0001398344-21-021607.txt : 20211115
0001398344-21-021607.hdr.sgml : 20211115
20211115172418
ACCESSION NUMBER: 0001398344-21-021607
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211115
DATE AS OF CHANGE: 20211115
EFFECTIVENESS DATE: 20211115
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Family Management Corp
CENTRAL INDEX KEY: 0001539947
IRS NUMBER: 133462173
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14892
FILM NUMBER: 211412597
BUSINESS ADDRESS:
STREET 1: 485 MADISON AVENUE
STREET 2: 19TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 872-9600
MAIL ADDRESS:
STREET 1: 485 MADISON AVENUE
STREET 2: 19TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001539947
XXXXXXXX
09-30-2021
09-30-2021
false
Family Management Corp
485 MADISON AVENUE
19TH FLOOR
NEW YORK
NY
10022
13F HOLDINGS REPORT
028-14892
N
Philip Frank
Chief Compliance Officer
212-872-9637
/s/ Philip Frank
New York
NY
11-15-2021
0
174
362397
INFORMATION TABLE
2
fp0069405_13fhr-table.xml
13F INFORMATION TABLE
3M CO
COM
88579Y101
298
1701
SH
SOLE
1701
0
0
ABBOTT LABS
COM
002824100
241
2038
SH
SOLE
1913
0
125
ABERDEEN STD GLOBAL INFRASTR
COM SHS BEN INT
00326W106
685
34392
SH
SOLE
34392
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
203
636
SH
SOLE
601
0
35
ADAPTIVE BIOTECHNOLOGIES COR
COM
00650F109
522
15363
SH
SOLE
14411
0
952
AGNC INVT CORP
COM
00123Q104
1168
74092
SH
SOLE
74092
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
2042
13790
SH
SOLE
13608
0
182
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
44
300
SH
Call
SOLE
300
0
0
ALPHABET INC
CAP STK CL C
02079K107
784
294
SH
SOLE
285
0
9
ALPHABET INC
CAP STK CL A
02079K305
14950
5592
SH
SOLE
5313
0
279
ALTRIA GROUP INC
COM
02209S103
387
8498
SH
SOLE
8450
0
48
AMAZON COM INC
COM
023135106
14441
4396
SH
SOLE
4275
0
121
AMERICAN ELEC PWR CO INC
COM
025537101
263
3242
SH
SOLE
3242
0
0
AMERICAN EXPRESS CO
COM
025816109
3742
22339
SH
SOLE
22339
0
0
AMERICAN HOMES 4 RENT
CL A
02665T306
2083
54650
SH
SOLE
54650
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
4464
16819
SH
SOLE
16318
0
501
AMERIPRISE FINL INC
COM
03076C106
1631
6176
SH
SOLE
6176
0
0
AMGEN INC
COM
031162100
504
2370
SH
SOLE
2358
0
12
APARTMENT INCOME REIT CORP
COM
03750L109
569
11658
SH
SOLE
11658
0
0
APOLLO SR FLOATING RATE FD I
COM
037636107
297
18788
SH
SOLE
18788
0
0
APPLE INC
COM
037833100
15711
111029
SH
SOLE
96576
0
14453
ASML HOLDING N V
N Y REGISTRY SHS
N07059210
3899
5233
SH
SOLE
5084
0
149
AT&T INC
COM
00206R102
279
10337
SH
SOLE
10337
0
0
BARRICK GOLD CORP
COM
067901108
189
10492
SH
SOLE
10492
0
0
BEAM THERAPEUTICS INC
COM
