UBS AG 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, UBS AG opened 119 positions, added to 688, reduced 462, sold out of 81 and left 9 unchanged. The largest increase in value was IEMG (+$324,611,000); the largest decrease was SPY (-$1,571,085,000).
- NCA: Country of operation —; Class COM; Shares 2014-06-30 255,008; Shares 2014-09-30 289,389.
- PIMCO ETF TR: Country of operation —; Class 1-3YR USTREIDX; Shares 2014-06-30 3,757; Shares 2014-09-30 11,803.
- KF: Country of operation —; Class COM NEW; Shares 2014-06-30 5,066; Shares 2014-09-30 15,042.
- GLOBAL X FDS: Country of operation —; Class SILVER MNR ETF; Shares 2014-06-30 36,053; Shares 2014-09-30 86,123.
Two Form 13F-HR filings compared (SEC CIK 1114446): 2014-06-30 (filed 2014-08-14) and 2014-09-30 (filed 2014-11-12). 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 |
|---|---|---|---|---|---|---|---|---|
| NCA NUVEEN CALIF MUN VALUE FD | COM | 255,008 | 289,389 | +34,381 | $2,575,000 | $2,992,000 | +$417,000 | |
| PIMCO ETF TR CUSIP 72201R106 | 1-3YR USTREIDX | 3,757 | 11,803 | +8,046 | $191,000 | $601,000 | +$410,000 | |
| KF KOREA FD | COM NEW | 5,066 | 15,042 | +9,976 | $216,000 | $624,000 | +$408,000 | |
| GLOBAL X FDS CUSIP 37950E853 | SILVER MNR ETF | 36,053 | 86,123 | +50,070 | $511,000 | $916,000 | +$405,000 | |
| IYE ISHARES TR | U.S. ENERGY ETF | 172,196 | 181,918 | +9,722 | $9,781,000 | $9,376,000 | -$405,000 | |
| VXUS VANGUARD STAR FD | VG TL INTL STK F | 265,371 | 274,590 | +9,219 | $14,407,000 | $14,004,000 | -$403,000 | |
| POWERSHARES ETF TR II CUSIP 73937B753 | ASIA PAC BD PR | 3,382 | 19,137 | +15,755 | $83,000 | $476,000 | +$393,000 | |
| CAF MORGAN STANLEY CHINA A SH FD | COM | 23,070 | 36,890 | +13,820 | $506,000 | $895,000 | +$389,000 | |
| DIREXION SHS ETF TR CUSIP 25459Y488 | DLY SC BEAR3XNEW | 7,802 | 29,461 | +21,659 | $109,000 | $498,000 | +$389,000 | |
| VIOO VANGUARD ADMIRAL FDS INC | SMLLCP 600 IDX | 16,409 | 21,631 | +5,222 | $1,661,000 | $2,048,000 | +$387,000 | |
| SCD LMP CAP & INCOME FD INC | COM | 8,839 | 32,153 | +23,314 | $157,000 | $544,000 | +$387,000 | |
| IMCG ISHARES | MRGSTR MD CP GRW | 24,229 | 27,207 | +2,978 | $3,632,000 | $4,018,000 | +$386,000 | |
| WTMF WISDOMTREE TR | FUTRE STRAT FD | 68,079 | 73,919 | +5,840 | $2,844,000 | $3,223,000 | +$379,000 | |
| ERH WELLS FARGO ADVANTAGE UTILS | COM | 40,228 | 69,987 | +29,759 | $523,000 | $902,000 | +$379,000 | |
| SPDR INDEX SHS FDS CUSIP 78463X558 | S&P RUSSIA ETF | 749 | 18,098 | +17,349 | $20,000 | $397,000 | +$377,000 | |
| NRK NUVEEN NY AMT FREE MUN INCOM | COM | 395,536 | 434,060 | +38,524 | $5,185,000 | $5,556,000 | +$371,000 | |
| AOR ISHARES | GRWT ALLOCAT ETF | 36,215 | 46,514 | +10,299 | $1,466,000 | $1,836,000 | +$370,000 | |
| RFI COHEN & STEERS TOTAL RETURN | COM | 216,685 | 255,465 | +38,780 | $2,686,000 | $3,053,000 | +$367,000 | |
| SSO PROSHARES TR | PSHS ULT S&P 500 | 5,836 | 8,820 | +2,984 | $676,000 | $1,038,000 | +$362,000 | |
| DSI ISHARES | MSCI KLD400 SOC | 115,025 | 119,517 | +4,492 | $8,409,000 | $8,770,000 | +$361,000 | |
