0001020918-13-000004.txt : 20130501
0001020918-13-000004.hdr.sgml : 20130501
20130501105659
ACCESSION NUMBER: 0001020918-13-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130501
DATE AS OF CHANGE: 20130501
EFFECTIVENESS DATE: 20130501
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: 13801124
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 1203 23910 SH DEFINED 23910
100,000THS CEF COHEN & STEERS COM bkc47l109 0 87208 SH DEFINED 87208
3M CO COM COM 88579Y101 4131 38861 SH DEFINED 38861
ABBOTT LABS COM 002824100 6126 173442 SH DEFINED 173442
ABBVIE INC COM COM 00287Y109 10222 250661 SH DEFINED 250661
ABRAXAS PETE CORP COM COM 003830106 46 20000 SH DEFINED 20000
ACADIA HEALTHCARE CO COM 00404a109 3135 106675 SH DEFINED 106675
ACCENTURE PLC IRELAND CL A COM g1151c101 574 7550 SH DEFINED 7550
ACME PACKET INC COM COM 004764106 1218 41670 SH DEFINED 41670
ACORN ENERGY INC COM COM 004848107 125 17000 SH DEFINED 17000
ADOBE SYS INC COM 00724F101 661 15185 SH DEFINED 15185
AEGON N V ORD AMER REG COM 007924103 124 20653 SH DEFINED 20653
AGL RES INC COM 001204106 222 5287 SH DEFINED 5287
ALCOA INC. COM 013817101 1458 171112 SH DEFINED 171112
ALLEGHENY TECHNOLOGIES COM COM 01741r102 1195 37700 SH DEFINED 37700
ALLERGAN INC COM 018490102 2264 20280 SH DEFINED 20280
ALLSTATE CORP COM COM 020002101 676 13774 SH DEFINED 13774
ALTRIA GROUP INC COM 02209S103 599 17421 SH DEFINED 17421
AMAZON COM INC COM COM 023135106 620 2326 SH DEFINED 2326
AMBAC FINANCIAL GROUP INC COM COM 023139108 0 10000 SH DEFINED 10000
AMEREN CORP COM COM 023608102 850 24270 SH DEFINED 24270
AMERICAN ELECTRIC POWER COM 025537101 825 16970 SH DEFINED 16970
AMERICAN INTL GROUP INC COM NE COM 026874784 4290 110500 SH DEFINED 110500
AMERICAN TOWER REIT COM COM 03027x100 357 4642 SH DEFINED 4642
AMERIPRISE FINL INC COM COM 03076c106 328 4453 SH DEFINED 4453
AMGEN INC COM 031162100 4070 39707 SH DEFINED 39707
ANNALY CAP MGMT INC COM COM 035710409 1292 81307 SH DEFINED 81307
APACHE CORP COM 037411105 604 7831 SH DEFINED 7831
APPLE COMPUTER INC COM 037833100 22794 51493 SH DEFINED 51493
AQUA AMERICA INC COM COM 03836W103 217 6900 SH DEFINED 6900
ARCH COAL INC COM COM 039380100 73 13450 SH DEFINED 13450
ARCHER DANIELS MIDLAND COM 039483102 393 11657 SH DEFINED 11657
ARES CAP CORP COM COM 04010l103 1521 84025 SH DEFINED 84025
AT&T INC COM COM 00206r102 7224 196901 SH DEFINED 196901
AUTOMATIC DATA PROCESSING COM 053015103 439 6750 SH DEFINED 6750
BANK OF AMER CORP COM 060505104 3923 322072 SH DEFINED 322072
BARRICK GOLD CORP COM 067901108 1073 36500 SH DEFINED 36500
BAXTER INTERNATIONAL INC COM 071813109 2675 36827 SH DEFINED 36827
BEAM INC COM COM 073730103 7258 114225 SH DEFINED 114225
BEBIDA BEVERAGE CO COM NEW COM 07557q203 2 500000 SH DEFINED 500000
BEMIS INC COM COM 081437105 773 19165 SH DEFINED 19165
BERKSHIRE HATHAWAY INC CL B COM 084670702 6466 62050 SH DEFINED 62050
