0001085146-21-001620.txt : 20210513 0001085146-21-001620.hdr.sgml : 20210513 20210513120545 ACCESSION NUMBER: 0001085146-21-001620 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210513 DATE AS OF CHANGE: 20210513 EFFECTIVENESS DATE: 20210513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 3D/L Capital Management, LLC CENTRAL INDEX KEY: 0001846943 IRS NUMBER: 861660892 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-21050 FILM NUMBER: 21918119 BUSINESS ADDRESS: STREET 1: 100 CONSTITUTION PLAZA STREET 2: 7TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 860-291-1998 MAIL ADDRESS: STREET 1: 100 CONSTITUTION PLAZA STREET 2: 7TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001846943 XXXXXXXX 03-31-2021 03-31-2021 false 3D/L Capital Management, LLC

100 CONSTITUTION PLAZA 7TH FLOOR Hartford CT 06103

13F HOLDINGS REPORT 028-21050 N Andrew T. Lucich 860-291-1998 /s/Andrew T. Lucich Hartford CT 05-12-2021 0 114 394660 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ALPS ETF TR CLEAN ENERGY 00162Q460 316 4050 SH SOLE 2202 0 1848 AMERICAN CENTY ETF TR DIVERSIFIED MU 025072505 2007 36759 SH SOLE 35583 0 1176 APPLE INC COM 037833100 375 3068 SH SOLE 2712 0 356 BARCLAYS BANK PLC DJUBS CMDT ETN36 06738C778 211 8927 SH SOLE 8927 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 386 1 SH SOLE 1 0 0 CANOPY GROWTH CORP COM 138035100 865 27011 SH SOLE 22014 0 4997 CONSTELLATION BRANDS INC CL A 21036P108 253 1110 SH SOLE 907 0 203 DBX ETF TR XTKR MSCI EMRG 233051226 233 6833 SH SOLE 4990 0 1843 DBX ETF TR XTRACK MUN INFRA 233051705 5336 184779 SH SOLE 178119 0 6660 ETFS TR BBRG ALL COMD K1 003261104 6952 298608 SH SOLE 293494 0 5114 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 2387 42296 SH SOLE 39339 0 2957 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 11921 233466 SH SOLE 215897 0 17569 FIRST TR EXCHNG TRADED FD VI CBOE VEST US EQT 33740F631 309 10030 SH SOLE 9021 0 1009 FIRST TR EXCHNG TRADED FD VI FT CBOE VEST BFR 33740F623 726 23138 SH SOLE 20798 0 2340 FLEXSHARES TR CRE SLCT BD FD 33939L670 1335 51433 SH SOLE 51433 0 0 FLEXSHARES TR GLB QLT R/E IDX 33939L787 304 5007 SH SOLE 5000 0 7 FLEXSHARES TR HIG YLD VL ETF 33939L662 1709 34512 SH SOLE 31761 0 2751 FLEXSHARES TR INTL QLTDV IDX 33939L837 24692 961142 SH SOLE 948813 0 12329 FLEXSHARES TR M STAR DEV MKT 33939L803 873 12471 SH SOLE 11069 0 1402 FLEXSHARES TR MORNSTAR UPSTR 33939L407 215 5948 SH SOLE 5294 0 654 FLEXSHARES TR MORNSTAR USMKT 33939L100 462 2898 SH SOLE 2326 0 572 FLEXSHARES TR MSTAR EMKT FAC 33939L308 398 6460 SH SOLE 5808 0 652 FLEXSHARES TR QLT DIV DEF IDX 33939L845 30398 594413 SH SOLE 585486 0 8927 FLEXSHARES TR US QUALITY CAP 33939L746 1013 23280 SH SOLE 21204 0 2076 GLOBAL X FDS CLOUD COMPUTNG 37954Y442 292 11331 SH SOLE 6184 0 5147 GLOBAL X FDS CONSCIOUS COS 37954Y731 720 24690 SH SOLE 17738 0 6952 GLOBAL X FDS CYBRSCURTY ETF 37954Y384 294 11755 SH SOLE 6442 0 5313 GLOBAL X FDS E COMMERCE ETF 37954Y467 287 8396 SH SOLE 4557 0 3839 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 697 21041 SH SOLE 14603 0 6438 GLOBAL X FDS VDEO GAM ESPRT 37954Y392 290 9216 SH SOLE 