0001398344-24-002893.txt : 20240214 0001398344-24-002893.hdr.sgml : 20240214 20240214090008 ACCESSION NUMBER: 0001398344-24-002893 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240214 DATE AS OF CHANGE: 20240214 EFFECTIVENESS DATE: 20240214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Family Management Corp CENTRAL INDEX KEY: 0001539947 ORGANIZATION NAME: 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: 24632774 BUSINESS ADDRESS: STREET 1: 155 E. 44TH STREET STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: (212) 872-9600 MAIL ADDRESS: STREET 1: 155 E. 44TH STREET STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001539947 XXXXXXXX 12-31-2023 12-31-2023 false Family Management Corp

155 E. 44TH STREET 21ST FLOOR NEW YORK NY 10017

13F HOLDINGS REPORT 028-14892 000104951 801-35943 N Philip Frank 212-872-9637 /s/ Philip Frank New York NY 02-14-2024 0 165 481738559 INFORMATION TABLE 2 fp0086525-1_13fhr-table.xml ADOBE INC COM 00724F101 3108883 5211 SH SOLE 5066 0 145 ALPHABET INC CAP STK CL C 02079K107 1004972 7131 SH SOLE 7131 0 0 ALPHABET INC CAP STK CL A 02079K305 12437998 89040 SH SOLE 86301 0 2739 AMAZON COM INC COM 023135106 10420349 68582 SH SOLE 66794 0 1788 AMERICAN ELEC PWR CO INC COM 025537101 213771 2632 SH SOLE 2632 0 0 AMERICAN EXPRESS CO COM 025816109 4153328 22170 SH SOLE 22170 0 0 AMERICAN TOWER CORP NEW COM 03027X100 593886 2751 SH SOLE 2533 0 218 AMERIPRISE FINL INC COM 03076C106 2345830 6176 SH SOLE 6176 0 0 AMGEN INC COM 031162100 2112915 7336 SH SOLE 7115 0 221 APPLE INC COM 037833100 19010220 98739 SH SOLE 87202 0 11537 ARES CAPITAL CORP COM 04010L103 2060486 102870 SH SOLE 102870 0 0 ARK ETF TR INNOVATION ETF 00214Q104 1411843 26959 SH SOLE 26959 0 0 ARK ETF TR GENOMIC REV ETF 00214Q302 74347 2266 SH SOLE 2266 0 0 ARK ETF TR 3D PRINTING ETF 00214Q500 7968 343 SH SOLE 343 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 3960962 5233 SH SOLE 5060 0 173 BANK AMERICA CORP COM 060505104 2512152 74611 SH SOLE 71960 0 2651 BANK AMERICA CORP 7.25%CNV PFD L 060505682 7232 6 SH SOLE 6 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 6898518 19342 SH SOLE 18935 0 407 BIOCARDIA INC COM 09060U507 51476 77500 SH SOLE 77500 0 0 BLACK STONE MINERALS L P COM UNIT 09225M101 634681 39767 SH SOLE 39767 0 0 BLACKROCK CR ALLOCATION INCO COM 092508100 125068 12119 SH SOLE 12119 0 0 BLACKROCK MUNICIPAL INCOME COM 09253X102 173413 14898 SH SOLE 14898 0 0 BLACKROCK MUNIYIELD FD INC COM 09253W104 129673 12029 SH SOLE 12029 0 0 BLACKROCK MUNIYIELD N Y QUAL COM 09255E102 234677 22718 SH SOLE 22718 0 0 BLACKSTONE INC COM 09260D107 454816 3474 SH SOLE 3474 0 0 BROADCOM INC COM 11135F101 3492746 3129 SH SOLE 2933 0 196 BURFORD CAP LTD ORD SHS G17977110 505862 32719 SH SOLE 32719 0 0 CHEVRON CORP NEW COM 166764100 3428741 22987 SH SOLE 22219 0 768 CHUBB LIMITED COM H1467J104 368154 1629 SH SOLE 1629 0 0 CINTAS CORP COM 172908105 256131 425 SH SOLE 425 0 0 COCA COLA CO COM 191216100 304315 5164 SH SOLE 5164 0 0 COLLABORATIVE INVESTMNT SER RAREVIEW SYS EQT 19423L540 106480 4078 SH SOLE 4078 0 0 COLLABORATIVE INVESTMNT SER GOOSE HOLLOW TAC 19423L573 137871 5000 SH SOLE 5000 0 