Close

Form 13F-HR 3D/L Capital Management, For: Mar 31

FREE Breaking News Alerts from StreetInsider.com!

E-mail Address

StreetInsider.com Top Tickers, 4/25/2024

1. META
2. CMG
3. IBM
4. LRCX
5. HCP
6. BSX
7. BIIB
8. SPY
9. PI
10. NOW


May 13, 2021 12:06 PM EDT

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 03-31-2021
Check here if Amendment   Amendment Number:
This Amendment (Check only one.):   is a restatement.
  adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: 3D/L Capital Management, LLC
Address: 100 CONSTITUTION PLAZA
7TH FLOOR
Hartford , CT06103
Form 13F File Number: 028-21050

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Andrew T. Lucich
Title: Chief Compliance Officer
Phone: 860-291-1998
Signature, Place, and Date of Signing:
/s/Andrew T. Lucich Hartford , CT 05-12-2021
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
  13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
  13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 114
Form 13F Information Table Value Total: 394,660
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name

List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
ALPS ETF TR CLEAN ENERGY 00162Q460 316 4,050 SH SOLE 2,202 0 1,848
AMERICAN CENTY ETF TR DIVERSIFIED MU 025072505 2,007 36,759 SH SOLE 35,583 0 1,176
APPLE INC COM 037833100 375 3,068 SH SOLE 2,712 0 356
BARCLAYS BANK PLC DJUBS CMDT ETN36 06738C778 211 8,927 SH SOLE 8,927 0 0
BERKSHIRE HATHAWAY INC DEL CL A 084670108 386 1 SH SOLE 1 0 0
CANOPY GROWTH CORP COM 138035100 865 27,011 SH SOLE 22,014 0 4,997
CONSTELLATION BRANDS INC CL A 21036P108 253 1,110 SH SOLE 907 0 203
DBX ETF TR XTKR MSCI EMRG 233051226 233 6,833 SH SOLE 4,990 0 1,843
DBX ETF TR XTRACK MUN INFRA 233051705 5,336 184,779 SH SOLE 178,119 0 6,660
ETFS TR BBRG ALL COMD K1 003261104 6,952 298,608 SH SOLE 293,494 0 5,114
FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 2,387 42,296 SH SOLE 39,339 0 2,957
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 11,921 233,466 SH SOLE 215,897 0 17,569
FIRST TR EXCHNG TRADED FD VI CBOE VEST US EQT 33740F631 309 10,030 SH SOLE 9,021 0 1,009
FIRST TR EXCHNG TRADED FD VI FT CBOE VEST BFR 33740F623 726 23,138 SH SOLE 20,798 0 2,340
FLEXSHARES TR CRE SLCT BD FD 33939L670 1,335 51,433 SH SOLE 51,433 0 0
FLEXSHARES TR GLB QLT R/E IDX 33939L787 304 5,007 SH SOLE 5,000 0 7
FLEXSHARES TR HIG YLD VL ETF 33939L662 1,709 34,512 SH SOLE 31,761 0 2,751
FLEXSHARES TR INTL QLTDV IDX 33939L837 24,692 961,142 SH SOLE 948,813 0 12,329
FLEXSHARES TR M STAR DEV MKT 33939L803 873 12,471 SH SOLE 11,069 0 1,402
FLEXSHARES TR MORNSTAR UPSTR 33939L407 215 5,948 SH SOLE 5,294 0 654
FLEXSHARES TR MORNSTAR USMKT 33939L100 462 2,898 SH SOLE 2,326 0 572
FLEXSHARES TR MSTAR EMKT FAC 33939L308 398 6,460 SH SOLE 5,808 0 652
FLEXSHARES TR QLT DIV DEF IDX 33939L845 30,398 594,413 SH SOLE 585,486 0 8,927
FLEXSHARES TR US QUALITY CAP 33939L746 1,013 23,280 SH SOLE 21,204 0 2,076
GLOBAL X FDS CLOUD COMPUTNG 37954Y442 292 11,331 SH SOLE 6,184 0 5,147
GLOBAL X FDS CONSCIOUS COS 37954Y731 720 24,690 SH SOLE 17,738 0 6,952
GLOBAL X FDS CYBRSCURTY ETF 37954Y384 294 11,755 SH SOLE 6,442 0 5,313
GLOBAL X FDS E COMMERCE ETF 37954Y467 287 8,396 SH SOLE 4,557 0 3,839
GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 697 21,041 SH SOLE 14,603 0 6,438
