CETERA INVESTMENT MANAGEMENT LLC current holdings: USA ETF
CETERA INVESTMENT MANAGEMENT LLC reported $0.09 billion in exchange-traded fund shares (known by the fund name on the filing) (listed in the US), 52 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are MBB, SHY, HEFA.
- MBB: Country of operation —; Class MBS ETF; Shares 76,321; Value $8,402,000.
- SHY: Country of operation —; Class 1-3 YR TR BD ETF; Shares 91,036; Value $7,742,000.
- HEFA: Country of operation —; Class HDG MSCI EAFE; Shares 229,664; Value $5,698,000.
- LQD: Country of operation —; Class IBOXX INV CP ETF; Shares 45,289; Value $5,579,000.
Form 13F-HR as filed (SEC CIK 1665979): quarter ended 2016-09-30, filed 2016-11-15. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.
Performance is each holding's price change from its close on the 2016-09-30 quarter end to its latest retained close (2026-09-29, or the date shown for a stock that stopped trading). Price only; dividends are not included. A stock that split in the period is restated by the split ratio in its own Form 8-K; a dash marks a holding with no retained closes.
| Stock | Country of operation | Class | Shares | Value | Quarter end | Filed | Performance |
|---|
MBB
ISHARES TR | | MBS ETF | 76,321 | $8,402,000 | 2016-09-30 | 2016-11-15 | |
|---|
SHY
ISHARES TR | | 1-3 YR TR BD ETF | 91,036 | $7,742,000 | 2016-09-30 | 2016-11-15 | |
|---|
HEFA
ISHARES TR | | HDG MSCI EAFE | 229,664 | $5,698,000 | 2016-09-30 | 2016-11-15 | |
|---|
LQD
ISHARES TR | | IBOXX INV CP ETF | 45,289 | $5,579,000 | 2016-09-30 | 2016-11-15 | |
|---|
VTIP
VANGUARD MALVERN FDS | | STRM INFPROIDX | 99,355 | $4,933,000 | 2016-09-30 | 2016-11-15 | |
|---|
VEA
VANGUARD TAX MANAGED INTL FD | | FTSE DEV MKT ETF | 118,130 | $4,419,000 | 2016-09-30 | 2016-11-15 | |
|---|
DBEF
DBX ETF TR | | XTRAK MSCI EAFE | 135,873 | $3,584,000 | 2016-09-30 | 2016-11-15 | |
|---|
MUB
ISHARES TR | | NATIONAL MUN ETF | 30,576 | $3,447,000 | 2016-09-30 | 2016-11-15 | |
|---|
ACWI
ISHARES TR | | MSCI ACWI ETF | 56,213 | $3,322,000 | 2016-09-30 | 2016-11-15 | |
|---|
DWX
SPDR INDEX SHS FDS | | S&P INTL ETF | 89,912 | $3,308,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLK
SELECT SECTOR SPDR TR | | TECHNOLOGY | 56,560 | $2,702,000 | 2016-09-30 | 2016-11-15 | |
|---|
VB
VANGUARD INDEX FDS | | SMALL CP ETF | 21,423 | $2,617,000 | 2016-09-30 | 2016-11-15 | |
|---|
AGG
ISHARES TR | | CORE US AGGBD ET | 21,153 | $2,378,000 | 2016-09-30 | 2016-11-15 | |
|---|
TBF
PROSHARES TR | | SHRT 20+YR TRE | 111,003 | $2,331,000 | 2016-09-30 | 2016-11-15 | |
|---|
VGK
VANGUARD INTL EQUITY INDEX F | | FTSE EUROPE ETF | 46,447 | $2,263,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLV
SELECT SECTOR SPDR TR | | SBI HEALTHCARE | 30,232 | $2,180,000 | 2016-09-30 | 2016-11-15 | |
|---|
VFH
VANGUARD WORLD FDS | | FINANCIALS ETF | 41,606 | $2,054,000 | 2016-09-30 | 2016-11-15 | |
|---|
CWB
SPDR SERIES TRUST | | BRC CNV SECS ETF | 42,136 | $1,953,000 | 2016-09-30 | 2016-11-15 | |
|---|
TIP
ISHARES TR | | TIPS BD ETF | 16,312 | $1,900,000 | 2016-09-30 | 2016-11-15 | |
|---|
HYG
ISHARES TR | | IBOXX HI YD ETF | 21,699 | $1,893,000 | 2016-09-30 | 2016-11-15 | |
|---|
EMB
