0001214659-18-004945.txt : 20180724 0001214659-18-004945.hdr.sgml : 20180724 20180724134930 ACCESSION NUMBER: 0001214659-18-004945 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180724 DATE AS OF CHANGE: 20180724 EFFECTIVENESS DATE: 20180724 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: 18966242 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 06-30-2018 06-30-2018 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 07-23-2018 0 160 1060522 INFORMATION TABLE 2 infotable.xml ADOBE SYS INC COM 00724F101 107 439 SH SOLE 439 0 0 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 113 2360 SH SOLE 2360 0 0 AETNA INC NEW COM 00817Y108 185 1008 SH SOLE 1008 0 0 ALIGN TECHNOLOGY INC COM 016255101 1350 3947 SH SOLE 3947 0 0 ALPHABET INC CAP STK CL A 02079K305 21967 19454 SH SOLE 19454 0 0 AMAZON COM INC COM 023135106 3655 2150 SH SOLE 2150 0 0 ANTHEM INC COM 036752103 324 1360 SH SOLE 1360 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 1279 71558 SH SOLE 71558 0 0 APPLE INC COM 037833100 2023 10931 SH SOLE 10931 0 0 AT&T INC COM 00206R102 222 6911 SH SOLE 6911 0 0 AVAGO TECHNOLOGIES LTD SHS 11135F101 146 600 SH SOLE 600 0 0 AVANGRID INC COM 05351W103 1058 19984 SH SOLE 19984 0 0 BANK AMER CORP COM 060505104 20998 744858 SH SOLE 744858 0 0 BB&T CORP COM 054937107 432 8559 SH SOLE 8559 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 131 703 SH SOLE 703 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 4110 253409 SH SOLE 253409 0 0 BOEING CO COM 097023105 118 353 SH SOLE 353 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 204 3555 SH SOLE 3555 0 0 CATERPILLAR INC DEL COM 149123101 18271 134670 SH SOLE 134670 0 0 CDW CORP COM 12514G108 1033 12786 SH SOLE 12786 0 0 CISCO SYS INC COM 17275R102 19109 444075 SH SOLE 444075 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BUL 2020 HY 46138J601 30359 1251913 SH SOLE 1251913 0 0 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 46138J502 209 9943 SH SOLE 9943 0 0 CLEARBRIDGE AMERN ENERG MLP COM 184691103 7990 1058256 SH SOLE 1058256 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 16595 1174444 SH SOLE 1174444 0 0 COCA COLA CO COM 191216100 116 2643 SH SOLE 2643 0 0 COMERICA INC COM 200340107 1066 11721 SH SOLE 11721 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 18370 370815 SH SOLE 370815 0 0 DIAMONDBACK ENERGY INC COM 25278X109 1138 8647 SH SOLE 8647 0 0 DXC TECHNOLOGY CO COM 23355L106 15600 193529 SH SOLE 193529 0 0 EAST WEST BANCORP INC COM 27579R104 1296 19885 SH SOLE 19885 0 0 ENTEGRIS INC COM 29362U104 955 28170 SH SOLE 28170 0 0 EOG RES INC COM 26875P101 23495 188824 SH SOLE 188824 0 0 EXXON MOBIL CORP COM 30231G102 509 6158 SH SOLE 6158 0 0 FACEBOOK INC CL A 30303M102 269 1382 SH SOLE 1382 0 0 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1995 41757 SH SOLE 41757 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 3468 181971 SH SOLE 181971 0 0 GALLAGHER ARTHUR J & CO COM 363576109 359 5500 SH SOLE 5500 0 0 GENERAL ELECTRIC CO COM 369604103 194 14256 SH SOLE 14256 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 57857 1056754 SH SOLE 1056754 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 102 2000 SH SOLE 2000 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 21009 265402 SH SOLE 265402 0 0 HOME DEPOT INC COM 437076102 18994 97355 SH SOLE 97355 0 0 HUNTSMAN CORP COM 447011107 913 31266 SH SOLE 31266 0 0 INTEL CORP COM 458140100 2972 59777 SH SOLE 59777 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 21967 298663 SH SOLE 298663 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 282 2018 SH SOLE 2018 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 104 605 SH SOLE 605 0 0 ISHARES INTL SEL DIV ETF 464288448 15109 471428 SH SOLE 471428 0 0 ISHARES EM MKTS DIV ETF 464286319 8821 224045 SH SOLE 224045 0 0 ISHARES S&P 500 GRWT ETF 464287309 4307 26487 SH SOLE 26487 0 0 ISHARES S&P 500 