Advanced Equities Asset Management

First Allied Asset Management as of June 30, 2014

Portfolio Holdings for First Allied Asset Management

First Allied Asset Management holds 176 positions in its portfolio as reported in the June 2014 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Ishares Iboxx Inv Cp Etf (LQD) 3.3 $22M 186k 119.54
Ishares Mbs Etf (MBB) 2.8 $19M 176k 108.31
Vanguard Tax Managed Intl Ftse Dev Mkt Etf (VEA) 2.2 $15M 359k 42.58
Ishares U.s. Pfd Stk Etf (PFF) 2.0 $13M 335k 39.78
Spdr Ser Tr Sht Trm Hgh Yld (SJNK) 1.7 $12M 384k 30.95
Vanguard Malvern Fds Strm Infproidx (VTIP) 1.7 $12M 235k 50.16
Powershares Etf Trust Ii Dwa Devmktmom Pt 1.6 $11M 419k 26.40
Tortoise Energy Infrastructure 1.6 $11M 220k 49.45
Cohen & Steers infrastucture Fund (UTF) 1.5 $10M 417k 24.51
Vanguard Intl Equity Index F Ftse Emr Mkt Etf (VWO) 1.5 $9.9M 230k 43.13
Powershares Etf Trust Ii Senior Ln Port 1.5 $9.9M 396k 25.01
Vanguard Index Fds Reit Etf (VNQ) 1.4 $9.7M 129k 74.83
Ishares Nat Amt Free Bd (MUB) 1.4 $9.5M 87k 108.64
Chevron Corporation (CVX) 1.4 $9.3M 72k 130.62
Wisdomtree Tr Em Lcl Debt Fd (ELD) 1.3 $8.8M 186k 47.54
Spdr Gold Trust Gold Shs (GLD) 1.3 $8.6M 67k 129.17
Wisdomtree Tr Europe Hedged Eq (HEDJ) 1.2 $8.4M 143k 58.71
Select Sector Spdr Tr Technology (XLK) 1.2 $8.1M 212k 38.29
Realty Income (O) 1.2 $8.1M 182k 44.64
Powershares Etf Tr Ii S&p500 Low Vol 1.2 $8.1M 227k 35.55
Ishares 1-3 Yr Tr Bd Etf (SHY) 1.2 $8.0M 95k 84.55
Spdr Index Shs Fds S&p Em Mkt Div (EDIV) 1.2 $7.9M 197k 40.21
Ishares Tr Eafe Min Vol Etf (EFAV) 1.1 $7.7M 117k 65.58
Vanguard Bd Index Intermed Term (BIV) 1.1 $7.5M 88k 85.73
Merck & Co (MRK) 1.1 $7.5M 128k 58.47
Digital Realty Trust (DLR) 1.1 $7.5M 127k 58.75
Symantec Corporation 1.1 $7.4M 322k 23.02
Senior Hsg Pptys Tr Sh Ben Int 1.1 $7.2M 293k 24.53
HCP 1.0 $7.1M 171k 41.65
Unilever Spon Adr New (UL) 1.0 $7.1M 156k 45.48
General Mills (GIS) 1.0 $7.1M 133k 53.18
BlackRock Global Energy & Resources Trus (BGR) 1.0 $6.9M 252k 27.27
Potash Corp. Of Saskatchewan I 1.0 $6.8M 178k 38.42
Vanguard Bd Index Short Trm Bond (BSV) 1.0 $6.8M 84k 80.78
Proshares Tr Rafi Lg Sht Fd 1.0 $6.8M 160k 42.42
Vanguard Scottsdale Fds Shrt Trm Corp Bd (VCSH) 1.0 $6.8M 84k 80.89
Transcanada Corp 1.0 $6.7M 140k 48.00
Owens & Minor (OMI) 1.0 $6.7M 195k 34.32
