Authorized Agent

0001513227-18-000004.txt : 20181017 0001513227-18-000004.hdr.sgml : 20181017 20181017140245 ACCESSION NUMBER: 0001513227-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181017 DATE AS OF CHANGE: 20181017 EFFECTIVENESS DATE: 20181017 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Smart Portfolios, LLC CENTRAL INDEX KEY: 0001513227 IRS NUMBER: 753072032 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14414 FILM NUMBER: 181126124 BUSINESS ADDRESS: STREET 1: 17865 BALLINGER WAY NE CITY: SEATTLE STATE: WA ZIP: 98155 BUSINESS PHONE: 206-686-3644 MAIL ADDRESS: STREET 1: 17865 BALLINGER WAY NE CITY: SEATTLE STATE: WA ZIP: 98155 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001513227 XXXXXXXX 09-30-2018 09-30-2018 Smart Portfolios, LLC

17865 BALLINGER WAY NE SEATTLE WA 98155

13F HOLDINGS REPORT 028-14414 N Ron Thompson Authorized Agent (206) 686-4840 Ronald Thompson Seattle WA 10-17-2018 1 152 161678 false 1 0000849854 028-15527 STRATEGIC WEALTH MANAGEMENT INC /ADV INFORMATION TABLE 2 smartportfolios_2018Q3_13f.xml PFIZER INC COM 717081103 173 3935 SH SOLE 0 0 0 0 3-D SYS CORP DEL COM NEW 88554D205 0 25 SH SOLE 0 0 0 0 CHEMOURS CO COM 163851108 0 5 SH SOLE 0 0 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 18714 366800 SH DFND 1 0 0 0 GENERAL ELECTRIC CO COM 369604103 77 6808 SH SOLE 0 0 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 1286 32039 SH SOLE 0 0 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 4988 121655 SH DFND 1 0 0 0 ISHARES INC MSCI HONG KG ETF 464286871 3287 137398 SH DFND 1 0 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1973 7464 SH SOLE 0 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 320 1100 SH SOLE 0 0 0 0 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 3575 76210 SH DFND 1 0 0 0 ISHARES TR MIN VOL USA ETF 46429B697 198 3478 SH SOLE 0 0 0 0 VANECK VECTORS ETF TR INVT GRADE FLTG 92189F486 1962 77438 SH SOLE 0 0 0 0 ISHARES TR TIPS BD ETF 464287176 28 250 SH SOLE 0 0 0 0 COSTCO WHSL CORP NEW COM 22160K105 153 653 SH SOLE 0 0 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 188 3490 SH SOLE 0 0 0 0 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 292 7693 SH SOLE 0 0 0 0 INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 46137V308 1790 29356 SH SOLE 0 0 0 0 PEPSICO INC COM 713448108 81 724 SH SOLE 0 0 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 90 1952 SH SOLE 0 0 0 0 UNION PAC CORP COM 907818108 328 2014 SH SOLE 0 0 0 0 VALERO ENERGY CORP NEW COM 91913Y100 68 600 SH SOLE 0 0 0 0 ISHARES INC MSCI HONG KG ETF 464286871 71 2976 SH SOLE 0 0 0 0 AMAZON COM INC COM 023135106 26 13 SH SOLE 0 0 0 0 TARGET CORP COM 87612E106 55 624 SH SOLE 0 0 0 0 ARK ETF TR INNOVATION ETF 00214Q104 1478 31222 SH SOLE 0 0 0 0 ANADARKO PETE CORP COM 032511107 21 306 SH SOLE 0 0 0 0 LOWES COS INC COM 548661107 12 107 SH SOLE 0 0 0 0 APPLE INC COM 037833100 181 800 SH SOLE 0 0 0 0 AT&T INC COM 00206R102 37 1115 SH SOLE 0 0 0 0 LATTICE STRATEGIES TR HARTFORD MLT ETF 518416102 5746 198400 SH DFND 1 0 0 0 TEXAS INSTRS INC COM 882508104 172 1600 SH SOLE 0 0 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 49 1698 SH SOLE 0 0 0 0 ISHARES TR MSCI INDIA ETF 46429B598 6372 196252 SH DFND 1 0 0 0 PROCTER AND GAMBLE CO COM 742718109 25 304 SH SOLE 0 0 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 1363 10250 SH SOLE 0 0 0 0 PHILIP MORRIS INTL INC COM 718172109 40 487 SH SOLE 0 0 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 104 2353 SH SOLE 0 0 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 6645 58928 SH DFND 1 0 0 0 DBX ETF TR XTRACK MSCI EMRG 233051101 716 31012 SH SOLE 0 0 0 0 WALMART INC COM 931142103 