0001606587-16-000425.txt : 20160209 0001606587-16-000425.hdr.sgml : 20160209 20160208210911 ACCESSION NUMBER: 0001606587-16-000425 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 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: 161397075 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 09-30-2015 09-30-2015 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 02-08-2016 0 437 255015 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE BARCLAYS BANK PLC ADR PFD SR 5 06739H362 10 425 SH SOLE NONE 0 0 425 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 T 780097713 7 300 SH SOLE NONE 0 0 300 ROYAL BK SCOTLAND GROUP PL SP ADR PREF S 780097739 10 400 SH SOLE NONE 0 0 400 AMERICAN AIRLS GROUP INC COM 02376R102 2 72 SH SOLE NONE 0 0 72 APPLE INC COM 037833100 667 6047 SH SOLE NONE 0 0 6047 ABBVIE INC COM 00287Y109 181 3334 SH SOLE NONE 0 0 3334 ABBOTT LABS COM 002824100 108 2706 SH SOLE NONE 0 0 2706 ACE LTD SHS H0023R105 40 389 SH SOLE NONE 0 0 389 ALLIANCEBERNSTEIN INCOME F COM 01881E101 7 1016 PRN SOLE NONE 0 0 1016 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 67 686 SH SOLE NONE 0 0 686 ANALOG DEVICES INC COM 032654105 113 2010 SH SOLE NONE 0 0 2010 AUTOMATIC DATA PROCESSING COM 053015103 168 2092 SH SOLE NONE 0 0 2092 THE ADT CORPORATION COM 00101J106 6 216 SH SOLE NONE 0 0 216 AMERICAN ELEC PWR INC COM 025537101 5 100 SH SOLE NONE 0 0 100 AFLAC INC COM 001055102 5 100 SH SOLE NONE 0 0 100 ALLERGAN PLC SHS G0177J108 60 222 SH SOLE NONE 0 0 222 ALLERGAN PLC PFD CONV SER A G0177J116 8 9 PRN SOLE NONE 0 0 9 AMERICAN INTL GROUP INC COM NEW 026874784 130 2305 SH SOLE NONE 0 0 2305 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 0 2 PRN SOLE NONE 0 0 2 ALBEMARLE CORP COM 012653101 0 12 SH SOLE NONE 0 0 12 ALCATEL-LUCENT SPONSORED ADR 013904305 3 976 SH SOLE NONE 0 0 976 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 14907 490546 SH SOLE NONE 0 0 490546 ALPS ETF TR ALERIAN MLP 00162Q866 6 500 SH SOLE NONE 0 0 500 AMERICAN TOWER CORP NEW COM 03027X100 2 25 SH SOLE NONE 0 0 25 AMAZON COM INC COM 023135106 563 1100 SH SOLE NONE 0 0 1100 APACHE CORP COM 037411105 0 25 SH SOLE NONE 0 0 25 ARES CAP CORP COM 04010L103 5 400 SH SOLE NONE 0 0 400 ASHLAND INC NEW COM 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637071101 1 37 SH SOLE NONE 0 0 37 NUVEEN QUALITY MUN FD INC COM 67062N103 7 600 PRN SOLE NONE 0 0 600 NORTHSTAR RLTY FIN CORP COM NEW 66704R704 10 835 SH SOLE NONE 0 0 835 NUVEEN NY AMT FREE MUN INC COM 670656107 71 5664 PRN SOLE NONE 0 0 5664 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 9 700 SH SOLE NONE 0 0 700 NORFOLK SOUTHERN CORP COM 655844108 21 285 SH SOLE NONE 0 0 285 NUSTAR GP HOLDINGS LLC UNIT RESTG LLC 67059L102 24 925 SH SOLE NONE 0 0 925 NUVEEN SR INCOME FD COM 67067Y104 384 65047 PRN SOLE NONE 0 0 65047 NETAPP INC COM 64110D104 8 290 SH SOLE NONE 0 0 290 NUCOR CORP COM 670346105 50 1332 SH SOLE NONE 0 0 1332 NUVEEN OHIO QUALITY INCOME COM 670980101 8 559 PRN SOLE NONE 0 0 559 NUVEEN MUN VALUE FD INC COM 670928100 11 1171 PRN SOLE NONE 0 0 1171 NOVARTIS A G SPONSORED ADR 66987V109 25 279 SH SOLE NONE 