Epr Pptys Com Sh Ben Int (EPR) 1.0 $6.7M 118k 56.78
Ventas (VTR) 1.0 $6.6M 103k 64.84
General Electric Company 1.0 $6.6M 250k 26.52
Public Service Enterprise (PEG) 1.0 $6.6M 159k 41.25
Ishares Iboxx Hi Yd Etf (HYG) 1.0 $6.5M 70k 93.61
Ares Capital Corporation (ARCC) 1.0 $6.5M 358k 18.11
Toronto Dominion Bk Ont Com New (TD) 0.9 $6.5M 124k 51.92
Ishares Glob Telecom Etf (IXP) 0.9 $6.5M 100k 64.28
Ishares 1-3 Yr Cr Bd Etf (IGSB) 0.9 $6.4M 61k 105.70
Rogers Communications CL B (RCI) 0.9 $6.4M 157k 40.77
Vanguard Intl Equity Index F Ftse Pacific Etf (VPL) 0.9 $6.4M 103k 62.16
At&t (T) 0.9 $6.3M 178k 35.73
Pfizer (PFE) 0.9 $6.3M 211k 30.14
Spdr Series Trust Barc Sht Tr Cp (SPSB) 0.9 $6.3M 204k 31.06
Powershares Global Etf Trust Insur Natl Mun 0.9 $6.3M 256k 24.60
Deere & Company (DE) 0.9 $6.2M 68k 91.62
Proshares Tr Pshs Ulsht Sp500 0.9 $6.2M 240k 25.84
Corrections Corp Amer Com New 0.9 $5.9M 177k 33.20
Facebook Cl A (META) 0.9 $5.9M 87k 67.30
International Business Machines (IBM) 0.9 $5.8M 32k 184.30
Ishares 7-10 Y Tr Bd Etf (IEF) 0.8 $5.6M 55k 103.65
Hollyfrontier Corp 0.8 $5.6M 127k 43.84
Ishares S&p 100 Etf (OEF) 0.8 $5.3M 61k 86.50
Wisdomtree Tr Largecap Divid (DLN) 0.7 $5.0M 71k 70.76
Spdr Series Trust Brc Hgh Yld Bd 0.7 $4.8M 115k 41.80
Wisdomtree Tr Emerg Mkts Etf (DEM) 0.7 $4.8M 93k 51.84
Powershares Etf Trust Ftse Rafi 1000 0.7 $4.7M 54k 88.44
Vanguard Index Fds Growth Etf (VUG) 0.6 $4.3M 43k 98.77
Spdr Series Trust Brc Cnv Secs Etf (CWB) 0.6 $3.9M 78k 50.43
Ishares Core Msci Emkt (IEMG) 0.6 $3.9M 76k 51.67
Quest Diagnostics Incorporated (DGX) 0.6 $3.9M 66k 59.25
Vanguard Intl Equity Index F Glb Ex Us Etf (VNQI) 0.6 $3.9M 67k 58.07
NetApp (NTAP) 0.6 $3.8M 105k 36.30
Wisdomtree Tr Intl Lrgcap Dv (DOL) 0.6 $3.8M 71k 53.61
Procter & Gamble Company (PG) 0.5 $3.6M 48k 76.30
Ishares Silver Trust Ishares (SLV) 0.5 $3.4M 170k 20.01
Ishares Micro-cap Etf (IWC) 0.5 $3.4M 44k 75.95
M.D.C. Holdings (MDC) 0.5 $3.3M 111k 30.04
Verizon Communications (VZ) 0.5 $3.3M 67k 49.53
Calamos Conv Opp And Sh Ben Int (CHI) 0.5 $3.3M 238k 13.84
Exxon Mobil Corporation (XOM) 0.5 $3.3M 32k 100.87
Sanofi Sponsored Adr (SNY) 0.5 $3.2M 61k 52.95
Ishares Gold Trust Ishares 0.5 $3.2M 246k 12.88
Ishares Jp Mor Em Mk Etf (EMB) 0.5 $3.2M 29k 110.63
