0001569655-20-000001.txt : 20200113 0001569655-20-000001.hdr.sgml : 20200113 20200113170955 ACCESSION NUMBER: 0001569655-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200113 DATE AS OF CHANGE: 20200113 EFFECTIVENESS DATE: 20200113 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: 20524320 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 12-31-2019 12-31-2019 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christophe Jambon 2162412575 Christophe Jambon Cleveland OH 01-13-2020 0 145 215555 false INFORMATION TABLE 2 Winfield13F2019Q4.xml WINFIELD13F2019Q4 3M CO COM Stock 88579Y101 949 5378 SH SOLE 5378 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 543 11850 SH SOLE 11850 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 698 2970 SH SOLE 2970 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 6948 5197 SH SOLE 5197 0 0 ALTRIA GROUP INC COM Stock 02209S103 263 5261 SH SOLE 5261 0 0 AMAZON.COM INC Stock 023135106 12068 6531 SH SOLE 6531 0 0 AMERICAN TOWER CORP REIT 03027X100 2725 11859 SH SOLE 11859 0 0 APPLE INC Stock 037833100 12042 41008 SH SOLE 41007 0 0 APTIV PLC SHS Stock G6095L109 1164 12260 SH SOLE 12260 0 0 ARISTA NETWORKS INC COM Stock 040413106 1076 5290 SH SOLE 5290 0 0 AT&T INC COM Stock 00206R102 158 4036 SH SOLE 4036 0 0 ATHERSYS INC NEW COM Stock 04744L106 32 26000 SH SOLE 26000 0 0 BANK AMER CORP COM Stock 060505104 176 5000 SH SOLE 5000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 966 4266 SH SOLE 4266 0 0 BIOSPECIFICS TECHNOLOGIES CORP COM Stock 090931106 284 4980 SH SOLE 4980 0 0 BOEING CO COM Stock 097023105 759 2330 SH SOLE 2330 0 0 BOOKING HLDGS INC COM Stock 09857L108 1972 960 SH SOLE 960 0 0 BP PLC SPONSORED ADR ADR 055622104 245 6480 SH SOLE 6480 0 0 CARNIVAL CORP PAIRED CTF Stock 143658300 171 3367 SH SOLE 3367 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 1320 23805 SH SOLE 23805 0 0 CISCO SYS INC Stock 17275R102 601 12540 SH SOLE 12540 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 677 25815 SH SOLE 25815 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 1057 19705 SH SOLE 19705 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 5559 44321 SH SOLE 44321 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 960 15237 SH SOLE 15237 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 199 61670 SH SOLE 61670 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2857 20097 SH SOLE 20097 0 0 CYRUSONE INC COM REIT 23283R100 1700 25982 SH SOLE 25982 0 0 DIGITAL REALTY TRUST INC REIT 253868103 730 6100 SH SOLE 6100 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 597 4130 SH SOLE 4130 0 0 DNP SELECT INCOME FD COM CEF 23325P104 156 12185 SH SOLE 12185 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 418 6970 SH SOLE 6970 0 0 ENERGY TRANSFER LP COM UT LTD PTN Stock 29273V100 380 29620 SH SOLE 29620 0 0 ENTERPRISE PRODS PARTNERS L P Stock 293792107 314 11166 SH SOLE 11166 0 0 EQUITY RESIDENTIAL SH BEN INT REIT 29476L107 205 2530 SH SOLE 2530 0 0 FACEBOOK INC CL A Stock 30303M102 1450 7065 SH SOLE 7065 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 1548 50300 SH SOLE 50300 0 0 FIRST SOLAR INC Stock 336433107 269 4800 SH SOLE 4800 0 0 FIRST TR ABERDEEN GLBL OPP FD COM SHS CEF 337319107 221 19740 SH SOLE 19740 0 0 FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF ETF 33739Q507 230 6948 SH SOLE 6948 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 366 3845 SH SOLE 3845 0 0 GLOBAL X MLP ETF ETF 37950E473 209 26500 SH SOLE 26500 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 221 6430 SH SOLE 6430 