0001214659-18-000856.txt : 20180202 0001214659-18-000856.hdr.sgml : 20180202 20180202132447 ACCESSION NUMBER: 0001214659-18-000856 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180202 DATE AS OF CHANGE: 20180202 EFFECTIVENESS DATE: 20180202 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: 18569778 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 12-31-2017 12-31-2017 false SIGNATURE ESTATE & INVESTMENT ADVISORS LLC

2121 Avenue Of The Stars Suite 1600 Los Angeles CA 90067

13F HOLDINGS REPORT 028-15248 N Eric Rosen 310-712-2323 /s/ Los Angeles CA 02-01-2018 0 160 979409 INFORMATION TABLE 2 infotable.xml RYDEX ETF TRUST GUG S&P 500 PU GR 78355W403 95401 910058 SH SOLE 910058 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 49259 1098056 SH SOLE 1098056 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 38060 543406 SH SOLE 543406 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 36838 445545 SH SOLE 445545 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 35022 462827 SH SOLE 462827 0 0 ISHARES TR N AMER TECH ETF 464287549 33755 199985 SH SOLE 199985 0 0 WISDOMTREE TR DEFA FD 97717W703 31293 561010 SH SOLE 561010 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2020 HY 18383M365 28114 1146120 SH SOLE 1146120 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 22380 925171 SH SOLE 925171 0 0 CATERPILLAR INC DEL COM 149123101 22222 141020 SH SOLE 141020 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 20831 260846 SH SOLE 260846 0 0 BANK AMER CORP COM 060505104 20742 702633 SH SOLE 702633 0 0 UNITEDHEALTH GROUP INC COM 91324P102 19535 88610 SH SOLE 88610 0 0 EOG RES INC COM 26875P101 19299 178845 SH SOLE 178845 0 0 WAL-MART STORES INC COM 931142103 19200 194433 SH SOLE 194433 0 0 MASTERCARD INC CL A 57636Q104 19146 126491 SH SOLE 126491 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 19129 271108 SH SOLE 271108 0 0 SYSCO CORP COM 871829107 18823 309949 SH SOLE 309949 0 0 AVAGO TECHNOLOGIES LTD SHS Y09827109 18734 72923 SH SOLE 72923 0 0 ALPHABET INC CAP STK CL A 02079K305 18702 17754 SH SOLE 17754 0 0 FACEBOOK INC CL A 30303M102 18357 104029 SH SOLE 104029 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 17958 233832 SH SOLE 233832 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 17576 361342 SH SOLE 361342 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 17529 92318 SH SOLE 92318 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 17195 259085 SH SOLE 259085 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 16860 158577 SH SOLE 158577 0 0 MONSANTO CO NEW COM 61166W101 16650 142575 SH SOLE 142575 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 16305 1067788 SH SOLE 1067788 0 0 METLIFE INC COM 59156R108 15579 308125 SH SOLE 308125 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 15358 109190 SH SOLE 109190 0 0 ISHARES INTL SEL DIV ETF 464288448 13397 396465 SH SOLE 396465 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 10422 547063 SH SOLE 547063 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8983 254633 SH SOLE 254633 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 8763 318989 SH SOLE 318989 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 8288 36449 SH SOLE 36449 0 0 ISHARES EM MKTS DIV ETF 464286319 7795 186342 SH SOLE 186342 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 6450 140500 SH SOLE 140500 0 0 CLEARBRIDGE AMERN ENERG MLP COM 184691103 5532 668162 SH SOLE 668162 0 0 ISHARES EAFE SML CP ETF 464288273 5465 84734 SH SOLE 84734 0 0 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 5211 51934 SH SOLE 51934 0 0 ISHARES TR IBONDS SEP20 ETF 46434V571 5129 202256 SH SOLE 202256 0 0 ISHARES S&P 500 GRWT ETF 464287309 4860 31811 SH SOLE 31811 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 4410 269207 SH SOLE 269207 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 4385 51204 SH SOLE 51204 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4332 149124 SH SOLE 