First Allied Advisory Services, Inc. quarter change: USA ETF, Reduced
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).
- AGG: Country of operation —; Class CORE US AGGBD ET; Shares 2016-06-30 308,515; Shares 2016-09-30 267,373.
- TLT: Country of operation —; Class 20 YR TR BD ETF; Shares 2016-06-30 77,231; Shares 2016-09-30 46,902.
- XLU: Country of operation —; Class SBI INT-UTILS; Shares 2016-06-30 85,226; Shares 2016-09-30 30,963.
- IVW: Country of operation —; Class S&P 500 GRWT ETF; Shares 2016-06-30 46,609; Shares 2016-09-30 20,536.
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 |
|---|---|---|---|---|---|---|---|---|
| AGG ISHARES TR | CORE US AGGBD ET | 308,515 | 267,373 | -41,142 | $34,751,000 | $30,058,000 | -$4,693,000 | |
| TLT ISHARES TR | 20 YR TR BD ETF | 77,231 | 46,902 | -30,329 | $10,736,000 | $6,449,000 | -$4,287,000 | |
| XLU SELECT SECTOR SPDR TR | SBI INT-UTILS | 85,226 | 30,963 | -54,263 | $4,463,000 | $1,517,000 | -$2,946,000 | |
| IVW ISHARES TR | S&P 500 GRWT ETF | 46,609 | 20,536 | -26,073 | $5,435,000 | $2,498,000 | -$2,937,000 | |
| DBEF DBX ETF TR | XTRAK MSCI EAFE | 620,017 | 488,517 | -131,500 | $15,476,000 | $12,887,000 | -$2,589,000 | |
| MBB ISHARES TR | MBS ETF | 167,102 | 150,321 | -16,781 | $18,390,000 | $16,549,000 | -$1,841,000 | |
| IWS ISHARES TR | RUS MDCP VAL ETF | 32,556 | 8,784 | -23,772 | $2,423,000 | $674,000 | -$1,749,000 | |
| POWERSHARES ETF TR II CUSIP 73936T573 | SOVEREIGN DEBT | 74,640 | 24,914 | -49,726 | $2,210,000 | $763,000 | -$1,447,000 | |
| FV FIRST TR EXCHANGE TRADED FD | DORSEY WRT 5 ETF | 435,138 | 364,334 | -70,804 | $9,711,000 | $8,343,000 | -$1,368,000 | |
| TIP ISHARES TR | TIPS BD ETF | 42,292 | 31,728 | -10,564 | $4,952,000 | $3,696,000 | -$1,256,000 | |
| SPTL SPDR SERIES TRUST | BRCLYS LG TRS ET | 23,110 | 8,386 | -14,724 | $1,848,000 | $663,000 | -$1,185,000 | |
| POWERSHARES ETF TR II CUSIP 73937B654 | PWRSHS SP500 LOW | 155,295 | 123,395 | -31,900 | $5,929,000 | $4,801,000 | -$1,128,000 | |
| RWR SPDR SERIES TRUST | DJ REIT ETF | 40,138 | 29,700 | -10,438 | $3,993,000 | $2,892,000 | -$1,101,000 | |
| HDV ISHARES TR | CORE HIGH DV ETF | 29,555 | 16,400 | -13,155 | $2,428,000 | $1,333,000 | -$1,095,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X153 | DWA MOMENTUM PTF | 138,310 | 116,885 | -21,425 | $5,827,000 | $4,957,000 | -$870,000 | |
| TFI SPDR SER TR | NUVN BRCLY MUNI | 47,410 | 32,182 | -15,228 | $2,403,000 | $1,612,000 | -$791,000 | |
| HYG ISHARES TR | IBOXX HI YD ETF | 161,146 | 147,565 | -13,581 | $13,654,000 | $12,877,000 | -$777,000 | |
| IYR ISHARES TR | U.S. REAL ES ETF | 26,337 | 17,703 | -8,634 | $2,172,000 | $1,428,000 | -$744,000 | |
| IYZ ISHARES TR | U.S. TELECOM ETF | 27,886 | 6,341 | -21,545 | $925,000 | $204,000 | -$721,000 | |
| SPIB SPDR SERIES TRUST | INTR TRM CORP BD | 45,261 | 24,908 | -20,353 | $1,578,000 | $870,000 | -$708,000 | |
