UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2010 Check here if Amendment [X]; Amendment Number: 1 This Amendment (Check only one.): [X] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Genworth Financial, Inc. Address: 6620 West Broad Street Richmond, Virginia 23230 Form 13F File Number: 28-11523 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Patricia Merrill Title: Senior Counsel Phone: (804) 662-2711 Signature, Place, and Date of Signing: /s/ Patricia Merrill Richmond, VA November 4, 2010 - ----------------------------------------------------------------------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [_] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [_] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 371 lines Form 13F Information Table Value Total: 1564,131 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name - --- -------------------- ------------------------------------------ 01 28-11546 Genworth Financial Wealth Management, Inc.
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- 3M CO COM COM 88579Y101 30,575 387,075 SH Sole 01 387,075 ABB LTD SPONSORED ADR SPONSORED ADR 000375204 3,989 230,872 SH Sole 01 230,872 ABBOTT LABS COM COM 002824100 12,337 263,726 SH Sole 01 263,726 ABERCROMBIE & FITCH CO CL A CL A 002896207 2,853 92,956 SH Sole 01 92,956 ADVANCE AUTO PARTS INC COM COM 00751Y106 6 114 SH Sole 01 114 AEGON N V NY REGISTRY SH ADR 007924103 4 788 SH Sole 01 788 AES CORP COM COM 00130H105 6,594 713,686 SH Sole 01 713,686 AFFILIATED MANAGERS GROUP COM COM 008252108 5,635 92,730 SH Sole 01 92,730 AIR PRODS & CHEMS INC COM COM 009158106 5,571 85,960 SH Sole 01 85,960 ALBEMARLE CORP COM COM 012653101 4,232 106,577 SH Sole 01 106,577 ALCATEL- LUCENT SPONSORED ADR SPONSORED ADR 013904305 4 1,520 SH Sole 01 1,520 ALEXANDER & BALDWIN INC COM COM 014482103 1,106 37,130 SH Sole 01 37,130 ALLEGHENY ENERGY INC COM COM 017361106 1,009 48,768 SH Sole 01 48,768 ALTERA CORP COM COM 021441100 1,497 60,358 SH Sole 01 60,358 AMEDISYS INC COM COM 023436108 4,411 100,289 SH Sole 01 100,289 AMERICA MOVIL SAB DE CV SPON ADR 02364W105 2,006 42,225 SH Sole 01 42,225 AMERICAN ELEC PWR INC COM COM 025537101 3,267 101,147 SH Sole 01 101,147 AMERICAN EXPRESS CO COM COM 025816109 0 2 SH Sole 01 2 AMERICAN MED SYS HLDGS INC COM COM 02744M108 1,345 60,810 SH Sole 01 60,810 ANHEUSER BUSCH INBEV SA/NV SP SPONSORED ADR 03524A108 4,454 92,776 SH Sole 01 92,776 ARKANSAS BEST CORP DEL COM COM 040790107 1,087 52,378 SH Sole 01 52,378 ASML HOLDING N V NY REG SHS COM N07059186 3,946 143,664 SH Sole 01 143,664 ASSOCIATED BANC CORP COM COM 045487105 1,311 106,964 SH Sole 01 106,964 ASSURED GUARANTY LTD COM COM G0585R106 1,005 75,713 SH Sole 01 75,713
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- ASTRAZENECA PLC SPONSORED ADR SPONSORED ADR 046353108 10 210 SH Sole 01 210 AUTOLIV INC COM COM 052800109 6,326 132,196 SH Sole 01 132,196 AUTOMATIC DATA PROCESSING IN COM 053015103 8,449 209,870 SH Sole 01 209,870 BAIDU INC SPON ADR REP A ADR 056752108 2,585 37,964 SH Sole 01 37,964 BANCO SANTANDER SA ADR ADR 05964H105 4,765 453,806 SH Sole 01 453,806 BANK OF AMERICA CORPORATION COM 060505104 4,393 305,736 SH Sole 01 305,736 BARCLAYS PLC ADR ADR 06738E204 5 285 SH Sole 01 285 BAXTER INTL INC COM COM 071813109 9,865 242,733 SH Sole 01 242,733 BE AEROSPACE INC COM COM 073302101 3,472 136,539 SH Sole 01 136,539 BECTON DICKINSON & CO COM COM 075887109 6,365 94,131 SH Sole 01 94,131 BHP BILLITON