0001398344-18-005853.txt : 20180423 0001398344-18-005853.hdr.sgml : 20180423 20180423143343 ACCESSION NUMBER: 0001398344-18-005853 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180423 DATE AS OF CHANGE: 20180423 EFFECTIVENESS DATE: 20180423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Iron Financial, LLC CENTRAL INDEX KEY: 0001595509 IRS NUMBER: 262409128 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15674 FILM NUMBER: 18768634 BUSINESS ADDRESS: STREET 1: 630 DUNDEE ROAD, SUITE 200 CITY: NORTHBROOK STATE: IL ZIP: 60062 BUSINESS PHONE: 847-715-3200 MAIL ADDRESS: STREET 1: 630 DUNDEE ROAD, SUITE 200 CITY: NORTHBROOK STATE: IL ZIP: 60062 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001595509 XXXXXXXX 03-31-2018 03-31-2018 false Iron Financial, LLC

630 Dundee Road, Suite 200 Northbrook IL 60062

13F HOLDINGS REPORT 028-15674 N Richard Lakin 847-715-3200 /s/ Richard Lakin Northbrook IL 04-23-2018 0 88 155793 INFORMATION TABLE 2 fp0032781_13fhr-table.xml 13F INFORMATION TABLE AMAZON COM INC COM 023135106 1093 755 SH SOLE 0 0 755 APPLE INC COM 037833100 3632 21648 SH SOLE 0 0 21648 BANK AMER CORP COM 060505104 212 7072 SH SOLE 0 0 7072 DBX ETF TR XTRACK USD HIGH 233051432 1408 28430 SH SOLE 28430 0 0 DISNEY WALT CO COM DISNEY 254687106 413 4114 SH SOLE 0 0 4114 GENERAL ELECTRIC CO COM 369604103 183 13596 SH SOLE 0 0 13596 HOME DEPOT INC COM 437076102 380 2130 SH SOLE 0 0 2130 INTEL CORP COM 458140100 827 15875 SH SOLE 0 0 15875 INTERNATIONAL BUSINESS MACHS COM 459200101 219 1425 SH SOLE 0 0 1425 ISHARES TR MSCI EMG MKT ETF 464287234 379 7859 SH SOLE 0 0 7859 ISHARES TR MSCI EAFE ETF 464287465 830 11911 SH SOLE 0 0 11911 ISHARES TR RUSSELL 2000 ETF 464287655 235 1546 SH SOLE 0 0 1546 ISHARES TR IBOXX HI YD ETF 464288513 2475 28903 SH SOLE 28903 0 0 JOHNSON & JOHNSON COM 478160104 510 3983 SH SOLE 0 0 3983 MICROSOFT CORP COM 594918104 691 7569 SH SOLE 0 0 7569 NOKIA CORP SPONSORED ADR 654902204 63 11589 SH SOLE 0 0 11589 PNC FINL SVCS GROUP INC COM 693475105 874 5782 SH SOLE 0 0 5782 PROCTER AND GAMBLE CO COM 742718109 283 3576 SH SOLE 0 0 3576 UNITED TECHNOLOGIES CORP COM 913017109 275 1874 SH SOLE 0 0 1874 VANGUARD GROUP DIV APP ETF 921908844 1701 16829 SH SOLE 0 0 16829 VANGUARD STAR FD VG TL INTL STK F 921909768 6768 119678 SH SOLE 0 0 119678 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 357 2814 SH SOLE 0 0 2814 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1291 23741 SH SOLE 0 0 23741 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 287 4930 SH SOLE 0 0 4930 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 254 1050 SH SOLE 0 0 1050 VANGUARD INDEX FDS TOTAL STK MKT 922908769 18046 132965 SH SOLE 0 0 132965 AT&T INC COM 00206R102 418 11724 SH SOLE 0 0 11724 ABBVIE INC COM 00287Y109 334 3531 SH SOLE 0 0 3531 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 452 2462 SH SOLE 0 0 2462 ALLSCRIPTS HEALTHCARE SOLUTN NOTE 1.250% 7/0 01988PAD0 1008 1000000 SH SOLE 400000 0 600000 ALPHABET INC CAP STK CL C 02079K107 586 568 SH SOLE 0 0 568 ALPHABET INC CAP STK CL A 02079K305 504 486 SH SOLE 0 0 486 BIOMARIN PHARMACEUTICAL INC NOTE 1.500%10/1 09061GAF8 244 220000 SH SOLE 0 0 220000 CBOE GLOBAL MARKETS INC COM 12503M108 1295 11350 SH SOLE 0 0 11350 CME GROUP INC COM CL A 12572Q105 12797 79121 SH SOLE 0 0 79121 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 1119 1015000 SH SOLE 400000 0 615000 CALAMP CORP NOTE 1.625% 5/1 128126AB5 1080 1005000 SH SOLE 400000 0 605000 CEMEX SAB DE CV NOTE 3.720% 3/1 151290BR3 969 940000 SH SOLE 400000 0 540000 CIENA CORP DEBT 4.000%12/1 171779AK7 99 70000 SH SOLE 0 0 70000 CITRIX SYS INC NOTE 0.500% 4/1 177376AD2 1234 935000 SH SOLE 400000 0 535000 COLONY CAP INC NOTE 3.875% 1/1 