0001085146-12-000607.txt : 20120427 0001085146-12-000607.hdr.sgml : 20120427 20120427163757 ACCESSION NUMBER: 0001085146-12-000607 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120427 DATE AS OF CHANGE: 20120427 EFFECTIVENESS DATE: 20120427 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 3D ASSET MANAGEMENT, INC CENTRAL INDEX KEY: 0001359371 IRS NUMBER: 203725583 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14052 FILM NUMBER: 12790164 BUSINESS ADDRESS: STREET 1: 111 FOUNDERS PLAZA SUITE 1707 CITY: EAST HARTFORD STATE: CT ZIP: 06108 BUSINESS PHONE: 860-291-1998 MAIL ADDRESS: STREET 1: 111 FOUNDERS PLAZA SUITE 1707 CITY: EAST HARTFORD STATE: CT ZIP: 06108 FORMER COMPANY: FORMER CONFORMED NAME: 3D ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20060413 13F-HR 1 d3am1q2012.txt 3D ASSET MANAGEMENT, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: 3D Asset Management, Inc. Address: 111 Founders Plaza, Suite 1707 East Hartford, CT 06108 13F File Number: 028-14052 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: John O'Connor Title: President / CCO Phone: (860) 291-1998 Signature, Place, and Date of Signing: /s/ John O'Connor East Hartford, CT April 27, 2012 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 41 Form 13F Information Table Value Total: $260,390 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 3716 87804 SH SOLE 87804 0 0 ISHARES TR BARCLYS TIPS BD 464287176 530 4504 SH SOLE 4504 0 0 ISHARES TR S&P 500 INDEX 464287200 20202 143065 SH SOLE 143065 0 0 ISHARES TR MSCI EMERG MKT 464287234 1204 28039 SH SOLE 28039 0 0 ISHARES TR RUSSELL MCP VL 464287473 691 14350 SH SOLE 14350 0 0 ISHARES TR COHEN&ST RLTY 464287564 6840 89255 SH SOLE 89255 0 0 ISHARES TR RUSSELL1000VAL 464287598 7170 102328 SH SOLE 102328 0 0 ISHARES TR RUSL 2000 VALU 464287630 1805 24741 SH SOLE 24741 0 0 ISHARES TR RUSL 2000 GROW 464287648 7921 83052 SH SOLE 83052 0 0 ISHARES TR S&P NTL AMTFREE 464288414 7973 72881 SH SOLE 72881 0 0 ISHARES TR BARCLYS GOVT CR 464288596 5843 51726 SH SOLE 51726 0 0 ISHARES TR BARCLYS INTER CR 464288638 1021 9384 SH SOLE 9384 0 0 ISHARES TR US PFD STK IDX 464288687 7648 195899 SH SOLE 195899 0 0 ISHARES TR MSCI VAL IDX 464288877 1731 36825 SH SOLE 36825 0 0 ISHARES TR BRC 0-5 YR TIP 46429B747 11286 109232 SH SOLE 109232 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 7771 269816 SH SOLE 269816 0 0 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 23721 885110 SH SOLE 885110 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 6904 280862 SH SOLE 280862 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 12227 181006 SH SOLE 181006 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3999 155137 SH SOLE 155137 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 3145 120791 SH SOLE 120791 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 6742 227696 SH SOLE 227696 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 3835 68536 SH SOLE 68536 0 0 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 203 7059 SH SOLE 7059 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 6674 273874 SH SOLE 273874 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 1382 19505 SH SOLE 19505 0 0 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 943 16153 SH SOLE 16153 0 0 SPDR SERIES TRUST BRCLYS INTER ETF 78464A672 431 7111 SH SOLE 7111 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 683 8437 SH SOLE 8437 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 218 3158 SH SOLE 3158 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 426 5407 SH SOLE 5407 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 560 12874 SH SOLE 12874 0 0 VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 882 25925 SH SOLE 25925 0 0 WISDOMTREE TRUST FUTRE STRAT FD 97717W125 2721 62892 SH SOLE 62892 0 0 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 11477 548067 SH SOLE 548067 0 0 WISDOMTREE TRUST EMG MKTS SMCAP 97717W281 1940 40325 SH SOLE 40325 0 0 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 12670 219919 SH SOLE 219919 0 0 WISDOMTREE TRUST SMLCAP EARN FD 97717W562 19707 347017 SH SOLE 347017 0 0 WISDOMTREE TRUST MDCP EARN FUND 97717W570 35763 584944 SH SOLE 584944 0 0 WISDOMTREE TRUST INTL SMCAP DIV 97717W760 6820 137641 SH SOLE 137641 0 0 WISDOMTREE TRUST INTL MIDCAP DV 97717W778 2965 61662 SH SOLE 61662 0 0