Chief Compliance Officer

0001398344-19-014429.txt : 20190814 0001398344-19-014429.hdr.sgml : 20190814 20190814163356 ACCESSION NUMBER: 0001398344-19-014429 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190814 DATE AS OF CHANGE: 20190814 EFFECTIVENESS DATE: 20190814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Family Management Corp CENTRAL INDEX KEY: 0001539947 IRS NUMBER: 133462173 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14892 FILM NUMBER: 191027006 BUSINESS ADDRESS: STREET 1: 485 MADISON AVENUE STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 972-9600 MAIL ADDRESS: STREET 1: 485 MADISON AVENUE STREET 2: 19TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001539947 XXXXXXXX 06-30-2019 06-30-2019 false Family Management Corp

485 MADISON AVENUE 19TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-14892 N Philip Frank Chief Compliance Officer 212-872-9637 /s/ Philip Frank New York NY 08-08-2019 0 178 254815 INFORMATION TABLE 2 fp0045111_13fhr-table.xml 13F INFORMATION TABLE ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2024 11947 SH SOLE 11549 0 398 ALPHABET INC CAP STK CL A 02079K305 6513 6015 SH SOLE 5751 0 264 ALPHABET INC CAP STK CL A 02079K305 108 100 SH Call SOLE 100 0 0 ALPHABET INC CAP STK CL C 02079K107 337 312 SH SOLE 312 0 0 ALTRIA GROUP INC COM 02209S103 315 6644 SH SOLE 6644 0 0 AMAZON COM INC COM 023135106 5312 2805 SH SOLE 2741 0 64 AMGEN INC COM 031162100 553 3002 SH SOLE 3002 0 0 APPLE INC COM 037833100 9050 45728 SH SOLE 41482 0 4246 AT&T INC COM 00206R102 323 9645 SH SOLE 7835 0 1810 BERKSHIRE HATHAWAY INC DEL CL A 084670108 637 2 SH SOLE 2 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3179 14914 SH SOLE 13806 0 1108 BLACKROCK 2022 GBL INCM OPP COM 09258P104 464 49153 SH SOLE 49153 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 1829 170661 SH SOLE 170661 0 0 BLACKROCK CR ALLCTN INC TR COM 092508100 738 56927 SH SOLE 56927 0 0 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 2304 213941 SH SOLE 213941 0 0 BLACKROCK MULTI-SECTOR INC T COM 09258A107 797 45654 SH SOLE 44673 0 981 BLACKROCK MUN 2030 TAR TERM COM SHS BEN IN 09257P105 700 30145 SH SOLE 30145 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 624 44394 SH SOLE 44394 0 0 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 752 57153 SH SOLE 45543 0 11610 BLACKROCK MUNIVEST FD INC COM 09253R105 261 28501 SH SOLE 28501 0 0 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 595 41891 SH SOLE 41891 0 0 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 973 73693 SH SOLE 73693 0 0 BLACKROCK N Y MUN INCOME TR SH BEN INT 09248L106 157 11583 SH SOLE 11583 0 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 1990 135672 SH SOLE 135672 0 0 BOEING CO COM 097023105 242 664 SH SOLE 664 0 0 BP PLC SPONSORED ADR 055622104 1343 32210 SH SOLE 31061 0 1149 BRISTOL MYERS SQUIBB CO COM 110122108 750 16546 SH SOLE 16546 0 0 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 1659 76483 SH SOLE 76483 0 0 CENTRIC BRANDS INC COM 15644G104 966 235000 SH SOLE 235000 0 0 CHEMBIO DIAGNOSTICS INC COM NEW 163572209 66 10762 SH SOLE 10762 0 0 CHEVRON CORP NEW COM 166764100 620 4984 SH SOLE 4948 0 36 CISCO SYS INC COM 17275R102 250 4559 SH SOLE 2544 0 2015 CITIGROUP INC COM NEW 172967424 3608 51522 SH SOLE 48900 0 2622 CONSTELLATION