Advanced Equities Asset Management

First Allied Asset Management as of Dec. 31, 2013

Portfolio Holdings for First Allied Asset Management

First Allied Asset Management holds 174 positions in its portfolio as reported in the December 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
iShares Lehman MBS Bond Fund (MBB) 3.7 $26M 247k 105.00
Vanguard Europe Pacific ETF (VEA) 3.6 $25M 601k 41.71
iShares IBoxx $ Invest Grade Corp Bd (LQD) 3.4 $24M 208k 114.39
iShares MSCI ACWI Index Fund (ACWI) 2.6 $18M 315k 57.64
Vanguard Emerging Markets ETF (VWO) 2.3 $16M 382k 41.12
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 2.2 $16M 148k 105.39
Technology SPDR (XLK) 2.0 $14M 385k 35.78
SPDR S&P MidCap 400 ETF (MDY) 1.8 $13M 52k 244.23
iShares S&P US Pref Stock Idx Fnd (PFF) 1.6 $11M 308k 36.73
iShares S&P Natl AMTFr Mncpl Bd (MUB) 1.5 $11M 102k 103.71
Spdr Short-term High Yield mf (SJNK) 1.5 $11M 344k 30.88
WisdomTree Japan Total Dividend (DXJ) 1.5 $10M 203k 50.82
Chevron Corporation (CVX) 1.4 $10M 80k 124.84
Tortoise Energy Infrastructure 1.4 $9.9M 209k 47.65
Vanguard Malvern Fds strm infproidx (VTIP) 1.4 $9.7M 199k 49.06
Cohen & Steers infrastucture Fund (UTF) 1.3 $9.2M 446k 20.69
Vanguard Health Care ETF (VHT) 1.3 $9.0M 89k 101.13
iShares Lehman 7-10 Yr Treas. Bond (IEF) 1.2 $8.5M 86k 99.14
Vanguard FTSE All-World ex-US ETF (VEU) 1.2 $8.2M 163k 50.71
BlackRock Global Energy & Resources Trus (BGR) 1.2 $8.2M 338k 24.39
Apple (AAPL) 1.2 $8.2M 14k 574.22
Vanguard Growth ETF (VUG) 1.1 $7.4M 79k 92.96
Allegheny Technologies Incorporated (ATI) 1.0 $7.1M 200k 35.78
Hasbro (HAS) 1.0 $7.1M 128k 55.45
Corning Incorporated (GLW) 1.0 $7.1M 396k 17.94
E.I. du Pont de Nemours & Company 1.0 $7.0M 107k 65.44
Emerson Electric (EMR) 1.0 $7.0M 99k 70.65
Ca 1.0 $7.0M 207k 33.90
Microchip Technology (MCHP) 1.0 $6.9M 153k 45.15
General Electric Company 1.0 $6.9M 244k 28.28
Manulife Finl Corp (MFC) 1.0 $6.9M 345k 19.89
Travelers Companies (TRV) 1.0 $6.8M 74k 91.83
iShares S&P Global Telecommunicat. (IXP) 1.0 $6.6M 96k 69.00
Merck & Co (MRK) 0.9 $6.5M 128k 50.84
Marathon Petroleum Corp (MPC) 0.9 $6.5M 71k 92.05
Facebook Inc cl a (META) 0.9 $6.5M 120k 54.65
Bank of New York Mellon Corporation (BK) 0.9 $6.5M 182k 35.42
Dow Chemical Company 0.9 $6.5M 145k 44.70
iShares iBoxx $ High Yid Corp Bond (HYG) 0.9 $6.5M 71k 91.45
BP (BP) 0.9 $6.4M 131k 48.95
Wells Fargo & Company (WFC) 0.9 $6.4M 140k 45.58
Vanguard Short Term Corporate Bond ETF (VCSH) 0.9 $6.4M 80k 79.98
Ares Capital Corporation (ARCC) 0.9 $6.3M 353k 17.96
Digital Realty Trust (DLR) 0.9 $6.3M 126k 49.71
Financial Select Sector SPDR (XLF) 0.9 $6.3M 287k 21.76
SPDR Barclays Cptl Shrt Term Corp Bd ETF (SPSB) 0.9 $6.2M 202k 31.01
Proshares Tr rafi lg sht 0.9 $6.2M 146k 42.54
Deere & Company (DE) 0.9 $6.2M 68k 91.78
Transcanada Corp 0.9 $6.2M 135k 46.25
Bk Nova Cad (BNS) 0.9 $6.2M 96k 63.87
Pfizer (PFE) 0.9 $6.1M 198k 30.95
