13F-HR filed by SIGNATURE ESTATE & INVESTMENT ADVISORS LLC
SIGNATURE ESTATE & INVESTMENT ADVISORS LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-04, with 157 holding rows worth $683,305,000.
- Accession
- 0001214659-16-014399
- Filer
- CIK 1079935
- Filed
- 2016-11-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 157 entries on the cover page, a total value of $683,305,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $683,305,000 with VALUE read as thousands by filing date, 13F file number 028-15248. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 791,235 | $66,643,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 1,162,461 | $33,002,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 206,734 | $25,554,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 357,483 | $25,242,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 1,026,150 | $25,007,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 576,300 | $24,729,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 999,503 | $21,699,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 492,826 | $18,437,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 859,218 | $17,726,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 341,063 | $16,054,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 89,467 | $14,895,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 85,705 | $14,786,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 234,415 | $14,386,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 102,280 | $14,319,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 138,576 | $14,103,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 109,480 | $14,043,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 339,380 | $13,782,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 179,392 | $13,415,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 16,535 | $13,295,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 83,505 | $13,282,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 137,212 | $13,270,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 48,472 | $13,057,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 161,611 | $12,669,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 420,508 | $12,455,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 57,893 | $11,984,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 123,867 | $11,087,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 137,103 | $10,915,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 670,213 | $10,911,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 109,375 | $9,516,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 99,420 | $9,035,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 95,621 | $8,947,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 83,103 | $8,841,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 75,031 | $8,425,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 438,669 | $8,120,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 268,770 | $8,058,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 54,504 | $7,182,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 112,360 | $5,889,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 157,684 | $5,661,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 208,214 | $5,374,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 36,612 | $4,454,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 52,275 | $3,932,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 46,887 | $3,382,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 239,779 | $3,304,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 87,244 | $3,206,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 33,281 | $3,160,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 27,293 | $3,020,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 79,833 | $3,004,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 52,830 | $2,727,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 48,464 | $2,672,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 43,792 | $2,455,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33793E108 | PFD SECS INC ETF | 111,913 | $2,188,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 60,466 | $1,964,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 13,686 | $1,772,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 37,625 | $1,627,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 12,678 | $1,581,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 13,865 | $1,487,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 42,440 | $1,370,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 35,041 | $1,289,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 16,245 | $1,269,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 45,298 | $1,254,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 13,002 | $1,135,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 26,420 | $1,125,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 11,477 | $1,098,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 9,566 | $1,081,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 31,575 | $1,039,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 17,978 | $1,035,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 16,566 | $1,004,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 10,812 | $934,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,082 | $906,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 7,077 | $903,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 7,027 | $859,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 9,358 | $834,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 56,230 | $828,000 | thousands by filing date | |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 22,031 | $809,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 51,082 | $799,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 3,572 | $764,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 6,458 | $752,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 26,733 | $693,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 15,170 | $689,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 5,586 | $683,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 3,265 | $624,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 5,585 | $546,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 4,220 | $499,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 6,266 | $493,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 8,374 | $450,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 18,488 | $419,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 4,601 | $386,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 4,623 | $374,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 19,005 | $367,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 8,413 | $360,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 2,318 | $354,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 4,662 | $348,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 2,690 | $339,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 6,389 | $335,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 3,511 | $333,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 3,539 | $332,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 6,178 | $325,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 4,852 | $322,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 8,136 | $320,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 9,300 | $319,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 9,742 | $317,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 6,558 | $309,000 | thousands by filing date | |
| BARD C R INC | 067383109 | COM | 1,375 | $308,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 851 | $307,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 3,841 | $307,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 1,524 | $305,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 6,234 | $298,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 6,982 | $293,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 4,898 | $286,000 | thousands by filing date | |
| ORBITAL ATK INC | 68557N103 | COM | 3,747 | $286,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 3,707 | $268,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,576 | $263,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 1,190 | $259,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 5,705 | $258,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 2,697 | $252,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 3,420 | $247,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,303 | $224,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 4,261 | $224,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 970 | $223,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 7,800 | $201,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,325 | $196,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 8,097 | $195,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 2,156 | $192,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 8,599 | $190,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 5,951 | $184,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 2,918 | $173,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 1,962 | $170,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 2,336 | $167,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 2,871 | $165,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 3,139 | $164,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 3,846 | $160,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 7,697 | $157,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 4,597 | $156,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,649 | $153,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 43,330 | $148,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,683 | $139,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 2,347 | $139,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 1,108 | $134,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 1,187 | $129,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,000 | $128,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 1,394 | $127,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 2,660 | $126,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 3,310 | $124,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 688 | $120,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 3,597 | $119,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 3,121 | $118,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 1,935 | $113,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 4,457 | $111,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 2,578 | $109,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 1,049 | $109,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 9,837 | $109,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 1,617 | $108,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 1,178 | $106,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 131 | $102,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 1,197 | $101,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 954 | $101,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 3,207 | $101,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001214659-16-014399 | this filing | 2016-11-04 | acceptance time not in the bulk data set |