<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: 9/30/99
-----------------------
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 Street
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Minneapolis, MN 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: Cynthia H. Cheney
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Title: Vice President
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Phone: 612-371-2390
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Signature, Place, and Date of Signing:
/s/ Cynthia H. Cheney Mpls, MN 11/1/99
- ------------------------------- ----------------- -------------
[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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<TABLE>
<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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</TABLE>
[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: 309
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Form 13F Information Table Value Total: $ 332,142
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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>
ABBOTT LABS COMMON 002824100 395,431 10,475 X 0 10,475
ADAPTIVE BROADBAND SU CONVERT 00650MAA2 1,066,640 796,000 X 0 796,000
ADC TELECOMMUNICATION COMMON 000886101 494,991 10,790 X 0 10,790
AIM EQUITY FDS INC CO MUTUAL 001413202 276,352 8,535 X 0 8,535
AIM EQUITY FDS INC DE MUTUAL 001413657 495,813 43,492 X 0 43,492
AIM EQUITY FDS INC WE MUTUAL 001413301 328,485 12,303 X 0 12,303
AIM FDS GROUP HIGH YI MUTUAL 008879835 83,974 10,549 X 0 10,549
AIM FDS GROUP VALUE F MUTUAL 008879306 300,334 6,804 X 0 6,804
AIM GROWTH SER SMALL MUTUAL 00141M770 580,208 24,277 X 0 24,277
AIM TAX-EXEMPT FDS IN MUTUAL 001419407 2,051,299 192,069 X 0 192,069
AIRONET WIRELESS COMM COMMON 00943A107 241,969 7,250 X 0 7,250
ALLIANCE HIGH YIELD F MUTUAL 1.86E+109 420,810 46,041 X 0 46,041
ALLIANCE PORTFOLIOS G MUTUAL 01877F401 1,125,181 21,138 X 0 21,138
ALLIANCE PREMIER GROW MUTUAL 01877C101 1,105,653 33,874 X 0 33,874
ALLIANCE TECHNOLOGY F MUTUAL 018780106 524,968 5,656 X 0 5,656
ALLIED SIGNAL INC COMMON 019512102 751,937 13,797 X 0 13,797
ALTERA CORP COMMON 021441100 345,100 8,120 X 0 8,120
AMAZON COM INC COM COMMON 023135106 3,117,635 41,055 X 0 41,055
AMERICA ONLINE INC CO COMMON 02364J104 11,254,320 94,080 X 0 94,080
AMERICAN CENTY QUANTV MUTUAL 02507M303 203,893 6,749 X 0 6,749
AMERICAN INTL GROUP I COMMON 026874107 314,340 3,380 X 0 3,380
AMGEN INC COMMON 031162100 1,810,230 23,917 X 0 23,917
AMPEX CORP DEL COMMON 032092108 646,655 265,240 X 0 265,240
