0001140361-15-007876.txt : 20150219
0001140361-15-007876.hdr.sgml : 20150219
20150218203902
ACCESSION NUMBER: 0001140361-15-007876
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150219
DATE AS OF CHANGE: 20150218
EFFECTIVENESS DATE: 20150219
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CARRET ASSET MANAGEMENT, LLC
CENTRAL INDEX KEY: 0000791490
IRS NUMBER: 134113321
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-01317
FILM NUMBER: 15629953
BUSINESS ADDRESS:
STREET 1: 40 WEST 57TH STREET
STREET 2: 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2125933800
MAIL ADDRESS:
STREET 1: 40 WEST 57TH STREET
STREET 2: 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER COMPANY:
FORMER CONFORMED NAME: CARRET ASSET MANAGEMENT
DATE OF NAME CHANGE: 20040823
FORMER COMPANY:
FORMER CONFORMED NAME: CARRET & CO LLC
DATE OF NAME CHANGE: 20001010
FORMER COMPANY:
FORMER CONFORMED NAME: CARRET & CO INC
DATE OF NAME CHANGE: 19990326
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0000791490
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12-31-2014
12-31-2014
CARRET ASSET MANAGEMENT, LLC
40 West 57th Street
20th Floor
NEW YORK
NY
10019
13F HOLDINGS REPORT
028-01317
N
Marco Vega
Chief Financial Officer
212-207-2304
/s/ Marco Vega
New York
NY
02-18-2015
0
271
528440
false
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VERIZON COMMUNICATIONS
COM
92343V104
8348
178451
SH
SOLE
85796
0
92655
VIACOM INC NEW CLASS B
COM
92553p201
2666
35432
SH
SOLE
7000
0
28432
VISA INC COM CL A
COM
92826C839
2084
7950
SH
SOLE
3000
0
4950
VORNADO RLTY TR
COM
929042109
367
3122
SH
SOLE
1770
0
1352
WAL-MART STORES INC
COM
931142103
5508
64138
SH
SOLE
23100
0
41038
WALGREENS BOOTS ALLIANCE INC
COM
931427108
2267
29750
SH
SOLE
13240
0
16510
WALT DISNEY CO
COM
254687106
6641
70506
SH
SOLE
27088
0
43418
WASHINGTON REAL EST INV TR SBI
COM
939653101
806
29124
SH
SOLE
6725
0
22399
WELLS FARGO & CO NEW
COM
949746101
2275
41508
SH
SOLE
3250
0
38258
WISCONSIN ENERGY CORP
COM
976657106
225
4275
SH
SOLE
0
0
4275
XCEL ENERGY INC
COM
98389B100
542
15085
SH
SOLE
1100
0
13985
XYLEM INC
COM
98419M100
1130
29690
SH
SOLE
17300
0
12390
YUM BRANDS INC
COM
988498101
466
6395
SH
SOLE
0
0
6395
ALIBABA GROUP HLDING -SP ADR
ADR
01609W102
802
7720
SH
SOLE
3385
0
4335
AXA-SPONS ADR
ADR
054536107
1178
51482
SH
SOLE
12487
0
38995
BHP BILLITON LTD SPONS
ADR
088606108
854
18045
SH
SOLE
650
0
17395
BP PLC SPONS ADR
ADR
055622104
637
16718
SH
SOLE
200
0
16518
CANADIAN NATL RAILWAY CO
ADR
136375102
5974
86697
SH
SOLE
12000
0
74697
DEUTSCHE BANK AG ADR
ADR
d18190898
277
9240
SH
SOLE
0
0
9240
DIAGEO PLC NEW
