Chief Compliance Officer

0001214659-19-006922.txt : 20191106 0001214659-19-006922.hdr.sgml : 20191106 20191106155424 ACCESSION NUMBER: 0001214659-19-006922 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191106 DATE AS OF CHANGE: 20191106 EFFECTIVENESS DATE: 20191106 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Litman Gregory Asset Management LLC CENTRAL INDEX KEY: 0001551867 IRS NUMBER: 680362255 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15324 FILM NUMBER: 191196179 BUSINESS ADDRESS: STREET 1: 1676 N. CALIFORNIA BLVD., SUITE 500 CITY: WALNUT CREEK STATE: CA ZIP: 94596 BUSINESS PHONE: 925-254-8999 MAIL ADDRESS: STREET 1: 1676 N. CALIFORNIA BLVD., SUITE 500 CITY: WALNUT CREEK STATE: CA ZIP: 94596 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001551867 XXXXXXXX 09-30-2019 09-30-2019 false Litman Gregory Asset Management LLC

1676 N. California Blvd., Suite 500 Walnut Creek CA 94596

13F HOLDINGS REPORT 028-15324 N Jennifer Ceccarelli Chief Compliance Officer 925-253-5244 /s/ Jennifer Ceccarelli Walnut Creek CA 11-05-2019 0 224 408770 INFORMATION TABLE 2 infotable.xml Apple Computer, Inc. Stock 037833100 1094 4886 SH SOLE 4886 0 0 Abbott Laboratories Stock 002824100 38 457 SH SOLE 457 0 0 Analog Devices Inc Stock 032654105 53 478 SH SOLE 478 0 0 Ameren Corp Stock 023608102 3 34 SH SOLE 34 0 0 AGCO Corp Stock 001084102 10 134 SH SOLE 134 0 0 iShares Barclays Aggregate Bond Fund (ETF) ETF 464287226 15486 136840 SH SOLE 136840 0 0 American Intl Group Inc Wt Exp 01/19/202 Stock 026874156 6 413 SH SOLE 413 0 0 Alexion Pharma Inc Stock 015351109 1 15 SH SOLE 15 0 0 Advanced Micro Devices Inc Stock 007903107 1 24 SH SOLE 24 0 0 Affiliated Managers Grp Stock 008252108 1 8 SH SOLE 8 0 0 American Tower Corp Stock 03027X100 20 90 SH SOLE 90 0 0 Amazon.com Stock 023135106 26 15 SH SOLE 15 0 0 Avalonbay Communities Inc. Stock 053484101 3 14 SH SOLE 14 0 0 American Express Stock 025816109 24 200 SH SOLE 200 0 0 Boeing Stock 097023105 152 400 SH SOLE 400 0 0 Bank of America Stock 060505104 712 24415 SH SOLE 24415 0 0 Brighthouse Financial Inc Stock 10922N103 0 9 SH SOLE 9 0 0 Bank of New York Co Inc Stock 064058100 32 697 SH SOLE 697 0 0 Biomarin Pharmaceutl Stock 09061G101 1 16 SH SOLE 16 0 0 Vanguard Total Bond Market (ETF) ETF 921937835 7721 91452 SH SOLE 91452 0 0 Bank Of Commerce Holdings Inc Stock 06424J103 22 2000 SH SOLE 2000 0 0 PIMCO Total Return (ETF) ETF 72201R775 16 150 SH SOLE 150 0 0 Berkshire Hathaway Class B Stock 084670702 69 331 SH SOLE 331 0 0 Boston Scientific Corp. Stock 101137107 2 51 SH SOLE 51 0 0 Citigroup, Inc. Stock 