0001606587-20-001182.txt : 20201103 0001606587-20-001182.hdr.sgml : 20201103 20201103095122 ACCESSION NUMBER: 0001606587-20-001182 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201103 DATE AS OF CHANGE: 20201103 EFFECTIVENESS DATE: 20201103 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: 201282137 BUSINESS ADDRESS: STREET 1: 120 WEST 45TH STREET STREET 2: SUITE 3800 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-867-7647 MAIL ADDRESS: STREET 1: 120 WEST 45TH STREET STREET 2: SUITE 3800 CITY: NEW YORK STATE: NY ZIP: 10036 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001662449 XXXXXXXX 09-30-2020 09-30-2020 false Klingman & Associates, LLC

120 WEST 45TH STREET SUITE 3800 New York NY 10036

13F HOLDINGS REPORT 028-17124 N Michael Paley 212-867-7647 Michael Paley New York NY 11-02-2020 0 138 743188 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 427 3926 SH SOLE NONE 0 0 3926 ABBVIE INC COM 00287Y109 423 4827 SH SOLE NONE 0 0 4827 ADOBE SYSTEMS INCORPORATED COM 00724F101 236 482 SH SOLE NONE 0 0 482 ALPHABET INC CAP STK CL C 02079K107 1026 698 SH SOLE NONE 0 0 698 ALPHABET INC CAP STK CL A 02079K305 780 532 SH SOLE NONE 0 0 532 AMAZON COM INC COM 023135106 4455 1415 SH SOLE NONE 0 0 1415 AMERICAN CENTY ETF TR US SML CP VALU 025072877 386 9020 SH SOLE NONE 0 0 9020 AMGEN INC COM 031162100 289 1136 SH SOLE NONE 0 0 1136 APPLE INC COM 037833100 22366 193127 SH SOLE NONE 0 0 193127 APPLIED MATLS INC COM 038222105 511 8596 SH SOLE NONE 0 0 8596 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1595 7491 SH SOLE NONE 0 0 7491 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 195 14485 SH SOLE NONE 0 0 14485 BLACKSTONE GROUP INC COM CL A 09260D107 734 14065 SH SOLE NONE 0 0 14065 CSX CORP COM 126408103 251 3236 SH SOLE NONE 0 0 3236 CARMAX INC COM 143130102 302 3283 SH SOLE NONE 0 0 3283 CISCO SYS INC COM 17275R102 251 6360 SH SOLE NONE 0 0 6360 CINTAS CORP COM 172908105 253 759 SH SOLE NONE 0 0 759 CITIZENS FINL GROUP INC COM 174610105 3690 145978 SH SOLE NONE 0 0 145978 COSTCO WHSL CORP NEW COM 22160K105 545 1536 SH SOLE NONE 0 0 1536 CREDIT ACCEP CORP MICH COM 225310101 299 882 SH SOLE NONE 0 0 882 CROCS INC COM 227046109 3948 92383 SH SOLE NONE 0 0 92383 DATADOG INC CL A COM 23804L103 31179 305197 SH SOLE NONE 0 0 305197 DISNEY WALT CO COM DISNEY 254687106 589 4747 SH SOLE NONE 0 0 4747 EQUITY RESIDENTIAL SH BEN INT 29476L107 262 5105 SH SOLE NONE 0 0 5105 EXXON MOBIL CORP COM 30231G102 571 16628 SH SOLE NONE 0 0 16628 FACEBOOK INC CL A 30303M102 555 2118 SH SOLE NONE 0 0 2118 GENERAL ELECTRIC CO COM 369604103 414 66479 SH SOLE NONE 0 0 66479 HERSHEY CO COM 427866108 382 2666 SH SOLE NONE 0 0 2666 HOME DEPOT INC COM 437076102 1177 4239 SH SOLE NONE 0 0 4239 HONEYWELL INTL INC COM 438516106 437 2653 SH SOLE NONE 0 0 2653 INTEL CORP COM 458140100 488 9418 SH SOLE NONE 0 0 9418 INTERNATIONAL BUSINESS MACHS COM 459200101 270 2221 SH SOLE NONE 0 0 2221 INVESCO QQQ TR UNIT SER 1 46090E103 623 2241 SH SOLE NONE 0 0 2241 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 622 5750 SH SOLE NONE 0 0 5750 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 17465 153487 SH SOLE NONE 0 0 153487 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 4286 79907 SH SOLE NONE 0 0 79907 INVESCO EXCH TRADED FD TR II FTSE RAFI SML 46138E735 722 24276 SH SOLE NONE 0 0 24276 INVESCO EXCH TRADED FD TR II FTSE RAFI DEV 46138E743 206 5799 SH SOLE NONE 0 0 5799 INVESCO EXCH TRADED FD TR II S&P SMALLCAP 600 46138G664 597 10013 SH SOLE NONE 0 0 10013 INVESCO EXCH TRADED FD TR II S&P MDCP 400 REV 46138G672 726 13433 SH SOLE NONE 0 0 13433 INVESCO EXCH