chief compliance officer

0001583751-13-000004.txt : 20131018 0001583751-13-000004.hdr.sgml : 20131018 20131018124919 ACCESSION NUMBER: 0001583751-13-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20131018 DATE AS OF CHANGE: 20131018 EFFECTIVENESS DATE: 20131018 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TCI Wealth Advisors, Inc. CENTRAL INDEX KEY: 0001583751 IRS NUMBER: 861002710 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15613 FILM NUMBER: 131158930 BUSINESS ADDRESS: STREET 1: 4011 E SUNRISE DR CITY: TUCSON STATE: AZ ZIP: 85718 BUSINESS PHONE: 520-733-1477 MAIL ADDRESS: STREET 1: 4011 E SUNRISE DR CITY: TUCSON STATE: AZ ZIP: 85718 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001583751 XXXXXXXX 03-31-2013 03-31-2013 TCI Wealth Advisors, Inc.

4011 E SUNRISE DR TUCSON AZ 85718

13F HOLDINGS REPORT 028-15613 N Catherine A. Nichols chief compliance officer 520-733-1477 Catherine A. Nichols Tucson AZ 10-09-2013 0 734 91096 false INFORMATION TABLE 2 tci13f1q2013.xml A F L A C Inc COM 001055102 7 143 SH SOLE 0 0 143 Abercrombie & Fitch Cl A CL A 002896207 2 40 SH SOLE 0 0 40 Abraxas Petroleum Corp COM 003830106 2 1000 SH SOLE 0 0 1000 Adams Express Co COM 006212104 5 454 SH SOLE 0 0 454 Air Pdts & Chemicals Inc COM 009158106 23 260 SH SOLE 0 0 260 Alcoa COM 013817101 2 255 SH SOLE 0 0 255 Alcatel Lucent Adr SPONSORED ADR 013904305 1 388 SH SOLE 0 0 388 Alleghany Corp COM 017175100 3 7 SH SOLE 0 0 7 Allergan Inc COM 018490102 8 75 SH SOLE 0 0 75 Alliant Energy Corp COM 018802108 5 100 SH SOLE 0 0 100 Alliant Techsystems Inc COM 018804104 2 32 SH SOLE 0 0 32 Allianz SE Adr SP ADR 1/10 SH 018805101 31 2252 SH SOLE 0 0 2252 Allied Nevada Gold Corp COM 019344100 1 31 SH SOLE 0 0 31 Allstate Corp COM 020002101 11 229 SH SOLE 0 0 229 Almaden Minerals Ltd COM 020283107 3 1500 SH SOLE 0 0 1500 Altera Corporation COM 021441100 5 151 SH SOLE 0 0 151 Amazon Com Inc COM 023135106 486 1823 SH SOLE 0 0 1823 American Cap Strategies COM 024937104 1 52 SH SOLE 0 0 52 Amer Electric Power Co COM 025537101 6 121 SH SOLE 0 0 121 American Express Company COM 025816109 270 3995 SH SOLE 0 0 3995 American Water Works Co COM 030420103 42 1018 SH SOLE 0 0 1018 Amgen Incorporated COM 031162100 176 1716 SH SOLE 0 0 1716 Amphenol Corp Cl A CL A 032095101 1 19 SH SOLE 0 0 19 Anadarko Petroleum Corp COM 032511107 24 271 SH SOLE 0 0 271 Anixter Intl Inc COM 035290105 280 4000 SH SOLE 0 0 4000 Annaly Capital Mgmt REIT COM 035710409 44 2753 SH SOLE 0 0 2753 Apollo Group Inc Cl A