Chief Operating Officer

0001653168-16-000008.txt : 20160127 0001653168-16-000008.hdr.sgml : 20160127 20160127084243 ACCESSION NUMBER: 0001653168-16-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160127 DATE AS OF CHANGE: 20160127 EFFECTIVENESS DATE: 20160127 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: 161363058 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 false 0001653168 XXXXXXXX 12-31-2015 12-31-2015 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 01-27-2016 0 81 149045 false INFORMATION TABLE 2 2015fourthquarterKSA.xml ABBVIE INC SHS 00287Y109 348 5867 SH SOLE 0 5867 0 0 ACE LTD-ORD SHS H0023R105 798 6826 SH SOLE 0 6826 0 0 AETNA INC NEW COMMON STOCK 00817Y108 300 2776 SH SOLE 0 2776 0 0 AFFILIATED MANAGERS GROUP COMMON STOCK 008252108 204 1280 SH SOLE 0 1280 0 0 AIR LEASE CORP SHS 00912X302 238 7107 SH SOLE 0 7107 0 0 AKORN INCORPORATED COMMON STOCK 009728106 254 6801 SH SOLE 0 6801 0 0 ALPHABET INC CLASS A COMMON STOCK 02079K305 622 800 SH SOLE 0 800 0 0 APPLE INC COMMON STOCK 037833100 1061 10077 SH SOLE 0 10077 0 0 BLACKSTONE GRP LP UNIT LTD COMMON STOCK 0253U108 289 9890 SH SOLE 0 9890 0 0 BROADCOM CORP CL A 111320107 467 8057 SH SOLE 0 8057 0 0 CAPITAL ONE FINL CORP COMMON STOCK 14040H105 834 11552 SH SOLE 0 11552 0 0 CHEVRON CORP NEW COMMON STOCK 166764100 805 8952 SH SOLE 0 8952 0 0 CITRIX SYS INC COMMON STOCK 177376100 892 11787 SH SOLE 0 11787 0 0 CORNING INC COMMON STOCK 219350105 274 15000 SH SOLE 0 15000 0 0 CVS CORP COMMON STOCK 126650100 328 3357 SH SOLE 0 3357 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 397 7828 SH SOLE 0 7828 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 361 4633 SH SOLE 0 4633 0 0 FEDEX CORP COMMON STOCK 31428X106 855 5737 SH SOLE 0 5737 0 0 GOLDMAN SACHS ACTVBETA COMMON STOCK 009728106 2842 68455 SH SOLE 0 68455 0 0 HALLIBURTON CO COMMON STOCK 406216101 200 5881 SH SOLE 0 5881 0 0 HOST HOTELS & RESORT INC COMMON STOCK 44107P104 158 10321 SH SOLE 0 10321 0 0 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 442 4768 SH SOLE 0 4768 0 0 INTEL CORP COMMON STOCK 458140100 853 24772 SH SOLE 0 24772 0 0 ISHARES TR RUS 1000 ETF 464287622 1859 16406 SH SOLE 0 16406 0 0 ISHARES TR GRWT ALLOCAT ETF 464289867 252 6482 SH SOLE 0 6482 0 0 ISHARES TR LEHMAN AGGREGATE ETF 464287266 713 6599 SH SOLE 0 6599 0 0 ISHARES TR RUSSELL 2000 GR ETF 464287648 7295 52375 SH SOLE 0 52375 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 5358 53865 SH SOLE 0 53865 0 0 ISHARES TR CORE S&P500 ETF 464287200 8599 41973 SH SOLE 0 41973 0 0 ISHARES TR MSCI EAFE INDEX ETF 464287465 566 9646 SH SOLE 0 9646 0 0 ISHARES TR S&P SMALLCAP 6 ETF 464287887 1442 11600 SH SOLE 0 11600 0 0 ISHARES TR 3-7 YR BOND ETF 464288661 212 1732 SH SOLE 0 1732 0 0 ISHARES TR BARCLAYS AGENCY B ETF 464288166 187 1653 SH SOLE 0 1653 0 0 ISHARES TR S&P 500 VALUE ETF 464287408 1470 16601 SH SOLE 0 16601 0 0 ISHARES TR S&P SM CAP 600 BA ETF 464287879 1171 10830 SH SOLE 0 10830 0 0 ISHARES TR S&P US PREFERRED ETF 464288687 1302 33523 SH SOLE 0 33523 0 0 ISHARES TR S&P 500/BARRA ETF 464287309 1465 12650 SH SOLE 0 12650 0 0 JPMORGAN CHASE & CO COMMON STOCK 46625H100 469 7103 SH SOLE 0 7103 0 0 JOHNSON & JOHNSON COMMON STOCK 478160104 949 9242 SH