0001606587-17-000580.txt : 20171024 0001606587-17-000580.hdr.sgml : 20171024 20171024124719 ACCESSION NUMBER: 0001606587-17-000580 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171024 DATE AS OF CHANGE: 20171024 EFFECTIVENESS DATE: 20171024 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: 171150461 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 09-30-2017 09-30-2017 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 10-24-2017 0 95 406412 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 568 3098 SH SOLE NONE 0 0 3098 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1257 12349 SH SOLE NONE 0 0 12349 WESTERN ASSET EMRG MKT DEBT COM 95766A101 862 54741 SH SOLE NONE 0 0 54741 EXXON MOBIL CORP COM 30231G102 1407 17168 SH SOLE NONE 0 0 17168 SPDR SERIES TRUST CITI INT GVT ETF 78464A490 287 5000 SH SOLE NONE 0 0 5000 VERIZON COMMUNICATIONS INC COM 92343V104 276 5573 SH SOLE NONE 0 0 5573 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 363 4476 SH SOLE NONE 0 0 4476 VANGUARD STAR FD VG TL INTL STK F 921909768 854 15600 SH SOLE NONE 0 0 15600 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 348 3250 SH SOLE NONE 0 0 3250 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1300 29832 SH SOLE NONE 0 0 29832 INVESCO SR INCOME TR COM 46131H107 484 107687 SH SOLE NONE 0 0 107687 VANGUARD INDEX FDS LARGE CAP ETF 922908637 329 2852 SH SOLE NONE 0 0 2852 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 16380 331240 SH SOLE NONE 0 0 331240 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1173 9058 SH SOLE NONE 0 0 9058 POWERSHARES ETF TR II VAR RATE PFD POR 73937B597 2557 98140 SH SOLE NONE 0 0 98140 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 581 2519 SH SOLE NONE 0 0 2519 VANGUARD INDEX FDS MID CAP ETF 922908629 452 3075 SH SOLE NONE 0 0 3075 VANGUARD INDEX FDS REIT ETF 922908553 5247 63153 SH SOLE NONE 0 0 63153 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 864 9114 SH SOLE NONE 0 0 9114 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2326 44122 SH SOLE NONE 0 0 44122 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1092 25156 SH SOLE NONE 0 0 25156 VANGUARD INDEX FDS SMALL CP ETF 922908751 667 4717 SH SOLE NONE 0 0 4717 ISHARES TR MIN VOL USA ETF 46429B697 4684 93045 SH SOLE NONE 0 0 93045 ISHARES TR TIPS BD ETF 464287176 13489 118759 SH SOLE NONE 0 0 118759 SPDR S&P 500 ETF TR TR UNIT 78462F103 36674 145980 SH SOLE NONE 0 0 145980 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 5072 110777 SH SOLE NONE 0 0 110777 ISHARES TR PHLX SEMICND ETF 464287523 698 4400 SH SOLE NONE 0 0 4400 SPDR SERIES TRUST S&P DIVID ETF 78464A763 22422 245507 SH SOLE NONE 0 0 245507 ISHARES TR EAFE SML CP ETF 464288273 809 13055 SH SOLE NONE 0 0 13055 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 354 13152 SH SOLE NONE 0 0 13152 ROYAL BK CDA MONTREAL QUE COM 780087102 988 12763 SH SOLE NONE 0 0 12763 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 444 11564 SH SOLE NONE 0 0 11564 OPPENHEIMER REV WEIGHTD ETF LARGE CAP REV ET 68386C104 7898 164740 SH SOLE NONE 0 0 164740 OPPENHEIMER REV WEIGHTD ETF MID CAP REV ETF 68386C203 955 16569 SH SOLE NONE 0 0 16569 OPPENHEIMER REV WEIGHTD ETF SMALL CAP REV ET 68386C302 774 11296 SH SOLE NONE 0 0 11296 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 626 6550 SH SOLE NONE 0 0 6550 COHEN & STEERS TOTAL RETURN COM 19247R103 147 11830 SH SOLE NONE 0 0 11830 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 202 1387 SH SOLE NONE 0 0 1387 POWERSHARES ETF TR II DEV MKTS EX-US 73936T789 258 5848 SH SOLE NONE 0 0 5848 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 20811 194223 SH SOLE NONE 0 0 194223 PJT PARTNERS INC COM CL A 69343T107 6260 163398 SH SOLE NONE 0 0 163398 PROCTER AND GAMBLE CO COM 742718109 228 2501 