Chief Compliance Officer

0001398344-19-020384.txt : 20191115 0001398344-19-020384.hdr.sgml : 20191115 20191114182022 ACCESSION NUMBER: 0001398344-19-020384 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191115 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14892 FILM NUMBER: 191221934 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001539947 XXXXXXXX 09-30-2019 09-30-2019 true 1 RESTATEMENT 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 11-14-2019 0 186 268397 INFORMATION TABLE 2 fp0047685_13fhr-table.xml 13F INFORMATION TABLE ACCENTURE PLC IRELAND SHS CLASS A G1151C101 244 1269 SH SOLE 1269 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2002 11974 SH SOLE 11464 0 510 ALPHABET INC CAP STK CL C 02079K107 524 430 SH SOLE 430 0 0 ALPHABET INC CAP STK CL A 02079K305 7304 5981 SH SOLE 5695 0 286 ALTRIA GROUP INC COM 02209S103 290 7102 SH SOLE 7102 0 0 AMAZON COM INC COM 023135106 4829 2782 SH SOLE 2713 0 69 AMGEN INC COM 031162100 735 3796 SH SOLE 3796 0 0 APPLE INC COM 037833100 10065 44941 SH SOLE 40678 0 4263 AT&T INC COM 00206R102 285 7526 SH SOLE 5531 0 1995 BERKSHIRE HATHAWAY INC DEL CL A 084670108 624 2 SH SOLE 2 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5799 27875 SH SOLE 26720 0 1155 BLACKROCK 2022 GBL INCM OPP COM 09258P104 493 51344 SH SOLE 51118 0 226 BLACKROCK CORPOR HI YLD FD I COM 09255P107 1925 179097 SH SOLE 178337 0 760 BLACKROCK CR ALLCTN INC TR COM 092508100 429 31495 SH SOLE 31249 0 246 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 2408 223963 SH SOLE 223082 0 881 BLACKROCK MULTI-SECTOR INC T COM 09258A107 758 44150 SH SOLE 42996 0 1154 BLACKROCK MUN 2030 TAR TERM COM SHS BEN IN 09257P105 868 36681 SH SOLE 36618 0 63 BLACKROCK MUNI INTER DR FD I COM 09253X102 847 59754 SH SOLE 59650 0 104 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 740 51433 SH SOLE 51308 0 125 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 1154 85045 SH SOLE 84834 0 211 BLACKSTONE GROUP INC COM CL A 09260D107 986 20196 SH SOLE 20196 0 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 1878 128632 SH SOLE 128061 0 571 BP PLC SPONSORED ADR 055622104 1200 31599 SH SOLE 30450 0 1149 BRISTOL MYERS SQUIBB CO COM 110122108 869 17146 SH SOLE 17146 0 0 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 1702 75329 SH SOLE 75020 0 309 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 626 5277 SH SOLE 5191 0 86 CITIGROUP INC COM NEW 172967424 3491 50539 SH SOLE 47917 0 2622 COCA COLA CO COM 191216100 217 3989 SH SOLE 3989 0 0 COMCAST CORP NEW CL A 20030N101 233 5158 SH SOLE 4341 0 817 CONSTELLATION BRANDS INC CL A 21036P108 2010 9695 SH SOLE 9417 0 278 CREDIT SUISSE ASSET MGMT INC COM 224916106 611 193963 SH SOLE 193243 0 720 DISNEY WALT CO COM DISNEY 254687106 3915 30039 SH SOLE 28718 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 INCOME SOLUTIONS COM 258622109 1177 59089 SH SOLE 58867 0 222 DOUBLELINE OPPORTUNISTIC CR COM 258623107 2842 137213 SH SOLE 135984 0 1229 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 905 69190 SH SOLE 64427 0 4763 ENTERPRISE PRODS PARTNERS L COM 293792107 1199 41964 SH SOLE 32740 0 9224 ENVESTNET INC COM 29404K106 2240 39512 SH SOLE 37759 0 1753 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 214 5590 SH SOLE 5590 0 0 EXXON MOBIL CORP COM 30231G102 3242 45919 SH SOLE 42378 0 3541 FACEBOOK INC CL A 30303M102 277 1558 SH SOLE 1558 0 0 FEDEX CORP COM 31428X106 1920 13187 SH SOLE 12617 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 2328 11236 SH SOLE 10743 0 493 GREAT AJAX CORP COM 38983D300 2511 162012 SH SOLE 161302 0 710 HOME DEPOT INC COM 437076102 5725 24676 SH SOLE 23680 0 996 ILLUMINA INC COM 452327109 2058 6765 SH SOLE 6496 0 269 INSEEGO CORP COM 45782B104 1434 298827 SH SOLE 298827 0 0 INTEL CORP COM 458140100 565 10965 SH SOLE 