0001214659-17-000845.txt : 20170208 0001214659-17-000845.hdr.sgml : 20170208 20170208150414 ACCESSION NUMBER: 0001214659-17-000845 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170208 DATE AS OF CHANGE: 20170208 EFFECTIVENESS DATE: 20170208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS LLC CENTRAL INDEX KEY: 0001079935 IRS NUMBER: 954603559 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15248 FILM NUMBER: 17582115 BUSINESS ADDRESS: STREET 1: 2121 AVENUE OF THE STARS STREET 2: SUITE 1600 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 8007235115 MAIL ADDRESS: STREET 1: 2121 AVENUE OF THE STARS STREET 2: SUITE 1600 CITY: LOS ANGELES STATE: CA ZIP: 90067 FORMER COMPANY: FORMER CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS INC /ADV DATE OF NAME CHANGE: 20000717 FORMER COMPANY: FORMER CONFORMED NAME: SIGNATURE ESTATE & INVESTMENT ADVISORS LLC /ADV DATE OF NAME CHANGE: 19990217 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001079935 XXXXXXXX 12-31-2016 12-31-2016 false SIGNATURE ESTATE & INVESTMENT ADVISORS LLC

2121 Avenue Of The Stars Suite 1600 Los Angeles CA 90067

13F HOLDINGS REPORT 028-15248 N Rachel L. Posner 310-712-2323 /s/ Rachel L. Posner Los Angeles CA 02-07-2017 0 155 720723 INFORMATION TABLE 2 infotable.xml AGILENT TECHNOLOGIES IN COM 00846U101 361 7922 SH SOLE 7922 0 0 APPLE INC COM 037833100 1819 15707 SH SOLE 15707 0 0 ISHARES TR MSCI ACWI EX US 464288240 251 6232 SH SOLE 6232 0 0 ALLERGAN PLC SHS G0177J108 110 526 SH SOLE 526 0 0 ALIGN TECHNOLOGY INC COM 016255101 378 3937 SH SOLE 3937 0 0 AMGEN INC COM 031162100 102 699 SH SOLE 699 0 0 AMAZON COM INC COM 023135106 1429 1905 SH SOLE 1905 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 4734 236940 SH SOLE 236940 0 0 AVAGO TECHNOLOGIES LTD SHS Y09827109 15101 85427 SH SOLE 85427 0 0 BANK AMER CORP COM 060505104 16177 732004 SH SOLE 732004 0 0 BARD C R INC COM 067383109 371 1651 SH SOLE 1651 0 0 BERRY PLASTICS GROUP INC COM 08579W103 335 6876 SH SOLE 6876 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 4097 193244 SH SOLE 193244 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2020 HY 18383M365 18638 767954 SH SOLE 767954 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 322 4055 SH SOLE 4055 0 0 CELGENE CORP COM 151020104 13165 113735 SH SOLE 113735 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 12572 807961 SH SOLE 807961 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 3631 264816 SH SOLE 264816 0 0 COMERICA INC COM 200340107 360 5280 SH SOLE 5280 0 0 ISHARES S&P CAL AMTFR MN 464288356 120 1039 SH SOLE 1039 0 0 COSTCO WHSL CORP NEW COM 22160K105 189 1178 SH SOLE 1178 0 0 CHEVRON CORP NEW COM 166764100 1021 8677 SH SOLE 8677 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 1787 56761 SH SOLE 56761 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 270 5499 SH SOLE 5499 0 0 DBX ETF TR DB XTR MSCI EUR 233051853 111 4360 SH SOLE 4360 0 0 DBX ETF TR XTRAK MSCI JAPN 233051507 157 4213 SH SOLE 4213 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4009 48462 SH SOLE 48462 0 0 WISDOMTREE TR US DIVD GRT FD 97717X669 1667 50094 SH SOLE 50094 0 0 DANAHER CORP DEL COM 235851102 13069 167890 SH SOLE 167890 0 0 WISDOMTREE TR INTL MIDCAP DV 97717W778 2370 42801 SH SOLE 42801 0 0 DISNEY WALT CO COM DISNEY 254687106 141 1349 SH SOLE 1349 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 16094 268136 SH SOLE 268136 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 1612 37652 SH SOLE 37652 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8260 87523 SH SOLE 87523 0 0 WISDOMTREE TR TOTAL DIVID FD 97717W109 1579 19430 SH SOLE 19430 0 0 ISHARES EM MKTS DIV ETF 464286319 5846 169050 SH SOLE 169050 0 0 WISDOMTREE TR DEFA FD 97717W703 21828 470433 SH SOLE 470433 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1319 36577 SH SOLE 36577 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 362 7308 SH SOLE 7308 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1566 59190 SH SOLE 59190 0 