Baker Avenue Asset Management

Baker Avenue Asset Management as of Sept. 30, 2013

Portfolio Holdings for Baker Avenue Asset Management

Baker Avenue Asset Management holds 229 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 MSCI EAFE Index Fund (EFA) 8.5 $40M 631k 63.80
Vanguard Total Stock Market ETF (VTI) 7.0 $33M 380k 87.65
Vanguard Total Bond Market ETF (BND) 3.5 $17M 204k 80.88
iShares S&P 500 Growth Index (IVW) 3.0 $14M 158k 89.36
Vanguard Short Term Corporate Bond ETF (VCSH) 2.8 $13M 167k 79.60
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 2.4 $12M 110k 105.28
iShares Gold Trust 1.9 $9.2M 713k 12.89
Barclays Bk Plc Ipspgs Ttl Etn etf 1.8 $8.8M 268k 32.75
SPDR S&P MidCap 400 ETF (MDY) 1.7 $8.1M 36k 226.32
First Trust Large Cap Core Alp Fnd (FEX) 1.6 $7.6M 203k 37.51
iShares MSCI EAFE Value Index (EFV) 1.6 $7.5M 138k 54.41
ISHARES TR MSCI Small Cap msci small cap (SCZ) 1.6 $7.4M 153k 48.51
iShares Dow Jones EPAC Sel Div Ind (IDV) 1.6 $7.4M 203k 36.26
iShares Russell 2000 Growth Index (IWO) 1.5 $7.3M 58k 125.83
Pimco Total Return Etf totl (BOND) 1.5 $7.3M 69k 105.87
SPDR Barclays Capital Convertible SecETF (CWB) 1.5 $7.1M 156k 45.20
SPDR S&P Dividend (SDY) 1.4 $6.6M 96k 68.94
Apple (AAPL) 1.4 $6.5M 14k 476.76
Vanguard FTSE All-World ex-US ETF (VEU) 1.2 $6.0M 123k 48.60
PowerShares DWA Technical Ldrs Pf 1.0 $4.9M 146k 33.85
PowerShares QQQ Trust, Series 1 1.0 $4.7M 60k 78.89
Consumer Staples Select Sect. SPDR (XLP) 1.0 $4.7M 117k 39.80
iShares S&P NA Tec.-SW. Idx. Fund (IGV) 1.0 $4.6M 61k 76.28
National-Oilwell Var 0.9 $4.5M 58k 78.12
MSCI Europe Financials Sector Index Fund (EUFN) 0.9 $4.5M 197k 22.78
First Tr Exchange Traded Fd nasd tech div (TDIV) 0.9 $4.5M 199k 22.54
iShares Russell 2000 Index (IWM) 0.9 $4.2M 39k 106.61
Ford Motor Company (F) 0.9 $4.1M 241k 16.87
Monsanto Company 0.8 $4.1M 39k 104.36
Financial Select Sector SPDR (XLF) 0.8 $4.0M 202k 19.90
Cameron International Corporation 0.8 $3.9M 67k 58.37
Stifel Financial (SF) 0.8 $3.8M 93k 41.22
Telefonaktiebolaget LM Ericsson (ERIC) 0.8 $3.8M 285k 13.35
Pimco Etf Tr 0-5 high yield (HYS) 0.8 $3.8M 37k 104.91
Citrix Systems 0.8 $3.7M 53k 70.61
United Technologies Corporation 0.8 $3.7M 34k 107.80
Eagle Materials (EXP) 0.8 $3.6M 49k 72.55
Ishares Tr fltg rate nt (FLOT) 0.7 $3.5M 69k 50.68
Goldman Sachs (GS) 0.7 $3.5M 22k 158.21
Royal Caribbean Cruises (RCL) 0.7 $3.5M 91k 38.28
Companhia de Bebidas das Americas 0.7 $3.2M 84k 38.35
Novartis (NVS) 0.7 $3.2M 42k 76.70
Actavis 0.7 $3.2M 22k 144.01
SPDR S&P Homebuilders (XHB) 0.7 $3.1M 102k 30.60
Powershares Senior Loan Portfo mf 0.7 $3.1M 124k 24.68
Poly 0.6 $3.0M 278k 10.92
iShares iBoxx $ High Yid Corp Bond (HYG) 0.6 $3.1M 33k 91.58