GLOBAL X FDS VDEO GAM ESPRT 37954Y392 290 9,216 SH SOLE 5,008 0 4,208
GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 22,851 691,601 SH SOLE 683,237 0 8,364
INVESCO EXCH TRADED FD TR II TAXABLE MUN BD 46138G805 3,071 95,876 SH SOLE 89,602 0 6,274
INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 383 18,114 SH SOLE 16,750 0 1,364
INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 630 29,103 SH SOLE 27,772 0 1,331
INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 661 30,360 SH SOLE 29,038 0 1,322
INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 276 12,459 SH SOLE 11,165 0 1,294
INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 2,238 101,034 SH SOLE 71,730 0 29,304
INVESCO EXCHANGE TRADED FD T INVESCO MSCI 46137V407 320 4,240 SH SOLE 3,119 0 1,121
INVESCO EXCHANGE TRADED FD T WATER RES ETF 46137V142 300 6,067 SH SOLE 3,303 0 2,764
INVESCO QQQ TR UNIT SER 1 46090E103 685 2,146 SH SOLE 1,757 0 389
ISHARES INC ESG AWR MSCI EM 46434G863 278 6,413 SH SOLE 4,996 0 1,417
ISHARES INC MSCI GBL MIN VOL 464286525 331 3,357 SH SOLE 3,016 0 341
ISHARES TR CORE MSCI EAFE 46432F842 376 5,220 SH SOLE 1,793 0 3,427
ISHARES TR CORE S&P SCP ETF 464287804 268 2,466 SH SOLE 1,566 0 900
ISHARES TR CORE S&P500 ETF 464287200 1,376 3,458 SH SOLE 3,021 0 437
ISHARES TR CORE TOTAL USD 46434V613 370 7,006 SH SOLE 5,279 0 1,727
ISHARES TR EAFE GRWTH ETF 464288885 281 2,794 SH SOLE 2,183 0 611
ISHARES TR EAFE VALUE ETF 464288877 454 8,914 SH SOLE 7,194 0 1,720
ISHARES TR ESG AWR MSCI USA 46435G425 689 7,577 SH SOLE 5,971 0 1,606
ISHARES TR ESG EAFE ETF 46436E759 315 4,859 SH SOLE 3,516 0 1,343
ISHARES TR IBOXX INV CP ETF 464287242 398 3,060 SH SOLE 2,011 0 1,049
ISHARES TR ISHS 1-5YR INVS 464288646 226 4,131 SH SOLE 2,783 0 1,348
ISHARES TR MSCI INTL MOMENT 46434V449 454 12,071 SH SOLE 9,633 0 2,438
ISHARES TR MSCI INTL VLU FT 46435G409 13,968 552,315 SH SOLE 545,162 0 7,153
ISHARES TR MSCI USA MIN VOL 46429B697 313 4,529 SH SOLE 4,381 0 148
ISHARES TR MSCI USA MMENTM 46432F396 320 1,990 SH SOLE 1,867 0 123
ISHARES TR NASDAQ BIOTECH 464287556 286 1,898 SH SOLE 1,037 0 861
ISHARES TR NATIONAL MUN ETF 464288414 912 7,858 SH SOLE 7,857 0 1
ISHARES TR RUS 1000 ETF 464287622 268 1,199 SH SOLE 401 0 798
ISHARES TR RUS 1000 VAL ETF 464287598 418 2,756 SH SOLE 2,756 0 0
ISHARES TR RUS 2000 GRW ETF 464287648 275 916 SH SOLE 916 0 0
ISHARES TR RUS 2000 VAL ETF 464287630 248 1,555 SH SOLE 1,555 0 0
ISHARES TR S&P 500 GRWT ETF 464287309 356 5,465 SH SOLE 1,820 0 3,645
ISHARES TR S&P 500 VAL ETF 464287408 344 2,437 SH SOLE 830 0 1,607
ISHARES TR S&P SML 600 GWT 464287887 458 3,572 SH SOLE 2,862 0 710
ISHARES TR US TREAS BD ETF 46429B267 340 12,973 SH SOLE 9,235 0 3,738
J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 6,350 124,420 SH SOLE 117,911 0 6,509
J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 32,318 856,841 SH SOLE 844,025 0 12,816
JACOBS ENGR GROUP INC COM 469814107 580 4,485 SH SOLE 4,485 0 0
JOHN HANCOCK EXCHANGE TRADED MULTIFACTOR MI 47804J206 3,825 77,855 SH SOLE 76,897 0 958
KRANESHARES TR CSI CHI INTERNET 500767306 260 3,402 SH SOLE 1,857 0 1,545
KRANESHARES TR KFA VAL LIN DYNM 500767645 22,462 976,288 SH SOLE 941,317 0 34,971
KRANESHARES TR MSCI ALL CHINA 500767801 10,580 303,604 SH SOLE 297,366 0 6,238
KRANESHARES TR MSCI EMG EX CH 500767769 13,057 420,444 SH SOLE 413,929 0 6,515
