0001606587-19-000903.txt : 20191022
0001606587-19-000903.hdr.sgml : 20191022
20191022140156
ACCESSION NUMBER: 0001606587-19-000903
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191022
DATE AS OF CHANGE: 20191022
EFFECTIVENESS DATE: 20191022
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: 191161282
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
09-30-2019
09-30-2019
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
10-22-2019
0
121
558509
false
INFORMATION TABLE
2
form13InfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
ABBVIE INC
COM
00287Y109
287
3790
SH
SOLE
NONE
0
0
3790
ALPHABET INC
CAP STK CL C
02079K107
531
436
SH
SOLE
NONE
0
0
436
AMAZON COM INC
COM
023135106
1109
639
SH
SOLE
NONE
0
0
639
APPLE INC
COM
037833100
9559
42681
SH
SOLE
NONE
0
0
42681
BANK AMER CORP
COM
060505104
223
7658
SH
SOLE
NONE
0
0
7658
BARINGS CORPORATE INVS
COM
06759X107
300
17800
SH
SOLE
NONE
0
0
17800
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1508
7247
SH
SOLE
NONE
0
0
7247
BLACKSTONE GROUP INC
COM CL A
09260D107
687
14065
SH
SOLE
NONE
0
0
14065
CSX CORP
COM
126408103
250
3615
SH
SOLE
NONE
0
0
3615
CARMAX INC
COM
143130102
352
3998
SH
SOLE
NONE
0
0
3998
CHEVRON CORP NEW
COM
166764100
233
1961
SH
SOLE
NONE
0
0
1961
CINTAS CORP
COM
172908105
200
747
SH
SOLE
NONE
0
0
747
CITIZENS FINL GROUP INC
COM
174610105
2830
80000
SH
SOLE
NONE
0
0
80000
CREDIT ACCEP CORP MICH
COM
225310101
407
882
SH
SOLE
NONE
0
0
882
DEERE & CO
COM
244199105
214
1266
SH
SOLE
NONE
0
0
1266
DISNEY WALT CO
COM DISNEY
254687106
501
3845
SH
SOLE
NONE
0
0
3845
EXXON MOBIL CORP
COM
30231G102
1158
16403
SH
SOLE
NONE
0
0
16403
FACEBOOK INC
CL A
30303M102
417
2339
SH
SOLE
NONE
0
0
2339
FIRST TR EXCHANGE TRADED FD
NO AMER ENERGY
33738D101
350
13696
SH
SOLE
NONE
0
0
13696
GENERAL ELECTRIC CO
COM
369604103
543
60754
SH
SOLE
NONE
0
0
60754
GLOBAL X FDS
GLB X MLP ENRG I
37950E226
1272
103421
SH
SOLE
NONE
0
0
103421
HERSHEY CO
COM
427866108
496
3200
SH
SOLE
NONE
0
0
3200
HOME DEPOT INC
COM
437076102
940
4053
SH
SOLE
NONE
0
0
4053
HONEYWELL INTL INC
COM
438516106
436
2574
SH
SOLE
NONE
0
0
2574
INTEL CORP
COM
458140100
275
5344
SH
SOLE
NONE
0
0
5344
INVESCO QQQ TR
UNIT SER 1
46090E103
233
1233
SH
SOLE
NONE
0
0
1233
INVESCO EXCHANGE TRADED FD T
S&P500 EQL WGT
46137V357
621
5750
SH
SOLE
NONE
0
0
5750
INVESCO EXCHANGE TRADED FD T
FTSE RAFI 1000
46137V613
20689
175538
SH
SOLE
NONE
0
0
175538
INVESCO EXCHNG TRADED FD TR
S&P500 LOW VOL
46138E354
5014
86606
SH
SOLE
NONE
0
0
86606
INVESCO EXCHNG TRADED FD TR
FTSE RAFI SML
46138E735
767
26030
SH
SOLE
NONE
0
0
26030
INVESCO EXCHNG TRADED FD TR
FTSE RAFI DEV
46138E743
229
5773
SH
SOLE
NONE
0
0
5773
INVESCO EXCHNG TRADED FD TR
S&P SMALLCAP 600
46138G664
712
11178
SH
SOLE
NONE
0
0
11178
INVESCO EXCHNG TRADED FD TR
S&P MDCP 400 REV
46138G672
809
13583
SH
SOLE
NONE
0
0
13583
INVESCO EXCHNG TRADED FD TR
S&P 500 REVENUE
46138G698
10524
195072
SH
SOLE
NONE
0
0
195072
INVESCO EXCHNG TRADED FD TR
VAR RATE PFD
46138G870
2038
80156
SH
SOLE
NONE
0
0
80156
INVESCO EXCH TRD SLF IDX FD
BULSHS 2021 CB
46138J700
302
14191
SH
SOLE
NONE
0
0
14191
INVESCO EXCH TRD SLF IDX FD
BULSHS 2025 CB
46138J825
1825
85422
