Location: Orinda, CA
CIK: 0001484540 · Show all filings
Period: Q3 2014 (← Previous) (Next →)
Filing Date: Oct 17, 2014
Total Value: $125M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| TRN | TRINITY INDS INC | 74,260 | $3.469M | 2.8% | $46.71 * | $15.94 | +50.2% | COM | 896522109 |
| IYT | ISHARES TR | 18,560 | $2.801M | 2.2% | $150.92 * | $34.37 | +9.8% | TRANS AVG ETF | 464287192 |
| WMB | WILLIAMS COS INC DEL | 49,114 | $2.718M | 2.2% | $55.34 * | $25.56 | +14.8% | COM | 969457100 |
| FXD | FIRST TR EXCHANGE TRADED FD | 81,572 | $2.644M | 2.1% | $32.41 | $32.30 | +0.4% | CONSUMR DISCRE | 33734X101 |
| NOC | NORTHROP GRUMMAN CORP | 19,707 | $2.597M | 2.1% | $131.78 * | $77.13 | +42.1% | COM | 666807102 |
| FXR | FIRST TR EXCHANGE TRADED FD | 87,388 | $2.567M | 2.1% | $29.37 | $27.70 | +6.0% | INDLS PROD DUR | 33734X150 |
| FNDX | SCHWAB STRATEGIC TR | 87,784 | $2.547M | 2.0% | $29.01 * | $9.74 | -0.7% | SCHWAB FDT US LG | 808524771 |
| EWP | ISHARES | 64,949 | $2.527M | 2.0% | $38.91 | $39.66 | -1.9% | MSCI SPAN CP ETF | 464286764 |
| FXZ | FIRST TR EXCHANGE TRADED FD | 77,144 | $2.478M | 2.0% | $32.12 | $31.44 | +2.2% | MATERIALS ALPH | 33734X168 |
| FXN | FIRST TR EXCHANGE TRADED FD | 94,847 | $2.452M | 2.0% | $25.85 | $27.69 | -6.6% | ENERGY ALPHADX | 33734X127 |
| — | DOW CHEM CO | 46,359 | $2.431M | 2.0% | $52.44 | $49.88 | — | COM | 260543103 |
| — | GENERAL ELECTRIC CO | 93,433 | $2.394M | 1.9% | $25.62 | $25.22 | — | COM | 369604103 |
| — | DISCOVER FINL SVCS | 35,951 | $2.315M | 1.9% | $64.39 | $53.58 | — | COM | 254709108 |
| HON | HONEYWELL INTL INC | 24,758 | $2.305M | 1.8% | $93.10 * | $58.67 | +12.9% | COM | 438516106 |
| — | SPECTRA ENERGY CORP | 58,542 | $2.298M | 1.8% | $39.25 | $37.58 | — | COM | 847560109 |
| HBAN | HUNTINGTON BANCSHARES INC | 222,891 | $2.169M | 1.7% | $9.73 * | $5.30 | +18.4% | COM | 446150104 |
| FCX | FREEPORT-MCMORAN INC | 59,159 | $1.932M | 1.5% | $32.66 * | $30.25 | -5.9% | CL B | 35671D857 |
| — | DIREXION SHS ETF TR | 28,582 | $1.845M | 1.5% | $64.55 | $55.76 | — | ALL CP INSIDER | 25459Y769 |
| NSC | NORFOLK SOUTHERN CORP | 16,365 | $1.826M | 1.5% | $111.58 * | $82.62 | +5.4% | COM | 655844108 |
| — | UNILEVER PLC | 42,982 | $1.801M | 1.4% | $41.90 | $40.20 | — | SPON ADR NEW | 904767704 |
| GIS | GENERAL MLS INC | 35,667 | $1.799M | 1.4% | $50.44 * | $33.16 | +2.9% | COM | 370334104 |
| ABBV | ABBVIE INC | 29,333 | $1.694M | 1.4% | $57.75 * | $35.17 | +4.1% | COM | 00287Y109 |
| EMR | EMERSON ELEC CO | 26,200 | $1.64M | 1.3% | $62.60 * | $45.88 | +0.7% | COM | 291011104 |
| PSX | PHILLIPS 66 | 19,651 | $1.598M | 1.3% | $81.32 * | $55.11 | -2.1% | COM | 718546104 |