0 COSTCO WHSL CORP NEW COM 22160K105 494400 749 SH SOLE 749 0 0 CROWDSTRIKE HLDGS INC CL A 22788C105 1632005 6392 SH SOLE 6143 0 249 DESTRA MULTI-ALTERNATIVE FD COMMON SHARES 25065A502 444560 71358 SH SOLE 71358 0 0 DISNEY WALT CO COM 254687106 336150 3723 SH SOLE 3382 0 341 DOUBLELINE ETF TRUST COMMERCIAL REAL 25861R303 1453320 28557 SH SOLE 28557 0 0 DOUBLELINE ETF TRUST MORTGAGE ETF 25861R402 207858 4200 SH SOLE 4200 0 0 DOUBLELINE OPPORTUNISTIC CR COM 258623107 219720 14314 SH SOLE 14314 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 2436383 25107 SH SOLE 24399 0 708 ELEVANCE HEALTH INC COM 036752103 2804839 5948 SH SOLE 5752 0 196 ENERGY RECOVERY INC COM 29270J100 437936 23245 SH SOLE 23245 0 0 EOG RES INC COM 26875P101 2378482 19665 SH SOLE 19008 0 657 EQUINIX INC COM 29444U700 2710943 3366 SH SOLE 3261 0 105 EXCHANGE LISTED FDS TR SABA INT RATE 30151E806 203396 10722 SH SOLE 10722 0 0 EXXON MOBIL CORP COM 30231G102 617077 6172 SH SOLE 4077 0 2095 FASTENAL CO COM 311900104 3751219 57916 SH SOLE 56035 0 1881 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 203220 4556 SH SOLE 4556 0 0 FIRST WESTN FINL INC COM 33751L105 605112 30515 SH SOLE 30515 0 0 GENERAL MLS INC COM 370334104 260560 4000 SH SOLE 0 0 4000 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 7821127 83372 SH SOLE 79368 0 4004 GOLUB CAP BDC INC COM 38173M102 835921 55359 SH SOLE 55359 0 0 HOME DEPOT INC COM 437076102 7788365 22474 SH SOLE 21716 0 758 INTERCONTINENTAL EXCHANGE IN COM 45866F104 3426898 26683 SH SOLE 25670 0 1013 INTERNATIONAL BUSINESS MACHS COM 459200101 353104 2159 SH SOLE 669 0 1490 INVESCO EXCH TRADED FD TR II KBW REGL BKG 46138E578 456057 8342 SH SOLE 8342 0 0 INVESCO EXCH TRADED FD TR II KBW BK ETF 46138E628 532088 10817 SH SOLE 10817 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 234175 1484 SH SOLE 1484 0 0 INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 46137V563 42280 2000 SH SOLE 2000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1755612 4287 SH SOLE 4287 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 122856 300 SH Put SOLE 300 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 246881 21047 SH SOLE 21047 0 0 ISHARES GOLD TR ISHARES NEW 464285204 879463 22533 SH SOLE 22533 0 0 ISHARES TR S&P 100 ETF 464287101 815374 3650 SH SOLE 3650 0 0 ISHARES TR CORE S&P TTL STK 464287150 6537203 62123 SH SOLE 61857 0 266 ISHARES TR SELECT DIVID ETF 464287168 15355 131 SH SOLE 131 0 0 ISHARES TR CORE S&P500 ETF 464287200 1983420 4153 SH SOLE 4153 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 145539 1774 SH SOLE 318 0 1456 ISHARES TR MSCI EAFE ETF 464287465 662100 8787 SH SOLE 8787 0 0 ISHARES TR CORE S&P MCP ETF 464287507 250266 903 SH SOLE 903 0 0 ISHARES TR ISHARES BIOTECH 464287556 484034 3563 SH SOLE 3563 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 722757 2384 SH SOLE 2384 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 118796 471 SH SOLE 471 0 0 ISHARES TR CORE S&P US VLU 464287663 3501466 41521 SH SOLE 41521 0 0 ISHARES TR U.S. TECH ETF 464287721 473815 3860 SH SOLE 3860 0 0 ISHARES TR US HLTHCARE ETF 464287762 42936 150 SH SOLE 150 0 0 ISHARES TR