Chief Compliance Officer

0001221073-19-000001.txt : 20190118 0001221073-19-000001.hdr.sgml : 20190118 20190118062908 ACCESSION NUMBER: 0001221073-19-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190118 DATE AS OF CHANGE: 20190118 EFFECTIVENESS DATE: 20190118 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Altium Wealth Management LLC CENTRAL INDEX KEY: 0001739594 IRS NUMBER: 272941375 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18798 FILM NUMBER: 19532122 BUSINESS ADDRESS: STREET 1: 2500 WESTCHESTER AVENUE STREET 2: SUITE 210 CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 9142982447 MAIL ADDRESS: STREET 1: 2500 WESTCHESTER AVENUE STREET 2: SUITE 210 CITY: PURCHASE STATE: NY ZIP: 10577 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001739594 XXXXXXXX 12-31-2018 12-31-2018 Altium Wealth Management LLC

2500 WESTCHESTER AVENUE SUITE 210 PURCHASE NY 10577

13F HOLDINGS REPORT 028-18798 N ROBERT SYPHER Chief Compliance Officer 914 298-2447 ROBERT SYPHER PURCHASE NY 01-16-2019 1 272 523070 false 1 0000350894 028-16454 SEI INVESTMENTS CO INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y10115508133SHSOLE 813300ABBOTT LABSCOM002824100248334331SHSOLE 3433100ABBVIE INCCOM00287Y109216123441SHSOLE 2344100ACCENTURE PLC IRELANDSHS CLASS AG1151C1017975649SHSOLE 564900ADOBE INCCOM00724F10111615132SHSOLE 513200AFLAC INCCOM0010551023537752SHSOLE 775200AKAMAI TECHNOLOGIES INCDBCV 2/100971TAG6577580000SHSOLE 58000000ALLSTATE CORPCOM0200021013994833SHSOLE 483300ALPHABET INCCAP STK CL A02079K30517351660SHSOLE 166000ALPHABET INCCAP STK CL C02079K10715081456SHSOLE 145600ALTRIA GROUP INCCOM02209S103126725650SHSOLE 2565000AMAZON COM INCCOM02313510632312151SHSOLE 215100AMERICAN ELEC PWR INCCOM0255371014015369SHSOLE 536900AMERICAN EXPRESS COCOM025816109124313043SHSOLE 1304300AMERICAN RLTY CAP PPTYS INCNOTE 3.750%12/102917TAB0106108000SHSOLE 10800000AMERICAN TOWER CORP NEWCOM03027X1002991890SHSOLE 189000AMERIPRISE FINL INCCOM03076C1064123946SHSOLE 394600AMGEN INCCOM03116210010025148SHSOLE 514800AON PLCSHS CL AG0408V1022841955SHSOLE 195500APOLLO COML REAL EST FIN INCNOTE 4.750% 8/203762UAB11718000SHSOLE 1800000APPLE INCCOM037833100584037024SHSOLE 3702400ARES CAP CORPNOTE 3.750% 2/004010LAT0345345000SHSOLE 34500000ARES CAP CORPNOTE 4.375% 1/104010LAM5307307000SHSOLE 30700000AT&T INCCOM00206R102229980569SHSOLE 8056900AUTOMATIC DATA PROCESSING INCOM053015103258419710SHSOLE 1971000BANCO SANTANDER SAADR05964H1057316286SHSOLE 1628600BANK AMER CORPCOM060505104120148736SHSOLE 4873600BANK NEW YORK MELLON CORPCOM0640581004319161SHSOLE 916100BARCLAYS PLCADR06738E2048611393SHSOLE 1139300BECTON DICKINSON & COCOM0758871092951308SHSOLE 130800BERKSHIRE HATHAWAY