| BIV VANGUARD BD INDEX FD INC | INTERMED TERM | 43,045 | 36,047 | -6,998 | $3,796,000 | $3,160,000 | -$636,000 | |
| VCIT VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 35,101 | 28,163 | -6,938 | $3,134,000 | $2,523,000 | -$611,000 | |
| POWERSHARES ETF TR II CUSIP 73936T474 | INSUR NATL MUN | 84,901 | 64,329 | -20,572 | $2,253,000 | $1,675,000 | -$578,000 | |
| DWX SPDR INDEX SHS FDS | S&P INTL ETF | 443,218 | 438,486 | -4,732 | $15,610,000 | $16,132,000 | +$522,000 | |
| MINT PIMCO ETF TR | ENHAN SHRT MA AC | 18,282 | 13,418 | -4,864 | $1,852,000 | $1,361,000 | -$491,000 | |
| VOX VANGUARD WORLD FDS | TELCOMM ETF | 8,299 | 3,516 | -4,783 | $820,000 | $332,000 | -$488,000 | |
| XLB SELECT SECTOR SPDR TR | SBI MATERIALS | 27,227 | 16,332 | -10,895 | $1,258,000 | $780,000 | -$478,000 | |
| IHI ISHARES TR | U.S. MED DVC ETF | 6,969 | 3,204 | -3,765 | $944,000 | $466,000 | -$478,000 | |
| IVE ISHARES TR | S&P 500 VAL ETF | 66,666 | 60,359 | -6,307 | $6,200,000 | $5,732,000 | -$468,000 | |
| DIA SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 11,992 | 9,285 | -2,707 | $2,154,000 | $1,697,000 | -$457,000 | |
| VTIP VANGUARD MALVERN FDS | STRM INFPROIDX | 151,501 | 142,216 | -9,285 | $7,510,000 | $7,061,000 | -$449,000 | |
| TBF PROSHARES TR | SHRT 20+YR TRE | 298,060 | 278,155 | -19,905 | $6,267,000 | $5,841,000 | -$426,000 | |
| BOND PIMCO ETF TR | TTL RTN ACTV ETF | 9,725 | 5,745 | -3,980 | $1,042,000 | $620,000 | -$422,000 | |
| XLV SELECT SECTOR SPDR TR | SBI HEALTHCARE | 149,443 | 144,975 | -4,468 | $10,750,000 | $10,454,000 | -$296,000 | |
| BSV VANGUARD BD INDEX FD INC | SHORT TRM BOND | 76,763 | 73,284 | -3,479 | $6,215,000 | $5,924,000 | -$291,000 | |
| DXJ WISDOMTREE TR | JAPN HEDGE EQT | 77,744 | 75,988 | -1,756 | $2,996,000 | $3,261,000 | +$265,000 | |
| PFN PIMCO INCOME STRATEGY FUND I | COM | 46,137 | 17,019 | -29,118 | $423,000 | $162,000 | -$261,000 | |
| VOO VANGUARD INDEX FDS | S&P 500 ETF SHS | 12,916 | 11,208 | -1,708 | $2,482,000 | $2,227,000 | -$255,000 | |
| VOE VANGUARD INDEX FDS | MCAP VL IDXVIP | 21,206 | 17,433 | -3,773 | $1,885,000 | $1,631,000 | -$254,000 | |
| IGSB ISHARES TR | 1-3 YR CR BD ETF | 49,622 | 47,585 | -2,037 | $5,278,000 | $5,033,000 | -$245,000 | |
| SPY SPDR S&P 500 ETF TR | TR UNIT | 133,353 | 127,895 | -5,458 | $27,905,000 | $27,664,000 | -$241,000 | |
| XLP SELECT SECTOR SPDR TR | SBI CONS STPLS | 73,965 | 72,298 | -1,667 | $4,086,000 | $3,847,000 | -$239,000 | |
| ACWI ISHARES TR | MSCI ACWI ETF | 143,103 | 132,661 | -10,442 | $8,066,000 | $7,840,000 | -$226,000 | |
| GRX GABELLI HLTHCARE & WELLNESS | SHS | 592,017 | 585,907 | -6,110 | $6,324,000 | $6,099,000 | -$225,000 | |
| SUB ISHARES TR | SHRT NAT MUN ETF | 4,204 | 2,225 | -1,979 | $447,000 | $236,000 | -$211,000 | |
| FXH FIRST TR EXCHANGE TRADED FD | HLTH CARE ALPH | 26,436 | 22,230 | -4,206 | $1,563,000 | $1,353,000 | -$210,000 | |
