0001398344-17-010209.txt : 20170811 0001398344-17-010209.hdr.sgml : 20170811 20170811172528 ACCESSION NUMBER: 0001398344-17-010209 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170811 DATE AS OF CHANGE: 20170811 EFFECTIVENESS DATE: 20170811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baker Avenue Asset Management, LP CENTRAL INDEX KEY: 0001432529 IRS NUMBER: 201735413 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13834 FILM NUMBER: 171026152 BUSINESS ADDRESS: STREET 1: 301 BATTERY STREET STREET 2: 2ND FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-986-1110 MAIL ADDRESS: STREET 1: 301 BATTERY STREET STREET 2: 2ND FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001432529 XXXXXXXX 06-30-2017 06-30-2017 false Baker Avenue Asset Management, LP
301 Battery Street 2nd Floor San Francisco CA 94111
13F HOLDINGS REPORT 028-13834 N
Hannah Kim Chief Compliance Officer 415-986-1110 /s/ Hannah Kim San Francisco CA 08-11-2017 0 198 753231
INFORMATION TABLE 2 fp0027406_13fhr-table.xml 13F INFORMATION TABLE ABB LTD SPONSORED ADR ADR 000375204 985 39560 SH SOLE 0 0 39560 ABBVIE INC COM Stock 00287Y109 1161 16008 SH SOLE 0 0 16008 AFLAC INC COM Stock 001055102 1076 13846 SH SOLE 0 0 13846 AIR LEASE CORP CL A Stock 00912X302 677 18121 SH SOLE 0 0 18121 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 2524 17914 SH SOLE 0 0 17914 ALPHABET INC CAP STK CL A Stock 02079K305 685 737 SH SOLE 0 0 737 ALPHABET INC CAP STK CL C Stock 02079K107 3875 4264 SH SOLE 0 0 4264 ALTRIA GROUP INC COM Stock 02209S103 245 3296 SH SOLE 0 0 3296 AMAZON COM INC COM Stock 023135106 5189 5361 SH SOLE 0 0 5361 AMGEN INC COM Stock 031162100 5709 33147 SH SOLE 0 0 33147 APPLE INC COM Stock 037833100 8396 58296 SH SOLE 0 0 58296 APPLIED MATLS INC COM Stock 038222105 13561 328263 SH SOLE 0 0 328263 AT&T INC COM Stock 00206R102 486 12870 SH SOLE 0 0 12870 BANK NEW YORK MELLON CORP COM Stock 064058100 1150 22535 SH SOLE 0 0 22535 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 861 5082 SH SOLE 0 0 5082 BLACKHAWK NETWORK HLDGS INC COM Stock 09238E104 2020 46322 SH SOLE 0 0 46322 BROADCOM LTD SHS Stock Y09827109 1083 4646 SH SOLE 0 0 4646 CALAMP CORP COM Stock 128126109 986 48492 SH SOLE 0 0 48492 CALLON PETE CO DEL COM Stock 13123X102 1026 96710 SH SOLE 0 0 96710 CARA THERAPEUTICS INC COM Stock 140755109 484 31431 SH SOLE 0 0 31431 CATERPILLAR INC DEL COM Stock 149123101 965 8984 SH SOLE 0 0 8984 CBS CORP NEW CL B Stock 124857202 445 6981 SH SOLE 0 0 6981 CELGENE CORP COM Stock 151020104 1802 13874 SH SOLE 0 0 13874 CHEVRON CORP NEW COM Stock 166764100 2601 24927 SH SOLE 0 0 24927 CIENA CORP COM NEW Stock 171779309 350 13985 SH SOLE 0 0 13985 CITIGROUP INC COM NEW Stock 172967424 1016 15188 SH SOLE 0 0 15188 COCA COLA CO COM Stock 191216100 274 6100 SH SOLE 0 0 6100 COGNEX CORP COM Stock 192422103 613 7220 SH SOLE 0 0 7220 COLGATE PALMOLIVE CO COM Stock 194162103 266 3586 SH SOLE 0 0 3586 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF 81369Y407 3761 41963 SH SOLE 0 0 41963 CORNING INC COM Stock 219350105 4247 141321 