0 ISHARES TR MSCI EAFE ETF 464287465 313 5417 SH SOLE 5417 0 0 EOG RES INC COM 26875P101 14396 142389 SH SOLE 142389 0 0 EAST WEST BANCORP INC COM 27579R104 1176 23132 SH SOLE 23132 0 0 FACEBOOK INC CL A 30303M102 12971 112743 SH SOLE 112743 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 2252 118585 SH SOLE 118585 0 0 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1340 28599 SH SOLE 28599 0 0 POWERSHARES ETF TR II EURO CUR HDG 73937B514 200 9594 SH SOLE 9594 0 0 GENERAL ELECTRIC CO COM 369604103 702 22212 SH SOLE 22212 0 0 SPDR INDEX SHS FDS S&P GBLINF ETF 78463X855 125 2771 SH SOLE 2771 0 0 SPDR INDEX SHS FDS EMERG MKTS ETF 78463X509 915 15966 SH SOLE 15966 0 0 ALPHABET INC CAP STK CL C 02079K107 173 224 SH SOLE 224 0 0 ALPHABET INC CAP STK CL A 02079K305 13491 17024 SH SOLE 17024 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 164 2856 SH SOLE 2856 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 143 3000 SH SOLE 3000 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 114 4940 SH SOLE 4940 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 136 818 SH SOLE 818 0 0 ISHARES TR IBONDS SEP20 ETF 46434V571 5234 207378 SH SOLE 207378 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 13950 247260 SH SOLE 247260 0 0 ISHARES INTL SEL DIV ETF 464288448 10552 356986 SH SOLE 356986 0 0 ISHARES TR CORE MSCI EAFE 46432F842 2837 52902 SH SOLE 52902 0 0 ISHARES TR N AMER TECH ETF 464287549 25677 207387 SH SOLE 207387 0 0 ISHARES TR CORE S&P SCP ETF 464287804 140 1016 SH SOLE 1016 0 0 INTEL CORP COM 458140100 113 3129 SH SOLE 3129 0 0 ISHARES S&P 500 VAL ETF 464287408 3191 31474 SH SOLE 31474 0 0 ISHARES TR CORE S&P500 ETF 464287200 396 1761 SH SOLE 1761 0 0 ISHARES S&P 500 GRWT ETF 464287309 4034 33121 SH SOLE 33121 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 115 9837 SH SOLE 9837 0 0 JOHNSON & JOHNSON COM 478160104 491 4260 SH SOLE 4260 0 0 JPMORGAN CHASE & CO COM 46625H100 140 1617 SH SOLE 1617 0 0 KRAFT HEINZ CO COM 500754106 11926 136576 SH SOLE 136576 0 0 ISHARES TR USA ESG SLCT ETF 464288802 174 1886 SH SOLE 1886 0 0 KIMBERLY CLARK CORP COM 494368103 108 945 SH SOLE 945 0 0 COCA COLA CO COM 191216100 108 2596 SH SOLE 2596 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 309 5568 SH SOLE 5568 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 16048 819604 SH SOLE 819604 0 0 LOWES COS INC COM 548661107 137 1923 SH SOLE 1923 0 0 LAM RESEARCH CORP COM 512807108 385 3639 SH SOLE 3639 0 0 MASTERCARD INC CL A 57636Q104 14370 139177 SH SOLE 139177 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 1067 8018 SH SOLE 8018 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 821 8741 SH SOLE 8741 0 0 MGM RESORTS INTERNATIONAL COM 552953101 386 13390 SH SOLE 13390 0 0 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 115 2360 SH SOLE 2360 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 34422 1211626 SH SOLE 1211626 0 0 MONSANTO CO NEW COM 61166W101 12312 117022 SH SOLE 117022 0 0 MICROSEMI CORP COM 595137100 439 8135 SH SOLE 8135 0 0 MICROSOFT CORP COM 594918104 191 3071 SH SOLE 3071 0 0 ISHARES TR IBONDS SEP19 ETF 46429B564 110 4327 SH SOLE 4327 0 0 NEXTERA ENERGY INC COM 65339F101 938 7853 SH SOLE 7853 0 0 NIKE INC CL B 654106103 164 3218 SH SOLE 3218 0 0 NORTHROP GRUMMAN CORP COM 666807102 1074 4619 SH SOLE 4619 0 0 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 332 16433 SH SOLE 16433 0 0 PEPSICO INC COM 713448108 124 1187 SH SOLE 1187 0 0 PFIZER INC COM 717081103 146 4497 SH SOLE 4497 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 910 63177 SH SOLE 63177 0 0 POST HLDGS INC COM 737446104 312 3875 SH SOLE 3875 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 244 2456 SH SOLE 2456 0 0 PRUDENTIAL FINL INC COM 744320102 1075 10327 SH SOLE 10327 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 1096 29184 SH SOLE 29184 0 0 RYDEX ETF TRUST GUG S&P MC400 PG 78355W601 1270 9855 SH SOLE 9855 0 0 RYDEX ETF TRUST GUG S&P 500 PU GR 78355W403 65492 783682 SH SOLE 783682 