0001650150-17-000013.txt : 20170921 0001650150-17-000013.hdr.sgml : 20170921 20170921162757 ACCESSION NUMBER: 0001650150-17-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20170921 DATE AS OF CHANGE: 20170921 EFFECTIVENESS DATE: 20170921 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lido Advisors, LLC CENTRAL INDEX KEY: 0001650150 IRS NUMBER: 954742435 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18071 FILM NUMBER: 171096030 BUSINESS ADDRESS: STREET 1: 1875 CENTURY PARK EAST STREET 2: SUITE 950 CITY: LOS ANGELES STATE: CA ZIP: 90067 BUSINESS PHONE: 3102788232 MAIL ADDRESS: STREET 1: 1875 CENTURY PARK EAST STREET 2: SUITE 950 CITY: LOS ANGELES STATE: CA ZIP: 90067 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001650150 XXXXXXXX 09-30-2016 09-30-2016 Lido Advisors, LLC
1875 CENTURY PARK EAST SUITE 950 LOS ANGELES CA 90067
13F HOLDINGS REPORT 028-18071 N
Lewis C. Schusterman Deputy General Counsel & Deputy Chief Compliance Officer 310-278-8232 Lewis C. Schusterman Los Angeles CA 09-21-2017 0 153 327070 false
INFORMATION TABLE 2 3q201613flido.xml 3M CO COM 88579Y101 305 1730 SH SOLE 0 0 1730 ABBVIE INC COM 00287Y109 474 7517 SH SOLE 0 0 7517 AFLAC INC COM 001055102 303 4215 SH SOLE 0 0 4215 ALLERGAN PLC SHS G0177J108 292 1270 SH SOLE 0 0 1270 ALPHABET INC CAP STK CL A 02079K305 1430 1778 SH SOLE 0 0 1778 ALPS ETF TR ALERIAN MLP 00162Q866 498 39282 SH SOLE 0 0 39282 ALPS ETF TR SECTR DIV DOGS 00162Q858 275 6614 SH SOLE 0 0 6614 ALTRIA GROUP INC COM 02209S103 231 3660 SH SOLE 0 0 3660 AMERICAN EXPRESS CO COM 025816109 276 4313 SH SOLE 0 0 4313 ANNALY CAP MGMT INC COM 035710409 378 36027 SH SOLE 0 0 36027 APOLLO INVT CORP COM 03761U106 61 10590 SH SOLE 0 0 10590 APPLE INC COM 037833100 5207 46059 SH SOLE 0 0 46059 APPLIED MATLS INC COM 038222105 341 11325 SH SOLE 0 0 11325 ARBOR RLTY TR INC COM 038923108 120 16155 SH SOLE 0 0 16155 ARES CAP CORP COM 04010L103 197 12702 SH SOLE 0 0 12702 AT&T INC COM 00206R102 908 22360 SH SOLE 0 0 22360 AUTOMATIC DATA PROCESSING IN COM 053015103 266 3015 SH SOLE 0 0 3015 BANK AMER CORP COM 060505104 421 26910 SH SOLE 0 0 26910 BARCLAYS BK PLC IPATH S&P500 VIX ADDED 06740Q252 225 6594 SH SOLE 0 0 6594 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 676 4678 SH SOLE 0 0 4678 BLACKROCK CORPOR HI YLD FD I COM 09255P107 155 14344 SH SOLE 0 0 14344 BLACKROCK INVT QUALITY MUN T COM 09247D105 271 15860 SH SOLE 0 0 15860 BLACKROCK MUNIHLDGS CALI QL COM 09254L107 564 35144 SH SOLE 0 0 35144 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 221 8659 SH SOLE 0 0 8659 BOEING CO COM 097023105 280 2123 SH SOLE 0 0 2123 BROWN FORMAN CORP CL A 115637100 471 9470 SH SOLE 0 0 9470 BROWN FORMAN CORP CL B 115637209 263 5536 SH SOLE 0 0 5536 CAMDEN PPTY TR SH BEN INT 133131102 