| IYJ | ISHARES TR | 15,729 | $1.591M | 1.3% | $101.15 * | $45.23 | +11.8% | U.S. INDS ETF | 464287754 |
| APD | AIR PRODS & CHEMS INC | 11,861 | $1.544M | 1.2% | $130.17 * | $92.44 | -0.9% | COM | 009158106 |
| IGIB | ISHARES | 13,891 | $1.518M | 1.2% | $109.28 * | $54.87 | -0.4% | INTERM CR BD ETF | 464288638 |
| — | ENERGEN CORP | 20,890 | $1.509M | 1.2% | $72.24 | $72.28 | — | COM | 29265N108 |
| — | KINDER MORGAN MANAGEMENT LLC | 15,903 | $1.497M | 1.2% | $94.13 | $86.68 | — | SHS | 49455U100 |
| — | KINDER MORGAN ENERGY PARTNER | 15,887 | $1.482M | 1.2% | $93.28 | $87.68 | — | UT LTD PARTNER | 494550106 |
| — | RYDEX ETF TRUST | 19,170 | $1.453M | 1.2% | $75.80 | $63.92 | — | GUG S&P500 EQ WT | 78355W106 |
| — | GOOGLE INC | 2,379 | $1.388M | 1.1% | $583.44 | $772.65 | — | CL A | 38259P508 |
| IWB | ISHARES TR | 12,499 | $1.373M | 1.1% | $109.85 | $91.22 | +20.4% | RUS 1000 ETF | 464287622 |
| — | RYDEX ETF TRUST | 9,771 | $1.35M | 1.1% | $138.16 | $138.16 | — | GUG RUSS TOP 50 | 78355W205 |
| — | REYNOLDS AMERICAN INC | 22,721 | $1.341M | 1.1% | $59.02 | $53.31 | — | COM | 761713106 |
| — | NEW YORK CMNTY BANCORP INC | 81,910 | $1.3M | 1.0% | $15.87 | $15.30 | — | COM | 649445103 |
| EPD | ENTERPRISE PRODS PARTNERS L | 31,224 | $1.258M | 1.0% | $40.29 | $46.08 | — | COM | 293792107 |
| HYG | ISHARES | 13,543 | $1.245M | 1.0% | $91.93 | $92.63 | -0.7% | IBOXX HI YD ETF | 464288513 |
| SIMO | SILICON MOTION TECHNOLOGY CO | 43,184 | $1.163M | 0.9% | $26.93 | $17.46 | +54.3% | SPONSORED ADR | 82706C108 |
| SPSB | SPDR SERIES TRUST | 37,464 | $1.15M | 0.9% | $30.70 | $30.74 | -0.2% | BARC SHT TR CP | 78464A474 |
| AXP | AMERICAN EXPRESS CO | 12,979 | $1.136M | 0.9% | $87.53 * | $70.53 | +5.5% | COM | 025816109 |
| — | VECTOR GROUP LTD | 49,807 | $1.105M | 0.9% | $22.19 | $18.69 | — | COM | 92240M108 |
| AAPL | APPLE INC | 10,861 | $1.094M | 0.9% | $100.73 * | $19.34 | +15.0% | COM | 037833100 |
| — | ROYAL DUTCH SHELL PLC | 13,782 | $1.09M | 0.9% | $79.09 | $73.65 | — | SPON ADR B | 780259107 |
| — | SHIP FINANCE INTERNATIONAL L | 63,317 | $1.071M | 0.9% | $16.91 | $16.58 | — | SHS | G81075106 |
| — | ENERGY TRANSFER PRTNRS L P | 16,181 | $1.035M | 0.8% | $63.96 | $57.94 | — | UNIT LTD PARTN | 29273R109 |
| IHF | ISHARES | 9,641 | $1.03M | 0.8% | $106.84 * | $18.28 | +16.9% | US HLTHCR PR ETF | 464288828 |
| T | AT&T INC | 28,966 | $1.021M | 0.8% | $35.25 * | $11.46 | +4.0% | COM | 00206R102 |
| ARI | APOLLO COML REAL EST FIN INC | 64,144 | $1.008M | 0.8% | $15.71 | $15.89 | — | COM | 03762U105 |