INC DELCL A08467010818366SHSOLE 600BERKSHIRE HATHAWAY INC DELCL B NEW0846707021207259125SHSOLE 5912500BIOGEN INCCOM09062X1033181057SHSOLE 105700BLACKROCK CAPITAL INVESTMENTNOTE 5.000% 6/1092533AC298100000SHSOLE 10000000BLACKROCK INCCOM09247X10116954314SHSOLE 431400BLACKROCK TCP CAPITAL CORPNOTE 5.250%12/187238QAB96060000SHSOLE 6000000BOEING COCOM09702310511673620SHSOLE 362000BOOKING HLDGS INCCOM09857L108289168SHSOLE 16800BRISTOL MYERS SQUIBB COCOM11012210864912495SHSOLE 1249500BROADCOM INCCOM11135F1015102004SHSOLE 200400BROADRIDGE FINL SOLUTIONS INCOM11133T1036747001SHSOLE 700100BROWN FORMAN CORPCL B1156372092575393SHSOLE 539300CALAMP CORPNOTE 1.625% 5/1128126AB510221074000SHSOLE 107400000CAPITAL ONE FINL CORPCOM14040H1052273004SHSOLE 300400CATERPILLAR INC DELCOM1491231014993923SHSOLE 392300CDK GLOBAL INCCOM12508E1013507317SHSOLE 731700CELANESE CORP DELCOM1508701033864287SHSOLE 428700CELGENE CORPCOM1510201045688865SHSOLE 886500CHEVRON CORP NEWCOM166764100216219874SHSOLE 1987400CHURCH & DWIGHT INCCOM17134010272110957SHSOLE 1095700CIGNA CORP NEWCOM1255231004762507SHSOLE 250700CISCO SYS INCCOM17275R102210948678SHSOLE 4867800CITIGROUP INCCOM NEW17296742475014406SHSOLE 1440600CLOROX CO DELCOM1890541094622996SHSOLE 299600CME GROUP INCCOM CL A12572Q1053842042SHSOLE 204200COCA COLA COCOM191216100182738591SHSOLE 3859100COMCAST CORP NEWCL A20030N101112132915SHSOLE 3291500CONAGRA BRANDS INCCOM20588710221610129SHSOLE 1012900CONOCOPHILLIPSCOM20825C10478312563SHSOLE 1256300CORNING INCCOM2193501052086885SHSOLE 688500COSTCO WHSL CORP NEWCOM22160K10510114965SHSOLE 496500CSG SYS INTL INCNOTE 4.250% 3/1126349AF6860868000SHSOLE 86800000CVS HEALTH CORPCOM1266501003244941SHSOLE 494100DANAHER CORP DELCOM2358511022922827SHSOLE 282700DIREXION SHS ETF TRDLY S&P500 BR 3X25460E8852779000SHSOLE 900000DISNEY WALT COCOM DISNEY254687106184116794SHSOLE 1679400DOMINION ENERGY INCCOM25746U1092002805SHSOLE 280500DOWDUPONT INCCOM26078J10060411299SHSOLE 1129900EATON CORP PLCSHSG291831034306270SHSOLE 627000ECHO GLOBAL LOGISTICS INCNOTE 2.500% 5/027875TAA9298308000SHSOLE 30800000ECOLAB INCCOM2788651002911978SHSOLE 197800ELECTRONICS FOR IMAGING INCNOTE 0.750% 9/0286082AC610261054000SHSOLE 105400000EMERSON ELEC COCOM29101110461610315SHSOLE 1031500ENVESTNET INCNOTE 1.750%12/129404KAA4863854000SHSOLE 85400000EOG RES INCCOM26875P1012022313SHSOLE 231300EVOLENT HEALTH INCNOTE 2.000%12/030050BAB7343309000SHSOLE 30900000EXELON CORPCOM30161N1012846308SHSOLE 630800EXXON MOBIL CORPCOM30231G102335549199SHSOLE 4919900FACEBOOK INCCL A30303M10212339409SHSOLE 940900FEDEX CORPCOM31428X1062771715SHSOLE 171500FIDELITYLTD TRM BD ETF3161882002875810SHSOLE 581000FINISAR CORPNOTE 0.500%12/131787AAP64345000SHSOLE 4500000FIRST