172967424 15 220 SH SOLE 220 0 0 Barclays ETN Shiller Capet Stock 06742A669 6 45 SH SOLE 45 0 0 Chubb Corp. Stock H1467J104 2 13 SH SOLE 13 0 0 Celanese Corp Stock 150870103 1 12 SH SOLE 12 0 0 Cigna Corp. Stock 125523100 24 156 SH SOLE 156 0 0 Colgate-Palmolive Co. Stock 194162103 10 137 SH SOLE 137 0 0 Comcast Corp. A Stock 20030N101 18 410 SH SOLE 410 0 0 iShares Cali AMT-Free Muni Bond (ETF) ETF 464288356 940 15339 SH SOLE 15339 0 0 Compass Minerals International Stock 20451N101 6 113 SH SOLE 113 0 0 C M S Energy Corp Stock 125896100 2 39 SH SOLE 39 0 0 Cooper Companies Stock 216648402 1 5 SH SOLE 5 0 0 ConocoPhillips Stock 20825C104 7 131 SH SOLE 131 0 0 Campbell Soup Co Stock 134429109 6 124 SH SOLE 124 0 0 Cisco Systems Stock 17275R102 74 1496 SH SOLE 1496 0 0 Corteva Inc Com Stock 22052L104 17 623 SH SOLE 623 0 0 Citrix Systems Inc Stock 177376100 1 11 SH SOLE 11 0 0 CVS Corp Del Stock 126650100 1 10 SH SOLE 10 0 0 Chevron Corporation Stock 166764100 164 1383 SH SOLE 1383 0 0 Concho Resources, Inc. Stock 20605P101 1 11 SH SOLE 11 0 0 Deutsche X-trackers MSCI Europe Hedged Equity (ETF) ETF 233051853 6 191 SH SOLE 191 0 0 DuPont de Nemours Inc Stock 26614N102 44 623 SH SOLE 623 0 0 Guggenheim Defensive Equity (ETF) ETF 46138J775 5 100 SH SOLE 100 0 0 Diageo PLC Stock 25243Q205 115 703 SH SOLE 703 0 0 Discover Financial Services Stock 254709108 122 1500 SH SOLE 1500 0 0 Danaher Corp. Stock 235851102 18 128 SH SOLE 128 0 0 Walt Disney Holding Company Stock 254687106 2 12 SH SOLE 12 0 0 Delphi Technologies PLC Stock G2709G107 0 34 SH SOLE 34 0 0 Dollar Tree Inc Stock 256746108 1 13 SH SOLE 13 0 0 Dunkin' Brands Group Inc. Stock 265504100 2 19 SH SOLE 19 0 0 Dow Chemical Company Stock 260557103 11 223 SH SOLE 223 0 0 iShares MSCI KLD 400 Social ETF 464288570 2776 25030 SH SOLE 25030 0 0 Doubleline Income Solutions Fund ETF 258622109 485 24351 SH SOLE 24351 0 0 Devon Energy Stock 25179M103 1 32 SH SOLE 32 0 0 iShares Select Dividend (ETF) ETF 464287168 5 53 SH SOLE 53 0 0 WisdomTree International Equity (ETF) ETF 97717W703 562 11300 SH SOLE 11300 0 0 DXC Technology Co Stock 23355L106 14 464 SH SOLE 464 0 0 Encana Corp. Stock 292505104 5 1014 SH SOLE 1014 0 0 iShares MSCI Emerging Market Fund (ETF) ETF 464287234 684 16724 SH SOLE 16724 0 0 iShares MSCI EAFE Index Fund (ETF) ETF 464287465 8542 130998 SH SOLE 130998 0 0 iShares J.P. Morgan USD Emerging Markets Bond (ETF) ETF 464288281 3759 33166 SH SOLE 33166 0 0 Emerson Electric Co. Stock 291011104 11 162 SH SOLE 162 0 0 EOG Resources, Inc. Stock 26875P101 1 18 SH SOLE 18 0 0 Equity