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 78355W809 707 7320 SH SOLE 7320 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 979 15921 SH SOLE 15921 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 171 3159 SH SOLE 3159 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 167 5738 SH SOLE 5738 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 2596 48751 SH SOLE 48751 0 0 ISHARES EAFE SML CP ETF 464288273 5729 114949 SH SOLE 114949 0 0 SPECTRA ENERGY CORP COM 847560109 353 8592 SH SOLE 8592 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 7521 316160 SH SOLE 316160 0 0 SCHLUMBERGER LTD COM 806857108 226 2690 SH SOLE 2690 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 555 2666 SH SOLE 2666 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 1328 11159 SH SOLE 11159 0 0 SYNOVUS FINL CORP COM NEW 87161C501 426 10363 SH SOLE 10363 0 0 POWERSHARES ETF TR II S&P500 HGH BET 73937B829 105 2871 SH SOLE 2871 0 0 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 115 2762 SH SOLE 2762 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 563 2519 SH SOLE 2519 0 0 CONSTELLATION BRANDS INC CL A 21036P108 13951 90999 SH SOLE 90999 0 0 STRYKER CORP COM 863667101 1040 8681 SH SOLE 8681 0 0 AT&T INC COM 00206R102 14824 348555 SH SOLE 348555 0 0 ISHARES TR TIPS BD ETF 464287176 149 1320 SH SOLE 1320 0 0 TJX COS INC NEW COM 872540109 284 3785 SH SOLE 3785 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 12384 87766 SH SOLE 87766 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 269 8097 SH SOLE 8097 0 0 TIME WARNER INC COM NEW 887317303 13957 144584 SH SOLE 144584 0 0 UGI CORP NEW COM 902681105 357 7746 SH SOLE 7746 0 0 UNITEDHEALTH GROUP INC COM 91324P102 16234 101436 SH SOLE 101436 0 0 VISA INC COM CL A 92826C839 131 1683 SH SOLE 1683 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 765 5932 SH SOLE 5932 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 6910 51903 SH SOLE 51903 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 2850 23551 SH SOLE 23551 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 996 11147 SH SOLE 11147 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 186 1774 SH SOLE 1774 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 23062 631140 SH SOLE 631140 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 655 14827 SH SOLE 14827 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 30827 519404 SH SOLE 519404 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 399 4679 SH SOLE 4679 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 1514 11503 SH SOLE 11503 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 7734 79580 SH SOLE 79580 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 7504 71018 SH SOLE 71018 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 10696 114996 SH SOLE 114996 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 8886 79707 SH SOLE 79707 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3141 87778 SH SOLE 87778 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3823 50450 SH SOLE 50450 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 229 4286 SH SOLE 4286 0 0 WASTE CONNECTIONS INC COM 94106B101 332 4220 SH SOLE 4220 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 328 5171 SH SOLE 5171 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 392 6629 SH SOLE 6629 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 597 7926 SH SOLE 7926 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 230 9871 SH SOLE 9871 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 26291 422543 SH SOLE 422543 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 345 7125 SH SOLE 7125 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 177 3638 SH SOLE 3638 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 26189 379888 SH SOLE 379888 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 303 3717 SH SOLE 3717 0 0 EXXON MOBIL CORP COM 30231G102 467 5173 SH SOLE 5173 0 0 XYLEM IN COM 98419M100 358 7222 SH SOLE 7222 0 0