0001569655-19-000002.txt : 20190417 0001569655-19-000002.hdr.sgml : 20190417 20190417154806 ACCESSION NUMBER: 0001569655-19-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190417 DATE AS OF CHANGE: 20190417 EFFECTIVENESS DATE: 20190417 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Winfield Associates, Inc. CENTRAL INDEX KEY: 0001569655 IRS NUMBER: 311566830 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16105 FILM NUMBER: 19753043 BUSINESS ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 216.241.2575 MAIL ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001569655 XXXXXXXX 03-31-2019 03-31-2019 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christophe Jambon 2162412575 Christophe Jambon Cleveland OH 04-17-2019 0 127 187492 false INFORMATION TABLE 2 Winfield13F2019Q1.xml WINFIELD13F2019Q1 3M CO COM Stock 88579Y101 1548 7452 SH SOLE 7452 0 0 ACACIA COMMUNICATIONS INC COM Stock 00401C108 310 5400 SH SOLE 5400 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 587 3075 SH SOLE 3075 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 6265 5340 SH SOLE 5340 0 0 ALTRIA GROUP INC COM Stock 02209S103 365 6361 SH SOLE 6361 0 0 AMAZON.COM INC Stock 023135106 11575 6500 SH SOLE 6500 0 0 AMERICAN TOWER CORP REIT 03027X100 1790 9082 SH SOLE 9082 0 0 APPLE INC Stock 037833100 8034 42296 SH SOLE 42295 0 0 APTIV PLC SHS Stock G6095L109 899 11310 SH SOLE 11310 0 0 ARISTA NETWORKS INC COM Stock 040413106 1789 5690 SH SOLE 5690 0 0 ATHERSYS INC NEW COM Stock 04744L106 64 42350 SH SOLE 42350 0 0 BANK AMER CORP COM Stock 060505104 152 5500 SH SOLE 5500 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 1777 8846 SH SOLE 8846 0 0 BLUEBIRD BIO INC COM Stock 09609G100 420 2670 SH SOLE 2670 0 0 BOEING CO COM Stock 097023105 1032 2705 SH SOLE 2705 0 0 BOOKING HLDGS INC COM Stock 09857L108 1719 985 SH SOLE 985 0 0 CANOPY GROWTH CORP COM Stock 138035100 208 4800 SH SOLE 4800 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 716 13600 SH SOLE 13600 0 0 CISCO SYS INC Stock 17275R102 433 8011 SH SOLE 8011 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 550 23250 SH SOLE 23250 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 996 21300 SH SOLE 21300 0 0 CONOCOPHILLIPS COM Stock 20825C104 239 3575 SH SOLE 3574 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 5006 43966 SH SOLE 43966 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 1617 28820 SH SOLE 28820 0 0 CORNING INC COM Stock 219350105 763 23065 SH SOLE 23065 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2555 19962 SH SOLE 19962 0 0 CYRUSONE INC COM REIT 23283R100 1652 31498 SH SOLE 31498 0 0 DIGITAL REALTY TRUST INC REIT 253868103 665 5590 SH SOLE 5590 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 475 4280 SH SOLE 4280 0 0 EKSO BIONICS HLDGS INC COM NEW Stock 282644202 27 10804 SH SOLE 10804 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 1437 21737 SH SOLE 21737 0 0 ENTERPRISE PRODS PARTNERS L P Stock 293792107 511 17575 SH SOLE 17575 0 0 EXXON MOBIL CORP COM Stock 30231G102 140 1737 SH SOLE 1737 0 0 FACEBOOK INC CL A Stock 30303M102 1212 7270 SH SOLE 7270 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 3846 149610 SH SOLE 149610 0 0 FIRST SOLAR INC Stock 336433107 280 5300 SH SOLE 5300 0 0 FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF ETF 33739Q507 214 7050 SH SOLE 7050 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 301 3851 SH SOLE 3851 0 0 GLOBAL X MLP ETF ETF 37950E473 161 18100 SH SOLE 18100 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 580 17830 SH SOLE 17830 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 220 3875 SH SOLE 3875 0 0 GOOGLE INC Stock 02079K305 2190 1861 SH SOLE 1861 0 0 GRAFTECH INTL LTD COM Stock 384313508 324 25325 SH SOLE 25325 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 2543 27713 SH SOLE 27713 0 0 HOME DEPOT Stock 437076102 1665 8676 SH SOLE 8676 0 0 HUNTINGTON INGALLS INDS INC COM Stock 446413106 306 1475 SH SOLE 1475 0 0 II VI INC COM Stock 902104108 271 7267 SH SOLE 7267 0 0 ILLUMINA INC Stock 452327109 482 1550 SH SOLE 1550 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 1456 19400 SH SOLE 19400 0 0 INTEL CORP COM Stock 458140100 175 3266 SH SOLE 3266 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 2413 45680 SH SOLE 45680 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 482 5725 SH SOLE 5725 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 471 3825 SH SOLE 3825 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 855 8017 SH SOLE 8017 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 2028 18590 SH SOLE 18590 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 264 2375 SH SOLE 2375 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF ETF 46434G103 404 7810 SH SOLE 7810 0 0 ISHARES CORE S&P MID CAP ETF ETF 464287507 285 1503 SH SOLE 1503 