0001398344-19-019609.txt : 20191112
0001398344-19-019609.hdr.sgml : 20191112
20191112105145
ACCESSION NUMBER: 0001398344-19-019609
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191112
DATE AS OF CHANGE: 20191112
EFFECTIVENESS DATE: 20191112
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: 191207071
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
09-30-2019
09-30-2019
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
11-11-2019
0
166
239026
INFORMATION TABLE
2
fp0046667_13fhr-table.xml
13F INFORMATION TABLE
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
1970
11778
SH
SOLE
11268
0
510
ALPHABET INC
CAP STK CL C
02079K107
380
312
SH
SOLE
312
0
0
ALPHABET INC
CAP STK CL A
02079K305
7285
5966
SH
SOLE
5680
0
286
ALTRIA GROUP INC
COM
02209S103
284
6946
SH
SOLE
6946
0
0
AMAZON COM INC
COM
023135106
4828
2781
SH
SOLE
2712
0
69
AMGEN INC
COM
031162100
726
3752
SH
SOLE
3752
0
0
APPLE INC
COM
037833100
10077
44993
SH
SOLE
40730
0
4263
AT&T INC
COM
00206R102
278
7341
SH
SOLE
5346
0
1995
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
624
2
SH
SOLE
2
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
5815
27955
SH
SOLE
26800
0
1155
BLACKROCK DEBT STRAT FD INC
COM NEW
09255R202
113
10518
SH
SOLE
10518
0
0
BLACKROCK MUN 2030 TAR TERM
COM SHS BEN IN
09257P105
367
15509
SH
SOLE
15509
0
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
578
40794
SH
SOLE
40794
0
0
BLACKROCK MUNIHLDGS NY QLTY
COM
09255C106
778
57153
SH
SOLE
45543
0
11610
BLACKROCK MUNIVEST FD INC
COM
09253R105
271
29501
SH
SOLE
29501
0
0
BLACKROCK MUNIYIELD CALI QLT
COM
09254N103
317
22003
SH
SOLE
22003
0
0
BLACKROCK MUNIYIELD QLTY FD
COM
09254E103
329
24220
SH
SOLE
24220
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
986
20196
SH
SOLE
20196
0
0
BP PLC
SPONSORED ADR
055622104
1208
31786
SH
SOLE
30637
0
1149
BRISTOL MYERS SQUIBB CO
COM
110122108
869
17146
SH
SOLE
17146
0
0
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
302
13369
SH
SOLE
13369
0
0
CBL & ASSOC PPTYS INC
COM
124830100
13
10000
SH
SOLE
10000
0
0
CENTRIC BRANDS INC
COM
15644G104
590
235000
SH
SOLE
235000
0
0
CHEVRON CORP NEW
COM
166764100
615
5188
SH
SOLE
5102
0
86
CITIGROUP INC
COM NEW
172967424
3509
50794
SH
SOLE
48172
0
2622
COCA COLA CO
COM
191216100
217
3989
SH
SOLE
3989
0
0
COMCAST CORP NEW
CL A
20030N101
228
5062
SH
SOLE
4245
0
817
CONSTELLATION BRANDS INC
CL A
21036P108
2019
9740
SH
SOLE
9462
0
278
CREDIT SUISSE ASSET MGMT INC
COM
224916106
77
24510
SH
SOLE
24510
0
0
DISNEY WALT CO
COM DISNEY
254687106
3927
30135
SH
SOLE
28814
0
1321
DOMINION ENERGY INC
COM
25746U109
81
1000
SH
SOLE
1000
0
0
DOMINION ENERGY INC
UNIT 99/99/9999
25746U133
157
1489
SH
SOLE
1489
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
724
34956
SH
SOLE
34120
0
836
DUKE ENERGY CORP NEW
COM NEW
26441C204
274
2861
SH
SOLE
2624
0
237
EATON VANCE MUNI INCOME TRUS
SH BEN INT
27826U108
358
27782
SH
SOLE
27782
