0001606587-18-000786.txt : 20181026
0001606587-18-000786.hdr.sgml : 20181026
20181026093518
ACCESSION NUMBER: 0001606587-18-000786
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181026
DATE AS OF CHANGE: 20181026
EFFECTIVENESS DATE: 20181026
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Klingman & Associates, LLC
CENTRAL INDEX KEY: 0001662449
IRS NUMBER: 061612508
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17124
FILM NUMBER: 181140545
BUSINESS ADDRESS:
STREET 1: 1133 AVENUE OF THE AMERICAS
STREET 2: SUITE 3110
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-867-7647
MAIL ADDRESS:
STREET 1: 1133 AVENUE OF THE AMERICAS
STREET 2: SUITE 3110
CITY: NEW YORK
STATE: NY
ZIP: 10036
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001662449
XXXXXXXX
09-30-2018
09-30-2018
false
Klingman & Associates, LLC
1133 Avenue of the Americas
Suite 3110
New York
NY
10036
13F HOLDINGS REPORT
028-17124
N
Michael Paley
Chief Operating Officer; Chief Compliance Officer
212-867-7647
Michael Paley
New York
NY
10-24-2018
0
106
488507
false
INFORMATION TABLE
2
form13InfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1466
6847
SH
SOLE
NONE
0
0
6847
INVESCO EXCHANGE TRADED FD T
S&P500 EQL WGT
46137V357
700
6550
SH
SOLE
NONE
0
0
6550
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
954
9383
SH
SOLE
NONE
0
0
9383
WESTERN ASSET EMRG MKT DEBT
COM
95766A101
607
45246
SH
SOLE
NONE
0
0
45246
INVESCO EXCH TRD SLF IDX FD
BULSHS 2024 CB
46138J841
318
15810
SH
SOLE
NONE
0
0
15810
INVESCO EXCH TRD SLF IDX FD
BULSHS 2023 CB
46138J866
368
18190
SH
SOLE
NONE
0
0
18190
INVESCO EXCH TRD SLF IDX FD
BULSHS 2022 CB
46138J882
371
17960
SH
SOLE
NONE
0
0
17960
EXXON MOBIL CORP
COM
30231G102
1412
16607
SH
SOLE
NONE
0
0
16607
SPDR SERIES TRUST
FTSE INT GVT ETF
78464A490
237
4500
SH
SOLE
NONE
0
0
4500
VERIZON COMMUNICATIONS INC
COM
92343V104
253
4735
SH
SOLE
NONE
0
0
4735
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
340
3909
SH
SOLE
NONE
0
0
3909
VANGUARD STAR FD
VG TL INTL STK F
921909768
1196
22142
SH
SOLE
NONE
0
0
22142
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
399
3250
SH
SOLE
NONE
0
0
3250
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
2082
50781
SH
SOLE
NONE
0
0
50781
INVESCO SR INCOME TR
COM
46131H107
306
71257
SH
SOLE
NONE
0
0
71257
VANGUARD MALVERN FDS
STRM INFPROIDX
922020805
22532
465820
SH
SOLE
NONE
0
0
465820
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
3443
23008
SH
SOLE
NONE
0
0
23008
VANGUARD INTL EQUITY INDEX F
FTSE SMCAP ETF
922042718
421
3750
SH
SOLE
NONE
0
0
3750
INVESCO EXCHNG TRADED FD TR
VAR RATE PFD
46138G870
2384
95795
SH
SOLE
NONE
0
0
95795
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1807
6765
SH
SOLE
NONE
0
0
6765
VANGUARD INDEX FDS
MID CAP ETF
922908629
505
3075
SH
SOLE
NONE
0
0
3075
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
5503
68206
SH
SOLE
NONE
0
0
68206
VANGUARD GROUP
DIV APP ETF
921908844
1006
9085
SH
SOLE
NONE
0
0
9085
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
