13F-HR/A filed by PATHSTONE FAMILY OFFICE, LLC
PATHSTONE FAMILY OFFICE, LLC filed this 13F-HR/A for the quarter ended 2013-09-30, filed 2013-10-29, with 303 holding rows worth $23,095,000.
- Accession
- 0001085146-13-001762
- Filer
- CIK 1511137
- Filed
- 2013-10-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A combination report, amendment of type restatement, 303 entries on the cover page, a total value of $23,095,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $23,095,000 with VALUE read as thousands by filing date, 13F file number 028-14122. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC
- reports for this filerSAWGRASS ASSET MANAGEMENT LLC
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| Gilead Sciences,Inc. | 375558103 | COM | 60,760 | $3,820,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 25,406 | $2,392,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 22,995 | $2,301,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 28,801 | $1,836,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 861,699 | $1,231,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,341 | $639,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 26,146 | $614,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 2,000 | $273,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,293 | $269,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 7,500 | $250,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 3,000 | $244,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 1,395 | $235,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 4,903 | $225,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 5,000 | $215,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 1,941 | $205,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 15,475 | $200,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 13,142 | $191,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 13,662 | $177,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 8,607 | $152,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 11,079 | $138,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 10,091 | $138,000 | thousands by filing date | |
| 38259p508 | COM | 152 | $135,000 | thousands by filing date | ||
| DENBURY RES INC | 247916208 | COM NEW | 7,000 | $129,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 4,442 | $127,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 9,765 | $124,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 6,986 | $124,000 | thousands by filing date | |
| VALUECLICK INC | 92046N102 | COM | 5,757 | $120,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 7,966 | $119,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 6,336 | $108,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 633 | $106,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 4,000 | $104,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 1,123 | $103,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 7,705 | $100,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 277,000 | $100,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 4,000 | $99,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 1,219 | $96,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 8,155 | $90,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 282 | $89,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 6,626 | $86,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 6,627 | $86,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 7,014 | $84,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 1,720 | $83,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 7,026 | $81,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 4,372 | $80,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 6,366 | $80,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 2,339 | $77,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 4,444 | $74,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 56,465 | $73,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 384 | $72,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 6,245 | $72,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 672 | $72,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 5,672 | $72,000 | thousands by filing date | |
| ISHARES TR | 464289800 | S&P TARGET 40 | 1,690 | $69,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 2,680 | $68,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 20,000 | $67,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 5,441 | $67,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 5,228 | $67,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 4,193 | $67,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 729 | $63,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 519 | $62,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 6,863 | $62,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 201 | $61,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,774 | $59,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 630 | $59,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 995 | $59,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 3,141 | $57,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 4,804 | $57,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 4,397 | $57,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 4,251 | $53,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 1,274 | $52,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 2,802 | $52,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 634 | $52,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 2,873 | $52,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 10,000 | $51,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 1,211 | $50,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 862 | $50,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 3,314 | $48,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 3,759 | $48,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 805 | $45,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 847 | $44,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,692 | $44,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,572 | $44,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 1,274 | $43,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 3,271 | $43,000 | thousands by filing date | |
| GREEN MTN COFFEE ROASTERS IN | 393122106 | COM | 577 | $43,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 3,204 | $43,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 685 | $42,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 2,124 | $42,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 3,305 | $42,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 609 | $41,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,835 | $40,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 2,000 | $39,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 2,971 | $39,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,664 | $39,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 160 | $38,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 570 | $36,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 10,000 | $35,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 596 | $34,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,131 | $34,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 4,000 | $34,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 2,636 | $33,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 189 | $32,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 615 | $32,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 128 | $30,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 815 | $30,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 390 | $30,000 | thousands by filing date | |
| MCGRAW HILL FINL INC | 580645109 | COM | 454 | $30,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 475 | $30,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 998 | $28,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 2,244 | $28,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 1,630 | $28,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 1,190 | $28,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 292 | $28,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 355 | $28,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 417 | $27,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 477 | $26,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 731 | $26,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 3,172 | $24,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,773 | $23,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 1,635 | $23,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 3,000 | $22,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 351 | $22,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 200 | $21,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 376 | $21,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 2,000 | $21,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 2,400 | $20,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 706 | $20,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 405 | $20,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 365 | $19,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 227 | $19,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 150 | $19,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 45 | $19,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 408 | $19,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 1,692 | $19,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 3,306 | $19,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 1,100 | $19,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 3,681 | $19,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 168 | $19,000 | thousands by filing date | |
