0001085146-21-003138.txt : 20211112 0001085146-21-003138.hdr.sgml : 20211112 20211112101415 ACCESSION NUMBER: 0001085146-21-003138 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: 3D/L Capital Management, LLC CENTRAL INDEX KEY: 0001846943 IRS NUMBER: 861660892 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-21050 FILM NUMBER: 211400988 BUSINESS ADDRESS: STREET 1: 100 CONSTITUTION PLAZA STREET 2: 7TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 BUSINESS PHONE: 860-291-1998 MAIL ADDRESS: STREET 1: 100 CONSTITUTION PLAZA STREET 2: 7TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001846943 XXXXXXXX 09-30-2021 09-30-2021 false 3D/L Capital Management, LLC

100 CONSTITUTION PLAZA 7TH FLOOR Hartford CT 06103

13F HOLDINGS REPORT 028-21050 N Andrew T. Lucich 860-291-1998 /s/Andrew T. Lucich Hartford CT 11-12-2021 0 126 416608 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABRDN ETFS BBRG ALL COMD K1 003261104 8225 293014 SH SOLE 283671 0 9343 ALPS ETF TR CLEAN ENERGY 00162Q460 279 4224 SH SOLE 2321 0 1903 AMERICAN CENTY ETF TR DIVERSIFIED MU 025072505 2126 38572 SH SOLE 35761 0 2811 APPLE INC COM 037833100 322 2273 SH SOLE 1917 0 356 BARCLAYS BANK PLC DJUBS CMDT ETN36 06738C778 280 9565 SH SOLE 9565 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 411 1 SH SOLE 1 0 0 CANOPY GROWTH CORP COM 138035100 374 27011 SH SOLE 22014 0 4997 CONSTELLATION BRANDS INC CL A 21036P108 235 1116 SH SOLE 912 0 204 DBX ETF TR XTKR MSCI EMRG 233051226 267 8315 SH SOLE 6398 0 1917 DBX ETF TR XTRACK MUN INFRA 233051705 5471 188406 SH SOLE 173250 0 15156 DIMENSIONAL ETF TRUST INTERNATNAL VAL 25434V807 2292 69999 SH SOLE 69533 0 466 DIMENSIONAL ETF TRUST US EQUITY ETF 25434V401 6241 132340 SH SOLE 132340 0 0 DIMENSIONAL ETF TRUST US SMALL CAP ETF 25434V500 3140 54611 SH SOLE 54611 0 0 DIMENSIONAL ETF TRUST US TARGETED VLU 25434V609 3106 69944 SH SOLE 69944 0 0 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 2528 44527 SH SOLE 39195 0 5332 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 11516 227686 SH SOLE 201726 0 25960 FIRST TR EXCHNG TRADED FD VI CBOE VEST US EQT 33740U208 1087 31380 SH SOLE 27881 0 3499 FIRST TR EXCHNG TRADED FD VI CBOE VEST US EQT 33740F698 462 14148 SH SOLE 12570 0 1578 FIRST TR EXCHNG TRADED FD VI TCW EMERGING MKT 33740U604 225 11659 SH SOLE 8664 0 2995 FLEXSHARES TR CRE SLCT BD FD 33939L670 1286 48996 SH SOLE 48196 0 800 FLEXSHARES TR GLB QLT R/E IDX 33939L787 264 3995 SH SOLE 3910 0 85 FLEXSHARES TR HIG YLD VL ETF 33939L662 462 9276 SH SOLE 8722 0 554 FLEXSHARES TR INTL QLTDV IDX 33939L837 23720 940880 SH SOLE 913331 0 27549 FLEXSHARES TR M STAR DEV MKT 33939L803 950 13234 SH SOLE 11166 0 2068 FLEXSHARES TR MORNSTAR UPSTR 33939L407 310 8469 SH SOLE 7356 0 1113 FLEXSHARES TR MORNSTAR USMKT 33939L100 475 2815 SH SOLE 2158 0 657 FLEXSHARES TR MSTAR EMKT FAC 33939L308 365 6025 SH SOLE 5095 0 930 FLEXSHARES TR QLT DIV DEF IDX 33939L845 719 13525 SH SOLE 13518 0 7 FLEXSHARES TR US QUALITY CAP 33939L746 30394 640937 SH SOLE 617714 0 23223 GLOBAL X FDS CLEAN WTR ETF 37954Y186 401 24998 SH SOLE 19027 0 5971 GLOBAL X FDS CLOUD COMPUTNG 37954Y442 308 10525 SH SOLE 5822 0 4703 GLOBAL X FDS CONSCIOUS COS 37954Y731 825 26312 SH SOLE 19970 0 6342 GLOBAL X FDS CYBRSCURTY ETF 37954Y384 294 9642 SH SOLE 5285 0 4357 GLOBAL X FDS E COMMERCE ETF 37954Y467 265 8797 SH SOLE 4807 0 3990 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 