0001566414-17-000001.txt : 20170201 0001566414-17-000001.hdr.sgml : 20170201 20170201141947 ACCESSION NUMBER: 0001566414-17-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170201 DATE AS OF CHANGE: 20170201 EFFECTIVENESS DATE: 20170201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SignalPoint Asset Management, LLC CENTRAL INDEX KEY: 0001566414 IRS NUMBER: 262727476 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15113 FILM NUMBER: 17564316 BUSINESS ADDRESS: STREET 1: 1201 E. WALNUT STREET CITY: SPRINGFIELD STATE: MO ZIP: 65802 BUSINESS PHONE: 417-869-9980 MAIL ADDRESS: STREET 1: 1201 E. WALNUT STREET CITY: SPRINGFIELD STATE: MO ZIP: 65802 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001566414 XXXXXXXX 12-31-2016 12-31-2016 SignalPoint Asset Management, LLC

1201 E. WALNUT STREET SPRINGFIELD MO 65802

13F HOLDINGS REPORT 028-15113 N Walter R Costenbader 8609974160 Walter R Costenbader Concord NC 02-01-2017 0 304 8639880 false INFORMATION TABLE 2 signalpoint13f4q2016.xml Apple, Inc. COM COM 037833100 7071 61048 SH SOLE 0 0 61048 Apple, Inc. COM COM 037833100 23 200 SH OTR 0 0 200 ABBVIE INC. COM COM 00287Y109 624 9968 SH SOLE 0 0 9968 ABBOTT LABS COM COM 002824100 293 7641 SH SOLE 0 0 7641 AFLAC INC SUB DEB 52 COM 001055300 383 15820 SH SOLE 0 0 15820 AMAG Pharmaceuticals COM 00163u106 686 19702 SH SOLE 0 0 19702 Applied Materials, Inc. COM 038222105 678 21017 SH SOLE 0 0 21017 Applied Materials, Inc. COM 038222105 3 100 SH OTR 0 0 100 Amgen Inc. COM 031162100 215 1467 SH SOLE 0 0 1467 JPMORGAN CHASE & CO ALERI COM 46625h365 292 9252 SH SOLE 0 0 9252 ALPS MLP ETF - ALERIAN ML COM 00162Q866 2332 185088 SH SOLE 0 0 185088 AMAZON COM INC COM COM 023135106 727 970 SH SOLE 0 0 970 ARRIS International Plc COM G0551A103 565 18761 SH SOLE 0 0 18761 Broadcom Ltd. COM y09827109 593 3352 SH SOLE 0 0 3352 AMERICAN EXPRESS CO COM COM 025816109 280 3775 SH SOLE 0 0 3775 BOEING CO COM 097023105 444 2852 SH SOLE 0 0 2852 Alibaba Holdings Ltd. ADR COM 01609w102 301 3424 SH SOLE 0 0 3424 Bank Of America COM 060505104 1164 52661 SH SOLE 0 0 52661 Bank Of America COM 060505104 64 2896 SH OTR 0 0 2896 Banc Calif Inc COM 05990K106 470 27088 SH SOLE 0 0 27088 BAXTER INTL INC COM COM 071813109 211 4754 SH SOLE 0 0 4754 BLACKROCK BLD AMER BOND T COM 09248X100 455 21081 SH SOLE 0 0 21081 BB&T CORP DEP SHS REPSTG PFD 054937206 244 9943 SH SOLE 0 0 9943 BB&T CORP DEP SHS REPSTG PFD 054937404 226 9500 SH SOLE 0 0 9500 Brunswick Corporation COM COM 117043109 665 12202 SH SOLE 0 0 12202 BAIDU INC SPON ADR REP A COM 056752108 1192 7248 SH SOLE 0 0 7248 VANGUARD INTERMEDIATE TER ETF 921937819 5925 71320 SH SOLE 0 0 71320 VANGUARD INTERMEDIATE TER ETF 921937819 8 93 SH OTR 0 0 93 PowerShares ETF SENIOR LO ETF 73936q769 317 13558 SH SOLE 0 0 