0001085146-21-002463.txt : 20210813 0001085146-21-002463.hdr.sgml : 20210813 20210813142806 ACCESSION NUMBER: 0001085146-21-002463 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210813 DATE AS OF CHANGE: 20210813 EFFECTIVENESS DATE: 20210813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 3D/L Capital Management, LLC CENTRAL INDEX KEY: 0001846943 IRS NUMBER: 861660892 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-21050 FILM NUMBER: 211171495 BUSINESS ADDRESS: STREET 1: 100 CONSTITUTION PLAZA STREET 2: 7TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 860-291-1998 MAIL ADDRESS: STREET 1: 100 CONSTITUTION PLAZA STREET 2: 7TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001846943 XXXXXXXX 06-30-2021 06-30-2021 false 3D/L Capital Management, LLC

100 CONSTITUTION PLAZA 7TH FLOOR Hartford CT 06103

13F HOLDINGS REPORT 028-21050 N Andrew T. Lucich 860-291-1998 /s/Andrew T. Lucich Hartford CT 08-09-2021 0 125 418507 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ALPS ETF TR CLEAN ENERGY 00162Q460 318 4188 SH SOLE 2283 0 1905 AMERICAN CENTY ETF TR DIVERSIFIED MU 025072505 2132 38378 SH SOLE 35759 0 2619 APPLE INC COM 037833100 311 2271 SH SOLE 1915 0 356 BARCLAYS BANK PLC DJUBS CMDT ETN36 06738C778 259 9515 SH SOLE 9515 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 419 1 SH SOLE 1 0 0 CANOPY GROWTH CORP COM 138035100 653 27011 SH SOLE 22014 0 4997 CONSTELLATION BRANDS INC CL A 21036P108 260 1113 SH SOLE 910 0 203 DBX ETF TR XTKR MSCI EMRG 233051226 273 7692 SH SOLE 5780 0 1912 DBX ETF TR XTRACK MUN INFRA 233051705 5590 189222 SH SOLE 174869 0 14353 DIMENSIONAL ETF TRUST US CORE EQUITY 2 25434V708 687 25455 SH SOLE 25455 0 0 DIMENSIONAL ETF TRUST US EQUITY ETF 25434V401 6618 140437 SH SOLE 140437 0 0 DIMENSIONAL ETF TRUST US SMALL CAP ETF 25434V500 3206 54890 SH SOLE 54890 0 0 DIMENSIONAL ETF TRUST US TARGETED VLU 25434V609 3139 70069 SH SOLE 70069 0 0 ETFS TR BBRG ALL COMD K1 003261104 7795 295582 SH SOLE 286624 0 8958 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 2527 44114 SH SOLE 38979 0 5135 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 11688 229628 SH SOLE 205258 0 24370 FIRST TR EXCHNG TRADED FD VI CBOE VEST US DEP 33740U802 400 13090 SH SOLE 11555 0 1535 FIRST TR EXCHNG TRADED FD VI CBOE VEST US EQT 33740U885 950 30858 SH SOLE 27246 0 3612 FLEXSHARES TR CRE SLCT BD FD 33939L670 1359 51517 SH SOLE 50663 0 854 FLEXSHARES TR GLB QLT R/E IDX 33939L787 261 3915 SH SOLE 3859 0 56 FLEXSHARES TR HIG YLD VL ETF 33939L662 307 6125 SH SOLE 5763 0 362 FLEXSHARES TR INTL QLTDV IDX 33939L837 24747 932441 SH SOLE 906846 0 25595 FLEXSHARES TR M STAR DEV MKT 33939L803 954 13064 SH SOLE 11124 0 1940 FLEXSHARES TR MORNSTAR UPSTR 33939L407 238 6219 SH SOLE 5310 0 909 FLEXSHARES TR MORNSTAR USMKT 33939L100 483 2833 SH SOLE 2164 0 669 FLEXSHARES TR MSTAR EMKT FAC 33939L308 417 6417 SH SOLE 5522 0 895 FLEXSHARES TR QLT DIV DEF IDX 33939L845 30511 567323 SH SOLE 550196 0 17127 FLEXSHARES TR US QUALITY CAP 33939L746 1109 23418 SH SOLE 20318 0 3100 GLOBAL X FDS CLOUD COMPUTNG 37954Y442 333 11680 SH SOLE 6369 0 5311 GLOBAL X FDS CONSCIOUS COS 37954Y731 857 27392 SH SOLE 20287 0 7105 GLOBAL X FDS CYBRSCURTY ETF 37954Y384 348 12081 SH SOLE 6601 0 5480 GLOBAL X FDS E COMMERCE ETF 37954Y467 299 8696 SH SOLE 4707 0 3989 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 788 22550 SH SOLE 15766 0 6784 