| DTH WISDOMTREE TR | DEFA EQT INC ETF | 25,219 | 34,874 | +9,655 | $1,238,000 | $1,586,000 | +$348,000 | |
| VONG VANGUARD SCOTTSDALE FDS | VNG RUS1000GRW | 35,202 | 38,365 | +3,163 | $3,274,000 | $3,616,000 | +$342,000 | |
| NUV NUVEEN MUN VALUE FD INC | COM | 1,067,832 | 1,129,963 | +62,131 | $10,294,000 | $10,633,000 | +$339,000 | |
| RMT ROYCE MICRO-CAP TR INC | COM | 519,303 | 528,129 | +8,826 | $6,553,000 | $6,216,000 | -$337,000 | |
| IIF MORGAN STANLEY INDIA INVS FD | COM | 106,314 | 112,238 | +5,924 | $2,462,000 | $2,793,000 | +$331,000 | |
| PROSHARES TR CUSIP 74348A376 | SHRT SMALLCAP60 | 876 | 6,266 | +5,390 | $48,000 | $365,000 | +$317,000 | |
| FJP FIRST TR EXCH TRD ALPHA FD I | JAPAN ALPHADEX | 3,134 | 9,995 | +6,861 | $150,000 | $467,000 | +$317,000 | |
| SYLD CAMBRIA ETF TR | SHSHLD YIELD ETF | 4,572 | 15,029 | +10,457 | $141,000 | $455,000 | +$314,000 | |
| EPS WISDOMTREE TR | EARNING 500 FD | 8,959 | 13,375 | +4,416 | $611,000 | $921,000 | +$310,000 | |
| ITOT ISHARES TR | CORE S&P TTL STK | 50,117 | 53,532 | +3,415 | $4,492,000 | $4,801,000 | +$309,000 | |
| EWG ISHARES | MSCI GERMANY ETF | 1,115,315 | 1,270,590 | +155,275 | $34,887,000 | $35,195,000 | +$308,000 | |
| NML NEUBERGER BERMAN MLP INCOME | COM | 117,754 | 123,891 | +6,137 | $2,377,000 | $2,684,000 | +$307,000 | |
| FIW FIRST TR ISE WATER INDEX FD | COM | 342,787 | 382,778 | +39,991 | $11,850,000 | $12,153,000 | +$303,000 | |
| GLQ CLOUGH GLOBAL EQUITY FD | COM | 63,104 | 89,141 | +26,037 | $977,000 | $1,277,000 | +$300,000 | |
| DGT SPDR SERIES TRUST | GLB DOW ETF | 29,074 | 34,104 | +5,030 | $2,100,000 | $2,391,000 | +$291,000 | |
| PGZ PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 69,464 | 84,731 | +15,267 | $1,325,000 | $1,614,000 | +$289,000 | |
| BFOR ALPS ETF TR | BARRONS 400 ETF | 1,331,695 | 1,375,238 | +43,543 | $41,855,000 | $41,574,000 | -$281,000 | |
| VNQI VANGUARD INTL EQUITY INDEX F | GLB EX US ETF | 113,474 | 115,842 | +2,368 | $6,587,000 | $6,308,000 | -$279,000 | |
| BGB BLACKSTONE GSO STRATEGIC CR | COM SHS BEN IN | 801,014 | 831,610 | +30,596 | $14,234,000 | $13,955,000 | -$279,000 | |
| TECL DIREXION SHS ETF TR | DLY TECH BULL 3X | 771 | 2,838 | +2,067 | $87,000 | $358,000 | +$271,000 | |
| ISHARES TR CUSIP 46432FAT4 | 2016 CP TM ETF | 9,267 | 11,879 | +2,612 | $936,000 | $1,202,000 | +$266,000 | |
| EBND SPDR SERIES TRUST | BRCLY EM LOCL | 42,247 | 53,387 | +11,140 | $1,319,000 | $1,581,000 | +$262,000 | |
| FAB FIRST TR MULTI CP VAL ALPHA | COM SHS | 187,371 | 192,480 | +5,109 | $8,939,000 | $8,679,000 | -$260,000 | |
| JQC NUVEEN CR STRATEGIES INCM FD | COM SHS | 1,253,730 | 1,285,223 | +31,493 | $11,735,000 | $11,477,000 | -$258,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U886 | MKTVEC LMUNETF | 95,683 | 107,339 | +11,656 | $1,848,000 | $2,097,000 | +$249,000 | |
| DIREXION SHS ETF TR CUSIP 25459Y678 | 20YR TRES BEAR | 56 | 5,722 | +5,666 | $3,000 | $245,000 | +$242,000 | |
| SCJ ISHARES | MSCI JAPN SMCETF | 69,565 | 76,610 | +7,045 | $3,951,000 | $4,191,000 | +$240,000 | |