Residential Stock 29476L107 3 30 SH SOLE 30 0 0 iShares MSCI EAFE ESG Optimized (ETF) ETF 46435G516 1691 26377 SH SOLE 26377 0 0 iShares MSCI EM ESG Optimized (ETF) ETF 46434G863 2342 71980 SH SOLE 71980 0 0 iShares MSCI USA Small-Cap ESG Optimized (ETF) ETF 46435U663 129 4850 SH SOLE 4850 0 0 Facebook Inc Class A Stock 30303M102 21 116 SH SOLE 116 0 0 Fedex Corp Stock 31428X106 1 7 SH SOLE 7 0 0 Fox Corp Cl A Com Stock 35137L105 0 13 SH SOLE 13 0 0 Federal Realty Stock 313747206 1 7 SH SOLE 7 0 0 General Electric Company Stock 369604103 22 2417 SH SOLE 2417 0 0 General Finance Corp Stock 369822101 450 50913 SH SOLE 50913 0 0 Corning, Inc. Stock 219350105 32 1130 SH SOLE 1130 0 0 Alphabet Inc Class A Stock 02079K305 23 19 SH SOLE 19 0 0 Global Payments Inc Stock 37940X102 2 12 SH SOLE 12 0 0 FlexShares Morningstar Global Upstream Natural Resources Index Fund (ETF) ETF 33939L407 2873 92230 SH SOLE 92230 0 0 Halliburton Co Stock 406216101 1 29 SH SOLE 29 0 0 Home Depot Inc Stock 437076102 2 7 SH SOLE 7 0 0 iShares High Dividend Equity Fund (ETF) ETF 46429B663 1856 19713 SH SOLE 19713 0 0 Hecla Mining Company Stock 422704106 1 700 SH SOLE 700 0 0 Honda Motor Co. Stock 438128308 17 650 SH SOLE 650 0 0 Honeywell International Inc. Stock 438516106 21 126 SH SOLE 126 0 0 Hill-Rom Holdings Inc Stock 431475102 13 126 SH SOLE 126 0 0 iShares iBoxx High Yield Corp Bond Fund (ETF) ETF 464288513 3682 42239 SH SOLE 42239 0 0 PIMCO 0-5 Year High Yield Corporate Bond Index (ETF) ETF 72201R783 1 7 SH SOLE 7 0 0 International Business Machines Corp. Stock 459200101 7 50 SH SOLE 50 0 0 iShares Barclays 7-10 Yr Treasury Bond Fund (ETF) ETF 464287440 32796 291602 SH SOLE 291602 0 0 iShares Core MSCI EAFE (ETF) ETF 46432F842 3 45 SH SOLE 45 0 0 iShares Core MSCI Emerging Markets (ETF) ETF 46434G103 5514 112486 SH SOLE 112486 0 0 iShares Core MSCI Europe (ETF) ETF 46434V738 14425 315371 SH SOLE 315371 0 0 iShares Intermediate-Term Corporate Bond (ETF) ETF 464288638 1 25 SH SOLE 25 0 0 iShares Long-Term Corporate Bond (ETF) ETF 464289511 2 31 SH SOLE 31 0 0 iShares Short-Term Corporate Bond (ETF) ETF 464288646 2 44 SH SOLE 44 0 0 iShares S&P MidCap 400 Index (ETF) ETF 464287507 20 104 SH SOLE 104 0 0 iShares S&P MidCap 400 Value Index (ETF) ETF 464287705 13 83 SH SOLE 83 0 0 iShares S&P Mid-Cap 400 Growth (ETF) ETF 464287606 14 64 SH SOLE 64 0 0 iShares S&P Small-Cap 600 Index (ETF) ETF 464287804 207 2654 SH SOLE 2654 0 0 Intel Corporation Stock 458140100 2 33 SH SOLE 33 0 0 Intuit Inc. Stock 461202103 2 6 SH SOLE 6 0 0 iShares Core S&P Total US Stock Market (ETF) ETF 464287150 