Chief Compliance Officer

0001214659-20-000976.txt : 20200206 0001214659-20-000976.hdr.sgml : 20200206 20200205195351 ACCESSION NUMBER: 0001214659-20-000976 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200206 DATE AS OF CHANGE: 20200205 EFFECTIVENESS DATE: 20200206 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: 20580506 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 12-31-2019 12-31-2019 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 Chief Compliance Officer 310-712-2323 /s/ Eric Rosen Los Angeles CA 02-05-2020 0 191 1619536 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 236 2721 SH SOLE 2721 0 0 ABBVIE INC COM 00287Y109 163 1836 SH SOLE 1836 0 0 ADOBE SYS INC COM 00724F101 442 1339 SH SOLE 1339 0 0 ALPHABET INC CAP STK CL A 02079K305 501 374 SH SOLE 374 0 0 ALPHABET INC CAP STK CL C 02079K107 110 82 SH SOLE 82 0 0 ALTRIA GROUP INC COM 02209S103 102 2042 SH SOLE 2042 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 120 5586 SH SOLE 5586 0 0 AMAZON COM INC COM 023135106 1223 662 SH SOLE 662 0 0 AMGEN INC COM 031162100 1139 4727 SH SOLE 4727 0 0 ANTHEM INC COM 036752103 532 1761 SH SOLE 1761 0 0 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 737 45365 SH SOLE 45365 0 0 APPLE INC COM 037833100 34163 116339 SH SOLE 116339 0 0 APPLIED MATLS INC COM 038222105 25365 415547 SH SOLE 415547 0 0 AT&T INC COM 00206R102 177 4520 SH SOLE 4520 0 0 AXSOME THERAPEUTICS INC COM 05464T104 272 2632 SH SOLE 2632 0 0 BAKER HUGHES COMPANY CL A 05722G100 1481 57796 SH SOLE 57796 0 0 BANK AMER CORP COM 060505104 236 6698 SH SOLE 6698 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 520 2295 SH SOLE 2295 0 0 BOEING CO COM 097023105 319 978 SH SOLE 978 0 0 BOOKING HLDGS INC COM 09857L108 23719 11549 SH SOLE 11549 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 5049 78657 SH SOLE 78657 0 0 BROADCOM INC COM 11135F101 28567 90397 SH SOLE 90397 0 0 CDW CORP COM 12514G108 1578 11048 SH SOLE 11048 0 0 CHEVRON CORP NEW COM 166764100 26582 220583 SH SOLE 220583 0 0 CIGNA CORP NEW COM 125523100 4901 23968 SH SOLE 23968 0 0 CISCO SYS INC COM 17275R102 354 7382 SH SOLE 7382 0 0 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 7594 902977 SH SOLE 902977 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 16530 1468058 SH SOLE 1468058 0 0 COCA COLA CO COM 191216100 155 2803 SH SOLE 2803 0 0 COLGATE PALMOLIVE CO COM 194162103 107 1550 SH SOLE 1550 0 0 COMCAST CORP NEW CL A 20030N101 26855 597165 SH SOLE 597165 0 0 CONSOLIDATED EDISON INC COM 209115104 124 1367 SH SOLE 1367 0 0 DISCOVERY INC COM SER A 25470F104 1467 44820 SH SOLE 44820 0 0 DISNEY WALT CO COM DISNEY 254687106 27696 191496 SH SOLE 191496 0 0 EAST WEST BANCORP INC COM 27579R104 959 19693 SH SOLE 19693 0 0 EPAM SYS INC COM 29414B104 1611 7593 SH SOLE 7593 0 0 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 117 6813 SH SOLE 6813 0 0 EXELON CORP COM 30161N101 108 2367 SH SOLE 2367 0 0 EXXON MOBIL CORP COM 30231G102 500 7171 SH SOLE 7171 0 0 FACEBOOK INC CL A 30303M102 288 1401 SH SOLE 1401 0 0 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 27104 1351123 SH SOLE 1351123 0 0 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 5231 94169 SH SOLE 94169 0 0 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 3596 179182 SH SOLE 179182 0 0 FISERV INC COM 337738108 28724 248412 SH SOLE 248412 0 0 FORD MTR CO DEL COM 345370860 102 11002 SH SOLE 11002 0 0 