0001174947-15-000679.txt : 20150423
0001174947-15-000679.hdr.sgml : 20150423
20150423113347
ACCESSION NUMBER: 0001174947-15-000679
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150331
FILED AS OF DATE: 20150423
DATE AS OF CHANGE: 20150423
EFFECTIVENESS DATE: 20150423
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: 15787297
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
03-31-2015
03-31-2015
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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
04-22-2015
0
264
319182
INFORMATION TABLE
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496
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747525103
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STATE STREET CORP
COM
857477103
74
1000
SH
DFND
0
1000
0
STATE STREET CORP
COM
857477103
118
1610
SH
OTR
710
0
900
SUNPOWER CORPORATION
COM
867652109
366
11698
SH
DFND
11698
0
0
SYNAPTICS INCORPORATED
COM
87157D109
4016
49395
SH
SOLE
49395
0
0
SYNAPTICS INCORPORATED
COM
87157D109
8
100
SH
DFND
100
0
0
SYNAPTICS INCORPORATED
COM
87157D109
98
1200
SH
OTR
1200
0
0
TARGET CORPORATION
COM
87612e106
473
5762
SH
SOLE
5762
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
6093
51508
SH
SOLE
51508
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
38
325
SH
DFND
0
325
0
UNITEDHEALTH GROUP INC
COM
91324P102
148
1250
SH
OTR
1250
0
0
VANTIV INC
COM
92210H105
4601
122035
SH
SOLE
121460
575
0
VANTIV INC
COM
92210H105
19
500
SH
DFND
500
0
0
VANTIV INC
COM
92210H105
207
5500
SH
OTR
5500
0
0
VERIZON COMMUNICATIONS
COM
92343V104
6432
132274
SH
SOLE
131674
600
0
VERIZON COMMUNICATIONS
COM
92343V104
81
1675
SH
DFND
550
1125
0
VERIZON COMMUNICATIONS
COM
92343V104
313
6430
SH
OTR
4930
0
1500
WALGREEN BOOTS ALLIANCE INC
COM
931427108
254
3000
SH
SOLE
3000
0
0
WALT DISNEY COMPANY
COM
254687106
282
2686
SH
SOLE
2686
0
0
WALT DISNEY COMPANY
COM
254687106
226
2150
SH
OTR
0
0
2150
WELLS FARGO AND CO NEW
COM
949746101
2642
48565
SH
SOLE
48565
0
0
WELLS FARGO AND CO NEW
COM
949746101
27
500
SH
DFND
0
500
0
WELLS FARGO AND CO NEW
COM
949746101
109
2000
SH
OTR
0
0
2000
WESTERN UNION COMPANY
COM
959802109
208
10000
SH
SOLE
10000
0
0
WHOLE FOODS MARKET INC
COM
966837106
3512
67440
SH
SOLE
67040
400
0
ZOETIS INC.
COM
98978V103
4403
95120
SH
SOLE
95120
0
0
ZOETIS INC.
COM
98978V103
64
1375
SH
DFND
300
1075
0
ZOETIS INC.