516 6158 SH SOLE 0 0 6158 CHEVRON CORP NEW COM 166764100 769 7471 SH SOLE 0 0 7471 CLAYMORE EXCHANGE TRD FD TR GUGGEN DEFN EQTY 18383M878 564 14444 SH SOLE 0 0 14444 COCA COLA CO COM 191216100 249 5895 SH SOLE 0 0 5895 COLGATE PALMOLIVE CO COM 194162103 221 2982 SH SOLE 0 0 2982 CONOCOPHILLIPS COM 20825C104 380 8744 SH SOLE 0 0 8744 COSTCO WHSL CORP NEW COM 22160K105 890 5836 SH SOLE 0 0 5836 CVS HEALTH CORP COM 126650100 340 3817 SH SOLE 0 0 3817 CYTOKINETICS INC COM NEW 23282W605 97 10524 SH SOLE 0 0 10524 DIREXION SHS ETF TR DLY S&P 500 BEAR 25459Y371 323 26300 SH SOLE 0 0 26300 DISNEY WALT CO COM DISNEY 254687106 1032 11115 SH SOLE 0 0 11115 DUKE ENERGY CORP NEW COM NEW 26441C204 466 5826 SH SOLE 0 0 5826 EATON VANCE CALIF MUN BD FD COM 27828A100 279 20608 SH SOLE 0 0 20608 EATON VANCE MUN BD FD COM 27827X101 526 38642 SH SOLE 0 0 38642 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 379 22600 SH SOLE 0 0 22600 ENERJEX RESOURCES INC COM PAR $0.001 292758406 61 152709 SH SOLE 0 0 152709 ETF MANAGERS TR PUREFUNDS ISE CY 26924G201 211 7567 SH SOLE 0 0 7567 EXPRESS SCRIPTS HLDG CO COM 30219G108 313 4442 SH SOLE 0 0 4442 EXXON MOBIL CORP COM 30231G102 1572 18009 SH SOLE 0 0 18009 FACEBOOK INC CL A 30303M102 1109 8645 SH SOLE 0 0 8645 FIFTH STREET FINANCE CORP COM 31678A103 101 17328 SH SOLE 0 0 17328 GENERAL ELECTRIC CO COM 369604103 853 28805 SH SOLE 0 0 28805 GOLUB CAP BDC INC COM 38173M102 198 10682 SH SOLE 0 0 10682 HASBRO INC COM 418056107 308 3877 SH SOLE 0 0 3877 HERCULES CAPITAL INC COM 427096508 206 15224 SH SOLE 0 0 15224 HOME DEPOT INC COM 437076102 599 4656 SH SOLE 0 0 4656 HONEYWELL INTL INC COM 438516106 338 2901 SH SOLE 0 0 2901 ILLINOIS TOOL WKS INC COM 452308109 227 1898 SH SOLE 0 0 1898 INTEL CORP COM 458140100 624 16519 SH SOLE 0 0 16519 ISHARES GOLD TRUST ISHARES 464285105 135 10619 SH SOLE 0 0 10619 ISHARES TR CORE S&P500 ETF 464287200 693 3187 SH SOLE 0 0 3187 ISHARES TR CORE S&P SCP ETF 464287804 417 3359 SH SOLE 0 0 3359 ISHARES TR CORE US AGGBD ET 464287226 445 3955 SH SOLE 0 0 3955 ISHARES TR IBOXX HI YD ETF 464288513 279 3193 SH SOLE 0 0 3193 ISHARES TR MIN VOL USA ETF 46429B697 13303 292826 SH SOLE 0 0 292826 ISHARES TR NATIONAL MUN ETF 464288414 525 4657 SH SOLE 0 0 4657 ISHARES TR RUS 1000 ETF 464287622 347 2879 SH SOLE 0 0 2879 ISHARES TR RUS 1000 VAL ETF 464287598 1478 13992 SH SOLE 0 0 13992 ISHARES TR RUSSELL 2000 ETF 464287655 411 3310 SH SOLE 0 0 3310 ISHARES TR RUS 2000 GRW ETF 464287648 407 2736 SH SOLE 0 0 2736 ISHARES TR RUSSELL 3000 ETF 464287689 9342 72875 SH SOLE 0 0 72875 ISHARES TR SELECT DIVID ETF 464287168 628 7324 SH SOLE 0 0 7324 ISHARES TR GLB INFRASTR ETF 464288372 328 7890 SH SOLE 0 0 7890 ISHARES TR USA MOMENTUM FCT 46432F396 1086 14034 SH SOLE 0 0 14034 