| INTERFACE INC | 458665304 | COM | 907 | $18,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 600 | $18,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 374 | $17,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 444 | $17,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 400 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 75 | $16,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 301 | $16,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 379 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 385 | $15,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 100 | $15,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 152 | $15,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 625 | $15,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 375 | $15,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 6,000 | $15,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 918 | $15,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 115 | $14,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 180 | $14,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 1,463 | $14,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 1,214 | $14,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 1,037 | $14,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 1,142 | $14,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 176 | $14,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P | 96950F104 | COM UNIT L P | 265 | $14,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 538 | $13,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 365 | $13,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 1,071 | $13,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 115 | $13,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 125 | $13,000 | thousands by filing date | |
| FOREST LABS INC | 345838106 | COM | 300 | $13,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 200 | $13,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 318 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 112 | $12,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 155 | $12,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 865 | $11,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 90 | $11,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 200 | $11,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 600 | $11,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 190 | $11,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 300 | $11,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 600 | $11,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 420 | $10,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 123 | $10,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 104 | $10,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 1,615 | $10,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 125 | $9,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 320 | $9,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 210 | $9,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 205 | $9,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,000 | $9,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 269 | $9,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 513 | $9,000 | thousands by filing date | |
| ANNIES INC | 03600T104 | COM | 176 | $9,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 220 | $9,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 95 | $8,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 100 | $8,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 112 | $8,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 99 | $8,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 100 | $7,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 55 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 95 | $6,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 130 | $6,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 77 | $6,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 205 | $6,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 45 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 44 | $6,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 65 | $6,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 135 | $5,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 60 | $5,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 40 | $5,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 70 | $5,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 42 | $5,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 47 | $5,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 55 | $5,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 72 | $5,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 95 | $5,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 150 | $5,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 65 | $5,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 60 | $5,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 25 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 80 | $5,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 57 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 37 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 54 | $5,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 12 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 270 | $5,000 | thousands by filing date | |
| FLEETMATICS GROUP PLC | G35569105 | COM | 146 | $5,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 185 | $5,000 | thousands by filing date | |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 70 | $5,000 | thousands by filing date | |
| HOMEAWAY INC | 43739Q100 | COM | 182 | $5,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760129 | SHS | 3,332 | $5,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 1,000 | $4,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 200 | $4,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 70 | $4,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 103 | $4,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 67 | $4,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 19 | $4,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 95 | $4,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 55 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 55 | $4,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 4 | $4,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 80 | $4,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 200 | $4,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 176 | $4,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 200 | $4,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 200 | $4,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 125 | $3,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 19 | $3,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 7 | $3,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 24 | $3,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 23 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 41 | $3,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 168 | $3,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 64 | $3,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 41 | $3,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 24 | $3,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 38 | $3,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 39 | $3,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 58 | $3,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 45 | $3,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 37 | $3,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 36 | $3,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 32 | $3,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 110 | $3,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 80 | $3,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 769 | $3,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 46 | $3,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 25 | $3,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 54 | $3,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 16 | $3,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 100 | $3,000 | thousands by filing date | |
| SONDE RESOURCES CORP | 835426107 | COM | 3,000 | $3,000 | thousands by filing date | |
| NETSUITE INC | 64118Q107 | COM | 24 | $3,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 114 | $3,000 | thousands by filing date | |
| CHINA GERUI ADVANCED MATERIA | G21101103 | CMN | 2,000 | $3,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 45 | $2,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 29 | $2,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 43 | $2,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 44 | $2,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 9 | $2,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 100 | $2,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 20 | $2,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 53 | $2,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 48 | $2,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 37 | $2,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 31 | $2,000 | thousands by filing date | |
| Equinix, Inc. | 29444U502 | EQIX | 9 | $2,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 21 | $2,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 108 | $2,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 307 | $2,000 | thousands by filing date | |
| BABCOCK & WILCOX CO NEW | 05615F102 | COM | 64 | $2,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 13 | $1,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 25 | $1,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 34 | $1,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 70 | $1,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 20 | $1,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 200 | $1,000 | thousands by filing date | |
| DELL INC | 24702R101 | COM | 100 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 100 | $1,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 25 | $1,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GAP INC COM | 364760108 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTHERN COPPER CORP | 84265V105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YAMANA GOLD INC | 98462Y100 | COM | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RENREN INC | 759892102 | SPONSORED ADR | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-13-001755 | superseded | 2013-10-28 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-13-001762 | this filing | 2013-10-29 | acceptance time not in the bulk data set |