0001020918-12-000008.txt : 20121023
0001020918-12-000008.hdr.sgml : 20121023
20121023153059
ACCESSION NUMBER: 0001020918-12-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121023
DATE AS OF CHANGE: 20121023
EFFECTIVENESS DATE: 20121023
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROTHSCHILD INVESTMENT CORP /IL
CENTRAL INDEX KEY: 0001020918
IRS NUMBER: 362708660
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05772
FILM NUMBER: 121156515
BUSINESS ADDRESS:
STREET 1: 311 SOUTH WACKER DRIVE
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3129838900
MAIL ADDRESS:
STREET 1: 311 S WACKER DR
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR
1
inftable.txt
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
AES TR III PFD CV 6.75% 00808n202 1103 22110 SH DEFINED 22110
100,000THS CEF COHEN & STEERS COM bkc47l109 0 87208 SH DEFINED 87208
3M CO COM COM 88579Y101 5782 62561 SH DEFINED 62561
ABBOTT LABS COM 002824100 12016 175269 SH DEFINED 175269
ABRAXAS PETE CORP COM COM 003830106 46 20000 SH DEFINED 20000
ACADIA HEALTHCARE CO INC COM COM 00404a109 1954 82000 SH DEFINED 82000
ACCENTURE PLC IRELAND CL A COM g1151c101 529 7550 SH DEFINED 7550
ACME PACKET INC COM COM 004764106 987 57695 SH DEFINED 57695
ADOBE SYS INC COM 00724F101 499 15385 SH DEFINED 15385
AGL RES INC COM 001204106 327 7994 SH DEFINED 7994
ALCOA INC. COM 013817101 1677 189362 SH DEFINED 189362
ALLERGAN INC COM 018490102 1857 20280 SH DEFINED 20280
ALLSTATE CORP COM COM 020002101 827 20874 SH DEFINED 20874
ALTRIA GROUP INC COM 02209S103 1300 38936 SH DEFINED 38936
AMAZON COM INC COM COM 023135106 621 2440 SH DEFINED 2440
AMBAC FINANCIAL GROUP INC COM COM 023139108 0 10000 SH DEFINED 10000
AMEREN CORP COM COM 023608102 808 24745 SH DEFINED 24745
AMERICAN ELECTRIC POWER COM 025537101 2009 45714 SH DEFINED 45714
AMERICAN INTL GROUP INC COM NE COM 026874784 1313 40035 SH DEFINED 40035
AMERICAN TOWER REIT COM COM 03027x100 1714 24015 SH DEFINED 24015
AMERIPRISE FINL INC COM COM 03076c106 252 4453 SH DEFINED 4453
AMGEN INC COM 031162100 3877 45997 SH DEFINED 45997
ANNALY CAP MGMT INC COM COM 035710409 1536 91200 SH DEFINED 91200
APACHE CORP COM 037411105 781 9031 SH DEFINED 9031
APOLLO INVT CORP COM COM 03761u106 789 100100 SH DEFINED 100100
APPLE COMPUTER INC COM 037833100 29970 44926 SH DEFINED 44926
ARCH COAL INC COM COM 039380100 85 13450 SH DEFINED 13450
ARCHER DANIELS MIDLAND COM 039483102 325 11957 SH DEFINED 11957
ARES CAP CORP COM COM 04010l103 316 18425 SH DEFINED 18425
AT&T INC COM COM 00206r102 7713 204593 SH DEFINED 204593
AUTOMATIC DATA PROCESSING COM 053015103 384 6550 SH DEFINED 6550
AVON PRODS INC COM COM 054303102 254 15900 SH DEFINED 15900
BANK OF AMER CORP COM 060505104 1790 202717 SH DEFINED 202717
BARRICK GOLD CORP COM 067901108 1503 36000 SH DEFINED 36000
BAXTER INTERNATIONAL INC COM 071813109 8240 136712 SH DEFINED 136712
BEAM INC COM COM 073730103 6528 113450 SH DEFINED 113450
BEMIS INC COM COM 081437105 592 18815 SH DEFINED 18815
