Kim McLane Wardlaw

2014Annual

Ask Donna

Pull out the substance of this filing.

What was filed

614
investments
1
positions
0
gifts
0
agreements
0
debts
0
reimbursements
1
income
0
spouse income

Named parties

Fargo Investment
MS Brokerage
UCLA - Regent's Lecturer/ Teaching

As filed

Trust #5 (IR-K)

ROTH IRA

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Sold (part)

AMERICAN FUNDS NEW PERSPECTIVE FUND — Sold (part)

CAPITAL GROUP CORE BOND FUND — Int/Div — Buy

CAPITAL WORLD GROWTH & INCOME FD — Int/Div — Sold (part)

SSGA US GOV MONEY MARKET FUND — None

Schwab Pension Acct (IRA)

Abbott Labs Com Stock — Int/Div

Abbvie — Int/Div — Sold

American Express Com Stock — Int/Div — Sold (part)

Apache Corp Com Stock — Int/Div

Apple Corp Com Stock — Int/Div

Berkshire Hathaway — None

BHP Billiton Com Stock — Int/Div

Blackrock Inc Com Stock — Int/Div

Boemg Co — Int/Div — Buy

Celgene Corp — None — Buy

Cemer Corp Com Stock — None — Sold (part)

Chevron Corp Com Stock — Int/Div

Citicorp — Int/Div

Colgate-Palmolive Com Stock — Int/Div

Conocophillips Com Stock — Int/Div

Cummings Inc — Int/Div

CVS Caremark — Int/Div — Sold

Danaher Corp Com Stock — Int/Div

The Walt Disney Co. Com Stock — Int/Div — Sold (part)

DuPont Co Com Stock — Int/Div — Sold

EMC Corp Com Stock — Int/Div

Ebay Inc — None — Buy

GE Com Stock — Int/Div

Gilead Sciences Inc — None — Buy

Gilead Sciences Inc — Buy

Google Inc. Com Stock — None — Sold (part)

Holly Frontier Corp. — Int/Div — Buy

IBM Com Stock — Int/Div

Intel Corp Com Stock — Int/Div

Intuit Inc — Int/Div

JP Morgan Chase Com Stock — Int/Div

Lowes Compames — Int/Div

Merck & Co Com Stock — Int/Div

Nextera Energy — Int/Div

Nike Inc Com Stock — Int/Div — Sold (part)

Novo - Nordisk — Int/Div — Sold (part)

Oracle Corp — Int/Div

Pepsico Inc Com Stock — Int/Div

Proctor & Gamble Com Stock — Int/Div

Qualcomm Ine. Com Stock — Int/Div

Roche Hldg Lud — Int/Div

Schlumberger Ltd — Int/Div

Sempra Energy Com Stock — Int/Div

Target Corp Com Stock — Int/Div

TCP Capital Corp — Int/Div — Buy

Union Pacific Corp Com Stock — Int/Div

Verizon Com Stock — Int/Div

1Shares MSC Index Fund — Int/Div

1Shares Small Cap Index Fund — Int/Div

Vanguard Emerging Market Fund — Int/Div

CAPITAL TRUST ACCOUNT

ABBVIE INC — Int/Div — Buy

ABBVIE INC — Buy

ABBVIE INC — Sold (part)

ACCENTURE PLC — Int/Div

ACELTD — Int/Div — Buy

AIR PRODUCTS & CHEMICALS INC — Int/Div — Sold (part)

ALLEGHENY TECHNOLOGIES INC — Int/Div — Sold (part)

ALLEGHENY TECHNOLOGIES INC — Sold (part)

ALLEGHENY TECHNOLOGIES INC — Sold

ALLERGAN INC — Int/Div — Sold (part)

ALLERGAN INC — Sold

AMERICAN TOWER CORP — Int/Div — Sold (part)

AMERICAN TOWER CORP — Sold (part)

AMERISOURCEBERGEN CORP — Int/Div — Buy

AMERISOURCEBERGEN CORP — Buy

AON PLC — Int/Div — Buy

AON PLC — Buy

APPLE INC — Int/Div — Sold (part)

ASTRAZENECA PLC ADR — None — Buy

ALTOMATIC DATA PROCESSING INC — Int/Div — Buy

ALTOMATIC DATA PROCESSING INC — Buy

AVAGO TECHNOLOGIES LTD — Int/Div — Buy

AVAGO TECHNOLOGIES LTD — Buy

BAY AREA TOLL AUTH 06C2 CA VAR 04/01/45 — Interest

BB&T CORP — Int/Div — Sold (part)