SH SOLE 0 0 141321 COSTCO WHSL CORP NEW COM Stock 22160K105 904 5652 SH SOLE 0 0 5652 CSX CORP COM Stock 126408103 2802 51363 SH SOLE 0 0 51363 CTRIP COM INTL LTD AMERICAN DEP SHS ADR 22943F100 693 12864 SH SOLE 0 0 12864 DISNEY WALT CO COM DISNEY Stock 254687106 4369 41123 SH SOLE 0 0 41123 DOW CHEM CO COM Stock 260543103 6270 99414 SH SOLE 0 0 99414 ECOLAB INC COM Stock 278865100 910 6852 SH SOLE 0 0 6852 ENERGY SELECT SECTOR SPDR FUND ETF 81369Y506 5560 85641 SH SOLE 0 0 85641 ENVISION HEALTHCARE CORP COM Stock 29414D100 1063 16968 SH SOLE 0 0 16968 EXXON MOBIL CORP COM Stock 30231G102 3446 42686 SH SOLE 0 0 42686 FACEBOOK INC CL A Stock 30303M102 317 2098 SH SOLE 0 0 2098 FINANCIAL SELECT SECTOR SPDR FUND ETF 81369Y605 9825 398253 SH SOLE 0 0 398253 FIRST TRUST LARGE CAP CORE ALPHADEX FUND ETF 33734K109 1820 34240 SH SOLE 0 0 34240 FIRST TRUST MID CAP CORE ALPHADEX FUND ETF 33735B108 217 3660 SH SOLE 0 0 3660 FIRST TRUST MORNINGSTAR DIVIDEND LEADERS INDEX FUND ETF 336917109 443 15736 SH SOLE 0 0 15736 FIRST TRUST NASDAQ TECHNOLOGY DIVIDEND INDEX FUND ETF 33738R118 463 14847 SH SOLE 0 0 14847 FIRST TRUST NORTH AMERICAN ENERGY INFRASTRUCTURE FUND ETF 33738D101 443 18046 SH SOLE 0 0 18046 FIRST TRUST VALUE LINE DIVIDEND INDEX FUND ETF 33734H106 287 9817 SH SOLE 0 0 9817 FLEETCOR TECHNOLOGIES INC COM Stock 339041105 692 4798 SH SOLE 0 0 4798 FLOTEK INDS INC DEL COM Stock 343389102 816 91286 SH SOLE 0 0 91286 FLOWSERVE CORP COM Stock 34354P105 847 18240 SH SOLE 0 0 18240 FREEPORT-MCMORAN INC CL B Stock 35671D857 2941 244843 SH SOLE 0 0 244843 GARMIN LTD SHS Stock H2906T109 204 3999 SH SOLE 0 0 3999 GENERAL MTRS CO COM Stock 37045V100 3102 88807 SH SOLE 0 0 88807 GILEAD SCIENCES INC COM Stock 375558103 201 2840 SH SOLE 0 0 2840 GLOBANT S A COM Stock L44385109 1013 23310 SH SOLE 0 0 23310 GOLAR LNG LTD BERMUDA SHS Stock G9456A100 2261 101620 SH SOLE 0 0 101620 GOLDMAN SACHS GROUP INC COM Stock 38141G104 4042 18214 SH SOLE 0 0 18214 GROUPON INC COM Stock 399473107 1009 262861 SH SOLE 0 0 262861 GTT COMMUNICATIONS INC COM Stock 362393100 529 16715 SH SOLE 0 0 16715 GUGGENHEIM S&P 500 TOP 50 ETF ETF 78355W205 786 4592 SH SOLE 0 0 4592 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 4259 53742 SH SOLE 0 0 53742 HOLOGIC INC COM Stock 436440101 861 18968 SH SOLE 0 0 18968 HONEYWELL INTL INC COM Stock 438516106 5439 40803 SH SOLE 0 0 40803 IMPINJ INC COM Stock 453204109 811 16661 SH SOLE 0 0 16661 INDUSTRIAL SELECT SECTOR SPDR FUND ETF 81369Y704 556 8166 SH SOLE 0 0 8166 INGERSOLL-RAND PLC SHS Stock G47791101 783 8566 SH SOLE 0 0 8566 INTEL CORP 2.95 12/15/2035 Convertible 458140AD2 65 50000 SH SOLE 0 0 50000 INTEL CORP COM Stock 458140100 3502 103788 SH SOLE 0 0 103788 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 5751 37383 SH SOLE 0 0 37383 IPATH BLOOMBERG COMMODITY INDEX TOTAL RETURN ETN ETF 06738C778 1183 52200 SH SOLE 0 0 52200 ISHARES 1-3 YEAR CREDIT BOND ETF ETF 464288646 5218 49550 SH SOLE 0 0 49550 ISHARES COMEX GOLD TRUST ETF 464285105 507 42478 SH SOLE 0 0 42478 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 