First Allied Advisory Services, Inc. quarter change: USA ETF, Added
In exchange-traded fund shares (known by the fund name on the filing) (listed in the US), from the quarter ended 2016-06-30 to 2016-09-30, First Allied Advisory Services, Inc. opened 52 positions, added to 167, reduced 148, sold out of 27 and left 16 unchanged. The largest increase in value was VFH (+$10,986,000); the largest decrease was PROSHARES TR (-$7,183,000).
- VFH: Country of operation —; Class FINANCIALS ETF; Shares 2016-06-30 19,808; Shares 2016-09-30 241,626.
- IWM: Country of operation —; Class RUSSELL 2000 ETF; Shares 2016-06-30 50,062; Shares 2016-09-30 99,230.
- IJH: Country of operation —; Class CORE S&P MCP ETF; Shares 2016-06-30 33,386; Shares 2016-09-30 68,748.
- VTI: Country of operation —; Class TOTAL STK MKT; Shares 2016-06-30 395,530; Shares 2016-09-30 426,610.
Two Form 13F-HR filings compared (SEC CIK 1512647): 2016-06-30 (filed 2016-08-15) and 2016-09-30 (filed 2016-11-14). Rows for the same security, class and put/call are added together. Value change is the filed value at each quarter end, so it includes the price move; share change is the position change.
| Stock | Country of operation | Class | Shares 2016-06-30 | Shares 2016-09-30 | Share change | Value 2016-06-30 | Value 2016-09-30 | Value change |
|---|---|---|---|---|---|---|---|---|
| VFH VANGUARD WORLD FDS | FINANCIALS ETF | 19,808 | 241,626 | +221,818 | $941,000 | $11,927,000 | +$10,986,000 | |
| IWM ISHARES TR | RUSSELL 2000 ETF | 50,062 | 99,230 | +49,168 | $5,753,000 | $12,325,000 | +$6,572,000 | |
| IJH ISHARES TR | CORE S&P MCP ETF | 33,386 | 68,748 | +35,362 | $4,986,000 | $10,636,000 | +$5,650,000 | |
| VTI VANGUARD INDEX FDS | TOTAL STK MKT | 395,530 | 426,610 | +31,080 | $42,420,000 | $47,494,000 | +$5,074,000 | |
| VNQ VANGUARD INDEX FDS | REIT ETF | 131,539 | 192,184 | +60,645 | $11,655,000 | $16,670,000 | +$5,015,000 | |
| IYM ISHARES TR | U.S. BAS MTL ETF | 36,379 | 94,108 | +57,729 | $2,771,000 | $7,433,000 | +$4,662,000 | |
| MDY SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 38,567 | 53,255 | +14,688 | $10,509,000 | $15,032,000 | +$4,523,000 | |
| IEF ISHARES TR | 7-10 Y TR BD ETF | 101,297 | 137,789 | +36,492 | $11,433,000 | $15,416,000 | +$3,983,000 | |
| XLF SELECT SECTOR SPDR TR | SBI INT-FINL | 159,008 | 356,020 | +197,012 | $3,640,000 | $6,871,000 | +$3,231,000 | |
| BND VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 293,243 | 328,801 | +35,558 | $24,731,000 | $27,665,000 | +$2,934,000 | |
| IYF ISHARES TR | U.S. FINLS ETF | 10,444 | 41,187 | +30,743 | $895,000 | $3,707,000 | +$2,812,000 | |
| IJR ISHARES TR | CORE S&P SCP ETF | 28,420 | 47,830 | +19,410 | $3,315,000 | $5,938,000 | +$2,623,000 | |
| VGT VANGUARD WORLD FDS | INF TECH ETF | 9,013 | 29,672 | +20,659 | $962,000 | $3,572,000 | +$2,610,000 | |
| ITOT ISHARES TR | CORE S&P TTL STK | 2,546 | 54,658 | +52,112 | $241,000 | $2,707,000 | +$2,466,000 | |
| VXUS VANGUARD STAR FD | VG TL INTL STK F | 322,996 | 350,881 | +27,885 | $14,357,000 | $16,565,000 | +$2,208,000 | |
| HEFA ISHARES TR | HDG MSCI EAFE | 179,695 | 255,482 | +75,787 | $4,307,000 | $6,339,000 | +$2,032,000 | |
