0001214659-19-000678.txt : 20190201 0001214659-19-000678.hdr.sgml : 20190201 20190131201734 ACCESSION NUMBER: 0001214659-19-000678 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190201 DATE AS OF CHANGE: 20190131 EFFECTIVENESS DATE: 20190201 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: 19557412 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 12-31-2018 12-31-2018 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 01-31-2019 0 172 1131354 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 177 2446 SH SOLE 2446 0 0 ABBVIE INC COM 00287Y109 151 1634 SH SOLE 1634 0 0 ADOBE SYS INC COM 00724F101 306 1354 SH SOLE 1354 0 0 ALPHABET INC CAP STK CL A 02079K305 19918 19061 SH SOLE 19061 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 135 9920 SH SOLE 9920 0 0 AMAZON COM INC COM 023135106 19104 12719 SH SOLE 12719 0 0 ANTHEM INC COM 036752103 360 1371 SH SOLE 1371 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 964 67617 SH SOLE 67617 0 0 APPLE INC COM 037833100 20142 127694 SH SOLE 127694 0 0 AT&T INC COM 00206R102 134 4705 SH SOLE 4705 0 0 AVANGRID INC COM 05351W103 1225 24455 SH SOLE 24455 0 0 BANK AMER CORP COM 060505104 324 13161 SH SOLE 13161 0 0 BB&T CORP COM 054937107 324 7474 SH SOLE 7474 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 396 1938 SH SOLE 1938 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 3179 225763 SH SOLE 225763 0 0 BOEING CO COM 097023105 232 718 SH SOLE 718 0 0 CANOPY GROWTH CORP COM 138035100 104 3873 SH SOLE 3873 0 0 CATERPILLAR INC DEL COM 149123101 20739 163212 SH SOLE 163212 0 0 CDW CORP COM 12514G108 1177 14520 SH SOLE 14520 0 0 CENTENE CORP DEL COM 15135B101 963 8348 SH SOLE 8348 0 0 CHEVRON CORP NEW COM 166764100 1123 10324 SH SOLE 10324 0 0 CISCO SYS INC COM 17275R102 21141 487915 SH SOLE 487915 0 0 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 5859 750229 SH SOLE 750229 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 9708 932564 SH SOLE 932564 0 0 COCA COLA CO COM 191216100 155 3281 SH SOLE 3281 0 0 COMCAST CORP NEW CL A 20030N101 132 3887 SH SOLE 3887 0 0 CONSOLIDATED EDISON INC COM 209115104 106 1382 SH SOLE 1382 0 0 CVS HEALTH CORP COM 126650100 105 1596 SH SOLE 1596 0 0 DISCOVERY INC COM SER A 25470F104 1037 41931 SH SOLE 41931 0 0 DISNEY WALT CO COM DISNEY 254687106 21727 198150 SH SOLE 198150 0 0 DXC TECHNOLOGY CO COM 23355L106 188 3535 SH SOLE 3535 0 0 EAST WEST BANCORP INC COM 27579R104 866 19885 SH SOLE 19885 0 0 EOG RES INC COM 26875P101 18298 209820 SH SOLE 209820 0 0 EPAM SYS INC COM 29414B104 967 8333 SH SOLE 8333 0 0 EXELON CORP COM 30161N101 19684 436451 SH SOLE 436451 0 0 EXXON MOBIL CORP COM 30231G102 452 6631 SH SOLE 6631 0 0 FACEBOOK INC CL A 30303M102 148 1130 SH SOLE 1130 0 0 FEDEX CORP COM 31428X106 2529 15674 SH SOLE 15674 0 0 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1833 40265 SH SOLE 40265 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 2927 163048 SH SOLE 163048 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 100 13104 SH SOLE 13104 0 0 GALLAGHER ARTHUR J & CO COM 363576109 216 2937 SH SOLE 2937 0 0 GARRETT MOTION INC COM 366505105 134 10837 SH SOLE 10837 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 75586 1503012 SH SOLE 1503012 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 400 13275 SH SOLE 13275 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 216 8502 SH SOLE 8502 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 239 3322 SH SOLE 3322 0 0 HOME DEPOT INC COM 437076102 478 2781 SH SOLE 2781 0 0 HONEYWELL INTL INC COM 438516106 18814 142398 SH SOLE 142398 0 0 INTEL CORP COM 458140100 184 3931 SH SOLE 3931 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 22005 292116 SH SOLE 292116 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 228 2008 SH SOLE 2008 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 31215 1332283 SH SOLE 1332283 0 0 INVESCO EXCHANGE TRADED FD T RUSSEL 200 GWT 46137V431 183 4005 SH SOLE 4005 0 0 ISHARES INTL SEL DIV ETF 464288448 13233 460908 SH SOLE 460908 0 0 ISHARES EM MKTS DIV ETF 464286319 8476 226457 SH SOLE 226457 0 0 ISHARES S&P 500 GRWT ETF 464287309 