07373V105
482
5534
SH
SOLE
5081
0
453
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
9119
33412
SH
SOLE
32622
0
790
BIOCARDIA INC
COM
09060U507
446
142186
SH
SOLE
142186
0
0
BK OF AMERICA CORP
COM
060505104
380
8963
SH
SOLE
8963
0
0
BLACK STONE MINERALS L P
COM UNIT
09225M101
1131
93831
SH
SOLE
39767
0
54064
BLACKROCK 2022 GBL INCM OPP
COM
09258P104
300
57508
SH
SOLE
57508
0
0
BLACKROCK DEBT STRATEGIES FD
COM NEW
09255R202
725
62831
SH
SOLE
62831
0
0
BLACKROCK FLOATING RATE INCO
COM
09255X100
253
18970
SH
SOLE
18970
0
0
BLACKROCK MUNICIPAL INCOME
COM
09253X102
631
41466
SH
SOLE
41466
0
0
BLACKROCK MUNIHLDGS NY QLTY
COM
09255C106
505
34751
SH
SOLE
23141
0
11610
BLACKROCK MUNIYIELD CALIF QU
COM
09254N103
238
14961
SH
SOLE
14961
0
0
BLACKROCK MUNIYIELD QUALITY
COM
09254E103
423
28844
SH
SOLE
28844
0
0
BLACKSTONE INC
COM
09260D107
4629
39787
SH
SOLE
38721
0
1066
BLACKSTONE STRATEGIC CREDIT
COM SHS BEN IN
09257R101
1685
121651
SH
SOLE
121651
0
0
BLUE OWL CAPITAL INC
COM CL A
09581B103
2936
188672
SH
SOLE
188672
0
0
BRANDYWINEGBL GBL INCM OPP F
COM
10537L104
856
68395
SH
SOLE
68395
0
0
BRIDGEBIO PHARMA INC
COM
10806X102
492
10493
SH
SOLE
10493
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
3228
54559
SH
SOLE
53265
0
1294
CHEVRON CORP NEW
COM
166764100
350
3451
SH
SOLE
3341
0
110
CHUBB LIMITED
COM
H1467J104
279
1606
SH
SOLE
1606
0
0
COCA COLA CO
COM
191216100
860
16387
SH
SOLE
16334
0
53
COMCAST CORP NEW
CL A
20030N101
512
9148
SH
SOLE
9148
0
0
COUPANG INC
CL A
22266T109
1017
36508
SH
SOLE
36508
0
0
DIGITALBRIDGE GROUP INC
CL A COM
25401T108
471
78134
SH
SOLE
78134
0
0
DISNEY WALT CO
COM
254687106
6066
35857
SH
SOLE
34485
0
1372
DOUBLELINE INCOME SOLUTIONS
COM
258622109
1321
74379
SH
SOLE
74379
0
0
DOUBLELINE OPPORTUNISTIC CR
COM
258623107
4103
208053
SH
SOLE
208053
0
0
DOUBLELINE YIELD OPPORTUNITI
COM
25862D105
2944
154057
SH
SOLE
149057
0
5000
DOW INC
COM
260557103
239
4152
SH
SOLE
4005
0
147
DUKE ENERGY CORP NEW
COM NEW
26441C204
629
6450
SH
SOLE
6442
0
8
DYNEX CAP INC
COM
26817Q886
1295
74922
SH
SOLE
74922
0
0
ENERGY RECOVERY INC
COM
29270J100
1168
61400
SH
SOLE
61400
0
0
EQUINIX INC
COM
29444U700
766
970
SH
SOLE
970
0
0
EQUITY LIFESTYLE PPTYS INC
COM
29472R108
738
9448
SH
SOLE
9448
0
0
ETF MANAGERS TR
ETFMG ALTR HRVST
26924G508
11
733
SH
SOLE
733
0
0
ETF MANAGERS TR
BLUESTAR ISRAEL
26924G870
277
4204
SH
SOLE
4204
0
0
EXXON MOBIL CORP
COM
30231G102
206
3505
SH
SOLE
1370
0
2135
FACEBOOK INC
CL A
30303M102
5416
15958
SH
SOLE
15323
0
635
FIRST AMERN FINL CORP
COM
31847R102
1185
17673
SH
SOLE
17673
0
0
FIRST CTZNS BANCSHARES INC N
CL A
31946M103
5363
6361
