PSHS ULT MDCP GR 74347R511 123 1761 SH SOLE 0 0 1761 VIRNETX HLDG CORP COM 92823T108 576 28800 SH SOLE 0 0 28800 SPDR SERIES TRUST S&P PHARMAC 78464A722 224 3180 SH SOLE 0 0 3180 PROSHARES TR PSHS ULTSH 20YRS 74347B201 184 2537 SH SOLE 0 0 2537 LORILLARD INC COM 544147101 168 3847 SH SOLE 0 0 3847 FIFTH STREET FINANCE CORP COM 31678A103 594 56795 SH SOLE 0 0 56795 TOWERSTREAM CORP COM 892000100 41 16200 SH SOLE 0 0 16200 NEW YORK MTG TR INC COM PAR $.02 649604501 808 119306 SH SOLE 0 0 119306 REVOLUTION LIGHTING TECHNOLO COM 76155G107 1972 492895 SH SOLE 0 0 492895 HOUSTON AMERN ENERGY CORP COM 44183U100 14 51306 SH SOLE 0 0 51306 MILLER ENERGY RES INC COM 600527105 1000 250000 SH SOLE 0 0 250000 AMERICAN CAPITAL AGENCY CORP COM 02503X105 584 25386 SH SOLE 0 0 25386 CAPITAL PRODUCT PARTNERS L P COM UNIT LP Y11082107 69 7450 SH SOLE 0 0 7450 BARCLAYS BANK PLC ETN DJUBSCOTTN38 06739H271 115 2130 SH SOLE 0 0 2130 WESTPORT INNOVATIONS INC COM NEW 960908309 183 5465 SH SOLE 0 0 5465 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 456 74631 SH SOLE 0 0 74631 NEURALSTEM INC COM 64127R302 132 88763 SH SOLE 0 0 88763 CUSHING MLP TOTAL RETURN FD COM SHS 231631102 331 41159 SH SOLE 0 0 41159 DENALI FD INC COM 24823A102 640 32865 SH SOLE 0 0 32865 EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 608 13920 SH SOLE 0 0 13920 ISHARES TR AGENCY BD FD 464288166 777 7016 SH SOLE 0 0 7016 NEUBERGER BERMAN HGH YLD FD COM 64128C106 95 7409 SH SOLE 0 0 7409 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 112 4853 SH SOLE 0 0 4853 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 143 3065 SH SOLE 0 0 3065 INVESCO MORTGAGE CAPITAL INC COM 46131B100 580 35037 SH SOLE 0 0 35037 YONGYE INTL INC COM 98607B106 36 6795 SH SOLE 0 0 6795 PROSHARES TR SHRT 20+YR TRE 74347X849 108 3429 SH SOLE 0 0 3429 ALPS ETF TR JEFF TRJ CRB GLO 00162Q304 109 2728 SH SOLE 0 0 2728 RECOVERY ENERGY INC COM NEW 75626X202 171 109094 SH SOLE 0 0 109094 TWO HBRS INVT CORP COM 90187B101 956 93317 SH SOLE 0 0 93317 ARMOUR RESIDENTIAL REIT INC COM 042315101 2345 497798 SH SOLE 0 0 497798 PIMCO ETF TR ENHAN SHRT MAT 72201R833 737 7275 SH SOLE 0 0 7275 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 472 12135 SH SOLE 0 0 12135 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 595 15579 SH SOLE 0 0 15579 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 446 10150 SH SOLE 0 0 10150 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 431 11311 SH SOLE 0 0 11311 L & L ENERGY INC COM 50162D100 55 15500 SH SOLE 0 0 15500 FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 270 20769 SH SOLE 0 0 20769 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 141 5574 SH SOLE 0 0 5574 FIRST INTST BANCSYSTEM INC COM CL A 32055Y201 70 3400 SH SOLE 0 0 3400 POWERSHARES ETF TR II S&P SMCP HC PO 73937B886 353 8200 SH SOLE 0 0 8200 THL CR INC COM 872438106 58 3800 SH SOLE 0 0 3800 PROSHARES TR ULTRA EUROPE 74347X526 85 2487 SH SOLE 0 0 2487 EQUAL ENERGY LTD COM 29390Q109 81 20000 SH SOLE 0 0 20000 ACCESS MIDSTREAM PARTNERS L UNIT 00434L109 272 5700 SH SOLE 0 0 5700 MOLYCORP INC DEL COM 608753109 196 31555 SH SOLE 0 0 31555 TRIUS THERAPEUTICS INC COM 89685K100 89 11000 SH SOLE 0 0 11000 KKR & CO L P DEL COM UNITS 48248M102 147 7500 SH SOLE 0 0 7500 TORTOISE MLP FD INC COM 89148B101 154 5260 SH SOLE 0 0 5260 WHITESTONE REIT COM 966084204 159 10061 SH SOLE 0 0 10061 ALPS ETF TR ALERIAN MLP 00162Q866 442 24781 SH SOLE 0 0 24781 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 36 40000 PRN SOLE 0 0 40000 ISHARES TR PHILL INVSTMRK 46429B408 151 4305 SH SOLE 0 0 4305 PROSHARES TR ULTR 