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
Principal
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