James Thorn - Compliance Officer & Advisor Solutions
Location
San Jose, CA
Holdings as of
December 31, 2014
Value $
$655M
Num holdings
624
Date filed
2/11/2015, 04:25 PM
Description
All US holdings of this investor are reported in this report. The Form 13F report requires disclosure of the manager that files the report, the name and class of the security, the CUSIP code, the number of shares as
of the end of the calendar quarter for which the report is filed, and the total market value. The market value
column should not be used as a substitute for Assets Under Management (AUM), as it does not include cash held in
accounts.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
Person Signing this Report on Behalf of Reporting Manager:
Name
Title
City, State
Date
James Thorn
Chief Compliance Officer
San Jose, California
11/13/2014
Proxy voting authority for managers 1-7 reflects only their proxy voting and not CONCERT Wealth Management Inc. CONCERT Wealth Management does not vote proxies for its client.
Other Included Managers (7):
Num
Name
Location
File Number
1
Columbia
2
Envestnet
3
Invesco Advisors
4
NBE International
5
NBE Select
6
NWQ Investment
7
Sitrin Capital Management
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