KMS FINANCIAL 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 2014-06-30 to 2014-09-30, KMS FINANCIAL SERVICES, INC opened 11 positions, added to 94, reduced 61, sold out of 13 and left 14 unchanged. The largest increase in value was BSV (+$1,795,000); the largest decrease was DFP (-$2,490,000).
- BSV: Country of operation —; Class SHORT TRM BOND; Shares 2014-06-30 205,895; Shares 2014-09-30 228,995.
- VUG: Country of operation —; Class GROWTH ETF; Shares 2014-06-30 319,988; Shares 2014-09-30 333,266.
- VYM: Country of operation —; Class HIGH DIV YLD; Shares 2014-06-30 257,582; Shares 2014-09-30 278,335.
- BND: Country of operation —; Class TOTAL BND MRKT; Shares 2014-06-30 139,319; Shares 2014-09-30 156,000.
Two Form 13F-HR filings compared (SEC CIK 1580308): 2014-06-30 (filed 2014-08-12) and 2014-09-30 (filed 2014-11-17). 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 2014-06-30 | Shares 2014-09-30 | Share change | Value 2014-06-30 | Value 2014-09-30 | Value change |
|---|---|---|---|---|---|---|---|---|
| BSV VANGUARD BD INDEX FD INC | SHORT TRM BOND | 205,895 | 228,995 | +23,100 | $16,541,000 | $18,336,000 | +$1,795,000 | |
| VUG VANGUARD INDEX FDS | GROWTH ETF | 319,988 | 333,266 | +13,278 | $31,647,000 | $33,217,000 | +$1,570,000 | |
| VYM VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 257,582 | 278,335 | +20,753 | $17,082,000 | $18,484,000 | +$1,402,000 | |
| BND VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 139,319 | 156,000 | +16,681 | $11,455,000 | $12,781,000 | +$1,326,000 | |
| SPY SPDR S&P 500 ETF TR | TR UNIT | 17,685 | 23,720 | +6,035 | $3,462,000 | $4,673,000 | +$1,211,000 | |
| HDV ISHARES H | HGH DIV EQT FD | 12,859 | 26,209 | +13,350 | $969,000 | $1,972,000 | +$1,003,000 | |
| HYG ISHARES I | HIGH YLD CORP | 7,836 | 17,852 | +10,016 | $746,000 | $1,641,000 | +$895,000 | |
| IWM ISHARES RUS | RUSSELL 2000 | 5,792 | 11,397 | +5,605 | $689,000 | $1,247,000 | +$558,000 | |
| FNDA SCHWAB STRATEGIC TR SCHWAB | FDT US SC | 95,926 | 119,887 | +23,961 | $2,837,000 | $3,315,000 | +$478,000 | |
| IVW ISHARES S&P 5 | S&P500 GRW | 4,341 | 8,556 | +4,215 | $456,000 | $914,000 | +$458,000 | |
| SCHD SCHWAB STRATEGIC TR | US DIVIDEND EQ | 88,198 | 97,270 | +9,072 | $3,375,000 | $3,751,000 | +$376,000 | |
| POWERSHARES ETF TR II CUSIP 73937B407 | BUILD AMER ETF | 13,182 | 24,645 | +11,463 | $386,000 | $730,000 | +$344,000 | |
| IWF ISHARES R | RUSSELL1000GRW | 15,285 | 18,826 | +3,541 | $1,389,000 | $1,725,000 | +$336,000 | |
| RYDEX ETF TRUST CUSIP 78355W106 | GUG S&P500 EQ WT | 22,564 | 27,234 | +4,670 | $1,731,000 | $2,064,000 | +$333,000 | |
| XLV SELECT SECTOR SPDR TR | SBI HEALTHCARE | 17,128 | 20,734 | +3,606 | $1,042,000 | $1,325,000 | +$283,000 | |
