Advanced Equities Asset Management

Latest statistics and disclosures from First Allied Asset Management's latest quarterly 13F-HR filing:

  • Top 5 stock holdings are MBB, VEA, LQD, ACWI, VWO. These five stock positions account for 15.63% of First Allied Asset Management's total stock portfolio.
  • Added to shares of these 10 stocks: VEU (+$8.24M), ATI (+$7.14M), Marathon Petroleum (+$6.55M), DOW (+$6.50M), VCSH (+$6.41M), ARCC (+$6.34M), DLR (+$6.26M), SCPB (+$6.25M), Transcanada (+$6.22M), HCP (+$6.11M).
  • Started 40 new stock positions in SSO, SLB, PCY, BKF, Marathon Petroleum, PNC, DLR, VOD, VEU, Psec Us conv.
  • Reduced shares in these 10 stocks: (-$10.13M), CAH (-$7.82M), VNQ (-$7.69M), PIM (-$7.05M), (-$6.62M), BIV (-$6.23M), TEVA (-$5.62M), IBM (-$5.54M), BOH (-$5.14M), (-$5.03M).
  • Sold out of its positions in AGL, ALTR, BOH, Lkd Barclays Bk Plc Ipath S&p Etn etf, COY, BA, CAT, CNP, KO, DO.
  • As of Dec. 31, 2013, First Allied Asset Management has $695.35M in assets under management (AUM). Assets under management grew from a total value of $665.05M to $695.35M.
  • Independent of market fluctuations, First Allied Asset Management was a net seller by $1.37M worth of stocks in the most recent quarter.

First Allied Asset Management portfolio companies for December 2013 quarter

Ticker Name Portfolio Weight Change Share Count Price Last Trade
MBB iShares Lehman MBS Bond Fund 3.73 -6.00% 247179 105.00 106.71
VEA Vanguard Europe Pacific ETF 3.61 -5.00% 601368 41.71 41.19
LQD iShares IBoxx $ Invest Grade Corp Bd Fd 3.41 -10.00% 207527 114.39 117.88
ACWI iShares MSCI ACWI Index Fund 2.61 -6.00% 315290 57.64 57.80
VWO Vanguard Emerging Markets ETF 2.26 -6.00% 381906 41.12 41.07
CSJ iShares Barclays 1-3 Year Cred Bd Fd ETF 2.24 -11.00% 147731 105.39 105.49
XLK Technology SPDR 1.98 +35.00% 384937 35.78 35.95
MDY SPDR S&P; MidCap 400 ETF 1.81 -5.00% 51558 244.23 243.34
PFF iShares S&P; US Pref Stock Idx Fnd 1.63 +41.00% 307963 36.73 39.10
MUB iShares S&P; Natl AMTFr Mncpl Bd Fd 1.53 -13.00% 102284 103.71 107.70
Spdr Short-term High Yield mf 1.53 +75.00% 344153 30.88 0.00
DXJ WisdomTree Japan Total Dividend Fd 1.48 202646 50.82 46.26
CVX Chevron Corporation 1.43 79710 124.84 121.47
TYG Tortoise Energy Infrastructure 1.43 +2.00% 208495 47.65 46.17
Vanguard Malvern Fds strm infproidx 1.40 -2.00% 198679 49.06 0.00
UTF Cohen & Steers infrastucture Fund 1.33 +3.00% 445474 20.69 22.10
VHT Vanguard Health Care ETF 1.30 -9.00% 89209 101.13 103.11
IEF iShares Lehman 7-10 Yr Treas. Bond 1.22 -5.00% 85739 99.14 102.31
VEU Vanguard FTSE All-World ex-US ETF 1.19 NEW 162543 50.71 50.33
BGR BlackRock Global Energy & Resources Trus 1.19 +5.00% 338110 24.39 24.80
AAPL Apple 1.18 +9.00% 14242 574.22 517.45
