A portion of the US holdings for this investor are reported in this report and a portion are reported by other reporting manager(s). Top holdings included AGG, IWF, IWD, SPY, and VEU.
Filing 2016 Q3 - Restatement compared to 2016 Q2 by default. Changes are calculated vs the previous SEC filing.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
Person Signing this Report on Behalf of Reporting Manager:
Name
Title
City, State
Date
Anthony McElynn
Chief Compliance Officer
New York, New York
18 Nov 2016
A subsidiary of The Bank of New York Mellon Corporation has shared discretion with ETRADE Capital Management LLC over certain securities listed in this report. This amendment (Amendment # 1) is being filed to address a clerical oversight to update certain CUSIP numbers previously reported. Through normal forensic testing, ETCM discovered issues with the categorization and labeling of data in previous 13F filings. After an impact review of five consecutive quarters in 2015 and 2016, it was determined that the issues caused ETCM to inaccurately report the number of positions in 13F securities by an average of 138 positions, but did not have a material impact on the total value of 13F securities reported, causing discrepancies averaging $29,000. We believe the issues identified may date back as far as 2011, but ETCM has corrected the data issues as of Q2 2016. Considering these figures, we do not anticipate re-filing any of our previous 13F reports as we do not believe it would be of benefit to the Commission or to investors.
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