0001606587-19-000812.txt : 20190927 0001606587-19-000812.hdr.sgml : 20190927 20190927152142 ACCESSION NUMBER: 0001606587-19-000812 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190927 DATE AS OF CHANGE: 20190927 EFFECTIVENESS DATE: 20190927 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-17124 FILM NUMBER: 191121732 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/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001662449 XXXXXXXX 06-30-2019 06-30-2019 true 1 RESTATEMENT 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 09-27-2019 0 120 538228 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBVIE INC COM 00287Y109 276 3790 SH SOLE NONE 0 0 3790 ALPHABET INC CAP STK CL C 02079K107 384 355 SH SOLE NONE 0 0 355 AMAZON COM INC COM 023135106 970 512 SH SOLE NONE 0 0 512 APPLE INC COM 037833100 8499 42941 SH SOLE NONE 0 0 42941 BANK AMER CORP COM 060505104 225 7746 SH SOLE NONE 0 0 7746 BARINGS CORPORATE INVS COM 06759X107 279 17800 SH SOLE NONE 0 0 17800 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1502 7048 SH SOLE NONE 0 0 7048 CARMAX INC COM 143130102 347 3998 SH SOLE NONE 0 0 3998 CHEVRON CORP NEW COM 166764100 244 1961 SH SOLE NONE 0 0 1961 CISCO SYS INC COM 17275R102 233 4262 SH SOLE NONE 0 0 4262 CITIZENS FINL GROUP INC COM 174610105 2829 80000 SH SOLE NONE 0 0 80000 COHEN & STEERS GLOBAL INC BL COM 19248M103 280 31300 SH SOLE NONE 0 0 31300 CREDIT ACCEP CORP MICH COM 225310101 427 882 SH SOLE NONE 0 0 882 CSX CORP COM 126408103 280 3615 SH SOLE NONE 0 0 3615 DEERE & CO COM 244199105 210 1266 SH SOLE NONE 0 0 1266 DISNEY WALT CO COM DISNEY 254687106 534 3827 SH SOLE NONE 0 0 3827 EXXON MOBIL CORP COM 30231G102 1291 16853 SH SOLE NONE 0 0 16853 FACEBOOK INC CL A 30303M102 479 2481 SH SOLE NONE 0 0 2481 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 344 13696 SH SOLE NONE 0 0 13696 GENERAL ELECTRIC CO COM 369604103 638 60754 SH SOLE NONE 0 0 60754 GLOBAL X FDS GLB X MLP ENRG I 37950E226 1354 104653 SH SOLE NONE 0 0 104653 HERSHEY CO COM 427866108 429 3200 SH SOLE NONE 0 0 3200 HOME DEPOT INC COM 437076102 843 4053 SH SOLE NONE 0 0 4053 HONEYWELL INTL INC COM 438516106 449 2574 SH SOLE NONE 0 0 2574 INTEL CORP COM 458140100 255 5317 SH SOLE NONE 0 0 5317 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 1610 76072 SH SOLE NONE 0 0 76072 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 6024 283476 SH SOLE NONE 0 0 283476 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 3746 177055 SH SOLE NONE 0 0 177055 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 1085 50713 SH SOLE NONE 0 0 50713 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 285 13441 SH SOLE NONE 0 0 13441 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 620 5750 SH SOLE NONE 0 0 5750 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 21119 181058 SH SOLE NONE 0 0 181058 INVESCO EXCHNG TRADED FD TR VAR RATE PFD 46138G870 2009 80605 SH SOLE NONE 0 0 80605 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 4820 87606 SH SOLE NONE 0 0 87606 INVESCO EXCHNG TRADED FD TR S&P 500 REVENUE 46138G698 10500 196710 SH SOLE NONE 0 0 196710 INVESCO EXCHNG TRADED FD TR S&P MDCP 400 REV 46138G672 828 13583 SH SOLE