BERKSHIRE HATHAWAY INC CL B COM 084670702 5310 60208 SH DEFINED 60208
BERKSHIRE HATHAWAY INC DEL COM 084670108 398 3 SH DEFINED 3
BHP BILLITON SPONS ADR COM 088606108 415 6050 SH DEFINED 6050
BOEING COMPANY COM 097023105 1374 19736 SH DEFINED 19736
BP PLC SPONSORED ADR COM 055622104 1819 42950 SH DEFINED 42950
BR MALLS PARTICIPACOES GDR 144 COM 05569b107 2220 80000 SH DEFINED 80000
BRANDYWINE RLTY TR SH BEN INT COM 105368203 183 15000 SH DEFINED 15000
BREITBURN ENGY PRTNR COM UT LT COM 106776107 765 39350 SH DEFINED 39350
BRISTOL MYERS SQUIBB CO COM 110122108 4340 128599 SH DEFINED 128599
CANADIAN IMPRL BK COMM COM COM 136069101 503 6435 SH DEFINED 6435
CANADIAN NATL RY CO COM COM 136375102 1251 14182 SH DEFINED 14182
CATERPILLAR TRACTOR COM 149123101 1290 14995 SH DEFINED 14995
CBOE HLDGS INC COM COM 12503m108 1555 52900 SH DEFINED 52900
CELGENE CORP COM COM 151020104 454 5938 SH DEFINED 5938
CENTURYLINK INC COM 156700106 834 20641 SH DEFINED 20641
CERAGON NETWORKS LTD ORD COM M22013102 338 59335 SH DEFINED 59335
CF INDS HLDGS INC COM COM 125269100 1067 4800 SH DEFINED 4800
CHEVRON TEXACO CORP COM COM 166764100 6190 53106 SH DEFINED 53106
CISCO SYS INC COM 17275R102 5628 294719 SH DEFINED 294719
CLIFFS NATURAL RESOURC COM COM 18683K101 866 22130 SH DEFINED 22130
COCA COLA COMPANY COM 191216100 3266 86108 SH DEFINED 86108
COHEN & STEERS QTY RLY COM COM 19247L106 1500 139655 SH DEFINED 139655
COMCAST CORPORATION CLASS A COM 20030n101 1574 44020 SH DEFINED 44020
COMPUGEN LTD ORD COM m25722105 1784 474360 SH DEFINED 474360
CONAGRA INC COM 205887102 230 8350 SH DEFINED 8350
CONOCOPHILLIPS COM 20825C104 11214 196114 SH DEFINED 196114
CONSOLIDATED EDISON NEW YORK COM 209115104 1140 19038 SH DEFINED 19038
CORNING INC COM 219350105 1528 116175 SH DEFINED 116175
COSTCO WHOLESALE CORP-NEW COM 22160K105 2348 23445 SH DEFINED 23445
COVANTA HOLDINGS CP COM 22282e102 1657 96580 SH DEFINED 96580
CUTWATER SELECT INCOME FUN COM cdc229100 0 88000 SH DEFINED 88000
CVR PARTNERS LP COM COM 126633106 2131 81135 SH DEFINED 81135
CVS CORP INC COM 126650100 1902 39285 SH DEFINED 39285
DANAHER CORP DEL COM COM 235851102 314 5700 SH DEFINED 5700
DARDEN RESTAURANTS, INC. COM 237194105 793 14230 SH DEFINED 14230
DEAN FOODS CO NEW COM COM 242370104 956 58500 SH DEFINED 58500
DECKERS OUTDOOR CORP COM COM 243537107 336 9180 SH DEFINED 9180
DEERE & COMPANY COM 244199105 3431 41608 SH DEFINED 41608
DEVON ENERGY CORP NEW COM COM 25179M103 611 10091 SH DEFINED 10091
DIAMOND OFFSHORE DRILLING INC COM 25271C102 301 4575 SH DEFINED 4575
DISCOVER FINL SVCS INC COM 254709108 6003 151101 SH DEFINED 151101
DOLLAR GENERAL CORP COM 256677105 232 4510 SH DEFINED 4510
DOLLAR TREE INC COM COM 256746108 3358 69536 SH DEFINED 69536
DOMINION RESOURCES INC VA COM 25746u109 213 4016 SH DEFINED 4016
DOMINOS PIZZA INC COM COM 25754a201 239 6350 SH DEFINED 6350
DONNELLEY R R & SONS CO COM 257867101 546 51500 SH DEFINED 51500
DOW CHEMICAL CORPORATION COM 260543103 2682 92623 SH DEFINED 92623
