Chief Compliance Officer

0001398344-20-002622.txt : 20200211 0001398344-20-002622.hdr.sgml : 20200211 20200211092147 ACCESSION NUMBER: 0001398344-20-002622 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200211 DATE AS OF CHANGE: 20200211 EFFECTIVENESS DATE: 20200211 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: 20594335 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 12-31-2019 12-31-2019 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 02-07-2020 0 186 289855 INFORMATION TABLE 2 fp0049291_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 302 3475 SH SOLE 3475 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 295 1403 SH SOLE 1403 0 0 AG MTG INVT TR INC COM 001228105 169 10971 SH SOLE 6098 0 4873 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3822 18021 SH SOLE 17478 0 543 ALPHABET INC CAP STK CL C 02079K107 727 544 SH SOLE 544 0 0 ALPHABET INC CAP STK CL A 02079K305 8023 5990 SH SOLE 5691 0 299 ALTRIA GROUP INC COM 02209S103 575 11515 SH SOLE 11515 0 0 AMAZON COM INC COM 023135106 5568 3013 SH SOLE 2939 0 74 AMGEN INC COM 031162100 978 4057 SH SOLE 4057 0 0 APPLE INC COM 037833100 13329 45390 SH SOLE 41076 0 4314 ASSURED GUARANTY LTD COM G0585R106 417 8500 SH SOLE 8500 0 0 AT&T INC COM 00206R102 466 11931 SH SOLE 9936 0 1995 BANK AMER CORP COM 060505104 238 6759 SH SOLE 6759 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 679 2 SH SOLE 2 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 6407 28286 SH SOLE 27069 0 1217 BLACKBERRY LTD COM 09228F103 161 25000 SH SOLE 25000 0 0 BLACKROCK 2022 GBL INCM OPP COM 09258P104 520 52701 SH SOLE 52380 0 321 BLACKROCK CORPOR HI YLD FD I COM 09255P107 1675 149519 SH SOLE 148652 0 867 BLACKROCK CR ALLCTN INC TR COM 092508100 450 32206 SH SOLE 32017 0 189 BLACKROCK DEBT STRAT FD INC COM NEW 09255R202 2837 253293 SH SOLE 251959 0 1334 BLACKROCK INCOME TR INC COM 09247F100 2388 394636 SH SOLE 392352 0 2284 BLACKROCK MULTI-SECTOR INC T COM 09258A107 624 38640 SH SOLE 38336 0 304 BLACKROCK MUN 2030 TAR TERM COM SHS BEN IN 09257P105 880 36363 SH SOLE 36230 0 133 BLACKROCK MUNI INTER DR FD I COM 09253X102 879 61755 SH SOLE 61636 0 119 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 779 57153 SH SOLE 45543 0 11610 BLACKROCK MUNIVEST FD INC COM 09253R105 223 24501 SH SOLE 24501 0 0 BLACKROCK MUNIYIELD CALI QLT COM 09254N103 742 52184 SH SOLE 52000 0 184 BLACKROCK MUNIYIELD QLTY FD COM 09254E103 1174 86961 SH SOLE 86579 0 382 BLACKSTONE GROUP INC COM CL A 09260D107 1130 20196 SH SOLE 20196 0 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 1972 137108 SH SOLE 136303 0 805 BOEING CO COM 097023105 316 971 SH SOLE 971 0 0 BP PLC SPONSORED ADR 055622104 1586 42024 SH SOLE 40795 0 1229 BRISTOL MYERS SQUIBB CO COM 110122108 1021 15910 SH SOLE 15910 0 0 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 1936 90672 SH SOLE 90311 0 361 CENTRIC BRANDS INC COM 15644G104 510 235000 SH SOLE 235000 0 0 CHEVRON CORP NEW COM 166764100 752 6237 SH SOLE 6151 0 86 CHUBB LIMITED COM H1467J104 273 1755 SH SOLE 1755 0 0 CITIGROUP INC COM NEW 172967424 4343 54363 SH SOLE 51741 0 2622 COCA COLA CO COM 191216100 281 5079 SH SOLE 5079 0 0 COLONY CAP INC NEW CL A COM 19626G108 83 17485 SH SOLE 17485 0 0 COMCAST CORP NEW CL A 20030N101 321 7142 SH SOLE 6581 0 561 CONSTELLATION BRANDS INC CL A 