SH
SOLE
NONE
0
0
85422
INVESCO EXCH TRD SLF IDX FD
BULSHS 2024 CB
46138J841
6231
290776
SH
SOLE
NONE
0
0
290776
INVESCO EXCH TRD SLF IDX FD
BULSHS 2023 CB
46138J866
4046
190055
SH
SOLE
NONE
0
0
190055
INVESCO EXCH TRD SLF IDX FD
BULSHS 2022 CB
46138J882
1286
59863
SH
SOLE
NONE
0
0
59863
ISHARES INC
MIN VOL EMRG MKT
464286533
458
8014
SH
SOLE
NONE
0
0
8014
ISHARES TR
S&P 100 ETF
464287101
907
6895
SH
SOLE
NONE
0
0
6895
ISHARES TR
CORE S&P TTL STK
464287150
287
4284
SH
SOLE
NONE
0
0
4284
ISHARES TR
SELECT DIVID ETF
464287168
4352
42687
SH
SOLE
NONE
0
0
42687
ISHARES TR
TIPS BD ETF
464287176
1412
12145
SH
SOLE
NONE
0
0
12145
ISHARES TR
CORE S&P500 ETF
464287200
104219
349119
SH
SOLE
NONE
0
0
349119
ISHARES TR
MSCI EMG MKT ETF
464287234
405
9903
SH
SOLE
NONE
0
0
9903
ISHARES TR
S&P 500 VAL ETF
464287408
230
1930
SH
SOLE
NONE
0
0
1930
ISHARES TR
MSCI EAFE ETF
464287465
1637
25103
SH
SOLE
NONE
0
0
25103
ISHARES TR
RUS MID CAP ETF
464287499
527
9422
SH
SOLE
NONE
0
0
9422
ISHARES TR
CORE S&P MCP ETF
464287507
46680
241576
SH
SOLE
NONE
0
0
241576
ISHARES TR
PHLX SEMICND ETF
464287523
930
4400
SH
SOLE
NONE
0
0
4400
ISHARES TR
RUS 1000 ETF
464287622
3283
19951
SH
SOLE
NONE
0
0
19951
ISHARES TR
RUSSELL 2000 ETF
464287655
5419
35804
SH
SOLE
NONE
0
0
35804
ISHARES TR
CORE S&P SCP ETF
464287804
28541
366668
SH
SOLE
NONE
0
0
366668
ISHARES TR
EAFE SML CP ETF
464288273
667
11655
SH
SOLE
NONE
0
0
11655
ISHARES TR
JPMORGAN USD EMG
464288281
349
3075
SH
SOLE
NONE
0
0
3075
ISHARES TR
INTL SEL DIV ETF
464288448
3473
112985
SH
SOLE
NONE
0
0
112985
ISHARES TR
CORE HIGH DV ETF
46429B663
1916
20352
SH
SOLE
NONE
0
0
20352
ISHARES TR
MIN VOL EAFE ETF
46429B689
8966
122351
SH
SOLE
NONE
0
0
122351
ISHARES TR
MSCI MIN VOL ETF
46429B697
12448
194202
SH
SOLE
NONE
0
0
194202
ISHARES US ETF TR
SHT MAT BD ETF
46431W507
15340
304735
SH
SOLE
NONE
0
0
304735
ISHARES TR
IBONDS DEC2023
46435G318
346
13415
SH
SOLE
NONE
0
0
13415
ISHARES TR
IBONDS DEC2022
46435G755
292
11159
SH
SOLE
NONE
0
0
11159
ISHARES TR
IBONDS DEC2021
46435G789
221
8571
SH
SOLE
NONE
0
0
8571
JPMORGAN CHASE & CO
COM
46625H100
776
6596
SH
SOLE
NONE
0
0
6596
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
11041
474489
SH
SOLE
NONE
0
0
474489
JP MORGAN EXCHANGE TRADED FD
ULTRA SHRT INC
46641Q837
5632
111685
SH
SOLE
NONE
0
0
111685
JACOBS ENGR GROUP INC
COM
469814107
323
3533
SH
SOLE
NONE
0
0
3533
JOHNSON & JOHNSON
COM
478160104
1039
8033
SH
SOLE
NONE
0
0
8033
MANAGED PORTFOLIO SER
TORTOISE NRAM PI
56167N720
31005
1325175
SH
SOLE
NONE
0
0
1325175
MASTERCARD INC
CL A
57636Q104
1723
6344
SH
SOLE
NONE
0
0
6344
MERCK & CO INC
COM
58933Y105
321
3816
SH
SOLE
NONE
0
0
3816
MICROSOFT CORP
COM
594918104
2272
16340
SH
SOLE
NONE
0
0
16340
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
326
819
SH
SOLE
NONE
0
0
819
PJT PARTNERS INC
COM CL A
69343T107
5078
124770
SH
SOLE
NONE
0
0
124770
PPG INDS INC
COM
693506107
396
3342
SH
SOLE
NONE
0
0
3342
PAYCOM SOFTWARE INC
COM
70432V102
209
1000
SH
SOLE
NONE
0
0
1000
PEPSICO INC
COM
713448108
655
4777
SH
SOLE
NONE
0
0
4777
PFIZER INC
COM
717081103
441
12284
SH
SOLE
NONE
0
0
12284
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