SH
SOLE
6146
0
215
FIRST TR EXCHNG TRADED FD VI
TCW OPPORTUNIS
33740F805
244
4556
SH
SOLE
4556
0
0
GAMING & LEISURE PPTYS INC
COM
36467J108
1229
26536
SH
SOLE
26536
0
0
GENERAC HLDGS INC
COM
368736104
2759
6750
SH
SOLE
6520
0
230
GENERAL MLS INC
COM
370334104
241
4022
SH
SOLE
22
0
4000
GOLDMAN SACHS ETF TR
ACTIVEBETA US LG
381430503
2387
27744
SH
SOLE
22064
0
5680
GOLUB CAP BDC INC
COM
38173M102
815
51563
SH
SOLE
51563
0
0
GREAT AJAX CORP
COM
38983D300
4241
314385
SH
SOLE
314385
0
0
HOME DEPOT INC
COM
437076102
8416
25638
SH
SOLE
25021
0
617
INSEEGO CORP
COM
45782B104
485
72802
SH
SOLE
72802
0
0
INTEL CORP
COM
458140100
282
5300
SH
SOLE
5300
0
0
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
3523
30680
SH
SOLE
29780
0
900
INTERNATIONAL BUSINESS MACHS
COM
459200101
265
1905
SH
SOLE
415
0
1490
INVESCO QUALITY MUN INCOME T
COM
46133G107
256
19455
SH
SOLE
19455
0
0
INVESCO VALUE MUN INCOME TR
COM
46132P108
847
51902
SH
SOLE
51902
0
0
INVITATION HOMES INC
COM
46187W107
2088
54479
SH
SOLE
54479
0
0
ISHARES GOLD TR
ISHARES NEW
464285204
658
19691
SH
SOLE
19691
0
0
ISHARES TR
CORE S&P TTL STK
464287150
10630
108055
SH
SOLE
107518
0
537
ISHARES TR
SELECT DIVID ETF
464287168
15
131
SH
SOLE
131
0
0
ISHARES TR
CORE S&P500 ETF
464287200
2387
5541
SH
SOLE
5541
0
0
ISHARES TR
CORE US AGGBD ET
464287226
491
4279
SH
SOLE
4279
0
0
ISHARES TR
MSCI EAFE ETF
464287465
5
63
SH
SOLE
63
0
0
ISHARES TR
CORE S&P MCP ETF
464287507
135
512
SH
SOLE
512
0
0
ISHARES TR
ISHARES BIOTECH
464287556
48
297
SH
SOLE
297
0
0
ISHARES TR
RUS 2000 GRW ETF
464287648
138
471
SH
SOLE
471
0
0
ISHARES TR
CORE S&P US VLU
464287663
5741
80999
SH
SOLE
80999
0
0
ISHARES TR
U.S. TECH ETF
464287721
257
2540
SH
SOLE
2540
0
0
ISHARES TR
US HLTHCARE ETF
464287762
41
150
SH
SOLE
150
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
1828
16744
SH
SOLE
16744
0
0
ISHARES TR
GL CLEAN ENE ETF
464288224
9
414
SH
SOLE
414
0
0
ISHARES TR
ISHS 5-10YR INVT
464288638
412
6857
SH
SOLE
6857
0
0
ISHARES TR
ISHS 1-5YR INVS
464288646
160
2933
SH
SOLE
2933
0
0
ISHARES TR
MSCI USA ESG SLC
464288802
418
4358
SH
SOLE
4358
0
0
ISHARES TR
MSCI CHINA ETF
46429B671
92
1368
SH
SOLE
1368
0
0
ISHARES TR
MSCI USA MIN VOL
46429B697
14866
202265
SH
SOLE
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0
5525
ISHARES TR
BLACKROCK ULTRA
46434V878
450
8910
SH
SOLE
8910
0
0
J P MORGAN EXCHANGE-TRADED F
ULTRA SHRT INC
46641Q837
12073
238030
SH
SOLE
194336
0
43694
JOHNSON & JOHNSON
COM
478160104
5991
37098
SH
SOLE
33561
0
3537
JPMORGAN CHASE & CO
COM
46625H100
6074
37105
SH
SOLE
36140
0
965
KKR & CO INC
COM
48251W104
365
6003
SH
SOLE
