First Allied Asset Management, Inc.

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CIK 1456510

13F portfolio (2015-Q1)

$712M

Positions

189

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2014-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

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As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2015-Q1)

Holdings

189

Top 5

15.2%

Top 10

23.6%

Effective N

78.6

HHI

0.013

This quarter

41 new · 0 exit →

By sector

Unclassified68.5%

Industrials5.6%

Financials4.2%

Information Technology4.1%

Health Care3.2%

Materials3.2%

Real Estate3.2%

Energy2.3%

Other5.9%

By market cap

Unknown68.8%

Large ($10–200B)18.1%

Mega (>$200B)8.9%

Mid ($2–10B)4.2%

By region

Other68.5%

North America31.4%

Europe0.1%

Asia-Pacific0.0%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	68.45%	114
Equity Real Estate Investment Trusts (REITs)	3.16%	3
Banks	2.98%	9
Pharmaceuticals & Biotechnology	2.90%	7
Oil, Gas & Consumable Fuels	2.32%	3
Chemicals	2.30%	5
Technology Hardware & Equipment	2.15%	4
Aerospace & Defense	1.63%	3
Food Products	1.53%	2
Utilities	1.50%	4
Diversified Telecommunication Services	1.41%	4
Transportation Infrastructure	1.13%	2
Commercial Services & Supplies	1.07%	1
Professional Services	0.98%	1
Software	0.98%	2
Paper & Forest Products	0.87%	1
Insurance	0.79%	4
Health Care Equipment & Supplies	0.49%	2
Software & IT Services	0.49%	1
Electrical Equipment & Components	0.44%	1
Capital Markets	0.44%	1
Construction & Engineering	0.41%	1
Specialty Retail	0.37%	3
Communications Equipment	0.26%	1
Semiconductors & Semiconductor Equipment	0.23%	2
Beverages	0.19%	1
Distributors	0.16%	1
Media & Entertainment	0.16%	2
Machinery	0.15%	1
Tobacco	0.03%	1
Hotels, Restaurants & Leisure	0.03%	1
Automobiles & Components	0.03%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	AGG	ISHARES TR	Unclassified	4.12%
2	LQD	ISHARES TR	Unclassified	4.10%
3	PFF	ISHARES TR	Unclassified	2.53%
4	DBEF	DBX ETF TR	Unclassified	2.21%
5	MBB	ISHARES TR	Unclassified	2.20%
6	SHY	ISHARES TR	Unclassified	1.99%
7	OEF	ISHARES TR	Unclassified	1.73%
8	AAPL	Apple Inc.	Information Technology	1.58%
9	VTIP	VANGUARD MALVERN FDS	Unclassified	1.57%
10	VCSH	VANGUARD SCOTTSDALE FDS	Unclassified	1.53%

75/189 names classified · sector 31.5% of weight · industry 31.5% · mkt cap 31.2%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 8 quarters

FinancialsBMO, WFC, TD, MFC, TRV · other

Information TechnologyAAPL, GE, EMR, IBM, MCHP · other

Health CareMRK, PFE, AZN, TEVA, BAX · other

IndustrialsBA, DE, ACN, PAYX, CHRW · other

Real EstateO, DLR, EPR, CXW, VTR · other

EnergyCVX, XOM, BP, MPC, SLB · other

Communication ServicesT, META, VZ, OMC, NTTYY · other

Consumer DiscretionaryHAS, TGT, CAH, ACH, MAT · other

MaterialsPG, GLW, SON, ATI, LYB · other

Consumer StaplesGIS, CAG, CPB, TAP, KO · other

UtilitiesSO, PEG, ED, ETR, PPL · other

UnclassifiedLQD, MBB, VEA, POWERSHARES ETF TRUST II, AGG · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 31.5% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2015-Q1), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

Only 31% of book weight classified — the grid is NOT representative of the whole book.

holdings, colored by sector (65 classified)First Allied Asset Management, Inc. centroid (Mid Core)

IndustrialsFinancialsInformation TechnologyMaterialsReal EstateHealth CareEnergyCommunication ServicesConsumer StaplesUtilitiesConsumer Discretionary

Style box summary for First Allied Asset Management, Inc.: centroid Mid Core. Heaviest cells: Large Value 11.2%, Large Growth 4.8%, Mid Core 3.8%.

