VAN CLEEF ASSET MANAGEMENT INC
Adviser information for VAN CLEEF ASSET MANAGEMENT INC last updated from Form ADV on March 7th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 634 | $864.6M |
| Non-Discretionary | 18 | $29.5M |
| Total | 652 | $894.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 88 | $41.2M |
| HNW Individuals | 127 | $848.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $3.5M |
| Charitable organizations | <5 | $617,432 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Principal Office
3201 ENTERPRISE PKWYSUITE 140
BEACHWOOD
OH
United States
Monday - Friday, 9AM-5PM
Tel: 216-464-0253, Fax: 216-464-3512
Chief Compliance Officer
BORELLI, MICHELLE A.
CHIEF COMPLIANCE OFFICER
3201 ENTERPRISE PKWY
SUITE 140
BEACHWOOD
OH
United States
Tel:
216-464-0253
Fax:
216-464-3512
M***************@**************M
(Full email address available in API data)
Regulatory Contact
HAUCK, GEOFFREY
PRESIDENT
3201 ENTERPRISE PKWY
SUITE 140
BEACHWOOD
OH
United States
Tel:
216-464-0253
Fax:
216-464-3512
G*************@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BURKE, MARTIN, JOHN | Individual | – | DIRECTOR | 08/1993 | < 5% |
| SERGO, LINO | Individual | – | DIRECTOR OF RESEARCH | 12/2010 | 10-25% |
| HAUCK, GEOFFREY, C | Individual | – | PRESIDENT/CIO | 12/2010 | 50-75% |
| BURKE, MARTIN, J | Individual | – | EXECUTIVE VICE PRESIDENT | 12/2010 | 10-25% |
| BORELLI, MICHELLE, AILEEN | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2012 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed October 14th, 2016 for period ending September 30th, 2016
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3M CO | COM | 2K | 10K | – |
| 3M CO | COM | 407 | 2K | – |
| ABBOTT LABS | COM | 81 | 2K | – |
| ABBOTT LABS | COM | 189 | 4K | – |
| ABBVIE INC | COM | 60 | 950 | – |
| ABBVIE INC | COM | 212 | 3K | – |
| AFFILIATED MANAGERS GROUP | COM | 274 | 2K | – |
| AFFILIATED MANAGERS GROUP | COM | 3K | 23K | – |
| ALPHABET INC | CAP STK CL A | 134 | 167 | – |
| ALPHABET INC | CAP STK CL A | 2K | 3K | – |
| ALPHABET INC | CAP STK CL C | 5K | 6K | – |
| ALPHABET INC | CAP STK CL C | 289 | 372 | – |
| ALPS ETF TR | ALERIAN MLP | 5K | 423K | – |
| ALPS ETF TR | ALERIAN MLP | 664 | 52K | – |
| AMAZON COM INC | COM | 8 | 9 | – |
| AMAZON COM INC | COM | 383 | 458 | – |
| AMGEN INC | COM | 2K | 11K | – |
| AMGEN INC | COM | 14K | 84K | – |
| ANTERO MIDSTREAM PARTNERS LP | UNT LTD PARTN | 19 | 714 | – |
| ANTERO MIDSTREAM PARTNERS LP | UNT LTD PARTN | 287 | 11K | – |
| APACHE CORP | COM | 2K | 30K | – |
| APACHE CORP | COM | 222 | 3K | – |
| APPLE INC | COM | 6K | 53K | – |
| APPLE INC | COM | 485 | 4K | – |
| ARCHER DANIELS MIDLAND CO | COM | 1K | 33K | – |
| ARCHER DANIELS MIDLAND CO | COM | 10K | 234K | – |
