SIGNATURE ESTATE & INVESTMENT ADVISORS LLC

LOS ANGELES, CA · CIK 1079935 · 13F filing filed 2023-07-20

SEC-registered investment adviser since 1999 · limited liability company

Assets managed$22.5bn
Staff241 · 128 in investment roles
Main clients (by assets)High net worth individuals 75%, Individuals 21%, Companies 3%
Form ADV · 2026-09-14SEC adviser record

Legal entitySignature Estate & Investment Advisors, LLC (US)

$3.0bn reported value +5.8% vs Q1 2023

174positions

56.6%in top 10

12 new 92 added 53 reduced 12 sold out vs Q1 2023

This report includes the holdings of 1 other manager that shares the investment decisions:

SIGNATURE INVESTMENT ADVISORS LLC – reports through this filing

Also in the report of:

Raub Brock Capital Management LP

Shares in two reports are counted once in each security's totals.

Holdings, Q2 2023

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	GOLDMAN SACHS ETF TR ACTIVEBETA US LG GSLC	GSLC	4,030,687	$351.9m11.67%	11.67%	Added +37.1k	+37,072 0.9%
2	SSGA ACTIVE ETF TR SPDR TR TACTIC TOTL	TOTL	6,946,499	$281.7m9.34%	9.34%	Added +512.7k	+512,692 8.0%
3	FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS FIXD	FIXD	5,667,789	$250.3m8.30%	8.30%	Added +222.1k	+222,143 4.1%
4	VANGUARD INDEX FDS GROWTH ETF VUG	VUG	678,867	$192.1m6.37%	6.37%	Reduced -4.9k	-4,854 -0.7%
5	SPDR INDEX SHS FDS PORTFOLIO DEVLPD SPDW	SPDW	5,717,874	$186.1m6.17%	6.17%	Added +169.0k	+169,039 3.0%
6	SCHWAB STRATEGIC TR FUNDAMENTAL US L FNDX	FNDX	2,571,532	$148.0m4.91%	4.91%	Added +183.9k	+183,898 7.7%
7	ISHARES TR EXPND TEC SC ETF IGM	IGM	192,499	$75.6m2.51%	2.51%	Reduced -18.7k	-18,692 -8.8%
8	WISDOMTREE TR FLOATNG RAT TREA USFR	USFR	1,497,035	$75.3m2.50%	2.50%	Added +23.9k	+23,878 1.6%
9	SELECT SECTOR SPDR TR SBI HEALTHCARE XLV	XLV	551,038	$73.1m2.42%	2.42%	Added +14.5k	+14,481 2.7%
10	SELECT SECTOR SPDR TR SBI CONS STPLS XLP	XLP	977,455	$72.5m2.40%	2.40%	Added +22.4k	+22,424 2.4%
11	SELECT SECTOR SPDR TR SBI INT-UTILS XLU	XLU	1,056,422	$69.1m2.29%	2.29%	Added +66.3k	+66,345 6.7%
12	CAPITAL GROUP GROWTH ETF SHS CREATION UNI CGGR	CGGR	2,425,610	$61.2m2.03%	2.03%	Reduced -28.3k	-28,260 -1.1%
13	APPLE INC COM AAPL	AAPL	291,506	$56.5m1.87%	1.87%	Reduced -37.5k	-37,539 -11.4%
14	MICROSOFT CORP COM MSFT	MSFT	148,580	$50.6m1.68%	1.68%	Reduced -17.6k	-17,628 -10.6%
15	AMAZON COM INC COM AMZN	AMZN	371,102	$48.4m1.60%	1.60%	Reduced -61.3k	-61,321 -14.2%
16	MCKESSON CORP COM MCK	MCK	113,102	$48.3m1.60%	1.60%	Added +922	+922 0.8%
17	SPDR SERIES TRUST S&P 600 SMCP GRW SLYG	SLYG	608,155	$46.8m1.55%	1.55%	Added +34.4k	+34,382 6.0%
18	BROADCOM INC COM AVGO	AVGO	53,416	$46.3m1.54%	1.54%	Reduced -14.9k	-14,911 -21.8%
