0001513227-11-000005.txt : 20111114
0001513227-11-000005.hdr.sgml : 20111111
20111114135142
ACCESSION NUMBER: 0001513227-11-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Smart Portfolios, LLC
CENTRAL INDEX KEY: 0001513227
IRS NUMBER: 753072032
STATE OF INCORPORATION: WA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14414
FILM NUMBER: 111200697
BUSINESS ADDRESS:
STREET 1: 17865 BALLINGER WAY NE
CITY: SEATTLE
STATE: WA
ZIP: 98155
BUSINESS PHONE: 206-686-3644
MAIL ADDRESS:
STREET 1: 17865 BALLINGER WAY NE
CITY: SEATTLE
STATE: WA
ZIP: 98155
13F-HR
1
sp3q11.txt
3RD QUARTER 2011
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 2011
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: Smart Portfolios, LLC
Address: 17865 Ballinger Way NE
Seattle, WA 98155-4234
13F File Number:
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: Ron Thompson
Title: Chief Operating Officer
Phone: (206)-686-4840
Signature, Place, and Date of Signing:
/s/ Ron Thompson Seattle, WA November 11, 2011
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
Form13F Information Table Entry Total: 23
Form13F Information Table Value Total: $179,198 (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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
SPDR Barclays Capital 1-3 Mont ETF 78464A680 18248 397992 SH SOLE 100260 297732
TIAA-CREF Bond Fund - Retireme ETF 886315720 200 18483 SH SOLE 18483
TIAA-CREF Bond Index Retiremen ETF 87245M855 277 25800 SH SOLE 25800
TIAA-CREF Inflation-Linked Bon ETF 886315696 226 19037 SH SOLE 19037
iShares iBoxx $ Invest Grade C ETF 464287242 7614 67791 SH SOLE 16476 51315
iShares iBoxx $ Invest Grade C ETF 464287457 87652 1036449 SH SOLE 260374 776075
PowerShares QQQ ETF 73935A104 4656 88707 SH SOLE 20796 67911
SPDR S&P 500 ETF 78462F103 4551 40217 SH SOLE 9502 30715
SPDR S&P MidCap 400 ETF ETF 78467Y107 3469 24410 SH SOLE 6031 18379
TIAA-CREF Growth & Income - Re ETF 87244W763 153 18112 SH SOLE 18112
TIAA-CREF Growth & Income Prem ETF 87245M103 180 21614 SH SOLE 21614
TIAA-CREF Mid-Cap Growth - Ret ETF 87244W888 194 11931 SH SOLE 11931
iShares Dow Jones US Telecom ETF 464287713 3702 181554 SH SOLE 45554 136000
iShares MSCI Australia Index ETF 464286103 5200 259217 SH SOLE 67130 192087
iShares MSCI Brazil Index ETF 464286400 5015 96433 SH SOLE 25683 70750
iShares MSCI Singapore Index ETF 464286673 3508 318938 SH SOLE 81858 237080
iShares S&P Latin America 40 I ETF 464287390 3499 89996 SH SOLE 23103 66893
PowerShares DB Agriculture ETF 73936B408 3713 125169 SH SOLE 31363 93806
SPDR Gold Shares ETF 78463V107 9703 61388 SH SOLE 14664 46724
Health Care Select Sector SPDR ETF 81369Y209 3785 119283 SH SOLE 29454 89829
PowerShares DB US Dollar Index ETF 73936D107 3925 175951 SH SOLE 44040 131911
ProShares Short Russell 2000 ETF 74347R826 7744 216139 SH SOLE 58217 157922
ProShares UltraShort Financial ETF 74347X146 1984 23504 SH SOLE 5958 17546