Chief Compliance Officer & Chief Operating Officer

0001653168-16-000012.txt : 20160607 0001653168-16-000012.hdr.sgml : 20160607 20160607161226 ACCESSION NUMBER: 0001653168-16-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160607 DATE AS OF CHANGE: 20160607 EFFECTIVENESS DATE: 20160607 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ken Stern & Associates, Inc. CENTRAL INDEX KEY: 0001653168 IRS NUMBER: 330879374 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16999 FILM NUMBER: 161701404 BUSINESS ADDRESS: STREET 1: 3655 NOBEL DRIVE STREET 2: SUITE 630 CITY: SAN DIEGO STATE: CA ZIP: 92122 BUSINESS PHONE: 858-485-0404 MAIL ADDRESS: STREET 1: 3655 NOBEL DRIVE STREET 2: SUITE 630 CITY: SAN DIEGO STATE: CA ZIP: 92122 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001653168 XXXXXXXX 03-31-2016 03-31-2016 Ken Stern & Associates, Inc.

3655 NOBEL DRIVE SUITE 630 SAN DIEGO CA 92122

13F HOLDINGS REPORT 028-16999 N Brian Hendricks Chief Compliance Officer & Chief Operating Officer (858) 485-0404 Brian Hendricks San Diego CA 06-07-2016 0 78 144201 false INFORMATION TABLE 2 2016firstquarterKSA.xml ABBVIE INC COMMON STOCK 00287Y109 412 7217 SH SOLE 0 0 0 7217 AETNA INC NEW COMMON STOCK 00817Y108 391 3479 SH SOLE 0 0 0 3479 AIR LEASE CORP COMMON STOCK 00912X302 272 8458 SH SOLE 0 0 0 8458 ALPHABET INC CLASS A COMMON STOCK 02079K305 698 915 SH SOLE 0 0 0 915 AMAZON.COM COMMON STOCK 23135106 410 690 SH SOLE 0 0 0 690 APPLE INC COMMON STOCK 037833100 1195 10965 SH SOLE 0 0 0 10965 BAXTER INTERNATIONAL COMMON STOCK 71813109 200 4873 SH SOLE 0 0 0 4873 BLACKSTONE GRP LP UNIT LTD COMMON STOCK 09253U108 384 13700 SH SOLE 0 0 0 13700 CAPITAL ONE FINL CORP COMMON STOCK 14040H105 593 8549 SH SOLE 0 0 0 8549 CHEVRON CORP NEW COMMON STOCK 166764100 795 8338 SH SOLE 0 0 0 8338 CHUBB CORP COMMON STOCK H1467J104 980 8225 SH SOLE 0 0 0 8225 CITRIX SYS INC COMMON STOCK 177376100 683 8697 SH SOLE 0 0 0 8697 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E ETF 18383M530 301 14233 SH SOLE 0 0 0 14233 CLAYMORE EXCHANGE TRD FD TR GUG BULL2019 E ETF 18383M522 294 13852 SH SOLE 0 0 0 13852 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E ETF 18383M514 311 14535 SH SOLE 0 0 0 14535 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 ETF 18383M548 300 13257 SH SOLE 0 0 0 13257 CORNING INC COMMON STOCK 219350105 384 18366 SH SOLE 0 0 0 18366 CVS CORP COMMON STOCK 126650100 412 3974 SH SOLE 0 0 0 3974 DELTA AIR LINES INC DEL COM NEW 247361702 452 9275 SH SOLE 0 0 0 9275 ENERGY TRANSFER PARTNERS UNIT LTD PARTN 29273R109 225 6968 SH SOLE 0 0 0 6968 EXXON MOBIL CORP COMMON STOCK 30231G102 452 5404 SH SOLE 0 0 0 5404 GOLDMAN SACHS ACTVBETA COMMON STOCK 381430503 826 19682 SH SOLE 0 0 0 19682 HALLIBURTON CO COMMON STOCK 406216101 283 7912 SH SOLE 0 0 0 7912 HOST HOTELS & RESORT INC COMMON STOCK 44107P104 224 13433 SH SOLE 0 0 0 13433 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 588 5741 SH SOLE 0 0 0 5741 INTEL CORP COMMON STOCK 458140100 935 28903 SH SOLE 0 0 0 28903 ISHARES TR RUS 1000 ETF 464287622 1417 12418 SH SOLE 0 0 0 12418 ISHARES TR GRWT ALLOCAT ETF 464289867 284 7207 SH SOLE 0 0 0 7207 ISHARES TR LEHMAN AGGREGATE ETF 464287266 254 2295 SH SOLE 0 0 0 2295 ISHARES TR RUSSELL 2000 GR ETF 464287648 8231 62066 SH SOLE 0 0 0 62066 ISHARES MSCI USA MIN VOL ETF 46429B697 4526 103036 SH SOLE 0 0 0 103036 ISHARES MSCI USA MOMENTUM ETF 46432F396 244 3337 SH SOLE 0 0 0 3337 ISHARES TR RUS 1000 