21036P108 1828 9634 SH SOLE 9328 0 306 CREDIT SUISSE ASSET MGMT INC COM 224916106 546 169673 SH SOLE 168794 0 879 DISNEY WALT CO COM DISNEY 254687106 4374 30244 SH SOLE 28849 0 1395 DOMINION ENERGY INC COM 25746U109 83 1000 SH SOLE 1000 0 0 DOMINION ENERGY INC UNIT 99/99/9999 25746U133 159 1489 SH SOLE 1489 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 1195 60483 SH SOLE 60147 0 336 DOUBLELINE OPPORTUNISTIC CR COM 258623107 3347 162183 SH SOLE 160711 0 1472 DOW INC COM 260557103 252 4612 SH SOLE 4362 0 250 DUKE ENERGY CORP NEW COM NEW 26441C204 303 3319 SH SOLE 3311 0 8 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 316 24782 SH SOLE 24782 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 1141 88921 SH SOLE 84158 0 4763 ENTERPRISE PRODS PARTNERS L COM 293792107 1347 47840 SH SOLE 38616 0 9224 ENVESTNET INC COM 29404K106 2770 39775 SH SOLE 37922 0 1853 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 211 5014 SH SOLE 5014 0 0 EXXON MOBIL CORP COM 30231G102 3043 43613 SH SOLE 40240 0 3373 FACEBOOK INC CL A 30303M102 304 1479 SH SOLE 1479 0 0 GABELLI EQUITY TR INC COM 362397101 87 14206 SH SOLE 14206 0 0 GENERAL MLS INC COM 370334104 216 4036 SH SOLE 36 0 4000 GERON CORP COM 374163103 14 10100 SH SOLE 10100 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 376 8000 SH SOLE 8000 0 0 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 2163 33444 SH SOLE 29689 0 3755 GOLDMAN SACHS GROUP INC COM 38141G104 2595 11285 SH SOLE 10763 0 522 GREAT AJAX CORP COM 38983D300 2993 202066 SH SOLE 201203 0 863 HOME DEPOT INC COM 437076102 5707 26134 SH SOLE 25092 0 1042 ILLUMINA INC COM 452327109 2260 6814 SH SOLE 6527 0 287 INSEEGO CORP COM 45782B104 2191 298927 SH SOLE 298927 0 0 INTEL CORP COM 458140100 657 10980 SH SOLE 6180 0 4800 INTERNATIONAL BUSINESS MACHS COM 459200101 3475 25923 SH SOLE 24433 0 1490 INVESCO EXCHNG TRADED FD TR VAR RATE PFD 46138G870 518 20068 SH SOLE 17020 0 3048 INVESCO QUALITY MUNI INC TRS COM 46133G107 264 20955 SH SOLE 20955 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 669 43678 SH SOLE 43610 0 68 ISHARES TR CORE S&P TTL STK 464287150 11091 152577 SH SOLE 150449 0 2128 ISHARES TR SELECT DIVID ETF 464287168 14 131 SH SOLE 131 0 0 ISHARES TR RUS MID CAP ETF 464287499 12 200 SH SOLE 200 0 0 ISHARES TR CORE S&P MCP ETF 464287507 1088 5288 SH SOLE 5288 0 0 ISHARES TR NASDAQ BIOTECH 464287556 4 30 SH SOLE 30 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 98 458 SH SOLE 458 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 14 84 SH SOLE 84 0 0 ISHARES TR CORE S&P US VLU 464287663 103 1635 SH SOLE 1635 0 0 ISHARES TR U.S. TECH ETF 464287721 148 635 SH SOLE 635 0 0 ISHARES TR US HLTHCARE ETF 464287762 309 1433 SH SOLE 1433 0 0 ISHARES TR CORE S&P SCP ETF 464287804 3445 41085 SH SOLE 40144 0 941 ISHARES TR S&P SML 600 GWT 464287887 142 735 SH SOLE 735 0 0 ISHARES TR INTL SEL DIV ETF 464288448 341 10158 SH SOLE 10158 0 0 ISHARES TR SH TR CRPORT ETF 464288646 21224 395750 SH SOLE 381865 0 13885 ISHARES TR SHORT TREAS BD 464288679 2238 20263 SH SOLE 19212 0 1051 ISHARES TR PFD AND INCM SEC 464288687 5909 157183 SH SOLE 142987 0 14196 ISHARES TR MSCI USA ESG SLC 464288802 211 1575 SH SOLE 1575 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 4091 41719 SH SOLE 38449 0 3270 ISHARES TR CORE MSCI TOTAL 