TRADED FD TR II S&P 500 REVENUE 46138G698 9744 180674 SH SOLE NONE 0 0 180674 INVESCO EXCH TRADED FD TR II VAR RATE PFD 46138G870 1655 67241 SH SOLE NONE 0 0 67241 ISHARES TR S&P 100 ETF 464287101 1074 6895 SH SOLE NONE 0 0 6895 ISHARES TR CORE S&P TTL STK 464287150 204 2703 SH SOLE NONE 0 0 2703 ISHARES TR SELECT DIVID ETF 464287168 2947 36144 SH SOLE NONE 0 0 36144 ISHARES TR TIPS BD ETF 464287176 1545 12217 SH SOLE NONE 0 0 12217 ISHARES TR CORE S&P500 ETF 464287200 113030 336339 SH SOLE NONE 0 0 336339 ISHARES TR MSCI EMG MKT ETF 464287234 581 13168 SH SOLE NONE 0 0 13168 ISHARES TR S&P 500 VAL ETF 464287408 259 2305 SH SOLE NONE 0 0 2305 ISHARES TR MSCI EAFE ETF 464287465 1468 23063 SH SOLE NONE 0 0 23063 ISHARES TR RUS MID CAP ETF 464287499 544 9476 SH SOLE NONE 0 0 9476 ISHARES TR CORE S&P MCP ETF 464287507 25665 138498 SH SOLE NONE 0 0 138498 ISHARES TR PHLX SEMICND ETF 464287523 1343 4410 SH SOLE NONE 0 0 4410 ISHARES TR RUS 1000 GRW ETF 464287614 269 1240 SH SOLE NONE 0 0 1240 ISHARES TR RUS 1000 ETF 464287622 3850 20571 SH SOLE NONE 0 0 20571 ISHARES TR RUS 2000 VAL ETF 464287630 1232 12406 SH SOLE NONE 0 0 12406 ISHARES TR RUSSELL 2000 ETF 464287655 4720 31513 SH SOLE NONE 0 0 31513 ISHARES TR CORE S&P SCP ETF 464287804 18138 258267 SH SOLE NONE 0 0 258267 ISHARES TR EAFE SML CP ETF 464288273 699 11851 SH SOLE NONE 0 0 11851 ISHARES TR CORE HIGH DV ETF 46429B663 1484 18445 SH SOLE NONE 0 0 18445 ISHARES TR MSCI EAFE MIN VL 46429B689 10517 154369 SH SOLE NONE 0 0 154369 ISHARES TR MSCI USA MIN VOL 46429B697 20494 321581 SH SOLE NONE 0 0 321581 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 16337 326016 SH SOLE NONE 0 0 326016 ISHARES TR CORE MSCI TOTAL 46432F834 783 13424 SH SOLE NONE 0 0 13424 ISHARES TR CORE MSCI EAFE 46432F842 3676 60986 SH SOLE NONE 0 0 60986 ISHARES INC CORE MSCI EMKT 46434G103 1362 25792 SH SOLE NONE 0 0 25792 ISHARES TR IBONDS DEC2023 46435G318 322 12269 SH SOLE NONE 0 0 12269 ISHARES TR IBONDS DEC2022 46435G755 252 9499 SH SOLE NONE 0 0 9499 ISHARES TR IBONDS DEC 46435U697 254 9380 SH SOLE NONE 0 0 9380 JPMORGAN CHASE & CO COM 46625H100 974 10113 SH SOLE NONE 0 0 10113 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 5049 99025 SH SOLE NONE 0 0 99025 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 107393 2114235 SH SOLE NONE 0 0 2114235 JACOBS ENGR GROUP INC COM 469814107 313 3369 SH SOLE NONE 0 0 3369 JOHNSON & JOHNSON COM 478160104 1532 10288 SH SOLE NONE 0 0 10288 MASTERCARD INCORPORATED CL A 57636Q104 2087 6171 SH SOLE NONE 0 0 6171 MERCK & CO. INC COM 58933Y105 412 4972 SH SOLE NONE 0 0 4972 MICROSOFT CORP COM 594918104 4459 21200 SH SOLE NONE 0 0 21200 NATURA &CO HLDG S A ADS 63884N108 619 34000 SH SOLE NONE 0 0 34000 NETFLIX INC COM 64110L106 399 798 SH SOLE NONE 0 0 798 OREILLY AUTOMOTIVE INC COM 67103H107 383 831 SH SOLE NONE 0 0 831 PJT PARTNERS INC COM CL A 69343T107 7562 124770 SH SOLE NONE 0 0 124770 PPG INDS INC COM 693506107 380 3115 SH SOLE NONE 0 0 3115 PEPSICO INC COM 713448108 661 4770 SH SOLE NONE 0 0 4770 PFIZER INC COM 717081103 509 13861 SH SOLE NONE 0 0 13861 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 822 8063 SH SOLE NONE 0 0 8063 PROCTER AND GAMBLE CO COM 742718109 718 5165 SH SOLE NONE 0 0 5165 PROSIGHT GLOBAL INC COM 74349J103 113 10000 SH SOLE NONE 0 0 10000 PUBLIC STORAGE COM 74460D109 219 982 SH SOLE NONE 0 0 982 ROSS STORES INC COM 778296103 688 7377 SH SOLE NONE 0 0 7377 ROYAL BK CDA COM 780087102 400 5700 SH SOLE NONE 0 0 5700 SPDR S&P 500 ETF TR TR UNIT 78462F103 44462 132767 SH SOLE NONE 0 0 132767 SPDR GOLD TR GOLD SHS 78463V107 309 1743 SH SOLE NONE 0 0 1743 SPDR SER