Chief Operating Officer

0001653168-15-000001.txt : 20150928 0001653168-15-000001.hdr.sgml : 20150928 20150928123359 ACCESSION NUMBER: 0001653168-15-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150928 DATE AS OF CHANGE: 20150928 EFFECTIVENESS DATE: 20150928 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ken Stern & Associates, Inc. CENTRAL INDEX KEY: 0001653168 IRS NUMBER: 330879374 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16999 FILM NUMBER: 151126764 BUSINESS ADDRESS: STREET 1: 3655 NOBEL DRIVE STREET 2: SUITE 630 CITY: SAN DIEGO STATE: CA ZIP: 92122 BUSINESS PHONE: 858-485-0404 MAIL ADDRESS: STREET 1: 3655 NOBEL DRIVE STREET 2: SUITE 630 CITY: SAN DIEGO STATE: CA ZIP: 92122 13F-HR 1 primary_doc.xml 13F-HR LIVE false true true 0001653168 XXXXXXXX 12-31-2014 12-31-2014 Ken Stern & Associates, Inc.

3655 NOBEL DRIVE SUITE 630 SAN DIEGO CA 92122

13F HOLDINGS REPORT 028-16999 N Brian Hendricks Chief Operating Officer 858-485-0404 Brian Hendricks San Diego CA 09-28-2015 0 85 131604542 false INFORMATION TABLE 2 2014fourthquarterKSA.xml ACE LTD-ORD SHS H0023R105 383125 3335 SH SOLE 0 3335 0 0 ACTAVIS PLC SHS G0083B108 952417 3700 SH SOLE 0 3700 0 0 AES CORP COMMON STOCK 00130H105 784739 56989 SH SOLE 0 56989 0 0 AETNA INC NEW COMMON STOCK 00817Y108 251224 2828 SH SOLE 0 2828 0 0 AFFILIATED MANAGERS GROUP COMMON STOCK 008252108 780831 3679 SH SOLE 0 3679 0 0 ALIGN TECHNOLOGY INC COMMON STOCK 16255101 638548 11421 SH SOLE 0 11421 0 0 AMERICAN CAMPUS COMM COMMON STOCK 024835100 818543 19791 SH SOLE 0 19791 0 0 AMERICAN TOWER CORP COMMON STOCK 29912201 822958 8325 SH SOLE 0 8325 0 0 APPLE INC COMMON STOCK 037833100 973602 8820 SH SOLE 0 8820 0 0 APPLIED MATLS INC COMMON STOCK 038222105 317372 12736 SH SOLE 0 12736 0 0 BOEING CO COMMON STOCK 097023105 803600 6182 SH SOLE 0 6182 0 0 CABELAS INC COMMON STOCK 126804301 352999 6697 SH SOLE 0 6697 0 0 CADENCE DESIGN SYSTEM INC COMMON STOCK 127387108 1043502 55008 SH SOLE 0 55008 0 0 CAPITAL ONE FINL CORP COMMON STOCK 14040H105 1398645 16943 SH SOLE 0 16943 0 0 CELGENE CORP COMMON STOCK 151020104 1225538 10956 SH SOLE 0 10956 0 0 CHEVRON CORP NEW COMMON STOCK 166764100 1435529 12797 SH SOLE 0 12797 0 0 CITRIX SYS INC COMMON STOCK 177376100 1094533 17156 SH SOLE 0 17156 0 0 CVS HEALTH CORP COMMON STOCK 126650100 2092238 21724 SH SOLE 0 21724 0 0 EATON VANCE LTD DUR INCOME F COMMON STOCK 27828H105 1842191 130467 SH SOLE 0 130467 0 0 EATON VANCE SH TM DR DIVR IN COMMON STOCK 27828V104 154377 10910 SH SOLE 0 10910 0 0 ENTERPRISE PRODS PARTNERS L COMMON STOCK 293792107 207329 5740 SH SOLE 0 5740 0 0 EXPRESS SCRIPTS HLDG CO COMMON STOCK 30219G108 899365 10622 SH SOLE 0 10622 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 257993 2791 SH SOLE 0 2791 0 0 FASTENAL CO COMMON STOCK 311900104 858315 18047 SH SOLE 0 18047 0 0 FEDEX CORP COMMON STOCK 31428X106 1432712 8250 SH SOLE 0 8250 0 0 FLOWERS FOODS INC COMMON STOCK 343498101 551713 28750 SH SOLE 0 28750 0 0 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 203144 1048 SH SOLE 0 1048 0 0 HORNBECK OFFSHORE SVCS INC N COMMON STOCK 440543106 233994 9371 SH SOLE 0 9371 0 0 ISHARES TR MSCI EAFE ETF 464287465 6554701 107737 SH SOLE 0 107737 0 0 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 221427 2338 SH SOLE 0 2338 0 0 INFORMATICA CORP COMMON STOCK 45666Q102 616643 16170 SH SOLE 0 16170 0 0 INTEL CORP COMMON STOCK 458140100 532142 14664 SH SOLE 0 14664 0 0 INTL PAPER CO COMMON STOCK 460146103 658654 12293 SH SOLE 0 12293 0 0 ISHARES JP MOR EM MK