SIGNATURE ESTATE & INVESTMENT ADVISORS LLC — 13F Holdings & Portfolio
CIK 1079935 · latest 13F-HR filed 2026-10-13
SIGNATURE ESTATE & INVESTMENT ADVISORS LLC manages $5.67B in 13F-reported U.S. long-equity assets across 1,076 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are VUG (6.93%), GSLC (5.13%), IGM (4.81%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 36 new positions and exited 37; 198 existing positions rose in reported value and 193 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$5.67B
Long-equity book
Holdings
1,076
Distinct positions
Period
2026-09-30
Filed 2026-10-13
Q/Q Activity
+36 / −37 / ↑198 / ↓193
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26VUG9.2% · +4%GSLC6.7% · -10%IGM6.2% · -0%FNDX4.4% · +7%EFV3.9% · +29%MAGS3.7% · +5%AVES3.1% · +2%TOTL2.7% · -31%GMOI2.6% · +38%AAPL2.3% · +8%MSFT2.2% · +3%AMZN2.0% · -3%GOOGL1.9% · -0%AVGO1.8% · +6%XLF1.8% · +1%CGGR1.8% · -4%META1.8% · +1%CGMS1.7% · +39836%NVDA1.6% · +371%XLC1.6% · +3%ANET1.5% · +1%APH1.5% · +104%C1.2% · +3%LLY1.2% · +1%VRT1.0% · +230%VTV1.0% · -2%HOOD1.0% · +1%WMT0.7% · +2%SPEM0.7% · +1%ABBV0.7% · +2850%CDX0.7% · +2%XCCC0.7% · +2%IDEV0.7% · +14%SPDW0.6% · +38%JEPQ0.6% · +1%AMAT0.5% · +5%XCNY0.5% · +12%IVV0.4% · -0%SPY0.4% · +7%DEM0.4% · -1%VEA0.4% · +3%VYMI0.4% · +10%PWR0.3% · +3%BLK0.3% · +0%CRWD0.3% · +311%QQQ0.3% · +4%APP0.3% · -21%WELL0.3% · +5%ATI0.3% · +2%VWO0.3% · +1%QQQM0.3% · +1%VTI0.2% · +7%IVW0.2% · -7%AFRM0.2% · +6%VIG0.2% · +4%ITOT0.2% · +0%ODFL0.2% · -74%SCHD0.2% · -0%RGLD0.2% · -2%NET0.2% · +3766%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 44.9%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Sep 14, 2026.
Assets Under Management
$22.54B
Discretionary
$3.57B
Employees
241
Accounts
9,833
Address
2121 AVENUE OF THE STARS
SUITE 1600
LOS ANGELES, CA 90067
SUITE 1600
LOS ANGELES, CA 90067
Phone
(310) 712-2323
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| HOLMES, BRIAN, DAVID Control | CEO since Aug 1996 | Less than 5% | Individual |
| KIM, ALEX Control | DEPUTY COMPLIANCE OFFICER since Jan 2026 | Less than 5% | Individual |
| MATRISIAN, MATTHEW, JAMES Control | PRESIDENT since Apr 2025 | Less than 5% | Individual |
| Masterson, Stephen, V Control | CHIEF FINANCIAL OFFICER since Jun 2025 | Less than 5% | Individual |
| ROSEN, ERIC, ZACHARY Control | CHIEF COMPLIANCE OFFICER since Dec 2017 | Less than 5% | Individual |
| ROSEN, ERIC, ZACHARY Control | CHIEF OPERATING OFFICER since Dec 2025 | Less than 5% | Individual |
| SEIA HOLDINGS, LLC Control | SHAREHOLDER since Sep 2022 | 75% or more | Domestic Entity |
| REVERENCE CAPITAL PARTINERS Control Indirect owner via SEIA HOLDINGS, LLC | SHAREHOLDER since Aug 2022 | 50–75% | Domestic Entity |
| SEIA MANAGEMENT HOLDINGS, LLC Control Indirect owner via SEIA HOLDINGS, LLC | SHAREHOLDER since Jan 2024 | 25–50% | Domestic Entity |
Ownership & leadership changes · 12 filings with changes since Mar 27, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 31, 2026 filing
