0001606587-16-000419.txt : 20160209 0001606587-16-000419.hdr.sgml : 20160209 20160208205349 ACCESSION NUMBER: 0001606587-16-000419 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20160209 DATE AS OF CHANGE: 20160208 EFFECTIVENESS DATE: 20160209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Klingman & Associates, LLC CENTRAL INDEX KEY: 0001662449 IRS NUMBER: 061612508 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17124 FILM NUMBER: 161397053 BUSINESS ADDRESS: STREET 1: 1133 AVENUE OF THE AMERICAS STREET 2: SUITE 3110 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-867-7647 MAIL ADDRESS: STREET 1: 1133 AVENUE OF THE AMERICAS STREET 2: SUITE 3110 CITY: NEW YORK STATE: NY ZIP: 10036 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001662449 XXXXXXXX 12-31-2014 12-31-2014 false Klingman & Associates, LLC

1133 Avenue of the Americas Suite 3110 New York NY 10036

13F HOLDINGS REPORT 028-17124 N Michael Paley 212-867-7647 Michael Paley New York NY 02-03-2016 0 389 240698 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 8 333 SH SOLE NONE 0 0 333 HSBC HLDGS PLC ADR A 1/40PF A 404280604 9 375 SH SOLE NONE 0 0 375 ROYAL BK SCOTLAND GROUP PL SP ADR PREF S 780097739 9 400 SH SOLE NONE 0 0 400 AMERICAN AIRLS GROUP INC COM 02376R102 3 72 SH SOLE NONE 0 0 72 APPLE INC COM 037833100 332 3010 SH SOLE NONE 0 0 3010 ABBVIE INC COM 00287Y109 218 3334 SH SOLE NONE 0 0 3334 ABBOTT LABS COM 002824100 117 2612 SH SOLE NONE 0 0 2612 ACE LTD SHS H0023R105 44 389 SH SOLE NONE 0 0 389 ALLIANCEBERNSTEIN INCOME F COM 01881E101 7 1016 SH SOLE NONE 0 0 1016 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 61 686 SH SOLE NONE 0 0 686 ANALOG DEVICES INC COM 032654105 111 2010 SH SOLE NONE 0 0 2010 AUTOMATIC DATA PROCESSING COM 053015103 174 2092 SH SOLE NONE 0 0 2092 THE ADT CORPORATION COM 00101J106 7 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713448108 349 3695 SH SOLE NONE 0 0 3695 ELLIS PERRY INTL INC COM 288853104 0 19 SH SOLE NONE 0 0 19 PFIZER INC COM 717081103 580 18650 SH SOLE NONE 0 0 18650 ISHARES TR U.S. PFD STK ETF 464288687 1811 45935 SH SOLE NONE 0 0 45935 PROCTER & GAMBLE CO COM 742718109 278 3060 SH SOLE NONE 0 0 3060 POWERSHARES GLOBAL ETF TRU AGG PFD PORT 73936T565 132 9008 SH SOLE NONE 0 0 9008 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 1028 58740 SH SOLE NONE 0 0 58740 PHILIP MORRIS INTL INC COM 718172109 217 2672 SH SOLE NONE 0 0 2672 PIMCO MUN INCOME FD II COM 72200W106 5 500 SH SOLE NONE 0 0 500 PUTNAM MANAGED MUN INCOM T COM 746823103 11 1521 SH SOLE NONE 0 0 1521 PENNANTPARK INVT CORP COM 708062104 14 1538 SH SOLE NONE 0 0 1538 PENTAIR PLC SHS G7S00T104 6 103 SH SOLE NONE 0 0 103 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 12285 134373 SH SOLE NONE 0 0 134373 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 151 1505 SH SOLE NONE 0 0 1505 PRUDENTIAL FINL INC COM 744320102 14 175 SH SOLE NONE 0 0 175 PHILLIPS 66 COM 718546104 18 255 SH SOLE NONE 0 0 255 PRAXAIR INC COM 74005P104 3 25 SH SOLE NONE 0 0 25 POWERSHARES GLOBAL ETF TRU DEV MKTS EX-US 73936T789 306 7765 SH SOLE NONE 0 0 7765 INDEXIQ ETF TR HEDGE MLTI ETF 45409B107 77 2625 SH SOLE NONE 0 0 2625 QUALCOMM INC COM 747525103 114 1535 SH SOLE NONE 0 0 1535 QEP RES INC COM 74733V100 1 50 SH SOLE NONE 0 0 50 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 