0001512779-14-000002.txt : 20140214
0001512779-14-000002.hdr.sgml : 20140214
20140214153201
ACCESSION NUMBER: 0001512779-14-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140214
EFFECTIVENESS DATE: 20140214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Rocky Mountain Advisers, LLC
CENTRAL INDEX KEY: 0001512779
IRS NUMBER: 263301611
STATE OF INCORPORATION: AK
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14185
FILM NUMBER: 14615768
BUSINESS ADDRESS:
STREET 1: 2344 SPRUCE STREET, SUITE A
CITY: BOULDER
STATE: CO
ZIP: 80302
BUSINESS PHONE: 303-444-5483
MAIL ADDRESS:
STREET 1: 2344 SPRUCE STREET, SUITE A
CITY: BOULDER
STATE: CO
ZIP: 80302
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001512779
XXXXXXXX
12-31-2013
12-31-2013
Rocky Mountain Advisers, LLC
2344 SPRUCE STREET, SUITE A
BOULDER
CO
80302
13F COMBINATION REPORT
028-14185
0001307493
028-10971
Stewart West Indies Trading Co., Ltd
N
Nicole Murphey
Vice President
(303) 444-5483
Nicole Murphey
Boulder
CO
02-14-2014
0
152
10157
false
INFORMATION TABLE
2
rinfotable_4q13.xml
RMA FORM 13F-HR
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
534
3
SH
SOLE
0
0
3
TWENTY FIRST CENTY FOX INC
CL A
90130A101
19
552
SH
SOLE
0
0
552
3M CO
COM
88579Y101
358
2554
SH
SOLE
0
0
2554
ADAMS EXPRESS CO
COM
006212104
11
813
SH
SOLE
0
0
813
ALCATEL-LUCENT
SPONSORED ADR
013904305
2
390
SH
SOLE
0
0
390
ALEXZA PHARMACEUTICALS INC
COM NEW
015384209
2
350
SH
SOLE
0
0
350
ALLSTATE CORP
COM
020002101
14
260
SH
SOLE
0
0
260
AMERICAN SOFTWARE INC
CL A
029683109
10
1000
SH
SOLE
0
0
1000
ANADARKO PETE CORP
COM
032511107
20
250
SH
SOLE
0
0
250
ANNALY CAP MGMT INC
COM
035710409
2
230
SH
SOLE
0
0
230
AOL INC
COM
00184X105
1
30
SH
SOLE
0
0
30
APPLE INC
COM
037833100
84
150
SH
SOLE
0
0
150
ARCHER DANIELS MIDLAND CO
COM
039483102
4
100
SH
SOLE
0
0
100
ASSURED GUARANTY LTD
COM
G0585R106
5
230
SH
SOLE
0
0
230
BANK OF AMERICA CORPORATION
7.25%CNV PFD L
060505682
53
50
SH
SOLE
0
0
50
BANK OF AMERICA CORPORATION
COM
060505104
38
2431
SH
SOLE
0
0
2431
BAXTER INTL INC
COM
071813109
18
265
SH
SOLE
0
0
265
BECTON DICKINSON & CO
COM
075887109
66
600
SH
SOLE
0
0
600
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1275
10754
SH
SOLE
0
0
10754
BLACK HILLS CORP
COM
092113109
53
1000
SH
SOLE
0
0
1000
BOULDER GROWTH & INCOME FD I
COM
101507101
365
45428
SH
SOLE
0
0
45428
BOULDER TOTAL RETURN FD INC
COM
101541100
315
13705
SH
SOLE
0
0
13705
BRISTOL MYERS SQUIBB CO
COM
110122108
16
300
SH
SOLE
0
0
300
CABELAS INC
COM
126804301
14
211
SH
SOLE
