CHIEF COMPLIANCE OFFICER

0001698478-20-000005.txt : 20201116 0001698478-20-000005.hdr.sgml : 20201116 20201116084110 ACCESSION NUMBER: 0001698478-20-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Summit Trail Advisors, LLC CENTRAL INDEX KEY: 0001698478 IRS NUMBER: 474459131 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18552 FILM NUMBER: 201313899 BUSINESS ADDRESS: STREET 1: 2 GRAND CENTRAL TOWER STREET 2: 140 E 45TH STREET, 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-812-7010 MAIL ADDRESS: STREET 1: 2 GRAND CENTRAL TOWER STREET 2: 140 E 45TH STREET, 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001698478 XXXXXXXX 09-30-2020 09-30-2020 Summit Trail Advisors, LLC

2 GRAND CENTRAL TOWER 140 E 45TH STREET, 28TH FLOOR NEW YORK NY 10017

13F HOLDINGS REPORT 028-18552 N Thomas Harms CHIEF COMPLIANCE OFFICER (212) 812-7010 Thomas Harms New York NY 11-16-2020 0 212 517082 false INFORMATION TABLE 2 13FSummitTrailQ32020.xml iShares Core S&P 500 Equity 90214J101 44778 126305 SH SOLE 126305 0 0 iShares Gold ETF (IAU) Equity 88579Y101 33461 1870371 SH SOLE 1870371 0 0 Expeditors Intl Wash Inc Equity 00287Y109 31835 362713 SH SOLE 362713 0 0 Vanguard FTSE Emerging Markets ETF (VWO) Equity G1151C101 28648 615555 SH SOLE 615555 0 0 Broadcom Inc Equity 00507V109 24609 66475 SH SOLE 66475 0 0 Apple Inc Com Equity 00724F101 22081 185231 SH SOLE 185231 0 0 SPDR S&P 500 ETF (SPY) Equity 00790R104 21809 61746 SH SOLE 61746 0 0 iShares N American Tech Soft (IGV) Equity 00773T101 20676 64720 SH SOLE 64720 0 0 Schwab Short-Term U.S. Equity 00768Y818 17809 346469 SH SOLE 346469 0 0 Mimecast Limited Equity 00846U101 15075 347677 SH SOLE 347677 0 0 Kodiak Sciences Inc Equity 00912X302 14745 120237 SH SOLE 120237 0 0 iShares Core U S Aggregate BD ETF (AGG) Equity 00971T101 14581 123964 SH SOLE 123964 0 0 Consumer Staples Select Sector SPDR ETF (XLP) Equity H01301128 13658 205045 SH SOLE 205045 0 0 Amazon Com Inc Equity 01609W102 12754 4101 SH SOLE 4101 0 0 JD Com Inc Spons ADR Repstg Com CL A Equity 01741R102 12550 145285 SH SOLE 145285 0 0 Alphabet Inc Cap STK CL C Equity G0176J109 11448 6542 SH SOLE 6542 0 0 Microsoft Corp Com Equity 01864U106 9248 42925 SH SOLE 42925 0 0 Utilities Select Sector SPDR ETF (XLU) Equity 01988P108 8763 133916 SH SOLE 133916 0 0 Graniteshares ETF TR Xout U S Large Cap ETF Equity 02079K305 8157 242188 SH SOLE 242188 0 0 Alphabet Inc Cap STK Equity 02079K107 7974 4576 SH SOLE 4576 0 0 iShares TR Russell 2000 Index ETF (IWM) Equity 02208R106 7058 41520 SH SOLE 41520 0 0 Uber Technologies Inc Equity 02209S103 5245 113049 SH SOLE 113049 0 0 Okta Inc CL A Equity 02215L209 4111 18330 SH SOLE 18330 0 0 Greenlight