Chief Compliance Officer

0001601742-14-000001.txt : 20140320 0001601742-14-000001.hdr.sgml : 20140320 20140320164238 ACCESSION NUMBER: 0001601742-14-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140320 DATE AS OF CHANGE: 20140320 EFFECTIVENESS DATE: 20140320 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Private Ocean, LLC CENTRAL INDEX KEY: 0001601742 IRS NUMBER: 205742052 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16108 FILM NUMBER: 14707193 BUSINESS ADDRESS: STREET 1: 750 LINDARO STREET STREET 2: SUITE 130 CITY: SAN RAFAEL STATE: CA ZIP: 94901 BUSINESS PHONE: 415-526-2900 MAIL ADDRESS: STREET 1: 750 LINDARO STREET STREET 2: SUITE 130 CITY: SAN RAFAEL STATE: CA ZIP: 94901 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001601742 XXXXXXXX 12-31-2013 12-31-2013 Private Ocean, LLC

750 LINDARO STREET SUITE 130 SAN RAFAEL CA 94901

13F HOLDINGS REPORT 028-16108 N Justin Hult Chief Compliance Officer (415) 526-2900 Justin Hult San Rafael CA 03-20-2014 0 227 124121 false INFORMATION TABLE 2 privocean13f4q2013.xml Accenture Ltd PLC COM G1150G111 34 415 SH SOLE 0 0 415 Adobe Systems Inc COM 00724F101 5 76 SH SOLE 0 0 76 AGL Resources Inc COM 001204106 36 755 SH SOLE 0 0 755 ALPS Alerian MLP COM 00162Q866 368 20680 SH SOLE 0 0 20680 Altria Group Inc COM 02209S103 23 600 SH SOLE 0 0 600 American Tower Corp A COM 03027X100 8 100 SH SOLE 0 0 100 Ameriprise Financial Inc COM 03076C106 16 141 SH SOLE 0 0 141 AmerisourceBergen Corp COM 03073E105 5 75 SH SOLE 0 0 75 Ametek Inc COM 031100100 62 1180 SH SOLE 0 0 1180 Anacor Pharmaceuticals COM 032420101 17 1000 SH SOLE 0 0 1000 Apple Computer Inc COM 037833100 161 288 SH SOLE 0 0 288 Ariad Pharmaceuticals COM 04033A100 7 1000 SH SOLE 0 0 1000 Astrazeneca Plc Ord COM G0593M107 14 242 SH SOLE 0 0 242 AT&T Corp COM 00206R102 17 474 SH SOLE 0 0 474 Autodesk Inc COM 052769106 25 1000 SH SOLE 0 0 1000 Badger Meter Inc COM 056525108 2 41 SH SOLE 0 0 41 Bank Marin Corte Madera Ca COM 063425102 154 3549 SH SOLE 0 0 3549 Bed Bath & Beyond COM 075896100 4 50 SH SOLE 0 0 50 Berkshire Hathaway Cl B COM 084670702 176 1488 SH SOLE 0 0 1488 Boeing Co COM 097023105 136 1000 SH SOLE 0 0 1000 BorgWarner Inc COM 099724106 8 150 SH SOLE 0 0 150 Boston Properties Inc COM 101121101 60 600 SH SOLE 0 0 600 BP PLC ADR ADR 055622104 37 754 SH SOLE 0 0 754 BTG plc COM G1660V103 49 5140 SH SOLE 0 0 5140 Buckeye Partners LP COM 118230101 91 1287 SH SOLE 0 0 1287 Celgene Corp COM 151020104 28 164 SH SOLE 0 0 164 Charles Schwab Corp COM 808513105 728 27994 SH SOLE 0 0 27994 Cheniere Energy Partners LP COM 16411Q101 84 2946 SH SOLE 0 0 2946 Chevron Texaco Corp COM 166764100 61 490 SH SOLE 0 0 490 Chubb Corp COM 171232101 24 250 SH SOLE 0 0 250 Cimarex Energy Co COM 171798101 1 12 SH SOLE 0 0 12 Cliffs Natural Resources COM 18683K101 1 52 SH SOLE 0 0 52 Coca Cola Co COM 191216100 17 404 SH SOLE 0 0 404 Conagra Foods Inc COM 205887102 101 3000 SH SOLE 0 0 