13558 Builders Firstsource COM 12008R107 495 45134 SH SOLE 0 0 45134 VANGUARD LONG TERM BOND I ETF 921937793 5692 63862 SH SOLE 0 0 63862 VANGUARD LONG TERM BOND I ETF 921937793 7 76 SH OTR 0 0 76 BRISTOL-MYERS SQUIBB CO COM 110122108 538 9198 SH SOLE 0 0 9198 BP PLC ADR COM 055622104 719 19230 SH SOLE 0 0 19230 BP PLC ADR COM 055622104 397 10620 SH OTR 0 0 10620 Buckeye Partners Ltd. COM 118230101 238 3593 SH SOLE 0 0 3593 Buckeye Partners Ltd. COM 118230101 34 507 SH OTR 0 0 507 BERKSHIRE HATHAWAY B NEW COM 084670702 826 5071 SH SOLE 0 0 5071 BEAR ST FINL INC COM COM 32020F303 111 10919 SH SOLE 0 0 10919 BAXTER INTERNATIONAL INC COM 09253u108 214 7924 SH SOLE 0 0 7924 CITIGROUP INC (NEW) COM 172967424 217 3647 SH SOLE 0 0 3647 CABELAS INC COM COM 126804301 280 4776 SH SOLE 0 0 4776 CARDINAL HEALTH INC COM COM 14149Y108 252 3505 SH SOLE 0 0 3505 CATERPILLAR INC DEL COM COM 149123101 318 3432 SH SOLE 0 0 3432 COMMERCE BANCSHARES COM COM 200525103 229 3959 SH SOLE 0 0 3959 COMCAST CORP NEW CL A COM 20030n101 250 3616 SH SOLE 0 0 3616 COMCAST CORP NEW CL A COM 20030n101 29 427 SH SOLE 0 0 427 Commscope Hldg Co COM 20337X109 606 16303 SH SOLE 0 0 16303 CONOCOPHILLIPS COM 20825C104 1089 21725 SH SOLE 0 0 21725 Cisco Systems Inc. COM 17275r102 558 18454 SH SOLE 0 0 18454 Cisco Systems Inc. COM 17275r102 18 606 SH OTR 0 0 606 CSX CORP COM COM 126408103 329 9170 SH SOLE 0 0 9170 QWEST CORP NT 7 25 COM 74913G501 287 11701 SH SOLE 0 0 11701 QWEST CORP NT COM 74913G600 243 10700 SH SOLE 0 0 10700 Chevron Corporation COM 166764100 2248 19096 SH SOLE 0 0 19096 SPDR ETF CONVERTIBLE SECU ETF 78464A359 441 9660 SH SOLE 0 0 9660 DBX ETF TR XTRAK MSCI EAF ETF 233051200 220 7852 SH SOLE 0 0 7852 DBX ETF TR XTRAK MSCI EAF ETF 233051200 1 29 SH OTR 0 0 29 WISDOMTREE EMERGING MKTS ETF 97717w315 799 21388 SH SOLE 0 0 21388 WISDOMTREE SMALL CAP DIVI ETF 97717w604 1087 13136 SH SOLE 0 0 13136 SPDR DOW JONES INDUSTRIAL ETF 78467x109 572 2893 SH SOLE 0 0 2893 WISDOMTREE INTERNATIONAL ETF 97717W778 411 7426 SH SOLE 0 0 7426 DISNEY WALT CO COM DISNEY COM 254687106 362 3472 SH SOLE 0 0 3472 WISDOMTREE TRUST LARGE CA ETF 97717W307 435 5446 SH SOLE 0 0 5446 WISDOMTREE INTERNATIONAL ETF 97717w760 961 16008 SH SOLE 0 0 16008 Dollar Tree Inc. COM 256746108 462 5985 SH SOLE 0 0 5985 WISDOMTREE MID-CAP DIVIDE ETF 97717w505 1137 12048 SH SOLE 0 0 12048 DUFF & PHELPS GLB UTL COM ETF 26433c105 216 13926 SH SOLE 0 0 13926 WISDOMTREE INTERNATIONAL ETF 97717w331 1393 55158 SH SOLE 0 0 55158 WISDOMTREE INTERNATIONAL ETF 97717w331 139 5500 SH OTR 0 0 5500 WISDOMTREE DEFA EQUITY IN ETF 97717w802 705 18508 SH SOLE 0 0 18508 DUKE ENERGY CORP NEW COM COM 26441C204 327 4213 SH SOLE 0 0 4213 DUKE ENERGY CORP NEW JR S COM 26441C303 440 18400 SH SOLE 0 0 18400 ISHARES SELECT DIVIDEND