0001653168-17-000001.txt : 20170209 0001653168-17-000001.hdr.sgml : 20170209 20170208184718 ACCESSION NUMBER: 0001653168-17-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170209 DATE AS OF CHANGE: 20170208 EFFECTIVENESS DATE: 20170209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ken Stern & Associates, Inc. CENTRAL INDEX KEY: 0001653168 IRS NUMBER: 330879374 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16999 FILM NUMBER: 17583928 BUSINESS ADDRESS: STREET 1: 3655 NOBEL DRIVE STREET 2: SUITE 630 CITY: SAN DIEGO STATE: CA ZIP: 92122 BUSINESS PHONE: 858-485-0404 MAIL ADDRESS: STREET 1: 3655 NOBEL DRIVE STREET 2: SUITE 630 CITY: SAN DIEGO STATE: CA ZIP: 92122 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001653168 XXXXXXXX 12-31-2016 12-31-2016 Ken Stern & Associates, Inc.

3655 NOBEL DRIVE SUITE 630 SAN DIEGO CA 92122

13F HOLDINGS REPORT 028-16999 N Brian Hendricks 8584850404 Brian Hendricks San Diego CA 02-08-2017 0 104 193167 false INFORMATION TABLE 2 13F.xml ESSEX PPTY TR INC COMMON STOCK 297178105 40019 172124 SH SOLE NONE 0 0 172124 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 13100 157695 SH SOLE NONE 0 0 157695 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 10145 125575 SH SOLE NONE 0 0 125575 ISHARES TR RUS 2000 GRW ETF 464287648 9460 61455 SH SOLE NONE 0 0 61455 ISHARES TR CORE S&P 500 ETF 464287200 9007 40032 SH SOLE NONE 0 0 40032 ISHARES TR 7-10 Y TR BD ETF 464287440 8224 78457 SH SOLE NONE 0 0 78457 SELECT SECTOR SPDR TR SBI INT-INDS 83169y704 7362 118316 SH SOLE NONE 0 0 118316 VANGUARD WORLD FDS INF TECH ETF 92204A702 6965 57321 SH SOLE NONE 0 0 57321 VANGUARD INDEX FDS LARGE CAP ETF 922908637 6791 66342 SH SOLE NONE 0 0 66342 SELECT SECTOR SPDR TR SBI CONS DISCR 81369y407 6481 79616 SH SOLE NONE 0 0 79616 ISHARES TR RUS 1000 VAL ETF 464287598 5965 53243 SH SOLE NONE 0 0 53243 ISHARES TR USA MOMENTUM FCT 46432F396 5679 74865 SH SOLE NONE 0 0 74865 SCHWAB STRATEGIC TRI US DIVIDEND EQ 808524797 5375 123357 SH SOLE NONE 0 0 123357 VANGUARD INDEX FDS REIT ETF 922908553 4941 59868 SH SOLE NONE 0 0 59868 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4050 19727 SH SOLE NONE 0 0 19727 SELECT SECTOR SPDR TR SBI INT-FINL 81369y605 3865 166249 SH SOLE NONE 0 0 166249 SELECT SECTOR SPDR TR SBI MATERIALS 81369y100 3506 70547 SH SOLE NONE 0 0 70547 APPLE INC COMMON STOCK 037833100 1454 12556 SH SOLE NONE 0 0 12556 ISHARES TR CORE US AGGBD ET 464287226 1406 13009 SH SOLE NONE 0 0 13009 JOHNSON & JOHNSON COMMON STOCK 478160104 1265 10976 SH SOLE NONE 0 0 10976 QUALCOMM INC COMMON STOCK 747525103 988 15148 SH SOLE NONE 0 0 15148 VERIZON COMMUNICATIONS INC COMMON STOCK 92343v104 864 16186 SH SOLE NONE 0 0 16186 LEIDOS HLDGS INC COMMON STOCK 525327102 853 16677 SH SOLE NONE 0 0 16677 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 850 8543 SH SOLE NONE 0 0 8543 CHEVRON CORP NEW COMMON STOCK 166764100 821 6973 SH SOLE