Advanced Equities Asset Management

First Allied Asset Management as of Sept. 30, 2012

Portfolio Holdings for First Allied Asset Management

First Allied Asset Management holds 151 positions in its portfolio as reported in the September 2012 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
iShares IBoxx $ Invest Grade Corp Bd (LQD) 5.4 $25M 204k 121.74
iShares Lehman MBS Bond Fund (MBB) 4.5 $21M 188k 109.44
Vanguard Emerging Markets ETF (VWO) 3.6 $17M 395k 41.75
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 3.3 $15M 145k 105.71
Vanguard Europe Pacific ETF (VEA) 3.0 $14M 423k 32.87
iShares MSCI ACWI Index Fund (ACWI) 2.9 $14M 289k 46.74
iShares S&P Natl AMTFr Mncpl Bd (MUB) 2.4 $11M 97k 111.88
PowerShares DB Com Indx Trckng Fund 2.1 $9.8M 343k 28.66
Wisdomtree Tr em lcl debt (ELD) 2.1 $9.9M 188k 52.35
iShares S&P 500 Value Index (IVE) 2.1 $9.5M 144k 65.89
iShares Lehman 7-10 Yr Treas. Bond (IEF) 1.8 $8.3M 77k 108.28
Vanguard Growth ETF (VUG) 1.7 $7.7M 106k 72.48
iShares iBoxx $ High Yid Corp Bond (HYG) 1.6 $7.5M 81k 92.35
SPDR Gold Trust (GLD) 1.6 $7.3M 43k 172.20
Vanguard REIT ETF (VNQ) 1.5 $7.0M 108k 64.96
PowerShares Insured Nati Muni Bond 1.5 $6.9M 266k 25.77
iShares Russell 2000 Index (IWM) 1.5 $6.7M 80k 83.77
iShares Dow Jones Select Dividend (DVY) 1.3 $6.0M 105k 57.58
iShares S&P US Pref Stock Idx Fnd (PFF) 1.3 $6.0M 151k 39.98
SPDR S&P Oil & Gas Equipt & Servs. 1.3 $6.0M 177k 33.98
iShares Barclays TIPS Bond Fund (TIP) 1.3 $5.9M 49k 120.47
SPDR S&P MidCap 400 ETF (MDY) 1.2 $5.7M 31k 180.39
iShares S&P Global Telecommunicat. (IXP) 1.1 $5.2M 86k 60.78
iShares MSCI Pacific ex-Japan Idx (EPP) 1.1 $5.1M 115k 44.70
MFS Government Markets Income Trust (MGF) 1.1 $5.0M 707k 7.12
Putnam Master Int. Income (PIM) 1.1 $5.0M 957k 5.19
PowerShares Preferred Portfolio 1.1 $4.9M 334k 14.78
MFS Charter Income Trust (MCR) 1.1 $4.9M 480k 10.13
Templeton Global Income Fund (SABA) 1.1 $4.8M 501k 9.60
SPDR DJ International Real Estate ETF (RWX) 1.0 $4.8M 122k 39.35
BlackRock Global Energy & Resources Trus (BGR) 1.0 $4.7M 184k 25.72
Vanguard Intermediate-Term Bond ETF (BIV) 1.0 $4.7M 52k 90.25
iShares Lehman Aggregate Bond (AGG) 0.9 $4.3M 38k 111.69
Vanguard Total Bond Market ETF (BND) 0.9 $4.2M 49k 85.59
At&t (T) 0.9 $4.0M 105k 37.99
Templeton Emerging Markets Income Fund (TEI) 0.9 $3.9M 231k 17.11
Chevron Corporation (CVX) 0.8 $3.9M 33k 116.66
Waddell & Reed Financial 0.8 $3.8M 116k 32.89
Merck & Co (MRK) 0.8 $3.8M 83k 45.21
Procter & Gamble Company (PG) 0.8 $3.6M 52k 69.50
MFS Intermediate Income Trust (MIN) 0.8 $3.6M 557k 6.49