LTD SPONSORED ADR ADR 088606108 3,802 61,325 SH Sole 01 61,325 BJS WHOLESALE CLUB INC COM COM 05548J106 3 73 SH Sole 01 73 BLACKROCK ENH CAP & INC FD I COM COM 09256A109 1,517 108,937 SH Sole 01 108,937 BLACKROCK INTL GRWTH & INC T COM 092524107 2,446 278,576 SH Sole 01 278,576 BLOUNT INTL INC NEW COM COM 095180105 1,460 142,172 SH Sole 01 142,172 BOK FINL CORP COM NEW COM 05561Q201 7,021 147,896 SH Sole 01 147,896 BP PLC SPONSORED ADR SPONSORED ADR 055622104 2 80 SH Sole 01 80 BRITISH AMERN TOB PLC SPONSOR SPONSORED ADR 110448107 4,484 70,842 SH Sole 01 70,842 BUCYRUS INTL INC NEW COM COM 118759109 2,218 46,738 SH Sole 01 46,738 CACI INTL INC CL A CL A 127190304 936 22,044 SH Sole 01 22,044 CANON INC ADR ADR 138006309 8 205 SH Sole 01 205 CAPSTEAD MTG CORP COM NO PAR COM 14067E506 926 83,717 SH Sole 01 83,717 CARDINAL HEALTH INC COM COM 14149Y108 1,476 43,916 SH Sole 01 43,916 CELANESE CORP DEL COM SER A COM 150870103 4 147 SH Sole 01 147 CEMEX SAB DE CV SPON ADR NEW SPONSORED ADR 151290889 4 431 SH Sole 01 431 CENTRAIS ELETRICAS BRASILEIR SPONSORED ADR 15234Q207 7 550 SH Sole 01 550 CENTURY ALUM CO COM COM 156431108 626 70,853 SH Sole 01 70,853 CERNER CORP COM COM 156782104 6,167 81,260 SH Sole 01 81,260
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- CF INDS HLDGS INC COM COM 125269100 0 2 SH Sole 01 2 CHESAPEAKE ENERGY CORP COM COM 165167107 4,848 231,413 SH Sole 01 231,413 CHICOS FAS INC COM COM 168615102 2,126 215,166 SH Sole 01 215,166 CHINA LIFE INS CO LTD SPON ADR SPONSORED ADR 16939P106 1,882 28,864 SH Sole 01 28,864 CIMAREX ENERGY CO COM COM 171798101 2 26 SH Sole 01 26 CISCO SYS INC COM COM 17275R102 5,210 244,487 SH Sole 01 244,487 CMS ENERGY CORP COM COM 125896100 3,779 257,983 SH Sole 01 257,983 COCA COLA CO COM COM 191216100 4,266 85,114 SH Sole 01 85,114 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 4,929 98,458 SH Sole 01 98,458 COINSTAR INC COM COM 19259P300 1,546 35,970 SH Sole 01 35,970 COLGATE PALMOLIVE CO COM COM 194162103 15,916 202,080 SH Sole 01 202,080 COMERICA INC COM COM 200340107 1,378 37,422 SH Sole 01 37,422 COMTECH TELECOMMUNICATIONS COM 205826209 1,025 34,263 SH Sole 01 34,263 CONSTELLATION ENERGY GROUP I COM 210371100 920 28,530 SH Sole 01 28,530 COOPER COS INC COM NEW COM 216648402 1,216 30,558 SH Sole 01 30,558 CORE LABORATORIES N V COM COM N22717107 3,224 21,844 SH Sole 01 21,844 CORNING INC COM COM 219350105 7,415 459,144 SH Sole 01 459,144 COVIDIEN PLC SHS COM G2554F105 5,343 132,973 SH Sole 01 132,973 CTRIP COM INTL LTD AMERICAN DEP SPONSORED ADR 22943F100 2,122 56,485 SH Sole 01 56,485 DANAHER CORP DEL COM COM 235851102 3,046 82,045 SH Sole 01 82,045 DECKERS OUTDOOR CORP COM COM 243537107 1,271 8,896 SH Sole 01 8,896 DEL MONTE FOODS CO COM COM 24522P103 723 50,226 SH Sole 01 50,226 DELTA AIR LINES INC. COM 247361702 144 12,233 SH Sole 12,233 DEUTSCHE BANK AG NAMEN AKT COM D18190898 1 15 SH Sole 01 15 DEUTSCHE TELEKOM AG SPONSO SPONSORED ADR 251566105 10 875 SH Sole 01 875 DISCOVER FINL SVCS COM COM 254709108 1,419 101,513 SH Sole 01 101,513 DOLLAR TREE INC COM COM 256746108 1,687 40,531 SH Sole 01 40,531