NUSHARES ETF TR NUVEEN ESG LRGCP 67092P201 799 13,788 SH SOLE 10,030 0 3,758
NUSHARES ETF TR NUVEEN ESG SMLCP 67092P607 498 11,581 SH SOLE 8,467 0 3,114
PFIZER INC COM 717081103 371 10,251 SH SOLE 10,251 0 0
PIMCO ETF TR ACTIVE BD ETF 72201R775 21,208 193,751 SH SOLE 181,309 0 12,442
SCOTTS MIRACLE-GRO CO CL A 810186106 435 1,776 SH SOLE 1,338 0 438
SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 796 10,855 SH SOLE 5,772 0 5,083
SELECT SECTOR SPDR TR ENERGY 81369Y506 453 9,235 SH SOLE 4,885 0 4,350
SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 488 12,361 SH SOLE 6,769 0 5,592
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 805 4,790 SH SOLE 2,540 0 2,250
SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 621 9,093 SH SOLE 4,859 0 4,234
SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 886 7,587 SH SOLE 4,034 0 3,553
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 823 24,175 SH SOLE 12,854 0 11,321
SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 729 7,400 SH SOLE 3,937 0 3,463
SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 478 7,471 SH SOLE 4,022 0 3,449
SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 480 6,090 SH SOLE 3,257 0 2,833
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1,439 10,836 SH SOLE 5,755 0 5,081
SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 615 16,455 SH SOLE 13,213 0 3,242
SPDR S&P 500 ETF TR TR UNIT 78462F103 423 1,068 SH SOLE 0 0 1,068
SPDR SER TR S&P KENSHO FUTRE 78468R671 405 8,413 SH SOLE 6,649 0 1,764
SPDR SER TR S&P KENSHO INTLG 78468R697 431 9,490 SH SOLE 7,587 0 1,903
SPINNAKER ETF SERIES CANNABIS ETF 84858T400 311 15,788 SH SOLE 8,644 0 7,144
VANGUARD BD INDEX FDS INTERMED TERM 921937819 411 4,628 SH SOLE 2,910 0 1,718
VANGUARD BD INDEX FDS LONG TERM BOND 921937793 472 4,808 SH SOLE 2,890 0 1,918
VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 823 10,018 SH SOLE 6,545 0 3,473
VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 900 15,765 SH SOLE 9,961 0 5,804
VANGUARD INDEX FDS GROWTH ETF 922908736 1,420 5,525 SH SOLE 4,078 0 1,447
VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1,171 5,455 SH SOLE 4,383 0 1,072
VANGUARD INDEX FDS SMALL CP ETF 922908751 449 2,097 SH SOLE 1,616 0 481
VANGUARD INDEX FDS VALUE ETF 922908744 37,992 288,999 SH SOLE 282,364 0 6,635
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 563 10,822 SH SOLE 8,250 0 2,572
VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 472 8,843 SH SOLE 5,738 0 3,105
VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 1,510 30,756 SH SOLE 22,981 0 7,775
WISDOMTREE TR EM MKTS QTLY DIV 97717W323 520 17,487 SH SOLE 17,486 0 1
WISDOMTREE TR EMERG CUR STR FD 97717W133 223 12,465 SH SOLE 12,465 0 0
WISDOMTREE TR EMG MKTS SMCAP 97717W281 604 11,767 SH SOLE 11,767 0 0
WISDOMTREE TR INTL QULTY DIV 97717X131 310 8,352 SH SOLE 6,038 0 2,314
WISDOMTREE TR INTL SMCAP DIV 97717W760 22,249 308,036 SH SOLE 304,204 0 3,832
WISDOMTREE TR US MIDCAP FUND 97717W570 27,042 530,972 SH SOLE 523,509 0 7,463
WISDOMTREE TR US SMALLCAP FUND 97717W562 15,788 333,218 SH SOLE 328,375 0 4,843
WISDOMTREE TR YIELD ENHANCD US 97717X511 6,822 133,247 SH SOLE 125,358 0 7,889

Serious News for Serious Traders! Try StreetInsider.com Premium Free!

You May Also Be Interested In





Related Categories

SEC Filings