Chief Compliance Officer

0001398344-19-018206.txt : 20191021 0001398344-19-018206.hdr.sgml : 20191021 20191021151518 ACCESSION NUMBER: 0001398344-19-018206 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191021 DATE AS OF CHANGE: 20191021 EFFECTIVENESS DATE: 20191021 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: 191159559 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 09-30-2019 09-30-2019 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 10-21-2019 0 100 134273 INFORMATION TABLE 2 fp0046709_13fhr-table.xml 13F INFORMATION TABLE ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 477 535000 SH SOLE 0 0 535000 BIOMARIN PHARMACEUTICAL INC NOTE 1.500%10/1 09061GAF8 446 430000 SH SOLE 0 0 430000 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 15 15000 SH SOLE 0 0 15000 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 628 555000 SH SOLE 0 0 555000 CLEVELAND CLIFFS INC DBCV 1.500% 1/1 185899AA9 440 405000 SH SOLE 0 0 405000 CTRIP COM INTL LTD NOTE 1.250% 9/1 22943FAM2 478 480000 SH SOLE 0 0 480000 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 528 550000 SH SOLE 0 0 550000 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 12 10000 SH SOLE 0 0 10000 FINISAR CORP NOTE 0.500%12/1 31787AAP6 539 540000 SH SOLE 0 0 540000 GREENBRIER COS INC NOTE 2.875% 2/0 393657AK7 496 520000 SH SOLE 0 0 520000 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 69 60000 SH SOLE 0 0 60000 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 623 470000 SH SOLE 0 0 470000 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 589 515000 SH SOLE 0 0 515000 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 699 490000 SH SOLE 0 0 490000 KAMAN CORP NOTE 3.250% 5/0 483548AF0 594 515000 SH SOLE 0 0 515000 LIVE NATION ENTERTAINMENT IN NOTE 2.500% 3/1 538034AQ2 346 295000 SH SOLE 0 0 295000 MARRIOTT VACTINS WORLDWID CO NOTE 1.500% 9/1 57164YAB3 130 130000 SH SOLE 0 0 130000 MERITOR INC NOTE 3.250%10/1 59001KAF7 571 575000 SH SOLE 0 0 575000 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 619 480000 SH SOLE 0 0 480000 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 587 480000 SH SOLE 0 0 480000 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 650 550000 SH SOLE 0 0 550000 OSI SYSTEMS INC NOTE 1.250% 9/0 671044AD7 565 505000 SH SOLE 0 0 505000 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 182 245000 SH SOLE 0 0 245000 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 18 15000 SH SOLE 0 0 15000 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 406 440000 SH SOLE 0 0 440000 PRA GROUP INC NOTE 3.500% 6/0 69354NAB2 553 540000 SH SOLE 0 0 540000 PACIRA BIOSCIENCES NOTE 2.375% 4/0 695127AD2 468 470000 SH SOLE 0 0 470000 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 16 15000 SH SOLE 0 0 15000 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 621 535000 SH SOLE 0 0 535000 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 540 540000 SH SOLE 0 0 540000 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 516 570000 SH SOLE 0 0 570000 SILICON LABORATORIES INC NOTE 1.375% 3/0 826919AB8 612 470000 SH SOLE 0 0 470000 TERADYNE INC NOTE 1.250%12/1 880770AG7 819 430000 SH SOLE 0 0 430000 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 551 545000 SH SOLE 0 0 545000 VIAVI SOLUTIONS INC NOTE 1.750% 6/0 925550AE5 423 350000 SH SOLE 0 0 350000 VANGUARD STAR FD VG TL INTL STK F 921909768 1577 30527 SH SOLE 0 0 30527 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 414 8294 SH SOLE 0 0 8294 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 487 12093 SH SOLE 0 0 12093 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1446 42190 SH SOLE 0 0 42190 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 3041 103590 SH SOLE 0 0 103590 ISHARES INC MIN VOL GBL ETF 464286525 8800 92872 SH