APPLE COMPUTER INC COMMON 037833100 201,248 2,635 X 0 2,635
APPLIED MATLS INC COMMON 038222105 503,003 6,342 X 0 6,342
APPLIED PWR INC CL A COMMON 038225108 342,070 11,620 X 0 11,620
ARCADIA FINL LTD COMMON 039101100 202,220 50,555 X 0 50,555
AT HOME CORP COM SER COMMON 045919107 945,243 25,590 X 0 25,590
ATLANTIC RICHFIELD CO COMMON 048825103 285,469 3,150 X 0 3,150
ATMEL CORP COMMON 049513104 733,075 20,945 X 0 20,945
AT&T CORP COMMON 001957109 2,947,956 66,999 X 0 66,999
AUTOMATIC DATA PROCES COMMON 053015103 344,972 7,330 X 0 7,330
AXA FINANCIAL COMMON 002451102 211,791 7,464 X 0 7,464
BANK OF AMERICA CORP COMMON 060505104 824,717 13,506 X 0 13,506
BANK ONE CORP COMMON 06423A103 250,793 7,102 X 0 7,102
BAXTER INTL INC COM COMMON 071813109 243,378 3,766 X 0 3,766
BERKSHIRE HATHAWAY IN COMMON 084670207 315,861 169 X 0 169
BIOGEN N V COMMON 090597105 221,925 3,300 X 0 3,300
BJS WHSL CLUB INC COM COMMON 05548J106 349,760 11,831 X 0 11,831
BMC INDS INC MINN COM COMMON 055607105 74,569 14,550 X 0 14,550
BOEING CO COMMON 097023105 1,310,530 29,204 X 0 29,204
BOSTON SCIENTIFIC COR COMMON 101137107 228,620 11,954 X 0 11,954
BP AMOCO ADS COMMON 055622104 634,589 11,244 X 0 11,244
BRISTOL MYERS SQUIBB COMMON 110122108 1,424,211 18,942 X 0 18,942
CALVERT TAX FREE RESV MUTUAL 131620205 626,648 58,675 X 0 58,675
CARDINAL HEALTH INC COMMON 14149Y108 621,880 15,547 X 0 15,547
CARNIVAL CRUISE LINE COMMON 143658102 255,686 6,535 X 0 6,535
CATERPILLAR TRACTOR COMMON 149123101 759,383 13,713 X 0 13,713
CBS CORPORATION COMMON 12490K107 1,562,511 34,578 X 0 34,578
CELLSTAR CORP COM COMMON 150925105 82,585 11,440 X 0 11,440
CHECK PT SOFTWARE TEC COMMON M22465104 966,450 9,475 X 0 9,475
CHEVRON CORP COMMON 166751107 2,399,461 26,698 X 0 26,698
CIM HIGH YIELD SECS I COMMON 125527101 350,365 64,429 X 0 64,429
CISCO SYS INC COMMON 17275R102 7,640,742 110,434 X 0 110,434
CITIGROUP INC. COMMON 172967101 2,586,124 50,399 X 0 50,399
COCA COLA CO COMMON 191216100 455,390 7,998 X 0 7,998
COMCAST CORP CL A SPL COMMON 200300200 893,624 23,790 X 0 23,790
COMPAQ COMPUTER CORP COMMON 204493100 1,641,700 86,120 X 0 86,120
CONCORD EFS INC COMMON 206197105 1,250,659 49,165 X 0 49,165
CONEXANT SYS INC COM COMMON 207142100 1,123,581 13,850 X 0 13,850
CONVERGENT COMM XXX(R COMMON 21191410R 0 60,000 X 0 60,000
COSTCO WHSL CORP (NEW COMMON 22160K105 1,567,008 21,764 X 0 21,764
COX COMMUNICATIONS IN COMMON 224044107 390,920 9,280 X 0 9,280
CREDIT SUISSE ASSET S COMMON 224918102 590,085 87,420 X 0 87,420
C-CUBE MICROSYSTEMS I COMMON 125015107 1,226,593 30,380 X 0 30,380