BERKSHIRE HATHAWAY INC DEL COM 084670108 469 3 SH DEFINED 3
BHP BILLITON SPONS ADR COM 088606108 311 4550 SH DEFINED 4550
BOEING COMPANY COM 097023105 1693 19726 SH DEFINED 19726
BP PLC SPONSORED ADR COM 055622104 1881 44415 SH DEFINED 44415
BR MALLS PARTICIPACOES GDR 144 COM 05569b107 1991 80000 SH DEFINED 80000
BRANDYWINE RLTY TR SH BEN INT COM 105368203 178 12000 SH DEFINED 12000
BREITBURN ENGY PRTNR COM UT LT COM 106776107 838 41816 SH DEFINED 41816
BRISTOL MYERS SQUIBB CO COM 110122108 5248 127404 SH DEFINED 127404
C&J ENERGY SVCS INC COM COM 12467b304 243 10600 SH DEFINED 10600
CABELAS INC COM COM 126804301 1152 18950 SH DEFINED 18950
CANADIAN IMPRL BK COMM COM COM 136069101 435 5545 SH DEFINED 5545
CANADIAN NATL RY CO COM COM 136375102 1449 14442 SH DEFINED 14442
CATERPILLAR TRACTOR COM 149123101 1291 14840 SH DEFINED 14840
CELGENE CORP COM COM 151020104 617 5327 SH DEFINED 5327
CENTURYLINK INC COM 156700106 504 14336 SH DEFINED 14336
CERAGON NETWORKS LTD ORD COM M22013102 82 19035 SH DEFINED 19035
CF INDS HLDGS INC COM COM 125269100 604 3175 SH DEFINED 3175
CHEVRON TEXACO CORP COM COM 166764100 6194 52129 SH DEFINED 52129
CISCO SYS INC COM 17275R102 4852 232193 SH DEFINED 232193
CLIFFS NATURAL RESOURC COM COM 18683K101 495 26030 SH DEFINED 26030
COACH INC COM COM 189754104 876 17530 SH DEFINED 17530
COBALT INTL ENERGY INC COM COM 19075f106 229 8110 SH DEFINED 8110
COCA COLA COMPANY COM 191216100 2208 54608 SH DEFINED 54608
COHEN & STEERS QTY RLY COM COM 19247L106 1723 148655 SH DEFINED 148655
COMCAST CORPORATION CLASS A COM 20030n101 1785 42526 SH DEFINED 42526
COMPUGEN LTD ORD COM m25722105 1900 373980 SH DEFINED 373980
CONAGRA INC COM 205887102 328 9150 SH DEFINED 9150
CONOCOPHILLIPS COM 20825C104 11258 187324 SH DEFINED 187324
CONSOLIDATED EDISON NEW YORK COM 209115104 1132 18553 SH DEFINED 18553
CORNING INC COM 219350105 1846 138500 SH DEFINED 138500
COSTCO WHOLESALE CORP-NEW COM 22160K105 2432 22920 SH DEFINED 22920
COVANTA HOLDINGS CP COM 22282e102 2301 114200 SH DEFINED 114200
CUTWATER SELECT INCOME FUN COM cdc229100 0 88000 SH DEFINED 88000
CVR PARTNERS LP COM COM 126633106 1433 57291 SH DEFINED 57291
CVS CORP INC COM 126650100 2032 36950 SH DEFINED 36950
DANAHER CORP DEL COM COM 235851102 357 5750 SH DEFINED 5750
DARDEN RESTAURANTS, INC. COM 237194105 989 19130 SH DEFINED 19130
DEAN FOODS CO NEW COM COM 242370104 1003 55350 SH DEFINED 55350
DECKERS OUTDOOR CORP COM COM 243537107 1165 20925 SH DEFINED 20925
DEERE & COMPANY COM 244199105 3279 38133 SH DEFINED 38133
DEVON ENERGY CORP NEW COM COM 25179M103 307 5436 SH DEFINED 5436
DISCOVER FINL SVCS INC COM 254709108 6564 146383 SH DEFINED 146383
DOLE FOOD CO INC NEW COM COM 256603101 584 53600 SH DEFINED 53600
DOLLAR TREE INC COM COM 256746108 2385 49250 SH DEFINED 49250
DOMINION RESOURCES INC VA COM 25746u109 207 3556 SH DEFINED 3556