HCP 0.9 $6.1M 166k 36.91
iShares MSCI Canada Index (EWC) 0.9 $6.1M 209k 29.11
Dr Pepper Snapple 0.9 $6.1M 123k 49.18
Powershares Senior Loan Portfo mf 0.9 $6.0M 238k 25.17
Bank Of Montreal Cadcom (BMO) 0.8 $5.9M 87k 67.74
At&t (T) 0.8 $5.9M 165k 35.48
SPDR Gold Trust (GLD) 0.8 $5.9M 51k 115.74
Noble Corp Plc equity 0.8 $5.8M 154k 37.78
Tor Dom Bk Cad (TD) 0.8 $5.5M 58k 95.86
iShares Lehman 1-3 Year Treas.Bond (SHY) 0.8 $5.5M 65k 84.48
Baxter International (BAX) 0.8 $5.4M 77k 70.05
AstraZeneca (AZN) 0.8 $5.4M 91k 59.68
Vanguard European ETF (VGK) 0.6 $4.4M 75k 58.77
PowerShares Insured Nati Muni Bond 0.6 $4.4M 188k 23.11
Vanguard Small-Cap Growth ETF (VBK) 0.6 $4.1M 33k 121.81
iShares MSCI BRIC Index Fund (BKF) 0.6 $4.0M 106k 37.61
iShares Gold Trust 0.6 $3.9M 334k 11.72
Procter & Gamble Company (PG) 0.5 $3.7M 47k 79.56
Prudential Financial (PRU) 0.5 $3.3M 37k 89.90
Wisdomtree Tr em lcl debt (ELD) 0.5 $3.3M 73k 45.93
Gannett 0.5 $3.1M 108k 28.98
M.D.C. Holdings 0.5 $3.1M 98k 32.00
PowerShares Emerging Markets Sovere 0.4 $3.1M 114k 26.97
Molson Coors Brewing Company (TAP) 0.4 $3.0M 53k 56.72
Juniper Networks (JNPR) 0.4 $3.0M 129k 22.84
iShares S&P/Citi Intl Treasury Bond (IGOV) 0.4 $3.0M 29k 101.88
Schlumberger (SLB) 0.4 $2.9M 32k 90.02
iShares MSCI EAFE Index Fund (EFA) 0.4 $2.9M 44k 67.12
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.4 $2.9M 28k 106.20
Health Care REIT 0.4 $2.8M 54k 53.05
GlaxoSmithKline 0.4 $2.9M 54k 52.91
VMware 0.4 $2.9M 32k 90.04
iShares MSCI Emerging Markets Indx (EEM) 0.4 $2.8M 67k 41.42
Verizon Communications (VZ) 0.4 $2.8M 56k 49.76
Northern Trust Corporation (NTRS) 0.4 $2.7M 45k 61.00
Nordstrom 0.4 $2.7M 45k 60.94
Hollyfrontier Corp 0.4 $2.7M 54k 49.96
PNC Financial Services (PNC) 0.4 $2.6M 33k 79.34
NetApp (NTAP) 0.4 $2.7M 66k 40.50
Transocean (RIG) 0.4 $2.7M 54k 49.60
U.S. Bancorp (USB) 0.4 $2.5M 64k 40.02
iShares Dow Jones Select Dividend (DVY) 0.4 $2.5M 35k 71.00
Exxon Mobil Corporation (XOM) 0.3 $2.4M 24k 101.73
iShares S&P 500 Value Index (IVE) 0.3 $2.3M 27k 85.86
iShrs S&P ShtTrm Ntnl AMTFr MncplBnf ETF (SUB) 0.2 $1.7M 16k 106.21
Claymore/BNY Mellon BRIC 0.2 $1.5M 44k 34.46
Microsoft Corporation (MSFT) 0.2 $1.5M 40k 37.48
Ishares Tr eafe min volat (EFAV) 0.2 $1.5M 24k 61.54
JPMorgan Chase & Co. (JPM) 0.2 $1.3M 23k 59.05
MetLife (MET) 0.2 $1.3M 25k 54.38
Cisco Systems (CSCO) 0.2 $1.2M 54k 22.57
Valero Energy Corporation (VLO) 0.2 $1.2M 24k 50.16
Lockheed Martin Corporation (LMT) 0.2 $1.2M 7.7k 148.72
Walgreen Company 0.2 $1.2M 20k 57.69
Fifth Third Ban (FITB) 0.2 $1.2M 55k 21.10
St. Jude Medical 0.2 $1.2M 19k 61.56
Intel Corporation (INTC) 0.2 $1.1M 42k 26.07
EMC Corporation 0.2 $1.1M 45k 25.25
Eli Lilly & Co. (LLY) 0.1 $1.0M 20k 50.98
3M Company (MMM) 0.1 $1.0M 7.3k 142.09
Oracle Corporation (ORCL) 0.1 $1.0M 27k 37.72
Western Digital (WDC) 0.1 $946k 11k 84.12
Abbvie (ABBV) 0.1 $979k 19k 52.86
