0001606587-19-000482.txt : 20190503
0001606587-19-000482.hdr.sgml : 20190503
20190503100318
ACCESSION NUMBER: 0001606587-19-000482
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190503
DATE AS OF CHANGE: 20190503
EFFECTIVENESS DATE: 20190503
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: 19794456
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
03-31-2019
03-31-2019
false
Klingman & Associates, LLC
1133 Avenue of the Americas
Suite 3110
New York
NY
10036
13F HOLDINGS REPORT
028-17124
N
Michael Paley
Chief Operating Officer; Chief Compliance Officer
212-867-7647
Michael Paley
New York
NY
05-01-2019
0
119
512978
false
INFORMATION TABLE
2
form13InfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
ABBVIE INC
COM
00287Y109
305
3790
SH
SOLE
NONE
0
0
3790
ALPHABET INC
CAP STK CL C
02079K107
483
412
SH
SOLE
NONE
0
0
412
AMAZON COM INC
COM
023135106
912
512
SH
SOLE
NONE
0
0
512
APPLE INC
COM
037833100
7995
42092
SH
SOLE
NONE
0
0
42092
BANK AMER CORP
COM
060505104
211
7658
SH
SOLE
NONE
0
0
7658
BARINGS CORPORATE INVS
COM
06759X107
275
17800
SH
SOLE
NONE
0
0
17800
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1382
6877
SH
SOLE
NONE
0
0
6877
BLACKROCK MUNIHLDGS NY QLT
COM
09255C106
138
10685
SH
SOLE
NONE
0
0
10685
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
878
25095
SH
SOLE
NONE
0
0
25095
CARMAX INC
COM
143130102
279
3998
SH
SOLE
NONE
0
0
3998
CHEVRON CORP NEW
COM
166764100
266
2161
SH
SOLE
NONE
0
0
2161
CISCO SYS INC
COM
17275R102
205
3800
SH
SOLE
NONE
0
0
3800
CITIZENS FINL GROUP INC
COM
174610105
2600
80000
SH
SOLE
NONE
0
0
80000
COHEN & STEERS GLOBAL INC
COM
19248M103
267
31300
SH
SOLE
NONE
0
0
31300
CREDIT ACCEP CORP MICH
COM
225310101
399
882
SH
SOLE
NONE
0
0
882
CSX CORP
COM
126408103
270
3615
SH
SOLE
NONE
0
0
3615
DEERE & CO
COM
244199105
202
1266
SH
SOLE
NONE
0
0
1266
DISNEY WALT CO
COM DISNEY
254687106
390
3512
SH
SOLE
NONE
0
0
3512
EXXON MOBIL CORP
COM
30231G102
1366
16907
SH
SOLE
NONE
0
0
16907
FACEBOOK INC
CL A
30303M102
371
2228
SH
SOLE
NONE
0
0
2228
FIRST TR EXCHANGE TRADED F
NO AMER ENERGY
33738D101
339
13696
SH
SOLE
NONE
0
0
13696
GENERAL ELECTRIC CO
COM
369604103
607
60754
SH
SOLE
NONE
0
0
60754
GLOBAL X FDS
GLB X MLP ENRG I
37950E226
1323
100322
SH
SOLE
NONE
0
0
100322
HERSHEY CO
COM
427866108
367
3200
SH
SOLE
NONE
0
0
3200
HOME DEPOT INC
COM
437076102
770
4012
SH
SOLE
NONE
0
0
4012
HONEYWELL INTL INC
COM
438516106
409
2574
SH
SOLE
NONE
0
0
2574
INTEL CORP
COM
458140100
279
5189
SH
SOLE
NONE
0
0
5189
INVESCO EXCH TRD SLF IDX F
BULSHS 2021 CB
46138J700
283
13441
SH
SOLE
NONE
0
0
13441
INVESCO EXCH TRD SLF IDX F
BULSHS 2025 CB
46138J825
975
47422
SH
SOLE
NONE
0
0
47422
INVESCO EXCH TRD SLF IDX F
BULSHS 2024 CB
46138J841
5605
270376
SH
SOLE
NONE
0
0
270376
INVESCO EXCH TRD SLF IDX F
BULSHS 2023 CB
46138J866
3283
157855
SH
SOLE
NONE
0
0
157855
INVESCO EXCH TRD SLF IDX F
BULSHS 2022 CB
46138J882
787
37263
SH
SOLE
NONE
0
0
37263
INVESCO EXCHANGE TRADED FD
S&P500 EQL WGT
46137V357
642
6150
SH
SOLE
NONE
0
0
6150
INVESCO EXCHANGE TRADED FD
FTSE RAFI 1000
46137V613
20684
182445
SH
SOLE
NONE
0
0
182445
INVESCO EXCHNG TRADED FD T
S&P500 LOW VOL
46138E354
4646