| IHE | ISHARES | 7,033 | $987K | 0.8% | $140.34 * | $37.95 | +23.3% | U.S. PHARMA ETF | 464288836 |
| DIS | DISNEY WALT CO | 10,886 | $969K | 0.8% | $89.01 * | $64.82 | +23.5% | COM DISNEY | 254687106 |
| BRK/B | BERKSHIRE HATHAWAY INC DEL | 6,897 | $953K | 0.8% | $138.18 | $113.68 | +21.5% | CL B NEW | 084670702 |
| UNP | UNION PAC CORP | 8,743 | $948K | 0.8% | $108.43 * | $71.97 | +17.2% | COM | 907818108 |
| FXH | FIRST TR EXCHANGE TRADED FD | 16,824 | $939K | 0.8% | $55.81 | $45.93 | +21.5% | HLTH CARE ALPH | 33734X143 |
| EWL | ISHARES | 28,145 | $915K | 0.7% | $32.51 | $30.80 | +5.5% | MSCI SZ CAP ETF | 464286749 |
| AMGN | AMGEN INC | 6,472 | $909K | 0.7% | $140.45 * | $84.94 | +20.0% | COM | 031162100 |
| XOM | EXXON MOBIL CORP | 9,547 | $898K | 0.7% | $94.06 * | $57.99 | +0.5% | COM | 30231G102 |
| FXG | FIRST TR EXCHANGE TRADED FD | 22,946 | $897K | 0.7% | $39.09 | $34.36 | +13.7% | CONSUMR STAPLE | 33734X119 |
| CVS | CVS HEALTH CORP | 11,132 | $886K | 0.7% | $79.59 * | $53.08 | +9.4% | COM | 126650100 |
| AZN | ASTRAZENECA PLC | 12,395 | $885K | 0.7% | $71.40 | $61.80 | — | SPONSORED ADR | 046353108 |
| EWG | ISHARES | 30,513 | $845K | 0.7% | $27.69 | $28.85 | -4.0% | MSCI GERMANY ETF | 464286806 |
| — | LINN ENERGY LLC | 29,150 | $844K | 0.7% | $28.95 | $30.00 | — | UNIT LTD LIAB | 536020100 |
| CMCSA | COMCAST CORP NEW | 15,350 | $826K | 0.7% | $53.81 * | $18.53 | +12.6% | CL A | 20030N101 |
| VZ | VERIZON COMMUNICATIONS INC | 16,313 | $815K | 0.7% | $49.96 * | $27.25 | +2.6% | COM | 92343V104 |
| — | BLACKSTONE GROUP L P | 25,680 | $808K | 0.6% | $31.46 | $32.39 | — | COM UNIT LTD | 09253U108 |
| COP | CONOCOPHILLIPS | 10,492 | $803K | 0.6% | $76.53 * | $50.84 | +4.4% | COM | 20825C104 |
| CWB | SPDR SERIES TRUST | 15,592 | $774K | 0.6% | $49.64 | $49.23 | +0.8% | BRC CNV SECS ETF | 78464A359 |
| — | PEOPLES UNITED FINANCIAL INC | 52,962 | $766K | 0.6% | $14.46 | $14.86 | — | COM | 712704105 |
| — | RAYTHEON CO | 7,124 | $724K | 0.6% | $101.63 | $99.53 | — | COM NEW | 755111507 |
| PAYX | PAYCHEX INC | 14,964 | $661K | 0.5% | $44.17 * | $28.63 | +9.5% | COM | 704326107 |
| ORI | OLD REP INTL CORP | 46,019 | $657K | 0.5% | $14.28 * | $6.64 | -2.8% | COM | 680223104 |
| BAC | BANK AMER CORP | 38,249 | $652K | 0.5% | $17.05 * | $13.12 | +2.8% | COM | 060505104 |
| — | UNITED TECHNOLOGIES CORP | 6,123 | $647K | 0.5% | $105.67 | $113.15 | — | COM | 913017109 |
| EWD | ISHARES | 18,751 | $620K | 0.5% | $33.06 | $32.98 | +0.3% | MSCI SWEDEN ETF | 464286756 |
| FNDA | SCHWAB STRATEGIC TR | 21,403 | $592K | 0.5% | $27.66 * | $14.45 | -4.3% | SCHWAB FDT US SC | 808524763 |