DE DELCHESTER HI YLD MUTUAL 245908207 81,449 15,939 X 0 15,939
DELL COMPUTER CORP CO COMMON 247025109 5,929,590 154,517 X 0 154,517
DELPHI AUTOMOTIVE SYS COMMON 247126105 330,374 22,398 X 0 22,398
DIAMOND OFFSHORE DRIL COMMON 25271C102 200,819 6,325 X 0 6,325
DISNEY WALT PRODTNS COMMON 254687106 770,228 30,205 X 0 30,205
DOCUMENTUM INC COM COMMON 256159104 204,165 7,475 X 0 7,475
DOW CHEMICAL CORP COMMON 260543103 239,024 2,065 X 0 2,065
DREYFUS APPRECIATION MUTUAL 261970107 1,338,700 30,910 X 0 30,910
DREYFUS / LAUREL FDS MUTUAL 261978837 2,926,148 75,300 X 0 75,300
DU PONT E I DE NEMOUR COMMON 263534109 810,726 12,730 X 0 12,730
DUFF & PHELPS UTILITI COMMON 264324104 152,038 16,004 X 0 16,004
E M C CORP MASS COM COMMON 268648102 3,464,883 51,048 X 0 51,048
EBAY INC COM COMMON 278642103 609,395 4,394 X 0 4,394
<PAGE>
EEX CORPORATION NEW COMMON 26842V207 51,560 13,093 X 0 13,093
ELAN PLC ADR COMMON 284131208 350,660 14,240 X 0 14,240
ENRON CORP COM COMMON 293561106 1,199,243 30,505 X 0 30,505
EQUITY INCOME FD UNIT COMMON 294700604 21,871 32,839 X 0 32,839
ERICSSON L M TEL CO A COMMON 294821400 661,589 16,437 X 0 16,437
EXCEL TECHNOLOGY INC COMMON 30067T103 1,437,609 97,465 X 0 97,465
EXXON CORP COMMON 302290101 2,281,863 31,803 X 0 31,803
E-TEK DYNAMICS INC CO COMMON 269240107 1,553,760 24,960 X 0 24,960
FED HOME LOAN MTG COR COMMON 313400301 374,756 7,590 X 0 7,590
FEDERAL NAT MORTGAGE COMMON 313586109 931,060 14,324 X 0 14,324
FIDELITY ADVISOR SER MUTUAL 315805812 3,365,159 200,785 X 0 200,785
FIDELITY ADVISOR SER MUTUAL 315805820 4,038,664 241,836 X 0 241,836
FIDELITY ADVISOR SER MUTUAL 315805101 298,096 4,666 X 0 4,666
FIDELITY ADVISOR SER MUTUAL 315805200 1,049,308 16,778 X 0 16,778
FIDELITY ADVISOR SER MUTUAL 315805606 475,769 30,655 X 0 30,655
FIDELITY ADVISOR SER MUTUAL 315807867 316,769 17,414 X 0 17,414
FIDELITY ADVISOR SER MUTUAL 315807206 7,820,333 162,180 X 0 162,180
FIDELITY ADVISOR SER MUTUAL 315807883 4,645,643 96,123 X 0 96,123
FIDELITY ADVISOR SER MUTUAL 315807875 217,634 19,966 X 0 19,966
FIDELITY ADVISOR SER MUTUAL 315807305 2,175,927 195,326 X 0 195,326
FIDELITY ADVISOR SER MUTUAL 315807404 939,257 51,893 X 0 51,893
FIDELITY ADVISOR SER MUTUAL 315808204 1,557,620 57,668 X 0 57,668
FIDELITY ADVISOR SER MUTUAL 315805408 773,825 50,086 X 0 50,086
FIDELITY ADVISOR SER MUTUAL 315918102 447,808 22,191 X 0 22,191
FIRST AUSTRALIA PRIME COMMON 318653102 574,176 93,743 X 0 93,743
FIRST FED CAP CORP COMMON 319960100 335,601 21,308 X 0 21,308
FIRST MIDWEST BANCORP COMMON 320867104 629,401 15,686 X 0 15,686