E ETF 464287168 233 2632 SH SOLE 0 0 2632 ENTERGY ARK INC 1MTG BD 5 COM 29364D761 371 17050 SH SOLE 0 0 17050 EMPIRE DIST ELEC CO COM COM 291641108 667 19580 SH SOLE 0 0 19580 EMPIRE DIST ELEC CO COM COM 291641108 68 1997 SH OTR 0 0 1997 ISHARES TR MSCI EAFE INDE ETF 464287465 381 6600 SH SOLE 0 0 6600 ISHARES TR MSCI EAFE INDE ETF 464287465 2 27 SH OTR 0 0 27 FIRST TRUST ETF NORTH AME ETF 33738d101 980 38813 SH SOLE 0 0 38813 Emerson Electric Company COM 291011104 492 8820 SH SOLE 0 0 8820 Emerson Electric Company COM 291011104 28 504 SH OTR 0 0 504 Enterprise Products LP COM 29273V100 337 12478 SH SOLE 0 0 12478 ISHARES MSCI PACIFIC EX-J ETF 464286665 3488 88145 SH SOLE 0 0 88145 Essent Group Ltd. COM COM g3198u102 728 22498 SH SOLE 0 0 22498 Edwards Lifesciences, Inc COM 28176e108 388 4143 SH SOLE 0 0 4143 ISHARES MSCI JAPAN INDEX ETF 464286848 10627 217505 SH SOLE 0 0 217505 Guggenheim S&P 500 Equal ETF 78355W486 476 18078 SH SOLE 0 0 18078 EXACT SCIENCES CORP COM COM 30063p105 737 55172 SH SOLE 0 0 55172 ISHARES MSCI EMU INDEX ETF 464286608 3127 90374 SH SOLE 0 0 90374 Ford Motor Company COM 345370860 555 45747 SH SOLE 0 0 45747 Facebook, Inc. COM 30303m102 503 4375 SH SOLE 0 0 4375 FIRST BANCSHS INC MO COM COM 318687100 1563 135946 SH SOLE 0 0 135946 FIRST TRUST ETF ARCA BIOT ETF 33733E203 1069 11758 SH SOLE 0 0 11758 FIRST TRUST ETF ALPHADEX ETF 33737J182 1519 74780 SH SOLE 0 0 74780 FIRST TRUST ETF ALPHADEX ETF 33737J117 1638 56114 SH SOLE 0 0 56114 FIRST TRUST ETF DJ GLOBAL ETF 33734x200 367 15730 SH SOLE 0 0 15730 FIRST TRUST ETF ALPHADEX ETF 33737J158 1576 33120 SH SOLE 0 0 33120 FIRST TRUST ETF ALPHADEX ETF 33737J125 1283 68946 SH SOLE 0 0 68946 Schwab Fundamental US Lar ETF 808524771 694 21256 SH SOLE 0 0 21256 Schwab Fundamental US Lar ETF 808524771 3 79 SH OTR 0 0 79 FIRST TRUST ETF ALPHADEX ETF 33737J109 1956 71951 SH SOLE 0 0 71951 FIRST TRUST US IPO INDEX ETF 336920103 1059 19560 SH SOLE 0 0 19560 FIRST TRUST US IPO INDEX ETF 336920103 2 74 SH OTR 0 0 74 First Trust Value Dividen ETF 33734H106 678 24185 SH SOLE 0 0 24185 FIRST TRUST VALUE LINE 10 ETF 33735g107 2397 110894 SH SOLE 0 0 110894 FIRST TRUST VALUE LINE 10 ETF 33735g107 24 1130 SH OTR 0 0 1130 FIRST TRUST ETF ALPHADEX ETF 33734X101 6115 172246 SH SOLE 0 0 172246 FIRST TRUST ETF ALPHADEX ETF 33734X119 4744 103693 SH SOLE 0 0 103693 FIRST TRUST ETF ALPHADEX ETF 33734X143 7058 123173 SH SOLE 0 0 123173 FIRST TRUST ETF ALPHADEX ETF 33734X176 6889 181756 SH SOLE 0 0 181756 FIRST TRUST ETF ALPHADEX ETF 33734X127 4156 251740 SH SOLE 0 0 251740 FIRST TRUST ETF ALPHADEX ETF 33734X135 6403 236876 SH SOLE 0 0 236876 FIRST TRUST ETF ALPHADEX ETF 33734X150 6370 193733 SH SOLE 0 0 193733 FIRST TRUST ETF ALPHADEX ETF 33734X184 3617 135316 SH SOLE 0 0 135316 FIRST