0001606587-20-000138.txt : 20200129 0001606587-20-000138.hdr.sgml : 20200129 20200129152934 ACCESSION NUMBER: 0001606587-20-000138 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200129 DATE AS OF CHANGE: 20200129 EFFECTIVENESS DATE: 20200129 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: 20557926 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 12-31-2019 12-31-2019 false Klingman & Associates, LLC

1133 Avenue of the Americas Suite 3110 New York NY 10036

13F HOLDINGS REPORT 028-17124 N Michael Paley 212-867-7647 Michael Paley New York NY 01-28-2020 0 135 611061 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 220 2536 SH SOLE NONE 0 0 2536 ABBVIE INC COM 00287Y109 336 3790 SH SOLE NONE 0 0 3790 ALPHABET INC CAP STK CL C 02079K107 596 446 SH SOLE NONE 0 0 446 AMAZON COM INC COM 023135106 1162 629 SH SOLE NONE 0 0 629 APPLE INC COM 037833100 13928 47432 SH SOLE NONE 0 0 47432 BANK AMER CORP COM 060505104 264 7499 SH SOLE NONE 0 0 7499 BARINGS CORPORATE INVS COM 06759X107 300 17800 SH SOLE NONE 0 0 17800 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1664 7347 SH SOLE NONE 0 0 7347 BLACKSTONE GROUP INC COM CL A 09260D107 787 14065 SH SOLE NONE 0 0 14065 CSX CORP COM 126408103 262 3615 SH SOLE NONE 0 0 3615 CARMAX INC COM 143130102 351 3998 SH SOLE NONE 0 0 3998 CHEVRON CORP NEW COM 166764100 240 1990 SH SOLE NONE 0 0 1990 CINTAS CORP COM 172908105 201 747 SH SOLE NONE 0 0 747 CITIZENS FINL GROUP INC COM 174610105 3249 80000 SH SOLE NONE 0 0 80000 CREDIT ACCEP CORP MICH COM 225310101 390 882 SH SOLE NONE 0 0 882 DEERE CO COM 244199105 219 1266 SH SOLE NONE 0 0 1266 DISNEY WALT CO COM DISNEY 254687106 637 4402 SH SOLE NONE 0 0 4402 EXXON MOBIL CORP COM 30231G102 1148 16448 SH SOLE NONE 0 0 16448 FACEBOOK INC CL A 30303M102 396 1928 SH SOLE NONE 0 0 1928 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 349 13696 SH SOLE NONE 0 0 13696 GENERAL ELECTRIC CO COM 369604103 694 62175 SH SOLE NONE 0 0 62175 GLOBAL X FDS GLB X MLP ENRG I 37950E226 1108 90190 SH SOLE NONE 0 0 90190 HERSHEY CO COM 427866108 474 3223 SH SOLE NONE 0 0 3223 HOME DEPOT INC COM 437076102 1033 4728 SH SOLE NONE 0 0 4728 HONEYWELL INTL INC COM 438516106 459 2596 SH SOLE NONE 0 0 2596 INTEL CORP COM 458140100 353 5906 SH SOLE NONE 0 0 5906 INVESCO QQQ TR UNIT SER 1 46090E103 262 1233 SH SOLE NONE 0 0 1233 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 665 5750 SH SOLE NONE 0 0 5750 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 22214 175313 SH SOLE NONE 0 0 175313 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 5053 86606 SH SOLE NONE 0 0 86606 INVESCO EXCHNG TRADED FD TR FTSE RAFI SML 46138E735 841 26313 SH SOLE NONE 0 0 26313 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 245 5773 SH SOLE NONE 0 0 5773 INVESCO EXCHNG TRADED FD TR S&P SMALLCAP 600 46138G664 761 11178 SH SOLE NONE 0 0 11178 INVESCO EXCHNG TRADED FD TR S&P MDCP 400 REV 46138G672 872 13433 SH SOLE NONE 0 0 13433 INVESCO EXCHNG TRADED FD TR S&P 500 REVENUE 46138G698 11289 193565 SH SOLE NONE 0 0 193565 INVESCO EXCHNG TRADED FD TR VAR RATE PFD 46138G870 2070 80156 SH SOLE NONE 0 0 80156 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 301 14191 SH SOLE NONE 0 0 14191 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 2219 103372 SH SOLE NONE 0 0 103372 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 6473 301491 SH SOLE NONE 0 0 301491 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 4674 219355 SH SOLE NONE 0 0 219355 