Classified: 31.2% of book weight (65/147 names) · unclassified 68.8%: , AGG, LQD, PFF, DBEF, MBB, SHY, OEF, VTIP, VCSH +72 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 189 positions (2015-Q1) · largest first · Δ vs 2014-Q4

#	Security	Shares	Value	Weight	Δ QoQ
1	AGGISHARES TR	263,555	$29M	4.1%	ADD 178%
2	LQDISHARES TR	239,758	$29M	4.1%	ADD 49%
3	PFFISHARES TR	448,520	$18M	2.5%	ADD 27%
4	DBEFDBX ETF TR	525,943	$16M	2.2%	NEW
5	MBBISHARES TR	141,704	$16M	2.2%	TRIM −6%
6	SHYISHARES TR	166,491	$14M	2.0%	ADD 12%
7	OEFISHARES TR	136,489	$12M	1.7%	TRIM −33%
8	AAPLAPPLE INC	90,256	$11M	1.6%	TRIM −2%
9	VTIPVANGUARD MALVERN FDS	230,714	$11M	1.6%	TRIM −9%
10	VCSHVANGUARD SCOTTSDALE FDS	135,878	$11M	1.5%	ADD 57%
11	VNQVANGUARD INDEX FDS	124,427	$11M	1.5%	TRIM −22%
12	POWERSHARES ETF TR II	675,294	$10M	1.4%	NEW
13	TYGTortoise Energy Infrastructure	226,701	$10M	1.3%	HOLD
14	VEAVANGUARD TAX-MANAGED FDS	239,491	$10M	1.3%	HOLD
15	UTFCOHEN & STEERS INFRASTRUCTUR	415,255	$9M	1.3%	TRIM −2%
16	BSVVANGUARD BD INDEX FDS	115,401	$9M	1.3%	NEW
17	DXJWISDOMTREE TR	168,944	$9M	1.3%	ADD 31%
18	TAT&T INC	275,080	$9M	1.3%	ADD 49%
19	SJNKSPDR SERIES TRUST	302,391	$9M	1.2%	HOLD
20	DR PEPPER SNAPPLE GROUP INC	108,920	$9M	1.2%	TRIM −7%
21	OREALTY INCOME CORP	162,425	$8M	1.2%	TRIM −7%
22	EFAVISHARES TR	126,152	$8M	1.2%	TRIM −45%
23	BABOEING CO	54,674	$8M	1.2%	TRIM −7%
24	KRAFT FOODS GROUP INC	93,570	$8M	1.1%	TRIM −37%
25	ACNACCENTURE PLC IRELAND	81,407	$8M	1.1%	TRIM −4%
26	MUBISHARES TR	68,395	$8M	1.1%	HOLD
27	CVXCHEVRON CORP NEW	71,576	$8M	1.1%	ADD 17%
28	VYMVANGUARD WHITEHALL FDS	109,119	$8M	1.1%	NEW
29	GISGENERAL MILLS INC	129,924	$7M	1.0%	TRIM −3%
30	PFEPFIZER INC	211,001	$7M	1.0%	TRIM −5%
31	CA INC	220,312	$7M	1.0%	TRIM −4%
32	UNITED TECHNOLOGIES CORP	61,512	$7M	1.0%	TRIM −5%
33	IEFISHARES TR	66,864	$7M	1.0%	ADD 26%
34	XLKSELECT SECTOR SPDR TR	173,469	$7M	1.0%	TRIM −18%
35	VBVANGUARD INDEX FDS	58,567	$7M	1.0%	TRIM −12%
36	CXWCORECIVIC INC	176,257	$7M	1.0%	TRIM −4%
37	HCP INC	163,184	$7M	1.0%	TRIM −4%
38	MRKMERCK & CO INC	122,250	$7M	1.0%	TRIM −3%
39	SYMANTEC CORP	298,818	$7M	1.0%	TRIM −4%
40	PAYXPAYCHEX INC	140,944	$7M	1.0%	TRIM −4%
41	EPREPR PPTYS	114,534	$7M	1.0%	TRIM −4%
42	M D C HLDGS INC	239,247	$7M	1.0%	TRIM −2%
43	IGSBISHARES TR	63,513	$7M	0.9%	ADD 22%
44	PNCPNC FINL SVCS GROUP INC	71,660	$7M	0.9%	TRIM −3%
45	XOMEXXON MOBIL CORP	77,247	$7M	0.9%	ADD 147%
