0001140361-16-075540.txt : 20160810
0001140361-16-075540.hdr.sgml : 20160810
20160810060220
ACCESSION NUMBER: 0001140361-16-075540
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160810
DATE AS OF CHANGE: 20160810
EFFECTIVENESS DATE: 20160810
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: 161819812
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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0000791490
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06-30-2016
06-30-2016
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
08-09-2016
0
246
517372
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0
46103
BHP BILLITON LTD SPONS
ADR
088606108
385
13490
SH
SOLE
1000
0
12490
BP PLC SPONS ADR
ADR
055622104
625
17609
SH
SOLE
0
0
17609
CANADIAN NATL RAILWAY CO
ADR
136375102
4643
78609
SH
SOLE
8000
0
70609
DIAGEO PLC NEW
ADR
25243Q205
320
2836
SH
SOLE
2800
0
36
KONINKLIJKE PHILIPS NV
ADR
500472303
249
9993
SH
SOLE
6573
0
3420
NESTLE SA-SPONS ADR
ADR
641069406
4553
58892
SH
SOLE
37080
0
21812
NOKIA CORP SPONSORED ADR
ADR
654902204
120
21125
SH
SOLE
17600
0
3525
NOVARTIS AG ADR
ADR
66987v109
3804
46106
SH
SOLE
18473
0
27633
ROCHE HOLDINGS LTD - ADR
ADR
771195104
295
8947
SH
SOLE
4000
0
4947
ROYAL DUTCH SHELL ADR B
ADR
780259107
1038
18536
SH
SOLE
8791
0
9745
SANOFI
ADR
80105N105
222
5300
SH
SOLE
3200
0
2100
SAP SE
ADR
803054204
271
3609
SH
SOLE
0
0
3609
TELEFONICA SA ADR
ADR
879382208
243
25591
SH
SOLE
15567
0
10024
TEVA PHARMACEUTICAL INDS
ADR
881624209
412
8209
SH
SOLE
1150
0
7059
UNILEVER PLC NEW ADS 4 ORD
ADR
904767704
260
5420
SH
SOLE
0
0
5420
VODAFONE GROUP PLC
ADR
92857w308
1368
44297
SH
SOLE
13518
0
30779
NUVEEN S&P 500 BUY-WRITE INC F
FD
6706er101
145
11126
SH
SOLE
0
0
11126
FORTESCUE METALS GROUPS LTD
FS
Q39360104
41
15400
SH
SOLE
15400
0
0
GRUPO MEXICO SAB DE CV-SER B
COM
00B032VC1
48
20426
SH
SOLE
0
0
20426
DEUTSCHE X-TRACKERS MSCI EUROP
ETF
233051853
376
15301
SH
SOLE
6175
0
9126
GLOBAL X MLP
ETF
37950E473
458
39450
SH
SOLE
6600
0
32850
ISHARES CNX INDIA 50 INDEX
ETF
464289529
688
24324
SH
SOLE
0
0
24324
ISHARES CORE HIGH DIVIDEND
ETF
46429B663
311
3781
SH
SOLE
0
0
3781
ISHARES CORE S&P 500 INDEX
ETF
464287200
314
1490
SH
SOLE
0
0
1490
ISHARES DJ US TECHNOLOGY SECTO
ETF
464287721
441
4191
SH
SOLE
0
0
4191
ISHARES DOW JONES SELECT DIVID
ETF
464287168
458
5375
SH
SOLE
0
0
5375
ISHARES FTSE CHINA 25 LARGE-CA
ETF
464287184
343
10036
SH
SOLE
3476
0
6560
ISHARES MSCI EMERGING MARKETS
ETF
464287234
1273
37054
SH
SOLE
6690
0
30364
ISHARES MSCI HONG KONG INDEX
ETF
464286871
595
30390
SH
SOLE
0
0
30390
ISHARES RUSSELL 1000 GROWTH
ETF
464287614
407
4055
SH
SOLE
0
0
4055
ISHARES RUSSELL 2000 INDEX FUN
ETF
464287655
301
2615
SH
SOLE
200
0
2415
