0001653168-16-000016.txt : 20160610 0001653168-16-000016.hdr.sgml : 20160610 20160609191948 ACCESSION NUMBER: 0001653168-16-000016 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20160610 DATE AS OF CHANGE: 20160609 EFFECTIVENESS DATE: 20160610 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16999 FILM NUMBER: 161707116 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001653168 XXXXXXXX 12-31-2014 12-31-2014 true 2 RESTATEMENT Ken Stern & Associates, Inc.

3655 NOBEL DRIVE SUITE 630 SAN DIEGO CA 92122

13F HOLDINGS REPORT 028-16999 N Brian Hendricks 858-485-0404 Brian Hendricks San Diego CA 06-09-2016 0 78 128556 false INFORMATION TABLE 2 2014fourthquarterkensternrev.xml ACE LTD-ORD SHS H0023R105 383 3335 SH SOLE 0 0 0 3335 ACTAVIS PLC SHS G0083B108 952 3700 SH SOLE 0 0 0 3700 AES CORP COMMON STOCK 00130H105 785 56989 SH SOLE 0 0 0 56989 AETNA INC NEW COMMON STOCK 00817Y108 251 2828 SH SOLE 0 0 0 2828 AFFILIATED MANAGERS GROUP COMMON STOCK 008252108 781 3679 SH SOLE 0 0 0 3679 ALIGN TECHNOLOGY INC COMMON STOCK 16255101 639 11421 SH SOLE 0 0 0 11421 AMERICAN CAMPUS COMM COMMON STOCK 024835100 819 19791 SH SOLE 0 0 0 19791 AMERICAN TOWER CORP COMMON STOCK 29912201 823 8325 SH SOLE 0 0 0 8325 APPLE INC COMMON STOCK 037833100 974 8820 SH SOLE 0 0 0 8820 APPLIED MATLS INC COMMON STOCK 038222105 317 12736 SH SOLE 0 0 0 12736 BOEING CO COMMON STOCK 097023105 804 6182 SH SOLE 0 0 0 6182 CABELAS INC COMMON STOCK 126804301 353 6697 SH SOLE 0 0 0 6697 CADENCE DESIGN SYSTEM INC COMMON STOCK 127387108 1044 55008 SH SOLE 0 0 0 55008 CAPITAL ONE FINL CORP COMMON STOCK 14040H105 1399 16943 SH SOLE 0 0 0 16943 CELGENE CORP COMMON STOCK 151020104 1226 10956 SH SOLE 0 0 0 10956 CHEVRON CORP NEW COMMON STOCK 166764100 1436 12797 SH SOLE 0 0 0 12797 CITRIX SYS INC COMMON STOCK 177376100 1095 17156 SH SOLE 0 0 0 17156 CVS HEALTH CORP COMMON STOCK 126650100 2092 21724 SH SOLE 0 0 0 21724 EATON VANCE LTD DUR INCOME F COMMON STOCK 27828H105 1842 130467 SH SOLE 0 0 0 130467 EATON VANCE SH TM DR DIVR IN COMMON STOCK 27828V104 154 10910 SH SOLE 0 0 0 10910 ENTERPRISE PRODS PARTNERS L COMMON STOCK 293792107 207 5740 SH SOLE 0 0 0 5740 EXPRESS SCRIPTS HLDG CO COMMON STOCK 30219G108 899 10622 SH SOLE 0 0 0 10622 EXXON MOBIL CORP COMMON STOCK 30231G102 258 2791 SH SOLE 0 0 0 2791 FASTENAL CO COMMON STOCK 311900104 858 18047 SH SOLE 0 0 0 18047 FEDEX CORP COMMON STOCK 31428X106 1433 8250 SH SOLE 0 0 0 8250 FLOWERS FOODS INC COMMON STOCK 343498101 552 28750 SH SOLE 0 0 0 28750 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 203 1048 SH SOLE 0 0 0 1048 HORNBECK OFFSHORE SVCS INC N COMMON STOCK 440543106 234 9371 SH SOLE 0 0 0 9371 ISHARES TR MSCI EAFE ETF 464287465 6555 107737 SH SOLE 0 0 0 107737 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 221 2338 SH SOLE 0 0 0 2338 INFORMATICA CORP COMMON STOCK 45666Q102 617 16170 SH SOLE 0 0 0 16170 INTEL CORP COMMON STOCK 458140100 532 14664 SH SOLE 0 0 0 14664 INTL PAPER CO COMMON STOCK 460146103 657 12293 SH SOLE 0 0 0 12293 ISHARES JP MOR EM MK ETF 464288281 236 2148 SH SOLE 0 0 0 2148 ISHARES TR SP SMCP600 VL ETF 464287879 7529 63840 SH SOLE 0 0 0 63840 ISHARES TR RUS 1000 ETF 464287622 4158 