DOMINOS PIZZA INC COM COM 25754a201 203 3950 SH DEFINED 3950
DONNELLEY R R & SONS CO COM 257867101 659 54700 SH DEFINED 54700
DOW CHEMICAL CORPORATION COM 260543103 2844 89337 SH DEFINED 89337
DUKE ENERGY COMPANY COM 26441C204 8307 114432 SH DEFINED 114432
E I DU PONT DE NEMOURS & CO COM 263534109 8581 174547 SH DEFINED 174547
E M C CORP COM 268648102 799 33455 SH DEFINED 33455
EATON CORP PLC SHS COM g29183103 396 6465 SH DEFINED 6465
EBAY INC COM COM 278642103 4016 74075 SH DEFINED 74075
EHEALTH INC COM COM 28238P109 296 16575 SH DEFINED 16575
EMERSON ELECTRIC CO COM 291011104 1365 24428 SH DEFINED 24428
ENBRIDGE ENERGY PRTNRS COM COM 29250r106 3309 109800 SH DEFINED 109800
ENTERPRISE PRODS PARTNERS LP C COM 293792107 1279 21213 SH DEFINED 21213
EQUITY RESIDENTIAL PPTYS COM 29476L107 242 4400 SH DEFINED 4400
ESCROW CVR ENERGY INC COM COM 126esc904 0 32800 SH DEFINED 32800
ESCROW DWS RREEF REAL ESTATE F COM esc233990 0 56385 SH DEFINED 56385
EXELON CORP COM 30161N101 3289 95378 SH DEFINED 95378
EXXON MOBIL CORP COM COM 30231G102 6721 74590 SH DEFINED 74590
EZCHIP SEMICONDUCTOR LTD CP COM m4146y108 11304 468460 SH DEFINED 468460
FACEBOOK INC CL A COM 30303m102 464 18120 SH DEFINED 18120
FEDEX CORP COM 31428X106 304 3100 SH DEFINED 3100
FIRST N B ANCHRAG ALAS COM COM 32112j106 514 301 SH DEFINED 301
FIRST TR ENRGY INC & GRWTH FD COM 33738g104 662 18530 SH DEFINED 18530
FOOT LOCKER INC COM COM 344849104 855 24975 SH DEFINED 24975
FORD MOTOR COMPANY COM 345370860 2407 183010 SH DEFINED 183010
FREEPORT MCMORAN COPPER & GOLD COM 35671D857 1727 52182 SH DEFINED 52182
FRONTIER COMMUNICATIONS CORP C COM 35906a108 426 106737 SH DEFINED 106737
GANNETT INC DEL COM 364730101 759 34700 SH DEFINED 34700
GAP INC COM 364760108 491 13856 SH DEFINED 13856
GENCO SHPPNG & TRDNG SHS COM y2685t107 377 130825 SH DEFINED 130825
GENERAL CABLE CORP COM 369300108 260 7100 SH DEFINED 7100
GENERAL ELECTRIC CO COM 369604103 15923 688701 SH DEFINED 688701
GENERAL MILLS INC COM 370334104 296 6000 SH DEFINED 6000
GLAXO SMITHKLINE PLC SPONS ADR COM 37733w105 1520 32402 SH DEFINED 32402
GOLDMAN SACHS GROUP COM COM 38141G104 5909 40155 SH DEFINED 40155
GOOGLE INC CL A COM 38259p508 11736 14777 SH DEFINED 14777
HAIN CELESTIAL GROUP INC COM COM 405217100 675 11045 SH DEFINED 11045
HALLIBURTON COMPANY COM 406216101 7087 175370 SH DEFINED 175370
HCA HOLDINGS INC COM COM 40412c101 1635 40250 SH DEFINED 40250
HCP INC COM COM 40414l109 449 9000 SH DEFINED 9000
HESKA CORP COM RESTRC NEW COM 42805e306 93 10000 SH DEFINED 10000
HESS CORP COM COM 42809h107 304 4250 SH DEFINED 4250
HOLLYFRONTIER CORP COM COM 436106108 4834 93950 SH DEFINED 93950
HOME DEPOT INC COM 437076102 4093 58656 SH DEFINED 58656
HONEYWELL INTL COM 438516106 1482 19667 SH DEFINED 19667
HUNT JB TRANS SVC INC COM COM 445658107 1702 22850 SH DEFINED 22850
ILLINOIS TOOL WORKS COM 452308109 1962 32190 SH DEFINED 32190
