Chief Compliance Officer

0001398344-16-009096.txt : 20160119 0001398344-16-009096.hdr.sgml : 20160118 20160119115244 ACCESSION NUMBER: 0001398344-16-009096 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160119 DATE AS OF CHANGE: 20160119 EFFECTIVENESS DATE: 20160119 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Iron Financial, LLC CENTRAL INDEX KEY: 0001595509 IRS NUMBER: 262409128 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15674 FILM NUMBER: 161347506 BUSINESS ADDRESS: STREET 1: 630 DUNDEE ROAD, SUITE 200 CITY: NORTHBROOK STATE: IL ZIP: 60062 BUSINESS PHONE: 847-715-3200 MAIL ADDRESS: STREET 1: 630 DUNDEE ROAD, SUITE 200 CITY: NORTHBROOK STATE: IL ZIP: 60062 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001595509 XXXXXXXX 12-31-2015 12-31-2015 false Iron Financial, LLC

630 Dundee Road, Suite 200 Northbrook IL 60062

13F HOLDINGS REPORT 028-15674 N Richard Lakin Chief Compliance Officer 847-715-3200 /s/ Richard Lakin Northbrook IL 01-19-2016 0 105 117588 INFORMATION TABLE 2 fp0017580_13fhr-table.xml 13F INFORMATION TABLE EATON VANCE THURSDAY MUN US Equities 27826U306 232 10 SH SOLE 0 0 0 PIONEER MUN HIGH INC TR TUESDAY US Equities 723763207 317 16 SH SOLE 0 0 0 PIONEER MUN HIGH FRIDAY US Equities 723762308 723 36 SH SOLE 0 0 0 CHIPOTLE MEXICAN GRILL INC CL A US Equities 169656105 282 587 SH SOLE 0 0 0 GOOGLE INC CL A US Equities 02079K107 452 596 SH SOLE 0 0 0 GOOGLE INC CL A US Equities 02079K107 550 707 SH SOLE 0 0 0 BERKSHIRE HATHAWAY INC CL US Equities 084670702 233 1765 SH SOLE 0 0 0 DISNEY US Equities 254687106 243 2311 SH SOLE 0 0 0 WALGREENS BOOTS ALLIANCE INC COM US Equities 931427108 222 2611 SH SOLE 0 0 0 PROCTER & GAMBLE US Equities 742718109 335 4221 SH SOLE 0 0 0 VANGUARD EUROPEAN VIPERS (VNGD) US Equities 922042874 231 4630 SH SOLE 0 0 0 ADVISORSHARES TRIM TABS FLOAT SHRINK ETF US Equities 00768Y818 251 4644 SH SOLE 0 0 0 JOHNSON & JOHNSON US Equities 478160104 482 4691 SH SOLE 0 0 0 RUSSELL 2000 (ISHARES) US Equities 464287655 563 5000 SH SOLE 0 0 0 PNC FINANCIAL SVCS GROUP INC US Equities 693475105 567 5951 SH SOLE 0 0 0 VERIZON COMMUNICATIONS US Equities 92343V104 343 7430 SH SOLE 0 0 0 MORGAN J P & CO INC US Equities 46625H100 510 7729 SH SOLE 0 0 0 JETBLUE AIRWAYS CORP US Equities 477143101 215 9500 SH SOLE 0 0 0 MICROSOFT CORP US Equities 594918104 572 10301 SH SOLE 0 0 0 ETF SER SOLUTIONS US GLOBAL JETS ETF US Equities 26922A842 287 11500 SH SOLE 0 0 0 GENERAL ELECTRIC CO. US Equities 369604103 388 12447 SH SOLE 0 0 0 AT&T US Equities 00206R102 494 14343 SH SOLE 0 0 0 CBOE HOLDINGS INC COMMON US Equities 12503M108 1103 16994 SH SOLE 0 0 0 VANGUARD DIVIDEND APPRECIATION ETF US Equities 921908844 1337 17193 SH SOLE 0 0 0 BARCLAYS PLC ORD PAR VALUE GBP .25 US Equities G08036124 55 17335 SH SOLE 0 0 0 INTEL CORP US Equities 458140100 602 17480 SH SOLE 0 0 0 SAINSBURY J COM US Equities G77732173 67 17830 SH SOLE 0 0 0 TOWN SPORTS INTERNATIONAL HLDG COM US Equities 89214A102 21 18000 SH SOLE 0 0 0 SUMITOMO MITSUI TRUST HLDG INC ORD US Equities J7772M102 75 20000 SH SOLE 0 0 0 MSCI EMERGING MARKETS IDX (ISHARES) US Equities 464287234 665 