| IBB ISHARES N | NASDQ BIO INDX | 13,413 | 13,590 | +177 | $3,448,000 | $3,718,000 | +$270,000 | |
| XLE SELECT SECTOR SPDR TR | SBI INT-ENERGY | 27,718 | 28,081 | +363 | $2,775,000 | $2,545,000 | -$230,000 | |
| OEF ISHA | S&P 100 IDX FD | 3,659 | 6,082 | +2,423 | $317,000 | $536,000 | +$219,000 | |
| IJR ISHARES | CORE S&P SCP ETF | 28,818 | 28,956 | +138 | $3,230,000 | $3,020,000 | -$210,000 | |
| IWD ISHARES R | RUSSELL1000VAL | 32,399 | 34,715 | +2,316 | $3,281,000 | $3,475,000 | +$194,000 | |
| VIG VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 212,128 | 212,458 | +330 | $16,536,000 | $16,349,000 | -$187,000 | |
| MINT PIMCO ETF TR | ENHAN SHRT MAT | 18,076 | 19,855 | +1,779 | $1,833,000 | $2,012,000 | +$179,000 | |
| DBL DOUBLELINE OPPORTUNISTIC CR | COM | 9,576 | 15,555 | +5,979 | $226,000 | $367,000 | +$141,000 | |
| XLP SELECT SECTOR SPDR TR | SBI CONS STPLS | 9,353 | 12,054 | +2,701 | $417,000 | $544,000 | +$127,000 | |
| SPDR SERIES TRUST CUSIP 78464A417 | BRC HGH YLD BD | 20,365 | 24,072 | +3,707 | $849,000 | $967,000 | +$118,000 | |
| VBR VANGUARD INDEX FDS | SM CP VAL ETF | 18,859 | 18,866 | +7 | $1,990,000 | $1,882,000 | -$108,000 | |
| IWP ISHARES R | RUSSELL MCP GR | 8,835 | 10,129 | +1,294 | $791,000 | $895,000 | +$104,000 | |
| STPZ PIMCO ETF TR | 1-5 US TIP IDX | 9,420 | 11,520 | +2,100 | $505,000 | $605,000 | +$100,000 | |
| FLOT ISHARES FLT | FLTG RATE NT | 4,149 | 5,974 | +1,825 | $211,000 | $303,000 | +$92,000 | |
| XLK SELECT SECTOR SPDR TR | TECHNOLOGY | 5,391 | 7,496 | +2,105 | $207,000 | $299,000 | +$92,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X799 | DYN PHRMA PORT | 33,951 | 33,975 | +24 | $2,074,000 | $2,163,000 | +$89,000 | |
| VDC VANGUARD WORLD FDS | CONSUM STP ETF | 8,482 | 9,124 | +642 | $983,000 | $1,072,000 | +$89,000 | |
| FNDX SCHWAB STRATEGIC TR SCHWAB | FDT US LG | 9,877 | 12,676 | +2,799 | $286,000 | $368,000 | +$82,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X286 | DYNA BUYBK ACH | 88,003 | 89,977 | +1,974 | $3,947,000 | $4,026,000 | +$79,000 | |
| VNQI VANGUARD INTL EQUITY INDEX F | GLB EX US ETF | 43,159 | 44,816 | +1,657 | $2,506,000 | $2,440,000 | -$66,000 | |
| DVY ISHARES S | DJ SEL DIV INX | 34,176 | 36,482 | +2,306 | $2,630,000 | $2,695,000 | +$65,000 | |
| MDIV FIRST TR EXCHANGE TRADED FD | MULTI ASSET DI | 10,793 | 14,096 | +3,303 | $241,000 | $303,000 | +$62,000 | |
| VCSH VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 14,986 | 15,836 | +850 | $1,204,000 | $1,265,000 | +$61,000 | |
| REZ ISHARES | RESIDENT PLS CAP | 5,149 | 6,549 | +1,400 | $275,000 | $335,000 | +$60,000 | |
| SDY SPDR SERIES TRUST | S&P DIVID ETF | 11,312 | 12,343 | +1,031 | $866,000 | $925,000 | +$59,000 | |
| SCHA SCHWAB STRATEGIC TR | US SML CAP ETF | 3,982 | 5,350 | +1,368 | $218,000 | $275,000 | +$57,000 | |