- No longer listedCHEN, HOWARD, H. · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Jun 2025
- AddedKIM, ALEX · DEPUTY COMPLIANCE OFFICER · Less than 5% · control person
- ChangedROSEN, ERIC, ZACHARY · title CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER
Jun 23, 2025 filing
- No longer listedHASSANEIN, AHMED · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Mar 2023
- No longer listedMARYANOPOLIS, CHRISTOPHER · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Jan 2021
- AddedCHEN, HOWARD, H. · CHIEF OPERATING OFFICER · Less than 5% · control person
- AddedMATRISIAN, MATTHEW, JAMES · PRESIDENT · Less than 5% · control person
- AddedMasterson, Stephen, V · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- ChangedHOLMES, BRIAN, DAVID · title PRESIDENT/CEO/SECRETARY → CEO
Mar 27, 2025 filing
- No longer listedBERLINSKI, MILTON, RALPH · MANAGING MEMBER · General partner, trustee or manager · indirect via REVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III) GP, LLC · control person · listed since Jun 2021
- No longer listedLISKA, GARY, KENDALL · SENIOR PARTNER/CFO · 10–25% · control person · listed since Feb 1997
- No longer listedREVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III) GP, L.P. · GENERAL PARTNER · General partner, trustee or manager · indirect via REVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III), L.P. · control person · listed since Jun 2021
- No longer listedREVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III) GP, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via REVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III) GP, L.P. · control person · listed since Jun 2021
- No longer listedREVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III), L.P. · LIMITED PARTNER · 25–50% · indirect via SEIA HOLDINGS, LLC · control person · listed since Oct 2022
- No longer listedSEIA HOLDINGS, LLC · SHAREHOLDER · 50–75% · indirect via SIGNATURE FINANCIAL SERVICES GROUP · control person · listed since Sep 2022
- No longer listedSIGNATURE FINANCIAL SERVICES GROUP · SHAREHOLDER · 75% or more · control person · listed since Oct 2022
- AddedREVERENCE CAPITAL PARTINERS · SHAREHOLDER · 50–75% · indirect via SEIA HOLDINGS, LLC · control person
- AddedSEIA HOLDINGS, LLC · SHAREHOLDER · 75% or more · control person
- AddedSEIA MANAGEMENT HOLDINGS, LLC · SHAREHOLDER · 25–50% · indirect via SEIA HOLDINGS, LLC · control person
- ChangedHOLMES, BRIAN, DAVID · ownership 50–75% → Less than 5%
Jun 12, 2024 filing
- No longer listedFUSARO, JOSEPH, LAWRENCE · DIRECTOR OF HUMAN RESOURCES & OFFICE OPERATIONS · Less than 5% · control person · listed since Oct 2004
- No longer listedMCCOY, DERON, TALMADGE · CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since Jan 2014
- AddedHASSANEIN, AHMED · CHIEF FINANCIAL OFFICER · Less than 5% · control person
Jul 14, 2023 filing