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- DU PONT E I DE NEMOURS & CO COM COM 263534109 4,889 141,348 SH Sole 01 141,348 E M C CORP MASS COM COM 268648102 13,498 737,603 SH Sole 01 737,603 EAST WEST BANCORP INC COM COM 27579R104 1,167 76,551 SH Sole 01 76,551 EATON VANCE TAX MNG GBL DV E COM 27829F108 8,828 923,457 SH Sole 01 923,457 EATON VANCE TX MGD DIV EQ IN COM COM 27828N102 5,275 487,049 SH Sole 01 487,049 EATON VANCE TXMGD GL BUYWR COM 27829C105 4,404 392,842 SH Sole 01 392,842 EBAY INC COM COM 278642103 6,151 313,657 SH Sole 01 313,657 EMERSON ELEC CO COM COM 291011104 4,519 103,431 SH Sole 01 103,431 EMULEX CORP COM NEW COM 292475209 571 62,170 SH Sole 01 62,170 ENI S P A SPONSORED ADR SPONSORED ADR 26874R108 8 230 SH Sole 01 230 ENTERGY CORP NEW COM COM 29364G103 1,811 25,287 SH Sole 01 25,287 ERICSSON L M TEL CO ADR B SEK 10 ADR 294821608 8 695 SH Sole 01 695 ESTERLINE TECHNOLOGIES CORP COM 297425100 1,013 21,345 SH Sole 01 21,345 EVERGREEN GBL DIVID OPP FUND COM 30024H101 1,814 203,408 SH Sole 01 203,408 EXELON CORP COM COM 30161N101 1,279 33,688 SH Sole 01 33,688 EXXON MOBIL CORP COM COM 30231G102 5,247 91,936 SH Sole 01 91,936 EZCORP INC CL A NON VTG COM 302301106 828 44,632 SH Sole 01 44,632 FEDERAL MOGUL CORP COM COM 313549404 1,260 96,798 SH Sole 01 96,798 FLEXTRONICS INTL LTD ORD COM Y2573F102 2 440 SH Sole 01 440 FRANCE TELECOM SPONSORED ADR SPONSORED ADR 35177Q105 7 376 SH Sole 01 376 FRESENIUS MED CARE AG&CO KGA SPONSORED ADR 358029106 942 17,552 SH Sole 01 17,552 GENERAL DYNAMICS CORP COM COM 369550108 12,005 205,001 SH Sole 01 205,001 GEO GROUP INC COM COM 36159R103 1,101 53,059 SH Sole 01 53,059 GILEAD SCIENCES INC COM COM 375558103 4,684 136,652 SH Sole 01 136,652 GLAXOSMITHKLINE PLC SPONSORED SPONSORED ADR 37733W105 8 235 SH Sole 01 235 GRAINGER W W INC COM COM 384802104 8,855 89,037 SH Sole 01 89,037 GROUPE CGI INC CL A SUB VTG CL A SUB VTG 39945C109 6,517 436,503 SH Sole 01 436,503 GULF ISLAND FABRICATION INC COM COM 402307102 1,158 74,608 SH Sole 01 74,608
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- HALLIBURTON CO COM COM 406216101 4,374 178,155 SH Sole 01 178,155 HARSCO CORP COM COM 415864107 1 47 SH Sole 01 47 HEWLETT PACKARD CO COM COM 428236103 6,946 160,495 SH Sole 01 160,495 HOLOGIC INC. COM 436440101 134 9,632 SH Sole 9,632 HONDA MOTOR LTD AMERN SHS COM 438128308 3,930 136,687 SH Sole 01 136,687 HONEYWELL INTL INC COM COM 438516106 2 53 SH Sole 01 53 HSBC HLDGS PLC SPON ADR NEW SPONSORED ADR 404280406 4,248 93,189 SH Sole 01 93,189 HUNT J B TRANS SVCS INC COM COM 445658107 2,962 90,656 SH Sole 01 90,656 IBERIABANK CORP COM COM 450828108 1,833 35,611 SH Sole 01 35,611 ICICI BK LTD ADR ADR 45104G104 1,755 48,572 SH Sole 01 48,572 ILLINOIS TOOL WKS INC COM COM 452308109 7,142 173,008 SH Sole 01 173,008 INFORMATICA CORP COM COM 45666Q102 3,350 140,293 SH Sole 01 140,293 INFOSYS TECHNOLOGIES LTD SPONSORED ADR 456788108 2,033 33,932 SH Sole 01 33,932 INGERSOLL- RAND PLC SHS COM G47791101 6,363 184,481 SH Sole 01 184,481 INTEL CORP COM COM 458140100 5,213 268,028 SH Sole 01 268,028 INTERNATIONAL BUSINESS MACHS COM 459200101 30,619 247,969 SH Sole 01 247,969 ISHARES INC MSCI AUSTRALIA ETF 464286103 1,275 67,200 SH Sole 01 67,200 ISHARES INC MSCI FRANCE ETF 464286707 1,282 65,525 SH Sole 01 65,525 ISHARES INC MSCI GERMAN ETF 464286806 1,285 68,665 SH Sole 01 68,665 ISHARES INC MSCI HONG KONG ETF 464286871 644 43,615 SH Sole 01 43,615 ISHARES INC MSCI JAPAN ETF 464286848 3,238 351,967 SH Sole 01 351,967 ISHARES INC MSCI NETHR INVES ETF 464286814 639 37,361 SH Sole 01 37,361 ISHARES INC MSCI SINGAPORE ETF 464286673 659 58,621 SH Sole 01 58,621 ISHARES INC MSCI SPAIN ETF 464286764 645 20,267 SH Sole 01 20,267 ISHARES INC MSCI SWEDEN ETF 464286756 646 28,289 SH Sole 01 28,289 ISHARES INC MSCI SWITZERLD ETF 464286749 1,300 65,015 SH Sole 01 65,015 ISHARES INC MSCI UTD KINGD ETF 464286699 3,169 235,767 SH Sole 01 235,767
