0001140361-16-065845.txt : 20160517
0001140361-16-065845.hdr.sgml : 20160517
20160516214239
ACCESSION NUMBER: 0001140361-16-065845
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160517
DATE AS OF CHANGE: 20160516
EFFECTIVENESS DATE: 20160517
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CARRET ASSET MANAGEMENT, LLC
CENTRAL INDEX KEY: 0000791490
IRS NUMBER: 134113321
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-01317
FILM NUMBER: 161655984
BUSINESS ADDRESS:
STREET 1: 40 WEST 57TH STREET
STREET 2: 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2125933800
MAIL ADDRESS:
STREET 1: 40 WEST 57TH STREET
STREET 2: 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER COMPANY:
FORMER CONFORMED NAME: CARRET ASSET MANAGEMENT
DATE OF NAME CHANGE: 20040823
FORMER COMPANY:
FORMER CONFORMED NAME: CARRET & CO LLC
DATE OF NAME CHANGE: 20001010
FORMER COMPANY:
FORMER CONFORMED NAME: CARRET & CO INC
DATE OF NAME CHANGE: 19990326
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03-31-2016
03-31-2016
CARRET ASSET MANAGEMENT, LLC
40 WEST 57TH STREET
20TH FLOOR
NEW YORK
NY
10019
13F HOLDINGS REPORT
028-01317
N
Marco Vega
Chief Operating Officer
212-207-2304
/s/ Marco Vega
New York
NY
05-16-2016
0
238
471128
false
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3261
45011
SH
SOLE
18173
0
26838
ROYAL DUTCH SHELL ADR B
ADR
780259107
801
16280
SH
SOLE
8791
0
7489
SANOFI
ADR
80105N105
213
5300
SH
SOLE
3200
0
2100
TELEFONICA SA ADR
ADR
879382208
285
25591
SH
SOLE
15567
0
10024
TEVA PHARMACEUTICAL INDS
ADR
881624209
439
8209
SH
SOLE
1150
0
7059
VODAFONE GROUP PLC
ADR
92857w308
1379
43028
SH
SOLE
13518
0
29510
KAYNE ANDERSON ENERGY COM
FD
48660P104
161
19800
SH
SOLE
200
0
19600
NUVEEN S&P 500 BUY-WRITE INC F
FD
6706er101
142
11126
SH
SOLE
0
0
11126
FORTESCUE METALS GROUPS LTD
FS
Q39360104
33
16900
SH
SOLE
16900
0
0
GRUPO MEXICO SAB DE CV-SER B
COM
00B032VC1
49
20426
SH
SOLE
0
0
20426
DEUTSCHE X-TRACKERS MSCI EUROP
ETF
233051853
377
15301
SH
SOLE
6175
0
9126
GLOBAL X MLP
ETF
37950E473
290
29700
SH
SOLE
6600
0
23100
ISHARES CNX INDIA 50 INDEX
ETF
464289529
695
25849
SH
SOLE
0
0
25849
ISHARES CORE HIGH DIVIDEND
ETF
46429B663
282
3620
SH
SOLE
0
0
3620
ISHARES CORE S&P 500 INDEX
ETF
464287200
382
1848
SH
SOLE
0
0
1848
ISHARES CURRENCY HEDGED MSCI E
ETF
46434V639
304
12465
SH
SOLE
0
0
12465
ISHARES DJ US FINANCIAL SECTOR
ETF
464287788
227
2680
SH
SOLE
0
0
2680
ISHARES DJ US TECHNOLOGY SECTO
ETF
464287721
476
4391
SH
SOLE
0
0
4391
ISHARES DOW JONES SELECT DIVID
ETF
464287168
361
4425
SH
SOLE
0
0
4425
ISHARES FTSE CHINA 25 LARGE-CA
ETF
464287184
699
20716
SH
SOLE
3476
0
17240
ISHARES MSCI EMERGING MARKETS
ETF
464287234
1287
37566
SH
SOLE
6732
0
30834
ISHARES MSCI HONG KONG INDEX
ETF
464286871
638
32290
SH
SOLE
0
0
32290
ISHARES RUSSELL 1000 GROWTH
ETF
464287614
405
4055