ISHARES RUSSELL MID-CAP INDEX
ETF
464287499
878
5222
SH
SOLE
0
0
5222
ISHARES S&P 100 INDEX
ETF
464287101
3131
33701
SH
SOLE
705
0
32996
ISHARES S&P PREF STK INDX FN
ETF
464288687
261
6540
SH
SOLE
0
0
6540
PROSHARES ULTRASHORT 20+ YEAR
ETF
74347B201
548
17280
SH
SOLE
0
0
17280
PROSHARES ULTRASHORT 7-10 YEAR
ETF
74347R313
1089
54665
SH
SOLE
0
0
54665
SCHWAB US LARGE-CAP ETR
ETF
808524201
420
8444
SH
SOLE
315
0
8129
SPDR GOLD TRUST
ETF
78463V107
1000
7907
SH
SOLE
4777
0
3130
SPDR S&P 500 INDEX
ETF
78462F103
1490
7111
SH
SOLE
145
0
6966
VANGUARD DIVIDEND APPREC
ETF
921908844
457
5494
SH
SOLE
1385
0
4109
VANGUARD FTSE ALL WORLD EX-U
ETF
922042775
607
14171
SH
SOLE
2845
0
11326
VANGUARD INDEX FDS VALUE ETF
ETF
922908744
916
10781
SH
SOLE
297
0
10484
ENTERPRISE PRODS PARTNERS L P
LP
293792107
489
16720
SH
SOLE
2500
0
14220
ONEOK PARTNERS L.P
LP
68268N103
404
10090
SH
SOLE
1865
0
8225
THE BLACKSTONE GROUP LP
LP
09253U108
344
14028
SH
SOLE
5250
0
8778
THE CARLYLE GROUP
LP
14309L102
162
10000
SH
SOLE
10000
0
0
BUNGE LTD 4.875%
PFD
G16962204
2877
31095
SH
SOLE
0
0
31095
DODGE & COX FDS INTL STK FD
FD
256206103
266
7679
SH
SOLE
0
0
7679
FIDELITY CONTRAFUND COM
FD
316071109
542
5582
SH
SOLE
0
0
5582
FIDELITY LOW PRICED STOCK FUND
FD
316345305
228
4764
SH
SOLE
0
0
4764
FIDELITY SECS FD BLUE CHIP GWT
FD
316389303
255
3914
SH
SOLE
0
0
3914
FIDELITY SECS FD OTC PORTFOLIO
FD
316389105
353
4537
SH
SOLE
0
0
4537
FIDELITY SMALL CAP DISCOVERY F
FD
315912600
259
9404
SH
SOLE
0
0
9404
FIDELITY SPARAN EXTENDED MKT I
FD
315911883
270
5294
SH
SOLE
0
0
5294
FIDELITY STR DVD&INC FUND
FD
316145887
187
12741
SH
SOLE
0
0
12741
FIRST EAGLE GLOBAL FUND
FD
32008F507
561
10225
SH
SOLE
0
0
10225
HENDERSON GLOBAL EQTY INC-C
FD
425067691
92
13122
SH
SOLE
0
0
13122
JPMORGAN MID CAP VALUE FD-A
FD
339128308
211
5954
SH
SOLE
0
0
5954
JPMORGAN TR I INTERM TF BD S
FD
4812a0441
212
18817
SH
SOLE
0
0
18817
LEUTHOLD CORE INVESTMENT FUND
FD
527289102
268
15197
SH
SOLE
1078
0
14119
NORTHERN INTERNATIONAL EQUITY
FD
665130209
136
13047
SH
SOLE
0
0
13047
PRUDENTIAL JENN EQTY OPPOR-Z
FD
74437E800
272
14458
SH
SOLE
0
0
14458
SCHWAB SMALL-CAP INDEX
FD
808509848
331
13430
SH
SOLE
6726
0
6704
TWEEDY BROWNE GLOBAL VALUE FUN
FD
901165100
356
14489
SH
SOLE
11054
0
3435
VANGUARD 500 INDEX
FD
922908108
213
1097
SH
SOLE
8
0
1089
VANGUARD BALANCED INDEX FUND
FD
921931200
217
7155
SH
SOLE
4724
0
2431
VANGUARD STAR FUND STAR PORTFO
FD
921909107
1623
68519
SH
SOLE
3865
0
64654
WELLS FARGO ADVANTAGE TOT RET
FD
94975J631
156
11515
SH
SOLE
0
0
11515
VIRTUS MULTI-SECT S/T BOND-C
FIMF
92828R628
65
13661
SH
SOLE
0
0
13661
BANK OF AMERICA CORP - EXP 1/1
WT
060505146
45
13000
SH
SOLE
0
0
13000
WELLS FARGO & CO - EXP 10/28/1
WT
949746119
258
18950
SH
SOLE
0
0
18950