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- -------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ---- ISHARES TR AGENCY BD FD ETF 464288166 2,753 24,960 SH Sole 01 24,960 ISHARES TR BARCLYS 1-3YR CR ETF 464288646 7,848 75,530 SH Sole 01 75,530 ISHARES TR BARCLYS CR BD ETF 464288620 13,977 133,953 SH Sole 01 133,953 ISHARES TR BARCLYS MBS BD ETF 464288588 20,394 186,365 SH Sole 01 186,365 ISHARES TR BARCLYS SH TREA ETF 464288679 3,992 36,215 SH Sole 01 36,215 ISHARES TR DJ INTL SEL DIVD ETF 464288448 599 22,837 SH Sole 01 22,837 ISHARES TR DJ MED DEVICES ETF 464288810 939 17,580 SH Sole 01 17,580 ISHARES TR DJ OIL EQUIP ETF 464288844 353 9,471 SH Sole 01 9,471 ISHARES TR DJ REGIONAL BK ETF 464288778 1,049 47,905 SH Sole 01 47,905 ISHARES TR INDEX BARCLY USAGG B ETF 464287226 50,504 470,896 SH Sole 01 470,896 ISHARES TR INDEX BARCLYS 1-3 YR ETF 464287457 44,299 526,618 SH Sole 01 526,618 ISHARES TR INDEX BARCLYS 20+ YR ETF 464287432 6,203 60,968 SH Sole 01 60,968 ISHARES TR INDEX BARCLYS 7-10 YR ETF 464287440 16,381 171,224 SH Sole 01 171,224 ISHARES TR INDEX BARCLYS TIPS BD ETF 464287176 12,239 114,481 SH Sole 01 114,481 ISHARES TR INDEX DJ SEL DIV INX ETF 464287168 666 15,695 SH Sole 01 15,695 ISHARES TR INDEX DJ US TECH SEC ETF 464287721 5,686 110,189 SH Sole 01 110,189 ISHARES TR INDEX DJ US TELECOMM ETF 464287713 1,060 56,813 SH Sole 01 56,813 ISHARES TR INDEX IBOXX INV CPBD ETF 464287242 3,894 35,899 SH Sole 01 35,899 ISHARES TR INDEX MSCI EAFE IDX ETF 464287465 24,452 525,728 SH Sole 01 525,728 ISHARES TR INDEX MSCI EMERG MKT ETF 464287234 44,123 1,182,283 SH Sole 01 1,182,283 ISHARES TR INDEX RUSL 2000 GROW ETF 464287648 569 8,549 SH Sole 01 8,549 ISHARES TR INDEX RUSL 2000 VALU ETF 464287630 619 10,844 SH Sole 01 10,844 ISHARES TR INDEX RUSL 3000 VALU ETF 464287663 325 4,567 SH Sole 01 4,567 ISHARES TR INDEX RUSSELL 1000 ETF 464287622 6,700 117,264 SH Sole 01 117,264 ISHARES TR INDEX RUSSELL 2000 ETF 464287655 8,331 136,312 SH Sole 01 136,312 ISHARES TR INDEX RUSSELL MCP GR ETF 464287481 10,191 233,197 SH Sole 01 233,197 ISHARES TR INDEX RUSSELL1000GRW ETF 464287614 376 8,212 SH Sole 01 8,212 ISHARES TR INDEX RUSSELL1000VAL ETF 464287598 6,173 113,866 SH Sole 01 113,866
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- ISHARES TR INDEX S&P 100 IDX FD ETF 464287101 583 12,428 SH Sole 01 12,428 ISHARES TR INDEX S&P 500 INDEX ETF 464287200 3,156 30,503 SH Sole 01 30,503 ISHARES TR INDEX S&P 500 VALUE ETF 464287408 575 11,573 SH Sole 01 11,573 ISHARES TR INDEX S&P LTN AM 40 ETF 464287390 1 28 SH Sole 01 28 ISHARES TR INDEX S&P MC 400 GRW ETF 464287606 288 3,751 SH Sole 01 3,751 ISHARES TR INDEX S&P MIDCAP 400 ETF 464287507 1,581 22,233 SH Sole 01 22,233 ISHARES TR INDEX S&P MIDCP VALU ETF 464287705 288 4,487 SH Sole 01 4,487 ISHARES TR INDEX S&P NA MULTIMD ETF 464287531 104 4,232 SH Sole 01 4,232 ISHARES TR INDEX S&P SMLCP GROW ETF 464287887 51 902 SH Sole 01 902 ISHARES TR INDEX S&P SMLCP VALU ETF 464287879 53 922 SH Sole 01 922 ISHARES TR INDEX S&P500 GRW ETF 464287309 7,185 135,718 SH Sole 01 135,718 ISHARES TR MSCI GRW IDX ETF 464288885 26,828 558,111 SH Sole 01 558,111 ISHARES TR MSCI VAL IDX ETF 464288877 25,625 621,506 SH Sole 01 621,506 ISHARES TR S&P CAL AMTFR MN ETF 464288356 3 30 SH Sole 01 30 ISHARES TR S&P GL UTILITI ETF 464288711 10,935 274,684 SH Sole 01 