Compliance Officer

0001214659-17-006421.txt : 20171107 0001214659-17-006421.hdr.sgml : 20171107 20171106190100 ACCESSION NUMBER: 0001214659-17-006421 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171107 DATE AS OF CHANGE: 20171106 EFFECTIVENESS DATE: 20171107 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: 171180736 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 09-30-2017 09-30-2017 false SIGNATURE ESTATE & INVESTMENT ADVISORS LLC

2121 Avenue Of The Stars Suite 1600 Los Angeles CA 90067

13F HOLDINGS REPORT 028-15248 N Eric Rosen Compliance Officer 310-712-2323 /s/ Eric Rosen Los Angeles CA 11-06-2017 0 146 896866 INFORMATION TABLE 2 infotable.xml RYDEX ETF TRUST GUG S&P 500 PU GR 78355W403 87638 876206 SH SOLE 876206 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 40890 941958 SH SOLE 941958 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 36324 555756 SH SOLE 555756 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 35478 434083 SH SOLE 434083 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 33103 1316738 SH SOLE 1316738 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 32758 461379 SH SOLE 461379 0 0 ISHARES TR N AMER TECH ETF 464287549 31398 202205 SH SOLE 202205 0 0 WISDOMTREE TR DEFA FD 97717W703 28762 528138 SH SOLE 528138 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2020 HY 18383M365 27373 1096668 SH SOLE 1096668 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 25016 338278 SH SOLE 338278 0 0 CATERPILLAR INC DEL COM 149123101 18892 151491 SH SOLE 151491 0 0 CELGENE CORP COM 151020104 18794 128883 SH SOLE 128883 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 18340 266956 SH SOLE 266956 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 17666 254374 SH SOLE 254374 0 0 UNITEDHEALTH GROUP INC COM 91324P102 17493 89318 SH SOLE 89318 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 17446 92211 SH SOLE 92211 0 0 ALPHABET INC CAP STK CL A 02079K305 17419 17889 SH SOLE 17889 0 0 BANK AMER CORP COM 060505104 17396 686496 SH SOLE 686496 0 0 AVAGO TECHNOLOGIES LTD SHS Y09827109 17372 71624 SH SOLE 71624 0 0 MASTERCARD INC CL A 57636Q104 17350 122876 SH SOLE 122876 0 0 FACEBOOK INC CL A 30303M102 17218 100767 SH SOLE 100767 0 0 EOG RES INC COM 26875P101 16676 172377 SH SOLE 172377 0 0 MONSANTO CO NEW COM 61166W101 16564 138242 SH SOLE 138242 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 15936 246804 SH SOLE 246804 0 0 SYSCO CORP COM 871829107 15915 295003 SH SOLE 295003 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 15771 1062708 SH SOLE 1062708 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 15343 153705 SH SOLE 153705 0 0 WAL-MART STORES INC COM 931142103 14590 186715 SH SOLE 186715 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 14077 106038 SH SOLE 106038 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 13563 746446 SH SOLE 746446 0 0 ISHARES INTL SEL DIV ETF 464288448 12592 372979 SH SOLE 372979 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8488 84923 SH SOLE 84923 0 0 ISHARES EAFE SML CP ETF 464288273 7872 126972 SH SOLE 126972 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 7787 34169 SH SOLE 34169 0 0 ISHARES EM MKTS DIV ETF 464286319 7464 180023 SH SOLE 180023 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 5578 128035 SH SOLE 128035 0 0 ISHARES TR IBONDS SEP20 ETF 46434V571 5489 213577 SH SOLE 213577 0 0 ISHARES S&P 500 GRWT ETF 464287309 4579 31924 SH SOLE 31924 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4281 50952 SH SOLE 50952 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 4208 269717 SH SOLE 269717 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 4162 51337 SH SOLE 51337 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4041 40817 SH SOLE 40817 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 3914 32151 SH SOLE 32151 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 3735 185995 SH SOLE 185995 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 3635 60546 SH SOLE 60546 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 3348 177053 SH SOLE 177053 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3321 51752 SH SOLE 51752 0 0 ISHARES S&P 500 VAL ETF 464287408 3213 29771 SH SOLE 29771 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3193 25268 SH SOLE 25268 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 3088 20940 SH SOLE 20940 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2950 19326 SH SOLE 19326 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2876 27228 SH SOLE 27228 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 2600 68731 SH SOLE 68731 0 0 WISDOMTREE TR INTL MIDCAP DV 97717W778 2455 37009 SH SOLE 37009 0 0 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2440 47736 SH SOLE 47736 0 0 AMAZON COM INC COM 023135106 2238 2328 SH SOLE 2328 0 0 WISDOMTREE TR US DIVD GRT FD 97717X669 2169 56843 SH SOLE 56843 0 0 NORTHROP GRUMMAN CORP COM 666807102 2109 7329 SH SOLE 7329 0 0 NEXTERA ENERGY INC COM 65339F101 2025 13815 SH SOLE 13815 0 0 STRYKER CORP COM 863667101 2010 14154 SH SOLE 14154 0 0 WISDOMTREE TR TOTAL DIVID FD 97717W109 2003 22823 SH SOLE 22823 0 0 DXC TECHNOLOGY CO COM 23355L106 1972 22965 SH SOLE 22965 0 0 ISHARES TR S&P SML 600 GWT 464287887 1922 11686 SH SOLE 11686 0 0 PRUDENTIAL FINL INC COM 744320102 1860 17491 SH SOLE 17491 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1818 59685 SH SOLE 59685 