ISHARES TR U.S. ENERGY ETF 464287796 359 9208 SH SOLE 0 0 9208 ISHARES TR U.S. PFD STK ETF 464288687 1239 31358 SH SOLE 0 0 31358 ISHARES TR 1-3 YR CR BD ETF 464288646 486 4598 SH SOLE 0 0 4598 ISHARES TR 7-10 Y TR BD ETF 464287440 443 3958 SH SOLE 0 0 3958 ISHARES TR RUS 1000 GRW ETF 464287614 213 2047 SH SOLE 0 0 2047 JOHNSON & JOHNSON COM 478160104 1409 11924 SH SOLE 0 0 11924 JPMORGAN CHASE & CO COM 46625H100 847 12715 SH SOLE 0 0 12715 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 309 9822 SH SOLE 0 0 9822 KAYNE ANDERSON MLP INVT CO COM 486606106 398 19271 SH SOLE 0 0 19271 L-3 COMMUNICATIONS HLDGS INC COM 502424104 743 4931 SH SOLE 0 0 4931 LABORATORY CORP AMER HLDGS COM NEW 50540R409 215 1563 SH SOLE 0 0 1563 LAM RESEARCH CORP COM 512807108 297 3134 SH SOLE 0 0 3134 MAIN STREET CAPITAL CORP COM 56035L104 287 8372 SH SOLE 0 0 8372 MCDONALDS CORP COM 580135101 636 5516 SH SOLE 0 0 5516 MICROSOFT CORP COM 594918104 1250 21695 SH SOLE 0 0 21695 MITEK SYS INC COM NEW 606710200 96 11618 SH SOLE 0 0 11618 NANOVIRICIDES INC COM NEW 630087203 85 50000 SH SOLE 0 0 50000 NASDAQ INC COM 631103108 311 4600 SH SOLE 0 0 4600 NEXTERA ENERGY INC COM 65339F101 989 8086 SH SOLE 0 0 8086 NORTHROP GRUMMAN CORP COM 666807102 2531 11828 SH SOLE 0 0 11828 NUCOR CORP COM 670346105 312 6300 SH SOLE 0 0 6300 NUVEEN AMT FREE MUN CR INC F COM 67071L106 237 14727 SH SOLE 0 0 14727 NUVEEN PREFERRED SECURITIES COM 67072C105 534 55691 SH SOLE 0 0 55691 NUVEEN QUALITY MUNCP INCOME COM 67066V101 172 11417 SH SOLE 0 0 11417 NVIDIA CORP COM 67066G104 260 3795 SH SOLE 0 0 3795 PEPSICO INC COM 713448108 698 6420 SH SOLE 0 0 6420 PFIZER INC COM 717081103 1074 31720 SH SOLE 0 0 31720 PHILLIPS 66 COM 718546104 234 2901 SH SOLE 0 0 2901 PIMCO DYNAMIC INCOME FD SHS 72201Y101 313 11000 SH SOLE 0 0 11000 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 1869 45048 SH SOLE 0 0 45048 POWERSHARES ETF TR II S&P600 LOVL PT 73937B639 517 13358 SH SOLE 0 0 13358 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 3141 33559 SH SOLE 0 0 33559 POWERSHARES ETF TRUST S&P 500 QLTY PRT 73935X682 23969 951902 SH SOLE 0 0 951902 PROCTER AND GAMBLE CO COM 742718109 486 5412 SH SOLE 0 0 5412 PROSHARES TR PSHS ULTSH 20YRS 74347B201 200 6343 SH SOLE 0 0 6343 PROSHARES TR SHORT S&P 500 NE 74347B425 743 19505 SH SOLE 0 0 19505 PROSPECT CAPITAL CORPORATION COM 74348T102 170 20968 SH SOLE 0 0 20968 QUALCOMM INC COM 747525103 682 9961 SH SOLE 0 0 9961 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 508 10146 SH SOLE 0 0 10146 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1050 24808 SH SOLE 0 0 24808 SCRIPPS E W CO OHIO CL A NEW 811054402 8501 534666 SH SOLE 0 0 534666 SCRIPPS E W CO OHIO CL A NEW 811054402 10386 653204 SH SOLE 0 0 653204 