| XLB SELECT SECTOR SPDR TR | SBI MATERIALS | 5,378 | 6,520 | +1,142 | $267,000 | $323,000 | +$56,000 | |
| PFN PIMCO INCOME STRATEGY FUND I | COM | 61,243 | 69,108 | +7,865 | $677,000 | $728,000 | +$51,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X369 | INDL SECT PORT | 10,150 | 11,771 | +1,621 | $488,000 | $539,000 | +$51,000 | |
| IYH ISHARES | DJ US HEALTHCR | 1,828 | 2,113 | +285 | $234,000 | $284,000 | +$50,000 | |
| KRE SPDR SERIES TRUST | S&P REGL BKG | 47,494 | 49,267 | +1,773 | $1,915,000 | $1,865,000 | -$50,000 | |
| IYW ISHARE | DJ US TECH SEC | 2,733 | 3,099 | +366 | $265,000 | $312,000 | +$47,000 | |
| FTF FRANKLIN TEMPLETON LTD DUR I | COM | 41,485 | 47,612 | +6,127 | $543,000 | $589,000 | +$46,000 | |
| POWERSHARES ETF TRUST II CUSIP 73936Q769 | SENIOR LN PORT | 19,542 | 21,914 | +2,372 | $486,000 | $532,000 | +$46,000 | |
| EFAV ISHARES E | EAFE MIN VOLAT | 4,873 | 5,809 | +936 | $319,000 | $364,000 | +$45,000 | |
| FTEC FIDELITY | MSCI INFO TECH I | 16,523 | 17,427 | +904 | $482,000 | $525,000 | +$43,000 | |
| ALPS ETF TR CUSIP 00162Q866 | ALERIAN MLP | 106,609 | 107,625 | +1,016 | $2,025,000 | $2,063,000 | +$38,000 | |
| IXC ISHARES GLO | S&P GBL ENER | 8,192 | 8,217 | +25 | $397,000 | $360,000 | -$37,000 | |
| WIW WESTERN ASSET CLYM INFL OPP | COM | 88,020 | 96,070 | +8,050 | $1,084,000 | $1,113,000 | +$29,000 | |
| EEM ISHARES M | MSCI EMERG MKT | 5,586 | 6,473 | +887 | $242,000 | $270,000 | +$28,000 | |
| TIP ISH | BARCLYS TIPS BD | 14,625 | 14,845 | +220 | $1,688,000 | $1,663,000 | -$25,000 | |
| VDE VANGUARD WORLD FDS | ENERGY ETF | 4,895 | 5,204 | +309 | $705,000 | $682,000 | -$23,000 | |
| ISHARES GOLD TRUST CUSIP 464285105 | ISHARES | 29,670 | 34,527 | +4,857 | $382,000 | $404,000 | +$22,000 | |
| IVE ISHARES S | S&P 500 VALUE | 14,119 | 14,404 | +285 | $1,275,000 | $1,297,000 | +$22,000 | |
| SCHM SCHWAB STRATEGIC TR | US MID-CAP ETF | 6,983 | 7,821 | +838 | $281,000 | $303,000 | +$22,000 | |
| EFV ISHARES E | MSCI VAL IDX | 9,078 | 10,093 | +1,015 | $531,000 | $552,000 | +$21,000 | |
| VHT VANGUARD WORLD FDS | HEALTH CAR ETF | 3,851 | 3,854 | +3 | $430,000 | $451,000 | +$21,000 | |
| IDV ISHARES | DJ INTL SEL DIVD | 6,313 | 6,484 | +171 | $252,000 | $232,000 | -$20,000 | |
| SCHF SCHWAB STRATEGIC TR | INTL EQTY ETF | 6,943 | 7,993 | +1,050 | $229,000 | $248,000 | +$19,000 | |
| VGK VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 3,857 | 4,511 | +654 | $231,000 | $249,000 | +$18,000 | |
| SCHB SCHWAB STRATEGIC TR | US BRD MKT ETF | 5,278 | 5,662 | +384 | $252,000 | $269,000 | +$17,000 | |
| RVT ROYCE VALUE TR INC | COM | 15,248 | 15,706 | +458 | $244,000 | $228,000 | -$16,000 | |
| RWO SPDR INDEX SHS FDS | DJ GLB RL ES ETF | 14,280 | 14,671 | +391 | $666,000 | $650,000 | -$16,000 | |
