0000891092-13-000867.txt : 20130201 0000891092-13-000867.hdr.sgml : 20130201 20130201102659 ACCESSION NUMBER: 0000891092-13-000867 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130201 DATE AS OF CHANGE: 20130201 EFFECTIVENESS DATE: 20130201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: IndexIQ Advisors LLC CENTRAL INDEX KEY: 0001415996 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13712 FILM NUMBER: 13565069 BUSINESS ADDRESS: STREET 1: 800 Westchester Avenue CITY: Rye Brook STATE: NY ZIP: 10573 MAIL ADDRESS: STREET 1: 800 Westchester Avenue CITY: Rye Brook STATE: NY ZIP: 10573 13F-HR 1 e51834_13fhr.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: IndexIQ Advisors LLC Address: 800 Westchester Avenue, Suite N-611 Rye Brook, NY 10573 Form 13F File Number: 28-13712 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Adam S. Patti Title: Chief Executive Officer Phone: 914.697.4945 Signature, Place, and Date of Signing: /s/ Adam S. Patti Rye Brook, New York 2/1/13 --------------------- ------------------- -------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager is reported in this report and a portion is reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 187 Form 13F Information Table Value Total: $683,175 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 01 28-13711 Financial Development LLC 02 28-13710 Financial Development Holdco LLC

------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ VALUE SHRS or SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY ------------------------------------------------------------------------------------------------------------------------------------ NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ BUNGE LIMITED COM G16962105 554 7,626 SH - Defined 01,02 7,626 - - PENTAIR LTD SHS H6169Q108 487 9,905 SH - Defined 01,02 9,905 - - ADECOAGRO S A COM L00849106 400 47,159 SH - Defined 01,02 47,159 - - CORE LABORATORIES N V COM N22717107 202 1,847 SH - Defined 01,02 1,847 - - AG MTG INVT TR INC COM 001228105 199 8,481 SH - Defined 01,02 8,481 - - ACADIA RLTY TR COM SH BEN INT 004239109 466 18,581 SH - Defined 01,02 18,581 - - ALCOA INC COM 013817101 56 6,411 SH - Defined 01,02 6,411 - - ALLIED NEVADA GOLD CORP COM 019344100 134 4,445 SH - Defined 01,02 4,445 - - ALON USA ENERGY INC COM 020520102 10 534 SH - Defined 01,02 534 - - ALPHA NATURAL RESOURCES INC COM 02076X102 598 61,435 SH - Defined 01,02 61,435 - - AMERICAN GREETINGS CORP CL A 026375105 124 7,351 SH - Defined 01,02 7,351 - - AMERICAN RLTY CAP TR INC COM 02917L101 315 27,236 SH - Defined 01,02 27,236 - - AMERICAN VANGUARD CORP COM 030371108 562 18,080 SH - Defined 01,02 18,080 - - AMERICAN WTR WKS CO INC NEW COM 030420103 780 21,020 SH - Defined 01,02 21,020 - - ANADARKO PETE CORP COM 032511107 238 3,199 SH - Defined 01,02 3,199 - - ANDERSONS INC COM 034164103 563 13,113 SH - Defined 01,02 13,113 - - ANWORTH MORTGAGE ASSET CP COM 037347101 303 52,339 SH - Defined 01,02 52,339 - - APACHE CORP COM 037411105 190 2,426 SH - Defined 01,02 2,426 - - APOLLO COML REAL EST FIN INC COM 03762U105 154 9,461 SH - Defined 01,02 9,461 - - AQUA AMERICA INC COM 03836W103 422 16,585 SH - Defined 01,02 16,585 - - ARCH COAL INC COM 039380100 450 61,486 SH - Defined 01,02 61,486 - - ARCHER DANIELS MIDLAND CO COM 039483102 957 34,940 SH - Defined 01,02 34,940 - - ARMOUR RESIDENTIAL REIT INC COM 042315101 733 113,315 SH - Defined 01,02 113,315 - - ASHFORD HOSPITALITY TR INC COM SHS 044103109 239 22,745 SH - Defined 01,02 22,745 - - ASSOCIATED ESTATES RLTY CORP COM 045604105 293 18,149 SH - Defined 01,02 18,149 - - BPZ RESOURCES INC COM 055639108 13 4,027 SH - Defined 01,02 4,027 - - BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 1,561 37,752 SH - Defined 01,02 37,752 - - BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 870 31,138 SH - Defined 01,02 31,138 - - BEST BUY INC COM 086516101 428 36,113 SH - Defined 01,02 36,113 - - BONANZA CREEK ENERGY INC COM 097793103 26 920 SH - Defined 01,02 920 - - BRANDYWINE RLTY TR SH BEN INT NEW 105368203 641 52,602 SH - Defined 01,02 52,602 - - CVR ENERGY INC COM 12662P108 28 584 SH - Defined 01,02 584 - - CVR PARTNERS LP COM 126633106 419 16,611 SH - Defined 01,02 16,611 - - CAPLEASE INC COM 140288101 130 23,260 SH - Defined 01,02 23,260 - - CEDAR REALTY TRUST INC COM NEW 150602209 106 20,047 SH - Defined 01,02 20,047 - - CHEVRON CORP NEW COM 166764100 1,298 12,005 SH - Defined 01,02 12,005 - - CHIQUITA BRANDS INTL INC COM 170032809 290 35,103 SH - Defined 01,02 35,103 - - CITIZENS REPUBLIC BANCORP IN COM NEW 174420307 128 6,764 SH - Defined 01,02 6,764 - - CLIFFS NATURAL RESOURCES INC COM 18683K101 31 804 SH - Defined 01,02 804 - - CLOUD PEAK ENERGY INC COM 18911Q102 325 16,801 SH - Defined 01,02 16,801 - - COEUR D ALENE MINES CORP IDA COM NEW 192108504 116 4,722 SH - Defined 01,02 4,722 - - COMMONWEALTH REIT COM SH BEN INT 203233101 487 30,732 SH - Defined 01,02 30,732 - - CONAGRA FOODS INC COM 205887102 645 21,857 SH - Defined 01,02 21,857 - - CONOCOPHILLIPS COM 20825C104 448 7,722 SH - Defined 01,02 7,722 - - CONSOL ENERGY INC COM 20854P109 1,870 58,244 SH - Defined 01,02 58,244 - - COUSINS PPTYS INC COM 222795106 277 33,218 SH - Defined 01,02 33,218 - - COVENTRY HEALTH CARE INC COM 222862104 753 16,805 SH - Defined 01,02 16,805 - - CREXUS INVT CORP COM 226553105 375 30,605 SH - Defined 01,02 30,605 - - CUBESMART COM 229663109 636 43,624 SH - Defined 01,02 43,624 - - CURRENCYSHARES CDN DLR TR CDN DOLLAR SHS 23129X105 704 7,028 SH - Defined 01,02 7,028 - - CURRENCYSHS JAPANESE YEN TR JAPANESE YEN 23130A102 9,944 87,975 SH - Defined 01,02 87,975 - - CYMER INC COM 232572107 108 1,190 SH - Defined 01,02 1,190 - - DCT INDUSTRIAL TRUST INC COM 233153105 641 98,729 SH - Defined 01,02 98,729 - - DEVON ENERGY CORP NEW COM 25179M103 129 2,472 SH - Defined 01,02 2,472 - - DOLE FOOD CO INC NEW COM 256603101 317 27,606 SH - Defined 01,02 27,606 - - DOMTAR CORP COM NEW 257559203 254 3,037 SH - Defined 01,02 3,037 - - DYNEX CAP INC COM NEW 26817Q506 188 19,938 SH - Defined 01,02 19,938 - - EOG RES INC COM 26875P101 200 1,656 SH - Defined 01,02 1,656 - - EDUCATION RLTY TR INC COM 28140H104 441 41,446 SH - Defined 01,02 41,446 - - EXXON MOBIL CORP COM 30231G102 2,427 28,036 SH - Defined 01,02 28,036 - - FELCOR LODGING TR INC COM 31430F101 189 40,540 SH - Defined 01,02 40,540 - - FIRST INDUSTRIAL REALTY TRUS COM 32054K103 462 32,828 SH - Defined 01,02 32,828 - - FIRST POTOMAC RLTY TR COM 33610F109 