<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 06/30/99
-----------------------
Check Here if Amendment / /; Amendment Number:
---------
This Amendment (Check only one.): / / is a restatement.
/ / adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: DAIN RAUSCHER INCORPORATED
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Address: 60 SOUTH 6th ST
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MINNEAPOLIS, MN
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55402-4422
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Form 13F File Number: 28-04069
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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: /s/ Cynthia H. Cheney
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Title: Assistant Compliance Director
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Phone: 612-371-2390
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Signature, Place, and Date of Signing:
/s/ Cynthia H. Cheney Minneapolis, MN 8/17/99
- ------------------------------- ----------------- -------------
[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.)
<PAGE>
/ / 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:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
28-04069 DAIN RAUSCHER INCORPORATED
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[Repeat as necessary.]
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<CAPTION>
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
- --------------------------------- ---------------- --------- -------- ----------------- ---------- --------- -----------------------
VALUE SHRS OR SH/ PUT/ INVSTMNT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
- --------------------------------- ---------------- --------- -------- -------- --- ---- ---------- --------- -------- -------- -----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
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[Repeat as necessary]
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Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
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Form 13F Information Table Entry Total: 317
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Form 13F Information Table Value Total: $ 346,277
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(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.
[If there are no entries in this list, state "NONE" and omit the column headings
and list entries.]
No. Form 13F File Number Name
28-04069 DAIN RAUSCHER INCORPORATED
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[Repeat as necessary.]
-NONE-
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<TABLE>
<CAPTION>
(ITEM 1) (ITEM 2) (ITEM 3) (ITEM 4) (ITEM 5) (ITEM 6) (ITEM 7) (ITEM 8)
INVESTMENT VOTING AUTHORITY
DISCRETION (SHARES)
----------------- ---------- --------- -----
NAME TITLE FAIR SHARES OR SHARED
OF OF CUSIP MARKET PRINCIPAL SOLE SHARED OTHER SOLE SHARED NONE
ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) MGR (A) (B) (C)
- ---------------------- ------ ---------- -------------- ---------- ----- ----- ----- ---------- ------- ---- -----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ABBOTT LABS COMMON 002824100 592,824 13,065 X 0 13,065
ADAPTEC INC COM COMMON 00651F108 468,427 13,265 X 0 13,265
ADAPTIVE BROADBAND SU CONVERT 00650MAA2 760,760 836,000 X 0 836,000
ADC TELECOMMUNICATION COMMON 000886101 947,574 20,797 X 0 20,797
AIM EQUITY FDS INC CO MUTUAL 001413202 432,436 13,033 X 0 13,033
AIM FDS GROUP HIGH YI MUTUAL 008879835 87,554 10,276 X 0 10,276
AIM INVT SECS FDS INC MUTUAL 00142C300 134,601 13,406 X 0 13,406
AIM TAX-EXEMPT FDS IN MUTUAL 001419407 2,360,110 217,121 X 0 217,121
ALLIANCE HIGH YIELD F MUTUAL 1.86E+109 707,868 72,158 X 0 72,158
ALLIANCE PORTFOLIOS G MUTUAL 01877F401 1,246,645 21,821 X 0 21,821
ALLIANCE PREMIER GROW MUTUAL 01877C101 1,328,839 38,798 X 0 38,798
ALLIANCE TECHNOLOGY F MUTUAL 018780106 601,388 6,727 X 0 6,727
ALLIED SIGNAL INC COMMON 019512102 675,675 10,725 X 0 10,725
ALTERA CORP COMMON 021441100 618,090 16,790 X 0 16,790
AMAZON COM INC COM COMMON 023135106 2,769,642 22,135 X 0 22,135
AMERICA ONLINE INC CO COMMON 02364J104 11,971,850 108,835 X 0 108,835
AMERICAN INTL GROUP I COMMON 026874107 251,196 2,678 X 0 2,678
AMGEN INC COMMON 031162100 1,063,730 17,474 X 0 17,474
AMPEX CORP DEL COMMON 032092108 1,283,771 247,450 X 0 247,450
APPLIED MATLS INC COMMON 038222105 1,199,878 16,242 X 0 16,242
APPLIED PWR INC CL A COMMON 038225108 330,760 12,110 X 0 12,110
ARCADIA FINL LTD COMMON 039101100 344,100 44,400 X 0 44,400
ASPECT TELECOMMUNICAT COMMON 045237104 195,000 20,000 X 0 20,000
ASSOCIATED BANCORP COMMON 045487105 205,881 4,961 X 0 4,961
AT HOME CORP COM SER COMMON 045919107 1,242,624 23,038 X 0 23,038
ATLANTIC RICHFIELD CO COMMON 048825103 263,223 3,150 X 0 3,150
ATMEL CORP COMMON 049513104 1,078,684 41,190 X 0 41,190
<PAGE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
AT&T CORP COMMON 001957109 4,302,568 77,089 X 0 77,089
BANK OF AMERICA CORP COMMON 060505104 897,351 12,240 X 0 12,240
BANK ONE CORP COMMON 06423A103 497,768 8,357 X 0 8,357
BAXTER INTL INC COM COMMON 071813109 228,314 3,766 X 0 3,766
BERKSHIRE HATHAWAY IN COMMON 084670207 387,520 173 X 0 173
BJS WHSL CLUB INC COM COMMON 05548J106 331,926 11,041 X 0 11,041
BMC INDS INC MINN COM COMMON 055607105 183,056 17,750 X 0 17,750
BOEING CO COMMON 097023105 1,283,843 29,178 X 0 29,178
BOSTON SCIENTIFIC COR COMMON 101137107 837,370 19,058 X 0 19,058
BP AMOCO ADS COMMON 055622104 615,954 5,677 X 0 5,677
BRISTOL MYERS SQUIBB COMMON 110122108 1,312,401 18,632 X 0 18,632
CARDINAL HEALTH INC COMMON 14149Y108 1,000,094 15,596 X 0 15,596
CATERPILLAR TRACTOR COMMON 149123101 742,233 12,371 X 0 12,371
CBS CORPORATION COMMON 12490K107 1,247,514 28,637 X 0 28,637
CELLSTAR CORP COM COMMON 150925105 118,755 15,080 X 0 15,080
