0001214659-17-002901.txt : 20170502 0001214659-17-002901.hdr.sgml : 20170502 20170502134437 ACCESSION NUMBER: 0001214659-17-002901 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170502 DATE AS OF CHANGE: 20170502 EFFECTIVENESS DATE: 20170502 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: 17804157 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 03-31-2017 03-31-2017 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 05-01-2017 0 192 800023 INFORMATION TABLE 2 infotable.xml RYDEX ETF TRUST GUG S&P 500 PU GR 78355W403 73934 824424 SH SOLE 824424 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 36319 1244671 SH SOLE 1244671 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 32523 537841 SH SOLE 537841 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 29885 401896 SH SOLE 401896 0 0 ISHARES TR N AMER TECH ETF 464287549 29480 212912 SH SOLE 212912 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 28740 731308 SH SOLE 731308 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 28703 441175 SH SOLE 441175 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2020 HY 18383M365 24809 1006842 SH SOLE 1006842 0 0 WISDOMTREE TR DEFA FD 97717W703 24445 491547 SH SOLE 491547 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 19632 299857 SH SOLE 299857 0 0 FACEBOOK INC CL A 30303M102 16659 117275 SH SOLE 117275 0 0 UNITEDHEALTH GROUP INC COM 91324P102 16420 100117 SH SOLE 100117 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 16246 773602 SH SOLE 773602 0 0 AVAGO TECHNOLOGIES LTD SHS Y09827109 16243 74182 SH SOLE 74182 0 0 BANK AMER CORP COM 060505104 16130 683744 SH SOLE 683744 0 0 MASTERCARD INC CL A 57636Q104 15989 142159 SH SOLE 142159 0 0 AT&T INC COM 00206R102 15313 368555 SH SOLE 368555 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 15278 255181 SH SOLE 255181 0 0 ALPHABET INC CAP STK CL A 02079K305 15114 17827 SH SOLE 17827 0 0 CELGENE CORP COM 151020104 14982 120406 SH SOLE 120406 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 14933 892586 SH SOLE 892586 0 0 DANAHER CORP DEL COM 235851102 14855 173683 SH SOLE 173683 0 0 EOG RES INC COM 26875P101 14585 149517 SH SOLE 149517 0 0 MONSANTO CO NEW COM 61166W101 14116 124702 SH SOLE 124702 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 14106 91834 SH SOLE 91834 0 0 KRAFT HEINZ CO COM 500754106 13833 152332 SH SOLE 152332 0 0 SYSCO CORP COM 871829107 13571 261377 SH SOLE 261377 0 0 MAGNA INTL INC COM 559222401 13488 312504 SH SOLE 312504 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 12158 127488 SH SOLE 127488 0 0 ISHARES INTL SEL DIV ETF 464288448 11713 372298 SH SOLE 372298 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 10965 90124 SH SOLE 90124 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 9055 80172 SH SOLE 80172 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8850 90738 SH SOLE 90738 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 8622 61290 SH SOLE 61290 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 8345 81883 SH SOLE 81883 0 0 ISHARES EM MKTS DIV ETF 464286319 6823 171227 SH SOLE 171227 0 0 ISHARES EAFE SML CP ETF 464288273 6541 120824 SH SOLE 120824 0 0 ISHARES TR IBONDS SEP20 ETF 46434V571 5563 217655 SH SOLE 217655 0 0 ISHARES S&P 500 GRWT ETF 464287309 4123 31347 SH SOLE 31347 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4068 50456 SH SOLE 50456 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 4055 102091 SH SOLE 102091 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3986 51334 SH SOLE 51334 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 3907 272848 SH SOLE 272848 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 3812 199559 SH SOLE 199559 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 3142 25578 SH SOLE 25578 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3028 52254 SH SOLE 52254 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 2995 53226 SH SOLE 53226 0 0 ISHARES S&P 500 VAL ETF 464287408 2961 28462 SH SOLE 28462 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 2733 139994 SH SOLE 139994 0 0 WISDOMTREE TR INTL MIDCAP DV 97717W778 2491 41386 SH SOLE 41386 0 0 APPLE INC COM 037833100 2119 14753 SH SOLE 14753 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 2075 60837 SH SOLE 60837 0 0 WISDOMTREE TR US DIVD GRT FD 97717X669 2045 57641 SH SOLE 57641 0 0 WISDOMTREE TR TOTAL DIVID FD 97717W109 1870 22270 SH SOLE 22270 0 0 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1810 36712 SH SOLE 36712 