36271 SH SOLE 0 0 0 36271 ISHARES TR S&P 500 GRWT ETF 464287309 3590 32172 SH SOLE 0 0 0 32172 JPMORGAN CHASE & CO COMMON STOCK 46625H100 268 4284 SH SOLE 0 0 0 4284 JOHNSON & JOHNSON COMMON STOCK 478160104 723 6916 SH SOLE 0 0 0 6916 KELLOGG CO COMMON STOCK 487836108 208 3177 SH SOLE 0 0 0 3177 KINDER MORGAN INC DEL COMMON STOCK 49456B101 668 15779 SH SOLE 0 0 0 15779 LAM RESEARCH CORP COMMON STOCK 512807108 1463 18439 SH SOLE 0 0 0 18439 METLIFE INC COMMON STOCK 59156R108 634 11713 SH SOLE 0 0 0 11713 MICRON TECHNOLOGY INC COMMON STOCK 595112103 272 7764 SH SOLE 0 0 0 7764 NCR CORP NEW COMMON STOCK 62886E108 535 18358 SH SOLE 0 0 0 18358 NOBLE CORP PLC SHS USD G65431101 242 14619 SH SOLE 0 0 0 14619 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 206 1879 SH SOLE 0 0 0 1879 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 164 18700 SH SOLE 0 0 0 18700 NUVEEN QUALITY PFD INCOME FD COMMON STOCK 67072C105 2141 240613 SH SOLE 0 0 0 240613 PEPSICO INC COMMON STOCK 713448108 221 2335 SH SOLE 0 0 0 2335 POWERSHARES ETF TRUST DYN PHARM PORT ETF 73935X799 4083 61377 SH SOLE 0 0 0 61377 PPL CORP COMMON STOCK 69351T106 222 6122 SH SOLE 0 0 0 6122 PROCTOR & GAMBLE CO COMMON STOCK 742718109 308 3377 SH SOLE 0 0 0 3377 PULTE GROUP INC COMMON STOCK 745867101 1123 52352 SH SOLE 0 0 0 52352 QUALCOMM INC COMMON STOCK 747525103 1457 19601 SH SOLE 0 0 0 19601 RAYMOND JAMES FINANCIAL INC COMMON STOCK 754730109 905 15803 SH SOLE 0 0 0 15803 RAYTHEON CO COM NEW 755111507 223 2063 SH SOLE 0 0 0 2063 RYDEX ETF TRUST GUG S&P500 EQ WT ETF 78355W106 4453 55622 SH SOLE 0 0 0 55622 RYDEX ETF TRUST GUG S&P MC400 PG ETF 78355W601 8516 69921 SH SOLE 0 0 0 69921 SCHLUMBERGER LTD COMMON STOCK 806857108 731 8558 SH SOLE 0 0 0 8558 SELECT SECTOR SPDR TR SBI CONS STPLS COMMON STOCK 81369Y308 3903 80488 SH SOLE 0 0 0 80488 SELECT SECTOR SPDR TR TECHNOLOGY COMMON STOCK 81369Y803 4445 107500 SH SOLE 0 0 0 107500 SELECT SECTOR SPDR TR SBI INT-UTILS COMMON STOCK 81369Y886 4188 88697 SH SOLE 0 0 0 88697 SMITH A O COMMON STOCK 831865209 943 16710 SH SOLE 0 0 0 16710 SPDR SER TR SHT TRM HGH YLD COMMON STOCK 78468R408 5352 185127 SH SOLE 0 0 0 185127 SPDR SERIES TRUST BRC HGH YLD BD COMMON STOCK 78464A417 438 11336 SH SOLE 0 0 0 11336 SELECT SECTOR SPDR TR SBI HEALTHCARE COMMON STOCK 81369Y209 4560 66692 SH SOLE 0 0 0 66692 SPDR SERIES TRUST BRCLYS INTL ETF ETF 78464A516 665 12015 SH SOLE 0 0 0 12015 TYSON FOODS INC CL A COMMON STOCK 902494103 1065 26560 SH SOLE 0 0 0 26560 UNITED PARCEL SERVICE INC CL B COMMON STOCK 911312106 224 2017 SH SOLE 0 0 0 2017 VANGUARD WORLD FDS INF TECH ETF 92204A702 4361 41737 SH SOLE 0 0 0 41737 VANGUARD INDEX FDS REIT ETF 922908553 4007 49473 SH SOLE 0 0 0 49473 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4777 25354 SH SOLE 0 0 0 25354 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD ETF 92206C409 9424 118341 SH SOLE 0 0 0 118341 VANGUARD INDEX FDS TOTAL STK MKT ETF 922908769 247 2973 SH SOLE 0 0 0 2973 VENTAS INC COMMON STOCK 92276F100 1123 15666 SH SOLE 0 0 0 15666 VERIZON COMMUNICATIONS INC COMMON STOCK 92343V104 880 18807 SH SOLE 0 0 0 18807 WHOLE FOODS MKT INC COMMON STOCK 966837106 1280 25383 SH SOLE 0 0 0 25383