0001140361-16-050350.txt : 20160205
0001140361-16-050350.hdr.sgml : 20160205
20160204210712
ACCESSION NUMBER: 0001140361-16-050350
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160205
DATE AS OF CHANGE: 20160204
EFFECTIVENESS DATE: 20160205
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: 161390017
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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12-31-2015
12-31-2015
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
02-04-2016
0
236
468629
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SH
SOLE
8791
0
7489
SANOFI
ADR
80105N105
226
5300
SH
SOLE
3200
0
2100
TELEFONICA SA ADR
ADR
879382208
283
25591
SH
SOLE
15567
0
10024
TEVA PHARMACEUTICAL INDS
ADR
881624209
539
8209
SH
SOLE
1150
0
7059
VODAFONE GROUP PLC
ADR
92857w308
1355
42011
SH
SOLE
13681
0
28330
KAYNE ANDERSON ENERGY COM
FD
48660P104
427
50450
SH
SOLE
4400
0
46050
NEUBERGER BERMAN REAL ESTATE
FD
64190A103
51
10221
SH
SOLE
19
0
10202
NUVEEN S&P 500 BUY-WRITE INC F
FD
6706er101
149
11126
SH
SOLE
0
0
11126
FORTESCUE METALS GROUPS LTD
FS
Q39360104
24
17900
SH
SOLE
17900
0
0
GRUPO MEXICO SAB DE CV-SER B
COM
00B032VC1
44
20426
SH
SOLE
0
0
20426
DEUTSCHE X-TRACKERS MSCI EUROP
ETF
233051853
447
17301
SH
SOLE
8175
0
9126
ISHARES CNX INDIA 50 INDEX
ETF
464289529
699
25724
SH
SOLE
0
0
25724
ISHARES CORE HIGH DIVIDEND
ETF
46429B663
271
3695
SH
SOLE
0
0
3695
ISHARES CORE S&P 500 INDEX
ETF
464287200
333
1623
SH
SOLE
0
0
1623
ISHARES CURRENCY HEDGED MSCI E
ETF
46434V639
277
10715
SH
SOLE
0
0
10715
ISHARES DJ US FINANCIAL SECTOR
ETF
464287788
229
2590
SH
SOLE
0
0
2590
ISHARES DJ US TECHNOLOGY SECTO
ETF
464287721
361
3372
SH
SOLE
0
0
3372
ISHARES DOW JONES SELECT DIVID
ETF
464287168
319
4250
SH
SOLE
0
0
4250
ISHARES FTSE CHINA 25 LARGE-CA
ETF
464287184
1203
34076
SH
SOLE
15041
0
19035
ISHARES MSCI EMERGING MARKETS
ETF
464287234
1287
39986
SH
SOLE
7832
0
32154
ISHARES MSCI HONG KONG INDEX
ETF
464286871
645
32565
SH
SOLE
0
0
32565
ISHARES RUSSELL 1000 GROWTH
ETF
464287614
434
4360
SH
SOLE
0
0
4360
ISHARES RUSSELL 2000 INDEX FUN
ETF
464287655
331
2940
SH
SOLE
200
0
2740
ISHARES RUSSELL MID-CAP INDEX
ETF
464287499
919
5737
SH
SOLE
0
0
5737
ISHARES S&P 100 INDEX
ETF
464287101
3286
36046
SH
SOLE
705
0
35341
ISHARES S&P PREF STK INDX FN
ETF
464288687
240
6190
SH
SOLE
0
0
6190
PROSHARES ULTRASHORT 20+ YEAR
ETF
74347B201
879
19955
SH
SOLE
0
0
19955