FIRSTAR CORP NEW WIS COMMON 33763V109 967,867 36,266 X 0 36,266
FORD MOTOR COMMON 345370100 298,797 5,585 X 0 5,585
FRANKLIN BALANCE SHEE MUTUAL 352423107 3,030,445 102,623 X 0 102,623
FRANKLIN CUSTODIAN FU MUTUAL 353496607 109,899 16,753 X 0 16,753
FRANKLIN CUSTODIAN FU MUTUAL 353496300 37,339 16,972 X 0 16,972
FRANKLIN HIGH INC TR MUTUAL 353538101 31,146 12,508 X 0 12,508
FRANKLIN TAX FREE TR MUTUAL 354723108 754,775 66,972 X 0 66,972
FX ENERGY INC COM COMMON 302695101 117,000 19,500 X 0 19,500
G A P INC COMMON 364760108 263,278 8,325 X 0 8,325
GAM FDS INC INTL FD MUTUAL 364590109 224,040 9,056 X 0 9,056
GANNETT INC DEL COMMON 364730101 281,505 3,830 X 0 3,830
GENERAL DYNAMICS CORP COMMON 369550108 304,446 5,599 X 0 5,599
GENERAL ELECTRIC COMMON 369604103 4,976,627 38,747 X 0 38,747
GENERAL MOTORS INC COMMON 370442105 629,591 9,432 X 0 9,432
GILLETTE CO COMMON 375766102 491,359 13,890 X 0 13,890
GLIMCHER RLTY TR SH B COMMON 379302102 565,926 37,885 X 0 37,885
GLOBAL CROSSING LTD C COMMON G3921A100 1,700,988 48,340 X 0 48,340
GOODYEAR TIRE & RUBR COMMON 382550101 467,791 11,604 X 0 11,604
GTE CORP COMMON 362320103 1,271,780 17,633 X 0 17,633
GUIDANT CORP COM COMMON 401698105 1,252,674 26,234 X 0 26,234
HAIN FOOD GROUP INC C COMMON 405219106 1,299,004 52,485 X 0 52,485
HALLIBURTON CO COMMON 406216101 391,941 10,593 X 0 10,593
HARLEY DAVIDSON INC C COMMON 412822108 210,048 3,653 X 0 3,653
HEWLETT PACKARD CO COMMON 428236103 384,647 5,741 X 0 5,741
HOME DEPOT INC COMMON 437076102 1,861,841 26,717 X 0 26,717
HOUSEHOLD INTL CORP COMMON 441815107 259,353 6,240 X 0 6,240
HRPT PPTYS TR COM SH COMMON 40426W101 202,667 21,910 X 0 21,910
I B M COMMON 459200101 1,605,087 17,259 X 0 17,259
I2 TECHNOLOGIES INC C COMMON 465754109 997,740 14,473 X 0 14,473
ICOS CORP COM COMMON 449295104 269,562 9,500 X 0 9,500
ILLINOIS TOOL WORKS I COMMON 452308109 260,850 3,700 X 0 3,700
IMMUNEX CORP NEW COM COMMON 452528102 736,960 13,160 X 0 13,160
INFOSPACE COM XXX(RES COMMON 45678T10R 477,500 10,000 X 0 10,000
INKTOMI CORP COM COMMON 457277101 222,328 2,325 X 0 2,325
INTEL CORP COMMON 458140100 7,037,733 101,353 X 0 101,353
INTERMEDIATE BD FD AM MUTUAL 458809100 242,843 18,709 X 0 18,709
INTERNATIONAL PAPER C COMMON 460146103 591,741 12,123 X 0 12,123
INVESCO GLOBAL HLTH S COMMON 46128N109 386,594 24,742 X 0 24,742
IRIDIUM WORLD COMM LT COMMON G49398103 81,904 27,020 X 0 27,020
ISS GROUP INC OC-COM COMMON 450306105 284,389 7,435 X 0 7,435
IVY INTL FD SH BEN IN MUTUAL 465903102 250,182 5,737 X 0 5,737
JANUS FD INC MUTUAL 471023101 803,167 20,130 X 0 20,130