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 1710 11634 SH SOLE 11634 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 1504 30368 SH SOLE 30368 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1466 45408 SH SOLE 45408 0 0 APPLE INC COM 037833100 1422 9224 SH SOLE 9224 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1312 32500 SH SOLE 32500 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1294 13742 SH SOLE 13742 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 1287 29164 SH SOLE 29164 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1284 8408 SH SOLE 8408 0 0 ISHARES TR S&P MC 400GR ETF 464287606 1197 5914 SH SOLE 5914 0 0 EAST WEST BANCORP INC COM 27579R104 1187 19855 SH SOLE 19855 0 0 SPDR INDEX SHS FDS EMERG MKTS ETF 78463X509 1177 16238 SH SOLE 16238 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 1053 8236 SH SOLE 8236 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1044 15500 SH SOLE 15500 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 996 61642 SH SOLE 61642 0 0 ISHARES TR CORE S&P500 ETF 464287200 928 3669 SH SOLE 3669 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 917 6491 SH SOLE 6491 0 0 ISHARES TR MSCI EAFE ETF 464287465 909 13275 SH SOLE 13275 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 906 20228 SH SOLE 20228 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 78355W809 887 8064 SH SOLE 8064 0 0 ALIGN TECHNOLOGY INC COM 016255101 763 4094 SH SOLE 4094 0 0 F M C CORP COM NEW 302491303 758 8485 SH SOLE 8485 0 0 LAM RESEARCH CORP COM 512807108 738 3986 SH SOLE 3986 0 0 ISHARES TR SP SMCP600VL ETF 464287879 738 4976 SH SOLE 4976 0 0 PULTE GROUP INC COM 745867101 707 25882 SH SOLE 25882 0 0 WASTE CONNECTIONS INC COM 94106B101 698 9974 SH SOLE 9974 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 694 11738 SH SOLE 11738 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 692 13127 SH SOLE 13127 0 0 COMERICA INC COM 200340107 686 8992 SH SOLE 8992 0 0 AGILENT TECHNOLOGIES IN COM 00846U101 683 10633 SH SOLE 10633 0 0 SYNOVUS FINL CORP COM NEW 87161C501 681 14786 SH SOLE 14786 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 679 7846 SH SOLE 7846 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 668 9749 SH SOLE 9749 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 652 8166 SH SOLE 8166 0 0 POST HLDGS INC COM 737446104 644 7294 SH SOLE 7294 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 639 11255 SH SOLE 11255 0 0 MICROSEMI CORP COM 595137100 630 12229 SH SOLE 12229 0 0 BERRY PLASTICS GROUP INC COM 08579W103 623 11000 SH SOLE 11000 0 0 DIAMONDBACK ENERGY INC COM 25278X109 605 6171 SH SOLE 6171 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 599 50675 SH SOLE 50675 0 0 AVANGRID INC COM 05351W103 599 12634 SH SOLE 12634 0 0 EXXON MOBIL CORP COM 30231G102 567 6915 SH SOLE 6915 0 0 JOHNSON & JOHNSON COM 478160104 540 4154 SH SOLE 4154 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 516 21113 SH SOLE 21113 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 516 3419 SH SOLE 3419 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 422 3473 SH SOLE 3473 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 413 4356 SH SOLE 4356 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 384 3583 SH SOLE 3583 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 366 14153 SH SOLE 14153 0 0 ISHARES TR MSCI ACWI EX US 464288240 361 7475 SH SOLE 7475 0 0 GENERAL ELECTRIC CO COM 369604103 344 14240 SH SOLE 14240 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 340 15817 SH SOLE 15817 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 325 3031 SH SOLE 3031 0 0 AT&T INC COM 00206R102 296 7558 SH SOLE 7558 0 0 ISHARES TR IBONDS DEC21 ETF 46435G789 295 11397 SH SOLE 11397 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 271 8097 SH SOLE 8097 0 0 MICROSOFT CORP COM 594918104 265 3563 SH SOLE 3563 0 0 ISHARES TR CORE S&P SCP ETF 464287804 244 3290 SH SOLE 3290 0 0 COCA COLA CO COM 191216100 228 5061 SH SOLE 5061 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 217 6046 SH SOLE 6046 0 0 ISHARES TR USA ESG SLCT ETF 464288802 209 2003 SH SOLE 2003 0 0 PFIZER INC COM 717081103 208 5825 SH SOLE 5825 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 207 4293 SH SOLE 4293 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 192 3875 SH SOLE 3875 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 191 2396 SH SOLE 2396 0 0 VISA INC COM CL A 92826C839 185 1762 SH SOLE 1762 0 0 ANTHEM INC COM 036752103 184 971 SH SOLE 971 0 0 PEPSICO INC COM 713448108 181 1621 SH SOLE 1621 0 0 JPMORGAN CHASE & CO COM 46625H100 174 1820 SH SOLE 1820 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 166 3000 SH SOLE 3000 0 0 HOME DEPOT INC COM 437076102 162 992 SH SOLE 992 0 0 INTEL CORP COM 458140100 141 3699 SH SOLE 3699 0 0 TOMPKINS FINANCIAL CORPORATI COM 890110109 124 1436 SH SOLE 1436 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 120 1180 SH SOLE 1180 0 0 PRICE T ROWE GROUP INC COM 74144T108 118 1300 SH SOLE 1300 0 0 ISHARES S&P CAL AMTFR MN 464288356 117 989 SH SOLE 989 0 0 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 115 2360 SH SOLE 2360 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 105 416 SH SOLE 416 0 0 RAYTHEON CO COM NEW 755111507 103 550 SH SOLE 550 0 0 KRAFT HEINZ CO COM 500754106 101 1304 SH SOLE 1304 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 101 553 SH SOLE 553 0 0 SAP SE SPON ADR 803054204 100 912 SH SOLE 912 0 0