BB&T CORP — Sold (part)

B/E Aerospace — None

BEAM INC — None — Sold

BLACKROCK INC — Int/Div — Sold (part)

BLACKROCK INC — Sold (part)

BLACKROCK INC — Sold

BOEING CO — Int/Div — Buy

BRISTOL-MYERS SQUIBB CO — Int/Div — Sold (part)

BRISTOL-MYERS SQUIBB CO — Sold (part)

BROADCOM CORP — Int/Div — Sold (part)

CA HLTH FAC CEDAR-SINAI MED 5.0% 08/1521 — Interest

CA HLTH HENRY MAYO NEWHALL MEM HOSP AGM — Interest — Buy

CA ED FAC UNIV OF SAN FRANCISCO £0% 1000121 — Interest

CA PUB WKS REGENTS UNIV CA CI S0% 0301/19 — Interest

CA ST ECON REC 09A 5.0% 07/01/20 Tow! — Interest

CAST GO 5.0% 02/01/20 — Interest

CAST GO NATL 5.0% 06/01/15 — Interest

CA ST JOSEPH HLTH HOSP CA-F AGM £25% 0701/16 — Interest

CA STWD ST JOSEPHS HLTH FSA 4.5% 0720118 — Interest

CALIFORNIA ST ECON REC (9A 5% 0701/19 — Interest

CALIFORNIA ST UNIV REVENUE SER AS0% 110117 — Interest

CATERPILLAR INC — Int/Div

CENTENE CORP — None — Sold (part)

CENTENE CORP — Sold (part)

CENTENE CORP — Sold

CENTRAL VLY COGEN CARSON-ICE 31.59% 07/01/14 — Interest — Matured

CME GROUP INC — Int/Div

CARNIVAL CORP COMMON PAIRED STOCK — Int/Div — Sold (part)

CARNIVAL CORP COMMON PAIRED STOCK — Sold (part)

CDK GLOBAL INC — None — Buy

CDK GLOBAL INC — Sold (part)

CDK GLOBAL INC — Sold

CENOVLS ENERGY INC — Int/Div — Buy

CENOVLS ENERGY INC — Buy

CENOVLS ENERGY INC — Sold (part)

CENOVLS ENERGY INC — Sold

CERNER CORP — None

CHARTER COMMUNICATIONS INC — None

CHEVRON CORP — Int/Div — Buy

CHEVRON CORP — Buy

CLEARWATER FL WTR/SWR B 5.0% 12/01/18 — Interest

COACH INC — Int/Div — Sold (part)

COACH INC — Sold (part)

COACH INC — Sold

COMCAST CORPCL A — Int/Div — Sold (part)

CONOCOPHILLIPS — Int/Div — Buy

CONOCOPHILLIPS — Buy

DAIMLER AG ADR — Int/Div — Buy

DAIMLER AG ADR — Buy

DAIMLER AG ADR — Sold (part)

DANAHER CORP — Int/Div

DARDEN RESTALRANTS INC — Int/Div — Sold (part)

DARDEN RESTALRANTS INC — Sold

DELPHI AUTOMOTIVE PLC — Int/Div — Buy

DELPHI AUTOMOTIVE PLC — Buy

DIAGEO PLC SPONSORED ADR — Int/Div

DOW CHEMICAL CO — Int/Div — Buy

EATON CROP PLC — Int/Div

EMERSON ELECTRIC CO — Int/Div — Sold (part)

EOG RESOURCES INC — Int/Div

ENSCO PLCCL A — Int/Div — Sold (part)

ENSCO PLCCL A — Sold

AMERICAN FUNDS EUROPEAN GROWTH FUND — Int/Div

GENPACTLTD — None — Sold (part)

GENPACTLTD — Sold (part)

GENPACTLTD — Sold

GILEAD SCIENCES INC — None — Sold (part)

GILEAD SCIENCES INC — Sold (part)

GOLDMAN SACHS GROUP INC — Int/Div

GOOGLE INCCL A — None — Sold (part)

GUAM BUS PRIVILEGE TAX 11A 5.0% 01/01/18 — Interest

HALLIBURTON CO — Int/Div — Sold (part)

HALLIBURTON CO — Sold (part)

