0001221073-21-000007.txt : 20210204 0001221073-21-000007.hdr.sgml : 20210204 20210204094910 ACCESSION NUMBER: 0001221073-21-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210204 DATE AS OF CHANGE: 20210204 EFFECTIVENESS DATE: 20210204 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Altium Wealth Management LLC CENTRAL INDEX KEY: 0001739594 IRS NUMBER: 272941375 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18798 FILM NUMBER: 21589274 BUSINESS ADDRESS: STREET 1: 2500 WESTCHESTER AVENUE STREET 2: SUITE 210 CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 9142982447 MAIL ADDRESS: STREET 1: 2500 WESTCHESTER AVENUE STREET 2: SUITE 210 CITY: PURCHASE STATE: NY ZIP: 10577 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001739594 XXXXXXXX 12-31-2020 12-31-2020 false Altium Wealth Management LLC

2500 WESTCHESTER AVENUE SUITE 210 PURCHASE NY 10577

13F HOLDINGS REPORT 028-18798 N ROBERT SYPHER 914-298-2447 /s/ROBERT SYPHER PURCHASE NY 01-28-2021 0 351 1131167 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 1902 10883 SH SOLE 10883 0 0 ABB LTD SPONSORED ADR 000375204 653 23371 SH SOLE 23371 0 0 ABBOTT LABS COM 002824100 2480 22647 SH SOLE 22647 0 0 ABBVIE INC COM 00287Y109 1720 16051 SH SOLE 16051 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2518 9642 SH SOLE 9642 0 0 ACTIVISION BLIZZARD INC COM 00507V109 281 3024 SH SOLE 3024 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 4072 8143 SH SOLE 8143 0 0 ADVANCED MICRO DEVICES INC COM 007903107 515 5613 SH SOLE 5613 0 0 AEGON N V NY REGISTRY SHS 007924103 519 131348 SH SOLE 131348 0 0 AIR PRODS & CHEMS INC COM 009158106 461 1686 SH SOLE 1686 0 0 ALLEGION PLC ORD SHS G0176J109 361 3098 SH SOLE 3098 0 0 ALPHABET INC CAP STK CL A 02079K305 4695 2679 SH SOLE 2679 0 0 ALPHABET INC CAP STK CL C 02079K107 4586 2618 SH SOLE 2618 0 0 ALTRIA GROUP INC COM 02209S103 694 16938 SH SOLE 16938 0 0 AMAZON COM INC COM 023135106 13108 4025 SH SOLE 4025 0 0 AMEDISYS INC COM 023436108 204 697 SH SOLE 697 0 0 AMERICAN ELEC PWR CO INC COM 025537101 496 5959 SH SOLE 5959 0 0 AMERICAN EXPRESS CO COM 025816109 1908 15781 SH SOLE 15781 0 0 AMERICAN TOWER CORP NEW COM 03027X100 1230 5481 SH SOLE 5481 0 0 AMERIPRISE FINL INC COM 03076C106 836 4301 SH SOLE 4301 0 0 AMGEN INC COM 031162100 1449 6301 SH SOLE 6301 0 0 ANALOG DEVICES INC COM 032654105 492 3328 SH SOLE 3328 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 520 7435 SH SOLE 7435 0 0 ANTHEM INC COM 036752103 343 1068 SH SOLE 1068 0 0 AON PLC SHS CL A G0403H108 539 2551 SH SOLE 2551 0 0 APOLLO COML REAL EST FIN INC NOTE 4.750% 8/2 03762UAB1 17 18000 SH SOLE 18000 0 0 APOLLO COML REAL EST FIN INC NOTE 5.375%10/1 03762UAC9 110 118000 SH SOLE 118000 0 0 APPLE INC COM 037833100 37200 280351 SH SOLE 280351 0 0 APPLIED MATLS INC COM 038222105 695 8056 SH SOLE 8056 0 0 ARES CAPITAL CORP NOTE 3.750% 2/0 04010LAT0 149 145000 SH SOLE 145000 0 0 ARES CAPITAL CORP NOTE 4.625% 3/0 04010LAW3 211 200000 SH SOLE 200000 0 0 ARGENX SE SPONSORED ADR 04016X101 746 2537 SH SOLE 2537 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 568 1165 SH SOLE 1165 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 409 8175 SH SOLE 8175 0 0 AT&T INC COM 00206R102 1873 65110 SH SOLE 65110 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 483 465000 SH SOLE 465000 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 2548 14462 SH SOLE 14462 0 0 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 178 36046 SH SOLE 36046 0 0 BANCO SANTANDER S.A. 