94 1000 SH SOLE 0 0 0 0 ISHARES TR JPMORGAN USD EMG 464288281 237 2200 SH SOLE 0 0 0 0 CHINA TECHFAITH WIRLS COMM T SPON ADR NEW 169424207 5 2200 SH SOLE 0 0 0 0 INTEL CORP COM 458140100 221 4669 SH SOLE 0 0 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 83 1035 SH SOLE 0 0 0 0 NEWS CORP NEW CL A 65249B109 6 488 SH SOLE 0 0 0 0 EXXON MOBIL CORP COM 30231G102 172 2023 SH SOLE 0 0 0 0 PURECYCLE CORP COM NEW 746228303 185 15990 SH SOLE 0 0 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 79 5787 SH SOLE 0 0 0 0 CISCO SYS INC COM 17275R102 159 3275 SH SOLE 0 0 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 27 700 SH SOLE 0 0 0 0 JPMORGAN CHASE & CO COM 46625H100 43 385 SH SOLE 0 0 0 0 OPPENHEIMER ETF TR S&P 500 REVENUE 68386C104 325 6005 SH SOLE 0 0 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 18 996 SH SOLE 0 0 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 277 1286 SH SOLE 0 0 0 0 COMCAST CORP NEW CL A 20030N101 49 1382 SH SOLE 0 0 0 0 INVESCO DB MLTI SECTR CMMTY AGRICULTURE FD 46140H106 4 230 SH SOLE 0 0 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 19 350 SH SOLE 0 0 0 0 LATTICE STRATEGIES TR HARTFORD MLT ETF 518416102 1981 68409 SH SOLE 0 0 0 0 HOLLYFRONTIER CORP COM 436106108 2 29 SH SOLE 0 0 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 15 218 SH SOLE 0 0 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 4687 37019 SH DFND 1 0 0 0 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 5805 96713 SH DFND 1 0 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 7356 81500 SH DFND 1 0 0 0 CHEVRON CORP NEW COM 166764100 73 600 SH SOLE 0 0 0 0 MICRO FOCUS INTERNATIONAL PL SPON ADR NEW 594837304 2 130 SH SOLE 0 0 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 33 200 SH SOLE 0 0 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 4327 84816 SH SOLE 0 0 0 0 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 1954 32559 SH SOLE 0 0 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 31 584 SH SOLE 0 0 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 136 2725 SH SOLE 0 0 0 0 EVER GLORY INTL GRP INC COM NEW 299766204 67 21000 SH SOLE 0 0 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 1017 8032 SH SOLE 0 0 0 0 ISHARES TR IBOXX INV CP ETF 464287242 55 476 SH SOLE 0 0 0 0 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 1754 12395 SH SOLE 0 0 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 615 7617 SH SOLE 0 0 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 3 26 SH SOLE 0 0 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 7 624 SH SOLE 0 0 0 0 LILLY ELI & CO COM 532457108 46 429 SH SOLE 0 0 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 156 1729 SH SOLE 0 0 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 20 400 SH SOLE 0 0 0 0 FACEBOOK INC CL A 30303M102 8 50 SH SOLE 0 0 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 27 1074 SH SOLE 0 0 0 0 ALTABA INC COM 021346101 204 3000 SH SOLE 0 0 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 11 487 SH SOLE 0 0 0 0 INVESCO EXCHNG TRADED FD TR S&P500 HDL VOL 46138E362 126 3043 SH SOLE 0 0 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 2327 55601 SH DFND 1 0 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 4767 22166 SH DFND 1 0 0 0 ALTRIA GROUP INC COM 02209S103 125 2075 SH SOLE 0 0 0 0 NORFOLK SOUTHERN CORP COM 655844108 5 28 SH SOLE 0 0 0 0 CITIGROUP INC COM NEW 172967424 43 600 SH SOLE 0 0 0 0 DOWDUPONT INC COM 26078J100 77 1198 SH SOLE 0 0 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 329 3358 SH SOLE 0 0 0 0 ACORN INTL INC SPONSORD ADR NEW 004854204 43 2250 SH SOLE 0 0 0 0 HOME DEPOT INC COM 437076102 104 500 SH SOLE 0 0 0 0 