Chief Compliance Officer

0001214659-18-006566.txt : 20181018 0001214659-18-006566.hdr.sgml : 20181018 20181018161350 ACCESSION NUMBER: 0001214659-18-006566 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181018 DATE AS OF CHANGE: 20181018 EFFECTIVENESS DATE: 20181018 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: 181128475 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 09-30-2018 09-30-2018 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 Chief Compliance Officer 310-712-2323 /s/ Eric Rosen Los Angeles CA 10-18-2018 0 152 1111781 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 103 1408 SH SOLE 1408 0 0 ABBVIE INC COM 00287Y109 112 1181 SH SOLE 1181 0 0 ADOBE SYS INC COM 00724F101 366 1354 SH SOLE 1354 0 0 AETNA INC NEW COM 00817Y108 208 1023 SH SOLE 1023 0 0 ALIGN TECHNOLOGY INC COM 016255101 1264 3232 SH SOLE 3232 0 0 ALPHABET INC CAP STK CL A 02079K305 22075 18288 SH SOLE 18288 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 137 8420 SH SOLE 8420 0 0 AMAZON COM INC COM 023135106 5042 2517 SH SOLE 2517 0 0 ANTHEM INC COM 036752103 376 1370 SH SOLE 1370 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 1252 71558 SH SOLE 71558 0 0 APPLE INC COM 037833100 3081 13647 SH SOLE 13647 0 0 AT&T INC COM 00206R102 199 5924 SH SOLE 5924 0 0 AVANGRID INC COM 05351W103 1075 22419 SH SOLE 22419 0 0 BANK AMER CORP COM 060505104 22580 766451 SH SOLE 766451 0 0 BB&T CORP COM 054937107 363 7474 SH SOLE 7474 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 452 2113 SH SOLE 2113 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 3803 221105 SH SOLE 221105 0 0 BOEING CO COM 097023105 276 743 SH SOLE 743 0 0 CATERPILLAR INC DEL COM 149123101 23635 154995 SH SOLE 154995 0 0 CDW CORP COM 12514G108 1198 13478 SH SOLE 13478 0 0 CHEVRON CORP NEW COM 166764100 144 1178 SH SOLE 1178 0 0 CISCO SYS INC COM 17275R102 24538 504381 SH SOLE 504381 0 0 CLEARBRIDGE AMERN ENERG MLP COM 184691103 10793 1371430 SH SOLE 1371430 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 16267 1119528 SH SOLE 1119528 0 0 COCA COLA CO COM 191216100 128 2768 SH SOLE 2768 0 0 COMCAST CORP NEW CL A 20030N101 149 4206 SH SOLE 4206 0 0 COMERICA INC COM 200340107 1096 12153 SH SOLE 12153 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 169 2930 SH SOLE 2930 0 0 DIAMONDBACK ENERGY INC COM 25278X109 1257 9297 SH SOLE 9297 0 0 DISCOVERY INC COM SER A 25470F104 1245 38897 SH SOLE 38897 0 0 DISNEY WALT CO COM DISNEY 254687106 22664 193808 SH SOLE 193808 0 0 DXC TECHNOLOGY CO COM 23355L106 22961 245524 SH SOLE 245524 0 0 EAST WEST BANCORP INC COM 27579R104 1200 19885 SH SOLE 19885 0 0 ENTEGRIS INC COM 29362U104 941 32490 SH SOLE 32490 0 0 EOG RES INC COM 26875P101 23380 183269 SH SOLE 183269 0 0 EXXON MOBIL CORP COM 30231G102 534 6278 SH SOLE 6278 0 0 FACEBOOK INC CL A 30303M102 238 1447 SH SOLE 1447 0 0 FEDEX CORP COM 31428X106 3212 13338 SH SOLE 13338 0 0 GALLAGHER ARTHUR J & CO COM 363576109 251 3376 SH SOLE 3376 0 0 GENERAL ELECTRIC CO COM 369604103 153 13591 SH SOLE 13591 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 73707 1254579 SH SOLE 1254579 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 101 2025 SH SOLE 2025 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 22613 279935 SH SOLE 279935 0 0 HOME DEPOT INC COM 437076102 22585 109028 SH SOLE 109028 0 0 HONEYWELL INTL INC COM 438516106 22842 137271 SH SOLE 137271 0 0 INTEL CORP COM 458140100 159 3369 SH SOLE 3369 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 22134 295554 SH SOLE 295554 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 304 2008 SH SOLE 2008 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 112 