Capital Re LTD CL A Equity G0250X107 3125 407984 SH SOLE 407984 0 0 Athene HLDG LTD CL A Isin# BMG0684D1074 Equity G02602103 3064 75869 SH SOLE 75869 0 0 Berkshire Hathaway Inc Del CL B New Equity 02376R102 2887 12846 SH SOLE 12846 0 0 iShares TR S&P 500 Growth ETF Equity 03027X100 2564 42516 SH SOLE 42516 0 0 Invesco QQQ TR Unit Ser 1 Equity 03076C106 2562 8883 SH SOLE 8883 0 0 Nvidia Corp Com Equity 03662Q105 2343 4353 SH SOLE 4353 0 0 Davita Healthcare Partners Inc Equity 03676B102 2306 21514 SH SOLE 21514 0 0 Ehealth Inc Com Equity G0403H108 2245 31845 SH SOLE 31845 0 0 Servicenow Inc Com Equity 03748R754 2210 4335 SH SOLE 4335 0 0 SPDR Gold TR Gold SHS Equity G6095L109 2129 12101 SH SOLE 12101 0 0 Vanguard Information Technology ETF Equity 03966V107 2109 6534 SH SOLE 6534 0 0 iShares TR Russell 1000 Growth Index FD (IWF) Equity 00214Q302 1914 8516 SH SOLE 8516 0 0 iShares Core S&P Mid Cap Equity 04206A101 1843 8929 SH SOLE 8929 0 0 iShares TR MSCI USA Minimum Volatility ETF Equity 00191U102 1778 26848 SH SOLE 26848 0 0 Nuveen Enhanced Mun Equity 04621X108 1775 115721 SH SOLE 115721 0 0 Nuveen Enhanced Amt Equity 00206R102 1762 109957 SH SOLE 109957 0 0 Mastercard Inc CL A Com Equity G0684D107 1749 5327 SH SOLE 5327 0 0 iShares MSCI India ETF (INDA) Equity G0751N103 1725 48260 SH SOLE 48260 0 0 PIMCO Municipal Income Fund II (PML) Equity G06242104 1724 124707 SH SOLE 124707 0 0 Bankwell Finl Group Inc Com Equity 00215F107 1550 89570 SH SOLE 89570 0 0 iShares TR S&P Midcap 400 Growth ETF Equity 05350V106 1497 22856 SH SOLE 22856 0 0 iShares Russell Top 200 Growth ETF Equity 05352A100 1364 10921 SH SOLE 10921 0 0 Vanguard Tax-Managed Intl FD FTSE Developed MKTS ETF Equity 05367P100 1338 30645 SH SOLE 30645 0 0 Adobe SYS Inc Com Equity 06654A103 1312 2837 SH SOLE 2837 0 0 Clear Channel Outdoor HLDGS Inc New Com Equity 06759X107 1300 1000000 SH SOLE 1000000 0 0 Nuveen AMT-Free Quality Municipal Income Fund (NEA) Equity 89832Q109 1239 84482 SH SOLE 84482 0 0 Vanguard Index FDS Vanguard Small-Cap Growth ETF Equity 05534B760 1230 5228 SH SOLE 5228 0 0 BlackRock MuniYield Quality Fund III Equity G10830100 1213 87762 SH SOLE 87762 0 0 iShares TR Select Divid ETF FD Equity 05541T101 1189 13235 SH SOLE 13235 0 0 Paypal HLDGS Inc Com Equity 09062X103 1155 6107 SH SOLE 6107 0 0 Wisdomtree TR High Divid FD Equity 09255P107 1095 16521 SH SOLE 16521 0 0 iShares TR MSCI Acwi ETF Equity 09247X101 1091 12853 SH SOLE 12853 0 0 Vanguard Intl Equity Index FDS Total World Stk Index (VT) Equity 09247D105 1043 12139 SH SOLE 12139 0 0 Vanguard Index FDS Vanguard Total STK MKT ETF Equity 09253Y100 1032 5711 SH SOLE 5711 0 0 Crowdstrike HLDGS Equity 09257P105 1030 