274,684 ISHARES TR S&P NTL AMTFREE ETF 464288414 4,676 44,951 SH Sole 01 44,951 ISHARES TR SMLL CORE INDX ETF 464288505 26 368 SH Sole 01 368 ISHARES TR SMLL GRWTH IDX ETF 464288604 51 809 SH Sole 01 809 ISHARES TR SMLL VAL INDX ETF 464288703 51 771 SH Sole 01 771 ISHARES TR US PFD STK IDX ETF 464288687 1,985 53,566 SH Sole 01 53,566 ITAU UNIBANCO HLDG SA SPON ADR SPONSORED ADR 465562106 1,767 98,133 SH Sole 01 98,133 ITT CORP NEW COM COM 450911102 5,685 126,549 SH Sole 01 126,549 JACK IN THE BOX INC COM COM 466367109 1 73 SH Sole 01 73 JAKKS PAC INC COM COM 47012E106 1,619 112,620 SH Sole 01 112,620 JARDEN CORP COM COM 471109108 1,094 40,721 SH Sole 01 40,721 JOHNSON & JOHNSON COM COM 478160104 8,808 149,131 SH Sole 01 149,131 JPMORGAN CHASE & CO COM COM 46625H100 9,491 259,255 SH Sole 01 259,255
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- KANSAS CITY SOUTHERN COM NEW COM 485170302 2 51 SH Sole 01 51 KEYCORP NEW COM COM 493267108 1,421 184,728 SH Sole 01 184,728 KNIGHT TRANSN INC COM COM 499064103 1,019 50,322 SH Sole 01 50,322 KOREA ELECTRIC PWR SPONSORED SPONSORED ADR 500631106 5 380 SH Sole 01 380 KRAFT FOODS INC CL A CL A 50075N104 11,115 396,973 SH Sole 01 396,973 K-SWISS INC CL A CL A 482686102 100 8,937 SH Sole 01 8,937 KT CORP SPONSORED ADR SPONSORED ADR 48268K101 3 180 SH Sole 01 180 KUBOTA CORP ADR ADR 501173207 803 20,902 SH Sole 01 20,902 LEAR CORP COM NEW COM 521865204 664 10,028 SH Sole 01 10,028 LHC GROUP INC COM COM 50187A107 1,007 36,302 SH Sole 01 36,302 LIFE TECHNOLOGIES CORP COM COM 53217V109 3 74 SH Sole 01 74 LINCOLN EDL SVCS CORP COM COM 533535100 891 43,271 SH Sole 01 43,271 LKQ CORP COM COM 501889208 4,442 230,415 SH Sole 01 230,415 LOEWS CORP COM COM 540424108 5,144 154,433 SH Sole 01 154,433 LORILLARD INC COM COM 544147101 3 45 SH Sole 01 45 LOWES COS INC COM COM 548661107 19,313 945,806 SH Sole 01 945,806 M/I HOMES INC COM COM 55305B101 821 85,135 SH Sole 01 85,135 MAIDEN HOLDINGS LTD SHS COM G5753U112 1,010 153,751 SH Sole 01 153,751 MAKITA CORP ADR NEW ADR 560877300 921 34,530 SH Sole 01 34,530 MARINEMAX INC COM COM 567908108 89 12,776 SH Sole 01 12,776 MARSHALL & ILSLEY CORP NEW COM COM 571837103 1,239 172,585 SH Sole 01 172,585 MASTERCARD INC CL A CL A 57636Q104 6,832 34,240 SH Sole 01 34,240 MBIA INC COM COM 55262C100 114 20,365 SH Sole 01 20,365 MCDONALDS CORP COM COM 580135101 8,257 125,357 SH Sole 01 125,357 MECHEL OAO SPONSORED ADR ADR 583840103 1,440 79,356 SH Sole 01 79,356 MERCK & CO INC NEW COM COM 58933Y105 5,545 158,568 SH Sole 01 158,568 MICROSOFT CORP COM COM 594918104 5,016 218,008 SH Sole 01 218,008 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 5 1,120 SH Sole 01 1,120
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- MIZUHO FINL GROUP INC SPONSOR SPONSORED ADR 60687Y109 4 1,220 SH Sole 01 1,220 NALCO HOLDING COMPANY COM COM 62985Q101 6,703 327,621 SH Sole 01 327,621 NATIONAL GRID PLC SPON ADR NEW SPONSORED ADR 636274300 1,999 54,269 SH Sole 01 54,269 NEW YORK CMNTY BANCORP INC COM 649445103 3 193 SH Sole 01 193 NEWTEK BUSINESS SERVICES INC. COM 652526104 194 146,141 SH Sole 146,141 NEXTERA ENERGY INC COM ADDED COM 65339F101 574 11,770 SH Sole 01 11,770 NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 10 500 SH Sole 01 500 NOKIA CORP SPONSORED ADR SPONSORED ADR 654902204 6 685 SH Sole 01 685 NORTHEAST UTILS COM COM 664397106 4 138 SH Sole 01 138 NORTHERN TR CORP COM COM 665859104 5,402 115,674 SH Sole 01 115,674 NOVARTIS A G SPONSORED