TR EXCHANGE TRADED FDFST LOW OPPT EFT33739Q2003066000SHSOLE 600000FORD MTR CO DELCOM PAR $0.013453708609211968SHSOLE 1196800GAMCO GLOBAL GOLD NAT RES &COM SH BEN INT36465A1096417197SHSOLE 1719700GENERAL DYNAMICS CORPCOM3695501082581639SHSOLE 163900GENERAL ELECTRIC COCOM36960410369591837SHSOLE 9183700GILEAD SCIENCES INCCOM3755581034316890SHSOLE 689000GOLDMAN SACHS BDC INCNOTE 4.500% 4/038147UAB3121125000SHSOLE 12500000GOLDMAN SACHS GROUP INCCOM38141G1043241941SHSOLE 194100HARTFORD FINL SVCS GROUP INCCOM4165151043307415SHSOLE 741500HCI GROUP INCNOTE 3.875% 3/140416EAB9753756000SHSOLE 75600000HOME DEPOT INCCOM437076102252414688SHSOLE 1468800HONEYWELL INTL INCCOM4385161068116138SHSOLE 613800HUBBELL INCCOM443510607171317244SHSOLE 1724400HURON CONSULTING GROUP INCNOTE 1.250%10/0447462AB8812829000SHSOLE 82900000ILLINOIS TOOL WKS INCCOM4523081095084006SHSOLE 400600ILLUMINA INCNOTE 0.500% 6/1452327AH2311237000SHSOLE 23700000INGERSOLL-RAND PLCSHSG477911012342564SHSOLE 256400INPHI CORPNOTE 0.750% 9/045772FAC1470508000SHSOLE 50800000INTEGRATED DEVICE TECHNOLOGYNOTE 0.875%11/1458118AC0735475000SHSOLE 47500000INTEL CORPCOM458140100312766627SHSOLE 6662700INTERCONTINENTAL EXCHANGE INCOM45866F1042673551SHSOLE 355100INTERNATIONAL BUSINESS MACHSCOM459200101161014160SHSOLE 1416000INTUITCOM4612021033121587SHSOLE 158700INTUITIVE SURGICAL INCCOM NEW46120E602269562SHSOLE 56200INVESCO EXCHANGE TRADED FD TS&P500 QUALITY46137V24141414899SHSOLE 1489900INVESCO EXCHNG TRADED FD TRVAR RATE PFD46138G87059025850SHSOLE 2585000INVESCO QQQ TRUNIT SER 146090E1039906417SHSOLE 641700ISHARES GOLD TRUSTISHARES46428510514111455SHSOLE 1145500ISHARES INCCORE MSCI EMKT46434G10316967359850SHSOLE 35985000ISHARES TRCORE HIGH DV ETF46429B663121814435SHSOLE 1443500ISHARES TRCORE MSCI EAFE46432F84249815905725SHSOLE 90572500ISHARES TRCORE MSCI TOTAL46432F8344388333SHSOLE 833300ISHARES TRCORE S&P MCP ETF46428750721993132439SHSOLE 13243900ISHARES TRCORE S&P SCP ETF4642878049231133159SHSOLE 13315900ISHARES TRCORE S&P TTL STK46428715097117099SHSOLE 1709900ISHARES TRCORE S&P500 ETF4642872005452166SHSOLE 216600ISHARES TREAFE SML CP ETF4642882732334491SHSOLE 449100ISHARES TRIBONDS DEC202146435G78945217753SHSOLE 1775300ISHARES TRIBONDS DEC202246435G75550019506SHSOLE 1950600ISHARES TRIBONDS DEC202346435G31851920663SHSOLE 2066300ISHARES TRIBONDS SEP19 ETF46429B56438415124SHSOLE 1512400ISHARES TRIBONDS SEP202046434V57154621503SHSOLE 2150300ISHARES TRIBOXX HI YD ETF4642885134395409SHSOLE 540900ISHARES TRINTRM TR CRP ETF4642886382725190SHSOLE 519000ISHARES TRJPMORGAN USD EMG4642882814874683SHSOLE 468300ISHARES TRMIN VOL USA ETF46429B6974288174SHSOLE 817400ISHARES TRMSCI EAFE ETF464287465171629202SHSOLE 2920200ISHARES