0001140361-17-018913.txt : 20170509
0001140361-17-018913.hdr.sgml : 20170509
20170508180804
ACCESSION NUMBER: 0001140361-17-018913
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170509
DATE AS OF CHANGE: 20170508
EFFECTIVENESS DATE: 20170509
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: 17823783
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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03-31-2017
03-31-2017
CARRET ASSET MANAGEMENT, LLC
40 WEST 57TH STREET
20TH FLOOR
NEW YORK
NY
10019
13F HOLDINGS REPORT
028-01317
N
Marco Vega
Chief Operating Officer
212-207-2304
/s/ Marco Vega
New York
NY
05-08-2017
0
245
557231
false
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0
8896
ALIBABA GROUP HLDING -SP ADR
ADR
01609W102
765
7094
SH
SOLE
3644
0
3450
AXA-SPONS ADR
ADR
054536107
1915
74490
SH
SOLE
18537
0
55953
BHP BILLITON LTD SPONS
ADR
088606108
346
9540
SH
SOLE
1000
0
8540
BP PLC SPONS ADR
ADR
055622104
640
18542
SH
SOLE
0
0
18542
CANADIAN NATL RAILWAY CO
ADR
136375102
5738
77609
SH
SOLE
7500
0
70109
DIAGEO PLC NEW
ADR
25243Q205
354
3064
SH
SOLE
2800
0
264
KONINKLIJKE PHILIPS NV
ADR
500472303
294
9160
SH
SOLE
6573
0
2587
NESTLE SA-SPONS ADR
ADR
641069406
4478
58225
SH
SOLE
36900
0
21325
NOVARTIS AG ADR
ADR
66987v109
3595
48407
SH
SOLE
19955
0
28452
ROYAL DUTCH SHELL ADR B
ADR
780259107
1035
18536
SH
SOLE
8791
0
9745
SANOFI
ADR
80105N105
222
4900
SH
SOLE
3200
0
1700
SAP SE
ADR
803054204
354
3609
SH
SOLE
0
0
3609
TELEFONICA SA ADR
ADR
879382208
272
24264
SH
SOLE
13432
0
10832
UNILEVER PLC NEW ADS 4 ORD
ADR
904767704
292
5920
SH
SOLE
0
0
5920
VODAFONE GROUP PLC
ADR
92857w308
1511
57151
SH
SOLE
13430
0
43721
NUVEEN S&P 500 BUY-WRITE INC F
FD
6706er101
147
11126
SH
SOLE
0
0
11126
GRUPO MEXICO SAB DE CV-SER B
COM
00B032VC1
61
20426
SH
SOLE
0
0
20426
DEUTSCHE X-TRACKERS MSCI EUROP
ETF
233051853
411
15196
SH
SOLE
5665
0
9531
GLOBAL X MLP
ETF
37950E473
641
55150
SH
SOLE
12350
0
42800
ISHARES CNX INDIA 50 INDEX
ETF
464289529
771
23849
SH
SOLE
0
0
23849
ISHARES CORE HIGH DIVIDEND
ETF
46429B663
314
3741
SH
SOLE
0
0
3741
ISHARES CORE S&P 500 INDEX
ETF
464287200
365
1540
SH
SOLE
0
0
1540
ISHARES DJ US FINANCIAL SECTOR
ETF
464287788
210
2020
SH
SOLE
0
0
2020
ISHARES DJ US TECHNOLOGY SECTO
ETF
464287721
438
3242
SH
SOLE
0
0
3242
ISHARES DOW JONES SELECT DIVID
ETF
464287168
606
6650
SH
SOLE
0
0
6650
ISHARES MSCI EAFE INDEX FUND
ETF
464287465
239
3831
SH
SOLE
0
0
3831
ISHARES MSCI EMERGING MARKETS
ETF
464287234
1588
40314
SH
SOLE
7315
0
32999
ISHARES MSCI HONG KONG INDEX
ETF
464286871
392
17600
SH
SOLE
0
0
17600
ISHARES RUSSELL 1000 GROWTH
ETF
464287614
433
3805
SH
SOLE
0
0
3805
ISHARES RUSSELL 1000 VALUE
ETF
464287598
214
1858
SH
SOLE
0
0
1858
