0001606587-17-000275.txt : 20170504 0001606587-17-000275.hdr.sgml : 20170504 20170504135226 ACCESSION NUMBER: 0001606587-17-000275 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170504 DATE AS OF CHANGE: 20170504 EFFECTIVENESS DATE: 20170504 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: 17813205 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 03-31-2017 03-31-2017 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 05-04-2017 0 95 360385 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE BERKSHIRE HATHAWAY INC D CL B NEW 084670702 547 3267 SH SOLE NONE 0 0 3267 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1319 12979 SH SOLE NONE 0 0 12979 WESTERN ASSET EMRG MKT D COM 95766A101 828 53397 SH SOLE NONE 0 0 53397 NUVEEN ENERGY MLP TOTL R COM 67074U103 144 10573 PRN SOLE NONE 0 0 10573 EXXON MOBIL CORP COM 30231G102 1530 18658 SH SOLE NONE 0 0 18658 SPDR SERIES TRUST CITI INT GVT ETF 78464A490 329 6000 SH SOLE NONE 0 0 6000 VERIZON COMMUNICATIONS I COM 92343V104 223 4575 SH SOLE NONE 0 0 4575 VANGUARD WHITEHALL FDS I HIGH DIV YLD 921946406 436 5619 SH SOLE NONE 0 0 5619 VANGUARD STAR FD VG TL INTL STK F 921909768 775 15600 SH SOLE NONE 0 0 15600 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 325 3250 SH SOLE NONE 0 0 3250 VANGUARD INTL EQUITY IND FTSE EMR MKT ETF 922042858 1475 37132 SH SOLE NONE 0 0 37132 INVESCO SR INCOME TR COM 46131H107 535 115452 SH SOLE NONE 0 0 115452 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 9061 183157 SH SOLE NONE 0 0 183157 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1089 8978 SH SOLE NONE 0 0 8978 POWERSHARES ETF TR II VAR RATE PFD POR 73937B597 2006 78807 SH SOLE NONE 0 0 78807 VANGUARD INDEX FDS MID CAP ETF 922908629 386 2770 SH SOLE NONE 0 0 2770 VANGUARD INTL EQUITY IND GLB EX US ETF 922042676 213 4000 SH SOLE NONE 0 0 4000 VANGUARD INDEX FDS REIT ETF 922908553 5531 66970 SH SOLE NONE 0 0 66970 VANGUARD SPECIALIZED POR DIV APP ETF 921908844 849 9443 SH SOLE NONE 0 0 9443 VANGUARD INTL EQUITY IND ALLWRLD EX US 922042775 1832 38299 SH SOLE NONE 0 0 38299 VANGUARD TAX MANAGED INT FTSE DEV MKT ETF 921943858 987 25112 SH SOLE NONE 0 0 25112 VANGUARD INDEX FDS SMALL CP ETF 922908751 590 4425 SH SOLE NONE 0 0 4425 ISHARES TR MIN VOL USA ETF 46429B697 4502 94337 SH SOLE NONE 0 0 94337 ISHARES TR TIPS BD ETF 464287176 13633 118914 SH SOLE NONE 0 0 118914 SPDR S&P 500 ETF TR TR UNIT 78462F103 34517 146420 SH SOLE NONE 0 0 146420 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 4941 113657 SH SOLE NONE 0 0 113657 ISHARES TR PHLX SEMICND ETF 464287523 602 4400 SH SOLE NONE 0 0 4400 SPDR SERIES TRUST S&P DIVID ETF 78464A763 21143 239883 SH SOLE NONE 0 0 239883 ISHARES TR EAFE SML CP ETF 464288273 707 13055 SH SOLE NONE 0 0 13055 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 315 13152 SH SOLE NONE 0 0 13152 ROYAL BK CDA MONTREAL QU COM 780087102 693 9506 SH SOLE NONE 0 0 9506 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 506 13541 SH SOLE NONE 0 0 13541 OPPENHEIMER REV WEIGHTD LARGE CAP REV ET 68386C104 5047 110916 SH SOLE NONE 0 0 110916 OPPENHEIMER REV WEIGHTD MID CAP REV ETF 68386C203 918 16524 SH SOLE NONE 0 0 16524 OPPENHEIMER REV WEIGHTD SMALL CAP REV ET 68386C302 750 11296 SH SOLE NONE 0 0 11296 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 604 6652 SH SOLE NONE 0 0 6652 COHEN & STEERS TOTAL RET COM 19247R103 135 10930 SH SOLE NONE 0 0 10930 POWERSHARES ETF TR II DEV MKTS EX-US 73936T789 210 5250 SH SOLE NONE 0 0 5250 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 20674 201754 SH SOLE NONE 0 0 201754 PHILIP MORRIS INTL INC COM 718172109 276 2442 SH SOLE NONE 0 0 2442 PJT PARTNERS INC COM CL A 69343T107 5734 163398 SH SOLE NONE 0 0 163398 PARAMOUNT GROUP INC COM 69924R108 