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 680 6927 SH SOLE 6927 0 0 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 652 11090 SH SOLE 11090 0 0 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 352 3142 SH SOLE 3142 0 0 ISHARES IBOXX CORPORATE BOND ETF ETF 464287242 262 2200 SH SOLE 2200 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 1096 12675 SH SOLE 12675 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 2705 24192 SH SOLE 24192 0 0 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 1026 8310 SH SOLE 8310 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 315 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 762 6355 SH SOLE 6355 0 0 ISHARES S&P 500 INDEX ETF 464287200 1027 3608 SH SOLE 3608 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 4738 21627 SH SOLE 21627 0 0 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 1874 24285 SH SOLE 24285 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1104 10415 SH SOLE 10415 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 2402 25750 SH SOLE 25750 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 1371 12395 SH SOLE 12395 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 582 9775 SH SOLE 9775 0 0 J M SMUCKER CO NEW Stock 832696405 520 4465 SH SOLE 4465 0 0 JOHNSON & JOHNSON COM Stock 478160104 525 3755 SH SOLE 3755 0 0 JP MORGAN ALERIAN MLP ETN ETF 46625H365 286 11200 SH SOLE 11200 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 292 2883 SH SOLE 2883 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 3176 63135 SH SOLE 63135 0 0 KEYCORP NEW COM Stock 493267108 273 17355 SH SOLE 17355 0 0 LOCKHEED MARTIN CORP Stock 539830109 1536 5117 SH SOLE 5117 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 242 12183 SH SOLE 12183 0 0 MATERIALS SELECT SECTOR SPDR ETF 81369Y100 296 5342 SH SOLE 5342 0 0 MICROSOFT Stock 594918104 7001 59361 SH SOLE 59361 0 0 MONDELEZ INTL INC CL A Stock 609207105 225 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 2080 14150 SH SOLE 14150 0 0 NEW MEDIA INV GRP INC Stock 64704V106 452 43050 SH SOLE 43050 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 2656 157077 SH SOLE 157077 0 0 NORTHROP GRUMMAN CORP COM Stock 666807102 189 700 SH SOLE 700 0 0 NUVEEN CA SELECT TAX FREE PRTF SH BEN INT CEF 67063R103 226 16000 SH SOLE 16000 0 0 NUVEEN CALIF MUN VALUE FD COM CEF 67062C107 425 44500 SH SOLE 44500 0 0 NUVEEN MUN VALUE FD CEF 670928100 493 49250 SH SOLE 49250 0 0 NVIDIA CORP COM Stock 67066G104 692 3855 SH SOLE 3855 0 0 PALO ALTO NETWORKS INC COM Stock 697435105 555 2285 SH SOLE 2285 0 0 PEPSICO INC COM Stock 713448108 432 3525 SH SOLE 3524 0 0 PFIZER INC COM Stock 717081103 768 18072 SH SOLE 18072 0 0 PHILIP MORRIS INTL INC Stock 718172109 286 3235 SH SOLE 3235 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2191 20757 SH SOLE 20757 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 10572 104100 SH SOLE 104100 0 0 PIMCO ETF TR 0-5 YR HIGH YIELD CORP BD INDEX FD ETF 72201R783 777 7760 SH SOLE 7760 0 0 PROCTER AND GAMBLE CO COM Stock 742718109 89 860 SH SOLE 860 0 0 PROGRESSIVE CORP OHIO COM Stock 743315103 1303 18080 SH SOLE 18080 0 0 RAYTHEON CO COM NEW Stock 755111507 2577 14153 SH SOLE 14153 0 0 SALESFORCE COM Stock 79466L302 1342 8474 SH SOLE 8474 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF ETF 808524201 212 3141 SH SOLE 3141 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 3961 75805 SH SOLE 75804 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 3582 74095 SH SOLE 74095 0 0 SPDR HIGH YIELD BOND ETF ETF 78464A417 274 7625 SH SOLE 7625 0 0 SPDR S&P 500 ETF ETF 78462F103 8640 30586 SH SOLE 30585 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 3234 35718 SH SOLE 35718 0 0 SPDR SERIES TRUST KBW BK ETF ETF 78464A797 248 5935 SH SOLE 5935 0 0 SPLUNK INC COM Stock 848637104 1657 13295 SH SOLE 13295 0 0 STARBUCKS CORP Stock 855244109 242 3255 SH SOLE 3255 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 3064 41401 SH SOLE 41401 0 0 TRAVELERS COMPANIES INC COM Stock 89417E109 585 4268 SH SOLE 4268 0 0 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 119 1083 SH SOLE 1083 0 0 VANGUARD ENERGY ETF 92204A306 209 2340 SH SOLE 2340 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 3400 83192 SH SOLE 83192 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 2835 66695 SH SOLE 66695 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 669 7700 SH SOLE 7700 0 0 VANGUARD REIT INDEX ETF ETF 922908553 554 6369 SH SOLE 6369 0 0 VANGUARD S&P 500 ETF ETF 922908363 343 1320 SH SOLE 1320 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 4036 27890 SH SOLE 27890 0 0 VANGUARD VALUE INDEX FUND ETF 922908744 664 6166 SH SOLE 6166 0 0 VERIZON COMMUNICATIONS Stock 92343V104 629 10639 SH SOLE 10639 0 0 VISA INC Stock 92826C839 5031 32209 SH SOLE 32209 0 0 WELLS FARGO CO NEW COM Stock 949746101 135 2785 SH SOLE 2785 0 0