| IEFA ISHARES TR | CORE MSCI EAFE | 31,848 | 26,208 | -5,640 | $1,654,000 | $1,445,000 | -$209,000 | |
| PHK PIMCO HIGH INCOME FD | COM SHS | 51,592 | 31,137 | -20,455 | $503,000 | $310,000 | -$193,000 | |
| MXI ISHARES TR | GLOBAL MATER ETF | 9,605 | 5,312 | -4,293 | $468,000 | $284,000 | -$184,000 | |
| EFAV ISHARES TR | MIN VOL EAFE ETF | 115,758 | 111,189 | -4,569 | $7,701,000 | $7,521,000 | -$180,000 | |
| IWR ISHARES TR | RUS MID-CAP ETF | 3,288 | 2,185 | -1,103 | $556,000 | $381,000 | -$175,000 | |
| IBB ISHARES TR | NASDQ BIOTEC ETF | 8,934 | 8,581 | -353 | $2,310,000 | $2,484,000 | +$174,000 | |
| AGZ ISHARES TR | AGENCY BOND ETF | 8,336 | 6,832 | -1,504 | $964,000 | $790,000 | -$174,000 | |
| PIMCO ETF TR CUSIP 72201R106 | 1-3YR USTREIDX | 29,673 | 26,423 | -3,250 | $1,519,000 | $1,350,000 | -$169,000 | |
| XLI SELECT SECTOR SPDR TR | SBI INT-INDS | 38,000 | 33,574 | -4,426 | $2,128,000 | $1,960,000 | -$168,000 | |
| FXO FIRST TR EXCHANGE TRADED FD | FINLS ALPHADEX | 24,930 | 16,679 | -8,251 | $572,000 | $405,000 | -$167,000 | |
| IGIB ISHARES TR | INTERM CR BD ETF | 4,358 | 2,913 | -1,445 | $487,000 | $324,000 | -$163,000 | |
| RWO SPDR INDEX SHS FDS | DJ GLB RL ES ETF | 18,053 | 14,955 | -3,098 | $905,000 | $745,000 | -$160,000 | |
| BME BLACKROCK HEALTH SCIENCES TR | COM | 18,467 | 14,866 | -3,601 | $659,000 | $511,000 | -$148,000 | |
| IDU ISHARES TR | U.S. UTILITS ETF | 8,193 | 7,615 | -578 | $1,074,000 | $933,000 | -$141,000 | |
| XLK SELECT SECTOR SPDR TR | TECHNOLOGY | 340,657 | 311,605 | -29,052 | $14,764,000 | $14,888,000 | +$124,000 | |
| MUB ISHARES TR | NATIONAL MUN ETF | 49,138 | 48,549 | -589 | $5,596,000 | $5,474,000 | -$122,000 | |
| WTMF WISDOMTREE TR | FUTRE STRAT FD | 28,819 | 26,633 | -2,186 | $1,230,000 | $1,120,000 | -$110,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q769 | SENIOR LN PORT | 84,630 | 79,103 | -5,527 | $1,946,000 | $1,836,000 | -$110,000 | |
| RYDEX ETF TRUST CUSIP 78355W106 | GUG S&P500 EQ WT | 39,886 | 39,548 | -338 | $3,198,000 | $3,306,000 | +$108,000 | |
| SPDW SPDR INDEX SHS FDS | S&P WRLD EX US | 12,976 | 8,453 | -4,523 | $324,000 | $224,000 | -$100,000 | |
| SHM SPDR SER TR | NUVN BR SHT MUNI | 34,737 | 32,893 | -1,844 | $1,703,000 | $1,607,000 | -$96,000 | |
| FBT FIRST TR EXCHANGE TRADED FD | NY ARCA BIOTECH | 9,623 | 7,730 | -1,893 | $862,000 | $771,000 | -$91,000 | |
| IWB ISHARES TR | RUS 1000 ETF | 14,861 | 13,662 | -1,199 | $1,736,000 | $1,646,000 | -$90,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X757 | DYN LSR & ENT | 8,905 | 6,040 | -2,865 | $300,000 | $215,000 | -$85,000 | |
| FXG FIRST TR EXCHANGE TRADED FD | CONSUMR STAPLE | 28,860 | 28,466 | -394 | $1,405,000 | $1,322,000 | -$83,000 | |
| KBE SPDR SERIES TRUST | S&P BK ETF | 34,664 | 34,186 | -478 | $1,059,000 | $1,141,000 | +$82,000 | |
| EDIV SPDR INDEX SHS FDS | S&P EM MKT DIV | 195,569 | 195,207 | -362 | $5,322,000 | $5,403,000 | +$81,000 | |
