0001569655-18-000003.txt : 20180710 0001569655-18-000003.hdr.sgml : 20180710 20180710163743 ACCESSION NUMBER: 0001569655-18-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180710 DATE AS OF CHANGE: 20180710 EFFECTIVENESS DATE: 20180710 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Winfield Associates, Inc. CENTRAL INDEX KEY: 0001569655 IRS NUMBER: 311566830 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16105 FILM NUMBER: 18947320 BUSINESS ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 216.241.2575 MAIL ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001569655 XXXXXXXX 06-30-2018 06-30-2018 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christopher W. Baker 2162412575 Christopher W. Baker Cleveland OH 07-10-2018 0 122 186649 false INFORMATION TABLE 2 Winfield13F2018Q2.xml 3M CO COM Stock 88579Y101 1476 7502 SH SOLE 7502 0 0 ACACIA COMMUNICATIONS INC COM Stock 00401C108 206 5925 SH SOLE 5925 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 535 3435 SH SOLE 3435 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 5952 5335 SH SOLE 5335 0 0 ALTRIA GROUP INC COM Stock 02209S103 367 6465 SH SOLE 6465 0 0 AMAZON.COM INC Stock 023135106 13104 7709 SH SOLE 7709 0 0 AMERICAN TOWER CORP REIT 03027X100 1157 8025 SH SOLE 8025 0 0 APPLE INC Stock 037833100 8047 43474 SH SOLE 43473 0 0 APTIV PLC SHS Stock G6095L109 1006 10975 SH SOLE 10975 0 0 ARISTA NETWORKS INC COM Stock 040413106 1665 6465 SH SOLE 6465 0 0 ATHERSYS INC NEW COM Stock 04744L106 91 46350 SH SOLE 46350 0 0 AVAGO TECHNOLOGIES LTD Stock 11135F101 621 2558 SH SOLE 2558 0 0 BANK AMER CORP COM Stock 060505104 197 7000 SH SOLE 7000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 1286 6891 SH SOLE 6891 0 0 BLUEBIRD BIO INC COM Stock 09609G100 537 3420 SH SOLE 3420 0 0 BOEING CO COM Stock 097023105 966 2880 SH SOLE 2880 0 0 CAVIUM NETWORKS INC Stock 14964U108 848 9800 SH SOLE 9800 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 1354 21490 SH SOLE 21490 0 0 CISCO SYS INC Stock 17275R102 158 3671 SH SOLE 3671 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 812 31750 SH SOLE 31750 0 0 CONOCOPHILLIPS COM Stock 20825C104 249 3575 SH SOLE 3574 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 5503 50351 SH SOLE 50351 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 1820 35320 SH SOLE 35320 0 0 CORNING INC COM Stock 219350105 526 19125 SH SOLE 19125 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2065 19152 SH SOLE 19152 0 0 CYRUSONE INC COM REIT 23283R100 1370 23470 SH SOLE 23470 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 522 4980 SH SOLE 4980 0 0 EKSO BIONICS HLDGS INC COM NEW Stock 282644202 19 10804 SH SOLE 10804 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 1961 25820 SH SOLE 25820 0 0 ENTERPRISE PRODS PARTNERS L P Stock 293792107 502 18150 SH SOLE 18150 0 0 EXXON MOBIL CORP COM Stock 30231G102 160 1937 SH SOLE 1937 0 0 FACEBOOK INC CL A Stock 30303M102 2839 14610 SH SOLE 14610 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 4406 165685 SH SOLE 165685 0 0 FIRST SOLAR INC Stock 336433107 321 6100 SH SOLE 6100 0 0 FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF ETF 33739Q507 250 8400 SH SOLE 8400 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 251 3851 SH SOLE 3851 0 0 GLOBAL X MLP ETF ETF 37950E473 191 20800 SH SOLE 20800 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 703 21200 SH SOLE 21200 0 0 GOLDMAN SACHS GROUP INC Stock 38141G104 838 3800 SH SOLE 3800 0 0 GOOGLE INC Stock 02079K305 2672 2366 SH SOLE 2366 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 2087 25010 SH SOLE 25010 0 0 HOME DEPOT Stock 437076102 1842 9439 SH SOLE 9439 0 0 HUNTINGTON INGALLS INDS INC COM Stock 446413106 488 2250 SH SOLE 2250 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 1642 22930 SH SOLE 22930 0 0 INTEL CORP COM Stock 458140100 160 3218 SH SOLE 3218 0 0 INVESCO VARIABLE RATE PREFERRED ETF ETF 46138G870 571 22990 SH SOLE 22990 0 0 IQ ENHANCED CORE PLUS BOND U.S. ETF ETF 45409B479 220 11550 SH SOLE 11550 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 2562 24710 SH SOLE 24710 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 352 4225 SH SOLE 4225 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 405 3375 SH SOLE 3375 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 555 5418 SH SOLE 5418 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 5012 47140 SH SOLE 47140 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 346 3175 SH SOLE 3175 0 0 ISHARES CORE S&P MID CAP ETF ETF 464287507 426 2188 SH SOLE 2188 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 719 7352 SH SOLE 7352 0 0 ISHARES IBOXX CORPORATE BOND ETF ETF 464287242 