| FKU FIRST TR EXCH TRD ALPHA FD I | UNIT KING ALPH | 24,818 | 33,096 | +8,278 | $1,048,000 | $1,288,000 | +$240,000 | |
| EIM EATON VANCE MUN BD FD | COM | 493,463 | 508,940 | +15,477 | $6,134,000 | $6,372,000 | +$238,000 | |
| FNK FIRST TR EXCNGE TRD ALPHADEX | MID CAP VAL FD | 2,579 | 10,715 | +8,136 | $82,000 | $319,000 | +$237,000 | |
| POWERSHARES GLOBAL ETF TRUST CUSIP 73936T623 | GBL WTR PORT | 286,241 | 319,118 | +32,877 | $7,027,000 | $7,263,000 | +$236,000 | |
| MMU WESTERN ASST MNGD MUN FD INC | COM | 167,306 | 185,747 | +18,441 | $2,192,000 | $2,428,000 | +$236,000 | |
| ERC WELLS FARGO ADVANTAGE MULTI | COM SHS | 531,898 | 584,621 | +52,723 | $7,925,000 | $8,161,000 | +$236,000 | |
| VPU VANGUARD WORLD FDS | UTILITIES ETF | 98,958 | 107,361 | +8,403 | $9,569,000 | $9,804,000 | +$235,000 | |
| ISHARES CUSIP 464288422 | INTL DEVPPTY ETF | 95,476 | 95,564 | +88 | $3,728,000 | $3,497,000 | -$231,000 | |
| IDU ISHARES TR | U.S. UTILITS ETF | 44,271 | 49,007 | +4,736 | $4,930,000 | $5,159,000 | +$229,000 | |
| MHD BLACKROCK MUNIHOLDINGS FD IN | COM | 30,643 | 45,114 | +14,471 | $497,000 | $726,000 | +$229,000 | |
| ETX EATON VANCE MUN INCOME TERM | SHS | 265,558 | 270,550 | +4,992 | $4,475,000 | $4,697,000 | +$222,000 | |
| BGR BLACKROCK ENERGY & RES TR | COM | 171,665 | 184,411 | +12,746 | $4,630,000 | $4,411,000 | -$219,000 | |
| FPF FIRST TR INTER DUR PFD & IN | COM | 125,883 | 142,391 | +16,508 | $2,879,000 | $3,093,000 | +$214,000 | |
| FXU FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 197,440 | 217,331 | +19,891 | $4,711,000 | $4,918,000 | +$207,000 | |
| POWERSHARES ETF TR II CUSIP 73937B878 | S&P SMCP IND P | 17,672 | 24,195 | +6,523 | $806,000 | $1,012,000 | +$206,000 | |
| PROSHARES TR II CUSIP 74347W627 | SHT VIX ST TRM | 1,906 | 4,951 | +3,045 | $168,000 | $371,000 | +$203,000 | |
| DOL WISDOMTREE TR | INTL LRGCAP DV | 80,230 | 81,773 | +1,543 | $4,288,000 | $4,085,000 | -$203,000 | |
| VKI INVESCO ADVANTAGE MUNICIPAL | SH BEN INT | 247,804 | 264,775 | +16,971 | $2,813,000 | $3,013,000 | +$200,000 | |
| DVYE ISHARES | EM MKTS DIV ETF | 115,234 | 119,943 | +4,709 | $5,608,000 | $5,411,000 | -$197,000 | |
| AIVI WISDOMTREE TR | INTL DIV EX FINL | 63,750 | 64,888 | +1,138 | $3,230,000 | $3,037,000 | -$193,000 | |
| ISHARES TR CUSIP 46429B580 | 18 AMT-FREE ETF | 46,300 | 53,706 | +7,406 | $1,185,000 | $1,374,000 | +$189,000 | |
| SPYM SPDR SERIES TRUST | United States | RUSSELL 1000 ETF | 24,702 | 26,503 | +1,801 | $2,284,000 | $2,466,000 | +$182,000 |
| ISHARES TR CUSIP 46432FAW7 | 2018 CP TM ETF | 18,273 | 20,233 | +1,960 | $1,900,000 | $2,081,000 | +$181,000 | |
| FEM FIRST TR EXCH TRD ALPHA FD I | EMERG MKT ALPH | 460,803 | 495,915 | +35,112 | $11,603,000 | $11,783,000 | +$180,000 | |
| PST PROSHARES TR | PSHS ULSHT 7-10Y | 1,620 | 8,313 | +6,693 | $44,000 | $221,000 | +$177,000 | |
| SCHO SCHWAB STRATEGIC TR | SHT TM US TRES | 106,465 | 110,066 | +3,601 | $5,389,000 | $5,566,000 | +$177,000 | |