CHECK PT SOFTWARE TEC COMMON M22465104 553,678 10,325 X 0 10,325
CHEVRON CORP COMMON 166751107 2,604,988 27,403 X 0 27,403
CIGNA HIGH INCOME SHA COMMON 12551D109 73,750 10,000 X 0 10,000
CIM HIGH YIELD SECS I COMMON 125527101 418,788 64,429 X 0 64,429
CISCO SYS INC COMMON 17275R102 7,605,327 118,026 X 0 118,026
CITIGROUP INC. COMMON 172967101 3,782,900 79,640 X 0 79,640
COCA COLA CO COMMON 191216100 527,186 8,503 X 0 8,503
COLONIAL MUN INCOME T COMMON 195799101 79,313 11,750 X 0 11,750
COMCAST CORP CL A SPL COMMON 200300200 842,369 21,915 X 0 21,915
COMPAQ COMPUTER CORP COMMON 204493100 1,457,868 61,545 X 0 61,545
CONCORD EFS INC COMMON 206197105 1,386,936 32,778 X 0 32,778
CONEXANT SYS INC COM COMMON 207142100 922,621 15,890 X 0 15,890
CONSECO INC COM COMMON 208464107 313,542 10,301 X 0 10,301
COSTCO COMPANIES INC COMMON 22160Q102 1,954,178 24,408 X 0 24,408
COX COMMUNICATIONS IN COMMON 224044107 272,968 7,415 X 0 7,415
CREDIT SUISSE ASSET S COMMON 224918102 734,317 82,740 X 0 82,740
CYBERCASH INC COM COMMON 232462101 316,353 24,690 X 0 24,690
C-CUBE MICROSYSTEMS I COMMON 125015107 1,013,382 31,980 X 0 31,980
DAIMLERCHRYSLER AG OR COMMON D1668R123 246,352 2,768 X 0 2,768
DE DELCHESTER HI YLD MUTUAL 245908207 88,127 15,737 X 0 15,737
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
DELL COMPUTER CORP CO COMMON 247025109 5,559,324 150,252 X 0 150,252
DELPHI AUTOMOTIVE SYS COMMON 247126105 538,739 29,121 X 0 29,121
DISNEY WALT PRODTNS COMMON 254687106 1,480,441 48,046 X 0 48,046
DOW CHEMICAL CORP COMMON 260543103 300,059 2,365 X 0 2,365
DREYFUS APPRECIATION MUTUAL 261970107 1,307,915 29,091 X 0 29,091
DREYFUS / LAUREL FDS MUTUAL 261978837 3,076,360 74,506 X 0 74,506
DU PONT E I DE NEMOUR COMMON 263534109 873,179 12,782 X 0 12,782
DUFF & PHELPS UTILITI COMMON 264324104 170,042 16,004 X 0 16,004
E M C CORP MASS COM COMMON 268648102 2,661,945 48,399 X 0 48,399
EBAY INC COM COMMON 278642103 643,192 4,249 X 0 4,249
ELAN PLC ADR COMMON 284131208 383,227 13,810 X 0 13,810
ENRON CORP COM COMMON 293561106 1,201,071 14,692 X 0 14,692
EQUITY INCOME FD UNIT COMMON 294700604 23,907 32,839 X 0 32,839
ERICSSON L M TEL CO A COMMON 294821400 873,417 26,517 X 0 26,517
EURO PAC GROWTH FD SH MUTUAL 298706102 204,980 6,328 X 0 6,328
EVERGREEN SMALL CAP E MUTUAL 299922104 176,895 11,487 X 0 11,487
EXCEL TECHNOLOGY INC COMMON 30067T103 1,270,211 95,865 X 0 95,865
EXXON CORP COMMON 302290101 2,700,943 35,020 X 0 35,020
E-TEK DYNAMICS INC CO COMMON 269240107 1,163,629 24,465 X 0 24,465
FED HOME LOAN MTG COR COMMON 313400301 396,430 6,835 X 0 6,835
FEDERAL NAT MORTGAGE COMMON 313586109 682,773 10,004 X 0 10,004
FIDELITY ADVISOR SER MUTUAL 315805812 3,249,756 179,942 X 0 179,942
FIDELITY ADVISOR SER MUTUAL 315805820 3,931,094 218,152 X 0 218,152
FIDELITY ADVISOR SER MUTUAL 315805101 295,022 4,497 X 0 4,497
FIDELITY ADVISOR SER MUTUAL 315805200 1,165,315 18,117 X 0 18,117
FIDELITY ADVISOR SER MUTUAL 315805606 504,534 30,877 X 0 30,877
