0001398344-18-015064.txt : 20181018 0001398344-18-015064.hdr.sgml : 20181018 20181018122004 ACCESSION NUMBER: 0001398344-18-015064 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181018 DATE AS OF CHANGE: 20181018 EFFECTIVENESS DATE: 20181018 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: 181127951 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 09-30-2018 09-30-2018 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 10-17-2018 0 88 148987 INFORMATION TABLE 2 fp0036518_13fhr-table.xml 13F INFORMATION TABLE ABBOTT LABS COM 002824100 270 3681 SH SOLE 0 0 3681 AMAZON COM INC COM 023135106 1703 850 SH SOLE 0 0 850 APPLE INC COM 037833100 4633 20525 SH SOLE 0 0 20525 BAUSCH HEALTH COS INC COM 071734107 559 21794 SH SOLE 0 0 21794 DISNEY WALT CO COM DISNEY 254687106 376 3217 SH SOLE 0 0 3217 GENERAL ELECTRIC CO COM 369604103 140 12425 SH SOLE 0 0 12425 HOME DEPOT INC COM 437076102 207 1000 SH SOLE 0 0 1000 INTEL CORP COM 458140100 750 15855 SH SOLE 0 0 15855 INTERNATIONAL BUSINESS MACHS COM 459200101 215 1425 SH SOLE 0 0 1425 ISHARES TR MSCI EMG MKT ETF 464287234 350 8145 SH SOLE 0 0 8145 ISHARES TR MSCI EAFE ETF 464287465 826 12152 SH SOLE 0 0 12152 ISHARES TR RUSSELL 2000 ETF 464287655 261 1551 SH SOLE 0 0 1551 JOHNSON & JOHNSON COM 478160104 653 4724 SH SOLE 0 0 4724 MICROSOFT CORP COM 594918104 865 7561 SH SOLE 0 0 7561 MICRON TECHNOLOGY INC COM 595112103 328 7260 SH SOLE 0 0 7260 PNC FINL SVCS GROUP INC COM 693475105 787 5782 SH SOLE 0 0 5782 PROCTER AND GAMBLE CO COM 742718109 396 4754 SH SOLE 0 0 4754 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 308 5500 SH SOLE 0 0 5500 SQUARE INC CL A 852234103 248 2500 SH SOLE 0 0 2500 UNITED TECHNOLOGIES CORP COM 913017109 321 1974 SH SOLE 0 0 1974 VANGUARD GROUP DIV APP ETF 921908844 1555 14045 SH SOLE 0 0 14045 VANGUARD STAR FD VG TL INTL STK F 921909768 3482 64480 SH SOLE 0 0 64480 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 383 2814 SH SOLE 0 0 2814 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1153 22147 SH SOLE 0 0 22147 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 271 6598 SH SOLE 0 0 6598 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 277 4930 SH SOLE 0 0 4930 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 406 1522 SH SOLE 0 0 1522 VANGUARD INDEX FDS GROWTH ETF 922908736 405 2517 SH SOLE 0 0 2517 VANGUARD INDEX FDS TOTAL STK MKT 922908769 11355 75878 SH SOLE 0 0 75878 AMAG PHARMACEUTICALS INC NOTE 3.250% 6/0 00163UAD8 419 395000 SH SOLE 0 0 395000 AT&T INC COM 00206R102 407 12110 SH SOLE 0 0 12110 ABBVIE INC COM 00287Y109 351 3711 SH SOLE 0 0 3711 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 369 2237 SH SOLE 0 0 2237 ALLSCRIPTS HEALTHCARE SOLUTN NOTE 1.250% 7/0 01988PAD0 575 545000 SH SOLE 0 0 545000 ALPHABET INC CAP STK CL C 02079K107 547 458 SH SOLE 0 0 458 ALPHABET INC CAP STK CL A 02079K305 333 276 SH SOLE 0 0 276 BIOMARIN PHARMACEUTICAL INC NOTE 1.500%10/1 09061GAF8 585 485000 SH SOLE 0 0 485000 CBOE GLOBAL MARKETS INC COM 12503M108 1089 11350 SH SOLE 0 0 11350 CME GROUP INC COM CL A 12572Q105 16712 98186 SH SOLE 0 0 98186 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 593 565000 SH SOLE 0 0 565000 CALAMP CORP NOTE 1.625% 5/1 128126AB5 581 550000 SH SOLE 0 0 550000 CEMEX SAB DE CV NOTE 3.720% 3/1 151290BR3 489 485000 SH SOLE 0 0 485000 CIENA CORP DEBT 4.000%12/1 171779AK7 