0001653168-17-000001.txt : 20170209
0001653168-17-000001.hdr.sgml : 20170209
20170208184718
ACCESSION NUMBER: 0001653168-17-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170209
DATE AS OF CHANGE: 20170208
EFFECTIVENESS DATE: 20170209
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: 17583928
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
12-31-2016
12-31-2016
Ken Stern & Associates, Inc.
3655 NOBEL DRIVE
SUITE 630
SAN DIEGO
CA
92122
13F HOLDINGS REPORT
028-16999
N
Brian Hendricks
COO/CCO
8584850404
Brian Hendricks
San Diego
CA
02-08-2017
0
104
193167
false
INFORMATION TABLE
2
13F.xml
ESSEX PPTY TR INC
COMMON STOCK
297178105
40019
172124
SH
SOLE
NONE
0
0
172124
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
13100
157695
SH
SOLE
NONE
0
0
157695
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
10145
125575
SH
SOLE
NONE
0
0
125575
ISHARES TR
RUS 2000 GRW ETF
464287648
9460
61455
SH
SOLE
NONE
0
0
61455
ISHARES TR
CORE S&P 500 ETF
464287200
9007
40032
SH
SOLE
NONE
0
0
40032
ISHARES TR
7-10 Y TR BD ETF
464287440
8224
78457
SH
SOLE
NONE
0
0
78457
SELECT SECTOR SPDR TR
SBI INT-INDS
83169y704
7362
118316
SH
SOLE
NONE
0
0
118316
VANGUARD WORLD FDS
INF TECH ETF
92204A702
6965
57321
SH
SOLE
NONE
0
0
57321
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
6791
66342
SH
SOLE
NONE
0
0
66342
SELECT SECTOR SPDR TR
SBI CONS DISCR
81369y407
6481
79616
SH
SOLE
NONE
0
0
79616
ISHARES TR
RUS 1000 VAL ETF
464287598
5965
53243
SH
SOLE
NONE
0
0
53243
ISHARES TR
USA MOMENTUM FCT
46432F396
5679
74865
SH
SOLE
NONE
0
0
74865
SCHWAB STRATEGIC TRI
US DIVIDEND EQ
808524797
5375
123357
SH
SOLE
NONE
0
0
123357
VANGUARD INDEX FDS
REIT ETF
922908553
4941
59868
SH
SOLE
NONE
0
0
59868
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
4050
19727
SH
SOLE
NONE
0
0
19727
SELECT SECTOR SPDR TR
SBI INT-FINL
81369y605
3865
166249
SH
SOLE
NONE
0
0
166249
SELECT SECTOR SPDR TR
SBI MATERIALS
81369y100
3506
70547
SH
SOLE
NONE
0
0
70547
APPLE INC
COMMON STOCK
037833100
1454
12556
SH
SOLE
NONE
0
0
12556
ISHARES TR
CORE US AGGBD ET
464287226
1406
13009
SH
SOLE
NONE
0
0
13009
JOHNSON & JOHNSON
COMMON STOCK
478160104
1265
10976
SH
SOLE
NONE
0
0
10976
QUALCOMM INC
COMMON STOCK
747525103
988
15148
SH
SOLE
NONE
0
0
15148
VERIZON COMMUNICATIONS INC
COMMON STOCK
92343v104
864
16186
SH
SOLE
NONE
0
0
16186
LEIDOS HLDGS INC
COMMON STOCK
525327102
853
16677
SH
SOLE
NONE
0
0
16677
POWERSHARES ETF TRUST
FTSE RAFI 1000
73935X583
850
8543
SH
SOLE
NONE
0
0
8543
CHEVRON CORP NEW
COMMON STOCK
166764100
821
6973
SH
SOLE
NONE
0
0
6973
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
783
6791
SH
SOLE
NONE
0
0
6791
ALPHABET INC
CAP STK CL A
02079K305
752
949
SH
SOLE
NONE
0
0
949
SPDR S&P 500 ETF TR
TR UNIT
78462f103
740
3310
SH
SOLE
NONE
0
0
3310