22441 334587 SH SOLE 334587 0 0 Itt Inc Stock 45073V108 2 34 SH SOLE 34 0 0 iShares Core S&P U.S. Value (ETF) ETF 464287663 79 1359 SH SOLE 1359 0 0 iShares S&P 500/Barra Value (ETF) ETF 464287408 134 1126 SH SOLE 1126 0 0 iShares S&P 500 Index Fund (ETF) ETF 464287200 44703 149750 SH SOLE 149750 0 0 iShares S&P 500 Growth Index (ETF) ETF 464287309 218 1213 SH SOLE 1213 0 0 iShares Russell 1000 Index Fund (ETF) ETF 464287622 102 618 SH SOLE 618 0 0 iShares Russell 1000 Value Index Fund (ETF) ETF 464287598 32 250 SH SOLE 250 0 0 iShares Russell 1000 Growth Index Fund (ETF) ETF 464287614 2 15 SH SOLE 15 0 0 iShares Russell 2000 Index Fund (ETF) ETF 464287655 12000 79295 SH SOLE 79295 0 0 iShares Russell 2000 Value Index Fund (ETF) ETF 464287630 19 162 SH SOLE 162 0 0 iShares Russell 2000 Growth Index (ETF) ETF 464287648 122 634 SH SOLE 634 0 0 iShares Russell Mid-Cap (ETF) ETF 464287499 958 17128 SH SOLE 17128 0 0 iShares Russell Midcap (ETF) ETF 464287473 37 416 SH SOLE 416 0 0 iShares US Financials (ETF) ETF 464287788 32 251 SH SOLE 251 0 0 Johnson & Johnson Stock 478160104 88 679 SH SOLE 679 0 0 JP Morgan & Co. Stock 46625H100 181 1539 SH SOLE 1539 0 0 The Kraft Heinz Co Stock 500754106 4 160 SH SOLE 160 0 0 Kroger Company Stock 501044101 1 46 SH SOLE 46 0 0 Lazard Ltd Stock G54050102 1 28 SH SOLE 28 0 0 Lab Co Of Amer Hldg Stock 50540R409 1 7 SH SOLE 7 0 0 Eli Lilly & Company Stock 532457108 25 225 SH SOLE 225 0 0 Lockheed Martin Corporation Stock 539830109 156 401 SH SOLE 401 0 0 Live Nation Entmt Stock 538034109 1 22 SH SOLE 22 0 0 Mastercard Incorporated Stock 57636Q104 27 99 SH SOLE 99 0 0 iShares MBS ETF 464288588 8 74 SH SOLE 74 0 0 McDonald's Corporation Stock 580135101 16 73 SH SOLE 73 0 0 Mondelez Intl Inc Com Stock 609207105 23 415 SH SOLE 415 0 0 Medtronic, Inc. Stock G5960L103 4 36 SH SOLE 36 0 0 SPDR S&P MidCap 400 (ETF) ETF 78467Y107 56 158 SH SOLE 158 0 0 Metlife Inc. Stock 59156R108 7 155 SH SOLE 155 0 0 Vanguard Mega Cap Growth Index Fund (ETF) ETF 921910816 3091 23297 SH SOLE 23297 0 0 Marsh & McLennan Co., Inc. Stock 571748102 228 2279 SH SOLE 2279 0 0 Altria Group Inc. Stock 02209S103 26 631 SH SOLE 631 0 0 Marathon Pete Corp Stock 56585A102 7 119 SH SOLE 119 0 0 Merck & Co., Inc. Stock 58933Y105 2 21 SH SOLE 21 0 0 Marvell Technology Group Ltd Stock G5876H105 2 73 SH SOLE 73 0 0 Microsoft Corporation Stock 594918104 125 896 SH SOLE 896 0 0 M & T BK Corp Stock 55261F104 2 10 SH SOLE 10 0 0 Micron Technology Inc Stock 595112103 36 843 SH SOLE 843 0 0 iShares S&P National Muni Bond (ETF) ETF 464288414 2 21 SH SOLE 21 0 0 