2409
46273
SH
SOLE
NONE
0
0
46273
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
3267
75492
SH
SOLE
NONE
0
0
75492
VANGUARD INDEX FDS
SMALL CP ETF
922908751
890
5474
SH
SOLE
NONE
0
0
5474
ISHARES TR
MIN VOL USA ETF
46429B697
5239
91844
SH
SOLE
NONE
0
0
91844
MANAGED PORTFOLIO SER
TORTOISE NRAM PI
56167N720
23652
1016432
SH
SOLE
NONE
0
0
1016432
TJX COS INC NEW
COM
872540109
664
5927
SH
SOLE
NONE
0
0
5927
ISHARES TR
TIPS BD ETF
464287176
9818
88752
SH
SOLE
NONE
0
0
88752
SPDR S&P 500 ETF TR
TR UNIT
78462F103
41034
141144
SH
SOLE
NONE
0
0
141144
INVESCO EXCHNG TRADED FD TR
S&P500 LOW VOL
46138E354
4713
95176
SH
SOLE
NONE
0
0
95176
ISHARES TR
PHLX SEMICND ETF
464287523
814
4400
SH
SOLE
NONE
0
0
4400
SPDR SERIES TRUST
S&P 600 SMCP VAL
78464A300
208
3041
SH
SOLE
NONE
0
0
3041
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
22791
232729
SH
SOLE
NONE
0
0
232729
ISHARES TR
EAFE SML CP ETF
464288273
813
13055
SH
SOLE
NONE
0
0
13055
SCHWAB CHARLES CORP NEW
COM
808513105
349
7098
SH
SOLE
NONE
0
0
7098
SCHWAB STRATEGIC TR
EMRG MKTEQ ETF
808524706
338
13152
SH
SOLE
NONE
0
0
13152
ROYAL BK CDA MONTREAL QUE
COM
780087102
959
11959
SH
SOLE
NONE
0
0
11959
SPDR INDEX SHS FDS
DJ INTL RL ETF
78463X863
455
11902
SH
SOLE
NONE
0
0
11902
OPPENHEIMER ETF TR
S&P 500 REVENUE
68386C104
11204
206784
SH
SOLE
NONE
0
0
206784
OPPENHEIMER ETF TR
S&P MDCP 400 REV
68386C203
859
13674
SH
SOLE
NONE
0
0
13674
OPPENHEIMER ETF TR
S&P SMALLCAP 600
68386C302
846
11233
SH
SOLE
NONE
0
0
11233
ROSS STORES INC
COM
778296103
1013
10219
SH
SOLE
NONE
0
0
10219
COHEN & STEERS TOTAL RETURN
COM
19247R103
144
11830
SH
SOLE
NONE
0
0
11830
INVESCO QQQ TR
UNIT SER 1
46090E103
229
1233
SH
SOLE
NONE
0
0
1233
INVESCO EXCHNG TRADED FD TR
FTSE RAFI DEV
46138E743
250
5773
SH
SOLE
NONE
0
0
5773
INVESCO EXCHANGE TRADED FD T
FTSE RAFI 1000
46137V613
22049
185646
SH
SOLE
NONE
0
0
185646
PPG INDS INC
COM
693506107
365
3342
SH
SOLE
NONE
0
0
3342
PJT PARTNERS INC
COM CL A
69343T107
8554
163398
SH
SOLE
NONE
0
0
163398
PROCTER AND GAMBLE CO
COM
742718109
210
2522
SH
SOLE
NONE
0
0
2522
PFIZER INC
COM
717081103
658
14939
SH
SOLE
NONE
0
0
14939
PEPSICO INC
COM
713448108
492
4403
SH
SOLE
NONE
0
0
4403
INVESCO EXCHNG TRADED FD TR
FTSE RAFI SML
46138E735
392
12000
SH
SOLE
NONE
0
0
12000
INVESCO EXCHNG TRADED FD TR
FTSE RAFI SML
46138E735
322
9863
SH
SOLE
NONE
0
0
9863
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
284
819
SH
SOLE
NONE
0
0
819
ISHARES TR
S&P 100 ETF
464287101
892
6880
SH
SOLE
NONE
0
0
6880
ISHARES US ETF TR
SHT MAT BD ETF
46431W507
14733
293583
SH
SOLE
NONE
0
0
293583
MICROSOFT CORP
COM
594918104
1763
15417
SH
SOLE
NONE
0
0
15417
MERCK & CO INC
COM
58933Y105
368
5184
SH
SOLE
NONE
0
0
5184
GLOBAL X FDS
GLB X MLP ENRG I
37950E226
1230
92083
SH
SOLE
NONE
0
0
92083
UBS AG JERSEY BRH
ALERIAN INFRST
902641646
17194
714922
SH
SOLE
NONE
0
0
714922
BLACKROCK MUNIHLDGS NY QLTY
COM
09255C106
127
10685
SH
SOLE
NONE
0
0
10685
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
