0001653168-16-000022.txt : 20160610 0001653168-16-000022.hdr.sgml : 20160610 20160610153947 ACCESSION NUMBER: 0001653168-16-000022 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20160610 DATE AS OF CHANGE: 20160610 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: 161708548 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 03-31-2015 03-31-2015 true 1 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 06-10-2016 0 73 133233 false INFORMATION TABLE 2 2015firstquarterkensternrev.xml ABBVIE INC SHS 00287Y109 465 4525 SH SOLE 0 0 0 4525 ACE LTD-ORD SHS H0023R105 522 4678 SH SOLE 0 0 0 4678 ACTAVIS PLC SHS G0083B108 951 3196 SH SOLE 0 0 0 3196 AETNA INC NEW COMMON STOCK 00817Y108 428 4016 SH SOLE 0 0 0 4016 AFFILIATED MANAGERS GROUP COMMON STOCK 008252108 724 3371 SH SOLE 0 0 0 3371 APPLE INC COMMON STOCK 037833100 1055 8479 SH SOLE 0 0 0 8479 APPLIED MATERIALS INC. COMMON STOCK 038222105 354 15670 SH SOLE 0 0 0 15670 BLACKSTONE GRP LP UNIT LTD COMMON STOCK 0253U108 317 8153 SH SOLE 0 0 0 8153 BROADCOM CORP CL A 111320107 243 5610 SH SOLE 0 0 0 5610 CAPITAL ONE FINL CORP COMMON STOCK 14040H105 1181 14983 SH SOLE 0 0 0 14983 CHEVRON CORP NEW COMMON STOCK 166764100 1182 11260 SH SOLE 0 0 0 11260 CITRIX SYS INC COMMON STOCK 177376100 970 15185 SH SOLE 0 0 0 15185 CORNING INC COMMON STOCK 219350105 244 10741 SH SOLE 0 0 0 10741 DELTA AIR LINES INC DEL COM NEW 247361702 260 5791 SH SOLE 0 0 0 5791 EXXON MOBIL CORP COMMON STOCK 30231G102 300 3532 SH SOLE 0 0 0 3532 FEDEX CORP COMMON STOCK 31428X106 1207 7298 SH SOLE 0 0 0 7298 FLOWERS FOODS INC COMMON STOCK 343498101 585 25712 SH SOLE 0 0 0 25712 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 291 6303 SH SOLE 0 0 0 6303 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 274 1458 SH SOLE 0 0 0 1458 HALLIBURTON CO COMMON STOCK 406216101 207 4709 SH SOLE 0 0 0 4709 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 323 3321 SH SOLE 0 0 0 3321 INTEL CORP COMMON STOCK 458140100 594 18994 SH SOLE 0 0 0 18994 ISHARES TR RUS 1000 ETF 464287622 3431 29615 SH SOLE 0 0 0 29615 ISHARES TR GRWT ALLOCAT ETF 464289867 211 5163 SH SOLE 0 0 0 5163 ISHARES TR LEHMAN AGGREGATE ETF 464287266 263 2360 SH SOLE 0 0 0 2360 ISHARES TR U.S. ENERGY ETF 464287796 3982 91323 SH SOLE 0 0 0 91323 ISHARES TR MSCI EAFE ETF 464287465 7654 119279 SH SOLE 0 0 0 119279 ISHARES TR SP SMCP600VL ETF 464287879 8405 70683 SH SOLE 0 0 0 70683 JPMORGAN CHASE & CO COMMON STOCK 46625H100 312 5158 SH SOLE 0 0 0 5158 JOHNSON & JOHNSON COMMON STOCK 478160104 783 7779 SH SOLE 0 0 0 7779 JPMORGAN CHASE & CO ALERIAN ML ETN COMMON STOCK 46625H365 1368 31971 SH SOLE 0 0 0 31971 KINDER MORGAN INC DEL COMMON STOCK 49456B101 575 13681 SH SOLE 0 0 0 13681 LAM RESEARCH CORP COMMON STOCK 49456B101 1145 16309 SH SOLE 0 0 0 16309 MICRON TECHNOLOGY INC COMMON STOCK 595112103 290 10694 SH SOLE 0 0 0 10694 MYLAN LABORATORIES INC COMMON STOCK 595112103 440 7411 SH