0001214659-19-003083.txt : 20190501 0001214659-19-003083.hdr.sgml : 20190501 20190501122106 ACCESSION NUMBER: 0001214659-19-003083 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190501 DATE AS OF CHANGE: 20190501 EFFECTIVENESS DATE: 20190501 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: 19785877 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 03-31-2019 03-31-2019 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 04-30-2019 0 163 1170104 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 196 2446 SH SOLE 2446 0 0 ABBVIE INC COM 00287Y109 132 1634 SH SOLE 1634 0 0 ADOBE SYS INC COM 00724F101 361 1354 SH SOLE 1354 0 0 AES CORP COM 00130H105 1216 67277 SH SOLE 67277 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 22411 165790 SH SOLE 165790 0 0 ALPHABET INC CAP STK CL A 02079K305 23025 19564 SH SOLE 19564 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 206 9920 SH SOLE 9920 0 0 AMAZON COM INC COM 023135106 23785 13357 SH SOLE 13357 0 0 ANTHEM INC COM 036752103 400 1396 SH SOLE 1396 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 1075 65977 SH SOLE 65977 0 0 APPLE INC COM 037833100 26473 139369 SH SOLE 139369 0 0 AT&T INC COM 00206R102 207 6588 SH SOLE 6588 0 0 BANK AMER CORP COM 060505104 240 8685 SH SOLE 8685 0 0 BB&T CORP COM 054937107 346 7439 SH SOLE 7439 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 392 1950 SH SOLE 1950 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 3742 237290 SH SOLE 237290 0 0 BOEING CO COM 097023105 338 886 SH SOLE 886 0 0 CANOPY GROWTH CORP COM 138035100 174 4015 SH SOLE 4015 0 0 CATERPILLAR INC DEL COM 149123101 694 5126 SH SOLE 5126 0 0 CDW CORP COM 12514G108 1288 13366 SH SOLE 13366 0 0 CHEVRON CORP NEW COM 166764100 22613 183580 SH SOLE 183580 0 0 CISCO SYS INC COM 17275R102 25556 473348 SH SOLE 473348 0 0 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 7243 753682 SH SOLE 753682 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 15201 1200730 SH SOLE 1200730 0 0 COCA COLA CO COM 191216100 144 3081 SH SOLE 3081 0 0 CONOCOPHILLIPS COM 20825C104 1163 17428 SH SOLE 17428 0 0 CONSOLIDATED EDISON INC COM 209115104 116 1367 SH SOLE 1367 0 0 DISCOVERY INC COM SER A 25470F104 1191 44081 SH SOLE 44081 0 0 DISNEY WALT CO COM DISNEY 254687106 22824 205566 SH SOLE 205566 0 0 DXC TECHNOLOGY CO COM 23355L106 118 1830 SH SOLE 1830 0 0 EAST WEST BANCORP INC COM 27579R104 955 19913 SH SOLE 19913 0 0 EOG RES INC COM 26875P101 394 4143 SH SOLE 4143 0 0 EPAM SYS INC COM 29414B104 1320 7803 SH SOLE 7803 0 0 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 152 4170 SH SOLE 4170 0 0 EXELON CORP COM 30161N101 23340 465594 SH SOLE 465594 0 0 EXXON MOBIL CORP COM 30231G102 520 6431 SH SOLE 6431 0 0 FACEBOOK INC CL A 30303M102 179 1075 SH SOLE 1075 0 0 FEDERAL REALTY INVT TR SH BEN INT NEW 313747206 106 766 SH SOLE 766 0 0 FEDEX CORP COM 31428X106 102 561 SH SOLE 561 0 0 FISERV INC COM 337738108 23227 263105 SH SOLE 263105 0 0 GALLAGHER ARTHUR J & CO COM 363576109 229 2937 SH SOLE 2937 0 0 GARRETT MOTION INC COM 366505105 262 17811 SH SOLE 17811 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 92886 1634456 SH SOLE 1634456 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 396 12157 SH SOLE 12157 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 176 6272 SH SOLE 6272 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 156 1876 SH SOLE 1876 0 0 HOME DEPOT INC COM 437076102 265 1381 SH SOLE 1381 0 0 HONEYWELL INTL INC COM 438516106 24457 153893 SH SOLE 153893 0 0 INCYTE CORP COM 45337C102 1152 13398 SH SOLE 13398 0 0 INGERSOLL-RAND PLC SHS G47791101 3928 36391 SH SOLE 36391 0 0 INTEL CORP COM 458140100 188 3506 SH SOLE 3506 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 23017 302305 SH SOLE 302305 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 276 1958 SH SOLE 1958 0 0 INVESCO EXCHANGE TRADED FD T RUSSEL 200 GWT 46137V431 