231 18,729 SH - Defined 01,02 18,729 - - FLOWERS FOODS INC COM 343498101 164 7,046 SH - Defined 01,02 7,046 - - FLOWSERVE CORP COM 34354P105 966 6,577 SH - Defined 01,02 6,577 - - FRANKLIN STREET PPTYS CORP COM 35471R106 326 26,460 SH - Defined 01,02 26,460 - - FREEPORT-MCMORAN COPPER & GO COM 35671D857 201 5,863 SH - Defined 01,02 5,863 - - GENERAL MLS INC COM 370334104 1,358 33,615 SH - Defined 01,02 33,615 - - GEOEYE INC COM 37250W108 144 4,698 SH - Defined 01,02 4,698 - - GETTY RLTY CORP NEW COM 374297109 177 9,797 SH - Defined 01,02 9,797 - - GLIMCHER RLTY TR SH BEN INT 379302102 578 52,077 SH - Defined 01,02 52,077 - - GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 379 15,830 SH - Defined 01,02 15,830 - - GRAMERCY CAP CORP COM 384871109 42 14,427 SH - Defined 01,02 14,427 - - GREEN MTN COFFEE ROASTERS IN COM 393122106 407 9,843 SH - Defined 01,02 9,843 - - GULFPORT ENERGY CORP COM NEW 402635304 90 2,351 SH - Defined 01,02 2,351 - - HALLIBURTON CO COM 406216101 199 5,740 SH - Defined 01,02 5,740 - - HARVEST NATURAL RESOURCES IN COM 41754V103 14 1,561 SH - Defined 01,02 1,561 - - HERSHA HOSPITALITY TR SH BEN INT A 427825104 317 63,341 SH - Defined 01,02 63,341 - - HERSHEY CO COM 427866108 617 8,539 SH - Defined 01,02 8,539 - - HILLSHIRE BRANDS CO COM 432589109 377 13,382 SH - Defined 01,02 13,382 - - HORMEL FOODS CORP COM 440452100 491 15,731 SH - Defined 01,02 15,731 - - HUDSON CITY BANCORP COM 443683107 492 60,471 SH - Defined 01,02 60,471 - - ISTAR FINL INC COM 45031U101 220 26,994 SH - Defined 01,02 26,994 - - IDEX CORP COM 45167R104 464 9,962 SH - Defined 01,02 9,962 - - INGREDION INC COM 457187102 256 3,972 SH - Defined 01,02 3,972 - - INLAND REAL ESTATE CORP COM NEW 457461200 239 28,499 SH - Defined 01,02 28,499 - - INVESCO MORTGAGE CAPITAL INC COM 46131B100 840 42,609 SH - Defined 01,02 42,609 - - INVESTORS REAL ESTATE TR SH BEN INT 461730103 295 33,763 SH - Defined 01,02 33,763 - - ISHARES TR BARCLYS TIPS BD 464287176 1,284 10,575 SH - Defined 01,02 10,575 - - ISHARES TR CORE S&P500 ETF 464287200 19 130 SH - Defined 01,02 130 - - ISHARES TR CORE TOTUSBD ETF 464287226 89,173 802,707 SH - Defined 01,02 802,707 - - ISHARES TR MSCI EMERG MKT 464287234 2,612 58,906 SH - Defined 01,02 58,906 - - ISHARES TR IBOXX INV CPBD 464287242 172,484 1,425,608 SH - Defined 01,02 1,425,608 - - ISHARES TR BARCLYS 20+ YR 464287432 3,975 32,806 SH - Defined 01,02 32,806 - - ISHARES TR BARCLYS 1-3 YR 464287457 5,752 68,137 SH - Defined 01,02 68,137 - - ISHARES TR MSCI EAFE INDEX 464287465 625 11,005 SH - Defined 01,02 11,005 - - ISHARES TR RUSSELL 2000 464287655 61,348 727,818 SH - Defined 01,02 727,818 - - ISHARES TR DJ US REAL EST 464287739 306 4,721 SH - Defined 01,02 4,721 - - ISHARES TR JPMORGAN USD 464288281 1,027 8,367 SH - Defined 01,02 8,367 - - ISHARES TR BARCLYS CR BD 464288620 9,530 84,219 SH - Defined 01,02 84,219 - - ISHARES TR BARCLYS SH TREA 464288679 19,255 174,632 SH - Defined 01,02 174,632 - - ISHARES SILVER TRUST ISHARES 46428Q109 1,505 51,289 SH - Defined 01,02 51,289 - - JEFFERIES GROUP INC NEW COM 472319102 169 9,097 SH - Defined 01,02 9,097 - - JOY GLOBAL INC COM 481165108 1,880 29,479 SH - Defined 01,02 29,479 - - KBW INC COM 482423100 42 2,761 SH - Defined 01,02 