TRMSCI EMG MKT ETF46428723467417253SHSOLE 1725300ISHARES TRNATIONAL MUN ETF4642884148227542SHSOLE 754200ISHARES TRRUS 1000 GRW ETF4642876146154701SHSOLE 470100ISHARES TRRUS 1000 VAL ETF4642875988677806SHSOLE 780600ISHARES TRRUSSELL 2000 ETF4642876556745030SHSOLE 503000ISHARES TRRUSSELL 3000 ETF4642876893222190SHSOLE 219000ISHARES TRS&P 500 GRWT ETF4642873095053349SHSOLE 334900ISHARES TRS&P US PFD STK46428868738811322SHSOLE 1132200ISHARES TRSELECT DIVID ETF4642871684545078SHSOLE 507800ISHARES TRU.S. BAS MTL ETF4642878382022400SHSOLE 240000ISHARES TRU.S. UTILITS ETF4642876973262427SHSOLE 242700JOHNSON & JOHNSONCOM478160104347826950SHSOLE 2695000JPMORGAN CHASE & COCOM46625H100361337008SHSOLE 3700800KELLOGG COCOM4878361082003514SHSOLE 351400KEYCORP NEWCOM49326710821614597SHSOLE 1459700KIMBERLY CLARK CORPCOM4943681037886915SHSOLE 691500KINDER MORGAN INC DELCOM49456B10119212497SHSOLE 1249700KNOWLES CORPNOTE 3.250%11/049926DAB5752730000SHSOLE 73000000KRAFT HEINZ COCOM5007541062866649SHSOLE 664900LAMB WESTON HLDGS INCCOM5132721042233027SHSOLE 302700LILLY ELI & COCOM5324571087846775SHSOLE 677500LINCOLN NATL CORP INDCOM53418710991717863SHSOLE 1786300LLOYDS BANKING GROUP PLCSPONSORED ADR5394391098332477SHSOLE 3247700LOCKHEED MARTIN CORPCOM5398301092771058SHSOLE 105800LOWES COS INCCOM5486611076977545SHSOLE 754500MACQUARIE INFRASTRUCTURE CORNOTE 2.000%10/055608BAB1112130000SHSOLE 13000000MARATHON PETE CORPCOM56585A1023696261SHSOLE 626100MARRIOTT INTL INC NEWCL A5719032024564201SHSOLE 420100MARSH & MCLENNAN COS INCCOM5717481026137687SHSOLE 768700MASTERCARD INCORPORATEDCL A57636Q10413417110SHSOLE 711000MCDONALDS CORPCOM58013510113977870SHSOLE 787000MEDTRONIC PLCSHSG5960L1038359185SHSOLE 918500MERCK & CO INCCOM58933Y105255333416SHSOLE 3341600METLIFE INCCOM59156R10841710150SHSOLE 1015000MICROSOFT CORPCOM594918104463945675SHSOLE 4567500MONDELEZ INTL INCCL A609207105112728161SHSOLE 2816100MOODYS CORPCOM6153691057275193SHSOLE 519300MORGAN STANLEYCOM NEW6174464483468729SHSOLE 872900MURPHY OIL CORPCOM62671710250321499SHSOLE 2149900MURPHY USA INCCOM6267551024195472SHSOLE 547200NATIONAL HEALTH INVS INCNOTE 3.250% 4/063633DAE4631576000SHSOLE 57600000NETFLIX INCCOM64110L1063421278SHSOLE 127800NEW MTN FIN CORPCOM647551100101880892SHSOLE 8089200NEW YORK CMNTY CAP TR VUNIT 11/01/205164944P30779917860SHSOLE 1786000NEXTERA ENERGY INCCOM65339F1018164696SHSOLE 469600NIKE INCCL B6541061034996725SHSOLE 672500NORDIC AMERICAN TANKERS LIMICOMG657731063517273SHSOLE 1727300NORFOLK SOUTHERN CORPCOM6558441082631758SHSOLE 175800NOVARTIS A GSPONSORED ADR66987V1093984640SHSOLE 464000NUANCE COMMUNICATIONS INCNOTE 2.750%11/067020YAF78284000SHSOLE 8400000NUCOR CORPCOM6703461052144128SHSOLE 412800NVIDIA