Senior Associate

0001569655-18-000004.txt : 20181105 0001569655-18-000004.hdr.sgml : 20181105 20181105133020 ACCESSION NUMBER: 0001569655-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181105 DATE AS OF CHANGE: 20181105 EFFECTIVENESS DATE: 20181105 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: 181159529 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 09-30-2018 09-30-2018 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christophe Jambon Senior Associate 2162412575 Christophe Jambon Cleveland OH 11-05-2018 0 127 202791 false INFORMATION TABLE 2 Winfield13F2018Q3.xml WINFIELD13F2018Q3 3M CO COM Stock 88579Y101 1581 7502 SH SOLE 7502 0 0 ACACIA COMMUNICATIONS INC COM Stock 00401C108 229 5525 SH SOLE 5525 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 530 3175 SH SOLE 3175 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 6463 5415 SH SOLE 5415 0 0 ALTRIA GROUP INC COM Stock 02209S103 384 6361 SH SOLE 6361 0 0 AMAZON.COM INC Stock 023135106 15229 7603 SH SOLE 7603 0 0 AMERICAN TOWER CORP REIT 03027X100 1268 8725 SH SOLE 8725 0 0 APPLE INC Stock 037833100 9825 43524 SH SOLE 43523 0 0 APTIV PLC SHS Stock G6095L109 921 10975 SH SOLE 10975 0 0 ARISTA NETWORKS INC COM Stock 040413106 1719 6465 SH SOLE 6465 0 0 ATHERSYS INC NEW COM Stock 04744L106 97 46350 SH SOLE 46350 0 0 AVAGO TECHNOLOGIES LTD Stock 11135F101 191 775 SH SOLE 775 0 0 BANK AMER CORP COM Stock 060505104 206 7000 SH SOLE 7000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 1667 7786 SH SOLE 7786 0 0 BLUEBIRD BIO INC COM Stock 09609G100 499 3420 SH SOLE 3420 0 0 BOEING CO COM Stock 097023105 1071 2880 SH SOLE 2880 0 0 CARNIVAL CORP PAIRED CTF Stock 143658300 199 3124 SH SOLE 3124 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 906 17400 SH SOLE 17400 0 0 CISCO SYS INC Stock 17275R102 266 5471 SH SOLE 5471 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 756 31750 SH SOLE 31750 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 774 15800 SH SOLE 15800 0 0 CONOCOPHILLIPS COM Stock 20825C104 284 3675 SH SOLE 3674 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 5589 47676 SH SOLE 47676 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 1819 33720 SH SOLE 33720 0 0 CORNING INC COM Stock 219350105 756 21425 SH SOLE 21425 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2221 19952 SH SOLE 19952 0 0 CYRUSONE INC COM REIT 23283R100 1906 30058 SH SOLE 30058 0 0 DIGITAL REALTY TRUST INC REIT 253868103 208 1850 SH SOLE 1850 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 536 4580 SH SOLE 4580 0 0 EKSO BIONICS HLDGS INC COM NEW Stock 282644202 25 10804 SH SOLE 10804 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 2206 29127 SH SOLE 29127 0 0 ENTERPRISE PRODS PARTNERS L P Stock 293792107 559 19450 SH SOLE 19450 0 0 EXXON MOBIL CORP COM Stock 30231G102 165 1937 SH SOLE 1937 0 0 FACEBOOK INC CL A Stock 30303M102 1829 11121 SH SOLE 11121 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 4668 169235 SH SOLE 169235 0 0 FIRST SOLAR INC Stock 336433107 271 5600 SH SOLE 5600 0 0 FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF ETF 33739Q507 289 9400 SH SOLE 9400 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 287 3851 SH SOLE 3851 0 0 GLOBAL X MLP ETF ETF 37950E473 192 20100 SH SOLE 20100 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 542 16550 SH SOLE 16550 0 0 GOLDMAN SACHS GROUP INC Stock 38141G104 852 3800 SH SOLE 3800 0 0 GOOGLE INC Stock 02079K305 2856 2366 SH SOLE 2366 0 0 GRAFTECH INTL LTD COM Stock 384313508 351 18000 SH SOLE 18000 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 2436 25603 SH SOLE 25603 0 0 HOME DEPOT Stock 437076102 1924 9289 SH SOLE 9289 0 0 HUNTINGTON INGALLS INDS INC COM Stock 446413106 576 2250 SH SOLE 2250 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 1833 23380 SH SOLE 23380 0 0 INTEL CORP COM Stock 458140100 152 3218 SH SOLE 3218 0 0 INVESCO VARIABLE RATE PREFERRED ETF ETF 46138G870 595 23890 SH SOLE 23890 0 0 IQ ENHANCED CORE PLUS BOND U.S. ETF ETF 45409B479 221 11550 SH SOLE 11550 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 2561 49420 SH SOLE 49420 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 351 4225 SH SOLE 4225 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 402 3375 SH SOLE 3375 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 558 5517 SH SOLE 5517 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 4871 46162 SH SOLE 46162 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 397 3675 SH SOLE 3675 0 0 ISHARES CORE S&P MID CAP ETF ETF 464287507 472 2343 SH SOLE 2343 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 688 6892 SH SOLE 6892 0 0 ISHARES