Chief Compliance Officer

0001601742-14-000003.txt : 20140730 0001601742-14-000003.hdr.sgml : 20140730 20140730123643 ACCESSION NUMBER: 0001601742-14-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140730 DATE AS OF CHANGE: 20140730 EFFECTIVENESS DATE: 20140730 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: 141002055 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 06-30-2014 06-30-2014 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 07-30-2014 0 218 134934 false INFORMATION TABLE 2 privocean13f2q2014.xml Accenture Ltd PLC COM G1150G111 34 415 SH SOLE 0 0 415 AGL Resources Inc COM 001204106 42 755 SH SOLE 0 0 755 Alcoa Inc COM 013817101 10 700 SH SOLE 0 0 700 ALPS Alerian MLP COM 00162Q866 393 20680 SH SOLE 0 0 20680 Altria Group Inc COM 02209S103 38 900 SH SOLE 0 0 900 American Airlines Group Inc COM 02376R102 6 137 SH SOLE 0 0 137 American Tower Corp A COM 03027X100 9 100 SH SOLE 0 0 100 Ameriprise Financial Inc COM 03076C106 12 100 SH SOLE 0 0 100 Ametek Inc COM 031100100 62 1180 SH SOLE 0 0 1180 Anacor Pharmaceuticals COM 032420101 9 500 SH SOLE 0 0 500 Apache Corp COM 037411105 5 50 SH SOLE 0 0 50 Apple Computer Inc COM 037833100 1164 12528 SH SOLE 0 0 12528 Ariad Pharmaceuticals COM 04033A100 6 1000 SH SOLE 0 0 1000 Astrazeneca Plc Ord COM G0593M107 18 242 SH SOLE 0 0 242 AT&T Corp COM 00206R102 29 825 SH SOLE 0 0 825 Autodesk Inc COM 052769106 8 340 SH SOLE 0 0 340 Bank Marin Corte Madera Ca COM 063425102 162 3563 SH SOLE 0 0 3563 Bed Bath & Beyond COM 075896100 3 50 SH SOLE 0 0 50 Berkshire Hathaway Cl B COM 084670702 188 1488 SH SOLE 0 0 1488 Biogen IDEC Inc COM 09062X103 329 1044 SH SOLE 0 0 1044 Boeing Co COM 097023105 138 1085 SH SOLE 0 0 1085 BorgWarner Inc COM 099724106 10 150 SH SOLE 0 0 150 Boston Properties Inc COM 101121101 71 600 SH SOLE 0 0 600 BP PLC ADR ADR 055622104 40 754 SH SOLE 0 0 754 BTG plc COM G1660V103 56 5140 SH SOLE 0 0 5140 Buckeye Partners LP COM 118230101 107 1287 SH SOLE 0 0 1287 Celgene Corp COM 151020104 26 300 SH SOLE 0 0 300 Charles Schwab Corp COM 808513105 652 24214 SH SOLE 0 0 24214 Cheniere Energy Partners LP COM 16411Q101 97 2946 SH SOLE 0 0 2946 Chevron Texaco Corp COM 166764100 72 549 SH SOLE 0 0 549 Chubb Corp COM 171232101 23 250 SH SOLE 0 0 250 Coca Cola Co COM 191216100 17 404 SH SOLE 0 0 404 Conagra Foods Inc COM 205887102 89 3000 SH SOLE 0 0 3000 ConocoPhillips COM 20825C104 28 330 SH SOLE 0 0 330 Consolidated Edison Inc COM 209115104 13 225 SH SOLE 0 0 225 Costco Wholesale Corp COM 22160K105 6 50 SH SOLE 0 0 50 Devon Energy Corp COM 25179M103 8 100 SH SOLE 0 0 100 Dicks Sporting Goods Inc COM 253393102 6 125 SH SOLE 0 0 125 Discover Financial Services LLC COM 254709108 31 500 SH SOLE 0 0 500 Dominion Resources Inc COM 25746U109 29 400 SH SOLE 0 0 400 Dow Chemical Co COM 