SCIENCE APPLICATNS INTL CP N
COMMON STOCK
808625107
733
8640
SH
SOLE
NONE
0
0
8640
J P MORGAN & CO
COMMON STOCK
46625h100
723
8377
SH
SOLE
NONE
0
0
8377
NUVEEN PREFERRED SECURITIES
COMMON STOCK
67072c105
712
76505
SH
SOLE
NONE
0
0
76505
GOLDMAN SACHS ETF TR
EQUITY ETF
381430503
685
15444
SH
SOLE
NONE
0
0
15444
ISHARES TR
RUS 1000 ETF
464287622
639
5132
SH
SOLE
NONE
0
0
5132
INTEL CORP
COMMON STOCK
458140100
593
16359
SH
SOLE
NONE
0
0
16359
EXXON MOBIL CORP
COMMON STOCK
30231g102
577
6396
SH
SOLE
NONE
0
0
6396
HONEYWELL INTL INC
COMMON STOCK
438516106
552
4763
SH
SOLE
NONE
0
0
4763
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
544
6361
SH
SOLE
NONE
0
0
6361
LAM RESEARCH CORP
COMMON STOCK
512807108
543
5131
SH
SOLE
NONE
0
0
5131
CITRIX SYS INC
COMMON STOCK
177376100
540
6048
SH
SOLE
NONE
0
0
6048
CLAYMORE EXCHANGE TRD FD TR
GUG BULL2018 E
18383M530
531
25063
SH
SOLE
NONE
0
0
25063
UNITED PARCEL SERVICE INC
CL B
911312106
530
4627
SH
SOLE
NONE
0
0
4627
CLAYMORE EXCHANGE TRD FD TR
GUG BULL2020 E
18383M514
525
24752
SH
SOLE
NONE
0
0
24752
CAPITAL ONE FINL CORP
COMMON STOCK
14040h105
524
6010
SH
SOLE
NONE
0
0
6010
AMAZON.COM
COMMON STOCK
023135106
523
697
SH
SOLE
NONE
0
0
697
DUKE ENERGY CORP NEW
COM NEW
26441c204
522
6727
SH
SOLE
NONE
0
0
6727
CLAYMORE EXCHANGE TRD FD TR
GUG BULL2019 E
18383M522
521
24647
SH
SOLE
NONE
0
0
24647
PROCTER & GAMBLE CO.
COMMON STOCK
742718109
516
6136
SH
SOLE
NONE
0
0
6136
PPL CORP
COMMON STOCK
69351T106
514
15097
SH
SOLE
NONE
0
0
15097
WELLS FARGO & CO NEW
COMMON STOCK
949746101
510
9256
SH
SOLE
NONE
0
0
9256
SOUTHERN CO
COMMON STOCK
842587107
508
10333
SH
SOLE
NONE
0
0
10333
CAMDEN PPTY TR
SH BEN INT
133131102
505
6003
SH
SOLE
NONE
0
0
6003
CLAYMORE EXCHANGE TRD FD TR
GUGG CRP BD 2017
18383M548
487
21541
SH
SOLE
NONE
0
0
21541
PFIZER INC
COMMON STOCK
717081103
470
14463
SH
SOLE
NONE
0
0
14463
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
470
9795
SH
SOLE
NONE
0
0
9795
PEPSICO INC
COMMON STOCK
713448108
468
4470
SH
SOLE
NONE
0
0
4470
DELTA AIR LINES INC DEL
COM NEW
247361702
462
9396
SH
SOLE
NONE
0
0
9396
ABBVIE INC
COMMON STOCK
00287Y109
455
7261
SH
SOLE
NONE
0
0
7261
CORNING INC
COMMON STOCK
219350105
450
18521
SH
SOLE
NONE
0
0
18521
AETNA INC NEW
COMMON STOCK
00817y108
444
3579
SH
SOLE
NONE
0
0
3579
CISCO SYS INC
COMMON STOCK
17275r102
438
14498
SH
SOLE
NONE
0
0
14498
HALLIBURTON CO
COMMON STOCK
406216101
438
8097
SH
SOLE
NONE
0
0
8097
LABORATORY CORP AMER HLDGS
COM NEW
50540r409
434
3382
SH
SOLE
NONE
0
0
3382
SPDR SERIES TRUST
S&P INS ETF
78464A789
423
5096
SH
SOLE
NONE
0
0
5096
SPDR SERIES TRUST
AEROSPACE DEF
78464A631
419
6610
SH
SOLE
NONE
0
0
6610
ILLINOIS TOOL WKS INC
COMMON STOCK
452308109
418
3416
SH
SOLE
NONE
0
0
3416
ISHARES TR
GRWT ALLOCAT ETF
464289867
417
10288
SH
SOLE
NONE
0
0
10288