FIDELITY ADVISOR SER MUTUAL 315807867 341,975 17,619 X 0 17,619
FIDELITY ADVISOR SER MUTUAL 315807206 8,724,314 162,980 X 0 162,980
FIDELITY ADVISOR SER MUTUAL 315807883 5,106,991 95,333 X 0 95,333
FIDELITY ADVISOR SER MUTUAL 315807875 220,682 19,257 X 0 19,257
FIDELITY ADVISOR SER MUTUAL 315807305 2,310,130 197,447 X 0 197,447
FIDELITY ADVISOR SER MUTUAL 315807404 976,631 50,524 X 0 50,524
FIDELITY ADVISOR SER MUTUAL 315808204 1,853,511 60,931 X 0 60,931
FIDELITY ADVISOR SER MUTUAL 315805408 852,306 52,289 X 0 52,289
FIDELITY ADVISOR SER MUTUAL 315918102 427,705 22,570 X 0 22,570
<PAGE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
FIRST AUSTRALIA PRIME COMMON 318653102 581,379 89,443 X 0 89,443
FIRST FED CAP CORP COMMON 319960100 314,293 21,308 X 0 21,308
FIRST MIDWEST BANCORP COMMON 320867104 623,518 15,686 X 0 15,686
FIRSTAR CORP NEW WIS COMMON 33763V109 983,248 35,116 X 0 35,116
FLEET FINL GROUP INC COMMON 338915101 228,087 5,140 X 0 5,140
FOX ENTMT GROUP INC C COMMON 35138T107 226,010 8,390 X 0 8,390
FRANKLIN BALANCE SHEE MUTUAL 352423107 3,189,913 95,678 X 0 95,678
FRANKLIN CUSTODIAN FU MUTUAL 353496607 105,444 15,809 X 0 15,809
FRANKLIN CUSTODIAN FU MUTUAL 353496300 38,776 16,642 X 0 16,642
FRANKLIN HIGH INC TR MUTUAL 353538101 29,690 11,120 X 0 11,120
FRANKLIN TAX FREE TR MUTUAL 354723108 790,509 66,597 X 0 66,597
G A P INC COMMON 364760108 423,150 8,400 X 0 8,400
GAM FDS INC INTL FD MUTUAL 364590109 1,085,292 41,125 X 0 41,125
GANNETT INC DEL COMMON 364730101 287,641 4,030 X 0 4,030
GENERAL ELECTRIC COMMON 369604103 4,036,282 35,719 X 0 35,719
GENERAL MILLS INC COMMON 370334104 421,165 5,240 X 0 5,240
GENERAL MOTORS INC COMMON 370442105 633,684 9,601 X 0 9,601
GILLETTE CO COMMON 375766102 482,365 11,765 X 0 11,765
GLIMCHER RLTY TR SH B COMMON 379302102 366,554 22,385 X 0 22,385
GLOBAL CROSSING LTD C COMMON G3921A100 588,225 13,800 X 0 13,800
GOODYEAR TIRE & RUBR COMMON 382550101 635,884 10,812 X 0 10,812
GTE CORP COMMON 362320103 1,367,532 18,113 X 0 18,113
GUIDANT CORP COM COMMON 401698105 1,319,179 25,803 X 0 25,803
HAIN FOOD GROUP INC C COMMON 405219106 646,284 31,335 X 0 31,335
HALLIBURTON CO COMMON 406216101 569,154 12,578 X 0 12,578
HARLEY DAVIDSON INC C COMMON 412822108 213,313 3,923 X 0 3,923
HEALTHSTH REHABILITAT COMMON 421924101 168,355 11,318 X 0 11,318
HEWLETT PACKARD CO COMMON 428236103 548,428 5,457 X 0 5,457
HOME DEPOT INC COMMON 437076102 1,807,602 28,052 X 0 28,052
HOUSEHOLD INTL CORP COMMON 441815107 295,620 6,240 X 0 6,240
HRPT PPTYS TR COM SH COMMON 40426W101 314,835 20,560 X 0 20,560
I B M COMMON 459200101 1,939,267 15,004 X 0 15,004
I2 TECHNOLOGIES INC C COMMON 465754109 632,831 14,717 X 0 14,717
ICOS CORP COM COMMON 449295104 428,536 10,500 X 0 10,500
ILLINOIS TOOL WORKS I COMMON 452308109 302,475 3,700 X 0 3,700
<PAGE>
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
IMATION CORP COM COMMON 45245A107 509,237 20,523 X 0 20,523
IMMUNEX CORP NEW COM COMMON 452528102 838,542 6,580 X 0 6,580