260543103 10 200 SH SOLE 0 0 200 eBay Inc COM 278642103 4 75 SH SOLE 0 0 75 Ecolab Inc COM 278865100 6 50 SH SOLE 0 0 50 Edwards Lifesciences Cp COM 28176E108 49 575 SH SOLE 0 0 575 Embraer Empresa Br Adr COM 29082A107 7 190 SH SOLE 0 0 190 Emerson Electric Co COM 291011104 319 4800 SH SOLE 0 0 4800 Enbridge Energy Partners LP COM 29250R106 83 2254 SH SOLE 0 0 2254 Energy Transfer Partners COM 29273R109 95 1639 SH SOLE 0 0 1639 Enterprise Products Partners COM 293792107 109 1396 SH SOLE 0 0 1396 Essex Properties Trust Inc COM 297178105 16 89 SH SOLE 0 0 89 Exelon Corp COM 30161N101 6 177 SH SOLE 0 0 177 Express Scripts Inc COM 30219G108 104 1500 SH SOLE 0 0 1500 Exxon Mobil Corp COM 30231G102 902 8964 SH SOLE 0 0 8964 FairPoint Communications Inc (NV) COM 305560104 0 7 SH SOLE 0 0 7 FlexShares Morningstar Developed Markets ex-US Fac ETF 33939L837 174 2610 SH SOLE 0 0 2610 FlexShares Morningstar U.S. Market Factor Tilt ETF 33939L100 205 2411 SH SOLE 0 0 2411 Ford Motor Co COM 345370860 0 21 SH SOLE 0 0 21 Freeport McMoran Copper & Gold Inc COM 35671D857 5 150 SH SOLE 0 0 150 Frontier Communications Corp COM 35906A108 1 90 SH SOLE 0 0 90 General Electric Co COM 369604103 13 500 SH SOLE 0 0 500 Gilead Sciences Inc COM 375558103 71 861 SH SOLE 0 0 861 Goodyear Tire & Rubber COM 382550101 8 300 SH SOLE 0 0 300 Google Inc Class A COM 38259P508 12 20 SH SOLE 0 0 20 Google Inc Class C COM 38259P706 36 63 SH SOLE 0 0 63 Greene King PLC ORD COM G40880133 1284 89104 SH SOLE 0 0 89104 Guggenheim Bulletshares 2014 High Yield Corporate ETF 18383M431 103 3900 SH SOLE 0 0 3900 Guggenheim Bulletshares 2015 High Yield Corporate ETF 18383M423 106 3931 SH SOLE 0 0 3931 Guggenheim Bulletshares 2016 High Yield Corporate ETF 18383M415 151 5506 SH SOLE 0 0 5506 Guggenheim Bulletshares 2017 High Yield Corporate ETF 18383M399 151 5485 SH SOLE 0 0 5485 Guggenheim Bulletshares 2018 High Yield Corporate ETF 18383M381 152 5546 SH SOLE 0 0 5546 Guggenheim S&P Global Dividend Opportunities Index ETF 18383M860 2411 171000 SH SOLE 0 0 171000 Health Care SPDR ETF 78463X681 4 69 SH SOLE 0 0 69 Hershey Foods Corp COM 427866108 0 4 SH SOLE 0 0 4 Hewlett-Packard Co COM 428236103 5 150 SH SOLE 0 0 150 Illumina Inc COM 452327109 2 10 SH SOLE 0 0 10 Intel Corp COM 458140100 6 200 SH SOLE 0 0 200 International Business Machines COM 459200101 405 2232 SH SOLE 0 0 2232 Inuvo Inc COM 46123D205 2 2000 SH SOLE 0 0 2000 iShares Barclays Aggregate Bond ETF 464287226 622 5683 SH SOLE 0 0 5683 iShares Dow Jones US Real Estate ETF 45032K102 199 2778 SH SOLE 0 0 2778 iShares FTSE/Xinhua China Index ETF 464287184 28 758 SH SOLE 0 0 758 iShares Gold Trust ETF 464285105 26 2000 SH SOLE 0 0 2000 iShares iBoxx $ High Yield Corporate Bond ETF 464288513 588 6172 SH SOLE 0 0 6172 iShares JP Morgan EM Bond ETF 464288281 