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 1527 71013 SH SOLE NONE 0 0 71013 ISHARES INC MIN VOL EMRG MKT 464286533 470 8014 SH SOLE NONE 0 0 8014 ISHARES TR S&P 100 ETF 464287101 994 6895 SH SOLE NONE 0 0 6895 ISHARES TR SELECT DIVID ETF 464287168 4415 41782 SH SOLE NONE 0 0 41782 ISHARES TR TIPS BD ETF 464287176 1431 12278 SH SOLE NONE 0 0 12278 ISHARES TR CORE S&P500 ETF 464287200 125198 387322 SH SOLE NONE 0 0 387322 ISHARES TR MSCI EMG MKT ETF 464287234 468 10439 SH SOLE NONE 0 0 10439 ISHARES TR S&P 500 VAL ETF 464287408 251 1930 SH SOLE NONE 0 0 1930 ISHARES TR MSCI EAFE ETF 464287465 1784 25692 SH SOLE NONE 0 0 25692 ISHARES TR RUS MID CAP ETF 464287499 562 9422 SH SOLE NONE 0 0 9422 ISHARES TR CORE S&P MCP ETF 464287507 53293 258929 SH SOLE NONE 0 0 258929 ISHARES TR PHLX SEMICND ETF 464287523 1105 4400 SH SOLE NONE 0 0 4400 ISHARES TR RUS 1000 VAL ETF 464287598 227 1660 SH SOLE NONE 0 0 1660 ISHARES TR RUS 1000 GRW ETF 464287614 218 1240 SH SOLE NONE 0 0 1240 ISHARES TR RUS 1000 ETF 464287622 3567 19991 SH SOLE NONE 0 0 19991 ISHARES TR RUSSELL 2000 ETF 464287655 5932 35806 SH SOLE NONE 0 0 35806 ISHARES TR CORE S&P SCP ETF 464287804 33297 397108 SH SOLE NONE 0 0 397108 ISHARES TR EAFE SML CP ETF 464288273 738 11851 SH SOLE NONE 0 0 11851 ISHARES TR JPMORGAN USD EMG 464288281 352 3075 SH SOLE NONE 0 0 3075 ISHARES TR INTL SEL DIV ETF 464288448 3776 112491 SH SOLE NONE 0 0 112491 ISHARES TR CORE HIGH DV ETF 46429B663 1996 20357 SH SOLE NONE 0 0 20357 ISHARES TR MIN VOL EAFE ETF 46429B689 10561 141680 SH SOLE NONE 0 0 141680 ISHARES TR MSCI MIN VOL ETF 46429B697 13955 212724 SH SOLE NONE 0 0 212724 ISHARES US ETF TR SHT MAT BD ETF 46431W507 16064 319689 SH SOLE NONE 0 0 319689 ISHARES INC CORE MSCI EMKT 46434G103 233 4325 SH SOLE NONE 0 0 4325 ISHARES TR IBONDS DEC2023 46435G318 302 11715 SH SOLE NONE 0 0 11715 ISHARES TR IBONDS DEC2022 46435G755 247 9459 SH SOLE NONE 0 0 9459 JPMORGAN CHASE CO COM 46625H100 1167 8369 SH SOLE NONE 0 0 8369 JPMORGAN CHASE CO ALERIAN ML ETN 46625H365 5254 240887 SH SOLE NONE 0 0 240887 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 8329 165166 SH SOLE NONE 0 0 165166 JACOBS ENGR GROUP INC COM 469814107 317 3533 SH SOLE NONE 0 0 3533 JOHNSON JOHNSON COM 478160104 1176 8059 SH SOLE NONE 0 0 8059 MANAGED PORTFOLIO SER TORTOISE NRAM PI 56167N720 25277 1075597 SH SOLE NONE 0 0 1075597 MASTERCARD INC CL A 57636Q104 1882 6304 SH SOLE NONE 0 0 6304 MERCK CO INC COM 58933Y105 350 3853 SH SOLE NONE 0 0 3853 MICROSOFT CORP COM 594918104 2653 16826 SH SOLE NONE 0 0 16826 O REILLY AUTOMOTIVE INC NEW COM 67103H107 366 834 SH SOLE NONE 0 0 834 PJT PARTNERS INC COM CL A 69343T107 5631 124770 SH SOLE NONE 0 0 124770 PPG INDS INC COM 693506107 446 3342 SH SOLE NONE 0 0 3342 PEPSICO INC COM 713448108 657 4808 SH SOLE NONE 0 0 4808 PFIZER INC COM 717081103 497 12690 SH SOLE NONE 0 0 12690 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 768 7563 SH SOLE NONE 0 0 7563 PROCTER GAMBLE CO COM 742718109 357 2862 SH SOLE NONE 0 0 2862 PUBLIC STORAGE COM 74460D109 203 952 SH SOLE NONE 0 0 952 ROSS STORES INC COM 778296103 1190 10219 SH SOLE NONE 0 0 10219 ROYAL BK CDA MONTREAL QUE COM 780087102 924 11689 SH SOLE NONE 0 0 11689 SPDR SP 500 ETF TR TR UNIT 78462F103 43266 134424 SH SOLE NONE 0 0 134424 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 408 7921 SH SOLE NONE 0 0 7921 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 277 7130 SH SOLE NONE 0 0 7130 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 