NONE 0 0 13583 INVESCO EXCHNG TRADED FD TR S&P SMALLCAP 600 46138G664 706 11178 SH SOLE NONE 0 0 11178 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 235 5773 SH SOLE NONE 0 0 5773 INVESCO EXCHNG TRADED FD TR FTSE RAFI SML 46138E735 453 15175 SH SOLE NONE 0 0 15175 INVESCO EXCHNG TRADED FD TR FTSE RAFI SML 46138E735 277 9283 SH SOLE NONE 0 0 9283 INVESCO QQQ TR UNIT SER 1 46090E103 230 1233 SH SOLE NONE 0 0 1233 ISHARES INC MIN VOL EMRG MKT 464286533 472 8014 SH SOLE NONE 0 0 8014 ISHARES TR IBONDS DEC2023 46435G318 337 13115 SH SOLE NONE 0 0 13115 ISHARES TR IBONDS DEC2022 46435G755 284 10859 SH SOLE NONE 0 0 10859 ISHARES TR IBONDS DEC2021 46435G789 213 8271 SH SOLE NONE 0 0 8271 ISHARES TR MIN VOL USA ETF 46429B697 9443 152979 SH SOLE NONE 0 0 152979 ISHARES TR TIPS BD ETF 464287176 8080 69959 SH SOLE NONE 0 0 69959 ISHARES TR PHLX SEMICND ETF 464287523 873 4400 SH SOLE NONE 0 0 4400 ISHARES TR EAFE SML CP ETF 464288273 669 11655 SH SOLE NONE 0 0 11655 ISHARES TR S&P 100 ETF 464287101 894 6895 SH SOLE NONE 0 0 6895 ISHARES TR RUS MID CAP ETF 464287499 548 9804 SH SOLE NONE 0 0 9804 ISHARES TR RUSSELL 2000 ETF 464287655 5567 35802 SH SOLE NONE 0 0 35802 ISHARES TR RUS 1000 ETF 464287622 3248 19951 SH SOLE NONE 0 0 19951 ISHARES TR CORE S&P500 ETF 464287200 92432 313593 SH SOLE NONE 0 0 313593 ISHARES TR S&P 500 VAL ETF 464287408 225 1930 SH SOLE NONE 0 0 1930 ISHARES TR CORE S&P SCP ETF 464287804 26914 343819 SH SOLE NONE 0 0 343819 ISHARES TR CORE S&P MCP ETF 464287507 44438 228755 SH SOLE NONE 0 0 228755 ISHARES TR INTL SEL DIV ETF 464288448 3700 120430 SH SOLE NONE 0 0 120430 ISHARES TR CORE HIGH DV ETF 46429B663 1923 20346 SH SOLE NONE 0 0 20346 ISHARES TR JPMORGAN USD EMG 464288281 348 3075 SH SOLE NONE 0 0 3075 ISHARES TR MIN VOL EAFE ETF 46429B689 6945 95613 SH SOLE NONE 0 0 95613 ISHARES TR MSCI EAFE ETF 464287465 2791 42463 SH SOLE NONE 0 0 42463 ISHARES TR MSCI EMG MKT ETF 464287234 425 9903 SH SOLE NONE 0 0 9903 ISHARES TR SELECT DIVID ETF 464287168 4253 42722 SH SOLE NONE 0 0 42722 ISHARES US ETF TR SHT MAT BD ETF 46431W507 15752 312981 SH SOLE NONE 0 0 312981 JACOBS ENGR GROUP INC COM 469814107 298 3533 SH SOLE NONE 0 0 3533 JOHNSON & JOHNSON COM 478160104 1124 8067 SH SOLE NONE 0 0 8067 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 3442 68317 SH SOLE NONE 0 0 68317 JP MORGAN EXCHANGE TRADED FD ULTRA SHT MUNCPL 46641Q654 782 15500 SH SOLE NONE 0 0 15500 JPMORGAN CHASE & CO COM 46625H100 731 6536 SH SOLE NONE 0 0 6536 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 12414 494394 SH SOLE NONE 0 0 494394 MANAGED PORTFOLIO SER TORTOISE NRAM PI 56167N720 33689 1409006 SH SOLE NONE 0 0 1409006 MASTERCARD INC CL A 57636Q104 1642 6208 SH SOLE NONE 0 0 6208 MERCK & CO INC COM 58933Y105 327 3903 SH SOLE NONE 0 0 3903 MICROSOFT CORP COM 594918104 2152 16066 SH SOLE NONE 0 0 16066 O REILLY AUTOMOTIVE INC NEW COM 67103H107 302 819 SH SOLE NONE 0 0 819 PAYCOM SOFTWARE INC COM 70432V102 227 1000 PRN SOLE NONE 0 0 1000 PEPSICO INC COM 713448108 626 4777 SH SOLE NONE 0 0 4777 PFIZER INC COM 717081103 536 12363 SH SOLE NONE 0 0 12363 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 770 7563 SH SOLE NONE 0 0 7563 