VUG Vanguard Growth ETF 1.06 -11.00% 79081 92.96 92.05
ATI Allegheny Technologies Incorporated 1.03 NEW 199463 35.78 40.77
HAS Hasbro 1.02 128357 55.45 53.92
GLW Corning Incorporated 1.02 395750 17.94 20.81
DD E.I. du Pont de Nemours & Company 1.01 +2.00% 107434 65.44 67.45
EMR Emerson Electric 1.01 99042 70.65 67.18
CA CA 1.01 206728 33.90 29.93
MCHP Microchip Technology 1.00 +2.00% 153386 45.15 45.86
GE General Electric Company 0.99 +2.00% 244305 28.28 25.99
Manulife Finl 0.99 +3.00% 345060 19.89 0.00
TRV Travelers Companies 0.98 73951 91.83 86.83
IXP iShares S&P; Global Telecommunicat. 0.96 +3.00% 96366 69.00 66.75
MRK Merck & Co 0.94 +4.00% 128163 50.84 56.33
Marathon Petroleum 0.94 NEW 71143 92.05 0.00
Facebook Inc cl a 0.94 119594 54.65 0.00
BK Bank of New York Mellon Corporation 0.93 +4.00% 182138 35.42 33.43
DOW Dow Chemical Company 0.93 NEW 145368 44.70 47.99
HYG iShares iBoxx $ High Yid Corp Bond 0.93 -6.00% 70992 91.45 94.17
BP BP 0.92 +3.00% 130989 48.95 48.20
WFC Wells Fargo & Company 0.92 +3.00% 139627 45.58 48.87
VCSH Vanguard Short Term Corporate Bond ETF 0.92 NEW 80106 79.98 80.19
ARCC Ares Capital Corporation 0.91 NEW 352878 17.96 17.29
DLR Digital Realty Trust 0.90 NEW 126020 49.71 53.41
XLF Financial Select Sector SPDR 0.90 -3.00% 287432 21.76 21.75
SCPB SPDR Barclays Cptl Shrt Term Corp Bd ETF 0.90 NEW 201471 31.01 30.80
Proshares Tr rafi lg sht fd 0.90 -13.00% 146313 42.54 0.00
DE Deere & Company 0.89 +5.00% 67454 91.78 93.10
Transcanada 0.89 NEW 134542 46.25 0.00
Bk Nova Cad 0.89 +4.00% 96434 63.87 0.00
PFE Pfizer 0.88 +4.00% 198432 30.95 30.14
HCP HCP 0.88 NEW 165520 36.91 41.11
EWC iShares MSCI Canada Index 0.88 +6.00% 209111 29.11 29.75
DPS Dr Pepper Snapple 0.87 NEW 123183 49.18 51.83
Powershares Senior Loan Portfo mf 0.86 +7.00% 238048 25.17 0.00
Bank Of Montreal Cadcom Npv 0.85 +4.00% 87354 67.74 0.00
T AT&T; 0.84 -6.00% 165006 35.48 35.82
GLD SPDR Gold Trust 0.84 -37.00% 50683 115.74 125.27
Noble Corp Plc equity 0.84 NEW 154441 37.78 0.00
Tor Dom Bk Cad 0.79 +7.00% 57493 95.86 0.00
SHY iShares Lehman 1-3 Year Treas.Bond 0.79 64949 84.48 84.51
BAX Baxter International 0.78 +7.00% 77077 70.05 73.91
AZN AstraZeneca 0.78 +3.00% 91066 59.68 62.69
VGK Vanguard European ETF 0.63 -3.00% 74700 58.77 58.70
PZA PowerShares Insured Nati Muni Bond 0.63 -19.00% 188427 23.11 24.24
VBK Vanguard Small-Cap Growth ETF 0.58 -5.00% 33282 121.81 119.30
BKF iShares MSCI BRIC Index Fund 0.57 NEW 106051 37.61 36.20
IAU iShares Gold Trust 0.56 NEW 333765 11.72 12.60
PG Procter & Gamble Company 0.53 +5.00% 46684 79.56 81.81
PRU Prudential Financial 0.48 37109 89.90 79.08
Wisdomtree Tr em lcl debt fd 0.48 -50.00% 72632 45.93 0.00
GCI Gannett 0.45 +8.00% 108337 28.98 26.15