20655 SH SOLE 0 0 0 ALKAME HOLDINGS INC COM US Equities 01643J109 0 21000 SH SOLE 0 0 0 APPLE COMPUTER INC US Equities 037833100 2846 27039 SH SOLE 0 0 0 AMERICAN AIRLINES GROUP INC CO M US Equities 02376R102 1295 30575 SH SOLE 0 0 0 VANGUARD FTSE ALL-WORLD EX-US ETF Foreign Equities 922042775 1453 33473 SH SOLE 0 0 0 MSCI EAFE IDX (ISHARES) US Equities 464287465 2116 36044 SH SOLE 0 0 0 SONA MOBILE HOLDINGS CORP COM US Equities 83540T109 0 36500 SH SOLE 0 0 0 TESCO PLC ORD US Equities G87621101 88 40225 SH SOLE 0 0 0 FREDDIE MAC PFD PERPETUAL SER Z DIV 8.375% US Equities 313400624 144 42345 SH SOLE 0 0 0 STANDARD & POORS DEPOSITARY (SPDR) US Equities 78462F103 8873 43523 SH SOLE 0 0 0 VANGUARD S&P MID CAP 400 IDX ETF US Equities 921932885 4708 50176 SH SOLE 0 0 0 BELIEVING TODAY INC US Equities 07784V108 0 68500 SH SOLE 0 0 0 VANGUARD SHORT-TERM CORP BD IDX ETF Fixed Income 92206C409 5423 68651 SH SOLE 0 0 0 CHICAGO MERCANTILE EXCHANGE HOLDINGS INC CL A US Equities 12572Q105 9232 101894 SH SOLE 0 0 0 VANGUARD TOTAL INTL. STOCK ETF Equity 921909768 4731 104888 SH SOLE 0 0 0 THE GREATER CHICAGO FINANCIAL CORP 6% DEB NSA US Equities 39199D100 131 131250 SH SOLE 0 0 0 VANGUARD TOTAL STOCK MARKET ETF US Equities 922908769 15850 151968 SH SOLE 0 0 0 STILLWATER MNG CO SR CONV Convertible Securities 86074QAL6 214 225000 SH SOLE 0 0 0 SHUTTERFLY INC SR NT CONV Convertible Securities 82568PAB2 275 285000 SH SOLE 0 0 0 CORNERSTONE ONDEMAND INC SR CONV Convertible Securities 21925YAB9 297 300000 SH SOLE 0 0 0 ROYAL GOLD INC CONVERTIBLE SR NT Convertible Securities 780287AA6 304 335000 SH SOLE 0 0 0 MENTOR GRAPHIC CORP CONV Convertible Securities 587200AK2 353 335000 SH SOLE 0 0 0 STARWOOD PROPERTY TRUST CONV Convertible Securities 85571BAB1 359 340000 SH SOLE 0 0 0 INTEGRA LIFESCIENCE HOLDS CORP SR UNSECURED CONV L Convertible Securities 457985AK5 443 340000 SH SOLE 0 0 0 PRICELINE GROUP INC CONV BOND Convertible Securities 741503AQ9 492 345000 SH SOLE 0 0 0 SOLARCITY FIXED RATE SR NT CONV Convertible Securities 83416TAA8 349 360000 SH SOLE 0 0 0 RYLAND GROUP INC GTD CONV FX RT Convertible Securities 783764AS2 335 375000 SH SOLE 0 0 0 MEDICINES CO SR NT CONV Convertible Securities 584688AC9 541 380000 SH SOLE 0 0 0 BLUCORA INC FIXED RT SR NT CONV Convertible Securities 095229AB6 328 390000 SH SOLE 0 0 0 PROSPECT CAPITAL CORPORATION SR UNSECURED CONVERT Convertible Securities 74348TAK8 389 390000 SH SOLE 0 0 0 NATIONAL HEALTH INVESTOR CONV Convertible Securities 63633DAE4 391 395000 SH SOLE 0 0 0 NUVASIVE INC SR NT CONV Convertible Securities 670704AC9 544 395000 SH SOLE 0 0 0 NVIDIA CORP SR NT CONV Convertible Securities 67066GAC8 658 395000 SH SOLE 0 0 0 MACQUARIE INFRASTRUCTURE Convertible Securities 55608BAA3 453 400000 SH SOLE 0 0 0 J2 GLOBAL SR NT CONV Convertible Securities 48123VAC6 525 400000 SH SOLE 0 0 0 COLONY FINANCIAL CONV Convertible Securities 19624RAB2 384 405000 SH SOLE 0 0 0 MERITAGE HOMES CONV Convertible Securities 59001AAR3 399 405000 SH SOLE 0 0 0 WEBMD HEALTH CORP SR NT CV 144 A 18 Convertible Securities 94770VAF9 426 410000 SH SOLE 0 0 0 ON SEMICONDUCTOR CORP SR SUB NT SER B