IBOXX CORPORATE BOND ETF ETF 464287242 310 2700 SH SOLE 2700 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 1217 14075 SH SOLE 14075 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 3566 29240 SH SOLE 29240 0 0 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 1340 10585 SH SOLE 10585 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 347 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 2230 16770 SH SOLE 16770 0 0 ISHARES S&P 500 INDEX ETF 464287200 391 1335 SH SOLE 1335 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 5218 22399 SH SOLE 22399 0 0 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 2690 30830 SH SOLE 30830 0 0 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 1036 27900 SH SOLE 27900 0 0 ISHARES TIPS BOND ETF ETF 464287176 703 6358 SH SOLE 6358 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 2352 25975 SH SOLE 25975 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 683 11775 SH SOLE 11775 0 0 J M SMUCKER CO NEW Stock 832696405 504 4915 SH SOLE 4915 0 0 JOHNSON & JOHNSON COM Stock 478160104 564 4085 SH SOLE 4085 0 0 JP MORGAN ALERIAN MLP ETN ETF 46625H365 332 12100 SH SOLE 12100 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 257 2280 SH SOLE 2280 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 1512 30155 SH SOLE 30155 0 0 KEYCORP NEW COM Stock 493267108 347 17432 SH SOLE 17432 0 0 LOCKHEED MARTIN CORP Stock 539830109 2132 6162 SH SOLE 6162 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 470 24363 SH SOLE 24363 0 0 MATERIALS SELECT SECTOR SPDR ETF 81369Y100 338 5842 SH SOLE 5842 0 0 MICROSOFT Stock 594918104 7300 63829 SH SOLE 63829 0 0 MONDELEZ INTL INC CL A Stock 609207105 194 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 1123 13765 SH SOLE 13765 0 0 NEW MEDIA INV GRP INC Stock 64704V106 809 51550 SH SOLE 51550 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 2925 164167 SH SOLE 164167 0 0 NORTHROP GRUMMAN CORP COM Stock 666807102 436 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 363 38800 SH SOLE 38800 0 0 NUVEEN MUN VALUE FD CEF 670928100 377 40250 SH SOLE 40250 0 0 NVIDIA CORP COM Stock 67066G104 202 720 SH SOLE 720 0 0 PALO ALTO NETWORKS INC COM Stock 697435105 517 2295 SH SOLE 2295 0 0 PEPSICO INC COM Stock 713448108 584 5225 SH SOLE 5224 0 0 PFIZER INC COM Stock 717081103 686 15572 SH SOLE 15572 0 0 PHILIP MORRIS INTL INC Stock 718172109 500 6132 SH SOLE 6132 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2100 20517 SH SOLE 20517 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 5607 55175 SH SOLE 55175 0 0 PIMCO ETF TR 0-5 YR HIGH YIELD CORP BD INDEX FD ETF 72201R783 781 7760 SH SOLE 7760 0 0 PIONEER NAT RES CO COM Stock 723787107 218 1254 SH SOLE 1254 0 0 PRICELINE.COM INC Stock 09857L108 2093 1055 SH SOLE 1055 0 0 PROGRESSIVE CORP OHIO COM Stock 743315103 404 5685 SH SOLE 5685 0 0 RAYTHEON CO COM NEW Stock 755111507 3425 16575 SH SOLE 16575 0 0 RPM INTL INC COM Stock 749685103 227 3500 SH SOLE 3500 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF ETF 808524201 212 3041 SH SOLE 3041 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 5237 97090 SH SOLE 97089 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 3023 63975 SH SOLE 63975 0 0 SPDR HIGH YIELD BOND ETF ETF 78464A417 423 11725 SH SOLE 11725 0 0 SPDR S&P 500 ETF ETF 78462F103 9410 32368 SH SOLE 32367 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 3336 34793 SH SOLE 34793 0 0 SPDR S&P TRANSPORTATION ETF ETF 78464A532 449 6700 SH SOLE 6700 0 0 SPDR SERIES TRUST KBW BK ETF ETF 78464A797 2430 52180 SH SOLE 52180 0 0 SPLUNK INC COM Stock 848637104 1610 13315 SH SOLE 13315 0 0 STARBUCKS CORP Stock 855244109 185 3255 SH SOLE 3255 0 0 SYSCO CORP COM Stock 871829107 542 7400 SH SOLE 7400 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 3118 41392 SH SOLE 41392 0 0 TRAVELERS COMPANIES INC COM Stock 89417E109 625 4818 SH SOLE 4818 0 0 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 120 1083 SH SOLE 1083 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 5375 124223 SH SOLE 124223 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 3296 80395 SH SOLE 80395 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 2026 24257 SH SOLE 24257 0 0 VANGUARD MID CAP ETF 922908629 264 1608 SH SOLE 1608 0 0 VANGUARD REIT INDEX ETF ETF 922908553 433 5364 SH SOLE 5364 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 3494 23351 SH SOLE 23350 0 0 VANGUARD VALUE INDEX FUND ETF 922908744 392 3541 SH SOLE 3541 0 0 VERIZON COMMUNICATIONS Stock 92343V104 445 8339 SH SOLE 8339 0 0 VISA INC Stock 92826C839 5040 33579 SH SOLE 33579 0 0 WELLS FARGO CO NEW COM Stock 949746101 178 3383 SH SOLE 3383 0 0