7505 SH SOLE 7505 0 0 iShares MSCI EAFE ETF (EFA) Equity 09250G102 1006 14729 SH SOLE 14729 0 0 Bank Amer Corp Com Equity 09248F109 946 35432 SH SOLE 35432 0 0 Cisco Systems Inc Equity 09254L107 943 24380 SH SOLE 24380 0 0 BlackRock Municipal Income Trust (BFK) Equity 09254P108 940 64981 SH SOLE 64981 0 0 Eaton Vance Mun Income TR SH Ben Int Equity 09255C106 932 71674 SH SOLE 71674 0 0 Johnson & Johnson Com Equity 09254A101 919 6197 SH SOLE 6197 0 0 Vanguard World FDS Vanguard Health Care ETF Equity 09254C107 905 4205 SH SOLE 4205 0 0 Intel Corp Com Equity 09253R105 897 19813 SH SOLE 19813 0 0 Eaton Vance Muni Bond Fund Equity 09254N103 890 67851 SH SOLE 67851 0 0 SPDR Ser TR S&P Divid ETF Equity 09254T100 868 8566 SH SOLE 8566 0 0 Netflix Inc Com Equity 09254V105 833 1712 SH SOLE 1712 0 0 Alibaba GRP SHS ADR Equity 09255G107 804 3041 SH SOLE 3041 0 0 Verizon Communications Com Equity 09254G108 799 13143 SH SOLE 13143 0 0 Kar Auction SVCS Inc Com Equity 09249U105 791 45000 SH SOLE 45000 0 0 Utd STS Oil FD LP Units(post R Equity 09257R101 783 27318 SH SOLE 27318 0 0 Unitedhealth Group Inc Com Equity 09260D107 781 2203 SH SOLE 2203 0 0 Vanguard Index FDS Vanguard REIT ETF (VNQ) Equity 09257W100 771 9268 SH SOLE 9268 0 0 SPDR S&P Midcap 400 ETF Equity 05589T104 746 1976 SH SOLE 1976 0 0 Oracle Corp Com Equity 09857L108 731 12956 SH SOLE 12956 0 0 Merck & Co Inc New Com Equity 10316T104 726 9092 SH SOLE 9092 0 0 Thermo Fisher Scientific Inc Equity 10806X102 725 1491 SH SOLE 1491 0 0 Apollo Global MGMT Equity 10922N103 719 16781 SH SOLE 16781 0 0 BlackRock Muni Enhanced Fund Equity 11135F101 705 60376 SH SOLE 60376 0 0 FORTRESS TRANSN & INFRASTRUCTURE INVS LLC COM REPSTG LTD LIABILITY CO INTS Equity 11135B100 696 40000 SH SOLE 40000 0 0 iShares Core S&P Small Cap Equity G16249107 686 8617 SH SOLE 8617 0 0 Intuit Incorporated Com Equity 11284V105 685 1959 SH SOLE 1959 0 0 Blackstone Group Inc CL A Equity G16258108 680 12257 SH SOLE 12257 0 0 Home Depot Inc Com Equity 05605H100 662 2397 SH SOLE 2397 0 0 BlackRock MuniHoldings Invt Quality Equity 13321L108 658 47684 SH SOLE 47684 0 0 BlackRock Municipal 2030 Target Term Trust Equity 14040H105 651 25724 SH SOLE 25724 0 0 Goldman Sachs Group Inc Com Equity 14448C104 647 3014 SH SOLE 3014 0 0 Automatic Data Processing Inc Com Equity 12504L109 645 3805 SH SOLE 3805 0 0 Accenture PLC Ireland Class SHS Equity 12514G108 615 2584 SH SOLE 2584 0 0 Autodesk Inc Com Equity 15135B101 610 2481 SH SOLE 2481 0 0 PIMCO Municipal Income I Equity 15136A102 594 51197 SH SOLE 51197 0 0 iShares Russell 2000 Growth Index Equity 15189T107 593 2399 SH SOLE 2399 0 0 Lockheed Martin Corp Com Equity 15872M104 591 1606 SH