ING GROEP N V SPONSORED ADR COM 456837103 102 14200 SH DEFINED 14200
INPHI CORP COM COM 45772f107 1118 107022 SH DEFINED 107022
INTEGRATED SILICON SOLUTION COM 45812p107 350 38200 SH DEFINED 38200
INTEGRYS ENERGY GRP INC COM COM 45822p105 2000 34391 SH DEFINED 34391
INTEL CORPORATION COM 458140100 3864 176945 SH DEFINED 176945
INTERNATIONAL BUSINESS MACHINE COM 459200101 7503 35174 SH DEFINED 35174
INTERNATIONAL PAPER CO COM 460146103 936 20100 SH DEFINED 20100
ISHARES COMEX GOLD TR ISHARES COM 464285105 1593 102653 SH DEFINED 102653
ISHARES INC MSCI GERMAN COM 464286806 403 16469 SH DEFINED 16469
ISHARES INC MSCI ITALY COM 464286855 318 26950 SH DEFINED 26950
ISHARES TR MSCI EMERG MKT COM 464287234 396 9260 SH DEFINED 9260
ISHARES TR RUSSELL 2000 COM 464287655 3071 32526 SH DEFINED 32526
J P MORGAN CHASE & CO COM COM 46625h100 13867 292183 SH DEFINED 292183
JACOBS ENGR GROUP INC COM COM 469814107 6776 120477 SH DEFINED 120477
JOHNSON & JOHNSON COM 478160104 5739 70391 SH DEFINED 70391
JOS A BANK CLOTHIERS COM COM 480838101 778 19487 SH DEFINED 19487
KEYCORP NEW COM COM 493267108 116 11650 SH DEFINED 11650
KIMBERLY CLARK CORP COM 494368103 277 2824 SH DEFINED 2824
KINDER MORGAN ENERGY PTNRS LP COM 494550106 3923 43695 SH DEFINED 43695
KINDER MORGAN INC DEL COM COM 49456b101 2019 52189 SH DEFINED 52189
KKR FINANCIAL HLDGS LLC COM COM 48248a306 326 29488 SH DEFINED 29488
KROGER CO COM 501044101 583 17600 SH DEFINED 17600
LAS VEGAS SANDS CORP COM COM 517834107 8053 142910 SH DEFINED 142910
LIFE TIME FITNESS INC COM COM 53217r207 386 9020 SH DEFINED 9020
LILLY ELI & COMPANY COM 532457108 2382 41941 SH DEFINED 41941
LINCOLN NATL CORP IND COM COM 534187109 509 15610 SH DEFINED 15610
LOCKHEED MARTIN CORP COM 539830109 1063 11010 SH DEFINED 11010
LOWES COS INC COM COM 548661107 2886 76096 SH DEFINED 76096
LUND GOLD LTD COM COM 550367106 0 26000 SH DEFINED 26000
MAGNA INTERNATIONAL, INC. COM 559222401 998 17000 SH DEFINED 17000
MARKWEST ENERGY PARTNR UNIT LT COM 570759100 582 9575 SH DEFINED 9575
MASTERCARD INC COM COM 57636q104 290 535 SH DEFINED 535
MCDONALDS CORPORATION COM 580135101 4710 47248 SH DEFINED 47248
MCGRAW HILL COS INC COM COM 580645109 367 7050 SH DEFINED 7050
MCKENZIE BAY INTL LTD COM COM 581531100 0 10000 SH DEFINED 10000
MEDICAL PPTYS TR INC COM COM 58463j304 944 58850 SH DEFINED 58850
MEDTRONIC INC COM 585055106 1583 33710 SH DEFINED 33710
MELLANOX TECH LTD SHS COM m51363113 2027 36515 SH DEFINED 36515
MERCK & COMPANY INC. COM 58933y105 10267 232285 SH DEFINED 232285
METLIFE INC COM COM 59156r108 648 17040 SH DEFINED 17040
MICROSOFT CORP COM 594918104 3813 133296 SH DEFINED 133296
MILLER INDS COM 600551204 1789 111452 SH DEFINED 111452
MONDELEZ INTL INC CL A COM 609207105 362 11825 SH DEFINED 11825
MONSANTO CO NEW COM COM 61166W101 647 6124 SH DEFINED 6124
MORGAN STANLEY COM NEW COM 617446448 671 30536 SH DEFINED 30536