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1710 58196 SH SOLE 58196 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 1704 37526 SH SOLE 37526 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 1593 11440 SH SOLE 11440 0 0 AMAZON COM INC COM 023135106 1560 1760 SH SOLE 1760 0 0 CHEVRON CORP NEW COM 166764100 1469 13682 SH SOLE 13682 0 0 RYDEX ETF TRUST GUG S&P MC400 PG 78355W601 1396 10290 SH SOLE 10290 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1322 34711 SH SOLE 34711 0 0 NORTHROP GRUMMAN CORP COM 666807102 1311 5511 SH SOLE 5511 0 0 STRYKER CORP COM 863667101 1310 9950 SH SOLE 9950 0 0 PRUDENTIAL FINL INC COM 744320102 1309 12269 SH SOLE 12269 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 1281 10856 SH SOLE 10856 0 0 NEXTERA ENERGY INC COM 65339F101 1212 9443 SH SOLE 9443 0 0 EAST WEST BANCORP INC COM 27579R104 1181 22886 SH SOLE 22886 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 1130 28196 SH SOLE 28196 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1113 12375 SH SOLE 12375 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1041 16522 SH SOLE 16522 0 0 SPDR INDEX SHS FDS EMERG MKTS ETF 78463X509 1001 15607 SH SOLE 15607 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 944 62735 SH SOLE 62735 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 853 8849 SH SOLE 8849 0 0 GENERAL ELECTRIC CO COM 369604103 833 27965 SH SOLE 27965 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 800 6005 SH SOLE 6005 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 775 14197 SH SOLE 14197 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 78355W809 773 7680 SH SOLE 7680 0 0 WEYERHAEUSER CO COM 962166104 734 21600 SH SOLE 21600 0 0 ISHARES TR MSCI EAFE ETF 464287465 645 10352 SH SOLE 10352 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 594 12419 SH SOLE 12419 0 0 JOHNSON & JOHNSON COM 478160104 575 4619 SH SOLE 4619 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 573 2694 SH SOLE 2694 0 0 ISHARES TR CORE S&P500 ETF 464287200 566 2384 SH SOLE 2384 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 566 8462 SH SOLE 8462 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 566 23594 SH SOLE 23594 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 565 8147 SH SOLE 8147 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 562 7044 SH SOLE 7044 0 0 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 558 26039 SH SOLE 26039 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 557 14138 SH SOLE 14138 0 0 LAM RESEARCH CORP COM 512807108 531 4134 SH SOLE 4134 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 521 24379 SH SOLE 24379 0 0 ALIGN TECHNOLOGY INC COM 016255101 504 4398 SH SOLE 4398 0 0 SYNOVUS FINL CORP COM NEW 87161C501 496 12085 SH SOLE 12085 0 0 AGILENT TECHNOLOGIES IN COM 00846U101 493 9321 SH SOLE 9321 0 0 MICROSEMI CORP COM 595137100 487 9456 SH SOLE 9456 0 0 UGI CORP NEW COM 902681105 472 9545 SH SOLE 9545 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 471 9663 SH SOLE 9663 0 0 EXXON MOBIL CORP COM 30231G102 467 5698 SH SOLE 5698 0 0 F M C CORP COM NEW 302491303 466 6696 SH SOLE 6696 0 0 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 464 10666 SH SOLE 10666 0 0 BARD C R INC COM 067383109 455 1832 SH SOLE 1832 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 449 1904 SH SOLE 1904 0 0 COMERICA INC COM 200340107 447 6514 SH SOLE 6514 0 0 POST HLDGS INC COM 737446104 443 5056 SH SOLE 5056 0 0 WASTE CONNECTIONS INC COM 94106B101 441 5000 SH SOLE 5000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 436 6242 SH SOLE 6242 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 435 18333 SH SOLE 18333 0 0 PULTE GROUP INC COM 745867101 434 18425 SH SOLE 18425 0 0 BERRY PLASTICS GROUP INC COM 08579W103 426 8774 SH SOLE 8774 0 0 DIAMONDBACK ENERGY INC COM 25278X109 420 4052 SH SOLE 4052 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 416 7803 SH SOLE 7803 0 0 MICROSOFT CORP COM 594918104 410 6223 SH SOLE 6223 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 400 4445 SH SOLE 4445 0 0 PHILIP MORRIS INTL INC COM 718172109 335 2968 SH SOLE 2968 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 331 3234 SH SOLE 3234 0 0 BOEING CO COM 097023105 329 1863 SH SOLE 1863 0 0 COSTCO WHSL CORP NEW COM 22160K105 317 1890 SH SOLE 1890 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 310 1861 SH SOLE 1861 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 303 3031 SH SOLE 3031 0 0 ISHARES TR TIPS BD ETF 464287176 293 2556 