149124 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4266 41484 SH SOLE 41484 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 4011 31404 SH SOLE 31404 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 3995 62632 SH SOLE 62632 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 3664 183119 SH SOLE 183119 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3523 53308 SH SOLE 53308 0 0 ISHARES S&P 500 VAL ETF 464287408 3411 29860 SH SOLE 29860 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 3233 20792 SH SOLE 20792 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3154 25086 SH SOLE 25086 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 3039 18896 SH SOLE 18896 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2981 26722 SH SOLE 26722 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 2731 70025 SH SOLE 70025 0 0 AMAZON COM INC COM 023135106 2686 2297 SH SOLE 2297 0 0 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2660 48686 SH SOLE 48686 0 0 WISDOMTREE TR US DIVD GRT FD 97717X669 2356 56876 SH SOLE 56876 0 0 DXC TECHNOLOGY CO COM 23355L106 2342 24677 SH SOLE 24677 0 0 STRYKER CORP COM 863667101 2316 14958 SH SOLE 14958 0 0 NORTHROP GRUMMAN CORP COM 666807102 2264 7375 SH SOLE 7375 0 0 NEXTERA ENERGY INC COM 65339F101 2221 14222 SH SOLE 14222 0 0 PRUDENTIAL FINL INC COM 744320102 2187 19020 SH SOLE 19020 0 0 ISHARES TR S&P SML 600 GWT 464287887 2165 12723 SH SOLE 12723 0 0 WISDOMTREE TR TOTAL DIVID FD 97717W109 2113 22728 SH SOLE 22728 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 2051 62441 SH SOLE 62441 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 2047 104361 SH SOLE 104361 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 1896 12249 SH SOLE 12249 0 0 WISDOMTREE TR INTL MIDCAP DV 97717W778 1846 26761 SH SOLE 26761 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1628 47723 SH SOLE 47723 0 0 APPLE INC COM 037833100 1604 9477 SH SOLE 9477 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 1584 31277 SH SOLE 31277 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 1428 31457 SH SOLE 31457 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1400 33976 SH SOLE 33976 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1362 8508 SH SOLE 8508 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1352 14115 SH SOLE 14115 0 0 ISHARES TR S&P MC 400GR ETF 464287606 1291 5982 SH SOLE 5982 0 0 SSGA ACTIVE TR SPDR DBLELN SHRT 78470P200 1275 25800 SH SOLE 25800 0 0 EAST WEST BANCORP INC COM 27579R104 1208 19855 SH SOLE 19855 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1105 15851 SH SOLE 15851 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 1071 8066 SH SOLE 8066 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 1015 61372 SH SOLE 61372 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 995 6734 SH SOLE 6734 0 0 ISHARES TR MSCI EAFE ETF 464287465 982 13963 SH SOLE 13963 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 961 20403 SH SOLE 20403 0 0 ISHARES TR CORE S&P500 ETF 464287200 951 3539 SH SOLE 3539 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 78355W809 938 8188 SH SOLE 8188 0 0 PULTE GROUP INC COM 745867101 899 27026 SH SOLE 27026 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 889 16567 SH SOLE 16567 0 0 DIAMONDBACK ENERGY INC COM 25278X109 840 6651 SH SOLE 6651 0 0 COMERICA INC COM 200340107 834 9605 SH SOLE 9605 0 0 ISHARES TR SP SMCP600VL ETF 464287879 798 5197 SH SOLE 5197 0 0 ALIGN TECHNOLOGY INC COM 016255101 766 3448 SH SOLE 3448 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 764 13962 SH SOLE 13962 0 0 AGILENT TECHNOLOGIES IN COM 00846U101 764 11406 SH SOLE 11406 0 0 WASTE CONNECTIONS INC COM 94106B101 763 10750 SH SOLE 10750 0 0 F M C CORP COM NEW 302491303 762 8045 SH SOLE 8045 0 0 SYNOVUS FINL CORP COM NEW 87161C501 761 15884 SH SOLE 15884 0 0 AVANGRID INC COM 05351W103 713 14103 SH SOLE 14103 0 0 BERRY PLASTICS GROUP INC COM 08579W103 708 12061 SH SOLE 12061 