0001697723-17-000004.txt : 20171108 0001697723-17-000004.hdr.sgml : 20171108 20171108131857 ACCESSION NUMBER: 0001697723-17-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171108 DATE AS OF CHANGE: 20171108 EFFECTIVENESS DATE: 20171108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AE Wealth Management LLC CENTRAL INDEX KEY: 0001697723 IRS NUMBER: 364824075 STATE OF INCORPORATION: KS FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17779 FILM NUMBER: 171185949 BUSINESS ADDRESS: STREET 1: 2950 SW MCCLURE RD. STREET 2: SUITE B CITY: TOPEKA STATE: KS ZIP: 66614 BUSINESS PHONE: (866) 363-9595 MAIL ADDRESS: STREET 1: 2950 SW MCCLURE RD. STREET 2: SUITE B CITY: TOPEKA STATE: KS ZIP: 66614 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001697723 XXXXXXXX 09-30-2017 09-30-2017 AE Wealth Management LLC

2950 SW MCCLURE RD. SUITE B TOPEKA KS 66614

13F HOLDINGS REPORT 028-17779 N Caleb Crook 866-363-9595 Caleb D. 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BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2321 12660 SH SOLE 0 0 12660 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 517 7911 SH SOLE 0 0 7911 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 1326 9248 SH SOLE 0 0 9248 ISHARES TR NA TEC MULTM ETF 464287531 263 5705 SH SOLE 0 0 5705 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 374 2166 SH SOLE 0 0 2166 SPDR SER TR BLOOMBERG SRT TR 78468R408 661 23631 SH SOLE 0 0 23631 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 303 4855 SH SOLE 0 0 4855 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 726 38047 SH SOLE 0 0 38047 TEMPLETON GLOBAL INCOME FD COM 880198106 645 95723 SH SOLE 0 0 95723 ABBVIE INC COM 00287Y109 3280 36914 SH SOLE 0 0 36914 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 304 4859 SH SOLE 0 0 4859 CBRE CLARION GLOBAL REAL EST COM 12504G100 531 67164 SH SOLE 0 0 67164 DNP SELECT INCOME FD COM 23325P104 196 17082 SH SOLE 0 0 17082 PROSHARES TR S&P 500 DV ARIST 74348A467 2325 39105 SH SOLE 0 0 39105 KIMBERLY CLARK CORP COM 494368103 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SOLE 0 0 5421 COHEN & STEERS QUALITY RLTY COM 19247L106 367 29184 SH SOLE 0 0 29184 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 209588 908250 SH SOLE 0 0 908250 CAPITAL ONE FINL CORP COM 14040H105 252 2974 SH SOLE 0 0 2974 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 443 4134 SH SOLE 0 0 4134 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1945 35202 SH SOLE 0 0 35202 CAMPBELL SOUP CO COM 134429109 276 5895 SH SOLE 0 0 5895 LOCKHEED MARTIN CORP COM 539830109 2612 8418 SH SOLE 0 0 8418 SPDR SERIES TRUST S&P BIOTECH 78464A870 306 3539 SH SOLE 0 0 3539 3M CO COM 88579Y101 980 4669 SH SOLE 0 0 4669 SOUTHERN CO COM 842587107 2661 54157 SH SOLE 0 0 54157 INTERNATIONAL BUSINESS MACHS COM 459200101 2773 19116 SH SOLE 0 0 19116 GLOBAL X FDS GLOBX SUPDV US 37950E291 13701 537075 SH SOLE 0 0 537075 NORTHROP GRUMMAN CORP COM 666807102 504 1751 SH SOLE 0 0 1751 ISHARES TR CORE S&P MCP ETF 464287507 3831 21416 SH SOLE 0 0 21416 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 978 19926 SH SOLE 0 0 19926 MICROSOFT CORP COM 594918104 3844 51604 SH SOLE 0 0 51604 STARBUCKS CORP COM 855244109 743 13826 SH SOLE 0 0 13826 BRISTOL MYERS SQUIBB CO COM 110122108 860 13485 SH SOLE 0 0 13485 WAL-MART STORES INC COM 931142103 2382 30485 SH SOLE 0 0 30485 ISHARES TR S&P US PFD STK 464288687 1157 29817 SH SOLE 0 0 29817 GENERAL MLS INC COM 370334104 677 