0 0 279 NUVEEN SELECT TAX FREE INC SH BEN INT 67063C106 5 398 PRN SOLE NONE 0 0 398 ISHARES TR S&P 100 ETF 464287101 594 7010 SH SOLE NONE 0 0 7010 OMNICOM GROUP INC COM 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PROCTER & GAMBLE CO COM 742718109 228 3172 SH SOLE NONE 0 0 3172 POWERSHARES GLOBAL ETF TRU AGG PFD PORT 73936T565 133 9149 SH SOLE NONE 0 0 9149 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 865 59871 SH SOLE NONE 0 0 59871 PROLOGIS INC COM 74340W103 233 6000 SH SOLE NONE 0 0 6000 PHILIP MORRIS INTL INC COM 718172109 191 2416 SH SOLE NONE 0 0 2416 PIMCO MUN INCOME FD II COM 72200W106 6 500 PRN SOLE NONE 0 0 500 PUTNAM MANAGED MUN INCOM T COM 746823103 10 1521 PRN SOLE NONE 0 0 1521 PENNANTPARK INVT CORP COM 708062104 8 1325 SH SOLE NONE 0 0 1325 PENTAIR PLC SHS G7S00T104 5 103 SH SOLE NONE 0 0 103 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 15361 185276 SH SOLE NONE 0 0 185276 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 23 255 SH SOLE NONE 0 0 255 PRUDENTIAL FINL INC COM 744320102 13 175 SH SOLE NONE 0 0 175 PHILLIPS 66 COM 718546104 15 200 SH SOLE NONE 0 0 200 PRAXAIR INC COM 74005P104 2 25 SH SOLE NONE 0 0 25 POWERSHARES GLOBAL ETF TRU DEV MKTS EX-US 73936T789 381 10675 SH SOLE NONE 0 0 10675 PAYPAL HLDGS INC COM 70450Y103 64 2070 SH SOLE NONE 0 0 2070 QUALCOMM INC COM 747525103 105 1958 SH SOLE NONE 0 0 1958 QEP RES INC COM 74733V100 0 50 SH SOLE NONE 0 0 50 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 133 1314 SH SOLE NONE 0 0 1314 QORVO INC COM 74736K101 16 375 SH SOLE NONE 0 0 375 REYNOLDS AMERICAN INC COM 761713106 8 200 SH SOLE NONE 0 0 200 RAIT FINANCIAL TRUST COM NEW 749227609 10 2150 SH SOLE NONE 0 0 2150 ROCK CREEK PHARMACEUTICALS COM NEW 772081204 0 829 SH SOLE NONE 0 0 829 COHEN & STEERS TOTAL RETUR COM 19247R103 129 10930 PRN SOLE NONE 0 0 10930 COHEN & STEERS REIT & PFD COM 19247X100 25 1500 PRN 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 489 6652 SH SOLE NONE 0 0 6652 REVENUESHARES ETF TR ADR FD 761396605 562 18750 SH SOLE NONE 0 0 18750 REVENUESHARES ETF TR SMALL CAP FD 761396308 614 12105 SH SOLE NONE 0 0 12105 REVENUESHARES ETF TR MID CAP FD 761396209 791 17664 SH SOLE NONE 0 0 17664 REVENUESHARES ETF TR LARGECAP FD 761396100 4614 122429 SH SOLE NONE 0 0 122429 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 691 17587 SH SOLE NONE 0 0 17587 ROYAL BK CDA MONTREAL QUE COM 780087102 1462 26470 SH SOLE NONE 0 0 26470 SPRINT CORP COM SER 1 85207U105 2 627 SH SOLE NONE 0 0 627 BANCO SANTANDER SA ADR 05964H105 1 342 SH SOLE NONE 0 0 342 SBA COMMUNICATIONS CORP COM 78388J106 25 239 SH SOLE NONE 0 0 239 STARBUCKS CORP COM 855244109 4 74 SH SOLE NONE 0 0 74 LMP CAP & INCOME FD INC COM 50208A102 141 11600 PRN SOLE NONE 0 0 11600 SERVICE CORP INTL COM 817565104 46 1703 SH SOLE NONE 0 0 1703 ISHARES TR EAFE SML CP ETF 464288273 677 14177 SH SOLE NONE 0 0 14177 SPDR SERIES TRUST S&P DIVID ETF 78464A763 18675 258809 SH SOLE NONE 0 0 258809 SEAWORLD ENTMT INC COM 81282V100 7 425 SH SOLE NONE 0 0 425 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 SIX FLAGS ENTMT CORP NEW COM 83001A102 