0
0
211
CALPINE CORP
COM NEW
131347304
4
200
SH
SOLE
0
0
200
CBS CORP NEW
CL B
124857202
10
158
SH
SOLE
0
0
158
CHEVRON CORP NEW
COM
166764100
7
58
SH
SOLE
0
0
58
CINCINNATI FINL CORP
COM
172062101
131
2500
SH
SOLE
0
0
2500
CISCO SYS INC
COM
17275R102
31
1400
SH
SOLE
0
0
1400
CITIGROUP INC
COM NEW
172967424
31
600
SH
SOLE
0
0
600
CLEAR CHANNEL OUTDOOR HLDGS
CL A
18451C109
2
228
SH
SOLE
0
0
228
COCA COLA CO
COM
191216100
180
4362
SH
SOLE
0
0
4362
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
58
2800
SH
SOLE
0
0
2800
CONOCOPHILLIPS
COM
20825C104
70
996
SH
SOLE
0
0
996
COSTCO WHSL CORP NEW
COM
22160K105
3
28
SH
SOLE
0
0
28
DENALI FD INC
COM
24823A102
33
1719
SH
SOLE
0
0
1719
DIRECTV
COM
25490A309
50
731
SH
SOLE
0
0
731
DISNEY WALT CO
COM DISNEY
254687106
8
100
SH
SOLE
0
0
100
DOW 30 PREMIUM & DIV INC FD
COM
260582101
5
300
SH
SOLE
0
0
300
DU PONT E I DE NEMOURS & CO
COM
263534109
3
44
SH
SOLE
0
0
44
DUKE ENERGY CORP NEW
COM NEW
26441C204
7
100
SH
SOLE
0
0
100
EXELON CORP
COM
30161N101
83
3040
SH
SOLE
0
0
3040
EXXON MOBIL CORP
COM
30231G102
52
511
SH
SOLE
0
0
511
FIFTH THIRD BANCORP
COM
316773100
2
106
SH
SOLE
0
0
106
FLAHERTY & CRUMRINE TOTAL RE
COM
338479108
37
2000
SH
SOLE
0
0
2000
GENERAL ELECTRIC CO
COM
369604103
42
1500
SH
SOLE
0
0
1500
GENERAL MLS INC
COM
370334104
60
1200
SH
SOLE
0
0
1200
GENERAL MTRS CO
*W EXP 07/10/201
37045V118
1
27
SH
SOLE
0
0
27
GENERAL MTRS CO
*W EXP 07/10/201
37045V126
1
27
SH
SOLE
0
0
27
GENERAL MTRS CO
COM
37045V100
1
29
SH
SOLE
0
0
29
GENWORTH FINL INC
COM CL A
37247D106
1
70
SH
SOLE
0
0
70
GOLDMAN SACHS GROUP INC
COM
38141G104
21
120
SH
SOLE
0
0
120
GOOGLE INC
CL A
38259P508
11
10
SH
SOLE
0
0
10
GREAT PLAINS ENERGY INC
COM
391164100
114
4699
SH
SOLE
0
0
4699
HANCOCK JOHN PFD INCOME FD I
COM
41013X106
18
1000
SH
SOLE
0
0
1000
HONEYWELL INTL INC
COM
438516106
11
124
SH
SOLE
0
0
124
HOST HOTELS & RESORTS INC
COM
44107P104
10
511
SH
SOLE
0
0
511
INTEL CORP
COM
458140100
34
1300
SH
SOLE
0
0
1300
INTERNATIONAL BUSINESS MACHS
COM
459200101
497
2650
SH
SOLE
0
0
2650
INTUITIVE SURGICAL INC
COM NEW
46120E602
6
15
SH
SOLE
0
0
15
ISHARES
CORE TOTUSBD ETF
464287226
27
250
SH
SOLE
0
0
250
ISHARES GOLD TRUST
ISHARES
464285105
9
800
SH
SOLE
0
0
800
ISHARES
MSCI BRZ CAP ETF
464286400
7
150
SH
SOLE
0
0
150
ISHARES
MSCI CDA ETF
464286509
52
1800
SH
SOLE
0
0
1800
ISHARES
MSCI AUST ETF
464286103
65
2650
SH
SOLE
0
0
2650
ISHARES
MSCI JAPAN ETF
464286848
12
1007
SH
SOLE
0
0
1007
ISHARES
SELECT DIVID ETF
464287168
103
1445
SH
SOLE
0
0
1445
ISHARES
