0001214659-18-002798.txt : 20180416 0001214659-18-002798.hdr.sgml : 20180416 20180413185850 ACCESSION NUMBER: 0001214659-18-002798 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180416 DATE AS OF CHANGE: 20180413 EFFECTIVENESS DATE: 20180416 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: 18755259 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 03-31-2018 03-31-2018 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/ Eric Rosen Los Angeles CA 04-13-2018 0 148 988721 INFORMATION TABLE 2 infotable.xml RYDEX ETF TRUST GUG S&P 500 PU GR 78355W403 106158 967004 SH SOLE 967004 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 62922 1421972 SH SOLE 1421972 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 40112 577403 SH SOLE 577403 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 38464 472535 SH SOLE 472535 0 0 ISHARES TR N AMER TECH ETF 464287549 37765 210474 SH SOLE 210474 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 36790 495225 SH SOLE 495225 0 0 WISDOMTREE TR DEFA FD 97717W703 36392 663369 SH SOLE 663369 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2020 HY 18383M365 29303 1203905 SH SOLE 1203905 0 0 MASTERCARD INC CL A 57636Q104 23172 132292 SH SOLE 132292 0 0 BANK AMER CORP COM 060505104 21810 727252 SH SOLE 727252 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 21010 289711 SH SOLE 289711 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 20387 98746 SH SOLE 98746 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 20250 257110 SH SOLE 257110 0 0 UNITEDHEALTH GROUP INC COM 91324P102 20186 94327 SH SOLE 94327 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 19767 935496 SH SOLE 935496 0 0 SYSCO CORP COM 871829107 19760 329554 SH SOLE 329554 0 0 ALPHABET INC CAP STK CL A 02079K305 19560 18860 SH SOLE 18860 0 0 EOG RES INC COM 26875P101 19375 184051 SH SOLE 184051 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 19000 346654 SH SOLE 346654 0 0 CATERPILLAR INC DEL COM 149123101 18834 127790 SH SOLE 127790 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 18675 284765 SH SOLE 284765 0 0 WAL-MART STORES INC COM 931142103 18292 205602 SH SOLE 205602 0 0 STATE STR CORP COM 857477103 17938 179866 SH SOLE 179866 0 0 DXC TECHNOLOGY CO COM 23355L106 17792 176977 SH SOLE 176977 0 0 CISCO SYS INC COM 17275R102 17554 409286 SH SOLE 409286 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 17075 165485 SH SOLE 165485 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 16154 113858 SH SOLE 113858 0 0 ISHARES INTL SEL DIV ETF 464288448 15370 465628 SH SOLE 465628 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 15170 1204926 SH SOLE 1204926 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 10177 43756 SH SOLE 43756 0 0 ISHARES EM MKTS DIV ETF 464286319 9546 220101 SH SOLE 220101 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 9021 547716 SH SOLE 547716 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8696 254854 SH SOLE 254854 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 8333 177373 SH SOLE 177373 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 7592 316338 SH SOLE 316338 0 0 ISHARES TR IBONDS SEP20 ETF 46434V571 5397 212833 SH SOLE 212833 0 0 CLEARBRIDGE AMERN ENERG MLP COM 184691103 5229 767899 SH SOLE 767899 0 0 ISHARES S&P 500 GRWT ETF 464287309 4767 30744 SH SOLE 30744 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 4238 51377 SH SOLE 51377 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 4222 268094 SH SOLE 268094 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4208 42305 SH SOLE 42305 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 4103 65046 SH SOLE 65046 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4060 148190 SH SOLE 148190 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3884 58960 SH SOLE 58960 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 3600 27775 SH SOLE 27775 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 3492 179422 SH SOLE 179422 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 3392 21548 SH SOLE 21548 0 0 AMAZON COM INC COM 023135106 3362 2323 SH SOLE 2323 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3258 26382 SH SOLE 26382 0 0 ISHARES S&P 500 VAL ETF 464287408 3227 29517 SH SOLE 29517 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 3225 60385 SH SOLE 60385 0 0 NORTHROP GRUMMAN CORP COM 666807102 2949 8448 SH SOLE 8448 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 2853 73424 SH SOLE 73424 0 0 NEXTERA ENERGY INC COM 65339F101 2796 17120 SH SOLE 17120 0 0 STRYKER CORP COM 863667101 2787 17317 SH SOLE 17317 0 0 ISHARES TR S&P SML 600 GWT 464287887 2670 15357 SH SOLE 15357 0 0 INTEL CORP COM 458140100 2665 51166 SH SOLE 51166 0 0 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2580 48926 SH SOLE 48926 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2568 15666 SH SOLE 15666 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2478 22650 SH SOLE 22650 0 0 SUNTRUST BKS INC COM 867914103 2319 34089 SH SOLE 34089 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 2238 63137 SH SOLE 63137 0 0 WISDOMTREE TR US DIVD GRT FD 97717X669 1939 48041 SH SOLE 48041 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 1857 12044 SH SOLE 12044 0 0 APPLE INC COM 037833100 1788 10655 SH SOLE 10655 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1774 51748 SH SOLE 51748 0 0 WISDOMTREE TR TOTAL DIVID FD 97717W109 1753 19663 SH SOLE 19663 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 