VAL ETF 464287408 3052 27713 SH SOLE 27713 0 0 ISHARES GOLD TRUST ISHARES 464285105 186 15513 SH SOLE 15513 0 0 ISHARES TR N AMER TECH ETF 464287549 35696 185061 SH SOLE 185061 0 0 ISHARES TR IBONDS SEP20 ETF 46434V571 5307 209095 SH SOLE 209095 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3707 58505 SH SOLE 58505 0 0 ISHARES TR S&P SML 600 GWT 464287887 3328 17613 SH SOLE 17613 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1449 8944 SH SOLE 8944 0 0 ISHARES TR S&P MC 400GR ETF 464287606 1379 6134 SH SOLE 6134 0 0 ISHARES TR CORE S&P SCP ETF 464287804 1290 15455 SH SOLE 15455 0 0 ISHARES TR MSCI EAFE ETF 464287465 1010 15082 SH SOLE 15082 0 0 ISHARES TR IBONDS DEC21 ETF 46435G789 919 36124 SH SOLE 36124 0 0 ISHARES TR SP SMCP600VL ETF 464287879 900 5509 SH SOLE 5509 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 846 19524 SH SOLE 19524 0 0 ISHARES TR MSCI ACWI EX US 464288240 448 9482 SH SOLE 9482 0 0 ISHARES TR CORE S&P500 ETF 464287200 344 1261 SH SOLE 1261 0 0 ISHARES TR MSCI HONG KG ETF 464286871 127 5227 SH SOLE 5227 0 0 ISHARES TR IBONDS DEC22 ETF 46435G755 107 4207 SH SOLE 4207 0 0 ISHARES TR MSCI USA ESG SLC 464288802 103 913 SH SOLE 913 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1827 52436 SH SOLE 52436 0 0 JOHNSON & JOHNSON COM 478160104 453 3737 SH SOLE 3737 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 8239 309970 SH SOLE 309970 0 0 JPMORGAN CHASE & CO COM 46625H100 468 4491 SH SOLE 4491 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 9542 506452 SH SOLE 506452 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 1069 5957 SH SOLE 5957 0 0 MASTERCARD INC CL A 57636Q104 24886 126635 SH SOLE 126635 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 997 14971 SH SOLE 14971 0 0 MICROSOFT CORP COM 594918104 636 6445 SH SOLE 6445 0 0 MKS INSTRUMENT INC COM 55306N104 893 9333 SH SOLE 9333 0 0 NETFLIX INC COM 64110L106 124 317 SH SOLE 317 0 0 NEXTERA ENERGY INC COM 65339F101 3387 20277 SH SOLE 20277 0 0 NORTHROP GRUMMAN CORP COM 666807102 2998 9742 SH SOLE 9742 0 0 PEPSICO INC COM 713448108 112 1032 SH SOLE 1032 0 0 PERSPECTA INC COM 715347100 1867 90857 SH SOLE 90857 0 0 PFIZER INC COM 717081103 148 4071 SH SOLE 4071 0 0 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 1112 11155 SH SOLE 11155 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 458 8671 SH SOLE 8671 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 154 1512 SH SOLE 1512 0 0 PNC FINL SVCS GROUP INC COM 693475105 141 1047 SH SOLE 1047 0 0 POST HLDGS INC COM 737446104 1023 11891 SH SOLE 11891 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 46137V548 996 63797 SH SOLE 63797 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 46138E743 1561 36319 SH SOLE 36319 0 0 PRICE T ROWE GROUP INC COM 74144T108 151 1300 SH SOLE 1300 0 0 PULTE GROUP INC COM 745867101 1020 35466 SH SOLE 35466 0 0 RYDEX ETF TRUST GUG S&P 500 PU GR 46137V266 100552 876196 SH SOLE 876196 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 46137V175 1147 9030 SH SOLE 9030 0 0 SAP SE SPON ADR 803054204 102 885 SH SOLE 885 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 877 13497 SH SOLE 13497 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 226 3070 SH SOLE 3070 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 40132 480856 SH SOLE 480856 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 36261 506229 SH SOLE 506229 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 656 9439 SH SOLE 9439 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 313 11776 SH SOLE 11776 0 0 SOUTHWESTERN ENERGY CO COM 845467109 175 33000 SH SOLE 33000 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1876 61252 SH SOLE 61252 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1397 36468 SH SOLE 36468 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 679 19224 SH SOLE 19224 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 