1-3 YR CR BD ETF
464288646
287
2725
SH
SOLE
0
0
2725
ISHARES
1-3 YR TR BD ETF
464287457
42
500
SH
SOLE
0
0
500
ISHARES
DOW JONES US ETF
464287846
30
320
SH
SOLE
0
0
320
ISHARES
RUS 2000 GRW ETF
464287648
74
545
SH
SOLE
0
0
545
JOHNSON & JOHNSON
COM
478160104
212
2319
SH
SOLE
0
0
2319
JPMORGAN CHASE & CO
COM
46625H100
44
745
SH
SOLE
0
0
745
KANSAS CITY SOUTHERN
COM NEW
485170302
10
81
SH
SOLE
0
0
81
KIMBERLY CLARK CORP
COM
494368103
157
1500
SH
SOLE
0
0
1500
KINDER MORGAN INC DEL
COM
49456B101
19
534
SH
SOLE
0
0
534
KINDER MORGAN INC DEL
*W EXP 05/25/201
49456B119
3
817
SH
SOLE
0
0
817
LEGG MASON INC
COM
524901105
13
300
SH
SOLE
0
0
300
LIBERTY INTERACTIVE CORP
INT COM SER A
53071M104
27
915
SH
SOLE
0
0
915
LIBERTY INTERACTIVE CORP
LBT VENT COM A
53071M880
8
62
SH
SOLE
0
0
62
LIBERTY MEDIA CORP DELAWARE
CL A
531229102
36
247
SH
SOLE
0
0
247
LILLY ELI & CO
COM
532457108
31
600
SH
SOLE
0
0
600
M D C HLDGS INC
COM
552676108
32
1000
SH
SOLE
0
0
1000
MDU RES GROUP INC
COM
552690109
5
177
SH
SOLE
0
0
177
MCDONALDS CORP
COM
580135101
5
55
SH
SOLE
0
0
55
MERCK & CO INC NEW
COM
58933Y105
99
1986
SH
SOLE
0
0
1986
MERITAGE HOMES CORP
COM
59001A102
48
1000
SH
SOLE
0
0
1000
MICROSOFT CORP
COM
5949104
226
6040
SH
SOLE
0
0
6040
MORGAN STANLEY CHINA A SH FD
COM
617468103
8
340
SH
SOLE
0
0
340
MYLAN INC
COM
628530107
13
300
SH
SOLE
0
0
300
NATIONAL OILWELL VARCO INC
COM
637071101
7
82
SH
SOLE
0
0
82
NEWFIELD EXPL CO
COM
651290108
1
40
SH
SOLE
0
0
40
NEWS CORP NEW
CL A
65249B109
2
138
SH
SOLE
0
0
138
NORFOLK SOUTHERN CORP
COM
655844108
49
529
SH
SOLE
0
0
529
NORTHEAST UTILS
COM
664397106
6
150
SH
SOLE
0
0
150
NUVEEN ENERGY MLP TOTL RTRNF
COM
67074U103
84
4321
SH
SOLE
0
0
4321
NUVEEN SELECT TAX FREE INCM
SH BEN INT
67063X100
6
500
SH
SOLE
0
0
500
ONEOK PARTNERS LP
UNIT LTD PARTN
68268N103
11
200
SH
SOLE
0
0
200
ORACLE CORP
COM
68389X105
10
252
SH
SOLE
0
0
252
PAYCHEX INC
COM
704326107
127
2800
SH
SOLE
0
0
2800
PFIZER INC
COM
717081103
5
172
SH
SOLE
0
0
172
PHILLIPS 66
COM
718546104
19
248
SH
SOLE
0
0
248
PIMCO ETF TR
TOTL RETN ETF
72201R775
26
250
SH
SOLE
0
0
250
PIMCO ETF TR
1-5 US TIP IDX
72201R205
6
115
SH
SOLE
0
0
115
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
13
244
SH
SOLE
0
0
244
POWERSHARES DB CMDTY IDX TRA
UNIT LTD PARTN
73935S105
10
395
SH
SOLE
0
0
395
POWERSHARES GLOBAL ETF TRUST
AGG PFD PORT
73936T565
47
3500
SH
SOLE
0
0
3500
POWERSHARES GLOBAL ETF TRUST
GBL WTR PORT
73936T623
11
490
SH
SOLE
0
0
490
PPL CORP
COM
69351T106
1
43
SH
SOLE
0
0
43
PRINCIPAL FINL GROUP INC
COM