| MO | ALTRIA GROUP INC | 12,516 | $575K | 0.5% | $45.94 * | $17.83 | +25.5% | COM | 02209S103 |
| — | SENIOR HSG PPTYS TR | 27,438 | $574K | 0.5% | $20.92 | $22.50 | — | SH BEN INT | 81721M109 |
| FNDF | SCHWAB STRATEGIC TR | 19,201 | $530K | 0.4% | $27.60 | $28.84 | -4.2% | SCHWB FDT INT LG | 808524755 |
| PAA | PLAINS ALL AMERN PIPELINE L | 8,800 | $518K | 0.4% | $58.86 | $56.36 | — | UNIT LTD PARTN | 726503105 |
| ITA | ISHARES | 4,758 | $512K | 0.4% | $107.61 * | $50.50 | +6.5% | U.S. AER&DEF ETF | 464288760 |
| VGT | VANGUARD WORLD FDS | 5,095 | $510K | 0.4% | $100.10 * | $9.35 | +33.8% | INF TECH ETF | 92204A702 |
| MMM | 3M CO | 3,449 | $489K | 0.4% | $141.78 * | $81.84 | +0.9% | COM | 88579Y101 |
| FDX | FEDEX CORP | 2,995 | $484K | 0.4% | $161.60 * | $129.06 | +6.4% | COM | 31428X106 |
| — | TRIANGLE CAP CORP | 18,982 | $481K | 0.4% | $25.34 | $26.62 | — | COM | 895848109 |
| — | WILLIAMS PARTNERS L P | 9,000 | $477K | 0.4% | $53.00 | $52.11 | — | COM UNIT L P | 96950F104 |
| — | TORTOISE ENERGY INFRSTRCTR C | 9,804 | $472K | 0.4% | $48.14 | $47.33 | — | COM | 89147L100 |
| WFC | WELLS FARGO & CO NEW | 9,056 | $470K | 0.4% | $51.90 * | $33.68 | +12.3% | COM | 949746101 |
| — | FIRST TR EXCH TRD ALPHA FD I | 12,719 | $456K | 0.4% | $35.85 | $36.17 | — | CANADA ALPHA | 33737J208 |
| — | HEWLETT PACKARD CO | 12,821 | $455K | 0.4% | $35.49 | $34.04 | — | COM | 428236103 |
| OHI | OMEGA HEALTHCARE INVS INC | 13,114 | $448K | 0.4% | $34.16 | $32.46 | — | COM | 681936100 |
| GD | GENERAL DYNAMICS CORP | 3,494 | $444K | 0.4% | $127.07 * | $89.65 | +11.0% | COM | 369550108 |
| INTC | INTEL CORP | 11,797 | $411K | 0.3% | $34.84 * | $25.75 | +3.1% | COM | 458140100 |
| PG | PROCTER & GAMBLE CO | 4,879 | $409K | 0.3% | $83.83 * | $58.49 | +4.5% | COM | 742718109 |
| VTR | VENTAS INC | 6,436 | $399K | 0.3% | $62.00 * | $45.10 | -4.2% | COM | 92276F100 |
| JNJ | JOHNSON & JOHNSON | 3,503 | $373K | 0.3% | $106.48 * | $75.58 | +3.2% | COM | 478160104 |
| — | WESTAR ENERGY INC | 10,500 | $358K | 0.3% | $34.10 | $32.22 | — | COM | 95709T100 |
| — | MAGELLAN MIDSTREAM PRTNRS LP | 3,800 | $320K | 0.3% | $84.21 | $84.21 | — | COM UNIT RP LP | 559080106 |
| EWN | ISHARES | 13,240 | $320K | 0.3% | $24.17 | $24.76 | -2.5% | MSCI NETHERL ETF | 464286814 |
| — | INTL FCSTONE INC | 17,997 | $312K | 0.3% | $17.34 | $17.34 | — | COM | 46116V105 |
| — | CENTURYLINK INC | 7,148 | $292K | 0.2% | $40.85 | $40.85 | — | COM | 156700106 |
| SDOG | ALPS ETF TR | 7,800 | $291K | 0.2% | $37.31 | $37.53 | -0.8% | SECTR DIV DOGS | 00162Q858 |
| — | NAVIOS MARITIME PARTNERS L P | 16,000 | $285K | 0.2% | $17.81 | $17.81 | — | UNIT LPI | Y62267102 |