88266
SH
SOLE
NONE
0
0
88266
INVESCO EXCHNG TRADED FD T
FTSE RAFI SML
46138E735
730
24458
SH
SOLE
NONE
0
0
24458
INVESCO EXCHNG TRADED FD T
FTSE RAFI DEV
46138E743
234
5773
SH
SOLE
NONE
0
0
5773
INVESCO EXCHNG TRADED FD T
VAR RATE PFD
46138G870
2068
84147
SH
SOLE
NONE
0
0
84147
INVESCO QQQ TR
UNIT SER 1
46090E103
222
1233
SH
SOLE
NONE
0
0
1233
ISHARES INC
MIN VOL EMRG MKT
464286533
463
7814
SH
SOLE
NONE
0
0
7814
ISHARES TR
S&P 100 ETF
464287101
864
6895
SH
SOLE
NONE
0
0
6895
ISHARES TR
SELECT DIVID ETF
464287168
4194
42722
SH
SOLE
NONE
0
0
42722
ISHARES TR
TIPS BD ETF
464287176
8110
71725
SH
SOLE
NONE
0
0
71725
ISHARES TR
CORE S&P500 ETF
464287200
85456
300309
SH
SOLE
NONE
0
0
300309
ISHARES TR
MSCI EMG MKT ETF
464287234
425
9892
SH
SOLE
NONE
0
0
9892
ISHARES TR
S&P 500 VAL ETF
464287408
218
1930
SH
SOLE
NONE
0
0
1930
ISHARES TR
MSCI EAFE ETF
464287465
2754
42463
SH
SOLE
NONE
0
0
42463
ISHARES TR
RUS MID CAP ETF
464287499
529
9804
SH
SOLE
NONE
0
0
9804
ISHARES TR
CORE S&P MCP ETF
464287507
41928
221373
SH
SOLE
NONE
0
0
221373
ISHARES TR
PHLX SEMICND ETF
464287523
834
4400
SH
SOLE
NONE
0
0
4400
ISHARES TR
RUS 1000 ETF
464287622
3138
19951
SH
SOLE
NONE
0
0
19951
ISHARES TR
RUSSELL 2000 ETF
464287655
5481
35800
SH
SOLE
NONE
0
0
35800
ISHARES TR
CORE S&P SCP ETF
464287804
25081
325089
SH
SOLE
NONE
0
0
325089
ISHARES TR
EAFE SML CP ETF
464288273
669
11655
SH
SOLE
NONE
0
0
11655
ISHARES TR
JPMORGAN USD EMG
464288281
338
3075
SH
SOLE
NONE
0
0
3075
ISHARES TR
INTL SEL DIV ETF
464288448
4110
133185
SH
SOLE
NONE
0
0
133185
ISHARES TR
CORE HIGH DV ETF
46429B663
1898
20341
SH
SOLE
NONE
0
0
20341
ISHARES TR
MIN VOL EAFE ETF
46429B689
4963
68934
SH
SOLE
NONE
0
0
68934
ISHARES TR
MIN VOL USA ETF
46429B697
7276
123749
SH
SOLE
NONE
0
0
123749
ISHARES TR
IBONDS DEC2023
46435G318
333
13096
SH
SOLE
NONE
0
0
13096
ISHARES TR
IBONDS DEC2022
46435G755
281
10840
SH
SOLE
NONE
0
0
10840
ISHARES TR
IBONDS DEC2021
46435G789
212
8271
SH
SOLE
NONE
0
0
8271
ISHARES US ETF TR
SHT MAT BD ETF
46431W507
15391
306344
SH
SOLE
NONE
0
0
306344
JACOBS ENGR GROUP INC
COM
469814107
266
3533
SH
SOLE
NONE
0
0
3533
JOHNSON & JOHNSON
COM
478160104
1123
8033
SH
SOLE
NONE
0
0
8033
JP MORGAN EXCHANGE TRADED
ULTRA SHRT INC
46641Q837
2222
44184
SH
SOLE
NONE
0
0
44184
JPMORGAN CHASE & CO
COM
46625H100
901
8902
SH
SOLE
NONE
0
0
8902
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
13207
517722
SH
SOLE
NONE
0
0
517722
MANAGED PORTFOLIO SER
TORTOISE NRAM PI
56167N720
33070
1384829
SH
SOLE
NONE
0
0
1384829
MASTERCARD INC
CL A
57636Q104
1462
6208
SH
SOLE
NONE
0
0
6208
MERCK & CO INC
COM
58933Y105
334
4016
SH
SOLE
NONE
0
0
4016
MICROSOFT CORP
COM
594918104
1886
15994
SH
SOLE
NONE
0
0
15994
O REILLY AUTOMOTIVE INC NE
COM
67103H107
318
819
SH
SOLE
NONE
0
0
819
OPPENHEIMER ETF TR
S&P 500 REVENUE
68386C104
10176
197286
SH
SOLE
NONE
0
0
197286
OPPENHEIMER ETF TR
S&P MDCP 400 REV
68386C203
810
13674
SH
SOLE
NONE
0
0
13674
OPPENHEIMER ETF TR
S&P SMALLCAP 600
68386C302
736
11233
SH
SOLE
NONE
0
0
11233
PEPSICO INC
COM
713448108
585
4777
SH
SOLE
NONE
0
0
4777
PFIZER INC
COM
717081103
515
12134
SH
SOLE
NONE
0
0
12134
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