19	OREILLY AUTOMOTIVE INC COM ORLY	ORLY	48,187	$46.0m1.53%	1.53%	Reduced -2.3k	-2,317 -4.6%
20	MASTERCARD INCORPORATED CL A MA	MA	116,042	$45.6m1.51%	1.51%	Added +1.4k	+1,410 1.2%
21	PROCTER AND GAMBLE CO COM PG	PG	292,181	$44.3m1.47%	1.47%	Added +3.7k	+3,657 1.3%
22	ALPHABET INC CAP STK CL A GOOGL	GOOGL	368,955	$44.2m1.46%	1.46%	Reduced -45.1k	-45,144 -10.9%
23	METLIFE INC COM MET	MET	768,318	$43.4m1.44%	1.44%	Added +114.6k	+114,612 17.5%
24	DEERE & CO COM DE	DE	104,776	$42.5m1.41%	1.41%	Added +4.7k	+4,684 4.7%
25	CHEVRON CORP NEW COM CVX	CVX	263,445	$41.5m1.37%	1.37%	Added +20.1k	+20,086 8.2%
26	THERMO FISHER SCIENTIFIC INC COM TMO	TMO	77,596	$40.5m1.34%	1.34%	Added +4.1k	+4,138 5.6%
27	MORGAN STANLEY COM NEW MS	MS	471,008	$40.2m1.33%	1.33%	Added +28.6k	+28,627 6.5%
28	NEXTERA ENERGY INC COM NEE	NEE	536,094	$39.8m1.32%	1.32%	Added +25.9k	+25,879 5.1%
29	DISNEY WALT CO COM DIS	DIS	434,450	$38.8m1.29%	1.29%	Added +47.4k	+47,388 12.2%
30	VANGUARD INDEX FDS VALUE ETF VTV	VTV	258,209	$36.7m1.22%	1.22%	Reduced -4.4k	-4,364 -1.7%
31	ISHARES TR CORE MSCI INTL IDEV	IDEV	578,238	$35.3m1.17%	1.17%	Added +6.5k	+6,539 1.1%
32	VANGUARD WHITEHALL FDS INTL HIGH ETF VYMI	VYMI	319,899	$20.2m0.67%	0.67%	Added +16.7k	+16,707 5.5%
33	SPDR INDEX SHS FDS PORTFOLIO EMG MK SPEM	SPEM	500,474	$17.2m0.57%	0.57%	Added +3.9k	+3,894 0.8%
34	ISHARES TR INTL SEL DIV ETF IDV	IDV	648,076	$17.1m0.57%	0.57%	Added +41.1k	+41,082 6.8%
35	VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT VEA	VEA	324,400	$15.0m0.50%	0.50%	Reduced -6.0k	-5,958 -1.8%
36	APPLIED MATLS INC COM AMAT	AMAT	92,548	$13.4m0.44%	0.44%	Reduced -3.9k	-3,922 -4.1%
37	FREEPORT-MCMORAN INC CL B FCX	FCX	317,401	$12.7m0.42%	0.42%	Added +43.8k	+43,759 16.0%
38	CISCO SYS INC COM CSCO	CSCO	243,827	$12.6m0.42%	0.42%	Added +9.9k	+9,880 4.2%
39	MERCK & CO INC COM MRK	MRK	108,476	$12.5m0.41%	0.41%	Added +1.3k	+1,338 1.2%
40	PROLOGIS INC. COM PLD	PLD	97,166	$11.9m0.40%	0.40%	Added +4.0k	+3,982 4.3%
41	BLACKROCK INC COM BLK	BLK	16,992	$11.7m0.39%	0.39%	Added +1.3k	+1,253 8.0%
42	WISDOMTREE TR EMER MKT HIGH FD DEM	DEM	200,923	$7.7m0.25%	0.25%	Added +25.4k	+25,429 14.5%
43	FIRST TR EXCH TRADED FD III MANAGD MUN ETF FMB	FMB	147,150	$7.5m0.25%	0.25%	Added +6.7k	+6,741 4.8%
44	SPDR SER TR S&P 600 SMCP VAL SLYV	SLYV	95,368	$7.4m0.24%	0.24%	Added +4.7k	+4,674 5.2%
45	VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF VWO	VWO	178,055	$7.2m0.24%	0.24%	Reduced -850	-850 -0.5%
46	ISHARES INC EM MKTS DIV ETF DVYE	DVYE	250,348	$6.1m0.20%	0.20%	Reduced -9.1k	-9,121 -3.5%
47	SPDR SER TR PORTFOLIO AGRGTE SPAB	SPAB	235,593	$6.0m0.20%	0.20%	Added +12.2k	+12,200 5.5%