SH
SOLE
0
0
4055
ISHARES RUSSELL 2000 INDEX FUN
ETF
464287655
325
2940
SH
SOLE
200
0
2740
ISHARES RUSSELL MID-CAP INDEX
ETF
464287499
932
5722
SH
SOLE
0
0
5722
ISHARES S&P 100 INDEX
ETF
464287101
3247
35536
SH
SOLE
705
0
34831
ISHARES S&P PREF STK INDX FN
ETF
464288687
251
6440
SH
SOLE
0
0
6440
PROSHARES ULTRASHORT 20+ YEAR
ETF
74347B201
632
17155
SH
SOLE
0
0
17155
PROSHARES ULTRASHORT 7-10 YEAR
ETF
74347R313
1152
54515
SH
SOLE
0
0
54515
SCHWAB US LARGE-CAP ETR
ETF
808524201
416
8519
SH
SOLE
315
0
8204
SPDR FD FINANCIAL SEL
ETF
81369Y605
225
9978
SH
SOLE
0
0
9978
SPDR GOLD TRUST
ETF
78463V107
975
8292
SH
SOLE
4777
0
3515
SPDR S&P 500 INDEX
ETF
78462F103
941
4581
SH
SOLE
145
0
4436
VANGUARD DIVIDEND APPREC
ETF
921908844
425
5230
SH
SOLE
1385
0
3845
VANGUARD FTSE ALL WORLD EX-U
ETF
922042775
580
13431
SH
SOLE
2845
0
10586
VANGUARD INDEX FDS VALUE ETF
ETF
922908744
884
10733
SH
SOLE
297
0
10436
ENTERPRISE PRODS PARTNERS L P
LP
293792107
412
16720
SH
SOLE
2500
0
14220
ONEOK PARTNERS L.P
LP
68268N103
315
10023
SH
SOLE
1865
0
8158
THE BLACKSTONE GROUP LP
LP
09253U108
438
15627
SH
SOLE
5250
0
10377
THE CARLYLE GROUP
LP
14309L102
169
10000
SH
SOLE
10000
0
0
BUNGE LTD 4.875%
PFD
G16962204
2649
30895
SH
SOLE
0
0
30895
DODGE & COX FDS INTL STK FD
FD
256206103
270
7679
SH
SOLE
0
0
7679
FIDELITY CONTRAFUND COM
FD
316071109
540
5582
SH
SOLE
0
0
5582
FIDELITY LOW PRICED STOCK FUND
FD
316345305
230
4764
SH
SOLE
0
0
4764
FIDELITY SECS FD BLUE CHIP GWT
FD
316389303
257
3914
SH
SOLE
0
0
3914
FIDELITY SECS FD OTC PORTFOLIO
FD
316389105
346
4537
SH
SOLE
0
0
4537
FIDELITY SMALL CAP DISCOVERY F
FD
315912600
257
9404
SH
SOLE
0
0
9404
FIDELITY SPARAN EXTENDED MKT I
FD
315911883
263
5294
SH
SOLE
0
0
5294
FIDELITY STR DVD&INC FUND
FD
316145887
179
12706
SH
SOLE
0
0
12706
FIRST EAGLE GLOBAL FUND
FD
32008F507
543
10225
SH
SOLE
0
0
10225
HANCOCK HORIZON DIVERSIFIED IN
FD
41012R787
206
10941
SH
SOLE
0
0
10941
JPMORGAN MID CAP VALUE FD-A
FD
339128308
206
5954
SH
SOLE
0
0
5954
JPMORGAN TR I INTERM TF BD S
FD
4812a0441
208
18712
SH
SOLE
0
0
18712
LEUTHOLD CORE INVESTMENT FUND
FD
527289102
265
14805
SH
SOLE
1078
0
13727
NORTHERN INTERNATIONAL EQUITY
FD
665130209
137
13047
SH
SOLE
0
0
13047
PRUDENTIAL JENN EQTY OPPOR-Z
FD
74437E800
266
14458
SH
SOLE
0
0
14458
SCHWAB SMALL-CAP INDEX
FD
808509848
324
13625
SH
SOLE
6851
0
6774
TWEEDY BROWNE GLOBAL VALUE FUN
FD
901165100
346
14489
SH
SOLE
11054
0
3435
VANGUARD 500 INDEX
FD
922908108
208
1097
SH
SOLE
8
0
1089
VANGUARD BALANCED INDEX FUND
FD
921931200
212
7143
SH
SOLE
4724
0
2419
VANGUARD STAR FUND STAR PORTFO
FD
921909107
1714
73199
SH
SOLE
3865
0
69334
WELLS FARGO ADVANTAGE TOT RET
FD
94975J631
153
11515
SH
SOLE
0
0
11515
BANK OF AMERICA CORP - EXP 1/1
WT
060505146
51
13000
SH
SOLE
0
0
13000
WELLS FARGO & CO - EXP 10/28/1
WT
949746119
297
18950
SH
SOLE
0
0
18950