9 200 SH SOLE NONE 0 0 200 SMUCKER J M CO COM NEW 832696405 7 69 SH SOLE NONE 0 0 69 SCHLUMBERGER LTD COM 806857108 226 3277 SH SOLE NONE 0 0 3277 SUMMIT MIDSTREAM PARTNERS COM UNIT LTD 866142102 4 250 SH SOLE NONE 0 0 250 SENIOR HSG PPTYS TR SH BEN INT 81721M109 5 325 SH SOLE NONE 0 0 325 SANOFI SPONSORED ADR 80105N105 22 464 SH SOLE NONE 0 0 464 SOUTHERN CO COM 842587107 63 1416 SH SOLE NONE 0 0 1416 ISHARES TR PHLX SEMICND ETF 464287523 358 4400 SH SOLE NONE 0 0 4400 SUBURBAN PROPANE PARTNERS UNIT LTD PARTN 864482104 9 300 SH SOLE NONE 0 0 300 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 4887 135917 SH SOLE NONE 0 0 135917 SPDR S&P 500 ETF TR TR UNIT 78462F103 31885 166393 SH SOLE NONE 0 0 166393 CUSHING ENERGY INCOME COM SH BEN INT 23162T102 1 106 PRN SOLE NONE 0 0 106 SENSATA TECHNOLOGIES HLDG SHS N7902X106 221 5000 SH SOLE NONE 0 0 5000 STERLING BANCORP DEL COM 85917A100 54 3653 SH SOLE NONE 0 0 3653 STONEMOR PARTNERS L P COM UNITS 86183Q100 18 675 SH SOLE NONE 0 0 675 PIMCO ETF TR 1-5 US TIP IDX 72201R205 116 2250 SH SOLE NONE 0 0 2250 STARZ COM SER A 85571Q102 13 350 SH SOLE NONE 0 0 350 SUNCOR ENERGY INC NEW COM 867224107 26 1000 SH SOLE NONE 0 0 1000 SUNOCO LOGISTICS PRTNRS L COM UNITS 86764L108 189 6600 SH SOLE NONE 0 0 6600 AT&T INC COM 00206R102 69 2127 SH SOLE NONE 0 0 2127 TC PIPELINES LP UT COM LTD PRT 87233Q108 14 309 SH SOLE NONE 0 0 309 TELEFONICA S A SPONSORED ADR 879382208 9 759 SH SOLE NONE 0 0 759 TE CONNECTIVITY LTD REG SHS H84989104 25 434 SH SOLE NONE 0 0 434 TEGNA INC COM 87901J105 246 11000 SH SOLE NONE 0 0 11000 TARGET CORP COM 87612E106 105 1336 SH SOLE NONE 0 0 1336 ISHARES TR TIPS BD ETF 464287176 4707 42528 SH SOLE NONE 0 0 42528 THERMO FISHER SCIENTIFIC I COM 883556102 289 2366 SH SOLE NONE 0 0 2366 TOLL BROTHERS INC COM 889478103 2 87 SH SOLE NONE 0 0 87 TOTAL S A SPONSORED ADR 89151E109 4 100 SH SOLE NONE 0 0 100 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 99 2000 SH SOLE NONE 0 0 2000 TRIMBLE NAVIGATION LTD COM 896239100 6 370 SH SOLE NONE 0 0 370 PRICE T ROWE GROUP INC COM 74144T108 3 50 SH SOLE NONE 0 0 50 TIME WARNER CABLE INC COM 88732J207 4 25 SH SOLE NONE 0 0 25 TEXAS INSTRS INC COM 882508104 24 500 SH SOLE NONE 0 0 500 TRI CONTL CORP COM 895436103 19 1000 SH SOLE NONE 0 0 1000 TYCO INTL PLC SHS G91442106 10 312 SH SOLE NONE 0 0 312 UNDER ARMOUR INC CL A 904311107 77 800 SH SOLE NONE 0 0 800 UNILEVER PLC SPON ADR NEW 904767704 18 463 SH SOLE NONE 0 0 463 UNION PAC CORP COM 907818108 17 200 SH SOLE NONE 0 0 200 UNITED PARCEL SERVICE INC CL B 911312106 82 832 SH SOLE NONE 0 0 832 UNITED RENTALS INC COM 911363109 150 2500 SH SOLE NONE 0 0 2500 U S G CORP COM NEW 903293405 0 2 SH SOLE NONE 0 0 2 ISHARES TR USA MIN VOL ETF 46429B697 2441 61661 SH SOLE NONE 0 0 61661 UNITED STATES OIL FUND LP UNITS 91232N108 17 1200 SH SOLE NONE 0 0 1200 COHEN & STEERS INFRASTRUCT COM 19248A109 28 1500 PRN SOLE NONE 0 0 1500 UNITED TECHNOLOGIES CORP COM 913017109 12 137 SH SOLE NONE 0 0 137 VISA INC COM CL A 92826C839 80 1152 SH SOLE NONE 0 0 1152 VANGUARD INDEX FDS SMALL CP ETF 922908751 700 6489 SH SOLE NONE 0 0 6489 VANGUARD