232 4339 SH SOLE 4339 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 134 1280 SH SOLE 1280 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 179 997 SH SOLE 997 0 0 ISHARES INTL SEL DIV ETF 464288448 13858 449061 SH SOLE 449061 0 0 ISHARES EM MKTS DIV ETF 464286319 9883 245774 SH SOLE 245774 0 0 ISHARES S&P 500 GRWT ETF 464287309 4794 27816 SH SOLE 27816 0 0 ISHARES S&P 500 VAL ETF 464287408 3129 27757 SH SOLE 27757 0 0 ISHARES GOLD TRUST ISHARES 464285105 192 15513 SH SOLE 15513 0 0 ISHARES TR MIN VOL USA ETF 46429B697 42608 724633 SH SOLE 724633 0 0 ISHARES TR N AMER TECH ETF 464287549 39710 192572 SH SOLE 192572 0 0 ISHARES TR CORE MSCI INTL 46435G326 7728 142715 SH SOLE 142715 0 0 ISHARES TR S&P SML 600 GWT 464287887 4337 24301 SH SOLE 24301 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3105 51091 SH SOLE 51091 0 0 ISHARES TR CORE S&P SCP ETF 464287804 1866 24188 SH SOLE 24188 0 0 ISHARES TR S&P MC 400GR ETF 464287606 1698 7750 SH SOLE 7750 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1678 10692 SH SOLE 10692 0 0 ISHARES TR CORE S&P500 ETF 464287200 1140 4007 SH SOLE 4007 0 0 ISHARES TR SP SMCP600VL ETF 464287879 1068 7240 SH SOLE 7240 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 473 11025 SH SOLE 11025 0 0 ISHARES TR ETF MSCI USA 46435G425 264 4252 SH SOLE 4252 0 0 ISHARES TR MSCI EAFE ETF 464287465 259 3997 SH SOLE 3997 0 0 ISHARES TR ESG MSCI EAFE 46435G516 152 2407 SH SOLE 2407 0 0 ISHARES TR MSCI HONG KG ETF 464286871 137 5227 SH SOLE 5227 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 1351 17967 SH SOLE 17967 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1567 44587 SH SOLE 44587 0 0 JOHN HANCOCK EXCHANGE TRADED MULTI INTL ETF 47804J859 467 16634 SH SOLE 16634 0 0 JOHNSON & JOHNSON COM 478160104 320 2289 SH SOLE 2289 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 7300 286174 SH SOLE 286174 0 0 JPMORGAN CHASE & CO COM 46625H100 4365 43121 SH SOLE 43121 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 13061 814789 SH SOLE 814789 0 0 LPL FINL HLDGS INC COM 50212V100 1118 16058 SH SOLE 16058 0 0 MASTERCARD INC CL A 57636Q104 25254 107260 SH SOLE 107260 0 0 MCDONALDS CORP COM 580135101 22649 119267 SH SOLE 119267 0 0 MICROSOFT CORP COM 594918104 5365 45491 SH SOLE 45491 0 0 NEXTERA ENERGY INC COM 65339F101 4320 22344 SH SOLE 22344 0 0 NIKE INC CL B 654106103 4181 49650 SH SOLE 49650 0 0 PFIZER INC COM 717081103 220 5184 SH SOLE 5184 0 0 PNC FINL SVCS GROUP INC COM 693475105 194 1582 SH SOLE 1582 0 0 POST HLDGS INC COM 737446104 1348 12325 SH SOLE 12325 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 46137V548 1060 66743 SH SOLE 66743 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 46138E743 1443 35616 SH SOLE 35616 0 0 PRICE T ROWE GROUP INC COM 74144T108 130 1300 SH SOLE 1300 0 0 PROCTER AND GAMBLE CO COM 742718109 120 1155 SH SOLE 1155 0 0 PROLOGIS INC COM 74340W103 24350 338424 SH SOLE 338424 0 0 RAYTHEON CO COM NEW 755111507 204 1121 SH SOLE 1121 0 0 RYDEX ETF TRUST GUG S&P 500 PU GR 46137V266 107066 925219 SH SOLE 925219 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 46137V175 928 8196 SH SOLE 8196 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 254 3759 SH SOLE 3759 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 43021 468894 SH SOLE 468894 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 37906 505218 SH SOLE 505218 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 939 12684 SH SOLE 12684 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 313 8644 SH SOLE 8644 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 258 4429 SH SOLE 4429 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 112 4337 SH SOLE 4337 0 0 SEMTECH CORP COM 816850101 1162 22829 SH SOLE 22829 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 24274 831013 SH SOLE 831013 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 19111 534412 