| AT&T INC | COM | 2K | 56K | – |
| AT&T INC | COM | 14K | 334K | – |
| BANK AMER CORP | COM | 30 | 2K | – |
| BANK AMER CORP | COM | 340 | 22K | – |
| BANK HAWAII CORP | COM | 977 | 13K | – |
| BANK HAWAII CORP | COM | 10K | 144K | – |
| BANK NEW YORK MELLON CORP | COM | 673 | 17K | – |
| BANK NEW YORK MELLON CORP | COM | 6K | 158K | – |
| BEMIS INC | COM | 6K | 115K | – |
| BEMIS INC | COM | 962 | 19K | – |
| BERKSHIRE HATHAWAY INC DEL | CL A | 432 | 2 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 51 | 350 | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2K | 11K | – |
| BOEING CO | COM | 2K | 13K | – |
| BOEING CO | COM | 10K | 76K | – |
| BP PLC | SPONSORED ADR | 36 | 1K | – |
| BP PLC | SPONSORED ADR | 952 | 27K | – |
| BRISTOL MYERS SQUIBB CO | COM | 1K | 21K | – |
| BRISTOL MYERS SQUIBB CO | COM | 338 | 6K | – |
| CA INC | COM | 8K | 245K | – |
| CA INC | COM | 1K | 43K | – |
| CAPITAL ONE FINL CORP | COM | 819 | 11K | – |
| CAPITAL ONE FINL CORP | COM | 8K | 111K | – |
| CBIZ INC | COM | 249 | 22K | – |
| CERNER CORP | COM | 81 | 1K | – |
| CERNER CORP | COM | 1K | 19K | – |
| CHEVRON CORP NEW | COM | 1K | 13K | – |
| CHEVRON CORP NEW | COM | 7K | 66K | – |
| CISCO SYS INC | COM | 16K | 500K | – |
| CISCO SYS INC | COM | 2K | 74K | – |
| CLAYMORE EXCHANGE TRD FD TR | GUG MULTI ASSET | 143 | 7K | – |
| CLAYMORE EXCHANGE TRD FD TR | GUG MULTI ASSET | 617 | 32K | – |
| COCA COLA CO | COM | 275 | 7K | – |
| COCA COLA CO | COM | 1K | 28K | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 33 | 700 | – |
| COGNIZANT TECHNOLOGY SOLUTIO | CL A | 549 | 11K | – |
| COLGATE PALMOLIVE CO | COM | 273 | 4K | – |
| COMMERCE BANCSHARES INC | COM | 550 | 11K | – |
| COMMERCE BANCSHARES INC | COM | 2K | 43K | – |
| COMPASS MINERALS INTL INC | COM | 1K | 16K | – |
| COMPASS MINERALS INTL INC | COM | 7K | 98K | – |
| CONAGRA FOODS INC | COM | 288 | 6K | – |
| CONAGRA FOODS INC | COM | 3K | 58K | – |
| CONOCOPHILLIPS | COM | 465 | 11K | – |
| CONOCOPHILLIPS | COM | 4K | 98K | – |
| COSTCO WHSL CORP NEW | COM | 23 | 150 | – |
| COSTCO WHSL CORP NEW | COM | 431 | 3K | – |
| CVS HEALTH CORP | COM | 418 | 5K | – |
| CVS HEALTH CORP | COM | 5K | 58K | – |
| DELL TECHNOLOGIES INC | COM CL V | 100 | 2K | – |
| DELL TECHNOLOGIES INC | COM CL V | 969 | 20K | – |
| DIAGEO P L C | SPON ADR NEW | 6K | 55K | – |
| DIAGEO P L C | SPON ADR NEW | 802 | 7K | – |
| DIEBOLD INC | COM | 708 | 29K | – |
| DIEBOLD INC | COM | 4K | 173K | – |
| DISCOVERY COMMUNICATNS NEW | COM SER C | 346 | 13K | – |
| DISCOVERY COMMUNICATNS NEW | COM SER C | 3K | 129K | – |
| DISNEY WALT CO | COM DISNEY | 452 | 5K | – |
| DISNEY WALT CO | COM DISNEY | 4K | 43K | – |
| DST SYS INC DEL | COM | 3K | 26K | – |
| DU PONT E I DE NEMOURS & CO | COM | 1K | 17K | – |