CLA 037604105 30 1700 SH SOLE 0 0 1700 Apple Inc COM 037833100 912 2060 SH SOLE 0 0 2060 Applied Materials Inc COM 038222105 1 86 SH SOLE 0 0 86 Aptargroup Inc COM 038336103 156 2728 SH SOLE 0 0 2728 Archer Daniels Midland COM 039483102 12 366 SH SOLE 0 0 366 Arrow Electronics Inc COM 042735100 6 137 SH SOLE 0 0 137 Astrazeneca Plc Adr SPONSORED ADR 046353108 22 443 SH SOLE 0 0 443 Atmos Energy Corp COM 049560105 3 73 SH SOLE 0 0 73 Auto Data Processing COM 053015103 247 3798 SH SOLE 0 0 3798 Avery Dennison Corp COM 053611109 4 88 SH SOLE 0 0 88 Avon Products Inc COM 054303102 1 41 SH SOLE 0 0 41 A X A Sponsored Adr SPONSORED ADR 054536107 3 186 SH SOLE 0 0 186 BP Amoco Plc Adr SPONSORED ADR 055622104 184 4347 SH SOLE 0 0 4347 Baidu Inc Adr SPON ADR REP A 056752108 3 31 SH SOLE 0 0 31 Baker Hughes COM 057224107 94 2016 SH SOLE 0 0 2016 Ball Corporation COM 058498106 20 411 SH SOLE 0 0 411 Bankamerica Corp COM - 10/98 NATIONSBANK B 060505104 99 8137 SH SOLE 0 0 8137 Bank of New York Mellon COM 064058100 2 74 SH SOLE 0 0 74 Bank Of Nova Scotia COM 064149107 65 1120 SH SOLE 0 0 1120 Bard C R Incorporated COM 067383109 66 655 SH SOLE 0 0 655 Barnes Group Inc COM 067806109 175 6044 SH SOLE 0 0 6044 Baxter International Inc COM 071813109 225 3092 SH SOLE 0 0 3092 BEAM Inc COM 073730103 40 622 SH SOLE 0 0 622 Progressive Corp Ohio COM 74331503 1 19 SH SOLE 0 0 19 Becton Dickinson & Co COM 075887109 2 23 SH SOLE 0 0 23 Bed Bath & Beyond COM 075896100 77 1200 SH SOLE 0 0 1200 Bemis Co Inc COM 081437105 3 63 SH SOLE 0 0 63 Berkshire Hathaway Cl B CLB 084670702 2070 19866 SH SOLE 0 0 19866 Best Buy Inc COM 086516101 3 143 SH SOLE 0 0 143 BHP Billiton Ltd Adr SPONSORED ADR 088606108 3 50 SH SOLE 0 0 50 Boeing Co COM 097023105 55 637 SH SOLE 0 0 637 Bolt Technology Corp COM 097698104 17 1000 SH SOLE 0 0 1000 Booz Allen Hamilton CL A 099502106 1 47 SH SOLE 0 0 47 Borg Warner Inc COM 099724106 3 45 SH SOLE 0 0 45 Boston Properties Inc COM 101121101 1 5 SH SOLE 0 0 5 Breitburn Energy Ptnr Lp COM UT LTD PTN 106776107 10 500 SH SOLE 0 0 500 Bristol-Myers Squibb Co COM 110122108 338 8218 SH SOLE 0 0 8218 Brookdale Senior Living COM 112463104 30 1076 SH SOLE 0 0 1076 Brown Forman Cl A Vtg CLA 115637100 206 2799 SH SOLE 0 0 2799 Brown Forman Corp Cl B CLB 115637209 737 10329 SH SOLE 0 0 10329 C B L & Assoc Properties COM 124830100 1 41 SH SOLE 0 0 41 C B S Inc. CLB 124857202 3 69 SH SOLE 0 0 69 Cigna Corp COM 125509109 23 366 SH SOLE 0 0 366 CSX Corp COM 126408103 8 344 SH SOLE 0 0 344 CVS