BRANDS INC CL A 21036P108 1942 9863 SH SOLE 9585 0 278 CREDIT SUISSE ASSET MGMT INC COM 224916106 577 185633 SH SOLE 185633 0 0 DISNEY WALT CO COM DISNEY 254687106 4254 30463 SH SOLE 29168 0 1295 DOUBLELINE INCOME SOLUTIONS COM 258622109 1129 56525 SH SOLE 56525 0 0 DOUBLELINE OPPORTUNISTIC CR COM 258623107 2028 96926 SH SOLE 96090 0 836 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 346 27782 SH SOLE 27782 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 847 60187 SH SOLE 55424 0 4763 ENTERPRISE PRODS PARTNERS L COM 293792107 1068 37010 SH SOLE 27786 0 9224 ENVESTNET INC COM 29404K106 2725 39860 SH SOLE 38107 0 1753 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 223 5590 SH SOLE 5590 0 0 EXXON MOBIL CORP COM 30231G102 3520 45937 SH SOLE 42471 0 3466 FACEBOOK INC CL A 30303M102 168 872 SH SOLE 872 0 0 FEDEX CORP COM 31428X106 2191 13346 SH SOLE 12776 0 570 FIRST TR INTER DUR PFD & IN COM 33718W103 250 10973 SH SOLE 10973 0 0 GABELLI EQUITY TR INC COM 362397101 88 14206 SH SOLE 14206 0 0 GENERAL MLS INC COM 370334104 212 4036 SH SOLE 36 0 4000 GERON CORP COM 374163103 14 10200 SH SOLE 10200 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 121 3689 SH SOLE 3689 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 127 4432 SH SOLE 4432 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 1176 20015 SH SOLE 19752 0 263 GREAT AJAX CORP COM 38983D300 2573 183816 SH SOLE 183816 0 0 HOME DEPOT INC COM 437076102 5224 25121 SH SOLE 24125 0 996 ILLUMINA INC COM 452327109 2524 6855 SH SOLE 6586 0 269 INSEEGO CORP COM 45782B104 1435 299527 SH SOLE 210725 0 88802 INTEL CORP COM 458140100 592 12370 SH SOLE 7570 0 4800 INTERCONTINENTAL EXCHANGE IN COM 45866F104 2275 26470 SH SOLE 25326 0 1144 INTERNATIONAL BUSINESS MACHS COM 459200101 3628 26309 SH SOLE 24419 0 1890 INVESCO EXCHNG TRADED FD TR VAR RATE PFD 46138G870 383 15343 SH SOLE 15062 0 281 INVESCO QUALITY MUNI INC TRS COM 46133G107 260 20955 SH SOLE 20955 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 776 50966 SH SOLE 50966 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 35 418 SH SOLE 418 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 202 2141 SH SOLE 2141 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 3247 55376 SH SOLE 55073 0 303 ISHARES TR CORE S&P US VLU 464287663 77 1368 SH SOLE 1368 0 0 ISHARES TR CORE S&P MCP ETF 464287507 2795 14386 SH SOLE 14303 0 83 ISHARES TR CORE S&P SCP ETF 464287804 1625 20762 SH SOLE 20182 0 580 ISHARES TR CORE S&P TTL STK 464287150 11757 176457 SH SOLE 174455 0 2002 ISHARES TR FLTG RATE NT ETF 46429B655 3 58 SH SOLE 58 0 0 ISHARES TR GLOBAL TECH ETF 464287291 27 150 SH SOLE 150 0 0 ISHARES TR INTL SEL DIV ETF 464288448 192 6260 SH SOLE 6260 0 0 ISHARES TR JPMORGAN USD EMG 464288281 27 236 SH SOLE 236 0 0 ISHARES TR MSCI INDIA ETF 46429B598 32 918 SH SOLE 918 0 0 ISHARES TR MSCI USA ESG SLC 464288802 192 1575 SH SOLE 1575 0 0 ISHARES TR NASDAQ BIOTECH 464287556 55 502 SH SOLE 502 0 0 ISHARES TR PFD AND INCM SEC 464288687 4017 109021 SH SOLE 108286 0 735 ISHARES TR RUSSELL 2000 ETF 464287655 26 168 SH SOLE 168 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 92 458 SH SOLE 458 0 0 ISHARES TR RUS MID CAP ETF 464287499 11 200 SH SOLE 200 0 0 ISHARES TR S&P SML 600 GWT 464287887 134 735 SH SOLE 735 0 0 ISHARES TR SHORT TREAS