442 6854 SH SOLE NONE 0 0 6854 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 6888 104827 SH SOLE NONE 0 0 104827 SPDR SERIES TRUST FTSE INT GVT ETF 78464A490 248 4500 SH SOLE NONE 0 0 4500 SPDR SERIES TRUST S&P DIVID ETF 78464A763 23981 222937 SH SOLE NONE 0 0 222937 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 247 4335 SH SOLE NONE 0 0 4335 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 312 5700 SH SOLE NONE 0 0 5700 SPDR SP MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 18558 49437 SH SOLE NONE 0 0 49437 THE CHARLES SCHWAB CORPORATI COM 808513105 320 6718 SH SOLE NONE 0 0 6718 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 204 2197 SH SOLE NONE 0 0 2197 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 363 13259 SH SOLE NONE 0 0 13259 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 379 11275 SH SOLE NONE 0 0 11275 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 237 2585 SH SOLE NONE 0 0 2585 TJX COS INC NEW COM 872540109 732 11986 SH SOLE NONE 0 0 11986 TRUIST FINL CORP COM 89832Q109 210 3735 SH SOLE NONE 0 0 3735 UBS AG JERSEY BRH ALERIAN INFRST 902641646 9280 477851 SH SOLE NONE 0 0 477851 VANGUARD GROUP DIV APP ETF 921908844 780 6259 SH SOLE NONE 0 0 6259 VANGUARD STAR FD VG TL INTL STK F 921909768 4081 73279 SH SOLE NONE 0 0 73279 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 832 5467 SH SOLE NONE 0 0 5467 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 1070 7702 SH SOLE NONE 0 0 7702 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 452 5610 SH SOLE NONE 0 0 5610 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 3503 79502 SH SOLE NONE 0 0 79502 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 443 4728 SH SOLE NONE 0 0 4728 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 38821 787758 SH SOLE NONE 0 0 787758 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 472 4244 SH SOLE NONE 0 0 4244 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2642 49153 SH SOLE NONE 0 0 49153 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2411 54207 SH SOLE NONE 0 0 54207 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 2694 9108 SH SOLE NONE 0 0 9108 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 266 2233 SH SOLE NONE 0 0 2233 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 303 1909 SH SOLE NONE 0 0 1909 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 5288 56993 SH SOLE NONE 0 0 56993 VANGUARD INDEX FDS SML CP GRW ETF 922908595 313 1574 SH SOLE NONE 0 0 1574 VANGUARD INDEX FDS SM CP VAL ETF 922908611 348 2542 SH SOLE NONE 0 0 2542 VANGUARD INDEX FDS MID CAP ETF 922908629 553 3105 SH SOLE NONE 0 0 3105 VANGUARD INDEX FDS LARGE CAP ETF 922908637 262 1770 SH SOLE NONE 0 0 1770 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 454 3600 SH SOLE NONE 0 0 3600 VANGUARD INDEX FDS GROWTH ETF 922908736 451 2478 SH SOLE NONE 0 0 2478 VANGUARD INDEX FDS VALUE ETF 922908744 376 3134 SH SOLE NONE 0 0 3134 VANGUARD INDEX FDS SMALL CP ETF 922908751 1591 9604 SH SOLE NONE 0 0 9604 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4617 28218 SH SOLE NONE 0 0 28218 VERIZON COMMUNICATIONS INC COM 92343V104 252 4103 SH SOLE NONE 0 0 4103 VISA INC COM CL A 92826C839 242 1287 SH SOLE NONE 0 0 1287 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 204 7000 SH SOLE NONE 0 0 7000 WESTERN ASSET EMRG MKT DEBT COM 95766A101 280 19645 SH SOLE NONE 0 0 19645 WISDOMTREE TR EMER MKT HIGH FD 97717W315 496 10842 SH SOLE NONE 0 0 10842