Caremark Corp COM - merged w/ CMX 3/27/ 126650100 1412 25672 SH SOLE 0 0 25672 Calavo Growers Inc COM 128246105 604 21000 SH SOLE 0 0 21000 Calpine Corporation COM NEW 131347304 2 96 SH SOLE 0 0 96 Campbell Soup Company COM 134429109 2 46 SH SOLE 0 0 46 Canadian Natl Ry Co COM 136375102 3 30 SH SOLE 0 0 30 Carnival Corp PAIRED CTF 143658300 3 77 SH SOLE 0 0 77 Carpenter Technology Cp COM 144285103 1 24 SH SOLE 0 0 24 Castle Brands Inc COM 148435100 3 10000 SH SOLE 0 0 10000 Caterpillar Inc COM 149123101 1852 21295 SH SOLE 0 0 21295 Celanese Corp COM SER A 150870103 3 69 SH SOLE 0 0 69 Celgene Corp COM 151020104 24 209 SH SOLE 0 0 209 Central Vly Cmnty Bancp COM 155685100 77 8927 SH SOLE 0 0 8927 CenturyLink Inc COM - Purchased EQ 7/1/09 156700106 38 1075 SH SOLE 0 0 1075 Chesapeake Energy Corp COM 165167107 4 200 SH SOLE 0 0 200 Chevron Corp COM - Was Chevrontexaco C 166764100 4593 38658 SH SOLE 0 0 38658 Chipotle Mexican Grill COM 169656105 3 10 SH SOLE 0 0 10 Cimarex Energy Co COM 171798101 2 33 SH SOLE 0 0 33 Cincinnati Financial Cp COM 172062101 1 23 SH SOLE 0 0 23 Cintas Corp COM 172908105 23 519 SH SOLE 0 0 519 Citigroup Inc COM 172967101 40 909 SH SOLE 0 0 909 Citrix Systems Inc COM 177376100 1 10 SH SOLE 0 0 10 City National Corp COM 178566105 1 14 SH SOLE 0 0 14 ClearBridge Energy MLP Fund COM 184692101 40 1500 SH SOLE 0 0 1500 Clorox Co COM 189054109 27 300 SH SOLE 0 0 300 Coach Inc COM 189754104 8 156 SH SOLE 0 0 156 Coca Cola Company COM 191216100 313 7742 SH SOLE 0 0 7742 Coca Cola Enterprises COM 191219104 2 65 SH SOLE 0 0 65 Cognizant Tech Sol Cl A CL A 192446102 10 134 SH SOLE 0 0 134 Colfax Corporation COM 194014106 1 17 SH SOLE 0 0 17 Colgate-Palmolive Co COM 194162103 30 249 SH SOLE 0 0 249 Comerica Incorporated COM 200340107 22 606 SH SOLE 0 0 606 Commercial Metals Co COM 201723103 3 164 SH SOLE 0 0 164 Commercial Net Lease COM 202218103 2 49 SH SOLE 0 0 49 Commvault Systems Inc COM 204166102 2 30 SH SOLE 0 0 30 Compuware COM 205638109 1 58 SH SOLE 0 0 58 Conagra Incorporated COM 205887102 192 5349 SH SOLE 0 0 5349 Consol Edison Inc COM 209115104 35 577 SH SOLE 0 0 577 Consumer Portfolio Svcs COM 210502100 3 243 SH SOLE 0 0 243 Corning Inc COM 219350105 7 537 SH SOLE 0 0 537 Crane Company COM 224399105 2 33 SH SOLE 0 0 33 Cummins Inc COM 231021106 47 404 SH SOLE 0 0 404 Cypress Semiconductor COM 232806109 1 84 SH SOLE 0 0 84 D S T Systems Inc COM 233326107 2 26 SH SOLE 0 0 26 DTE Energy Co COM - 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COM 