Chief Compliance Officer

0001398344-20-001674.txt : 20200130 0001398344-20-001674.hdr.sgml : 20200130 20200130172154 ACCESSION NUMBER: 0001398344-20-001674 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200130 DATE AS OF CHANGE: 20200130 EFFECTIVENESS DATE: 20200130 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: 20562369 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 12-31-2019 12-31-2019 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 01-30-2020 0 118 209863 INFORMATION TABLE 2 fp0049832_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 403 4642 SH SOLE 0 0 4642 ABERDEEN STD PRECIOUS METALS PHYSCL PM BASKET 003263100 260 3400 SH SOLE 0 0 3400 AMAZON COM INC COM 023135106 1822 986 SH SOLE 0 0 986 APPLE INC COM 037833100 6087 20729 SH SOLE 0 0 20729 BAUSCH HEALTH COS INC COM 071734107 392 13094 SH SOLE 0 0 13094 DBX ETF TR XTRACKERS LOW 233051267 3535 70043 SH SOLE 0 0 70043 DISNEY WALT CO COM DISNEY 254687106 692 4786 SH SOLE 0 0 4786 DOCUSIGN INC COM 256163106 398 5366 SH SOLE 0 0 5366 HOME DEPOT INC COM 437076102 344 1576 SH SOLE 0 0 1576 INTEL CORP COM 458140100 895 14947 SH SOLE 0 0 14947 ISHARES INC JP MRG EM CRP BD 464286251 2713 52377 SH SOLE 0 0 52377 ISHARES INC MIN VOL GBL ETF 464286525 10863 113357 SH SOLE 0 0 113357 ISHARES TR SELECT DIVID ETF 464287168 542 5127 SH SOLE 0 0 5127 ISHARES TR MSCI EMG MKT ETF 464287234 278 6207 SH SOLE 0 0 6207 ISHARES TR MSCI EAFE ETF 464287465 1499 21585 SH SOLE 0 0 21585 ISHARES TR RUS MD CP GR ETF 464287481 377 2470 SH SOLE 0 0 2470 ISHARES TR RUS 1000 GRW ETF 464287614 236 1344 SH SOLE 0 0 1344 ISHARES TR RUSSELL 2000 ETF 464287655 244 1475 SH SOLE 0 0 1475 ISHARES TR NATIONAL MUN ETF 464288414 226 1981 SH SOLE 0 0 1981 JOHNSON & JOHNSON COM 478160104 755 5173 SH SOLE 0 0 5173 MICROSOFT CORP COM 594918104 1660 10526 SH SOLE 0 0 10526 PNC FINL SVCS GROUP INC COM 693475105 955 5984 SH SOLE 0 0 5984 PROCTER & GAMBLE CO COM 742718109 691 5535 SH SOLE 0 0 5535 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 412 5363 SH SOLE 0 0 5363 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 233 3878 SH SOLE 0 0 3878 STARBUCKS CORP COM 855244109 298 3389 SH SOLE 0 0 3389 VANGUARD GROUP DIV APP ETF 921908844 1552 12453 SH SOLE 0 0 12453 VANGUARD STAR FD VG TL INTL STK F 921909768 1491 26775 SH SOLE 0 0 26775 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 357 2568 SH SOLE 0 0 2568 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 2768 33997 SH SOLE 0 0 33997 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 307 5721 SH SOLE 0 0 5721 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 723 16249 SH SOLE 0 0 16249 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 316 5389 SH SOLE 0 0 5389 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 523 9773 SH SOLE 0 0 9773 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 361 1219 SH SOLE 0 0 1219 VANGUARD INDEX FDS GROWTH ETF 922908736 468 2571 SH SOLE 0 0 2571 VANGUARD INDEX FDS TOTAL STK MKT 922908769 9545 58334 SH SOLE 0 0 58334 WALMART INC COM 931142103 228 1919 SH SOLE 0 0 1919 WOODWARD INC COM 980745103 202 1708 SH SOLE 0 0 1708 AT&T INC COM 00206R102 941 24086 SH SOLE 0 0 24086 ABBVIE INC COM 00287Y109 414 4679 SH SOLE 0 0 4679 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 44 40000 SH SOLE 0 0 40000 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 618 2913 SH SOLE 0 0 2913 ALPHABET INC CAP STK CL C 02079K107 221 165 SH SOLE 0 0 165 ALPHABET INC CAP STK CL A 02079K305 465 347 SH SOLE 0 0 347 ARMADA HOFFLER PPTYS INC COM 04208T108 263 1145 SH SOLE 0 0 1145 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 442 485000 SH SOLE 0 0 485000 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 16 15000 SH SOLE 0 0 15000 CBOE GLOBAL MARKETS INC COM 12503M108 1332 11100 SH SOLE 0 0 11100 CME GROUP INC COM 12572Q105 19246 95886 SH SOLE 0 0 95886 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 617 535000 SH SOLE 0 0 535000 CLEVELAND CLIFFS INC DBCV 1.500% 1/1 185899AA9 475 395000 SH SOLE 0 0 395000 CTRIP COM INTL LTD NOTE 1.250% 9/1 22943FAM2 465 465000 SH SOLE 0 0 465000 DNP SELECT INCOME FD COM 23325P104 151 11820 SH SOLE 0 0 11820 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 505 520000 SH SOLE 0 0 520000 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 174 10157 SH SOLE 0 0 10157 ETSY INC NOTE 3/0 29786AAC0 14 10000 SH SOLE 0 0 10000 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 617 