ISHARES TR
NA TEC-SFTWR ETF
464287515
416
3820
SH
SOLE
NONE
0
0
3820
THERMO FISHER SCIENTIFIC INC
COMMON STOCK
883556102
411
2914
SH
SOLE
NONE
0
0
2914
FIFTH THIRD BANCORP
COMMON STOCK
316773100
409
15181
SH
SOLE
NONE
0
0
15181
SPDR SERIES TRUST
BRCLYS 1-3MT ETF
78464A680
402
8799
SH
SOLE
NONE
0
0
8799
VANGUARD WORLD FDS
CONSUM STP ETF
92204A207
401
2996
SH
SOLE
NONE
0
0
2996
PACCAR INC
COMMON STOCK
693718108
392
6137
SH
SOLE
NONE
0
0
6137
ALEXION PHARMACEUTICALS INC
COMMON STOCK
015351109
392
3200
SH
SOLE
NONE
0
0
3200
SPDR SERIES TRUST
BRCLYS INTL ETF
78464A516
376
14458
SH
SOLE
NONE
0
0
14458
MICRON TECHNOLOGY INC
COMMON STOCK
595112103
365
16666
SH
SOLE
NONE
0
0
16666
ISHARES TR
SP SMCP600GR ETF
464287887
362
2412
SH
SOLE
NONE
0
0
2412
REALTY INCOME CORP
COMMON STOCK
756109104
355
6181
SH
SOLE
NONE
0
0
6181
WALT DISNEY CO
COM DISNEY
254687106
353
3386
SH
SOLE
NONE
0
0
3386
ISHARES TR
CALIF MUN BD ETF
464288356
339
2937
SH
SOLE
NONE
0
0
2937
JPMORGAN CHASE PRFD
COMMON STOCK
48127X542
323
12718
SH
SOLE
NONE
0
0
12718
EATON CORP PLC
SHS
G29183103
321
4791
SH
SOLE
NONE
0
0
4791
MORGAN STANLEY PRFD
COMMON STOCK
61761J406
316
12298
SH
SOLE
NONE
0
0
12298
ALPS ETF TR
ALERIAN MLP
00162Q866
314
24937
SH
SOLE
NONE
0
0
24937
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
313
3646
SH
SOLE
NONE
0
0
3646
U.S. BANCORP PRFD
COMMON STOCK
902973791
312
12859
SH
SOLE
NONE
0
0
12859
WELLS FARGO & COMPANY DEP
COMMON STOCK
949746747
305
13191
SH
SOLE
NONE
0
0
13191
STARBUCKS CORP
COMMON STOCK
855244109
298
5368
SH
SOLE
NONE
0
0
5368
AIR LEASE CORP
CL A
00912x302
297
8654
SH
SOLE
NONE
0
0
8654
ISHARES TR
GLB INFRASTR ETF
464288372
297
7595
SH
SOLE
NONE
0
0
7595
ISHARES TR
NASDQ BIOTEC ETF
464287556
295
1111
SH
SOLE
NONE
0
0
1111
NORDSTROM INC
COMMON STOCK
655664100
287
5996
SH
SOLE
NONE
0
0
5996
iSHARES TR
SP SMCP 600VL ETF
464287879
281
2010
SH
SOLE
NONE
0
0
2010
RENAISSANCE PRFD
COMMON STOCK
G7498P119
280
12431
SH
SOLE
NONE
0
0
12431
HOST HOTELS & RESORT INC
COMMON STOCK
44107p104
256
13613
SH
SOLE
NONE
0
0
13613
ALPS ETF TR
SECTR DIV DOGS
00162Q858
251
5958
SH
SOLE
NONE
0
0
5958
FIRST TR EXCHANGE TRADED FD
MULTI ASSET DI
33738R100
245
12804
SH
SOLE
NONE
0
0
12804
CVS HEALTH CORP
COMMON STOCK
126650100
242
3073
SH
SOLE
NONE
0
0
3073
CARNIVAL CORP
UNIT 99/99/9999
143658300
235
4517
SH
SOLE
NONE
0
0
4517
GENERAL ELECTRIC CO
COMMON STOCK
369604103
235
7429
SH
SOLE
NONE
0
0
7429
ISHARES TR
INTERM CR BD ETF
464288638
232
2141
SH
SOLE
NONE
0
0
2141
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
231
2691
SH
SOLE
NONE
0
0
2691
COSTCO WHSL CORP NEW
COMMON STOCK
22160k105
213
1329
SH
SOLE
NONE
0
0
1329
ISHARES TR
NEW YORK MUN ETF
464288323
200
1833
SH
SOLE
NONE
0
0
1833
UNITED STATES OIL FUND LP
UNITS
91232N108
141
12016
SH
SOLE
NONE
0
0
12016