| CVX | CHEVRON CORP NEW | 2,377 | $284K | 0.2% | $119.48 * | $78.51 | -6.1% | COM | 166764100 |
| IYY | ISHARES TR | 2,852 | $283K | 0.2% | $99.23 * | $41.80 | +18.6% | DOW JONES US ETF | 464287846 |
| PPL | PPL CORP | 8,445 | $277K | 0.2% | $32.80 * | $16.97 | +9.2% | COM | 69351T106 |
| — | NATIONAL HEALTHCARE CORP | 18,235 | $275K | 0.2% | $15.08 | $14.92 | — | PFD CONV SER A | 635906209 |
| IBM | INTERNATIONAL BUSINESS MACHS | 1,440 | $273K | 0.2% | $189.58 * | $112.99 | +1.0% | COM | 459200101 |
| — | CONSOLIDATED COMM HLDGS INC | 10,600 | $266K | 0.2% | $25.09 | $25.09 | — | COM | 209034107 |
| EXK | ENDEAVOUR SILVER CORP | 60,000 | $262K | 0.2% | $4.37 | $4.52 | -3.4% | COM | 29258Y103 |
| — | BP PRUDHOE BAY RTY TR | 2,592 | $244K | 0.2% | $94.14 | $94.14 | — | UNIT BEN INT | 055630107 |
| — | HEALTH CARE REIT INC | 3,812 | $238K | 0.2% | $62.43 | $62.43 | — | COM | 42217K106 |
| EWK | ISHARES | 14,452 | $236K | 0.2% | $16.33 | $16.89 | -3.4% | BELGIUM CAPD ETF | 464286301 |
| KO | COCA COLA CO | 5,458 | $233K | 0.2% | $42.69 * | $28.86 | +3.8% | COM | 191216100 |
| HD | HOME DEPOT INC | 2,510 | $230K | 0.2% | $91.63 * | $65.73 | +7.3% | COM | 437076102 |
| MSFT | MICROSOFT CORP | 4,724 | $219K | 0.2% | $46.36 * | $37.66 | +4.3% | COM | 594918104 |
| TIP | ISHARES TR | 1,880 | $211K | 0.2% | $112.23 | $114.37 | -2.0% | TIPS BD ETF | 464287176 |
| PFE | PFIZER INC | 6,989 | $207K | 0.2% | $29.62 * | $17.45 | +0.2% | COM | 717081103 |
| META | FACEBOOK INC | 2,569 | $203K | 0.2% | $79.02 | $72.85 | +7.7% | CL A | 30303M102 |
| — | BLACKROCK ENHANCED EQT DIV T | 24,599 | $202K | 0.2% | $8.21 | $7.90 | — | COM | 09251A104 |
| PSEC | PROSPECT CAPITAL CORPORATION | 19,600 | $194K | 0.2% | $9.90 * | $2.59 | -4.2% | COM | 74348T102 |
| — | NUVEEN CR STRATEGIES INCM FD | 19,500 | $174K | 0.1% | $8.92 | $8.92 | — | COM SHS | 67073D102 |
| — | OCH ZIFF CAP MGMT GROUP | 15,840 | $170K | 0.1% | $10.73 | $10.73 | — | CL A | 67551U105 |
| — | ABERDEEN ASIA PACIFIC INCOM | 23,300 | $137K | 0.1% | $5.88 | $6.02 | — | COM | 003009107 |
| — | DNP SELECT INCOME FD | 13,444 | $136K | 0.1% | $10.12 | $10.12 | — | COM | 23325P104 |
| — | MFS MUN INCOME TR | 12,144 | $80,000 | 0.1% | $6.59 | $6.59 | — | SH BEN INT | 552738106 |
| — | CHIMERA INVT CORP | 20,000 | $61,000 | 0.0% | $3.05 | $3.05 | — | COM | 16934Q109 |
| — | THOMPSON CREEK METALS CO INC | 24,000 | $53,000 | 0.0% | $2.21 | $2.58 | — | COM | 884768102 |
| — | ALASKA COMMUNICATIONS SYS GR | 17,264 | $27,000 | 0.0% | $1.56 | $1.56 | — | COM | 01167P101 |
| — | TIMBERLINE RES CORP | 39,000 | $3,000 | 0.0% | $0.08 | $0.18 | — | COM | 887133106 |