FIRST ALLIED ASSET MANAGEMENT, INC. Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 202
New Positions 37
Increased Positions 120
Decreased Positions 77
Positions with Activity 197
Sold Out Positions 30
Total Mkt Value (in $ millions) 703

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

Sector Weighting

Basic Materials 3.3%
Capital Goods 1.86%
Conglomerates
Consumer Cyclical 1%
Consumer/Non-Cyclical 2.02%
Energy 5.99%
Financial 62.77%
Healthcare 5.05%
Services 5.18%
Technology 8.84%
Transportation
Utilities 0.99%

30 Sold Out Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
AGL RES INC COM -3,440 Sold Out 0
ALTERA CORP COM -2,164 Sold Out 0
BANK HAWAII CORP COM -5,377 Sold Out 0
BARCLAYS BK PLC IPATH S&P MT ETN -190 Sold Out 0
BLACKHAWK NETWORK HLDGS INC CL B -440 Sold Out 0
BOEING CO COM -4,196 Sold Out 0
CATERPILLAR INC DEL COM -3,336 Sold Out 0
CENTERPOINT ENERGY INC COM -212 Sold Out 0
COCA COLA CO COM -2,833 Sold Out 0
DIAMOND OFFSHORE DRILLING INC COM -3,717 Sold Out 0
EATON VANCE LTD DUR INCOME FD COM -3,119 Sold Out 0
EATON VANCE SH TM DR DIVR INCM COM -3,077 Sold Out 0
ISHARES RUSSELL 2000 ETF -556 Sold Out 0
ISHARES 3-7 YR TR BD ETF -551 Sold Out 0
LASALLE HOTEL PPTYS COM SH BEN INT -3,188 Sold Out 0
LAZARD LTD SHS A -2,872 Sold Out 0
MFS CHARTER INCOME TR SH BEN INT -157 Sold Out 0
MFS INTER INCOME TR SH BEN INT -4,935 Sold Out 0
PHILIP MORRIS INTL INC COM -234 Sold Out 0
POWERSHARES GLOBAL ETF TRUST AGG PFD PORT -10,586 Sold Out 0