Principal Financial (PFG) 0.5 $3.1M 62k 50.06
National-Oilwell Var 0.5 $3.1M 38k 80.76
Ishares Msci Brz Cap Etf (EWZ) 0.5 $3.1M 63k 48.62
Citigroup Com New (C) 0.4 $3.0M 63k 47.03
Powershares Etf Trust Dwa Momentum Ptf 0.4 $2.8M 72k 39.05
Juniper Networks (JNPR) 0.4 $2.8M 114k 24.45
Health Care REIT 0.4 $2.8M 45k 61.88
Kohl's Corporation (KSS) 0.4 $2.7M 52k 52.47
Campbell Soup Company (CPB) 0.4 $2.7M 58k 46.56
Mosaic (MOS) 0.4 $2.7M 54k 49.93
Powershares Global Etf Trust Dev Mkts Ex-us 0.4 $2.6M 57k 45.76
Citrix Systems 0.4 $2.5M 41k 61.68
Ishares Msci Eafe Etf (EFA) 0.3 $2.2M 32k 68.48
Ishares Msci Frntr100etf (FM) 0.3 $2.0M 55k 36.09
Advisorshares Tr Ranger Equity Be 0.3 $2.0M 170k 11.74
Spdr S&p Midcap 400 Etf Tr Utser1 S&pdcrp (MDY) 0.3 $1.9M 7.4k 260.21
Spdr Series Trust Brclys Intl Etf (BWX) 0.3 $1.9M 31k 61.03
Wisdomtree Tr Wsdm Emktbd Fd (EMCB) 0.3 $1.8M 23k 78.49
Barclays Bk Ipath S&p500 Vix 0.2 $1.7M 57k 28.81
Indexiq Etf Tr Iq Mrgr Arb Etf (MNA) 0.2 $1.6M 57k 27.92
Microsoft Corporation (MSFT) 0.2 $1.6M 38k 41.58
Vanguard Intl Equity Index F Ftse Europe Etf (VGK) 0.2 $1.5M 25k 59.68
Ishares Sht Ntlamtfr Etf (SUB) 0.2 $1.5M 14k 106.28
Cisco Systems (CSCO) 0.2 $1.5M 59k 24.99
JPMorgan Chase & Co. (JPM) 0.2 $1.5M 25k 57.71
MetLife (MET) 0.2 $1.4M 26k 55.45
Chubb Corporation 0.2 $1.3M 15k 91.96
Johnson & Johnson (JNJ) 0.2 $1.3M 13k 105.43
Intel Corporation (INTC) 0.2 $1.3M 43k 30.95
EMC Corporation 0.2 $1.3M 49k 26.45
Lockheed Martin Corporation (LMT) 0.2 $1.3M 7.9k 160.79
Eli Lilly & Co. (LLY) 0.2 $1.3M 20k 62.23
Medtronic 0.2 $1.2M 19k 63.79
Wisdomtree Tr Futre Strat Fd (WTMF) 0.2 $1.2M 29k 42.30
Valero Energy Corporation (VLO) 0.2 $1.2M 24k 50.27
3M Company (MMM) 0.2 $1.2M 8.0k 143.51
Oracle Corporation (ORCL) 0.2 $1.1M 28k 40.21
Hewlett-Packard Company 0.2 $1.1M 33k 33.58
Ensco Shs Class A 0.2 $1.1M 20k 55.98
Abbvie (ABBV) 0.2 $1.1M 20k 56.27
General Dynamics Corporation (GD) 0.2 $1.1M 9.4k 116.57
Pepsi (PEP) 0.2 $1.1M 12k 89.58
Humana (HUM) 0.2 $1.1M 8.5k 127.70
Energizer Holdings 0.2 $1.1M 8.8k 121.93
Indexiq Etf Tr Hdg Mactrk Etf 0.2 $1.0M 38k 26.94
Wal-Mart Stores (WMT) 0.1 $985k 13k 76.23
Vanguard Index Fds Value Etf (VTV) 0.1 $911k 11k 81.10
Entergy Corporation (ETR) 0.1 $902k 11k 81.81
Expedia Inc Del Com New (EXPE) 0.1 $893k 11k 78.94
