Senior Associate

0001569655-21-000002.txt : 20210412 0001569655-21-000002.hdr.sgml : 20210412 20210412170023 ACCESSION NUMBER: 0001569655-21-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210412 DATE AS OF CHANGE: 20210412 EFFECTIVENESS DATE: 20210412 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: 21821293 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 03-31-2021 03-31-2021 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christophe Jambon Senior Associate 2162412575 Christophe Jambon Cleveland OH 04-12-2021 0 140 244427 false INFORMATION TABLE 2 Winfield13F2021Q1.xml 3M CO COM Stock 88579Y101 797 4138 SH SOLE 4138 0 0 ADOBE SYS INC Stock 00724F101 404 850 SH SOLE 850 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 1607 20475 SH SOLE 20475 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 627 2230 SH SOLE 2230 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 407 1795 SH SOLE 1795 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 9330 4510 SH SOLE 4510 0 0 AMAZON.COM INC Stock 023135106 19459 6289 SH SOLE 6289 0 0 AMERICAN TOWER CORP REIT 03027X100 2885 12069 SH SOLE 12069 0 0 APPLE INC Stock 037833100 17509 143339 SH SOLE 143338 0 0 APTIV PLC SHS Stock G6095L109 1856 13460 SH SOLE 13460 0 0 ARISTA NETWORKS INC COM Stock 040413106 1959 6490 SH SOLE 6490 0 0 AT&T INC COM Stock 00206R102 480 15841 SH SOLE 15841 0 0 ATHERSYS INC NEW COM Stock 04744L106 88 49000 SH SOLE 49000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 697 2729 SH SOLE 2729 0 0 BOEING CO COM Stock 097023105 852 3343 SH SOLE 3343 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 337 6790 SH SOLE 6790 0 0 CF INDS HLDGS INC COM Stock 125269100 345 7600 SH SOLE 7600 0 0 CISCO SYS INC Stock 17275R102 592 11450 SH SOLE 11450 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 557 21337 SH SOLE 21337 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 610 8315 SH SOLE 8315 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 1164 6925 SH SOLE 6925 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 595 8705 SH SOLE 8705 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 144 42630 SH SOLE 42630 0 0 CRISPR THERAPEUTICS AG NAMEN AKT Stock H17182108 518 4250 SH SOLE 4250 0 0 CROWDSTRIKE HLDGS INC CL A Stock 22788C105 683 3740 SH SOLE 3740 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2933 17039 SH SOLE 17039 0 0 CYRUSONE INC COM REIT 23283R100 203 3000 SH SOLE 3000 0 0 DIGITAL REALTY TRUST INC REIT 253868103 1571 11151 SH SOLE 11151 0 0 DISNEY WALT CO COM Stock 254687106 700 3795 SH SOLE 3795 0 0 DUKE ENERGY CORP NEW COM NEW Stock 26441C204 315 3263 SH SOLE 3263 0 0 EATON CORP PLC SHS Stock G29183103 214 1550 SH SOLE 1550 0 0 ENERGY TRANSFER L P COM UT LTD PTN Stock 29273V100 211 27473 SH SOLE 27473 0 0 FACEBOOK INC CL A Stock 30303M102 2303 7820 SH SOLE 7820 0 0 FIRST SOLAR INC Stock 336433107 381 4366 SH SOLE 4366 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 1305 25563 SH SOLE 25563 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 447 3585 SH SOLE 3585 0 0 GLOBAL X FINTECH THEMATIC ETF ETF 37954Y814 730 16549 SH SOLE 16549 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 299 7560 SH SOLE 7560 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 411 5190 SH SOLE 5190 0 0 GOOGLE INC Stock 02079K305 3244 1573 SH SOLE 1573 0 0 HANNON ARMSTRONG SUST INFR CAP COM REIT 41068X100 600 10700 SH SOLE 10700 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 582 4987 SH SOLE 4987 