SOLE 1606 0 0 Graftech Intl LTD Com Equity 15912K100 580 76219 SH SOLE 76219 0 0 Danaher Corp Com Equity 16119P108 556 2385 SH SOLE 2385 0 0 Palantir Technologies In Class A Equity M22465104 543 37270 SH SOLE 37270 0 0 Hirequest Inc Com Equity 16411R208 528 62578 SH SOLE 62578 0 0 Aberdeen Standard PHYCL Silver Equity H1467J104 520 22183 SH SOLE 22183 0 0 Cognizant Technology Solutions Corp CL A Equity 17275R102 508 6663 SH SOLE 6663 0 0 International Business Machs Corp Com Equity 18270P109 508 4373 SH SOLE 4373 0 0 iShares TR MSCI (china Etf) Equity 18453H106 503 6310 SH SOLE 6310 0 0 Vanguard Whitehall FDS High Dividend Yield ETF SHS Equity 18539C204 501 5804 SH SOLE 5804 0 0 Nuveen Massachusets Equity 12572Q105 492 34335 SH SOLE 34335 0 0 AT&T Inc Com Equity G25839104 488 17175 SH SOLE 17175 0 0 Atlassian Equity 20030N101 479 2484 SH SOLE 2484 0 0 Ansys Inc Com Equity 81369Y852 476 1472 SH SOLE 1472 0 0 Brighthouse Financial, Inc. CMN Equity 20786W107 471 14000 SH SOLE 14000 0 0 Trinet Group Inc Com Equity 20825C104 471 6354 SH SOLE 6354 0 0 iShares TR Russell 1000 Value ETF Equity 21036P108 469 3678 SH SOLE 3678 0 0 NEW RESIDENTIAL INVT CORP COM NEW Equity 81369Y308 468 58513 SH SOLE 58513 0 0 Intuitive Surgical Inc Com New Equity N22717107 458 618 SH SOLE 618 0 0 Vanguard Dividend Appreciation Equity 22052L104 455 3350 SH SOLE 3350 0 0 Brookfield Renewable Energy Partners LP Partnership Units Equity 22053A107 453 7700 SH SOLE 7700 0 0 Altria Group Inc Com Equity 22160N109 431 10911 SH SOLE 10911 0 0 Global PMTS Inc Com Equity 22160K105 423 2291 SH SOLE 2291 0 0 Lam Research Corp Equity 12626K203 421 1006 SH SOLE 1006 0 0 Docusign Inc Equity H17182108 419 1971 SH SOLE 1971 0 0 Advanced Micro Equity 22717L101 418 5109 SH SOLE 5109 0 0 Applied Materials Inc Equity 22788C105 417 5981 SH SOLE 5981 0 0 Lowes Cos Inc Com Equity 22822V101 411 2604 SH SOLE 2604 0 0 Nike Inc Class B Equity 23283R100 408 3223 SH SOLE 3223 0 0 Amgen Inc Com Equity 23331A109 406 1711 SH SOLE 1711 0 0 Fiserv Inc Com Equity 23918K108 406 3837 SH SOLE 3837 0 0 iShares US Oil Gas Exl Prod ETF Equity 23311P100 404 13909 SH SOLE 13909 0 0 Micron Technology Inc Equity 24703L202 392 6971 SH SOLE 6971 0 0 DXC Technology Co Com Equity 24906P109 379 18699 SH SOLE 18699 0 0 BlackRock Inc Com Equity 25179M103 376 570 SH SOLE 570 0 0 The Trade Desk Inc Com CL A Equity 25243Q205 369 498 SH SOLE 498 0 0 Corning Inc Com Equity 25278X109 362 10298 SH SOLE 10298 0 0 Abbvie Inc Com Equity 25470F104 354 3584 SH SOLE 3584 0 0 Abbott Labs Com Equity 25470F302 352 3134 SH SOLE 3134 0 0 Analog Devices Inc Com Equity 25659T107 342 2527 SH SOLE 2527 0 0 Costco Wholesale Corp New Com Equity 