HEXCEL CORP — None — Buy

HEXCEL CORP — Sold (part)

HOME DEPOT INC — Int/Div — Sold (part)

HOME DEPOT INC — Sold (part)

IDEX CORP — Int/Div — Buy (add'l)

IDEX CORP — Buy

INCYTE CORP — None — Buy

INCYTE CORP — Buy

IRON MOUNTAIN INC — Int/Div — Buy

IRON MOUNTAIN INC — Buy

IRONWOOD PHARMACEUTICALS INC CLA — None — Sold (part)

IRONWOOD PHARMACEUTICALS INC CLA — Sold (part)

IRONWOOD PHARMACEUTICALS INC CLA — Sold

JABIL CIRCUIT INC — Int/Div — Sold (part)

JABIL CIRCUIT INC — Sold (part)

JACK HENRY & ASSOC INC — Int/Div

JOHNSON CONTROLS INC — Int/Div — Buy

JOHNSON CONTROLS INC — Sold

JP MORGAN CHASE & CO — Int/Div

LA COCA MTA SALES TAX REV SR PROP C 13A 5.0% 07/0120 — Interest — Buy

MARSH & MCLENNAN COS INC — Int/Div — Buy

MICROSOFT CORP — Int/Div

MONSANTO CONEW COM — Int/Div

MOSAIC COTHE — Int/Div — Sold (part)

MOSAIC COTHE — Sold

NATIONAL GRID PLC -SP ADR — Int/Div

AMERICAN FUNDS NEW WORLD FUND — Int/Div

NEWELL RUBBERMAID INC — Int/Div

NIELSEN HOLDING NV — Int/Div

NIKEINCCLB — Int/Div — Sold (part)

NOBLE ENERGY INC — Int/Div — Sold (part)

NORFOLK SOUTHERN CORP — Int/Div — Sold (part)

NORFOLK SOUTHERN CORP — Sold (part)

NORWEGIAN CRUISE LINE HOLDINGS LTD — None — Buy

NORWEGIAN CRUISE LINE HOLDINGS LTD — Buy

NOVO NORDISK A/'SCL B ADR — Int/Div

NUCOR CORP — Int/Div — Sold (part)

NUCOR CORP — Sold

OR PROVIDENCE HLTH C SIFMA+100 FRN (MPT) — Interest

ORACLE CORP — Int/Div

PEPSICO INC — Int/Div — Sold

PFIZER INC — Int/Div

PHILIP MORRIS INTERNATIONAL INC — Int/Div — Buy

PNC FINANCIAL SERVICES GROUP INC — Int/Div — Buy

PNC FINANCIAL SERVICES GROUP INC — Buy

PRAXAIR INC — Int/Div — Buy

PRAXAIR INC — Buy

PROCTER & GAMBLE CO — Int/Div — Buy

PROGRESSIVE CORP OHIO — Int/Div — Sold

QUALCOMM INC — Int/Div

ROSS STORES INC — Int/Div — Sold (part)

ROSS STORES INC — Sold (part)

SAN DIEGO CA REGL AIRPORT A 5.0% 07/01/18 — Interest

SANDIEGO COWTR S.0% 0701/16 — Interest

SAN DIEGO WTR NATL FGIC 5.25% 050117 — Interest

SAN FRAN ARPT 2ND 06F NATL-FGIC £259 05/0120 — Interest

SCRIPPS NETWORKS INTERACTIVE CLA — Int/Div

SCPPA MAGNOLIA PWR 11-A 5.00% 07/0120 — Interest

SCPPA MEAD-ADELANTO 12A 5.0% 0701/18 — Interest

SCHLUMBERGER LTD — Int/Div

SCHWAB CHARLES NEW — Int/Div — Sold

SEATTLE GENETICS INC — None — Sold (part)

SEATTLE GENETICS INC — Sold (part)

SIEMENS AG ADR — Int/Div — Buy

bad) — Sold (part)

SIGNET JEWELERS LTD — Int/Div — Sold (part)

pak) — Sold (part)

pak) — Sold

SIRIUS XM HOLDINGS — None

STARBUCKS CORP — Int/Div — Buy

STARBUCKS CORP — Buy

SSGA US GOV MONEY MARKET FUND — None

STJUDE MEDICAL — Int/Div — Buy

STJUDE MEDICAL — Buy

TARGET CORP — Int/Div — Sold (part)