| DU PONT E I DE NEMOURS & CO | COM | 8K | 114K | – |
| DUKE ENERGY CORP NEW | COM NEW | 24 | 295 | – |
| DUKE ENERGY CORP NEW | COM NEW | 186 | 2K | – |
| EMERSON ELEC CO | COM | 120 | 2K | – |
| EMERSON ELEC CO | COM | 342 | 6K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 193 | 7K | – |
| ENTERPRISE PRODS PARTNERS L | COM | 1K | 44K | – |
| EQT MIDSTREAM PARTNERS LP | UNIT LTD PARTN | 30 | 391 | – |
| EQT MIDSTREAM PARTNERS LP | UNIT LTD PARTN | 470 | 6K | – |
| EURONET WORLDWIDE INC | COM | 207 | 3K | – |
| EXXON MOBIL CORP | COM | 2K | 28K | – |
| EXXON MOBIL CORP | COM | 13K | 145K | – |
| FASTENAL CO | COM | 418 | 10K | – |
| FIDELITY NATL INFORMATION SV | COM | 682 | 9K | – |
| FIRST TR EXCHANGE TRADED FD | ISE CLOUD COMP | 287 | 8K | – |
| FLUOR CORP NEW | COM | 36 | 700 | – |
| FLUOR CORP NEW | COM | 683 | 13K | – |
| FULLER H B CO | COM | 850 | 18K | – |
| GENERAL ELECTRIC CO | COM | 2K | 77K | – |
| GENERAL ELECTRIC CO | COM | 14K | 486K | – |
| GENERAL MLS INC | COM | 253 | 4K | – |
| GILEAD SCIENCES INC | COM | 42 | 525 | – |
| GILEAD SCIENCES INC | COM | 596 | 8K | – |
| HOME DEPOT INC | COM | 24 | 190 | – |
| HOME DEPOT INC | COM | 424 | 3K | – |
| HONEYWELL INTL INC | COM | 131 | 1K | – |
| HONEYWELL INTL INC | COM | 165 | 1K | – |
| INTEL CORP | COM | 2K | 57K | – |
| INTEL CORP | COM | 15K | 409K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 2K | 13K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 15K | 92K | – |
| ISHARES | MSCI CDA ETF | 200 | 8K | – |
| ISHARES | MSCI CDA ETF | 1K | 45K | – |
| ISHARES | MSCI EURZONE ETF | 660 | 19K | – |
| ISHARES | MSCI EURZONE ETF | 3K | 99K | – |
| ISHARES | MSCI JAPAN ETF | 227 | 18K | – |
| ISHARES | MSCI JAPAN ETF | 1K | 103K | – |
| ISHARES | MSCI PAC JP ETF | 404 | 10K | – |
| ISHARES | MSCI PAC JP ETF | 2K | 58K | – |
| ISHARES GOLD TRUST | ISHARES | 577 | 45K | – |
| ISHARES GOLD TRUST | ISHARES | 204 | 16K | – |
| ISHARES TR | CORE S&P MCP ETF | 1K | 9K | – |
| ISHARES TR | CORE S&P SCP ETF | 862 | 7K | – |
| ISHARES TR | CORE S&P SCP ETF | 84 | 680 | – |
| ISHARES TR | CORE S&P500 ETF | 592 | 3K | – |
| ISHARES TR | EAFE GRWTH ETF | 25K | 373K | – |
| ISHARES TR | EAFE GRWTH ETF | 3K | 40K | – |
| ISHARES TR | IBONDS DEC20 ETF | 154 | 6K | – |
| ISHARES TR | IBONDS DEC20 ETF | 47 | 2K | – |
| ISHARES TR | IBONDS DEC22 ETF | 196 | 8K | – |
| ISHARES TR | IBONDS DEC22 ETF | 52 | 2K | – |
| ISHARES TR | IBOXX INV CP ETF | 118 | 955 | – |
| ISHARES TR | IBOXX INV CP ETF | 3K | 23K | – |
| ISHARES TR | INTERM CR BD ETF | 402 | 4K | – |
| ISHARES TR | INTERM CR BD ETF | 5K | 49K | – |
| ISHARES TR | MSCI EAFE ETF | 86 | 1K | – |
| ISHARES TR | MSCI EAFE ETF | 1K | 19K | – |
| ISHARES TR | MSCI EMG MKT ETF | 4K | 106K | – |