549 14824 SH SOLE 14824 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 133 490 SH SOLE 490 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 260 5418 SH SOLE 5418 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 12464 197213 SH SOLE 197213 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4309 82818 SH SOLE 82818 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 3498 64766 SH SOLE 64766 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3406 50989 SH SOLE 50989 0 0 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1657 59414 SH SOLE 59414 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 581 6103 SH SOLE 6103 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 522 5990 SH SOLE 5990 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 285 4672 SH SOLE 4672 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 2837 59665 SH SOLE 59665 0 0 STATE STR CORP COM 857477103 18066 194067 SH SOLE 194067 0 0 STRYKER CORP COM 863667101 3375 19989 SH SOLE 19989 0 0 SUNTRUST BKS INC COM 867914103 2870 43479 SH SOLE 43479 0 0 SYNOVUS FINL CORP COM NEW 87161C501 1098 20787 SH SOLE 20787 0 0 SYSCO CORP COM 871829107 23093 338156 SH SOLE 338156 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 21132 102020 SH SOLE 102020 0 0 TOMPKINS FINANCIAL CORPORATI COM 890110109 123 1436 SH SOLE 1436 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 260 8097 SH SOLE 8097 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 20821 908438 SH SOLE 908438 0 0 UNITEDHEALTH GROUP INC COM 91324P102 23436 95525 SH SOLE 95525 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 388 15826 SH SOLE 15826 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 206 2632 SH SOLE 2632 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 134 1688 SH SOLE 1688 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 13485 129878 SH SOLE 129878 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 12913 86198 SH SOLE 86198 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 3571 26566 SH SOLE 26566 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2446 22142 SH SOLE 22142 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1355 8705 SH SOLE 8705 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 1035 7620 SH SOLE 7620 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 365 3101 SH SOLE 3101 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2624 14925 SH SOLE 14925 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 429 2721 SH SOLE 2721 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 7695 182350 SH SOLE 182350 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 722 13929 SH SOLE 13929 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1255 14332 SH SOLE 14332 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 105 1030 SH SOLE 1030 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 69959 1630735 SH SOLE 1630735 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 4057 48848 SH SOLE 48848 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 39405 584216 SH SOLE 584216 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 151 3010 SH SOLE 3010 0 0 VISA INC COM CL A 92826C839 180 1357 SH SOLE 1357 0 0 WAL-MART STORES INC COM 931142103 18994 221763 SH SOLE 221763 0 0 WASTE CONNECTIONS INC COM 94106B101 1078 14324 SH SOLE 14324 0 0 WISDOMTREE TR DEFA FD 97717W703 34975 663026 SH SOLE 663026 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8982 250888 SH SOLE 250888 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4375 147558 SH SOLE 147558 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 1637 34262 SH SOLE 34262 0 0 WISDOMTREE TR US SMALLCP ERNGS 97717W562 704 18183 SH SOLE 18183 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 190 2640 SH SOLE 2640 0 0 WISDOMTREE TR US DIVD GRT FD 97717X669 114 2774 SH SOLE 2774 0 0 WISDOMTREE TR TOTAL DIVID FD 97717W109 110 1205 SH SOLE 1205 0 0