MVC CAPITAL INC COM COM 553829102 321 25000 SH DEFINED 25000
NEW MTN FIN CORP COM COM 647551100 278 19000 SH DEFINED 19000
NEWELL RUBBERMAID INC. COM 651229106 426 16315 SH DEFINED 16315
NEWMONT MNG CORP COM 651639106 759 18120 SH DEFINED 18120
NEXTERA ENERGY INC COM COM 65339F101 377 4856 SH DEFINED 4856
NIKE INC CLASS B COM 654106103 1629 27606 SH DEFINED 27606
NISOURCE INC. COM COM 65473p105 867 29562 SH DEFINED 29562
NOBLE CORPORATION BAAR NAMEN A COM h5833N103 5055 132500 SH DEFINED 132500
NORFOLK SOUTHERN CORP COM 655844108 1096 14214 SH DEFINED 14214
NORTHERN TRUST CORPORATION COM 665859104 451 8270 SH DEFINED 8270
NOVARTIS A G SPONSORED ADR COM 66987V109 2080 29200 SH DEFINED 29200
NUCOR CORP COM 670346105 977 21175 SH DEFINED 21175
NYSE EURONEXT COM COM 629491101 2056 53200 SH DEFINED 53200
OCCIDENTAL PETE CORP COM 674599105 592 7550 SH DEFINED 7550
OIL SVC HOLDRS TR DEPOSTRY RCP COM 57060u191 502 11700 SH DEFINED 11700
OMNICOM GROUP COM 681919106 452 7675 SH DEFINED 7675
ON ASSIGNMENT INC COM COM 682159108 886 35000 SH DEFINED 35000
ORACLE SYS CORP COM 68389X105 1554 48057 SH DEFINED 48057
OROMIN EXPL LTD NEW COM - DO N COM 687082107 8 18095 SH DEFINED 18095
PENGROWTH ENERGY CORP COM COM 70706p104 63 12400 SH DEFINED 12400
PEPSICO INC COM 713448108 1970 24904 SH DEFINED 24904
PFIZER INC COM 717081103 9156 317270 SH DEFINED 317270
PHILIP MORRIS INTL INC COM COM 718172109 1989 21455 SH DEFINED 21455
PHILLIPS 66 COM COM 718546104 1305 18650 SH DEFINED 18650
PINNACLE WEST CAPITAL CORP USD COM 723484101 570 9840 SH DEFINED 9840
PITNEY BOWES INC COM 724479100 535 36000 SH DEFINED 36000
PLAINS ALL AM PIPELINE UNIT LT COM 726503105 243 4296 SH DEFINED 4296
POWERSHARES DB CMDTY UNIT BEN COM 73935s105 892 32663 SH DEFINED 32663
POWERSHARES ETF TRUST FTSE RAF COM 73935x583 470 6700 SH DEFINED 6700
POWERSHARES ETF TRUST PRVT EQT COM 73935x195 175 15500 SH DEFINED 15500
POWERSHARES QQQ TR UNIT SER 1 COM 73935A104 206 2992 SH DEFINED 2992
PPG INDS INC COM COM 693506107 737 5500 SH DEFINED 5500
PPL CORPORATION COM 69351T106 545 17400 SH DEFINED 17400
PRAXAIR INC COM 74005P104 796 7135 SH DEFINED 7135
PROCTER & GAMBLE CO COM 742718109 10534 136693 SH DEFINED 136693
PUBLIC SVCS ENTRPS GRP COM 744573106 1137 33100 SH DEFINED 33100
QRS MUSIC TECHNOLOGIES COM COM 74726W107 4 25000 SH DEFINED 25000
QUALCOMM INC COM 747525103 19719 294579 SH DEFINED 294579
RAYTHEON CO COM 755111507 838 14251 SH DEFINED 14251
RENTECH NITROGEN PARTN COM UNI COM 760113100 235 6550 SH DEFINED 6550
REPUBLIC SVCS INC CL A COM 760759100 824 24975 SH DEFINED 24975
ROBERT HALF INTL INC COM COM 770323103 938 25000 SH DEFINED 25000
ROYAL BK CDA MONTREAL COM COM 780087102 369 6125 SH DEFINED 6125
ROYCE FOCUS TR COM COM 78080n108 303 43343 SH DEFINED 43343
RSTK STD BANCSHARES INC HICKOR COM 853993442 0 104086 SH DEFINED 104086