| ISHARES TR | MSCI EMG MKT ETF | 547 | 15K | – |
| ISHARES TR | MSCI UTD KNGDM | 971 | 61K | – |
| ISHARES TR | MSCI UTD KNGDM | 158 | 10K | – |
| ISHARES TR | NA TEC-SFTWR ETF | 309 | 3K | – |
| ISHARES TR | NATIONAL MUN ETF | 50 | 440 | – |
| ISHARES TR | NATIONAL MUN ETF | 387 | 3K | – |
| ISHARES TR | RUS 1000 ETF | 2K | 15K | – |
| ISHARES TR | RUS 1000 ETF | 315 | 3K | – |
| ISHARES TR | RUS 1000 GRW ETF | 179 | 2K | – |
| ISHARES TR | RUS 1000 GRW ETF | 2K | 23K | – |
| ISHARES TR | RUSSELL 2000 ETF | 28 | 225 | – |
| ISHARES TR | RUSSELL 2000 ETF | 191 | 2K | – |
| ISHARES TR | S&P 100 ETF | 1K | 12K | – |
| ISHARES TR | S&P 500 VAL ETF | 285 | 3K | – |
| ISHARES TR | S&P MC 400GR ETF | 3K | 19K | – |
| ISHARES TR | S&P MC 400GR ETF | 502 | 3K | – |
| ISHARES TR | S&P MC 400VL ETF | 403 | 3K | – |
| ISHARES TR | SELECT DIVID ETF | 275 | 3K | – |
| ISHARES TR | SELECT DIVID ETF | 287 | 3K | – |
| ISHARES TR | SP SMCP600VL ETF | 227 | 2K | – |
| ISHARES TR | TIPS BD ETF | 332 | 3K | – |
| ISHARES TR | U.S. ENERGY ETF | 46 | 1K | – |
| ISHARES TR | U.S. ENERGY ETF | 609 | 16K | – |
| ISHARES TR | U.S. INDS ETF | 360 | 3K | – |
| ISHARES TR | U.S. PFD STK ETF | 139 | 4K | – |
| ISHARES TR | U.S. PFD STK ETF | 1K | 32K | – |
| ISHARES TR | U.S. TECH ETF | 1K | 12K | – |
| JACOBS ENGR GROUP INC DEL | COM | 510 | 10K | – |
| JACOBS ENGR GROUP INC DEL | COM | 4K | 73K | – |
| JOHNSON & JOHNSON | COM | 2K | 16K | – |
| JOHNSON & JOHNSON | COM | 13K | 112K | – |
| JPMORGAN CHASE & CO | COM | 514 | 8K | – |
| JPMORGAN CHASE & CO | COM | 428 | 6K | – |
| KANSAS CITY SOUTHERN | COM NEW | 317 | 3K | – |
| KEMPER CORP DEL | COM | 590 | 15K | – |
| KEMPER CORP DEL | COM | 3K | 75K | – |
| KIMBERLY CLARK CORP | COM | 345 | 3K | – |
| KIMBERLY CLARK CORP | COM | 54 | 425 | – |
| KINDER MORGAN INC DEL | COM | 106 | 5K | – |
| KINDER MORGAN INC DEL | COM | 105 | 5K | – |
| LILLY ELI & CO | COM | 85 | 1K | – |
| LILLY ELI & CO | COM | 155 | 2K | – |
| MACQUARIE INFRASTRUCTURE COR | COM | 250 | 3K | – |
| MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 71 | 1K | – |
| MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 1K | 15K | – |
| MCDONALDS CORP | COM | 140 | 1K | – |
| MCDONALDS CORP | COM | 463 | 4K | – |
| MDU RES GROUP INC | COM | 3K | 110K | – |
| MERCK & CO INC | COM | 1K | 22K | – |
| MERCK & CO INC | COM | 7K | 112K | – |
| MICROSOFT CORP | COM | 2K | 31K | – |
| MICROSOFT CORP | COM | 12K | 208K | – |
| MORGAN STANLEY | COM NEW | 38 | 1K | – |
| MORGAN STANLEY | COM NEW | 760 | 24K | – |
| MPLX LP | COM UNIT REP LTD | 74 | 2K | – |
| MPLX LP | COM UNIT REP LTD | 669 | 20K | – |
| NCR CORP NEW | COM | 380 | 12K | – |
| NCR CORP NEW | COM | 4K | 120K | – |
| NEXTERA ENERGY INC | COM | 699 | 6K | – |