5008 0 4208 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 22851 691601 SH SOLE 683237 0 8364 INVESCO EXCH TRADED FD TR II TAXABLE MUN BD 46138G805 3071 95876 SH SOLE 89602 0 6274 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 383 18114 SH SOLE 16750 0 1364 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 630 29103 SH SOLE 27772 0 1331 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 661 30360 SH SOLE 29038 0 1322 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 276 12459 SH SOLE 11165 0 1294 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 2238 101034 SH SOLE 71730 0 29304 INVESCO EXCHANGE TRADED FD T INVESCO MSCI 46137V407 320 4240 SH SOLE 3119 0 1121 INVESCO EXCHANGE TRADED FD T WATER RES ETF 46137V142 300 6067 SH SOLE 3303 0 2764 INVESCO QQQ TR UNIT SER 1 46090E103 685 2146 SH SOLE 1757 0 389 ISHARES INC ESG AWR MSCI EM 46434G863 278 6413 SH SOLE 4996 0 1417 ISHARES INC MSCI GBL MIN VOL 464286525 331 3357 SH SOLE 3016 0 341 ISHARES TR CORE MSCI EAFE 46432F842 376 5220 SH SOLE 1793 0 3427 ISHARES TR CORE S&P SCP ETF 464287804 268 2466 SH SOLE 1566 0 900 ISHARES TR CORE S&P500 ETF 464287200 1376 3458 SH SOLE 3021 0 437 ISHARES TR CORE TOTAL USD 46434V613 370 7006 SH SOLE 5279 0 1727 ISHARES TR EAFE GRWTH ETF 464288885 281 2794 SH SOLE 2183 0 611 ISHARES TR EAFE VALUE ETF 464288877 454 8914 SH SOLE 7194 0 1720 ISHARES TR ESG AWR MSCI USA 46435G425 689 7577 SH SOLE 5971 0 1606 ISHARES TR ESG EAFE ETF 46436E759 315 4859 SH SOLE 3516 0 1343 ISHARES TR IBOXX INV CP ETF 464287242 398 3060 SH SOLE 2011 0 1049 ISHARES TR ISHS 1-5YR INVS 464288646 226 4131 SH SOLE 2783 0 1348 ISHARES TR MSCI INTL MOMENT 46434V449 454 12071 SH SOLE 9633 0 2438 ISHARES TR MSCI INTL VLU FT 46435G409 13968 552315 SH SOLE 545162 0 7153 ISHARES TR MSCI USA MIN VOL 46429B697 313 4529 SH SOLE 4381 0 148 ISHARES TR MSCI USA MMENTM 46432F396 320 1990 SH SOLE 1867 0 123 ISHARES TR NASDAQ BIOTECH 464287556 286 1898 SH SOLE 1037 0 861 ISHARES TR NATIONAL MUN ETF 464288414 912 7858 SH SOLE 7857 0 1 ISHARES TR RUS 1000 ETF 464287622 268 1199 SH SOLE 401 0 798 ISHARES TR RUS 1000 VAL ETF 464287598 418 2756 SH SOLE 2756 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 275 916 SH SOLE 916 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 248 1555 SH SOLE 1555 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 356 5465 SH SOLE 1820 0 3645 ISHARES TR S&P 500 VAL ETF 464287408 344 2437 SH SOLE 830 0 1607 ISHARES TR S&P SML 600 GWT 464287887 458 3572 SH SOLE 2862 0 710 ISHARES TR US TREAS BD ETF 46429B267 340 12973 SH SOLE 9235 0 3738 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 6350 124420 SH SOLE 117911 0 6509 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 32318 856841 SH SOLE 844025 0 12816 JACOBS ENGR GROUP INC COM 469814107 580 4485 SH SOLE 4485 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 3825 77855 SH SOLE 76897 0 958 KRANESHARES TR CSI CHI INTERNET 500767306 260 3402 SH SOLE 1857 0 1545 KRANESHARES TR KFA VAL LIN DYNM 500767645 22462 976288 SH SOLE 941317 0 34971 KRANESHARES TR MSCI ALL CHINA 500767801 10580 303604 SH SOLE 297366 0 6238 KRANESHARES