ADR
25243Q205
558
4892
SH
SOLE
3844
0
1048
GLAXOSMITHKLINE PLC SP ADR
ADR
37733w105
233
5459
SH
SOLE
0
0
5459
KONINKLIJKE PHILIPS NV
ADR
500472303
350
12058
SH
SOLE
7932
0
4126
NESTLE SA-SPONS ADR
ADR
641069406
4137
56704
SH
SOLE
37207
0
19497
NOKIA CORP SPONSORED ADR
ADR
654902204
213
27100
SH
SOLE
22075
0
5025
NOVARTIS AG ADR
ADR
66987v109
4036
43552
SH
SOLE
18628
0
24924
ROCHE HOLDINGS LTD - ADR
ADR
771195104
207
6100
SH
SOLE
4000
0
2100
ROYAL DUTCH SHELL ADR A
ADR
780259206
398
5952
SH
SOLE
555
0
5397
ROYAL DUTCH SHELL ADR B
ADR
780259107
1199
17237
SH
SOLE
9408
0
7829
SANOFI
ADR
80105N105
242
5300
SH
SOLE
3200
0
2100
SAP SE
ADR
803054204
212
3050
SH
SOLE
0
0
3050
TELEFONICA SA ADR
ADR
879382208
355
24952
SH
SOLE
15126
0
9826
TEVA PHARMACEUTICAL INDS
ADR
881624209
645
11216
SH
SOLE
1375
0
9841
VODAFONE GROUP PLC
ADR
92857w308
1620
47402
SH
SOLE
15861
0
31541
KAYNE ANDERSON ENERGY COM
FD
48660P104
1846
66300
SH
SOLE
14810
0
51490
NEUBERGER BERMAN REAL ESTATE
FD
64190A103
86
16305
SH
SOLE
5539
0
10766
NUVEEN S&P 500 BUY-WRITE INC F
FD
6706er101
135
11126
SH
SOLE
0
0
11126
FORTESCUE METALS GROUPS LTD
FS
Q39360104
44
19800
SH
SOLE
19800
0
0
GRUPO MEXICO SAB DE CV-SER B
COM
00B032VC1
59
20426
SH
SOLE
0
0
20426
ISHARES CNX INDIA 50 INDEX
ETF
464289529
788
26349
SH
SOLE
0
0
26349
ISHARES CORE S&P 500 INDEX
ETF
464287200
309
1495
SH
SOLE
0
0
1495
ISHARES DJ US FINANCIAL SECTOR
ETF
464287788
266
2945
SH
SOLE
0
0
2945
ISHARES DJ US TECHNOLOGY SECTO
ETF
464287721
373
3577
SH
SOLE
0
0
3577
ISHARES DOW JONES SELECT DIVID
ETF
464287168
351
4425
SH
SOLE
0
0
4425
ISHARES FTSE CHINA 25 LARGE-CA
ETF
464287184
1831
43991
SH
SOLE
17881
0
26110
ISHARES MSCI AUSTRALIA INDEX
ETF
464286103
383
17280
SH
SOLE
0
0
17280
ISHARES MSCI EMERGING MARKETS
ETF
464287234
1711
43538
SH
SOLE
9582
0
33956
ISHARES MSCI HONG KONG INDEX
ETF
464286871
717
34915
SH
SOLE
0
0
34915
ISHARES MSCI JAPAN INDEX
ETF
464286848
122
10846
SH
SOLE
2750
0
8096
ISHARES RUSSELL 1000 GROWTH
ETF
464287614
551
5760
SH
SOLE
0
0
5760
ISHARES RUSSELL 1000 VALUE
ETF
464287598
210
2008
SH
SOLE
0
0
2008
ISHARES RUSSELL 2000 INDEX FUN
ETF
464287655
431
3600
SH
SOLE
200
0
3400
ISHARES RUSSELL MID-CAP INDEX
ETF
464287499
993
5947
SH
SOLE
0
0
5947
ISHARES S&P 100 INDEX
ETF
464287101
3876
42621
SH
SOLE
1055
0
41566
ISHARES S&P PREF STK INDX FN
ETF
464288687
263
6660
SH
SOLE
0
0
6660
PROSHARES ULTRASHORT 20+ YEAR
ETF
74347B201
865
18656
SH
SOLE
150
0
18506
PROSHARES ULTRASHORT 7-10 YEAR
ETF
74347R313
1510
60975
SH
SOLE
350
0
60625
SCHWAB US LARGE-CAP ETR
ETF
808524201
414
8439
SH
SOLE
315
0
8124
SPDR FD TECHNOLGY SEL
ETF
81369Y803