- ChangedFUSARO, JOSEPH, LAWRENCE · title DIRECTOR OF OPERATIONS → DIRECTOR OF HUMAN RESOURCES & OFFICE OPERATIONS
Nov 8, 2022 filing
- No longer listedCOPELAND, MARK, EDWARD · SENIOR PARTNER · 10–25% · control person · listed since Sep 1997
- No longer listedTAGHIBAGI, PAYAM · SENIOR PARTNER · 10–25% · control person · listed since Feb 1997
- AddedBERLINSKI, MILTON, RALPH · MANAGING MEMBER · General partner, trustee or manager · indirect via REVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III) GP, LLC · control person
- AddedREVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III) GP, L.P. · GENERAL PARTNER · General partner, trustee or manager · indirect via REVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III), L.P. · control person
- AddedREVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III) GP, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via REVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III) GP, L.P. · control person
- AddedREVERENCE CAPITAL PARTNERS OPPORTUNITIES FUND V (PE FUND III), L.P. · LIMITED PARTNER · 25–50% · indirect via SEIA HOLDINGS, LLC · control person
- AddedSEIA HOLDINGS, LLC · SHAREHOLDER · 50–75% · indirect via SIGNATURE FINANCIAL SERVICES GROUP · control person
- AddedSIGNATURE FINANCIAL SERVICES GROUP · SHAREHOLDER · 75% or more · control person
Mar 29, 2021 filing
- AddedMARYANOPOLIS, CHRISTOPHER · CHIEF OPERATING OFFICER · Less than 5% · control person
Mar 30, 2020 filing
- No longer listedDILEVA, VINCENT, ANTHONY · SENIOR PARTNER · Less than 5% · control person · listed since Jan 2008
- No longer listedKIM, JENNIFER · SENIOR PARTNER · Less than 5% · control person · listed since Jan 2015
- No longer listedSAADE, THEODORE, ELIAS · SENIOR PARTNER · Less than 5% · control person · listed since Jan 2008
Mar 28, 2019 filing
- No longer listedEVANS, MICHAEL, JOSEPH · PARTNER · Less than 5% · control person · listed since Jan 2012
- No longer listedKEENAN, JOHN, PATRICK · PARTNER · Less than 5% · control person · listed since Jan 2011
- No longer listedMILLER, FREDERICK, CHARLES · SENIOR PARTNER · Less than 5% · control person · listed since Jan 2011
- No longer listedPRITZ, ERIC, CLAYTON · SENIOR PARTNER · Less than 5% · control person · listed since Jan 2013
Mar 25, 2019 filing
- AddedEVANS, MICHAEL, JOSEPH · PARTNER · Less than 5% · control person
- AddedFUSARO, JOSEPH, LAWRENCE · DIRECTOR OF OPERATIONS · Less than 5% · control person
- AddedKEENAN, JOHN, PATRICK · PARTNER · Less than 5% · control person
- AddedMILLER, FREDERICK, CHARLES · SENIOR PARTNER · Less than 5% · control person
- AddedPRITZ, ERIC, CLAYTON · SENIOR PARTNER · Less than 5% · control person
- ChangedMCCOY, DERON, TALMADGE · now a control person
Older changes (3 more filings)
Jan 16, 2018 filing
- No longer listedPOSNER, RACHEL, LEE · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Jan 2011
- AddedROSEN, ERIC, ZACHARY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Mar 23, 2015 filing
