0001214659-19-004903.txt : 20190801 0001214659-19-004903.hdr.sgml : 20190801 20190801125621 ACCESSION NUMBER: 0001214659-19-004903 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190801 DATE AS OF CHANGE: 20190801 EFFECTIVENESS DATE: 20190801 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: 19991921 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 06-30-2019 06-30-2019 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 07-31-2019 0 192 1309889 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 227 2701 SH SOLE 2701 0 0 ABBVIE INC COM 00287Y109 115 1584 SH SOLE 1584 0 0 ADOBE SYS INC COM 00724F101 395 1339 SH SOLE 1339 0 0 AES CORP COM 00130H105 1203 71781 SH SOLE 71781 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 25934 198002 SH SOLE 198002 0 0 ALPHABET INC CAP STK CL A 02079K305 1234 1140 SH SOLE 1140 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 202 10407 SH SOLE 10407 0 0 AMAZON COM INC COM 023135106 24986 13195 SH SOLE 13195 0 0 AMGEN INC COM 031162100 716 3888 SH SOLE 3888 0 0 ANTHEM INC COM 036752103 391 1386 SH SOLE 1386 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 932 58739 SH SOLE 58739 0 0 APPLE INC COM 037833100 26370 133234 SH SOLE 133234 0 0 AT&T INC COM 00206R102 186 5549 SH SOLE 5549 0 0 BANK AMER CORP COM 060505104 203 6999 SH SOLE 6999 0 0 BB&T CORP COM 054937107 365 7439 SH SOLE 7439 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 401 1880 SH SOLE 1880 0 0 BLACKROCK ENH CAP & INC FD COM 09256A109 3805 240838 SH SOLE 240838 0 0 BOEING CO COM 097023105 596 1636 SH SOLE 1636 0 0 BROADCOM INC COM 11135F101 113 392 SH SOLE 392 0 0 CANOPY GROWTH CORP COM 138035100 186 4604 SH SOLE 4604 0 0 CATERPILLAR INC DEL COM 149123101 333 2445 SH SOLE 2445 0 0 CDW CORP COM 12514G108 1366 12310 SH SOLE 12310 0 0 CHEVRON CORP NEW COM 166764100 25194 202458 SH SOLE 202458 0 0 CISCO SYS INC COM 17275R102 24515 447932 SH SOLE 447932 0 0 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 6892 749120 SH SOLE 749120 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 16635 1392039 SH SOLE 1392039 0 0 COCA COLA CO COM 191216100 143 2818 SH SOLE 2818 0 0 COLGATE PALMOLIVE CO COM 194162103 101 1408 SH SOLE 1408 0 0 COMCAST CORP NEW CL A 20030N101 23199 548695 SH SOLE 548695 0 0 CONOCOPHILLIPS COM 20825C104 1240 20335 SH SOLE 20335 0 0 CONSOLIDATED EDISON INC COM 209115104 120 1367 SH SOLE 1367 0 0 DISCOVERY INC COM SER A 25470F104 1376 44832 SH SOLE 44832 0 0 DISNEY WALT CO COM DISNEY 254687106 25735 184292 SH SOLE 184292 0 0 EAST WEST BANCORP INC COM 27579R104 931 19913 SH SOLE 19913 0 0 EOG RES INC COM 26875P101 224 2404 SH SOLE 2404 0 0 EPAM SYS INC COM 29414B104 1364 7879 SH SOLE 7879 0 0 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 201 6343 SH SOLE 6343 0 0 EXELON CORP COM 30161N101 23041 480627 SH SOLE 480627 0 0 EXXON MOBIL CORP COM 30231G102 435 5682 SH SOLE 5682 0 0 FACEBOOK INC CL A 30303M102 547 2836 SH SOLE 2836 0 0 FEDERAL REALTY INVT TR SH BEN INT NEW 313747206 141 1097 SH SOLE 1097 0 0 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 4617 237731 SH SOLE 237731 0 0 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 4085 74584 SH SOLE 74584 0 0 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 2002 42493 SH SOLE 42493 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 3040 156787 SH SOLE 156787 0 0 FISERV INC COM 337738108 24901 273162 SH SOLE 273162 0 0 FORD MTR CO DEL COM 345370860 118 11523 SH SOLE 11523 0 0 GALLAGHER ARTHUR J & CO COM 363576109 257 2937 SH SOLE 2937 0 0 GENERAL MOLY INC COM 370373102 34 98000 SH SOLE 98000 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 102018 1735880 SH SOLE 1735880 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 437 13301 SH SOLE 13301 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 175 6100 SH SOLE 6100 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 111 2000 SH SOLE 2000 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 113 2584 SH SOLE 2584 0 0 HILL ROM HLDGS INC COM 431475102 1281 12246 SH SOLE 12246 0 0 HOME DEPOT INC COM 437076102 187 901 SH SOLE 901 0 0 HONEYWELL INTL INC COM 438516106 25386 145404 SH SOLE 145404 0 0 INCYTE CORP COM 45337C102 1390 16363 SH SOLE 16363 0 0 INGERSOLL-RAND PLC SHS G47791101 4750 37498 SH SOLE 37498 0 0 INTEL CORP COM 458140100 130 2715 SH SOLE 2715 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 25104 292113 SH SOLE 292113 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 311 2258 SH SOLE 2258 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 35649 1479815 SH SOLE 1479815 