0
0
ENERGY TRANSFER LP
COM UT LTD PTN
29273V100
881
67364
SH
SOLE
62601
0
4763
ENTERPRISE PRODS PARTNERS L
COM
293792107
1182
41361
SH
SOLE
32137
0
9224
ENVESTNET INC
COM
29404K106
2250
39674
SH
SOLE
37921
0
1753
EXCHANGE TRADED CONCEPTS TR
ROBO GLB ETF
301505707
214
5590
SH
SOLE
5590
0
0
EXXON MOBIL CORP
COM
30231G102
3250
46034
SH
SOLE
42493
0
3541
FEDEX CORP
COM
31428X106
1928
13242
SH
SOLE
12672
0
570
GABELLI EQUITY TR INC
COM
362397101
85
14206
SH
SOLE
14206
0
0
GENERAL MLS INC
COM
370334104
222
4036
SH
SOLE
36
0
4000
GERON CORP
COM
374163103
14
10200
SH
SOLE
10200
0
0
GOLDMAN SACHS ETF TR
ACTIVEBETA INT
381430107
106
3762
SH
SOLE
3762
0
0
GOLDMAN SACHS ETF TR
ACTIVEBETA EME
381430206
97
3094
SH
SOLE
3094
0
0
GOLDMAN SACHS ETF TR
EQUITY ETF
381430503
1813
30277
SH
SOLE
26522
0
3755
GOLDMAN SACHS GROUP INC
COM
38141G104
2339
11285
SH
SOLE
10792
0
493
GREAT AJAX CORP
COM
38983D300
478
30864
SH
SOLE
30864
0
0
HOME DEPOT INC
COM
437076102
5744
24756
SH
SOLE
23760
0
996
ILLUMINA INC
COM
452327109
2068
6798
SH
SOLE
6529
0
269
INSEEGO CORP
COM
45782B104
1434
298827
SH
SOLE
298827
0
0
INTEL CORP
COM
458140100
560
10870
SH
SOLE
6070
0
4800
INTERNATIONAL BUSINESS MACHS
COM
459200101
3821
26273
SH
SOLE
24783
0
1490
INVESCO EXCHNG TRADED FD TR
VAR RATE PFD
46138G870
460
18110
SH
SOLE
15062
0
3048
INVESCO QUALITY MUNI INC TRS
COM
46133G107
268
20955
SH
SOLE
20955
0
0
INVESCO VALUE MUN INCOME TR
COM
46132P108
487
31709
SH
SOLE
31709
0
0
ISHARES TR
CORE S&P TTL STK
464287150
10682
159259
SH
SOLE
157612
0
1647
ISHARES TR
TIPS BD ETF
464287176
1
11
SH
SOLE
11
0
0
ISHARES TR
GLOBAL TECH ETF
464287291
28
150
SH
SOLE
150
0
0
ISHARES TR
RUS MID CAP ETF
464287499
11
200
SH
SOLE
200
0
0
ISHARES TR
CORE S&P MCP ETF
464287507
1123
5812
SH
SOLE
5812
0
0
ISHARES TR
NASDAQ BIOTECH
464287556
50
502
SH
SOLE
502
0
0
ISHARES TR
RUS 2000 GRW ETF
464287648
88
458
SH
SOLE
458
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
13
84
SH
SOLE
84
0
0
ISHARES TR
CORE S&P US VLU
464287663
79
1368
SH
SOLE
1368
0
0
ISHARES TR
U.S. TECH ETF
464287721
130
635
SH
SOLE
635
0
0
ISHARES TR
US INDUSTRIALS
464287754
60
375
SH
SOLE
375
0
0
ISHARES TR
US HLTHCARE ETF
464287762
271
1433
SH
SOLE
1433
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
2861
36758
SH
SOLE
35949
0
809
ISHARES TR
S&P SML 600 GWT
464287887
131
735
SH
SOLE
735
0
0
ISHARES TR
JPMORGAN USD EMG
464288281
27
236
SH
SOLE
236
0
0
ISHARES TR
INTL SEL DIV ETF
464288448
192
6260
SH
SOLE
6260
0
0
ISHARES TR
INTRM TR CRP ETF
464288638
226
3906
SH
SOLE
3906
0
0
ISHARES TR
SH TR CRPORT ETF
464288646
23228
432801
SH
SOLE
419207
0
13594
ISHARES TR
SHORT TREAS BD
464288679
9203
83199
SH
SOLE
80156
0
3043
ISHARES TR
PFD AND INCM SEC
464288687
4265
113648
SH
SOLE
111573
0
2075
ISHARES TR
US AER DEF ETF
464288760
5
24
SH
SOLE
24
0
0
ISHARES TR
MSCI USA ESG SLC
464288802
195
1575
SH
SOLE
1575
0
0
ISHARES TR
MSCI INDIA ETF
46429B598
15
