Chief Compliance Officer

0001398344-20-015675.txt : 20200813 0001398344-20-015675.hdr.sgml : 20200813 20200813104646 ACCESSION NUMBER: 0001398344-20-015675 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200813 DATE AS OF CHANGE: 20200813 EFFECTIVENESS DATE: 20200813 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: 201097846 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 06-30-2020 06-30-2020 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 08-13-2020 0 159 245711 INFORMATION TABLE 2 fp0055546_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 333 3643 SH SOLE 3643 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 301 1403 SH SOLE 1403 0 0 ADOBE INC COM 00724F101 299 687 SH SOLE 687 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 972 8662 SH SOLE 2087 0 6575 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 390 1808 SH SOLE 1808 0 0 ALPHABET INC CAP STK CL C 02079K107 763 540 SH SOLE 540 0 0 ALPHABET INC CAP STK CL A 02079K305 8195 5779 SH SOLE 5481 0 298 ALTRIA GROUP INC COM 02209S103 385 9820 SH SOLE 9820 0 0 AMAZON COM INC COM 023135106 10130 3672 SH SOLE 3586 0 86 AMERICAN TOWER CORP NEW COM 03027X100 3228 12486 SH SOLE 12125 0 361 AMGEN INC COM 031162100 1001 4244 SH SOLE 4244 0 0 ANGEL OAK FINL STRATEGIES IN COM BEN INT 03464A100 186 11014 SH SOLE 11014 0 0 APPLE INC COM 037833100 15978 43800 SH SOLE 39922 0 3878 ARTS WAY MFG INC COM 043168103 26 11000 SH SOLE 11000 0 0 AT&T INC COM 00206R102 250 8269 SH SOLE 8269 0 0 ATMOS ENERGY CORP COM 049560105 200 2010 SH SOLE 2010 0 0 AUTODESK INC COM 052769106 3361 14051 SH SOLE 13488 0 563 BARRICK GOLD CORPORATION COM 067901108 283 10492 SH SOLE 10492 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 267 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4225 23668 SH SOLE 23172 0 496 BEYOND MEAT INC COM 08862E109 594 4430 SH SOLE 4430 0 0 BLACKROCK 2022 GLOBAL INCOME COM 09258P104 481 57579 SH SOLE 57579 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 901 88627 SH SOLE 88627 0 0 BLACKROCK CR ALLOCATION INCO COM 092508100 1200 90932 SH SOLE 90932 0 0 BLACKROCK DEBT STRATEGIES FD COM NEW 09255R202 181 19368 SH SOLE 19368 0 0 BLACKROCK MULTI-SECTOR INC T COM 09258A107 422 29251 SH SOLE 29251 0 0 BLACKROCK MUN TARGET TERM TR COM SHS BEN IN 09257P105 306 12866 SH SOLE 12866 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 933 67628 SH SOLE 67628 0 0 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 510 38424 SH SOLE 26814 0 11610 BLACKROCK MUNIVEST FD II INC COM 09253T101 177 13076 SH SOLE 13076 0 0 BLACKROCK MUNIYIELD CALIF QU COM 09254N103 577 41587 SH SOLE 41587 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254E103 1067 81937 SH SOLE 81937 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 3023 53361 SH SOLE 52303 0 1058 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 246 21518 SH SOLE 21518 0 0 BOEING CO COM 097023105 235 1283 SH SOLE 1268 0 15 BRISTOL-MYERS SQUIBB CO COM 110122108 614 10442 SH SOLE 10442 0 0 CENTRIC BRANDS INC COM 15644G104 16 235000 SH SOLE 235000 0 0 CHEVRON CORP NEW COM 166764100 578 6475 SH SOLE 6389 0 86 CHIMERA INVT CORP COM NEW 16934Q208 663 69024 SH SOLE 69024 0 0 CITIGROUP INC COM NEW 172967424 2546 49826 SH SOLE 48242 0 1584 COCA COLA CO COM 191216100 334 7486 SH SOLE 7486 0 0 COMCAST CORP NEW CL A 20030N101 312 7996 SH SOLE 7435 0 561 CREDIT SUISSE ASSET MGMT INC COM 224916106 1232 454655 SH SOLE 454655 0 0 DISNEY WALT CO COM DISNEY 254687106 3366 30186 SH SOLE 28981 0 1205 DOUBLELINE INCOME SOLUTIONS COM 258622109 1244 80966 SH SOLE 80966 0 0 DOUBLELINE OPPORTUNISTIC CR COM 258623107 4208 222064 SH SOLE 222064 0 0 DOUBLELINE YIELD OPPORTUNITI COM 25862D105 1103 62592 SH SOLE 62592 0 0 DYNEX CAP INC COM 