Advanced Equities Asset Management

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

First Allied Asset Management portfolio companies for September 2014 quarter

Ticker Name Portfolio Weight Change Share Count Price Last Trade
LQD iShares IBoxx $ Invest Grade Corp Bd Fd 2.76 -5.00% 173352 118.29 119.25
MBB iShares Lehman MBS Bond Fund 2.36 -28.00% 162463 108.23 109.63
PFF iShares S&P; US Pref Stock Idx Fnd 1.89 +9.00% 357123 39.43 39.41
VEA Vanguard Europe Pacific ETF 1.54 -27.00% 288599 39.78 38.64
Wisdomtree Tr em lcl debt fd 1.51 +195.00% 252789 44.55 0.00
TYG Tortoise Energy Infrastructure 1.50 +7.00% 231431 48.17 44.85
Vanguard Malvern Fds strm infproidx 1.49 -2.00% 225692 49.14 0.00
AAPL Apple 1.39 +607.00% 101743 101.46 112.65
VNQ Vanguard REIT ETF 1.39 +197.00% 143400 71.94 82.07
UTF Cohen & Steers infrastucture Fund 1.36 -2.00% 433850 23.24 22.41
Spdr Short-term High Yield mf 1.27 -13.00% 316976 29.90 0.00
VZ Verizon Communications 1.25 +206.00% 186388 49.79 46.98
VWO Vanguard Emerging Markets ETF 1.22 -14.00% 217384 41.76 39.63
XLK Technology SPDR 1.21 -39.00% 224818 39.92 41.65
CVX Chevron Corporation 1.18 -12.00% 73591 119.65 109.03
SCPB SPDR Barclays Cptl Shrt Term Corp Bd ETF 1.17 +39.00% 282337 30.76 30.55
MUB iShares S&P; Natl AMTFr Mncpl Bd Fd 1.14 -11.00% 76952 109.72 109.86
GLD SPDR Gold Trust 1.13 +9.00% 72450 115.53 115.05
DPS Dr Pepper Snapple 1.11 +2.00% 126957 64.98 72.31
EWH iShares MSCI Hong Kong Index Fund 1.09 NEW 396909 20.47 20.23
Ultra Short Russell 2000 1.08 NEW 162080 49.40 0.00
BA Boeing Company 1.07 NEW 61563 129.23 125.67
DLR Digital Realty Trust 1.06 127109 62.29 66.44
MRK Merck & Co 1.06 +3.00% 131677 59.72 59.28
EWG iShares MSCI Germany Index Fund 1.06 NEW 286367 27.64 28.11
SYMC Symantec Corporation 1.05 NEW 327513 23.73 26.23
TGT Target Corporation 1.05 NEW 122208 63.67 74.17
SHY iShares Lehman 1-3 Year Treas.Bond 1.03 -27.00% 91005 84.47 84.52
O Realty Income 1.02 184068 41.05 48.25
ALTR Altera Corporation 1.00 NEW 204933 36.16 37.49
T AT&T; 0.99 +20.00% 207448 35.59 33.56
CWB SPDR Barclays Capital Convertible SecETF 0.98 NEW 146351 49.69 49.51
Ishares Tr eafe min volat 0.98 +7.00% 115126 63.03 0.00
OEF iShares S&P; 100 Index 0.97 +116.00% 82278 87.85 91.90
PBS PowerShares Dynamic Media Portfol. 0.97 NEW 291899 24.78 25.45
Accenture 0.96 +125.00% 87756 81.48 0.00
Powershares Etf Tr Ii s^p500 low vol 0.96 -42.00% 204520 35.05 0.00
GIS General Mills 0.95 +4.00% 137714 51.29 53.75
UTX United Technologies Corporation 0.95 NEW 66464 106.67 116.96
