0001174947-15-000170.txt : 20150206
0001174947-15-000170.hdr.sgml : 20150206
20150206093555
ACCESSION NUMBER: 0001174947-15-000170
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150206
DATE AS OF CHANGE: 20150206
EFFECTIVENESS DATE: 20150206
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: TRAIN BABCOCK ADVISORS LLC
CENTRAL INDEX KEY: 0000860862
IRS NUMBER: 133328961
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-02669
FILM NUMBER: 15582340
BUSINESS ADDRESS:
STREET 1: 757 3RD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-451-3400
MAIL ADDRESS:
STREET 1: 757 3RD AVE
CITY: NEW YORK
STATE: NY
ZIP: 10017
FORMER COMPANY:
FORMER CONFORMED NAME: TRAIN SMITH COUNSEL ET AL
DATE OF NAME CHANGE: 19950216
13F-HR
1
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0000860862
XXXXXXXX
12-31-2014
12-31-2014
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TRAIN BABCOCK ADVISORS LLC
757 3rd Ave
New York
NY
10017
13F HOLDINGS REPORT
028-02669
N
John H. Rogicki
Chief Compliance Officer
212-451-3435
/s/ John H. Rogicki
New York
NY
02-05-2014
0
257
309714
INFORMATION TABLE
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COM
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COM
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COM
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1600
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COM
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COM
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COM
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COM
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COM
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275
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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41239
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COM
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COM
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COM
74734M109
57
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COM
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COM
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COM
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14914
0
0
STATE STREET CORP
COM
857477103
79
1000
SH
DFND
0
1000
0
STATE STREET CORP
COM
857477103
126
1610
SH
OTR
710
0
900
SUNPOWER CORPORATION
COM
867652109
302
11698
SH
SOLE
11698
0
0
SYNAPTICS INCORPORATED
COM
87157D109
3497
50795
SH
SOLE
50795
0
0
SYNAPTICS INCORPORATED
COM
87157D109
7
100
SH
DFND
100
0
0
SYNAPTICS INCORPORATED
COM
87157D109
83
1200
SH
OTR
1200
0
0
TARGET CORPORATION
COM
87612e106
473
6228
SH
SOLE
6228
0
0
TRANSOCEAN INC NEW F
COM
h8817h100
284
15520
SH
SOLE
15520
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
5301
52443
SH
SOLE
52443
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
33
325
SH
DFND
0
325
0
UNITEDHEALTH GROUP INC
COM
91324P102
126
1250
SH
OTR
1250
0
0
VANTIV INC
COM
92210H105
4166
122810
SH
SOLE
122235
575
0
VANTIV INC
COM
92210H105
7
200
SH
DFND
200
0
0
VANTIV INC
COM
92210H105
187
5500
SH
OTR
5500
0
0
VERIZON COMMUNICATIONS
COM
92343V104
6112
130649
SH
SOLE
130299
350
0
VERIZON COMMUNICATIONS
COM
92343V104
64
1375
SH
DFND
250
1125
0
VERIZON COMMUNICATIONS
COM
92343V104
301
6430
SH
OTR
4930
0
1500
WALGREEN BOOTS ALLIANCE INC
COM
931427108
229
3000
SH
SOLE
3000
0
0
WALT DISNEY COMPANY
COM
254687106
253
2686
SH
SOLE
2686
0
0
WALT DISNEY COMPANY
COM
254687106
203
2150
SH
OTR
0
0
2150
WELLS FARGO AND CO NEW
COM
949746101
2720
49625
SH
SOLE
49625
0
0
WELLS FARGO AND CO NEW
COM
949746101
27
500
SH
DFND
0
500
0
WELLS FARGO AND CO NEW
COM
949746101
110
2000
SH
OTR
0
0
2000
WESTERN UNION COMPANY
COM
959802109
179
10000
SH
SOLE
10000
0
0
WHOLE FOODS MARKET INC
COM
966837106
3478
68990
SH
SOLE
68590
400
0
YAHOO! INC.