| EEM ISHARES TR | MSCI EMG MKT ETF | 80,760 | 125,981 | +45,221 | $2,775,000 | $4,718,000 | +$1,943,000 | |
| VAW VANGUARD WORLD FDS | MATERIALS ETF | 17,581 | 31,740 | +14,159 | $1,804,000 | $3,394,000 | +$1,590,000 | |
| IJK ISHARES TR | S&P MC 400GR ETF | 28,398 | 36,553 | +8,155 | $4,805,000 | $6,387,000 | +$1,582,000 | |
| IJS ISHARES TR | SP SMCP600VL ETF | 86,722 | 93,696 | +6,974 | $10,132,000 | $11,694,000 | +$1,562,000 | |
| EFA ISHARES TR | MSCI EAFE ETF | 136,898 | 155,579 | +18,681 | $7,645,000 | $9,199,000 | +$1,554,000 | |
| IWN ISHARES TR | RUS 2000 VAL ETF | 15,878 | 29,067 | +13,189 | $1,551,000 | $3,045,000 | +$1,494,000 | |
| VWO VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 74,954 | 103,572 | +28,618 | $2,639,000 | $3,897,000 | +$1,258,000 | |
| VEA VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 179,012 | 200,152 | +21,140 | $6,334,000 | $7,488,000 | +$1,154,000 | |
| GDX VANECK VECTORS ETF TR | GOLD MINERS ETF | 37,614 | 80,992 | +43,378 | $1,042,000 | $2,141,000 | +$1,099,000 | |
| HYLS FIRST TR EXCHANGE TRADED FD | FIRST TR TA HIYL | 16,145 | 38,323 | +22,178 | $774,000 | $1,864,000 | +$1,090,000 | |
| FVD FIRST TR VALUE LINE DIVID IN | SHS | 150,731 | 189,375 | +38,644 | $4,070,000 | $5,113,000 | +$1,043,000 | |
| VCLT VANGUARD SCOTTSDALE FDS | LG-TERM COR BD | 22,450 | 32,627 | +10,177 | $2,126,000 | $3,122,000 | +$996,000 | |
| IMCG ISHARES TR | MRGSTR MD CP GRW | 1,955 | 7,813 | +5,858 | $305,000 | $1,272,000 | +$967,000 | |
| SPDR SERIES TRUST CUSIP 78464A417 | BRC HGH YLD BD | 190,033 | 210,608 | +20,575 | $6,786,000 | $7,734,000 | +$948,000 | |
| VIOG VANGUARD ADMIRAL FDS INC | SMLCP 600 GRTH | 28,246 | 33,748 | +5,502 | $3,091,000 | $3,983,000 | +$892,000 | |
| NOBL PROSHARES TR | S&P 500 DV ARIST | 12,616 | 28,866 | +16,250 | $685,000 | $1,568,000 | +$883,000 | |
| IEMG ISHARES INC | CORE MSCI EMKT | 46,873 | 62,400 | +15,527 | $1,974,000 | $2,846,000 | +$872,000 | |
| VBR VANGUARD INDEX FDS | SM CP VAL ETF | 29,870 | 36,047 | +6,177 | $3,145,000 | $3,989,000 | +$844,000 | |
| VYM VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 90,986 | 101,699 | +10,713 | $6,512,000 | $7,337,000 | +$825,000 | |
| IYJ ISHARES TR | U.S. INDS ETF | 11,127 | 17,750 | +6,623 | $1,218,000 | $2,030,000 | +$812,000 | |
| VT VANGUARD INTL EQUITY INDEX F | TT WRLD ST ETF | 7,975 | 20,871 | +12,896 | $468,000 | $1,270,000 | +$802,000 | |
| IYW ISHARES TR | U.S. TECH ETF | 9,107 | 14,857 | +5,750 | $969,000 | $1,768,000 | +$799,000 | |
| IVV ISHARES TR | CORE S&P500 ETF | 14,836 | 17,977 | +3,141 | $3,118,000 | $3,911,000 | +$793,000 | |
| IJJ ISHARES TR | S&P MC 400VL ETF | 82,427 | 85,211 | +2,784 | $10,556,000 | $11,333,000 | +$777,000 | |
| IYE ISHARES TR | U.S. ENERGY ETF | 84,275 | 102,039 | +17,764 | $3,228,000 | $3,980,000 | +$752,000 | |
| SHY ISHARES TR | 1-3 YR TR BD ETF | 167,045 | 176,076 | +9,031 | $14,241,000 | $14,973,000 | +$732,000 | |
| BNDX VANGUARD CHARLOTTE FDS | INTL BD IDX ETF | 108,644 | 121,238 | +12,594 | $6,071,000 | $6,794,000 | +$723,000 | |
| SDY SPDR SERIES TRUST | S&P DIVID ETF | 46,498 | 54,353 | +7,855 | $3,885,000 | $4,585,000 | +$700,000 | |