SM Energy (SM) 0.6 $3.0M 39k 77.20
Amazon (AMZN) 0.6 $2.9M 9.4k 312.66
Ingersoll-rand Co Ltd-cl A 0.6 $2.9M 45k 64.95
Jabil Circuit (JBL) 0.6 $2.9M 134k 21.68
W.W. Grainger (GWW) 0.6 $2.8M 11k 261.73
iShares Dow Jones US Basic Mater. (IYM) 0.6 $2.8M 37k 73.97
Adtran 0.6 $2.7M 101k 26.64
Celgene Corporation 0.6 $2.7M 18k 154.11
Noble Energy 0.6 $2.7M 40k 67.02
Vanguard Total World Stock Idx (VT) 0.6 $2.6M 47k 55.54
Best Buy (BBY) 0.5 $2.6M 69k 37.50
Regions Financial Corporation (RF) 0.5 $2.6M 276k 9.26
Lear Corporation (LEA) 0.5 $2.5M 35k 71.56
Corning Incorporated (GLW) 0.5 $2.5M 169k 14.59
Cummins (CMI) 0.5 $2.5M 19k 132.86
Omnicare 0.5 $2.4M 44k 55.50
Xerox Corporation 0.5 $2.4M 233k 10.29
Canadian Pacific Railway 0.5 $2.4M 20k 123.29
Lam Research Corporation (LRCX) 0.5 $2.4M 46k 51.20
Volcano Corporation 0.4 $2.0M 84k 23.95
Microsoft Corporation (MSFT) 0.4 $2.0M 59k 33.28
Bank of America Corporation (BAC) 0.4 $1.9M 140k 13.80
Freeport-McMoRan Copper & Gold (FCX) 0.4 $1.9M 56k 33.08
Suntrust Banks Inc $1.00 Par Cmn 0.4 $1.8M 55k 32.43
Cisco Systems (CSCO) 0.3 $1.7M 71k 23.44
Amgen (AMGN) 0.3 $1.6M 14k 111.93
Schlumberger (SLB) 0.3 $1.6M 19k 88.34
EMC Corporation 0.3 $1.6M 62k 25.55
Applied Materials (AMAT) 0.3 $1.6M 89k 17.53
Spdr Series Trust brcly em locl (EBND) 0.3 $1.5M 50k 30.24
Morgan Stanley (MS) 0.3 $1.4M 53k 26.95
General Motors Company (GM) 0.3 $1.4M 40k 35.96
General Electric Company 0.3 $1.4M 58k 23.89
Anadarko Petroleum Corporation 0.3 $1.4M 15k 92.96
Southern Company (SO) 0.3 $1.4M 34k 41.19
Safeway 0.3 $1.3M 41k 31.98
City National Corporation 0.3 $1.4M 20k 66.67
iShares Barclays 20+ Yr Treas.Bond (TLT) 0.3 $1.3M 13k 106.40
Johnson & Johnson (JNJ) 0.3 $1.3M 15k 86.70
SPDR KBW Regional Banking (KRE) 0.3 $1.3M 36k 35.64
Caterpillar (CAT) 0.3 $1.2M 15k 83.39
Nucor Corporation (NUE) 0.3 $1.2M 25k 49.04
Vanguard Short-Term Bond ETF (BSV) 0.3 $1.2M 16k 80.38
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.3 $1.3M 12k 109.01
Chevron Corporation (CVX) 0.2 $1.2M 10k 121.52
Sprott Physical Gold Trust (PHYS) 0.2 $1.2M 109k 11.02
American International (AIG) 0.2 $1.1M 23k 48.63
At&t (T) 0.2 $1.1M 32k 33.81
iShares S&P 500 Index (IVV) 0.2 $1.1M 6.6k 168.92
Bank of New York Mellon Corporation (BK) 0.2 $1.0M 34k 30.20
Hewlett-Packard Company 0.2 $1.0M 48k 20.98
Qualcomm (QCOM) 0.2 $998k 15k 67.31
Merck & Co (MRK) 0.2 $966k 20k 47.59
iShares Russell 1000 Value Index (IWD) 0.2 $952k 11k 86.22
Technology SPDR (XLK) 0.2 $936k 29k 32.04
iShares Cohen & Steers Realty Maj. (ICF) 0.2 $955k 12k 76.90
Textron (TXT) 0.2 $898k 33k 27.62
Rydex Russell Top 50 ETF 0.2 $896k 7.6k 117.14
Energy Select Sector SPDR (XLE) 0.2 $851k 10k 82.89
Vanguard Small-Cap Value ETF (VBR) 0.2 $874k 9.7k 90.25