743 20320 SH SOLE 13804 0 6516 GLOBAL X FDS VDEO GAM ESPRT 37954Y392 269 9616 SH SOLE 5258 0 4358 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 22773 666466 SH SOLE 647565 0 18901 INVESCO EXCH TRADED FD TR II TAXABLE MUN BD 46138G805 3124 94929 SH SOLE 85197 0 9732 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 414 19623 SH SOLE 17497 0 2126 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 470 21843 SH SOLE 18110 0 3733 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 569 26251 SH SOLE 24308 0 1943 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 324 14669 SH SOLE 11042 0 3627 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 2246 101192 SH SOLE 70365 0 30827 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 MUNI 46138J528 209 8051 SH SOLE 6527 0 1524 INVESCO EXCHANGE TRADED FD T INVESCO MSCI 46137V407 291 4598 SH SOLE 3484 0 1114 INVESCO EXCHANGE TRADED FD T WATER RES ETF 46137V142 299 5468 SH SOLE 2985 0 2483 INVESCO QQQ TR UNIT SER 1 46090E103 645 1803 SH SOLE 1400 0 403 ISHARES INC ESG AWR MSCI EM 46434G863 237 5721 SH SOLE 4514 0 1207 ISHARES INC MSCI GBL MIN VOL 464286525 496 4827 SH SOLE 4290 0 537 ISHARES TR 0-5 YR TIPS ETF 46429B747 206 1947 SH SOLE 1482 0 465 ISHARES TR CORE MSCI EAFE 46432F842 482 6496 SH SOLE 1809 0 4687 ISHARES TR CORE S&P SCP ETF 464287804 353 3234 SH SOLE 2059 0 1175 ISHARES TR CORE S&P500 ETF 464287200 1581 3669 SH SOLE 3175 0 494 ISHARES TR CORE TOTAL USD 46434V613 564 10595 SH SOLE 7816 0 2779 ISHARES TR CORE US AGGBD ET 464287226 239 2079 SH SOLE 538 0 1541 ISHARES TR EAFE GRWTH ETF 464288885 524 4920 SH SOLE 3853 0 1067 ISHARES TR EAFE VALUE ETF 464288877 633 12454 SH SOLE 10073 0 2381 ISHARES TR ESG AWR MSCI USA 46435G425 1138 11555 SH SOLE 9064 0 2491 ISHARES TR ESG EAFE ETF 46436E759 391 5777 SH SOLE 4399 0 1378 ISHARES TR GLOBAL TECH ETF 464287291 237 4175 SH SOLE 3287 0 888 ISHARES TR IBOXX INV CP ETF 464287242 246 1853 SH SOLE 965 0 888 ISHARES TR ISHARES BIOTECH 464287556 316 1954 SH SOLE 1074 0 880 ISHARES TR ISHS 5-10YR INVT 464288638 219 3638 SH SOLE 3638 0 0 ISHARES TR MSCI INTL VLU FT 46435G409 13814 537311 SH SOLE 521909 0 15402 ISHARES TR MSCI USA MIN VOL 46429B697 267 3631 SH SOLE 3599 0 32 ISHARES TR MSCI USA MMENTM 46432F396 224 1278 SH SOLE 1278 0 0 ISHARES TR MSCI USA VALUE 46432F388 274 2725 SH SOLE 2144 0 581 ISHARES TR NATIONAL MUN ETF 464288414 761 6554 SH SOLE 6553 0 1 ISHARES TR RUS 1000 ETF 464287622 479 1981 SH SOLE 546 0 1435 ISHARES TR RUS 1000 VAL ETF 464287598 407 2598 SH SOLE 2598 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 229 781 SH SOLE 781 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 217 1356 SH SOLE 1356 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 390 5279 SH SOLE 1480 0 3799 ISHARES TR S&P 500 VAL ETF 464287408 360 2476 SH SOLE 676 0 1800 ISHARES TR S&P SML 600 GWT 464287887 438 3371 SH SOLE 2613 0 758 ISHARES TR TIPS BD ETF 464287176 284 2228 SH SOLE 1350 0 878 ISHARES TR US TREAS BD ETF 46429B267 375 14134 SH SOLE 10296 0 3838 J P MORGAN EXCHANGE-TRADED F INTERNL GWT 46641Q324 845 11129 SH SOLE 8579 0 2550 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 6541 128059 SH SOLE 115356 0 12703 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 33659 822349 SH SOLE 797101 0 25248 JACOBS ENGR GROUP INC COM 469814107 594 4485 SH SOLE 4485 0 0 JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 