300 2621 SH SOLE 2621 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 1198 14075 SH SOLE 14075 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 3277 29842 SH SOLE 29842 0 0 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 1321 10885 SH SOLE 10885 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 337 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 2225 16870 SH SOLE 16870 0 0 ISHARES S&P 500 INDEX ETF 464287200 304 1115 SH SOLE 1115 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 4809 21394 SH SOLE 21394 0 0 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 628 7526 SH SOLE 7526 0 0 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 1139 30200 SH SOLE 30200 0 0 ISHARES TIPS BOND ETF ETF 464287176 715 6335 SH SOLE 6335 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 2556 30075 SH SOLE 30075 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 265 2395 SH SOLE 2395 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 637 10875 SH SOLE 10875 0 0 J M SMUCKER CO NEW Stock 832696405 582 5415 SH SOLE 5415 0 0 JOHNSON & JOHNSON COM Stock 478160104 496 4085 SH SOLE 4085 0 0 JP MORGAN ALERIAN MLP ETN ETF 46625H365 365 13750 SH SOLE 13750 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 238 2280 SH SOLE 2280 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 1261 25160 SH SOLE 25160 0 0 KEYCORP NEW COM Stock 493267108 341 17432 SH SOLE 17432 0 0 LOCKHEED MARTIN CORP Stock 539830109 1865 6312 SH SOLE 6312 0 0 MATERIALS SELECT SECTOR SPDR ETF 81369Y100 339 5842 SH SOLE 5842 0 0 MICROSOFT Stock 594918104 6220 63079 SH SOLE 63079 0 0 MONGODB INC CL A Stock 60937P106 480 9665 SH SOLE 9665 0 0 NEW MEDIA INV GRP INC Stock 64704V106 945 51150 SH SOLE 51150 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 2768 158267 SH SOLE 158267 0 0 NORTHROP GRUMMAN CORP COM Stock 666807102 423 1375 SH SOLE 1375 0 0 NUVEEN CA SELECT TAX FREE PRTF SH BEN INT CEF 67063R103 224 16000 SH SOLE 16000 0 0 NUVEEN CALIF MUN VALUE FD COM CEF 67062C107 190 20000 SH SOLE 20000 0 0 NUVEEN MUN VALUE FD CEF 670928100 146 15250 SH SOLE 15250 0 0 PALO ALTO NETWORKS INC COM Stock 697435105 472 2295 SH SOLE 2295 0 0 PEPSICO INC COM Stock 713448108 569 5225 SH SOLE 5224 0 0 PFIZER INC COM Stock 717081103 565 15572 SH SOLE 15572 0 0 PHILIP MORRIS INTL INC Stock 718172109 823 10198 SH SOLE 10198 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 1946 18884 SH SOLE 18884 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 4388 43210 SH SOLE 43210 0 0 PIMCO ETF TR 0-5 YR HIGH YIELD CORP BD INDEX FD ETF 72201R783 772 7760 SH SOLE 7760 0 0 PIONEER NAT RES CO COM Stock 723787107 233 1229 SH SOLE 1229 0 0 PRICELINE.COM INC Stock 09857L108 2493 1230 SH SOLE 1230 0 0 PROGRESSIVE CORP OHIO COM Stock 743315103 336 5685 SH SOLE 5685 0 0 RAYTHEON CO COM NEW Stock 755111507 3202 16575 SH SOLE 16575 0 0 RPM INTL INC COM Stock 749685103 204 3500 SH SOLE 3500 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF ETF 808524201 212 3266 SH SOLE 3266 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 4963 93615 SH SOLE 93614 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 3018 63475 SH SOLE 63475 0 0 SPDR HIGH YIELD BOND ETF ETF 78464A417 416 11725 SH SOLE 11725 0 0 SPDR S&P 500 ETF ETF 78462F103 8385 30908 SH SOLE 30907 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 2799 29400 SH SOLE 29400 0 0 SPDR S&P TRANSPORTATION ETF ETF 78464A532 423 6700 SH SOLE 6700 0 0 SPDR SERIES TRUST KBW BK ETF ETF 78464A797 2407 51030 SH SOLE 51030 0 0 SPLUNK INC COM Stock 848637104 1369 13815 SH SOLE 13815 0 0 STARBUCKS CORP Stock 855244109 293 5990 SH SOLE 5990 0 0 SYSCO CORP COM Stock 871829107 505 7400 SH SOLE 7400 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 2917 41992 SH SOLE 41992 0 0 TRAVELERS COMPANIES INC COM Stock 89417E109 592 4840 SH SOLE 4840 0 0 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 100 983 SH SOLE 983 0 0 VANGUARD FTSE ALL-WORLD EX-US SMALL-CAP INDEX FUND ETF 922042718 216 1875 SH SOLE 1875 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 5474 127594 SH SOLE 127594 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 3374 79960 SH SOLE 79960 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 2070 24787 SH SOLE 24787 0 0 VANGUARD MID CAP ETF 922908629 224 1421 SH SOLE 1421 0 0 VANGUARD REIT INDEX ETF ETF 922908553 632 7760 SH SOLE 7760 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 3338 23771 SH SOLE 23770 0 0 VANGUARD VALUE INDEX FUND ETF 922908744 337 3250 SH SOLE 3250 0 0 VERIZON COMMUNICATIONS Stock 92343V104 359 7139 SH SOLE 7139 0 0 VISA INC Stock 92826C839 4501 33979 SH SOLE 33979 0 0 WELLS FARGO CO NEW COM Stock 949746101 188 3383 SH SOLE 3383 0 0