26817Q886 697 48753 SH SOLE 48753 0 0 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 210 16782 SH SOLE 16782 0 0 ENERGY RECOVERY INC COM 29270J100 152 20000 SH SOLE 20000 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 101 14138 SH SOLE 11580 0 2558 ENTERPRISE PRODS PARTNERS L COM 293792107 245 13482 SH SOLE 9870 0 3612 ENVESTNET INC COM 29404K106 2841 38635 SH SOLE 37041 0 1594 EXXON MOBIL CORP COM 30231G102 456 10199 SH SOLE 7674 0 2525 FACEBOOK INC CL A 30303M102 626 2758 SH SOLE 2758 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 2722 20300 SH SOLE 19520 0 780 GENERAL MLS INC COM 370334104 249 4036 SH SOLE 36 0 4000 GERON CORP COM 374163103 22 10100 SH SOLE 10100 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 2196 35072 SH SOLE 29392 0 5680 GOLUB CAP BDC INC COM 38173M102 319 27416 SH SOLE 27416 0 0 GREAT AJAX CORP COM 38983D300 2361 256611 SH SOLE 256611 0 0 GUGGENHEIM STRATEGIC OPPORTU COM SBI 40167F101 336 19858 SH SOLE 19858 0 0 HOME DEPOT INC COM 437076102 6430 25668 SH SOLE 24976 0 692 ILLUMINA INC COM 452327109 2426 6550 SH SOLE 6292 0 258 INSEEGO CORP COM 45782B104 2214 190902 SH SOLE 190902 0 0 INSEEGO CORP COM 45782B104 290 25000 SH Call SOLE 25000 0 0 INTEL CORP COM 458140100 625 10453 SH SOLE 10453 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 2461 26872 SH SOLE 25935 0 937 INTERNATIONAL BUSINESS MACHS COM 459200101 3131 25923 SH SOLE 24433 0 1490 INVESCO CALIF MUN INCOME TR COM 46132P108 1255 86864 SH SOLE 86864 0 0 INVESCO EXCHANGE-TRADED FD T VAR RATE PFD 46138G870 536 22858 SH SOLE 19810 0 3048 INVESCO QQQ TR UNIT SER 1 46090E103 228 921 SH SOLE 921 0 0 INVESCO QUALITY MUN INCOME T COM 46133G107 232 19455 SH SOLE 19455 0 0 ISHARES SILVER TR ISHARES 46428Q109 170 10000 SH SOLE 10000 0 0 ISHARES TR CORE S&P TTL STK 464287150 10912 157136 SH SOLE 154643 0 2493 ISHARES TR SELECT DIVID ETF 464287168 11 131 SH SOLE 131 0 0 ISHARES TR CORE US AGGBD ET 464287226 506 4279 SH SOLE 4279 0 0 ISHARES TR RUS MID CAP ETF 464287499 11 200 SH SOLE 200 0 0 ISHARES TR CORE S&P MCP ETF 464287507 659 3706 SH SOLE 3706 0 0 ISHARES TR NASDAQ BIOTECH 464287556 13 97 SH SOLE 97 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 93 451 SH SOLE 451 0 0 ISHARES TR U.S. TECH ETF 464287721 171 635 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 2460 36026 SH SOLE 34941 0 1085 ISHARES TR INTRM TR CRP ETF 464288638 13125 217380 SH SOLE 213100 0 4280 ISHARES TR SH TR CRPORT ETF 464288646 160 2933 SH SOLE 2933 0 0 ISHARES TR SHORT TREAS BD 464288679 1345 12147 SH SOLE 9741 0 2406 ISHARES TR MSCI USA ESG SLC 464288802 211 1575 SH SOLE 1575 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 589 7260 SH SOLE 5070 0 2190 ISHARES TR MSCI CHINA ETF 46429B671 112 1718 SH SOLE 1718 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 2400 44022 SH SOLE 43719 0 303 ISHARES TR ULTR SH TRM BD 46434V878 651 12866 SH SOLE 12866 0 0 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 704 13871 SH SOLE 13871 0 0 JOHNSON & JOHNSON COM 478160104 4553 32373 SH SOLE 28679 0 3694 JPMORGAN CHASE & CO COM 46625H100 443 4708 SH SOLE 4703 0 5 LEXINGTON REALTY TRUST COM 529043101 193 18337 SH SOLE 16887 0 1450 MCDONALDS CORP COM 580135101 388 2101 SH SOLE 2101 0 0 MEDTRONIC PLC SHS G5960L103 313 3416 SH SOLE 3359 0 57 MERCK & CO. INC COM 58933Y105 726 9386 SH SOLE 9315 0 71 MICROSOFT CORP COM 594918104 11514 56576 SH SOLE 55339 0 1237 MORGAN STANLEY EMERGING MKTS COM 617477104 58 10264 SH SOLE 10264 0 0 NIKE INC CL B 654106103 372 3793 SH SOLE 3793 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1548 111331 SH SOLE 104831 0 6500 NUVEEN ARIZONA QLTY MUN INC COM 67061W104 470 34541 SH SOLE 26728 0 7813 NUVEEN MORTGAGE AND INCOME F COM 670735109 1230 