4487 29782 SH SOLE 29782 0 0 ISHARES S&P 500 VAL ETF 464287408 3016 29820 SH SOLE 29820 0 0 ISHARES GOLD TRUST ISHARES 464285105 198 16113 SH SOLE 16113 0 0 ISHARES TR MIN VOL USA ETF 46429B697 37702 719495 SH SOLE 719495 0 0 ISHARES TR N AMER TECH ETF 464287549 33300 193929 SH SOLE 193929 0 0 ISHARES TR CORE MSCI INTL 46435G326 7662 156850 SH SOLE 156850 0 0 ISHARES TR IBONDS DEC2021 46435G789 5440 213777 SH SOLE 213777 0 0 ISHARES TR S&P SML 600 GWT 464287887 3556 22042 SH SOLE 22042 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3182 57846 SH SOLE 57846 0 0 ISHARES TR CORE S&P SCP ETF 464287804 1560 22503 SH SOLE 22503 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1512 10932 SH SOLE 10932 0 0 ISHARES TR S&P MC 400GR ETF 464287606 1438 7522 SH SOLE 7522 0 0 ISHARES TR CORE S&P500 ETF 464287200 995 3954 SH SOLE 3954 0 0 ISHARES TR IBONDS DEC2022 46435G755 985 38462 SH SOLE 38462 0 0 ISHARES TR SP SMCP600VL ETF 464287879 882 6686 SH SOLE 6686 0 0 ISHARES TR MSCI POLAND ETF 46429B655 649 12887 SH SOLE 12887 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 498 12758 SH SOLE 12758 0 0 ISHARES TR IBONDS SEP2020 46434V571 477 18801 SH SOLE 18801 0 0 ISHARES TR MSCI ACWI EX US 464288240 383 9121 SH SOLE 9121 0 0 ISHARES TR MSCI EAFE ETF 464287465 333 5665 SH SOLE 5665 0 0 ISHARES TR ETF MSCI USA 46435G425 222 4037 SH SOLE 4037 0 0 ISHARES TR ESG MSCI EAFE 46435G516 157 2742 SH SOLE 2742 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 121 925 SH SOLE 925 0 0 ISHARES TR MSCI HONG KG ETF 464286871 118 5227 SH SOLE 5227 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 107 963 SH SOLE 963 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 999 17094 SH SOLE 17094 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1625 53389 SH SOLE 53389 0 0 JOHN HANCOCK EXCHANGE TRADED MULTI INTL ETF 47804J859 488 19134 SH SOLE 19134 0 0 JOHNSON & JOHNSON COM 478160104 357 2763 SH SOLE 2763 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 6519 292091 SH SOLE 292091 0 0 JPMORGAN CHASE & CO COM 46625H100 3633 37219 SH SOLE 37219 0 0 KAR AUCTION SVCS INC COM 48238T109 841 17631 SH SOLE 17631 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 11370 826274 SH SOLE 826274 0 0 MASTERCARD INC CL A 57636Q104 21279 112798 SH SOLE 112798 0 0 MCDONALDS CORP COM 580135101 19883 111975 SH SOLE 111975 0 0 MICROSOFT CORP COM 594918104 4351 42838 SH SOLE 42838 0 0 NEXTERA ENERGY INC COM 65339F101 3997 22995 SH SOLE 22995 0 0 NIKE INC CL B 654106103 3815 51459 SH SOLE 51459 0 0 PFIZER INC COM 717081103 230 5259 SH SOLE 5259 0 0 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 1387 14039 SH SOLE 14039 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 227 4305 SH SOLE 4305 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 119 1180 SH SOLE 1180 0 0 PNC FINL SVCS GROUP INC COM 693475105 197 1682 SH SOLE 1682 0 0 POST HLDGS INC COM 737446104 1185 13292 SH SOLE 13292 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 46137V548 1098 77678 SH SOLE 77678 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 46138E743 1411 37605 SH SOLE 37605 0 0 PRICE T ROWE GROUP INC COM 74144T108 120 1300 SH SOLE 1300 0 0 PROCTER AND GAMBLE CO COM 742718109 134 1455 SH SOLE 1455 0 0 PROLOGIS INC COM 74340W103 19193 326850 SH SOLE 326850 0 0 RAYTHEON CO COM NEW 755111507 184 1201 SH SOLE 1201 0 0 RYDEX ETF TRUST GUG S&P 500 PU GR 46137V266 90253 905700 SH SOLE 905700 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 46137V175 917 8804 SH SOLE 8804 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 290 4864 SH SOLE 4864 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 39906 461292 SH SOLE 461292 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 32007 496919 SH SOLE 496919 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 867 13992 SH SOLE 13992 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 348 14601 SH SOLE 14601 0 0 SEMTECH CORP COM 816850101 1109 24184 SH SOLE 24184 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 17188 649833 SH SOLE 649833 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 16757 517817 SH SOLE 517817 