ADR SPONSORED ADR 66987V109 2,489 51,504 SH Sole 01 51,504 NOVO-NORDISK A S ADR ADR 670100205 5,064 62,501 SH Sole 01 62,501 NRG ENERGY INC COM NEW COM 629377508 246 11,615 SH Sole 01 11,615 NSTAR COM COM 67019E107 2 69 SH Sole 01 69 NTELOS HLDGS CORP COM COM 67020Q107 3 189 SH Sole 01 189 NTT DOCOMO INC SPONS ADR ADR 62942M201 4,616 306,100 SH Sole 01 306,100 NUVEEN EQTY PRM OPPORTUNITY COM 6706EM102 3,830 317,551 SH Sole 01 317,551 OCEANEERING INTL INC COM COM 675232102 1,050 23,378 SH Sole 01 23,378 OLD REP INTL CORP COM COM 680223104 1,349 111,249 SH Sole 01 111,249 ORACLE CORP COM COM 68389X105 7,353 342,657 SH Sole 01 342,657 PARKER HANNIFIN CORP COM COM 701094104 5,746 103,611 SH Sole 01 103,611 PENN VA CORP COM COM 707882106 1,024 50,943 SH Sole 01 50,943 PETROLEO BRASILEIRO SA PETRO SP SPONSORED ADR 71654V101 1 30 SH Sole 01 30 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1,501 43,747 SH Sole 01 43,747 PFIZER INC COM COM 717081103 3,552 249,107 SH Sole 01 249,107 PG&E CORP COM COM 69331C108 2,621 63,774 SH Sole 01 63,774 PHILIP MORRIS INTL INC COM COM 718172109 7,407 161,581 SH Sole 01 161,581
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- PIMCO ETF TR ENHAN SHRT MAT ETF 72201R833 93,275 929,421 SH Sole 01 929,421 PLAINS EXPL& PRODTN CO COM COM 726505100 3,832 185,910 SH Sole 01 185,910 PORTUGAL TELECOM SGPS S A SPONSORED ADR 737273102 5 533 SH Sole 01 533 POSCO SPONSORED ADR ADR 693483109 1,583 16,788 SH Sole 01 16,788 POTASH CORP SASK INC COM COM 73755L107 3,414 39,582 SH Sole 01 39,582 POWERSHARES GLOBAL ETF TRUST ETF 73936T474 4,350 181,849 SH Sole 01 181,849 POWERSHARES QQQ TRUST UNIT ETF 73935A104 1 19 SH Sole 01 19 PPL CORP COM COM 69351T106 1,918 76,860 SH Sole 01 76,860 PRAXAIR INC COM COM 74005P104 8,640 113,705 SH Sole 01 113,705 PROCTER & GAMBLE CO COM COM 742718109 19,331 322,292 SH Sole 01 322,292 PUBLIC SVC ENTERPRISE GROUP COM 744573106 422 13,480 SH Sole 01 13,480 QUEST DIAGNOSTICS INC COM COM 74834L100 2,727 54,800 SH Sole 01 54,800 RALCORP HLDGS INC NEW COM COM 751028101 4,879 89,028 SH Sole 01 89,028 REGIONS FINANCIAL CORP NEW COM COM 7591EP100 1,035 157,249 SH Sole 01 157,249 RESMED INC COM COM 761152107 1,894 31,150 SH Sole 01 31,150 ROSETTA RESOURCES INC COM COM 777779307 4,701 237,282 SH Sole 01 237,282 ROSS STORES INC COM COM 778296103 0 5 SH Sole 01 5 ROVI CORP COM COM 779376102 7,740 204,159 SH Sole 01 204,159 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 168 7,380 SH Sole 01 7,380 SALESFORCE COM INC COM COM 79466L302 4,070 47,428 SH Sole 01 47,428 SANOFI AVENTIS SPONSORED ADR ADR 80105N105 5,028 167,280 SH Sole 01 167,280 SARA LEE CORP COM COM 803111103 1 87 SH Sole 01 87 SEATTLE GENETICS INC COM COM 812578102 975 81,355 SH Sole 01 81,355 SELECT SECTOR SPDR TR SBI CONS ETF 81369Y407 2,692 92,400 SH Sole 01 92,400 SELECT SECTOR SPDR TR SBI CONS ETF 81369Y308 1,995 78,222 SH Sole 01 78,222 SELECT SECTOR SPDR TR SBI HEA ETF 81369Y209 2,709 96,051 SH Sole 01 96,051 SELECT SECTOR SPDR TR SBI INT ETF 81369Y506 2,581 51,954 SH Sole 01 51,954 SELECT SECTOR SPDR TR SBI INT ETF 81369Y605 2,301 166,654 SH Sole 01 166,654
