0001569655-20-000002.txt : 20200504 0001569655-20-000002.hdr.sgml : 20200504 20200501174058 ACCESSION NUMBER: 0001569655-20-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200504 DATE AS OF CHANGE: 20200501 EFFECTIVENESS DATE: 20200504 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: 20842058 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 03-31-2020 03-31-2020 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 05-01-2020 0 123 158310 false INFORMATION TABLE 2 Winfield13F2020Q1.xml WINFIELD13F2020Q1 AMAZON.COM INC Stock 023135106 12143 6228 SH SOLE 6228 0 0 AMAZON.COM INC Stock 023135106 390 200 SH Put SOLE 200 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 2873 35746 SH SOLE 35746 0 0 STARBUCKS CORP Stock 855244109 237 3600 SH SOLE 3600 0 0 JOHNSON & JOHNSON COM Stock 478160104 229 1750 SH SOLE 1750 0 0 WESTERN ASSET HIGH INCM OPP FD COM CEF 95766K109 117 27905 SH SOLE 27905 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 2346 18198 SH SOLE 18197 0 0 VANGUARD REIT INDEX ETF ETF 922908553 1053 15081 SH SOLE 15081 0 0 INTEL CORP COM Stock 458140100 261 4823 SH SOLE 4823 0 0 EQUITY RESIDENTIAL SH BEN INT REIT 29476L107 284 4600 SH SOLE 4600 0 0 PROLOGIS INC. COM REIT 74340W103 514 6393 SH SOLE 6393 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1123 10565 SH SOLE 10565 0 0 SPDR S&P 500 ETF ETF 78462F103 6709 26028 SH SOLE 26027 0 0 J M SMUCKER CO NEW Stock 832696405 465 4185 SH SOLE 4185 0 0 VERIZON COMMUNICATIONS Stock 92343V104 793 14757 SH SOLE 14757 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 277 12221 SH SOLE 12221 0 0 PEPSICO INC COM Stock 713448108 375 3125 SH SOLE 3124 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 1759 20290 SH SOLE 20290 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 669 11050 SH SOLE 11050 0 0 BIOSPECIFICS TECHNOLOGIES CORP COM Stock 090931106 241 4265 SH SOLE 4265 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 1797 37539 SH SOLE 37538 0 0 HOME DEPOT Stock 437076102 1743 9334 SH SOLE 9334 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 240 2920 SH SOLE 2920 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 518 5851 SH SOLE 5851 0 0 KEYCORP COM Stock 493267108 159 15376 SH SOLE 15376 0 0 MONGODB INC CL A Stock 60937P106 1398 10237 SH SOLE 10237 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 817 15005 SH SOLE 15005 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 2756 55490 SH SOLE 55490 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 292 3585 SH SOLE 3585 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 7602 76807 SH SOLE 76807 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 691 3779 SH SOLE 3779 0 0 ADOBE SYS INC Stock 00724F101 231 725 SH SOLE 725 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 448 5670 SH SOLE 5670 0 0 GOOGLE INC Stock 02079K305 2038 1754 SH SOLE 1754 0 0 PROGRESSIVE CORP OHIO COM Stock 743315103 1694 22948 SH SOLE 22948 0 0 GRAFTECH INTL LTD COM Stock 384313508 147 18049 SH SOLE 18049 0 0 MICROSOFT Stock 594918104 9760 61884 SH SOLE 61884 0 0 MICROSOFT Stock 594918104 789 5000 SH Put SOLE 5000 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 754 17050 SH SOLE 17050 0 0 RPM INTL INC COM Stock 749685103 202 3396 SH SOLE 3396 0 0 WESTERN ASSET EMERGING MKTS DE COM CEF 95766A101 118 11160 SH SOLE 11160 0 0 INVESCO TAXABLE MUNICIPAL BOND ETF ETF 46138G805 793 25650 SH SOLE 25650 0 0 VANGUARD S&P 500 ETF ETF 922908363 467 1973 SH SOLE 1973 0 0 ILLUMINA INC Stock 452327109 427 1565 SH SOLE 1565 0 0 NUVEEN CALIF SELECT TAX FREE I SH BEN INT CEF 67063R103 229 15800 SH SOLE 15800 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 608 3048 SH SOLE 3048 0 0 SERVICE PPTYS TR COM SH BEN INT REIT 81761L102 92 16995 SH SOLE 16995 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 236 2060 SH SOLE 2060 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 1371 19165 SH SOLE 19165 0 0 DIGITAL REALTY TRUST INC REIT 253868103 606 4360 SH SOLE 4360 0 0 ATHERSYS INC NEW COM Stock 04744L106 98 32500 SH SOLE 32500 0 0 II VI INC COM Stock 902104108 628 22027 SH SOLE 22027 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 276 3753 SH SOLE 3753 0 0 ENERGY TRANSFER LP COM UT LTD PTN Stock 29273V100 140 30360 SH SOLE 30360 0 0 APTIV PLC SHS Stock G6095L109 589 11960 SH SOLE 11960 0 0 VISA INC Stock 92826C839 4182 25958 SH SOLE 25958 0 0 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 3016 55833 SH SOLE 55833 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2264 21324 SH SOLE 21324 0 0 VANGUARD VALUE INDEX FUND ETF 922908744 293 3286 SH SOLE 3286 