PROSHARES ULTRASHORT 7-10 YEAR
ETF
74347R313
1401
60285
SH
SOLE
0
0
60285
SCHWAB US LARGE-CAP ETR
ETF
808524201
423
8719
SH
SOLE
315
0
8404
SPDR FD FINANCIAL SEL
ETF
81369Y605
213
8926
SH
SOLE
0
0
8926
SPDR GOLD TRUST
ETF
78463V107
950
9367
SH
SOLE
4777
0
4590
SPDR S&P 500 INDEX
ETF
78462F103
903
4431
SH
SOLE
145
0
4286
VANGUARD DIVIDEND APPREC
ETF
921908844
403
5185
SH
SOLE
1385
0
3800
VANGUARD FTSE ALL WORLD EX-U
ETF
922042775
646
14871
SH
SOLE
2985
0
11886
VANGUARD INDEX FDS VALUE ETF
ETF
922908744
871
10683
SH
SOLE
297
0
10386
ENTERPRISE PRODS PARTNERS L P
LP
293792107
481
18788
SH
SOLE
2268
0
16520
ONEOK PARTNERS L.P
LP
68268N103
314
10423
SH
SOLE
1865
0
8558
THE BLACKSTONE GROUP LP
LP
09253U108
824
28194
SH
SOLE
6600
0
21594
BUNGE LTD 4.875%
PFD
G16962204
2677
28775
SH
SOLE
0
0
28775
ARTIO INT'L EQUITY FUND II
FD
04315J837
112
12342
SH
SOLE
0
0
12342
DODGE & COX FDS INTL STK FD
FD
256206103
285
7808
SH
SOLE
0
0
7808
FIDELITY CONTRAFUND COM
FD
316071109
550
5560
SH
SOLE
0
0
5560
FIDELITY LOW PRICED STOCK FUND
FD
316345305
228
4764
SH
SOLE
0
0
4764
FIDELITY SECS FD BLUE CHIP GWT
FD
316389303
352
5108
SH
SOLE
1195
0
3914
FIDELITY SECS FD OTC PORTFOLIO
FD
316389105
379
4537
SH
SOLE
0
0
4537
FIDELITY SMALL CAP DISCOVERY F
FD
315912600
248
9404
SH
SOLE
0
0
9404
FIDELITY SPARAN EXTENDED MKT I
FD
315911883
266
5294
SH
SOLE
0
0
5294
FIDELITY STR DVD&INC FUND
FD
316145887
173
12702
SH
SOLE
0
0
12702
FIRST EAGLE GLOBAL FUND
FD
32008F507
525
10225
SH
SOLE
0
0
10225
HANCOCK HORIZON DIVERSIFIED IN
FD
41012R787
209
10941
SH
SOLE
0
0
10941
HARTFORD CAPITAL APPREC-I
FD
416649309
203
5897
SH
SOLE
0
0
5897
JPMORGAN TR I INTERM TF BD S
FD
4812a0441
206
18608
SH
SOLE
0
0
18608
LEUTHOLD CORE INVESTMENT FUND
FD
527289102
248
14088
SH
SOLE
1078
0
13011
NORTHERN INTERNATIONAL EQUITY
FD
665130209
141
13047
SH
SOLE
0
0
13047
PRUDENTIAL JENN EQTY OPPOR-Z
FD
74437E800
269
14458
SH
SOLE
0
0
14458
SCHWAB SMALL-CAP INDEX
FD
808509848
328
13625
SH
SOLE
6851
0
6774
TWEEDY BROWNE GLOBAL VALUE FUN
FD
901165100
354
14489
SH
SOLE
11054
0
3435
VANGUARD 500 INDEX
FD
922908108
205
1089
SH
SOLE
0
0
1089
VANGUARD STAR FUND STAR PORTFO
FD
921909107
1893
81262
SH
SOLE
3865
0
77397
WELLS FARGO ADVANTAGE TOT RET
FD
94975J631
149
11515
SH
SOLE
0
0
11515
BANK OF AMERICA CORP - EXP 1/1
WT
060505146
76
13000
SH
SOLE
0
0
13000
WELLS FARGO & CO - EXP 10/28/1
WT
949746119
388
18950
SH
SOLE
0
0
18950