0001398344-19-013351.txt : 20190802 0001398344-19-013351.hdr.sgml : 20190802 20190802100430 ACCESSION NUMBER: 0001398344-19-013351 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190802 DATE AS OF CHANGE: 20190802 EFFECTIVENESS DATE: 20190802 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: 19994688 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 06-30-2019 06-30-2019 false Iron Financial, LLC

630 DUNDEE ROAD, SUITE 200 NORTHBROOK IL 60062

13F HOLDINGS REPORT 028-15674 N Richard Lakin 847-715-3200 /s/ Richard Lakin Northbrook IL 08-01-2019 0 92 107158 INFORMATION TABLE 2 fp0044111_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 369 4615 SH SOLE 0 0 4615 AMAZON COM INC COM 023135106 1432 804 SH SOLE 0 0 804 APPLE INC COM 037833100 4074 21447 SH SOLE 0 0 21447 BAUSCH HEALTH COS INC COM 071734107 472 19094 SH SOLE 0 0 19094 DISNEY WALT CO COM DISNEY 254687106 449 4044 SH SOLE 0 0 4044 DOCUSIGN INC COM 256163106 333 6416 SH SOLE 0 0 6416 HOME DEPOT INC COM 437076102 238 1240 SH SOLE 0 0 1240 ILLUMINA INC COM 452327109 245 788 SH SOLE 0 0 788 INTEL CORP COM 458140100 804 14974 SH SOLE 0 0 14974 ISHARES TR SELECT DIVID ETF 464287168 498 5067 SH SOLE 0 0 5067 ISHARES TR MSCI EMG MKT ETF 464287234 469 10933 SH SOLE 0 0 10933 ISHARES TR MSCI EAFE ETF 464287465 1430 22054 SH SOLE 0 0 22054 ISHARES TR RUS MD CP GR ETF 464287481 353 2603 SH SOLE 0 0 2603 ISHARES TR RUS 1000 GRW ETF 464287614 344 2274 SH SOLE 0 0 2274 ISHARES TR RUSSELL 2000 ETF 464287655 238 1557 SH SOLE 0 0 1557 JOHNSON & JOHNSON COM 478160104 740 5295 SH SOLE 0 0 5295 MICROSOFT CORP COM 594918104 1071 9084 SH SOLE 0 0 9084 PNC FINL SVCS GROUP INC COM 693475105 734 5984 SH SOLE 0 0 5984 PROCTER AND GAMBLE CO COM 742718109 549 5278 SH SOLE 0 0 5278 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 758 11136 SH SOLE 0 0 11136 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 308 5623 SH SOLE 0 0 5623 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 274 8741 SH SOLE 0 0 8741 VANGUARD GROUP DIV APP ETF 921908844 1670 15232 SH SOLE 0 0 15232 VANGUARD STAR FD VG TL INTL STK F 921909768 2359 45456 SH SOLE 0 0 45456 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 360 2814 SH SOLE 0 0 2814 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 614 12242 SH SOLE 0 0 12242 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 656 15442 SH SOLE 0 0 15442 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 264 4930 SH SOLE 0 0 4930 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 216 832 SH SOLE 0 0 832 VANGUARD INDEX FDS GROWTH ETF 922908736 405 2592 SH SOLE 0 0 2592 VANGUARD INDEX FDS TOTAL STK MKT 922908769 10258 70884 SH SOLE 0 0 70884 AMAG PHARMACEUTICALS INC NOTE 3.250% 6/0 00163UAD8 428 490000 SH SOLE 0 0 490000 AT&T INC COM 00206R102 378 12060 SH SOLE 0 0 12060 ABBVIE INC COM 00287Y109 323 4010 SH SOLE 0 0 4010 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 487 2669 SH SOLE 0 0 2669 ALLSCRIPTS HEALTHCARE SOLUTN NOTE 1.250% 7/0 01988PAD0 487 495000 SH SOLE 0 0 495000 ALPHABET INC CAP STK CL C 02079K107 212 181 SH SOLE 0 0 181 ALPHABET INC CAP STK CL A 02079K305 332 282 SH SOLE 0 0 282 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 520 495000 SH SOLE 0 0 495000 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 208 5935 SH SOLE 0 0 5935 CBOE GLOBAL MARKETS INC COM 12503M108 1064 11150 SH SOLE 0 0 11150 CME GROUP INC COM 12572Q105 15921 96736 SH SOLE 0 0 96736 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 547 515000 SH SOLE 0 0 515000 CTRIP COM INTL LTD NOTE 1.250% 9/1 22943FAM2 463 455000 SH