COM
984332106
225
4461
SH
SOLE
4461
0
0
ZOETIS INC.
COM
98978V103
4172
96945
SH
SOLE
96945
0
0
ZOETIS INC.
COM
98978V103
59
1375
SH
DFND
300
1075
0
ZOETIS INC.
COM
98978V103
86
2000
SH
OTR
2000
0
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
3149
124283
SH
SOLE
123633
650
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
52
2050
SH
DFND
1300
750
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
56
2200
SH
OTR
2200
0
0
ENERGY SELECT SECTOR ETF
ETF
81369Y506
1902
24025
SH
SOLE
24025
0
0
ISHARES CORE MSCI EMERGING MAR
ETF
46434G103
1895
40300
SH
SOLE
40300
0
0
ISHARES MSCI EMERGING MARKET I
ETF
464287234
1043
26545
SH
SOLE
26545
0
0
ISHARES RUSSELL VALUE MIDCAP V
ETF
464287473
420
5700
SH
SOLE
5700
0
0
ISHARES TR DJ US HEALTHCR
ETF
464287762
548
3800
SH
SOLE
3800
0
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
1261
20726
SH
SOLE
20726
0
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
46
750
SH
DFND
750
0
0
ISHARES TR NASDQ BIO INDX
ETF
464287556
247
814
SH
SOLE
814
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
189
1982
SH
SOLE
1982
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
17
175
SH
DFND
175
0
0
ISHARES TR S&P 100 ETF S & P 1
ETF
464287101
250
2750
SH
SOLE
2750
0
0
MARKET VECTORS AGRIBUSINESS ET
ETF
57060U605
231
4400
SH
SOLE
4400
0
0
MATERIALS SELECT SECTOR SPDR F
ETF
81369Y100
243
5000
SH
OTR
0
0
5000
POWERSHARES QQQ TRUST UNIT SER
ETF
73935A104
5160
49977
SH
SOLE
49977
0
0
SECTOR SPDR CONSUMER FD SHARES
ETF
81369y407
2942
40776
SH
SOLE
40776
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
2214
39125
SH
SOLE
39125
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
753
13300
SH
OTR
0
0
13300
SPDR S&P 500 ETF TRUST
ETF
78462F103
13984
68034
SH
SOLE
68034
0
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
14
70
SH
DFND
70
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
837
10624
SH
SOLE
10624
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
28
350
SH
DFND
350
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
16
200
SH
OTR
200
0
0
SPDR S&P HOMEBUILDERS ETF
ETF
78464A888
1069
31325
SH
SOLE
31325
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
3310
12540
SH
SOLE
12540
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
32
120
SH
DFND
120
0
0
SPDR S&P REGIONAL BKING
ETF
78464a698
254
6250
SH
SOLE
6250
0
0
VANGUARD CNSMR DSCRTNARY
ETF
92204a108
345
2950
SH
SOLE
2950
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
4515
112809
SH
SOLE
112384
425
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
56
1400
SH
DFND
950
450
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
108
2700
SH
OTR
2700
0
0
VANGUARD HEALTH CARE ETF
ETF
92204A504
209
1665
SH
SOLE
1665
0
0
VANGUARD INDEX FDS MID CAP ETF
ETF
922908629
1307
10575
SH
SOLE
10575
0
0
VANGUARD INDUSTRIALS
ETF
92204a603
2267
21225
SH
SOLE
21225
0
0
VANGUARD INFO TECHNOLOGY
ETF
92204a702
910
8711
SH
SOLE
8711
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
1473
12628
SH
SOLE
12628
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
29
250
SH
DFND
250
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
23
200
SH
OTR
200
0
0
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717x701
1035
18615
SH
SOLE
18615
0
0
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717x701
40
725
SH
DFND
725
0
0
WISDOMTREE TRUST EMERGING SMAL
ETF
97717w281
379
8785
SH
SOLE
8785
0
0