48	WISDOMTREE TR US MIDCAP DIVID DON	DON	137,972	$5.8m0.19%	0.19%	Added +4.3k	+4,285 3.2%
49	AMERICAN CENTY ETF TR INTL EQT ETF AVDE	AVDE	84,786	$4.9m0.16%	0.16%	Reduced -5.4k	-5,352 -5.9%
50	VANGUARD WHITEHALL FDS HIGH DIV YLD VYM	VYM	45,375	$4.8m0.16%	0.16%	Added +882	+882 2.0%
51	ISHARES TR S&P 500 GRWT ETF IVW	IVW	66,592	$4.7m0.16%	0.16%	Reduced -336	-336 -0.5%
52	WISDOMTREE TR US SMALLCAP DIVD DES	DES	158,605	$4.6m0.15%	0.15%	Added +15.2k	+15,225 10.6%
53	ISHARES TR CORE S&P SCP ETF IJR	IJR	44,630	$4.4m0.15%	0.15%	Added +3.2k	+3,206 7.7%
54	ISHARES TR S&P MC 400GR ETF IJK	IJK	58,282	$4.4m0.14%	0.14%	Added +252	+252 0.4%
55	ISHARES TR S&P MC 400VL ETF IJJ	IJJ	40,760	$4.4m0.14%	0.14%	Added +1.2k	+1,161 2.9%
56	GOLDMAN SACHS ETF TR ACTIVEBETA INT GSIE	GSIE	134,886	$4.2m0.14%	0.14%	Reduced -8.6k	-8,622 -6.0%
57	SPDR SER TR S&P 400 MDCP VAL MDYV	MDYV	57,996	$4.0m0.13%	0.13%	Reduced -643	-643 -1.1%
58	SPDR SER TR S&P 400 MDCP GRW MDYG	MDYG	53,610	$3.8m0.13%	0.13%	Reduced -2.0k	-1,985 -3.6%
59	J P MORGAN EXCHANGE TRADED F US MOMENTUM JMOM	JMOM	84,363	$3.6m0.12%	0.12%	Reduced -3.0k	-3,014 -3.5%
60	SPDR S&P 500 ETF TR TR UNIT SPY	SPY	7,322	$3.2m0.11%	0.11%	Reduced -673	-673 -8.4%
61	WALMART INC COM WMT	WMT	18,637	$2.9m0.10%	0.10%	Added +15.5k	+15,524 498.7%
62	PEPSICO INC COM PEP	PEP	14,796	$2.7m0.09%	0.09%	Added +700	+700 5.0%
63	JABIL INC COM JBL	JBL	25,055	$2.7m0.09%	0.09%	Reduced -4.1k	-4,055 -13.9%
64	BOOZ ALLEN HAMILTON HLDG COR CL A BAH	BAH	24,151	$2.7m0.09%	0.09%	Added +911	+911 3.9%
65	AMDOCS LTD SHS DOX	DOX	26,862	$2.7m0.09%	0.09%	Added +726	+726 2.8%
66	MONDELEZ INTL INC CL A MDLZ	MDLZ	34,996	$2.6m0.08%	0.08%	New
67	WASTE CONNECTIONS INC COM WCN	WCN	17,705	$2.5m0.08%	0.08%	Added +620	+620 3.6%
68	LABORATORY CORP AMER HLDGS COM NEW COM NEW		10,405	$2.5m0.08%	0.08%	Added +486	+486 4.9%
69	CDW CORP COM CDW	CDW	13,614	$2.5m0.08%	0.08%	Added +1.6k	+1,579 13.1%
70	CHARLES RIV LABS INTL INC COM CRL	CRL	11,596	$2.4m0.08%	0.08%	Added +819	+819 7.6%
71	VANGUARD INDEX FDS TOTAL STK MKT VTI	VTI	11,062	$2.4m0.08%	0.08%	Reduced -102	-102 -0.9%
72	T-MOBILE US INC COM TMUS	TMUS	17,292	$2.4m0.08%	0.08%	New
73	DICKS SPORTING GOODS INC COM DKS	DKS	17,772	$2.3m0.08%	0.08%	Added +1.2k	+1,165 7.0%
74	EVEREST GROUP LTD COM EG	EG	6,854	$2.3m0.08%	0.08%	Added +247	+247 3.7%
75	EPAM SYS INC COM EPAM	EPAM	10,136	$2.3m0.08%	0.08%	Added +2.6k	+2,556 33.7%
76	NVIDIA CORPORATION COM NVDA	NVDA	4,643	$2.0m0.07%	0.07%	Added +33	+33 0.7%
77	INVESCO QQQ TR UNIT SER 1 QQQ	QQQ	4,985	$1.8m0.06%	0.06%	Added +26	+26 0.5%
78	VANGUARD WORLD FD INF TECH ETF VGT	VGT	3,940	$1.7m0.06%	0.06%	Reduced -137	-137 -3.4%