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SPONSORED ADR 60687Y109 510 199821 SH SOLE 199821 0 0 MONDELEZ INTL INC CL A 609207105 1937 33127 SH SOLE 33127 0 0 MOODYS CORP COM 615369105 802 2763 SH SOLE 2763 0 0 MORGAN STANLEY COM NEW 617446448 707 10323 SH SOLE 10323 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 63 10000 SH SOLE 10000 0 0 NATWEST GROUP PLC SPONS ADR 2 ORD 639057108 448 99099 SH SOLE 99099 0 0 NETFLIX INC COM 64110L106 1850 3421 SH SOLE 3421 0 0 NEW MTN FIN CORP COM 647551100 1548 136259 SH SOLE 136259 0 0 NEW RELIC INC NOTE 0.500% 5/0 64829BAB6 524 535000 SH SOLE 535000 0 0 NEW YORK CMNTY CAP TR V UNIT 11/01/2051 64944P307 409 8926 SH SOLE 8926 0 0 NEXTERA ENERGY INC COM 65339F101 1958 25375 SH SOLE 25375 0 0 NICE LTD SPONSORED ADR 653656108 882 3110 SH SOLE 3110 0 0 NIKE INC CL B 654106103 1887 13338 SH SOLE 13338 0 0 NOKIA CORP SPONSORED ADR 654902204 648 165640 SH SOLE 165640 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 415 77863 SH SOLE 77863 0 0 NORDIC AMERICAN TANKERS LIMI COM G65773106 34 11648 SH SOLE 11648 0 0 NORFOLK SOUTHN CORP COM 655844108 961 4045 SH SOLE 4045 0 0 NOVARTIS AG SPONSORED ADR 66987V109 832 8807 SH SOLE 8807 0 0 NOVO-NORDISK A S ADR 670100205 421 6026 SH SOLE 6026 0 0 NVIDIA CORPORATION COM 67066G104 2347 4494 SH SOLE 4494 0 0 NXP SEMICONDUCTORS N V COM N6596X109 213 1338 SH SOLE 1338 0 0 OMNICOM GROUP INC COM 681919106 294 4718 SH SOLE 4718 0 0 ORACLE CORP COM 68389X105 1630 25200 SH SOLE 25200 0 0 ORIX CORP SPONSORED ADR 686330101 286 3704 SH SOLE 3704 0 0 OTIS WORLDWIDE CORP COM 68902V107 257 3809 SH SOLE 3809 0 0 PARK NATL CORP COM 700658107 332 3161 SH SOLE 3161 0 0 PAYPAL HLDGS INC COM 70450Y103 2571 10979 SH SOLE 10979 0 0 PEARSON PLC SPONSORED ADR 705015105 558 60736 SH SOLE 60736 0 0 PEPSICO INC COM 713448108 3808 25675 SH SOLE 25675 0 0 PFIZER INC COM 717081103 2863 77782 SH SOLE 77782 0 0 PHILIP MORRIS INTL INC COM 718172109 1641 19826 SH SOLE 19826 0 0 PHILLIPS 66 COM 718546104 454 6487 SH SOLE 6487 0 0 PNC FINL SVCS GROUP INC COM 693475105 924 6199 SH SOLE 6199 0 0 PORTMAN RIDGE FIN CORP COM 73688F102 37 19248 SH SOLE 19248 0 0 PROCTER AND GAMBLE CO COM 742718109 5897 42381 SH SOLE 42381 0 0 PROGRESSIVE CORP COM 743315103 291 2941 SH SOLE 2941 0 0 PROLOGIS INC. 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5802 0 0 SONY CORP SPONSORED ADR 835699307 611 6045 SH SOLE 6045 0 0 SOUTHERN CO COM 842587107 613 9985 SH SOLE 9985 0 0 SPDR GOLD TR GOLD SHS 78463V107 340 1906 SH SOLE 1906 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6011 16076 SH SOLE 16076 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 502 1196 SH SOLE 1196 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 27136 490789 SH SOLE 490789 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 20823 605488 SH SOLE 605488 0 0 STARBUCKS CORP COM 855244109 1303 12184 SH SOLE 12184 0 0 STRYKER CORPORATION COM 863667101 672 2743 SH SOLE 2743 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 380 61583 SH SOLE 61583 0 0 SUPERNUS PHARMACEUTICALS INC NOTE 0.625% 4/0 868459AD0 475 501000 SH SOLE 501000 0 0 SYNAPTICS INC NOTE 0.500% 6/1 87157DAD1 414 300000 SH SOLE 300000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 451 4137 SH SOLE 4137 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 409 22469 SH SOLE 22469 0 0 TAL EDUCATION GROUP SPONSORED ADS 874080104 399 5582 SH SOLE 5582 0 0 TALEND S A ADS 874224207 487 12691 SH SOLE 12691 0 0 TARGET CORP COM 87612E106 1402 7941 SH SOLE 7941 0 0 TELEFONICA S A SPONSORED ADR 879382208 286 70881 SH SOLE 70881 0 0 TENARIS S A SPONSORED ADS 88031M109 171 10692 SH SOLE 10692 0 0 TERADYNE INC COM 880770102 263 2195 SH SOLE 2195 0 0 TESLA INC COM 88160R101 2468 3498 SH SOLE 3498 0 0 TEXAS INSTRS INC COM 882508104 2146 13074 SH SOLE 13074 0 0 THERAVANCE INC NOTE 2.125% 1/1 88338TAB0 