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 291 4500 SH SOLE 4500 0 0 GOOGLE INC Stock 02079K305 2452 1831 SH SOLE 1831 0 0 GRAFTECH INTL LTD COM Stock 384313508 272 23423 SH SOLE 23423 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 912 8956 SH SOLE 8956 0 0 HOME DEPOT Stock 437076102 1805 8264 SH SOLE 8264 0 0 II VI INC COM Stock 902104108 787 23386 SH SOLE 23386 0 0 ILLUMINA INC Stock 452327109 652 1965 SH SOLE 1965 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 966 11855 SH SOLE 11855 0 0 INTEL CORP COM Stock 458140100 169 2823 SH SOLE 2823 0 0 INVESCO LTD SHS Stock G491BT108 358 19900 SH SOLE 19900 0 0 IRON MTN INC NEW COM REIT 46284V101 297 9320 SH SOLE 9320 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 2664 49680 SH SOLE 49680 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 943 11140 SH SOLE 11140 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 732 5825 SH SOLE 5825 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 1903 17266 SH SOLE 17266 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 6207 55239 SH SOLE 55239 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 353 3100 SH SOLE 3100 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 223 5295 SH SOLE 5295 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF ETF 46434G103 419 7800 SH SOLE 7800 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 576 5453 SH SOLE 5453 0 0 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 3920 59749 SH SOLE 59749 0 0 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 1178 9381 SH SOLE 9381 0 0 ISHARES EDGE MSCI USA QUALITY FACTOR ETF ETF 46432F339 1337 13240 SH SOLE 13240 0 0 ISHARES IBOXX CORPORATE BOND ETF ETF 464287242 282 2200 SH SOLE 2200 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 1053 11975 SH SOLE 11975 0 0 ISHARES MBS BOND ETF ETF 464288588 951 8801 SH SOLE 8801 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 1731 14367 SH SOLE 14367 0 0 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 502 3680 SH SOLE 3680 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 341 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 465 3620 SH SOLE 3620 0 0 ISHARES S&P 500 INDEX ETF 464287200 5812 17979 SH SOLE 17979 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 5552 23317 SH SOLE 23317 0 0 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 1395 16631 SH SOLE 16631 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1128 10565 SH SOLE 10565 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 3086 31465 SH SOLE 31465 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 1535 13895 SH SOLE 13895 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 649 10600 SH SOLE 10600 0 0 J M SMUCKER CO NEW Stock 832696405 436 4185 SH SOLE 4185 0 0 JOHNSON & JOHNSON COM Stock 478160104 376 2575 SH SOLE 2575 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 513 3683 SH SOLE 3683 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 3701 73390 SH SOLE 73390 0 0 KEYCORP NEW COM Stock 493267108 351 17355 SH SOLE 17355 0 0 LOCKHEED MARTIN CORP Stock 539830109 2016 5177 SH SOLE 5177 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 327 12296 SH SOLE 12296 0 0 MASTERCARD INC CL A Stock 57636Q104 161 540 SH SOLE 540 0 0 MICROSOFT Stock 594918104 9805 62178 SH SOLE 62178 0 0 MONDELEZ INTL INC CL A Stock 609207105 249 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 1710 12993 SH SOLE 12993 0 0 NEW MEDIA INV GRP INC Stock 36472T109 231 36250 SH SOLE 36250 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 1487 92300 SH SOLE 92300 0 0 NEXTERA ENERGY INC COM Stock 65339F101 194 800 