| FXD FIRST TR EXCHANGE TRADED FD | CONSUMR DISCRE | 14,907 | 11,948 | -2,959 | $501,000 | $421,000 | -$80,000 | |
| MNA INDEXIQ ETF TR | IQ MRGR ARB ETF | 48,742 | 44,857 | -3,885 | $1,387,000 | $1,310,000 | -$77,000 | |
| IAI ISHARES TR | US BR DEL SE ETF | 15,508 | 15,274 | -234 | $559,000 | $635,000 | +$76,000 | |
| FEX FIRST TR LRGE CP CORE ALPHA | COM SHS | 55,938 | 52,379 | -3,559 | $2,521,000 | $2,448,000 | -$73,000 | |
| FEP FIRST TR EXCH TRD ALPHA FD I | EUROPE ALPHA | 36,992 | 36,337 | -655 | $1,010,000 | $1,073,000 | +$63,000 | |
| QLD PROSHARES TR | PSHS ULTRA QQQ | 4,139 | 4,129 | -10 | $294,000 | $357,000 | +$63,000 | |
| KRE SPDR SERIES TRUST | S&P REGL BKG | 9,048 | 6,746 | -2,302 | $347,000 | $285,000 | -$62,000 | |
| SOXX ISHARES TR | PHLX SEMICND ETF | 3,267 | 2,095 | -1,172 | $299,000 | $237,000 | -$62,000 | |
| VB VANGUARD INDEX FDS | SMALL CP ETF | 43,582 | 40,767 | -2,815 | $5,042,000 | $4,981,000 | -$61,000 | |
| OIA INVESCO MUNI INCOME OPP TRST | COM | 31,143 | 23,782 | -7,361 | $253,000 | $197,000 | -$56,000 | |
| HYS PIMCO ETF TR | 0-5 HIGH YIELD | 11,492 | 10,622 | -870 | $1,113,000 | $1,057,000 | -$56,000 | |
| CORP PIMCO ETF TR | INV GRD CRP BD | 2,770 | 2,255 | -515 | $297,000 | $241,000 | -$56,000 | |
| GOVT ISHARES TR | CORE US TR BD | 59,153 | 57,577 | -1,576 | $1,550,000 | $1,502,000 | -$48,000 | |
| PFO FLAHERTY & CRUMRINE PFD INC | COM | 19,248 | 17,173 | -2,075 | $242,000 | $197,000 | -$45,000 | |
| VXF VANGUARD INDEX FDS | EXTEND MKT ETF | 4,238 | 3,511 | -727 | $364,000 | $320,000 | -$44,000 | |
| IFV FIRST TR EXCHANGE TRADED FD | DORSEY WRIGHT | 13,798 | 10,608 | -3,190 | $227,000 | $185,000 | -$42,000 | |
| ETW EATON VANCE TXMGD GL BUYWR O | COM | 94,535 | 93,091 | -1,444 | $984,000 | $1,025,000 | +$41,000 | |
| VGK VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 150,415 | 144,958 | -5,457 | $7,023,000 | $7,064,000 | +$41,000 | |
| IAT ISHARES TR | US REGNL BKS ETF | 13,068 | 13,041 | -27 | $420,000 | $459,000 | +$39,000 | |
| IWV ISHARES TR | RUSSELL 3000 ETF | 9,597 | 9,532 | -65 | $1,184,000 | $1,222,000 | +$38,000 | |
| INDEXIQ ETF TR CUSIP 45409B206 | HDG MACTRK ETF | 36,289 | 34,102 | -2,187 | $897,000 | $860,000 | -$37,000 | |
| DLN WISDOMTREE TR | LARGECAP DIVID | 11,535 | 10,859 | -676 | $872,000 | $836,000 | -$36,000 | |
| XLY SELECT SECTOR SPDR TR | SBI CONS DISCR | 61,679 | 59,835 | -1,844 | $4,824,000 | $4,789,000 | -$35,000 | |
| VV VANGUARD INDEX FDS | LARGE CAP ETF | 5,974 | 5,435 | -539 | $572,000 | $539,000 | -$33,000 | |
| VUG VANGUARD INDEX FDS | GROWTH ETF | 30,145 | 28,513 | -1,632 | $3,235,000 | $3,202,000 | -$33,000 | |
| ACWX ISHARES TR | MSCI ACWI EX US | 13,863 | 12,267 | -1,596 | $539,000 | $509,000 | -$30,000 | |
| EWC ISHARES | MSCI CDA ETF | 20,844 | 19,173 | -1,671 | $521,000 | $493,000 | -$28,000 |
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