ISHARES TR | | JP MOR EM MK ETF | 13,812 | $1,619,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLF
SELECT SECTOR SPDR TR | | SBI INT-FINL | 83,591 | $1,613,000 | 2016-09-30 | 2016-11-15 | |
|---|
SPDR SERIES TRUST
CUSIP 78464A417 | | BRC HGH YLD BD | 42,537 | $1,562,000 | 2016-09-30 | 2016-11-15 | |
|---|
IEF
ISHARES TR | | 7-10 Y TR BD ETF | 11,796 | $1,320,000 | 2016-09-30 | 2016-11-15 | |
|---|
IYE
ISHARES TR | | U.S. ENERGY ETF | 30,357 | $1,184,000 | 2016-09-30 | 2016-11-15 | |
|---|
MNA
INDEXIQ ETF TR | | IQ MRGR ARB ETF | 39,890 | $1,165,000 | 2016-09-30 | 2016-11-15 | |
|---|
EDIV
SPDR INDEX SHS FDS | | S&P EM MKT DIV | 40,213 | $1,113,000 | 2016-09-30 | 2016-11-15 | |
|---|
MDY
SPDR S&P MIDCAP 400 ETF TR | | UTSER1 S&PDCRP | 3,807 | $1,075,000 | 2016-09-30 | 2016-11-15 | |
|---|
WTMF
WISDOMTREE TR | | FUTRE STRAT FD | 22,826 | $960,000 | 2016-09-30 | 2016-11-15 | |
|---|
INDEXIQ ETF TR
CUSIP 45409B206 | | HDG MACTRK ETF | 30,236 | $763,000 | 2016-09-30 | 2016-11-15 | |
|---|
AGZ
ISHARES TR | | AGENCY BOND ETF | 5,958 | $689,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLRE
SELECT SECTOR SPDR TR | | RL EST SEL SEC | 16,696 | $547,000 | 2016-09-30 | 2016-11-15 | |
|---|
ACWX
ISHARES TR | | MSCI ACWI EX US | 11,063 | $459,000 | 2016-09-30 | 2016-11-15 | |
|---|
POWERSHARES ETF TR II
CUSIP 73936T474 | | INSUR NATL MUN | 17,085 | $445,000 | 2016-09-30 | 2016-11-15 | |
|---|
IGSB
ISHARES TR | | 1-3 YR CR BD ETF | 4,127 | $436,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLE
SELECT SECTOR SPDR TR | | SBI INT-ENERGY | 5,710 | $403,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLI
SELECT SECTOR SPDR TR | | SBI INT-INDS | 6,626 | $387,000 | 2016-09-30 | 2016-11-15 | |
|---|
FDIS
FIDELITY | | MSCI CONSM DIS | 12,231 | $385,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLB
SELECT SECTOR SPDR TR | | SBI MATERIALS | 7,945 | $379,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLP
SELECT SECTOR SPDR TR | | SBI CONS STPLS | 7,072 | $376,000 | 2016-09-30 | 2016-11-15 | |
|---|
XLU
SELECT SECTOR SPDR TR | | SBI INT-UTILS | 7,683 | $376,000 | 2016-09-30 | 2016-11-15 | |
|---|
SELECT SECTOR SPDR TR
CUSIP 81369Y878 | | FINL SVCS SELC | 12,081 | $368,000 | 2016-09-30 | 2016-11-15 | |
|---|
SJNK
SPDR SER TR | | SHT TRM HGH YLD | 12,375 | $343,000 | 2016-09-30 | 2016-11-15 | |
|---|
IWB
ISHARES TR | | RUS 1000 ETF | 2,626 | $316,000 | 2016-09-30 | 2016-11-15 | |
|---|
EFAV
ISHARES TR | | MIN VOL EAFE ETF | 3,955 | $268,000 | 2016-09-30 | 2016-11-15 | |
|---|
FDN
FIRST TR EXCHANGE TRADED FD | | DJ INTERNT IDX | 3,041 | $248,000 | 2016-09-30 | 2016-11-15 | |
|---|
POWERSHARES ETF TR II
CUSIP 73937B779 | | S&P500 LOW VOL | 5,704 | $237,000 | 2016-09-30 | 2016-11-15 | |
|---|
SUB
ISHARES TR | | SHRT NAT MUN ETF | 2,210 | $234,000 | 2016-09-30 | 2016-11-15 | |
|---|
VUG
VANGUARD INDEX FDS | | GROWTH ETF | 2,024 | $227,000 | 2016-09-30 | 2016-11-15 | |
|---|
IEFA
ISHARES TR | | CORE MSCI EAFE | 4,066 | $224,000 | 2016-09-30 | 2016-11-15 | |
|---|
EEM
ISHARES TR | | MSCI EMG MKT ETF | 5,644 | $211,000 | 2016-09-30 | 2016-11-15 | |
|---|
HYT
BLACKROCK CORPOR HI YLD FD I | | COM | 10,137 | $110,000 | 2016-09-30 | 2016-11-15 | |
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