Chief Compliance Officer

0001398344-20-008185.txt : 20200420 0001398344-20-008185.hdr.sgml : 20200420 20200420094957 ACCESSION NUMBER: 0001398344-20-008185 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200420 DATE AS OF CHANGE: 20200420 EFFECTIVENESS DATE: 20200420 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: 20801583 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 03-31-2020 03-31-2020 false Iron Financial, LLC

630 DUNDEE ROAD, SUITE 200 NORTHBROOK IL 60062

13F HOLDINGS REPORT 028-15674 N Richard Lakin Chief Compliance Officer 847-715-3200 /s/ Richard Lakin Northbrook IL 04-17-2020 0 107 159757 INFORMATION TABLE 2 fp0052897_13fhr-table.xml 13F INFORMATION TABLE MICHAELS COS INC COM 59408Q106 43 26618 SH SOLE 0 0 26618 OASIS PETROLEUM INC NOTE 2.625% 9/1 674215AJ7 28 245000 SH SOLE 0 0 245000 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 171 470000 SH SOLE 0 0 470000 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 340 520000 SH SOLE 0 0 520000 CLEVELAND CLIFFS INC DBCV 1.500% 1/1 185899AA9 278 395000 SH SOLE 0 0 395000 GREENBRIER COS INC NOTE 2.875% 2/0 393657AK7 372 485000 SH SOLE 0 0 485000 MARRIOTT VACTINS WORLDWID CO NOTE 1.500% 9/1 57164YAB3 347 445000 SH SOLE 0 0 445000 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 347 425000 SH SOLE 0 0 425000 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 426 505000 SH SOLE 0 0 505000 MERITOR INC NOTE 3.250%10/1 59001KAF7 462 535000 SH SOLE 0 0 535000 PRA GROUP INC NOTE 3.500% 6/0 69354NAB2 425 485000 SH SOLE 0 0 485000 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 419 470000 SH SOLE 0 0 470000 OSI SYSTEMS INC NOTE 1.250% 9/0 671044AD7 475 515000 SH SOLE 0 0 515000 LIVE NATION ENTERTAINMENT IN NOTE 2.500% 3/1 538034AQ2 252 265000 SH SOLE 0 0 265000 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 101 105000 SH SOLE 0 0 105000 PACIRA BIOSCIENCES NOTE 2.375% 4/0 695127AD2 449 460000 SH SOLE 0 0 460000 VERINT SYS INC NOTE 1.500% 6/0 92343XAA8 489 505000 SH SOLE 0 0 505000 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 396 410000 SH SOLE 0 0 410000 KAMAN CORP NOTE 3.250% 5/0 483548AF0 474 480000 SH SOLE 0 0 480000 ON SEMICONDUCTOR CORP NOTE 1.625%10/1 682189AP0 210 210000 SH SOLE 0 0 210000 CTRIP COM INTL LTD NOTE 1.250% 9/1 22943FAM2 464 465000 SH SOLE 0 0 465000 PRICELINE GRP INC NOTE 0.900% 9/1 741503AX4 499 500000 SH SOLE 0 0 500000 FINISAR CORP NOTE 0.500%12/1 31787AAP6 540 540000 SH SOLE 0 0 540000 CSG SYS INTL INC NOTE 4.250% 3/1 126349AF6 532 525000 SH SOLE 0 0 525000 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 498 490000 SH SOLE 0 0 490000 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AF1 463 450000 SH SOLE 0 0 450000 VIAVI SOLUTIONS INC NOTE 1.750% 6/0 925550AE5 337 325000 SH SOLE 0 0 325000 NUVASIVE INC NOTE 2.250% 3/1 670704AG0 542 520000 SH SOLE 0 0 520000 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 16 15000 SH SOLE 0 0 15000 SILICON LABORATORIES INC NOTE 1.375% 3/0 826919AB8 565 510000 SH SOLE 0 0 510000 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 45 40000 SH SOLE 0 0 40000 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 584 475000 SH SOLE 0 0 475000 ILLUMINA INC NOTE 0.500% 6/1 452327AH2 544 445000 SH SOLE 0 0 445000 ETSY INC NOTE 3/0 29786AAC0 13 10000 SH SOLE 0 0 10000 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 627 480000 SH SOLE 0 0 480000 SPDR SER TR BLOMBERG BRC INV 78468R200 217 7372 SH SOLE 0 0 7372 SPDR SER TR PORTFOLIO SHORT 78464A474 10604 350546 SH SOLE 0 0 350546 HARTFORD FDS EXCHANGE TRADED TOTAL RTRN ETF 41653L305 18294 460260 SH SOLE 0 0 460260 ISHARES INC JP MRG EM CRP BD 464286251 2856 63528 SH SOLE 0 0 63528 DBX ETF TR XTRACKERS LOW 233051267 3249 70815 SH SOLE 0 0 70815 ISHARES TR ULTR SH TRM BD 46434V878 520 10402 SH SOLE 0 0 10402 ISHARES TR CORE 1 5 YR USD 46432F859 1053 20850 SH SOLE 0 0 20850 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 2879 40900 SH SOLE 0 0 40900 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 360 4545 SH SOLE 0 0 4545 SPDR SER TR SPDR BLOOMBERG 78468R663 685 7480 SH SOLE 0 0 7480 