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 112422 1770708 SH SOLE 0 0 1770708 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1082 15321 SH SOLE 0 0 15321 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 14705 307759 SH SOLE 0 0 307759 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 14270 291292 SH SOLE 0 0 291292 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 15292 261941 SH SOLE 0 0 261941 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 15364 288738 SH SOLE 0 0 288738 SIRIUS XM HLDGS INC COM 82968B103 85 20500 SH SOLE 0 0 20500 SOUTHERN CO COM 842587107 495 9658 SH SOLE 0 0 9658 SPDR GOLD TRUST GOLD SHS 78463V107 1082 8613 SH SOLE 0 0 8613 SPDR S&P 500 ETF TR TR UNIT 78462F103 5154 23829 SH SOLE 0 0 23829 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 714 2530 SH SOLE 0 0 2530 SPDR SER TR SHT TRM HGH YLD 78468R408 919 33202 SH SOLE 0 0 33202 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 435 11842 SH SOLE 0 0 11842 SPDR SERIES TRUST S&P 500 GROWTH 78464A409 4119 39141 SH SOLE 0 0 39141 SPDR SERIES TRUST S&P DIVID ETF 78464A763 858 10175 SH SOLE 0 0 10175 SPDR SERIES TRUST S&P REGL BKG 78464A698 1118 26457 SH SOLE 0 0 26457 STARBUCKS CORP COM 855244109 689 12734 SH SOLE 0 0 12734 STOCK MNG INC COM 205750102 8 22000 SH SOLE 0 0 22000 SUNOCO LP COM U REP LP 86765K109 261 9000 SH SOLE 0 0 9000 TEXAS INSTRS INC COM 882508104 234 3332 SH SOLE 0 0 3332 THERAPEUTICSMD INC COM 88338N107 91 13313 SH SOLE 0 0 13313 TIME WARNER INC COM NEW 887317303 775 9739 SH SOLE 0 0 9739 TWO HBRS INVT CORP COM 90187B101 171 20000 SH SOLE 0 0 20000 UNDER ARMOUR INC CL A 904311107 460 11905 SH SOLE 0 0 11905 UNDER ARMOUR INC CL C 904311206 317 9370 SH SOLE 0 0 9370 UNITED PARCEL SERVICE INC CL B 911312106 213 1951 SH SOLE 0 0 1951 UNITEDHEALTH GROUP INC COM 91324P102 308 2201 SH SOLE 0 0 2201 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 763 8700 SH SOLE 0 0 8700 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 232 2752 SH SOLE 0 0 2752 VANGUARD INDEX FDS REIT ETF 922908553 228 2623 SH SOLE 0 0 2623 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 738 3714 SH SOLE 0 0 3714 VANGUARD INDEX FDS TOTAL STK MKT 922908769 686 6165 SH SOLE 0 0 6165 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 576 7978 SH SOLE 0 0 7978 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 335 2449 SH SOLE 0 0 2449 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 1081 8132 SH SOLE 0 0 8132 VERIZON COMMUNICATIONS INC COM 92343V104 899 17293 SH SOLE 0 0 17293 VISA INC COM CL A 92826C839 265 3198 SH SOLE 0 0 3198 WALGREENS BOOTS ALLIANCE INC COM 931427108 346 4286 SH SOLE 0 0 4286 WAL-MART STORES INC COM 931142103 280 3889 SH SOLE 0 0 3889 WELLS FARGO & CO NEW COM 949746101 1117 25221 SH SOLE 0 0 25221