Advanced Equities Asset Management

First Allied Asset Management as of Sept. 30, 2013

Portfolio Holdings for First Allied Asset Management

First Allied Asset Management holds 164 positions in its portfolio as reported in the September 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
iShares Lehman MBS Bond Fund (MBB) 4.2 $28M 264k 106.16
iShares IBoxx $ Invest Grade Corp Bd (LQD) 4.0 $26M 231k 113.47
Vanguard Europe Pacific ETF (VEA) 3.8 $25M 640k 39.60
iShares MSCI ACWI Index Fund (ACWI) 2.8 $18M 339k 53.93
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 2.6 $18M 166k 105.23
Vanguard Emerging Markets ETF (VWO) 2.5 $17M 411k 40.11
iShares S&P Natl AMTFr Mncpl Bd (MUB) 1.9 $12M 119k 104.50
SPDR S&P MidCap 400 ETF (MDY) 1.9 $12M 54k 226.14
SPDR Gold Trust (GLD) 1.6 $11M 81k 129.42
PowerShares Preferred Portfolio 1.5 $10M 741k 13.67
Vanguard Malvern Fds strm infproidx (VTIP) 1.5 $10M 204k 49.15
WisdomTree Japan Total Dividend (DXJ) 1.5 $9.9M 207k 47.92
Chevron Corporation (CVX) 1.4 $9.6M 79k 121.62
Tortoise Energy Infrastructure 1.4 $9.3M 203k 45.89
iShares Lehman 7-10 Yr Treas. Bond (IEF) 1.4 $9.2M 91k 101.96
Vanguard Health Care ETF (VHT) 1.4 $9.2M 99k 93.09
Technology SPDR (XLK) 1.4 $9.1M 285k 31.97
Cohen & Steers infrastucture Fund (UTF) 1.3 $8.5M 429k 19.83
iShares S&P US Pref Stock Idx Fnd (PFF) 1.2 $8.2M 217k 37.91
BlackRock Global Energy & Resources Trus (BGR) 1.2 $8.3M 319k 25.87
Vanguard REIT ETF (VNQ) 1.2 $7.7M 116k 66.27
Vanguard Growth ETF (VUG) 1.1 $7.6M 90k 84.51
Putnam Master Int. Income (PIM) 1.1 $7.0M 1.4M 4.91
Wisdomtree Tr em lcl debt (ELD) 1.1 $7.0M 148k 47.07
Proshares Tr rafi lg sht 1.1 $7.0M 169k 41.39
iShares iBoxx $ High Yid Corp Bond (HYG) 1.0 $6.8M 76k 90.35
Seagate Technology Com Stk 1.0 $6.6M 150k 44.06
Cardinal Health (CAH) 1.0 $6.4M 122k 52.76
Emerson Electric (EMR) 1.0 $6.4M 98k 65.20
Travelers Companies (TRV) 0.9 $6.3M 74k 85.75
E.I. du Pont de Nemours & Company 0.9 $6.3M 105k 59.41
Ca 0.9 $6.2M 207k 30.04
Vanguard Intermediate-Term Bond ETF (BIV) 0.9 $6.2M 73k 85.30
Hasbro (HAS) 0.9 $6.0M 127k 47.62
At&t (T) 0.9 $6.0M 177k 34.13
Microchip Technology (MCHP) 0.9 $6.1M 149k 40.78
iShares S&P Global Telecommunicat. (IXP) 0.9 $6.1M 94k 64.81
Spdr Short-term High Yield mf (SJNK) 0.9 $6.0M 196k 30.59
Facebook Inc cl a (META) 0.9 $6.0M 120k 50.14
Merck & Co (MRK) 0.9 $5.9M 123k 47.98
Financial Select Sector SPDR (XLF) 0.9 $5.9M 297k 19.95
Claymore/BNY Mellon BRIC 0.9 $5.9M 168k 35.17
Apple (AAPL) 0.9 $5.8M 13k 450.41
International Business Machines (IBM) 0.9 $5.8M 31k 186.26
Corning Incorporated (GLW) 0.9 $5.8M 390k 14.77
General Electric Company 0.9 $5.8M 237k 24.25
Bank Of Montreal Cadcom (BMO) 0.8 $5.7M 84k 67.64
Teva Pharmaceutical Industries (TEVA) 0.8 $5.6M 148k 37.93