459
SH
SOLE
459
0
0
ISHARES TR
FLTG RATE NT ETF
46429B655
3
58
SH
SOLE
58
0
0
ISHARES TR
CORE HIGH DV ETF
46429B663
2929
31110
SH
SOLE
30777
0
333
ISHARES TR
CORE MSCI TOTAL
46432F834
3395
58772
SH
SOLE
58469
0
303
ISHARES TR
CORE MSCI EAFE
46432F842
337
5524
SH
SOLE
5524
0
0
JOHNSON & JOHNSON
COM
478160104
4068
31440
SH
SOLE
27239
0
4201
JP MORGAN EXCHANGE TRADED FD
ULTRA SHRT INC
46641Q837
1629
32299
SH
SOLE
32299
0
0
JPMORGAN CHASE & CO
COM
46625H100
570
4844
SH
SOLE
4844
0
0
KKR & CO INC
CL A
48251W104
382
14241
SH
SOLE
11310
0
2931
LEXINGTON REALTY TRUST
COM
529043101
188
18337
SH
SOLE
12512
0
5825
MCDONALDS CORP
COM
580135101
531
2475
SH
SOLE
2475
0
0
MEDTRONIC PLC
SHS
G5960L103
265
2443
SH
SOLE
2386
0
57
MERCK & CO INC
COM
58933Y105
742
8811
SH
SOLE
8740
0
71
MICROSOFT CORP
COM
594918104
8028
57740
SH
SOLE
47173
0
10567
MILESTONE SCIENTIFIC INC
COM NEW
59935P209
70
84029
SH
SOLE
84029
0
0
NIKE INC
CL B
654106103
247
2625
SH
SOLE
2625
0
0
NUVEEN AMT FREE MUN CR INC F
COM
67071L106
426
25492
SH
SOLE
25492
0
0
NUVEEN AMT FREE QLTY MUN INC
COM
670657105
524
36605
SH
SOLE
30105
0
6500
NUVEEN ARIZONA QLTY MUN INC
COM
67061W104
577
42872
SH
SOLE
35059
0
7813
NUVEEN MUN HIGH INCOME OPP F
COM
670682103
571
39988
SH
SOLE
28926
0
11062
NUVEEN MUN VALUE FD INC
COM
670928100
372
35427
SH
SOLE
30267
0
5160
NUVEEN NEW YORK AMT QLT MUNI
COM
670656107
1756
130493
SH
SOLE
90101
0
40392
NUVEEN NORTH CAROLINA QLTY M
COM
67060P100
328
24259
SH
SOLE
24259
0
0
NUVEEN QUALITY MUNCP INCOME
COM
67066V101
1113
77504
SH
SOLE
66458
0
11046
NUVEEN SELECT TAX FREE INCM
SH BEN INT
67062F100
306
19493
SH
SOLE
19493
0
0
NUVEEN SELECT TAX FREE INCM
SH BEN INT
67063C106
216
14404
SH
SOLE
14404
0
0
ONEOK INC NEW
COM
682680103
259
3508
SH
SOLE
529
0
2979
PACWEST BANCORP DEL
COM
695263103
2962
81501
SH
SOLE
81501
0
0
PARK CITY GROUP INC
COM NEW
700215304
103
17850
SH
SOLE
17850
0
0
PAYPAL HLDGS INC
COM
70450Y103
204
1968
SH
SOLE
1968
0
0
PFIZER INC
COM
717081103
903
25119
SH
SOLE
15949
0
9170
PHILIP MORRIS INTL INC
COM
718172109
377
4962
SH
SOLE
4962
0
0
PIMCO DYNMIC CREDIT AND MRT
COM SHS
72202D106
451
18439
SH
SOLE
18439
0
0
PIMCO ETF TR
ENHNCD LW DUR AC
72201R718
53
525
SH
SOLE
525
0
0
PIMCO ETF TR
ACTIVE BD ETF
72201R775
11951
109747
SH
SOLE
106273
0
3474
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
4941
48566
SH
SOLE
48566
0
0
PIMCO ETF TR
INTER MUN BD ACT
72201R866
186
3360
SH
SOLE
0
0
3360
PIMCO NEW YORK MUN FD II
COM
72200Y102
174
14582
SH
SOLE
14582
0
0
PORTOLA PHARMACEUTICALS INC
COM
737010108
523
19500
SH
SOLE
4500
0
15000
PROCTER & GAMBLE CO
COM
742718109
248
1995
SH
SOLE
1630
0
365
REGENERON PHARMACEUTICALS
COM
75886F107
2405
8669
SH
SOLE
8285
0
384
REGENERON PHARMACEUTICALS
COM
75886F107
499
1800
SH
Call
SOLE
1800
0
0
RESEARCH FRONTIERS INC
COM
760911107
120
37378
SH
SOLE
37378
0
0
RIVERNORTH OPPORTUNISTIC MUN
COM
76883F108
1884
84751
SH
SOLE
60599
0
24152