FORTUNE BRANDS HOME & SEC IN COM 34964C106 1303 19942 SH SOLE 19942 0 0 GALLAGHER ARTHUR J & CO COM 363576109 280 2937 SH SOLE 2937 0 0 GENERAL MOLY INC COM 370373102 22 98000 SH SOLE 98000 0 0 GENTEX CORP COM 371901109 1413 48746 SH SOLE 48746 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 186622 2885761 SH SOLE 2885761 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 290 8437 SH SOLE 8437 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 141 4654 SH SOLE 4654 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 122 2000 SH SOLE 2000 0 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 121 2584 SH SOLE 2584 0 0 HILL ROM HLDGS INC COM 431475102 1517 13365 SH SOLE 13365 0 0 HOME DEPOT INC COM 437076102 128 585 SH SOLE 585 0 0 HONEYWELL INTL INC COM 438516106 27504 155392 SH SOLE 155392 0 0 INCYTE CORP COM 45337C102 1349 15444 SH SOLE 15444 0 0 INGERSOLL-RAND PLC SHS G47791101 5457 41054 SH SOLE 41054 0 0 INTEL CORP COM 458140100 358 5983 SH SOLE 5983 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 27562 297807 SH SOLE 297807 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 283 2108 SH SOLE 2108 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 41120 1718363 SH SOLE 1718363 0 0 INVESCO EXCHANGE TRADED FD T S&P 500 GARP ETF 46137V431 286 4524 SH SOLE 4524 0 0 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 182 1433 SH SOLE 1433 0 0 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 127 2170 SH SOLE 2170 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 393 1849 SH SOLE 1849 0 0 ISHARES INTL SEL DIV ETF 464288448 15631 465611 SH SOLE 465611 0 0 ISHARES EM MKTS DIV ETF 464286319 8674 213549 SH SOLE 213549 0 0 ISHARES S&P 500 GRWT ETF 464287309 5162 26659 SH SOLE 26659 0 0 ISHARES S&P 500 VAL ETF 464287408 3770 28982 SH SOLE 28982 0 0 ISHARES GOLD TRUST ISHARES 464285105 225 15513 SH SOLE 15513 0 0 ISHARES TR MIN VOL USA ETF 46429B697 48971 746505 SH SOLE 746505 0 0 ISHARES TR CORE DIV GRWTH 46434V621 47672 1133166 SH SOLE 1133166 0 0 ISHARES TR N AMER TECH ETF 464287549 45583 188245 SH SOLE 188245 0 0 ISHARES TR CORE MSCI INTL 46435G326 7387 126988 SH SOLE 126988 0 0 ISHARES TR S&P SML 600 GWT 464287887 5975 30911 SH SOLE 30911 0 0 ISHARES TR IBONDS DEC 25 46435U432 5717 210360 SH SOLE 210360 0 0 ISHARES TR IBONDS DEC 46435U697 4324 163532 SH SOLE 163532 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3551 54436 SH SOLE 54436 0 0 ISHARES TR CORE S&P SCP ETF 464287804 2526 30124 SH SOLE 30124 0 0 ISHARES TR S&P MC 400GR ETF 464287606 2061 8654 SH SOLE 8654 0 0 ISHARES TR S&P MC 400VL ETF 464287705 2025 11863 SH SOLE 11863 0 0 ISHARES TR SP SMCP600VL ETF 464287879 1305 8113 SH SOLE 8113 0 0 ISHARES TR GL CLEAN ENE ETF 464288224 619 52705 SH SOLE 52705 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 485 10802 SH SOLE 10802 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 337 3058 SH SOLE 3058 0 0 ISHARES TR ETF MSCI USA 46435G425 313 4387 SH SOLE 4387 0 0 ISHARES TR MSCI EAFE ETF 464287465 274 3946 SH SOLE 3946 0 0 ISHARES TR U.S. MED DVC ETF 464288810 209 789 SH SOLE 789 0 0 ISHARES TR ESG MSCI EAFE 46435G516 155 2260 SH SOLE 2260 0 0 ISHARES TR CORE S&P500 ETF 464287200 127 393 SH SOLE 393 0 0 ISHARES TR MSCI HONG KG ETF 464286871 127 5227 SH SOLE 5227 0 0 ISHARES TR IBONDS SEP2020 46434V571 110 4304 SH SOLE 4304 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 109 619 SH SOLE 619 0 0 JACOBS