SH SOLE 534412 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1920 60682 SH SOLE 60682 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1295 34039 SH SOLE 34039 0 0 SPDR INDEX SHS FDS MSCI EMR MKT ETF 78470E205 101 1617 SH SOLE 1617 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 924 3272 SH SOLE 3272 0 0 SPDR SER TR MSCI USA STRTGIC 78468R812 2848 34253 SH SOLE 34253 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 14027 234955 SH SOLE 234955 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4474 88805 SH SOLE 88805 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 3570 67939 SH SOLE 67939 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3557 58991 SH SOLE 58991 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1675 16845 SH SOLE 16845 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 724 7884 SH SOLE 7884 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 247 2733 SH SOLE 2733 0 0 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 155 5132 SH SOLE 5132 0 0 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 120 3225 SH SOLE 3225 0 0 STORE CAP CORP COM 862121100 1299 38781 SH SOLE 38781 0 0 STRYKER CORP COM 863667101 4503 22795 SH SOLE 22795 0 0 SYNEOS HEALTH INC CL A 87166B102 1397 26985 SH SOLE 26985 0 0 SYSCO CORP COM 871829107 311 4657 SH SOLE 4657 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 25399 92791 SH SOLE 92791 0 0 TOMPKINS FINANCIAL CORPORATI COM 890110109 109 1436 SH SOLE 1436 0 0 TOTAL SYS SVCS INC COM 891906109 175 1843 SH SOLE 1843 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 200 8097 SH SOLE 8097 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 18535 815802 SH SOLE 815802 0 0 ULTA BEAUTY INC COM 90384S303 1373 3936 SH SOLE 3936 0 0 UNITEDHEALTH GROUP INC COM 91324P102 920 3720 SH SOLE 3720 0 0 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 342 2228 SH SOLE 2228 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 15602 144957 SH SOLE 144957 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 14247 91082 SH SOLE 91082 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2763 19353 SH SOLE 19353 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 1915 17756 SH SOLE 17756 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1340 8766 SH SOLE 8766 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 883 6861 SH SOLE 6861 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 617 4750 SH SOLE 4750 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 396 3430 SH SOLE 3430 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2178 12117 SH SOLE 12117 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 517 3214 SH SOLE 3214 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 7969 187498 SH SOLE 187498 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 975 19438 SH SOLE 19438 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 114 1036 SH SOLE 1036 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 57321 1402524 SH SOLE 1402524 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3762 43919 SH SOLE 43919 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 1154 8246 SH SOLE 8246 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 390 6049 SH SOLE 6049 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 271 4580 SH SOLE 4580 0 0 VISA INC COM CL A 92826C839 441 2821 SH SOLE 2821 0 0 WAL-MART STORES INC COM 931142103 22703 232777 SH SOLE 232777 0 0 WASTE CONNECTIONS INC COM 94106B101 1344 15175 SH SOLE 15175 0 0 WELLS FARGO CO NEW COM 949746101 225 4658 SH SOLE 4658 0 0 WISDOMTREE TR DEFA FD 97717W703 32710 646061 SH SOLE 646061 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8114 226703 SH SOLE 226703 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4237 153850 SH SOLE 153850 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 2702 58285 SH SOLE 58285 0 0 ZOETIS INC CL A 98978V103 106 1052 SH SOLE 1052 0 0