TARGET CORP — Sold

TE CONNECTIVITY LTD — Int/Div — Sold (part)

TE CONNECTIVITY LTD — Sold

TEXAS INSTRUMENTS INC — Int/Div

TIFFANY & CONEW — Int/Div — Sold (part)

TIFFANY & CONEW — Sold (part)

TOWERS WATSON & COMPANY CL A — Int/Div — Buy

TOWERS WATSON & COMPANY CL A — Buy

TURLOCK CA IRR DIS 5.0% 01/01/19 — Interest — Buy

TUOLUMNE WIND REV CA TURLOCK IRRDT S25% 01/0124 — Interest

UC REGENTS CA LTD PROJ 12G 5.0% 05/18/22 — Interest

UNILEVER PLC ADR AMER SHS SPON — Int/Div — Buy

UNILEVER PLC ADR AMER SHS SPON — Buy

UNILEVER NV NY SHRS — Int/Div — Buy

RIT) — Buy

RIT) — Sold

UNITED TECHNOLOGIES CORP — Int/Div

UNITED HEALTH GROUP INC — Int/Div

VERISIGN INC — None — Buy

VERISIGN INC — Buy

VERIZON COMMUNICATIONS — Int/Div — Buy

VERIZON COMMUNICATIONS — Buy

VIACOM INCCLASS B — Int/Div — Buy

VISAINCCLA — Int/Div — Buy

VISAINCCLA — Sold (part)

WASTE CONNECTIONS INC — Int/Div — Buy

WASTE CONNECTIONS INC — Buy

WELLS FARGO & CO (NEW) — Int/Div — Buy

WELLS FARGO & CO (NEW) — Buy

TRUST #2 (4306)

CAPITAL GROUP ALTERNATIVE STRATEGIES — None — Buy

CAPITAL GROUP GLOBAL EQUITY FUND — Int/Div — Sold (part)

CAPITAL GROUP GLOBAL EQUITY FUND — Sold (part)