| NEXTERA ENERGY INC | COM | 5K | 37K | – |
| NORFOLK SOUTHERN CORP | COM | 381 | 4K | – |
| NOVARTIS A G | SPONSORED ADR | 528 | 7K | – |
| NOVARTIS A G | SPONSORED ADR | 5K | 69K | – |
| NXP SEMICONDUCTORS N V | COM | 41 | 400 | – |
| NXP SEMICONDUCTORS N V | COM | 775 | 8K | – |
| O REILLY AUTOMOTIVE INC NEW | COM | 140 | 500 | – |
| O REILLY AUTOMOTIVE INC NEW | COM | 140 | 500 | – |
| OMNICOM GROUP INC | COM | 830 | 10K | – |
| OMNICOM GROUP INC | COM | 6K | 76K | – |
| ORACLE CORP | COM | 124 | 3K | – |
| ORACLE CORP | COM | 1K | 27K | – |
| PAYPAL HLDGS INC | COM | 750 | 18K | – |
| PAYPAL HLDGS INC | COM | 45 | 1K | – |
| PEPSICO INC | COM | 408 | 4K | – |
| PEPSICO INC | COM | 1K | 13K | – |
| PFIZER INC | COM | 2K | 45K | – |
| PFIZER INC | COM | 9K | 252K | – |
| PHILLIPS 66 | COM | 375 | 5K | – |
| PHILLIPS 66 | COM | 3K | 31K | – |
| PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 22 | 448 | – |
| PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 325 | 7K | – |
| POWERSHARES ETF TR II | S&P500 HGH BET | 174 | 5K | – |
| POWERSHARES ETF TR II | S&P500 HGH BET | 1K | 33K | – |
| POWERSHARES ETF TRUST | INTL DIV ACHV | 1K | 73K | – |
| POWERSHARES ETF TRUST | INTL DIV ACHV | 10K | 664K | – |
| POWERSHARES QQQ TRUST | UNIT SER 1 | 116 | 975 | – |
| POWERSHARES QQQ TRUST | UNIT SER 1 | 1K | 12K | – |
| PPL CORP | COM | 920 | 27K | – |
| PPL CORP | COM | 6K | 165K | – |
| PROCTER AND GAMBLE CO | COM | 674 | 8K | – |
| PROCTER AND GAMBLE CO | COM | 5K | 56K | – |
| PRUDENTIAL FINL INC | COM | 13K | 161K | – |
| PRUDENTIAL FINL INC | COM | 2K | 20K | – |
| QUALCOMM INC | COM | 171 | 3K | – |
| QUALCOMM INC | COM | 119 | 2K | – |
| RAYTHEON CO | COM NEW | 962 | 7K | – |
| RAYTHEON CO | COM NEW | 6K | 45K | – |
| RECON CAP SER TR | 100 COVERED ETF | 33 | 1K | – |
| RECON CAP SER TR | 100 COVERED ETF | 631 | 28K | – |
| ROYAL BK CDA MONTREAL QUE | COM | 1K | 17K | – |
| ROYAL BK CDA MONTREAL QUE | COM | 7K | 106K | – |
| ROYAL DUTCH SHELL PLC | SPONS ADR A | 133 | 3K | – |
| ROYAL DUTCH SHELL PLC | SPONS ADR A | 110 | 2K | – |
| RYDEX ETF TRUST | GUG S&P500EQWTHC | 353 | 2K | – |
| RYDEX ETF TRUST | GUG S&P500EQWTHC | 2K | 10K | – |
| RYDEX ETF TRUST | GUG S&P500EQWTTE | 2K | 19K | – |
| RYDEX ETF TRUST | GUG S&P500EQWTTE | 481 | 5K | – |
| SANOFI | SPONSORED ADR | 1K | 28K | – |
| SANOFI | SPONSORED ADR | 8K | 197K | – |
| SCHLUMBERGER LTD | COM | 573 | 7K | – |
| SCHLUMBERGER LTD | COM | 6K | 72K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 373 | 11K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 37 | 1K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 196 | 2K | – |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 2K | 30K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 482 | 9K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 726 | 10K | – |