SOLE 0 0 92872 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 307 5727 SH SOLE 0 0 5727 ARMADA HOFFLER PPTYS INC COM 04208T108 231 1044 SH SOLE 0 0 1044 FLEXSHARES TR GLB QLT R/E IDX 33939L787 3757 57661 SH SOLE 0 0 57661 ABBOTT LABS COM 002824100 378 4515 SH SOLE 0 0 4515 AMAZON COM INC COM 023135106 1515 873 SH SOLE 0 0 873 APPLE INC COM 037833100 4666 20834 SH SOLE 0 0 20834 BAUSCH HEALTH COS INC COM 071734107 417 19094 SH SOLE 0 0 19094 DISNEY WALT CO COM DISNEY 254687106 529 4062 SH SOLE 0 0 4062 DOCUSIGN INC COM 256163106 335 5416 SH SOLE 0 0 5416 HOME DEPOT INC COM 437076102 460 1983 SH SOLE 0 0 1983 INTEL CORP COM 458140100 773 14999 SH SOLE 0 0 14999 ISHARES TR SELECT DIVID ETF 464287168 520 5099 SH SOLE 0 0 5099 ISHARES TR MSCI EMG MKT ETF 464287234 264 6451 SH SOLE 0 0 6451 ISHARES TR MSCI EAFE ETF 464287465 1435 22004 SH SOLE 0 0 22004 ISHARES TR RUS MD CP GR ETF 464287481 368 2603 SH SOLE 0 0 2603 ISHARES TR RUS 1000 GRW ETF 464287614 212 1331 SH SOLE 0 0 1331 ISHARES TR RUSSELL 2000 ETF 464287655 236 1561 SH SOLE 0 0 1561 JOHNSON & JOHNSON COM 478160104 633 4893 SH SOLE 0 0 4893 MICROSOFT CORP COM 594918104 1323 9515 SH SOLE 0 0 9515 PNC FINL SVCS GROUP INC COM 693475105 839 5984 SH SOLE 0 0 5984 PROCTER & GAMBLE CO COM 742718109 659 5299 SH SOLE 0 0 5299 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 383 5397 SH SOLE 0 0 5397 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 216 3811 SH SOLE 0 0 3811 STARBUCKS CORP COM 855244109 252 2849 SH SOLE 0 0 2849 VANGUARD GROUP DIV APP ETF 921908844 1506 12595 SH SOLE 0 0 12595 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 332 2545 SH SOLE 0 0 2545 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 248 4630 SH SOLE 0 0 4630 VANGUARD INDEX FDS GROWTH ETF 922908736 424 2552 SH SOLE 0 0 2552 VANGUARD INDEX FDS TOTAL STK MKT 922908769 9635 63809 SH SOLE 0 0 63809 WALMART INC COM 931142103 212 1785 SH SOLE 0 0 1785 ISHARES TR RUS MDCP VAL ETF 464287473 392 4365 SH SOLE 0 0 4365 AT&T INC COM 00206R102 809 21379 SH SOLE 0 0 21379 ABBVIE INC COM 00287Y109 339 4480 SH SOLE 0 0 4480 ALPHABET INC CAP STK CL C 02079K107 229 188 SH SOLE 0 0 188 ALPHABET INC CAP STK CL A 02079K305 432 354 SH SOLE 0 0 354 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 290 5935 SH SOLE 0 0 5935 CBOE GLOBAL MARKETS INC COM 12503M108 1276 11100 SH SOLE 0 0 11100 CME GROUP INC COM 12572Q105 20360 96336 SH SOLE 0 0 96336 CHEMED CORP NEW COM 16359R103 418 1000 SH SOLE 0 0 1000 DNP SELECT INCOME FD COM 23325P104 150 11640 SH SOLE 0 0 11640 FACEBOOK INC CL A 30303M102 401 2254 SH SOLE 0 0 2254 FREEPORT-MCMORAN INC CL B 35671D857 172 18003 SH SOLE 0 0 18003 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 243 2247 SH SOLE 0 0 2247 ISHARES TR MSCI MIN VOL ETF 46429B697 6506 101501 SH SOLE 0 0 101501 ISHARES TR 0-5YR HI YL CP 46434V407 4904 105490 SH SOLE 105490 0 0 JPMORGAN CHASE & CO COM 46625H100 901 7653 SH SOLE 0 0 7653 NVIDIA CORP COM 67066G104 390 2241 SH SOLE 0 0 2241 PROSHARES TR PSHS ULTRA QQQ 74347R206 1150 11890 SH SOLE 0 0 11890 SPDR S&P 500 ETF TR TR UNIT 78462F103 12389 41745 SH SOLE 0 0 41745 SPDR GOLD TRUST GOLD SHS 78463V107 405 2916 SH SOLE 0 0 2916 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 6129 166814 SH SOLE 0 0 166814 SPDR SERIES TRUST BLOOMBERG SRT TR 78468R408 4873 180399 SH SOLE 180399 0 0 SALESFORCE COM INC COM 79466L302 200 1350 SH SOLE 0 0 1350 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 210 2700 SH SOLE 0 0 2700 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 267 4127 SH SOLE 0 0 4127 TRIMTABS ETF TR ALL CAP US FREE 89628W302 4758 128063 SH SOLE 0 0 128063 ULTA BEAUTY INC COM 90384S303 231 920 SH SOLE 0 0 920 VERIZON COMMUNICATIONS INC COM 92343V104 547 9070 SH SOLE 0 0 9070 VISA INC COM CL A 92826C839 241 1400 SH SOLE 0 0 1400