ETF 464288281 235657 2148 SH SOLE 0 2148 0 0 ISHARES TR SP SMCP600 VL ETF 464287879 7529276 63840 SH SOLE 0 63840 0 0 ISHARES TR RUS 1000 ETF 464287622 4157745 36271 SH SOLE 0 36271 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 3590395 32172 SH SOLE 0 32172 0 0 JPMORGAN CHASE & CO COMMON STOCK 46625H100 268115 4284 SH SOLE 0 4284 0 0 JOHNSON & JOHNSON COMMON STOCK 478160104 723197 6916 SH SOLE 0 6916 0 0 KELLOGG CO COMMON STOCK 487836108 207903 3177 SH SOLE 0 3177 0 0 KINDER MORGAN INC DEL COMMON STOCK 49456B101 667620 15779 SH SOLE 0 15779 0 0 LAM RESEARCH CORP COMMON STOCK 512807108 1462950 18439 SH SOLE 0 18439 0 0 METLIFE INC COMMON STOCK 59156R108 633534 11713 SH SOLE 0 11713 0 0 MICRON TECHNOLOGY INC COMMON STOCK 595112103 271818 7764 SH SOLE 0 7764 0 0 MYLAN LABORATORIES INC COMMON STOCK 595112103 271818 7764 SH SOLE 0 7764 0 0 NCP CORP NEW COMMON STOCK 62886E108 534952 18358 SH SOLE 0 18358 0 0 NOBLE CORP PLC SHS USD G65431101 242231 14619 SH SOLE 0 14619 0 0 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 205976 1879 SH SOLE 0 1879 0 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 163997 18700 SH SOLE 0 18700 0 0 NUVEEN QUALITY PFD INCOME FD COMMON STOCK 67072C105 2141456 240613 SH SOLE 0 240613 0 0 PEPSICO INC COMMON STOCK 713448108 220815 2335 SH SOLE 0 2335 0 0 POWERSHARES ETF TRUST DYN PHARM PORT ETF 73935X799 4083426 61377 SH SOLE 0 61377 0 0 PPL CORP COMMON STOCK 69351T106 222411 6122 SH SOLE 0 6122 0 0 PROCTOR & GAMBLE CO COMMON STOCK 742718109 307592 3377 SH SOLE 0 3377 0 0 PULTE GROUP INC COMMON STOCK 745867101 1123482 52352 SH SOLE 0 52352 0 0 QUALCOMM INC COMMON STOCK 747525103 1456943 19601 SH SOLE 0 19601 0 0 RAYMOND JAMES FINANCIAL INC COMMON STOCK 754730109 905327 15803 SH SOLE 0 15803 0 0 RAYTHEON CO COM NEW 755111507 223178 2063 SH SOLE 0 2063 0 0 RYDEX ETF TRUST GUG S&P500 EQ WT ETF 78355W106 4452547 55622 SH SOLE 0 55622 0 0 RYDEX ETF TRUST GUG S&P MC400 PG ETF 78355W601 8516440 69921 SH SOLE 0 69921 0 0 SCHLUMBERGER LTD COMMON STOCK 806857108 730975 8558 SH SOLE 0 8558 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS COMMON STOCK 81369Y308 3902863 80488 SH SOLE 0 80488 0 0 SELECT SECTOR SPDR TR TECHNOLOGY COMMON STOCK 81369Y803 4445106 107500 SH SOLE 0 107500 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS COMMON STOCK 81369Y886 4188272 88697 SH SOLE 0 88697 0 0 SMITH A O COMMON STOCK 831865209 942611 16710 SH SOLE 0 16710 0 0 SPDR SER TR SHT TRM HGH YLD COMMON STOCK 78468R408 5352035 185127 SH SOLE 0 185127 0 0 SPDR SERIES TRUST BRC HGH YLD BD COMMON STOCK 78464A417 437683 11336 SH SOLE 0 11336 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE COMMON STOCK 81369Y209 45604429 66692 SH SOLE 0 66692 0 0 SPDR SERIES TRUST BRCLYS INTL ETF ETF 78464A516 664791 12015 SH SOLE 0 12015 0 0 TYSON FOODS INC CL A COMMON STOCK 902494103 1064790 26560 SH SOLE 0 26560 0 0 UNITED PARCEL SERVICE INC CL B COMMON STOCK 911312106 224252 2017 SH SOLE 0 2017 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 4360682 41737 SH SOLE 0 41737 0 0 VANGUARD INDEX FDS REIT ETF 922908553 4007282 49473 SH SOLE 0 49473 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4776694 25354 SH SOLE 0 25354 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD ETF 92206C409 9423517 118341 SH SOLE 0 118341 0 0 VANGUARD INDEX FDS TOTAL STK MKT ETF 922908769 247298 2973 SH SOLE 0 2973 0 0 VENTAS INC COMMON STOCK 92276F100 1123252 15666 SH SOLE 0 15666 0 0 VERIZON COMMUNICATIONS INC 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