SOLE 0 0 0 7411 NOBLE CORP PLC SHS G65431101 186 13060 SH SOLE 0 0 0 13060 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 270 2620 SH SOLE 0 0 0 2620 NUVEEN QUALITY PFD INCOME FD COM SHS 67072C105 212 23135 SH SOLE 0 0 0 23135 OLIN CORP COMMON STOCK 680665205 231 7205 SH SOLE 0 0 0 7205 PEPSICO INC COMMON STOCK 713448108 290 3030 SH SOLE 0 0 0 3030 POWERSHARES ETF TRUST DYN PHARM PORT ETF 73935X799 4544 59480 SH SOLE 0 0 0 59480 PPL CORP COMMON STOCK 69351T106 289 8585 SH SOLE 0 0 0 8585 PROCTOR & GAMBLE CO COMMON STOCK 742718109 331 4038 SH SOLE 0 0 0 4038 PULTE HOMES GROUP INC COMMON STOCK 745867101 1030 46342 SH SOLE 0 0 0 46342 QUALCOMM INC COMMON STOCK 747525103 1261 18191 SH SOLE 0 0 0 18191 RAYMOND JAMES FINANCIAL INC COMMON STOCK 754730109 794 13978 SH SOLE 0 0 0 13978 RAYTHEON CO COM NEW 755111507 327 2990 SH SOLE 0 0 0 2990 RYDEX ETF TRUST GUG S&P MC400 PG ETF 78355W601 9902 74694 SH SOLE 0 0 0 74694 RYDEX ETF TRUST GUG S&P500 EQ WT ETF 78355W106 4427 54622 SH SOLE 0 0 0 54622 SCHLUMBERGER LTD COMMON STOCK 806857108 633 7584 SH SOLE 0 0 0 7584 SELECT SECTOR SPDR TR SBI CONS STPLS COMMON STOCK 81369Y308 4421 90709 SH SOLE 0 0 0 90709 SELECT SECTOR SPDR TR TECHNOLOGY COMMON STOCK 81369Y803 4347 104895 SH SOLE 0 0 0 104895 SELECT SECTOR SPDR TR SBI CONS DISCR COMMON STOCK 81369Y407 4248 56378 SH SOLE 0 0 0 56378 SMITH A O COMMON STOCK 831865209 969 14764 SH SOLE 0 0 0 14764 SPDR SER TR SHT TRM HGH YLD COMMON STOCK 78468R408 5396 184868 SH SOLE 0 0 0 184868 SPDR SERIES TRUST S&P HOMEBUILD ETF 78464A888 3774 102374 SH SOLE 0 0 0 102374 SELECT SECTOR SPDR TR SBI HEALTHCARE ETF 81369Y209 5237 72232 SH SOLE 0 0 0 72232 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 398 7483 SH SOLE 0 0 0 7483 ST JUDE MEDICAL INC COMMON STOCK 790849103 253 3874 SH SOLE 0 0 0 3874 TUPPERWARE BRANDS CORP COMMON STOCK 899896104 209 3025 SH SOLE 0 0 0 3025 TYSON FOODS INC CL A COMMON STOCK 902494103 255 6649 SH SOLE 0 0 0 6649 UNITED PARCEL SERVICE INC CL B COMMON STOCK 911312106 272 2804 SH SOLE 0 0 0 2804 UNITED RENTALS INC COMMON STOCK 911363109 296 3252 SH SOLE 0 0 0 3252 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF SHS 922042858 639 15639 SH SOLE 0 0 0 15639 VANGUARD WORLD FDS INF TECH ETF SHS 92204A702 4917 46162 SH SOLE 0 0 0 46162 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 13442 71044 SH SOLE 0 0 0 71044 VANGUARD BD INDEX FD INC SHORT TRM BOND ETF SHS 921937827 282 3506 SH SOLE 0 0 0 3506 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD ETF 92206C409 10036 125125 SH SOLE 0 0 0 125125 VANGUARD BD INDEX FD INC TOTAL BND MRKT ETF 921937835 5084 60984 SH SOLE 0 0 0 60984 VENTAS INC COMMON STOCK 92276F100 993 13602 SH SOLE 0 0 0 13602 VERIZON COMMUNICATIONS INC COMMON STOCK 92343V104 798 16413 SH SOLE 0 0 0 16413 VIACOM INC NEW CL B COMMON STOCK 92553P201 297 4344 SH SOLE 0 0 0 4344 DISNEY WALT CO COMMON STOCK 254687106 407 3877 SH SOLE 0 0 0 3877