6003
0
0
LEXINGTON REALTY TRUST
COM
529043101
141
11021
SH
SOLE
11021
0
0
LOCKHEED MARTIN CORP
COM
539830109
248
718
SH
SOLE
718
0
0
MAIDEN HOLDINGS LTD
SHS
G5753U112
176
55831
SH
SOLE
55831
0
0
MARTIN MARIETTA MATLS INC
COM
573284106
2211
6471
SH
SOLE
6295
0
176
MCDONALDS CORP
COM
580135101
265
1098
SH
SOLE
1098
0
0
MEDTRONIC PLC
SHS
G5960L103
738
5886
SH
SOLE
5886
0
0
MERCK & CO INC
COM
58933Y105
316
4213
SH
SOLE
4188
0
25
MFA FINL INC
COM
55272X102
1520
332509
SH
SOLE
332509
0
0
MGM RESORTS INTERNATIONAL
COM
552953101
452
10476
SH
SOLE
10277
0
199
MICROSOFT CORP
COM
594918104
14135
50137
SH
SOLE
48862
0
1275
NELNET INC
CL A
64031N108
1078
13601
SH
SOLE
13601
0
0
NEXTERA ENERGY INC
COM
65339F101
648
8256
SH
SOLE
8256
0
0
NIKE INC
CL B
654106103
548
3771
SH
SOLE
3728
0
43
NUVEEN AMT FREE QLTY MUN INC
COM
670657105
988
65065
SH
SOLE
58565
0
6500
NUVEEN ARIZONA QLTY MUN INC
COM
67061W104
432
27541
SH
SOLE
19728
0
7813
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COM SHS
6706EN100
125
12513
SH
SOLE
12513
0
0
NUVEEN MORTGAGE AND INCOME F
COM
670735109
1268
61132
SH
SOLE
61132
0
0
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COM
670682103
381
25812
SH
SOLE
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0
11062
NUVEEN NEW JERSEY QULT MUN F
COM
67069Y102
489
31688
SH
SOLE
31688
0
0
NUVEEN NEW YORK AMT QLT MUNI
COM
670656107
852
61634
SH
SOLE
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0
19534
NUVEEN PFD & INCM SECURTIES
COM
67072C105
120
12233
SH
SOLE
12233
0
0
NUVEEN QUALITY MUNCP INCOME
COM
67066V101
945
60525
SH
SOLE
49479
0
11046
NVIDIA CORPORATION
COM
67066G104
591
2852
SH
SOLE
2852
0
0
PAYPAL HLDGS INC
COM
70450Y103
499
1919
SH
SOLE
1882
0
37
PENNYMAC MTG INVT TR
COM
70931T103
565
28712
SH
SOLE
28712
0
0
PEPSICO INC
COM
713448108
3237
21519
SH
SOLE
20751
0
768
PFIZER INC
COM
717081103
1370
31861
SH
SOLE
22691
0
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PIMCO DYNAMIC INCOME OPRNTS
COM BEN SHS
69355M107
3753
178865
SH
SOLE
170619
0
8246
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
9575
93938
SH
SOLE
93938
0
0
PROCTER AND GAMBLE CO
COM
742718109
679
4860
SH
SOLE
4860
0
0
QUALCOMM INC
COM
747525103
218
1692
SH
SOLE
1692
0
0
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
4580
53276
SH
SOLE
51804
0
1472
REGENERON PHARMACEUTICALS
COM
75886F107
3791
6265
SH
SOLE
6042
0
223
RIVERNORTH OPPORTUNISTIC MUN
COM
76883F108
988
42742
SH
SOLE
19693
0
23049
SABA CAPITAL INCOME & OPRNT
SHARES
78518H103
168
36986
SH
SOLE
36986
0
0
SARCOS TECHN AND ROBOTICS CO
COM
80359A106
77
10000
SH
SOLE
10000
0
0
SARCOS TECHN AND ROBOTICS CO