TRUST ETF ALPHADEX ETF 33734X168 4470 124753 SH SOLE 0 0 124753 GUGGENHEIM BLD AMR BONDS ETF 401664107 311 14548 SH SOLE 0 0 14548 GENERAL ELECTRIC CO COM 369604103 1754 55503 SH SOLE 0 0 55503 GENERAL ELECTRIC CO COM 369604103 89 2819 SH OTR 0 0 2819 Gilead Sciences Inc. COM COM 375558103 274 3827 SH SOLE 0 0 3827 SPDR TRUST GOLD SHARES ETF 78463v107 213 1945 SH SOLE 0 0 1945 SPDR TRUST GOLD SHARES ETF 78463v107 9 85 SH OTR 0 0 85 Corning Inc. COM COM 219350105 267 10998 SH SOLE 0 0 10998 Alphabet, Inc Class C COM 02079k107 783 1015 SH SOLE 0 0 1015 GOOGLE INC CL A COM 38259p508 907 1145 SH SOLE 0 0 1145 GREAT SOUTHERN BANCORP IN COM 390905107 240 4388 SH SOLE 0 0 4388 GREAT SOUTHERN BANCORP IN COM 390905107 14 258 SH OTR 0 0 258 GLAXOSMITHKLINE PLC SPONS COM 37733w105 268 6957 SH SOLE 0 0 6957 Gray Television, Inc. COM COM 389375106 501 46166 SH SOLE 0 0 46166 HALLIBURTON CO COM COM 406216101 328 6060 SH SOLE 0 0 6060 Home Depot, Inc. COM COM 437076102 649 4839 SH SOLE 0 0 4839 HD Supply Holdings, Inc. COM 40416M105 811 19088 SH SOLE 0 0 19088 HARLEY DAVIDSON INC COM COM 412822108 252 4321 SH SOLE 0 0 4321 HELMERICH & PAYNE INC COM COM 423452101 983 12695 SH SOLE 0 0 12695 Hershey Company COM 427866108 219 2114 SH SOLE 0 0 2114 Hershey Company COM 427866108 10 100 SH OTR 0 0 100 ISHARES IBOXX HIGH YIELD ETF 464288513 6861 79275 SH SOLE 0 0 79275 ISHARES IBOXX HIGH YIELD ETF 464288513 152 1756 SH OTR 0 0 1756 FIRST TRUST TACTICAL HIGH ETF 33738D408 927 19217 SH SOLE 0 0 19217 ISHARES GOLD TRUST ISHARE ETF 464285105 3180 287024 SH SOLE 0 0 287024 INTL BUSINESS MACH COM 459200101 775 4667 SH SOLE 0 0 4667 INTL BUSINESS MACH COM 459200101 12 70 SH OTR 0 0 70 InterDigital Inc. COM 45867g101 547 5990 SH SOLE 0 0 5990 ISHARES ETF 7-10 YEAR TRE ETF 464287440 5886 56148 SH SOLE 0 0 56148 ISHARES ETF 7-10 YEAR TRE ETF 464287440 7 68 SH OTR 0 0 68 ICAHN ENTERPRISES L.P. COM 029169109 381 6363 SH SOLE 0 0 6363 ISHARES S&P LATIN AMERICA COM 464287390 1787 64799 SH SOLE 0 0 64799 INTEL CORP COM 458140100 707 19495 SH SOLE 0 0 19495 INTEL CORP COM 458140100 22 600 SH OTR 0 0 600 Jetblue Airways Corp. COM COM 477143101 496 22107 SH SOLE 0 0 22107 HENRY JACK & ASSOC INC COM 426281101 25387 285956 SH SOLE 0 0 285956 JOHNSON & JOHNSON COM 478160104 1405 12198 SH SOLE 0 0 12198 JOHNSON & JOHNSON COM 478160104 23 201 SH OTR 0 0 201 SPDR BARCLAYS HIGH YIELD ETF 78464A417 1879 51546 SH SOLE 0 0 51546 SPDR BARCLAYS HIGH YIELD ETF 78464A417 50 1385 SH OTR 0 0 1385 JPMORGAN CHASE & CO COM 46625h100 520 6029 SH SOLE 0 0 6029 JPMORGAN CHASE & CO DEP 1 PFD 46637G124 992 40262 SH SOLE 0 0 40262 Kraft Heinz Company COM 500754106 725 8304 SH SOLE 0 0 8304 Kraft Heinz Company COM 500754106 3 34 SH OTR 0 0 34 KIMCO RLTY CORP DEP 1/100 PFD 49446R778 346 14800 SH