298 2583 SH SOLE 0 0 2583 iShares Mortgage Real Estate Capped ETF ETF 464288539 759 60022 SH SOLE 0 0 60022 iShares MSCI AC World-ex U.S. Index ETF 464288240 149 12114 SH SOLE 0 0 12114 iShares MSCI EAFE Index ETF 464287465 2934 42908 SH SOLE 0 0 42908 iShares MSCI EAFE Small Cap ETF 464288273 134 2525 SH SOLE 0 0 2525 iShares MSCI Emerging Markets ETF 464287234 110 2533 SH SOLE 0 0 2533 iShares MSCI Value Index Fund ETF 464288877 145 2477 SH SOLE 0 0 2477 iShares Russell 1000 Growth ETF 464287614 7 74 SH SOLE 0 0 74 iShares Russell 1000 Index ETF 464287622 1911 17352 SH SOLE 0 0 17352 iShares Russell 2000 ETF 464287648 255 1845 SH SOLE 0 0 1845 iShares Russell 2000 Index ETF 464287655 756 6367 SH SOLE 0 0 6367 iShares Russell 3000 Index ETF 464287689 97 827 SH SOLE 0 0 827 iShares Russell 3000 Value Index ETF 464287663 265 1998 SH SOLE 0 0 1998 iShares Russell Microcap Index ETF 464288869 214 2808 SH SOLE 0 0 2808 iShares Russell Midcap Blend ETF 464287499 372 2289 SH SOLE 0 0 2289 iShares Russell Midcap Growth ETF 464287481 79 880 SH SOLE 0 0 880 iShares Russell Midcap VI ETF 464287473 122 1686 SH SOLE 0 0 1686 iShares S&P 100 Index ETF 464287101 301 3474 SH SOLE 0 0 3474 iShares S&P 500 Index ETF 464287200 241 1223 SH SOLE 0 0 1223 iShares S&P 600 Growth ETF 464287887 91 752 SH SOLE 0 0 752 iShares S&P Midcap 400 Index ETF 464287507 57 397 SH SOLE 0 0 397 iShares S&P Midcap 400/BARRA Value ETF 464287705 871 6865 SH SOLE 0 0 6865 iShares S&P National AMT-Free Muni ETF 464288414 248 2283 SH SOLE 0 0 2283 iShares S&P Small Cap 600 Index ETF 464287804 287 2557 SH SOLE 0 0 2557 iShares S&P Smallcap 600/BARRA Value Index ETF 464287879 302 2617 SH SOLE 0 0 2617 iShares S&P US Preferred Stock Index ETF 464288687 311 7801 SH SOLE 0 0 7801 James River Coal Co COM 470355207 0 35 SH SOLE 0 0 35 JP Morgan Chase & Co COM 46625H100 9 150 SH SOLE 0 0 150 Kinder Morgan Energy Lp COM 494550106 82 994 SH SOLE 0 0 994 Kraft Foods Group COM 50076Q106 8 133 SH SOLE 0 0 133 L Brands Inc COM 502470107 13 225 SH SOLE 0 0 225 Lockheed Martin Corp COM 539830109 62 387 SH SOLE 0 0 387 Magellan Midstream Partners COM 559080106 113 1345 SH SOLE 0 0 1345 Market Vectors High Yield Muni ETF ETF 57060U878 24017 796317 SH SOLE 0 0 796317 McDonalds Corp COM 580135101 902 8950 SH SOLE 0 0 8950 McKesson Corp COM 58155Q103 37 200 SH SOLE 0 0 200 Medtronic Inc COM 585055106 230 3600 SH SOLE 0 0 3600 Merck Inc COM 58933Y105 2 30 SH SOLE 0 0 30 Micron Technology Inc COM 595112103 43 1300 SH SOLE 0 0 1300 Microsoft Corp COM 594918104 29 699 SH SOLE 0 0 699 Mondelez International Inc COM 609207105 15 400 SH SOLE 0 0 400 Monsanto Co COM 61166W101 3 25 SH SOLE 0 0 25 Nasdaq 100 Shares ETF 33733E401 72 762 SH SOLE 0 0 762 NextEra Energy Inc COM 65339F101 74 722 SH SOLE 0 0 722 Nike Inc COM 