Nextera Energy Inc Stock 65339F101 4 17 SH SOLE 17 0 0 Nike Stock 654106103 19 200 SH SOLE 200 0 0 Northrop Grumman Corp Stock 666807102 4 10 SH SOLE 10 0 0 Nestle SA Stock H57312649 313 2884 SH SOLE 2884 0 0 Northern Trust Corp. Stock 665859104 13 138 SH SOLE 138 0 0 Nuveen ESG US Aggregate Bond (ETF) ETF 67092P870 903 35124 SH SOLE 35124 0 0 NuShares ESG Small-Cap (ETF) ETF 67092P607 100 3417 SH SOLE 3417 0 0 Novartis AG Stock 66987V109 35 400 SH SOLE 400 0 0 iShares S&P 100 Index Fund (ETF) ETF 464287101 202 1536 SH SOLE 1536 0 0 OGE Energy Corp Stock 670837103 6 130 SH SOLE 130 0 0 PG & E Corporation Stock 69331C108 12 1162 SH SOLE 1162 0 0 PIMCO Dynamic Credit and Mortgage Income Fund ETF 72202D106 791 32332 SH SOLE 32332 0 0 Pimco Dynamic Income ETF 72201Y101 65 2000 SH SOLE 2000 0 0 Pepsico Inc. Stock 713448108 122 892 SH SOLE 892 0 0 Pfizer Inc. Stock 717081103 100 2770 SH SOLE 2770 0 0 Procter & Gamble Co. Stock 742718109 3 23 SH SOLE 23 0 0 Polaris Industries Inc. Stock 731068102 24 269 SH SOLE 269 0 0 Philip Morris Intl Inc Stock 718172109 56 732 SH SOLE 732 0 0 PowerShares FTSE RAFI US 1500 Small-Mid (ETF) ETF 46137V597 68 539 SH SOLE 539 0 0 Pvh Corp Stock 693656100 1 10 SH SOLE 10 0 0 Royal Caribbean Cruises Ltd. Stock V7780T103 2 19 SH SOLE 19 0 0 Royal Dutch Shell Stock G7690A100 35 600 SH SOLE 600 0 0 Ross Stores Inc. Stock 778296103 19 169 SH SOLE 169 0 0 Guggenheim S&P 500 Equal ETF 46137V357 22 204 SH SOLE 204 0 0 Raytheon Co. Stock 755111507 100 509 SH SOLE 509 0 0 Guggenheim S&P 500 Equal Weight Health Care (ETF) ETF 46137V332 38 193 SH SOLE 193 0 0 Seabridge Gold Inc. Stock 811916105 4 300 SH SOLE 300 0 0 Schwab US Broad Market (ETF) ETF 808524102 9 125 SH SOLE 125 0 0 Schwab U.S. Large-Cap Growth (ETF) ETF 808524300 8 91 SH SOLE 91 0 0 Schwab U.S. TIPS (ETF) ETF 808524870 4115 72493 SH SOLE 72493 0 0 Sherwin-Williams Stock 824348106 16 29 SH SOLE 29 0 0 Powershares S&P 500 Low Volatility Portfolio (ETF) ETF 46138E354 16 278 SH SOLE 278 0 0 SPDR Portfolio Short Term Corporate Bond (ETF) ETF 78464A474 2009 65137 SH SOLE 65137 0 0 SPDR S&P 500 (ETF) ETF 78462F103 1740 5862 SH SOLE 5862 0 0 Sempra Energy Stock 816851109 2 12 SH SOLE 12 0 0 Suntrust Banks Inc. Stock 867914103 2 31 SH SOLE 31 0 0 iShares Short-Term National Muni Bond (ETF) ETF 464288158 45 419 SH SOLE 419 0 0 iShares MSCI USA ESG Select (ETF) ETF 464288802 548 4436 SH SOLE 4436 0 0 SPDR MFS Systematic Core Equity (ETF) ETF 78467V806 5 55 SH SOLE 55 0 0 AT&T Inc. Stock 00206R102 14 357 SH SOLE 357 0 0 iShares Barclays 20 Year Treasury Bond Fund (ETF) ETF 464287432 1 