DUKE ENERGY COMPANY COM 26441C204 4546 70171 SH DEFINED 70171
E I DU PONT DE NEMOURS & CO COM 263534109 2887 57424 SH DEFINED 57424
E M C CORP COM 268648102 591 21675 SH DEFINED 21675
EATON CORPORATION COM 278058102 375 7940 SH DEFINED 7940
EBAY INC COM COM 278642103 2822 58340 SH DEFINED 58340
EMERSON ELECTRIC CO COM 291011104 1362 28222 SH DEFINED 28222
ENBRIDGE ENERGY PRTNRS COM COM 29250r106 3063 104050 SH DEFINED 104050
ENTERPRISE PRODS PARTNERS LP C COM 293792107 1155 21547 SH DEFINED 21547
EQUITY RESIDENTIAL PPTYS COM 29476L107 719 12500 SH DEFINED 12500
ESCROW CVR ENERGY INC COM COM 126esc904 0 32800 SH DEFINED 32800
ESCROW DWS RREEF REAL ESTATE F COM esc233990 0 55385 SH DEFINED 55385
EXELON CORP COM 30161N101 7198 202293 SH DEFINED 202293
EXPRESS SCRIPTS HOLDING CO. COM 30219g108 257 4105 SH DEFINED 4105
EXXON MOBIL CORP COM COM 30231G102 6867 75087 SH DEFINED 75087
EZCHIP SEMICONDUCTOR LTD CP COM m4146y108 19176 626857 SH DEFINED 626857
FEDEX CORP COM 31428X106 273 3225 SH DEFINED 3225
FIRST N B ANCHRAG ALAS COM COM 32112j106 410 256 SH DEFINED 256
FIRST TR ENRGY INC & GRWTH FD COM 33738g104 486 16152 SH DEFINED 16152
FOOT LOCKER INC COM COM 344849104 690 19425 SH DEFINED 19425
FORD MOTOR COMPANY COM 345370860 2400 243456 SH DEFINED 243456
FREEPORT MCMORAN COPPER & GOLD COM 35671D857 1469 37107 SH DEFINED 37107
FRONTIER COMMUNICATIONS CORP C COM 35906a108 558 113523 SH DEFINED 113523
FUSION-IO INC COM COM 36112j107 206 6800 SH DEFINED 6800
GANNETT INC DEL COM 364730101 669 37700 SH DEFINED 37700
GAP INC COM 364760108 1290 36056 SH DEFINED 36056
GENCO SHPPNG & TRDNG SHS COM y2685t107 490 133125 SH DEFINED 133125
GENERAL CABLE CORP COM 369300108 209 7100 SH DEFINED 7100
GENERAL ELECTRIC CO COM 369604103 17589 774510 SH DEFINED 774510
GENERAL MILLS INC COM 370334104 239 6000 SH DEFINED 6000
GLAXO SMITHKLINE PLC SPONS ADR COM 37733w105 1438 31101 SH DEFINED 31101
GOLDMAN SACHS GROUP COM COM 38141G104 5174 45514 SH DEFINED 45514
GOOGLE INC CL A COM 38259p508 11838 15690 SH DEFINED 15690
GREEN DOT CORP CL A COM 39304d102 385 31500 SH DEFINED 31500
HAIN CELESTIAL GROUP INC COM COM 405217100 375 5950 SH DEFINED 5950
HALLIBURTON COMPANY COM 406216101 5984 177630 SH DEFINED 177630
HCP INC COM COM 40414l109 445 10000 SH DEFINED 10000
HEINZ H J CO COM 423074103 232 4150 SH DEFINED 4150
HESS CORP COM COM 42809h107 313 5825 SH DEFINED 5825
HEWLETT PACKARD CO COM 428236103 217 12745 SH DEFINED 12745
HOLLYFRONTIER CORP COM COM 436106108 1507 36512 SH DEFINED 36512
HOME DEPOT INC COM 437076102 5062 83844 SH DEFINED 83844
HONEYWELL INTL COM 438516106 1203 20140 SH DEFINED 20140
HUNT JB TRANS SVC INC COM COM 445658107 1192 22900 SH DEFINED 22900
ILLINOIS TOOL WORKS COM 452308109 1929 32440 SH DEFINED 32440
INPHI CORP COM COM 45772f107 1752 164330 SH DEFINED 164330
INTEGRYS ENERGY GRP INC COM COM 45822p105 1716 32873 SH DEFINED 32873
INTEL CORPORATION COM 458140100 3396 149897 SH DEFINED 149897
INTERNATIONAL BUSINESS MACHINE COM 459200101 7877 37973 SH DEFINED 37973