458 28275 SH SOLE NONE 0 0 28275 PROCTER AND GAMBLE CO COM 742718109 255 2843 SH SOLE NONE 0 0 2843 PFIZER INC COM 717081103 656 19170 SH SOLE NONE 0 0 19170 PEPSICO INC COM 713448108 642 5736 SH SOLE NONE 0 0 5736 POWERSHARES ETF TR II EX US SML PORT 73936T771 351 12000 SH SOLE NONE 0 0 12000 ISHARES TR S&P 100 ETF 464287101 720 6880 SH SOLE NONE 0 0 6880 NUVEEN SR INCOME FD COM 67067Y104 253 37279 SH SOLE NONE 0 0 37279 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 5537 110191 SH SOLE NONE 0 0 110191 ISHARES TR NATIONAL MUN ETF 464288414 228 2097 SH SOLE NONE 0 0 2097 MICROSOFT CORP COM 594918104 540 8192 SH SOLE NONE 0 0 8192 MERCK & CO INC COM 58933Y105 269 4232 SH SOLE NONE 0 0 4232 ALTRIA GROUP INC COM 02209S103 280 3923 SH SOLE NONE 0 0 3923 GLOBAL X FDS GLB X MLP ENRG I 37950E226 1801 122072 SH SOLE NONE 0 0 122072 UBS AG JERSEY BRH ALERIAN INFRST 902641646 24975 855901 SH SOLE NONE 0 0 855901 SPDR S&P MIDCAP 400 ETF UTSER1 S&PDCRP 78467Y107 16308 52200 SH SOLE NONE 0 0 52200 BARINGS CORPORATE INVS COM 06759X107 163 10703 SH SOLE NONE 0 0 10703 JPMORGAN CHASE & CO COM 46625H100 389 4423 SH SOLE NONE 0 0 4423 JOHNSON & JOHNSON COM 478160104 453 3639 SH SOLE NONE 0 0 3639 ISHARES TR RUS MID CAP ETF 464287499 477 2551 SH SOLE NONE 0 0 2551 ISHARES TR RUSSELL 2000 ETF 464287655 5346 38886 SH SOLE NONE 0 0 38886 ISHARES TR RUS 1000 GRW ETF 464287614 577 5068 SH SOLE NONE 0 0 5068 ISHARES TR RUS 1000 VAL ETF 464287598 434 3772 SH SOLE NONE 0 0 3772 ISHARES TR RUS 1000 ETF 464287622 2839 21633 SH SOLE NONE 0 0 21633 ISHARES TR CORE S&P500 ETF 464287200 48344 203753 SH SOLE NONE 0 0 203753 COHEN & STEERS GLOBAL IN COM 19248M103 436 47595 SH SOLE NONE 0 0 47595 ISHARES TR CORE S&P SCP ETF 464287804 12076 174614 SH SOLE NONE 0 0 174614 ISHARES TR S&P MC 400VL ETF 464287705 240 1617 SH SOLE NONE 0 0 1617 ISHARES TR CORE S&P MCP ETF 464287507 24368 142323 SH SOLE NONE 0 0 142323 ISHARES TR 7-10YR TR BD ETF 464287440 241 2283 SH SOLE NONE 0 0 2283 ISHARES TR INTL SEL DIV ETF 464288448 8440 268274 SH SOLE NONE 0 0 268274 HERSHEY CO COM 427866108 350 3200 SH SOLE NONE 0 0 3200 HONEYWELL INTL INC COM 438516106 311 2494 SH SOLE NONE 0 0 2494 ISHARES TR CORE HIGH DV ETF 46429B663 1817 21667 SH SOLE NONE 0 0 21667 GENERAL ELECTRIC CO COM 369604103 963 32301 SH SOLE NONE 0 0 32301 CURRENCYSHARES EURO TR EURO SHS 23130C108 248 2401 SH SOLE NONE 0 0 2401 BLACKROCK FLOAT RATE OME COM 09255X100 1305 90057 SH SOLE NONE 0 0 90057 ISHARES TR FLTG RATE BD ETF 46429B655 203 4000 SH SOLE NONE 0 0 4000 FIRST HORIZON NATL CORP COM 320517105 997 53882 SH SOLE NONE 0 0 53882 FIRST TR SR FLG RTE INCM COM 33733U108 1789 129359 SH SOLE NONE 0 0 129359 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 402 8860 SH SOLE NONE 0 0 8860 FIRST TR EXCHANGE TRADED NO AMER ENERGY 33738D101 347 13696 SH SOLE NONE 0 0 13696 ISHARES TR JP MOR EM MK ETF 464288281 409 3600 SH SOLE NONE 0 0 3600 ISHARES TR MIN VOL EAFE ETF 46429B689 1102 16697 SH SOLE NONE 0 0 16697 ISHARES TR MSCI EAFE ETF 464287465 3123 50142 SH SOLE NONE 0 0 50142 ISHARES TR SELECT DIVID ETF 464287168 4313 47342 SH SOLE NONE 0 0 47342 DISNEY WALT CO COM DISNEY 254687106 454 4002 SH SOLE NONE 0 0 4002 WISDOMTREE TR EMER MKT HIGH FD 97717W315 1028 25165 SH SOLE NONE 0 0 25165 DBX ETF TR XTRAK MSCI EAFE 233051200 297 10042 SH SOLE NONE 0 0 10042 CALAMOS CONV & HIGH INCO COM SHS 12811P108 557 48871 SH SOLE NONE 0 0 48871 CITIZENS FINL GROUP INC COM 174610105 4905 141976 SH SOLE NONE 0 0 141976 CITIGROUP INC COM NEW 172967424 233 3897 SH SOLE NONE 0 0 3897 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 29486 912875 SH SOLE NONE 0 0 912875 ABBVIE INC COM 00287Y109 265 4070 SH SOLE NONE 0 0 4070 APPLE INC COM 037833100 468 3260 SH SOLE NONE 0 0 3260