654106103 80 1030 SH SOLE 0 0 1030 Norfolk Southern Corp COM 655844108 333 3230 SH SOLE 0 0 3230 Northern Dynasty Minerals Ltd. COM 66510M204 0 100 SH SOLE 0 0 100 Novartis AG ADR ADR 66987V109 109 1200 SH SOLE 0 0 1200 Nu Skin Enterprises Cl A COM 67018T105 1 9 SH SOLE 0 0 9 NuStar Energy L.P. COM 67058H102 87 1410 SH SOLE 0 0 1410 Nvidia Corp COM 67066G104 1 73 SH SOLE 0 0 73 ONEOK Partners LP COM 68268N103 67 1139 SH SOLE 0 0 1139 PepsiCo Inc COM 713448108 32 360 SH SOLE 0 0 360 Pfizer Inc COM 717081103 34 1160 SH SOLE 0 0 1160 Philip Morris International COM 718172109 30 350 SH SOLE 0 0 350 Phillips Inc COM 718546104 17 215 SH SOLE 0 0 215 Plains All American Pipeline LP COM 726503105 77 1289 SH SOLE 0 0 1289 Powershares DB G10 Currency Harvest ETF 73935Y102 222 8509 SH SOLE 0 0 8509 Powershares Emerging Markets Debt ETF 73936T573 9553 327607 SH SOLE 0 0 327607 Powershares FTSE RAFI 1500 ETF 73935X567 976 9678 SH SOLE 0 0 9678 Powershares FTSE RAFI Dev Markets ex-US ETF 73936T789 4340 95277 SH SOLE 0 0 95277 Powershares FTSE RAFI US 1000 ETF 73935X583 5077 57404 SH SOLE 0 0 57404 PowerShares High Yield Corporate Bond ETF 73936T557 576 29396 SH SOLE 0 0 29396 PowerShares KBW High Dividend Yield Financial Port ETF 73936Q793 817 31250 SH SOLE 0 0 31250 PowerShares Preferred Portfolio ETF 73936T565 300 20532 SH SOLE 0 0 20532 PowerShares S&P Low Volatility ETF 73937B779 29 827 SH SOLE 0 0 827 Powershares WilderHill Clean Energy Idx ETF 73935X500 65 9462 SH SOLE 0 0 9462 Praxair Inc COM 74005P104 31 230 SH SOLE 0 0 230 Procter & Gamble Co COM 742718109 760 9666 SH SOLE 0 0 9666 Prudential Financial Inc COM 744320102 11 125 SH SOLE 0 0 125 QEP Resources Inc COM 74733V100 7 206 SH SOLE 0 0 206 Qihoo 360 Tech Co ADR ADR 74734M109 28 300 SH SOLE 0 0 300 Qualcomm Inc COM 747525103 12 150 SH SOLE 0 0 150 Questar Corp COM 748356102 6 242 SH SOLE 0 0 242 Realty Income Corp COM 756109104 82 1852 SH SOLE 0 0 1852 Reynolds American Inc COM 761713106 18 300 SH SOLE 0 0 300 Roper Industries Inc COM 776696106 11 75 SH SOLE 0 0 75 Royal Dutch Shell A ADR ADR 780259206 115 1400 SH SOLE 0 0 1400 Salesforce.com COM 79466L302 24 412 SH SOLE 0 0 412 Sch Fnd US Mkt Etf ETF 808524789 1 48 SH SOLE 0 0 48 Schlumberger NV COM 806857108 18 150 SH SOLE 0 0 150 Schw Intl Scap Etf ETF 808524888 1 17 SH SOLE 0 0 17 Schwab Emerging Market Equities ETF ETF 808524706 62 2394 SH SOLE 0 0 2394 Schwab Fund US Small ETF ETF 808524607 1 38 SH SOLE 0 0 38 Schwab Fundamental Int'l Lg Co ETF ETF 808524755 1 34 SH SOLE 0 0 34 Schwab Fundamental US Large Company ETF ETF 808524771 2 86 SH SOLE 0 0 86 Schwab International Equity ETF ETF 808524805 2 46 SH SOLE 0 0 46 Schwab U.S. TIPS ETF 808524870 9 165 SH SOLE 0 0 165 Schwab US Aggregate Bond Etf ETF 808524839 29 557 SH SOLE 0 0 557 Schwab US Broad