CORPCOM67066G1042011502SHSOLE 150200OBALON THERAPEUTICS INCCOM67424L1005727472SHSOLE 2747200OCCIDENTAL PETE CORP DELCOM6745991055799433SHSOLE 943300OHA INVT CORPCOM67091U102115114189SHSOLE 11418900OMNICOM GROUP INCCOM6819191063815201SHSOLE 520100ORACLE CORPCOM68389X10563614084SHSOLE 1408400PARK NATL CORPCOM7006581072693161SHSOLE 316100PAYPAL HLDGS INCCOM70450Y1036477696SHSOLE 769600PEPSICO INCCOM713448108181716449SHSOLE 1644900PFIZER INCCOM717081103306670233SHSOLE 7023300PHILIP MORRIS INTL INCCOM718172109132919905SHSOLE 1990500PHILLIPS 66COM7185461044985776SHSOLE 577600PNC FINL SVCS GROUP INCCOM6934751054383750SHSOLE 375000PRICELINE GRP INCNOTE 0.900% 9/1741503AX4110100000SHSOLE 10000000PROCTER AND GAMBLE COCOM742718109318034590SHSOLE 3459000PRUDENTIAL FINL INCCOM7443201022723333SHSOLE 333300QUALCOMM INCCOM7475251033255711SHSOLE 571100REGIONS FINL CORP NEWCOM7591EP10018113554SHSOLE 1355400ROVI CORPNOTE 0.500% 3/0779376AD410971155000SHSOLE 115500000ROYAL DUTCH SHELL PLCSPON ADR B7802591072023362SHSOLE 336200ROYAL DUTCH SHELL PLCSPONS ADR A78025920673312571SHSOLE 1257100ROYAL GOLD INCNOTE 2.875% 6/1780287AA6869867000SHSOLE 86700000RPM INTL INCCOM7496851033325644SHSOLE 564400RTI INTL METALS INCNOTE 1.625%10/174973WAB3728732000SHSOLE 73200000SALESFORCE COM INCCOM79466L3026885021SHSOLE 502100SAP SESPON ADR8030542042602614SHSOLE 261400SCHLUMBERGER LTDCOM80685710836410100SHSOLE 1010000SCHWAB CHARLES CORP NEWCOM8085131052125113SHSOLE 511300SCHWAB STRATEGIC TRSCHWAB FDT US LG80852477156816720SHSOLE 1672000SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407166116775SHSOLE 1677500SELECT SECTOR SPDR TRSBI INT-FINL81369Y6052752115513SHSOLE 11551300SELECT SECTOR SPDR TRSBI INT-UTILS81369Y88684315928SHSOLE 1592800SELECT SECTOR SPDR TRTECHNOLOGY81369Y803238738512SHSOLE 3851200SHIP FINANCE INTERNATIONAL LNOTE 5.750%10/1G81075AF3687740000SHSOLE 74000000SILVER STD RES INCNOTE 2.875% 2/082823LAC0794798000SHSOLE 79800000SIMON PPTY GROUP INC NEWCOM8288061092001192SHSOLE 119200SPDR S&P 500 ETF TRTR UNIT78462F1031051142057SHSOLE 4205700SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10712414099SHSOLE 409900SPDR SER TRBLOOMBERG SRT TR78468R40837414364SHSOLE 1436400SPDR SERIES TRUSTPRTFLO S&P500 GW78464A40911987368825SHSOLE 36882500SPDR SERIES TRUSTPRTFLO S&P500 VL78464A5089300342410SHSOLE 34241000SPIRIT RLTY CAP INC NEWNOTE 2.875% 5/184860WAA011891191000SHSOLE 119100000STARBUCKS CORPCOM8552441094597123SHSOLE 712300STATE STR CORPCOM8574771032383775SHSOLE 377500STRYKER CORPCOM8636671012981901SHSOLE 190100SUMITOMO MITSUI FINL GROUP ISPONSORED ADR86562M2099013757SHSOLE 1375700SYNAPTICS INCNOTE 0.500% 6/187157DAD1429490000SHSOLE 49000000TARGET CORPCOM87612E1066239424SHSOLE 