GLOBAL X FDS VDEO GAM ESPRT 37954Y392 307 9516 SH SOLE 5155 0 4361 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 23186 663771 SH SOLE 646123 0 17648 INVESCO EXCH TRADED FD TR II TAXABLE MUN BD 46138G805 3187 96065 SH SOLE 86689 0 9376 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 407 19283 SH SOLE 17691 0 1592 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 660 30582 SH SOLE 29026 0 1556 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 704 32396 SH SOLE 30848 0 1548 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 294 13256 SH SOLE 11737 0 1519 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 2399 107518 SH SOLE 76025 0 31493 INVESCO EXCHANGE TRADED FD T INVESCO MSCI 46137V407 346 5001 SH SOLE 3798 0 1203 INVESCO EXCHANGE TRADED FD T WATER RES ETF 46137V142 334 6232 SH SOLE 3388 0 2844 INVESCO QQQ TR UNIT SER 1 46090E103 776 2188 SH SOLE 1761 0 427 ISHARES INC ESG AWR MSCI EM 46434G863 352 7805 SH SOLE 6208 0 1597 ISHARES INC MSCI GBL MIN VOL 464286525 432 4205 SH SOLE 3715 0 490 ISHARES TR 0-5 YR TIPS ETF 46429B747 204 1919 SH SOLE 1462 0 457 ISHARES TR COHEN STEER REIT 464287564 205 3136 SH SOLE 3136 0 0 ISHARES TR CORE MSCI EAFE 46432F842 455 6082 SH SOLE 1810 0 4272 ISHARES TR CORE S&P SCP ETF 464287804 331 2933 SH SOLE 1871 0 1062 ISHARES TR CORE S&P500 ETF 464287200 1574 3660 SH SOLE 3183 0 477 ISHARES TR CORE TOTAL USD 46434V613 487 9112 SH SOLE 6750 0 2362 ISHARES TR CORE US AGGBD ET 464287226 212 1841 SH SOLE 536 0 1305 ISHARES TR EAFE GRWTH ETF 464288885 365 3400 SH SOLE 2725 0 675 ISHARES TR EAFE VALUE ETF 464288877 596 11515 SH SOLE 9356 0 2159 ISHARES TR ESG AWR MSCI USA 46435G425 884 8980 SH SOLE 7265 0 1715 ISHARES TR ESG EAFE ETF 46436E759 368 5439 SH SOLE 4062 0 1377 ISHARES TR GLOBAL FINLS ETF 464287333 204 2634 SH SOLE 2066 0 568 ISHARES TR IBOXX INV CP ETF 464287242 243 1810 SH SOLE 1048 0 762 ISHARES TR ISHARES BIOTECH 464287556 320 1957 SH SOLE 1067 0 890 ISHARES TR ISHS 1-5YR INVS 464288646 260 4752 SH SOLE 3286 0 1466 ISHARES TR ISHS 5-10YR INVT 464288638 203 3361 SH SOLE 3361 0 0 ISHARES TR MSCI INTL MOMENT 46434V449 528 13651 SH SOLE 10961 0 2690 ISHARES TR MSCI INTL VLU FT 46435G409 13931 539535 SH SOLE 525002 0 14533 ISHARES TR MSCI USA MIN VOL 46429B697 268 3638 SH SOLE 3638 0 0 ISHARES TR MSCI USA MMENTM 46432F396 358 2066 SH SOLE 1926 0 140 ISHARES TR MSCI USA VALUE 46432F388 241 2296 SH SOLE 1799 0 497 ISHARES TR NATIONAL MUN ETF 464288414 828 7068 SH SOLE 7067 0 1 ISHARES TR RUS 1000 ETF 464287622 456 1884 SH SOLE 546 0 1338 ISHARES TR RUS 1000 VAL ETF 464287598 412 2599 SH SOLE 2599 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 254 814 SH SOLE 814 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 225 1360 SH SOLE 1360 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 370 5087 SH SOLE 1480 0 3607 ISHARES TR S&P 500 VAL ETF 464287408 343 2321 SH SOLE 676 0 1645 ISHARES TR S&P SML 600 GWT 464287887 522 3934 SH SOLE 3158 0 776 ISHARES TR US TREAS BD ETF 46429B267 402 15100 SH SOLE 10948 0 4152 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 6536 128029 SH SOLE 115910 0 12119 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 33775 825805 SH SOLE 801892 0 23913 JACOBS ENGR GROUP INC COM 469814107 598 4485 SH SOLE 4485 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 3771 72748 SH SOLE 71718 0 1030 KRANESHARES TR CSI CHI INTERNET 500767306 