0001085146-20-002794.txt : 20201109 0001085146-20-002794.hdr.sgml : 20201109 20201106212325 ACCESSION NUMBER: 0001085146-20-002794 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201109 DATE AS OF CHANGE: 20201106 EFFECTIVENESS DATE: 20201109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 3D ASSET MANAGEMENT, INC CENTRAL INDEX KEY: 0001359371 IRS NUMBER: 203725583 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14052 FILM NUMBER: 201295900 BUSINESS ADDRESS: STREET 1: 100 CONSTITUTION PLAZA SUITE 700 CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 860-291-1998 MAIL ADDRESS: STREET 1: 100 CONSTITUTION PLAZA SUITE 700 CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: 3D ASSET MANAGEMENT INC DATE OF NAME CHANGE: 20060413 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001359371 XXXXXXXX 09-30-2020 09-30-2020 false 3D ASSET MANAGEMENT, INC

100 Constitution Plaza Suite 700 Hartford CT 06103

13F HOLDINGS REPORT 028-14052 N John O'Connor 860-291-1998 /s/ John O'Connor Hartford CT 11-05-2020 0 76 359600 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ALPS ETF TR CLEAN ENERGY 00162Q460 239 4305 SH SOLE 3281 0 1024 AMERICAN CENTY ETF TR DIVERSIFIED MU 025072505 2034 37961 SH SOLE 37533 0 428 APPLE INC COM 037833100 391 3378 SH SOLE 3077 0 301 BERKSHIRE HATHAWAY INC DEL CL A 084670108 320 1 SH SOLE 1 0 0 CANOPY GROWTH CORP COM 138035100 396 27651 SH SOLE 23963 0 3688 CONSTELLATION BRANDS INC CL A 21036P108 213 1125 SH SOLE 973 0 152 DBX ETF TR XTRACK MUN INFRA 233051705 6983 246139 SH SOLE 244220 0 1919 ETFS TR BBRG ALL COMD K1 003261104 8345 419111 SH SOLE 417383 0 1728 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 2360 42436 SH SOLE 41862 0 574 FIRST TR EXCH TRD ALPHDX FD EM SML CP ALPH 33737J307 238 7097 SH SOLE 7097 0 0 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 15293 295918 SH SOLE 291752 0 4166 FIRST TR EXCHNG TRADED FD VI VEST US DEEP 33740F854 8846 277954 SH SOLE 277954 0 0 FLEXSHARES TR M STAR DEV MKT 33939L803 583 10408 SH SOLE 10408 0 0 FLEXSHARES TR US QUALITY CAP 33939L746 737 20082 SH SOLE 20082 0 0 FLEXSHARES TR MSTAR EMKT FAC 33939L308 209 4385 SH SOLE 4385 0 0 FLEXSHARES TR GLB QLT R/E IDX 33939L787 5784 110208 SH SOLE 109756 0 452 FLEXSHARES TR CRE SLCT BD FD 33939L670 1213 45088 SH SOLE 45088 0 0 FLEXSHARES TR HIG YLD VL ETF 33939L662 3186 68525 SH SOLE 67724 0 801 FLEXSHARES TR CUR HDG EM IDX 33939L712 250 9180 SH SOLE 9180 0 0 FLEXSHARES TR QLT DIV DEF IDX 33939L845 32742 740612 SH SOLE 737396 0 3216 FLEXSHARES TR INTL QLTDV IDX 33939L837 21882 1058132 SH SOLE 1053717 0 4415 FLEXSHARES TR MORNSTAR USMKT 33939L100 272 2225 SH SOLE 2225 0 0 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 599 21482 SH SOLE 18672 0 2810 GLOBAL X FDS CONSCIOUS COS 37954Y731 255 10487 SH SOLE 9682 0 805 GLOBAL X FDS CYBRSCURTY ETF 37954Y384 220 10119 SH SOLE 7657 0 2462 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 22649 804573 SH SOLE 801635 0 2938 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 223 4155 SH SOLE 4155 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 294 13781 SH SOLE 13781 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 1238 55369 SH SOLE 54738 0 631 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 488 22358 SH SOLE 22358 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 878 40272 SH SOLE 40272 