| DVY ISHARES TR | SELECT DIVID ETF | 49,649 | 57,099 | +7,450 | $4,240,000 | $4,893,000 | +$653,000 | |
| IWF ISHARES TR | RUS 1000 GRW ETF | 42,257 | 46,581 | +4,324 | $4,247,000 | $4,852,000 | +$605,000 | |
| IWD ISHARES TR | RUS 1000 VAL ETF | 50,193 | 54,233 | +4,040 | $5,179,000 | $5,728,000 | +$549,000 | |
| SCHF SCHWAB STRATEGIC TR | INTL EQTY ETF | 75,048 | 88,319 | +13,271 | $2,035,000 | $2,543,000 | +$508,000 | |
| USMV ISHARES TR | MIN VOL USA ETF | 69,962 | 81,929 | +11,967 | $3,216,000 | $3,722,000 | +$506,000 | |
| VIG VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 49,009 | 54,398 | +5,389 | $4,064,000 | $4,566,000 | +$502,000 | |
| IEI ISHARES TR | 3-7 YR TR BD ETF | 14,368 | 18,128 | +3,760 | $1,835,000 | $2,294,000 | +$459,000 | |
| BLV VANGUARD BD INDEX FD INC | LONG TERM BOND | 13,911 | 18,436 | +4,525 | $1,365,000 | $1,818,000 | +$453,000 | |
| VPU VANGUARD WORLD FDS | UTILITIES ETF | 8,081 | 12,824 | +4,743 | $920,000 | $1,372,000 | +$452,000 | |
| FDN FIRST TR EXCHANGE TRADED FD | DJ INTERNT IDX | 45,242 | 45,298 | +56 | $3,256,000 | $3,695,000 | +$439,000 | |
| VHT VANGUARD WORLD FDS | HEALTH CAR ETF | 9,295 | 12,220 | +2,925 | $1,213,000 | $1,624,000 | +$411,000 | |
| CMF ISHARES TR | CALIF MUN BD ETF | 1,948 | 5,233 | +3,285 | $238,000 | $632,000 | +$394,000 | |
| EEMV ISHARES | MIN VOL EMRG MKT | 4,724 | 11,763 | +7,039 | $244,000 | $636,000 | +$392,000 | |
| IVOO VANGUARD ADMIRAL FDS INC | MIDCP 400 IDX | 3,174 | 6,825 | +3,651 | $324,000 | $714,000 | +$390,000 | |
| IJT ISHARES TR | SP SMCP600GR ETF | 18,085 | 19,717 | +1,632 | $2,322,000 | $2,704,000 | +$382,000 | |
| SJNK SPDR SER TR | SHT TRM HGH YLD | 57,808 | 69,820 | +12,012 | $1,557,000 | $1,933,000 | +$376,000 | |
| POWERSHARES ETF TR II CUSIP 73937B779 | S&P500 LOW VOL | 243,788 | 260,016 | +16,228 | $10,413,000 | $10,788,000 | +$375,000 | |
| FTCS FIRST TR EXCHANGE TRADED FD | CAP STRENGTH ETF | 119,943 | 127,861 | +7,918 | $4,762,000 | $5,132,000 | +$370,000 | |
| FDL FIRST TR MORNINGSTAR DIV LEA | SHS | 113,079 | 124,186 | +11,107 | $3,028,000 | $3,387,000 | +$359,000 | |
| RVT ROYCE VALUE TR INC | COM | 207,233 | 220,433 | +13,200 | $2,438,000 | $2,791,000 | +$353,000 | |
| IPAC ISHARES TR | CORE MSCI PAC | 43,671 | 46,959 | +3,288 | $2,038,000 | $2,388,000 | +$350,000 | |
| VEU VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 15,741 | 22,414 | +6,673 | $673,000 | $1,018,000 | +$345,000 | |
| HYT BLACKROCK CORPOR HI YLD FD I | COM | 60,541 | 86,295 | +25,754 | $630,000 | $934,000 | +$304,000 | |
| LMBS FIRST TR EXCHANGE TRADED FD | FST LOW OPPT EFT | 45,385 | 50,317 | +4,932 | $2,347,000 | $2,637,000 | +$290,000 | |
| FTC FIRST TR LRG CP GRWTH ALPHAD | COM SHS | 43,026 | 48,056 | +5,030 | $2,143,000 | $2,427,000 | +$284,000 | |
| FYX FIRST TR SML CP CORE ALPHA F | COM SHS | 26,332 | 29,717 | +3,385 | $1,217,000 | $1,480,000 | +$263,000 | |
| GXC SPDR INDEX SHS FDS | S&P CHINA ETF | 10,424 | 12,384 | +1,960 | $733,000 | $990,000 | +$257,000 | |
| XBI SPDR SERIES TRUST | S&P BIOTECH | 4,724 | 7,664 | +2,940 | $257,000 | $508,000 | +$251,000 | |