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- SELECT SECTOR SPDR TR SBI INT ETF 81369Y704 3,799 138,495 SH Sole 01 138,495 SELECT SECTOR SPDR TR SBI INT-UT ETF 81369Y886 114 4,022 SH Sole 01 4,022 SELECT SECTOR SPDR TR SBI MATR ETF 81369Y100 823 29,008 SH Sole 01 29,008 SEMPRA ENERGY COM COM 816851109 467 9,975 SH Sole 01 9,975 SINGAPORE FD INC COM COM 82929L109 0 23 SH Sole 01 23 SK TELECOM LTD SPONSORED ADR SPONSORED ADR 78440P108 6 400 SH Sole 01 400 SM ENERGY CO COM ADDED COM 78454L100 1 31 SH Sole 01 31 SMITHFIELD FOODS INC COM COM 832248108 1,063 71,317 SH Sole 01 71,317 SNAP ON INC COM COM 833034101 2 40 SH Sole 01 40 SOCIEDAD QUIMICA MINERA DE C SPONSORED ADR 833635105 1,760 53,966 SH Sole 01 53,966 SOLERA HOLDINGS INC COM COM 83421A104 4,854 134,098 SH Sole 01 134,098 SONY CORP ADR NEW ADR 835699307 6 220 SH Sole 01 220 SOUTHERN CO COM COM 842587107 666 19,999 SH Sole 01 19,999 SPDR GOLD TRUST GOLD SHS ETF 78463V107 2,652 21,798 SH Sole 01 21,798 SPDR INDEX SHS FDS ASIA PACIF ETF ETF 78463X301 2,090 29,772 SH Sole 01 29,772 SPDR INDEX SHS FDS DJ INTL RL ETF ETF 78463X863 2,376 76,238 SH Sole 01 76,238 SPDR INDEX SHS FDS EMERG MKTS ETF 78463X509 3,937 67,048 SH Sole 01 67,048 SPDR INDEX SHS FDS INTL INDS ETF ETF 78463X673 117 5,359 SH Sole 01 5,359 SPDR INDEX SHS FDS S&P INTL SML ETF 78463X871 4,155 175,830 SH Sole 01 175,830 SPDR INDEX SHS FDS S&P WRLD EX ETF 78463X889 11,248 547,076 SH Sole 01 547,076 SPDR S&P 500 ETF TR UNIT SER 1 S&P ETF 78462F103 28,039 271,641 SH Sole 01 271,641 SPDR S&P MIDCAP 400 ETF TR UTSE ETF 78467Y107 1,722 13,331 SH Sole 01 13,331 SPDR SERIES TRUST BARC CAPTL ETF 78464A474 2,702 90,019 SH Sole 01 90,019 SPDR SERIES TRUST BARCL CAP TIPS ETF 78464A656 938 17,784 SH Sole 01 17,784 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 12,081 263,384 SH Sole 01 263,384 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 10,948 193,367 SH Sole 01 193,367 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 724 13,468 SH Sole 01 13,468
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 4,819 127,395 SH Sole 01 127,395 SPDR SERIES TRUST DB INT GVT ETF ETF 78464A490 934 18,002 SH Sole 01 18,002 SPDR SERIES TRUST DJ REIT ETF ETF 78464A607 5,241 102,742 SH Sole 01 102,742 SPDR SERIES TRUST DJ SML CAP ETF ETF 78464A813 1,634 31,651 SH Sole 01 31,651 SPDR SERIES TRUST DJ SML GRWTH ETF 78464A201 53 636 SH Sole 01 636 SPDR SERIES TRUST DJ SML VALUE ETF 78464A300 51 917 SH Sole 01 917 SPDR SERIES TRUST NUVN BR SHT ETF 78464A425 4,674 193,955 SH Sole 01 193,955 SPDR SERIES TRUST NUVN BRCLY ETF 78464A458 8,074 351,978 SH Sole 01 351,978 SPDR SERIES TRUST S&P DIVID ETF ETF 78464A763 2,848 63,095 SH Sole 01 63,095 SPDR SERIES TRUST SPDR KBW INS ETF 78464A789 964 27,338 SH Sole 01 27,338 STERICYCLE INC COM COM 858912108 1,371 20,902 SH Sole 01 20,902 STEWART INFORMATION SVCS COR COM 860372101 88 9,728 SH Sole 01 9,728 STMICROELECTRONICS N V NY REGIS COM 861012102 7 825 SH Sole 01 825 STRYKER CORP COM COM 863667101 8,284 165,485 SH Sole 01 165,485 SUNTRUST BKS INC COM COM 867914103 138 5,929 SH Sole 01 5,929 SYBASE INC COM COM 871130100 12,164 188,121 SH Sole 01 188,121 SYMANTEC CORP COM COM 871503108 4,721 340,144 SH Sole 01 340,144 TALEO CORP CL A CL A 87424N104 922 37,976 SH Sole 01 37,976 TARGACEPT INC COM COM 87611R306 1,018 52,686 SH Sole 01 52,686 TARGET CORP COM COM 87612E106 14,410 293,063 SH Sole 01 293,063 TELECOM CORP NEW ZEALAND LTD SPONSORED ADR 879278208 1 206 SH Sole 01 206 TELECOM ITALIA S P A NEW SPON SPONSORED ADR 87927Y102 8 715 SH Sole 01 715 TELEFONICA S A SPONSORED ADR SPONSORED ADR 879382208 3 52 SH Sole 01 52 TELEFONOS DE MEXICO S A B SPON SPONSORED ADR 879403780 2 175 SH Sole 01 175 TESSERA TECHNOLOGIES INC COM COM 88164L100 797 49,662 SH Sole 01 49,662 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1,797 34,572 SH Sole 01 34,572 TOMKINS PLC SPONSORED ADR SPONSORED ADR 890030208 3 245 SH Sole 01 245 TOTAL S A SPONSORED ADR SPONSORED ADR 89151E109 4,914 110,081 SH Sole 01 110,081