RUSHNET INC COM COM 782074108 0 4000000 SH DEFINED 4000000
SAN JUAN BASIN RTY TR UNIT BEN COM 798241105 878 58040 SH DEFINED 58040
SCHLUMBERGER COM 806857108 1149 15341 SH DEFINED 15341
SECTOR SPDR TR SBI INT-UTILS COM 81369y886 715 18286 SH DEFINED 18286
SELECT SECTOR SPDR TR SBI INT- COM 81369y605 1852 101725 SH DEFINED 101725
SIRIUS XM RADIO INC COM COM 82967n108 37 12000 SH DEFINED 12000
SOUTHERN COMPANY COM 842587107 425 9057 SH DEFINED 9057
SPDR S&P 500 ETF TR UNIT SER 1 COM 78462F103 576 3676 SH DEFINED 3676
SPDR S&P MIDCAP 400 ETF TR UNI COM 78467y107 8504 40550 SH DEFINED 40550
SPDR SER TR S&P HOMEBUILDERS E COM 78464a888 903 30039 SH DEFINED 30039
SPIDER GOLD TR SHS COM 78463V107 1579 10223 SH DEFINED 10223
STANLEY BLACK & DECKER COM COM 854502101 5436 67139 SH DEFINED 67139
STAPLES INC COM COM 855030102 295 21975 SH DEFINED 21975
STARBUCKS CORP COM COM 855244109 589 10350 SH DEFINED 10350
STARWOOD PPTY TR INC COM COM 85571b105 4998 180050 SH DEFINED 180050
STATE STREET BOSTON CORP COM 857477103 733 12400 SH DEFINED 12400
STRYKER CORP COM 863667101 729 11175 SH DEFINED 11175
SUNTRUST BKS INC COM COM 867914103 211 7328 SH DEFINED 7328
SYSCO CORP COM 871829107 686 19500 SH DEFINED 19500
TARGET CORP COM COM 87612E106 878 12822 SH DEFINED 12822
TAYLOR CAP GROUP COM COM 876851106 286 17860 SH DEFINED 17860
TE CONNECTIVITY LTD COM H84989104 1192 28425 SH DEFINED 28425
TECO ENERGY INC COM COM 872375100 1690 94859 SH DEFINED 94859
TELETECH HOLDING COM 879939106 1697 80000 SH DEFINED 80000
TEREX CORP NEW COM COM 880779103 737 21400 SH DEFINED 21400
TEVA PHARMACEUTICAL COM 881624209 589 14840 SH DEFINED 14840
THERMO FISHER SCIENTIFIC COM 883556102 4199 54890 SH DEFINED 54890
TIFFANY & CO COM 886547108 489 7025 SH DEFINED 7025
TIME WARNER CABLE INC COM COM 88732j207 504 5246 SH DEFINED 5246
TIME WARNER INC COM 887317303 1494 25931 SH DEFINED 25931
TITAN INTL INC ILL COM COM 88830m102 414 19630 SH DEFINED 19630
TITAN MACHY INC COM COM 88830r101 1025 36925 SH DEFINED 36925
TJX COMPANIES INC (NEW) COM 872540109 2700 57750 SH DEFINED 57750
TORONTO DOMINION BK COM NEW COM 891160509 637 7650 SH DEFINED 7650
TOTAL S A SPONSORED ADR COM 89151E109 621 12950 SH DEFINED 12950
TRAVELERS COS INC COM COM 89417E109 270 3207 SH DEFINED 3207
TRIBUNE CO NEW CL A COM 896047503 1137 20000 SH DEFINED 20000
TRONOX LTD SHS CL A COM q9235v101 360 18150 SH DEFINED 18150
TRW AUTOMOTIVE HLDGS COM COM 87264s106 1111 20200 SH DEFINED 20200
UNION PACIFIC CORPORATION COM 907818108 246 1730 SH DEFINED 1730
UNITED PARCEL SERVICE CL B COM 911312106 586 6817 SH DEFINED 6817
UNITED TECHNOLOGIES CORP COM 913017109 3903 41772 SH DEFINED 41772
UNIVERSAL HEALTH RLTY INCOME S COM 91359E105 566 9800 SH DEFINED 9800
UNIVERSAL HLTH SVCS CL B COM 913903100 1916 30000 SH DEFINED 30000
US BANCORP DEL COM COM 902973304 478 14092 SH DEFINED 14092
V F CORP COM COM 918204108 216 1285 SH DEFINED 1285