7-10 TREA 74347R180 197 3776 SH SOLE 0 0 3776 HORIZON TECHNOLOGY FIN CORP COM 44045A102 262 19059 SH SOLE 0 0 19059 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 134 2506 SH SOLE 0 0 2506 GENERAL MTRS CO COM 37045V100 122 3674 SH SOLE 0 0 3674 ANACOR PHARMACEUTICALS INC COM 032420101 120 21498 SH SOLE 0 0 21498 GENERAL MTRS CO JR PFD CNV SRB 37045V209 170 3535 SH SOLE 0 0 3535 VENTRUS BIOSCIENCES INC COM 922822101 87 36300 SH SOLE 0 0 36300 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 385 12047 SH SOLE 0 0 12047 OXFORD LANE CAP CORP COM 691543102 1365 82469 SH SOLE 0 0 82469 CLAYMORE EXCHANGE TRD FD TR GUGG BULL 2015 18383M423 368 14042 SH SOLE 0 0 14042 ACELRX PHARMACEUTICALS INC COM 00444T100 112 12109 SH SOLE 0 0 12109 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 177 7169 SH SOLE 0 0 7169 ISHARES TR HGH DIV EQT FD 46429B663 424 6390 SH SOLE 0 0 6390 GNC HLDGS INC COM CL A 36191G107 94 2137 SH SOLE 0 0 2137 FIRSTHAND TECH VALUE FD INC COM 33766Y100 298 15015 SH SOLE 0 0 15015 RENREN INC SPONSORED ADR 759892102 87 29000 SH SOLE 0 0 29000 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 676 21734 SH SOLE 0 0 21734 APOLLO GLOBAL MGMT LLC CL A SHS 037612306 88 3650 SH SOLE 0 0 3650 LINKEDIN CORP COM CL A 53578A108 192 1077 SH SOLE 0 0 1077 ISHARES TR FLTG RATE NT 46429B655 301 5946 SH SOLE 0 0 5946 AG MTG INVT TR INC COM 001228105 1130 60057 SH SOLE 0 0 60057 TANGOE INC COM 87582Y108 78 5034 SH SOLE 0 0 5034 DUNKIN BRANDS GROUP INC COM 265504100 150 3507 SH SOLE 0 0 3507 C&J ENERGY SVCS INC COM 12467B304 105 5400 SH SOLE 0 0 5400 AMERICAN RLTY CAP PPTYS INC COM 02917T104 2890 189416 SH SOLE 0 0 189416 ADVISORSHARES TR TRIMTABS FLT 00768Y818 91 2200 SH SOLE 0 0 2200 ISHARES TR USA MIN VOL ID 46429B697 1560 47887 SH SOLE 0 0 47887 INERGY MIDSTREAM LP U LTD PARTNERS 45671U106 218 9798 SH SOLE 0 0 9798 ZYNGA INC CL A 98986T108 79 28500 SH SOLE 0 0 28500 GAMCO NAT RES GOLD & INCOME SH BEN INT 36465E101 140 13434 SH SOLE 0 0 13434 PHILLIPS 66 COM 718546104 583 9897 SH SOLE 0 0 9897 ISHARES TR BARCLAYS CMBS 46429B366 300 5855 SH SOLE 0 0 5855 PIMCO ETF TR TOTL RETN ETF 72201R775 408 3871 SH SOLE 0 0 3871 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 87 5000 SH SOLE 0 0 5000 ATLAS RESOURCE PARTNERS LP COM UNT LTD PR 04941A101 174 7959 SH SOLE 0 0 7959 RETAIL PPTYS AMER INC CL A 76131V202 148 10369 SH SOLE 0 0 10369 SANDRIDGE MISSISSIPPIAN TR I SH BEN INT 80007V106 80 6400 SH SOLE 0 0 6400 WESTERN ASSET MTG CAP CORP COM 95790D105 151 8650 SH SOLE 0 0 8650 FACEBOOK INC CL A 30303M102 1442 57957 SH SOLE 0 0 57957 CLAYMORE EXCHANGE TRD FD TR GUG BLT2018 HY 18383M381 2418 93074 SH SOLE 0 0 93074 TCP CAP CORP COM 87238Q103 274 16349 SH SOLE 0 0 16349 HEALTHCARE TR AMER INC CL A 42225P105 215 19146 SH SOLE 0 0 19146 GLOBUS MED INC CL A 379577208 116 6908 SH SOLE 0 0 6908 KRAFT FOODS GROUP INC COM 50076Q106 640 11461 SH SOLE 0 0 11461 PREFERRED APT CMNTYS INC COM 74039L103 288 32051 SH SOLE 0 0 32051 NUVEEN LG/SHT COMMODITY TOTR COM UT BEN INT 670731108 87 4368 SH SOLE 0 0 4368 SPROTT PHYSICAL PLAT PALLAD UNIT 85207Q104 84 10000 SH SOLE 0 0 10000 ABBVIE INC COM 00287Y109 425 10291 SH SOLE 0 0 10291 MOLYCORP INC DEL NOTE 6.000% 9/0 608753AF6 260 350000 PRN SOLE 0 0 350000 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 7243 316164 SH SOLE 0 0 316164 APOLLO TACTICAL INCOME FD IN COM 037638103 90 5000 SH SOLE 0 0 5000 DOUBLELINE INCOME SOLUTIONS COM 258622109 358 15425 SH SOLE 0 0 15425 FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 100 4000 SH SOLE 0 0 4000 RCS CAP CORP COM CL A 74937W102 146 8600 SH SOLE 0 0 8600