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- -------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- TOWER GROUP INC COM COM 891777104 1,062 49,312 SH Sole 01 49,312 TOYOTA MOTOR CORP SP ADR REP2C COM 892331307 5,573 81,272 SH Sole 01 81,272 TREEHOUSE FOODS INC COM COM 89469A104 5,495 120,342 SH Sole 01 120,342 TUPPERWARE BRANDS CORP COM COM 899896104 6,973 174,993 SH Sole 01 174,993 TUTOR PERINI CORP COM COM 901109108 846 51,359 SH Sole 01 51,359 TYCO ELECTRONICS LTD SWITZER COM H8912P106 6,278 247,372 SH Sole 01 247,372 UAL CORP. COM 902549807 23 832 SH Sole 832 UBS AG SHS NEW COM H89231338 837 63,324 SH Sole 01 63,324 UGI CORP NEW COM COM 902681105 1,260 49,546 SH Sole 01 49,546 UNILEVER N V N Y SHS NEW ADR 904784709 7 265 SH Sole 01 265 UNISOURCE ENERGY CORP COM COM 909205106 1,002 33,215 SH Sole 01 33,215 UNITED TECHNOLOGIES CORP COM COM 913017109 22,124 340,842 SH Sole 01 340,842 UNUM GROUP COM COM 91529Y106 5 213 SH Sole 01 213 USANA HEALTH SCIENCES INC COM COM 90328M107 1,040 28,470 SH Sole 01 28,470 VALE S A ADR ADR 91912E105 1,646 67,608 SH Sole 01 67,608 VANGUARD BD INDEX FD INC TOTAL ETF 921937835 3,220 39,564 SH Sole 01 39,564 VANGUARD INDEX FDS GROWTH ETF ETF 922908736 16,457 338,351 SH Sole 01 338,351 VANGUARD INDEX FDS MID CAP ETF ETF 922908629 580 9,881 SH Sole 01 9,881 VANGUARD INDEX FDS REIT ETF ETF 922908553 1 23 SH Sole 01 23 VANGUARD INDEX FDS SM CP VAL ETF 922908611 4,656 86,389 SH Sole 01 86,389 VANGUARD INDEX FDS SMALL CP ETF ETF 922908751 102 1,808 SH Sole 01 1,808 VANGUARD INDEX FDS SML CP GRW ETF 922908595 6,349 107,844 SH Sole 01 107,844 VANGUARD INDEX FDS VALUE ETF ETF 922908744 24,647 552,132 SH Sole 01 552,132 VANGUARD INTL EQUITY INDEX F EMR ETF 922042858 7,737 203,647 SH Sole 01 203,647 VANGUARD INTL EQUITY INDEX F ETF 922042874 13,175 327,817 SH Sole 01 327,817 VANGUARD INTL EQUITY INDEX F ETF 922042718 1,643 21,787 SH Sole 01 21,787 VANGUARD INTL EQUITY INDEX F ETF 922042866 10,185 214,148 SH Sole 01 214,148
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- ------------- --------- -------- ------- --- ---- ---------- -------- ------- ------ ---- VANGUARD TAX-MANAGED FD EURO ETF 921943858 21,656 740,633 SH Sole 01 740,633 VERIZON COMMUNICATIONS INC. COM 92343V104 50 2,409 SH Sole 2,409 VIAD CORP COM NEW COM 92552R406 613 34,737 SH Sole 01 34,737 VISA INC COM CL A CL A 92826C839 5,003 70,707 SH Sole 01 70,707 VODAFONE GROUP PLC NEW SPONS ADR 92857W209 10,250 495,887 SH Sole 01 495,887 WAL MART STORES INC COM COM 931142103 6,159 128,127 SH Sole 01 128,127 WALGREEN CO COM COM 931422109 1 29 SH Sole 01 29 WALTER ENERGY INC COM COM 93317Q105 2 35 SH Sole 01 35 WALTER INVT MGMT CORP COM COM 93317W102 0 13 SH Sole 01 13 WARNACO GROUP INC COM NEW COM 934390402 2,169 60,028 SH Sole 01 60,028 WASHINGTON FED INC COM COM 938824109 2 132 SH Sole 01 132 WATERS CORP COM COM 941848103 8,377 129,474 SH Sole 01 129,474 WESTPAC BKG CORP SPONSORED SPONSORED ADR 961214301 3,396 38,343 SH Sole 01 38,343 WILLIAMS COS INC DEL COM COM 969457100 1,563 85,477 SH Sole 01 85,477 XL CAP LTD CL A CL A G98255105 1,249 77,996 SH Sole 01 77,996 YAHOO INC COM COM 984332106 5,697 411,646 SH Sole 01 411,646 YANZHOU COAL MNG CO LTD SPON SPONSORED ADR 984846105 1,772 92,557 SH Sole 01 92,557