TR MSCI EMG EX CH 500767769 13057 420444 SH SOLE 413929 0 6515 NUSHARES ETF TR NUVEEN ESG LRGCP 67092P201 799 13788 SH SOLE 10030 0 3758 NUSHARES ETF TR NUVEEN ESG SMLCP 67092P607 498 11581 SH SOLE 8467 0 3114 PFIZER INC COM 717081103 371 10251 SH SOLE 10251 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 21208 193751 SH SOLE 181309 0 12442 SCOTTS MIRACLE-GRO CO CL A 810186106 435 1776 SH SOLE 1338 0 438 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 796 10855 SH SOLE 5772 0 5083 SELECT SECTOR SPDR TR ENERGY 81369Y506 453 9235 SH SOLE 4885 0 4350 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 488 12361 SH SOLE 6769 0 5592 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 805 4790 SH SOLE 2540 0 2250 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 621 9093 SH SOLE 4859 0 4234 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 886 7587 SH SOLE 4034 0 3553 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 823 24175 SH SOLE 12854 0 11321 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 729 7400 SH SOLE 3937 0 3463 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 478 7471 SH SOLE 4022 0 3449 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 480 6090 SH SOLE 3257 0 2833 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1439 10836 SH SOLE 5755 0 5081 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 615 16455 SH SOLE 13213 0 3242 SPDR S&P 500 ETF TR TR UNIT 78462F103 423 1068 SH SOLE 0 0 1068 SPDR SER TR S&P KENSHO FUTRE 78468R671 405 8413 SH SOLE 6649 0 1764 SPDR SER TR S&P KENSHO INTLG 78468R697 431 9490 SH SOLE 7587 0 1903 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 311 15788 SH SOLE 8644 0 7144 VANGUARD BD INDEX FDS INTERMED TERM 921937819 411 4628 SH SOLE 2910 0 1718 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 472 4808 SH SOLE 2890 0 1918 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 823 10018 SH SOLE 6545 0 3473 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 900 15765 SH SOLE 9961 0 5804 VANGUARD INDEX FDS GROWTH ETF 922908736 1420 5525 SH SOLE 4078 0 1447 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1171 5455 SH SOLE 4383 0 1072 VANGUARD INDEX FDS SMALL CP ETF 922908751 449 2097 SH SOLE 1616 0 481 VANGUARD INDEX FDS VALUE ETF 922908744 37992 288999 SH SOLE 282364 0 6635 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 563 10822 SH SOLE 8250 0 2572 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 472 8843 SH SOLE 5738 0 3105 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1510 30756 SH SOLE 22981 0 7775 WISDOMTREE TR EM MKTS QTLY DIV 97717W323 520 17487 SH SOLE 17486 0 1 WISDOMTREE TR EMERG CUR STR FD 97717W133 223 12465 SH SOLE 12465 0 0 WISDOMTREE TR EMG MKTS SMCAP 97717W281 604 11767 SH SOLE 11767 0 0 WISDOMTREE TR INTL QULTY DIV 97717X131 310 8352 SH SOLE 6038 0 2314 WISDOMTREE TR INTL SMCAP DIV 97717W760 22249 308036 SH SOLE 304204 0 3832 WISDOMTREE TR US MIDCAP FUND 97717W570 27042 530972 SH SOLE 523509 0 7463 WISDOMTREE TR US SMALLCAP FUND 97717W562 15788 333218 SH SOLE 328375 0 4843 WISDOMTREE TR YIELD ENHANCD US 97717X511 6822 133247 SH SOLE 125358 0 7889