COM
98978V103
93
2000
SH
OTR
2000
0
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
3183
120448
SH
SOLE
119798
650
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
54
2050
SH
DFND
1300
750
0
EGSHARES EMERGING MARKETS CONS
ETF
268461779
58
2200
SH
OTR
2200
0
0
ENERGY SELECT SECTOR ETF
ETF
81369Y506
1715
22100
SH
SOLE
22100
0
0
ISHARES CORE MSCI EMERGING MAR
ETF
46434G103
1966
40675
SH
SOLE
40675
0
0
ISHARES RUSSELL VALUE MIDCAP V
ETF
464287473
429
5700
SH
SOLE
5700
0
0
ISHARES TR DJ US HEALTHCR
ETF
464287762
586
3800
SH
SOLE
3800
0
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
786
12256
SH
SOLE
12106
150
0
ISHARES TR MSCI EAFE FD MSCI E
ETF
464287465
48
750
SH
DFND
750
0
0
ISHARES TR NASDQ BIO INDX
ETF
464287556
280
814
SH
SOLE
814
0
0
ISHARES TR RUSSELL 1000 GROWTH
ETF
464287614
191
1929
SH
SOLE
1929
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
244
2700
SH
SOLE
2700
0
0
MATERIALS SELECT SECTOR SPDR F
ETF
81369Y100
244
5000
SH
OTR
0
0
5000
POWERSHARES QQQ TRUST UNIT SER
ETF
73935A104
5201
49252
SH
SOLE
49252
0
0
PUREFUNDS ISE CYBER SECURITY E
ETF
30304R407
305
10900
SH
SOLE
10900
0
0
SECTOR SPDR CONSUMER FD SHARES
ETF
81369y407
3020
40076
SH
SOLE
40076
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
2149
38525
SH
SOLE
38525
0
0
SECTOR SPDR INDL SELECT SHARES
ETF
81369y704
742
13300
SH
OTR
0
0
13300
SPDR S & P INTL DIVIDEND
ETF
78463x772
326
7779
SH
SOLE
7554
225
0
SPDR S & P INTL DIVIDEND
ETF
78463x772
31
750
SH
DFND
750
0
0
SPDR S & P INTL DIVIDEND
ETF
78463x772
13
300
SH
OTR
300
0
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
14537
70419
SH
SOLE
70419
0
0
SPDR S&P 500 ETF TRUST
ETF
78462F103
14
70
SH
DFND
70
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
939
12004
SH
SOLE
11779
225
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
27
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
1262
34250
SH
SOLE
34250
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
3466
12503
SH
SOLE
12503
0
0
SPDR S&P MIDCAP 400 ETF TRUST
ETF
78467Y107
33
120
SH
DFND
120
0
0
SPDR S&P REGIONAL BKING
ETF
78464a698
255
6250
SH
SOLE
6250
0
0
VANGUARD CNSMR DSCRTNARY
ETF
92204a108
352
2875
SH
SOLE
2875
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
5305
129812
SH
SOLE
129387
425
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
57
1400
SH
DFND
950
450
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
110
2700
SH
OTR
2700
0
0
VANGUARD HEALTH CARE ETF
ETF
92204A504
226
1665
SH
SOLE
1665
0
0
VANGUARD INDEX FDS MID CAP ETF
ETF
922908629
1430
10775
SH
SOLE
10775
0
0
VANGUARD INDUSTRIALS
ETF
92204a603
2244
20900
SH
SOLE
20900
0
0
VANGUARD INFO TECHNOLOGY
ETF
92204a702
612
5741
SH
SOLE
5741
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
1691
13794
SH
SOLE
13794
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
74
600
SH
DFND
600
0
0
VANGUARD SMALL-CAP ETF
ETF
922908751
25
200
SH
OTR
200
0
0
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717X701
5250
79379
SH
SOLE
79379
0
0
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717X701
127
1925
SH
DFND
1925
0
0
WISDOMTREE EUROPE ETF HEDGED E
ETF
97717X701
139
2100
SH
OTR
2100
0
0
WISDOMTREE TRUST EMERGING SMAL
ETF
97717w281
898
20310
SH
SOLE
20310
0
0
ENTERPRISE PRODUCTS PART LP
COM
293792107
2489
75590
SH
SOLE
75590
0
0
PLAINS ALL AMERICAN PIPELINE L
COM
726503105
3274
67140
SH
SOLE
66790
350
0
SPDR GOLD TRUST
ETF
78463V107
613
5395
SH
SOLE
5395
0
0
TORTOISE ENERGY INFRASTRUCTURE
COM
89147L100
7081
168480
SH
SOLE
168480
0
0
TORTOISE ENERGY INFRASTRUCTURE
COM
89147L100
21
500
SH
DFND
500
0
0
TORTOISE ENERGY INFRASTRUCTURE
COM
89147L100
90
2150
SH
OTR
2150
0
0