601 19203 SH SOLE 0 0 19203 ISHARES CORE S&P 500 ETF ETF 464287200 2031 8344 SH SOLE 0 0 8344 ISHARES CORE S&P U.S. GROWTH ETF ETF 464287671 250 5185 SH SOLE 0 0 5185 ISHARES CORE U.S. AGGREGATE BOND ETF ETF 464287226 37695 344211 SH SOLE 0 0 344211 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 10028 112814 SH SOLE 0 0 112814 ISHARES EDGE MSCI USA QUALITY FACTOR ETF ETF 46432F339 14224 191261 SH SOLE 0 0 191261 ISHARES FLOATING RATE BOND ETF ETF 46429B655 4094 80409 SH SOLE 0 0 80409 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF ETF 464288513 6203 70181 SH SOLE 0 0 70181 ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF ETF 464287242 422 3502 SH SOLE 0 0 3502 ISHARES INTERMEDIATE CREDIT BOND ETF ETF 464288638 279 2540 SH SOLE 0 0 2540 ISHARES MSCI ACWI EX US INDEX FUND ETF 464288240 891 19541 SH SOLE 0 0 19541 ISHARES MSCI ACWI INDEX FUND ETF 464288257 12626 192788 SH SOLE 0 0 192788 ISHARES MSCI EAFE ESG SELECT ETF ETF 46435G516 636 10155 SH SOLE 0 0 10155 ISHARES MSCI EAFE ETF ETF 464287465 12173 186704 SH SOLE 0 0 186704 ISHARES MSCI EAFE GROWTH ETF ETF 464288885 13442 181741 SH SOLE 0 0 181741 ISHARES MSCI EAFE SMALL-CAP ETF ETF 464288273 14031 242584 SH SOLE 0 0 242584 ISHARES MSCI EAFE VALUE ETF ETF 464288877 19436 375937 SH SOLE 0 0 375937 ISHARES MSCI EM ESG SELECT ETF ETF 46434G863 539 8390 SH SOLE 0 0 8390 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 862 20828 SH SOLE 0 0 20828 ISHARES MSCI KLD 400 SOCIAL ETF ETF 464288570 308 3449 SH SOLE 0 0 3449 ISHARES MSCI USA ESG SELECT ETF ETF 464288802 608 5947 SH SOLE 0 0 5947 ISHARES MSCI WORLD ETF ETF 464286392 2924 36402 SH SOLE 0 0 36402 ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND ETF 464287556 4360 14059 SH SOLE 0 0 14059 ISHARES RUSSELL 1000 ETF ETF 464287622 12094 89408 SH SOLE 0 0 89408 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 18874 158577 SH SOLE 0 0 158577 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 5019 43105 SH SOLE 0 0 43105 ISHARES RUSSELL 2000 ETF ETF 464287655 10428 74001 SH SOLE 0 0 74001 ISHARES RUSSELL 2000 GROWTH ETF ETF 464287648 7295 43223 SH SOLE 0 0 43223 ISHARES RUSSELL 2000 VALUE ETF ETF 464287630 10343 87015 SH SOLE 0 0 87015 ISHARES RUSSELL 3000 ETF ETF 464287689 20746 144052 SH SOLE 0 0 144052 ISHARES S&P 500 GROWTH ETF ETF 464287309 477 3487 SH SOLE 0 0 3487 ISHARES S&P 500 VALUE ETF ETF 464287408 12494 119036 SH SOLE 0 0 119036 ISHARES S&P MID-CAP 400 VALUE ETF ETF 464287705 475 3199 SH SOLE 0 0 3199 ISHARES S&P SMALL-CAP FUND ETF 464287804 1405 20045 SH SOLE 0 0 20045 ISHARES TIPS BOND ETF ETF 464287176 5906 52069 SH SOLE 0 0 52069 ISHARES U.S. BROKER-DEALERS & SECURITIES EXCHANGES ETF ETF 464288794 6410 120289 SH SOLE 0 0 120289 ISHARES U.S. CONSUMER SERVICES ETF ETF 464287580 294 1789 SH SOLE 0 0 1789 ISHARES U.S. MEDICAL DEVICES ETF ETF 464288810 4317 25910 SH SOLE 0 0 25910 ITAU UNIBANCO HLDG SA SPON ADR REP PFD ADR 465562106 293 26552 SH SOLE 0 0 26552 JOHNSON & JOHNSON COM Stock 478160104 6048 45717 SH SOLE 0 0 45717 JOHNSON CTLS INTL PLC SHS