INTERNATIONAL PAPER CO COM 460146103 779 21450 SH DEFINED 21450
INTUITIVE SURGICAL INC COM NEW COM 46120e602 235 474 SH DEFINED 474
ISHARES COMEX GOLD TR ISHARES COM 464285105 1762 102035 SH DEFINED 102035
ISHARES INC MSCI GERMAN COM 464286806 278 12330 SH DEFINED 12330
ISHARES TR MSCI EMERG MKT COM 464287234 478 11560 SH DEFINED 11560
ISHARES TR NASDQ BIO INDX COM 464287556 1426 10000 SH DEFINED 10000
ISHARES TR RUSSELL 2000 COM 464287655 2741 32845 SH DEFINED 32845
J P MORGAN CHASE & CO COM COM 46625h100 13120 324104 SH DEFINED 324104
JACOBS ENGR GROUP INC COM COM 469814107 5016 124077 SH DEFINED 124077
JAZZ PHARMACEUTICALS COM g50871105 306 5370 SH DEFINED 5370
JOHNSON & JOHNSON COM 478160104 12081 175311 SH DEFINED 175311
JOS A BANK CLOTHIERS COM COM 480838101 1174 24224 SH DEFINED 24224
KEY ENERGY SVCS INC COM COM 492914106 119 16950 SH DEFINED 16950
KEYCORP NEW COM COM 493267108 104 11855 SH DEFINED 11855
KIMBERLY CLARK CORP COM 494368103 265 3093 SH DEFINED 3093
KINDER MORGAN ENERGY PTNRS LP COM 494550106 3416 41405 SH DEFINED 41405
KINDER MORGAN INC DEL COM COM 49456b101 691 19440 SH DEFINED 19440
KIT DIGITAL INC COM NEW COM 482470200 33 11100 SH DEFINED 11100
KKR FINANCIAL HLDGS LLC COM COM 48248a306 375 37359 SH DEFINED 37359
KRAFT FOODS INC CL A COM 50075n104 577 13944 SH DEFINED 13944
KROGER CO COM 501044101 461 19600 SH DEFINED 19600
LAS VEGAS SANDS CORP COM COM 517834107 6705 144600 SH DEFINED 144600
LILLY ELI & COMPANY COM 532457108 2287 48243 SH DEFINED 48243
LINCOLN NATL CORP IND COM COM 534187109 396 16360 SH DEFINED 16360
LOCKHEED MARTIN CORP COM 539830109 977 10463 SH DEFINED 10463
LOWES COS INC COM COM 548661107 2321 76748 SH DEFINED 76748
LUND GOLD LTD COM COM 550367106 1 30000 SH DEFINED 30000
MAGNA INTERNATIONAL, INC. COM 559222401 787 18200 SH DEFINED 18200
MANPOWER INC COM 56418H100 3412 92725 SH DEFINED 92725
MARATHON OIL CORP COM 565849106 230 7770 SH DEFINED 7770
MARKWEST ENERGY PARTNR UNIT LT COM 570759100 327 6000 SH DEFINED 6000
MASTERCARD INC COM COM 57636q104 829 1837 SH DEFINED 1837
MCDONALDS CORPORATION COM 580135101 5137 55993 SH DEFINED 55993
MCGRAW HILL COS INC COM COM 580645109 319 5850 SH DEFINED 5850
MCKENZIE BAY INTL LTD COM COM 581531100 0 10000 SH DEFINED 10000
MEDTRONIC INC COM 585055106 1477 34260 SH DEFINED 34260
MELLANOX TECH LTD SHS COM m51363113 4423 43560 SH DEFINED 43560
MERCK & COMPANY INC. COM 58933y105 5185 114974 SH DEFINED 114974
METLIFE INC COM COM 59156r108 526 15250 SH DEFINED 15250
MICROSOFT CORP COM 594918104 3787 127253 SH DEFINED 127253
MILLER INDS COM 600551204 1734 108007 SH DEFINED 108007
MOCON INC COM COM 607494101 161 10889 SH DEFINED 10889
MONSANTO CO NEW COM COM 61166W101 585 6424 SH DEFINED 6424
MORGAN STANLEY COM NEW COM 617446448 634 37891 SH DEFINED 37891
MVC CAPITAL INC COM COM 553829102 320 25000 SH DEFINED 25000
NEWELL RUBBERMAID INC. COM 651229106 296 15515 SH DEFINED 15515
NEWMONT MNG CORP COM 651639106 765 13660 SH DEFINED 13660