SH SOLE NONE 0 0 2501 PFIZER INC COM 717081103 501 14046 SH SOLE NONE 0 0 14046 PEPSICO INC COM 713448108 633 5681 SH SOLE NONE 0 0 5681 POWERSHARES ETF TR II EX US SML PORT 73936T771 532 16220 SH SOLE NONE 0 0 16220 ISHARES TR S&P 100 ETF 464287101 766 6880 SH SOLE NONE 0 0 6880 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 12946 257430 SH SOLE NONE 0 0 257430 ISHARES TR NATIONAL MUN ETF 464288414 232 2097 SH SOLE NONE 0 0 2097 MICROSOFT CORP COM 594918104 630 8452 SH SOLE NONE 0 0 8452 MERCK & CO INC COM 58933Y105 255 3984 SH SOLE NONE 0 0 3984 GLOBAL X FDS GLB X MLP ENRG I 37950E226 1430 103723 SH SOLE NONE 0 0 103723 UBS AG JERSEY BRH ALERIAN INFRST 902641646 28483 1132992 SH SOLE NONE 0 0 1132992 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 16419 50315 SH SOLE NONE 0 0 50315 BARINGS CORPORATE INVS COM 06759X107 197 12500 SH SOLE NONE 0 0 12500 JPMORGAN CHASE & CO COM 46625H100 487 5102 SH SOLE NONE 0 0 5102 JOHNSON & JOHNSON COM 478160104 3472 26707 SH SOLE NONE 0 0 26707 ISHARES TR RUS MID CAP ETF 464287499 503 2551 SH SOLE NONE 0 0 2551 ISHARES TR RUSSELL 2000 ETF 464287655 5269 35560 SH SOLE NONE 0 0 35560 ISHARES TR RUS 1000 GRW ETF 464287614 600 4801 SH SOLE NONE 0 0 4801 ISHARES TR RUS 1000 VAL ETF 464287598 402 3392 SH SOLE NONE 0 0 3392 ISHARES TR RUS 1000 ETF 464287622 3017 21569 SH SOLE NONE 0 0 21569 ISHARES TR CORE S&P500 ETF 464287200 57809 228559 SH SOLE NONE 0 0 228559 COHEN & STEERS GLOBAL INC BL COM 19248M103 399 41095 SH SOLE NONE 0 0 41095 ISHARES TR CORE S&P SCP ETF 464287804 15293 206054 SH SOLE NONE 0 0 206054 ISHARES TR S&P MC 400GR ETF 464287606 217 1074 SH SOLE NONE 0 0 1074 ISHARES TR S&P MC 400VL ETF 464287705 258 1687 SH SOLE NONE 0 0 1687 ISHARES TR CORE S&P MCP ETF 464287507 31939 178532 SH SOLE NONE 0 0 178532 ISHARES TR INTL SEL DIV ETF 464288448 8007 237167 SH SOLE NONE 0 0 237167 HERSHEY CO COM 427866108 349 3200 SH SOLE NONE 0 0 3200 HONEYWELL INTL INC COM 438516106 283 1994 SH SOLE NONE 0 0 1994 ISHARES TR CORE HIGH DV ETF 46429B663 1930 22452 SH SOLE NONE 0 0 22452 ALPHABET INC CAP STK CL C 02079K107 200 209 SH SOLE NONE 0 0 209 GENERAL ELECTRIC CO COM 369604103 538 22234 SH SOLE NONE 0 0 22234 BLACKROCK FLOAT RATE OME STR COM 09255X100 1035 72097 SH SOLE NONE 0 0 72097 ISHARES TR FLTG RATE NT ETF 46429B655 225 4421 SH SOLE NONE 0 0 4421 FIRST TR SR FLG RTE INCM FD COM 33733U108 1487 110257 SH SOLE NONE 0 0 110257 FACEBOOK INC CL A 30303M102 304 1777 SH SOLE NONE 0 0 1777 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 439 8860 SH SOLE NONE 0 0 8860 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 340 13696 SH SOLE NONE 0 0 13696 ISHARES TR JPMORGAN USD EMG 464288281 401 3446 SH SOLE NONE 0 0 3446 ISHARES TR MIN VOL EAFE ETF 46429B689 1178 16580 SH SOLE NONE 0 0 16580 ISHARES TR MSCI EAFE ETF 464287465 2902 42377 SH SOLE NONE 0 0 42377 ISHARES TR SELECT DIVID ETF 464287168 4080 43565 SH SOLE NONE 0 0 43565 DISNEY WALT CO COM DISNEY 254687106 346 3507 SH SOLE NONE 0 0 3507 WISDOMTREE TR EMER MKT HIGH FD 97717W315 683 15878 SH SOLE NONE 0 0 15878 DBX ETF TR XTRAK MSCI EAFE 233051200 274 8829 SH SOLE NONE 0 0 8829 CHEVRON CORP NEW COM 166764100 254 2161 SH SOLE NONE 0 0 2161 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 455 38241 SH SOLE NONE 0 0 38241 CITIZENS FINL GROUP INC COM 174610105 5377 141976 SH SOLE NONE 0 0 141976 CLAYMORE EXCHANGE TRD FD TR 2024 CORP BOND 18383M233 237 11310 SH SOLE NONE 0 0 11310 CLAYMORE EXCHANGE TRD FD TR 2023 CORP BOND 18383M241 209 9890 SH SOLE NONE 0 0 9890 AMAZON COM INC COM 023135106 287 299 SH SOLE NONE 0 0 299 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 27419 971609 SH SOLE NONE 0 0 971609 ABBVIE INC COM 00287Y109 327 3685 SH SOLE NONE 0 0 3685 APPLE INC COM 037833100 690 4477 SH SOLE NONE 0 0 4477