13081 SH SOLE 0 0 13081 POWERSHS DB MULTI SECT COMM DB ENERGY FUND 73936B101 969 75546 SH SOLE 0 0 75546 ISHARES TR RUS 1000 GRW ETF 464287614 1004 8026 SH SOLE 0 0 8026 CONSOLIDATED EDISON INC COM 209115104 567 7024 SH SOLE 0 0 7024 MERCK & CO INC COM 58933Y105 2228 34804 SH SOLE 0 0 34804 NVIDIA CORP COM 67066G104 274 1532 SH SOLE 0 0 1532 ISHARES TR MSCI EMG MKT ETF 464287234 444 9899 SH SOLE 0 0 9899 ISHARES TR RUSSELL 2000 ETF 464287655 3402 22960 SH SOLE 0 0 22960 BLACKSTONE GSO LNG SHRT CR I COM SHS BN INT 09257D102 439 27275 SH SOLE 0 0 27275 DOMINION ENERGY INC COM 25746U109 1386 18014 SH SOLE 0 0 18014 TYSON FOODS INC CL A 902494103 387 5494 SH SOLE 0 0 5494 VANGUARD WORLD FDS INF TECH ETF 92204A702 758 4989 SH SOLE 0 0 4989 EATON VANCE CORP COM NON VTG 278265103 599 12136 SH SOLE 0 0 12136 CLAYMORE EXCHANGE TRD FD TR GUGG ULTR SH DUR 18383M654 704 13983 SH SOLE 0 0 13983 MCDONALDS CORP COM 580135101 2599 16587 SH SOLE 0 0 16587 EATON VANCE LTD DUR INCOME F COM 27828H105 243 17340 SH SOLE 0 0 17340 GENERAL DYNAMICS CORP COM 369550108 245 1192 SH SOLE 0 0 1192 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1404 17184 SH SOLE 0 0 17184 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 63548 1463910 SH SOLE 0 0 1463910 ENBRIDGE INC COM 29250N105 496 11863 SH SOLE 0 0 11863 GENERAL MTRS CO COM 37045V100 1254 31052 SH SOLE 0 0 31052 ALPHABET INC CAP STK CL A 02079K305 645 662 SH SOLE 0 0 662 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 80 12404 SH SOLE 0 0 12404 NATIONAL GRID PLC SPONSORED ADR NE 636274409 863 13765 SH SOLE 0 0 13765 NOVARTIS A G SPONSORED ADR 66987V109 376 4383 SH SOLE 0 0 4383 PHILLIPS 66 COM 718546104 412 4498 SH SOLE 0 0 4498 MACYS INC COM 55616P104 953 43667 SH SOLE 0 0 43667 WISDOMTREE TR BLMBG US BULL 97717W471 1514 58600 SH SOLE 0 0 58600 EMERSON ELEC CO COM 291011104 1859 29591 SH SOLE 0 0 29591 GARMIN LTD SHS H2906T109 976 18092 SH SOLE 0 0 18092 KROGER CO COM 501044101 294 14671 SH SOLE 0 0 14671 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 9107 298984 SH SOLE 0 0 298984 CATERPILLAR INC DEL COM 149123101 2045 16397 SH SOLE 0 0 16397 HALLIBURTON CO COM 406216101 466 10133 SH SOLE 0 0 10133 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3541 81267 SH SOLE 0 0 81267 ANNALY CAP MGMT INC COM 035710409 273 22426 SH SOLE 0 0 22426 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 8887 61101 SH SOLE 0 0 61101 ISHARES TR MSCI EAFE ETF 464287465 678 9896 SH SOLE 0 0 9896 ISHARES TR RUS MD CP GR ETF 464287481 7807 68969 SH SOLE 0 0 68969 ISHARES TR 20 YR TR BD ETF 464287432 24578 197001 SH SOLE 0 0 197001 SIRIUS XM HLDGS INC COM 82968B103 130 23579 SH SOLE 0 0 23579 CLOROX CO DEL COM 189054109 736 5582 SH SOLE 0 0 5582 HONEYWELL INTL INC COM 438516106 1039 7328 SH SOLE 0 0 7328 POWERSHS DB MULTI SECT COMM DB BASE METALS 73936B705 1537 84866 SH SOLE 0 0 84866 SPDR SER TR NUVEEN BLMBRG SR 78468R739 473 9725 SH SOLE 0 0 9725 ISHARES TR EAFE VALUE ETF 464288877 11230 205671 SH SOLE 0 0 205671 ALPHABET INC CAP STK CL C 02079K107 473 494 SH SOLE 0 0 494 ISHARES TR NA TEC SFTWR ETF 464287515 343 2344 SH SOLE 0 0 2344 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 20158 781323 SH SOLE 0 0 781323 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 831 8165 SH SOLE 0 0 8165 BLACKROCK FLOAT RATE OME STR COM 09255X100 256 17830 SH SOLE 0 0 17830 BAXTER INTL INC COM 071813109 606 9650 SH SOLE 0 0 9650 ISHARES TR EAFE GRWTH ETF 464288885 13556 175169 SH SOLE 0 0 