46432F834 3630 58651 SH SOLE 58348 0 303 ISHARES TR CORE MSCI EAFE 46432F842 360 5524 SH SOLE 5524 0 0 JOHNSON & JOHNSON COM 478160104 4657 31925 SH SOLE 27661 0 4264 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 964 19108 SH SOLE 19108 0 0 JPMORGAN CHASE & CO COM 46625H100 682 4891 SH SOLE 4891 0 0 KKR & CO INC CL A 48251W104 415 14241 SH SOLE 11310 0 2931 LEXINGTON REALTY TRUST COM 529043101 195 18337 SH SOLE 12512 0 5825 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 2 51 SH SOLE 0 0 51 LIBERTY MEDIA CORP DELAWARE COM C SIRIUSXM 531229607 5 102 SH SOLE 0 0 102 LIBERTY MEDIA CORP DELAWARE COM A BRAVES GRP 531229706 130 4380 SH SOLE 4380 0 0 LIBERTY MEDIA CORP DELAWARE COM SER C FRMLA 531229854 67 1457 SH SOLE 1440 0 17 LIBERTY MEDIA CORP DELAWARE COM SER A FRMLA 531229870 1 12 SH SOLE 0 0 12 LOCKHEED MARTIN CORP COM 539830109 231 593 SH SOLE 593 0 0 MASTERCARD INC CL A 57636Q104 202 678 SH SOLE 678 0 0 MATCH GROUP INC COM 57665R106 2818 34320 SH SOLE 32811 0 1509 MBIA INC COM 55262C100 214 23000 SH SOLE 23000 0 0 MCDONALDS CORP COM 580135101 374 1893 SH SOLE 1893 0 0 MEDTRONIC PLC SHS G5960L103 328 2894 SH SOLE 2837 0 57 MERCK & CO INC COM 58933Y105 1244 13681 SH SOLE 13610 0 71 MICROSOFT CORP COM 594918104 9289 58900 SH SOLE 48245 0 10655 MORGAN STANLEY EM MKTS DM DE COM 617477104 508 72728 SH SOLE 72345 0 383 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 636 39472 SH SOLE 34420 0 5052 NEW YORK CMNTY BANCORP INC COM 649445103 443 36833 SH SOLE 36833 0 0 NIKE INC CL B 654106103 380 3750 SH SOLE 3750 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 469 28132 SH SOLE 28132 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 879 61161 SH SOLE 54661 0 6500 NUVEEN ARIZONA QLTY MUN INC COM 67061W104 621 46080 SH SOLE 38267 0 7813 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 582 75870 SH SOLE 75409 0 461 NUVEEN MUN HIGH INCOME OPP F COM 670682103 567 39988 SH SOLE 28926 0 11062 NUVEEN MUN VALUE FD INC COM 670928100 336 31427 SH SOLE 26267 0 5160 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 1678 123629 SH SOLE 83237 0 40392 NUVEEN QUALITY MUNCP INCOME COM 67066V101 1132 77504 SH SOLE 66458 0 11046 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 320 19493 SH SOLE 19493 0 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 220 14404 SH SOLE 14404 0 0 ONEOK INC NEW COM 682680103 273 3608 SH SOLE 629 0 2979 PACWEST BANCORP DEL COM 695263103 2503 65406 SH SOLE 65406 0 0 PATTERSON UTI ENERGY INC COM 703481101 179 17000 SH SOLE 17000 0 0 PAYPAL HLDGS INC COM 70450Y103 268 2477 SH SOLE 2477 0 0 PFIZER INC COM 717081103 1136 28986 SH SOLE 19816 0 9170 PGIM GLOBAL HIGH YIELD FD IN COM 69346J106 672 44737 SH SOLE 44494 0 243 PHILIP MORRIS INTL INC COM 718172109 299 3515 SH SOLE 3515 0 0 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 238 9439 SH SOLE 9439 0 0 PIMCO ENRGY TACTICAL CR OPP COM SHS BEN INT 69346N107 766 46453 SH SOLE 46315 0 138 PIMCO ETF TR ACTIVE BD ETF 72201R775 11973 111057 SH SOLE 106653 0 4404 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 8721 85846 SH SOLE 84813 0 1033 PIMCO ETF TR INTER MUN BD ACT 72201R866 185 3360 SH SOLE 0 0 3360 PIMCO NEW YORK MUN FD II COM 72200Y102 176 14582 SH SOLE 14582 0 0 PORTOLA PHARMACEUTICALS INC COM 737010108 466 19500 SH SOLE 4500 0 15000 RAYTHEON CO