3000 ConocoPhillips COM 20825C104 16 230 SH SOLE 0 0 230 Consolidated Edison Inc COM 209115104 12 225 SH SOLE 0 0 225 Dicks Sporting Goods Inc COM 253393102 7 125 SH SOLE 0 0 125 Discover Financial Services LLC COM 254709108 28 500 SH SOLE 0 0 500 Dominion Resources Inc COM 25746U109 26 400 SH SOLE 0 0 400 eBay Inc COM 278642103 4 75 SH SOLE 0 0 75 Ecolab Inc COM 278865100 5 50 SH SOLE 0 0 50 Edwards Lifesciences Cp COM 28176E108 38 575 SH SOLE 0 0 575 Emerson Electric Co COM 291011104 337 4800 SH SOLE 0 0 4800 Enbridge Energy Partners LP COM 29250R106 71 2392 SH SOLE 0 0 2392 Energen Corp COM 29265N108 2 34 SH SOLE 0 0 34 Energy Transfer Partners COM 29273R109 82 1439 SH SOLE 0 0 1439 Enerplus Res Fd New COM 292766102 0 2 SH SOLE 0 0 2 Enterprise Products Partners COM 293792107 79 1196 SH SOLE 0 0 1196 Exelis Inc COM 30162A108 0 25 SH SOLE 0 0 25 Exelon Corp COM 30161N101 5 177 SH SOLE 0 0 177 Express Scripts Inc COM 30219G108 105 1500 SH SOLE 0 0 1500 Exxon Mobil Corp COM 30231G102 907 8964 SH SOLE 0 0 8964 FairPoint Communications Inc (NV) COM 305560104 0 7 SH SOLE 0 0 7 Fedex Corp COM 31428X106 9 61 SH SOLE 0 0 61 First Financial Bankshares COM 32020R109 3 49 SH SOLE 0 0 49 First Solar Inc COM 336433107 2 33 SH SOLE 0 0 33 Ford Motor Co COM 345370860 0 21 SH SOLE 0 0 21 Fortune Brands Home & Security COM 34964C106 2 41 SH SOLE 0 0 41 Frontier Communications Corp COM 35906A108 0 90 SH SOLE 0 0 90 Gatx Corp COM 361448103 3 59 SH SOLE 0 0 59 General Electric Co COM 369604103 14 500 SH SOLE 0 0 500 Genuine Parts Co COM 372460105 4 47 SH SOLE 0 0 47 Genworth Financial Inc COM 37247D106 3 169 SH SOLE 0 0 169 Gilead Sciences Inc COM 375558103 60 800 SH SOLE 0 0 800 Greene King PLC ORD COM G40880133 1299 89104 SH SOLE 0 0 89104 Guggenheim Bulletshares 2014 High Yield Corporate ETF 18383M431 102 3832 SH SOLE 0 0 3832 Guggenheim Bulletshares 2015 High Yield Corporate ETF 18383M423 103 3836 SH SOLE 0 0 3836 Guggenheim Bulletshares 2016 High Yield Corporate ETF 18383M415 104 3859 SH SOLE 0 0 3859 Guggenheim Bulletshares 2017 High Yield Corporate ETF 18383M399 104 3843 SH SOLE 0 0 3843 Guggenheim Bulletshares 2018 High Yield Corporate ETF 18383M381 105 3887 SH SOLE 0 0 3887 Guggenheim Etf ETF 78355W882 0 3 SH SOLE 0 0 3 Guggenheim Etf ETF 78355W874 0 3 SH SOLE 0 0 3 Guggenheim S&P Global Dividend Opportunities Index ETF 18383M860 2264 171000 SH SOLE 0 0 171000 Hartford Financial Services Group Inc COM 416515104 5 148 SH SOLE 0 0 148 Hershey Foods Corp COM 427866108 0 4 SH SOLE 0 0 4 Honeywell International COM 438516106 6 64 SH SOLE 0 0 64 Huntington Ingalls Industries COM 446413106 4 49 SH SOLE 0 0 49 ICU Medical COM 44930G107 3 42 SH SOLE 0 0 42 Intel Corp COM 458140100 5 200 SH SOLE 0 0 200 International Business Machines COM 459200101 437 2332 SH SOLE 0 0 2332 International Speedway Corp COM 460335201 2 65 SH SOLE 0 0 65 Invesco PLC COM 46127U104 0 3 SH SOLE 0 0 3 iShares Barclays Aggregate Bond