BD 464288679 6953 62837 SH SOLE 59028 0 3809 ISHARES TR SH TR CRPORT ETF 464288646 23083 431934 SH SOLE 417676 0 14258 ISHARES TR TIPS BD ETF 464287176 1 11 SH SOLE 11 0 0 ISHARES TR CORE MSCI EAFE 46432F842 344 5609 SH SOLE 5609 0 0 ISHARES TR INTRM TR CRP ETF 464288638 222 3906 SH SOLE 3906 0 0 ISHARES TR U.S. TECH ETF 464287721 126 635 SH SOLE 635 0 0 ISHARES TR US HLTHCARE ETF 464287762 280 1433 SH SOLE 1433 0 0 ISHARES TR US AER DEF ETF 464288760 10 48 SH SOLE 48 0 0 ISHARES TR US INDUSTRIALS 464287754 59 375 SH SOLE 375 0 0 JOHNSON & JOHNSON COM 478160104 4364 31336 SH SOLE 27252 0 4084 JPMORGAN CHASE & CO COM 46625H100 566 5063 SH SOLE 5063 0 0 KKR & CO INC CL A 48251W104 265 10503 SH SOLE 7572 0 2931 LEXINGTON REALTY TRUST COM 529043101 173 18337 SH SOLE 12512 0 5825 MCDONALDS CORP COM 580135101 479 2309 SH SOLE 2309 0 0 MEDTRONIC PLC SHS G5960L103 206 2111 SH SOLE 2040 0 71 MERCK & CO INC COM 58933Y105 694 8281 SH SOLE 8281 0 0 MICROSOFT CORP COM 594918104 8871 66219 SH SOLE 56317 0 10886 MILESTONE SCIENTIFIC INC COM NEW 59935P209 30 84029 SH SOLE 84029 0 0 MORGAN STANLEY EM MKTS DM DE COM 617477104 422 61015 SH SOLE 61015 0 0 NANOVIRICIDES INC COM NEW 630087203 3 14143 SH SOLE 14143 0 0 NEW YORK MTG TR INC PFD-C CONV 649604808 1189 48547 SH SOLE 48547 0 0 NIKE INC CL B 654106103 186 2210 SH SOLE 2210 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 405 25492 SH SOLE 25492 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 610 44205 SH SOLE 37705 0 6500 NUVEEN ARIZONA QLTY MUN INC COM 67061W104 560 42872 SH SOLE 35059 0 7813 NUVEEN MUN HIGH INCOME OPP F COM 670682103 642 45988 SH SOLE 34926 0 11062 NUVEEN MUN VALUE FD INC COM 670928100 361 35427 SH SOLE 30267 0 5160 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 1620 123795 SH SOLE 83403 0 40392 NUVEEN NORTH CAROLINA QLTY M COM 67060P100 354 26565 SH SOLE 26565 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 1113 79504 SH SOLE 68458 0 11046 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 299 19553 SH SOLE 19553 0 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 207 14404 SH SOLE 14404 0 0 ONEOK INC NEW COM 682680103 249 3623 SH SOLE 644 0 2979 ORBCOMM INC COM 68555P100 84 11651 SH SOLE 11651 0 0 PACWEST BANCORP DEL COM 695263103 3165 81501 SH SOLE 81501 0 0 PARK CITY GROUP INC COM NEW 700215304 101 18850 SH SOLE 18850 0 0 PAYPAL HLDGS INC COM 70450Y103 244 2128 SH SOLE 2128 0 0 PFIZER INC COM 717081103 1048 24202 SH SOLE 15162 0 9040 PGIM GLOBAL HIGH YIELD FD IN COM 69346J106 536 37080 SH SOLE 37080 0 0 PHILIP MORRIS INTL INC COM 718172109 265 3376 SH SOLE 3376 0 0 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 1363 57033 SH SOLE 57033 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 11436 106399 SH SOLE 102925 0 3474 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 53 525 SH SOLE 525 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 6430 63198 SH SOLE 63198 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 184 3360 SH SOLE 0 0 3360 PORTOLA PHARMACEUTICALS INC COM 737010108 529 19500 SH SOLE 2500 0 17000 REGENERON PHARMACEUTICALS COM 75886F107 2735 8737 SH SOLE 8427 0 310 REGENERON PHARMACEUTICALS COM 75886F107 563 1800 SH Call SOLE 1800 0 0 RESEARCH FRONTIERS INC COM 760911107 143 43000 SH SOLE 43000 0 0 RIVERNORTH OPPORTUNISTIC MUN COM 