46	CHRWC H ROBINSON WORLDWIDE INC	89,576	$7M	0.9%	TRIM −2%
47	LYBLYONDELLBASELL INDUSTRIES N	73,036	$6M	0.9%	NEW
48	IXPISHARES TR	104,383	$6M	0.9%	HOLD
49	TUPPERWARE BRANDS CORP	92,667	$6M	0.9%	TRIM −3%
50	POWERSHARES ETF TR II	244,215	$6M	0.9%	TRIM −4%
51	SONSONOCO PRODS CO	133,423	$6M	0.9%	HOLD
52	LINEAR TECHNOLOGY CORP	127,779	$6M	0.8%	HOLD
53	SOSOUTHERN CO	130,600	$6M	0.8%	HOLD
54	WFCWELLS FARGO CO NEW	104,902	$6M	0.8%	HOLD
55	INDAISHARES TR	177,039	$6M	0.8%	NEW
56	KKR & CO LP	245,343	$6M	0.8%	HOLD
57	VOVANGUARD INDEX FDS	41,855	$6M	0.8%	TRIM −13%
58	Invesco Exchange Traded Fund T S&P500 Low Vol ETF	143,399	$5M	0.8%	TRIM −24%
59	BGRBLACKROCK ENERGY & RES TR	262,065	$5M	0.8%	NEW
60	ORCLORACLE CORP	121,116	$5M	0.7%	ADD 4%
61	E M C CORP MASS	195,465	$5M	0.7%	ADD 26%
62	VUGVANGUARD INDEX FDS	39,086	$4M	0.6%	ADD 17%
63	EXPRESS SCRIPTS HLDG CO	42,850	$4M	0.5%	ADD 11%
64	PGPROCTER AND GAMBLE CO	47,292	$4M	0.5%	HOLD
65	CITRIX SYS INC	58,500	$4M	0.5%	ADD 9%
66	COFCAPITAL ONE FINL CORP	44,300	$4M	0.5%	ADD 14%
67	CPBTHE CAMPBELLS COMPANY	73,840	$3M	0.5%	ADD 6%
68	METAMETA PLATFORMS INC	42,086	$3M	0.5%	TRIM −50%
69	CECELANESE CORP DEL	60,404	$3M	0.5%	ADD 14%
70	EDCONSOLIDATED EDISON INC	56,960	$3M	0.5%	ADD 9%
71	BED BATH & BEYOND INC	43,300	$3M	0.5%	NEW
72	VPLVANGUARD INTL EQUITY INDEX F	54,454	$3M	0.5%	TRIM −31%
73	RWRSPDR SERIES TRUST	34,766	$3M	0.5%	NEW
74	ACWIISHARES TR	54,346	$3M	0.5%	TRIM −24%
75	IEFAISHARES TR	55,812	$3M	0.5%	ADD 146%
76	FTSE RAFI 1000 US Lg Cap	35,467	$3M	0.5%	TRIM −4%
77	POWERSHARES ETF TRUST	73,997	$3M	0.5%	ADD 35%
78	DLNWISDOMTREE TR	43,060	$3M	0.4%	TRIM −9%
79	EMREMERSON ELEC CO	54,693	$3M	0.4%	ADD 13%
80	BENFRANKLIN RESOURCES INC	62,076	$3M	0.4%	ADD 14%
81	DUPONT FABROS TECHNOLOGY INC	92,900	$3M	0.4%	NEW
82	CHICALAMOS CONV OPP AND INC FD	241,068	$3M	0.4%	HOLD
83	GLDSPDR GOLD TR	25,703	$3M	0.4%	ADD 532%
84	JP Morgan Alerian MLP Index	69,382	$3M	0.4%	NEW
85	PWRQUANTA SVCS INC	99,312	$3M	0.4%	NEW
86	IAUISHARES GOLD TRUST	231,256	$3M	0.4%	TRIM −53%
87	JNJJOHNSON & JOHNSON	24,369	$2M	0.3%	ADD 78%
88	VLOVALERO ENERGY CORP	35,566	$2M	0.3%	ADD 10%
89	MNANEW YORK LIFE INVESTMENTS ET	77,979	$2M	0.3%	ADD 16%
90	WTMFWISDOMTREE TR	48,158	$2M	0.3%	ADD 40%
91	JPMJPMORGAN CHASE & CO	35,099	$2M	0.3%	ADD 21%
92	MDTMEDTRONIC PLC	24,716	$2M	0.3%	NEW
93	CBCHUBB CORP	18,766	$2M	0.3%	ADD 8%