JANUS INVT FD GLBL LI MUTUAL 471023671 152,865 13,077 X 0 13,077
JANUS INVT FD MERCURY MUTUAL 471023853 244,887 7,323 X 0 7,323
JANUS INVT FD WORLDWI MUTUAL 471023309 5,917,576 105,332 X 0 105,332
JOHNSON & JOHNSON COMMON 478160104 1,369,212 13,126 X 0 13,126
K MART CORP COMMON 482584109 94,380 10,000 X 0 10,000
KEY ENERGY GROUP INC COMMON 492914106 619,222 137,605 X 0 137,605
KEY ENERGY GROUP INC CONVERT 492914AF3 622,663 914,000 X 0 914,000
KIMBERLY CLARK CORP COMMON 494368103 224,511 3,722 X 0 3,722
KINDER MORGAN EGY PTN COMMON 494550106 675,769 15,602 X 0 15,602
KODAK COMMON 277461109 1,285,892 18,945 X 0 18,945
KOHLS CORP COM COMMON 500255104 258,733 3,992 X 0 3,992
LEXMARK INTL GROUP IN COMMON 529771107 1,242,343 16,414 X 0 16,414
LILLY ELI & CO COMMON 532457108 885,379 13,190 X 0 13,190
LORD ABBETT BD FD INC MUTUAL 544004104 244,753 27,656 X 0 27,656
LORD ABBETT DEVELOPIN MUTUAL 544006109 1,546,161 94,393 X 0 94,393
LORD ABBETT RESEARCH MUTUAL 543913305 348,667 23,963 X 0 23,963
LOWES CO COMMON 548661107 535,715 10,661 X 0 10,661
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LUCENT TECHNOLOGIES I COMMON 549463107 5,013,056 79,889 X 0 79,889
MACROMEDIA INC COM COMMON 556100105 768,054 13,534 X 0 13,534
MAINSTAY FDS HI YLD C MUTUAL 56062F772 356,016 47,532 X 0 47,532
MARINE DRILLING CO IN COMMON 568240204 359,131 22,185 X 0 22,185
MARKETWATCH COM INC COMMON 570619106 463,706 7,935 X 0 7,935
MARSHALL & ILSLEY COR COMMON 571834100 625,408 9,772 X 0 9,772
MASS INVS GROWTH STK MUTUAL 575719109 467,207 27,515 X 0 27,515
MASSACHUSETTS INVS TR MUTUAL 575736103 706,485 36,530 X 0 36,530
MATTEL INC COMMON 577081102 162,724 12,825 X 0 12,825
MBNA CORP COM COMMON 55262L100 922,640 37,372 X 0 37,372
MCDONALDS CORP COMMON 580135101 707,089 17,901 X 0 17,901
MCI WORLDCOM COMMON 55268B106 4,729,637 60,978 X 0 60,978
MCN CORP COMMON 55267J100 205,101 8,350 X 0 8,350
MEDIAONE GROUP INC CO COMMON 58440J104 518,783 7,505 X 0 7,505
MEDTRONIC INC COMMON 585055106 1,810,049 54,643 X 0 54,643
MELLON BANK CORP COMMON 585509102 281,184 8,425 X 0 8,425
MERCK & CO COMMON 589331107 3,397,316 43,660 X 0 43,660
MFS CHARTER INCOME TR COMMON 552727109 90,887 11,100 X 0 11,100
MFS SER TR I NEW DISC MUTUAL 552983553 4,545,001 309,605 X 0 309,605
MFS SER TR II EMERGIN MUTUAL 552985103 1,286,154 27,394 X 0 27,394
MFS SER TR VII VALUE MUTUAL 552988305 300,838 15,710 X 0 15,710
MICROSOFT CORP COMMON 594918104 17,849,940 196,423 X 0 196,423
MIDCAP SPDR TR COMMON 595635103 793,197 11,055 X 0 11,055
MINNESOTA MINING & MA COMMON 604059105 215,925 2,213 X 0 2,213