62935 SH SOLE 62935 0 0 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 429 32503 SH SOLE 21441 0 11062 NUVEEN MUN VALUE FD INC COM 670928100 321 31427 SH SOLE 26267 0 5160 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 177 11995 SH SOLE 11995 0 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 849 65934 SH SOLE 42100 0 23834 NUVEEN PFD & INCM SECURTIES COM 67072C105 736 87081 SH SOLE 87081 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 1314 93722 SH SOLE 82676 0 11046 NUVEEN SELECT TAX FREE INCOM SH BEN INT 67063C106 266 17748 SH SOLE 17748 0 0 NUVEEN SELECT TAX-FREE INCOM SH BEN INT 67062F100 306 19493 SH SOLE 19493 0 0 NVIDIA CORPORATION COM 67066G104 275 725 SH SOLE 707 0 18 PACWEST BANCORP DEL COM 695263103 1122 56906 SH SOLE 56906 0 0 PAYPAL HLDGS INC COM 70450Y103 491 2820 SH SOLE 2820 0 0 PENNYMAC MTG INVT TR COM 70931T103 771 43995 SH SOLE 43995 0 0 PFIZER INC COM 717081103 917 28049 SH SOLE 18879 0 9170 PHILIP MORRIS INTL INC COM 718172109 210 2998 SH SOLE 2998 0 0 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 2111 114559 SH SOLE 114559 0 0 PIMCO DYNAMIC INCOME FD SHS 72201Y101 910 36807 SH SOLE 36807 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 10920 107384 SH SOLE 101495 0 5889 PIMCO ETF TR INTER MUN BD ACT 72201R866 156 2800 SH SOLE 2800 0 0 PIMCO NEW YORK MUN FD II COM 72200Y102 214 20668 SH SOLE 20668 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1828 29664 SH SOLE 28530 0 1134 READY CAPITAL CORP COM 75574U101 114 13120 SH SOLE 13120 0 0 REGENERON PHARMACEUTICALS COM 75886F107 4168 6684 SH SOLE 6401 0 283 RIVERNORTH / DOUBLELINE STRA COM 76882G107 1348 96913 SH SOLE 96913 0 0 RIVERNORTH OPPORTUNISTIC MUN COM 76883F108 1542 72685 SH SOLE 49636 0 23049 SALESFORCE COM INC COM 79466L302 587 3133 SH SOLE 3133 0 0 SCHWAB CHARLES CORP COM 808513105 2408 71376 SH SOLE 68449 0 2927 SERVICENOW INC COM 81762P102 3601 8890 SH SOLE 8554 0 336 SHERWIN WILLIAMS CO COM 824348106 2770 4793 SH SOLE 4603 0 190 SMARTSHEET INC COM CL A 83200N103 1929 37883 SH SOLE 36499 0 1384 SPDR GOLD TR GOLD SHS 78463V107 2750 16429 SH SOLE 16005 0 424 SPDR S&P 500 ETF TR TR UNIT 78462F103 3030 9825 SH SOLE 8433 0 1392 SPDR S&P 500 ETF TR TR UNIT 78462F103 31 100 SH SOLE 0 0 100 SPDR SER TR NUVEEN BLMBRG SR 78468R739 156 3125 SH SOLE 3125 0 0 SPDR SER TR PRTFLO S&P500 HI 78468R788 76 2727 SH SOLE 0 0 2727 SPROTT PHYSICAL GOLD TR UNIT 85207H104 1121 78305 SH SOLE 78305 0 0 SQUARE INC CL A 852234103 5129 48879 SH SOLE 47303 0 1576 STRYKER CORPORATION COM 863667101 650 3607 SH SOLE 3607 0 0 TARGET CORP COM 87612E106 959 8000 SH SOLE 8000 0 0 TESLA INC COM 88160R101 230 213 SH SOLE 213 0 0 TYME TECHNOLOGIES INC COM 90238J103 186 140000 SH SOLE 140000 0 0 UNION PAC CORP COM 907818108 326 1930 SH SOLE 1930 0 0 US BANCORP DEL COM NEW 902973304 842 22870 SH SOLE 22370 0 500 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 16 58 SH SOLE 58 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 327 1983 SH SOLE 1983 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 26 175 SH SOLE 175 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 234 1498 SH SOLE 1498 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 6236 53218 SH SOLE 52474 0 744 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 229 4000 SH SOLE 4000 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 101 522 SH SOLE 522 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3122 56626 SH SOLE 53794 0 2832 VISA INC COM CL A 92826C839 4755 24615 SH SOLE 23776 0 839 WALMART INC COM 931142103 3599 30046 SH SOLE 28981 0 1065 WESTERN ASSET MTG DEFINED OP COM 95790B109 913 62255 SH SOLE 62255 0 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 253 996 SH SOLE 751 0 245