19624RAB2 543 575000 SH SOLE 0 0 575000 DNP SELECT INCOME FD COM 23325P104 108 10505 SH SOLE 0 0 10505 ECHO GLOBAL LOGISTICS INC NOTE 2.500% 5/0 27875TAA9 1027 1000000 SH SOLE 400000 0 600000 ELECTRONICS FOR IMAGING INC NOTE 0.750% 9/0 286082AC6 947 975000 SH SOLE 400000 0 575000 FINISAR CORP NOTE 0.500%12/1 31787AAP6 540 600000 SH SOLE 0 0 600000 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 540 11333 SH SOLE 11333 0 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 467 385000 SH SOLE 0 0 385000 HURON CONSULTING GROUP INC NOTE 1.250%10/0 447462AB8 868 915000 SH SOLE 400000 0 515000 INTEGRATED DEVICE TECHNOLOGY NOTE 0.875%11/1 458118AC0 627 555000 SH SOLE 0 0 555000 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 621 535000 SH SOLE 0 0 535000 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 555 560000 SH SOLE 0 0 560000 ISHARES TR 0-5YR HI YL CP 46434V407 1358 29032 SH SOLE 29032 0 0 JPMORGAN CHASE & CO COM 46625H100 755 6865 SH SOLE 0 0 6865 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 711 555000 SH SOLE 0 0 555000 MACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1 55608BAA3 912 915000 SH SOLE 400000 0 515000 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 984 885000 SH SOLE 400000 0 485000 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 422 25635 SH SOLE 0 0 25635 NUTANIX INC CL A 67059N108 319 6500 SH SOLE 0 0 6500 NVIDIA CORP COM 67066G104 230 991 SH SOLE 0 0 991 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 1118 1015000 SH SOLE 400000 0 615000 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 384 395000 SH SOLE 0 0 395000 PANDORA MEDIA INC NOTE 1.750%12/0 698354AB3 932 1015000 SH SOLE 400000 0 615000 PENNYMAC CORP NOTE 5.375% 5/0 70932AAB9 946 925000 SH SOLE 400000 0 525000 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 10981 108132 SH SOLE 0 0 108132 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 2707 146242 SH SOLE 146242 0 0 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 599 480000 SH SOLE 0 0 480000 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 1004 980000 SH SOLE 400000 0 480000 RPM INTL INC NOTE 2.250%12/1 749685AT0 548 485000 SH SOLE 0 0 485000 RTW HLDGS INC NOTE 5.625%11/1 749772AB5 272 265000 SH SOLE 0 0 265000 ROVI CORP NOTE 0.500% 3/0 779376AD4 903 930000 SH SOLE 400000 0 530000 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 104 110000 SH SOLE 0 0 110000 SPDR S&P 500 ETF TR TR UNIT 78462F103 19588 74435 SH SOLE 34369 0 40066 SPDR GOLD TRUST GOLD SHS 78463V107 241 1918 SH SOLE 0 0 1918 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 790 20098 SH SOLE 0 0 20098 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 2992 95202 SH SOLE 0 0 95202 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 2490 69466 SH SOLE 13716 0 55750 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2279 75478 SH SOLE 0 0 75478 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 6123 186575 SH SOLE 0 0 186575 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 10225 213144 SH SOLE 0 0 213144 SPDR SER TR BLOOMBERG SRT TR 78468R408 999 36500 SH SOLE 36500 0 0 SEACOR HOLDINGS INC NOTE 3.000%11/1 81170YAB5 965 985000 SH SOLE 400000 0 585000 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 446 8836 SH SOLE 0 0 8836 TRIMTABS ETF TR ALL CAP US FREE 89628W302 4765 138137 SH SOLE 0 0 138137 VALEANT PHARMACEUTICALS INTL COM 91911K102 344 21594 SH SOLE 0 0 21594 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 2268 78058 SH SOLE 78058 0 0 VECTOR GROUP LTD FRNT 4/1 92240MBC1 1102 995000 SH SOLE 400000 0 595000 VERIZON COMMUNICATIONS INC COM 92343V104 323 6756 SH SOLE 0 0 6756 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 995 1015000 SH SOLE 400000 0 615000