CORE S&P SCP ETF 464287804 585741 5411 SH SOLE 5411 0 0 ISHARES TR GL CLEAN ENE ETF 464288224 33180 2131 SH SOLE 2131 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 19525367 380797 SH SOLE 346549 0 34248 ISHARES TR 3 7 YR TREAS BD 464288661 26471 226 SH SOLE 226 0 0 ISHARES TR SHORT TREAS BD 464288679 51866486 470957 SH SOLE 462479 0 8478 ISHARES TR MSCI USA ESG SLC 464288802 145639 1449 SH SOLE 1449 0 0 ISHARES TR MSCI USA MIN VOL 46429B697 6215216 79652 SH SOLE 78254 0 1398 ISHARES TR MSCI USA QLT FCT 46432F339 15731620 106916 SH SOLE 102433 0 4483 ISHARES TR MSCI USA MMENTM 46432F396 469729 2994 SH SOLE 2994 0 0 ISHARES TR BLACKROCK ULTRA 46434V878 14023447 278464 SH SOLE 259197 0 19267 J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 46641Q837 2294054 45671 SH SOLE 26077 0 19594 JANUS DETROIT STR TR HENDERSON SECURI 47103U746 1580338 30767 SH SOLE 30767 0 0 JOHNSON & JOHNSON COM 478160104 6149694 39235 SH SOLE 35592 0 3643 JPMORGAN CHASE & CO COM 46625H100 3205194 18843 SH SOLE 18343 0 500 KKR & CO INC COM 48251W104 375973 4538 SH SOLE 4538 0 0 LEGG MASON ETF INVT CLEARBRIDEG LR 524682200 382784 6414 SH SOLE 6414 0 0 LOCKHEED MARTIN CORP COM 539830109 2529532 5581 SH SOLE 5387 0 194 MASTERCARD INCORPORATED CL A 57636Q104 2733929 6410 SH SOLE 6187 0 223 MCDONALDS CORP COM 580135101 2876740 9702 SH SOLE 9369 0 333 MEDTRONIC PLC SHS G5960L103 281575 3418 SH SOLE 3288 0 130 MERCK & CO INC COM 58933Y105 3193305 29291 SH SOLE 28444 0 847 MGM RESORTS INTERNATIONAL COM 552953101 228583 5116 SH SOLE 5116 0 0 MICROSOFT CORP COM 594918104 18810273 50022 SH SOLE 48852 0 1170 NIKE INC CL B 654106103 449697 4142 SH SOLE 4142 0 0 NOVO-NORDISK A S ADR 670100205 346764 3352 SH SOLE 3352 0 0 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 145730 14750 SH SOLE 14750 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 175988 14889 SH SOLE 14889 0 0 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 254289 24149 SH SOLE 24149 0 0 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 95695 14156 SH SOLE 14156 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 236843 20685 SH SOLE 20617 0 68 NVIDIA CORPORATION COM 67066G104 7905197 15963 SH SOLE 15667 0 296 OCCIDENTAL PETE CORP COM 674599105 256574 4297 SH SOLE 4297 0 0 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 3309 85 SH SOLE 0 0 85 OPPFI INC COM CL A 68386H103 441201 86172 SH SOLE 86172 0 0 PACER FDS TR PACER US SMALL 69374H857 12040542 250688 SH SOLE 250583 0 105 PARKER-HANNIFIN CORP COM 701094104 249699 542 SH SOLE 542 0 0 PEPSICO INC COM 713448108 735237 4329 SH SOLE 4329 0 0 PFIZER INC COM 717081103 676392 23494 SH SOLE 13970 0 9524 PIMCO DYNAMIC INCOME FD SHS 72201Y101 2082649 116025 SH SOLE 116025 0 0 PIMCO DYNAMIC INCOME OPRNTS COM BEN SHS 69355M107 153330 12527 SH SOLE 8781 0 3746 PIMCO DYNAMIC INCOME STRATEG COM SHS BEN INT 69346N107 971366 47430 SH SOLE 47430 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 40318819 404037 SH SOLE 399441 0 4596 PROCTER AND GAMBLE CO COM 742718109 2819137 19238 SH SOLE 18659 0 579 PROGRESSIVE CORP COM 743315103 320471 2012 SH SOLE 2012 0 0 RAFAEL HLDGS INC COM CL B 75062E106 18300 10000 