769
7563
SH
SOLE
NONE
0
0
7563
PROCTER & GAMBLE CO
COM
742718109
356
2862
SH
SOLE
NONE
0
0
2862
PUBLIC STORAGE
COM
74460D109
233
952
SH
SOLE
NONE
0
0
952
ROSS STORES INC
COM
778296103
1123
10219
SH
SOLE
NONE
0
0
10219
ROYAL BK CDA MONTREAL QUE
COM
780087102
954
11749
SH
SOLE
NONE
0
0
11749
SPDR S&P 500 ETF TR
TR UNIT
78462F103
40709
137173
SH
SOLE
NONE
0
0
137173
SPDR INDEX SHS FDS
DJ GLB RL ES ETF
78463X749
411
7921
SH
SOLE
NONE
0
0
7921
SPDR INDEX SHS FDS
DJ INTL RL ETF
78463X863
281
7103
SH
SOLE
NONE
0
0
7103
SPDR SERIES TRUST
S&P 600 SMCP GRW
78464A201
408
6854
SH
SOLE
NONE
0
0
6854
SPDR SERIES TRUST
S&P 600 SMCP VAL
78464A300
6191
101067
SH
SOLE
NONE
0
0
101067
SPDR SERIES TRUST
FTSE INT GVT ETF
78464A490
246
4500
SH
SOLE
NONE
0
0
4500
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
22957
223751
SH
SOLE
NONE
0
0
223751
SPDR SERIES TRUST
S&P 400 MDCP GRW
78464A821
233
4335
SH
SOLE
NONE
0
0
4335
SPDR SERIES TRUST
S&P 400 MDCP VAL
78464A839
293
5700
SH
SOLE
NONE
0
0
5700
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
17509
49676
SH
SOLE
NONE
0
0
49676
THE CHARLES SCHWAB CORPORATI
COM
808513105
289
6912
SH
SOLE
NONE
0
0
6912
SCHWAB STRATEGIC TR
EMRG MKTEQ ETF
808524706
331
13152
SH
SOLE
NONE
0
0
13152
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
208
2585
SH
SOLE
NONE
0
0
2585
TJX COS INC NEW
COM
872540109
664
11904
SH
SOLE
NONE
0
0
11904
UBS AG JERSEY BRH
ALERIAN INFRST
902641646
13528
648802
SH
SOLE
NONE
0
0
648802
VANGUARD GROUP
DIV APP ETF
921908844
1225
10247
SH
SOLE
NONE
0
0
10247
VANGUARD STAR FD
VG TL INTL STK F
921909768
3706
71734
SH
SOLE
NONE
0
0
71734
VANGUARD ADMIRAL FDS INC
MIDCP 400 IDX
921932885
252
1930
SH
SOLE
NONE
0
0
1930
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
2373
57761
SH
SOLE
NONE
0
0
57761
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
420
4728
SH
SOLE
NONE
0
0
4728
VANGUARD MALVERN FDS
STRM INFPROIDX
922020805
36787
749986
SH
SOLE
NONE
0
0
749986
VANGUARD INTL EQUITY INDEX F
FTSE SMCAP ETF
922042718
355
3481
SH
SOLE
NONE
0
0
3481
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
2206
44206
SH
SOLE
NONE
0
0
44206
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
1890
46949
SH
SOLE
NONE
0
0
46949
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
670
7341
SH
SOLE
NONE
0
0
7341
VANGUARD MUN BD FD INC
TAX EXEMPT BD
922907746
376
7017
SH
SOLE
NONE
0
0
7017
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
2615
9594
SH
SOLE
NONE
0
0
9594
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
5223
56009
SH
SOLE
NONE
0
0
56009
VANGUARD INDEX FDS
MID CAP ETF
922908629
520
3105
SH
SOLE
NONE
0
0
3105
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
419
3600
SH
SOLE
NONE
0
0
3600
VANGUARD INDEX FDS
SMALL CP ETF
922908751
1361
8841
SH
SOLE
NONE
0
0
8841
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
4238
28067
SH
SOLE
NONE
0
0
28067
VERIZON COMMUNICATIONS INC
COM
92343V104
278
4603
SH
SOLE
NONE
0
0
4603
VISA INC
COM CL A
92826C839
219
1271
SH
SOLE
NONE
0
0
1271
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
273
19645
SH
SOLE
NONE
0
0
19645
WISDOMTREE TR
EMER MKT HIGH FD
97717W315
464
11225
SH
SOLE
NONE
0
0
11225