713291102 3 128 SH SOLE 0 0 128 Pepsico Incorporated COM 713448108 883 11167 SH SOLE 0 0 11167 Perkinelmer Inc COM 714046109 3 78 SH SOLE 0 0 78 Perrigo Co COM 714290103 4 36 SH SOLE 0 0 36 Petsmart COM 716768106 50 807 SH SOLE 0 0 807 Pfizer Incorporated COM - Acquired WYE 10/15/ 717081103 551 19075 SH SOLE 0 0 19075 Philip Morris Intl Inc COM 718172109 768 8279 SH SOLE 0 0 8279 Phillips 66 COM 718546104 215 3074 SH SOLE 0 0 3074 Piedmont Office Rlty Tr COM CL A 720190206 3 147 SH SOLE 0 0 147 Pinnacle West Capital Cp COM 723484101 92 1587 SH SOLE 0 0 1587 Pioneer Natural Res Co COM 723787107 2 18 SH SOLE 0 0 18 Plains All Amern Ppln Lp UNIT LTD PARTN 726503105 11 200 SH SOLE 0 0 200 Plum Creek Timber Co COM 729251108 43 829 SH SOLE 0 0 829 Plumas Bancorp Quincy Ca COM 729273102 29 5479 SH SOLE 0 0 5479 Polo Ralph Lauren Cl A CL A 731572103 7 39 SH SOLE 0 0 39 Post Holdings Inc COM 737446104 10 222 SH SOLE 0 0 222 Post Properties Inc. 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Combined w/ 73935A104 65 941 SH SOLE 0 0 941 Powershs Db Commdty Indx UNIT BEN INT 73935S105 190 6960 SH SOLE 0 0 6960 Powershs Exch Trad Fd Tr WNDRHLL CLN EN 73935X500 24 5608 SH SOLE 0 0 5608 Powershs Exch Trad Fd Tr DYN BLDG CNSTR 73935X666 11 527 SH SOLE 0 0 527 Powershs Db Multi Sector DB AGRICULT FD 73936B408 23 875 SH SOLE 0 0 875 Powershs Db Base Metals DB BASE METALS 73936B705 19 1100 SH SOLE 0 0 1100 Powershs Db US Dollar Tr DOLL INDX BEAR 73936D206 50 1920 SH SOLE 0 0 1920 Powershares Exch Trad Fd BUILD AMER ETF 73937B407 67 2222 SH SOLE 0 0 2222 Powershares Etf Fd Tr II S&P SMCP C DIS 73937B506 4 105 SH SOLE 0 0 105 Powershares Etf Fd Tr II S&P SMCP FIN P 73937B803 7 202 SH SOLE 0 0 202 Powershares Etf Fd Tr II S&P SMCP HC PO 73937B886 6 146 SH SOLE 0 0 146 Praxair Inc COM 74005P104 36 322 SH SOLE 0 0 322 Pretium Resources COM 74139C102 1 83 SH SOLE 0 0 83 Rowe T Price Group Inc COM 74144T108 181 2424 SH SOLE 0 0 2424 Principal Financial Grp COM 74251V102 24 707 SH SOLE 0 0 707 Proassurance Corporation COM 74267C106 1 30 SH SOLE 0 0 30 Proshs Ultra Russell PSHS ULTRUSS2000 74347R842 17 300 SH SOLE 0 0 300 Public Storage Inc COM 74460D109 12 77 SH SOLE 0 0 77 Qep Resources Inc COM 74733V100 2 52 SH SOLE 0 0 52 Range Resources Corp COM 75281A109 4 43 SH SOLE 0 0 43 Regionals Financial Corp NEW COM 7591EP100 3 419 SH SOLE 0 0 419 Rydex S&P Equal Weight ETF S&P 500 EQ TRD 78355W106 12 200 SH SOLE 0 0 200 Rydex S&P 500 Pure Value Etf S&P PUR VAL 78355W304 2 57 SH SOLE 0 0 57 S B A