SOLE 0 0 455000 DNP SELECT INCOME FD COM 23325P104 132 11459 SH SOLE 0 0 11459 FACEBOOK INC CL A 30303M102 342 2049 SH SOLE 0 0 2049 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 202 3500 SH SOLE 0 0 3500 FLEXSHARES TR GLB QLT R/E IDX 33939L787 3492 54629 SH SOLE 0 0 54629 FREEPORT-MCMORAN INC CL B 35671D857 221 17121 SH SOLE 0 0 17121 GREENBRIER COS INC NOTE 2.875% 2/0 393657AK7 464 480000 SH SOLE 0 0 480000 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 234 2237 SH SOLE 0 0 2237 ISHARES TR CORE HIGH DV ETF 46429B663 202 2160 SH SOLE 0 0 2160 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 643 475000 SH SOLE 0 0 475000 JPMORGAN CHASE & CO COM 46625H100 760 7512 SH SOLE 0 0 7512 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 627 470000 SH SOLE 0 0 470000 MERITOR INC NOTE 3.250%10/1 59001KAF7 523 540000 SH SOLE 0 0 540000 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 512 445000 SH SOLE 0 0 445000 NVIDIA CORP COM 67066G104 363 2021 SH SOLE 0 0 2021 OSI SYSTEMS INC NOTE 1.250% 9/0 671044AD7 492 485000 SH SOLE 0 0 485000 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 2 235000 SH SOLE 0 0 235000 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 388 415000 SH SOLE 0 0 415000 PROSHARES TR PSHS ULTRA QQQ 74347R206 938 10432 SH SOLE 0 0 10432 RESTORATION HARDWARE HLDGS I DBCV 7/1 761283AC4 0 325000 SH SOLE 0 0 325000 SPDR S&P 500 ETF TR TR UNIT 78462F103 11823 41855 SH SOLE 0 0 41855 SPDR GOLD TRUST GOLD SHS 78463V107 337 2766 SH SOLE 0 0 2766 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1391 38909 SH SOLE 0 0 38909 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 4869 166690 SH SOLE 0 0 166690 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 10508 298679 SH SOLE 0 0 298679 SALESFORCE COM INC COM 79466L302 214 1350 SH SOLE 0 0 1350 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 203 2700 SH SOLE 0 0 2700 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 263 4527 SH SOLE 0 0 4527 TRIMTABS ETF TR ALL CAP US FREE 89628W302 4403 124126 SH SOLE 0 0 124126 VERIZON COMMUNICATIONS INC COM 92343V104 553 9359 SH SOLE 0 0 9359 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 562 510000 SH SOLE 0 0 510000 BIOMARIN PHARMACEUTICAL INC NOTE 1.500%10/1 09061GAF8 490 430000 SH SOLE 0 0 430000 CLEVELAND CLIFFS INC DBCV 1.500% 1/1 185899AA9 3 380000 SH SOLE 0 0 380000 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 470 510000 SH SOLE 0 0 510000 FINISAR CORP NOTE 0.500%12/1 31787AAP6 495 505000 SH SOLE 0 0 505000 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 608 450000 SH SOLE 0 0 450000 KAMAN CORP NOTE 3.250% 5/0 483548AF0 558 505000 SH SOLE 0 0 505000 MARRIOTT VACTINS WORLDWID CO NOTE 1.500% 9/1 57164YAB3 0 95000 SH SOLE 0 0 95000 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 491 445000 SH SOLE 0 0 445000 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 571 510000 SH SOLE 0 0 510000 PRA GROUP INC NOTE 3.500% 6/0 69354NAB2 0 60000 SH SOLE 0 0 60000 PACIRA BIOSCIENCES NOTE 2.375% 4/0 695127AD2 426 430000 SH SOLE 0 0 430000 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 553 500000 SH SOLE 0 0 500000 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 486 500000 SH SOLE 0 0 500000 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 513 545000 SH SOLE 0 0 545000 SILICON LABORATORIES INC NOTE 1.375% 3/0 826919AB8 496 455000 SH SOLE 0 0 455000 TERADYNE INC NOTE 1.250%12/1 880770AG7 601 430000 SH SOLE 0 0 430000 ISHARES INC MIN VOL GBL ETF 464286525 0 48867 SH SOLE 0 0 48867 ISHARES TR RUS MDCP VAL ETF 464287473 379 4362 SH SOLE 0 0 4362