| VCIT VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 2,371 | 2,561 | +190 | $205,000 | $220,000 | +$15,000 | |
| VEU VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 9,266 | 10,154 | +888 | $485,000 | $500,000 | +$15,000 | |
| IGR CBRE CLARION GLOBAL REAL EST | COM | 72,901 | 81,008 | +8,107 | $664,000 | $679,000 | +$15,000 | |
| IYR ISHARES U | DJ US REAL EST | 5,152 | 5,522 | +370 | $370,000 | $382,000 | +$12,000 | |
| SCZ ISHARES | MSCI SMALL CAP | 5,373 | 5,617 | +244 | $284,000 | $272,000 | -$12,000 | |
| SLYV SPDR SERIES TRUST | S&P 600 SMCP VAL | 3,271 | 3,425 | +154 | $361,000 | $350,000 | -$11,000 | |
| IJS ISHARES S | S&P SMLCP VALU | 2,968 | 3,284 | +316 | $343,000 | $352,000 | +$9,000 | |
| IWO ISHARES R | RUSL 2000 GROW | 2,702 | 2,814 | +112 | $374,000 | $365,000 | -$9,000 | |
| RWR SPDR SERIES TRUST | DJ REIT ETF | 4,324 | 4,610 | +286 | $359,000 | $368,000 | +$9,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X427 | BASIC MAT SECT | 15,409 | 15,579 | +170 | $852,000 | $861,000 | +$9,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X716 | INTL DIV ACHV | 14,558 | 14,671 | +113 | $281,000 | $272,000 | -$9,000 | |
| USMV ISHARES | USA MIN VOL ID | 13,328 | 13,382 | +54 | $496,000 | $505,000 | +$9,000 | |
| XSD SPDR SERIES TRUST | S&P SEMICNDCTR | 7,214 | 7,259 | +45 | $542,000 | $533,000 | -$9,000 | |
| ETW EATON VANCE TXMGD GL BUYWR O | COM | 13,362 | 13,387 | +25 | $170,000 | $163,000 | -$7,000 | |
| ISHARES MSC CUSIP 464286848 | MSCI JAPAN | 14,402 | 15,310 | +908 | $174,000 | $180,000 | +$6,000 | |
| FVD FIRST TR VALUE LINE DIVID IN | SHS | 18,160 | 18,275 | +115 | $415,000 | $410,000 | -$5,000 | |
| VXF VANGUARD INDEX FDS | EXTEND MKT ETF | 2,708 | 2,898 | +190 | $238,000 | $242,000 | +$4,000 | |
| CSQ CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 12,368 | 12,377 | +9 | $149,000 | $145,000 | -$4,000 | |
| MGK VANGUARD WORLD FD | MEGA GRWTH IND | 4,398 | 4,403 | +5 | $338,000 | $342,000 | +$4,000 | |
| VIS VANGUARD WORLD FDS | INDUSTRIAL ETF | 4,869 | 4,969 | +100 | $508,000 | $504,000 | -$4,000 | |
| MGV VANGUARD WORLD FD | MEGA CAP VAL ETF | 4,865 | 4,895 | +30 | $284,000 | $287,000 | +$3,000 | |
| IGSB ISHARES | BARCLYS 1-3YR CR | 3,491 | 3,539 | +48 | $369,000 | $372,000 | +$3,000 | |
| FIRST TR ABERDEEN GLBL OPP F CUSIP 337319107 | United States | COM SHS | 29,155 | 31,605 | +2,450 | $428,000 | $430,000 | +$2,000 |
| MMU WESTERN ASST MNGD MUN FD INC | COM | 10,300 | 10,448 | +148 | $135,000 | $137,000 | +$2,000 | |
| EXG EATON VANCE TAX MNGD GBL DV | COM | 21,349 | 21,969 | +620 | $221,000 | $220,000 | -$1,000 | |
| DNP DNP SELECT INCOME FD | COM | 15,080 | 15,585 | +505 | $158,000 | $158,000 | $0 |
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