MDC M.D.C. Holdings 0.45 97700 32.00 27.74
PCY PowerShares Emerging Markets Sovere 0.44 NEW 113611 26.97 28.11
TAP Molson Coors Brewing Company 0.43 52700 56.72 58.18
JNPR Juniper Networks 0.43 NEW 129400 22.84 24.97
IGOV iShares S&P;/Citi Intl Treasury Bond 0.43 NEW 29309 101.88 104.19
SLB Schlumberger 0.42 NEW 32150 90.02 100.83
EFA iShares MSCI EAFE Index Fund 0.42 -8.00% 43892 67.12 66.86
EMB iShares JPMorgan USD Emer Mkt Bnd Fd ETF 0.42 NEW 27523 106.20 111.73
HCN Health Care REIT 0.41 NEW 53513 53.05 62.62
GSK GlaxoSmithKline 0.41 54447 52.91 52.56
VMW VMware 0.41 NEW 31664 90.04 101.77
EEM iShares MSCI Emerging Markets Indx 0.40 67044 41.42 41.35
VZ Verizon Communications 0.40 -6.00% 56287 49.76 46.90
NTRS Northern Trust Corporation 0.39 44900 61.00 58.79
JWN Nordstrom 0.39 NEW 45027 60.94 61.59
Hollyfrontier 0.39 NEW 54100 49.96 0.00
PNC PNC Financial Services 0.38 NEW 33200 79.34 83.49
NTAP NetApp 0.38 65600 40.50 35.93
Transocean 0.38 53848 49.60 0.00
USB U.S. Ban 0.37 +2.00% 63638 40.02 40.38
DVY iShares Dow Jones Select Dividend 0.36 -2.00% 34776 71.00 73.79
XOM Exxon Mobil Corporation 0.35 -3.00% 23759 101.73 99.57
IVE iShares S&P; 500 Value Index 0.34 -11.00% 27336 85.86 86.57
SUB iShrs S&P; ShtTrm Ntnl AMTFr MncplBnf ETF 0.25 +13.00% 16110 106.21 106.25
EEB Claymore/BNY Mellon BRIC 0.22 -73.00% 44047 34.46 32.41
MSFT Microsoft Corporation 0.21 +2.00% 39515 37.48 40.01
Ishares Tr eafe min volat 0.21 +158.00% 23854 61.54 0.00
JPM JPMorgan Chase & Co. 0.19 +3.00% 22626 59.05 54.91
MET MetLife 0.19 +3.00% 24659 54.38 49.78
CSCO Cisco Systems 0.18 +4.00% 54096 22.57 22.91
VLO Valero Energy Corporation 0.17 24163 50.16 55.12
LMT Lockheed Martin Corporation 0.17 7746 148.72 157.02
WAG Walgreen Company 0.17 20230 57.69 66.60
FITB Fifth Third Ban 0.17 +2.00% 55346 21.10 21.67
STJ St. Jude Medical 0.17 19411 61.56 61.14
INTC Intel Corporation 0.16 +3.00% 42345 26.07 26.75
EMC EMC Corporation 0.16 +4.00% 45147 25.25 26.68
LLY Eli Lilly & Co. 0.15 +3.00% 20147 50.98 59.76
MMM 3M Company 0.15 +2.00% 7305 142.09 134.90
ORCL Oracle Corporation 0.15 +4.00% 27389 37.72 39.77
WDC Western Digital 0.14 +2.00% 11246 84.12 89.90
Abbvie 0.14 18522 52.86 0.00
CB Chubb Corporation 0.13 +2.00% 9527 96.36 90.51
VTV Vanguard Value ETF 0.13 -10.00% 11747 76.62 77.58
ABT Abbott Laboratories 0.12 +6.00% 21789 38.28 37.77
JNJ Johnson & Johnson 0.12 -3.00% 9132 91.87 99.32
ABC AmerisourceBergen 0.12 12153 70.52 64.45
BHI Baker Hughes Incorporated 0.12 15095 54.99 65.64
HES Hess 0.12 +4.00% 9723 82.90 86.51
HPQ Hewlett-Packard Company 0.12 +4.00% 30987 27.98 32.42
PEP Pepsi 0.12 +8.00% 10067 81.26 84.73
GD General Dynamics Corporation 0.12 +2.00% 8799 95.01 107.02