0 0 HOME DEPOT Stock 437076102 2583 8462 SH SOLE 8462 0 0 II-VI INC COM Stock 902104108 2528 36977 SH SOLE 36977 0 0 ILLUMINA INC Stock 452327109 488 1270 SH SOLE 1270 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 2752 27956 SH SOLE 27956 0 0 INVESCO LTD SHS Stock G491BT108 487 19295 SH SOLE 19295 0 0 INVESCO PREFERRED ETF ETF 46138E511 157 10490 SH SOLE 10490 0 0 INVESCO TAXABLE MUNICIPAL BOND ETF ETF 46138G805 741 23145 SH SOLE 23145 0 0 IRON MTN INC NEW COM REIT 46284V101 443 11980 SH SOLE 11980 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 2923 53465 SH SOLE 53465 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 3135 36350 SH SOLE 36350 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 966 7440 SH SOLE 7440 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 2271 20113 SH SOLE 20113 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 5336 46878 SH SOLE 46878 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 1265 10900 SH SOLE 10900 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 271 5620 SH SOLE 5620 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF ETF 46434G103 212 3300 SH SOLE 3300 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 2759 24180 SH SOLE 24180 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 924 10600 SH SOLE 10600 0 0 ISHARES MBS BOND ETF ETF 464288588 736 6790 SH SOLE 6790 0 0 ISHARES MSCI JAPAN ETF ETF 46434G822 227 3319 SH SOLE 3319 0 0 ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 806 5010 SH SOLE 5010 0 0 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 649 5332 SH SOLE 5332 0 0 ISHARES MSCI USA VALUE FACTOR ETF ETF 46432F388 1377 13436 SH SOLE 13436 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 3946 26212 SH SOLE 26212 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 455 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 336 2105 SH SOLE 2105 0 0 ISHARES S&P 500 INDEX ETF 464287200 4990 12543 SH SOLE 12543 0 0 ISHARES S&P GLOBAL CLEAN ENERGY INDEX FUND ETF 464288224 217 8920 SH SOLE 8920 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 5452 69568 SH SOLE 69568 0 0 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 2364 21785 SH SOLE 21785 0 0 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 2747 71544 SH SOLE 71544 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1577 14630 SH SOLE 14630 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 2586 23400 SH SOLE 23400 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 879 14150 SH SOLE 14150 0 0 ISHARES U.S. CONSUMER SERVICES ETF ETF 464287580 237 3167 SH SOLE 3167 0 0 J M SMUCKER CO NEW Stock 832696405 574 4535 SH SOLE 4535 0 0 JANUS HENDERSON SHORT DURATION INCOME ETF ETF 47103U886 738 14700 SH SOLE 14700 0 0 JOHNSON & JOHNSON COM Stock 478160104 288 1750 SH SOLE 1750 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 652 4283 SH SOLE 4283 0 0 JPMORGAN RESEARCH ENHANCED HIGH YIELD ETF ETF 46641Q878 545 10565 SH SOLE 10565 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 2748 54145 SH SOLE 54145 0 0 JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF ETF 46641Q654 459 9000 SH SOLE 9000 0 0 KEYCORP COM Stock 493267108 279 13958 SH SOLE 13958 0 0 LOCKHEED MARTIN CORP Stock 539830109 446 1207 SH SOLE 1207 0 0 LOWES COS INC COM Stock 548661107 1671 8786 SH SOLE 8786 0 0 M/I HOMES INC COM Stock 55305B101 490 8300 SH SOLE 8300 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 770 15721 SH SOLE 15721 0 0 MICROCHIP TECHNOLOGY INC Stock 