HCP HCP 0.95 +4.00% 176285 40.16 45.09
Bank Of Montreal Cadcom Npv 0.95 +5.00% 94632 74.77 0.00
VCSH Vanguard Short Term Corporate Bond ETF 0.95 +7.00% 88102 80.60 79.71
PFE Pfizer 0.92 +13.00% 228217 30.05 31.85
IXP iShares S&P; Global Telecommunicat. 0.92 +8.00% 106581 64.38 60.72
PAYX Paychex 0.91 NEW 150837 44.76 47.08
CA CA 0.90 NEW 236216 28.33 30.55
SPLS Staples 0.90 NEW 543232 12.27 17.64
OMI Owens & Minor 0.90 NEW 202753 33.08 34.62
Facebook Inc cl a 0.90 -2.00% 84578 78.94 0.00
PZA PowerShares Insured Nati Muni Bond 0.89 +5.00% 263738 25.08 25.34
IBM International Business Machines 0.88 +10.00% 33847 192.57 158.75
CAG ConAgra Foods 0.88 NEW 195397 33.49 36.58
Bk Nova Cad 0.88 +5.00% 105564 62.28 0.00
CXW Corrections Corporation of America 0.87 NEW 186667 34.79 37.29
Tor Dom Bk Cad 0.87 +7.00% 130019 49.63 0.00
BGR BlackRock Global Energy & Resources Trus 0.87 -25.00% 266786 24.34 21.18
CHRW C.H. Robinson Worldwide 0.85 NEW 93325 67.55 74.07
MDC M.D.C. Holdings 0.85 +140.00% 247595 25.54 25.84
Epr Properties 0.85 +6.00% 122772 51.59 0.00
Rogers Communications -cl B 0.84 NEW 165590 37.62 0.00
ARCC Ares Capital Corporation 0.82 +5.00% 372474 16.38 15.81
Hollyfrontier 0.81 +135.00% 137025 43.79 0.00
MAT Mattel 0.80 NEW 193995 30.83 30.53
NHI National Health Investors 0.79 NEW 101189 57.72 67.92
CSJ iShares Barclays 1-3 Year Cred Bd Fd ETF 0.73 -65.00% 51501 105.28 104.93
Proshares Tr rafi lg sht fd 0.71 +7.00% 125665 42.00 0.00
PIZ PowerShares DWA Devld Markt Tech 0.71 -12.00% 215974 24.47 24.16
VPL Vanguard Pacific ETF 0.67 -18.00% 84033 59.20 57.87
DEM WisdomTree Emerging Markets Eq 0.66 +636.00% 102455 47.84 41.71
IEF iShares Lehman 7-10 Yr Treas. Bond 0.65 -11.00% 46952 103.68 106.03
NTAP NetApp 0.63 NEW 109328 43.18 43.00
EMC EMC Corporation 0.61 +235.00% 153880 29.38 29.95
PG Procter & Gamble Company 0.57 +6.00% 49986 84.70 92.58
Vanguard Intl Equity Index F glb ex us etf 0.52 NEW 70315 54.53 0.00
XOM Exxon Mobil Corporation 0.51 +27.00% 40187 94.06 91.38
SNY Sanofi-Aventis SA 0.50 +11.00% 65264 56.98 46.03
DLN WisdomTree LargeCap Dividend Fund 0.49 -28.00% 51455 71.05 74.23
TBF ProShares Short 20+ Year Treasury ETF 0.47 NEW 124447 27.83 25.49
Citi 0.47 +18.00% 67429 51.40 0.00
HIG Hartford Financial Services 0.46 NEW 92873 36.84 41.78
SYY SYSCO Corporation 0.46 NEW 89537 38.35 41.10
PRF PowerShares FTSE RAFI US 1000 0.45 -28.00% 38452 87.85 91.38
VUG Vanguard Growth ETF 0.45 -22.00% 34029 99.15 105.04
Powershares Senior Loan Portfo mf 0.45 -44.00% 137156 24.27 0.00