*W EXP 06/15/202
80359A114
4
5000
SH
SOLE
5000
0
0
SCHWAB CHARLES CORP
COM
808513105
210
2889
SH
SOLE
614
0
2275
SCHWAB STRATEGIC TR
US LRG CAP ETF
808524201
1798
17282
SH
SOLE
17282
0
0
SCHWAB STRATEGIC TR
US MID-CAP ETF
808524508
202
2632
SH
SOLE
2632
0
0
SCHWAB STRATEGIC TR
US SML CAP ETF
808524607
392
3921
SH
SOLE
3921
0
0
SEAGEN INC
COM
81181C104
3316
19527
SH
SOLE
19031
0
496
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
255
2002
SH
SOLE
2002
0
0
SERVICENOW INC
COM
81762P102
3832
6158
SH
SOLE
5879
0
279
SHERWIN WILLIAMS CO
COM
824348106
4796
17146
SH
SOLE
16600
0
546
SHOPIFY INC
CL A
82509L107
3808
2809
SH
SOLE
2723
0
86
SPDR GOLD TR
GOLD SHS
78463V107
962
5855
SH
SOLE
5855
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
3437
8009
SH
SOLE
8009
0
0
SPDR SER TR
S&P BIOTECH
78464A870
691
5495
SH
SOLE
5495
0
0
SQUARE INC
CL A
852234103
6160
25683
SH
SOLE
24911
0
772
SSGA ACTIVE ETF TR
SPDR TR TACTIC
78467V848
783
16209
SH
SOLE
16209
0
0
SUN CMNTYS INC
COM
866674104
2010
10858
SH
SOLE
10858
0
0
TARGET CORP
COM
87612E106
612
2677
SH
SOLE
2677
0
0
TCW STRATEGIC INCOME FD INC
COM
872340104
1362
237281
SH
SOLE
237281
0
0
TRANSDIGM GROUP INC
COM
893641100
3428
5488
SH
SOLE
5333
0
155
TWILIO INC
CL A
90138F102
532
1667
SH
SOLE
1667
0
0
UIPATH INC
CL A
90364P105
1951
37081
SH
SOLE
36117
0
964
UNION PAC CORP
COM
907818108
449
2293
SH
SOLE
2293
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
446
1141
SH
SOLE
1108
0
33
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
25
63
SH
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63
0
0
VANGUARD INDEX FDS
MCAP GR IDXVIP
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338
1430
SH
SOLE
1430
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
431
1940
SH
SOLE
1940
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
8083
98088
SH
SOLE
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5975
VANGUARD SPECIALIZED FUNDS
DIV APP ETF
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SH
SOLE
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5596
VANGUARD WORLD FDS
HEALTH CAR ETF
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293
1184
SH
SOLE
1184
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
3515
65076
SH
SOLE
62303
0
2773
VERTEX PHARMACEUTICALS INC
COM
92532F100
1770
9758
SH
SOLE
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0
305
VISA INC
COM CL A
92826C839
5799
26033
SH
SOLE
25169
0
864
WALMART INC
COM
931142103
5702
40909
SH
SOLE
39595
0
1314
WESTERN ASSET MTG DEFINED OP
COM
95790B109
644
41631
SH
SOLE
41631
0
0
XYLEM INC
COM
98419M100
329
2660
SH
SOLE
2660
0
0