Stock G51502105 335 7715 SH SOLE 0 0 7715 JPMORGAN CHASE & CO COM Stock 46625H100 5564 60880 SH SOLE 0 0 60880 LIBERTY GLOBAL PLC SHS CL A Stock G5480U104 2695 83892 SH SOLE 0 0 83892 LUMBER LIQUIDATORS HLDGS INC COM Stock 55003T107 698 27864 SH SOLE 0 0 27864 MALLINCKRODT PUB LTD CO SHS Stock G5785G107 1137 25381 SH SOLE 0 0 25381 MANPOWERGROUP INC COM Stock 56418H100 454 4070 SH SOLE 0 0 4070 MARSH & MCLENNAN COS INC COM Stock 571748102 318 4075 SH SOLE 0 0 4075 MARTIN MARIETTA MATLS INC COM Stock 573284106 716 3217 SH SOLE 0 0 3217 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 834 50502 SH SOLE 0 0 50502 MATERIALS SELECT SECTOR SPDR FUND ETF 81369Y100 4008 74491 SH SOLE 0 0 74491 MCDERMOTT INTL INC COM Stock 580037109 865 120684 SH SOLE 0 0 120684 MCDONALDS CORP COM Stock 580135101 261 1703 SH SOLE 0 0 1703 MERCK & CO INC COM Stock 58933Y105 1275 19894 SH SOLE 0 0 19894 MGM RESORTS INTERNATIONAL COM Stock 552953101 398 12705 SH SOLE 0 0 12705 MICROSOFT CORP COM Stock 594918104 13183 191246 SH SOLE 0 0 191246 MONDELEZ INTL INC CL A Stock 609207105 816 18899 SH SOLE 0 0 18899 MYLAN N V SHS EURO Stock N59465109 2556 65850 SH SOLE 0 0 65850 NORDSTROM INC COM Stock 655664100 369 7715 SH SOLE 0 0 7715 NORTHERN TR CORP COM Stock 665859104 840 8641 SH SOLE 0 0 8641 NORTHROP GRUMMAN CORP COM Stock 666807102 3542 13797 SH SOLE 0 0 13797 NVIDIA CORP COM Stock 67066G104 1058 7320 SH SOLE 0 0 7320 NXP SEMICONDUCTORS N V COM Stock N6596X109 219 2000 SH SOLE 0 0 2000 ON DECK CAP INC COM Stock 682163100 74 15802 SH SOLE 0 0 15802 ON SEMICONDUCTOR CORP COM Stock 682189105 949 67607 SH SOLE 0 0 67607 ORACLE CORP COM Stock 68389X105 2005 39983 SH SOLE 0 0 39983 PALO ALTO NETWORKS INC COM Stock 697435105 257 1921 SH SOLE 0 0 1921 PANDORA MEDIA INC COM Stock 698354107 165 18531 SH SOLE 0 0 18531 PFIZER INC COM Stock 717081103 6632 197438 SH SOLE 0 0 197438 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 287 2709 SH SOLE 0 0 2709 POTASH CORP SASK INC COM Stock 73755L107 185 11350 SH SOLE 0 0 11350 POWERSHARES DB BASE METALS FUND ETF 73936B705 166 10129 SH SOLE 0 0 10129 POWERSHARES DB OPTIMUM YIELD DIVERSIFIED COMMODITY STRATEGY PORTFOLIO ETF 73937V106 470 29768 SH SOLE 0 0 29768 POWERSHARES DWA MOMENTUM PORTFOLIO ETF 73935X153 1109 23690 SH SOLE 0 0 23690 POWERSHARES FINANCIAL PREFERRED PORTFOLIO ETF 73935X229 6001 314208 SH SOLE 0 0 314208 POWERSHARES HIGH YIELD EQUITY DIVIDEND ACHIEVERS PORTFOLIO ETF 73935X302 454 26968 SH SOLE 0 0 26968 POWERSHARES QQQ TRUST, SERIES 1 ETF 73935A104 249 1806 SH SOLE 0 0 1806 POWERSHARES SENIOR LOAN PORTFOLIO ETF 73936Q769 5647 244027 SH SOLE 0 0 244027 PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF ETF 74348A467 481 8322 SH SOLE 0 0 8322 QUALCOMM INC COM Stock 747525103 10915 197662 SH SOLE 0 0 197662 RANGE RES CORP COM Stock 75281A109 787 33970 SH SOLE 0 0 33970 RED HAT INC COM Stock 756577102 2279 23805 SH SOLE 0 0 23805 REGIONS FINL CORP NEW COM Stock 7591EP100 1051 71795 SH SOLE 0 0 71795 SANCHEZ ENERGY CORP COM Stock 79970Y105 1155 160856 SH SOLE 0 0 160856 SCHLUMBERGER