NEXTERA ENERGY INC COM COM 65339F101 378 5376 SH DEFINED 5376
NIKE INC CLASS B COM 654106103 2090 22023 SH DEFINED 22023
NISKA GAS STORAGE PAR UNIT LTD COM 654678101 155 12345 SH DEFINED 12345
NISOURCE INC. COM COM 65473p105 745 29248 SH DEFINED 29248
NOBLE CORPORATION BAAR NAMEN A COM h5833N103 4767 133220 SH DEFINED 133220
NORFOLK SOUTHERN CORP COM 655844108 1339 21049 SH DEFINED 21049
NORTHERN TRUST CORPORATION COM 665859104 391 8420 SH DEFINED 8420
NOVARTIS A G SPONSORED ADR COM 66987V109 1874 30590 SH DEFINED 30590
NUCOR CORP COM 670346105 971 25375 SH DEFINED 25375
NYSE EURONEXT COM COM 629491101 1913 77600 SH DEFINED 77600
OCCIDENTAL PETE CORP COM 674599105 353 4100 SH DEFINED 4100
OIL SVC HOLDRS TR DEPOSTRY RCP COM 57060u191 628 15600 SH DEFINED 15600
OMNICOM GROUP COM 681919106 396 7675 SH DEFINED 7675
ORACLE SYS CORP COM 68389X105 1517 48227 SH DEFINED 48227
OROMIN EXPL LTD NEW COM - DO N COM 687082107 25 36190 SH DEFINED 36190
PACCAR INC COM COM 693718108 213 5320 SH DEFINED 5320
PENGROWTH ENERGY CORP COM COM 70706p104 81 12000 SH DEFINED 12000
PEPSICO INC COM 713448108 7408 104680 SH DEFINED 104680
PFIZER INC COM 717081103 7945 319717 SH DEFINED 319717
PHILIP MORRIS INTL INC COM COM 718172109 2763 30725 SH DEFINED 30725
PHILLIPS 66 COM COM 718546104 876 18891 SH DEFINED 18891
PINNACLE WEST CAPITAL CORP USD COM 723484101 467 8840 SH DEFINED 8840
PITNEY BOWES INC COM 724479100 458 33156 SH DEFINED 33156
PLAINS ALL AM PIPELINE UNIT LT COM 726503105 210 2385 SH DEFINED 2385
POTASH CORP SASK INC COM COM 73755l107 406 9360 SH DEFINED 9360
POWERSHARES DB CMDTY UNIT BEN COM 73935s105 937 32663 SH DEFINED 32663
POWERSHARES ETF TRUST FTSE RAF COM 73935x583 412 6700 SH DEFINED 6700
POWERSHARES ETF TRUST PRVT EQT COM 73935x195 146 15500 SH DEFINED 15500
POWERSHARES QQQ TR UNIT SER 1 COM 73935A104 751 10958 SH DEFINED 10958
PPG INDS INC COM COM 693506107 632 5500 SH DEFINED 5500
PPL CORPORATION COM 69351T106 413 14200 SH DEFINED 14200
PRAXAIR INC COM 74005P104 793 7635 SH DEFINED 7635
PROCTER & GAMBLE CO COM 742718109 11021 158899 SH DEFINED 158899
PROSHARES TR SHORT S&P 500 COM 74347r503 426 12500 SH DEFINED 12500
QRS MUSIC TECHNOLOGIES COM COM 74726W107 6 25000 SH DEFINED 25000
QUALCOMM INC COM 747525103 20126 322168 SH DEFINED 322168
QUICKLOGIC CORP COM COM 74837p108 627 224100 SH DEFINED 224100
RAYMOND JAMES FINL INC COM 754730109 3585 97830 SH DEFINED 97830
RAYTHEON CO COM 755111507 790 13818 SH DEFINED 13818
RENTECH NITROGEN PARTN COM UNI COM 760113100 674 17400 SH DEFINED 17400
REPUBLIC SVCS INC CL A COM 760759100 687 24975 SH DEFINED 24975
RHYTHMS NETCONNECTIONS COM COM 762430205 0 20000 SH DEFINED 20000
ROYAL BK CDA MONTREAL COM COM 780087102 225 3925 SH DEFINED 3925
ROYCE FOCUS TR COM COM 78080n108 281 41785 SH DEFINED 41785
RSTK STD BANCSHARES INC HICKOR COM 853993442 0 104086 SH DEFINED 104086
RUSHNET INC COM COM 782074108 0 4000000 SH DEFINED 4000000
RYDEX ETF S&P 500 EQUAL WEIGHT COM 78355w106 290 5565 SH DEFINED 5565
S&P 400 MIDCAP - ISHARES COM 464287507 2021 20483 SH DEFINED 20483