SOLE 0 0 14800 KIMCO RLTY CORP DEP1/1000 PFD 49446R745 254 10862 SH SOLE 0 0 10862 KKR & CO L P DEL PFD UNIT PFD 48248M201 278 11000 SH SOLE 0 0 11000 KIMBERLY CLARK CORP COM 494368103 305 2670 SH SOLE 0 0 2670 KINDER MORGAN INC DEL COM COM 49456B101 866 41834 SH SOLE 0 0 41834 COCA COLA COMPANY COM 191216100 419 10097 SH SOLE 0 0 10097 KROGER CO COM COM 501044101 239 6928 SH SOLE 0 0 6928 KANSAS CITY SOUTHERN COM COM 485170302 245 2888 SH SOLE 0 0 2888 LEGGETT & PLATT INC COM COM 524660107 462 9451 SH SOLE 0 0 9451 LKQ Corp. COM 501889208 500 16315 SH SOLE 0 0 16315 LOCKHEED MARTIN CORP COM COM 539830109 362 1448 SH SOLE 0 0 1448 ISHARES IBOXX INVESTMENT ETF 464287242 6909 58957 SH SOLE 0 0 58957 ISHARES IBOXX INVESTMENT ETF 464287242 9 74 SH OTR 0 0 74 MCDONALDS CORP COM 580135101 676 5554 SH SOLE 0 0 5554 MCDONALDS CORP COM 580135101 15 120 SH OTR 0 0 120 MDC Holdings, Inc. COM 552676108 524 20432 SH SOLE 0 0 20432 MONDELEZ INTL INC CL A COM 609207105 219 4940 SH SOLE 0 0 4940 MONDELEZ INTL INC CL A COM 609207105 5 103 SH OTR 0 0 103 SPDR S&P MIDCAP 400 ETF ETF 78467y107 234 775 SH SOLE 0 0 775 3M CO COM COM 88579Y101 650 3640 SH SOLE 0 0 3640 MAGELLAN MIDSTREAM PRT CO COM 559080106 759 10032 SH SOLE 0 0 10032 Altria Group Inc. COM 02209s103 1234 18241 SH SOLE 0 0 18241 Altria Group Inc. 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COM 91324P102 969 6052 SH SOLE 0 0 6052 UNITED PARCEL SERVICE CL COM 911312106 229 1999 SH SOLE 0 0 1999 UNITED PARCEL SERVICE CL COM 911312106 17 152 SH OTR 0 0 152 U S BANCORP DEL NEW COM 902973304 2752 53566 SH SOLE 0 0 53566 VANGUARD SCOTTSDALE FD SH ETF 92206C409 1552 19552 SH SOLE 0 0 19552 VANGUARD SCOTTSDALE FD SH ETF 92206C409 2 27 SH OTR 0 0 27 VANGUARD REIT INDEX ETF ETF 922908553 10772 130516 SH SOLE 0 0 130516 VANGUARD REIT INDEX ETF ETF 922908553 11 136 SH OTR 0 0 136 VANGUARD INDEX FDS MCAP V ETF 922908512 1397 14377 SH SOLE 0 0 14377 VANGUARD INDEX FDS MCAP V ETF 922908512 5 53 SH OTR 0 0 53 VANGUARD INDEX FDS S&P500 ETF 922908363 5432 26455 SH SOLE 0 0 26455 VANGUARD INDEX FDS S&P500 ETF 922908363 353 1719 SH OTR 0 0 1719 Verizon Communications COM 92343v104 1527 28615 SH SOLE 0 0 28615 Verizon Communications COM 92343v104 264 4951 SH OTR 0 0 4951 Walgreens Boots Alliance COM 931427108 537 6486 SH SOLE 0 0 6486 Western Digital Corporati COM 958102105 863 12702 SH SOLE 0 0 12702 Wells Fargo & Company NEW COM 949746101 1048 19021 SH SOLE 0 0 19021 Wells Fargo & Company NEW COM 949746101 11 202 SH OTR 0 0 202 WELLS FARGO 8.00 PFD NON PFD 949746879 276 10440 SH SOLE 0 0 10440 WELLS FARGO 8.00 PFD NON PFD 949746879 106 4000 SH OTR 0 0 4000 WELLS FARGO & CO NEW DEP1 PFD 949746721 525 22840 SH SOLE 0 0 22840 Wal-Mart Stores Inc. 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