3835 74251 SH SOLE 72670 0 1581 KRANESHARES TR CSI CHI INTERNET 500767306 722 15253 SH SOLE 10744 0 4509 KRANESHARES TR KFA VAL LIN DYNM 500767645 22525 958934 SH SOLE 908523 0 50411 KRANESHARES TR MSCI ALL CHINA 500767801 11359 368949 SH SOLE 360675 0 8274 KRANESHARES TR MSCI EMG EX CH 500767769 14703 463996 SH SOLE 447669 0 16327 NUSHARES ETF TR NUVEEN ESG LRGCP 67092P201 807 12330 SH SOLE 9373 0 2957 NUSHARES ETF TR NUVEEN ESG SMLCP 67092P607 595 13689 SH SOLE 10490 0 3199 PFIZER INC COM 717081103 441 10251 SH SOLE 10251 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 22912 207253 SH SOLE 186531 0 20722 SCOTTS MIRACLE-GRO CO CL A 810186106 262 1788 SH SOLE 1347 0 441 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 910 11361 SH SOLE 6358 0 5003 SELECT SECTOR SPDR TR ENERGY 81369Y506 524 10051 SH SOLE 5637 0 4414 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 947 25236 SH SOLE 14173 0 11063 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 561 12625 SH SOLE 7194 0 5431 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 907 5054 SH SOLE 2829 0 2225 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 658 9554 SH SOLE 5370 0 4184 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1010 7935 SH SOLE 4456 0 3479 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 762 7789 SH SOLE 4385 0 3404 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 504 7883 SH SOLE 4462 0 3421 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 506 6400 SH SOLE 3620 0 2780 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1692 11329 SH SOLE 6344 0 4985 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 569 14788 SH SOLE 11616 0 3172 SPDR SER TR PORTFLI TIPS ETF 78464A656 206 6631 SH SOLE 6631 0 0 SPDR SER TR PORTFOLIO SHORT 78464A474 211 6751 SH SOLE 6595 0 156 SPDR SER TR S&P KENSHO FUTRE 78468R671 401 7966 SH SOLE 6179 0 1787 SPDR SER TR S&P KENSHO INTLG 78468R697 390 8930 SH SOLE 6938 0 1992 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 268 20895 SH SOLE 11610 0 9285 VANGUARD BD INDEX FDS INTERMED TERM 921937819 526 5880 SH SOLE 3398 0 2482 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 564 5513 SH SOLE 3178 0 2335 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 1024 12495 SH SOLE 7495 0 5000 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 1128 19805 SH SOLE 11487 0 8318 VANGUARD INDEX FDS GROWTH ETF 922908736 1996 6880 SH SOLE 4957 0 1923 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1129 4780 SH SOLE 3712 0 1068 VANGUARD INDEX FDS SMALL CP ETF 922908751 549 2511 SH SOLE 1871 0 640 VANGUARD INDEX FDS VALUE ETF 922908744 37605 277791 SH SOLE 266414 0 11377 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 680 13595 SH SOLE 10068 0 3527 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 575 10791 SH SOLE 6385 0 4406 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1952 38653 SH SOLE 28153 0 10500 WISDOMTREE TR EM MKTS QTLY DIV 97717W323 318 11351 SH SOLE 11283 0 68 WISDOMTREE TR EMERG CUR STR FD 97717W133 280 15761 SH SOLE 15761 0 0 WISDOMTREE TR EMG MKTS SMCAP 97717W281 488 9123 SH SOLE 9122 0 1 WISDOMTREE TR INTL SMCAP DIV 97717W760 22258 299816 SH SOLE 291377 0 8439 WISDOMTREE TR US MIDCAP FUND 97717W570 25487 490042 SH SOLE 475672 0 14370 WISDOMTREE TR US SMALLCAP FUND 97717W562 14495 299918 SH SOLE 290743 0 9175 WISDOMTREE TR YIELD ENHANCD US 97717X511 6346 122231 SH SOLE 109946 0 12285