COM NEW 755111507 231 1050 SH SOLE 1050 0 0 REGENERON PHARMACEUTICALS COM 75886F107 3273 8716 SH SOLE 8306 0 410 REGENERON PHARMACEUTICALS COM 75886F107 225 600 SH Call SOLE 600 0 0 RIVERNORTH MARKETPLACE LENDI COM 76882B108 578 31699 SH SOLE 31525 0 174 RIVERNORTH OPPORTUNISTIC MUN COM 76883F108 1880 82887 SH SOLE 58735 0 24152 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 5 80 SH SOLE 80 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 253 4298 SH SOLE 69 0 4229 SEA LTD SPONSORED ADS 81141R100 2150 53459 SH SOLE 50978 0 2481 SEABOARD CORP COM 811543107 638 150 SH SOLE 150 0 0 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 96 935 SH SOLE 935 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 160 4248 SH SOLE 4248 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2946 9153 SH SOLE 7461 0 1692 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 65 1861 SH SOLE 1861 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 88 1504 SH SOLE 1504 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 109 1150 SH SOLE 1150 0 0 SPDR SERIES TRUST NUVEEN BLMBRG SR 78468R739 215 4375 SH SOLE 0 0 4375 SPDR SERIES TRUST PRTFLO S&P500 HI 78468R788 108 2727 SH SOLE 0 0 2727 SQUARE INC CL A 852234103 2113 33777 SH SOLE 32389 0 1388 STRYKER CORP COM 863667101 731 3482 SH SOLE 3482 0 0 TARGET CORP COM 87612E106 1049 8181 SH SOLE 8181 0 0 TEMPLETON EMERG MKTS INCOME COM 880192109 326 35518 SH SOLE 35313 0 205 TYME TECHNOLOGIES INC COM 90238J103 196 140000 SH SOLE 140000 0 0 UNION PACIFIC CORP COM 907818108 304 1681 SH SOLE 1681 0 0 UNITED TECHNOLOGIES CORP COM 913017109 4043 26999 SH SOLE 25739 0 1260 UNITEDHEALTH GROUP INC COM 91324P102 3710 12620 SH SOLE 11899 0 721 US BANCORP DEL COM NEW 902973304 4641 78277 SH SOLE 75520 0 2757 VANGUARD GROUP DIV APP ETF 921908844 6470 51900 SH SOLE 50100 0 1800 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 29 97 SH SOLE 97 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 214 1350 SH SOLE 1350 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 131 733 SH SOLE 733 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 52 285 SH SOLE 285 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 138 835 SH SOLE 835 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 300 1834 SH SOLE 1834 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 885 10923 SH SOLE 10073 0 850 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 190 4262 SH SOLE 4262 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1656 20434 SH SOLE 20434 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 5816 109385 SH SOLE 104633 0 4752 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 109 1194 SH SOLE 1194 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3828 62350 SH SOLE 57676 0 4674 VISA INC COM CL A 92826C839 4717 25106 SH SOLE 24208 0 898 VOXX INTL CORP CL A 91829F104 101 23000 SH SOLE 23000 0 0 WALMART INC COM 931142103 3524 29656 SH SOLE 28443 0 1213 WELLS FARGO CO NEW COM 949746101 311 5783 SH SOLE 5783 0 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 6 4 SH SOLE 4 0 0 WELLTOWER INC COM 95040Q104 218 2666 SH SOLE 2666 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 508 35573 SH SOLE 35386 0 187 WEYERHAEUSER CO COM 962166104 2142 70937 SH SOLE 64695 0 6242 XYLEM INC COM 98419M100 210 2660 SH SOLE 2660 0 0