MOBIL CORP COMMON 607059102 786,216 8,364 X 0 8,364
MONSANTO CO COMMON 611662107 202,125 5,250 X 0 5,250
MORGAN STANLEY DEAN W COMMON 617446448 253,698 2,435 X 0 2,435
MOTOROLA INC COMMON 620076109 763,895 8,360 X 0 8,360
MOUNTAIN PROV MNG INC COMMON 62426E402 13,294 11,500 X 0 11,500
MUTUAL SER FD INC EUR MUTUAL 628380834 198,383 13,883 X 0 13,883
NEUBERGER & BERMAN EQ MUTUAL 640917100 679,474 36,472 X 0 36,472
NEUROBIOLOGICAL TECHN COMMON 64124W106 161,300 161,300 X 0 161,300
NEXTEL COMMUNICATIONS COMMON 65332V103 1,060,309 12,990 X 0 12,990
NEXTLINK COMMUNICATIO COMMON 65333H707 291,382 5,256 X 0 5,256
NFO WORLDWIDE INC COM COMMON 62910N108 232,441 19,574 X 0 19,574
NOBLE DRILLING CORP C COMMON 655042109 256,284 11,616 X 0 11,616
NOKIA CORP ADR OTC COMMON 654902204 1,048,319 9,978 X 0 9,978
NORDSTROM INC COMMON 655664100 277,891 11,920 X 0 11,920
NORTEL NETWORKS CORP COMMON 656569100 222,256 3,832 X 0 3,832
NORTHERN STS PWR CO M COMMON 665772109 409,830 19,117 X 0 19,117
NUCOR CORP COMMON 670346105 293,898 5,975 X 0 5,975
OBJECT DESIGN INC COM COMMON 674416102 161,250 30,000 X 0 30,000
OPPENHEIMER MULTI SEC COMMON 683933105 585,200 73,150 X 0 73,150
ORACLE SYS CORP COM COMMON 68389X105 684,832 15,282 X 0 15,282
PARAMETRIC TECHNOLOGY COMMON 699173100 685,342 39,730 X 0 39,730
PATHOGENESIS CORP COM COMMON 7.0321E+108 285,682 19,450 X 0 19,450
PEPSICO INC COMMON 713448108 926,411 27,197 X 0 27,197
PFIZER INC COMMON 717081103 1,675,173 43,511 X 0 43,511
PHARMACIA & UPJOHN, I COMMON 716941109 548,375 10,700 X 0 10,700
PHILIP MORRIS COS INS COMMON 718154107 982,900 38,171 X 0 38,171
PIMCO ADVISORS HLDGS COMMON 69338P102 517,333 15,132 X 0 15,132
PIMCO FDS MULTI MANAG MUTUAL 69338T278 328,159 23,142 X 0 23,142
PIMCO FDS PAC INVT MG MUTUAL 693390379 220,688 20,780 X 0 20,780
PIMCO FDS PAC INVT MG MUTUAL 693390411 283,655 28,768 X 0 28,768
PIMCO FUNDS STOCKSPLU MUTUAL 693391393 220,473 15,472 X 0 15,472
PIMCO FUNDS TOTAL RET MUTUAL 693390445 3,068,181 308,670 X 0 308,670
PLEXUS CORP COM COMMON 729132100 1,081,575 41,800 X 0 41,800
POPE & TALBOT INC COMMON 732827100 340,376 23,575 X 0 23,575
POWER INTEGRATIONS IN COMMON 739276103 246,521 2,578 X 0 2,578
PRAXAIR INC COMMON 74005P104 329,184 7,215 X 0 7,215
PROCTER & GAMBLE CO COMMON 742718109 333,579 3,361 X 0 3,361
PUTNAM FD FOR GWTH & MUTUAL 746761105 228,315 11,303 X 0 11,303
PUTNAM INTL GROWTH FD MUTUAL 746932102 250,834 10,802 X 0 10,802
QUALCOMM INC COM COMMON 747525103 248,917 1,196 X 0 1,196
QWEST COMMUNICATIONS COMMON 749121109 2,129,721 62,870 X 0 62,870