| SELECT SECTOR SPDR TR | SBI INT-ENERGY | 395 | 6K | – |
| SELECT SECTOR SPDR TR | SBI INT-FINL | 156 | 8K | – |
| SELECT SECTOR SPDR TR | SBI INT-FINL | 2K | 82K | – |
| SELECT SECTOR SPDR TR | SBI INT-INDS | 512 | 9K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 73 | 2K | – |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 211 | 4K | – |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 260 | 5K | – |
| SELECT SECTOR SPDR TR | SBI MATERIALS | 63 | 1K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 385 | 8K | – |
| SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 302 | 9K | – |
| SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 20 | 609 | – |
| SKYWORKS SOLUTIONS INC | COM | 569 | 7K | – |
| SKYWORKS SOLUTIONS INC | COM | 38 | 500 | – |
| SOUTHERN CO | COM | 55 | 1K | – |
| SOUTHERN CO | COM | 241 | 5K | – |
| SOUTHWEST AIRLS CO | COM | 43 | 1K | – |
| SOUTHWEST AIRLS CO | COM | 803 | 21K | – |
| SPDR GOLD TRUST | GOLD SHS | 263 | 2K | – |
| SPDR GOLD TRUST | GOLD SHS | 705 | 6K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 892 | 4K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 10K | 48K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 756 | 3K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 7K | 24K | – |
| SPDR SER TR | NUVN BR SHT MUNI | 2K | 37K | – |
| SPDR SER TR | NUVN BR SHT MUNI | 225 | 5K | – |
| SPDR SERIES TRUST | MORGAN TECH ETF | 671 | 11K | – |
| SPDR SERIES TRUST | MORGAN TECH ETF | 4K | 62K | – |
| SPDR SERIES TRUST | S&P BIOTECH | 96 | 1K | – |
| SPDR SERIES TRUST | S&P BIOTECH | 1K | 17K | – |
| SPDR SERIES TRUST | S&P BK ETF | 259 | 8K | – |
| SPDR SERIES TRUST | S&P TRANSN ETF | 264 | 6K | – |
| SPDR SERIES TRUST | WELLS FG PFD ETF | 274 | 6K | – |
| SPECTRA ENERGY CORP | COM | 281 | 7K | – |
| SPECTRA ENERGY PARTNERS LP | COM | 400 | 9K | – |
| SPECTRA ENERGY PARTNERS LP | COM | 25 | 570 | – |
| SPRINT CORP | COM SER 1 | 66 | 10K | – |
| STAPLES INC | COM | 964 | 113K | – |
| STAPLES INC | COM | 6K | 702K | – |
| SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 29 | 1K | – |
| SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 496 | 17K | – |
| SUNOCO LP | COM U REP LP | 20 | 686 | – |
| SUNOCO LP | COM U REP LP | 267 | 9K | – |
| TALLGRASS ENERGY PARTNERS LP | COM UNIT | 350 | 7K | – |
| TALLGRASS ENERGY PARTNERS LP | COM UNIT | 23 | 482 | – |
| TARGET CORP | COM | 1K | 21K | – |
| TARGET CORP | COM | 10K | 150K | – |
| TESORO CORP | COM | 40 | 500 | – |
| TESORO CORP | COM | 629 | 8K | – |
| TESORO LOGISTICS LP | COM UNIT LP | 24 | 494 | – |
| TESORO LOGISTICS LP | COM UNIT LP | 463 | 10K | – |