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 499 20218 SH SOLE 20218 0 0 INVESCO EXCHANGE TRADED FD T RUSSEL 200 GWT 46137V431 191 3404 SH SOLE 3404 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 167 1433 SH SOLE 1433 0 0 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 119 2170 SH SOLE 2170 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 113 605 SH SOLE 605 0 0 ISHARES INTL SEL DIV ETF 464288448 14164 461065 SH SOLE 461065 0 0 ISHARES EM MKTS DIV ETF 464286319 10910 267472 SH SOLE 267472 0 0 ISHARES S&P 500 GRWT ETF 464287309 5462 30471 SH SOLE 30471 0 0 ISHARES S&P 500 VAL ETF 464287408 3557 30511 SH SOLE 30511 0 0 ISHARES GOLD TRUST ISHARES 464285105 209 15513 SH SOLE 15513 0 0 ISHARES TR MIN VOL USA ETF 46429B697 45790 741778 SH SOLE 741778 0 0 ISHARES TR N AMER TECH ETF 464287549 42138 195402 SH SOLE 195402 0 0 ISHARES TR CORE MSCI INTL 46435G326 7778 141900 SH SOLE 141900 0 0 ISHARES TR IBONDS DEC2023 46435G318 5727 222620 SH SOLE 222620 0 0 ISHARES TR S&P SML 600 GWT 464287887 4785 26223 SH SOLE 26223 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3454 56259 SH SOLE 56259 0 0 ISHARES TR CORE S&P SCP ETF 464287804 2121 27100 SH SOLE 27100 0 0 ISHARES TR IBONDS DEC 46435U697 1997 76058 SH SOLE 76058 0 0 ISHARES TR S&P MC 400GR ETF 464287606 1769 7819 SH SOLE 7819 0 0 ISHARES TR S&P MC 400VL ETF 464287705 1712 10736 SH SOLE 10736 0 0 ISHARES TR SP SMCP600VL ETF 464287879 1130 7601 SH SOLE 7601 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 482 11225 SH SOLE 11225 0 0 ISHARES TR ETF MSCI USA 46435G425 293 4544 SH SOLE 4544 0 0 ISHARES TR MSCI EAFE ETF 464287465 289 4397 SH SOLE 4397 0 0 ISHARES TR IBONDS SEP2020 46434V571 201 7860 SH SOLE 7860 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 175 1595 SH SOLE 1595 0 0 ISHARES TR CORE S&P500 ETF 464287200 172 585 SH SOLE 585 0 0 ISHARES TR ESG MSCI EAFE 46435G516 165 2559 SH SOLE 2559 0 0 ISHARES TR MSCI HONG KG ETF 464286871 135 5227 SH SOLE 5227 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 109 2142 SH SOLE 2142 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 1364 16162 SH SOLE 16162 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1580 43290 SH SOLE 43290 0 0 JOHN HANCOCK EXCHANGE TRADED MULTI INTL ETF 47804J859 477 16886 SH SOLE 16886 0 0 JOHNSON & JOHNSON COM 478160104 440 3159 SH SOLE 3159 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 7052 280849 SH SOLE 280849 0 0 JPMORGAN CHASE & CO COM 46625H100 4947 44246 SH SOLE 44246 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 12250 800117 SH SOLE 800117 0 0 LPL FINL HLDGS INC COM 50212V100 1356 16623 SH SOLE 16623 0 0 MASTERCARD INC CL A 57636Q104 26929 101798 SH SOLE 101798 0 0 MCDONALDS CORP COM 580135101 25377 122204 SH SOLE 122204 0 0 MERCK & CO INC COM 58933Y105 117 1395 SH SOLE 1395 0 0 MICROSOFT CORP COM 594918104 5870 43822 SH SOLE 43822 0 0 NETFLIX INC COM 64110L106 148 403 SH SOLE 403 0 0 NEXTERA ENERGY INC COM 65339F101 4677 22830 SH SOLE 22830 0 0 NIKE INC CL B 654106103 4365 51991 SH SOLE 51991 0 0 PEPSICO INC COM 713448108 118 902 SH SOLE 902 0 0 PFIZER INC COM 717081103 270 6225 SH SOLE 6225 0 0 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 1573 15694 SH SOLE 15694 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 236 4295 SH SOLE 4295 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 100 985 SH SOLE 985 0 0 PNC FINL SVCS GROUP INC COM 693475105 183 1331 SH SOLE 1331 0 0 POST HLDGS INC COM 737446104 1305 12549 SH SOLE 12549 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 46137V548 1126 68906 SH SOLE 68906 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 46138E743 1456 35832 SH SOLE 35832 0 0 PRICE T ROWE GROUP INC COM 74144T108 143 1300 SH SOLE 1300 0 0 PROCTER AND GAMBLE CO COM 742718109 210 1919 SH SOLE 1919 0 0 PROLOGIS INC COM 74340W103 26380 329332 SH SOLE 329332 0 0 PROOFPOINT INC COM 743424103 1276 10613 SH SOLE 10613 0 0 RAYTHEON CO COM NEW 755111507 195 1121 SH SOLE 1121 0 0 RYDEX ETF TRUST GUG S&P 500 PU GR 46137V266 114055 954831 SH SOLE 954831 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 46137V175 931 8374 SH SOLE 8374 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 228 3243 SH SOLE 3243 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 225 7011 SH SOLE 7011 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 154 5867 SH SOLE 5867 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 44913 484808 SH SOLE 484808 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 40079 517686 SH SOLE 517686 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 971 12446 SH SOLE 12446 