Communications Cp COM 78388J106 3 42 SH SOLE 0 0 42 S L M Corporation COM N/C From SLM Holding 78442P106 4 179 SH SOLE 0 0 179 S P D R Trust Unit SR UNIT SER 1 78462F103 1520 9700 SH SOLE 0 0 9700 Spdr Dow Jones Intl DJWS INTL REAL 78463X863 34 800 SH SOLE 0 0 800 Spdr Barclays Capital BRCLYS YLD ETF 78464A417 6 138 SH SOLE 0 0 138 Spdr Nuveen Barclays Cap NUVN BR SHT MUNI 78464A425 10 400 SH SOLE 0 0 400 Spdr Barclays Cap Etf BARC CAP EF 78464A474 150 4880 SH SOLE 0 0 4880 Spdr S&P Pharmaceuticals S&P PHARMAC 78464A722 13 203 SH SOLE 0 0 203 Spdr S&P Dividend Etf S&P DIVID ETF 78464A763 760 11524 SH SOLE 0 0 11524 Spdr Kbw Bank Etf KBW BK ETF 78464A797 49 1810 SH SOLE 0 0 1810 Salesforce Com COM 79466L302 6 32 SH SOLE 0 0 32 Sandridge Energy Inc COM 80007P307 3 600 SH SOLE 0 0 600 Sandstorm Gold Ltd New COM NEW 80013R206 13 1400 SH SOLE 0 0 1400 Sanofi Aventis Adr SPONSORED ADR 80105N105 59 1150 SH SOLE 0 0 1150 Sanofi-Aventis RIGHT 12/31/2020 80105N113 1 337 SH SOLE 0 0 337 Scana Corporation New COM 80589M102 28 550 SH SOLE 0 0 550 Scientific Games Cp Cl A CL A 80874P109 2 200 SH SOLE 0 0 200 Sealed Air Corp COM 81211K100 2 80 SH SOLE 0 0 80 Sector SPDR Tr Int-Con SBI HEALTHCARE 81369Y209 5 116 SH SOLE 0 0 116 Sector Spdr Engy Select SBI INT - ENERGY 81369Y506 268 3378 SH SOLE 0 0 3378 Sector Spdr Fincl Select SBI INT - FINCL 81369Y605 3 150 SH SOLE 0 0 150 Sector Spdr Tech Select SBI INT - TECH 81369Y803 15 480 SH SOLE 0 0 480 Sector Spdr Util Select SBI - INT UTILS 81369Y886 78 2000 SH SOLE 0 0 2000 Shire PLC SPONSORED ADR 82481R106 2 25 SH SOLE 0 0 25 Silver Standard Res Incf COM 82823L106 7 625 SH SOLE 0 0 625 Silvercorp Metals Inc. COM 82835P103 1 213 SH SOLE 0 0 213 Sirius XM Radio COM 82967N108 21 6740 SH SOLE 0 0 6740 Solazyme Inc COM 83415T101 2 225 SH SOLE 0 0 225 Southern Copper Corp COM 84265V105 1 36 SH SOLE 0 0 36 Spectrum Pharms Inc COM 84763A108 2 300 SH SOLE 0 0 300 Starz Liberty Cap Corp A LIBRTY CAP COM A 85571Q102 6 256 SH SOLE 0 0 256 Ameritrade Hldg Cp Cl A COM 87236Y108 3 168 SH SOLE 0 0 168 Taser Intl Inc COM 87651B104 6 700 SH SOLE 0 0 700 Tesla Motors Inc COM 88160R101 2 49 SH SOLE 0 0 49 3M Company COM - Name change 4/02 fr 88579Y101 1630 15331 SH SOLE 0 0 15331 Tibco Software Inc COM 88632Q103 13 650 SH SOLE 0 0 650 Tim Hortons Inc COM 88706M103 37 673 SH SOLE 0 0 673 Treehouse Foods Inc COM 89469A104 1 8 SH SOLE 0 0 8 Two Harbors Investment COM 90187B101 13 1000 SH SOLE 0 0 1000 Ubs E-Tracs Shs Etn 2X LEV LNG LKD 90267B765 12 426 SH SOLE 0 0 