SH SOLE 800 0 0 NORTHROP GRUMMAN CORP COM Stock 666807102 241 700 SH SOLE 700 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 232 15600 SH SOLE 15600 0 0 NUVEEN CA SELECT TAX FREE PRTF SH BEN INT CEF 67063R103 266 16000 SH SOLE 16000 0 0 NUVEEN CALIF MUN VALUE FD COM CEF 67062C107 485 45500 SH SOLE 45500 0 0 NUVEEN MUN VALUE FD CEF 670928100 597 55750 SH SOLE 55750 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 261 16900 SH SOLE 16900 0 0 NUVEEN PFD & INCM OPPORTNYS FD COM CEF 67073B106 265 25363 SH SOLE 25363 0 0 NUVEEN PFD & INCM SECURTIES FD COM CEF 67072C105 149 14902 SH SOLE 14902 0 0 NUVEEN SELECT MAT MUN FD SH BEN INT CEF 67061T101 115 11000 SH SOLE 11000 0 0 NVIDIA CORP COM Stock 67066G104 964 4097 SH SOLE 4097 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 346 3200 SH SOLE 3200 0 0 PEPSICO INC COM Stock 713448108 441 3225 SH SOLE 3224 0 0 PFIZER INC COM Stock 717081103 340 8672 SH SOLE 8672 0 0 PHILIP MORRIS INTL INC Stock 718172109 239 2805 SH SOLE 2805 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2574 23874 SH SOLE 23874 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 9368 92210 SH SOLE 92210 0 0 PIONEER NAT RES CO COM Stock 723787107 295 1950 SH SOLE 1950 0 0 PORTOLA PHARMACEUTICALS INC COM Stock 737010108 310 12975 SH SOLE 12975 0 0 PROCTER & GAMBLE CO COM Stock 742718109 167 1339 SH SOLE 1339 0 0 PROGRESSIVE CORP OHIO COM Stock 743315103 1794 24781 SH SOLE 24781 0 0 PROLOGIS INC COM REIT 74340W103 277 3110 SH SOLE 3110 0 0 RAYTHEON CO COM NEW Stock 755111507 2883 13122 SH SOLE 13122 0 0 RPM INTL INC COM Stock 749685103 261 3396 SH SOLE 3396 0 0 SALESFORCE COM Stock 79466L302 1662 10219 SH SOLE 10219 0 0 SERVICE PPTYS TR COM SH BEN INT REIT 81761L102 409 16795 SH SOLE 16795 0 0 SHOPIFY INC CL A Stock 82509L107 765 1925 SH SOLE 1925 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 4003 72131 SH SOLE 72130 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 3383 69055 SH SOLE 69055 0 0 SPDR S&P 500 ETF ETF 78462F103 9479 29451 SH SOLE 29450 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 3136 32969 SH SOLE 32969 0 0 SPLUNK INC COM Stock 848637104 2078 13876 SH SOLE 13876 0 0 STARBUCKS CORP Stock 855244109 313 3555 SH SOLE 3555 0 0 TCF FINANCIAL CORPORATION NEW COM Stock 872307103 249 5327 SH SOLE 5327 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 3247 35421 SH SOLE 35421 0 0 TRAVELERS COMPANIES INC COM Stock 89417E109 543 3963 SH SOLE 3963 0 0 UTILITIES SELECT SECTOR SPDR ETF 81369Y886 207 3200 SH SOLE 3200 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 3305 75002 SH SOLE 75002 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1975 44405 SH SOLE 44405 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 923 10104 SH SOLE 10104 0 0 VANGUARD REIT INDEX ETF ETF 922908553 1695 18272 SH SOLE 18272 0 0 VANGUARD S&P 500 ETF ETF 922908363 572 1935 SH SOLE 1935 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 404 4982 SH SOLE 4982 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 4578 27981 SH SOLE 27980 0 0 VANGUARD VALUE INDEX FUND ETF 922908744 844 7046 SH SOLE 7046 0 0 VERIZON COMMUNICATIONS Stock 92343V104 931 15161 SH SOLE 15161 0 0 VISA INC Stock 92826C839 6045 32170 SH SOLE 32170 0 0 WELLS FARGO CO NEW COM Stock 949746101 125 2320 SH SOLE 2320 0 0 WELLS FARGO UTILITIES AND HIGH WF UTILITIES INC CEF 94987E109 160 11478 SH SOLE 11478 0 0 WESTERN ASSET EMRG MKT DEBT FD COM CEF 95766A101 159 11160 SH SOLE 11160 0 0 WESTERN ASSET HIGH INCM OPP FD COM CEF 95766K109 142 28050 SH SOLE 28050 0 0 WORKDAY INC CL A Stock 98138H101 415 2525 SH SOLE 2525 0 0