861 540000 SH SOLE 0 0 540000 CTRIP COM INTL LTD NOTE 1.250% 9/1 22943FAM2 484 495000 SH SOLE 0 0 495000 DNP SELECT INCOME FD COM 23325P104 121 10886 SH SOLE 0 0 10886 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 577 520000 SH SOLE 0 0 520000 ECHO GLOBAL LOGISTICS INC NOTE 2.500% 5/0 27875TAA9 577 540000 SH SOLE 0 0 540000 FACEBOOK INC CL A 30303M102 212 1287 SH SOLE 0 0 1287 FINISAR CORP NOTE 0.500%12/1 31787AAP6 509 555000 SH SOLE 0 0 555000 FLEXSHARES TR GLB QLT R/E IDX 33939L787 3790 61825 SH SOLE 0 0 61825 FREEPORT-MCMORAN INC CL B 35671D857 176 12640 SH SOLE 0 0 12640 HURON CONSULTING GROUP INC NOTE 1.250%10/0 447462AB8 479 490000 SH SOLE 0 0 490000 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 30 20000 SH SOLE 0 0 20000 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 605 515000 SH SOLE 0 0 515000 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 235 2204 SH SOLE 0 0 2204 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 537 510000 SH SOLE 0 0 510000 ISHARES TR 0-5YR HI YL CP 46434V407 10094 219570 SH SOLE 214392 0 5178 JPMORGAN CHASE & CO COM 46625H100 784 6945 SH SOLE 0 0 6945 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 672 515000 SH SOLE 0 0 515000 KAMAN CORP NOTE 3.250% 5/0 483548AF0 314 265000 SH SOLE 0 0 265000 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 443 415000 SH SOLE 0 0 415000 MOLINA HEALTHCARE INC COM 60855R100 372 2500 SH SOLE 0 0 2500 NATIONAL HEALTH INVS INC NOTE 3.250% 4/0 63633DAE4 516 450000 SH SOLE 0 0 450000 NVIDIA CORP COM 67066G104 327 1163 SH SOLE 0 0 1163 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 690 545000 SH SOLE 0 0 545000 OSI SYSTEMS INC NOTE 1.250% 9/0 671044AD7 501 525000 SH SOLE 0 0 525000 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 402 415000 SH SOLE 0 0 415000 PACIRA PHARMACEUTICALS INC NOTE 2.375% 4/0 695127AD2 374 350000 SH SOLE 0 0 350000 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 570 480000 SH SOLE 0 0 480000 RPM INTL INC NOTE 2.250%12/1 749685AT0 557 450000 SH SOLE 0 0 450000 RTW HLDGS INC NOTE 5.625%11/1 749772AB5 258 250000 SH SOLE 0 0 250000 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 72 75000 SH SOLE 0 0 75000 ROVI CORP NOTE 0.500% 3/0 779376AD4 428 450000 SH SOLE 0 0 450000 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 280 255000 SH SOLE 0 0 255000 SPDR S&P 500 ETF TR TR UNIT 78462F103 10979 37764 SH SOLE 37474 0 37764 SPDR GOLD TRUST GOLD SHS 78463V107 587 5208 SH SOLE 0 0 5208 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 2100 60306 SH SOLE 0 0 60306 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 8623 280224 SH SOLE 0 0 280224 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 18132 500890 SH SOLE 0 0 500890 SPDR SER TR BLOOMBERG SRT TR 78468R408 9781 354496 SH SOLE 354496 0 0 SEACOR HOLDINGS INC NOTE 3.000%11/1 81170YAB5 509 520000 SH SOLE 0 0 520000 SILICON LABORATORIES INC NOTE 1.375% 3/0 826919AB8 86 75000 SH SOLE 0 0 75000 TERADYNE INC NOTE 1.250%12/1 880770AG7 599 460000 SH SOLE 0 0 460000 THE TRADE DESK INC COM CL A 88339J105 261 1730 SH SOLE 0 0 1730 TRIMTABS ETF TR ALL CAP US FREE 89628W302 12447 326010 SH SOLE 0 0 326010 VECTOR GROUP LTD FRNT 4/1 92240MBC1 558 530000 SH SOLE 0 0 530000 VERIZON COMMUNICATIONS INC COM 92343V104 365 6844 SH SOLE 0 0 6844 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 580 560000 SH SOLE 0 0 560000