NOV National-Oilwell Var 0.44 NEW 41672 77.97 66.00
CHI Calamos Conv. Opptys. & Income Fund 0.44 +6.00% 248735 13.27 12.94
IWC iShares Russell Microcap Index 0.44 NEW 46849 69.52 75.42
BBBY Bed Bath & Beyond 0.43 NEW 47201 67.54 73.58
PETM PetSmart 0.43 NEW 45658 70.00 81.55
AET Aetna 0.43 NEW 40275 80.12 90.13
EMB iShares JPMorgan USD Emer Mkt Bnd Fd ETF 0.43 +6.00% 29856 108.12 110.22
HCN Health Care REIT 0.41 NEW 49405 61.13 76.53
FLR Fluor Corporation 0.41 NEW 44926 67.89 59.58
EMR Emerson Electric 0.40 NEW 48103 62.14 62.00
KSS Kohl's Corporation 0.39 47947 60.32 59.40
IAU iShares Gold Trust 0.36 +4.00% 226319 11.71 11.58
ADI Analog Devices 0.34 NEW 51034 49.93 57.06
MDY SPDR S&P; MidCap 400 ETF 0.34 -72.00% 10044 249.30 263.06
PDP PowerShares DWA Technical Ldrs Pf 0.31 -18.00% 57727 39.34 41.06
SPY SPDR S&P; 500 ETF 0.30 NEW 11477 197.44 206.29
MSFT Microsoft Corporation 0.29 +28.00% 46797 46.35 47.81
Wisdomtree Tr................... wsdm emktbd fd 0.27 NEW 26047 76.29 0.00
IJH iShares S&P; MidCap 400 Index 0.26 +719.00% 14391 136.75 144.57
JPM JPMorgan Chase & Co. 0.25 +34.00% 30744 60.24 61.85
Advisorshares Tr activ bear etf 0.25 NEW 155058 11.91 0.00
INTC Intel Corporation 0.24 +24.00% 51710 34.85 36.87
PXF PowerShares FTSE RAFI Developed Markets 0.24 -23.00% 43033 41.92 39.95
MNA IndexIQ IQ ARB Merger Arbitrage ETF 0.24 +45.00% 66255 27.44 27.79
Proshares Tr cmn 0.24 NEW 102061 17.64 0.00
CSCO Cisco Systems 0.23 +19.00% 66859 25.17 27.65
LMT Lockheed Martin Corporation 0.23 +25.00% 9458 181.54 191.99
JNJ Johnson & Johnson 0.21 +27.00% 14870 106.93 106.22
MET MetLife 0.21 +18.00% 28431 53.81 53.86
CB Chubb Corporation 0.20 +24.00% 16712 90.65 103.37
IYR iShares Dow Jones US Real Estate 0.20 NEW 21617 69.16 77.50
LLY Eli Lilly & Co. 0.19 +7.00% 22229 64.92 71.46
MDT Medtronic 0.19 +30.00% 23221 61.71 74.14
VLO Valero Energy Corporation 0.19 +28.00% 29976 46.14 47.86
Wisdomtree Trust futre strat fd 0.19 +29.00% 32270 43.85 0.00
HPQ Hewlett-Packard Company 0.18 +19.00% 37028 35.24 39.93
GD General Dynamics Corporation 0.18 +18.00% 10440 126.63 140.03
HUM Humana 0.18 +29.00% 10517 130.17 149.75
BWX SPDR Barclays Capital Intl Tresy Bd ETF 0.18 -26.00% 22557 57.81 56.00
WMT Wal-Mart Stores 0.17 +39.00% 16801 77.20 85.76
MMM 3M Company 0.17 +21.00% 8994 142.43 165.24
PEP Pepsi 0.17 +18.00% 13445 92.67 95.89
ORCL Oracle Corporation 0.17 +16.00% 32214 38.15 45.81
Abbvie 0.17 +18.00% 21743 57.86 0.00
ENR Energizer Holdings 0.16 +28.00% 10009 122.29 131.77
TLT iShares Barclays 20+ Yr Treas.Bond 0.16 NEW 10047 116.45 124.78