INFOSPACE COM INC COM COMMON 45678T102 251,920 5,360 X 0 5,360
INFOSPACE COM XXX(RES COMMON 45678T10R 605,830 12,890 X 0 12,890
INKTOMI CORP COM COMMON 457277101 206,455 1,570 X 0 1,570
INTEL CORP COMMON 458140100 6,663,439 111,991 X 0 111,991
INTERMEDIATE BD FD AM MUTUAL 458809100 246,023 18,709 X 0 18,709
INTERNATIONAL PAPER C COMMON 460146103 748,603 14,898 X 0 14,898
INVESCO GLOBAL HLTH S COMMON 46128N109 394,338 24,742 X 0 24,742
IRIDIUM WORLD COMM LT COMMON G49398103 335,924 31,430 X 0 31,430
ISS GROUP INC OC-COM COMMON 450306105 276,141 7,315 X 0 7,315
IVY INTL FD SH BEN IN MUTUAL 465903102 272,925 6,186 X 0 6,186
JANUS FD INC MUTUAL 471023101 861,077 21,420 X 0 21,420
JANUS INVT FD MERCURY MUTUAL 471023853 234,348 7,310 X 0 7,310
JANUS INVT FD WORLDWI MUTUAL 471023309 4,865,149 91,057 X 0 91,057
JOHNSON & JOHNSON COMMON 478160104 1,656,298 16,901 X 0 16,901
K MART CORP COMMON 482584109 166,650 10,100 X 0 10,100
KEMPER-DREMAN FD INC MUTUAL 48840B504 215,366 6,029 X 0 6,029
KEY ENERGY GROUP INC CONVERT 492914AF3 510,540 804,000 X 0 804,000
KIMBERLY CLARK CORP COMMON 494368103 236,037 4,141 X 0 4,141
KINDER MORGAN EGY PTN COMMON 494550106 445,850 12,050 X 0 12,050
KODAK COMMON 277461109 1,185,625 17,500 X 0 17,500
KOHLS CORP COM COMMON 500255104 310,267 4,036 X 0 4,036
KROGER CO COMMON 501044101 411,806 14,740 X 0 14,740
LEXMARK INTL GROUP IN COMMON 529771107 1,074,331 16,402 X 0 16,402
LILLY ELI & CO COMMON 532457108 1,327,569 18,535 X 0 18,535
LORD ABBETT BD FD INC MUTUAL 544004104 330,868 35,886 X 0 35,886
LORD ABBETT RESEARCH MUTUAL 543913305 401,386 23,963 X 0 23,963
LOWES CO COMMON 548661107 378,279 6,673 X 0 6,673
LUCENT TECHNOLOGIES I COMMON 549463107 6,657,972 98,727 X 0 98,727
MACROMEDIA INC COM COMMON 556100105 385,247 10,929 X 0 10,929
MAINSTAY FDS HI YLD C MUTUAL 56062F772 613,463 79,464 X 0 79,464
MARINE DRILLING CO IN COMMON 568240204 263,289 19,235 X 0 19,235
MARKETWATCH COM INC COMMON 570619106 336,471 5,715 X 0 5,715
MARSHALL & ILSLEY COR COMMON 571834100 693,448 10,772 X 0 10,772
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
MASS INVS GROWTH STK MUTUAL 575719109 340,829 19,105 X 0 19,105
MASSACHUSETTS INVS TR MUTUAL 575736103 726,738 34,199 X 0 34,199
MATTEL INC COMMON 577081102 226,112 8,655 X 0 8,655
MBNA CORP COM COMMON 55262L100 739,594 24,150 X 0 24,150
MCDONALDS CORP COMMON 580135101 712,861 17,334 X 0 17,334
MCI WORLDCOM COMMON 55268B106 4,445,584 51,655 X 0 51,655
MEDIAONE GROUP INC CO COMMON 58440J104 520,997 7,005 X 0 7,005
MEDITRUST PAIRED CTF COMMON 58501T306 263,873 20,200 X 0 20,200
MEDTRONIC INC COMMON 585055106 1,989,083 25,542 X 0 25,542
MELLON BANK CORP COMMON 585509102 436,682 12,005 X 0 12,005
MERCK & CO COMMON 589331107 2,865,043 38,914 X 0 38,914
MFS CHARTER INCOME TR COMMON 552727109 89,637 10,100 X 0 10,100
MFS SER TR I NEW DISC MUTUAL 552983553 3,796,393 245,562 X 0 245,562
MFS SER TR II EMERGIN MUTUAL 552985103 1,227,584 24,468 X 0 24,468