595017104 205 1323 SH SOLE 1323 0 0 MICROSOFT Stock 594918104 14174 60117 SH SOLE 60117 0 0 MODERNA INC COM Stock 60770K107 514 3925 SH SOLE 3925 0 0 MONDELEZ INTL INC CL A Stock 609207105 264 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 2013 7529 SH SOLE 7529 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 1025 91100 SH SOLE 91100 0 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN Stock 65341B106 610 8371 SH SOLE 8371 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 160 10800 SH SOLE 10800 0 0 NUVEEN CALIF SELECT TAX FREE I SH BEN INT CEF 67063R103 270 16600 SH SOLE 16600 0 0 NUVEEN CALIFORNIA MUNI VLU FD COM STK CEF 67062C107 529 51800 SH SOLE 51800 0 0 NUVEEN MUN VALUE FD CEF 670928100 832 74700 SH SOLE 74700 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 310 19900 SH SOLE 19900 0 0 NUVEEN PFD & INCM SECURTIES FD COM CEF 67072C105 116 11923 SH SOLE 11923 0 0 NVIDIA CORPORATION COM Stock 67066G104 1877 3516 SH SOLE 3516 0 0 PALANTIR TECHNOLOGIES INC CL A Stock 69608A108 992 42575 SH SOLE 42575 0 0 PEPSICO INC COM Stock 713448108 442 3125 SH SOLE 3124 0 0 PFIZER INC COM Stock 717081103 715 19747 SH SOLE 19747 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2003 18300 SH SOLE 18300 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 5138 50414 SH SOLE 50414 0 0 PROCTER AND GAMBLE CO COM Stock 742718109 228 1680 SH SOLE 1680 0 0 PROGRESSIVE CORP COM Stock 743315103 2641 27626 SH SOLE 27626 0 0 PROLOGIS INC. COM REIT 74340W103 1432 13507 SH SOLE 13507 0 0 QORVO INC COM Stock 74736K101 1402 7675 SH SOLE 7675 0 0 RPM INTL INC COM Stock 749685103 310 3372 SH SOLE 3372 0 0 SALESFORCE COM Stock 79466L302 2227 10511 SH SOLE 10511 0 0 SERVICENOW INC COM Stock 81762P102 943 1886 SH SOLE 1886 0 0 SHOPIFY INC CL A Stock 82509L107 2689 2430 SH SOLE 2430 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 2121 25451 SH SOLE 25450 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 1537 31885 SH SOLE 31885 0 0 SPDR S&P 500 ETF ETF 78462F103 10827 27318 SH SOLE 27317 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 6389 47102 SH SOLE 47102 0 0 SPDR S&P REGIONAL BANKING ETF ETF 78464A698 236 3560 SH SOLE 3560 0 0 STARBUCKS CORP Stock 855244109 399 3650 SH SOLE 3650 0 0 TARGET CORP COM Stock 87612E106 1153 5823 SH SOLE 5823 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 2844 21413 SH SOLE 21413 0 0 TELADOC HEALTH INC COM Stock 87918A105 442 2432 SH SOLE 2432 0 0 TESLA MOTORS INC Stock 88160R101 391 585 SH SOLE 585 0 0 TEXAS INSTRS INC COM Stock 882508104 272 1440 SH SOLE 1440 0 0 UNITEDHEALTH GROUP Stock 91324P102 513 1378 SH SOLE 1378 0 0 UTILITIES SELECT SECTOR SPDR ETF 81369Y886 1563 24399 SH SOLE 24399 0 0 VANGUARD COMMUNICATION SERVICES ETF ETF 92204A884 247 1900 SH SOLE 1900 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 1382 28146 SH SOLE 28146 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1837 35287 SH SOLE 35287 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 2543 27335 SH SOLE 27335 0 0 VANGUARD S&P 500 ETF ETF 922908363 740 2031 SH SOLE 2031 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 3256 39470 SH SOLE 39470 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 4458 21567 SH SOLE 21567 0 0 VERIZON COMMUNICATIONS Stock 92343V104 981 16863 SH SOLE 16863 0 0 VISA INC Stock 92826C839 5429 25641 SH SOLE 25641 0 0 WESTERN ASSET HIGH INCOME OPPO COM CEF 95766K109 51 10017 SH SOLE 10017 0 0 WEYERHAEUSER CO REIT 962166104 322 9032 SH SOLE 9032 0 0