STRATASYS LTD SHS M85548101 1 25 SH SOLE 0 0 0 0 ISHARES TR IBOXX HI YD ETF 464288513 104 1200 SH SOLE 0 0 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 23 2500 SH SOLE 0 0 0 0 UNITEDHEALTH GROUP INC COM 91324P102 266 1000 SH SOLE 0 0 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 277 1565 SH SOLE 0 0 0 0 CANADIAN NATL RY CO COM 136375102 4 50 SH SOLE 0 0 0 0 CSX CORP COM 126408103 8 109 SH SOLE 0 0 0 0 AMGEN INC COM 031162100 104 500 SH SOLE 0 0 0 0 COCA COLA CO COM 191216100 40 864 SH SOLE 0 0 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 41 760 SH SOLE 0 0 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1997 10750 SH SOLE 0 0 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 2053 21411 SH SOLE 0 0 0 0 MICROSOFT CORP COM 594918104 981 8578 SH SOLE 0 0 0 0 MERCK & CO INC COM 58933Y105 178 2514 SH SOLE 0 0 0 0 DOMINION ENERGY INC COM 25746U109 29 408 SH SOLE 0 0 0 0 ISHARES TR S&P US PFD STK 464288687 97 2600 SH SOLE 0 0 0 0 STARBUCKS CORP COM 855244109 325 5720 SH SOLE 0 0 0 0 ISHARES TR S&P 500 VAL ETF 464287408 240 2073 SH SOLE 0 0 0 0 VANGUARD GROUP DIV APP ETF 921908844 536 4839 SH SOLE 0 0 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 3775 94065 SH DFND 1 0 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 838 19526 SH SOLE 0 0 0 0 NORDSTROM INC COM 655664100 24 400 SH SOLE 0 0 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 122 600 SH SOLE 0 0 0 0 MCDONALDS CORP COM 580135101 209 1252 SH SOLE 0 0 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1090 11461 SH SOLE 0 0 0 0 INVESCO EXCHNG TRADED FD TR S&P MIDCP LOW 46138E198 21 426 SH SOLE 0 0 0 0 ANTHEM INC COM 036752103 201 732 SH SOLE 0 0 0 0 PERSPECTA INC COM 715347100 1 40 SH SOLE 0 0 0 0 ALPHABET INC CAP STK CL A 02079K305 368 305 SH SOLE 0 0 0 0 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 5651 39926 SH DFND 1 0 0 0 ARK ETF TR INNOVATION ETF 00214Q104 4753 100398 SH DFND 1 0 0 0 INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 46137V308 2411 39544 SH DFND 1 0 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1536 15115 SH SOLE 0 0 0 0 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 1219 25980 SH SOLE 0 0 0 0 KROGER CO COM 501044101 3 106 SH SOLE 0 0 0 0 DXC TECHNOLOGY CO COM 23355L106 8 81 SH SOLE 0 0 0 0 BLACKSTONE MTG TR INC COM CL A 09257W100 84 2500 SH SOLE 0 0 0 0 ISHARES TR NA TEC SFTWR ETF 464287515 123 600 SH SOLE 0 0 0 0 ANNALY CAP MGMT INC COM 035710409 77 7500 SH SOLE 0 0 0 0 ALPHABET INC CAP STK CL C 02079K107 125 105 SH SOLE 0 0 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 6222 64898 SH DFND 1 0 0 0 ISHARES TR MSCI EAFE ETF 464287465 198 2906 SH SOLE 0 0 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 112 2728 SH SOLE 0 0 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 757 18084 SH SOLE 0 0 0 0 CATERPILLAR INC DEL COM 149123101 30 200 SH SOLE 0 0 0 0 CONOCOPHILLIPS COM 20825C104 22 282 SH SOLE 0 0 0 0 VANECK VECTORS ETF TR INVT GRADE FLTG 92189F486 5807 229239 SH DFND 1 0 0 0 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 12 515 SH SOLE 0 0 0 0 BP PLC SPONSORED ADR 055622104 227 4928 SH SOLE 0 0 0 0 CONCORD MED SVCS HLDGS LTD SPON ADR CL A 206277105 67 19000 SH SOLE 0 0 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4026 42308 SH DFND 1 0 0 0 BANK AMER CORP COM 060505104 59 2018 SH SOLE 0 0 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 6030 22807 SH DFND 1 0 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 3003 26635 SH SOLE 0 0 0 0 ISHARES TR MSCI INDIA ETF 46429B598 1975 60828 SH SOLE 0 0 0 0 JOHNSON & JOHNSON COM 478160104 161 1168 SH SOLE 0 0 0 0 UNITED STATES STL CORP NEW COM 912909108 2 52 SH SOLE 0 0 0 0