PowerShares High Yld. Dividend Achv 0.2 $852k 77k 11.04
Synergy Res Corp 0.2 $863k 89k 9.75
iShares Lehman Aggregate Bond (AGG) 0.2 $811k 7.6k 107.15
iShares Russell 2000 Value Index (IWN) 0.2 $802k 8.7k 91.67
Industrial SPDR (XLI) 0.1 $731k 16k 46.38
Fortinet (FTNT) 0.1 $716k 35k 20.27
Vanguard REIT ETF (VNQ) 0.1 $728k 11k 66.18
Procera Networks 0.1 $736k 48k 15.49
Pandora Media 0.1 $704k 28k 25.12
iShares IBoxx $ Invest Grade Corp Bd (LQD) 0.1 $655k 5.8k 113.52
Linkedin Corp 0.1 $662k 2.7k 245.91
iShares FTSE/Xinhua China 25 Index (FXI) 0.1 $575k 16k 37.10
J.C. Penney Company 0.1 $559k 64k 8.80
Amarin Corporation (AMRN) 0.1 $552k 87k 6.32
ETFS Gold Trust 0.1 $563k 4.3k 130.78
iShares NASDAQ Biotechnology Index (IBB) 0.1 $524k 2.5k 209.60
Imperva 0.1 $528k 13k 42.04
DST Systems 0.1 $483k 6.4k 75.47
United Rentals (URI) 0.1 $472k 8.1k 58.27
Brightcove (BCOV) 0.1 $460k 41k 11.25
Health Care SPDR (XLV) 0.1 $419k 8.3k 50.57
EOG Resources (EOG) 0.1 $447k 2.6k 169.32
Vanguard Small-Cap ETF (VB) 0.1 $451k 4.4k 102.59
iShares Barclays Inter Crd Bd Fund ETF) (IGIB) 0.1 $437k 4.1k 107.90
Calix (CALX) 0.1 $409k 32k 12.72
Servicesource 0.1 $441k 37k 12.07
Responsys 0.1 $448k 27k 16.53
Tronox 0.1 $429k 18k 24.46
Costco Wholesale Corporation (COST) 0.1 $370k 3.2k 115.12
Atmel Corporation 0.1 $379k 51k 7.43
Wabash National Corporation (WNC) 0.1 $368k 32k 11.68
iGATE Corporation 0.1 $390k 14k 27.74
Chicago Bridge & Iron Company 0.1 $373k 5.5k 67.82
iShares Dow Jones US Real Estate (IYR) 0.1 $385k 6.0k 63.74
ETFS Silver Trust 0.1 $376k 18k 21.38
Palo Alto Networks (PANW) 0.1 $367k 8.0k 45.88
Cognizant Technology Solutions (CTSH) 0.1 $328k 4.0k 82.10
Intel Corporation (INTC) 0.1 $335k 15k 22.94
Sotheby's 0.1 $344k 7.0k 49.14
Halliburton Company (HAL) 0.1 $351k 7.3k 48.11
Agilent Technologies Inc C ommon (A) 0.1 $330k 6.4k 51.27
Fifth Third Ban (FITB) 0.1 $340k 19k 18.04
Skechers USA (SKX) 0.1 $311k 10k 31.10
ARM Holdings 0.1 $331k 6.9k 48.18
United States Steel Corporation (X) 0.1 $313k 15k 20.59
CHECK POINT SOFTWARE Technolog Com Stk (CHKP) 0.1 $331k 5.9k 56.54
Rentech 0.1 $337k 170k 1.98
Weatherford International Lt reg 0.1 $337k 22k 15.35
Precidian Etfs Tr cmn 0.1 $353k 20k 17.65
Groupon 0.1 $354k 32k 11.22
Cit 0.1 $288k 5.9k 48.77
Harley-Davidson (HOG) 0.1 $299k 4.7k 64.30
Eastman Chemical Company (EMN) 0.1 $281k 3.6k 77.84
Chesapeake Energy Corporation 0.1 $291k 11k 25.88
SPDR Gold Trust (GLD) 0.1 $273k 2.1k 128.17
Broadcom Corporation 0.1 $290k 11k 25.98
Helix Energy Solutions (HLX) 0.1 $266k 11k 25.33
SanDisk Corporation 0.1 $297k 5.0k 59.57
CoreLogic 0.1 $296k 11k 27.01
iShares S&P MidCap 400 Growth (IJK) 0.1 $305k 2.2k 139.33