6165 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 657 42781 SH SOLE 42684 0 97 ISHARES TR CORE S&P TTL STK 464287150 10682 159259 SH SOLE 157612 0 1647 ISHARES TR SELECT DIVID ETF 464287168 13 131 SH SOLE 131 0 0 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 BARCLAYS 7 10 YR 464287440 54 477 SH SOLE 0 0 477 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 22943 427480 SH SOLE 413886 0 13594 ISHARES TR 3 7 YR TREAS BD 464288661 53 421 SH SOLE 0 0 421 ISHARES TR SHORT TREAS BD 464288679 9203 83199 SH SOLE 80156 0 3043 ISHARES TR PFD AND INCM SEC 464288687 5140 136964 SH SOLE 134783 0 2181 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 4069 31451 SH SOLE 27250 0 4201 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 3593 71263 SH SOLE 71263 0 0 JPMORGAN CHASE & CO COM 46625H100 577 4899 SH SOLE 4899 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 272 2505 SH SOLE 2448 0 57 MERCK & CO INC COM 58933Y105 754 8962 SH SOLE 8891 0 71 MICROSOFT CORP COM 594918104 8208 59035 SH SOLE 48468 0 10567 MILESTONE SCIENTIFIC INC COM NEW 59935P209 70 84029 SH SOLE 84029 0 0 MORGAN STANLEY EM MKTS DM DE COM 617477104 401 60875 SH SOLE 60610 0 265 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 431 27465 SH SOLE 27465 0 0 NIKE INC CL B 654106103 326 3475 SH SOLE 3475 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 CR STRATEGIES INCM FD COM SHS 67073D102 348 46537 SH SOLE 46537 0 0 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 267 3623 SH SOLE 644 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 253 2439 SH SOLE 2439 0 0 PFIZER INC COM 717081103 907 25249 SH SOLE 16079 0 9170 PGIM GLOBAL HIGH YIELD FD IN COM 69346J106 559 38925 SH SOLE 38758 0 167 PHILIP MORRIS INTL INC COM 718172109 387 5096 SH SOLE 5096 0 0 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 802 32744 SH SOLE 32579 0 165 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 53 525 SH SOLE 525 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 11720 107622 SH SOLE 104148 0 3474 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 10133 99604 SH SOLE 97967 0 1637 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 2422 8730 SH SOLE 8346 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 MARKETPLACE LENDI COM 76882B108 402 21046 SH SOLE 20958 0 88 RIVERNORTH OPPORTUNISTIC MUN COM 76883F108 1884 84751 SH SOLE 60599 0 24152 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 6 95 SH SOLE 95 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 253 4298 SH SOLE 69 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 S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 157 446 SH SOLE 266 0 180 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 2078 33547 SH SOLE 32252 0 1295 STRYKER CORP COM 863667101 753 3482 SH SOLE 3482 0 0 TARGET CORP COM 87612E106 860 8040 SH SOLE 8040 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 316 34787 SH SOLE 34463 0 324 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 3637 26644 SH SOLE 25449 0 1195 UNITEDHEALTH GROUP INC COM 91324P102 2738 12597 SH SOLE 11908 0 689 US BANCORP DEL COM NEW 902973304 4319 78036 SH SOLE 75374 0 2662 VANGUARD GROUP DIV APP ETF 921908844 6214 51966 SH SOLE 50166 0 1800 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 26 97 SH SOLE 97 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 3738 61925 SH SOLE 57363 0 4562 VISA INC COM CL A 92826C839 4292 24954 SH SOLE 24056 0 898 WALMART INC COM 931142103 3466 29204 SH SOLE 28066 0 1138 WELLS FARGO CO NEW COM 949746101 266 5283 SH SOLE 5283 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 6 4 SH SOLE 4 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 413 29738 SH SOLE 29611 0 127 WEYERHAEUSER CO COM 962166104 1978 71419 SH SOLE 65371 0 6048 XYLEM INC COM 98419M100 212 2660 SH SOLE 2660 0 0