LTD COM Stock 806857108 3651 55445 SH SOLE 0 0 55445 SCHWAB CHARLES CORP NEW COM Stock 808513105 12492 290772 SH SOLE 0 0 290772 SIGNET JEWELERS LIMITED SHS Stock G81276100 861 13616 SH SOLE 0 0 13616 SNAP INC CL A Stock 83304A106 518 29165 SH SOLE 0 0 29165 SONY CORP SPONSORED ADR ADR 835699307 6020 157626 SH SOLE 0 0 157626 SPDR BLOOMBERG BARCLAYS AGGREGATE BOND ETF ETF 78464A649 23332 404585 SH SOLE 0 0 404585 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 6848 138019 SH SOLE 0 0 138019 SPDR NUVEEN BLOOMBERG BARCLAYS MUNICIPAL BOND ETF ETF 78468R721 579 11885 SH SOLE 0 0 11885 SPDR S&P BIOTECH ETF ETF 78464A870 1861 24106 SH SOLE 0 0 24106 SPDR S&P DIVIDEND ETF ETF 78464A763 3383 38053 SH SOLE 0 0 38053 SPDR S&P MIDCAP 400 ETF ETF 78467Y107 1501 4725 SH SOLE 0 0 4725 SPROTT PHYSICAL GOLD TRUST UNIT CEF 85207H104 230 22744 SH SOLE 0 0 22744 STERICYCLE INC DEP PFD A 1/10 Convertible Preferred 858912207 213 3176 SH SOLE 0 0 3176 SUNTRUST BKS INC COM Stock 867914103 1379 24305 SH SOLE 0 0 24305 TARGET CORP COM Stock 87612E106 778 14874 SH SOLE 0 0 14874 TECHNIPFMC PLC COM Stock G87110105 769 28277 SH SOLE 0 0 28277 TECHNOLOGY SELECT SECTOR SPDR FUND ETF 81369Y803 1062 19414 SH SOLE 0 0 19414 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR ADR 881624209 852 25655 SH SOLE 0 0 25655 TRUECAR INC COM Stock 89785L107 738 37006 SH SOLE 0 0 37006 TUPPERWARE BRANDS CORP COM Stock 899896104 203 2890 SH SOLE 0 0 2890 UNITED STATES STL CORP NEW COM Stock 912909108 898 40542 SH SOLE 0 0 40542 UNITEDHEALTH GROUP INC COM Stock 91324P102 978 5273 SH SOLE 0 0 5273 US BANCORP DEL COM NEW Stock 902973304 3162 60896 SH SOLE 0 0 60896 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 952 10278 SH SOLE 0 0 10278 VANGUARD FTSE ALL-WORLD EX US INDEX FUND ETF 922042775 19679 393353 SH SOLE 0 0 393353 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 19582 473900 SH SOLE 0 0 473900 VANGUARD LARGE-CAP INDEX FUND ETF 922908637 9589 86376 SH SOLE 0 0 86376 VANGUARD REIT ETF ETF 922908553 798 9590 SH SOLE 0 0 9590 VANGUARD SHORT-TERM BOND INDEX FUND ETF 921937827 244 3060 SH SOLE 0 0 3060 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 830 10370 SH SOLE 0 0 10370 VANGUARD SMALL-CAP INDEX FUND ETF 922908751 2072 15290 SH SOLE 0 0 15290 VANGUARD SMALL-CAP VALUE INDEX FUND ETF 922908611 858 6979 SH SOLE 0 0 6979 VANGUARD TOTAL BOND MARKET INDEX FUND ETF 921937835 44638 545494 SH SOLE 0 0 545494 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 26758 215011 SH SOLE 0 0 215011 VANGUARD TOTAL WORLD STOCK INDEX FUND ETF 922042742 13995 207244 SH SOLE 0 0 207244 VIPSHOP HLDGS LTD SPONSORED ADR ADR 92763W103 669 63406 SH SOLE 0 0 63406 VMWARE INC CL A COM Stock 928563402 7193 82272 SH SOLE 0 0 82272 WEATHERFORD INTL PLC ORD SHS Stock G48833100 1131 292367 SH SOLE 0 0 292367 WELLS FARGO CO NEW COM Stock 949746101 296 5341 SH SOLE 0 0 5341 WEYERHAEUSER CO COM REIT 962166104 9084 271155 SH SOLE 0 0 271155 XYLEM INC COM Stock 98419M100 906 16336 SH SOLE 0 0 16336 YANDEX N V SHS CLASS A Stock N97284108 885 33718 SH SOLE 0 0 33718