SAN JUAN BASIN RTY TR UNIT BEN COM 798241105 1030 72690 SH DEFINED 72690
SCHLUMBERGER COM 806857108 1110 15341 SH DEFINED 15341
SECTOR SPDR TR SBI INT-UTILS COM 81369y886 658 18081 SH DEFINED 18081
SELECT SECTOR SPDR TR SBI INT- COM 81369y605 1609 103225 SH DEFINED 103225
SHIRE LTD SHS COM g8124v108 234 8000 SH DEFINED 8000
SIRIUS XM RADIO INC COM COM 82967n108 31 12000 SH DEFINED 12000
SOUTHERN COMPANY COM 842587107 502 10888 SH DEFINED 10888
SOUTHERN COPPER CORP COM 84265v105 445 12960 SH DEFINED 12960
SPDR S&P 500 ETF TR UNIT SER 1 COM 78462F103 1864 12945 SH DEFINED 12945
SPDR S&P MIDCAP 400 ETF TR UNI COM 78467y107 7311 40635 SH DEFINED 40635
SPDR SER TR S&P HOMEBUILDERS E COM 78464a888 799 32159 SH DEFINED 32159
SPIDER GOLD TR SHS COM 78463V107 1638 9527 SH DEFINED 9527
STAPLES INC COM COM 855030102 302 26175 SH DEFINED 26175
STARBUCKS CORP COM COM 855244109 449 8850 SH DEFINED 8850
STARWOOD PPTY TR INC COM COM 85571b105 4584 196990 SH DEFINED 196990
STATE STREET BOSTON CORP COM 857477103 546 13015 SH DEFINED 13015
STIFEL FINL CORP COM COM 860630102 548 16300 SH DEFINED 16300
STMICROELECTRONICS N V NY REGI COM 861012102 108 20070 SH DEFINED 20070
STRYKER CORP COM 863667101 552 9925 SH DEFINED 9925
SUNTRUST BKS INC COM COM 867914103 207 7328 SH DEFINED 7328
SYSCO CORP COM 871829107 569 18200 SH DEFINED 18200
SYSTEMAX INC COM COM 871851101 254 21495 SH DEFINED 21495
TAIWAN FD INC COM COM 874036106 177 10751 SH DEFINED 10751
TAL INTL GROUP INC COM 874083108 246 7245 SH DEFINED 7245
TARGA RES PARTNERS LP COM 87611x105 354 8265 SH DEFINED 8265
TARGET CORP COM COM 87612E106 795 12528 SH DEFINED 12528
TAYLOR CAP GROUP COM COM 876851106 306 17860 SH DEFINED 17860
TE CONNECTIVITY LTD COM H84989104 979 28775 SH DEFINED 28775
TECO ENERGY INC COM COM 872375100 1770 99759 SH DEFINED 99759
TELETECH HOLDING COM 879939106 1364 80000 SH DEFINED 80000
TEREX CORP NEW COM COM 880779103 530 23475 SH DEFINED 23475
TEVA PHARMACEUTICAL COM 881624209 581 14040 SH DEFINED 14040
THERMO FISHER SCIENTIFIC COM 883556102 4460 75815 SH DEFINED 75815
TIFFANY & CO COM 886547108 435 7025 SH DEFINED 7025
TIME WARNER CABLE INC COM COM 88732j207 465 4887 SH DEFINED 4887
TIME WARNER INC COM 887317303 1221 26934 SH DEFINED 26934
TITAN INTL INC ILL COM COM 88830m102 362 20480 SH DEFINED 20480
TITAN MACHY INC COM COM 88830r101 1399 68975 SH DEFINED 68975
TJX COMPANIES INC (NEW) COM 872540109 2633 58792 SH DEFINED 58792
TORONTO DOMINION BK COM NEW COM 891160509 756 9075 SH DEFINED 9075
TOTAL S A SPONSORED ADR COM 89151E109 222 4428 SH DEFINED 4428
TRAVELERS COS INC COM COM 89417E109 214 3129 SH DEFINED 3129
UGI CORP NEW COM COM 902681105 752 23700 SH DEFINED 23700
UNION PACIFIC CORPORATION COM 907818108 205 1730 SH DEFINED 1730
UNITED PARCEL SERVICE CL B COM 911312106 6031 84265 SH DEFINED 84265
UNITED TECHNOLOGIES CORP COM 913017109 1705 21772 SH DEFINED 21772
UNIVERSAL HEALTH RLTY INCOME S COM 91359E105 497 10800 SH DEFINED 10800