SYSCO Corporation (SYY) 0.8 $3.4M 109k 31.62
AFLAC Incorporated (AFL) 0.7 $3.3M 71k 46.99
BlackRock (BLK) 0.7 $3.3M 18k 180.66
Linear Technology Corporation 0.7 $3.3M 103k 31.84
Eaton Vance 0.7 $3.3M 114k 29.27
General Electric Company 0.7 $3.3M 142k 23.01
Eaton Corporation 0.7 $3.2M 69k 47.41
Ca 0.7 $3.2M 127k 25.53
Financial Select Sector SPDR (XLF) 0.7 $3.3M 209k 15.64
Emerson Electric (EMR) 0.7 $3.2M 67k 48.09
E.I. du Pont de Nemours & Company 0.7 $3.2M 62k 50.76
CenterPoint Energy (CNP) 0.7 $3.2M 149k 21.36
Hasbro (HAS) 0.7 $3.1M 81k 38.51
Microchip Technology (MCHP) 0.7 $3.1M 93k 33.19
Bk Nova Cad (BNS) 0.7 $3.0M 55k 54.96
Diamond Offshore Drilling 0.6 $3.0M 45k 66.06
Novartis (NVS) 0.6 $2.9M 48k 60.94
Bank Of Montreal Cadcom (BMO) 0.6 $2.9M 49k 59.19
Cohen & Steers infrastucture Fund (UTF) 0.6 $2.8M 154k 18.30
ConocoPhillips (COP) 0.6 $2.8M 48k 57.36
iShares MSCI Emerging Markets Indx (EEM) 0.6 $2.7M 65k 41.22
Eaton Vance Short Duration Diversified I (EVG) 0.5 $2.3M 131k 17.55
Quest Diagnostics Incorporated (DGX) 0.5 $2.2M 36k 62.43
Eaton Vance Limited Duration Income Fund (EVV) 0.5 $2.2M 131k 17.09
Bristol Myers Squibb (BMY) 0.5 $2.2M 65k 33.78
Exxon Mobil Corporation (XOM) 0.5 $2.1M 23k 91.28
Darden Restaurants (DRI) 0.4 $2.0M 36k 55.75
Cisco Systems (CSCO) 0.4 $1.8M 96k 19.13
iShares S&P MidCap 400 Index (IJH) 0.4 $1.9M 19k 98.88
General Mills (GIS) 0.4 $1.8M 44k 39.61
Cme (CME) 0.4 $1.7M 29k 57.67
AGL Resources 0.4 $1.7M 42k 40.22
Bunge 0.4 $1.7M 25k 68.38
Qualcomm (QCOM) 0.4 $1.7M 28k 60.89
Boeing Company (BA) 0.4 $1.6M 23k 70.04
Halliburton Company (HAL) 0.4 $1.7M 50k 33.53
iShrs S&P ShtTrm Ntnl AMTFr MncplBnf ETF (SUB) 0.4 $1.6M 15k 107.00
Bank of New York Mellon Corporation (BK) 0.3 $1.6M 69k 23.24
Fluor Corporation (FLR) 0.3 $1.6M 28k 57.84
Stryker Corporation (SYK) 0.3 $1.6M 28k 57.51
Noble Corporation Com Stk 0.3 $1.6M 43k 36.35
Tortoise Energy Infrastructure 0.3 $1.6M 40k 39.44
Kellogg Company (K) 0.3 $1.5M 30k 50.49
Adobe Systems Incorporated (ADBE) 0.3 $1.5M 46k 31.71
Vodafone 0.3 $1.5M 51k 29.13
Transocean (RIG) 0.3 $1.3M 31k 42.80
EMC Corporation 0.3 $1.3M 48k 27.35
Abbott Laboratories (ABT) 0.3 $1.3M 18k 68.78
Juniper Networks (JNPR) 0.3 $1.3M 78k 16.77
Vanguard Short Term Corporate Bond ETF (VCSH) 0.3 $1.3M 16k 80.09
Microsoft Corporation (MSFT) 0.3 $1.2M 40k 29.75
Johnson & Johnson (JNJ) 0.2 $1.1M 17k 68.97
SPDR Barclays Capital High Yield B 0.2 $1.1M 28k 40.28
Vanguard Value ETF (VTV) 0.2 $1.0M 18k 58.86
ProShares Ultra Russell2000 (UWM) 0.2 $978k 22k 44.24