Vanguard FTSE All Wld Ex USSml Cap (VSS) 0.1 $292k 2.9k 99.49
Solazyme 0.1 $275k 26k 10.78
Jazz Pharmaceuticals (JAZZ) 0.1 $304k 3.3k 92.12
Proofpoint 0.1 $289k 9.0k 32.11
Catamaran 0.1 $280k 6.1k 45.90
Genworth Financial (GNW) 0.1 $260k 20k 12.82
Leucadia National 0.1 $247k 9.1k 27.20
Starwood Property Trust (STWD) 0.1 $226k 9.4k 23.95
MGIC Investment (MTG) 0.1 $243k 33k 7.28
IAC/InterActive 0.1 $243k 4.5k 54.61
Crocs (CROX) 0.1 $238k 18k 13.60
Emerson Electric (EMR) 0.1 $232k 3.6k 64.62
Blount International 0.1 $236k 20k 12.10
Mylan 0.1 $256k 6.7k 38.19
Marsh & McLennan Companies (MMC) 0.1 $255k 5.9k 43.52
Praxair 0.1 $260k 2.2k 120.26
Allscripts Healthcare Solutions (MDRX) 0.1 $253k 17k 14.88
Marvell Technology Group 0.1 $230k 20k 11.50
Commerce Bancshares (CBSH) 0.1 $219k 5.0k 43.80
Centene Corporation (CNC) 0.1 $256k 4.0k 64.00
Cree 0.1 $256k 4.3k 60.24
Albemarle Corporation (ALB) 0.1 $259k 4.1k 62.86
Triumph (TGI) 0.1 $231k 3.3k 70.08
Teradyne (TER) 0.1 $231k 14k 16.50
First Trust Mid Cap Core Alpha Fnd (FNX) 0.1 $248k 5.4k 45.93
First Trust Small Cap Cr AlphaDEX (FYX) 0.1 $217k 5.0k 43.84
iShares S&P MidCap 400 Value Index (IJJ) 0.1 $227k 2.1k 108.10
CurrencyShares Canadian Dollar Trust 0.1 $217k 2.3k 96.44
Sterling Finl Corp Wash 0.1 $233k 8.1k 28.69
Banner Corp (BANR) 0.1 $232k 6.1k 38.22
American Express Company (AXP) 0.0 $213k 2.8k 75.53
Titan International (TWI) 0.0 $185k 13k 14.64
Banco Santander (SAN) 0.0 $204k 25k 8.16
Alcatel-Lucent 0.0 $178k 50k 3.53
iShares FTSE KLD Select Scil Idx (SUSA) 0.0 $207k 2.9k 70.65
Vanguard European ETF (VGK) 0.0 $207k 3.8k 54.47
WisdomTree Dreyfus Chinese Yuan 0.0 $204k 7.8k 26.29
Mosaic (MOS) 0.0 $210k 4.9k 42.94
United Cmnty Bks Ga Cap Stk (UCBI) 0.0 $204k 14k 15.02
Halcon Resources 0.0 $167k 38k 4.42
Emcore Corp (EMKR) 0.0 $213k 48k 4.49
Ruckus Wireless 0.0 $192k 11k 16.84
Himax Technologies (HIMX) 0.0 $150k 15k 10.00
Nokia Corporation (NOK) 0.0 $144k 22k 6.50
Banco Itau Holding Financeira (ITUB) 0.0 $166k 12k 14.10
Neurocrine Biosciences (NBIX) 0.0 $147k 13k 11.31
ardmore Shipping (ASC) 0.0 $147k 12k 12.11
Annaly Capital Management 0.0 $116k 10k 11.60
Advanced Micro Devices (AMD) 0.0 $76k 20k 3.80
Quantum Corporation 0.0 $104k 75k 1.39
ON Semiconductor (ON) 0.0 $88k 12k 7.33
Sirius XM Radio 0.0 $78k 20k 3.90
Accuray Incorporated (ARAY) 0.0 $74k 10k 7.40
Dreyfus Municipal Income 0.0 $104k 12k 8.67
Sprott Physical Silver Tr tr unit (PSLV) 0.0 $94k 11k 8.74
Verisign Inc sdcv 3.250% 8/1 0.0 $31k 20k 1.55
Intel Corp sdcv 0.0 $54k 50k 1.08
Harvest Natural Resources 0.0 $54k 10k 5.40
Hansen Medical 0.0 $43k 24k 1.79
Moly 0.0 $66k 10k 6.60
Agco Corp note 1.250%12/1 0.0 $30k 20k 1.50
Suntech Pwr Hldgs Co Ltd note 3.000% 3/1 0.0 $8.0k 32k 0.25