Wells Fargo & Company (WFC) 0.8 $5.6M 134k 41.51
Manulife Finl Corp (MFC) 0.8 $5.6M 333k 16.75
iShares MSCI Canada Index (EWC) 0.8 $5.6M 197k 28.30
Pfizer (PFE) 0.8 $5.5M 190k 28.91
iShares Lehman 1-3 Year Treas.Bond (SHY) 0.8 $5.5M 65k 84.55
Powershares Senior Loan Portfo mf 0.8 $5.5M 221k 25.01
BP (BP) 0.8 $5.4M 126k 42.52
Bk Nova Cad (BNS) 0.8 $5.4M 92k 58.13
PowerShares Insured Nati Muni Bond 0.8 $5.4M 233k 23.17
Bank of New York Mellon Corporation (BK) 0.8 $5.3M 174k 30.61
Deere & Company (DE) 0.8 $5.2M 64k 81.26
Bank of Hawaii Corporation (BOH) 0.8 $5.1M 94k 54.81
MFS Intermediate Income Trust (MIN) 0.8 $5.0M 942k 5.34
Tor Dom Bk Cad (TD) 0.7 $4.9M 54k 91.82
Diamond Offshore Drilling 0.7 $4.8M 77k 61.88
Baxter International (BAX) 0.7 $4.7M 72k 66.07
AstraZeneca (AZN) 0.7 $4.6M 88k 52.36
Vanguard European ETF (VGK) 0.6 $4.2M 77k 54.43
Vanguard Small-Cap Growth ETF (VBK) 0.6 $4.0M 35k 113.94
Boeing Company (BA) 0.6 $3.8M 33k 116.09
Safeway 0.5 $3.5M 109k 31.89
Procter & Gamble Company (PG) 0.5 $3.3M 44k 74.40
Eaton Vance Limited Duration Income Fund (EVV) 0.5 $3.2M 205k 15.43
AGL Resources 0.5 $3.0M 67k 45.65
iShares MSCI EAFE Index Fund (EFA) 0.5 $3.0M 48k 63.87
Eaton Vance Short Duration Diversified I (EVG) 0.5 $3.1M 203k 15.14
M.D.C. Holdings (MDC) 0.4 $2.9M 98k 30.00
LaSalle Hotel Properties 0.4 $2.8M 99k 28.82
NetApp (NTAP) 0.4 $2.8M 64k 42.87
Verizon Communications (VZ) 0.4 $2.8M 60k 47.00
Prudential Financial (PRU) 0.4 $2.8M 37k 74.76
iShares MSCI Emerging Markets Indx (EEM) 0.4 $2.7M 67k 40.39
GlaxoSmithKline 0.4 $2.7M 54k 50.01
Caterpillar (CAT) 0.4 $2.6M 32k 81.59
Coca-Cola Company (KO) 0.4 $2.7M 70k 38.42
Molson Coors Brewing Company (TAP) 0.4 $2.7M 53k 50.00
Wal-Mart Stores (WMT) 0.4 $2.6M 36k 71.81
Gannett 0.4 $2.6M 99k 26.16
Templeton Emerging Markets Income Fund (TEI) 0.4 $2.5M 178k 13.78
Northern Trust Corporation (NTRS) 0.4 $2.4M 45k 53.07
iShares S&P 500 Value Index (IVE) 0.4 $2.4M 31k 78.22
iShares Dow Jones Select Dividend (DVY) 0.4 $2.4M 36k 66.52
Transocean (RIG) 0.3 $2.3M 54k 43.30
Altera Corporation 0.3 $2.3M 63k 37.02
U.S. Bancorp (USB) 0.3 $2.3M 62k 36.82
Lazard Ltd-cl A shs a 0.3 $2.3M 63k 36.41
Exxon Mobil Corporation (XOM) 0.3 $2.1M 25k 85.84
Templeton Global Income Fund (SABA) 0.3 $2.2M 264k 8.16
iShrs S&P ShtTrm Ntnl AMTFr MncplBnf ETF (SUB) 0.2 $1.5M 14k 106.19
Chambers Str Pptys 0.2 $1.3M 150k 8.77
Microsoft Corporation (MSFT) 0.2 $1.3M 39k 33.14
Cisco Systems (CSCO) 0.2 $1.2M 52k 23.60
Quest Diagnostics Incorporated (DGX) 0.2 $1.2M 19k 62.00
JPMorgan Chase & Co. (JPM) 0.2 $1.1M 22k 51.56
EMC Corporation 0.2 $1.1M 43k 25.65
MetLife (MET) 0.2 $1.1M 24k 47.31
Walgreen Company 0.2 $1.1M 20k 53.76
St. Jude Medical 0.2 $1.0M 20k 53.46