605 SH SOLE 605 0 0 ISHARES INTL SEL DIV ETF 464288448 15246 467243 SH SOLE 467243 0 0 ISHARES EM MKTS DIV ETF 464286319 8784 225750 SH SOLE 225750 0 0 ISHARES S&P 500 GRWT ETF 464287309 5176 29214 SH SOLE 29214 0 0 ISHARES S&P 500 VAL ETF 464287408 3301 28499 SH SOLE 28499 0 0 ISHARES GOLD TRUST ISHARES 464285105 177 15513 SH SOLE 15513 0 0 ISHARES TR N AMER TECH ETF 464287549 39524 188766 SH SOLE 188766 0 0 ISHARES TR S&P SML 600 GWT 464287887 4015 19904 SH SOLE 19904 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3945 61558 SH SOLE 61558 0 0 ISHARES TR MSCI EAFE ETF 464287465 1813 26665 SH SOLE 26665 0 0 ISHARES TR CORE S&P SCP ETF 464287804 1699 19477 SH SOLE 19477 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1607 9602 SH SOLE 9602 0 0 ISHARES TR S&P MC 400GR ETF 464287606 1488 6386 SH SOLE 6386 0 0 ISHARES TR CORE S&P500 ETF 464287200 1278 4365 SH SOLE 4365 0 0 ISHARES TR SP SMCP600VL ETF 464287879 980 5868 SH SOLE 5868 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 772 17981 SH SOLE 17981 0 0 ISHARES TR MSCI ACWI EX US 464288240 435 9121 SH SOLE 9121 0 0 ISHARES TR CORE S&P MCP ETF 464287507 149 741 SH SOLE 741 0 0 ISHARES TR CORE S&P TTL STK 464287150 138 2070 SH SOLE 2070 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 126 808 SH SOLE 808 0 0 ISHARES TR MSCI HONG KG ETF 464286871 125 5227 SH SOLE 5227 0 0 ISHARES TR ETF MSCI USA 46435G425 125 1948 SH SOLE 1948 0 0 ISHARES TR MIN VOL USA ETF 46429B697 104 1827 SH SOLE 1827 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 103 811 SH SOLE 811 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 1177 15382 SH SOLE 15382 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1995 54670 SH SOLE 54670 0 0 JOHNSON & JOHNSON COM 478160104 511 3700 SH SOLE 3700 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 8243 300192 SH SOLE 300192 0 0 JPMORGAN CHASE & CO COM 46625H100 754 6680 SH SOLE 6680 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 7849 439699 SH SOLE 439699 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 1151 6628 SH SOLE 6628 0 0 MASTERCARD INC CL A 57636Q104 24219 108794 SH SOLE 108794 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 1153 16823 SH SOLE 16823 0 0 MICROSOFT CORP COM 594918104 4412 38574 SH SOLE 38574 0 0 MKS INSTRUMENT INC COM 55306N104 917 11437 SH SOLE 11437 0 0 NETFLIX INC COM 64110L106 134 359 SH SOLE 359 0 0 NEXTERA ENERGY INC COM 65339F101 3683 21975 SH SOLE 21975 0 0 NIKE INC CL B 654106103 178 2106 SH SOLE 2106 0 0 NVIDIA CORP COM 67066G104 124 441 SH SOLE 441 0 0 PFIZER INC COM 717081103 218 4944 SH SOLE 4944 0 0 PNC FINL SVCS GROUP INC COM 693475105 220 1612 SH SOLE 1612 0 0 POST HLDGS INC COM 737446104 1198 12223 SH SOLE 12223 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 46137V548 973 61786 SH SOLE 61786 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 46138E743 1658 38312 SH SOLE 38312 0 0 PRICE T ROWE GROUP INC COM 74144T108 142 1300 SH SOLE 1300 0 0 RYDEX ETF TRUST GUG S&P 500 PU GR 46137V266 107054 890190 SH SOLE 890190 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 46137V175 1186 8855 SH SOLE 8855 0 0 SAP SE SPON ADR 803054204 109 885 SH SOLE 885 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 566 8135 SH SOLE 8135 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 112 1477 SH SOLE 1477 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 42689 448649 SH SOLE 448649 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 38438 490286 SH SOLE 490286 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 778 10331 SH SOLE 10331 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 391 14187 SH SOLE 14187 