Chubb Corporation 0.1 $918k 9.5k 96.36
Vanguard Value ETF (VTV) 0.1 $900k 12k 76.62
Abbott Laboratories (ABT) 0.1 $834k 22k 38.28
Johnson & Johnson (JNJ) 0.1 $839k 9.1k 91.87
AmerisourceBergen (COR) 0.1 $857k 12k 70.52
Baker Hughes Incorporated 0.1 $830k 15k 54.99
Hess (HES) 0.1 $806k 9.7k 82.90
Hewlett-Packard Company 0.1 $867k 31k 27.98
Pepsi (PEP) 0.1 $818k 10k 81.26
General Dynamics Corporation (GD) 0.1 $836k 8.8k 95.01
Energizer Holdings 0.1 $742k 6.9k 108.18
IndexIQ IQ ARB Merger Arbitrage ETF (MNA) 0.1 $736k 28k 26.53
Expedia (EXPE) 0.1 $768k 11k 68.91
State Street Corporation (STT) 0.1 $678k 9.2k 73.91
CF Industries Holdings (CF) 0.1 $670k 2.9k 229.06
First Republic Bank/san F (FRCB) 0.1 $687k 13k 52.31
iShares Barclays Agency Bond Fund (AGZ) 0.1 $700k 6.3k 110.50
Wisdomtree Trust futre strat (WTMF) 0.1 $674k 16k 41.49
Laboratory Corp. of America Holdings 0.1 $633k 6.9k 91.85
AGCO Corporation (AGCO) 0.1 $652k 11k 59.76
Macy's (M) 0.1 $626k 12k 53.37
Gap (GAP) 0.1 $643k 16k 39.45
Omni (OMC) 0.1 $655k 8.8k 74.41
PPL Corporation (PPL) 0.1 $604k 20k 30.15
F5 Networks (FFIV) 0.1 $655k 7.2k 91.44
WisdomTree Emerging Markets Eq (DEM) 0.1 $625k 12k 51.00
Ishares Tr fltg rate nt (FLOT) 0.1 $653k 13k 51.00
Ensco Plc Shs Class A 0.1 $633k 11k 57.24
Regeneron Pharmaceuticals (REGN) 0.1 $523k 1.9k 275.26
iShares S&P 500 Index (IVV) 0.1 $566k 3.1k 185.15
Key (KEY) 0.1 $543k 41k 13.34
iShares S&P MidCap 400 Index (IJH) 0.1 $563k 4.2k 133.35
Indexiq Etf Tr hdg mactrk etf 0.1 $558k 22k 25.76
Murphy Oil Corporation (MUR) 0.1 $468k 7.3k 64.04
Quest Diagnostics Incorporated (DGX) 0.1 $485k 9.1k 53.57
iShares Barclays TIPS Bond Fund (TIP) 0.1 $472k 4.3k 110.46
Ishares Inc em mkt min vol (EEMV) 0.1 $491k 8.4k 58.36
Retail Properties Of America 0.1 $466k 37k 12.74
Powershares Etf Tr Ii s^p500 low vol 0.1 $442k 13k 33.20
Chambers Str Pptys 0.1 $430k 56k 7.66
Berkshire Hathaway (BRK.B) 0.1 $344k 2.9k 118.62
Cardinal Health (CAH) 0.1 $321k 4.8k 66.76
iShares Russell 1000 Index (IWB) 0.1 $342k 3.3k 103.35
ProShares Ultra S&P500 (SSO) 0.1 $321k 3.1k 102.59
Vanguard Mid-Cap ETF (VO) 0.1 $356k 3.3k 109.44
SPDR Barclays Capital High Yield B 0.1 $367k 9.1k 40.53
SPDR S&P International Dividend (DWX) 0.1 $380k 8.0k 47.50
Cole Real Estate Invts 0.1 $335k 24k 14.04
Raytheon Company 0.0 $272k 3.0k 90.31
CVS Caremark Corporation (CVS) 0.0 $274k 3.7k 74.05
International Business Machines (IBM) 0.0 $306k 1.6k 186.70
WisdomTree MidCap Dividend Fund (DON) 0.0 $290k 3.9k 74.57
ProShares Ultra MidCap400 (MVV) 0.0 $306k 2.4k 126.81
Vodafone 0.0 $200k 5.1k 39.15
DWS Municipal Income Trust 0.0 $216k 18k 11.97
iShares S&P Growth Allocation Fund (AOR) 0.0 $205k 5.3k 38.54
Ssga Active Etf Tr blkstn gsosrln (SRLN) 0.0 $215k 4.3k 49.95
BlackRock Corporate High Yield Fund VI (HYT) 0.0 $123k 10k 12.13
Ares Capital Corp 5.125 2016 conv 0.0 $14k 13k 1.08
Psec Us conv 0.0 $23k 22k 1.05