ENGR GROUP INC COM 469814107 1414 15739 SH SOLE 15739 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 1489 38028 SH SOLE 38028 0 0 JOHN HANCOCK EXCHANGE TRADED MULTI INTL ETF 47804J859 458 15474 SH SOLE 15474 0 0 JOHNSON & JOHNSON COM 478160104 374 2566 SH SOLE 2566 0 0 JPMORGAN CHASE & CO COM 46625H100 6299 45189 SH SOLE 45189 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 5137 235515 SH SOLE 235515 0 0 KAYNE ANDERSON MLP INVSMT CO COM 486606106 10342 742401 SH SOLE 742401 0 0 LOWES COS INC COM 548661107 26281 219450 SH SOLE 219450 0 0 LPL FINL HLDGS INC COM 50212V100 1588 17217 SH SOLE 17217 0 0 MASTERCARD INC CL A 57636Q104 29284 98074 SH SOLE 98074 0 0 MCDONALDS CORP COM 580135101 422 2134 SH SOLE 2134 0 0 MCKESSON CORP COM 58155Q103 25676 185629 SH SOLE 185629 0 0 MERCK & CO INC COM 58933Y105 144 1584 SH SOLE 1584 0 0 MICROSOFT CORP COM 594918104 7248 45962 SH SOLE 45962 0 0 NEXTERA ENERGY INC COM 65339F101 5577 23030 SH SOLE 23030 0 0 NIKE INC CL B 654106103 283 2791 SH SOLE 2791 0 0 NORFOLK SOUTHERN CORP COM 655844108 252 1300 SH SOLE 1300 0 0 ORACLE CORP COM 68389X105 386 7284 SH SOLE 7284 0 0 PEPSICO INC COM 713448108 224 1636 SH SOLE 1636 0 0 PFIZER INC COM 717081103 280 7154 SH SOLE 7154 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 340 6166 SH SOLE 6166 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 317 3116 SH SOLE 3116 0 0 PNC FINL SVCS GROUP INC COM 693475105 212 1331 SH SOLE 1331 0 0 POWERSHARES ETF TRUST INTL DIV ACHV 46137V548 1100 64470 SH SOLE 64470 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 46138E743 1230 28929 SH SOLE 28929 0 0 PRICE T ROWE GROUP INC COM 74144T108 158 1300 SH SOLE 1300 0 0 PROCTER AND GAMBLE CO COM 742718109 182 1457 SH SOLE 1457 0 0 PROLOGIS INC COM 74340W103 27525 308780 SH SOLE 308780 0 0 PROOFPOINT INC COM 743424103 1348 11743 SH SOLE 11743 0 0 RAYTHEON CO COM NEW 755111507 246 1121 SH SOLE 1121 0 0 RYDEX ETF TRUST GUG S&P 500 PU GR 46137V266 125601 990701 SH SOLE 990701 0 0 RYDEX ETF TRUST GUG S&P SC600 PG 46137V175 960 8127 SH SOLE 8127 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 278 8272 SH SOLE 8272 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 214 2788 SH SOLE 2788 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 115 4194 SH SOLE 4194 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 50961 500301 SH SOLE 500301 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1242 13550 SH SOLE 13550 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1084 13307 SH SOLE 13307 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 594 15354 SH SOLE 15354 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 391 6046 SH SOLE 6046 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 200 3334 SH SOLE 3334 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 39647 1264664 SH SOLE 1264664 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 15288 406706 SH SOLE 406706 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 1487 46325 SH SOLE 46325 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1173 29175 SH SOLE 29175 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1331 4136 SH SOLE 4136 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 128 342 SH SOLE 342 0 0 SPDR SER TR MSCI USA STRTGIC 78468R812 4505 47582 SH SOLE 47582 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 18121 280852 SH SOLE 280852 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4907 