ProShares Ultra MidCap400 (MVV) 0.2 $955k 14k 69.27
Intel Corporation (INTC) 0.2 $925k 41k 22.42
iShares Russell Midcap Index Fund (IWR) 0.2 $918k 8.3k 110.96
Vanguard Intermediate Tm Cpte Bd ETF (VCIT) 0.2 $921k 11k 87.94
JPMorgan Chase & Co. (JPM) 0.2 $864k 21k 40.48
Waste Management (WM) 0.2 $890k 28k 31.82
Eli Lilly & Co. (LLY) 0.2 $892k 19k 47.43
Apple (AAPL) 0.2 $807k 1.2k 668.60
Hess (HES) 0.2 $809k 15k 53.10
Freeport-McMoRan Copper & Gold (FCX) 0.2 $775k 20k 39.64
Visa (V) 0.2 $759k 5.7k 132.85
Oracle Corporation (ORCL) 0.2 $773k 25k 31.13
Vanguard Long Term Corporate Bond ETF (VCLT) 0.2 $767k 8.2k 93.07
Valero Energy Corporation (VLO) 0.2 $757k 24k 31.53
Chubb Corporation 0.1 $680k 8.9k 75.99
3M Company (MMM) 0.1 $668k 7.3k 91.22
Lockheed Martin Corporation (LMT) 0.1 $671k 7.2k 92.82
Walgreen Company 0.1 $671k 18k 36.51
MetLife (MET) 0.1 $695k 20k 34.60
Verizon Communications (VZ) 0.1 $650k 14k 45.63
Pepsi (PEP) 0.1 $633k 9.3k 68.43
Suncor Energy (SU) 0.1 $660k 20k 32.60
Franklin Resources (BEN) 0.1 $614k 4.8k 126.68
Western Digital (WDC) 0.1 $579k 15k 38.54
Baker Hughes Incorporated 0.1 $603k 13k 44.91
Schlumberger (SLB) 0.1 $588k 8.1k 72.60
Nucor Corporation (NUE) 0.1 $541k 14k 38.13
Hewlett-Packard Company 0.1 $545k 32k 17.05
Symantec Corporation 0.1 $506k 28k 18.02
General Dynamics Corporation (GD) 0.1 $523k 8.0k 65.41
Fifth Third Ban (FITB) 0.1 $487k 32k 15.45
AmerisourceBergen (COR) 0.1 $438k 11k 38.63
St. Jude Medical 0.1 $475k 11k 41.92
Philip Morris International (PM) 0.1 $402k 4.5k 89.25
iShares MSCI EAFE Index Fund (EFA) 0.1 $397k 7.5k 53.01
PPL Corporation (PPL) 0.1 $416k 14k 28.98
International Business Machines (IBM) 0.1 $377k 1.8k 204.34
Cibc Cad (CM) 0.1 $384k 5.1k 75.50
SPDR S&P International Dividend (DWX) 0.1 $365k 8.1k 45.22
Regeneron Pharmaceuticals (REGN) 0.1 $305k 2.0k 152.50
Rockwell Collins 0.1 $342k 6.3k 54.32
Staples 0.1 $341k 30k 11.50
Murphy Oil Corporation (MUR) 0.1 $325k 6.1k 53.50
ISHARES TR MSCI Small Cap msci small cap (SCZ) 0.1 $315k 8.2k 38.37
Berkshire Hathaway (BRK.B) 0.1 $289k 3.3k 88.16
Nextera Energy (NEE) 0.1 $288k 4.1k 69.70
Activision Blizzard 0.1 $282k 25k 11.38
iShares Russell 1000 Index (IWB) 0.1 $292k 3.7k 79.98
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.1 $298k 2.5k 121.04
State Street Corporation (STT) 0.1 $215k 5.1k 41.85
Baxter International (BAX) 0.1 $250k 4.1k 61.29
Amazon (AMZN) 0.1 $225k 871.00 258.32
iShares Barclays 20+ Yr Treas.Bond (TLT) 0.1 $209k 1.7k 125.00
Infinera (INFN) 0.0 $79k 15k 5.45
Motricity 0.0 $9.0k 14k 0.67