TR S&P 600 SMCP GRW 78464A201 9028 152934 SH SOLE NONE 0 0 152934 SPDR SER TR S&P 600 SMCP VAL 78464A300 12485 249257 SH SOLE NONE 0 0 249257 SPDR SER TR PRTFLO S&P500 GW 78464A409 23043 459857 SH SOLE NONE 0 0 459857 SPDR SER TR FTSE INT GVT ETF 78464A490 296 5453 SH SOLE NONE 0 0 5453 SPDR SER TR PRTFLO S&P500 VL 78464A508 20413 675937 SH SOLE NONE 0 0 675937 SPDR SER TR S&P DIVID ETF 78464A763 19856 214896 SH SOLE NONE 0 0 214896 SPDR SER TR S&P 400 MDCP GRW 78464A821 15296 266532 SH SOLE NONE 0 0 266532 SPDR SER TR S&P 400 MDCP VAL 78464A839 14273 328946 SH SOLE NONE 0 0 328946 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 15997 47211 SH SOLE NONE 0 0 47211 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 415 3601 SH SOLE NONE 0 0 3601 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 284 5449 SH SOLE NONE 0 0 5449 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 489 15558 SH SOLE NONE 0 0 15558 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 302 2585 SH SOLE NONE 0 0 2585 TJX COS INC NEW COM 872540109 689 12380 SH SOLE NONE 0 0 12380 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 593 4609 SH SOLE NONE 0 0 4609 VANGUARD STAR FDS VG TL INTL STK F 921909768 232 4452 SH SOLE NONE 0 0 4452 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 706 5467 SH SOLE NONE 0 0 5467 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 952 7581 SH SOLE NONE 0 0 7581 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 466 5610 SH SOLE NONE 0 0 5610 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 8086 197702 SH SOLE NONE 0 0 197702 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 676 8347 SH SOLE NONE 0 0 8347 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 44928 880589 SH SOLE NONE 0 0 880589 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 209 4299 SH SOLE NONE 0 0 4299 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 293 2779 SH SOLE NONE 0 0 2779 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2232 44244 SH SOLE NONE 0 0 44244 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1612 37282 SH SOLE NONE 0 0 37282 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 315 6012 SH SOLE NONE 0 0 6012 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2221 7220 SH SOLE NONE 0 0 7220 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 265 2614 SH SOLE NONE 0 0 2614 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 319 1770 SH SOLE NONE 0 0 1770 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 4333 54871 SH SOLE NONE 0 0 54871 VANGUARD INDEX FDS SML CP GRW ETF 922908595 281 1308 SH SOLE NONE 0 0 1308 VANGUARD INDEX FDS SM CP VAL ETF 922908611 769 6954 SH SOLE NONE 0 0 6954 VANGUARD INDEX FDS LARGE CAP ETF 922908637 223 1426 SH SOLE NONE 0 0 1426 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 448 3450 SH SOLE NONE 0 0 3450 VANGUARD INDEX FDS GROWTH ETF 922908736 466 2049 SH SOLE NONE 0 0 2049 VANGUARD INDEX FDS VALUE ETF 922908744 350 3347 SH SOLE NONE 0 0 3347 VANGUARD INDEX FDS SMALL CP ETF 922908751 1210 7867 SH SOLE NONE 0 0 7867 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6558 38509 SH SOLE NONE 0 0 38509 VERIZON COMMUNICATIONS INC COM 92343V104 281 4728 SH SOLE NONE 0 0 4728 VISA INC COM CL A 92826C839 262 1310 SH SOLE NONE 0 0 1310 WALMART INC COM 931142103 245 1753 SH SOLE NONE 0 0 1753 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 282 14000 SH SOLE NONE 0 0 14000 WESTERN ASSET EMERGING MKTS COM 95766A101 198 16081 SH SOLE NONE 0 0 16081 WISDOMTREE TR EMER MKT HIGH FD 97717W315 379 10750 SH SOLE NONE 0 0 10750 COMPUGEN LTD ORD M25722105 488 30000 SH SOLE NONE 0 0 30000