ENR Energizer Holdings 0.11 +27.00% 6859 108.18 98.04
MNA IndexIQ IQ ARB Merger Arbitrage ETF 0.11 +46.00% 27744 26.53 26.99
Expedia 0.11 11145 68.91 0.00
STT State Street Corporation 0.10 +5.00% 9173 73.91 64.94
CF CF Industries Holdings 0.10 +7.00% 2925 229.06 245.13
First Republic Bank/san F 0.10 +11.00% 13133 52.31 0.00
AGZ iShares Barclays Agency Bond Fund 0.10 NEW 6335 110.50 111.95
Wisdomtree Trust futre strat fd 0.10 +36.00% 16246 41.49 0.00
LH Laboratory Corp. of America Holdings 0.09 NEW 6892 91.85 101.50
AGCO AGCO Corporation 0.09 +3.00% 10910 59.76 56.46
M Macy's 0.09 +3.00% 11729 53.37 58.01
GPS Gap 0.09 +8.00% 16301 39.45 38.92
OMC Omni 0.09 +2.00% 8803 74.41 70.39
PPL PPL Corporation 0.09 +8.00% 20031 30.15 33.32
FFIV F5 Networks 0.09 NEW 7163 91.44 107.03
DEM WisdomTree Emerging Markets Eq 0.09 NEW 12256 51.00 49.22
Ishares Tr fltg rate nt 0.09 +14.00% 12804 51.00 0.00
Ensco Plc Shs Class A 0.09 +3.00% 11058 57.24 0.00
REGN Regeneron Pharmaceuticals 0.08 1900 275.26 299.25
IVV iShares S&P; 500 Index 0.08 NEW 3057 185.15 186.07
KEY Key 0.08 +4.00% 40715 13.34 13.41
IJH iShares S&P; MidCap 400 Index 0.08 NEW 4222 133.35 133.55
Indexiq Etf Tr hdg mactrk etf 0.08 +35.00% 21665 25.76 0.00
MUR Murphy Oil Corporation 0.07 +19.00% 7308 64.04 62.88
DGX Quest Diagnostics Incorporated 0.07 -53.00% 9054 53.57 60.00
TIP iShares Barclays TIPS Bond Fund 0.07 -19.00% 4273 110.46 113.17
Ishares Inc em mkt min vol 0.07 +100.00% 8413 58.36 0.00
Retail Properties Of America 0.07 -31.00% 36578 12.74 0.00
Powershares Etf Tr Ii s^p500 low vol 0.06 NEW 13315 33.20 0.00
Chambers Str Pptys 0.06 -62.00% 56111 7.66 0.00
BRK.B Berkshire Hathaway 0.05 2900 118.62 0.00
CAH Cardinal Health 0.05 -96.00% 4808 66.76 67.50
IWB iShares Russell 1000 Index 0.05 +9.00% 3309 103.35 103.42
SSO ProShares Ultra S&P500; 0.05 NEW 3129 102.59 103.06
VO Vanguard Mid-Cap ETF 0.05 NEW 3253 109.44 111.40
JNK SPDR Barclays Capital High Yield B 0.05 +38.00% 9054 40.53 41.24
DWX SPDR S&P; International Dividend 0.05 8000 47.50 49.19
Cole Real Estate Invts 0.05 -63.00% 23866 14.04 0.00
RTN Raytheon Company 0.04 -4.00% 3012 90.31 98.40
CVS CVS Caremark Corporation 0.04 3700 74.05 73.77
IBM International Business Machines 0.04 -94.00% 1639 186.70 197.55
DON WisdomTree MidCap Dividend Fund 0.04 NEW 3889 74.57 76.66
MVV ProShares Ultra MidCap400 0.04 NEW 2413 126.81 62.65
VOD Vodafone 0.03 NEW 5108 39.15 35.57
KTF DWS Municipal Income Trust 0.03 18050 11.97 13.08
AOR iShares S&P; Growth Allocation Fund 0.03 NEW 5319 38.54 38.83
Ssga Active Etf Tr blkstn gsosrln 0.03 4304 49.95 0.00
HYT BlackRock Corporate High Yield Fund VI, 0.02 NEW 10137 12.13 12.17
Ares Capital Corp 5.125 2016 conv 0.00 NEW 13000 1.08 0.00
Psec Us conv 0.00 NEW 22000 1.05 0.00