MFS SER TR V TOTAL RE MUTUAL 552981300 168,740 10,971 X 0 10,971
MFS SER TR VII VALUE MUTUAL 552988305 199,019 10,102 X 0 10,102
MICROSOFT CORP COMMON 594918104 17,288,949 191,699 X 0 191,699
MIDCAP SPDR TR COMMON 595635103 804,172 10,252 X 0 10,252
MINDSPRING ENTERPRISE COMMON 602683104 283,603 6,400 X 0 6,400
MINNESOTA MINING & MA COMMON 604059105 231,966 2,668 X 0 2,668
MOBIL CORP COMMON 607059102 849,052 8,598 X 0 8,598
MONSANTO CO COMMON 611662107 237,378 6,000 X 0 6,000
MORGAN J.P. & CO INC COMMON 616880100 264,842 1,885 X 0 1,885
MORGAN STANLEY ASIA P COMMON 61744U106 432,162 44,900 X 0 44,900
MOTOROLA INC COMMON 620076109 801,585 8,460 X 0 8,460
MUTUAL SER FD INC EUR MUTUAL 628380834 222,739 15,899 X 0 15,899
N S GROUP INC COM COMMON 628916108 142,450 15,400 X 0 15,400
NEUBERGER & BERMAN EQ MUTUAL 640917100 1,904,971 90,670 X 0 90,670
NEUROBIOLOGICAL TECHN COMMON 64124W106 139,388 159,300 X 0 159,300
NEXTEL COMMUNICATIONS COMMON 65332V103 620,324 12,360 X 0 12,360
NEXTLINK COMMUNICATIO COMMON 65333H707 208,250 2,800 X 0 2,800
NFO WORLDWIDE INC COM COMMON 62910N108 274,036 19,574 X 0 19,574
NIKE INC CLASS B COMMON 654106103 203,500 3,211 X 0 3,211
NOKIA CORP ADR OTC COMMON 654902204 330,176 3,606 X 0 3,606
NORDSTROM INC COMMON 655664100 388,265 11,590 X 0 11,590
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
NORTEL NETWORKS CORP COMMON 656569100 240,732 2,773 X 0 2,773
NORTHERN STS PWR CO M COMMON 665772109 383,235 15,844 X 0 15,844
NSP FINANCING I(NORTH PREFERR 629384207 213,036 8,500 X 0 8,500
NUCOR CORP COMMON 670346105 324,476 6,840 X 0 6,840
OBJECT DESIGN INC COM COMMON 674416102 116,250 30,000 X 0 30,000
OPPENHEIMER MULTI SEC COMMON 683933105 591,063 67,550 X 0 67,550
ORACLE SYS CORP COM COMMON 68389X105 644,750 17,367 X 0 17,367
PAINE WEBBER INC COMMON 695629105 495,129 10,591 X 0 10,591
PARAMETRIC TECHNOLOGY COMMON 699173100 551,254 39,730 X 0 39,730
PATHOGENESIS CORP COM COMMON #VALUE! 272,410 19,200 X 0 19,200
PATRIOT AMER HOSPITAL COMMON 703352203 53,869 11,971 X 0 11,971
PENTAIR INC COMMON 709631105 241,194 5,272 X 0 5,272
PEPSICO INC COMMON 713448108 1,326,650 34,291 X 0 34,291
PFIZER INC COMMON 717081103 1,866,080 51,360 X 0 51,360
PHARMACIA & UPJOHN, I COMMON 716941109 545,405 9,600 X 0 9,600
PHILIP MORRIS COS INS COMMON 718154107 1,576,647 39,232 X 0 39,232
PIMCO ADVISORS HLDGS COMMON 69338P102 438,307 14,733 X 0 14,733
PIMCO FDS PAC INVT MG MUTUAL 693390379 234,569 21,383 X 0 21,383
PIMCO FDS PAC INVT MG MUTUAL 693390411 217,064 21,772 X 0 21,772
PIMCO FUNDS STOCKSPLU MUTUAL 693391393 171,949 11,350 X 0 11,350
PIMCO FUNDS TOTAL RET MUTUAL 693390445 2,873,687 283,681 X 0 283,681
PLANET POLYMER TECHNO COMMON 727044109 23,325 15,550 X 0 15,550
PLEXUS CORP COM COMMON 729132100 1,259,225 41,800 X 0 41,800
POPE & TALBOT INC COMMON 732827100 286,798 23,775 X 0 23,775
PRAXAIR INC COMMON 74005P104 399,579 8,165 X 0 8,165