| TEVA PHARMACEUTICAL INDS LTD | ADR | 640 | 14K | – |
| TEVA PHARMACEUTICAL INDS LTD | ADR | 7K | 157K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 466 | 3K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 4K | 26K | – |
| THOMSON REUTERS CORP | COM | 6K | 137K | – |
| THOMSON REUTERS CORP | COM | 1K | 24K | – |
| TOTAL S A | SPONSORED ADR | 6K | 129K | – |
| TOTAL S A | SPONSORED ADR | 869 | 18K | – |
| TRAVELERS COMPANIES INC | COM | 105 | 918 | – |
| TRAVELERS COMPANIES INC | COM | 106 | 926 | – |
| TWENTY FIRST CENTY FOX INC | CL B | 428 | 17K | – |
| TWENTY FIRST CENTY FOX INC | CL B | 4K | 159K | – |
| UMB FINL CORP | COM | 897 | 15K | – |
| UMB FINL CORP | COM | 136 | 2K | – |
| UNION PAC CORP | COM | 453 | 5K | – |
| UNION PAC CORP | COM | 781 | 8K | – |
| UNITED TECHNOLOGIES CORP | COM | 688 | 7K | – |
| UNITED TECHNOLOGIES CORP | COM | 7K | 65K | – |
| US BANCORP DEL | COM NEW | 416 | 10K | – |
| VALERO ENERGY PARTNERS LP | COM UNT REP LP | 29 | 654 | – |
| VALERO ENERGY PARTNERS LP | COM UNT REP LP | 468 | 11K | – |
| VANGUARD BD INDEX FD INC | INTERMED TERM | 156 | 2K | – |
| VANGUARD BD INDEX FD INC | INTERMED TERM | 2K | 19K | – |
| VANGUARD BD INDEX FD INC | SHORT TRM BOND | 89 | 1K | – |
| VANGUARD BD INDEX FD INC | SHORT TRM BOND | 387 | 5K | – |
| VANGUARD INDEX FDS | REIT ETF | 489 | 6K | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 9 | 190 | – |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 1K | 23K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 168 | 4K | – |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 2K | 56K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 491 | 6K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 6K | 69K | – |
| VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 74 | 1K | – |
| VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 2K | 31K | – |
| VANGUARD WORLD FDS | INDUSTRIAL ETF | 178 | 2K | – |
| VANGUARD WORLD FDS | INDUSTRIAL ETF | 1K | 11K | – |
| VERIZON COMMUNICATIONS INC | COM | 429 | 8K | – |
| VERIZON COMMUNICATIONS INC | COM | 831 | 16K | – |
| VODAFONE GROUP PLC NEW | SPNSR ADR | 5K | 173K | – |
| VODAFONE GROUP PLC NEW | SPNSR ADR | 717 | 25K | – |
| WAL-MART STORES INC | COM | 2K | 27K | – |
| WAL-MART STORES INC | COM | 17K | 234K | – |
| WELLS FARGO & CO NEW | COM | 7 | 150 | – |
| WELLS FARGO & CO NEW | COM | 764 | 17K | – |
| WILLIAMS COS INC DEL | COM | 100 | 3K | – |
| WILLIAMS COS INC DEL | COM | 112 | 4K | – |
| WISDOMTREE TR | EUROPE HEDGED EQ | 16K | 292K | – |
| WISDOMTREE TR | EUROPE HEDGED EQ | 2K | 28K | – |
| WISDOMTREE TR | JAPN HEDGE EQT | 358 | 8K | – |
| WISDOMTREE TR | JAPN HEDGE EQT | 2K | 43K | – |
| WISDOMTREE TR | US QTLY DIV GRT | 53 | 2K | – |
| WISDOMTREE TR | US QTLY DIV GRT | 2K | 59K | – |