ETF 464287226 576 5408 SH SOLE 0 0 5408 iShares Dow Jones US Real Estate ETF 45032K102 175 2767 SH SOLE 0 0 2767 iShares FTSE/Xinhua China Index ETF 464287184 29 758 SH SOLE 0 0 758 iShares Gold Trust ETF 464285105 23 2000 SH SOLE 0 0 2000 iShares iBoxx $ High Yield Corporate Bond ETF 464288513 573 6164 SH SOLE 0 0 6164 iShares JP Morgan EM Bond ETF 464288281 232 2141 SH SOLE 0 0 2141 iShares Mortgage Real Estate Capped ETF ETF 464288539 690 59914 SH SOLE 0 0 59914 iShares MSCI AC World-ex U.S. Index ETF 464288240 141 12114 SH SOLE 0 0 12114 iShares MSCI EAFE Index ETF 464287465 3113 46404 SH SOLE 0 0 46404 iShares MSCI EAFE Small Cap ETF 464288273 129 2525 SH SOLE 0 0 2525 iShares MSCI Emerging Markets ETF 464287234 106 2533 SH SOLE 0 0 2533 iShares MSCI Value Index Fund ETF 464288877 198 3466 SH SOLE 0 0 3466 iShares Russell 1000 Growth ETF 464287614 14 158 SH SOLE 0 0 158 iShares Russell 1000 Index ETF 464287622 1865 18074 SH SOLE 0 0 18074 iShares Russell 2000 ETF 464287648 250 1843 SH SOLE 0 0 1843 iShares Russell 2000 Index ETF 464287655 757 6559 SH SOLE 0 0 6559 iShares Russell 3000 Index ETF 464287689 92 827 SH SOLE 0 0 827 iShares Russell 3000 Value Index ETF 464287663 247 1998 SH SOLE 0 0 1998 iShares Russell Microcap Index ETF 464288869 247 3289 SH SOLE 0 0 3289 iShares Russell Midcap Blend ETF 464287499 343 2288 SH SOLE 0 0 2288 iShares Russell Midcap Growth ETF 464287481 74 880 SH SOLE 0 0 880 iShares Russell Midcap VI ETF 464287473 111 1686 SH SOLE 0 0 1686 iShares S&P 100 Index ETF 464287101 333 4043 SH SOLE 0 0 4043 iShares S&P 500 Index ETF 464287200 337 1813 SH SOLE 0 0 1813 iShares S&P 600 Growth ETF 464287887 89 752 SH SOLE 0 0 752 iShares S&P Midcap 400 Index ETF 464287507 53 396 SH SOLE 0 0 396 iShares S&P Midcap 400/BARRA Value ETF 464287705 797 6857 SH SOLE 0 0 6857 iShares S&P National AMT-Free Muni ETF 464288414 233 2250 SH SOLE 0 0 2250 iShares S&P Small Cap 600 Index ETF 464287804 413 3781 SH SOLE 0 0 3781 iShares S&P Smallcap 600/BARRA Value Index ETF 464287879 291 2613 SH SOLE 0 0 2613 iShares S&P US Preferred Stock Index ETF 464288687 236 6396 SH SOLE 0 0 6396 James River Coal Co COM 470355207 0 35 SH SOLE 0 0 35 Kinder Morgan Energy Lp COM 494550106 73 903 SH SOLE 0 0 903 Kraft Foods Group COM 50076Q106 7 133 SH SOLE 0 0 133 L Brands Inc COM 502470107 14 225 SH SOLE 0 0 225 Legg Mason Inc COM 52469B100 3 61 SH SOLE 0 0 61 Lockheed Martin Corp COM 539830109 58 387 SH SOLE 0 0 387 Magellan Midstream Partners COM 559080106 85 1345 SH SOLE 0 0 1345 Market Vectors High Yield Muni ETF ETF 57060U878 21107 746901 SH SOLE 0 0 746901 McDonalds Corp COM 580135101 868 8950 SH SOLE 0 0 8950 Mcgraw Hill Financial Inc COM 580645109 4 54 SH SOLE 0 0 54 McKesson Corp COM 58155Q103 32 200 SH SOLE 0 0 200 Medtronic Inc COM 585055106 207 3600 SH SOLE 0 0 3600 Merck Inc COM 58933Y105 1 29 SH SOLE 0 0 29 Meridian Bioscience COM 589584101 2 89 SH SOLE 0 0 89 Microsoft Corp COM 