9 SH SOLE 9 0 0 SPDR DoubleLine Total Return Tact (ETF) ETF 78467V848 6068 123250 SH SOLE 123250 0 0 TCW Strategic Income Fund, Inc. ETF 872340104 92 16200 SH SOLE 16200 0 0 Tesla Motors Inc Stock 88160R101 31 130 SH SOLE 130 0 0 Texas Instruments Inc. Stock 882508104 8 60 SH SOLE 60 0 0 Textron Inc. Stock 883203101 20 400 SH SOLE 400 0 0 Union Pacific Corp. Stock 907818108 24 147 SH SOLE 147 0 0 iShares MSCI World (ETF) ETF 464286392 227 2478 SH SOLE 2478 0 0 Americas Silver Corp Stock 03062D100 1 396 SH SOLE 396 0 0 Invesco Russell 1000 Low Beta Eq Wt (ETF) ETF 46138E412 53 1566 SH SOLE 1566 0 0 United Technologies Corp. Stock 913017109 25 181 SH SOLE 181 0 0 Visa, Inc. Stock 92826C839 2 13 SH SOLE 13 0 0 Vanguard Small Cap (ETF) ETF 922908751 24 156 SH SOLE 156 0 0 Vanguard Small-Cap Value Index Fund (ETF) ETF 922908611 12 97 SH SOLE 97 0 0 Vanguard FTSE Developed Markets (ETF) ETF 921943858 49499 1204946 SH SOLE 1204946 0 0 Vanguard FTSE All-World Ex-US (ETF) ETF 922042775 3327 66667 SH SOLE 66667 0 0 Vanguard FTSE Europe (ETF) ETF 922042874 40724 759631 SH SOLE 759631 0 0 Vanguard Dividend Appreciation (ETF) ETF 921908844 5332 44586 SH SOLE 44586 0 0 Vanguard REIT (ETF) ETF 922908553 2261 24250 SH SOLE 24250 0 0 Vanguard Mid Cap (ETF) ETF 922908629 1 6 SH SOLE 6 0 0 Vodafone Airtouch ADR Stock 92857W308 5 238 SH SOLE 238 0 0 Vanguard S&P 500 (ETF) ETF 922908363 3274 12010 SH SOLE 12010 0 0 Vanguard FTSE Pacific Index Fund (ETF) ETF 922042866 146 2217 SH SOLE 2217 0 0 Vertex Pharmaceuticals Stock 92532F100 1 7 SH SOLE 7 0 0 Vanguard Total Stock Market (ETF) ETF 922908769 26749 177149 SH SOLE 177149 0 0 Vanguard Value (ETF) ETF 922908744 296 2648 SH SOLE 2648 0 0 Vanguard Russell 2000 Value Index Fund (ETF) ETF 92206C649 104 990 SH SOLE 990 0 0 Vanguard FTSE Emerging Markets (ETF) ETF 922042858 63367 1573935 SH SOLE 1573935 0 0 Vanguard Emerging Markt Stock 921946885 41 504 SH SOLE 504 0 0 Vanguard Extended Market (ETF) ETF 922908652 128 1103 SH SOLE 1103 0 0 Verizon Communication Stock 92343V104 12 204 SH SOLE 204 0 0 Wabtec Stock 929740108 2 25 SH SOLE 25 0 0 Wells Fargo & Company Stock 949746101 44 867 SH SOLE 867 0 0 Walmart Stores Inc. Stock 931142103 22 182 SH SOLE 182 0 0 Wheaton Precious Metals Corp Stock 962879102 3 105 SH SOLE 105 0 0 Xcel Energy Inc. Stock 98389B100 3 47 SH SOLE 47 0 0 Xcelera Inc (NV) Stock G31611109 0 150 SH SOLE 150 0 0 Industrial Select Sector SPDR (ETF) ETF 81369Y704 59 766 SH SOLE 766 0 0 Exxon Mobil Corporation Stock 30231G102 37 522 SH SOLE 522 0 0 Zimmer Biomet Holdings Inc Stock 98956P102 2 16 SH SOLE 16 0 0