| FUND SPROTT FOCUS TR INC | COM | 97,368 | 126,789 | +29,421 | $625,000 | $875,000 | +$250,000 | |
| QUAL ISHARES TR | USA QUALITY FCTR | 5,995 | 9,534 | +3,539 | $399,000 | $643,000 | +$244,000 | |
| IEUR ISHARES TR | CORE MSCI EURO | 43,299 | 47,403 | +4,104 | $1,720,000 | $1,961,000 | +$241,000 | |
| FTA FIRST TR LRG CP VL ALPHADEX | COM SHS | 61,065 | 62,667 | +1,602 | $2,433,000 | $2,668,000 | +$235,000 | |
| VO VANGUARD INDEX FDS | MID CAP ETF | 22,932 | 23,630 | +698 | $2,829,000 | $3,059,000 | +$230,000 | |
| POWERSHARES ETF TR II CUSIP 73936T557 | FDM HG YLD RAFI | 14,693 | 26,474 | +11,781 | $272,000 | $500,000 | +$228,000 | |
| XLE SELECT SECTOR SPDR TR | SBI INT-ENERGY | 85,891 | 86,235 | +344 | $5,868,000 | $6,089,000 | +$221,000 | |
| VOT VANGUARD INDEX FDS | MCAP GR IDXVIP | 13,438 | 14,865 | +1,427 | $1,368,000 | $1,581,000 | +$213,000 | |
| VDC VANGUARD WORLD FDS | CONSUM STP ETF | 8,251 | 10,017 | +1,766 | $1,166,000 | $1,371,000 | +$205,000 | |
| NAC NUVEEN CA DIVIDEND ADV MUN F | COM | 38,385 | 51,461 | +13,076 | $651,000 | $846,000 | +$195,000 | |
| TLH ISHARES TR | 10-20 YR TRS ETF | 11,735 | 13,181 | +1,446 | $1,721,000 | $1,909,000 | +$188,000 | |
| HIX WESTERN ASSET HIGH INCM FD I | COM | 25,800 | 50,500 | +24,700 | $180,000 | $363,000 | +$183,000 | |
| SPFF GLOBAL X FDS | GLBX SUPRINC ETF | 14,506 | 27,893 | +13,387 | $198,000 | $375,000 | +$177,000 | |
| BBN BLACKROCK TAX MUNICPAL BD TR | SHS | 9,911 | 17,423 | +7,512 | $241,000 | $418,000 | +$177,000 | |
| IWO ISHARES TR | RUS 2000 GRW ETF | 11,400 | 11,662 | +262 | $1,567,000 | $1,737,000 | +$170,000 | |
| CHI CALAMOS CONV OPP AND INC FD | SH BEN INT | 64,181 | 77,417 | +13,236 | $631,000 | $800,000 | +$169,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X302 | HI YLD EQ DVDN | 63,700 | 72,954 | +9,254 | $990,000 | $1,159,000 | +$169,000 | |
| VSS VANGUARD INTL EQUITY INDEX F | FTSE SMCAP ETF | 12,003 | 12,863 | +860 | $1,117,000 | $1,280,000 | +$163,000 | |
| FXU FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 11,129 | 17,768 | +6,639 | $300,000 | $461,000 | +$161,000 | |
| EFV ISHARES TR | EAFE VALUE ETF | 11,494 | 13,845 | +2,351 | $494,000 | $639,000 | +$145,000 | |
| ISHARES GOLD TRUST CUSIP 464285105 | ISHARES | 155,348 | 167,687 | +12,339 | $1,986,000 | $2,128,000 | +$142,000 | |
| VCSH VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 43,706 | 45,584 | +1,878 | $3,531,000 | $3,672,000 | +$141,000 | |
| VTV VANGUARD INDEX FDS | VALUE ETF | 11,834 | 13,209 | +1,375 | $1,010,000 | $1,149,000 | +$139,000 | |
| FNX FIRST TR MID CAP CORE ALPHAD | COM SHS | 22,853 | 24,472 | +1,619 | $1,155,000 | $1,293,000 | +$138,000 | |
| RYDEX ETF TRUST CUSIP 78355W304 | GUG S&P500 PU VA | 6,238 | 8,625 | +2,387 | $321,000 | $456,000 | +$135,000 | |
| OEF ISHARES TR | S&P 100 ETF | 10,749 | 11,814 | +1,065 | $1,002,000 | $1,133,000 | +$131,000 | |
| SCZ ISHARES TR | EAFE SML CP ETF | 24,426 | 24,961 | +535 | $1,178,000 | $1,308,000 | +$130,000 | |
| ETF MANAGERS TR CUSIP 26924G201 | PUREFUNDS ISE CY | 16,469 | 18,736 | +2,267 | $395,000 | $523,000 | +$128,000 |
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