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) 758

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 4.27%
Conglomerates
Consumer Cyclical 0.8%
Consumer/Non-Cyclical 5.2%
Energy 2.56%
Financial 53.19%
Healthcare 4.57%
Services 15.16%
Technology 9.9%
Transportation 0.91%
Utilities 0.3%

239 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) ▲ Change (%) Shares Held
WISDOMTREE TR EUROPE HEDGED EQ -8,376 Sold Out 0
VENTAS INC COM -7,362 Sold Out 0
VANGUARD BD INDEX FD INC INTERMED TERM 245 -7,237 (96.72) 2,884
SPDR INDEX SHS FDS S&P EM MKT DIV -6,723 Sold Out 0
VANGUARD BD INDEX FD INC SHORT TRM BOND -6,719 Sold Out 0
PUBLIC SVC ENTERPRISE GROUP COM -6,713 Sold Out 0
TRANSCANADA CORP COM -6,555 Sold Out 0
SENIOR HSG PPTYS TR SH BEN INT -6,531 Sold Out 0
UNILEVER PLC SPON ADR NEW -6,450 Sold Out 0
POTASH CORP SASK INC COM -6,277 Sold Out 0
POWERSHARES ETF TRUST II SENIOR LN PORT 3,266 -6,169 (65.39) 137,156
DEERE & CO COM -6,049 Sold Out 0
GENERAL ELECTRIC CO COM 277 -6,018 (95.6) 11,017
PROSHARES TR PSHS ULSHT SP500 -5,277 Sold Out 0
ISHARES IBOXX HI YD ETF 1,060 -5,177 (83) 11,865
POWERSHARES ETF TRUST II DWA DEVMKTMOM PT 5,261 -4,956 (48.51) 215,974
QUEST DIAGNOSTICS INC COM 552 -3,743 (87.15) 8,417
WISDOMTREE TR INTL LRGCAP DV -3,373 Sold Out 0
SPDR SERIES TRUST BRC HGH YLD BD 1,071 -3,364 (75.86) 27,849
ISHARES INC CORE MSCI EMKT 191 -3,314 (94.54) 4,134


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