Market ETF ETF 808524102 16 338 SH SOLE 0 0 338 Schwab US Reit ETF ETF 808524847 34 950 SH SOLE 0 0 950 Schwab US Small Cap ETF ETF 808524607 12 212 SH SOLE 0 0 212 Senior Housing Property Trust COM 81721M109 10 400 SH SOLE 0 0 400 Sony Corp ADR ADR 835699307 0 25 SH SOLE 0 0 25 SPDR Barclays Capital HY Bond ETF 78464A417 18714 448465 SH SOLE 0 0 448465 SPDR DJ Wilshire International RE ETF 78463X863 6 140 SH SOLE 0 0 140 SPDR Dow Jones Global RE ETF 78463X749 178 3806 SH SOLE 0 0 3806 SPDR Dow Jones REIT ETF 78464A607 364 4388 SH SOLE 0 0 4388 Spdr Nuveen S&P High Yield Municipal Bond ETF 78464A284 3299 58588 SH SOLE 0 0 58588 SPDR S&P 500 ETF Trust ETF 78462F103 359 1832 SH SOLE 0 0 1832 Starbucks Corp COM 855244109 55 705 SH SOLE 0 0 705 Superior Industries Int'l COM 868168105 6 300 SH SOLE 0 0 300 Syngenta Ag Tech Ord COM H84140112 2 6 SH SOLE 0 0 6 Telefonica SA COM 87936R106 190 11084 SH SOLE 0 0 11084 Tesla Motors Inc COM 88160R101 3 12 SH SOLE 0 0 12 Transdigm Group COM 893641100 6 35 SH SOLE 0 0 35 Twitter Inc. COM 90184L102 1 25 SH SOLE 0 0 25 Umpqua Holdings Corp COM 904214103 1 57 SH SOLE 0 0 57 United Technologies Corp COM 913017109 413 3577 SH SOLE 0 0 3577 Utilities SPDR COM 81369Y886 207 4666 SH SOLE 0 0 4666 Vanguard Bond Index ETF ETF 921937835 14 171 SH SOLE 0 0 171 Vanguard Dividend Apprciation ETF 921908844 51 656 SH SOLE 0 0 656 Vanguard Emerging Markets ETF 922042858 81 1875 SH SOLE 0 0 1875 Vanguard Global ex US RE ETF 922042676 93 1599 SH SOLE 0 0 1599 Vanguard High Dividend ETF ETF 921946406 1026 15474 SH SOLE 0 0 15474 Vanguard International Equity Index ETF 922042775 646 12346 SH SOLE 0 0 12346 Vanguard Large Cap ETF ETF 922908637 453 5030 SH SOLE 0 0 5030 Vanguard REIT Index ETF ETF 922908553 2671 35689 SH SOLE 0 0 35689 Vanguard Short Term Corp Bond Index ETF 92206C409 26123 325034 SH SOLE 0 0 325034 Vanguard Small Cap ETF ETF 922908751 201 1715 SH SOLE 0 0 1715 Vanguard Small Cap Value ETF ETF 922908611 3 33 SH SOLE 0 0 33 Vanguard Total Intl Stock Idx ETF ETF 922042742 12 229 SH SOLE 0 0 229 Vanguard Total Stock Market ETF ETF 922908769 3568 35063 SH SOLE 0 0 35063 Vanguard Total World ETF 922042742 4 59 SH SOLE 0 0 59 Vanguard Value ETF ETF 922908744 1020 12598 SH SOLE 0 0 12598 Verizon Communications COM 92343V104 51 1034 SH SOLE 0 0 1034 Visa Inc COM 92826C839 2 9 SH SOLE 0 0 9 W P Carey Inc COM 92936U109 1138 17667 SH SOLE 0 0 17667 Wal-Mart Stores Inc COM 931142103 17 225 SH SOLE 0 0 225 Walt Disney COM 254687106 18 216 SH SOLE 0 0 216 Wells Fargo & Co COM 949746101 68 1287 SH SOLE 0 0 1287 Whiting Usa Tr II COM 966388100 3 200 SH SOLE 0 0 200 WisdomTree Managed Futures Strategy ETF 97717W125 163 3912 SH SOLE 0 0 3912 Yahoo! Inc COM 984332106 4 100 SH SOLE 0 0 100 Zimmer Holdings Inc COM 98956P102 21 200 SH SOLE 0 0 200