594918104 26 698 SH SOLE 0 0 698 Mondelez International Inc COM 609207105 14 400 SH SOLE 0 0 400 Monsanto Co COM 61166W101 3 25 SH SOLE 0 0 25 Nasdaq 100 Shares ETF 33733E401 67 762 SH SOLE 0 0 762 Netflix Inc COM 64110L106 7 18 SH SOLE 0 0 18 NextEra Energy Inc COM 65339F101 62 722 SH SOLE 0 0 722 Nike Inc COM 654106103 81 1030 SH SOLE 0 0 1030 Norfolk Southern Corp COM 655844108 300 3230 SH SOLE 0 0 3230 Northern Dynasty Minerals Ltd. COM 66510M204 0 100 SH SOLE 0 0 100 Northrop Grumman Corp COM 666807102 5 42 SH SOLE 0 0 42 Novartis AG ADR ADR 66987V109 96 1200 SH SOLE 0 0 1200 Nu Skin Enterprises Cl A COM 67018T105 1 8 SH SOLE 0 0 8 NuStar Energy L.P. COM 67058H102 67 1310 SH SOLE 0 0 1310 Nvidia Corp COM 67066G104 1 73 SH SOLE 0 0 73 ONEOK Partners LP COM 68268N103 60 1139 SH SOLE 0 0 1139 O'Reilly Automotive Inc COM 67103H107 3 25 SH SOLE 0 0 25 Parker-Hannifin Corp COM 701094104 2 12 SH SOLE 0 0 12 PepsiCo Inc COM 713448108 13 160 SH SOLE 0 0 160 Pfizer Inc COM 717081103 6 200 SH SOLE 0 0 200 Philip Morris International COM 718172109 30 350 SH SOLE 0 0 350 Phillips Inc COM 718546104 9 115 SH SOLE 0 0 115 Plains All American Pipeline LP COM 726503105 67 1289 SH SOLE 0 0 1289 Powershares DB G10 Currency Harvest ETF 73935Y102 237 9326 SH SOLE 0 0 9326 Powershares Emerging Markets Debt ETF 73936T573 8453 313082 SH SOLE 0 0 313082 Powershares FTSE RAFI 1500 ETF 73935X567 954 9757 SH SOLE 0 0 9757 Powershares FTSE RAFI Dev Markets ex-US ETF 73936T789 4330 98472 SH SOLE 0 0 98472 Powershares FTSE RAFI US 1000 ETF 73935X583 4820 58110 SH SOLE 0 0 58110 PowerShares High Yield Corporate Bond ETF 73936T557 564 29396 SH SOLE 0 0 29396 PowerShares KBW High Dividend Yield Financial Port ETF 73936Q793 793 31250 SH SOLE 0 0 31250 PowerShares Preferred Portfolio ETF 73936T565 305 22700 SH SOLE 0 0 22700 PowerShares S&P Low Volatility ETF 73937B779 27 827 SH SOLE 0 0 827 Powershares WilderHill Clean Energy Idx ETF 73935X500 60 9359 SH SOLE 0 0 9359 PPG Industries Inc COM 693506107 3 17 SH SOLE 0 0 17 Praxair Inc COM 74005P104 30 230 SH SOLE 0 0 230 Procter & Gamble Co COM 742718109 775 9516 SH SOLE 0 0 9516 Prudential Financial Inc COM 744320102 12 125 SH SOLE 0 0 125 QEP Resources Inc COM 74733V100 11 353 SH SOLE 0 0 353 Qihoo 360 Tech Co ADR ADR 74734M109 21 250 SH SOLE 0 0 250 Qualcomm Inc COM 747525103 11 150 SH SOLE 0 0 150 Questar Corp COM 748356102 7 300 SH SOLE 0 0 300 Range Resources COM 75281A109 3 38 SH SOLE 0 0 38 Realty Income Corp COM 756109104 69 1852 SH SOLE 0 0 1852 RingCentral Inc Class A COM 76680R206 6 323 SH SOLE 0 0 323 Roper Industries Inc COM 776696106 10 75 SH SOLE 0 0 75 Royal Dutch Shell A ADR ADR 780259206 100 1400 SH SOLE 0 0 1400 Salesforce.com COM 79466L302 23 412 SH SOLE 0 0 412 Sandisk Corp COM 80004C101 4 53 SH SOLE 0 0 53 Sch US Div Equity Etf ETF 808524797 2 60 SH SOLE 0 0 60 Sch US Reit Etf ETF 808524847 0 6 SH SOLE 0 0 6 Schw Emg Mkt Eq Etf ETF 808524706 0 16 