First Republic Bank/san F (FRCB) 0.1 $891k 16k 54.72
Ishares U.s. Real Es Etf (IYR) 0.1 $891k 12k 71.81
Qualcomm (QCOM) 0.1 $869k 11k 81.09
F5 Networks (FFIV) 0.1 $860k 7.7k 111.18
Murphy Oil Corporation (MUR) 0.1 $845k 13k 66.55
PPL Corporation (PPL) 0.1 $822k 23k 35.69
Laboratory Corp Amer Hldgs Com New (LH) 0.1 $797k 7.8k 102.53
CF Industries Holdings (CF) 0.1 $782k 3.3k 237.55
Macy's (M) 0.1 $742k 13k 58.64
Ishares Agency Bond Etf (AGZ) 0.1 $736k 6.5k 112.62
State Street Corporation (STT) 0.1 $733k 11k 67.75
Omni (OMC) 0.1 $698k 9.7k 71.66
Key (KEY) 0.1 $675k 47k 14.46
Ishares Em Mk Minvol Etf (EEMV) 0.1 $625k 10k 59.99
Ssga Active Etf Tr Blkstn Gsosrln (SRLN) 0.1 $610k 12k 49.97
Barclays Bk Ipath S&p Mt Etn 0.1 $578k 45k 12.73
Ishares Core S&p Mcp Etf (IJH) 0.1 $559k 3.9k 143.26
Ishares Rus Mid-cap Etf (IWR) 0.1 $489k 3.0k 162.08
Consolidated Edison (ED) 0.1 $426k 7.4k 57.64
Ishares Rus 1000 Grw Etf (IWF) 0.1 $418k 4.6k 91.11
Spdr Index Shs Fds S&p Intl Etf (DWX) 0.1 $410k 8.0k 51.25
Ishares Russell 2000 Etf (IWM) 0.1 $349k 2.9k 118.39
Ishares Rus 1000 Etf (IWB) 0.0 $331k 3.0k 109.93
Ishares Core Totusbd Etf (AGG) 0.0 $307k 2.8k 108.87
Ishares Core S&p500 Etf (IVV) 0.0 $290k 1.5k 197.68
Raytheon Com New 0.0 $273k 3.0k 91.61
Royal Dutch Shell Spon Adr B 0.0 $272k 3.2k 85.99
Nippon Teleg & Tel Corp Sponsored Adr (NTTYY) 0.0 $247k 7.9k 31.08
DWS Municipal Income Trust 0.0 $246k 18k 13.63
Kemet Corp Com New 0.0 $246k 43k 5.76
Shire Sponsored Adr 0.0 $220k 924.00 238.10
Select Sector Spdr Tr Sbi Int-utils (XLU) 0.0 $219k 5.0k 44.05
Select Sector Spdr Tr Sbi Int-energy (XLE) 0.0 $217k 2.2k 100.51
Ishares U.s. Tech Etf (IYW) 0.0 $216k 2.2k 96.69
Select Sector Spdr Tr Sbi Cons Stpls (XLP) 0.0 $215k 4.8k 44.51
Select Sector Spdr Tr Sbi Int-finl (XLF) 0.0 $215k 9.5k 22.74
Ishares U.s. Bas Mtl Etf (IYM) 0.0 $212k 2.4k 88.08
Ishares U.s. Inds Etf (IYJ) 0.0 $210k 2.0k 103.45
ConocoPhillips (COP) 0.0 $203k 2.4k 85.01
Ing Groep N V Sponsored Adr (ING) 0.0 $175k 13k 13.84
Pdl Biopharma Note 4.000% 2/0 (Principal) 0.0 $53k 46k 1.15
Ares Cap Corp Note 5.125% 6/0 (Principal) 0.0 $50k 46k 1.09
Colony Finl Note 3.875% 1/1 (Principal) 0.0 $49k 48k 1.02
Prospect Capital Corporation Note 5.750% 3/1 (Principal) 0.0 $46k 45k 1.02
Vipshop Hldgs Note 1.500% 3/1 (Principal) 0.0 $18k 15k 1.20