INTL EQUITY INDEX ALLWRLD EX US 922042775 2687 63042 SH SOLE NONE 0 0 63042 VANGUARD INTL EQUITY INDEX FTSE EUROPE ETF 922042874 212 4316 SH SOLE NONE 0 0 4316 VIRNETX HLDG CORP COM 92823T108 3 1000 SH SOLE NONE 0 0 1000 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 102 837 SH SOLE NONE 0 0 837 VIACOM INC NEW CL B 92553P201 10 236 SH SOLE NONE 0 0 236 VANGUARD SPECIALIZED PORTF DIV APP ETF 921908844 868 11774 SH SOLE NONE 0 0 11774 VALERO ENERGY CORP NEW COM 91913Y100 36 600 SH SOLE NONE 0 0 600 VORNADO RLTY TR SH BEN INT 929042109 217 2400 SH SOLE NONE 0 0 2400 VANGUARD INDEX FDS REIT ETF 922908553 6499 86037 SH SOLE NONE 0 0 86037 VANGUARD INTL EQUITY INDEX GLB EX US ETF 922042676 203 4000 SH SOLE NONE 0 0 4000 VANGUARD INDEX FDS MID CAP ETF 922908629 24 210 SH SOLE NONE 0 0 210 VANGUARD INTL EQUITY INDEX FTSE PACIFIC ETF 922042866 105 1960 SH SOLE NONE 0 0 1960 VRINGO INC COM 92911N104 0 1000 SH SOLE NONE 0 0 1000 POWERSHARES ETF TR II VAR RATE PFD POR 73937B597 191 7900 SH SOLE NONE 0 0 7900 VERITIV CORP COM 923454102 0 7 SH SOLE NONE 0 0 7 VANGUARD INTL EQUITY INDEX FTSE SMCAP ETF 922042718 566 6250 SH SOLE NONE 0 0 6250 VANGUARD INTL EQUITY INDEX TT WRLD ST ETF 922042742 66 1195 SH SOLE NONE 0 0 1195 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2369 24000 SH SOLE NONE 0 0 24000 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 725 15005 SH SOLE NONE 0 0 15005 INVESCO TR INVT GRADE NY M COM 46131T101 4 300 PRN SOLE NONE 0 0 300 VTTI ENERGY PARTNERS LP COM UNIT RP LT Y9384M101 7 375 PRN SOLE NONE 0 0 375 INVESCO SR INCOME TR COM 46131H107 546 130822 PRN SOLE NONE 0 0 130822 VANGUARD INTL EQUITY INDEX FTSE EMR MKT ETF 922042858 1237 37399 SH SOLE NONE 0 0 37399 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 265 3250 SH SOLE NONE 0 0 3250 VANGUARD STAR FD VG TL INTL STK F 921909768 10 230 SH SOLE NONE 0 0 230 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 496 7920 SH SOLE NONE 0 0 7920 VERIZON COMMUNICATIONS INC COM 92343V104 192 4428 SH SOLE NONE 0 0 4428 WABCO HLDGS INC COM 92927K102 20 200 SH SOLE NONE 0 0 200 WESTERN GAS PARTNERS LP COM UNIT LP IN 958254104 210 4500 SH SOLE NONE 0 0 4500 WELLS FARGO & CO NEW COM 949746101 323 6303 SH SOLE NONE 0 0 6303 SPDR SERIES TRUST DB INT GVT ETF 78464A490 593 11400 SH SOLE NONE 0 0 11400 WAL-MART STORES INC COM 931142103 121 1870 SH SOLE NONE 0 0 1870 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR 96949L105 9 300 SH SOLE NONE 0 0 300 WESTAR ENERGY INC COM 95709T100 25 665 SH SOLE NONE 0 0 665 WASHINGTON REAL ESTATE INV SH BEN INT 939653101 49 2000 SH SOLE NONE 0 0 2000 WESTROCK CO COM 96145D105 257 5000 SH SOLE NONE 0 0 5000 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 XCEL ENERGY INC COM 98389B100 24 687 SH SOLE NONE 0 0 687 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3 142 SH SOLE NONE 0 0 142 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 84 2130 SH SOLE NONE 0 0 2130 EXXON MOBIL CORP COM 30231G102 1260 16948 SH SOLE NONE 0 0 16948 YAHOO INC COM 984332106 36 1250 SH SOLE NONE 0 0 1250 ZIMMER BIOMET HLDGS INC COM 98956P102 18 200 SH SOLE NONE 0 0 200