FIRST ALLIED ASSET MANAGEMENT, INC. Information

655 W. BROADWAY, SAN DIEGO, California, 92101, (866) 299-4864

Report Date: 09/30/2014

Position Statistics

Total Positions 239
New Positions 68
Increased Positions 167
Decreased Positions 69
Positions with Activity 236
Sold Out Positions 28
Total Mkt Value (in $ millions) 764

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 0.35%
Capital Goods 4.32%
Conglomerates
Consumer Cyclical 0.78%
Consumer/Non-Cyclical 5.23%
Energy 2.64%
Financial 52.93%
Healthcare 4.51%
Services 15.23%
Technology 10.01%
Transportation 0.94%
Utilities 0.31%

236 Activity Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ISHARES TR IBOXX INV CP ETF 20,629 -1,490 (6.74) 173,352
ISHARES MBS ETF 17,725 -1,472 (7.67) 162,463
ISHARES U.S. PFD STK ETF 13,996 864 6.58 357,123
VANGUARD INDEX FDS REIT ETF 11,759 1,149 10.83 143,400
APPLE INC COM 11,598 11,598 New 101,743
VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 11,169 -2,705 (19.5) 288,599
VANGUARD MALVERN FDS STRM INFPROIDX 10,865 -429 (3.8) 225,692
WISDOMTREE TR EM LCL DEBT FD 10,465 2,785 36.27 252,789
TORTOISE ENERGY INFRSTRCTR CP COM 10,225 521 5.37 231,431
COHEN & STEERS INFRASTRUCTURE COM 10,065 386 3.99 433,850
STAPLES INC COM 9,767 9,767 New 543,232
SELECT SECTOR SPDR TR TECHNOLOGY 9,514 532 5.93 224,818
DR PEPPER SNAPPLE GROUP INC COM 9,282 9,282 New 126,957
SPDR SER TR SHT TRM HGH YLD 9,237 -1,955 (17.47) 316,976
TARGET CORP COM 9,173 9,173 New 122,208
REALTY INCOME CORP COM 9,076 109 1.22 184,068
VERIZON COMMUNICATIONS INC COM 8,921 5,721 178.83 186,388
VANGUARD INTL EQUITY INDEX FD FTSE EMR MKT ETF 8,704 -516 (5.6) 217,384
SYMANTEC CORP COM 8,692 155 1.81 327,513
SPDR SERIES TRUST BARC SHT TR CP 8,634 2,394 38.36 282,337