READ-RITE CORP CON 6. CONVERT 755246AA3 315,945 826,000 X 0 826,000
REALNETWORKS INC COM COMMON 75605L104 3,171,798 33,564 X 0 33,564
ROBERTSON STEPHENS IN MUTUAL 770648202 412,302 10,007 X 0 10,007
ROBERTSON STEPHENS IN MUTUAL 770648863 217,257 13,444 X 0 13,444
ROWE T PRICE CAP APPR MUTUAL 77954M105 147,429 10,508 X 0 10,508
ROWE T PRICE DIVID GR MUTUAL 779546100 6,918,709 335,860 X 0 335,860
ROWE T PRICE EQUITY I MUTUAL 779547108 3,285,087 124,153 X 0 124,153
ROWE T PRICE INTL FDS MUTUAL 77956H203 219,024 13,512 X 0 13,512
ROWE T PRICE MID-CAP MUTUAL 779556109 9,456,809 275,628 X 0 275,628
ROYAL DUTCH PETRO-NY COMMON 780257804 387,517 6,506 X 0 6,506
SAFEWAY INC COM NEW COMMON 786514208 409,211 12,495 X 0 12,495
SARA LEE CORP COM COMMON 803111103 433,729 16,926 X 0 16,926
SBC COMMNS INC COMMON 78387G103 866,709 17,986 X 0 17,986
SCHERING PLOUGH CORP COMMON 806605101 465,106 10,111 X 0 10,111
SCHLUMBERGER COMMON 806857108 2,281,406 39,250 X 0 39,250
SCHWAB CHARLES CORP N COMMON 808513105 496,946 14,670 X 0 14,670
SEAL HLDGS CORP CL A COMMON 812070100 29,250 13,000 X 0 13,000
SEI INDEX FDS S&P 500 MUTUAL 783924103 630,414 15,585 X 0 15,585
SEI INSTL MANAGED TR MUTUAL 783925209 1,963,273 160,136 X 0 160,136
SEI INSTL MANAGED TR MUTUAL 783925308 3,748,748 288,810 X 0 288,810
SEI INSTL MANAGED TR MUTUAL 783925407 316,209 25,156 X 0 25,156
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SEI INSTL MANAGED TR MUTUAL 783925662 6,783,244 235,529 X 0 235,529
SEI INSTL MANAGED TR MUTUAL 783925506 176,148 17,811 X 0 17,811
SEI INSTL MANAGED TR MUTUAL 783925795 1,340,855 89,271 X 0 89,271
SEI INSTL MANAGED TR MUTUAL 783925837 2,324,871 108,842 X 0 108,842
SEI INSTL MANAGED TR MUTUAL 783925688 592,501 44,482 X 0 44,482
SEI INSTL MANAGED TR MUTUAL 783925100 202,532 10,727 X 0 10,727
SEI TAX EXEMPT TR INT MUTUAL 784118408 275,464 26,086 X 0 26,086
SELIGMAN COMMUN INFO MUTUAL 816333108 1,144,371 30,322 X 0 30,322
SELIGMAN HIGH INCOME MUTUAL 816336309 357,009 57,862 X 0 57,862
SHURGARD STORAGE CTRS COMMON 82567D104 562,603 24,198 X 0 24,198
SLI INC COM COMMON 78442T108 241,615 21,965 X 0 21,965
SLM HLDG CORP COM COMMON 78442A109 253,633 5,418 X 0 5,418
SOUTHWEST AIRLS CO COMMON 844741108 729,155 45,931 X 0 45,931
SPDR TR UNIT SER 1 COMMON 78462F103 1,471,193 11,306 X 0 11,306
SPRINT CORP COM COMMON 852061100 258,400 3,800 X 0 3,800
SPRINT CORP PCS COM S COMMON 852061506 977,883 12,110 X 0 12,110
STAPLES INC COMMON 855030102 365,742 18,756 X 0 18,756
STARBUCKS CORP COM COMMON 855244109 2,485,759 99,930 X 0 99,930
STERLING COMM INC COM COMMON 859205106 530,450 24,600 X 0 24,600