SH SOLE 0 0 16 Schw Intl Scap Etf ETF 808524888 1 16 SH SOLE 0 0 16 Schwab International Equity ETF ETF 808524805 1 34 SH SOLE 0 0 34 Schwab US Broad Market ETF ETF 808524102 17 377 SH SOLE 0 0 377 Schwab US Small Cap ETF ETF 808524607 22 417 SH SOLE 0 0 417 Seacor Holdings Inc COM 811904101 1 12 SH SOLE 0 0 12 Solera Holdings COM 83421A104 2 35 SH SOLE 0 0 35 Sony Corp ADR ADR 835699307 0 25 SH SOLE 0 0 25 SPDR Barclays Capital HY Bond ETF 78464A417 17958 442757 SH SOLE 0 0 442757 SPDR DJ Wilshire International RE ETF 78463X863 6 136 SH SOLE 0 0 136 SPDR Dow Jones Global RE ETF 78463X749 156 3745 SH SOLE 0 0 3745 SPDR Dow Jones REIT ETF 78464A607 311 4364 SH SOLE 0 0 4364 Spdr Nuveen S&P High Yield Municipal Bond ETF 78464A284 3001 58794 SH SOLE 0 0 58794 SPDR S&P 500 ETF Trust ETF 78462F103 337 1823 SH SOLE 0 0 1823 Starbucks Corp COM 855244109 55 705 SH SOLE 0 0 705 Suncoke Energy Inc COM 86722A103 0 14 SH SOLE 0 0 14 Syngenta Ag Tech Ord COM H84140112 2 6 SH SOLE 0 0 6 Telefonica SA COM 87936R106 181 11084 SH SOLE 0 0 11084 Tesoro Petroleum Corp COM 881609101 2 28 SH SOLE 0 0 28 Time Warner Inc COM 887317303 6 90 SH SOLE 0 0 90 Transdigm Group COM 893641100 6 35 SH SOLE 0 0 35 Twitter Inc. COM 90184L102 2 25 SH SOLE 0 0 25 United Technologies Corp COM 913017109 407 3577 SH SOLE 0 0 3577 Utilities SPDR COM 81369Y886 128 3367 SH SOLE 0 0 3367 Valero Energy Corp COM 91913Y100 3 51 SH SOLE 0 0 51 Vanguard Bond Index ETF ETF 921937835 16 199 SH SOLE 0 0 199 Vanguard Dividend Apprciation ETF 921908844 49 656 SH SOLE 0 0 656 Vanguard Emerging Markets ETF 922042858 76 1850 SH SOLE 0 0 1850 Vanguard Global ex US RE ETF 922042676 63 1162 SH SOLE 0 0 1162 Vanguard International Equity Index ETF 922042775 624 12305 SH SOLE 0 0 12305 Vanguard Large Cap ETF ETF 922908637 442 5218 SH SOLE 0 0 5218 Vanguard REIT Index ETF ETF 922908553 2400 37170 SH SOLE 0 0 37170 Vanguard Short Term Corp Bond Index ETF 92206C409 25429 318738 SH SOLE 0 0 318738 Vanguard Small Cap ETF ETF 922908751 189 1715 SH SOLE 0 0 1715 Vanguard Small Cap Value ETF ETF 922908611 0 0 SH SOLE 0 0 0 Vanguard Total Stock Market ETF ETF 922908769 3383 35274 SH SOLE 0 0 35274 Vanguard Total World ETF 922042742 17 293 SH SOLE 0 0 293 Vanguard Value ETF ETF 922908744 825 10804 SH SOLE 0 0 10804 Vanguard Whitehall Funds ETF 921946406 951 15267 SH SOLE 0 0 15267 Verizon Communications COM 92343V104 41 834 SH SOLE 0 0 834 Visa Inc COM 92826C839 2 9 SH SOLE 0 0 9 Walgreen Co COM 931422109 5 94 SH SOLE 0 0 94 Wal-Mart Stores Inc COM 931142103 18 225 SH SOLE 0 0 225 Walt Disney COM 254687106 16 213 SH SOLE 0 0 213 Wells Fargo & Co COM 949746101 58 1287 SH SOLE 0 0 1287 Western Digital Corp COM 958102105 3 30 SH SOLE 0 0 30 WisdomTree Managed Futures Strategy ETF 97717W125 180 4341 SH SOLE 0 0 4341 Yahoo! Inc COM 984332106 3 65 SH SOLE 0 0 65 Yum Brands COM 988498101 2 25 SH SOLE 0 0 25 Zimmer Holdings Inc COM 98956P102 19 200 SH SOLE 0 0 200