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1771 59338 SH SOLE 59338 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1290 36910 SH SOLE 36910 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 138 554 SH SOLE 554 0 0 SPDR SER TR BLOMBERG BRC INV 78468R200 11741 386610 SH SOLE 386610 0 0 SPDR SER TR MSCI USA STRTGIC 78468R812 2640 36225 SH SOLE 36225 0 0 SPDR SER TR NUVEEN BRC MUNIC 78468R721 177 3683 SH SOLE 3683 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 11890 220425 SH SOLE 220425 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4110 92649 SH SOLE 92649 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3202 59494 SH SOLE 59494 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 3114 67927 SH SOLE 67927 0 0 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1574 56508 SH SOLE 56508 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1430 15972 SH SOLE 15972 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 716 9077 SH SOLE 9077 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 699 9748 SH SOLE 9748 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 4117 86905 SH SOLE 86905 0 0 STORE CAP CORP COM 862121100 1112 39270 SH SOLE 39270 0 0 STRYKER CORP COM 863667101 3690 23541 SH SOLE 23541 0 0 SVB FINL GROUP COM 78486Q101 832 4381 SH SOLE 4381 0 0 SYNEOS HEALTH INC CL A 87166B102 1024 26029 SH SOLE 26029 0 0 SYSCO CORP COM 871829107 853 13608 SH SOLE 13608 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 21708 97003 SH SOLE 97003 0 0 TOMPKINS FINANCIAL CORPORATI COM 890110109 108 1436 SH SOLE 1436 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 194 8097 SH SOLE 8097 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 16496 834377 SH SOLE 834377 0 0 UNITEDHEALTH GROUP INC COM 91324P102 22479 90233 SH SOLE 90233 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 277 11462 SH SOLE 11462 0 0 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 298 2151 SH SOLE 2151 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 367 4672 SH SOLE 4672 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 13383 136636 SH SOLE 136636 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 12098 90059 SH SOLE 90059 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2857 23872 SH SOLE 23872 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1952 20488 SH SOLE 20488 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1240 9395 SH SOLE 9395 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 894 7836 SH SOLE 7836 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 635 5525 SH SOLE 5525 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 576 5776 SH SOLE 5776 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2070 13744 SH SOLE 13744 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 445 3217 SH SOLE 3217 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 6681 175357 SH SOLE 175357 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 990 21710 SH SOLE 21710 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1229 14424 SH SOLE 14424 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 101 1036 SH SOLE 1036 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 55218 1488352 SH SOLE 1488352 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3469 44482 SH SOLE 44482 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 1007 8365 SH SOLE 8365 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 879 14815 SH SOLE 14815 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 216 3846 SH SOLE 3846 0 0 VISA INC COM CL A 92826C839 401 3041 SH SOLE 3041 0 0 WAL-MART STORES INC COM 931142103 21047 225944 SH SOLE 225944 0 0 WASTE CONNECTIONS INC COM 94106B101 1206 16248 SH SOLE 16248 0 0 WELLS FARGO CO NEW COM 949746101 233 5058 SH SOLE 5058 0 0 WISDOMTREE TR FLOATNG RAT TREA 97717X628 55839 2226417 SH SOLE 2226417 0 0 WISDOMTREE TR DEFA FD 97717W703 30350 651281 SH SOLE 651281 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 7870 248818 SH SOLE 248818 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 3632 148044 SH SOLE 148044 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 2779 65349 SH SOLE 65349 0 0