287
6945
SH
SOLE
100
0
6845
SPDR GOLD TRUST
ETF
78463V107
1167
10272
SH
SOLE
5382
0
4890
SPDR S&P 500 INDEX
ETF
78462F103
652
3171
SH
SOLE
205
0
2966
SPDR S&P MIDCAP 400 ETF TR
ETF
78467Y107
213
807
SH
SOLE
100
0
707
VANGUARD DIVIDEND APPREC
ETF
921908844
391
4820
SH
SOLE
1320
0
3500
VANGUARD FTSE ALL WORLD EX-U
ETF
922042775
512
10926
SH
SOLE
1440
0
9486
VANGUARD INDEX FDS VALUE ETF
ETF
922908744
922
10918
SH
SOLE
537
0
10381
ENTERPRISE PRODS PARTNERS L P
LP
293792107
795
22008
SH
SOLE
2268
0
19740
ONEOK PARTNERS L.P
LP
68268N103
624
15740
SH
SOLE
5865
0
9875
THE BLACKSTONE GROUP LP
LP
09253U108
1727
51037
SH
SOLE
16525
0
34512
BUNGE LTD 4.875%
PFD
G16962204
2751
24455
SH
SOLE
150
0
24305
AMERICAN CENTY MUT FDS GROWTH
FD
025083106
233
8106
SH
SOLE
0
0
8106
ARTIO INT'L EQUITY FUND II
FD
04315J837
186
16910
SH
SOLE
0
0
16910
BARON SMALL CAP FUND-INST
FD
068278803
209
6162
SH
SOLE
0
0
6162
DODGE & COX FDS INTL STK FD
FD
256206103
350
8302
SH
SOLE
0
0
8302
FIDELITY CONTRAFUND COM
FD
316071109
585
5968
SH
SOLE
0
0
5968
FIDELITY LOW PRICED STOCK FUND
FD
316345305
239
4764
SH
SOLE
0
0
4764
FIDELITY SECS FD BLUE CHIP GWT
FD
316389303
367
5359
SH
SOLE
1195
0
4164
FIDELITY SECS FD OTC PORTFOLIO
FD
316389105
361
4537
SH
SOLE
0
0
4537
FIDELITY SMALL CAP DISCOVERY F
FD
315912600
283
9404
SH
SOLE
0
0
9404
FIDELITY SPARAN EXTENDED MKT I
FD
315911883
292
5294
SH
SOLE
0
0
5294
FIDELITY STR DVD&INC FUND
FD
316145887
181
12364
SH
SOLE
0
0
12364
FIRST EAGLE GLOBAL FUND
FD
32008F507
700
13340
SH
SOLE
0
0
13340
FPA CRESCENT FUND
FD
30254T759
237
7025
SH
SOLE
0
0
7025
HANCOCK HORIZON DIVERSIFIED IN
FD
41012R787
230
10794
SH
SOLE
0
0
10794
HARTFORD CAPITAL APPREC-I
FD
416649309
219
5897
SH
SOLE
0
0
5897
JPMORGAN MID CAP VALUE FD-A
FD
339128308
204
5597
SH
SOLE
0
0
5597
JPMORGAN TR I INTERM TF BD S
FD
4812a0441
201
18070
SH
SOLE
0
0
18070
PRUDENTIAL JENN EQTY OPPOR-Z
FD
74437E800
298
14458
SH
SOLE
0
0
14458
SCHWAB SMALL-CAP INDEX
FD
808509848
379
14054
SH
SOLE
7269
0
6785
THIRD AVE TR VALUE TR
FD
884116104
322
5666
SH
SOLE
1814
0
3852
TWEEDY BROWNE GLOBAL VALUE FUN
FD
901165100
465
17874
SH
SOLE
13253
0
4621
VANGUARD 500 INDEX
FD
922908108
207
1089
SH
SOLE
0
0
1089
VANGUARD INDEX FDS 500INDEX AD
FD
922908710
546
2874
SH
SOLE
0
0
2874
VANGUARD STAR FUND STAR PORTFO
FD
921909107
1782
72364
SH
SOLE
3865
0
68499
VANGUARD/WINDSOR FD ADMIRAL SH
FD
922018403
326
4504
SH
SOLE
0
0
4504
WELLS FARGO ADVANTAGE TOT RET
FD
94975J631
151
11515
SH
SOLE
0
0
11515
BANK OF AMERICA CORP - EXP 1/1
WT
060505146
92
13000
SH
SOLE
0
0
13000
WELLS FARGO & CO - EXP 10/28/1
WT
949746119
426
19950
SH
SOLE
0
0
19950