768
7563
SH
SOLE
NONE
0
0
7563
PJT PARTNERS INC
COM CL A
69343T107
6887
164770
SH
SOLE
NONE
0
0
164770
PPG INDS INC
COM
693506107
377
3342
SH
SOLE
NONE
0
0
3342
PROCTER AND GAMBLE CO
COM
742718109
298
2862
SH
SOLE
NONE
0
0
2862
ROSS STORES INC
COM
778296103
951
10219
SH
SOLE
NONE
0
0
10219
ROYAL BK CDA MONTREAL QUE
COM
780087102
871
11529
SH
SOLE
NONE
0
0
11529
SCHWAB STRATEGIC TR
EMRG MKTEQ ETF
808524706
342
13152
SH
SOLE
NONE
0
0
13152
SPDR INDEX SHS FDS
DJ GLB RL ES ETF
78463X749
396
7921
SH
SOLE
NONE
0
0
7921
SPDR INDEX SHS FDS
S&P EMKTSC ETF
78463X756
395
8860
SH
SOLE
NONE
0
0
8860
SPDR INDEX SHS FDS
DJ INTL RL ETF
78463X863
372
9470
SH
SOLE
NONE
0
0
9470
SPDR S&P 500 ETF TR
TR UNIT
78462F103
39346
139288
SH
SOLE
NONE
0
0
139288
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
17198
49792
SH
SOLE
NONE
0
0
49792
SPDR SERIES TRUST
S&P 600 SMCP GRW
78464A201
404
6761
SH
SOLE
NONE
0
0
6761
SPDR SERIES TRUST
S&P 600 SMCP VAL
78464A300
5639
93519
SH
SOLE
NONE
0
0
93519
SPDR SERIES TRUST
FTSE INT GVT ETF
78464A490
243
4500
SH
SOLE
NONE
0
0
4500
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
22692
228266
SH
SOLE
NONE
0
0
228266
SPDR SERIES TRUST
S&P 400 MDCP GRW
78464A821
207
3935
SH
SOLE
NONE
0
0
3935
SPDR SERIES TRUST
S&P 400 MDCP VAL
78464A839
267
5300
SH
SOLE
NONE
0
0
5300
THE CHARLES SCHWAB CORPORA
COM
808513105
295
6893
SH
SOLE
NONE
0
0
6893
TJX COS INC NEW
COM
872540109
631
11854
SH
SOLE
NONE
0
0
11854
UBS AG JERSEY BRH
ALERIAN INFRST
902641646
16117
709376
SH
SOLE
NONE
0
0
709376
VANGUARD ADMIRAL FDS INC
MIDCP 400 IDX
921932885
247
1930
SH
SOLE
NONE
0
0
1930
VANGUARD GROUP
DIV APP ETF
921908844
1142
10412
SH
SOLE
NONE
0
0
10412
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
2087
8040
SH
SOLE
NONE
0
0
8040
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
5915
68056
SH
SOLE
NONE
0
0
68056
VANGUARD INDEX FDS
MID CAP ETF
922908629
494
3075
SH
SOLE
NONE
0
0
3075
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
416
3600
SH
SOLE
NONE
0
0
3600
VANGUARD INDEX FDS
SMALL CP ETF
922908751
1355
8866
SH
SOLE
NONE
0
0
8866
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
3963
27383
SH
SOLE
NONE
0
0
27383
VANGUARD INTL EQUITY INDEX
FTSE SMCAP ETF
922042718
356
3415
SH
SOLE
NONE
0
0
3415
VANGUARD INTL EQUITY INDEX
ALLWRLD EX US
922042775
2206
43995
SH
SOLE
NONE
0
0
43995
VANGUARD INTL EQUITY INDEX
FTSE EMR MKT ETF
922042858
1424
33507
SH
SOLE
NONE
0
0
33507
VANGUARD MALVERN FDS
STRM INFPROIDX
922020805
24569
504697
SH
SOLE
NONE
0
0
504697
VANGUARD MUN BD FD INC
TAX EXEMPT BD
922907746
366
7017
SH
SOLE
NONE
0
0
7017
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
638
7341
SH
SOLE
NONE
0
0
7341
VANGUARD STAR FD
VG TL INTL STK F
921909768
3732
71909
SH
SOLE
NONE
0
0
71909
VANGUARD TAX MANAGED INTL
FTSE DEV MKT ETF
921943858
1695
41471
SH
SOLE
NONE
0
0
41471
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
404
4720
SH
SOLE
NONE
0
0
4720
VERIZON COMMUNICATIONS INC
COM
92343V104
296
4999
SH
SOLE
NONE
0
0
4999
WESTERN ASSET EMRG MKT DEB
COM
95766A101
392
28705
SH
SOLE
NONE
0
0
28705
WISDOMTREE TR
EMER MKT HIGH FD
97717W315
581
13255
SH
SOLE
NONE
0
0
13255