PROCTER & GAMBLE CO COMMON 742718109 296,845 3,326 X 0 3,326
PUTNAM FD FOR GWTH & MUTUAL 746761105 252,159 11,247 X 0 11,247
PUTNAM INTL GROWTH FD MUTUAL 746932102 220,978 10,212 X 0 10,212
QUALCOMM INC COM COMMON 747525103 205,205 1,430 X 0 1,430
QWEST COMMUNICATIONS COMMON 749121109 1,730,848 52,350 X 0 52,350
RAYTHEON CO CL B COMMON 755111408 410,733 5,826 X 0 5,826
READ-RITE CORP CON 6. CONVERT 755246AA3 354,262 846,000 X 0 846,000
REALNETWORKS INC COM COMMON 75605L104 2,364,272 34,327 X 0 34,327
ROBERTSON STEPHENS IN MUTUAL 770648863 231,104 13,444 X 0 13,444
ROWE T PRICE CAP APPR MUTUAL 77954M105 151,106 10,508 X 0 10,508
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ROWE T PRICE DIVID GR MUTUAL 779546100 7,564,889 332,231 X 0 332,231
ROWE T PRICE EQUITY I MUTUAL 779547108 3,769,368 129,576 X 0 129,576
ROWE T PRICE INTL FDS MUTUAL 77956H203 203,760 13,045 X 0 13,045
ROWE T PRICE MID-CAP MUTUAL 779556109 8,539,982 225,210 X 0 225,210
ROYAL DUTCH PETRO-NY COMMON 780257804 305,467 5,070 X 0 5,070
SAFEWAY INC COM NEW COMMON 786514208 792,990 16,020 X 0 16,020
SANMINA CORP COMMON 800907107 644,938 8,500 X 0 8,500
SARA LEE CORP COM COMMON 803111103 412,944 18,201 X 0 18,201
SBC COMMNS INC COMMON 78387G103 1,090,748 18,806 X 0 18,806
SCHERING PLOUGH CORP COMMON 806605101 322,402 6,141 X 0 6,141
SCHLUMBERGER COMMON 806857108 2,751,322 43,200 X 0 43,200
SCHWAB CHARLES CORP N COMMON 808513105 680,051 12,478 X 0 12,478
SEAL HLDGS CORP CL A COMMON 812070100 58,500 13,000 X 0 13,000
SEARS ROEBUCK & CO COMMON 812387108 242,779 5,448 X 0 5,448
SEI INDEX FDS S&P 500 MUTUAL 783924103 634,559 14,785 X 0 14,785
SEI INSTL MANAGED TR MUTUAL 783925209 2,070,682 154,875 X 0 154,875
SEI INSTL MANAGED TR MUTUAL 783925308 4,336,455 295,802 X 0 295,802
SEI INSTL MANAGED TR MUTUAL 783925407 374,002 26,431 X 0 26,431
SEI INSTL MANAGED TR MUTUAL 783925662 7,021,946 232,130 X 0 232,130
SEI INSTL MANAGED TR MUTUAL 783925506 175,179 17,362 X 0 17,362
SEI INSTL MANAGED TR MUTUAL 783925795 1,659,309 96,471 X 0 96,471
SEI INSTL MANAGED TR MUTUAL 783925837 2,181,461 105,283 X 0 105,283
SEI INSTL MANAGED TR MUTUAL 783925688 1,074,918 70,952 X 0 70,952
SEI INSTL MANAGED TR MUTUAL 783925100 229,051 10,774 X 0 10,774
SEI TAX EXEMPT TR INT MUTUAL 784118408 277,592 25,822 X 0 25,822
SELIGMAN COMMUN INFO MUTUAL 816333108 1,055,352 29,695 X 0 29,695
SELIGMAN HIGH INCOME MUTUAL 816336309 380,623 57,237 X 0 57,237
SHURGARD STORAGE CTRS COMMON 82567D104 780,468 28,773 X 0 28,773
SLI INC COM COMMON 78442T108 1,196,505 44,315 X 0 44,315
SLM HLDG CORP COM COMMON 78442A109 248,215 5,418 X 0 5,418
SMALLCAP WORLD FD INC MUTUAL 831681101 228,150 7,919 X 0 7,919
SOUTHWEST AIRLS CO COMMON 844741108 1,001,623 48,271 X 0 48,271
SPDR TR UNIT SER 1 COMMON 78462F103 2,092,812 15,276 X 0 15,276
SPRINT CORP PCS COM S COMMON 852061506 923,970 16,210 X 0 16,210
ST JUDE MEDICAL CENTE COMMON 790849103 651,937 18,300 X 0 18,300
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
