13F-HR filed by First Allied Asset Management, Inc.
First Allied Asset Management, Inc. filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-13, with 174 holding rows worth $695,353,000.
- Accession
- 0001456510-14-000001
- Filer
- CIK 1456510
- Filed
- 2014-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 174 entries on the cover page, a total value of $695,353,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $695,353,000 with VALUE read as thousands by filing date, 13F file number 028-13473. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| iShares MBS ETF | 464288588 | SHS | 247,179 | $25,954,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 601,368 | $25,082,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 207,527 | $23,739,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 315,290 | $18,173,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 381,906 | $15,705,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 147,731 | $15,569,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 384,937 | $13,774,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 51,558 | $12,592,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 307,963 | $11,313,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 344,153 | $10,626,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 102,284 | $10,608,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 202,646 | $10,299,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 79,710 | $9,951,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 208,495 | $9,935,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 198,679 | $9,748,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 445,474 | $9,217,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 89,209 | $9,022,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 85,739 | $8,500,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 338,110 | $8,245,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 162,543 | $8,243,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 14,242 | $8,178,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 79,081 | $7,351,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 199,463 | $7,137,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 128,357 | $7,118,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 395,750 | $7,101,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 107,434 | $7,031,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 206,728 | $7,009,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 99,042 | $6,997,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 153,386 | $6,926,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 244,305 | $6,909,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 345,060 | $6,864,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 73,951 | $6,791,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 96,366 | $6,649,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 71,143 | $6,549,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 119,594 | $6,536,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 128,163 | $6,516,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 145,368 | $6,498,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 70,992 | $6,492,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 182,138 | $6,451,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 130,989 | $6,412,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 80,106 | $6,407,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 139,627 | $6,364,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 352,878 | $6,339,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 126,020 | $6,265,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 287,432 | $6,254,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 201,471 | $6,247,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 146,313 | $6,224,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 134,542 | $6,222,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 67,454 | $6,191,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 96,434 | $6,159,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 198,432 | $6,142,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 165,520 | $6,109,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 209,111 | $6,087,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 123,183 | $6,058,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 238,048 | $5,992,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 87,354 | $5,917,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 50,683 | $5,866,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 165,006 | $5,854,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 154,441 | $5,835,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 57,493 | $5,511,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 64,949 | $5,487,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 91,066 | $5,435,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 77,077 | $5,399,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 74,700 | $4,390,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 188,427 | $4,355,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 33,282 | $4,054,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 106,051 | $3,989,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 333,765 | $3,911,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 46,684 | $3,714,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 37,109 | $3,336,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 72,632 | $3,336,000 | thousands by filing date | |
| GANNETT INC | 364730101 | COM | 108,337 | $3,140,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 97,700 | $3,126,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 113,611 | $3,064,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 52,700 | $2,989,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 29,309 | $2,986,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 129,400 | $2,956,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 43,892 | $2,946,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 27,523 | $2,923,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 32,150 | $2,894,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 54,447 | $2,881,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 31,664 | $2,851,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 53,513 | $2,839,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 56,287 | $2,801,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 67,044 | $2,777,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 45,027 | $2,744,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 44,900 | $2,739,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106108 | COM | 54,100 | $2,703,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 53,848 | $2,671,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 65,600 | $2,657,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 33,200 | $2,634,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 63,638 | $2,547,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 34,776 | $2,469,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 23,759 | $2,417,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 27,336 | $2,347,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 16,110 | $1,711,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 44,047 | $1,518,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 39,515 | $1,481,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 23,854 | $1,468,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 24,659 | $1,341,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 22,626 | $1,336,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 54,096 | $1,221,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 24,163 | $1,212,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 19,411 | $1,195,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 55,346 | $1,168,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 20,230 | $1,167,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 7,746 | $1,152,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 45,147 | $1,140,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 42,345 | $1,104,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 7,305 | $1,038,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 27,389 | $1,033,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 20,147 | $1,027,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 18,522 | $979,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 11,246 | $946,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 9,527 | $918,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 11,747 | $900,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 30,987 | $867,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 12,153 | $857,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 9,132 | $839,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 8,799 | $836,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 21,789 | $834,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 15,095 | $830,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 10,067 | $818,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 9,723 | $806,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 11,145 | $768,000 | thousands by filing date | |
| ENERGIZER HLDGS INC | 29266R108 | COM | 6,859 | $742,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 27,744 | $736,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 6,335 | $700,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 13,133 | $687,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 9,173 | $678,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 16,246 | $674,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 2,925 | $670,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 8,803 | $655,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 7,163 | $655,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 12,804 | $653,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 10,910 | $652,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 16,301 | $643,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 6,892 | $633,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 11,058 | $633,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 11,729 | $626,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 12,256 | $625,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 20,031 | $604,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 3,057 | $566,000 | thousands by filing date | |
| IJH | 464287507 | COM | 4,222 | $563,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 21,665 | $558,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 40,715 | $543,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 1,900 | $523,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 8,413 | $491,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 9,054 | $485,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 4,273 | $472,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 7,308 | $468,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 36,578 | $466,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 13,315 | $442,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 56,111 | $430,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 8,000 | $380,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 9,054 | $367,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 3,253 | $356,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 2,900 | $344,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 3,309 | $342,000 | thousands by filing date | |
| Cole Real Estate Investments | 19329V105 | COM | 23,866 | $335,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 4,808 | $321,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 3,129 | $321,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,639 | $306,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 2,413 | $306,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 3,889 | $290,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 3,700 | $274,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 3,012 | $272,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 18,050 | $216,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 4,304 | $215,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 5,319 | $205,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 5,108 | $200,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 10,137 | $123,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 22,000 | $23,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 13,000 | $14,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001456510-14-000001 | this filing | 2014-02-13 | acceptance time not in the bulk data set |