426 U S Airways Group Inc COM 90341W108 17 1000 SH SOLE 0 0 1000 United Healthcare Corp CL B 91324P102 22 379 SH SOLE 0 0 379 Universal Ins Hldgs Inc COM 91359V107 1 300 SH SOLE 0 0 300 Unum Group COM 91529Y106 5 193 SH SOLE 0 0 193 Valeant Pharma Intl COM 91911X104 15 195 SH SOLE 0 0 195 Valero Energy Corp New COM 91913Y100 6 136 SH SOLE 0 0 136 Ventas Inc REIT COM 92276F100 9 123 SH SOLE 0 0 123 Verizon Communications COM 92343V104 1912 24247 SH SOLE 0 0 24247 Viasat Inc COM 92552V100 10 200 SH SOLE 0 0 200 Virgin Media Inc COM 92769L101 4 83 SH SOLE 0 0 83 Virnetx Holding Corp COM 92823T108 1 67 SH SOLE 0 0 67 Visa Inc Cl A COM CL A 92826C839 19 114 SH SOLE 0 0 114 Wabco Holdings Inc COM 92927K102 4 62 SH SOLE 0 0 62 W P Carey & Co L L C COM 92936U109 13 200 SH SOLE 0 0 200 Waste Management Inc Del COM 94106L109 6 165 SH SOLE 0 0 165 Wellpoint Inc COM 94973V107 22 333 SH SOLE 0 0 333 Wesco International Inc COM 95082P105 2 26 SH SOLE 0 0 26 Westar Energy Inc COM 95709T100 170 5109 SH SOLE 0 0 5109 Williams Partners Lp COM UNIT L P 96950F104 26 500 SH SOLE 0 0 500 Windstream Corp COM - Was VCG (Valor Comm 97381W104 4 500 SH SOLE 0 0 500 Wisdomtree Intl Div INTL DV TOP100 97717W786 307 7295 SH SOLE 0 0 7295 Wyndham Intl Inc Cl A COM 98310W108 7 109 SH SOLE 0 0 109 Xcel Energy Inc COM 98389B100 2 80 SH SOLE 0 0 80 Xylem Inc COM 98419M100 2 76 SH SOLE 0 0 76 Yamana Gold Inc COM 98462Y100 8 500 SH SOLE 0 0 500 Zimmer Holdings Inc COM 98956P102 35 460 SH SOLE 0 0 460 Zix Corporation COM 98974P100 5 1500 SH SOLE 0 0 1500 Arch Cap Group Ltd New ORD G0450A105 1 10 SH SOLE 0 0 10 Assured Guaranty Ltd COM G0585R106 1 23 SH SOLE 0 0 23 Cons Water Co Inc Ord ORD G23773107 15 1538 SH SOLE 0 0 1538 Covidien Ltd SHS G2554F105 14 211 SH SOLE 0 0 211 Endurance Specalty Hldgf SHS G30397106 1 10 SH SOLE 0 0 10 Garmin Ltd ORD G37260109 2 52 SH SOLE 0 0 52 Invesco Ltd SHS G491BT108 2 61 SH SOLE 0 0 61 Marvell Tech Group Ltd ORD G5876H105 1 46 SH SOLE 0 0 46 Michael Kors Hldgs SHS G60754101 3 56 SH SOLE 0 0 56 Seadrill Ltd SHS G7945E105 9 250 SH SOLE 0 0 250 Signet Jewelers Ltd SHS G81276100 5 72 SH SOLE 0 0 72 Uti Worldwide Inc ORD G87210103 1 95 SH SOLE 0 0 95 Ace Limited SHS H0023R105 7 79 SH SOLE 0 0 79 Transocean Ltd REG SHS H8816H100 16 316 SH SOLE 0 0 316 Pacific Drilling Sa REG SHS L7257P106 8 750 SH SOLE 0 0 750 Lyondellbasell Inds SHS - A - N53745100 5 79 SH SOLE 0 0 79 Qiagen N V REG SHS N72482107 1 56 SH SOLE 0 0 56 Golar Lng Partners Lp COM UNIT LPI Y2745C102 8 250 SH SOLE 0 0 250