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 218 11865 SH SOLE 11865 0 0 NUVEEN PFD & INCM SECURTIES FD COM CEF 67072C105 108 14902 SH SOLE 14902 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 249 16900 SH SOLE 16900 0 0 NUVEEN MUN VALUE FD CEF 670928100 554 56750 SH SOLE 56750 0 0 SPLUNK INC COM Stock 848637104 1606 12723 SH SOLE 12723 0 0 AMERICAN TOWER CORP REIT 03027X100 2531 11624 SH SOLE 11624 0 0 IRON MTN INC NEW COM REIT 46284V101 223 9370 SH SOLE 9370 0 0 WELLS FARGO UTILITIES AND HIGH WF UTILITIES INC CEF 94987E109 125 11478 SH SOLE 11478 0 0 FACEBOOK INC CL A Stock 30303M102 1177 7055 SH SOLE 7055 0 0 GLOBAL X MLP ETF ETF 37954Y343 57 18000 SH SOLE 18000 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 542 26357 SH SOLE 26357 0 0 MONDELEZ INTL INC CL A Stock 609207105 226 4512 SH SOLE 4512 0 0 NVIDIA CORP COM Stock 67066G104 885 3359 SH SOLE 3359 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 1079 20610 SH SOLE 20610 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 1365 12295 SH SOLE 12295 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 2200 28411 SH SOLE 28411 0 0 INVESCO LTD SHS Stock G491BT108 198 21765 SH SOLE 21765 0 0 RAYTHEON CO COM NEW Stock 755111507 1680 12810 SH SOLE 12810 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 460 91800 SH SOLE 91800 0 0 PORTOLA PHARMACEUTICALS INC COM Stock 737010108 96 13475 SH SOLE 13475 0 0 CISCO SYS INC Stock 17275R102 586 14910 SH SOLE 14910 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 716 15750 SH SOLE 15750 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 145 60670 SH SOLE 60670 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 1572 14587 SH SOLE 14587 0 0 ISHARES EDGE MSCI USA QUALITY FACTOR ETF ETF 46432F339 1349 16641 SH SOLE 16641 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 455 5900 SH SOLE 5900 0 0 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 956 8981 SH SOLE 8981 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 2022 20611 SH SOLE 20611 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 502 8505 SH SOLE 8505 0 0 ISHARES EXPANDED TECH-SOFTWARE SECTOR ETF ETF 464287515 308 1467 SH SOLE 1467 0 0 ISHARES S&P 500 INDEX ETF 464287200 4479 17334 SH SOLE 17334 0 0 FIRST TR ABERDEEN GLBL OPP FD COM SHS CEF 337319107 161 18340 SH SOLE 18340 0 0 ISHARES MBS BOND ETF ETF 464288588 281 2540 SH SOLE 2540 0 0 SALESFORCE COM Stock 79466L302 1361 9452 SH SOLE 9452 0 0 NORTHROP GRUMMAN CORP COM Stock 666807102 212 700 SH SOLE 700 0 0 LOCKHEED MARTIN CORP Stock 539830109 1605 4734 SH SOLE 4734 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 224 2490 SH SOLE 2490 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 209 15300 SH SOLE 15300 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 362 3200 SH SOLE 3200 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 1537 46103 SH SOLE 46103 0 0 NEW MEDIA INV GRP INC Stock 36472T109 47 31750 SH SOLE 31750 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 777 5825 SH SOLE 5825 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1461 43544 SH SOLE 43544 0 0 3M CO COM Stock 88579Y101 775 5678 SH SOLE 5678 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 5716 4916 SH SOLE 4916 0 0 ARISTA NETWORKS INC COM Stock 040413106 1051 5190 SH SOLE 5190 0 0 NUVEEN PFD & INCOME OPPORTUNIT COM CEF 67073B106 174 23663 SH SOLE 23663 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 1672 13766 SH SOLE 13766 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 6047 52412 SH SOLE 52412 0 0 ISHARES 20 YR TREASURY ETF ETF 464287432 278 1686 SH SOLE 1686 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 3213 18002 SH SOLE 18002 0 0 DNP SELECT INCOME FD INC COM CEF 23325P104 105 10765 SH SOLE 10765 0 0 PHILIP MORRIS INTL INC Stock 718172109 205 2805 SH SOLE 2805 0 0 ALTRIA GROUP INC COM Stock 02209S103 203 5261 SH SOLE 5261 0 0 NUVEEN CALIF MUN VALUE FD INC COM CEF 67062C107 499 49900 SH SOLE 49900 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 3015 62855 SH SOLE 62855 0 0 UNITEDHEALTH GROUP Stock 91324P102 284 1138 SH SOLE 1138 0 0 TRAVELERS COMPANIES INC COM Stock 89417E109 340 3425 SH SOLE 3425 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 601 11793 SH SOLE 11793 0 0 SHOPIFY INC CL A Stock 82509L107 840 2015 SH SOLE 2015 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2613 18097 SH SOLE 18097 0 0 APPLE INC Stock 037833100 9820 38619 SH SOLE 38618 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 243 4650 SH SOLE 4650 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 343 3555 SH SOLE 3555 0 0