- AddedKIM, JENNIFER · SENIOR PARTNER · Less than 5% · control person
- AddedMCCOY, DERON, TALMADGE · CHIEF INVESTMENT OFFICER · Less than 5%
Mar 27, 2012 filing (earliest on record)
- ListedCOPELAND, MARK, EDWARD · SENIOR PARTNER · 10–25% · control person
- ListedDILEVA, VINCENT, ANTHONY · SENIOR PARTNER · Less than 5% · control person
- ListedHOLMES, BRIAN, DAVID · PRESIDENT/CEO/SECRETARY · 50–75% · control person
- ListedLISKA, GARY, KENDALL · SENIOR PARTNER/CFO · 10–25% · control person
- ListedPOSNER, RACHEL, LEE · CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedSAADE, THEODORE, ELIAS · SENIOR PARTNER · Less than 5% · control person
- ListedTAGHIBAGI, PAYAM · SENIOR PARTNER · 10–25% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- CAPITAL GRP FIXED INCM ETF T$96.7M +38229.8%
- NVIDIA CORPORATION$73.9M +437.6%
- ISHARES TR$55.1M +33.0%
- GMO ETF TRUST$46.0M +46.2%
- VANGUARD INDEX FDS$41.6M +8.7%
Top Trims
- WORLD GOLD TR-$200.2M -99.6%
- SSGA ACTIVE ETF TR-$82.4M -34.9%
- VISTRA CORP-$52.2M -99.6%
- OLD DOMINION FREIGHT LINE IN-$46.8M -79.3%
- MASTERCARD INCORPORATED-$40.4M -92.9%
New Positions
- BOOKING HOLDINGS INC$6.6M
- DFA INVT DIMENSIONS GROUP IN$5.5M
- THE TRADE DESK INC$4.1M
- EXXONMOBIL HOLDINGS CORP$3.6M
- DFA INVT DIMENSIONS GROUP IN$1.4M
Exited Positions
- APTIV PLC$6.4M
- DIMENSIONAL ETF TRUST$5.0M
- T-MOBILE US INC$3.9M
- EXXON MOBIL CORP$3.1M
- SIREN ETF TR$3.0M
SIGNATURE ESTATE & INVESTMENT ADVISORS LLC Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | VANGUARD INDEX FDS | VUG | 922908736 | $393.1M | 6.93% | 4,362,424 | SH |
| 2 | GOLDMAN SACHS ETF TR | GSLC | 381430503 | $290.8M | 5.13% | 2,004,638 | SH |
| 3 | ISHARES TR | IGM | 464287549 | $272.5M | 4.81% | 1,612,143 | SH |
| 4 | SCHWAB STRATEGIC TR | FNDX | 808524771 | $203.6M | 3.59% | 6,468,716 | SH |
| 5 | ISHARES TR | EFV | 464288877 | $175.7M | 3.10% | 2,219,551 | SH |
| 6 | LISTED FDS TR | MAGS | 53656G498 | $167.4M | 2.95% | 2,335,046 | SH |
| 7 | AMERICAN CENTY ETF TR | AVES | 025072372 | $135.9M | 2.40% | 2,086,247 | SH |
| 8 | VANGUARD INDEX FDS | VUG | 922908736 | $126.9M | 2.24% | 1,408,012 | SH |
| 9 | SSGA ACTIVE ETF TR | TOTL | 78467V848 | $122.6M | 2.16% | 3,275,615 | SH |
| 10 | GMO ETF TRUST | GMOI | 90139K407 | $113.4M | 2.00% | 2,859,609 | SH |
| 11 | GOLDMAN SACHS ETF TR | GSLC | 381430503 | $89.7M | 1.58% | 618,274 | SH |
| 12 | MICROSOFT CORP | MSFT | 594918104 | $87.3M | 1.54% | 170,209 | SH |
| 13 | ALPHABET INC | GOOGL | 02079K305 | $84.7M | 1.49% | 246,060 | SH |
| 14 | APPLE INC | AAPL | 037833100 | $83.4M | 1.47% | 250,424 | SH |
| 15 | ISHARES TR | IGM | 464287549 | $81.8M | 1.44% | 484,095 | SH |
| 16 | AMAZON COM INC | AMZN | 023135106 | $80.5M | 1.42% | 323,055 | SH |
| 17 | BROADCOM INC | AVGO | 11135F101 | $79.9M | 1.41% | 227,632 | SH |
| 18 | SELECT SECTOR SPDR TR | XLF | 81369Y605 | $79.8M | 1.41% | 1,494,894 | SH |
| 19 | CAPITAL GRP FIXED INCM ETF T | CGMS | 14020Y300 | $79.7M | 1.41% | 3,038,848 | SH |