| FLRN SPDR SER TR | INV GRD FLT RT | 22,180 | 27,865 | +5,685 | $680,000 | $854,000 | +$174,000 | |
| SPDW SPDR INDEX SHS FDS | S&P WRLD EX US | 173,195 | 178,639 | +5,444 | $5,241,000 | $5,068,000 | -$173,000 | |
| NIM NUVEEN SELECT MAT MUN FD | SH BEN INT | 140,605 | 154,621 | +14,016 | $1,445,000 | $1,617,000 | +$172,000 | |
| POWERSHARES ETF TR II CUSIP 73937B688 | INTL DEV LOWVL | 203,183 | 209,242 | +6,059 | $6,799,000 | $6,627,000 | -$172,000 | |
| UST PROSHARES TR | ULTR 7-10 TREA | 6,338 | 9,648 | +3,310 | $341,000 | $512,000 | +$171,000 | |
| ROM PROSHARES TR | PSHS ULTRA TECH | 129 | 1,315 | +1,186 | $17,000 | $187,000 | +$170,000 | |
| IVOG VANGUARD ADMIRAL FDS INC | MIDCP 400 GRTH | 38,460 | 41,638 | +3,178 | $3,724,000 | $3,892,000 | +$168,000 | |
| DEM WISDOMTREE TR | EMERG MKTS ETF | 1,242,936 | 1,345,058 | +102,122 | $64,434,000 | $64,267,000 | -$167,000 | |
| BLW BLACKROCK LTD DURATION INC T | COM SHS | 974,599 | 1,052,251 | +77,652 | $16,851,000 | $17,015,000 | +$164,000 | |
| MARKET VECTORS ETF TR CUSIP 57060U613 | BRAZL SMCP ETF | 55,587 | 58,073 | +2,486 | $1,703,000 | $1,543,000 | -$160,000 | |
| EFG ISHARES | EAFE GRWTH ETF | 144,206 | 151,119 | +6,913 | $10,448,000 | $10,290,000 | -$158,000 | |
| HEQ JOHN HANCOCK HDG EQ & INC FD | COM | 58,969 | 71,587 | +12,618 | $1,094,000 | $1,251,000 | +$157,000 | |
| WISDOMTREE TR CUSIP 97717W216 | AUST NEW ZEAL DB | 2,219 | 10,464 | +8,245 | $48,000 | $205,000 | +$157,000 | |
| FTCS FIRST TR EXCHANGE TRADED FD | CAP STRENGTH ETF | 11,597 | 15,888 | +4,291 | $409,000 | $565,000 | +$156,000 | |
| PROSHARES TR CUSIP 74348A442 | United States | ULTRAPRO SHORT S | 1,989 | 5,508 | +3,519 | $95,000 | $250,000 | +$155,000 |
| RAVI FLEXSHARES TR | READY ACC VARI | 2,448 | 4,488 | +2,040 | $185,000 | $340,000 | +$155,000 | |
| EWX SPDR INDEX SHS FDS | S&P EMKTSC ETF | 101,974 | 103,730 | +1,756 | $5,130,000 | $4,977,000 | -$153,000 | |
| QDF FLEXSHARES TR | QUALT DIVD IDX | 25,942 | 30,430 | +4,488 | $910,000 | $1,060,000 | +$150,000 | |
| EPHE ISHARES TR | MSCI PHILIPS ETF | 77,295 | 78,681 | +1,386 | $2,847,000 | $2,995,000 | +$148,000 | |
| MXI ISHARES | GLOBAL MATER ETF | 36,247 | 36,592 | +345 | $2,339,000 | $2,192,000 | -$147,000 | |
| POWERSHARES ETF TRUST CUSIP 73935X708 | DYNM LRG CP VL | 299,908 | 303,506 | +3,598 | $9,093,000 | $9,239,000 | +$146,000 | |
| KBE SPDR SERIES TRUST | S&P BK ETF | 131,909 | 133,556 | +1,647 | $4,408,000 | $4,262,000 | -$146,000 | |
| POWERSHARES GLOBAL ETF TRUST CUSIP 73936T771 | EX US SML PORT | 73,171 | 82,775 | +9,604 | $2,140,000 | $2,286,000 | +$146,000 | |
| EET PROSHARES TR | MSCI EMRG ETF | 293 | 2,270 | +1,977 | $24,000 | $169,000 | +$145,000 | |
| VKQ INVESCO MUN TR | COM | 90,994 | 102,343 | +11,349 | $1,139,000 | $1,284,000 | +$145,000 | |
| URE PROSHARES TR | ULT R/EST NEW | 1,268 | 3,047 | +1,779 | $114,000 | $258,000 | +$144,000 | |
| BBN BLACKROCK BUILD AMER BD TR | SHS | 693,581 | 709,203 | +15,622 | $15,051,000 | $14,907,000 | -$144,000 |
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