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