0001085146-19-002656.txt : 20191029 0001085146-19-002656.hdr.sgml : 20191029 20191028181131 ACCESSION NUMBER: 0001085146-19-002656 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191029 DATE AS OF CHANGE: 20191028 EFFECTIVENESS DATE: 20191029 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: 191174077 BUSINESS ADDRESS: STREET 1: 100 CONSTITUTION PLAZA SUITE 700 CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 860-291-1998 MAIL ADDRESS: STREET 1: 100 CONSTITUTION PLAZA SUITE 700 CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: 3D ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20060413 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001359371 XXXXXXXX 09-30-2019 09-30-2019 false 3D ASSET MANAGEMENT, INC

100 CONSTITUTION PLAZA SUITE 700 HARTFORD CT 06103

13F HOLDINGS REPORT 028-14052 N John O'Connor 860-291-1998 /s/ John O'Connor Hartford CT 10-28-2019 0 61 419440 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 433 19858 SH SOLE 19858 0 0 DBX ETF TR XTRACK MUN INFRA 233051705 7835 277183 SH SOLE 277183 0 0 FIRST TR EXCH TRD ALPHA FD I EM SML CP ALPH 33737J307 242 7097 SH SOLE 7097 0 0 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 20121 387022 SH SOLE 386961 0 61 FLEXSHARES TR CUR HDG EM IDX 33939L712 245 9180 SH SOLE 9180 0 0 FLEXSHARES TR GLB QLT R/E IDX 33939L787 15158 232604 SH SOLE 232604 0 0 FLEXSHARES TR INTL QLTDV IDX 33939L837 21469 963534 SH SOLE 963534 0 0 FLEXSHARES TR MSTAR EMKT FAC 33939L308 17264 357953 SH SOLE 357953 0 0 FLEXSHARES TR QLT DIV DEF IDX 33939L845 31816 695882 SH SOLE 695882 0 0 GLOBAL X FDS GLB X MLP ENRG I 37950E226 242 19698 SH SOLE 19698 0 0 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 403 20111 SH SOLE 20111 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 29611 1046684 SH SOLE 1046684 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 253 11923 SH SOLE 11923 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 428 19925 SH SOLE 19925 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 643 30221 SH SOLE 30221 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 1001 46851 SH SOLE 46851 0 0 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 1151 19871 SH SOLE 19871 0 0 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 762 33720 SH SOLE 33720 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 684 3622 SH SOLE 3622 0 0 ISHARES INC CORE MSCI EMKT 46434G103 473 9655 SH SOLE 9655 0 0 ISHARES INC EM MKT SM-CP ETF 464286475 17231 409199 SH SOLE 409199 0 0 ISHARES TR 0-5 YR TIPS ETF 46429B747 230 2296 SH SOLE 2296 0 0 ISHARES TR COHEN STEER REIT 464287564 357 2971 SH SOLE 2971 0 0 ISHARES TR CORE S&P500 ETF 464287200 895 2998 SH SOLE 2998 0 0 ISHARES TR INTL MOMENTUM FT 46434V449 493 16797 SH SOLE 16797 0 0 ISHARES TR INTL VALUE FACTR 46435G409 29319 1286483 SH SOLE 1286483 0 0 ISHARES TR INTRM TR CRP ETF 464288638 444 7660 SH SOLE 7660 0 0 ISHARES TR MSCI MIN VOL ETF 46429B697 1812 28266 SH SOLE 28266 0 0 ISHARES TR NATIONAL MUN ETF 464288414 7227 63341 SH SOLE 63341 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 511 3984 SH SOLE 3984 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 366 1897 SH SOLE 1897 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 318 2667 SH SOLE 2667 0 0 ISHARES TR S&P SML 600 GWT 464287887 568 3187 SH SOLE 3187 0 0 ISHARES TR USA MOMENTUM FCT 46432F396 1966 16489 SH SOLE 16489 0 0 JACOBS ENGR GROUP INC COM 469814107 410 4485 SH SOLE 4485 0 0 JOHN HANCOCK ETF TRUST MULTIFACTOR MI 47804J206 2318 62966 SH SOLE 62691 0 275 JP MORGAN EXCHANGE TRADED FD ULTRA SHT MUNCPL 46641Q654 6968 138218 SH SOLE 138218 0 0 JP MORGAN EXCHANGE TRADED FD US QUALTY FCTR 46641Q761 30075 1023345 SH SOLE 1023345 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 352 13988 SH SOLE 13988 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 312 9781 SH SOLE 9781 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 724 15353 SH SOLE 15353 0 0 SCHWAB STRATEGIC TR US TIPS ETF 808524870 329 5801 SH SOLE 5801 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 687 20055 SH SOLE 20055 0 0 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 586 19949 SH SOLE 19949 0 0 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 3218 104629 SH SOLE 104611 0 18 SPDR SERIES TRUST DJ REIT ETF 78464A607 222 2120 SH SOLE 2120 0 0 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 1003 32505 SH SOLE 32505 0 0 SPDR SERIES TRUST S&P KENSHO FUTRE 78468R671 435 11692 SH SOLE 11692 0 0 SPDR SERIES TRUST S&P KENSHO INTLG 78468R697 419 14018 SH SOLE 14018 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1206 8140 SH SOLE 8140 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 43156 386637 SH SOLE 386637 0 0 WISDOMTREE TR EMER MKT HIGH FD 97717W315 428 10370 SH SOLE 10370 0 0 WISDOMTREE TR EMERG CUR STR FD 97717W133 546 29819 SH SOLE 29819 0 0 WISDOMTREE TR EMG MKTS SMCAP 97717W281 642 14498 SH SOLE 14498 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 299 4445 SH SOLE 4445 0 0 WISDOMTREE TR GLB US QTLY DIV 97717W844 557 9571 SH SOLE 9571 0 0 WISDOMTREE TR INTL MIDCAP DV 97717W778 271 4490 SH SOLE 4490 0 0 WISDOMTREE TR INTL SMCAP DIV 97717W760 30488 479972 SH SOLE 479972 0 0 WISDOMTREE TR US MIDCAP FUND 97717W570 22269 564642 SH SOLE 564642 0 0 WISDOMTREE TR US SMALLCAP FUND 97717W562 17427 489532 SH SOLE 489532 0 0 WISDOMTREE TR YIELD ENHANCD US 97717X511 42122 805693 SH SOLE 805560 0 133