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 7119 231361 SH SOLE 231361 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1928 62724 SH SOLE 62724 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1732 49739 SH SOLE 49739 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1380 36399 SH SOLE 36399 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 188 5035 SH SOLE 5035 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 139 479 SH SOLE 479 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 14086 208689 SH SOLE 208689 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4446 82751 SH SOLE 82751 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 3559 63608 SH SOLE 63608 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3515 51481 SH SOLE 51481 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 770 7732 SH SOLE 7732 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 701 7308 SH SOLE 7308 0 0 STRYKER CORP COM 863667101 3882 21847 SH SOLE 21847 0 0 SUNTRUST BKS INC COM 867914103 3224 48270 SH SOLE 48270 0 0 SYNOVUS FINL CORP COM NEW 87161C501 1047 22863 SH SOLE 22863 0 0 SYSCO CORP COM 871829107 23464 320326 SH SOLE 320326 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 23904 97935 SH SOLE 97935 0 0 TOMPKINS FINANCIAL CORPORATI COM 890110109 117 1436 SH SOLE 1436 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 250 8097 SH SOLE 8097 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 20789 864423 SH SOLE 864423 0 0 UNITEDHEALTH GROUP INC COM 91324P102 23341 87733 SH SOLE 87733 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 14855 134213 SH SOLE 134213 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 14142 87818 SH SOLE 87818 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 3607 25314 SH SOLE 25314 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2408 21296 SH SOLE 21296 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1643 10103 SH SOLE 10103 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 1082 7767 SH SOLE 7767 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 738 5525 SH SOLE 5525 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 372 3031 SH SOLE 3031 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2623 14002 SH SOLE 14002 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 623 3795 SH SOLE 3795 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 8073 196893 SH SOLE 196893 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 911 17498 SH SOLE 17498 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 114 1032 SH SOLE 1032 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 70884 1638170 SH SOLE 1638170 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 4035 46334 SH SOLE 46334 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 41659 600535 SH SOLE 600535 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 191 3585 SH SOLE 3585 0 0 VISA INC COM CL A 92826C839 449 2992 SH SOLE 2992 0 0 WAL-MART STORES INC COM 931142103 22961 244503 SH SOLE 244503 0 0 WASTE CONNECTIONS INC COM 94106B101 1201 15053 SH SOLE 15053 0 0 WELLS FARGO CO NEW COM 949746101 260 4953 SH SOLE 4953 0 0 WISDOMTREE TR DEFA FD 97717W703 36496 686922 SH SOLE 686922 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 9117 247211 SH SOLE 247211 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4295 144567 SH SOLE 144567 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 1696 35172 SH SOLE 35172 0 0 WISDOMTREE TR US SMALLCP ERNGS 97717W562 620 15573 SH SOLE 15573 0 0 WISDOMTREE TR US DIVD GRT FD 97717X669 112 2521 SH SOLE 2521 0 0 WISDOMTREE TR TOTAL DIVID FD 97717W109 105 1092 SH SOLE 1092 0 0 ZOETIS INC CL A 98978V103 112 1219 SH SOLE 1219 0 0