490000 SH SOLE 0 0 490000 FACEBOOK INC CL A 30303M102 487 2375 SH SOLE 0 0 2375 FINISAR CORP NOTE 0.500%12/1 31787AAP6 539 540000 SH SOLE 0 0 540000 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 211 3500 SH SOLE 0 0 3500 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 11738 195347 SH SOLE 0 0 195347 FLEXSHARES TR GLB QLT R/E IDX 33939L787 4509 69603 SH SOLE 0 0 69603 FREEPORT-MCMORAN INC CL B 35671D857 237 18087 SH SOLE 0 0 18087 GREENBRIER COS INC NOTE 2.875% 2/0 393657AK7 484 495000 SH SOLE 0 0 495000 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 124 105000 SH SOLE 0 0 105000 HARTFORD FDS EXCHANGE TRADE TOTAL RTRN ETF 41653L305 16506 410299 SH SOLE 0 0 410299 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 633 455000 SH SOLE 0 0 455000 ISHARES TR MSCI MIN VOL ETF 46429B697 8604 131165 SH SOLE 0 0 131165 ISHARES TR CORE 1 5 YR USD 46432F859 1025 20338 SH SOLE 0 0 20338 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 578 505000 SH SOLE 0 0 505000 ISHARES TR 0-5YR HI YL CP 46434V407 10068 216848 SH SOLE 216848 0 0 JPMORGAN CHASE & CO COM 46625H100 1286 9225 SH SOLE 0 0 9225 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 687 475000 SH SOLE 0 0 475000 KAMAN CORP NOTE 3.250% 5/0 483548AF0 589 490000 SH SOLE 0 0 490000 LIVE NATION ENTERTAINMENT IN NOTE 2.500% 3/1 538034AQ2 337 275000 SH SOLE 0 0 275000 LYFT INC CL A COM 55087P104 208 4844 SH SOLE 0 0 4844 MARRIOTT VACTINS WORLDWID CO NOTE 1.500% 9/1 57164YAB3 477 445000 SH SOLE 0 0 445000 MASTERCARD INC CL A 57636Q104 222 743 SH SOLE 0 0 743 MERCK & CO INC COM 58933Y105 211 2321 SH SOLE 0 0 2321 MERITOR INC NOTE 3.250%10/1 59001KAF7 602 550000 SH SOLE 0 0 550000 MICHAELS COS INC COM 59408Q106 118 14618 SH SOLE 0 0 14618 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 658 460000 SH SOLE 0 0 460000 MONGODB INC CL A 60937P106 211 1605 SH SOLE 0 0 1605 NVIDIA CORP COM 67066G104 423 1796 SH SOLE 0 0 1796 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 709 530000 SH SOLE 0 0 530000 OSI SYSTEMS INC NOTE 1.250% 9/0 671044AD7 580 530000 SH SOLE 0 0 530000 OASIS PETE INC NEW NOTE 2.625% 9/1 674215AJ7 192 245000 SH SOLE 0 0 245000 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 290 210000 SH SOLE 0 0 210000 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 415 440000 SH SOLE 0 0 440000 PRA GROUP INC NOTE 3.500% 6/0 69354NAB2 554 530000 SH SOLE 0 0 530000 PACIRA BIOSCIENCES NOTE 2.375% 4/0 695127AD2 481 460000 SH SOLE 0 0 460000 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 470 425000 SH SOLE 0 0 425000 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 506 4983 SH SOLE 0 0 4983 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 589 510000 SH SOLE 0 0 510000 PROSHARES TR PSHS ULTRA QQQ 74347R206 1449 11890 SH SOLE 0 0 11890 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 556 535000 SH SOLE 0 0 535000 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 463 485000 SH SOLE 0 0 485000 SPDR S&P 500 ETF TR TR UNIT 78462F103 11996 37271 SH SOLE 0 0 37271 SPDR GOLD TRUST GOLD SHS 78463V107 417 2916 SH SOLE 0 0 2916 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 2018 53694 SH SOLE 0 0 53694 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 4049 129153 SH SOLE 0 0 129153 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 10601 343755 SH SOLE 0 0 343755 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 248 8433 SH SOLE 0 0 8433 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 8321 208756 SH SOLE 0 0 208756 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 380 12379 SH SOLE 0 0 12379 SPDR SERIES TRUST BLOOMBERG SRT TR 78468R408 9991 370868 SH SOLE 370868 0 0 SPDR SERIES TRUST SPDR BLOOMBERG 78468R663 832 9104 SH SOLE 0 0 9104 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 365 4475 SH SOLE 0 0 4475 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 273 4227 SH SOLE 0 0 4227 SILICON LABORATORIES INC NOTE 1.375% 3/0 826919AB8 693 520000 SH SOLE 0 0 520000 TAILORED BRANDS INC COM 87403A107 52 12681 SH SOLE 0 0 12681 TRIMTABS ETF TR ALL CAP US FREE 89628W302 5855 148937 SH SOLE 0 0 148937 VANGUARD WORLD FDS INF TECH ETF 92204A702 213 870 SH SOLE 0 0 870 VERIZON COMMUNICATIONS INC COM 92343V104 596 9702 SH SOLE 0 0 9702 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 560 520000 SH SOLE 0 0 520000 VIAVI SOLUTIONS INC NOTE 1.750% 6/0 925550AE5 421 335000 SH SOLE 0 0 335000 VISA INC COM CL A 92826C839 281 1496 SH SOLE 0 0 1496