SH SOLE 10000 0 0 REGENERON PHARMACEUTICALS COM 75886F107 5005375 5699 SH SOLE 5500 0 199 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 203609 8679 SH SOLE 8679 0 0 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 46920 2000 SH Call SOLE 2000 0 0 RTX CORPORATION COM 75513E101 2098115 24936 SH SOLE 24239 0 697 SABA CAPITAL INCOME & OPRNT SHS NEW 78518H202 110854 14378 SH SOLE 14378 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1227555 21765 SH SOLE 21765 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 198242 2632 SH SOLE 2632 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 19 0 SH SOLE 0 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 414322 3038 SH SOLE 3038 0 0 SERVICENOW INC COM 81762P102 245859 348 SH SOLE 284 0 64 SHELL PLC SPON ADS 780259305 250961 3814 SH SOLE 250 0 3564 SHERWIN WILLIAMS CO COM 824348106 5843135 18734 SH SOLE 18150 0 584 SHOPIFY INC CL A 82509L107 202540 2600 SH SOLE 2350 0 250 SIMPLIFY EXCHANGE TRADED FUN MBS ETF 82889N525 14351625 277648 SH SOLE 274911 0 2737 SIMPLIFY EXCHANGE TRADED FUN SHORT TERM TREA 82889N657 209392 9045 SH SOLE 9045 0 0 SPDR GOLD TR GOLD SHS 78463V107 709050 3709 SH SOLE 3709 0 0 SPDR INDEX SHS FDS PORTFLO EURP ETF 78463X103 652747 16188 SH SOLE 16188 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 23524991 49494 SH SOLE 48791 0 703 SPDR SER TR PRTFLO S&P500 VL 78464A508 59034 1266 SH SOLE 1266 0 0 SPDR SER TR S&P BIOTECH 78464A870 861916 9653 SH SOLE 9628 0 25 SPDR SER TR BLOOMBERG 1-3 MO 78468R663 1374688 15042 SH SOLE 15042 0 0 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 298575 7418 SH SOLE 7418 0 0 TESLA INC COM 88160R101 2442061 9828 SH SOLE 9828 0 0 TEXAS PACIFIC LAND CORPORATI COM 88262P102 2250176 1431 SH SOLE 1386 0 45 THERMO FISHER SCIENTIFIC INC COM 883556102 262210 494 SH SOLE 494 0 0 UNION PAC CORP COM 907818108 3670054 14942 SH SOLE 14397 0 545 UNITEDHEALTH GROUP INC COM 91324P102 555426 1055 SH SOLE 1055 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 808976 1852 SH SOLE 1852 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1502078 6841 SH SOLE 6777 0 64 VANGUARD INDEX FDS SM CP VAL ETF 922908611 9718 54 SH SOLE 54 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 2690940 11567 SH SOLE 11365 0 202 VANGUARD INDEX FDS VALUE ETF 922908744 5527912 36976 SH SOLE 36976 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 32000 150 SH SOLE 150 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 479659 2022 SH SOLE 2022 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 9333 160 SH SOLE 160 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 6837312 88372 SH SOLE 85554 0 2818 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 788723 17013 SH SOLE 17013 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1342095 16512 SH SOLE 16239 0 273 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 15885881 93227 SH SOLE 90659 0 2568 VISA INC COM CL A 92826C839 6344730 24370 SH SOLE 23603 0 767 WALMART INC COM 931142103 3805356 24138 SH SOLE 23202 0 936 WARNER BROS DISCOVERY INC COM SER A 934423104 153266 13468 SH SOLE 13468 0 0 XYLEM INC COM 98419M100 304198 2660 SH SOLE 2660 0 0