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 701 4395 SH SOLE 4395 0 0 MICROSEMI CORP COM 595137100 695 13447 SH SOLE 13447 0 0 LAM RESEARCH CORP COM 512807108 690 3748 SH SOLE 3748 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 646 16928 SH SOLE 16928 0 0 POST HLDGS INC COM 737446104 638 8057 SH SOLE 8057 0 0 SPDR INDEX SHS FDS EMERG MKTS ETF 78463X509 631 16542 SH SOLE 16542 0 0 EXXON MOBIL CORP COM 30231G102 588 7035 SH SOLE 7035 0 0 ISHARES TR IBONDS DEC21 ETF 46435G789 577 22694 SH SOLE 22694 0 0 JOHNSON & JOHNSON COM 478160104 576 4121 SH SOLE 4121 0 0 ISHARES TR IBONDS DEC19 ETF 46434VAU4 557 22390 SH SOLE 22390 0 0 ISHARES TR IBONDS DEC20 ETF 46434VAQ3 556 21950 SH SOLE 21950 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 534 6296 SH SOLE 6296 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 534 4705 SH SOLE 4705 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 524 8193 SH SOLE 8193 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 508 8632 SH SOLE 8632 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 501 5990 SH SOLE 5990 0 0 ISHARES TR MSCI ACWI EX US 464288240 474 9482 SH SOLE 9482 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 420 4112 SH SOLE 4112 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 396 16350 SH SOLE 16350 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2019 HY 18383M373 358 14666 SH SOLE 14666 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 353 2301 SH SOLE 2301 0 0 MICROSOFT CORP COM 594918104 344 4019 SH SOLE 4019 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 339 3031 SH SOLE 3031 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 303 14216 SH SOLE 14216 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 297 10627 SH SOLE 10627 0 0 JPMORGAN CHASE & CO COM 46625H100 291 2722 SH SOLE 2722 0 0 AT&T INC COM 00206R102 272 7007 SH SOLE 7007 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 271 1570 SH SOLE 1570 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 261 5320 SH SOLE 5320 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 249 8097 SH SOLE 8097 0 0 ISHARES TR CORE S&P SCP ETF 464287804 249 3244 SH SOLE 3244 0 0 COCA COLA CO COM 191216100 231 5033 SH SOLE 5033 0 0 ISHARES TR USA ESG SLCT ETF 464288802 222 2003 SH SOLE 2003 0 0 PFIZER INC COM 717081103 221 6097 SH SOLE 6097 0 0 VISA INC COM CL A 92826C839 203 1780 SH SOLE 1780 0 0 PEPSICO INC COM 713448108 198 1653 SH SOLE 1653 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 186 14928 SH SOLE 14928 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 183 2311 SH SOLE 2311 0 0 AETNA INC NEW COM 00817Y108 182 1008 SH SOLE 1008 0 0 INTEL CORP COM 458140100 171 3705 SH SOLE 3705 0 0 PNC FINL SVCS GROUP INC COM 693475105 157 1087 SH SOLE 1087 0 0 HOME DEPOT INC COM 437076102 155 819 SH SOLE 819 0 0 GENERAL ELECTRIC CO COM 369604103 146 8361 SH SOLE 8361 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 144 2713 SH SOLE 2713 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 144 538 SH SOLE 538 0 0 CELGENE CORP COM 151020104 143 1371 SH SOLE 1371 0 0 ISHARES TR CORE DIV GRWTH 46434V621 139 3999 SH SOLE 3999 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 139 703 SH SOLE 703 0 0 PRICE T ROWE GROUP INC COM 74144T108 138 1319 SH SOLE 1319 0 0 ALPHABET INC CAP STK CL A 02079K107 132 126 SH SOLE 126 0 0 ISHARES TR MSCI ACWI ETF 464288257 122 1688 SH SOLE 1688 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 120 1180 SH SOLE 1180 0 0 TOMPKINS FINANCIAL CORPORATI COM 890110109 117 1436 SH SOLE 1436 0 0 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 114 2360 SH SOLE 2360 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 113 2000 SH SOLE 2000 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 106 1179 SH SOLE 1179 0 0 PROCTER AND GAMBLE CO COM 742718109 103 1125 SH SOLE 1125 0 0 RAYTHEON CO COM NEW 755111507 103 550 SH SOLE 550 0 0 ISHARES TR MIN VOL USA ETF 46429B697 101 1920 SH SOLE 1920 0 0