74251V102
10
211
SH
SOLE
0
0
211
PROCTER & GAMBLE CO
COM
742718109
163
2000
SH
SOLE
0
0
2000
PRUDENTIAL PLC
ADR
74435K204
23
500
SH
SOLE
0
0
500
PRUDENTIAL FINL INC
COM
744320102
8
87
SH
SOLE
0
0
87
PULTE GROUP INC
COM
745867101
41
2000
SH
SOLE
0
0
2000
RANGE RES CORP
COM
75281A109
4
50
SH
SOLE
0
0
50
RAYONIER INC
COM
754907103
7
165
SH
SOLE
0
0
165
REDWOOD TR INC
COM
758075402
3
147
SH
SOLE
0
0
147
ROYCE GLOBAL VALUE TR INC
COM
78081T104
0
47
SH
SOLE
0
0
47
ROYCE VALUE TR INC
COM
780910105
5
331
SH
SOLE
0
0
331
SAFETY INS GROUP INC
COM
78648T100
6
100
SH
SOLE
0
0
100
SCANA CORP NEW
COM
80589M102
6
135
SH
SOLE
0
0
135
SEARS HLDGS CORP
COM
812350106
2
43
SH
SOLE
0
0
43
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
68
940
SH
SOLE
0
0
940
SPDR SERIES TRUST
DB INT GVT ETF
78464A490
15
260
SH
SOLE
0
0
260
STARZ
COM SER A
85571Q102
7
247
SH
SOLE
0
0
247
STATOIL ASA
SPONSORED ADR
85771P102
2
100
SH
SOLE
0
0
100
SUN LIFE FINL INC
COM
866796105
18
500
SH
SOLE
0
0
500
SUNEDISON INC
COM
86732Y109
1
51
SH
SOLE
0
0
51
SYSCO CORP
COM
871829107
11
300
SH
SOLE
0
0
300
TANGER FACTORY OUTLET CTRS I
COM
87465106
183
5700
SH
SOLE
0
0
5700
TEREX CORP NEW
COM
880779103
1
29
SH
SOLE
0
0
29
TEVA PHARMACEUTICAL INDS LTD
ADR
881624209
22
550
SH
SOLE
0
0
550
SOUTHERN CO
COM
842587107
5
118
SH
SOLE
0
0
118
TIME WARNER CABLE INC
COM
88732J207
11
83
SH
SOLE
0
0
83
TIME WARNER INC
COM NEW
887317303
23
333
SH
SOLE
0
0
333
TORTOISE ENERGY INFRSTRCTR C
COM
89147L100
8
175
SH
SOLE
0
0
175
TOWERS WATSON & CO
CL A
891894107
700
5486
SH
SOLE
0
0
5486
UNILEVER PLC
SPON ADR NEW
904767704
25
600
SH
SOLE
0
0
600
UNION PAC CORP
COM
907818108
168
1000
SH
SOLE
0
0
1000
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
227
2830
SH
SOLE
0
0
2830
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
338
4230
SH
SOLE
0
0
4230
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
6
80
SH
SOLE
0
0
80
VANGUARD SPECIALIZED PORTFOL
DIV APP ETF
921908844
159
2110
SH
SOLE
0
0
2110
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
87
910
SH
SOLE
0
0
910
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
6
100
SH
SOLE
0
0
100
VECTREN CORP
COM
92240G101
7
190
SH
SOLE
0
0
190
VIACOM INC NEW
CL B
92553P201
13
152
SH
SOLE
0
0
152
WAL-MART STORES INC
COM
931142103
488
6200
SH
SOLE
0
0
6200
WELLS FARGO & CO NEW
COM
949746101
9
200
SH
SOLE
0
0
200
WESTAR ENERGY INC
COM
95709T100
6
200
SH
SOLE
0
0
200
WISDOMTREE TR
INDIA ERNGS FD
97717W422
10
565
SH
SOLE
0
0
565
YUM BRANDS INC
COM
988498101
196
2590
SH
SOLE
0
0
2590