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 745 12491 SH SOLE 12491 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 540 14694 SH SOLE 14694 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 29444 995050 SH SOLE 995050 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 20390 569710 SH SOLE 569710 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 2076 63642 SH SOLE 63642 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1336 33932 SH SOLE 33932 0 0 SPDR INDEX SHS FDS MSCI EMR MKT ETF 78470E205 121 1930 SH SOLE 1930 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1115 3806 SH SOLE 3806 0 0 SPDR SER TR MSCI USA STRTGIC 78468R812 3197 37114 SH SOLE 37114 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 15292 251057 SH SOLE 251057 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4625 90024 SH SOLE 90024 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 3821 70399 SH SOLE 70399 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3728 61439 SH SOLE 61439 0 0 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1820 62395 SH SOLE 62395 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1636 16215 SH SOLE 16215 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 725 6981 SH SOLE 6981 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 454 5171 SH SOLE 5171 0 0 SPDR SERIES TRUST BLOOMBERG BRC INV 78468R200 418 13611 SH SOLE 13611 0 0 SPDR SERIES TRUST NUVEEN BRC MUNIC 78468R721 185 3683 SH SOLE 3683 0 0 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 161 5140 SH SOLE 5140 0 0 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 155 4002 SH SOLE 4002 0 0 SPLUNK INC COM 848637104 126 1000 SH SOLE 1000 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 4653 94817 SH SOLE 94817 0 0 STORE CAP CORP COM 862121100 1311 39505 SH SOLE 39505 0 0 STRYKER CORP COM 863667101 4798 23337 SH SOLE 23337 0 0 SYSCO CORP COM 871829107 176 2493 SH SOLE 2493 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 26503 90244 SH SOLE 90244 0 0 TOTAL SYS SVCS INC COM 891906109 236 1843 SH SOLE 1843 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 221 8097 SH SOLE 8097 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 16797 752198 SH SOLE 752198 0 0 ULTA BEAUTY INC COM 90384S303 1259 3628 SH SOLE 3628 0 0 UNITEDHEALTH GROUP INC COM 91324P102 598 2453 SH SOLE 2453 0 0 VANECK VECTORS ETF TR SHORT HIGH YIELD 92189F387 277 11057 SH SOLE 11057 0 0 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 342 2186 SH SOLE 2186 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 277 3437 SH SOLE 3437 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 16592 149589 SH SOLE 149589 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 15375 94100 SH SOLE 94100 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2918 19545 SH SOLE 19545 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2115 18995 SH SOLE 18995 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1302 8308 SH SOLE 8308 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 1021 7825 SH SOLE 7825 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 375 3160 SH SOLE 3160 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2367 12710 SH SOLE 12710 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 533 3188 SH SOLE 3188 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 7543 177357 SH SOLE 177357 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1309 25667 SH SOLE 25667 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1434 14808 SH SOLE 14808 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 120 1039 SH SOLE 1039 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 57492 1378368 SH SOLE 1378368 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3855 44115 SH SOLE 44115 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 1170 8022 SH SOLE 8022 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 208 3017 SH SOLE 3017 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 224 3915 SH SOLE 3915 0 0 VISA INC COM CL A 92826C839 480 2766 SH SOLE 2766 0 0 WAL-MART STORES INC COM 931142103 26134 236530 SH SOLE 236530 0 0 WASTE CONNECTIONS INC COM 94106B101 1353 14157 SH SOLE 14157 0 0 WELLS FARGO CO NEW COM 949746101 220 4658 SH SOLE 4658 0 0 WISDOMTREE TR DEFA FD 97717W703 33384 654450 SH SOLE 654450 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8271 228467 SH SOLE 228467 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4390 161919 SH SOLE 161919 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 2749 58356 SH SOLE 58356 0 0 ZOETIS INC CL A 98978V103 119 1052 SH SOLE 1052 0 0