79	SELECT SECTOR SPDR TR INDL XLI	XLI	15,699	$1.7m0.06%	0.06%	Reduced -21.4k	-21,366 -57.6%
80	ISHARES TR IBOXX INV CP ETF LQD	LQD	14,608	$1.6m0.05%	0.05%	Reduced -1.0k	-1,009 -6.5%
81	GALLAGHER ARTHUR J & CO COM AJG	AJG	7,095	$1.6m0.05%	0.05%	Added +55	+55 0.8%
82	ISHARES TR TRS FLT RT BD TFLO	TFLO	30,404	$1.5m0.05%	0.05%	New
83	EXXON MOBIL CORP COM XOM	XOM	13,567	$1.5m0.05%	0.05%	Added +410	+410 3.1%
84	ISHARES TR MSCI USA VALUE VLUE	VLUE	15,185	$1.4m0.05%	0.05%	Reduced -72.8k	-72,813 -82.7%
85	VANGUARD INDEX FDS MCAP GR IDXVIP VOT	VOT	6,877	$1.4m0.05%	0.05%	Added +431	+431 6.7%
86	J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM JEPI	JEPI	25,273	$1.4m0.05%	0.05%	Reduced -4.0k	-4,039 -13.8%
87	VANGUARD SPECIALIZED FUNDS DIV APP ETF VIG	VIG	7,839	$1.3m0.04%	0.04%	Added +1.8k	+1,845 30.8%
88	TESLA INC COM TSLA	TSLA	4,648	$1.2m0.04%	0.04%	Added +188	+188 4.2%
89	ISHARES TR CORE US AGGBD ET AGG	AGG	12,353	$1.2m0.04%	0.04%	Reduced -17.0k	-16,965 -57.9%
90	VANGUARD WORLD FD HEALTH CAR ETF VHT	VHT	4,904	$1.2m0.04%	0.04%	Added +12	+12 0.2%
91	SCHWAB STRATEGIC TR FUNDAMENTAL US S FNDA	FNDA	23,320	$1.2m0.04%	0.04%	Reduced -576	-576 -2.4%
92	VANGUARD INDEX FDS MCAP VL IDXVIP VOE	VOE	8,242	$1.1m0.04%	0.04%	Added +184	+184 2.3%
93	VANGUARD INDEX FDS SML CP GRW ETF VBK	VBK	4,861	$1.1m0.04%	0.04%	Added +451	+451 10.2%
94	ISHARES TR GL CLEAN ENE ETF ICLN	ICLN	59,912	$1.1m0.04%	0.04%	Unchanged
95	ISHARES TR US SML CAP EQT SMLF	SMLF	20,478	$1.1m0.04%	0.04%	Reduced -1.0k	-1,048 -4.9%
96	ISHARES TR S&P SML 600 GWT IJT	IJT	9,265	$1.1m0.04%	0.04%	Added +82	+82 0.9%
97	INVESCO EXCH TRADED FD TR II SR LN ETF BKLN	BKLN	49,136	$1.0m0.03%	0.03%	Added +2.2k	+2,182 4.7%
98	JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI JHMM	JHMM	20,624	$1.0m0.03%	0.03%	Reduced -1.6k	-1,625 -7.3%
99	ELEVANCE HEALTH INC COM ELV	ELV	2,218	$986.0k0.03%	0.03%	Unchanged
100	ISHARES TR SP SMCP600VL ETF IJS	IJS	10,343	$984.0k0.03%	0.03%	Added +405	+405 4.1%

Sold out since Q1 2023

Security	Ticker	Shares held before	Value then
NEWS CORP NEW NWSA	NWSA	132,445	$2.3m132.4k shares
DOLLAR TREE INC DLTR	DLTR	15,546	$2.2m15.5k shares
CITIZENS FINL GROUP INC CFG	CFG	66,348	$2.0m66.3k shares
VANGUARD BD INDEX FDS BND	BND	14,126	$1.0m14.1k shares
ISHARES TR FLOT	FLOT	9,847	$496.0k9.8k shares
EAST WEST BANCORP INC EWBC	EWBC	6,790	$377.0k6.8k shares
SELECT SECTOR SPDR TR XLE	XLE	4,367	$362.0k4.4k shares
DIMENSIONAL ETF TRUST DFNM	DFNM	6,212	$300.0k6.2k shares
ISHARES TR MTUM	MTUM	2,012	$280.0k2.0k shares
PIMCO ETF TR MUNI	MUNI	4,646	$243.0k4.6k shares
BANK AMERICA CORP BAC	BAC	8,064	$231.0k8.1k shares
VANGUARD WORLD FD VFH	VFH	2,909	$227.0k2.9k shares