DAIN RAUSCHER CORP
13F-HR, 1999-11-02
SECURITY BROKERS, DEALERS & FLOTATION COMPANIES
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<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
                 -------------------------------
   Address:      60 South 6th Street
                 -------------------------------
                 Minneapolis, MN  55402-4422
                 -------------------------------

                 -------------------------------

Form 13F File Number: 28-04069
                         ---------------------

    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
         -------------------------------
Title:   Vice President
         -------------------------------
Phone:   612-371-2390
         -------------------------------

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
           ---------------          ------------------------------------
[Repeat as necessary.]

<PAGE>

<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>

- ------------------------------------------------------------------------------------------------------------------------------------

- ------------------------------------------------------------------------------------------------------------------------------------

- ------------------------------------------------------------------------------------------------------------------------------------

- ------------------------------------------------------------------------------------------------------------------------------------

- ------------------------------------------------------------------------------------------------------------------------------------

- ------------------------------------------------------------------------------------------------------------------------------------

- ------------------------------------------------------------------------------------------------------------------------------------

- ------------------------------------------------------------------------------------------------------------------------------------

</TABLE>


[Repeat as necessary]

<PAGE>

                             Form 13F SUMMARY PAGE

Report Summary:

Number of Other Included Managers:                                  0
                                                           --------------------

Form 13F Information Table Entry Total:                            309
                                                           --------------------

Form 13F Information Table Value Total:                   $      332,142
                                                           --------------------
                                                                    (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
     ------       -----------------         ---------------------------------
     [Repeat as necessary.]

                                            None

<PAGE>

<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

<PAGE>

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

<PAGE>

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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