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 624 2248 SH SOLE 2106 0 142 ISHARES TR MSCI USA MIN VOL 46429B697 483 7587 SH SOLE 7587 0 0 ISHARES TR MSCI INTL MOMENT 46434V449 403 11866 SH SOLE 11016 0 850 ISHARES TR NATIONAL MUN ETF 464288414 2083 17969 SH SOLE 17968 0 1 ISHARES TR RUS 2000 GRW ETF 464287648 203 915 SH SOLE 915 0 0 ISHARES TR MSCI USA MMENTM 46432F396 1003 6804 SH SOLE 6804 0 0 ISHARES TR CORE S&P500 ETF 464287200 664 1977 SH SOLE 1977 0 0 ISHARES TR S&P SML 600 GWT 464287887 358 2028 SH SOLE 1877 0 151 ISHARES TR MSCI INTL VLU FT 46435G409 11710 598364 SH SOLE 595775 0 2589 ISHARES TR RUS 1000 VAL ETF 464287598 295 2497 SH SOLE 2497 0 0 ISHARES TR IBOXX INV CP ETF 464287242 307 2281 SH SOLE 2244 0 37 ISHARES TR 0-5 YR TIPS ETF 46429B747 436 4185 SH SOLE 4044 0 141 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 7255 142284 SH SOLE 140847 0 1437 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 33166 1022057 SH SOLE 1018415 0 3642 JACOBS ENGR GROUP INC COM 469814107 416 4485 SH SOLE 4485 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 2829 75199 SH SOLE 75199 0 0 NUSHARES ETF TR NUVEEN ESG LRGCP 67092P201 300 5886 SH SOLE 5459 0 427 SCOTTS MIRACLE GRO CO CL A 810186106 320 2090 SH SOLE 1856 0 234 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 283 8021 SH SOLE 6849 0 1172 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 288 4518 SH SOLE 3860 0 658 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 336 13965 SH SOLE 11854 0 2111 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 329 4271 SH SOLE 3647 0 624 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 568 4865 SH SOLE 4132 0 733 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 380 6400 SH SOLE 5650 0 750 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 336 5236 SH SOLE 4470 0 766 SELECT SECTOR SPDR TR ENERGY 81369Y506 214 7138 SH SOLE 5980 0 1158 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 390 2656 SH SOLE 2264 0 392 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 405 3841 SH SOLE 3260 0 581 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 372 6268 SH SOLE 5319 0 949 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 558 15271 SH SOLE 14127 0 1144 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 564 18561 SH SOLE 17299 0 1262 SPDR SER TR S&P KENSHO INTLG 78468R697 325 10038 SH SOLE 9288 0 750 SPDR SER TR PORTFOLIO SHORT 78464A474 375 11959 SH SOLE 11959 0 0 SPDR SER TR S&P KENSHO FUTRE 78468R671 316 8511 SH SOLE 7863 0 648 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 203 24457 SH SOLE 18332 0 6125 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 998 5538 SH SOLE 5145 0 393 VANGUARD INDEX FDS VALUE ETF 922908744 38986 373037 SH SOLE 370793 0 2244 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 250 6122 SH SOLE 4789 0 1333 WISDOMTREE TR EMERG CUR STR FD 97717W133 228 13191 SH SOLE 13191 0 0 WISDOMTREE TR EM MKTS QTLY DIV 97717W323 14030 579751 SH SOLE 577261 0 2490 WISDOMTREE TR EMG MKTS SMCAP 97717W281 10605 256478 SH SOLE 255311 0 1167 WISDOMTREE TR YIELD ENHANCD US 97717X511 31195 579617 SH SOLE 571118 0 8499 WISDOMTREE TR INTL SMCAP DIV 97717W760 19186 320308 SH SOLE 318955 0 1353 WISDOMTREE TR US MIDCAP FUND 97717W570 22219 649870 SH SOLE 646998 0 2872 WISDOMTREE TR US SMALLCAP FUND 97717W562 13446 450142 SH SOLE 448200 0 1942