175169 BANK AMER CORP COM 060505104 938 37032 SH SOLE 0 0 37032 UNITED PARCEL SERVICE INC CL B 911312106 2220 18484 SH SOLE 0 0 18484 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1288 15714 SH SOLE 0 0 15714 CREDIT SUISSE NASSAU BRH LG CP GRTH ENH 22542D423 236 1196 SH SOLE 0 0 1196 CONOCOPHILLIPS COM 20825C104 347 6937 SH SOLE 0 0 6937 MEDTRONIC PLC SHS G5960L103 291 3747 SH SOLE 0 0 3747 ASTRAZENECA PLC SPONSORED ADR 046353108 745 21978 SH SOLE 0 0 21978 BLACKROCK INC COM 09247X101 218 487 SH SOLE 0 0 487 HP INC COM 40434L105 1106 55406 SH SOLE 0 0 55406 BP PLC SPONSORED ADR 055622104 1733 45090 SH SOLE 0 0 45090 ISHARES TR CORE S&P500 ETF 464287200 9963 39392 SH SOLE 0 0 39392 NUVEEN SHT DUR CR OPP FD COM 67074X107 305 17567 SH SOLE 0 0 17567 SEMPRA ENERGY COM 816851109 254 2227 SH SOLE 0 0 2227 ADVISORSHARES TR NEWFLT MULSINC 00768Y727 6218 127629 SH SOLE 0 0 127629 SPROUTS FMRS MKT INC COM 85208M102 909 48422 SH SOLE 0 0 48422 OMNICOM GROUP INC COM 681919106 658 8881 SH SOLE 0 0 8881 NUVEEN PFD & INCM OPPORTNYS COM 67073B106 151 14243 SH SOLE 0 0 14243 BARCLAYS BK PLC BARC YLD ETN LKD 06742C152 341 2107 SH SOLE 0 0 2107 ISHARES TR CORE HIGH DV ETF 46429B663 1127 13109 SH SOLE 0 0 13109 RYDEX ETF TRUST GUG S&P500EQWTMA 78355W825 351 3375 SH SOLE 0 0 3375 FIRST TR EXCHANGE TRADED FD CAP STRENGTH ETF 33733E104 557 11756 SH SOLE 0 0 11756 VIRTUS ETF TR II VIRTUS DYNMC ETF 92790A207 984 39244 SH SOLE 0 0 39244 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 14308 176491 SH SOLE 0 0 176491 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 3957 72077 SH SOLE 0 0 72077 JOHNSON & JOHNSON COM 478160104 4166 32044 SH SOLE 0 0 32044 DOUBLELINE INCOME SOLUTIONS COM 258622109 701 32980 SH SOLE 0 0 32980 FIRST FINL BANCORP OH COM 320209109 1208 46186 SH SOLE 0 0 46186 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 143 16005 SH SOLE 0 0 16005 SEAGATE TECHNOLOGY PLC SHS G7945M107 970 29233 SH SOLE 0 0 29233 BOULDER GROWTH & INCOME FD I COM 101507101 1190 116695 SH SOLE 0 0 116695 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 860 9548 SH SOLE 0 0 9548 CROWN CASTLE INTL CORP NEW COM 22822V101 856 8559 SH SOLE 0 0 8559 SPDR GOLD TRUST GOLD SHS 78463V107 3389 27871 SH SOLE 0 0 27871 VANGUARD INDEX FDS SM CP VAL ETF 922908611 294 2302 SH SOLE 0 0 2302 ISHARES INC MIN VOL GBL ETF 464286525 865 10635 SH SOLE 0 0 10635 VANGUARD SCOTTSDALE FDS SHTRM GVT BD ETF 92206C102 7953 130961 SH SOLE 0 0 130961 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 207 9163 SH SOLE 0 0 9163 SPDR SERIES TRUST BLMBRG BR 1 3 MT 78464A680 240 5247 SH SOLE 0 0 5247 POWERSHARES ETF TRUST II KBW YIELD REIT 73936Q819 1968 52475 SH SOLE 0 0 52475 EATON VANCE TAX MNGD GBL DV COM 27829F108 640 68401 SH SOLE 0 0 68401 KRAFT HEINZ CO COM 500754106 255 3283 SH SOLE 0 0 3283 COLONY NORTHSTAR INC CL A COM 19625W104 300 23866 SH SOLE 0 0 23866 KINDER MORGAN INC DEL COM 49456B101 238 12392 SH SOLE 0 0 12392 PAYPAL HLDGS INC COM 70450Y103 236 3692 SH SOLE 0 0 3692 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 958 10881 SH SOLE 0 0 10881 TRINITY INDS INC COM 896522109 240 7528 SH SOLE 0 0 7528 LAMAR ADVERTISING CO NEW CL A 512816109 818 11931 SH SOLE 0 0 11931 PPG INDS INC COM 693506107 317 2921 SH SOLE 0 0 2921 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 314 2575 SH SOLE 0 0 2575 NEUBERGER BERMAN RE ES SEC F COM 64190A103 415 73894 SH SOLE 0 0 73894 SPDR SERIES TRUST HLTH CARE SVCS 78464A573 205 3370 SH SOLE 0 0 3370