259 3709 SH SOLE 2087 0 1622 KRANESHARES TR KFA VAL LIN DYNM 500767645 23254 961207 SH SOLE 912586 0 48621 KRANESHARES TR MSCI ALL CHINA 500767801 9677 273715 SH SOLE 264375 0 9340 KRANESHARES TR MSCI EMG EX CH 500767769 15065 464641 SH SOLE 449107 0 15534 NUSHARES ETF TR NUVEEN ESG LRGCP 67092P201 989 15329 SH SOLE 11495 0 3834 NUSHARES ETF TR NUVEEN ESG SMLCP 67092P607 580 12842 SH SOLE 9642 0 3200 PFIZER INC COM 717081103 401 10251 SH SOLE 10251 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 23384 210745 SH SOLE 190779 0 19966 SCOTTS MIRACLE-GRO CO CL A 810186106 342 1781 SH SOLE 1341 0 440 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 927 11445 SH SOLE 6477 0 4968 SELECT SECTOR SPDR TR ENERGY 81369Y506 534 9918 SH SOLE 5647 0 4271 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 931 25370 SH SOLE 14426 0 10944 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 574 12946 SH SOLE 7542 0 5404 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 903 5059 SH SOLE 2856 0 2203 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 671 9583 SH SOLE 5452 0 4131 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1006 7990 SH SOLE 4536 0 3454 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 797 7787 SH SOLE 4419 0 3368 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 499 7885 SH SOLE 4508 0 3377 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 525 6384 SH SOLE 3647 0 2737 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1688 11430 SH SOLE 6469 0 4961 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 712 18418 SH SOLE 14865 0 3553 SPDR S&P 500 ETF TR TR UNIT 78462F103 250 584 SH SOLE 0 0 584 SPDR SER TR PORTFLI TIPS ETF 78464A656 202 6501 SH SOLE 6501 0 0 SPDR SER TR S&P KENSHO FUTRE 78468R671 485 9369 SH SOLE 7453 0 1916 SPDR SER TR S&P KENSHO INTLG 78468R697 501 10469 SH SOLE 8395 0 2074 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 282 16452 SH SOLE 8973 0 7479 VANGUARD BD INDEX FDS INTERMED TERM 921937819 494 5496 SH SOLE 3229 0 2267 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 531 5155 SH SOLE 3001 0 2154 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 948 11543 SH SOLE 6979 0 4564 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1020 17859 SH SOLE 10257 0 7602 VANGUARD INDEX FDS GROWTH ETF 922908736 1868 6511 SH SOLE 4695 0 1816 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1419 6004 SH SOLE 4830 0 1174 VANGUARD INDEX FDS SMALL CP ETF 922908751 537 2385 SH SOLE 1778 0 607 VANGUARD INDEX FDS VALUE ETF 922908744 38052 276821 SH SOLE 266099 0 10722 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 691 12715 SH SOLE 9443 0 3272 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 520 9750 SH SOLE 5692 0 4058 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1872 36333 SH SOLE 26507 0 9826 WISDOMTREE TR EM MKTS QTLY DIV 97717W323 373 12414 SH SOLE 12413 0 1 WISDOMTREE TR EMERG CUR STR FD 97717W133 280 15375 SH SOLE 15375 0 0 WISDOMTREE TR EMG MKTS SMCAP 97717W281 513 9424 SH SOLE 9422 0 2 WISDOMTREE TR INTL QULTY DIV 97717X131 371 9333 SH SOLE 6956 0 2377 WISDOMTREE TR INTL SMCAP DIV 97717W760 22379 299663 SH SOLE 291752 0 7911 WISDOMTREE TR US MIDCAP FUND 97717W570 25613 488885 SH SOLE 475342 0 13543 WISDOMTREE TR US SMALLCAP FUND 97717W562 14796 299579 SH SOLE 290901 0 8678 WISDOMTREE TR YIELD ENHANCD US 97717X511 6443 123428 SH SOLE 111616 0 11812