0001606587-18-000347.txt : 20180425 0001606587-18-000347.hdr.sgml : 20180425 20180425170543 ACCESSION NUMBER: 0001606587-18-000347 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180425 DATE AS OF CHANGE: 20180425 EFFECTIVENESS DATE: 20180425 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: 18775081 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 03-31-2018 03-31-2018 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 04-25-2018 0 107 445858 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1387 6951 SH SOLE NONE 0 0 6951 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 652 6550 SH SOLE NONE 0 0 6550 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1372 13512 SH SOLE NONE 0 0 13512 WESTERN ASSET EMRG MKT DEBT COM 95766A101 728 50106 SH SOLE NONE 0 0 50106 CLAYMORE EXCHANGE TRD FD TR 2024 CORP BOND 18383M233 229 11310 SH SOLE NONE 0 0 11310 CLAYMORE EXCHANGE TRD FD TR 2023 CORP BOND 18383M241 222 10890 SH SOLE NONE 0 0 10890 DENTSPLY SIRONA INC COM 24906P109 328 6519 SH SOLE NONE 0 0 6519 EXXON MOBIL CORP COM 30231G102 1260 16889 SH SOLE NONE 0 0 16889 SPDR SERIES TRUST CITI INT GVT ETF 78464A490 268 4500 SH SOLE NONE 0 0 4500 VERIZON COMMUNICATIONS INC COM 92343V104 242 5058 SH SOLE NONE 0 0 5058 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 369 4476 SH SOLE NONE 0 0 4476 VANGUARD STAR FD VG TL INTL STK F 921909768 882 15600 SH SOLE NONE 0 0 15600 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 363 3250 SH SOLE NONE 0 0 3250 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1474 31370 SH SOLE NONE 0 0 31370 INVESCO SR INCOME TR COM 46131H107 387 87863 SH SOLE NONE 0 0 87863 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 22181 453514 SH SOLE NONE 0 0 453514 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1350 9945 SH SOLE NONE 0 0 9945 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 447 3750 SH SOLE NONE 0 0 3750 POWERSHARES ETF TR II VAR RATE PFD POR 73937B597 2576 102338 SH SOLE NONE 0 0 102338 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1013 4186 SH SOLE NONE 0 0 4186 VANGUARD INDEX FDS MID CAP ETF 922908629 474 3075 SH SOLE NONE 0 0 3075 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 4948 65563 SH SOLE NONE 0 0 65563 VANGUARD GROUP DIV APP ETF 921908844 903 8935 SH SOLE NONE 0 0 8935 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2392 43989 SH SOLE NONE 0 0 43989 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1551 35060 SH SOLE NONE 0 0 35060 VANGUARD INDEX FDS SMALL CP ETF 922908751 804 5474 SH SOLE NONE 0 0 5474 ISHARES TR MIN VOL USA ETF 46429B697 4821 92845 SH SOLE NONE 0 0 92845 TJX COS INC NEW COM 872540109 488 5982 SH SOLE NONE 0 0 5982 ISHARES TR TIPS BD ETF 464287176 12893 114048 SH SOLE NONE 0 0 114048 SPDR S&P 500 ETF TR TR UNIT 78462F103 37717 143329 SH SOLE NONE 0 0 143329 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 4797 102126 SH SOLE NONE 0 0 102126 ISHARES TR PHLX SEMICND ETF 464287523 792 4400 SH SOLE NONE 0 0 4400 SPDR SERIES TRUST S&P DIVID ETF 78464A763 21804 239075 SH SOLE NONE 0 0 239075 ISHARES TR EAFE SML CP ETF 464288273 851 13055 SH SOLE NONE 0 0 13055 SCHWAB CHARLES CORP NEW COM 808513105 351 6718 SH SOLE NONE 0 0 6718 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 377 13152 SH SOLE NONE 0 0 13152 ROYAL BK CDA MONTREAL QUE COM 780087102 986 12763 SH SOLE NONE 0 0 12763 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 475 11877 SH SOLE NONE 0 0 11877 OPPENHEIMER ETF TR LARGE CAP REV ET 68386C104 9850 197717 SH SOLE NONE 0 0 197717 OPPENHEIMER ETF TR MID CAP REV ETF 68386C203 816 13849 SH SOLE NONE 0 0 13849 OPPENHEIMER ETF TR SMALL CAP REV ET 68386C302 762 11233 SH SOLE NONE 0 0 11233 ROSS STORES INC COM 778296103 241 3088 SH SOLE NONE 0 0 3088 COHEN & STEERS TOTAL RETURN COM 19247R103 128 10830 SH SOLE NONE 0 0 10830 POWERSHARES ETF TR II DEV MKTS EX-US 73936T789 258 5773 SH SOLE NONE 0 0 5773 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 20920 189869 SH SOLE NONE 0 0 189869 PJT PARTNERS INC COM CL A 69343T107 8186 163398 SH SOLE NONE 0 0 163398 PROCTER AND GAMBLE CO COM 742718109 206 2596 SH SOLE NONE 0 0 2596 PFIZER INC COM 