942400TEVA PHARMACEUTICAL FIN LLCDBCV 0.250% 2/088163VAE96370000SHSOLE 7000000TEXAS INSTRS INCCOM8825081044334579SHSOLE 457900THERAVANCE INCNOTE 2.125% 1/188338TAB0162150000SHSOLE 15000000THERMO FISHER SCIENTIFIC INCCOM8835561026422868SHSOLE 286800TIVO CORPCOM88870P10610310943SHSOLE 1094300TJX COS INC NEWCOM8725401093327424SHSOLE 742400TPG SPECIALTY LENDING INCNOTE 4.500%12/187265KAB8141140000SHSOLE 14000000TRAVELERS COMPANIES INCCOM89417E1096555472SHSOLE 547200TWITTER INCNOTE 0.250% 9/190184LAB8577595000SHSOLE 59500000UNION PAC CORPCOM9078181089466846SHSOLE 684600UNITED PARCEL SERVICE INCCL B9113121064754873SHSOLE 487300UNITED TECHNOLOGIES CORPCOM91301710910249620SHSOLE 962000UNITEDHEALTH GROUP INCCOM91324P10215636273SHSOLE 627300US BANCORP DELCOM NEW9029733043036627SHSOLE 662700VALERO ENERGY CORP NEWCOM91913Y1007029360SHSOLE 936000VANGUARD ADMIRAL FDS INC500 GRTH IDX F92193250520963155282SHSOLE 15528200VANGUARD ADMIRAL FDS INC500 VAL IDX FD92193270318543190053SHSOLE 19005300VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378355607066SHSOLE 706600VANGUARD GROUPDIV APP ETF9219088448608780SHSOLE 878000VANGUARD INDEX FDSGROWTH ETF922908736183013621SHSOLE 1362100VANGUARD INDEX FDSMID CAP ETF9229086291023174038SHSOLE 7403800VANGUARD INDEX FDSS&P 500 ETF SHS92290836361075265763SHSOLE 26576300VANGUARD INDEX FDSSMALL CP ETF922908751242918400SHSOLE 1840000VANGUARD INDEX FDSTOTAL STK MKT9229087695524322SHSOLE 432200VANGUARD INDEX FDSVALUE ETF922908744141814472SHSOLE 1447200VANGUARD INTL EQUITY INDEX FALLWRLD EX US9220427752024423SHSOLE 442300VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428586750177174SHSOLE 17717400VANGUARD MUN BD FD INCTAX EXEMPT BD92290774617103335023SHSOLE 33502300VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C87015738189932SHSOLE 18993200VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4093554555SHSOLE 455500VANGUARD SCOTTSDALE FDSVNG RUS1000GRW92206C6802181624SHSOLE 162400VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385830406819561SHSOLE 81956100VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464066488307SHSOLE 830700VANGUARD WORLD FDSENERGY ETF92204A3063444460SHSOLE 446000VERINT SYS INCNOTE 1.500% 6/092343XAA810391074000SHSOLE 107400000VERIZON COMMUNICATIONS INCCOM92343V104256745657SHSOLE 4565700VIAVI SOLUTIONS INCNOTE 1.000% 3/0925550AB1779790000SHSOLE 79000000VISA INCCOM CL A92826C839172713091SHSOLE 1309100WALGREENS BOOTS ALLIANCE INCCOM9314271083715434SHSOLE 543400WALMART INCCOM9311421036707191SHSOLE 719100WELLS FARGO CO NEWCOM949746101126527453SHSOLE 2745300YUM BRANDS INCCOM9884981017468120SHSOLE 812000ZIOPHARM ONCOLOGY INCCOM98973P1012815000SHSOLE 1500000ZOETIS INCCL A98978V1033434007SHSOLE 400700