SUN MICROSYSTEM INC C COMMON 866810104 2,796,905 30,196 X 0 30,196
TCF FINL CORP COM COMMON 872275102 1,693,381 57,647 X 0 57,647
TELLABS INC COMMON 879664100 572,161 9,770 X 0 9,770
TEMPLETON DRAGON FD I MUTUAL 88018T101 109,858 13,625 X 0 13,625
TEMPLETON FOREIGN FUN MUTUAL 880196209 570,962 58,560 X 0 58,560
TEMPLETON GLOBAL INCO COMMON 880198106 670,720 105,211 X 0 105,211
TERAYON COMMUNICATION COMMON 880775101 215,000 5,000 X 0 5,000
TEXACO INC COMMON 881694103 1,733,616 28,625 X 0 28,625
TEXAS INSTRUMENTS INC COMMON 882508104 2,052,911 26,404 X 0 26,404
THESTREET COM INC COM COMMON 88368Q103 291,996 15,470 X 0 15,470
THORNBURG INCOME TR G MUTUAL 885215103 173,016 14,490 X 0 14,490
TMP WORLDWIDE INC COM COMMON 872941109 786,494 14,155 X 0 14,155
TYCO INTL LTD NEW COMMON 902124106 780,048 18,628 X 0 18,628
UNDISCOVERED MANAGERS MUTUAL 904504206 427,243 20,750 X 0 20,750
UNDISCOVERED MANAGERS MUTUAL 904504800 1,270,106 61,896 X 0 61,896
UNDISCOVERED MANAGERS MUTUAL 904504792 204,486 19,795 X 0 19,795
UNDISCOVERED MANAGERS MUTUAL 904504503 587,765 56,789 X 0 56,789
UNION CARBIDE CORP COMMON 905581104 243,831 4,098 X 0 4,098
US BANCORP COMMON 902973106 264,270 7,660 X 0 7,660
VAN KAMP AME CAP GVT MUTUAL 92113F107 288,348 30,068 X 0 30,068
VAN KAMPEN MERR HIGH MUTUAL 921126108 117,001 13,621 X 0 13,621
VAN KAMPEN SER FD INC MUTUAL 921133815 204,818 12,272 X 0 12,272
VETERINARY CNTRS OF A CONVERT 925514AB7 881,552 1,273,000 X 0 1,273,000
VISHAY INTERTECHNOLOG COMMON 928298108 281,154 12,125 X 0 12,125
VISIO CORP COM COMMON 927914101 380,332 9,690 X 0 9,690
VODAFONE GROUP PLC SP COMMON 92857T107 1,709,502 39,355 X 0 39,355
VOICESTREAM WIRELESS COMMON 928615103 459,888 5,520 X 0 5,520
WAL MART STORES INC COMMON 931142103 1,207,287 22,779 X 0 22,779
WALGREEN CO COMMON 931422109 554,743 22,700 X 0 22,700
WARNER LAMBERT CO COMMON 934488107 269,136 3,550 X 0 3,550
WASHINGTON MUT INC COMMON 939322103 1,798,525 53,093 X 0 53,093
WASHINGTON MUTUAL INV MUTUAL 939330106 203,485 6,209 X 0 6,209
WATSON PHARMACEUTICAL COMMON 942683103 242,715 7,497 X 0 7,497
WELLS FARGO NEW COMMON 949746101 1,348,035 28,990 X 0 28,990
WILLIAMS CO COMMON 969457100 220,796 6,070 X 0 6,070
WYNDHAM INTL INC CL A COMMON 983101106 34,417 11,971 X 0 11,971
XEROX CORP COMMON 984121103 250,573 9,731 X 0 9,731
YAHOO INC COM COMMON 984332106 2,044,793 11,739 X 0 11,739
ZEBRA TECHNOLOGIES CO COMMON 989207105 592,187 12,500 X 0 12,500
ZIFF-DAVIS INC COM ZD COMMON 989511209 262,625 13,090 X 0 13,090
TOTAL 332,142,382
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