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
249
4229
SH
SOLE
0
0
4229
ROYCE MICRO-CAP TR INC
COM
780915104
86
10674
SH
SOLE
10674
0
0
SPDR INDEX SHS FDS
S&P CHINA ETF
78463X400
84
935
SH
SOLE
935
0
0
SPDR INDEX SHS FDS
PORTFOLIO EMG MK
78463X509
147
4294
SH
SOLE
4294
0
0
SPDR INDEX SHS FDS
S&P EM MKT DIV
78463X533
5
175
SH
SOLE
175
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
2702
9103
SH
SOLE
7411
0
1692
SPDR SERIES TRUST
BLOMBRG BRC EMRG
78464A391
14
527
SH
SOLE
527
0
0
SPDR SERIES TRUST
PRTFLO S&P500 GW
78464A409
83
2130
SH
SOLE
2130
0
0
SPDR SERIES TRUST
PRTFLO S&P500 VL
78464A508
58
1825
SH
SOLE
1825
0
0
SPDR SERIES TRUST
S&P REGL BKG
78464A698
79
1504
SH
SOLE
1504
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
88
1150
SH
SOLE
1150
0
0
SPDR SERIES TRUST
PORTFLI HIGH YLD
78468R606
50
1895
SH
SOLE
1895
0
0
SPDR SERIES TRUST
NUVEEN BLMBRG SR
78468R739
281
5731
SH
SOLE
1356
0
4375
SQUARE INC
CL A
852234103
2085
33657
SH
SOLE
32362
0
1295
STRYKER CORP
COM
863667101
753
3482
SH
SOLE
3482
0
0
TARGET CORP
COM
87612E106
855
8000
SH
SOLE
8000
0
0
TYME TECHNOLOGIES INC
COM
90238J103
167
140000
SH
SOLE
140000
0
0
UNION PACIFIC CORP
COM
907818108
248
1531
SH
SOLE
1531
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
3655
26774
SH
SOLE
25579
0
1195
UNITEDHEALTH GROUP INC
COM
91324P102
2737
12596
SH
SOLE
11907
0
689
US BANCORP DEL
COM NEW
902973304
4335
78331
SH
SOLE
75669
0
2662
VANGUARD GROUP
DIV APP ETF
921908844
6214
51966
SH
SOLE
50166
0
1800
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
11
39
SH
SOLE
39
0
0
VANGUARD INDEX FDS
MCAP GR IDXVIP
922908538
301
2035
SH
SOLE
2035
0
0
VANGUARD INDEX FDS
MID CAP ETF
922908629
123
733
SH
SOLE
733
0
0
VANGUARD INDEX FDS
GROWTH ETF
922908736
47
285
SH
SOLE
285
0
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
121
787
SH
SOLE
787
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
271
1795
SH
SOLE
1795
0
0
VANGUARD INTL EQUITY INDEX F
TT WRLD ST ETF
922042742
852
11394
SH
SOLE
10544
0
850
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
43
861
SH
SOLE
861
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
184
4572
SH
SOLE
4572
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
2613
32237
SH
SOLE
32237
0
0
VANGUARD SCOTTSDALE FDS
INTER TERM TREAS
92206C706
27
406
SH
SOLE
341
0
65
VANGUARD SCOTTSDALE FDS
MORTG-BACK SEC
92206C771
3886
72958
SH
SOLE
71558
0
1400
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
136
1494
SH
SOLE
1494
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
3747
62080
SH
SOLE
57518
0
4562
VISA INC
COM CL A
92826C839
4164
24210
SH
SOLE
23312
0
898
WALMART INC
COM
931142103
3480
29319
SH
SOLE
28181
0
1138
WELLS FARGO CO NEW
COM
949746101
260
5148
SH
SOLE
5148
0
0
WELLS FARGO CO NEW
PERP PFD CNV A
949746804
6
4
SH
SOLE
4
0
0
WEYERHAEUSER CO
COM
962166104
1986
71709
SH
SOLE
65661
0
6048
XYLEM INC
COM
98419M100
212
2660
SH
SOLE
2660
0
0