UNIVERSAL HLTH SVCS CL B COM 913903100 1829 40000 SH DEFINED 40000
US BANCORP DEL COM COM 902973304 1921 55994 SH DEFINED 55994
VALERO ENERGY CORP NEW COM COM 91913y100 226 7125 SH DEFINED 7125
VANGUARD SPECIALIZED DIV APP E COM 921908844 1422 23830 SH DEFINED 23830
VANTAGE DRILLING COMPA ORD SHS COM g93205113 28 15000 SH DEFINED 15000
VECTOR GROUP LTD COM COM 92240M108 548 33051 SH DEFINED 33051
VENTAS INC COM COM 92276F100 519 8330 SH DEFINED 8330
VERIZON COMMUNICATIONS COM COM 92343v104 5743 126033 SH DEFINED 126033
VISA INC COM CL A COM 92826c839 2077 15469 SH DEFINED 15469
VODAFONE GROUP PLC ADR-NEW COM 92857w209 377 13212 SH DEFINED 13212
WAL MART STORES INC COM 931142103 2808 38053 SH DEFINED 38053
WALGREEN COMPANY COM 931422109 1528 41919 SH DEFINED 41919
WALT DISNEY PRODUCTIONS COM 254687106 909 17378 SH DEFINED 17378
WASTE MGMT INC COM COM 94106L109 3708 115580 SH DEFINED 115580
WELLS FARGO & COMPANY COM 949746101 543 15730 SH DEFINED 15730
WESTPAC BANKING ADS COM 961214301 346 2695 SH DEFINED 2695
WEYERHAEUSER CO COM 962166104 527 20151 SH DEFINED 20151
WILLIAMS COS INC DEL COM COM 969457100 1045 29869 SH DEFINED 29869
WISDOMTREE TR EMERGING MKTS YL COM 97717w315 211 3938 SH DEFINED 3938
WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 585 12763 SH DEFINED 12763
WISDOMTREE TRUST INTL LRGCAP D COM 97717w794 434 10250 SH DEFINED 10250
WORLD OIL RESOURCES COM 3862224 0 10000 SH DEFINED 10000
XEROX CORP COM COM 984121103 205 27895 SH DEFINED 27895
XILINX INC COM COM 983919101 531 15900 SH DEFINED 15900
ZEBRA TECHNOLOGIES CP CL A COM 989207105 305 8125 SH DEFINED 8125
ZIMMER HOLDINGS INC COM 98956P102 5682 84025 SH DEFINED 84025
CNOOC LTD SPONS ADR 126132109 1066 5260 SH DEFINED 5260
ENSCO PLC SHS CL A g3157s106 211 3870 SH DEFINED 3870
NATIONAL AUSTRALIA BK SPONSORE 632525408 209 7900 SH DEFINED 7900
REPSOL S.A. 76026t205 752 38725 SH DEFINED 38725
ROYAL DUTCH SHELL B 780259107 668 9375 SH DEFINED 9375
ROYAL DUTCH SHELL PLC SPONS AD 780259206 300 4327 SH DEFINED 4327
SANOFI SPONSORED ADR 80105n105 258 6000 SH DEFINED 6000
SHENGKAI INNOVATIONS INC. 82321p203 32 43255 SH DEFINED 43255
SHIRE PHARMCTL GRP PLC SPONSOR 82481r106 559 6300 SH DEFINED 6300
TATA MTRS LTD SPONSORED ADR 876568502 247 9600 SH DEFINED 9600
WAL-MART DE MEXICO S A ADR SR 93114W107 445 15776 SH DEFINED 15776
AMER INTL GRP FRAC WTS EXP 01/ acg874152 0 68765 SH DEFINED 68765
AIM INV FDS GLB HLT CARE A 00141T106 202 6176.496 SH DEFINED 6176.496
AMER INTL GRW & INC CL F-1 SHS 45956t402 763 25692.019SH DEFINED 25692.019
AMERICAN BALANCED FD CL F 024071409 775 38305.942SH DEFINED 38305.942
AMERICAN BALANCED FD COM 024071102 464 22928.759SH DEFINED 22928.759
BLAIR WILLIAM MUT FDS INTL GRW 093001402 446 20579.030SH DEFINED 20579.030
CAPITAL INCOME BLDR FD CL F 140193400 3894 73630.815SH DEFINED 73630.815
CAPITAL INCOME BUILDERS FD SH 140193103 819 15482.726SH DEFINED 15482.726
CAPITAL WORLD GRW&INCM CL F 140543406 1481 41184.010SH DEFINED 41184.010