SH SOLE 2556 0 0 ISHARES TR MSCI ACWI EX US 464288240 293 6723 SH SOLE 6723 0 0 PROCTER & GAMBLE C COM 742718109 285 3171 SH SOLE 3171 0 0 INTEL CORP COM 458140100 274 7595 SH SOLE 7595 0 0 PFIZER INC COM 717081103 274 8017 SH SOLE 8017 0 0 VISA INC COM CL A 92826C839 273 3067 SH SOLE 3067 0 0 ISHARES TR NATIONAL MUN ETF 464288414 272 2500 SH SOLE 2500 0 0 HOME DEPOT INC COM 437076102 265 1803 SH SOLE 1803 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 262 8097 SH SOLE 8097 0 0 CONSTELLATION BRANDS INC CL A 21036P108 259 1601 SH SOLE 1601 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 246 5347 SH SOLE 5347 0 0 ALTRIA GROUP INC COM 02209S103 246 3441 SH SOLE 3441 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 243 20695 SH SOLE 20695 0 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 243 4500 SH SOLE 4500 0 0 MORGAN STANLEY COM NEW 617446448 242 5640 SH SOLE 5640 0 0 DISNEY WALT CO COM DISNEY 254687106 240 2113 SH SOLE 2113 0 0 JPMORGAN CHASE & CO COM 46625H100 233 2648 SH SOLE 2648 0 0 ISHARES IBONDS SEP17 ETF 464289271 218 8000 SH SOLE 8000 0 0 ISHARES TR USA ESG SLCT ETF 464288802 209 2129 SH SOLE 2129 0 0 HONEYWELL INTL INC COM 438516106 209 1673 SH SOLE 1673 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 203 6473 SH SOLE 6473 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 202 2085 SH SOLE 2085 0 0 ISHARES TR CORE S&P SCP ETF 464287804 198 2859 SH SOLE 2859 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 197 2376 SH SOLE 2376 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 191 15050 SH SOLE 15050 0 0 NIKE INC CL B 654106103 189 3385 SH SOLE 3385 0 0 ISHARES TR SELECT DIVID ETF 464287168 187 2050 SH SOLE 2050 0 0 ABBVIE INC COM 00287Y109 183 2812 SH SOLE 2812 0 0 ISHARES TR IBOXX HI YD ETF 464288513 176 2000 SH SOLE 2000 0 0 US BANCORP DEL COM NEW 902973304 155 3000 SH SOLE 3000 0 0 BANK MONTREAL QUE COM 063671101 150 2000 SH SOLE 2000 0 0 PIMCO ETF TR 1-5 US TIP IDX 72201R205 147 2785 SH SOLE 2785 0 0 MCDONALDS CORP COM 580135101 146 1129 SH SOLE 1129 0 0 ISHARES TR IBONDS DEC21 ETF 46435G789 146 5707 SH SOLE 5707 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 144 3000 SH SOLE 3000 0 0 REALTY INCOME CORP COM 756109104 144 2419 SH SOLE 2419 0 0 PEPSICO INC COM 713448108 143 1282 SH SOLE 1282 0 0 ISHARES TR IBONDS SEP19 ETF 46429B564 140 5480 SH SOLE 5480 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 140 2760 SH SOLE 2760 0 0 STARBUCKS CORP COM 855244109 140 2399 SH SOLE 2399 0 0 SPDR INDEX SHS FDS S&P GBLINF ETF 78463X855 135 2771 SH SOLE 2771 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 134 2772 SH SOLE 2772 0 0 AETNA INC NEW COM 00817Y108 133 1044 SH SOLE 1044 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 132 760 SH SOLE 760 0 0 SOUTHERN CO COM 842587107 132 2643 SH SOLE 2643 0 0 AMGEN INC COM 031162100 130 794 SH SOLE 794 0 0 TIME WARNER INC COM NEW 887317303 127 1303 SH SOLE 1303 0 0 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 127 2103 SH SOLE 2103 0 0 WASTE MGMT INC DEL COM 94106L109 127 1743 SH SOLE 1743 0 0 TJX COS INC NEW COM 872540109 126 1588 SH SOLE 1588 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 125 1556 SH SOLE 1556 0 0 NORFOLK SOUTHERN CORP COM 655844108 125 1114 SH SOLE 1114 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 125 941 SH SOLE 941 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 125 401 SH SOLE 401 0 0 WELLS FARGO & CO NEW COM 949746101 124 2233 SH SOLE 2233 0 0 CITIGROUP INC COM 172967424 123 2049 SH SOLE 2049 0 0 PRICELINE GRP INC COM NEW 741503403 123 69 SH SOLE 69 0 0 ISHARES S&P CAL AMTFR MN 464288356 121 1039 SH SOLE 1039 0 0 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 117 4000 SH SOLE 4000 0 0 ALLERGAN PLC SHS G0177J108 116 484 SH SOLE 484 0 0 COCA COLA CO COM 191216100 116 2725 SH SOLE 2725 0 0 SCHLUMBERGER LTD COM 806857108 116 1483 SH SOLE 1483 0 0 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 115 2360 SH SOLE 2360 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 113 9837 SH SOLE 9837 0 0 ADOBE SYS INC COM 00724F101 113 866 SH SOLE 866 0 0 COMCAST CORP NEW CL A 20030N101 112 2974 SH SOLE 2974 0 0 RAYTHEON CO COM NEW 755111507 111 731 SH SOLE 731 0 0 ALPHABET INC CAP STK CL C 02079K107 110 132 SH SOLE 132 0 0 METLIFE INC COM 59156R108 107 2027 SH SOLE 2027 0 0 POWERSHARES ETF TR II S&P500 HGH BET 73937B829 103 2747 SH SOLE 2747 0 0 KROGER CO COM 501044101 102 3454 SH SOLE 3454 0 0 ISHARES TR MIN VOL USA ETF 46429B697 101 2110 SH SOLE 2110 0 0