VALERO ENERGY CORP NEW COM COM 91913y100 218 4800 SH DEFINED 4800
VANGUARD SPECIALIZED DIV APP E COM 921908844 1570 23898 SH DEFINED 23898
VANTAGE DRILLING COMPA ORD SHS COM g93205113 26 15000 SH DEFINED 15000
VECTOR GROUP LTD COM COM 92240M108 545 33786 SH DEFINED 33786
VENTAS INC COM COM 92276F100 624 8530 SH DEFINED 8530
VERIZON COMMUNICATIONS COM COM 92343v104 5140 104572 SH DEFINED 104572
VISA INC COM CL A COM 92826c839 2627 15469 SH DEFINED 15469
VODAFONE GROUP PLC ADR-NEW COM 92857w209 586 20639 SH DEFINED 20639
WAL MART STORES INC COM 931142103 2824 37733 SH DEFINED 37733
WALGREEN COMPANY COM 931422109 2238 46929 SH DEFINED 46929
WALT DISNEY PRODUCTIONS COM 254687106 1000 17603 SH DEFINED 17603
WASTE MGMT INC COM COM 94106L109 4492 114558 SH DEFINED 114558
WELLS FARGO & COMPANY COM 949746101 770 20829 SH DEFINED 20829
WESTERN UN CO COM COM 959802109 211 14000 SH DEFINED 14000
WESTPAC BANKING ADS COM 961214301 423 2625 SH DEFINED 2625
WEYERHAEUSER CO COM 962166104 565 18001 SH DEFINED 18001
WILLIAMS COS INC DEL COM COM 969457100 901 24039 SH DEFINED 24039
WISDOMTREE TR EMERGING MKTS YL COM 97717w315 247 4477 SH DEFINED 4477
WISDOMTREE TR INTL DV TOP 100 COM 97717w786 225 5346 SH DEFINED 5346
WISDOMTREE TRUST EMG MKTS SMCA COM 97717w281 742 14378 SH DEFINED 14378
WISDOMTREE TRUST INTL LRGCAP D COM 97717w794 449 9750 SH DEFINED 9750
WORLD OIL RES LTD SHS COM q98945t10 0 10000 SH DEFINED 10000
XILINX INC COM COM 983919101 603 15800 SH DEFINED 15800
YAMANA GOLD INC COM COM 98462y100 158 10315 SH DEFINED 10315
ZIMMER HOLDINGS INC COM 98956P102 6189 82275 SH DEFINED 82275
CNOOC LTD SPONS ADR 126132109 969 5060 SH DEFINED 5060
NATIONAL AUSTRALIA BK SPONSORE 632525408 254 7900 SH DEFINED 7900
REPSOL S.A. 76026t205 726 35650 SH DEFINED 35650
ROYAL DUTCH SHELL B 780259107 626 9375 SH DEFINED 9375
ROYAL DUTCH SHELL PLC SPONS AD 780259206 291 4467 SH DEFINED 4467
SANOFI SPONSORED ADR 80105n105 306 6000 SH DEFINED 6000
SHENGKAI INNOVATIONS INC. 82321p203 12 14650 SH DEFINED 14650
SHIRE PHARMCTL GRP PLC SPONSOR 82481r106 576 6300 SH DEFINED 6300
WAL-MART DE MEXICO S A ADR SR 93114W107 500 15272 SH DEFINED 15272
AMER INTL GRP FRAC WTS EXP 01/ acg874152 0 68765 SH DEFINED 68765
AIM INV FDS GLB HLT CARE A 00141T106 234 6656.622 SH DEFINED 6656.622
AMER INTL GRW & INC CL F-1 SHS 45956t402 793 24525.852SH DEFINED 24525.852
AMERICAN BALANCED FD CL F 024071409 1206 55607.648SH DEFINED 55607.648
AMERICAN BALANCED FD COM 024071102 503 23193.543SH DEFINED 23193.543
BLAIR WILLIAM MUT FDS INTL GRW 093001402 481 20579.030SH DEFINED 20579.030
CAPITAL INCOME BLDR FD CL F 140193400 4067 73777.641SH DEFINED 73777.641
CAPITAL INCOME BUILDERS FD SH 140193103 660 11978.990SH DEFINED 11978.990
CAPITAL WORLD GRW&INCM CL F 140543406 1462 37162.490SH DEFINED 37162.490
CAPITAL WORLD GRW&INCM COM 140543109 337 8555.921 SH DEFINED 8555.921