2,761 - - KAPSTONE PAPER & PACKAGING C COM 48562P103 87 3,939 SH - Defined 01,02 3,939 - - KELLOGG CO COM 487836108 1,036 18,554 SH - Defined 01,02 18,554 - - KEY ENERGY SVCS INC COM 492914106 42 5,982 SH - Defined 01,02 5,982 - - KITE RLTY GROUP TR COM 49803T102 150 26,792 SH - Defined 01,02 26,792 - - KNIGHT CAP GROUP INC CL A COM 499005106 115 32,741 SH - Defined 01,02 32,741 - - KODIAK OIL & GAS CORP COM 50015Q100 93 10,454 SH - Defined 01,02 10,454 - - LML PMT SYS INC COM 50208P109 36 10,526 SH - Defined 01,02 10,526 - - LEXINGTON REALTY TRUST COM 529043101 582 55,691 SH - Defined 01,02 55,691 - - LINDSAY CORP COM 535555106 773 9,645 SH - Defined 01,02 9,645 - - LOUISIANA PAC CORP COM 546347105 211 10,934 SH - Defined 01,02 10,934 - - LUFKIN INDS INC COM 549764108 77 1,331 SH - Defined 01,02 1,331 - - MARATHON OIL CORP COM 565849106 135 4,402 SH - Defined 01,02 4,402 - - MCCORMICK & CO INC COM NON VTG 579780206 386 6,076 SH - Defined 01,02 6,076 - - MEADWESTVACO CORP COM 583334107 439 13,769 SH - Defined 01,02 13,769 - - MEDICAL PPTYS TRUST INC COM 58463J304 595 49,715 SH - Defined 01,02 49,715 - - MONDELEZ INTL INC CL A 609207105 2,402 94,314 SH - Defined 01,02 94,314 - - NATIONAL OILWELL VARCO INC COM 637071101 176 2,576 SH - Defined 01,02 2,576 - - NEW YORK MTG TR INC COM PAR $.02 649604501 115 18,177 SH - Defined 01,02 18,177 - - NEWCASTLE INVT CORP COM 65105M108 549 63,264 SH - Defined 01,02 63,264 - - NEWMONT MINING CORP COM 651639106 1,215 26,170 SH - Defined 01,02 26,170 - - NORTHERN TIER ENERGY LP COM UN REPR PART 665826103 16 640 SH - Defined 01,02 640 - - NORTHSTAR RLTY FIN CORP COM 66704R100 348 49,446 SH - Defined 01,02 49,446 - - OCCIDENTAL PETE CORP DEL COM 674599105 390 5,086 SH - Defined 01,02 5,086 - - OCEANEERING INTL INC COM 675232102 230 4,272 SH - Defined 01,02 4,272 - - PLX TECHNOLOGY INC COM 693417107 34 9,381 SH - Defined 01,02 9,381 - - PSS WORLD MED INC COM 69366A100 131 4,521 SH - Defined 01,02 4,521 - - PEABODY ENERGY CORP COM 704549104 2,037 76,549 SH - Defined 01,02 76,549 - - PEBBLEBROOK HOTEL TR COM 70509V100 515 22,285 SH - Defined 01,02 22,285 - - PENNSYLVANIA RL ESTATE INVT SH BEN INT 709102107 340 19,297 SH - Defined 01,02 19,297 - - PENNYMAC MTG INVT TR COM 70931T103 546 21,601 SH - Defined 01,02 21,601 - - PETROQUEST ENERGY INC COM 716748108 11 2,232 SH - Defined 01,02 2,232 - - PIONEER ENERGY SVCS CORP COM 723664108 18 2,456 SH - Defined 01,02 2,456 - - POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 15,808 569,031 SH - Defined 01,02 569,031 - - POWERSHARES DB G10 CURCY HAR COM UT BEN INT 73935Y102 29,808 1,139,882 SH - Defined 01,02 1,139,882 - - POWERSHS DB MULTI SECT COMM DB GOLD FUND 73936B606 19,090 332,870 SH - Defined 01,02 332,870 - - POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 464 14,741 SH - Defined 01,02 14,741 - - PROSHARES TR II VIX MDTRM FUTR 74347W684 956 27,948 SH - Defined 01,02 27,948 - - PROSHARES TR II ULTRASHRT EURO 74347W882 613 32,271 SH - Defined 01,02 32,271 - - PROSHARES TR REAL EST NEW 11 74348A871 627 25,845 SH - Defined 01,02 25,845 - - RAIT FINANCIAL TRUST COM NEW 749227609 103 18,304 SH - Defined 01,02 18,304 - - RALCORP HLDGS INC NEW COM 751028101 899 10,031 SH - Defined 01,02 10,031 - - RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 233 17,495 SH - Defined 01,02 17,495 - - REDWOOD TR INC COM 758075402 505 29,895 SH - Defined 01,02 29,895 - - RESOLUTE FST PRODS INC COM 76117W109 110 8,271 SH - Defined 01,02 8,271 - - RESOURCE CAP CORP COM 76120W302 207 36,911 SH - Defined 01,02 36,911 - - ROBBINS & MYERS INC COM 770196103 239 4,019 SH - Defined 01,02 4,019 - - ROYAL GOLD INC COM 780287108 237 2,917 SH - Defined 01,02 2,917 - - SPDR S&P 500 ETF TR TR UNIT 78462F103 14,010 98,305 SH - Defined 01,02 98,305 - - SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 42 1,021 SH - Defined 01,02 1,021 - - SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 31,041 770,255 SH - Defined 01,02 770,255 - - SPDR SERIES TRUST DJ REIT ETF 78464A607 127 1,736 SH - Defined 01,02 1,736 - - SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 3,567 60,805 SH - Defined 01,02 60,805 - - SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 10,859 237,042 SH - Defined 01,02 237,042 - - SABRA HEALTH CARE REIT INC COM 78573L106 295 13,587 SH - Defined 01,02 13,587 - - SCHLUMBERGER LTD COM 806857108 587 8,466 SH - Defined 01,02 8,466 - - SEABOARD CORP COM 811543107 187 74 SH - Defined 01,02 74 - - SEABRIGHT HOLDINGS INC COM 811656107 53 4,814 SH - Defined 01,02 4,814 - - SEMGROUP CORP CL A 81663A105 65 1,659 SH - Defined 01,02 1,659 - - SHAW GROUP INC COM 820280105 257 5,524 SH - Defined 01,02 5,524 - - SMITHFIELD FOODS INC COM 832248108 2,260 104,760 SH - Defined 01,02 104,760 - - SMUCKER J M CO COM NEW 832696405 489 5,665 SH - Defined 01,02 5,665 - - SPIRIT RLTY CAP INC COM 84860F109 199 11,202 SH - Defined 01,02 11,202 - - SPRINT NEXTEL CORP COM SER 1 852061100 429 75,746 SH - Defined 01,02 75,746 - - STAG INDL INC COM 85254J102 230 12,789 SH - Defined 01,02 12,789 - - STONE ENERGY CORP COM 861642106 40 1,960 SH - Defined 01,02 1,960 - - SUNRISE SENIOR LIVING INC COM 86768K106 96 6,679 SH - Defined 01,02 6,679 - - SUNSTONE HOTEL INVS INC NEW COM 867892101 537 50,158 SH - Defined 01,02 50,158 - - TEAVANA HLDGS INC COM 87819P102 50 3,207 SH - Defined 01,02 3,207 - - TESORO CORP COM 881609101 245 5,560 SH - Defined 01,02 5,560 - - TORO CO COM 891092108 1,914 44,525 SH - Defined 01,02 44,525 - - TYSON FOODS INC CL A 902494103 362 18,646 SH - Defined 01,02 18,646 - - VAALCO ENERGY INC COM NEW 91851C201 20 2,290 SH - Defined 01,02 2,290 - - VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 6,301 77,800 SH - Defined 01,02 77,800 - - VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 101,588 1,208,951 SH - Defined 01,02 1,208,951 - - VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 177 5,024 SH - Defined 01,02 5,024 - - VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 3,456 77,616 SH - Defined 01,02 77,616 - - VANGUARD INDEX FDS REIT ETF 922908553 988 15,012 SH - Defined 01,02 15,012 - - WARNACO GROUP INC COM NEW 934390402 86 1,206 SH - Defined 01,02 1,206 - - WESTERN ASSET MTG CAP CORP COM 95790D105 159 8,057 SH - Defined 01,02 8,057 - - WESTERN REFNG INC COM 959319104 64 2,275 SH - Defined 01,02 2,275 - - YONGYE INTL INC COM 98607B106 172 29,498 SH - Defined 01,02 29,498 - - ZHONGPIN INC COM 98952K107 290 22,565 SH - Defined 01,02 22,565 - - 187 $683,175