CAPITAL WORLD GRW&INCM COM 140543109 306 8496.574 SH DEFINED 8496.574
CLAYMORE ETF TR ZACKS MDCAP CR 18383m720 520 15575.000SH DEFINED 15575.000
COLUMBIA ACORN FUND CL Z 197199409 863 27683.659SH DEFINED 27683.659
EATON VANCE FLOATING RATE FD C 277911129 169 17956.833SH DEFINED 17956.833
EATON VANCE GROWTH TR ATL CAPT 277902698 280 15816.528SH DEFINED 15816.528
EUROPACIFIC GROWTH FUND CLASS 298706102 488 12300.140SH DEFINED 12300.140
FIDELITY ADVISOR SER I LEV CO 315805424 501 13559.699SH DEFINED 13559.699
FIRST EAGLE FDS INC GOLD FD 32008f408 458 15001.421SH DEFINED 15001.421
FRANKLIN INCOME FD CLASS A 353496300 86 38620.697SH DEFINED 38620.697
FUNDAMENTAL INVS INC CL F 360802409 217 5402.340 SH DEFINED 5402.340
GOLDMAN SACHS TR N11 EQTY A SH 38145l869 496 48366.600SH DEFINED 48366.600
GROWTH FD AMER INC CL F 399874403 302 8973.525 SH DEFINED 8973.525
HEARTLAND GROUP INC VAL PLUS I 422352849 368 12085.154SH DEFINED 12085.154
INCOME FUND AMERICA 453320103 528 29375.780SH DEFINED 29375.780
INTERNATIONAL GRW & IN CL F-2 45956t501 283 9530.679 SH DEFINED 9530.679
MAINSTAY MARKETFIELD FD CL I 56064b852 3478 223975.532SH DEFINED 223975.532
MANNING & NAPIER FD WORLD OPPT 563821545 92 12313.143SH DEFINED 12313.143
MASSACHUSETTS INVS TR SH BEN I 575736103 271 12373.486SH DEFINED 12373.486
NEW PERSPECTIVE FD INC COM 648018109 212 6982.550 SH DEFINED 6982.550
OPPENHEIMER DEVLNG MKT CL A 683974109 871 25696.039SH DEFINED 25696.039
OPPENHEIMER INTL S CO CL A 68380u100 299 13838.241SH DEFINED 13838.241
OPPENHEIMER STRATEG FD INCOME 68380K102 131 30527.196SH DEFINED 30527.196
PIMCO FDS PAC INVT MGM COMM RE 722005667 226 31633.379SH DEFINED 31633.379
PIMCO TOTAL RETURN FD CL P 72201m552 333 28713.592SH DEFINED 28713.592
POPLAR FOREST PARTNERS FD CL A 00768D814 1160 38839.112SH DEFINED 38839.112
POPLAR FOREST PARTNERS INSTITU 00768d798 7339 244957.718SH DEFINED 244957.718
TEMPLETON GLOBAL INVT BRIC FD 88019r757 218 19142.294SH DEFINED 19142.294
TEMPLETON GLOBAL INVT EMRG MKT 88019r732 222 20896.088SH DEFINED 20896.088
TURNER FDS SPECTRUM INSTL 900297664 235 21625.051SH DEFINED 21625.051
UNIFIED SER TR APPLESEED FD 90470k370 417 31900.792SH DEFINED 31900.792
VANGUARD INDEX FDS SM CP VAL E 922908611 207 2875.000 SH DEFINED 2875.000
VANGUARD INDEX FDS TOT STKIDX 922908728 244 6795.003 SH DEFINED 6795.003
VANGUARD SPECIALIZED DIV APRID 921908851 328 13751.105SH DEFINED 13751.105
PIMCO ETF TR CDA BD IDX FD 72201R759 1048 9700.000 SH DEFINED 9700.000
AGIC EQUITY & CONV INCOME FD C 00119p102 642 36700.000SH DEFINED 36700.000
EATON VANCE TXMG GLOBAL OPPORT 27829c105 727 65516.000SH DEFINED 65516.000
ROYCE VALUE TR INC COM 780910105 2456 187919.780SH DEFINED 187919.780
ABERDEEN LATIN AMERICAN EQUITY 00306k106 270 7817.000 SH DEFINED 7817.000
THAI FD INC COM 882904105 417 23740.000SH DEFINED 23740.000
ALLIANCEBERNSTEIN HLDGS LP UNI 01881g106 227 14735 SH DEFINED 14735
KKR & CO LP DEL COM UNITS 48248m102 1262 83550 SH DEFINED 83550
NATURAL RESOURCE PARTNERS LP 63900p103 1356 65400 SH DEFINED 65400