CLAYMORE ETF TR ZACKS MDCAP CR 18383m720 507 13100.000SH DEFINED 13100.000
COLUMBIA ACORN FUND CL Z 197199409 926 27683.659SH DEFINED 27683.659
EATON VANCE GROWTH TR ATL CAPT 277902698 214 10326.281SH DEFINED 10326.281
EUROPACIFIC GROWTH FUND CLASS 298706102 521 12300.140SH DEFINED 12300.140
FIDELITY ADVISOR SER I LEV CO 315805424 605 13568.983SH DEFINED 13568.983
FIRST EAGLE FDS INC GOLD FD 32008f408 409 17612.802SH DEFINED 17612.802
FRANKLIN INCOME FD CLASS A 353496300 90 38620.697SH DEFINED 38620.697
FUNDAMENTAL INVS INC CL F 360802409 324 7328.600 SH DEFINED 7328.600
GABELLI ASSET FD SH BEN INT 362395105 321 5551.905 SH DEFINED 5551.905
GOLDMAN SACHS TR N11 EQTY A SH 38145l869 645 55821.764SH DEFINED 55821.764
GRANDEUR PEAK GLOBAL OPP FD IN 317609360 1735 631067.855SH DEFINED 631067.855
GROWTH FD AMER INC CL F 399874403 483 13028.820SH DEFINED 13028.820
HEARTLAND GROUP INC VAL PLUS I 422352849 404 12361.466SH DEFINED 12361.466
INCOME FUND AMERICA 453320103 415 21726.938SH DEFINED 21726.938
INTERNATIONAL GRW & IN CL F-2 45956t501 305 9416.885 SH DEFINED 9416.885
MAINSTAY MARKETFIELD FD CL I 56064b852 3899 234038.386SH DEFINED 234038.386
MASSACHUSETTS INVS TR SH BEN I 575736103 293 12373.486SH DEFINED 12373.486
MERIDIAN FD INC GROWTH FD 589619105 288 6570.002 SH DEFINED 6570.002
NEW PERSPECTIVE FD INC COM 648018109 295 8887.649 SH DEFINED 8887.649
OPPENHEIMER DEVLNG MKT CL A 683974109 1052 29769.190SH DEFINED 29769.190
OPPENHEIMER INTL S CO CL A 68380u100 297 11996.986SH DEFINED 11996.986
OPPENHEIMER STRATEG FD INCOME 68380K102 137 31382.368SH DEFINED 31382.368
PIMCO FDS PAC INVT MGM COMM RE 722005667 234 35584.450SH DEFINED 35584.450
POPLAR FOREST PARTNERS FD CL A 00768D814 1328 36892.422SH DEFINED 36892.422
POPLAR FOREST PARTNERS INSTITU 00768d798 9767 270711.752SH DEFINED 270711.752
TEMPLETON GLOBAL INVT BRIC FD 88019r757 121 10734.966SH DEFINED 10734.966
TEMPLETON GLOBAL INVT EMRG MKT 88019r732 248 21089.420SH DEFINED 21089.420
TEMPLETON GLOBAL INVT FRNTR MK 88019r674 180 10645.967SH DEFINED 10645.967
TURNER FDS SPECTRUM INSTL 900297664 164 14760.745SH DEFINED 14760.745
UNIFIED SER TR APPLESEED FD 90470k370 471 33183.079SH DEFINED 33183.079
VANGUARD INDEX FDS TOT STKIDX 922908728 381 9671.247 SH DEFINED 9671.247
VANGUARD SPECIALIZED DIV APRID 921908851 366 13922.421SH DEFINED 13922.421
PIMCO ETF TR CDA BD IDX FD 72201R759 1138 11100.000SH DEFINED 11100.000
ALLIANZGI EQUITY & CONVERTIBLE 018829101 656 36450.000SH DEFINED 36450.000
EATON VANCE TXMG GLOBAL OPPORT 27829c105 745 66516.000SH DEFINED 66516.000
ROYCE VALUE TR INC COM 780910105 2446 162440.000SH DEFINED 162440.000
ABERDEEN LATIN AMERICAN EQUITY 00306k106 253 6741.000 SH DEFINED 6741.000
THAI FD INC COM 882904105 501 20940.000SH DEFINED 20940.000
KKR & CO LP DEL COM UNITS 48248m102 1424 73700 SH DEFINED 73700
NATURAL RESOURCE PARTNERS LP 63900p103 959 41000 SH DEFINED 41000