85 85000 SH SOLE 85000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 2292 4920 SH SOLE 4920 0 0 TJX COS INC NEW COM 872540109 640 9378 SH SOLE 9378 0 0 T-MOBILE US INC COM 872590104 473 3504 SH SOLE 3504 0 0 TORONTO DOMINION BK ONT COM NEW 891160509 311 5516 SH SOLE 5516 0 0 TOTAL SE SPONSORED ADS 89151E109 670 15987 SH SOLE 15987 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 505 3270 SH SOLE 3270 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 308 2120 SH SOLE 2120 0 0 TRAVELERS COMPANIES INC COM 89417E109 628 4472 SH SOLE 4472 0 0 TRUIST FINL CORP COM 89832Q109 451 9403 SH SOLE 9403 0 0 TWITTER INC NOTE 1.000% 9/1 90184LAD4 204 200000 SH SOLE 200000 0 0 UNILEVER PLC SPON ADR NEW 904767704 355 5880 SH SOLE 5880 0 0 UNION PAC CORP COM 907818108 2915 13998 SH SOLE 13998 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2023 12012 SH SOLE 12012 0 0 UNITEDHEALTH GROUP INC COM 91324P102 4526 12905 SH SOLE 12905 0 0 US BANCORP DEL COM NEW 902973304 1324 28425 SH SOLE 28425 0 0 VALERO ENERGY CORP COM 91913Y100 370 6532 SH SOLE 6532 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 32321 140478 SH SOLE 140478 0 0 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 17547 141860 SH SOLE 141860 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 413 7051 SH SOLE 7051 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 7637 30145 SH SOLE 30145 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 31725 153429 SH SOLE 153429 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 164977 480016 SH SOLE 480016 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 12573 64583 SH SOLE 64583 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 334 1246 SH SOLE 1246 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1600 8218 SH SOLE 8218 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 14880 125088 SH SOLE 125088 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 259 4436 SH SOLE 4436 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 24650 491917 SH SOLE 491917 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 37581 680936 SH SOLE 680936 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 34668 356883 SH SOLE 356883 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 341 1374 SH SOLE 1374 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1016 7200 SH SOLE 7200 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 55582 1177342 SH SOLE 1177342 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 824 9007 SH SOLE 9007 0 0 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 624 569000 SH SOLE 569000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2691 45807 SH SOLE 45807 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 276 1169 SH SOLE 1169 0 0 VIAVI SOLUTIONS INC NOTE 1.000% 3/0 925550AB1 282 220000 SH SOLE 220000 0 0 VISA INC COM CL A 92826C839 4422 20216 SH SOLE 20216 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 419 25453 SH SOLE 25453 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 245 6145 SH SOLE 6145 0 0 WALMART INC COM 931142103 1035 7180 SH SOLE 7180 0 0 WASTE MGMT INC DEL COM 94106L109 356 3018 SH SOLE 3018 0 0 WEC ENERGY GROUP INC COM 92939U106 203 2205 SH SOLE 2205 0 0 WELLS FARGO CO NEW COM 949746101 1190 39442 SH SOLE 39442 0 0 WESTPAC BANKING CORP SPONSORED ADR 961214301 514 34497 SH SOLE 34497 0 0 WNS HLDGS LTD SPON ADR 92932M101 394 5474 SH SOLE 5474 0 0 WPP PLC NEW ADR 92937A102 554 10247 SH SOLE 10247 0 0 YUM BRANDS INC COM 988498101 649 5979 SH SOLE 5979 0 0 YUM CHINA HLDGS INC COM 98850P109 267 4679 SH SOLE 4679 0 0 ZIOPHARM ONCOLOGY INC COM 98973P101 38 15000 SH SOLE 15000 0 0 ZOETIS INC CL A 98978V103 861 5205 SH SOLE 5205 0 0