PJT PARTNERS INC COM CL A 69343T107 6676 164770 SH SOLE NONE 0 0 164770 PPG INDS INC COM 693506107 390 3342 SH SOLE NONE 0 0 3342 PROCTER AND GAMBLE CO COM 742718109 314 2862 SH SOLE NONE 0 0 2862 ROSS STORES INC COM 778296103 1013 10219 SH SOLE NONE 0 0 10219 ROYAL BK CDA MONTREAL QUE COM 780087102 932 11749 SH SOLE NONE 0 0 11749 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 345 13152 SH SOLE NONE 0 0 13152 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 202 2585 SH SOLE NONE 0 0 2585 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 290 7474 SH SOLE NONE 0 0 7474 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 395 7921 SH SOLE NONE 0 0 7921 SPDR S&P 500 ETF TR TR UNIT 78462F103 40215 137253 SH SOLE NONE 0 0 137253 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 17611 49665 SH SOLE NONE 0 0 49665 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 272 5300 SH SOLE NONE 0 0 5300 SPDR SERIES TRUST FTSE INT GVT ETF 78464A490 250 4500 SH SOLE NONE 0 0 4500 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 5956 98154 SH SOLE NONE 0 0 98154 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 412 6761 SH SOLE NONE 0 0 6761 SPDR SERIES TRUST S&P DIVID ETF 78464A763 22672 224743 SH SOLE NONE 0 0 224743 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 214 3935 SH SOLE NONE 0 0 3935 THE CHARLES SCHWAB CORPORATI COM 808513105 270 6718 SH SOLE NONE 0 0 6718 TJX COS INC NEW COM 872540109 627 11854 SH SOLE NONE 0 0 11854 UBS AG JERSEY BRH ALERIAN INFRST 902641646 15250 682938 SH SOLE NONE 0 0 682938 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 253 1930 SH SOLE NONE 0 0 1930 VANGUARD GROUP DIV APP ETF 921908844 1202 10434 SH SOLE NONE 0 0 10434 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 427 3600 SH SOLE NONE 0 0 3600 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4081 27187 SH SOLE NONE 0 0 27187 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2554 9489 SH SOLE NONE 0 0 9489 VANGUARD INDEX FDS MID CAP ETF 922908629 514 3075 SH SOLE NONE 0 0 3075 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 4932 56433 SH SOLE NONE 0 0 56433 VANGUARD INDEX FDS SMALL CP ETF 922908751 1385 8841 SH SOLE NONE 0 0 8841 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1589 37354 SH SOLE NONE 0 0 37354 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 366 3481 SH SOLE NONE 0 0 3481 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2254 44202 SH SOLE NONE 0 0 44202 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 27836 564389 SH SOLE NONE 0 0 564389 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 372 7017 SH SOLE NONE 0 0 7017 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 660 7341 SH SOLE NONE 0 0 7341 VANGUARD STAR FD VG TL INTL STK F 921909768 3795 71934 SH SOLE NONE 0 0 71934 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 2104 50451 SH SOLE NONE 0 0 50451 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 413 4728 SH SOLE NONE 0 0 4728 VERIZON COMMUNICATIONS INC COM 92343V104 280 4905 SH SOLE NONE 0 0 4905 WESTERN ASSET EMRG MKT DEBT COM 95766A101 396 27645 SH SOLE NONE 0 0 27645 WISDOMTREE TR EMER MKT HIGH FD 97717W315 525 11755 SH SOLE NONE 0 0 11755