717081103 505 14238 SH SOLE NONE 0 0 14238 PEPSICO INC COM 713448108 610 5593 SH SOLE NONE 0 0 5593 POWERSHARES ETF TR II EX US SML PORT 73936T771 628 18420 SH SOLE NONE 0 0 18420 ISHARES TR S&P 100 ETF 464287101 798 6880 SH SOLE NONE 0 0 6880 ISHARES US ETF TR SHT MAT BD ETF 46431W507 17569 350249 SH SOLE NONE 0 0 350249 MICROSOFT CORP COM 594918104 1499 16420 SH SOLE NONE 0 0 16420 MERCK & CO INC COM 58933Y105 217 3984 SH SOLE NONE 0 0 3984 GLOBAL X FDS GLB X MLP ENRG I 37950E226 1134 96359 SH SOLE NONE 0 0 96359 UBS AG JERSEY BRH ALERIAN INFRST 902641646 31841 1506916 SH SOLE NONE 0 0 1506916 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 185 14685 SH SOLE NONE 0 0 14685 MOHAWK INDS INC COM 608190104 250 1078 SH SOLE NONE 0 0 1078 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 17126 50115 SH SOLE NONE 0 0 50115 BARINGS CORPORATE INVS COM 06759X107 269 17800 SH SOLE NONE 0 0 17800 MASTERCARD INCORPORATED CL A 57636Q104 1035 5911 SH SOLE NONE 0 0 5911 CARMAX INC COM 143130102 323 5214 SH SOLE NONE 0 0 5214 JPMORGAN CHASE & CO COM 46625H100 586 5333 SH SOLE NONE 0 0 5333 JOHNSON & JOHNSON COM 478160104 1027 8017 SH SOLE NONE 0 0 8017 JACOBS ENGR GROUP INC DEL COM 469814107 209 3533 SH SOLE NONE 0 0 3533 ISHARES TR RUS MID CAP ETF 464287499 527 2551 SH SOLE NONE 0 0 2551 ISHARES TR RUSSELL 2000 ETF 464287655 5392 35516 SH SOLE NONE 0 0 35516 ISHARES TR RUS 1000 GRW ETF 464287614 653 4801 SH SOLE NONE 0 0 4801 ISHARES TR RUS 1000 VAL ETF 464287598 407 3392 SH SOLE NONE 0 0 3392 ISHARES TR RUS 1000 ETF 464287622 3168 21569 SH SOLE NONE 0 0 21569 ISHARES TR CORE S&P500 ETF 464287200 65268 245952 SH SOLE NONE 0 0 245952 ISHARES TR S&P 500 VAL ETF 464287408 263 2405 SH SOLE NONE 0 0 2405 COHEN & STEERS GLOBAL INC BL COM 19248M103 337 36845 SH SOLE NONE 0 0 36845 ISHARES TR CORE S&P SCP ETF 464287804 17673 229485 SH SOLE NONE 0 0 229485 ISHARES TR S&P MC 400GR ETF 464287606 225 1030 SH SOLE NONE 0 0 1030 ISHARES TR S&P MC 400VL ETF 464287705 250 1617 SH SOLE NONE 0 0 1617 ISHARES TR CORE S&P MCP ETF 464287507 37096 197773 SH SOLE NONE 0 0 197773 ISHARES TR INTL SEL DIV ETF 464288448 7278 220488 SH SOLE NONE 0 0 220488 HERSHEY CO COM 427866108 319 3225 SH SOLE NONE 0 0 3225 HONEYWELL INTL INC COM 438516106 288 1994 SH SOLE NONE 0 0 1994 ISHARES TR CORE HIGH DV ETF 46429B663 1883 22293 SH SOLE NONE 0 0 22293 HOME DEPOT INC COM 437076102 599 3362 SH SOLE NONE 0 0 3362 ISHARES TR US TREAS BD ETF 46429B267 306 12411 SH SOLE NONE 0 0 12411 ALPHABET INC CAP STK CL C 02079K107 741 718 SH SOLE NONE 0 0 718 FS INVT CORP COM 302635107 162 22280 SH SOLE NONE 0 0 22280 BLACKROCK FLOAT RATE OME STR COM 09255X100 972 66911 SH SOLE NONE 0 0 66911 FIRST TR SR FLG RTE INCM FD COM 33733U108 1353 102250 SH SOLE NONE 0 0 102250 FACEBOOK INC CL A 30303M102 289 1806 SH SOLE NONE 0 0 1806 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 465 8860 SH SOLE NONE 0 0 8860 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 300 13696 SH SOLE NONE 0 0 13696 ISHARES TR JPMORGAN USD EMG 464288281 367 3251 SH SOLE NONE 0 0 3251 ISHARES TR MIN VOL EAFE ETF 46429B689 1222 16580 SH SOLE NONE 0 0 16580 ISHARES TR MSCI EAFE ETF 464287465 2944 42255 SH SOLE NONE 0 0 42255 ISHARES TR MSCI EMG MKT ETF 464287234 427 8851 SH SOLE NONE 0 0 8851 ISHARES TR SELECT DIVID ETF 464287168 4141 43538 SH SOLE NONE 0 0 43538 DISNEY WALT CO COM DISNEY 254687106 352 3509 SH SOLE NONE 0 0 3509 WISDOMTREE TR EMER MKT HIGH FD 97717W315 667 13955 SH SOLE NONE 0 0 13955 DBX ETF TR XTRACK MSCI EAFE 233051200 218 7084 SH SOLE NONE 0 0 7084 CHEVRON CORP NEW COM 166764100 255 2236 SH SOLE NONE 0 0 2236 CSX CORP COM 126408103 201 3605 SH SOLE NONE 0 0 3605 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 447 38241 SH SOLE NONE 0 0 38241 CITIZENS FINL GROUP INC COM 174610105 3358 80000 SH SOLE NONE 0 0 80000 CREDIT ACCEP CORP MICH COM 225310101 291 882 SH SOLE NONE 0 0 882 AMAZON COM INC COM 023135106 677 468 SH SOLE NONE 0 0 468 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 24474 1019745 SH SOLE NONE 0 0 1019745 ABBVIE INC COM 00287Y109 359 3791 SH SOLE NONE 0 0 3791 APPLE INC COM 037833100 6912 41199 SH SOLE NONE 0 0 41199