25960P109 342 910 SH SOLE 910 0 0 Chevron Corp New Com Equity 26142R104 340 4215 SH SOLE 4215 0 0 Barclays PLC ADR Equity 26441C204 340 49919 SH SOLE 49919 0 0 KLA-TENCOR CORP COM Equity 26614N102 338 1449 SH SOLE 1449 0 0 Berkshire Hathaway Inc-Del Equity 23355L106 337 1 SH SOLE 1 0 0 Citigroup Inc Com New Equity 27579R104 336 6885 SH SOLE 6885 0 0 Trupanion Inc Com Equity G29183103 335 4000 SH SOLE 4000 0 0 Liveramp Holdings Inc CMN Equity 27828A100 330 5497 SH SOLE 5497 0 0 Comcast Corp CL A Equity 27826U108 329 6867 SH SOLE 6867 0 0 Vanguard Mid-Cap ETF Equity 27827X101 329 1725 SH SOLE 1725 0 0 Motorola Solutions Inc Com New Equity 27827Y109 328 1959 SH SOLE 1959 0 0 Maxim Integrated Products Inc Equity 27826W104 324 4027 SH SOLE 4027 0 0 Microchip Technology Inc Com Equity 28238P109 321 2598 SH SOLE 2598 0 0 Vanguard FTSE All-World Ex-US Index Fund ETF Equity 29084Q100 314 5798 SH SOLE 5798 0 0 S&P Oil & Gas Expl & Prodtn ETF New Equity 29250N105 313 6750 SH SOLE 6750 0 0 Amphenol Corp New CL A Equity 29272W109 310 2575 SH SOLE 2575 0 0 McDonalds Corp Equity 29273V100 307 1440 SH SOLE 1440 0 0 Target Corp Com Equity 29275Y102 301 1885 SH SOLE 1885 0 0 Broadmark RLTY Cap Inc Com Equity 29355A107 300 30000 SH SOLE 30000 0 0 Western Midstream Partners LP CMN Equity 29362U104 298 28149 SH SOLE 28149 0 0 Servicesource Intl Inc Com Equity 26875P101 297 217052 SH SOLE 217052 0 0 Enterprise Prods Partners L P Com Unit Equity 29414B104 293 16214 SH SOLE 16214 0 0 Nextera Energy Inc Com Equity 26884L109 288 3752 SH SOLE 3752 0 0 Ipg Photonics Corp Com Equity 29444U700 287 1410 SH SOLE 1410 0 0 Sprott Physical Gold & S Equity 29476L107 279 15000 SH SOLE 15000 0 0 Wal Mart Stores Inc Com Equity G3788M114 278 1874 SH SOLE 1874 0 0 Boeing Co Com Equity 29670G102 277 1565 SH SOLE 1565 0 0 iShares TR S&P Small-Cap 600 Growth ETF Equity 26924G102 273 2762 SH SOLE 2762 0 0 HP Inc Com Equity 29786A106 273 14397 SH SOLE 14397 0 0 Vaneck Vectors Semiconductor ETF Equity 30034W106 271 1400 SH SOLE 1400 0 0 Hewlett Packard Enterprise Co Com Equity 30040W108 270 27897 SH SOLE 27897 0 0 Arista Networks Inc Com Equity 06742C723 269 1009 SH SOLE 1009 0 0 First Midwest Bancorp Inc Del Com Equity 30161Q104 268 19810 SH SOLE 19810 0 0 Fidus Invt Corp Com Equity 30161N101 268 22502 SH SOLE 22502 0 0 Union Pacific Corp Com Equity 30212P303 267 1332 SH SOLE 1332 0 0 American Tower REIT Com Equity 30225T102 266 1118 SH SOLE 1118 0 0 Progressive Corp Oh Com Equity 30231G102 263 2775 SH SOLE 2775 0 0 Select Sector SPDR TR Financial Equity 31188V100 260 9775 SH SOLE 9775 0 0 Charter Communications Inc New CL A Equity 31428X106 258 405 SH SOLE 405 0 0 Booking Holdings