ISHARES RUSSELL 2000 INDEX FUN
ETF
464287655
318
2315
SH
SOLE
200
0
2115
ISHARES RUSSELL MID-CAP INDEX
ETF
464287499
970
5182
SH
SOLE
0
0
5182
ISHARES S&P 100 INDEX
ETF
464287101
3387
32349
SH
SOLE
638
0
31711
ISHARES S&P PREF STK INDX FN
ETF
464288687
612
15806
SH
SOLE
0
0
15806
SCHWAB US BROAD MARKET ETF
ETF
808524102
319
5598
SH
SOLE
300
0
5298
SCHWAB US LARGE-CAP ETR
ETF
808524201
464
8239
SH
SOLE
315
0
7924
SPDR GOLD TRUST
ETF
78463V107
786
6617
SH
SOLE
4777
0
1840
SPDR S&P 500 INDEX
ETF
78462F103
2361
10014
SH
SOLE
145
0
9869
VANGUARD DIVIDEND APPREC
ETF
921908844
481
5349
SH
SOLE
1385
0
3964
VANGUARD FTSE ALL WORLD EX-U
ETF
922042775
723
15116
SH
SOLE
2145
0
12971
VANGUARD INDEX FDS VALUE ETF
ETF
922908744
1154
12103
SH
SOLE
297
0
11806
ENTERPRISE PRODS PARTNERS L P
LP
293792107
451
16320
SH
SOLE
500
0
15820
ONEOK PARTNERS L.P
LP
68268N103
519
9615
SH
SOLE
1865
0
7750
THE BLACKSTONE GROUP LP
LP
09253U108
335
11278
SH
SOLE
5100
0
6178
THE CARLYLE GROUP
LP
14309L102
207
13000
SH
SOLE
13000
0
0
BUNGE LTD 4.875
PFD
G16962204
2616
24395
SH
SOLE
0
0
24395
DODGE & COX FDS INTL STK FD
FD
256206103
476
11427
SH
SOLE
0
0
11427
DODGE & COX STOCK
FD
256219106
337
1776
SH
SOLE
0
0
1776
FIDELITY CONTRAFUND COM
FD
316071109
692
6426
SH
SOLE
0
0
6426
FIDELITY LOW PRICED STOCK FUND
FD
316345305
246
4764
SH
SOLE
0
0
4764
FIDELITY SECS FD BLUE CHIP GWT
FD
316389303
300
3985
SH
SOLE
0
0
3985
FIDELITY SECS FD OTC PORTFOLIO
FD
316389105
427
4537
SH
SOLE
0
0
4537
FIDELITY SMALL CAP DISCOVERY F
FD
315912600
300
9404
SH
SOLE
0
0
9404
FIDELITY SPARAN EXTENDED MKT I
FD
315911883
307
5294
SH
SOLE
0
0
5294
FIDELITY STR DVD&INC FUND
FD
316145887
196
12947
SH
SOLE
0
0
12947
FIRST EAGLE GLOBAL FUND
FD
32008F507
540
9434
SH
SOLE
0
0
9434
HENDERSON GLOBAL EQTY INC-C
FD
425067691
97
13288
SH
SOLE
0
0
13288
JPMORGAN MID CAP VALUE FD-A
FD
339128308
235
6349
SH
SOLE
0
0
6349
JPMORGAN TR I INTERM TF BD S
FD
4812a0441
108
10053
SH
SOLE
0
0
10053
LEUTHOLD CORE INVESTMENT FUND
FD
527289102
300
15782
SH
SOLE
1078
0
14705
NORTHERN INTERNATIONAL EQUITY
FD
665130209
149
13047
SH
SOLE
0
0
13047
PRUDENTIAL JENN EQTY OPPOR-Z
FD
74437E800
303
14458
SH
SOLE
0
0
14458
ROWE T PRIC MID CP VAL COM
FD
77957Y106
313
10435
SH
SOLE
0
0
10435
SCHWAB SMALL-CAP INDEX
FD
808509848
389
13519
SH
SOLE
6880
0
6639
T.ROWE PRICE CAPITAL APRREC
FD
77954m105
211
7639
SH
SOLE
0
0
7639
TWEEDY BROWNE GLOBAL VALUE FUN
FD
901165100
417
15593
SH
SOLE
8310
0
7283
VANGUARD 500 INDEX
FD
922908108
204
934
SH
SOLE
0
0
934
VANGUARD STAR FUND STAR PORTFO
FD
921909107
1724
69249
SH
SOLE
3865
0
65384
WELLS FARGO ADVANTAGE TOT RET
FD
94975J631
151
11515
SH
SOLE
0
0
11515
BLACKROCK SHORT TERM MUNI-I
FIMF
09253C819
498
49197
SH
SOLE
0
0
49197