Convertible Securities 682189AH8 458 410000 SH SOLE 0 0 0 PDL BIOPHRARMA INC SR NT CONV Convertible Securities 69329YAF1 343 420000 SH SOLE 0 0 0 PORTFOLIO RECOVERY ASSOCS INC ST CONV Convertible Securities 73640QAB1 360 420000 SH SOLE 0 0 0 EXELIXIS INC CONVERTIBLE Convertible Securities 30161QAC8 499 420000 SH SOLE 0 0 0 SEACOR SMITH INC SR NT CONV Convertible Securities 811904AM3 401 425000 SH SOLE 0 0 0 RPM INTERNATIONAL INC Convertible Securities 749685AT0 484 425000 SH SOLE 0 0 0 CIENA CORP SR NT CV 17 Convertible Securities 171779AE1 432 440000 SH SOLE 0 0 0 SPDR Barclays Capital High Yield Bond Equity 78464A417 6582 193011 SH SOLE 0 0 0 iShares iBoxx $ High Yield Corporate Bd Equity 464288513 6591 81800 SH SOLE 0 0 0 CIEN 0 7/8 06/15/17 Convertible Securities 171779AE1 986 1000000 SH SOLE 0 0 0 WBMD 2 1/2 01/31/18 Convertible Securities 94770VAF9 1044 1000000 SH SOLE 0 0 0 ONNN 2 5/8 12/15/26 Convertible Securities 682189AH8 1120 1000000 SH SOLE 0 0 0 CEMEX 3 3/4 03/15/18 Convertible Securities 151290BC6 712 750000 SH SOLE 0 0 0 RGLD 2 7/8 06/15/19 Convertible Securities 780287AA6 457 500000 SH SOLE 0 0 0 PSEC 5 3/4 03/15/18 Convertible Securities 74348TAL6 498 500000 SH SOLE 0 0 0 MTH 1 7/8 09/15/32 Convertible Securities 59001AAR3 743 750000 SH SOLE 0 0 0 WAC 4 1/2 11/01/19 Convertible Securities 93317WAA0 490 750000 SH SOLE 0 0 0 NUAN 2 3/4 11/01/31 Convertible Securities 67020YAF7 1014 1000000 SH SOLE 0 0 0 CIE 2 5/8 12/01/19 Convertible Securities 19075FAA4 573 1000000 SH SOLE 0 0 0 Hologic Inc 2% 12/15/2043 Convertible Securities 436440AG6 956 750000 SH SOLE 0 0 0 IVR 5 03/15/18 Convertible Securities 44927XAA3 958 1000000 SH SOLE 0 0 0 BCOR 4 1/4 04/01/19 Convertible Securities 095229AB6 633 750000 SH SOLE 0 0 0 SGY 1 3/4 03/01/17 Convertible Securities 861642AN6 750 1000000 SH SOLE 0 0 0 STWD 4 01/15/19 Convertible Securities 85571BAB1 1062 1000000 SH SOLE 0 0 0 Pimco 0-5 Year High Yield Corp Bond Index Equity 72201R783 2031 22069 SH SOLE 0 0 0 Liberty Interactive LLC 1% 09/30/2043 -144A Convertible Securities 530610AB0 648 750000 SH SOLE 0 0 0 TOL 0 1/2 09/15/32 Convertible Securities 88947EAM2 753 750000 SH SOLE 0 0 0 CKH 3 11/15/28 Convertible Securities 81170YAB5 801 1000000 SH SOLE 0 0 0 Ares Capital Corp 4.75% 01/15/2018 Convertible Securities 04010LAJ2 765 750000 SH SOLE 0 0 0 SFUN 2 12/15/18 Convertible Securities 836034AB4 722 750000 SH SOLE 0 0 0 HLF 2 08/15/19 Convertible Securities 42703MAB9 848 1000000 SH SOLE 0 0 0 NRG Yield Inc 3.5% 02/01/2019 -144A Convertible Securities 62942XAA6 702 750000 SH SOLE 0 0 0 PDL BioPharma Inc 4% 02/01/2018 Convertible Securities 69329YAF1 617 750000 SH SOLE 0 0 0 National Health Investors Inc 3.25% 04/01/2021 Convertible Securities 63633DAE4 746 750000 SH SOLE 0 0 0 LYV 2 1/2 05/15/19 Convertible Securities 538034AJ8 769 750000 SH SOLE 0 0 0 Spectranetics Corp 2.625% 06/01/2034 Convertible Securities 84760CAA5 570 750000 SH SOLE 0 0 0 Cornerstone OnDemand Inc 1.5% 07/01/2018 Convertible Securities 21925YAB9 994 1000000 SH SOLE 0 0 0 JDS Uniphase Corp .625% 08/15/2033 Convertible Securities 46612JAF8 708 750000 SH SOLE 0 0 0