94	FFIVF5 INC	16,444	$2M	0.3%	ADD 86%
95	CSCOCISCO SYS INC	67,787	$2M	0.3%	ADD 6%
96	QCOMQUALCOMM INC	26,783	$2M	0.3%	ADD 19%
97	HUMHUMANA INC	10,290	$2M	0.3%	ADD 3%
98	LMTLOCKHEED MARTIN CORP	8,788	$2M	0.2%	HOLD
99	METMETLIFE INC	34,142	$2M	0.2%	ADD 15%
100	MSFTMICROSOFT CORP	42,215	$2M	0.2%	ADD 5%
101	TIPISHARES TR	15,287	$2M	0.2%	NEW
102	GILDGILEAD SCIENCES INC	17,021	$2M	0.2%	NEW
103	POWERSHARES ETF TRUST II	66,525	$2M	0.2%	NEW
104	NATIONAL OILWELL VARCO INC	33,130	$2M	0.2%	ADD 146%
105	MDYSPDR S&P MIDCAP 400 ETF TR	5,782	$2M	0.2%	ADD 10%
106	STTSTATE STR CORP	21,411	$2M	0.2%	ADD 66%
107	GDGENERAL DYNAMICS CORP	11,399	$2M	0.2%	ADD 8%
108	MMM3M CO	9,440	$2M	0.2%	ADD 3%
109	FRCBFIRST REP BK SAN FRANCISCO C	26,581	$2M	0.2%	ADD 24%
110	WLKWESTLAKE CORPORATION	20,063	$1M	0.2%	NEW
111	EXPEEXPEDIA GROUP INC	15,111	$1M	0.2%	ADD 16%
112	INDEXIQ ETF TRUST IQ Hedge Macro Tracker ETF	55,941	$1M	0.2%	ADD 22%
113	INTCINTEL CORP	44,936	$1M	0.2%	ADD 3%
114	ABBVABBVIE INC	23,600	$1M	0.2%	ADD 10%
115	ROCKET COMPANIES CLA A CLASS A	21,396	$1M	0.2%	TRIM −16%
116	WMTWALMART INC	16,635	$1M	0.2%	ADD 8%
117	PEPPEPSICO INC	13,922	$1M	0.2%	ADD 2%
118	HEWLETT PACKARD CO	42,192	$1M	0.2%	ADD 14%
119	LABORATORY CORP AMER HLDGS	10,284	$1M	0.2%	ADD 10%
120	CFCF INDS HLDGS INC	4,510	$1M	0.2%	ADD 13%
121	TIME WARNER INC	14,872	$1M	0.2%	ADD 10%
122	ENERGIZER HLDGS INC	8,940	$1M	0.2%	ADD 13%
123	SUBISHARES TR	10,791	$1M	0.2%	ADD 10%
124	CAHCARDINAL HEALTH INC	12,414	$1M	0.2%	NEW
125	ETRENTERGY CORP NEW	14,503	$1M	0.2%	ADD 14%
126	OMCOMNICOM GROUP INC	13,734	$1M	0.2%	ADD 17%
127	MMACYS INC	16,451	$1M	0.1%	ADD 11%
128	DOVDOVER CORP	15,260	$1M	0.1%	ADD 18%
129	KEYKEYCORP	70,683	$1M	0.1%	ADD 23%
130	VTVVANGUARD INDEX FDS	10,264	$859,000	0.1%	TRIM −2%
131	HYGISHARES TR	9,323	$843,000	0.1%	NEW
132	SPDR Barclays S-T Muni Bond	33,429	$825,000	0.1%	NEW
133	IWMISHARES TR	6,445	$802,000	0.1%	ADD 94%
134	XLVSELECT SECTOR SPDR TR	10,689	$775,000	0.1%	ADD 46%
135	XLYSELECT SECTOR SPDR TR	10,200	$772,000	0.1%	ADD 39%
136	XLPSELECT SECTOR SPDR TR	15,502	$756,000	0.1%	ADD 42%
137	IYWISHARES TR	7,101	$749,000	0.1%	ADD 41%
138	DVYISHARES TR	9,572	$747,000	0.1%	ADD 39%
139	XLFSELECT SECTOR SPDR TR	30,667	$741,000	0.1%	ADD 46%
140	XLBSELECT SECTOR SPDR TR	15,097	$735,000	0.1%	NEW
141	XLISELECT SECTOR SPDR TR	12,998	$730,000	0.1%	ADD 36%
142	AGZISHARES TR	5,415	$618,000	0.1%	HOLD