135 1314 SH SOLE NONE 0 0 1314 REYNOLDS AMERICAN INC COM 761713106 25 400 SH SOLE NONE 0 0 400 COHEN & STEERS TOTAL RETUR COM 19247R103 144 10930 SH SOLE NONE 0 0 10930 COHEN & STEERS REIT & PFD COM 19247X100 28 1500 SH SOLE NONE 0 0 1500 ROPER TECHNOLOGIES INC COM 776696106 20 130 SH SOLE NONE 0 0 130 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 559 6987 SH SOLE NONE 0 0 6987 REVENUESHARES ETF TR ADR FD 761396605 745 20759 SH SOLE NONE 0 0 20759 REVENUESHARES ETF TR SMALL CAP FD 761396308 701 12299 SH SOLE NONE 0 0 12299 REVENUESHARES ETF TR MID CAP FD 761396209 922 19049 SH SOLE NONE 0 0 19049 REVENUESHARES ETF TR LARGECAP FD 761396100 5047 123793 SH SOLE NONE 0 0 123793 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 697 16790 SH SOLE NONE 0 0 16790 ROYAL BK CDA MONTREAL QUE COM 780087102 2002 29000 SH SOLE NONE 0 0 29000 SPRINT CORP COM SER 1 85207U105 4 497 SH SOLE NONE 0 0 497 BANCO SANTANDER SA ADR 05964H105 3 328 SH SOLE NONE 0 0 328 SANMINA CORPORATION COM 801056102 25 1076 SH SOLE NONE 0 0 1076 SBA COMMUNICATIONS CORP COM 78388J106 26 239 SH SOLE NONE 0 0 239 STARBUCKS CORP COM 855244109 3 37 SH SOLE NONE 0 0 37 SOUTHERN COPPER CORP COM 84265V105 8 306 SH SOLE NONE 0 0 306 SERVICE CORP INTL COM 817565104 38 1703 SH SOLE NONE 0 0 1703 ISHARES TR EAFE SML CP ETF 464288273 664 14217 SH SOLE NONE 0 0 14217 SPDR SERIES TRUST S&P DIVID ETF 78464A763 20507 260249 SH SOLE NONE 0 0 260249 ISHARES TR 1-3 YR TR BD ETF 464287457 2 35 SH SOLE NONE 0 0 35 SINA CORP ORD G81477104 4 115 SH SOLE NONE 0 0 115 SIRIUS XM HLDGS INC COM 82968B103 1 500 SH SOLE NONE 0 0 500 SMUCKER J M CO COM NEW 832696405 6 69 SH SOLE NONE 0 0 69 SPDR SER TR SHT TRM HGH YLD 78468R408 14 490 SH SOLE NONE 0 0 490 SCHLUMBERGER LTD COM 806857108 40 477 SH SOLE NONE 0 0 477 SUMMIT MIDSTREAM PARTNERS COM UNIT LTD 866142102 9 250 SH SOLE NONE 0 0 250 SOUTHERN CO COM 842587107 69 1416 SH SOLE NONE 0 0 1416 ISHARES TR PHLX SEMICND ETF 464287523 408 4400 SH SOLE NONE 0 0 4400 SUBURBAN PROPANE PARTNERS UNIT LTD PARTN 864482104 39 925 SH SOLE NONE 0 0 925 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 4688 123505 SH SOLE NONE 0 0 123505 SPDR S&P 500 ETF TR TR UNIT 78462F103 34760 169116 SH SOLE NONE 0 0 169116 STONEMOR PARTNERS L P COM UNITS 86183Q100 14 550 SH SOLE NONE 0 0 550 PIMCO ETF TR 1-5 US TIP IDX 72201R205 116 2250 SH SOLE NONE 0 0 2250 STARZ COM SER A 85571Q102 10 350 SH SOLE NONE 0 0 350 SUNCOR ENERGY INC NEW COM 867224107 38 1000 SH SOLE NONE 0 0 1000 SOUTHCROSS ENERGY PARTNERS COM UNIT LTDPT 84130C100 4 300 SH SOLE NONE 0 0 300 AT&T INC COM 00206R102 40 1217 SH SOLE NONE 0 0 1217 TORONTO DOMINION BK ONT COM NEW 891160509 19 400 SH SOLE NONE 0 0 400 TELEFONICA S A SPONSORED ADR 879382208 10 759 SH SOLE NONE 0 0 759 TE CONNECTIVITY LTD REG SHS H84989104 47 747 SH SOLE NONE 0 0 747 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 16 375 SH SOLE NONE 0 0 375 TARGET CORP COM 87612E106 101 1336 SH SOLE NONE 0 0 1336 ISHARES TR TIPS BD ETF 464287176 543 4855 SH SOLE NONE 0 0 4855 THERMO FISHER SCIENTIFIC I COM 883556102 86 691 SH SOLE NONE 0 0 691 TOLL BROTHERS INC COM 889478103 2 87 SH SOLE NONE 0 0 87 TOTAL S A SPONSORED ADR 89151E109 5 100 SH SOLE NONE 0 0 100 TRIMBLE NAVIGATION LTD COM 896239100 9 370 SH SOLE NONE 0 0 370 PRICE T ROWE GROUP INC COM 74144T108 4 50 SH SOLE NONE 0 0 50 