VGK Vanguard European ETF 0.16 -71.00% 21222 55.04 53.51
QCOM QUALCOMM 0.15 +50.00% 14859 75.04 73.52
RKT Rock-Tenn Company 0.15 NEW 23410 47.50 61.69
IYM iShares Dow Jones US Basic Mater. 0.15 NEW 12767 86.00 82.96
HYG iShares iBoxx $ High Yid Corp Bond 0.15 -82.00% 11865 91.70 89.55
SUB iShrs S&P; ShtTrm Ntnl AMTFr MncplBnf ETF 0.15 -25.00% 10791 106.11 105.84
JNK SPDR Barclays Capital High Yield B 0.15 +198.00% 27849 40.11 38.59
Indexiq Etf Tr hdg mactrk etf 0.15 +28.00% 42355 25.88 0.00
Expedia 0.15 +14.00% 12377 88.31 0.00
CF CF Industries Holdings 0.14 +27.00% 3766 279.61 259.36
FFIV F5 Networks 0.14 +24.00% 8899 118.78 132.84
ABT Abbott Laboratories 0.13 +12.00% 24182 41.19 45.77
IVV iShares S&P; 500 Index 0.13 +135.00% 4935 198.58 208.28
ETR Entergy Corporation 0.13 +21.00% 12401 77.33 88.70
IVE iShares S&P; 500 Value Index 0.13 +387.00% 11159 89.97 94.11
PGX PowerShares Preferred Portfolio 0.13 NEW 68750 14.49 14.53
First Republic Bank/san F 0.13 +41.00% 19634 49.40 0.00
HYD Market Vectors High Yield Muni. Ind 0.13 NEW 32419 30.78 30.94
STT State Street Corporation 0.12 +34.00% 12293 74.43 80.09
LH Laboratory Corp. of America Holdings 0.12 +23.00% 8739 102.53 106.56
M Macy's 0.12 +24.00% 14664 59.19 62.39
MUR Murphy Oil Corporation 0.12 +49.00% 15737 56.49 49.23
PPL PPL Corporation 0.12 +26.00% 26579 32.77 36.01
OMC Omni 0.11 +28.00% 11352 69.50 76.53
IWM iShares Russell 2000 Index 0.11 +92.00% 7492 109.45 118.27
IVW iShares S&P; 500 Growth Index 0.11 NEW 7688 107.05 112.60
VTV Vanguard Value ETF 0.11 -7.00% 10509 81.17 85.07
MINT PIMCO Enhanced Short Mat Str Fund ETF 0.11 NEW 7927 101.68 101.07
KEY Key 0.10 +26.00% 53619 13.50 13.85
QQQQ PowerShares QQQ Trust, Series 1 0.10 NEW 7235 98.96 0.00
IJJ iShares S&P; MidCap 400 Value Index 0.10 NEW 6203 120.26 127.54
EEM iShares MSCI Emerging Markets Indx 0.09 NEW 16851 41.54 38.57
IWF iShares Russell 1000 Growth Index 0.08 +44.00% 6631 91.84 96.11
BND Vanguard Total Bond Market ETF 0.08 NEW 6923 81.47 82.61
AGZ iShares Barclays Agency Bond Fund 0.08 -17.00% 5415 112.28 113.25
MVV ProShares Ultra MidCap400 0.08 NEW 8589 66.13 73.02
Ishares Inc em mkt min vol 0.08 +12.00% 10323 59.77 0.00
DGX Quest Diagnostics Incorporated 0.07 -6.00% 8417 60.71 65.56
IWR iShares Russell Midcap Index Fund 0.07 +9.00% 3074 158.43 167.36
Ssga Active Etf Tr blkstn gsosrln 0.07 -34.00% 9974 48.93 0.00
Ishares Tr fltg rate nt 0.06 -54.00% 8273 50.53 0.00
XLV Health Care SPDR 0.05 NEW 5661 63.77 70.49
XLI Industrial SPDR 0.05 -95.00% 7393 53.43 56.53