STAPLES INC COMMON 855030102 725,372 23,446 X 0 23,446
STARBUCKS CORP COM COMMON 855244109 1,778,045 47,335 X 0 47,335
STARWOOD HOTELS & RES COMMON 85590A203 247,591 8,101 X 0 8,101
STERIS CORP COM COMMON 859152100 328,891 16,975 X 0 16,975
STERLING COMM INC COM COMMON 859205106 935,288 25,450 X 0 25,450
STRONG SCHAFER VALUE MUTUAL 862918109 2,379,209 42,915 X 0 42,915
SUN MICROSYSTEM INC C COMMON 866810104 2,809,480 40,791 X 0 40,791
TCF FINL CORP COM COMMON 872275102 1,528,442 54,832 X 0 54,832
TCW / DW TERM TR 2003 COMMON 87234U108 96,154 10,395 X 0 10,395
TELLABS INC COMMON 879664100 426,187 6,308 X 0 6,308
TEMPLETON DRAGON FD I COMMON 88018T101 199,134 18,000 X 0 18,000
TEMPLETON FOREIGN FUN MUTUAL 880196209 651,067 63,210 X 0 63,210
TEMPLETON GLOBAL INCO COMMON 880198106 690,500 105,211 X 0 105,211
TEXACO INC COMMON 881694103 1,996,936 32,015 X 0 32,015
TEXAS INSTRUMENTS INC COMMON 882508104 1,873,728 13,012 X 0 13,012
THESTREET COM INC COM COMMON 88368Q103 317,520 8,820 X 0 8,820
THORNBURG INCOME TR G MUTUAL 885215103 187,412 15,476 X 0 15,476
TIME WARNER INC COMMON 887315109 209,886 2,890 X 0 2,890
TMP WORLDWIDE INC COM COMMON 872941109 891,540 14,040 X 0 14,040
TYCO INTL LTD NEW COMMON 902124106 982,558 10,370 X 0 10,370
UAL CORP COM PAR $0.0 COMMON 902549500 203,569 3,150 X 0 3,150
UNDISCOVERED MANAGERS MUTUAL 904504206 357,389 17,571 X 0 17,571
UNDISCOVERED MANAGERS MUTUAL 904504800 1,084,550 53,452 X 0 53,452
UNDISCOVERED MANAGERS MUTUAL 904504503 629,682 54,518 X 0 54,518
UNION CARBIDE CORP COMMON 905581104 206,115 4,228 X 0 4,228
US BANCORP COMMON 902973106 587,600 17,606 X 0 17,606
VAN KAMP AME CAP GVT MUTUAL 92113F107 295,264 30,068 X 0 30,068
VAN KAMPEN MERR HIGH MUTUAL 921126108 163,770 18,505 X 0 18,505
VAN KAMPEN SER FD INC MUTUAL 921133815 206,905 12,272 X 0 12,272
VETERINARY CNTRS OF A CONVERT 925514AB7 912,420 1,233,000 X 0 1,233,000
VISHAY INTERTECHNOLOG COMMON 928298108 314,244 14,964 X 0 14,964
VISIO CORP COM COMMON 927914101 500,148 13,140 X 0 13,140
VODAFONE GROUP PLC SP COMMON 92857T107 1,470,605 7,465 X 0 7,465
WAL MART STORES INC COMMON 931142103 989,607 20,510 X 0 20,510
WALGREEN CO COMMON 931422109 619,812 21,100 X 0 21,100
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
WARNER LAMBERT CO COMMON 934488107 267,583 3,871 X 0 3,871
WASHINGTON MUT INC COMMON 939322103 1,184,710 33,313 X 0 33,313
WASHINGTON MUTUAL INV MUTUAL 939330106 236,104 6,599 X 0 6,599
WASTE MANAGEMENT INC COMMON 94106L109 292,937 5,450 X 0 5,450
WATSON PHARMACEUTICAL COMMON 942683103 394,354 11,247 X 0 11,247
WELLS FARGO NEW COMMON 949746101 1,245,607 29,137 X 0 29,137
WILLIAMS CO COMMON 969457100 206,431 4,850 X 0 4,850
XEROX CORP COMMON 984121103 547,868 9,276 X 0 9,276
YAHOO INC COM COMMON 984332106 1,941,602 11,272 X 0 11,272
ZEBRA TECHNOLOGIES CO COMMON 989207105 451,562 12,500 X 0 12,500
ZIFF-DAVIS INC COM ZD COMMON 989511209 266,890 10,265 X 0 10,265
TOTAL 346,276,610
</TABLE>