89579 SH SOLE 89579 0 0 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 4158 141536 SH SOLE 141536 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 4145 63073 SH SOLE 63073 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 4047 70880 SH SOLE 70880 0 0 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 2274 51675 SH SOLE 51675 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1726 16044 SH SOLE 16044 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 377 3965 SH SOLE 3965 0 0 SPDR SERIES TRUST AEROSPACE DEF 78464A631 338 3094 SH SOLE 3094 0 0 SPDR SERIES TRUST NUVEEN BRC MUNIC 78468R721 202 3993 SH SOLE 3993 0 0 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 164 4705 SH SOLE 4705 0 0 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 135 3220 SH SOLE 3220 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 5250 107156 SH SOLE 107156 0 0 STORE CAP CORP COM 862121100 1395 37452 SH SOLE 37452 0 0 STRYKER CORP COM 863667101 288 1372 SH SOLE 1372 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 29194 89864 SH SOLE 89864 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 225 8097 SH SOLE 8097 0 0 TRUIST FINL CORP COM 89832Q109 419 7439 SH SOLE 7439 0 0 UBS AG JERSEY BRH ALERIAN INFRST 902641646 13733 707150 SH SOLE 707150 0 0 UNITEDHEALTH GROUP INC COM 91324P102 445 1513 SH SOLE 1513 0 0 US FOODS HLDG CORP COM 912008109 1445 34497 SH SOLE 34497 0 0 VANGUARD ADMIRAL FDS INC SMLCP 600 GRTH 921932794 296 1784 SH SOLE 1784 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 277 3433 SH SOLE 3433 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 17957 149826 SH SOLE 149826 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 16295 89452 SH SOLE 89452 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2803 17654 SH SOLE 17654 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2097 17594 SH SOLE 17594 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1265 7634 SH SOLE 7634 0 0 VANGUARD INDEX FDS SM CAP VAL ETF 922908611 1030 7514 SH SOLE 7514 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2433 12247 SH SOLE 12247 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 554 3108 SH SOLE 3108 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 5416 121790 SH SOLE 121790 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1110 20643 SH SOLE 20643 0 0 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1515 14949 SH SOLE 14949 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 132 1056 SH SOLE 1056 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 54813 1244064 SH SOLE 1244064 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 4198 44794 SH SOLE 44794 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 218 3547 SH SOLE 3547 0 0 VISA INC COM CL A 92826C839 244 1300 SH SOLE 1300 0 0 WAL-MART STORES INC COM 931142103 28006 235664 SH SOLE 235664 0 0 WASTE CONNECTIONS INC COM 94106B101 1417 15604 SH SOLE 15604 0 0 WELLS FARGO CO NEW COM 949746101 126 2336 SH SOLE 2336 0 0 WISDOMTREE TR FLOATNG RAT TREA 97717X628 115019 4589738 SH SOLE 4589738 0 0 WISDOMTREE TR DEFA FD 97717W703 34607 647095 SH SOLE 647095 0 0 WISDOMTREE TR MIDCAP DIVI FD 97717W505 8697 228631 SH SOLE 228631 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 4799 167315 SH SOLE 167315 0 0 WISDOMTREE TR INTL LRGCAP DV 97717W794 2610 53273 SH SOLE 53273 0 0 ZOETIS INC CL A 98978V103 139 1052 SH SOLE 1052 0 0