76883F108 1793 84038 SH SOLE 62699 0 21339 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 2 26 SH SOLE 26 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 276 4203 SH SOLE 69 0 4134 ROYCE MICRO-CAP TR INC COM 780915104 88 10674 SH SOLE 10674 0 0 SERVICENOW INC COM 81762P102 2882 10496 SH SOLE 10059 0 437 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 89 935 SH SOLE 935 0 0 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 6 175 SH SOLE 175 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 221 6179 SH SOLE 6179 0 0 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 2 43 SH SOLE 43 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2655 9061 SH SOLE 7369 0 1692 SPDR SERIES TRUST BLOMBRG BRC EMRG 78464A391 15 527 SH SOLE 527 0 0 SPDR SERIES TRUST ICE BOFAML BHYB 78468R606 50 1895 SH SOLE 1895 0 0 SPDR SERIES TRUST NUVEEN BLMBRG SR 78468R739 280 5731 SH SOLE 1356 0 4375 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 57 1825 SH SOLE 1825 0 0 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 149 3837 SH SOLE 3837 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 101 1150 SH SOLE 1150 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 921 17235 SH SOLE 17043 0 192 SQUARE INC CL A 852234103 2462 33950 SH SOLE 32732 0 1218 STEEL PARTNERS HLDGS L P LTD PRTRSHIP U 85814R107 614 43836 SH SOLE 0 0 43836 STRYKER CORP COM 863667101 716 3482 SH SOLE 3482 0 0 TARGET CORP COM 87612E106 696 8040 SH SOLE 8040 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 369 36136 SH SOLE 36136 0 0 TYME TECHNOLOGIES INC COM 90238J103 171 140000 SH SOLE 140000 0 0 UNION PACIFIC CORP COM 907818108 223 1319 SH SOLE 1319 0 0 UNITED TECHNOLOGIES CORP COM 913017109 3492 26820 SH SOLE 25625 0 1195 UNITEDHEALTH GROUP INC COM 91324P102 3100 12703 SH SOLE 12063 0 640 US BANCORP DEL COM NEW 902973304 4015 76631 SH SOLE 73969 0 2662 VANGUARD GROUP DIV APP ETF 921908844 5942 51599 SH SOLE 49799 0 1800 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 10 39 SH SOLE 39 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 47 285 SH SOLE 285 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 129 770 SH SOLE 770 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 114 729 SH SOLE 729 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 302 2012 SH SOLE 2012 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 44 861 SH SOLE 861 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 200 4705 SH SOLE 4705 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 798 10613 SH SOLE 9763 0 850 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 134 1494 SH SOLE 1494 0 0 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 29 435 SH SOLE 370 0 65 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 43 439 SH SOLE 439 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 3014 57042 SH SOLE 55895 0 1147 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2842 35230 SH SOLE 34740 0 490 VERIZON COMMUNICATIONS INC COM 92343V104 3563 62373 SH SOLE 57811 0 4562 VISA INC COM CL A 92826C839 5190 29904 SH SOLE 29334 0 570 WALMART INC COM 931142103 3233 29259 SH SOLE 28121 0 1138 WESTERN ASSET EMRG MKT DEBT COM 95766A101 491 34279 SH SOLE 34279 0 0 WEYERHAEUSER CO COM 962166104 1912 72585 SH SOLE 66537 0 6048 XYLEM INC COM 98419M100 239 2860 SH SOLE 2860 0 0