CAPITAL GROUP CA SHORT TERM MUNI FUND — Int/Div

CAPITAL GROUP EMERGING MARKETS GROWTH FUND INC — Int/Div — Sold

CAPITAL GROUP CA CORE MUNICIPAL FUNDT — Int/Div

SSGA US GOV MONEY MARKET FUND — None

MS Brokerage Asset Acct

Alhambra CA Sch Dist 3.0% 08/01/26 — Interest

Amazon Inc — None — Distnbuted — Fargo Investment

Aruba Network Service (X) — None

Banning CA Sch Dist. 4.75% 08/01/23 — Interest

Belmont CA Fing Auth 4.0% 09/01/26 — Interest

Burbank CA Pub Fling 5.250% 12/01/17 — Interest

Buttonwillow CA Sch Dist 5.5% 1 1/01/27 — Interest

CAST Dept Wir 5.00% 05/01/21 — Interest

CA ed FACS 4.250% 1000118 — Interest

CAST GO 5.0% 0801727 — Interest

CAST GO 4.75% 0901/28 — Interest

Cal ST Pub Works $.25% 12/01/26 — Interest

CAST Pub Works 5.25% 06/01/20 — Interest

CA ST Pub Works 4.2000 05/01/19 — Interest

CA ST Pub Works S.000% 0601/18 — Interest — Sold

Carmichael CA WTR Dist $.0% 11/01/25 — Interest

Chino Hills CA Tax Rev 4.25% 09/01/24 — Interest

Chula Vista CA Pub Fing 3.875% 09/01/17 — Interest

Chula Vista CA Sch Dist 4.0% 08/01/26 — Interest

Coachella CA Sch Dist 5.000% 0801/19 — Interest

Cocrystal Pharma Inc — None — Buy

Colton CA Sch Dist 3.25% 0801/26 — Interest

Compton CA WTR Rev 5.625% 08/11/27 — Interest

Contra Costa CA Community Coll. 4.0% 08/0128 — Interest — Buy

Cupertino CA CTFS 3.0% 07/01/26 — Interest

Delano CA Sch Dist 4.000% 02/01/25 — Interest

Delano CA Sch Dist 4.5% 08/01/27 — Interest — Sold

Desert CA Cmuty Coll. 5.00% 08/01,23 — Interest

Dublin CA Sch Dist 5.0% 08/01/25 — Interest

East Side Sch Dist 5.0% 08/01/24 — Interest

El Monte CA Sch Dist. 5.00006 0641/22 — Interest

Escondido CA CTFS 4.250% 09/01/19 — Interest

Fairfield CA Sch. Dist. 4.000% 08/07/27 — Interest

Fairfield CA Sch Dist. 3.0% 08/01/28 — Interest — Buy

Fontana CA Pub Fing 4.000% 09/01/18 — Interest

Fremont CA Sch Dist 5.0% 08/01/28 — Interest

Gilead Sci Inc — None — Buy

Gilead Sci Inc — Buy

assy — Buy

Hemet CA Sch Dist. 4.07% 08/01/23 — Interest

Huntington Beach CA Pub Fing 5.0% 09/01/25 — Interest

Imperial CNTY CA Sch Dist 3.25% 06/01/23 — Interest

Incyte Corp — None — Buy

Infoblox — None — Sold

Jefferson CA Sch Dist. S.000% 0801/26 — Interest

Jefferson CA Sch Dist 5.0% 07/15/26 — Interest

Lake Arrowhead CA Dist Wer 4.500% 10126 — Interest

Liberty CA High Sch 4.250% 08/01/26 — Interest

Lmcoln CA Sch Dist 4.500% 08/01/19 — Interest — Sold

Lodi CA Elec Sys 4.5% 07/01/25 — Interest

Los Angeles CA Comm College 5.0% 08/0126 — Interest

Los Angeles CA DWP 5.0% 07/01/26 — Interest

Los Angeles CA Sch Dist 4.75% 07/01/25 — Interest

Los Angeles CA Sch Dist. 4.50% 07/01/22 — Interest

Madera Co CTFS 4.250% 08/01/22 — Interest

Malibu CA CTFS 4.5% 07/01/27 — Interest

Montclair CA Fing Auth 3.875% 10:V01/16 — Interest — Sold

Mountain View CA High School 4.125% 08/01/16 — Interest

Napa Co CTFS 3.600% 02/01/17 — Interest — Sold

Oxnard CA Fing Auth 4.750% 06/01/24 — Interest

Palmdale CA Redev Agy 3.8000 09/01/16 — Interest

Palm Dersert CTFS 5.00% 04/01/22 — Interest

Palm Springs Sch Dist. 3.0% 08/01/27 — Interest — Buy

Pasadena CA CTFS 5.0% 02/01/24 — Interest

Pasadena CA Elec Rev 4.0% 08/01/24 — Interest

Placentia-Yorba Linda CA Sch Dist 2.75% 08/0126 — Interest

Port Oakland CA Rev Ref 5.00% 11/01/21 — Interest

Redding CA Elec Sys. 5.0% 06/01/27 — Interest

Redlands CA Sch Dist. 5.000% 07/01/25 — Interest

Redondo Beach CA Sch Dist 4.0% 08/01/25 — Interest

Riverside Co CTFS 3.875% 11/01/14 — Interest — Sold

Ruckus Wireless Inc — None — Sold (part)