Inc CMN Equity 32051X108 257 131 SH SOLE 131 0 0 Bristol Myers Squibb Co Com Equity 33738G104 256 4086 SH SOLE 4086 0 0 Netapp Inc Com Equity M4R82T106 253 5323 SH SOLE 5323 0 0 Flir Systems Inc Equity Y2573F102 253 7115 SH SOLE 7115 0 0 Emerson Elec Co Com Equity 34354P105 247 3302 SH SOLE 3302 0 0 Crown Castle Intl Corp New Com Equity 34959J108 245 1469 SH SOLE 1469 0 0 Vanguard S&P 500 Growth ETF Equity 34960P101 242 1110 SH SOLE 1110 0 0 Vaneck Vectors ETF Equity 35137L204 235 4400 SH SOLE 4400 0 0 Leidos HLDGS Inc Com Equity 35952H601 229 2432 SH SOLE 2432 0 0 Microstrategy Inc CL A New Equity H2906T109 226 1208 SH SOLE 1208 0 0 Vaneck Vectors Gold Equity G3922B107 225 6000 SH SOLE 6000 0 0 Activision Blizzard Inc Com Equity 37733W105 225 2929 SH SOLE 2929 0 0 Vanguard Index FDS (vanguard Large Cap Vipers Formerly Vanguard) Equity 37940X102 224 1357 SH SOLE 1357 0 0 CDW Corp Com Equity 37954Y780 222 1641 SH SOLE 1641 0 0 M & T BK Corp Equity 37954Y715 222 1928 SH SOLE 1928 0 0 Keysight Technologies Inc Com Equity 37954Y392 220 1929 SH SOLE 1929 0 0 Green Brick Partners Equity 38141G104 218 10270 SH SOLE 10270 0 0 Coca Cola Company Equity 38148G206 217 4100 SH SOLE 4100 0 0 Williams Cos Inc Com Equity 38747R603 217 11218 SH SOLE 11218 0 0 Fedex Corp Com Equity G4095J109 216 810 SH SOLE 810 0 0 Duke Energy Corp New Com New Equity 40131M109 216 2271 SH SOLE 2271 0 0 Zoetis Inc CL A Equity 40171V100 216 1303 SH SOLE 1303 0 0 Edwards Lifesciences Corp Com Equity 40425J101 211 2631 SH SOLE 2631 0 0 SPDR Portfolio S&P (500 Growth Etf) Equity 40412C101 209 4000 SH SOLE 4000 0 0 Caterpillar Inc Com Equity 40416M105 203 1192 SH SOLE 1192 0 0 Akamai Technologies Inc Com Equity 81369Y209 201 2047 SH SOLE 2047 0 0 Precigen Inc Com Equity 43300A203 185 31191 SH SOLE 31191 0 0 Energy Transfer LP Equity G4863A108 166 30484 SH SOLE 30484 0 0 Conduent Inc Com Equity 46138G706 163 43705 SH SOLE 43705 0 0 Blackrock Muniholdings New York Qulty Fd Equity 46137V720 163 11958 SH SOLE 11958 0 0 BlackRock Muniyield N Y Quality FD Inc Com Equity 46429B697 144 11012 SH SOLE 11012 0 0 BlackRock Capital Investment Corp SHS Equity 46432F339 142 52953 SH SOLE 52953 0 0 Sabre Corp Com Equity 50540R409 132 15079 SH SOLE 15079 0 0 General Electric Co Com Equity 53227R106 116 13202 SH SOLE 13202 0 0 Marathon Oil Corp Com Equity 78463V107 57 11903 SH SOLE 11903 0 0 Neuberger Berman MLP Income Fund Inc. Equity 98978V103 40 14471 SH SOLE 14471 0 0 Caladrius Biosciences Inc Com New Equity 67061E104 27 17730 SH SOLE 17730 0 0 Centennial Resource Dev Inc CL A Com Equity 460146103 7 10000 SH SOLE 10000 0 0 Gulfport Energy Corp Com New Equity 075896100 3 15000 SH SOLE 15000 0 0