143	IJHISHARES TR	3,708	$564,000	0.1%	TRIM −4%
144	GMFSPDR INDEX SHS FDS	6,294	$558,000	0.1%	NEW
145	IWRISHARES TR	2,967	$514,000	0.1%	HOLD
146	SHYGISHARES TR	10,392	$510,000	0.1%	TRIM −35%
147	HDVISHARES TR	6,381	$481,000	0.1%	ADD 46%
148	NTTYYNTT INC	13,462	$414,000	0.1%	ADD 37%
149	DWXSPDR INDEX SHS FDS	9,348	$392,000	0.1%	ADD 17%
150	IWFISHARES TR	3,948	$390,000	0.1%	HOLD
151	IVVISHARES TR	1,854	$385,000	0.1%	HOLD
152	NVSNOVARTIS AG	3,947	$381,000	0.1%	ADD 28%
153	SPDR Bloomberg Barclays High Yie	9,009	$354,000	0.0%	NEW
154	VTIVANGUARD INDEX FDS	3,201	$343,000	0.0%	NEW
155	IWBISHARES TR	2,898	$336,000	0.0%	HOLD
156	IBMINTERNATIONAL BUSINESS MACHS	1,918	$308,000	0.0%	NEW
157	KMIKINDER MORGAN INC DEL	7,115	$300,000	0.0%	NEW
158	RAYTHEON CO	2,723	$297,000	0.0%	TRIM −7%
159	UNILEVER N V	6,730	$284,000	0.0%	ADD 25%
160	DWS Mun Income Tr	19,950	$279,000	0.0%	ADD 11%
161	IYRISHARES TR	3,478	$279,000	0.0%	TRIM −68%
162	SPDWSPDR INDEX SHS FDS	9,963	$279,000	0.0%	NEW
163	VODVODAFONE GROUP PLC	8,189	$267,000	0.0%	ADD 35%
164	BCEBCE INC	6,321	$264,000	0.0%	NEW
165	GLAXOSMITHKLINE PLC	5,459	$252,000	0.0%	NEW
166	BTIBRITISH AMERN TOB PLC	2,382	$244,000	0.0%	NEW
167	VALEANT PHARMACEUTICALS INTL	1,214	$241,000	0.0%	NEW
168	GOOGLE INC	411	$239,000	0.0%	NEW
169	SHIRE PLC	980	$237,000	0.0%	TRIM −2%
170	SNYSANOFI SA	4,706	$233,000	0.0%	NEW
171	HSBCHSBC HLDGS PLC	5,310	$226,000	0.0%	NEW
172	EFAISHARES TR	3,533	$226,000	0.0%	TRIM −4%
173	SHWSHERWIN WILLIAMS CO	776	$223,000	0.0%	HOLD
174	IDVISHARES TR	6,506	$220,000	0.0%	HOLD
175	XHRXENIA HOTELS & RESORTS INC	9,659	$220,000	0.0%	NEW
176	INGING GROEP N.V.	14,793	$218,000	0.0%	ADD 9%
177	HMCHONDA MOTOR LTD	6,603	$216,000	0.0%	NEW
178	NXPINXP SEMICONDUCTORS N V	2,121	$215,000	0.0%	NEW
179	TRVTRAVELERS COMPANIES INC	1,888	$204,000	0.0%	TRIM −5%
180	VWOVANGUARD INTL EQUITY INDEX F	4,980	$204,000	0.0%	TRIM −99%
181	NJDCYNIDEC CORP	12,344	$203,000	0.0%	ADD 17%
182	KEMET CORP	42,711	$177,000	0.0%	HOLD
183	AEGON N V	21,623	$165,000	0.0%	ADD 59%
184	BBVABANCO BILBAO VIZCAYA ARGENTA	12,074	$121,000	0.0%	ADD 16%
185	Marine Harvest ASA	10,409	$117,000	0.0%	NEW
186	HYTBLACKROCK CORPOR HI YLD FD I	10,137	$113,000	0.0%	HOLD
187	FORTRESS INVESTMENT GROUP LLC CL A	10,000	$81,000	0.0%	NEW
188	PDL BIOPHARMA INC	56,000	$55,000	0.0%	NEW
189	SIRISIRIUS XM HOLDINGS INC	10,000	$38,000	0.0%	NEW

☆First Allied Asset Management, Inc.