Sacramento CA Util Dist 5.000% 05/15/14 — Interest — Sold

Sacramento CA CTFS 5.000% 12/01/21 — Interest

Salinas CA CTFS 4.500% 09/01/20 — Interest — Sold

San Diego CA Conv. Cnt 5.0% 04/15/26 — Interest — Buy

San Diego PFFA 5.0% 10/15/25 — Interest

San Diego Co Wir Auth 4.000% 05/01/20 — Interest

San Diego CA Sch Dist 5.5% 07/01/24 — Interest

San Diego CNTY CA Regl Trans 5.0% 04/01/29 — Interest

San Francisco CA Pub Util 5.0% 11/01/25 — Interest

San Francisco CA Pub Util 5.0% 11/01/26 — Interest

San Gabriel CA Sch Dist 5.25% 08/01/24 — Interest

San Juan CA Sch Dist 5.0% 08/01/25 — Interest

San Juan Capistrano Co Fing Auth 4.000% 12/01/17 — Interest — Sold

San Leandro CA Sch Dist 4.5% 08/01/26 — Interest

Samta Cruz Co CTFS 3.875% 08/01/16 — Interest

Santa Cruz Co CTFS 4.200% 08/01/19 — Interest

Santa Rosa CA Sch Dist 3.800% 0801/17 — Interest — Sold

Santa Rosa CA Wir Rey S.0% 09/01/26 — Interest

Seattle Genetics — None — Buy

So Cal Logistics 4.125% 12/01/20 — Interest

So CA Pub Pwr Auth 5.150% 07/01/15 — Interest

So Gate CA fing Auth 5.250% 09/01/19 — Interest — Sold

Stockton CA Sch Dist S.000% 08/01/27 — Interest — Buy

The Pantry common stock — None

Tracy CA Jt Powers 4.2000 09/02/17 — Interest — Sold

Western Riverside WTR 4.250% 0901/21 — Interest

Yountville CA Fin Auth 4.375% 10/01/24 — Interest

Yosemite CA Comm. College 5.0% 08/0125 — Interest

MS Bank Deposit — Interest

FS Equity Partners IV

Sur La Table — None

Ross-Simmons — None

FS Equity Partners V

HH. Gregg Inc common stock — None

Smile Brands Inc common stock — None

PETCO Animal Supply common stock — None

El Pollo Loco Inc common stock — None — Sold (part)

FS Equity Partners VI

Paradise Holdings common stock — Int/Div

BECO Holding Co common stock — None — Sold

Floor and Decor common stock — Int/Div

Boot Bam common stock — Int/Div

First Watch common stock — None — Buy

MicroStar common stock — Int/Div

Arhous common stock — None

totes Isotoner Holdings Corp. common stock — None — Buy

FS Equity Partners VII

totes Isotoner Holdings Corp common stock — None — Buy

Plantation Products, LLC — None — Buy

Riordan Venture Association

Cymetrix Corp common stock — None — Sold

Installers Edge (formerly Saebro Ine) common stock — None — Sold

TW Holdings common stock — None

Avella, Inc. preferred stock — None

Secure Mission Solutions LLC — None — Sold

ONE Industries common stock — None

Bluewolf Group LLC — None — Buy

Siteworx — None

Chartis Group — None

RGM Group — None

Patient Care America (formerly DCRX Infusion) — None

Clarity Solution Group — None — Buy

Inspirage LLC — None — Buy

Bistro 45 common stock — Int/Div

MS Retire Accts (401k-profit)

Invesco Pacific Growth Fund — Int/Div

MSDW Liquid Asset Account Trust Fund — Int/Div

Hewlett Packard common stock — Int/Div

Proctor & Gamble common stock — Int/Div

Altria Group common stock — Int/Div

Cisco Sys common stock — Int/Div

Kraft Foods Inc common stock — Int/Div

Mondelez Int'l common stock — Int/Div

Philip Morris — Int/Div

Invesco Div. Growth Fund — Int/Div

American Funds New World Fund — Int/Div — Buy

Trust £3 (M/S UTM-K)

General Elec common stock — Int/Div

American Funds New World Fund — Int/Div

Trust 24 (IR-W)

CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div — Buy

CAPITAL GROUP ALTERNATIVE STRATEGIES — None — Buy

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div — Sold (part)

AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div — Sold (part)

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Int/Div — Sold (part)

AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div — Sold (part)

AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Sold (part)

AMERICAN FUNDS CAPITAL WORLD GROWTH & INCOME FD — Int/Div

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div

AMERICAN FUNDS NEW WORLD FUND — Int/Div

AMERICAN FUNDS SMALL CAP WORLD — None

SSGA US GOV Money Mkt Fund {formerly Cash Management Trust of America) — None

CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div — Buy

CAPITAL GROUP ALTERNATIVE — None — Buy

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div — Sold (part)

AMERICAN FUNDS EUROPACIFIC GROWTH — Int/Div — Sold (part)

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Int/Div — Sold (part)

AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div — Sold (part)

AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Sold (part)

AMERICAN FUNDS CAPITAL WORLD GROWTH & INCOME FD — Int/Div

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div

AMERICAN FUNDS NEW WORLD FUND — Int/Div

AMERICAN FUNDS SMALL CAP WORLD FUND — None

SSGA US GOV Money Mkt Fund (formerly Cash Management Trust of America) — None

Trust #6 (98-W)

Invesco Divident Growth — Int/Div — Sold (part)

American Funds New World Fund — Int/Div

Incyte Corp — None — Buy

Seattle Genetics Inc — None — Buy

MSDW Active Money Trust — Int/Div

HH Gregg Inc common stock — None

Smile Brands common stock — None

PETCO Animal Supply common stock — None

El Pollo Loco common stock — None — Sold (part)

CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div — Buy

CAPITAL GROUP ALTERNATIVE STRATEGIES — None — Buy

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div — Buy

AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div — Buy

AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Int/Div — Sold (part)

AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Sold (part)

AMERICAN FUNDS INVESTMENT COMPANY OF AMERICA — Int/Div — Buy

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Buy

AMERICAN FUNDS NEW WORLD FUND — Int/Div — Buy

AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Buy

AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div

AMERICAN FUNDS SMALL CAP WORLD FUND — None

SSGA US Gov Money Fund (formerly American Funds Cash Mgmt Trust) — None

Trust £7 (98-K)

Invesco Dividend Growth — Int/Div — Sold (part)

Amencan Funds New World Fund — Int/Div

Incyte Corp — None — Buy

Seattle Genetics — None — Buy

MSDW Active Money Trust — Int/Div

HH Gregg Inc common stock — None

Smile Brands common stock — None

PETCO Animal Supply common stock — None

El Pollo Loco common stock — None — Sold (part)

CAPITAL FUND CORE MUNICIPAL FUND — Int/Div — Buy

CAPITAL GROUP ALTERNATIVE STRATEGIES — None — Buy

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div — Buy

AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div — Buy

AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Int/Div — Sold (part)

AMERICAN FUNDS FUNDAMENTAL INVESTORS CL — Sold (part)

AMERICAN FUNDS INVESTMENT COMPANY OF AMERICA — Int/Div — Buy

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Buy

AMERICAN FUNDS NEW WORLD FUND — Int/Div — Buy

AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Buy

AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div

AMERICAN FUNDS SMALL CAP WORLD FUND — None

SSGA US Gov Money Fund (formerly American Funds Cash Mgmt Trust) — None

Real Estate Partnership - Lau — None

Real Estate Partnership - Lau W — None — Buy

Real Estate Partnership - Lau W — Buy

Citibunk Money Market Fund — Interest

Citibank Checking — Interest

Fargo Investment Partmership — None — Sold (part) — MS Brokerage

JRK Multifamily LP — None — Buy

Urban Housing Investment Fund — None — Sold (part)

JP Morgan Account

Bluebay Emerging Market Fund — None

Gavea Fund — None — Sold (part)

Global Access Explorer Fund — None — Sold (part)

Maverick Fund — None

York Credit Opportunity Fund — None

Blackstone Real Estate Fund — None

JPM Realty Income Fund — Int/Div — Sold

Path-UBS Commodity Index Fund — None — Sold

Soc. Generale Gold Lev CBEN 10702/14 — None — Redeemed

Soc. Generale Lev Cont Bank 01/14/15 — None

JPM STRAT Income Fund — Int/Div — Sold

IPM Mort-Backed Fund — Int/Div — Sold

JP Morgan Floating Rate Fund — Int/Div — Sold

Brevan Howard Emerging Market Fund — None — Redeemed

JP Morgan Tri Ex Fund — Int/Div — Sold

Soc. Generale PIMS 02/03/14 — None — Redeemed

JP Morgan Multi Sector Income Fund — Int/Div — Buy

Shannon River Partners — None — Buy

Goldman Sachs Group European Note — None — Buy

Third Point Partners — None — Buy

Citi Acct

Alvord CA SR Dist 5.0% 08/01/27 — Interest

Cal ST GO 4.5% 0801/26 — Interest

Cal ST Pub Works 4.0% 06/01/27 — Interest

Fresno CA Sch Dist 5.25% 0801/27 — Interest

Fresno CA Sch Dist 3.5% 08/01/26 — Interest

Gilroy CA Fing Auth 4.0% 11/01/24 — Interest

Hollister CA Find Auth 5.0% 06/01/28 — Interest

Kern Cnty CA Wir Dist. 5.0% 05/01/28 — Interest

Oceanside CA Sch Dist 4.5% 08/01/28 — Interest

Redwood City CA Sch Dist 3.0% 08/01/26 — Interest

San Luis Obispo CA CAP IMPR 4.0% 12/0127 — Interest

Santa Clara CA Sch Dist 3.5% 07/01/24 — Interest

Stockton CA Sch Dist 5.0% 08/01/24 — Interest

Board Member

Income — 04/0122014 — UCLA - Regent's Lecturer/ Teaching — S$7.500.00

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.