NONE 0 0 6973 VANGUARD INDEX FDS TOTAL STK MKT 922908769 783 6791 SH SOLE NONE 0 0 6791 ALPHABET INC CAP STK CL A 02079K305 752 949 SH SOLE NONE 0 0 949 SPDR S&P 500 ETF TR TR UNIT 78462f103 740 3310 SH SOLE NONE 0 0 3310 SCIENCE APPLICATNS INTL CP N COMMON STOCK 808625107 733 8640 SH SOLE NONE 0 0 8640 J P MORGAN & CO COMMON STOCK 46625h100 723 8377 SH SOLE NONE 0 0 8377 NUVEEN PREFERRED SECURITIES COMMON STOCK 67072c105 712 76505 SH SOLE NONE 0 0 76505 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 685 15444 SH SOLE NONE 0 0 15444 ISHARES TR RUS 1000 ETF 464287622 639 5132 SH SOLE NONE 0 0 5132 INTEL CORP COMMON STOCK 458140100 593 16359 SH SOLE NONE 0 0 16359 EXXON MOBIL CORP COMMON STOCK 30231g102 577 6396 SH SOLE NONE 0 0 6396 HONEYWELL INTL INC COMMON STOCK 438516106 552 4763 SH SOLE NONE 0 0 4763 SPDR SERIES TRUST S&P DIVID ETF 78464A763 544 6361 SH SOLE NONE 0 0 6361 LAM RESEARCH CORP COMMON STOCK 512807108 543 5131 SH SOLE NONE 0 0 5131 CITRIX SYS INC COMMON STOCK 177376100 540 6048 SH SOLE NONE 0 0 6048 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E 18383M530 531 25063 SH SOLE NONE 0 0 25063 UNITED PARCEL SERVICE INC CL B 911312106 530 4627 SH SOLE NONE 0 0 4627 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 525 24752 SH SOLE NONE 0 0 24752 CAPITAL ONE FINL CORP COMMON STOCK 14040h105 524 6010 SH SOLE NONE 0 0 6010 AMAZON.COM COMMON STOCK 023135106 523 697 SH SOLE NONE 0 0 697 DUKE ENERGY CORP NEW COM NEW 26441c204 522 6727 SH SOLE NONE 0 0 6727 CLAYMORE EXCHANGE TRD FD TR GUG BULL2019 E 18383M522 521 24647 SH SOLE NONE 0 0 24647 PROCTER & GAMBLE CO. COMMON STOCK 742718109 516 6136 SH SOLE NONE 0 0 6136 PPL CORP COMMON STOCK 69351T106 514 15097 SH SOLE NONE 0 0 15097 WELLS FARGO & CO NEW COMMON STOCK 949746101 510 9256 SH SOLE NONE 0 0 9256 SOUTHERN CO COMMON STOCK 842587107 508 10333 SH SOLE NONE 0 0 10333 CAMDEN PPTY TR SH BEN INT 133131102 505 6003 SH SOLE NONE 0 0 6003 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 487 21541 SH SOLE NONE 0 0 21541 PFIZER INC COMMON STOCK 717081103 470 14463 SH SOLE NONE 0 0 14463 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 470 9795 SH SOLE NONE 0 0 9795 PEPSICO INC COMMON STOCK 713448108 468 4470 SH SOLE NONE 0 0 4470 DELTA AIR LINES INC DEL COM NEW 247361702 462 9396 SH SOLE NONE 0 0 9396 ABBVIE INC COMMON STOCK 00287Y109 455 7261 SH SOLE NONE 0 0 7261 CORNING INC COMMON STOCK 219350105 450 18521 SH SOLE NONE 0 0 18521 AETNA INC NEW COMMON STOCK 00817y108 444 3579 SH SOLE NONE 0 0 3579 CISCO SYS INC COMMON STOCK 17275r102 438 14498 SH SOLE NONE 0 0 14498 HALLIBURTON CO COMMON STOCK 406216101 438 8097 SH SOLE NONE 0 0 8097 LABORATORY CORP AMER HLDGS COM NEW 50540r409 434 3382 SH SOLE NONE 0 0 3382 SPDR SERIES TRUST S&P INS ETF 78464A789 423 5096 SH SOLE NONE 0 0 5096 SPDR SERIES TRUST AEROSPACE DEF 78464A631 419 6610 SH SOLE NONE 0 0 6610 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 