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 462 4665 SH SOLE 0 0 4665 PIMCO ETF TR ACTIVE BD ETF 72201R775 237 2235 SH SOLE 0 0 2235 INVESCO EXCHANGE-TRADED FD T TREAS COLATERL 46138G888 3731 35132 SH SOLE 0 0 35132 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 3369 140741 SH SOLE 0 0 140741 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1669 58657 SH SOLE 0 0 58657 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 329 9801 SH SOLE 0 0 9801 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 222 5406 SH SOLE 0 0 5406 VANGUARD STAR FDS VG TL INTL STK F 921909768 1124 26795 SH SOLE 0 0 26795 ISHARES INC MIN VOL GBL ETF 464286525 11288 140507 SH SOLE 0 0 140507 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 125 10998 SH SOLE 0 0 10998 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 582 11000 SH SOLE 0 0 11000 ISHARES TR NATIONAL MUN ETF 464288414 227 2008 SH SOLE 0 0 2008 FLEXSHARES TR GLB QLT R/E IDX 33939L787 3628 76628 SH SOLE 0 0 76628 ARMADA HOFFLER PPTYS INC COM 04208T108 238 1094 SH SOLE 0 0 1094 TAILORED BRANDS INC COM 87403A107 22 12681 SH SOLE 0 0 12681 FREEPORT-MCMORAN INC CL B 35671D857 123 18163 SH SOLE 0 0 18163 DNP SELECT INCOME FD COM 23325P104 118 12006 SH SOLE 0 0 12006 BAUSCH HEALTH COS INC COM 071734107 203 13094 SH SOLE 0 0 13094 AT&T INC COM 00206R102 549 18850 SH SOLE 0 0 18850 TRIMTABS ETF TR ALL CAP US FREE 89628W302 4838 158357 SH SOLE 0 0 158357 SPDR SER TR PORTFOLI S&P1500 78464A805 6762 215015 SH SOLE 0 0 215015 ISHARES TR MSCI EMG MKT ETF 464287234 201 5901 SH SOLE 0 0 5901 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 233 5389 SH SOLE 0 0 5389 ISHARES TR MSCI EAFE ETF 464287465 1151 21535 SH SOLE 0 0 21535 VERIZON COMMUNICATIONS INC COM 92343V104 391 7280 SH SOLE 0 0 7280 ISHARES TR MSCI MIN VOL ETF 46429B697 7429 137550 SH SOLE 0 0 137550 INTEL CORP COM 458140100 935 17268 SH SOLE 0 0 17268 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 234 4232 SH SOLE 0 0 4232 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 253 4295 SH SOLE 0 0 4295 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 287 4757 SH SOLE 0 0 4757 STARBUCKS CORP COM 855244109 249 3793 SH SOLE 0 0 3793 ISHARES TR SELECT DIVID ETF 464287168 214 2906 SH SOLE 0 0 2906 ABBVIE INC COM 00287Y109 368 4830 SH SOLE 0 0 4830 ABBOTT LABS COM 002824100 326 4126 SH SOLE 0 0 4126 CBOE GLOBAL MARKETS INC COM 12503M108 991 11100 SH SOLE 0 0 11100 PROSHARES TR PSHS ULTRA QQQ 74347R206 270 3010 SH SOLE 0 0 3010 JPMORGAN CHASE & CO COM 46625H100 971 10788 SH SOLE 0 0 10788 DOCUSIGN INC COM 256163106 498 5390 SH SOLE 0 0 5390 PNC FINL SVCS GROUP INC COM 693475105 573 5984 SH SOLE 0 0 5984 DISNEY WALT CO COM DISNEY 254687106 338 3497 SH SOLE 0 0 3497 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 251 2575 SH SOLE 0 0 2575 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1283 12408 SH SOLE 0 0 12408 PROCTER & GAMBLE CO COM 742718109 595 5413 SH SOLE 0 0 5413 ISHARES TR RUS MD CP GR ETF 464287481 291 2395 SH SOLE 0 0 2395 VANGUARD INDEX FDS TOTAL STK MKT 922908769 7534 58445 SH SOLE 0 0 58445 JOHNSON & JOHNSON COM 478160104 652 4976 SH SOLE 0 0 4976 SPDR GOLD TRUST GOLD SHS 78463V107 373 2519 SH SOLE 0 0 2519 ISHARES TR RUS 1000 GRW ETF 464287614 202 1344 SH SOLE 0 0 1344 VANGUARD INDEX FDS GROWTH ETF 922908736 583 3721 SH SOLE 0 0 3721 MICROSOFT CORP COM 594918104 1716 10882 SH SOLE 0 0 10882 VISA INC COM CL A 92826C839 233 1448 SH SOLE 0 0 1448 FACEBOOK INC CL A 30303M102 412 2468 SH SOLE 0 0 2468 CME GROUP INC COM 12572Q105 15975 92386 SH SOLE 0 0 92386 HOME DEPOT INC COM 437076102 263 1408 SH SOLE 0 0 1408 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 750 3856 SH SOLE 0 0 3856 UNITEDHEALTH GROUP INC COM 91324P102 329 1321 SH SOLE 0 0 1321 APPLE INC COM 037833100 4910 19309 SH SOLE 0 0 19309 SPDR S&P 500 ETF TR TR UNIT 78462F103 11004 42692 SH SOLE 0 0 42692 NVIDIA CORP COM 67066G104 446 1692 SH SOLE 0 0 1692 ALPHABET INC CAP STK CL A 02079K305 419 361 SH SOLE 0 0 361 ALPHABET INC CAP STK CL C 02079K107 255 219 SH SOLE 0 0 219 AMAZON COM INC COM 023135106 2032 1042 SH SOLE 0 0 1042