XLP Consumer Staples Select Sect. SPDR 0.05 NEW 8232 45.19 48.68
XLF Financial Select Sector SPDR 0.05 +40.00% 15945 23.02 24.71
XLY Consumer Discretionary SPDR 0.05 NEW 5870 66.61 70.64
IDV iShares Dow Jones EPAC Sel Div Ind 0.05 NEW 9333 36.00 33.97
IYW iShares Dow Jones US Technology 0.05 NEW 3811 99.97 105.39
DWX SPDR S&P; International Dividend 0.05 8000 46.25 42.39
GE General Electric Company 0.04 -95.00% 11017 25.60 25.08
RTN Raytheon Company 0.04 +8.00% 2986 102.48 107.61
NVS Novartis AG 0.04 NEW 3295 93.78 94.16
COP ConocoPhillips 0.04 NEW 3588 75.25 69.75
RDS.B Royal Dutch Shell 0.04 NEW 3852 79.70 0.00
EFA iShares MSCI EAFE Index Fund 0.04 -85.00% 4851 63.49 61.61
GOOG Google 0.04 NEW 463 632.83 509.96
IWB iShares Russell 1000 Index 0.04 -3.00% 2970 109.76 115.23
NTT Nippon Telegraph & Telephone 0.04 NEW 8872 30.77 26.42
KMP Kinder Morgan Energy Partners 0.04 NEW 2857 93.10 0.00
UWM ProShares Ultra Russell2000 0.04 +62.00% 4065 75.28 88.09
New York Reit 0.04 NEW 25339 10.30 0.00
BRK.B Berkshire Hathaway 0.03 -49.00% 1455 139.52 0.00
DD E.I. du Pont de Nemours & Company 0.03 NEW 3100 72.26 72.23
MO Altria 0.03 NEW 5426 45.71 50.80
WAG Walgreen Company 0.03 NEW 3515 58.61 73.74
SHPGY Shire 0.03 NEW 908 266.52 0.00
BIV Vanguard Intermediate-Term Bond ETF 0.03 -98.00% 2884 84.26 85.02
ING ING Groep N.V. 0.03 NEW 13596 13.97 13.17
SSO ProShares Ultra S&P500; 0.03 -8.00% 1962 117.23 129.52
DVY iShares Dow Jones Select Dividend 0.03 NEW 3017 73.25 79.68
VIG Vanguard Dividend Appreciation ETF 0.03 NEW 2708 77.18 81.25
TFI SPDR Nuveen Barclays Capital Municpl Bnd 0.03 NEW 8652 23.93 24.05
VCIT Vanguard Intermediate Tm Cpte Bd ETF 0.03 NEW 2460 85.37 86.25
Ishares High Dividend Equity F 0.03 NEW 3400 75.88 0.00
Ishares Inc core msci emkt 0.03 NEW 4134 51.52 0.00
Vodafone Group New Adr F 0.03 NEW 6547 32.99 0.00
Dws Municipal Income Trust 0.03 NEW 18050 13.19 0.00
BBVA Banco Bilbao Vizcaya Argentaria SA 0.02 NEW 11060 11.84 9.82
NJ Nidec Corporation 0.02 NEW 10373 16.97 17.16
Kemet Corporation Cmn 0.02 42711 4.12 0.00
HYT BlackRock Corporate High Yield Fund VI, 0.02 10137 11.84 11.22
Ares Capital Corp 5.125 2016 conv 0.01 NEW 46000 1.02 0.00
Psec Us conv 0.01 +275.00% 45000 1.02 0.00
Colony Finl Inc Sr Nt Conv 3.875% 01/15/21 B/e Dtd 01/28/14 0.01 +300.00% 48000 1.00 0.00
Pdl Biopharma Inc Sr Nt Conv 4.000% 02/01/18 B/e Dtd 02/12/14 0.01 +142.00% 46000 0.98 0.00
Vipshop Holdings Ltd - Ads bond 0.00 NEW 15000 1.20 0.00
Fluidigm Corporation convertible cor 0.00 NEW 32000 0.88 0.00