418 3416 SH SOLE NONE 0 0 3416 ISHARES TR GRWT ALLOCAT ETF 464289867 417 10288 SH SOLE NONE 0 0 10288 ISHARES TR NA TEC-SFTWR ETF 464287515 416 3820 SH SOLE NONE 0 0 3820 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 411 2914 SH SOLE NONE 0 0 2914 FIFTH THIRD BANCORP COMMON STOCK 316773100 409 15181 SH SOLE NONE 0 0 15181 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 402 8799 SH SOLE NONE 0 0 8799 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 401 2996 SH SOLE NONE 0 0 2996 PACCAR INC COMMON STOCK 693718108 392 6137 SH SOLE NONE 0 0 6137 ALEXION PHARMACEUTICALS INC COMMON STOCK 015351109 392 3200 SH SOLE NONE 0 0 3200 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 376 14458 SH SOLE NONE 0 0 14458 MICRON TECHNOLOGY INC COMMON STOCK 595112103 365 16666 SH SOLE NONE 0 0 16666 ISHARES TR SP SMCP600GR ETF 464287887 362 2412 SH SOLE NONE 0 0 2412 REALTY INCOME CORP COMMON STOCK 756109104 355 6181 SH SOLE NONE 0 0 6181 WALT DISNEY CO COM DISNEY 254687106 353 3386 SH SOLE NONE 0 0 3386 ISHARES TR CALIF MUN BD ETF 464288356 339 2937 SH SOLE NONE 0 0 2937 JPMORGAN CHASE PRFD COMMON STOCK 48127X542 323 12718 SH SOLE NONE 0 0 12718 EATON CORP PLC SHS G29183103 321 4791 SH SOLE NONE 0 0 4791 MORGAN STANLEY PRFD COMMON STOCK 61761J406 316 12298 SH SOLE NONE 0 0 12298 ALPS ETF TR ALERIAN MLP 00162Q866 314 24937 SH SOLE NONE 0 0 24937 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 313 3646 SH SOLE NONE 0 0 3646 U.S. BANCORP PRFD COMMON STOCK 902973791 312 12859 SH SOLE NONE 0 0 12859 WELLS FARGO & COMPANY DEP COMMON STOCK 949746747 305 13191 SH SOLE NONE 0 0 13191 STARBUCKS CORP COMMON STOCK 855244109 298 5368 SH SOLE NONE 0 0 5368 AIR LEASE CORP CL A 00912x302 297 8654 SH SOLE NONE 0 0 8654 ISHARES TR GLB INFRASTR ETF 464288372 297 7595 SH SOLE NONE 0 0 7595 ISHARES TR NASDQ BIOTEC ETF 464287556 295 1111 SH SOLE NONE 0 0 1111 NORDSTROM INC COMMON STOCK 655664100 287 5996 SH SOLE NONE 0 0 5996 iSHARES TR SP SMCP 600VL ETF 464287879 281 2010 SH SOLE NONE 0 0 2010 RENAISSANCE PRFD COMMON STOCK G7498P119 280 12431 SH SOLE NONE 0 0 12431 HOST HOTELS & RESORT INC COMMON STOCK 44107p104 256 13613 SH SOLE NONE 0 0 13613 ALPS ETF TR SECTR DIV DOGS 00162Q858 251 5958 SH SOLE NONE 0 0 5958 FIRST TR EXCHANGE TRADED FD MULTI ASSET DI 33738R100 245 12804 SH SOLE NONE 0 0 12804 CVS HEALTH CORP COMMON STOCK 126650100 242 3073 SH SOLE NONE 0 0 3073 CARNIVAL CORP UNIT 99/99/9999 143658300 235 4517 SH SOLE NONE 0 0 4517 GENERAL ELECTRIC CO COMMON STOCK 369604103 235 7429 SH SOLE NONE 0 0 7429 ISHARES TR INTERM CR BD ETF 464288638 232 2141 SH SOLE NONE 0 0 2141 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 231 2691 SH SOLE NONE 0 0 2691 COSTCO WHSL CORP NEW COMMON STOCK 22160k105 213 1329 SH SOLE NONE 0 0 1329 ISHARES TR NEW YORK MUN ETF 464288323 200 1833 SH SOLE NONE 0 0 1833 UNITED STATES OIL FUND LP UNITS 91232N108 141 12016 SH SOLE NONE 0 0 12016