Eli Lilly & Co. (LLY) 0.1 $978k 20k 50.23
Lockheed Martin Corporation (LMT) 0.1 $985k 7.7k 128.47
Fifth Third Ban (FITB) 0.1 $973k 54k 18.03
Intel Corporation (INTC) 0.1 $934k 41k 22.86
Vanguard Value ETF (VTV) 0.1 $922k 13k 69.95
3M Company (MMM) 0.1 $861k 7.2k 120.25
Oracle Corporation (ORCL) 0.1 $870k 26k 33.19
Chubb Corporation 0.1 $827k 9.3k 89.24
Johnson & Johnson (JNJ) 0.1 $820k 9.5k 86.59
Valero Energy Corporation (VLO) 0.1 $817k 24k 34.03
Abbvie (ABBV) 0.1 $818k 18k 44.77
Cole Real Estate Invts 0.1 $793k 65k 12.27
Western Digital (WDC) 0.1 $703k 11k 64.12
AmerisourceBergen (COR) 0.1 $738k 12k 61.14
Baker Hughes Incorporated 0.1 $737k 15k 49.25
Hess (HES) 0.1 $726k 9.3k 78.11
Pepsi (PEP) 0.1 $740k 9.3k 79.87
General Dynamics Corporation (GD) 0.1 $745k 8.6k 87.05
Retail Properties Of America 0.1 $732k 53k 13.78
Abbott Laboratories (ABT) 0.1 $673k 20k 33.01
AGCO Corporation (AGCO) 0.1 $642k 11k 60.89
State Street Corporation (STT) 0.1 $570k 8.7k 65.53
Regeneron Pharmaceuticals (REGN) 0.1 $594k 1.9k 312.63
Hewlett-Packard Company 0.1 $625k 30k 21.09
Gap (GPS) 0.1 $611k 15k 40.70
CF Industries Holdings (CF) 0.1 $566k 2.7k 208.01
iShares Barclays TIPS Bond Fund (TIP) 0.1 $597k 5.3k 112.49
Ishares Tr fltg rate nt (FLOT) 0.1 $568k 11k 50.94
Expedia (EXPE) 0.1 $586k 11k 52.66
Ensco Plc Shs Class A 0.1 $580k 11k 54.19
Omni (OMC) 0.1 $546k 8.6k 63.63
PPL Corporation (PPL) 0.1 $561k 19k 30.31
iShares Russell 2000 Index (IWM) 0.1 $526k 4.9k 106.80
First Republic Bank/san F (FRCB) 0.1 $549k 12k 46.76
iShares Lehman 3-7 Yr Treasury Bond (IEI) 0.1 $555k 4.6k 121.44
IndexIQ IQ ARB Merger Arbitrage ETF (MNA) 0.1 $507k 19k 26.70
Ishares Tr eafe min volat (EFAV) 0.1 $561k 9.2k 60.89
Energizer Holdings 0.1 $491k 5.4k 91.23
Macy's (M) 0.1 $490k 11k 43.43
Key (KEY) 0.1 $448k 39k 11.51
Wisdomtree Trust futre strat (WTMF) 0.1 $495k 12k 41.56
Murphy Oil Corporation (MUR) 0.1 $368k 6.1k 60.17
SPDR S&P International Dividend (DWX) 0.1 $373k 8.0k 46.62
Indexiq Etf Tr hdg mactrk etf 0.1 $413k 16k 25.80
Berkshire Hathaway (BRK.B) 0.1 $329k 2.9k 113.45
Raytheon Company 0.0 $240k 3.1k 76.31
Philip Morris International (PM) 0.0 $242k 2.8k 85.82
iShares Russell 1000 Index (IWB) 0.0 $283k 3.0k 94.05
ProShares Ultra Russell2000 (UWM) 0.0 $270k 3.7k 72.89
SPDR Barclays Capital High Yield B 0.0 $259k 6.5k 39.72
Lkd Barclays Bk Plc Ipath S&p Etn etf 0.0 $241k 13k 18.82
Ishares Inc em mkt min vol (EEMV) 0.0 $247k 4.2k 58.77
CVS Caremark Corporation (CVS) 0.0 $223k 3.8k 59.42
CenterPoint Energy (CNP) 0.0 $207k 8.6k 24.03
DWS Municipal Income Trust 0.0 $223k 18k 12.35
Ssga Active Etf Tr blkstn gsosrln (SRLN) 0.0 $214k 4.3k 49.72
MFS Charter Income Trust (MCR) 0.0 $152k 17k 8.85
BlackRock Corporate High Yield Fund 0.0 $122k 17k 7.18