GRW ETF 464287614 5360 53719 SH SOLE 0 0 0 53719 ISHARES TR CORE S&P500 ETF 464287200 8533 41290 SH SOLE 0 0 0 41290 ISHARES TR S&P SMALLCAP 6 ETF 464287887 336 2705 SH SOLE 0 0 0 2705 ISHARES TR 3-7 YR BOND ETF 464288661 218 1732 SH SOLE 0 0 0 1732 ISHARES 7-10 YR TR TREASURY ETF 464287440 9601 87013 SH SOLE 0 0 0 87013 ISHARES DOW JONES SELECTED ETF 464287168 4611 56454 SH SOLE 0 0 0 56454 ISHARES TR S&P SM CAP 600 BA ETF 464287879 230 2030 SH SOLE 0 0 0 2030 ISHARES TR S&P US PREFERRED ETF 464288687 1476 37810 SH SOLE 0 0 0 37810 ISHARES TR S&P 500/BARRA ETF 464287309 244 2107 SH SOLE 0 0 0 2107 JPMORGAN CHASE & CO COMMON STOCK 46625H100 472 7975 SH SOLE 0 0 0 7975 JOHNSON & JOHNSON COMMON STOCK 478160104 1084 10020 SH SOLE 0 0 0 10020 LABORATORY CORP AMER HLDGS COM NEW 50540R409 393 3352 SH SOLE 0 0 0 3352 LAM RESEARCH CORP COMMON STOCK 512807108 418 5066 SH SOLE 0 0 0 5066 MAGNUM HUNTER RESOURCES COMMON STOCK 55973B102 0 18000 SH SOLE 0 0 0 18000 MYLAN LABORATORIES INC COMMON STOCK N59465109 587 12661 SH SOLE 0 0 0 12661 NORDSTORM INC COMMON STOCK 655664100 362 6324 SH SOLE 0 0 0 6324 NUVEEN QUALITY PFD INCOME FD COM SHS 67072C105 629 69952 SH SOLE 0 0 0 69952 PACCAR INC COMMON STOCK 693718108 331 6056 SH SOLE 0 0 0 6056 PEPSICO INC COMMON STOCK 713448108 436 4251 SH SOLE 0 0 0 4251 POWERSHARES ETF EXCH TRAD FD TR ETF 73935X583 272 3080 SH SOLE 0 0 0 3080 PPL CORP COMMON STOCK 69351T106 558 14661 SH SOLE 0 0 0 14661 PROCTOR & GAMBLE CO COMMON STOCK 742718109 495 6014 SH SOLE 0 0 0 6014 QUALCOMM INC COMMON STOCK 747525103 635 12409 SH SOLE 0 0 0 12409 RAYTHEON CO COM NEW 755111507 633 5160 SH SOLE 0 0 0 5160 SCHWAB STRATEGIC TR US COMMON STOCK 808524797 243 6053 SH SOLE 0 0 0 6053 SELECT SECTOR SPDR TR SBI CONS STPLS COMMON STOCK 81369Y308 7058 133021 SH SOLE 0 0 0 133021 SELECT SECTOR SPDR TR TECHNOLOGY COMMON STOCK 81369Y803 5385 121398 SH SOLE 0 0 0 121398 SELECT SECTOR SPDR TR SBI CONS DISCR COMMON STOCK 81369Y407 6530 82554 SH SOLE 0 0 0 82554 SPDR SER TR BRCLYS 1-3MT ETF COMMON STOCK 78464A680 967 21172 SH SOLE 0 0 0 21172 SPDR SERIES TRUST S&P DIVID ETF ETF 78464A763 488 6104 SH SOLE 0 0 0 6104 SPDR SERIES TRUST HEALTHCARE SECTOR ETF 81369Y209 6531 96358 SH SOLE 0 0 0 96358 SPDR SERIES TRUST LEHMAN INTL TREASURY ETF 78464A516 297 5333 SH SOLE 0 0 0 5333 STANDARD & POORS COMMON STOCK 78462F103 412 2005 SH SOLE 0 0 0 2005 STEVE MADDEN LTD COMMON STOCK 556269108 312 8412 SH SOLE 0 0 0 8412 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 407 2872 SH SOLE 0 0 0 2872 UNITED PARCEL SERVICE INC CL B COMMON STOCK 911312106 474 4496 SH SOLE 0 0 0 4496 VANGUARD BD INDEX FDS INTERMEDIATE ETF 921937819 5162 59833 SH SOLE 0 0 0 59833 VANGUARD BD INDEX FD INC TOTAL BND MRKT ETF 921937835 8125 98118 SH SOLE 0 0 0 98118 VANGUARD INDEX FDS INFO TECHNOLOGY ETF 92204A702 5130 47376 SH SOLE 0 0 0 47376 VANGUARD INDEX FDS REIT ETF 922908553 4698 56057 SH SOLE 0 0 0 56057 VANGUARD INDEX FDS S&P 500 ETF 922908363 6850 36324 SH SOLE 0 0 0 36324 VANGUARD INDEX FDS TOTAL STK MKT ETF 922908769 713 6806 SH SOLE 0 0 0 6806 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD ETF 92206C409 10996 137398 SH SOLE 0 0 0 137398 VANGUARD WORLD FUNDS INFO TECH ETF 92204A702 6136 56020 SH SOLE 0 0 0 56020 VERIZON COMMUNICATIONS INC COMMON STOCK 92343V104 670 12395 SH SOLE 0 0 0 12395 DISNEY WALT CO COMMON STOCK 254687106 330 3320 SH SOLE 0 0 0 3320 WELLS FARGO & CO COMMON STOCK 949746101 417 8628 SH SOLE 0 0 0 8628