SOLE 0 9242 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 350 2832 SH SOLE 0 2832 0 0 LAM RESEARCH CORP COMMON STOCK 512807108 340 4276 SH SOLE 0 4276 0 0 MICRON TECHNOLOGY INC COMMON STOCK 595112103 180 12738 SH SOLE 0 12738 0 0 MYLAN LABORATORIES INC COMMON STOCK 595112103 515 9527 SH SOLE 0 9527 0 0 NORDSTORM INC COMMON STOCK 655664100 226 4534 SH SOLE 0 4534 0 0 NUVEEN QUALITY PFD INCOME FD COM SHS 67072C105 572 62737 SH SOLE 0 62737 0 0 PACCAR INC COMMON STOCK 693718108 209 4410 SH SOLE 0 4410 0 0 PEPSICO INC COMMON STOCK 713448108 373 3736 SH SOLE 0 3736 0 0 POWERSHARES ETF TRUST DYN PHARM PORT ETF 73935X799 4711 67334 SH SOLE 0 67334 0 0 POWERSHARES ETF EXCH TRAD FD TR ETF 73935X583 535 6161 SH SOLE 0 6161 0 0 PPL CORP COMMON STOCK 69351T106 417 12222 SH SOLE 0 12222 0 0 PROCTOR & GAMBLE CO COMMON STOCK 742718109 372 4679 SH SOLE 0 4679 0 0 QUALCOMM INC COMMON STOCK 747525103 748 14954 SH SOLE 0 14954 0 0 RAYTHEON CO COM NEW 755111507 534 4289 SH SOLE 0 4289 0 0 RYDEX ETF TRUST GUG S&P MC400 PG ETF 78355W601 10455 83848 SH SOLE 0 83848 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS COMMON STOCK 81369Y308 5802 114922 SH SOLE 0 114922 0 0 SELECT SECTOR SPDR TR TECHNOLOGY COMMON STOCK 81369Y803 5197 121337 SH SOLE 0 121337 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR COMMON STOCK 81369Y407 5614 71826 SH SOLE 0 71826 0 0 SPDR SER TR BRCLYS 1-3MT ETF COMMON STOCK 78464A680 1397 30576 SH SOLE 0 30576 0 0 SPDR SERIES TRUST S&P DIVID ETF ETF 78464A763 452 6137 SH SOLE 0 6137 0 0 SPDR SERIES TRUST S&P HOMEBUILD ETF 78464A888 3918 114637 SH SOLE 0 114637 0 0 SPDR SERIES TRUST HEALTHCARE SECTOR ETF 81369Y209 6293 87368 SH SOLE 0 87368 0 0 SPDR SERIES TRUST LEHMAN INTL TREASURY ETF 78464A516 1005 19470 SH SOLE 0 19470 0 0 STANDARD & POORS COMMON STOCK 78462F103 409 2005 SH SOLE 0 2005 0 0 STEVE MADDEN LTD COMMON STOCK 556269108 200 6625 SH SOLE 0 6625 0 0 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 342 2409 SH SOLE 0 2409 0 0 UNITED HEALTHCARE CORP COMMON STOCK 910581107 1061 9020 SH SOLE 0 9020 0 0 UNITED PARCEL SERVICE INC CL B COMMON STOCK 911312106 377 3920 SH SOLE 0 3920 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 11534 61702 SH SOLE 0 61702 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD ETF 92206C409 11053 139923 SH SOLE 0 139923 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT ETF 921937835 7406 91704 SH SOLE 0 91704 0 0 VANGUARD INDEX FDS TOTAL STK MKT ETF 922908769 681 6531 SH SOLE 0 6531 0 0 VANGUARD INDEX FDS EMERGING MARKET ETF 922042858 815 24900 SH SOLE 0 24900 0 0 VANGUARD INDEX FDS EUROPE PACIFIC ETF 921943858 206 5602 SH SOLE 0 5602 0 0 VANGUARD INDEX FDS EUROPEAN ETF 922042874 277 5546 SH SOLE 0 5546 0 0 VANGUARD INDEX FDS INFO TECHNOLOGY ETF 92204A702 5130 47376 SH SOLE 0 47376 0 0 VANGUARD INDEX FDS INTERMEDIATE ETF 921937819 5733 69021 SH SOLE 0 69021 0 0 VANGUARD INDEX FDS SMALL CAP ETF 922908751 4290 38778 SH SOLE 0 38778 0 0 VENTAS INC COMMON STOCK 92276F100 591 10479 SH SOLE 0 10479 0 0 VERIZON COMMUNICATIONS INC COMMON STOCK 92343V104 592 12807 SH SOLE 0 12807 0 0 DISNEY WALT CO COMMON STOCK 254687106 578 5505 SH SOLE 0 5505 0 0 WELLS FARGO & CO COMMON STOCK 949746101 424 7807 SH SOLE 0 7807 0 0