| 20 | META PLATFORMS INC | META | 30303M102 | $74.4M | 1.31% | 102,661 | SH |
| 21 | CAPITAL GROUP GROWTH ETF | CGGR | 14020G101 | $72.9M | 1.29% | 1,537,217 | SH |
| 22 | SELECT SECTOR SPDR TR | XLC | 81369Y852 | $69.4M | 1.22% | 625,266 | SH |
| 23 | AMPHENOL CORP | APH | 032095101 | $66.2M | 1.17% | 785,188 | SH |
| 24 | ARISTA NETWORKS INC | ANET | 040413205 | $66.2M | 1.17% | 325,108 | SH |
| 25 | NVIDIA CORPORATION | NVDA | 67066G104 | $60.6M | 1.07% | 265,501 | SH |
| 26 | CITIGROUP INC | C | 172967424 | $53.9M | 0.95% | 416,362 | SH |
| 27 | ELI LILLY & CO | LLY | 532457108 | $52.0M | 0.92% | 44,979 | SH |
| 28 | APPLE INC | AAPL | 037833100 | $49.3M | 0.87% | 147,915 | SH |
| 29 | SCHWAB STRATEGIC TR | FNDX | 808524771 | $48.3M | 0.85% | 1,533,395 | SH |
| 30 | VERTIV HOLDINGS CO | VRT | 92537N108 | $46.9M | 0.83% | 194,280 | SH |
| 31 | ISHARES TR | EFV | 464288877 | $46.5M | 0.82% | 588,139 | SH |
| 32 | ROBINHOOD MKTS INC | HOOD | 770700102 | $44.2M | 0.78% | 392,814 | SH |
| 33 | LISTED FDS TR | MAGS | 53656G498 | $42.7M | 0.75% | 595,708 | SH |
| 34 | MICROSOFT CORP | MSFT | 594918104 | $39.1M | 0.69% | 76,298 | SH |
| 35 | AMERICAN CENTY ETF TR | AVES | 025072372 | $37.9M | 0.67% | 582,343 | SH |
| 36 | VANGUARD INDEX FDS | VTV | 922908744 | $37.6M | 0.66% | 174,119 | SH |
| 37 | SIMPLIFY EXCHANGE TRADED FUN | CDX | 82889N830 | $32.7M | 0.58% | 1,620,766 | SH |
| 38 | WALMART INC | WMT | 931142103 | $32.5M | 0.57% | 312,847 | SH |
| 39 | BONDBLOXX ETF TRUST | XCCC | 09789C887 | $32.3M | 0.57% | 947,779 | SH |
| 40 | GMO ETF TRUST | GMOI | 90139K407 | $32.2M | 0.57% | 812,112 | SH |
| 41 | ABBVIE INC | ABBV | 00287Y109 | $32.2M | 0.57% | 122,962 | SH |
| 42 | AMAZON COM INC | AMZN | 023135106 | $31.3M | 0.55% | 125,596 | SH |
| 43 | SSGA ACTIVE ETF TR | TOTL | 78467V848 | $30.9M | 0.55% | 826,740 | SH |
| 44 | NVIDIA CORPORATION | NVDA | 67066G104 | $30.2M | 0.53% | 132,229 | SH |
| 45 | SPDR INDEX SHS FDS | SPEM | 78463X509 | $29.8M | 0.53% | 576,169 | SH |
| 46 | CAPITAL GROUP GROWTH ETF | CGGR | 14020G101 | $29.0M | 0.51% | 610,796 | SH |
| 47 | J P MORGAN EXCHANGE TRADED F | JEPQ | 46654Q203 | $26.4M | 0.47% | 431,485 | SH |
| 48 | ALPHABET INC | GOOGL | 02079K305 | $25.7M | 0.45% | 74,650 | SH |
| 49 | SPDR INDEX SHS FDS | XCNY | 78463X848 | $25.4M | 0.45% | 628,400 | SH |
| 50 | ISHARES TR | IDEV | 46435G326 | $25.1M | 0.44% | 279,981 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-13 | $5.67B | 1,076 | 0001079935-26-000006 |
| 2026-06-30 | 2026-07-14 | $5.56B | 1,062 | 0001079935-26-000004 |
| 2026-03-31 | 2026-04-15 | $4.94B | 1,014 | 0001079935-26-000003 |
| 2025-12-31 | 2026-02-06 | $4.97B | 948 | 0001079935-26-000001 |
Filer Information
Address
2121 AVENUE OF THE STARSSUITE 1600
LOS ANGELES, CA 90067
Phone
(800) 723-5115
Filing Manager
SIGNATURE ESTATE & INVESTMENT ADVISORS LLC
LOS ANGELES, CA
Signatory
AUBREY FERNANDO
COMPLIANCE ANALYST