TIME WARNER CABLE INC COM 88732J207 3 25 SH SOLE NONE 0 0 25 TWO HBRS INVT CORP COM 90187B101 15 1539 SH SOLE NONE 0 0 1539 TEXAS INSTRS INC COM 882508104 26 500 SH SOLE NONE 0 0 500 TYCO INTL PLC SHS G91442106 27 626 SH SOLE NONE 0 0 626 UNDER ARMOUR INC CL A 904311107 54 800 SH SOLE NONE 0 0 800 UNION PAC CORP COM 907818108 23 200 SH SOLE NONE 0 0 200 UNITED PARCEL SERVICE INC CL B 911312106 67 606 SH SOLE NONE 0 0 606 U S G CORP COM NEW 903293405 0 2 SH SOLE NONE 0 0 2 ISHARES TR USA MIN VOL ETF 46429B697 902 22291 SH SOLE NONE 0 0 22291 UNITED STATES OIL FUND LP UNITS 91232N108 24 1200 SH SOLE NONE 0 0 1200 COHEN & STEERS INFRASTRUCT COM 19248A109 34 1500 SH SOLE NONE 0 0 1500 UNITED TECHNOLOGIES CORP COM 913017109 15 137 SH SOLE NONE 0 0 137 VISA INC COM CL A 92826C839 75 288 SH SOLE NONE 0 0 288 VANGUARD INDEX FDS SMALL CP ETF 922908751 643 5516 SH SOLE NONE 0 0 5516 VANGUARD INTL EQUITY INDEX ALLWRLD EX US 922042775 1566 33424 SH SOLE NONE 0 0 33424 VANGUARD INTL EQUITY INDEX FTSE EUROPE ETF 922042874 226 4316 SH SOLE NONE 0 0 4316 VIACOM INC NEW CL B 92553P201 17 236 SH SOLE NONE 0 0 236 VANGUARD SPECIALIZED PORTF DIV APP ETF 921908844 1046 12890 SH SOLE NONE 0 0 12890 VALERO ENERGY CORP NEW COM 91913Y100 29 600 SH SOLE NONE 0 0 600 VANGUARD INDEX FDS REIT ETF 922908553 6733 83134 SH SOLE NONE 0 0 83134 VANGUARD INTL EQUITY INDEX GLB EX US ETF 922042676 214 4000 SH SOLE NONE 0 0 4000 VANGUARD INDEX FDS MID CAP ETF 922908629 25 210 SH SOLE NONE 0 0 210 VANGUARD INTL EQUITY INDEX FTSE PACIFIC ETF 922042866 111 1960 SH SOLE NONE 0 0 1960 VRINGO INC COM 92911N104 0 1000 SH SOLE NONE 0 0 1000 VERITIV CORP COM 923454102 0 7 SH SOLE NONE 0 0 7 VANGUARD INTL EQUITY INDEX FTSE SMCAP ETF 922042718 405 4250 SH SOLE NONE 0 0 4250 VANGUARD INTL EQUITY INDEX TT WRLD ST ETF 922042742 71 1195 SH SOLE NONE 0 0 1195 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2544 24000 SH SOLE NONE 0 0 24000 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 583 12100 SH SOLE NONE 0 0 12100 INVESCO TR INVT GRADE NY M COM 46131T101 4 300 SH SOLE NONE 0 0 300 INVESCO SR INCOME TR COM 46131H107 581 127453 SH SOLE NONE 0 0 127453 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 894 22345 SH SOLE NONE 0 0 22345 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 285 3250 SH SOLE NONE 0 0 3250 VANGUARD STAR FD VG TL INTL STK F 921909768 11 230 SH SOLE NONE 0 0 230 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 500 7281 SH SOLE NONE 0 0 7281 VERIZON COMMUNICATIONS INC COM 92343V104 180 3863 SH SOLE NONE 0 0 3863 WABCO HLDGS INC COM 92927K102 20 200 SH SOLE NONE 0 0 200 WESTERN GAS PARTNERS LP COM UNIT LP IN 958254104 18 250 SH SOLE NONE 0 0 250 WELLS FARGO & CO NEW COM 949746101 71 1303 SH SOLE NONE 0 0 1303 SPDR SERIES TRUST DB INT GVT ETF 78464A490 649 11400 SH SOLE NONE 0 0 11400 WAL-MART STORES INC COM 931142103 160 1870 SH SOLE NONE 0 0 1870 WASHINGTON REAL ESTATE INV SH BEN INT 939653101 55 2000 SH SOLE NONE 0 0 2000 WILLIS GROUP HOLDINGS PUBL SHS G96666105 4 100 SH SOLE NONE 0 0 100 AQUA AMERICA INC COM 03836W103 4 156 SH SOLE NONE 0 0 156 WYNN RESORTS LTD COM 983134107 14 100 SH SOLE NONE 0 0 100 EXXON MOBIL CORP COM 30231G102 1462 15821 SH SOLE NONE 0 0 15821 YAHOO INC COM 984332106 63 1250 SH SOLE NONE 0 0 1250 ZIMMER BIOMET HLDGS INC COM 98956P102 22 200 SH SOLE NONE 0 0 200