18268
49713
SH
SOLE
NONE
0
0
49713
BARINGS CORPORATE INVS
COM
06759X107
273
17800
SH
SOLE
NONE
0
0
17800
MASTERCARD INCORPORATED
CL A
57636Q104
1310
5886
SH
SOLE
NONE
0
0
5886
CARMAX INC
COM
143130102
390
5226
SH
SOLE
NONE
0
0
5226
JPMORGAN CHASE & CO
COM
46625H100
555
4917
SH
SOLE
NONE
0
0
4917
JOHNSON & JOHNSON
COM
478160104
1096
7933
SH
SOLE
NONE
0
0
7933
JACOBS ENGR GROUP INC DEL
COM
469814107
270
3533
SH
SOLE
NONE
0
0
3533
ISHARES TR
RUS MID CAP ETF
464287499
540
2451
SH
SOLE
NONE
0
0
2451
ISHARES TR
RUSSELL 2000 ETF
464287655
5950
35302
SH
SOLE
NONE
0
0
35302
ISHARES TR
RUS 1000 ETF
464287622
3488
21569
SH
SOLE
NONE
0
0
21569
ISHARES TR
CORE S&P500 ETF
464287200
77893
266092
SH
SOLE
NONE
0
0
266092
ISHARES TR
S&P 500 VAL ETF
464287408
279
2405
SH
SOLE
NONE
0
0
2405
COHEN & STEERS GLOBAL INC BL
COM
19248M103
332
35650
SH
SOLE
NONE
0
0
35650
ISHARES TR
CORE S&P SCP ETF
464287804
21708
248836
SH
SOLE
NONE
0
0
248836
ISHARES TR
CORE S&P MCP ETF
464287507
43040
213820
SH
SOLE
NONE
0
0
213820
ISHARES TR
INTL SEL DIV ETF
464288448
5752
176292
SH
SOLE
NONE
0
0
176292
HERSHEY CO
COM
427866108
326
3200
SH
SOLE
NONE
0
0
3200
HONEYWELL INTL INC
COM
438516106
434
2609
SH
SOLE
NONE
0
0
2609
ISHARES TR
CORE HIGH DV ETF
46429B663
1881
20771
SH
SOLE
NONE
0
0
20771
HOME DEPOT INC
COM
437076102
767
3701
SH
SOLE
NONE
0
0
3701
ALPHABET INC
CAP STK CL C
02079K107
897
752
SH
SOLE
NONE
0
0
752
BLACKROCK FLOAT RATE OME STR
COM
09255X100
696
50436
SH
SOLE
NONE
0
0
50436
FIRST TR SR FLG RTE INCM FD
COM
33733U108
920
72316
SH
SOLE
NONE
0
0
72316
FACEBOOK INC
CL A
30303M102
262
1594
SH
SOLE
NONE
0
0
1594
SPDR INDEX SHS FDS
S&P EMKTSC ETF
78463X756
397
8860
SH
SOLE
NONE
0
0
8860
FIRST TR EXCHANGE TRADED FD
NO AMER ENERGY
33738D101
321
13696
SH
SOLE
NONE
0
0
13696
ISHARES TR
MIN VOL EAFE ETF
46429B689
1228
16862
SH
SOLE
NONE
0
0
16862
ISHARES TR
MSCI EAFE ETF
464287465
2996
44070
SH
SOLE
NONE
0
0
44070
ISHARES TR
MSCI EMG MKT ETF
464287234
476
11082
SH
SOLE
NONE
0
0
11082
ISHARES TR
SELECT DIVID ETF
464287168
4294
43042
SH
SOLE
NONE
0
0
43042
DISNEY WALT CO
COM DISNEY
254687106
410
3510
SH
SOLE
NONE
0
0
3510
WISDOMTREE TR
EMER MKT HIGH FD
97717W315
566
12955
SH
SOLE
NONE
0
0
12955
CHEVRON CORP NEW
COM
166764100
264
2161
SH
SOLE
NONE
0
0
2161
CSX CORP
COM
126408103
264
3570
SH
SOLE
NONE
0
0
3570
CALAMOS CONV & HIGH INCOME F
COM SHS
12811P108
494
37240
SH
SOLE
NONE
0
0
37240
CITIZENS FINL GROUP INC
COM
174610105
3086
80000
SH
SOLE
NONE
0
0
80000
CREDIT ACCEP CORP MICH
COM
225310101
386
882
SH
SOLE
NONE
0
0
882
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
202
2595
SH
SOLE
NONE
0
0
2595
INVESCO EXCH TRD SLF IDX FD
BULSHS 2021 CB
46138J700
249
11991
SH
SOLE
NONE
0
0
11991
AMAZON COM INC
COM
023135106
1062
530
SH
SOLE
NONE
0
0
530
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
23482
855144
SH
SOLE
NONE
0
0
855144
ABBVIE INC
COM
00287Y109
349
3685
SH
SOLE
NONE
0
0
3685
APPLE INC
COM
037833100
9453
41877
SH
SOLE
NONE
0
0
41877