1718 34506 SH SOLE 34506 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 1589 35586 SH SOLE 35586 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1577 39349 SH SOLE 39349 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1360 8802 SH SOLE 8802 0 0 ISHARES TR S&P MC 400GR ETF 464287606 1336 6117 SH SOLE 6117 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1273 13929 SH SOLE 13929 0 0 EAST WEST BANCORP INC COM 27579R104 1244 19885 SH SOLE 19885 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 1213 69058 SH SOLE 69058 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1121 16219 SH SOLE 16219 0 0 ISHARES TR MSCI EAFE ETF 464287465 1065 15282 SH SOLE 15282 0 0 ISHARES TR CORE S&P500 ETF 464287200 1026 3865 SH SOLE 3865 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 1020 7878 SH SOLE 7878 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 78355W809 1019 8855 SH SOLE 8855 0 0 COMERICA INC COM 200340107 1014 10567 SH SOLE 10567 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 1008 63980 SH SOLE 63980 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 987 6721 SH SOLE 6721 0 0 ALIGN TECHNOLOGY INC COM 016255101 963 3835 SH SOLE 3835 0 0 DIAMONDBACK ENERGY INC COM 25278X109 946 7477 SH SOLE 7477 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 935 19366 SH SOLE 19366 0 0 SYNOVUS FINL CORP COM NEW 87161C501 914 18296 SH SOLE 18296 0 0 PULTE GROUP INC COM 745867101 905 30677 SH SOLE 30677 0 0 WASTE CONNECTIONS INC COM 94106B101 897 12503 SH SOLE 12503 0 0 AGILENT TECHNOLOGIES IN COM 00846U101 877 13104 SH SOLE 13104 0 0 MKS INSTRUMENT INC COM 55306N104 873 7551 SH SOLE 7551 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 869 15983 SH SOLE 15983 0 0 AVANGRID INC COM 05351W103 868 16981 SH SOLE 16981 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 827 5115 SH SOLE 5115 0 0 ISHARES TR SP SMCP600VL ETF 464287879 805 5334 SH SOLE 5334 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 765 12330 SH SOLE 12330 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 743 18915 SH SOLE 18915 0 0 POST HLDGS INC COM 737446104 742 9794 SH SOLE 9794 0 0 HUNTSMAN CORP COM 447011107 738 25240 SH SOLE 25240 0 0 CDW CORP COM 12514G108 714 10155 SH SOLE 10155 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 672 6097 SH SOLE 6097 0 0 SPDR INDEX SHS FDS EMERG MKTS ETF 78463X509 650 16542 SH SOLE 16542 0 0 ISHARES TR IBONDS DEC21 ETF 46435G789 641 25253 SH SOLE 25253 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 582 6633 SH SOLE 6633 0 0 JOHNSON & JOHNSON COM 478160104 528 4121 SH SOLE 4121 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 520 5990 SH SOLE 5990 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 516 7893 SH SOLE 7893 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 502 8310 SH SOLE 8310 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 489 7257 SH SOLE 7257 0 0 EXXON MOBIL CORP COM 30231G102 483 6480 SH SOLE 6480 0 0 FACEBOOK INC CL A 30303M102 476 2980 SH SOLE 2980 0 0 ISHARES TR MSCI ACWI EX US 464288240 471 9482 SH SOLE 9482 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 448 5856 SH SOLE 5856 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 446 8452 SH SOLE 8452 0 0 AVAGO TECHNOLOGIES LTD SHS Y09827109 417 1769 SH SOLE 1769 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 415 17142 SH SOLE 17142 0 0 JPMORGAN CHASE & CO COM 46625H100 390 3548 SH SOLE 3548 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 385 3810 SH SOLE 3810 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 338 3031 SH SOLE 3031 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 311 2028 SH SOLE 2028 0 0 MICROSOFT CORP COM 594918104 308 3372 SH SOLE 3372 0 0 ISHARES TR CORE S&P SCP ETF 464287804 303 3929 SH SOLE 3929 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 297 14109 SH SOLE 14109 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 276 10003 SH SOLE 10003 0 0 AT&T INC COM 00206R102 273 7658 SH SOLE 7658 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 260 5418 SH SOLE 5418 0 0 MONSANTO CO NEW COM 61166W101 240 2059 SH SOLE 2059 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 232 8097 SH SOLE 8097 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 196 2152 SH SOLE 2152 0 0 AETNA INC NEW COM 00817Y108 171 1013 SH SOLE 1013 0 0 PFIZER INC COM 717081103 167 4716 SH SOLE 4716 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 166 2120 SH SOLE 2120 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 161 3360 SH SOLE 3360 0 0 PNC FINL SVCS GROUP INC COM 693475105 158 1047 SH SOLE 1047 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 154 1512 SH SOLE 1512 0 0 METLIFE INC COM 59156R108 150 3272 SH SOLE 3272 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 149 1862 SH SOLE 1862 0 0 HOME DEPOT INC COM 437076102 146 818 SH SOLE 818 0 0 PEPSICO INC COM 713448108 144 1318 SH SOLE 1318 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 140 703 SH SOLE 703 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 137 520 SH SOLE 520 0 0 GENERAL ELECTRIC CO COM 369604103 124 9196 SH SOLE 9196 0 0 VISA INC COM CL A 92826C839 119 992 SH SOLE 992 0 0 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 113 2360 SH SOLE 2360 0 0 BOEING CO COM 097023105 112 342 SH SOLE 342 0 0 TOMPKINS FINANCIAL CORPORATI COM 890110109 109 1436 SH SOLE 1436 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 103 2000 SH SOLE 2000 0 0 ISHARES TR USA ESG SLCT ETF 464288802 102 920 SH SOLE 920 0 0